---
kind: "section"
citation: "46 U.S.C. § 41109"
title: "46"
title_heading: "Shipping"
number: "41109"
heading: "Assessment of penalties"
release: "119-102"
date: "2026-07-12"
url: "https://uscodex.org/usc/46/41109"
units:
  - "Subtitle IV — Regulation of Ocean Shipping"
  - "Part A — Ocean Shipping"
  - "Chapter 411 — Prohibitions and Penalties"
---

# §41109. Assessment of penalties

- (a) **General Authority.—** Until a matter is referred to the Attorney General, the Federal Maritime [Commission](/usc/46/42501.md?p=1) may—
  - (1) after notice and opportunity for a hearing, in accordance with this part—
    - (A) assess a civil penalty; or
    - (B) in addition to, or in lieu of, assessing a civil penalty under [subparagraph (A)](#a-1-A), order a refund of money (including additional amounts in accordance with [section 41305(c)](/usc/46/41305.md?p=c)), subject to [subsection (b)(2)](#b-2); and
  - (2) compromise, modify, or remit, with or without conditions, a civil penalty or refund imposed under [paragraph (1)](#a-1).
- (b) **Determination of Amount.—**
  - (1) **Factors for consideration.—** In determining the amount of a civil penalty assessed or refund of money ordered pursuant to [subsection (a)](#a), the Federal Maritime [Commission](/usc/46/42501.md?p=1) shall take into [consideration](/usc/46/2101.md?p=5)—
    - (A) the nature, circumstances, extent, and gravity of the violation committed;
    - (B) with respect to the violator—
      - (i) the degree of culpability;
      - (ii) any history of prior offenses;
      - (iii) the ability to pay; and
      - (iv) such other matters as justice may require; and
    - (C) the amount of any refund of money ordered pursuant to [subsection (a)(1)(B)](#a-1-B).
  - (2) **Commensurate reduction in civil penalty.—**
    - (A) **In general.—** In any case in which the Federal Maritime [Commission](/usc/46/42501.md?p=1) orders a refund of money pursuant to [subsection (a)(1)(B)](#a-1-B) in addition to assessing a civil penalty pursuant to [subsection (a)(1)(A)](#a-1-A), the amount of the civil penalty assessed shall be decreased by any additional amounts included in the refund of money in excess of the actual injury (as defined in [section 41305(a)](/usc/46/41305.md?p=a)).
    - (B) **Treatment of refunds.—** A refund of money ordered pursuant to [subsection (a)(1)(B)](#a-1-B) shall be—
      - (i) considered to be compensation paid to the applicable claimant; and
      - (ii) deducted from the total amount of damages awarded to that claimant in a civil action against the violator relating to the applicable violation.
- (c) **Exception.—** A civil penalty or refund of money under subparagraph (A) or (B), respectively, of [subsection (a)(1)](#a-1) may not be imposed for conspiracy to violate subsection [(a)](/usc/46/41102.md?p=a) or [(d)](/usc/46/41102.md?p=d) of section 41102 or paragraph [(1)](/usc/46/41104.md?p=a-1) or [(2)](/usc/46/41104.md?p=a-2) of section 41104(a) or to defraud the [Commission](/usc/46/42501.md?p=1) by concealing such a violation.
- (d) **Prohibited Basis of Penalty.—** The [Commission](/usc/46/42501.md?p=1) or a court may not order a person to pay the difference between the amount billed and agreed upon in writing with a [common carrier](/usc/46/40102.md?p=7) or its agent and the amount set forth in a tariff or [service contract](/usc/46/40102.md?p=21) by that [common carrier](/usc/46/40102.md?p=7) for the transportation service provided.
- (e) **Time Limit.—** A proceeding to assess a civil penalty or order a refund of money under this section must be commenced within 5 years after the date of the violation.
- (f) **Review of Civil Penalty.—** A person against whom a civil penalty is assessed, or that is ordered to refund money, under this section may obtain review under chapter 158 of title 28.
- (g) **Civil Actions To Collect.—** If a person does not pay an assessment of a civil penalty or a refund required under this section after it has become final or after the appropriate court has entered final judgment in favor of the [Commission](/usc/46/42501.md?p=1), the Attorney General at the request of the [Commission](/usc/46/42501.md?p=1) may seek to collect the amount assessed in an appropriate district court of the United States. The court shall enforce the order of the [Commission](/usc/46/42501.md?p=1) unless it finds that the order was not regularly made and duly issued.

## Source credit

(Pub. L. 109–304, § 7, Oct. 6, 2006, 120 Stat. 1544; Pub. L. 117–146, §§ 8(a)(2), 15(b), June 16, 2022, 136 Stat. 1276, 1279.)

## Notes

| Historical and Revision Notes |  |  |
| --- | --- | --- |
| Revised<br>Section | Source (U.S. Code) | Source (Statutes at Large) |
| 41109(a) | 46 App.:1712(c) (1st, last sentences). | Pub. L. 98–237, § 13(c)–(f), Mar. 20, 1984, 98 Stat. 82; Pub. L. 105–258, title I, § 112(c), Oct. 14, 1998, 112 Stat. 1912. |
| 41109(b) | 46 App.:1712(c) (2d sentence). |  |
| 41109(c) | 46 App.:1712(f)(1) (1st sentence). |  |
| 41109(d) | 46 App.:1712(f)(1) (last sentence). |  |
| 41109(e) | 46 App.:1712(f)(2). |  |
| 41109(f) | 46 App.:1712(d). |  |
| 41109(g) | 46 App.:1712(e). |  |

### Editorial Notes

### Amendments

2022—Subsecs. (a), (b). Pub. L. 117–146, § 8(a)(2)(A), added subsecs. (a) and (b) and struck out former subsecs. (a) and (b) which related to general authority to assess a civil penalty and factors in determining the amount of a civil penalty.

Subsec. (c). Pub. L. 117–146, § 15(b), substituted “subsection (a) or (d) of section 41102 or paragraph (1) or (2) of section 41104(a)” for “section 41102(a) or 41104(1) or (2) of this title”.

Pub. L. 117–146, § 8(a)(2)(B), substituted “or refund of money under subparagraph (A) or (B), respectively, of subsection (a)(1) may not be imposed” for “may not be imposed”.

Subsec. (e). Pub. L. 117–146, § 8(a)(2)(C), inserted “or order a refund of money” after “penalty”.

Subsec. (f). Pub. L. 117–146, § 8(a)(2)(D), inserted “, or that is ordered to refund money,” after “assessed”.

Subsec. (g). Pub. L. 117–146, § 8(a)(2)(E), inserted “or a refund required under this section” after “penalty”.