Civil Monetary Penalty Adjustments for Inflation, 42987-43006 [2016-15673]
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Federal Register / Vol. 81, No. 127 / Friday, July 1, 2016 / Rules and Regulations
C. Immigration and Customs Enforcement
D. U.S. Coast Guard
E. Transportation Security Administration
III. Administrative Procedure Act
IV. Regulatory Analyses
A. Executive Orders 12866 and 13563
B. Regulatory Flexibility Act
C. Unfunded Mandates Reform Act
D. Paperwork Reduction Act
DEPARTMENT OF HOMELAND
SECURITY
6 CFR Part 27
8 CFR Parts 270, 274a, and 280
Coast Guard
33 CFR Part 27
Transportation Security Administration
49 CFR Part 1503
RIN 1601–AA80
[Docket No. DHS–2016–0034]
Civil Monetary Penalty Adjustments for
Inflation
Department of Homeland
Security.
ACTION: Interim final rule with request
for comments.
AGENCY:
This rule amends Department
of Homeland Security (DHS or
Department) regulations to adjust DHS
and component civil monetary penalties
for inflation. DHS calculated the
adjusted penalties according to the
statutory formula in the Federal Civil
Penalties Inflation Adjustment Act
Improvements Act of 2015, which was
signed into law on November 2, 2015.
The adjusted penalties will be effective
for civil penalties assessed after August
1, 2016 whose associated violations
occurred after November 2, 2015.
DATES: Effective Date. This rule is
effective on August 1, 2016.
Comment Date: Comments must be
received on or before August 1, 2016.
ADDRESSES: You may submit comments,
identified by docket number DHS–
2016–0034, by one of the following
methods:
• Federal eRulemaking Portal: https://
www.regulations.gov. Follow the
instructions for submitting comments.
• Mail: Megan Westmoreland, Office
of the General Counsel, U.S. Department
of Homeland Security, 245 Murray Lane
SW., Mail Stop 0485, Washington, DC
20528–0485.
FOR FURTHER INFORMATION CONTACT:
Megan Westmoreland, AttorneyAdvisor, Office of the General Counsel,
U.S. Department of Homeland Security.
Phone: 202–447–4384.
SUPPLEMENTARY INFORMATION:
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SUMMARY:
Table of Contents
I. Background
II. Adjustments by Component
A. National Protection and Programs
Directorate
B. U.S. Customs and Border Protection
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I. Background
On November 2, 2015, the President
signed into law the Federal Civil
Penalties Inflation Adjustment Act
Improvements Act of 2015 (Pub. L. 114–
74 section 701 (Nov. 2, 2105)) (the 2015
Act),1 which further amended the
Federal Civil Penalties Inflation
Adjustment Act of 1990 (28 U.S.C. 2461
note) (the Inflation Adjustment Act), to
improve the effectiveness of civil
monetary penalties and to maintain
their deterrent effect. The 2015 Act
requires agencies to: (1) adjust the level
of civil monetary penalties with an
initial ‘‘catch-up’’ adjustment through
issuance of an interim final rule (IFR)
and (2) make subsequent annual
adjustments for inflation.
The 2015 Act applies to all agency
civil penalties except for any penalty
(including any addition to tax and
additional amount) under the Internal
Revenue Code of 1986 (26 U.S.C. 1 et
seq.) and the Tariff Act of 1930 (19
U.S.C. 1202 et seq.). See sec. 4(a)(1) of
the 2015 Act. In the case of DHS, several
civil penalties that are collected by U.S.
Customs and Border Protection (CBP)
and the U.S. Coast Guard fall under the
Tariff Act of 1930, and thus DHS is not
adjusting those civil penalties in this
rulemaking.
The 2015 Act applies the new penalty
amounts to all penalties that DHS
assesses after August 1, 2016, the
effective date of this rule. Additionally,
pursuant to 28 U.S.C. 2461 note sec. 6,
as amended by the 2015 Act, DHS will
apply the adjusted penalty amounts for
any violations that occurred after
November 2, 2015 (i.e., the date the
2015 Act was signed into law) as long
as the penalty is assessed after the
effective date of this interim final rule.
The 2015 Act provides a new method
for calculating inflation adjustments.
The new method differs substantially
from the methods that agencies used in
the past when conducting inflation
adjustments pursuant to the 1990
Inflation Adjustment Act. The new
method is intended to more accurately
reflect inflation. Previously, when
agencies conducted adjustments to civil
penalties, they did so under rules that
1 The 2015 Act was enacted as part of the
Bipartisan Budget Act of 2015, Public Law 114–74
(Nov. 2, 2015).
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required significant rounding of figures.
For example, an agency would round a
penalty increase that was greater than
$1,000, but less than or equal to
$10,000, to the nearest multiple of
$1,000. While this allowed penalties to
be kept at round numbers, it meant that
agencies would often not increase
penalties at all if the inflation factor was
not large enough. Furthermore,
increases to penalties were capped at 10
percent, which meant that longer
periods without an inflation adjustment
could cause a penalty to rapidly lose
value in real terms. Over time, the
formula used in the 1990 Inflation
Adjustment Act calculations frequently
caused penalties to lose value relative to
actual inflation. The 2015 Act removed
these rounding rules, and instead
instructs agencies to round penalties to
the nearest $1. While this creates
penalty values that are no longer round
numbers, it does ensure that agencies
will increase penalties each year to a
figure commensurate with the actual
calculated inflation.
To better reflect the original impact of
civil penalties, the 2015 Act ‘‘resets’’ the
inflation calculations by excluding prior
inflationary adjustments under the
Inflation Adjustment Act. To do this,
the 2015 Act requires agencies to
identify, for each penalty, the year that
Congress originally enacted the
maximum penalty level/range of
minimum and maximum penalty levels
or the year that the agency last adjusted
the penalty amount other than to
pursuant to the Inflation Adjustment
Act, and the corresponding penalty
amount(s). The 2015 Act then requires
agencies to perform an initial ‘‘catchup’’ adjustment, using the original
amounts of civil penalties as a baseline,
so that the 2016 penalty levels are equal,
in real terms, to the penalty amounts as
they were originally established.
Pursuant to the 2015 Act, DHS
undertook a review of the civil penalties
that DHS and its components
administer. This rule sets forth the
initial ‘‘catch-up’’ adjustment for all
civil penalties that DHS and its
components administer. For each
component, we have provided a table
showing how DHS is increasing the
penalties pursuant to the 2015 Act. The
table contains the following
information:
• In the first column (penalty name),
we provide a description of the penalty.
• In the second column (citation), we
provide the statutory cite from the
United States Code (U.S.C.) and the
regulatory cite from the Code of Federal
Regulations (CFR).
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• In the third column (current
penalty), we list the existing penalty in
effect on November 2, 2015.
• In the fourth column (baseline
penalty (year)), we provide the amount
and year of the penalty as enacted by
Congress or as last changed through a
mechanism other than pursuant to the
Inflation Adjustment Act, whichever is
later.
• In the fifth column (multiplier), we
list the multiplier used to adjust the
penalty. The multiplier is determined
by the year of enactment or last
adjustment of the penalty. The
multiplier is based upon the Consumer
Price Index (CPI–U) for the month of
October 2015, not seasonally adjusted.2
• In the sixth column (preliminary
new penalty), we list the amount
obtained by multiplying the Baseline
Penalty from column 4 with the
Multiplier from column 5. This amount
will be the final penalty, if, in
accordance with the 2015 Act, this level
does not increase penalty levels by more
than 150 percent of the corresponding
levels in effect on November 2, 2015.3
• In the seventh column, (adjusted
new penalty), we provide the final
number for the penalty. To derive this
number, we compare the preliminary
new penalty with the current penalty
from column 3. The adjusted new
penalty is the lesser of either the
preliminary new penalty or an amount
equal to 150 percent more than the
current penalty.
Additionally, where applicable, we
have also made conforming edits to
regulatory text.
II. Adjustments by Component
In the following sections, we briefly
describe the civil penalties that DHS
and its components assess. We describe
the nature of the penalties and discuss
relevant authorities. We include tables
at the end of each section, which list the
individual adjustments for each penalty.
We also include discussions where we
believe further explanation is helpful.
A. National Protection and Programs
Directorate
The National Protection and Programs
Directorate (NPPD) administers only one
civil penalty that the 2015 Act affects.
This penalty assesses fines for violations
of the Chemical Facility Anti-Terrorism
Standards (CFATS), a program which
regulates the security of chemical
facilities that, in the discretion of the
Secretary, present high levels of security
risk. The CFATS program was originally
established in 2007, pursuant to section
550 of the Department of Homeland
Security Appropriations Act of 2007
(Pub. L. 109–295),4 and is currently
located in part 27 of Title 6 of the CFR.
One question that arose is how to
calculate the baseline date of the CFATS
penalty, which is $25,000 per day. The
question arose because the 2007
legislation, which established CFATS,
did not create a new penalty provision,
but rather referenced an older one: 5
Section 70119(a) of Title 46. The
Maritime Transportation Security Act
(MTSA) (Pub. L. 107–295) was enacted
in 2002 and established this penalty
provision. For that reason, arguments
could be made that we should index the
$25,000 penalty by the 2002 CPI value
(the date the MTSA penalty was
established) or the 2007 CPI value (the
date the CFATS program was enacted).
The difference between these numbers
is material—indexing the $25,000
penalty by the 2002 CPI value would
yield a current penalty of $32,796 per
day, while indexing the penalty by the
2007 CPI value would yield a current
penalty of only $28,458 per day.
Because the CFATS legislation did
not create a new civil penalty, but rather
simply referenced the existing MTSA
penalty, we believe the intent of
Congress was that violators of either
MTSA or CFATS would face identical
penalties. For this reason, we have
considered the ‘‘baseline’’ year for the
CFATS penalty to be 2002 rather than
2007, and have increased the penalty by
the multiplier appropriate for that year,
as shown in Table 1 below.
TABLE 1—CFATS CIVIL PENALTY ADJUSTMENT
Penalty name
Citation
Current penalty
Baseline penalty *
(year)
Multiplier **
Preliminary
new penalty
[multiplier ×
baseline
penalty]
Penalty for non-compliance with CFATS
regulations.
6 U.S.C. 624(b)(1); ....
6 CFR 27.300(b)(3) ...
$25,000 per day ........
$25,000 (2002) ..........
1.31185
$32,796 .......
Adjusted new
penalty
[increase
capped at
150% more
than current
penalty]
$32,796
* The amount of the penalty and the year of when the penalty was established or last adjusted in statute or regulation other than pursuant to
the Inflation Adjustment Act of 1990.
** OMB, Implementation of the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, Table A: 2016 Civil Monetary Penalty Catch-Up Adjustment Multiplier by Calendar Year, February 24, 2016.
B. U.S. Customs and Border Protection
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U.S. Customs and Border Protection
(CBP) assesses civil monetary penalties
for certain violations of title 8 of the
CFR regarding the Immigration and
Nationality Act of 1952 (Pub. L. 82–414,
2 OMB, Implementation of the Federal Civil
Penalties Inflation Adjustment Act Improvements
Act of 2015, Table A, 24 February 2016. https://
www.whitehouse.gov/sites/default/files/omb/
memoranda/2016/m-16-06.pdf.
3 The 150 percent limitation is on the amount of
the increase; therefore, the adjusted penalty levels
are up to 250 percent of the levels in effect on
November 2, 2015.
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as amended) (INA). The INA contains
provisions that impose penalties on
persons, including carriers and aliens,
who violate specified provisions of the
INA. For example, section 231(g) of the
INA, codified at 8 U.S.C. 1221(g),
requires that a carrier shall be fined
$1,000 for each person for whom
manifest information is not provided.
CBP’s relevant penalty provisions are
located in numerous sections of the INA
(see list below), however CBP has
4 Section 550 has since been superseded by the
Protecting and Securing Chemical Facilities from
Terrorist Attacks Act of 2014 (Pub. L. 113–254). The
new legislation codified the statutory authority for
the CFATS program within Title XXI of the
Homeland Security Act of 2002, as amended. See
6 U.S.C. 621 et seq.
5 Section 550(d) of the Department of Homeland
Security Appropriations Act of 2007 set forth the
CFATS penalty, providing that ‘‘[a]ny person who
violates an order issued under this section shall be
liable for a civil penalty under section 70119(a) of
title 46, United States Code. After promulgation of
the Protecting and Securing Chemical Facilities
from Terrorist Attacks Act of 2014, the relevant
U.S.C. citation is 6 U.S.C. 624(b)(1), which still
refers to the civil penalty section in 46 U.S.C.
70119(a).
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Federal Register / Vol. 81, No. 127 / Friday, July 1, 2016 / Rules and Regulations
enumerated these penalties in
regulation in one location—in 8 CFR
280.53. Below is the list of penalty
provisions in the INA:
• Section 231(g), Penalties for noncompliance with arrival and departure
manifest requirements for passengers,
crewmembers, or occupants transported
on commercial vessels or aircraft
arriving to or departing from the United
States.
• Section 234, Penalties for noncompliance with landing requirements
at designated ports of entry for aircraft
transporting aliens.
• Section 240B(d), Penalties for
failure to depart voluntarily.
• Section 243(c)(1)(A), Penalties for
violations of removal orders relating to
aliens transported on vessels or aircraft
under section 241(d) or for costs
associated with removal under section
241(e).
• Section 243(c)(1)(B), Penalties for
failure to remove alien stowaways under
section 241(d)(2).
• Section 251(d), Penalties for failure
to report an illegal landing or desertion
of alien crewmen, and for each alien not
reported on arrival or departure
manifest or lists required in accordance
with section 251 and penalties for use
of alien crewmen for longshore work in
violation of section 251(d).
• Section 254(a), Penalties for failure
to control, detain, or remove alien
crewmen.
• Section 255, Penalties for
employment on passenger vessels of
aliens afflicted with certain disabilities.
• Section 256, Penalties for discharge
of alien crewmen.
• Section 257, Penalties for bringing
into the United States alien crewmen
with intent to evade immigration laws.
• Section 271(a), Penalties for failure
to prevent the unauthorized landing of
aliens.
• Section 272(a), Penalties for
bringing to the United States aliens
subject to denial of admission on a
health-related ground.
• Section 273(b), Penalties for
bringing to the United States aliens
without required documentation.
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• Section 274D, Penalties for failure
to depart.
• Section 275(b), Penalties for
improper entry.
We note, for reference, that CBP also
assesses certain civil monetary penalties
for customs violations under title 19 of
the CFR. CBP assesses those penalties
under the Tariff Act of 1930, as
amended, but as we discussed above,
the 2015 Act specifically exempts Tariff
Act penalties from the inflation
adjustment requirements in the 2015
Act. For that reason, we have not listed
those title 19 penalties in the below
table of CBP penalty adjustments.
Under this rule, the current penalties
continue to be applicable with regard to
violations that occurred on or before
November 2, 2015, the date of
enactment of the 2015 Act. In Table 2
below, we provide the penalties that we
are adjusting in accordance with the
2015 Act, where the associated
violations occurred after November 2,
2015.
TABLE 2—U.S. CUSTOMS AND BORDER PROTECTION CIVIL PENALTIES ADJUSTMENTS
Penalty name
Citation
Current penalty
Baseline penalty *
(year)
Multiplier **
Preliminary
new penalty
[multiplier ×
baseline
penalty]
Adjusted new
penalty
[increase
capped at
150% more
than current
penalty]
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Penalties for noncompliance with arrival and departure
manifest requirements for passengers, crewmembers, or occupants transported
on commercial vessels or aircraft arriving to or departing from the United
States.
Penalties for noncompliance with
landing requirements at designated ports of
entry for aircraft
transporting aliens.
Penalties for failure to
depart voluntarily.
8 U.S.C. 1221(g) ....... $1,100 .......................
8 CFR 280.53(c)(1)
(INA section 231(g)).
$1,000 (2002) ............
1.31185
$1,312 .........
$1,312
8 U.S.C. 1224 ...........
8 CFR 280.53(c)(2)
(INA section 234).
$3,200 .......................
$2,000 (1990) ............
1.78156
$3,563 .........
$3,563
$1,100–$5,500 ..........
$1,000–$5,000 (1996)
1.50245
$1,502–
$7,512.
$1,502–
$7,512
Penalties for violations of removal orders relating to
aliens transported
on vessels or aircraft under section
241(d) of the INA,
or for costs associated with removal
under section
241(e) of the INA.
8 U.S.C. 1229c(d) .....
8 CFR 280.53(c)(3)
(INA section
240B(d)).
8 U.S.C.
1253(c)(1)(A).
8 CFR 280.53(c)(4)
(INA section
243(c)(1)(A)).
$2,200 .......................
$2,000 (1996) ............
1.50245
$3,005 .........
$3,005
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TABLE 2—U.S. CUSTOMS AND BORDER PROTECTION CIVIL PENALTIES ADJUSTMENTS—Continued
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Penalty name
Penalties for failure to
remove alien stowaways under section 241(d)(2) of the
INA.
Penalties for failure to
report an illegal
landing or desertion
of alien crewmen,
and for each alien
not reported on arrival or departure
manifest or lists required in accordance with section
251 of the INA.
Penalties for use of
alien crewmen for
longshore work in
violation of section
251(d) of the INA.
Penalties for failure to
control, detain, or
remove alien crewmen.
Penalties for employment on passenger
vessels of aliens afflicted with certain
disabilities.
Penalties for discharge of alien
crewmen.
Penalties for bringing
into the United
States alien crewmen with intent to
evade immigration
laws.
Penalties for failure to
prevent the unauthorized landing of
aliens.
Penalties for bringing
to the United
States aliens subject to denial of admission on a
health-related
ground.
Penalties for bringing
to the United
States aliens without required documentation.
Penalties for failure to
depart.
Penalties for improper
entry.
Citation
Current penalty
Baseline penalty *
(year)
Multiplier **
Preliminary
new penalty
[multiplier ×
baseline
penalty]
Adjusted new
penalty
[increase
capped at
150% more
than current
penalty]
8 U.S.C.
$5,500 .......................
1253(c)(1)(B).
8 CFR 280.53(c)(4)
(INA section
243(c)(1)(B)).
8 U.S.C. 1281(d) ....... $320 for each alien ...
8 CFR 280.53(c)(5)
(INA section 251(d)).
$5,000 (1996) ............
1.50245
$7,512 .........
$7,512
$200 for each alien
(1990).
1.78156
$356 for
each alien.
$356 for
each alien
8 U.S.C. 1281(d) ....... $7,500 .......................
8 CFR 280.53(c)(5)
(INA section 251(d)).
$5,000 (1990) ............
1.78156
$8,908 .........
$8,908
8 U.S.C. 1284(a) ....... $750–$4,300 .............
8 CFR 280.53(c)(6)
(INA section 254(a)).
$500–$3000 (1990) ...
1.78156
$891–$5,345
$891–$5,345
8 U.S.C. 1285 ...........
8 CFR 280.53(c)(7)
(INA section 255).
$1,100 .......................
$1,000 (1990) ............
1.78156
$1,782 .........
$1,782
8 U.S.C. 1286 ...........
8 CFR 280.53(c)(8)
(INA section 256).
8 U.S.C. 1287 ...........
8 CFR 280.53(c)(9)
(INA section 257).
$1,500–$4,300 ..........
$1,500–$3,000 (1990)
1.78156
$2,672–
$5,345.
$2,672–
$5,345
$16,000 .....................
$10,000 (1990) ..........
1.78156
$17,816 .......
$17,816
8 U.S.C. § 1321(a) .... $4,300 .......................
8 CFR 280.53(c)(10)
(INA section 271(a)).
$3,000 (1990) ............
1.78156
$5,345 .........
$5,345
8 U.S.C. § 1322(a) .... $4,300 .......................
8 CFR 280.53(c)(11)
(INA section 272(a)).
$3,000 (1990) ............
1.78156
$5,345 .........
$5,345
8 U.S.C. § 1323(b) ..... $4,300 .......................
8 CFR 280.53(c)(12)
(INA section 273(b)).
$3,000 (1990) ............
1.78156
$5,345 .........
$5,345
8 U.S.C. 1324d ......... $550 ..........................
8 CFR 280.53(c)(13)
(INA section 274D).
8 U.S.C. § 1325(b) .... $55–275 ....................
8 CFR 280.53(c)(14)
(INA section 275(b)).
$500 (1996) ...............
1.50245
$751 ............
$751
$50–$250 (1996) .......
1.50245
$75–$376 ....
$75–$376
* The amount of the penalty and the year of when the penalty was established or last adjusted in statute or regulation other than pursuant to
the Inflation Adjustment Act of 1990.
** OMB, Implementation of the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, Table A: 2016 Civil Monetary Penalty Catch-Up Adjustment Multiplier by Calendar Year, February 24, 2016.
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C. Immigration and Customs
Enforcement
Immigration and Customs
Enforcement (ICE) assesses civil
monetary penalties for certain
employment-related violations arising
from the INA. ICE’s civil penalties are
located in title 8 of the CFR.
There are three different sections in
the INA that impose civil monetary
penalties for violations of the laws that
relate to employment actions (sections
274A, 274B, and 274C). ICE has primary
enforcement responsibilities for two of
these civil penalty provisions (sections
274A and 274C), and the Department of
Justice (DOJ) has enforcement
responsibilities for one of these civil
penalty provisions (section 274B). The
INA, in sections 274A and 274C,
provides for imposition of civil
penalties for various specified unlawful
acts pertaining to the employment
eligibility verification process (Form
I–9, Employment Eligibility
Verification) and the employment of
unauthorized aliens. These penalties
cover, among other things, the knowing
employment of unauthorized aliens and
the failure to comply with the
employment verification requirements
relating to completion of the Form I–9.
ICE assesses and imposes civil monetary
penalties with respect to employer
sanctions under section 274A of the INA
and 8 CFR part 274a. Similarly, ICE
imposes civil penalties for specified
actions relating to immigration-related
document fraud under section 274C of
the INA and 8 CFR part 270. We note
that while ICE is updating the penalty
amounts in 8 CFR part 270, ICE has not
assessed these penalties in recent years.
Because both DHS and DOJ
implement the three employmentrelated penalty sections in the INA, both
Departments are codifying the civil
penalty amounts in their implementing
regulations. Pursuant to the authority of
the Inflation Adjustment Act and before
the creation of DHS, DOJ previously
adjusted the civil monetary penalties for
inflation, increasing the specific
amounts stated in sections 274A, 274B,
and 274C of the INA. See 64 FR 7066
(Feb. 12, 1999) and 64 FR 47099 (Aug.
30, 1999). Both agencies issued a joint
rulemaking to update the penalties in
2008. See 73 FR 10130 (Feb. 26, 2008).
Today, as in 2008, the division of
responsibilities between the Secretary of
42991
Homeland Security and the Attorney
General requires action by both
Departments in order to effectuate a
further adjustment of the civil penalties.
The minimum and maximum civil
penalty amounts for each violation will
necessarily be the same whether DHS or
DOJ imposes the penalty. See 8 CFR
274a.10 and 270.3; 28 CFR 68.52(c) and
(e).
In this rule, DHS is amending 8 CFR
parts 270 and 274a of the DHS
regulations to incorporate the revised
schedule of civil penalties, as adjusted
for inflation according to the statutory
formula described above. We note that
DOJ is similarly revising regulations in
28 CFR part 68 (which correspond to the
penalties in 8 CFR part 270) in a
separate civil penalty adjustment
rulemaking.
Under this rule, the current penalties
continue to be applicable with regard to
violations that occurred on or before
November 2, 2015, the date of
enactment of the 2015 Act. Table 3
below lays out the changes to the
penalties, where the associated
violations occurred after November 2,
2015.
TABLE 3—IMMIGRATION AND CUSTOMS ENFORCEMENT CIVIL PENALTIES ADJUSTMENTS
Baseline
penalty *
(year)
Preliminary new
penalty
[multiplier ×
baseline
penalty]
Adjusted new
penalty
[increase capped
at 150% more
than current
penalty]
Citation
Civil penalties for violation of Immigration
and Naturalization Act (INA) sections
274C(a)(1)–(a)(4), penalty for first offense.
Civil penalties for violation of Immigration
and Naturalization Act (INA) sections
274C(a)(5)–(a)(6), penalty for first offense.
Civil penalties for violation of Immigration
and Naturalization Act (INA) sections
274C(a)(1)–(a)(4), penalty for subsequent offenses.
Civil penalties for violation of Immigration
and Naturalization Act (INA) sections
274C(a)(5)–(a)(6), penalty for subsequent offenses.
Violation/prohibition of indemnity bonds .....
Civil penalties for knowingly hiring, recruiting, referral, or retention of unauthorized
aliens—Penalty for first offense (per unauthorized alien).
Penalty for second offense (per unauthorized alien).
Penalty for third or subsequent offense
(per unauthorized alien).
Civil penalties for I–9 paperwork violations
asabaliauskas on DSK3SPTVN1PROD with RULES
Penalty name
Current
penalty
8 CFR 270.3(b)(1)(ii)(A) ...
$375–$3,200 .....
$250–$2,000
(1990)
1.78156
$445–$3,563 .....
$445–$3,563
8 CFR 270.3(b)(1)(ii)(B) ...
$275–$2,200 .....
$250–$2,000
(1996)
1.50245
$376–$3,005 .....
$376–$3,005
8 CFR 270.3(b)(1)(ii)(C) ...
$3,200–$6,500 ..
$2,000–$5,000
(1990)
1.78156
$3,563–$8,908 ..
$3,563–$8,908
8 CFR 270.3(b)(1)(ii)(D) ...
$2,200–$5,500 ..
$2,000–$5,000
(1996)
1.50245
$3,005–$7,512 ..
$3,005–$7,512
8 CFR 274a.8(b) ...............
8 CFR 274a.10(b)(1)(ii)(A)
$1,100 ...............
$375–$3,200 .....
$1,000 (1986)
$250–$2,000
(1986)
2.15628
2.15628
$2,156 ...............
$539–$4,313 .....
$2,156
$539–$4,313
8 CFR 274a.10(b)(1)(ii)(B)
$3,200–$6,500 ..
2.15628
$4,313–$10,781
$4,313–$10,781
8 CFR 274a.10(b)(1)(ii)(C)
$4,300–$16,000
2.15628
$6,469–$21,563
$6,469–$21,563
8 CFR 274a.10(b)(2) ........
$110–$1,100 .....
$2,000–$5,000
(1986)
$3,000–$10,000
(1986)
$100–$1,000
(1986)
2.15628
$216–$2,156 .....
$216–$2,156
Multiplier **
* The amount of the penalty and the year of when the penalty was established or last adjusted in statute or regulation other than pursuant to the Inflation Adjustment Act of 1990.
** OMB, Implementation of the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, Table A: 2016 Civil Monetary Penalty Catch-Up Adjustment Multiplier by Calendar Year, February 24, 2016.
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42992
Federal Register / Vol. 81, No. 127 / Friday, July 1, 2016 / Rules and Regulations
D. U.S. Coast Guard
The Coast Guard is adjusting for
inflation the penalties in the table in
part 27 of title 33 of the CFR. That table
identifies the statutes that provide the
Coast Guard with civil monetary penalty
authority and sets out the inflationadjusted maximum penalty that the
Coast Guard may impose pursuant to
each statutory provision. The new table
in this regulation provides the current
maximum penalty for violations that
occurred after November 2, 2015. The
penalties in effect for violations on or
prior to November 2, 2015 can be found
in prior CFR versions that pertain to the
date in which the violation occurred.
Since the Coast Guard had adjusted the
table in part 27 for inflation on several
occasions, not just one table can be used
for all violations on or before November
2, 2015.
The Coast Guard is authorized to
assess close to 150 penalties involving
maritime safety and security and
environmental stewardship that are
critical to the continued success of
Coast Guard missions. Various statutes
in Title 14, 16, 19, 33, 42, 46, and 49
of the U.S.C. authorize these penalties.
Titles 33 and 46 authorize the vast
majority of these penalties as these
statutes deal with navigation, navigable
waters, and shipping.
Under title 33 of the U.S.C., the Coast
Guard assesses penalties with respect to
bridges, marine events, pollution
prevention, oil discharges, sanitation,
international navigation, and other
environmental stewardship
responsibilities. Most notably, the Coast
Guard has express joint authority with
the Environmental Protection Agency
(EPA) to assess penalties in order to
enforce the Federal Water Pollution
Control Act (Clean Water Act) (CWA), as
amended by the Oil Pollution Act of
1990 (OPA 90) (33 U.S.C. 1321 et seq.),
and MARPOL Protocol, Annex VI (33
U.S.C. 1908). Penalties under the CWA
and OPA 90 relate to the discharge of oil
or a hazardous substance from a vessel
or facility into or upon the navigable
waters of the United States, adjoining
shoreline, or into or upon the waters of
the contiguous zone. Both agencies may
assess penalties for discharges of oil or
hazardous substances in connection
with activities under the Outer
Continental Shelf Lands Act or the
Deepwater Port Act. Further, both
agencies may assess penalties if a
person fails to take mitigation or
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removal action, or fails to comply with
an order of the Federal On-Scene
Coordinator. The Coast Guard and EPA
delineate enforcement boundaries
within each region. Under the Act to
Prevent Pollution from Ships (APPS) (33
U.S.C. 1901 et seq.), both of these
agencies may assess penalties for any
violation of Annex VI, including but not
limited to the carriage and use of lowsulfur fuel oil, and vessel engine and
emission requirements. While the EPA
focuses primarily on engine permit
requirements and shoreside facility
compliance, the Coast Guard may refer
other matters to the EPA for
enforcement in accordance with
established protocol.
Under title 46 of the U.S.C., the Coast
Guard assesses penalties with respect to
vessel inspections, vessel operations,
manning and training on vessels, marine
casualty reporting, drug testing,
pilotage, vessel identification, and other
aspects of personnel and operations
involved in the shipping industry. The
majority of civil penalties under this
title relate to vessel compliance, which
includes general inspection
requirements, crew requirements and
limitations, and operational
requirements of the vessel to engage in
a commercial enterprise.
Beyond title 33 and title 46 of the
U.S.C., the Coast Guard assesses
penalties related to the organization and
management of the Coast Guard, aquatic
species conservation, obstruction of
revenue, and hazardous substances and
materials. Most notably, the Coast Guard
has joint authority with EPA under title
42 of the U.S.C. to assess penalties for
hazardous substances. Under the
Comprehensive Environmental
Response, Compensation and Liability
Act of 1980 (CERCLA) (42 U.S.C. 9601
et seq.), the Coast Guard may assess
penalties for the failure to meet the
notification requirements, failure to
provide evidence of financial
responsibility, or failure to follow an
administrative order, among other
violations. The Coast Guard has the
primary responsibility to enforce the
laws on navigational waterways.
As evidenced by the table below, the
current inflation adjustment imposes a
substantial change in many of the civil
penalties administered by the Coast
Guard. Part of the reason for the changes
are that the enactment dates for
penalties assessed by the Coast Guard
vary widely, spanning from 1935 to
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2014. Furthermore, the penalty amounts
vary widely, spanning up to $250,000.
Under the 2015 Act, and as mentioned
elsewhere in this preamble, Congress
has created a straightforward method for
calculating the amount of the inflation
allowable for each penalty.
While the increases due to inflation
are, for some penalties, substantial, not
all penalties will be equivalent to their
original value in real terms. Pursuant to
the 2015 Act, the Coast Guard cannot
increase any penalty by more than
150% of the previously adjusted
penalty. As the Coast Guard last
adjusted penalties for inflation on June
2, 2011 (76 FR 31831), it cannot adjust
any penalty by more than 150% of the
amount set by the final rule of June 2,
2011. After the Coast Guard used the
new method and applied the 150% cap,
they increased the penalties by an
amount of 3% to 150% above the last
adjustment. Of those penalties that the
Coast Guard is increasing in this
rulemaking, approximately 23 of the
penalties are increasing more than
100% from their 2011 value, and the
2015 Act limits the amount that they
can increase to 150% of the 2011 value.
All of the penalties that Congress or the
Coast Guard enacted prior to 1980 are
increasing more than 100%. This is due
to the great difference between the CPI–
U level from the years enacted and the
CPI–U from October 2015.
There were three penalties that
decreased in value from their previous
amounts. These penalties (codified in 46
U.S.C. App. 1505(a)(2), 46 U.S.C. App.
1805(c)(2), and 42 U.S.C. 12151(c))
showed significant decreases. These
changes occurred because Congress
recodified these penalties in 2006 after
the Coast Guard adjusted them for
inflation. Using the 2006 recodification
as the new statutory baseline, the
penalty amounts declined significantly
in this rulemaking from their current
values.
Finally, we are adding several
penalties to the existing table in 33 CFR
27.3 that had been inadvertently
omitted from regulatory text. These
penalties include a penalty for
intentional interference with a broadcast
(codified at 14 U.S.C. 88(e)), a clean
hulls penalty for recreational and
commercial vessels (33 U.S.C. 3852(c)),
vessel documentation relating to mobile
offshore drilling units (46 U.S.C.
12151(a)(2), and hazardous material
training penalties (49 U.S.C. 5123(a)(3)).
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TABLE 4—U.S. COAST GUARD CIVIL PENALTIES ADJUSTMENTS
Citation
Saving Life and Property ............................
14 U.S.C. 88(c) .................
$10,000 .............
Saving Life and Property; Intentional Interference with Broadcast.
14 U.S.C. 88(e) ................
1,000 .................
Confidentiality of Medical Quality Assurance Records (first offense).
14 U.S.C. 645(i); 33 CFR
27.3.
4,000 .................
Confidentiality of Medical Quality Assurance Records (subsequent offenses).
14 U.S.C. 645(i); 33 CFR
27.3.
30,000 ...............
Aquatic Nuisance Species in Waters of the
United States.
16 U.S.C. 4711(g)(1); 33
CFR 27.3.
35,000 ...............
Obstruction of Revenue Officers by Masters of Vessels.
Obstruction of Revenue Officers by Masters of Vessels—Minimum Penalty.
Failure to Stop Vessel When Directed;
Master, Owner, Operator or Person in
Charge.
Failure to Stop Vessel When Directed;
Master, Owner, Operator or Person in
Charge—Minimum Penalty.
Anchorage Ground/Harbor Regulations
General.
19 U.S.C. 70; 33 CFR
27.3.
19 U.S.C. 70; 33 CFR
27.3.
19 U.S.C. 1581(d) ............
3,000 .................
19 U.S.C. 1581(d) ............
1,000 .................
33 U.S.C. 471; 33 CFR
27.3.
110 ....................
Anchorage Ground/Harbor Regulations St.
Mary’s river.
33 U.S.C. 474; 33 CFR
27.3.
300 ....................
Bridges/Failure to Comply with Regulations
33 U.S.C. 495(b); 33 CFR
27.3.
25,000 ...............
Bridges/Drawbridges ...................................
33 U.S.C. 499(c); 33 CFR
27.3.
25,000 ...............
Bridges/Failure to Alter Bridge Obstructing
Navigation.
33 U.S.C. 502(c); 33 CFR
27.3.
25,000 ...............
Bridges/Maintenance and Operation ..........
33 U.S.C. 533(b); 33 CFR
27.3.
25,000 ...............
Bridge to Bridge Communication; Master,
Person in Charge or Pilot.
33 U.S.C. 1208(a); 33
CFR 27.3.
800 ....................
Bridge to Bridge Communication; Vessel ...
33 U.S.C. 1208(b); 33
CFR 27.3.
800 ....................
PWSA Regulations .....................................
33 U.S.C. 1232(a); 33
CFR 27.3.
40,000 ...............
Vessel Navigation: Regattas or Marine Parades; Unlicensed Person in Charge.
asabaliauskas on DSK3SPTVN1PROD with RULES
Penalty name
Current
penalty
33 U.S.C. 1236(b); 33
CFR 27.3.
8,000 .................
Vessel Navigation: Regattas or Marine Parades; Owner Onboard Vessel.
33 U.S.C. 1236(c); 33
CFR 27.3.
8,000 .................
Vessel Navigation: Regattas or Marine Parades; Other Persons.
33 U.S.C. 1236(d); 33
CFR 27.3.
3,000 .................
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700 ....................
5,000 .................
Fmt 4700
Sfmt 4700
Baseline
penalty *
(year)
(statutory citation)
$10,000 .............
(2014)
(Pub. L. 113–
281)
$1,000 ...............
(2012)
(Pub. L. 112–
213)
$3,000 ...............
(1992)
(Pub. L. 102–
587)
$20,000 .............
(1992)
(Pub. L. 102–
587)
$25,000 .............
(1996)
(Pub. L. 104–
332)
$2,000 ...............
(1935)
$500 ..................
(1935)
$5,000 ...............
(1930)
Multiplier **
Preliminary new
penalty
[multiplier ×
baseline
penalty]
Adjusted new
penalty
[increase capped
at 150% more
than current
penalty]
1.00171
$10,017 .............
$10,017
1.02819
1,028 .................
1,028
1.67728
5,032 .................
5,032
1.67728
33,546 ...............
33,546
1.50245
37,561 ...............
37,561
17.36044
34,721 ...............
7,500
17.36044
8,680 .................
1,750
N/A
N/A ....................
*** 5,000
$1,000 ...............
(1930)
N/A
N/A ....................
*** 1,000
$10,000 .............
(2010)
(Pub. L. 111–
281)
$200 ..................
(1946)
(11 FR 7875)
$25,000 .............
(2008)
(Pub. L. 108–
293)
$25,000 .............
(2008)
(Pub. L. 108–
293)
$25,000 .............
(2008)
(Pub. L. 108–
293)
$25,000 .............
(2008)
(Pub. L. 108–
293)
$500 ..................
(1971)
(Pub. L. 92–63)
$500 ..................
(1971)
(Pub. L. 92–63)
$25,000 .............
(1978)
(Pub. L. 95–474)
$5,000 ...............
(1990)
(Pub. L. 101–
380)
$5,000 ...............
(1990)
(Pub. L. 101–
380)
$2,500 ...............
(1990)
(Pub. L. 101–
380)
1.08745
10,875 ...............
10,875
11.43452
2,287 .................
750
1.09819
27,455 ...............
27,455
1.09819
27,455 ...............
27,455
1.09819
27,455 ...............
27,455
1.09819
27,455 ...............
27,455
5.81511
2,908 .................
2,000
5.81511
2,908 .................
2,000
3.54453
88,613 ...............
88,613
1.78156
8,908 .................
8,908
1.78156
8,908 .................
8,908
1.78156
4,454 .................
4,454
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Federal Register / Vol. 81, No. 127 / Friday, July 1, 2016 / Rules and Regulations
TABLE 4—U.S. COAST GUARD CIVIL PENALTIES ADJUSTMENTS—Continued
Citation
Current
penalty
Discharges
33 U.S.C. 1321(b)(6)(B)(i);
33 CFR 27.3.
15,000 ...............
Oil/Hazardous Substances: Discharges
(Class I total under paragraph).
33 U.S.C. 1321(b)(6)(B)(i);
33 CFR 27.3.
40,000 ...............
Oil/Hazardous Substances: Discharges
(Class II per day of violation).
33 U.S.C.
1321(b)(6)(B)(ii); 33
CFR 27.3.
15,000 ...............
Oil/Hazardous Substances: Discharges
(Class II total under paragraph).
33 U.S.C.
1321(b)(6)(B)(ii); 33
CFR 27.3.
190,000 .............
Oil/Hazardous Substances: Discharges
(per day of violation) Judicial Assessment.
33 U.S.C. 1321(b)(7)(A);
33 CFR 27.3.
40,000 ...............
Oil/Hazardous Substances: Discharges
(per barrel of oil or unit discharged) Judicial Assessment.
33 U.S.C. 1321(b)(7)(A);
33 CFR 27.3.
1,100 .................
Oil/Hazardous Substances: Failure to
Carry Out Removal/Comply With Order
(Judicial Assessment).
33 U.S.C. 1321(b)(7)(B);
33 CFR 27.3.
40,000 ...............
Oil/Hazardous Substances: Failure to
Comply with Regulation Issued Under
1321(j) (Judicial Assessment).
33 U.S.C. 1321(b)(7)(C);
33 CFR 27.3.
40,000 ...............
Oil/Hazardous Substances: Discharges,
Gross Negligence (per barrel of oil or
unit discharged) Judicial Assessment.
33 U.S.C. 1321(b)(7)(D);
33 CFR 27.3.
4,000 .................
Oil/Hazardous Substances: Discharges,
Gross Negligence—Minimum Penalty
(Judicial Assessment).
33 U.S.C. 1321(b)(7)(D);
33 CFR 27.3.
130,000 .............
Marine Sanitation Devices; Operating ........
33 U.S.C. 1322(j); 33 CFR
27.3.
3,000 .................
Marine Sanitation Devices; Sale or Manufacture.
33 U.S.C. 1322(j); 33 CFR
27.3.
8,000 .................
International Navigation Rules; Operator ...
33 U.S.C. 1608(a); 33
CFR 27.3.
8,000 .................
International Navigation Rules; Vessel .......
33 U.S.C. 1608(b); 33
CFR 27.3.
8,000 .................
Pollution from Ships; General .....................
33 U.S.C. 1908(b)(1); 33
CFR 27.3.
40,000 ...............
Pollution from Ships; False Statement .......
33 U.S.C. 1908(b)(1); 33
CFR 27.3.
8,000 .................
Inland Navigation Rules; Operator .............
33 U.S.C. 2072(a); 33
CFR 27.3.
8,000 .................
Inland Navigation Rules; Vessel .................
33 U.S.C. 2072(b); 33
CFR 27.3.
8,000 .................
Shore Protection; General ..........................
33 U.S.C. 2609(a); 33
CFR 27.3.
40,000 ...............
Shore Protection; Operating Without Permit.
33 U.S.C. 2609(b); 33
CFR 27.3.
15,000 ...............
Oil Pollution Liability and Compensation ....
33 U.S.C. 2716a(a); 33
CFR 27.3.
40,000 ...............
Penalty name
asabaliauskas on DSK3SPTVN1PROD with RULES
Oil/Hazardous Substances:
(Class I per violation).
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Baseline
penalty *
(year)
(statutory citation)
Multiplier **
$10,000 .............
(1990)
(Pub. L. 101–
380)
$25,000 .............
(1990)
(Pub. L. 101–
380)
$10,000 .............
(1990)
(Pub. L. 101–
380)
$125,000 ...........
(1990)
(Pub. L. 101–
380)
$25,000 .............
(1990)
(Pub. L. 101–
380)
$1,000 ...............
(1990)
(Pub. L. 101–
380)
$25,000 .............
(1990)
(Pub. L. 101–
380)
$25,000 .............
(1990)
(Pub. L. 101–
380)
$3,000 ...............
(1990)
(Pub. L. 101–
380)
$100,000 ...........
(1990)
(Pub. L. 101–
380)
$2,000 ...............
(1972)
(Pub. L. 92–500)
$5,000 ...............
(1972)
(Pub. L. 92–500)
$5,000 ...............
(1980)
(Pub. L. 96–591)
$5,000 ...............
(1980)
(Pub. L. 96–591)
$25,000 .............
(1980)
(Pub. L. 96–478)
$5,000 ...............
(1980)
(Pub. L. 96–478)
$5,000 ...............
(1980)
(Pub. L. 96–591)
$5,000 ...............
(1980)
(Pub. L. 96–591)
$25,000 .............
(1988)
(Pub. L. 100–
688)
$10,000 .............
(1988)
(Pub. L. 100–
688)
$25,000 .............
(1990)
(Pub. L. 101–
380)
E:\FR\FM\01JYR1.SGM
Preliminary new
penalty
[multiplier ×
baseline
penalty]
Adjusted new
penalty
[increase capped
at 150% more
than current
penalty]
1.78156
17,816 ...............
17,816
1.78156
44,539 ...............
44,539
1.78156
17,816 ...............
17,816
1.78156
222,695 .............
222,695
1.78156
44,539 ...............
44,539
1.78156
1,782 .................
1,782
1.78156
44,539 ...............
44,539
1.78156
44,539 ...............
44,539
1.78156
5,345 .................
5,345
1.78156
178,156 .............
178,156
5.62265
11,245 ...............
7,500
5.62265
28,113 ...............
20,000
2.80469
14,023 ...............
14,023
2.80469
14,023 ...............
14,023
2.80469
70,117 ...............
70,117
2.80469
14,023 ...............
14,023
2.80469
14,023 ...............
14,023
2.80469
14,023 ...............
14,023
1.97869
49,467 ...............
49,467
1.97869
19,787 ...............
19,787
1.78156
44,539 ...............
44,539
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TABLE 4—U.S. COAST GUARD CIVIL PENALTIES ADJUSTMENTS—Continued
Penalty name
Citation
Current
penalty
33 U.S.C. 3852(a)(1)(A);
33 CFR 27.3.
37,500 ...............
Clean Hulls—related to false statements ...
33 U.S.C. 3852(a)(1)(A);
33 CFR 27.3.
50,000 ...............
Clean Hulls—Recreational Vessel ..............
33 U.S.C. 3852(c); 33
CFR 27.3.
5,000 .................
Hazardous Substances, Releases, Liability,
Compensation (Class I).
42 U.S.C. 9609(a); 33
CFR 27.3.
35,000 ...............
Hazardous Substances, Releases, Liability,
Compensation (Class II).
42 U.S.C. 9609(b); 33
CFR 27.3.
35,000 ...............
Hazardous Substances, Releases, Liability,
Compensation (Class II subsequent offense).
Hazardous Substances, Releases, Liability,
Compensation (Judicial Assessment).
42 U.S.C. 9609(b); 33
CFR 27.3.
100,000 .............
42 U.S.C. 9609(c); 33
CFR 27.3.
35,000 ...............
Hazardous Substances, Releases, Liability,
Compensation (Judicial Assessment
subsequent offense).
Safe Containers for International Cargo .....
42 U.S.C. 9609(c); 33
CFR 27.3.
100,000 .............
46 U.S.C. App 1505(a)(2)
(codified as 46 USC
80509); 33 CFR 27.3.
8,000 .................
Suspension of Passenger Service ..............
46 U.S.C. App 1805(c)(2)
(codified 46 USC
70305); 33 CFR 27.3.
70,000 ...............
Vessel Inspection or Examination Fees .....
46 U.S.C. 2110(e); 33
CFR 27.3.
8,000 .................
Alcohol and Dangerous Drug Testing ........
46 U.S.C. 2115; 33 CFR
27.3.
7,000 .................
Negligent Operations: Recreational Vessels.
46 U.S.C. 2302(a); 33
CFR 27.3.
6,000 .................
Negligent Operations: Other Vessels .........
46 U.S.C. 2302(a); 33
CFR 27.3.
30,000 ...............
Operating a Vessel While Under the Influence of Alcohol or a Dangerous Drug.
46 U.S.C. 2302(c)(1); 33
CFR 27.3.
7,000 .................
Vessel Reporting Requirements: Owner,
Charterer, Managing Operator, or Agent.
46 U.S.C. 2306(a)(4); 33
CFR 27.3.
8,000 .................
Vessel Reporting Requirements: Master ....
46 U.S.C. 2306(b)(2); 33
CFR 27.3.
1,100 .................
Immersion Suits ..........................................
46 U.S.C. 3102(c)(1); 33
CFR 27.3.
8,000 .................
Inspection Permit ........................................
asabaliauskas on DSK3SPTVN1PROD with RULES
Clean Hulls ..................................................
46 U.S.C. 3302(i)(5); 33
CFR 27.3.
1,100 .................
Vessel Inspection; General .........................
46 U.S.C. 3318(a); 33
CFR 27.3.
8,000 .................
Vessel Inspection; Nautical School Vessel
46 U.S.C. 3318(g); 33
CFR 27.3.
8,000 .................
Vessel Inspection; Failure to Give Notice
IAW 3304(b).
46 U.S.C. 3318(h); 33
CFR 27.3.
1,100 .................
VerDate Sep<11>2014
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Fmt 4700
Sfmt 4700
Baseline
penalty *
(year)
(statutory citation)
Multiplier **
$37,500 .............
(2010)
(Pub. L. 111–
281)
$50,000 .............
(2010)
(Pub. L. 111–
281)
$5,000 ...............
(2010)
(Pub. L. 111–
281)
$25,000 .............
(1986)
(Pub. L. 99–499)
$25,000 .............
(1986)
(Pub. L. 99–499)
$75,000 .............
(1986)
(Pub. L. 99–499)
$25,000 .............
(1986)
(Pub. L. 99–499)
$75,000 .............
(1986)
(Pub. L. 99–499)
$5,000 ...............
(2006)
(Pub. L. 109–
304)
$50,000 .............
(2006)
(Pub. L. 109–
304; 46 USC
70305)
$5,000 ...............
(1990)
(Pub. L. 101–
508)
$5,000 ...............
(1998)
(Pub. L. 105–
383)
$5,000 ...............
(2002)
(Pub. L. 107–
295)
$25,000 .............
(2002)
(Pub. L. 107–
295)
$5,000 ...............
(1998)
(Pub. L. 105–
383)
$5,000 ...............
(1984)
(Pub. L. 98–498)
$1,000 ...............
(1984)
(Pub. L. 98–498)
$5,000 ...............
(1984)
(Pub. L. 98–623)
$1,000 ...............
(1983)
(Pub. L. 98–89)
$5,000 ...............
(1984)
(Pub. L. 98–498)
$5,000 ...............
(1984)
(Pub. L. 98–498)
$1,000 ...............
(1984)
(Pub. L. 98–498)
E:\FR\FM\01JYR1.SGM
Preliminary new
penalty
[multiplier ×
baseline
penalty]
Adjusted new
penalty
[increase capped
at 150% more
than current
penalty]
1.08745
40,779 ...............
40,779
1.08745
54,373 ...............
54,373
1.08745
5,437 .................
5,437
2.15628
53,907 ...............
53,907
2.15628
53,907 ...............
53,907
2.15628
161,721 .............
161,721
2.15628
53,907 ...............
53,907
2.15628
161,721 .............
161,721
1.17858
5,893 .................
5,893
1.17858
58,929 ...............
58,929
1.78156
8,908 .................
8,908
1.45023
7,251 .................
7,251
1.31185
6,559 .................
6,559
1.31185
32,796 ...............
32,796
1.45023
7,251 .................
7,251
2.25867
11,293 ...............
11,293
2.25867
2,259 .................
2,259
2.25867
11,293 ...............
11,293
2.35483
2,355 .................
2,355
2.25867
11,293 ...............
11,293
2.25867
11,293 ...............
11,293
2.25867
2,259 .................
2,259
01JYR1
42996
Federal Register / Vol. 81, No. 127 / Friday, July 1, 2016 / Rules and Regulations
TABLE 4—U.S. COAST GUARD CIVIL PENALTIES ADJUSTMENTS—Continued
Citation
Vessel Inspection; Failure to Give Notice
IAW 3309(c).
46 U.S.C. 3318(i); 33 CFR
27.3.
1,100 .................
Vessel Inspection; Vessel ≥1600 Gross
Tons.
46 U.S.C. 3318(j)(1); 33
CFR 27.3.
15,000 ...............
Vessel Inspection; Vessel <1600 Gross
Tons.
46 U.S.C. 3318(j)(1); 33
CFR 27.3.
3,000 .................
Vessel Inspection; Failure to Comply with
3311(b).
46 U.S.C. 3318(k); 33
CFR 27.3.
15,000 ...............
Vessel Inspection; Violation of 3318(b)–
3318(f).
46 U.S.C. 3318(l); 33 CFR
27.3.
8,000 .................
List/count of Passengers ............................
46 U.S.C. 3502(e); 33
CFR 27.3.
110 ....................
Notification to Passengers ..........................
46 U.S.C. 3504(c); 33
CFR 27.3.
15,000 ...............
Notification to Passengers; Sale of Tickets
46 U.S.C. 3504(c); 33
CFR 27.3.
800 ....................
Copies of Laws on Passenger Vessels;
Master.
46 U.S.C. 3506; 33 CFR
27.3.
300 ....................
Liquid Bulk/Dangerous Cargo .....................
46 U.S.C. 3718(a)(1); 33
CFR 27.3.
40,000 ...............
Uninspected Vessels ..................................
46 U.S.C. 4106; 33 CFR
27.3.
8,000 .................
Recreational Vessels (maximum for related
series of violations).
46 U.S.C. 4311(b)(1); 33
CFR 27.3.
300,000 .............
Recreational Vessels; Violation of 4307(a)
46 U.S.C. 4311(b)(1); 33
CFR 27.3.
6,000 .................
Recreational vessels ...................................
46 U.S.C. 4311(c); 33
CFR 27.3.
1,100 .................
Uninspected Commercial Fishing Industry
Vessels.
46 U.S.C. 4507; 33 CFR
27.3.
8,000 .................
Abandonment of Barges .............................
46 U.S.C. 4703; 33 CFR
27.3.
1,100 .................
Load Lines ..................................................
46 U.S.C. 5116(a); 33
CFR 27.3.
8,000 .................
Load Lines; Violation of 5112(a) .................
46 U.S.C. 5116(b); 33
CFR 27.3.
15,000 ...............
Load Lines; Violation of 5112(b) .................
46 U.S.C. 5116(c); 33
CFR 27.3.
8,000 .................
Reporting Marine Casualties ......................
asabaliauskas on DSK3SPTVN1PROD with RULES
Penalty name
Current
penalty
46 U.S.C. 6103(a); 33
CFR 27.3.
35,000 ...............
Reporting Marine Casualties; Violation of
6104.
46 U.S.C. 6103(b); 33
CFR 27.3.
8,000 .................
Manning of Inspected Vessels; Failure to 46 U.S.C. 8101(e); 33
Report Deficiency in Vessel Complement.
CFR 27.3.
1,100 .................
VerDate Sep<11>2014
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Baseline
penalty *
(year)
(statutory citation)
Multiplier **
$1,000 ...............
(1984)
(Pub. L. 98–498)
$10,000 .............
(1984)
(Pub. L. 98–498)
$2,000 ...............
(1984)
(Pub. L. 98–498)
$10,000 .............
(1984)
(Pub. L. 98–498)
$5,000 ...............
(1984)
(Pub. L. 98–498)
$100 ..................
(1983)
(Pub. L. 98–89)
$10,000 .............
(1983)
(Pub. L. 98–89)
$500 ..................
(1983)
(Pub. L. 98–89)
$200 ..................
(1983)
(Pub. L. 98–89)
$25,000 .............
(1983)
(Pub. L. 98–89)
$5,000 ...............
(1988)
(Pub. L. 100–
540)
$250,000 ...........
(2004)
(Pub. L. 108–
293)
$5,000 ...............
(2004)
(Pub. L. 108–
293)
$1,000 ...............
(1983)
(Pub. L. 98–89)
$5,000 ...............
(1988)
(Pub. L. 100–
424)
$1,000 ...............
(1992)
(Pub. L. 102–
587)
$5,000 ...............
(1986)
(Pub. L. 99–509)
$10,000 .............
(1986)
(Pub. L. 99–509)
$5,000 ...............
(1986)
(Pub. L. 99–509)
$25,000 .............
(1996)
(Pub. L. 104–
324)
$5,000 ...............
(1988)
(Pub. L. 100–
424)
$1,000 ...............
(1990)
(Pub. L. 101–
380)
E:\FR\FM\01JYR1.SGM
Preliminary new
penalty
[multiplier ×
baseline
penalty]
Adjusted new
penalty
[increase capped
at 150% more
than current
penalty]
2.25867
2,259 .................
2,259
2.25867
22,587 ...............
22,587
2.25867
4,517 .................
4,517
2.25867
22,587 ...............
22,587
2.25867
11,293 ...............
11,293
2.35483
235 ....................
235
2.35483
23,548 ...............
23,548
2.35483
1,177 .................
1,177
2.35483
471 ....................
471
2.35483
58,871 ...............
58,871
1.97869
9,893 .................
9,893
1.24588
311,470 .............
311,470
1.24588
6,229 .................
6,229
2.35483
2,355 .................
2,355
1.97869
9,893 .................
9,893
1.67728
1,677 .................
1,677
2.15628
10,781 ...............
10,781
2.15628
21,563 ...............
21,563
2.15628
10,781 ...............
10,781
1.50245
37,561 ...............
37,561
1.97869
9,893 .................
9,893
1.78156
1,782 .................
1,782
01JYR1
42997
Federal Register / Vol. 81, No. 127 / Friday, July 1, 2016 / Rules and Regulations
TABLE 4—U.S. COAST GUARD CIVIL PENALTIES ADJUSTMENTS—Continued
Citation
Manning of Inspected Vessels ....................
46 U.S.C. 8101(f); 33 CFR
27.3.
15,000 ...............
Manning of Inspected Vessels; Employing
or Serving in Capacity not Licensed by
USCG.
46 U.S.C. 8101(g); 33
CFR 27.3.
15,000 ...............
Manning of Inspected Vessels; Freight
Vessel <100 GT, Small Passenger Vessel, or Sailing School Vessel.
Watchmen on Passenger Vessels ..............
46 U.S.C. 8101(h); 33
CFR 27.3.
1,100 .................
46 U.S.C. 8102(a) ............
1,100 .................
Citizenship Requirements ...........................
46 U.S.C. 8103(f) .............
800 ....................
Watches on Vessels; Violation of 8104(a)
or (b).
46 U.S.C. 8104(i) ..............
15,000 ...............
Watches on Vessels; Violation of 8104(c),
(d), (e), or (h).
46 U.S.C. 8104(j) ..............
15,000 ...............
Staff Department on Vessels ......................
46 U.S.C. 8302(e) ............
110 ....................
Officer’s Competency Certificates ..............
46 U.S.C. 8304(d) ............
110 ....................
Coastwise Pilotage; Owner, Charterer,
Managing Operator, Agent, Master or Individual in Charge.
46 U.S.C. 8502(e) ............
15,000 ...............
Coastwise Pilotage; Individual ....................
46 U.S.C. 8502(f) .............
15,000 ...............
Federal Pilots ..............................................
46 U.S.C. 8503 .................
40,000 ...............
Merchant Mariners Documents ...................
46 U.S.C. 8701(d) ............
800 ....................
Crew Requirements ....................................
46 U.S.C. 8702(e) ............
15,000 ...............
Small Vessel Manning ................................
46 U.S.C. 8906 .................
35,000 ...............
Pilotage: Great Lakes; Owner, Charterer,
Managing Operator, Agent, Master or Individual in Charge.
46 U.S.C. 9308(a) ............
15,000 ...............
Pilotage: Great Lakes; Individual ................
46 U.S.C. 9308(b) ............
15,000 ...............
Pilotage: Great Lakes; Violation of 9303 ....
asabaliauskas on DSK3SPTVN1PROD with RULES
Penalty name
Current
penalty
46 U.S.C. 9308(c) .............
15,000 ...............
Failure to Report Sexual Offense ...............
46 U.S.C. 10104(b) ..........
8,000 .................
Pay Advances to Seamen ..........................
46 U.S.C. 10314(a)(2) ......
800 ....................
Pay Advances to Seamen; Remuneration
for Employment.
46 U.S.C. 10314(b) ..........
800 ....................
VerDate Sep<11>2014
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Jkt 238001
PO 00000
Frm 00015
Fmt 4700
Sfmt 4700
Baseline
penalty *
(year)
(statutory citation)
Multiplier **
$10,000 .............
(1990)
(Pub. L. 101–
380)
$10,000 .............
(1990)
(Pub. L. 101–
380)
$1,000 ...............
(1983)
(Pub. L. 98–89)
$1,000 ...............
(1983)
(Pub. L. 98–89)
$500 ..................
(1983)
(Pub. L. 98–89)
$10,000 .............
(1990)
(Pub. L. 101–
380)
$10,000 .............
(1990)
(Pub. L. 101–
380)
$100 ..................
(1983)
(Pub. L. 98–89)
$100 ..................
(1983)
(Pub. L. 98–89)
$10,000 .............
(1990)
(Pub. L. 101–
380)
$10,000 .............
(1990)
(Pub. L. 101–
380)
$25,000 .............
(1984)
(Pub. L. 98–557)
$500 ..................
(1983)
(Pub. L. 98–89)
$10,000 .............
(1990)
(Pub. L. 101–
380)
$25,000 .............
(1996)
(Pub. L. 104–
324)
$10,000 .............
(1990)
(Pub. L. 101–
380)
$10,000 .............
(1990)
(Pub. L. 101–
380)
$10,000 .............
(1990)
(Pub. L. 101–
380)
$5,000 ...............
(1989)
(Pub. L. 101–
225)
$500 ..................
(1983)
(Pub. L. 98–89)
$500 ..................
(1983)
(Pub. L. 98–89)
E:\FR\FM\01JYR1.SGM
Preliminary new
penalty
[multiplier ×
baseline
penalty]
Adjusted new
penalty
[increase capped
at 150% more
than current
penalty]
1.78156
17,816 ...............
17,816
1.78156
17,816 ...............
17,816
2.35483
2,355 .................
2,355
2.35483
2,355 .................
2,355
2.35483
1,177 .................
1,177
1.78156
17,816 ...............
17,816
1.78156
17,816 ...............
17,816
2.35483
235 ....................
235
2.35483
235 ....................
235
1.78156
17,816 ...............
17,816
1.78156
17,816 ...............
17,816
2.25867
56,467 ...............
56,467
2.35483
1,177 .................
1,177
1.78156
17,816 ...............
17,816
1.50245
37,561 ...............
37,561
1.78156
17,816 ...............
17,816
1.78156
17,816 ...............
17,816
1.78156
17,816 ...............
17,816
1.89361
9,468 .................
9,468
2.35483
1,177 .................
1,177
2.35483
1,177 .................
1,177
01JYR1
42998
Federal Register / Vol. 81, No. 127 / Friday, July 1, 2016 / Rules and Regulations
TABLE 4—U.S. COAST GUARD CIVIL PENALTIES ADJUSTMENTS—Continued
Citation
Allotment to Seamen ..................................
46 U.S.C. 10315(c) ...........
800 ....................
Seamen Protection; General ......................
46 U.S.C. 10321 ...............
7,000 .................
Coastwise Voyages: Advances ..................
46 U.S.C. 10505(a)(2) ......
7,000 .................
Coastwise Voyages: Advances; Remuneration for Employment.
46 U.S.C. 10505(b) ..........
7,000 .................
Coastwise Voyages: Seamen Protection;
General.
46 U.S.C. 10508(b) ..........
7,000 .................
Effects of Deceased Seamen .....................
46 U.S.C. 10711 ...............
300 ....................
Complaints of Unfitness ..............................
46 U.S.C. 10902(a)(2) ......
800 ....................
Proceedings on Examination of Vessel ......
46 U.S.C. 10903(d) ..........
110 ....................
Permission to Make Complaint ...................
46 U.S.C. 10907(b) ..........
800 ....................
Accommodations for Seamen .....................
46 U.S.C. 11101(f) ...........
800 ....................
Medicine Chests on Vessels ......................
46 U.S.C. 11102(b) ..........
800 ....................
Destitute Seamen .......................................
46 U.S.C. 11104(b) ..........
110 ....................
Wages on Discharge ..................................
46 U.S.C. 11105(c) ...........
800 ....................
Log Books; Master Failing to Maintain .......
46 U.S.C. 11303(a) ..........
300 ....................
Log Books; Master Failing to Make Entry ..
46 U.S.C. 11303(b) ..........
300 ....................
Log Books; Late Entry ................................
46 U.S.C. 11303(c) ...........
200 ....................
Carrying of Sheath Knives ..........................
46 U.S.C. 11506 ...............
80 ......................
Vessel Documentation ................................
46 U.S.C. 12151(a)(1) ......
15,000 ...............
Documentation of Vessels—Related to Activities involving mobile offshore drilling
units.
46 U.S.C. 12151(a)(2) ......
25,000 ...............
Vessel Documentation; Fishery Endorsement.
asabaliauskas on DSK3SPTVN1PROD with RULES
Penalty name
Current
penalty
46 U.S.C. 12151(c) ...........
130,000 .............
Numbering of Undocumented Vessels—
Willful violation.
46 U.S.C. 12309(a) ..........
6,000 .................
Numbering of Undocumented Vessels .......
46 U.S.C. 12309(b) ..........
1,100 .................
Vessel Identification System .......................
46 U.S.C. 12507(b) ..........
15,000 ...............
VerDate Sep<11>2014
19:31 Jun 30, 2016
Jkt 238001
PO 00000
Frm 00016
Fmt 4700
Sfmt 4700
Baseline
penalty *
(year)
(statutory citation)
Multiplier **
$500 ..................
(1983)
(Pub. L. 98–89)
$5,000 ...............
(1993)
(Pub. L. 103–
206)
$5,000 ...............
(1993)
(Pub. L. 103–
206)
$5,000 ...............
(1993)
(Pub. L. 103–
206)
$5,000 ...............
(1993)
(Pub. L. 103–
206)
$200 ..................
(1983)
(Pub. L. 98–89)
$500 ..................
(1983)
(Pub. L. 98–89)
$100 ..................
(1983)
(Pub. L. 98–89)
$500 ..................
(1983)
(Pub. L. 98–89)
$500 ..................
(1983)
(Pub. L. 98–89)
$500 ..................
(1983)
(Pub. L. 98–89)
$100 ..................
(1983)
(Pub. L. 98–89)
$500 ..................
(1983)
(Pub. L. 98–89)
$200 ..................
(1983)
(Pub. L. 98–89)
$200 ..................
(1983)
(Pub. L. 98–89)
$150 ..................
(1983)
(Pub. L. 98–89)
$50 ....................
(1983)
(Pub. L. 98–89)
$15,000 .............
(2012)
(Pub. L. 112–
213)
$25,000 .............
(2012)
(Pub. L. 112–
213)
$100,000 ...........
(2006)
(Pub. L. 109–
304)
$5,000 ...............
(1983)
(Pub. L. 98–89)
$1,000 ...............
(1983)
(Pub. L. 98–89)
$10,000 .............
(1988)
(Pub. L. 100–
710)
E:\FR\FM\01JYR1.SGM
Preliminary new
penalty
[multiplier ×
baseline
penalty]
Adjusted new
penalty
[increase capped
at 150% more
than current
penalty]
2.35483
1,177 .................
1,177
1.63238
8,162 .................
8,162
1.63238
8,162 .................
8,162
1.63238
8,162 .................
8,162
1.63238
8,162 .................
8,162
2.35483
471 ....................
471
2.35483
1,177 .................
1,177
2.35483
235 ....................
235
2.35483
1,177 .................
1,177
2.35483
1,177 .................
1,177
2.35483
1,177 .................
1,177
2.35483
235 ....................
235
2.35483
1,177 .................
1,177
2.35483
471 ....................
471
2.35483
471 ....................
471
2.35483
353 ....................
353
2.35483
118 ....................
118
1.02819
15,423 ...............
15,423
1.02819
25,705 ...............
25,705
1.17858
117,858 .............
117,858
2.35483
11,774 ...............
11,774
2.35483
2,355 .................
2,355
1.97869
19,787 ...............
19,787
01JYR1
42999
Federal Register / Vol. 81, No. 127 / Friday, July 1, 2016 / Rules and Regulations
TABLE 4—U.S. COAST GUARD CIVIL PENALTIES ADJUSTMENTS—Continued
Penalty name
Citation
Current
penalty
Measurement of Vessels ............................
46 U.S.C. 14701 ...............
30,000 ...............
Measurement; False Statements ................
46 U.S.C. 14702 ...............
30,000 ...............
Commercial
Liens.
Instruments
and
Maritime
46 U.S.C. 31309 ...............
15,000 ...............
Commercial Instruments
Liens; Mortgagor.
and
Maritime
46 U.S.C. 31330(a)(2) ......
15,000 ...............
Commercial Instruments and
Liens; Violation of 31329.
Maritime
46 U.S.C. 31330(b)(2) ......
35,000 ...............
Port Security ...............................................
46 U.S.C. 70119(a) ..........
30,000 ...............
Port Security—Continuing Violations ..........
46 U.S.C. 70119(b) ..........
50,000 ...............
Maritime Drug Law Enforcement ................
46 U.S.C. 70506(c) ...........
5,000 .................
Hazardous Materials: Related to Vessels ..
49 U.S.C. 5123(a)(1) ........
75,000 ...............
Hazardous Materials: Related to Vessels—
Penalty from Fatalities, Serious Injuries/
Illness or substantial Damage to Property.
Hazardous Materials: Related to Vessels;
Training.
49 U.S.C. 5123(a)(2) ........
175,000 .............
49 U.S.C. 5123(a)(3) ........
450 ....................
Baseline penalty *
(year)
(statutory citation)
Multiplier **
$20,000 .............
(1986)
(Pub. L. 99–509)
$20,000 .............
(1986)
(Pub. L. 99–509)
$10,000 .............
(1988)
(Pub. L. 100–
710)
$10,000 .............
(1988)
(Pub. L. 100–
710)
$25,000 .............
(1988)
(Pub. L. 100–
710)
$25,000 .............
(2002)
(Pub. L. 107–
295)
$50,000 .............
(2006)
(Pub. L. 109–
241)
$5,000 ...............
(2010)
(Pub. L. 111–
281)
$75,000 .............
(2012)
(Pub. L. 112–
141)
$175,000 ...........
(2012)
(Pub. L. 112–
141)
$450 ..................
(2012)
(Pub. L. 112–
141)
Preliminary new
penalty
[multiplier ×
baseline
penalty]
Adjusted new
penalty
[increase capped
at 150% more
than current
penalty]
2.15628
43,126 ...............
43,126
2.15628
43,126 ...............
43,126
1.97869
19,787 ...............
19,787
1.97869
19,787 ...............
19,787
1.97869
49,467 ...............
49,467
1.31185
32,796 ...............
32,796
1.17858
58,929 ...............
58,929
1.08745
5,437 .................
5,437
1.02819
77,114 ...............
77,114
1.02819
179,933 .............
179,933
1.02819
463 ....................
463
* The amount of the penalty and the year of when the penalty was established or last adjusted in statute or regulation other than pursuant to the Inflation Adjustment Act of 1990.
** OMB, Implementation of the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, Table A: 2016 Civil Monetary Penalty Catch-Up Adjustment Multiplier by Calendar Year, February 24, 2016.
*** Exempt as under the Tariff Act.
asabaliauskas on DSK3SPTVN1PROD with RULES
E. Transportation Security
Administration
The Transportation Security
Administration (TSA) is updating its
civil penalties regulation in accordance
with the 2015 Act. Pursuant to its
statutory authority in 49 U.S.C. 114(v),
TSA may impose penalties for
violations of any statute that TSA
administers, whether an implementing
regulation or order imposes the
penalty.6 TSA assesses these penalties
for a wide variety of aviation and
surface security requirements, including
violations of TSA’s requirements
applicable to Transportation Worker
6 See 49 U.S.C. 114(v), as amended by sec. 1302
of the Implementing Recommendations of the 9/11
Commission Act of 2007 (Pub. L. 110–53, 121 Stat.
266 (Aug. 3, 2007)).
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16:44 Jun 30, 2016
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Identification Credentials (TWIC),7 as
well as violations of requirements
described in chapter 449 of Title 49 of
the U.S. Code. These penalties can
apply to a wide variety of situations, as
described in the statutory and regulatory
provisions, as well as in guidance that
TSA publishes.
TSA’s maximum civil penalty
amounts are located in 49 CFR
1503.401. Over the years, Congress has
increased the amount of those penalties
to reflect the importance of maintaining
aviation security. In section 1602 of the
Homeland Security Act of 2002 (Pub. L.
107–296 (Nov. 25, 2002)), Congress
raised the maximum civil penalty
amounts per violation for certain
aviation security statutes. Additionally,
7 See, e.g., 46 U.S.C. 70105, 49 U.S.C. 46302 and
46303, and U.S.C. ch. 449.
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in section 503(b) of the Vision 100—
Century of Aviation Reauthorization Act
(Vision 100) (Pub. L. 108–176 (Dec. 12,
2003)), Congress raised the total civil
penalty amount per case that TSA may
assess.
In this rulemaking, we are also
making several minor adjustments to the
regulatory text in section 1503.401
beyond simply updating the penalty
numbers. First, we are eliminating the
text in paragraph (d), ‘‘Inflation
adjustment,’’ because it is no longer
needed. Pursuant to the 2015 Act, TSA
will carry out inflation adjustments
annually in the future, so there is no
need for this text. Each year, TSA will
update the amounts with current figures
per the latest adjustment.
Additionally, TSA is correcting a
minor error that appeared in section
1503.401(c). Previously, subsection
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(c)(1), which prescribed penalties for
certain aviation-related violations,
stated that the penalty against an entity
that is operating a non-aircraft operator
business was limited to $50,000.
However, that statement incorrectly
applied the limiting provision in 49
U.S.C. 46301(d)(8)(C), which applies the
$50,000 limitation (unadjusted for
inflation) only to individuals and small
businesses. TSA can assess the full
amount of $400,000 (adjusted for
inflation) against an entity that is not an
individual or small business, and
operating a non-aircraft operator
business who is subject to this fine. We
have made this correction by removing
the inaccurate clause from paragraph
(c)(1) and adding a new paragraph (c)(2)
explicitly stating that an entity
operating an on-aircraft operator
business is subject to the full fine. We
are redesignating existing paragraph
(c)(2) as (c)(3).
Under this rule, the current penalties
continue to be applicable with regard to
violations that occurred on or before
November 2, 2015, the date of
enactment of the 2015 Act. Table 5
below contains a full list of the penalties
assessed by the Transportation Security
Administration, where the associated
violation occurred after November 2,
2015.
TABLE 5—TRANSPORTATION SECURITY ADMINISTRATION CIVIL PENALTIES ADJUSTMENTS
Preliminary new
penalty
[multiplier ×
baseline
penalty]
Adjusted new
penalty
[increase capped at
150% more than
current penalty]
1.28561
$32,140 (up to a
total of $514,244
per civil penalty
action).
$32,140 (up to a
total of $514,244
per civil penalty
action).
$10,000 (2003) (up
to a total of
$50,000 total for
small businesses,
$400,000 for others).
1.28561
$12,856 (up to a
total of $64,281
total for small
businesses,
$514,244 for others).
$12,856 (up to a
total of $64,281
total for small
businesses,
$514,244 for others).
$10,000 (2009) (up
to a total of
$50,000 total for
small businesses,
$400,000 for others).
1.10020
$11,002 (up to a
total of $55,010
total for small
businesses,
$440,080 for others).
$11,002 (up to a
total of $55,010
total for small
businesses,
$440,080 for others).
Penalty name
Citation
Current penalty
Baseline penalty *
(year)
Violation of 49 U.S.C. ch. 449 (except
secs. 44902, 44903(d), 44907(a)–
(d)(1)(A), 44907(d)(1)(C)–(f), 44908,
and 44909), or 49 U.S.C. 46302 or
46303, a regulation prescribed, or
order issued thereunder by a person
operating an aircraft for the transportation of passengers or property for
compensation.
Violation of 49 U.S.C. ch. 449 (except
secs. 44902, 44903(d), 44907(a)–
(d)(1)(A), 44907(d)(1)(C)–(f), 44908,
and 44909), or 49 U.S.C. 46302 or
46303, a regulation prescribed, or
order issued thereunder by an individual (except an airman serving as
an airman), any person not operating
an aircraft for the transportation of
passengers or property for compensation, or a small business concern.
Violation of any other provision of title
49 U.S.C. or of 46 U.S.C. ch. 701, a
regulation prescribed, or order issued
thereunder.
49 U.S.C.
46301(a)(1), (4);
49 CFR
1503.401(c)(2).
$27,500 (up to a
total of $400,000
per civil penalty
action).
$25,000 (2003) (up
to a total of
$400,000 per
civil penalty action).
49 U.S.C.
46301(a)(1), (4);
49 CFR
1503.401(c)(1).
$11,000 (up to a
total of $50,000
total for small
businesses,
$400,000 for others).
49 U.S.C. 114(v);
49 CFR
1503.401(b).
$10,000 (up to a
total of $50,000
total for small
businesses,
$400,000 for others).
Multiplier **
* The amount of the penalty and the year of when the penalty was established or last adjusted in statute or regulation other than pursuant to the Inflation Adjustment Act of 1990.
** OMB, Implementation of the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, Table A: 2016 Civil Monetary Penalty Catch-Up Adjustment Multiplier by Calendar Year, February 24, 2016.
asabaliauskas on DSK3SPTVN1PROD with RULES
III. Administrative Procedure Act
The Administrative Procedure Act
(APA) generally requires agencies to
publish a notice of proposed rulemaking
in the Federal Register (5 U.S.C. 553(b))
and to provide interested persons with
the opportunity to submit comments (5
U.S.C. 553(c)). The APA, however,
provides an exception to the notice and
public comment requirements where the
‘‘agency for good cause finds . . . that
notice and public procedure thereon are
impracticable, unnecessary, or contrary
to public interest.’’ 5 U.S.C. 553(b)(B).
DHS is promulgating this rule to
ensure that the amount of civil penalties
that DHS assesses or enforces reflects
the statutorily mandated ranges as
adjusted for inflation. Pursuant to 5
U.S.C. 553(b)(3)(B), there is good cause
to issue this rule without prior public
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19:31 Jun 30, 2016
Jkt 238001
notice or opportunity for public
comment, because it would be
impracticable and unnecessary. The
2015 Act directed agencies to ‘‘adjust
civil monetary penalties through an
interim final rulemaking’’ and to make
subsequent annual adjustments for
inflation to civil monetary penalties
notwithstanding section 553 of title 5 of
the U.S. Code. In addition, the 2015 Act
provides a clear formula for adjustment
of the civil penalties, leaving DHS and
its components with little room for
discretion. DHS and its components
have been charged only with performing
ministerial computations to determine
the amounts of adjustments for inflation
to civil monetary penalties.
Accordingly, prior public notice and
comment are not required for this rule.
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IV. Regulatory Analyses
A. Executive Orders 12866 and 13563
Executive Orders 12866 and 13563
direct agencies to assess the costs and
benefits of available regulatory
alternatives and, if regulation is
necessary, to select regulatory
approaches that maximize net benefits
(including potential economic,
environmental, public health and safety
effects, distributive impacts, and
equity). Executive Order 13563
emphasizes the importance of
quantifying both costs and benefits, of
reducing costs, of harmonizing rules,
and of promoting flexibility. This final
rule has not been designated a
‘‘significant regulatory action,’’ under
section 3(f) of Executive Order 12866.
Accordingly, the Office of Management
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and Budget (OMB) has not reviewed this
rule.
This final rule makes
nondiscretionary adjustments to
existing civil monetary penalties in
accordance with the 2015 Act and OMB
guidance.8 DHS therefore did not
consider alternatives and does not have
the flexibility to alter the adjustments of
the civil monetary penalty amounts as
provided in this rule. To the extent this
rule increases civil monetary penalties,
it would result in an increase in
transfers from persons or entities
assessed a civil monetary penalty to the
government.
B. Regulatory Flexibility Act
The Regulatory Flexibility Act applies
only to rules for which an agency
publishes a notice of proposed
rulemaking pursuant to 5 U.S.C. 553(b).
See 5 U.S.C. 601–612. The Regulatory
Flexibility Act does not apply to this
interim final rule, because a notice of
proposed rulemaking is not required for
the reasons stated above.
C. Unfunded Mandates Reform Act
The Unfunded Mandates Reform Act
of 1995, 2 U.S.C. 1531–1538, requires
Federal agencies to assess the effects of
their discretionary regulatory actions. In
particular, the Act addresses actions
that may result in the expenditure by a
State, local, or Tribal government, in the
aggregate, or by the private sector of
$100,000,000 (adjusted for inflation) or
more in any one year. This interim final
rule will not result in such an
expenditure.
D. Paperwork Reduction Act
The provisions of the Paperwork
Reduction Act of 1995, 44 U.S.C.
chapter 35, and its implementing
regulations, 5 CFR part 1320, do not
apply to this final rule, because this
interim final rule does not trigger any
new or revised recordkeeping or
reporting.
List of Subjects
6 CFR Part 27
Reporting and recordkeeping
requirements, Security measures.
asabaliauskas on DSK3SPTVN1PROD with RULES
Administrative practice and
procedure, Aliens, Employment, Fraud,
Penalties.
8 OMB, Implementation of the Federal Civil
Penalties Inflation Adjustment Act Improvements
Act of 2015, 24 February 2016. https://
www.whitehouse.gov/sites/default/files/omb/
memoranda/2016/m-16-06.pdf.
16:44 Jun 30, 2016
8 CFR Part 280
Administrative practice and
procedure, Immigration, Penalties.
33 CFR Part 27
Administrative practice and
procedure, Penalties.
49 CFR Part 1503
Administrative practice and
procedure, Investigations, Law
enforcement, Penalties.
Amendments to the Regulations
For the reasons stated in the
preamble, the Department of Homeland
Security amends 6 CFR part 27, 8 CFR
parts 270, 274a, and 280, 33 CFR part
27, and 49 CFR part 1503 as follows:
Title 6—Domestic Security
PART 27—CHEMICAL FACILITY ANTI–
TERRORISM STANDARDS
1. The authority citation for part 27 is
revised to read as follows:
■
Authority: 6 U.S.C. 624; Pub. L. 101–410,
104 Stat. 890, as amended by Pub. L. 114–
74, 129 Stat. 599.
2. In § 27.300, revise paragraph (b)(3)
to read as follows:
■
§ 27.300
Orders.
*
*
*
*
*
(b) * * *
(3) Where the Assistant Secretary
determines that a facility is in violation
of an Order issued pursuant to
paragraph (a) of this section and issues
an Order Assessing Civil Penalty
pursuant to paragraph (b)(1) of this
section, a chemical facility is liable to
the United States for a civil penalty of
not more than $25,000 for each day
during which the violation continues, if
the violation of the Order occurred on
or before November 2, 2015, or $32,796
for each day during which the violation
of the Order continues, if the violation
occurred after November 2, 2015.
*
*
*
*
*
Title 8—Aliens and Nationality
8 CFR Part 270
VerDate Sep<11>2014
8 CFR Part 274a
Administrative practice and
procedure, Aliens, Employment,
Penalties, Reporting and recordkeeping
requirements.
Jkt 238001
PART 270—PENALTIES FOR
DOCUMENT FRAUD
3. The authority citation for part 270
is revised to read as follows:
■
Authority: 8 U.S.C. 1101, 1103, and 1324c;
Pub. L. 101–410, 104 Stat. 890, as amended
by Pub. L. 104–134, 110 Stat. 1321 and Pub.
L. 114–74, 129 Stat. 599.
PO 00000
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Fmt 4700
Sfmt 4700
43001
4. In § 270.3, revise paragraphs
(b)(1)(ii)(A), (B), (C), and (D) to read as
follows:
■
§ 270.3
Penalties.
*
*
*
*
*
(b) * * *
(1) * * *
(ii) * * *
(A) First offense under section
274C(a)(1) through (a)(4). Not less than
$275 and not exceeding $2,200 for each
fraudulent document or each proscribed
activity described in section 274C(a)(1)
through (a)(4) of the Act before March
27, 2008; not less than $375 and not
exceeding $3,200 for each fraudulent
document or each proscribed activity
described in section 274C(a)(1) through
(a)(4) of the Act on or after March 27,
2008 and on or before November 2,
2015; and not less than $445 and not
exceeding $3,563 for each fraudulent
document or each proscribed activity
described in section 274C(a)(1) through
(a)(4) of the Act after November 2, 2015.
(B) First offense under section
274C(a)(5) or (a)(6). Not less than $250
and not exceeding $2,000 for each
fraudulent document or each proscribed
activity described in section 274C(a)(5)
or (a)(6) of the Act before March 27,
2008; not less than $275 and not
exceeding $2,200 for each fraudulent
document or each proscribed activity
described in section 274C(a)(5) or (a)(6)
of the Act on or after March 27, 2008
and on or before November 2, 2015; and
not less than $376 and not exceeding
$3,005 for each fraudulent document or
each proscribed activity described in
section 274C(a)(5) or (a)(6) of the Act
after November 2, 2015.
(C) Subsequent offenses under section
274C(a)(1) through (a)(4). Not less than
$2,200 and not more than $5,500 for
each fraudulent document or each
proscribed activity described in section
274C(a)(1) through (a)(4) of the Act
before March 27, 2008; not less than
$3,200 and not exceeding $6,500 for
each fraudulent document or each
proscribed activity described in section
274C(a)(1) through (a)(4) of the Act
occurring on or after March 27, 2008
and on or before November 2, 2015; and
not less than $3,563 and not more than
$8,908 for each fraudulent document or
each proscribed activity described in
section 274C(a)(1) through (a)(4) of the
Act after November 2, 2015.
(D) Subsequent offenses under section
274C(a)(5) or (a)(6). Not less than $2,000
and not more than $5,000 for each
fraudulent document or each proscribed
activity described in section 274C(a)(5)
or (a)(6) of the Act before March 27,
2008; not less than $2,200 and not
exceeding $5,500 for each fraudulent
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document or each proscribed activity
described in section 274C(a)(5) or (a)(6)
of the Act occurring on or after March
27, 2008 and on or before November 2,
2015; and not less than $3,005 and not
more than $7,512 for each fraudulent
document or each proscribed activity
described in section 274C(a)(5) or (a)(6)
of the Act after November 2, 2015.
*
*
*
*
*
PART 274a—CONTROL OF
EMPLOYMENT OF ALIENS
5. The authority citation for part 274a
is revised to read as follows:
■
Authority: 8 U.S.C. 1101, 1103, 1324a; 48
U.S.C. 1806; 8 CFR part 2; Pub. L. 101–410,
104 Stat. 890, as amended by Pub. L. 114–
74, 129 Stat. 599.
6. In § 4a.8, revise (b) to read as
follows:
■
§ 274a.8
Prohibition of indemnity bonds.
*
*
*
*
*
(b) Penalty. Any person or other entity
who requires any individual to post a
bond or security as stated in this section
shall, after notice and opportunity for an
administrative hearing in accordance
with section 274A(e)(3)(B) of the Act, be
subject to a civil monetary penalty of
$1,000 for each violation before
September 29, 1999, of $1,100 for each
violation occurring on or after
September 29, 1999 but on or before
November 2, 2015, and of $2,156 for
each violation occurring after November
2, 2015, and to an administrative order
requiring the return to the individual of
any amounts received in violation of
this section or, if the individual cannot
be located, to the general fund of the
Treasury.
■ 7. In § 274a.10, revise paragraphs
(b)(1)(ii)(A),(B),(C), and (b)(1)(iii)(2) to
read as follows:
§ 274a.10
Penalties.
asabaliauskas on DSK3SPTVN1PROD with RULES
*
*
*
*
*
(b) * * *
(1) * * *
(ii) * * *
(A) First offense—not less than $275
and not more than $2,200 for each
unauthorized alien with respect to
whom the offense occurred before
March 27, 2008; not less than $375 and
not exceeding $3,200, for each
unauthorized alien with respect to
whom the offense occurred occurring on
or after March 27, 2008 and on or before
November 2, 2015; and not less than
$539 and not more than $4,313 for each
unauthorized alien with respect to
whom the offense occurred occurring
after November 2, 2015.
(B) Second offense—not less than
$2,200 and not more than $5,500 for
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16:44 Jun 30, 2016
Jkt 238001
each unauthorized alien with respect to
whom the second offense occurred
before March 27, 2008; not less than
$3,200 and not more than $6,500, for
each unauthorized alien with respect to
whom the second offense occurred on or
after March 27, 2008 and on or before
November 2, 2015; and not less than
$4,313 and not more than $10,781 for
each unauthorized alien with respect to
whom the second offense occurred after
November 2, 2015; or
(C) More than two offenses—not less
than $3,300 and not more than $11,000
for each unauthorized alien with respect
to whom the third or subsequent offense
occurred before March 27, 2008; not less
than $4,300 and not exceeding $16,000,
for each unauthorized alien with respect
to whom the third or subsequent offense
occurred on or after March 27, 2008 and
on or before November 2, 2015; and not
less than $6,469 and not more than
$21,563 for each unauthorized alien
with respect to whom the third or
subsequent offense occurred after
November 2, 2015; and
(iii) * * *
(2) A respondent determined by the
Service (if a respondent fails to request
a hearing) or by an administrative law
judge, to have failed to comply with the
employment verification requirements
as set forth in § 274a.2(b), shall be
subject to a civil penalty in an amount
of not less than $100 and not more than
$1,000 for each individual with respect
to whom such violation occurred before
September 29, 1999; not less than $110
and not more than $1,100 for each
individual with respect to whom such
violation occurred on or after September
29, 1999 and on or before November 2,
2015; and not less than $216 and not
more than $2,156 for each individual
with respect to whom such violation
occurred after November 2, 2015. In
determining the amount of the penalty,
consideration shall be given to:
(i) The size of the business of the
employer being charged;
(ii) The good faith of the employer;
(iii) The seriousness of the violation;
(iv) Whether or not the individual was
an unauthorized alien; and
(v) The history of previous violations
of the employer.
*
*
*
*
*
PART 280—IMPOSITION AND
COLLECTION OF FINES
8. The authority citation for part 280
is revised to read as follows:
■
Authority: 8 U.S.C. 1103, 1221, 1223, 1227,
1229, 1253, 1281, 1283, 1284, 1285, 1286,
1322, 1323, 1330; 66 Stat. 173, 195, 197, 201,
203, 212, 219, 221–223, 226, 227, 230; Pub.
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Fmt 4700
Sfmt 4700
L. 101–410, 104 Stat. 890, as amended by
Pub. L. 114–74, 129 Stat. 599.
■
9. Revise § 280.53 to read as follows:
§ 280.53 Civil Monetary Penalties Inflation
Adjustment.
(a) Statutory authority. In accordance
with the requirements of the Federal
Civil Penalties Inflation Adjustment Act
of 1990, Public Law 101–410, 104 Stat.
890, as amended by the Federal Civil
Penalties Inflation Adjustment Act
Improvements Act of 2015, Public Law
114–74, Sec. 701, 129 Stat. 599, the civil
monetary penalties listed in paragraph
(b) of this section are adjusted as
provided in this paragraph (b).
(b) Adjustment of penalties. For
violations occurring on or before
November 2, 2015, the penalty amount
prior to adjustment applies. For
violations occurring after November 2,
2015, the listed penalties are adjusted as
follows:
(1) Section 231(g) of the Act, Penalties
for non-compliance with arrival and
departure manifest requirements for
passengers, crewmembers, or occupants
transported on commercial vessels or
aircraft arriving to or departing from the
United States: From $1,100 to $1,312.
(2) Section 234 of the Act, Penalties
for non-compliance with landing
requirements at designated ports of
entry for aircraft transporting aliens:
From $3,200 to $3,563.
(3) Section 240B(d) of the Act,
Penalties for failure to depart
voluntarily: From $1,100 minimum/
$5,500 maximum to $1,502 minimum/
$7,512 maximum.
(4) Section 243(c)(1)(A) of the Act,
Penalties for violations of removal
orders relating to aliens transported on
vessels or aircraft, under section 241(d)
of the Act, or for costs associated with
removal under section 241(e) of the Act:
From $2,200 to $3,005;
(5) Penalties for failure to remove
alien stowaways under section
241(d)(2): From $5,500 to $7,512.
(6) Section 251(d) of the Act, Penalties
for failure to report an illegal landing or
desertion of alien crewmen, and for
each alien not reported on arrival or
departure manifest or lists required in
accordance with section 251 of the Act:
From $320 to $356; and penalties for
use of alien crewmen for longshore
work in violation of section 251(d) of
the Act: From $7,500 to $8,908.
(7) Section 254(a) of the Act, Penalties
for failure to control, detain, or remove
alien crewmen: From $750 minimum/
$4,300 maximum to $891 minimum/
$5,345 maximum.
(8) Section 255 of the Act, Penalties
for employment on passenger vessels of
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01JYR1
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Federal Register / Vol. 81, No. 127 / Friday, July 1, 2016 / Rules and Regulations
aliens afflicted with certain disabilities:
From $1,100 to $1,782.
(9) Section 256 of the Act, Penalties
for discharge of alien crewmen: From
$1,500 minimum/$4,300 maximum to
$2,672 minimum/$5,345 maximum.
(10) Section 257 of the Act, Penalties
for bringing into the United States alien
crewmen with intent to evade
immigration laws: From $16,000
maximum to $17,816 maximum.
(11) Section 271(a) of the Act,
Penalties for failure to prevent the
unauthorized landing of aliens: From
$4,300 to $5,345.
(12) Section 272(a) of the Act,
Penalties for bringing to the United
States aliens subject to denial of
admission on a health-related ground:
From $4,300 to $5,345.
(13) Section 273(b) of the Act,
Penalties for bringing to the United
States aliens without required
documentation: From $4,300 to $5,345.
(14) Section 274D of the Act, Penalties
for failure to depart: From $550 to $751,
for each day the alien is in violation.
(15) Section 275(b) of the Act,
Penalties for improper entry: From $55
minimum/$275 maximum to $75
minimum/$376 maximum, for each
entry or attempted entry.
Title 33—Navigation and Navigable
Waters
PART 27—ADJUSTMENT OF CIVIL
MONETARY PENALTIES FOR
INFLATION
10. The authority citation for part 27
continues to read as follows:
■
Authority: Secs. 1–6, Public Law 101–410,
104 Stat. 890, as amended by Sec.
31001(s)(1), Public Law 104–134, as amended
by Public Law 114–74; 110 Stat. 1321 (28
U.S.C. 2461 note); Department of Homeland
Security Delegation No. 0170.1, sec. 2 (106).
■
11. Revise § 27.3 to read as follows:
§ 27.3
Penalty adjustment table.
Table 1 identifies the statutes
administered by the Coast Guard that
authorize a civil monetary penalty. The
‘‘adjusted maximum penalty’’ is the
maximum penalty authorized by the
Federal Civil Penalties Inflation
Adjustment Act of 1990, as amended by
the Federal Civil Penalties Inflation
Adjustment Act Improvements Act of
2015, as determined by the Coast Guard.
The adjusted civil penalty amounts
listed in Table 1 are applicable for
penalty assessments issued after August
1, 2016, with respect to violations
occurring after November 2, 2015. The
applicable civil penalty amounts for
violations occurring on or before
November 2, 2015, are set forth in
previously published regulations
amending 33 CFR part 27.
TABLE 1—CIVIL MONETARY PENALTY INFLATION ADJUSTMENTS
U.S. Code citation
14
14
14
14
16
19
19
19
19
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
88(c) .......................
88(e) .......................
645(i) ......................
645(i) ......................
4711(g)(1) ...............
70 ............................
70 ............................
1581(d) ...................
1581(d) ...................
33
33
33
33
33
33
33
33
33
33
33
33
33
33
33
33
33
33
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
471 ..........................
474 ..........................
495(b) .....................
499(c) .....................
502(c) .....................
533(b) .....................
1208(a) ...................
1208(b) ...................
1232(a) ...................
1236(b) ...................
1236(c) ...................
1236(d) ...................
1321(b)(6)(B)(i) .......
1321(b)(6)(B)(i) .......
1321(b)(6)(B)(ii) ......
1321(b)(6)(B)(ii) ......
1321(b)(7)(A) ..........
1321(b)(7)(A) ..........
asabaliauskas on DSK3SPTVN1PROD with RULES
33 U.S.C. 1321(b)(7)(B) ..........
33 U.S.C. 1321(b)(7)(C) ..........
33 U.S.C. 1321(b)(7)(D) ..........
33 U.S.C. 1321(b)(7)(D) ..........
33
33
33
33
U.S.C.
U.S.C.
U.S.C.
U.S.C.
1322(j) ....................
1322(j) ....................
1608(a) ...................
1608(b) ...................
VerDate Sep<11>2014
16:44 Jun 30, 2016
2016 adjusted
maximum
penalty
amount
($)
Civil monetary penalty description
Saving Life and Property ...............................................................................................................
Saving Life and Property; Intentional Interference with Broadcast ...............................................
Confidentiality of Medical Quality Assurance Records (first offense) ...........................................
Confidentiality of Medical Quality Assurance Records (subsequent offenses) ............................
Aquatic Nuisance Species in Waters of the United States ...........................................................
Obstruction of Revenue Officers by Masters of Vessels ..............................................................
Obstruction of Revenue Officers by Masters of Vessels—Minimum Penalty ...............................
Failure to Stop Vessel When Directed; Master, Owner, Operator or Person in Charge 1 ...........
Failure to Stop Vessel When Directed; Master, Owner, Operator or Person in Charge—Minimum Penalty 1.
Anchorage Ground/Harbor Regulations General ..........................................................................
Anchorage Ground/Harbor Regulations St. Mary’s River .............................................................
Bridges/Failure to Comply with Regulations .................................................................................
Bridges/Drawbridges ......................................................................................................................
Bridges/Failure to Alter Bridge Obstructing Navigation .................................................................
Bridges/Maintenance and Operation .............................................................................................
Bridge to Bridge Communication; Master, Person in Charge or Pilot ..........................................
Bridge to Bridge Communication; Vessel ......................................................................................
PWSA Regulations ........................................................................................................................
Vessel Navigation: Regattas or Marine Parades; Unlicensed Person in Charge .........................
Vessel Navigation: Regattas or Marine Parades; Owner Onboard Vessel ..................................
Vessel Navigation: Regattas or Marine Parades; Other Persons .................................................
Oil/Hazardous Substances: Discharges (Class I per violation) ....................................................
Oil/Hazardous Substances: Discharges (Class I total under paragraph) .....................................
Oil/Hazardous Substances: Discharges (Class II per day of violation) ........................................
Oil/Hazardous Substances: Discharges (Class II total under paragraph) ....................................
Oil/Hazardous Substances: Discharges (per day of violation) Judicial Assessment ....................
Oil/Hazardous Substances: Discharges (per barrel of oil or unit discharged) Judicial Assessment.
Oil/Hazardous Substances: Failure to Carry Out Removal/Comply With Order (Judicial Assessment).
Oil/Hazardous Substances: Failure to Comply with Regulation Issued Under 1321(j) (Judicial
Assessment).
Oil/Hazardous Substances: Discharges, Gross Negligence (per barrel of oil or unit discharged)
Judicial Assessment.
Oil/Hazardous Substances: Discharges, Gross Negligence—Minimum Penalty (Judicial Assessment).
Marine Sanitation Devices; Operating ...........................................................................................
Marine Sanitation Devices; Sale or Manufacture ..........................................................................
International Navigation Rules; Operator ......................................................................................
International Navigation Rules; Vessel ..........................................................................................
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E:\FR\FM\01JYR1.SGM
01JYR1
10,017
1,028
5,032
33,546
37,561
7,500
1,750
5,000
1,000
10,875
750
27,455
27,455
27,455
27,455
2,000
2,000
88,613
8,908
8,908
4,454
17,816
44,539
17,816
222,695
44,539
1,782
44,539
44,539
5,345
178,156
7,500
20,000
14,023
14,023
43004
Federal Register / Vol. 81, No. 127 / Friday, July 1, 2016 / Rules and Regulations
TABLE 1—CIVIL MONETARY PENALTY INFLATION ADJUSTMENTS—Continued
U.S. Code citation
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
1908(b)(1) ...............
1908(b)(2) ...............
2072(a) ...................
2072(b) ...................
2609(a) ...................
2609(b) ...................
2716a(a) .................
3852(a)(1)(A) ..........
3852(a)(1)(A) ..........
3852(c) ...................
9609(a) ...................
9609(b) ...................
9609(b) ...................
9609(c) ...................
9609(c) ...................
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
asabaliauskas on DSK3SPTVN1PROD with RULES
33
33
33
33
33
33
33
33
33
33
42
42
42
42
42
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
80509(a) .................
70305(c) .................
2110(e) ...................
2115 ........................
2302(a) ...................
2302(a) ...................
2302(c)(1) ...............
2306(a)(4) ...............
2306(b)(2) ...............
3102(c)(1) ...............
3302(i)(5) ................
3318(a) ...................
3318(g) ...................
3318(h) ...................
3318(i) ....................
3318(j)(1) ................
3318(j)(1) ................
3318(k) ...................
3318(l) ....................
3502(e) ...................
3504(c) ...................
3504(c) ...................
3506 ........................
3718(a)(1) ...............
4106 ........................
4311(b)(1) ...............
4311(b)(1) ...............
4311(c) ...................
4507 ........................
4703 ........................
5116(a) ...................
5116(b) ...................
5116(c) ...................
6103(a) ...................
6103(b) ...................
8101(e) ...................
8101(f) ....................
8101(g) ...................
8101(h) ...................
46
46
46
46
46
46
46
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
8102(a) ...................
8103(f) ....................
8104(i) ....................
8104(j) ....................
8302(e) ...................
8304(d) ...................
8502(e) ...................
46
46
46
46
U.S.C.
U.S.C.
U.S.C.
U.S.C.
8502(f) ....................
8503 ........................
8701(d) ...................
8702(e) ...................
VerDate Sep<11>2014
16:44 Jun 30, 2016
2016 adjusted
maximum
penalty
amount
($)
Civil monetary penalty description
Pollution from Ships; General ........................................................................................................
Pollution from Ships; False Statement ..........................................................................................
Inland Navigation Rules; Operator ................................................................................................
Inland Navigation Rules; Vessel ....................................................................................................
Shore Protection; General .............................................................................................................
Shore Protection; Operating Without Permit .................................................................................
Oil Pollution Liability and Compensation .......................................................................................
Clean Hulls; Civil Enforcement ......................................................................................................
Clean Hulls; related to false statements .......................................................................................
Clean Hulls; Recreational Vessels ................................................................................................
Hazardous Substances, Releases, Liability, Compensation (Class I) ..........................................
Hazardous Substances, Releases, Liability, Compensation (Class II) .........................................
Hazardous Substances, Releases, Liability, Compensation (Class II subsequent offense) ........
Hazardous Substances, Releases, Liability, Compensation (Judicial Assessment) ....................
Hazardous Substances, Releases, Liability, Compensation (Judicial Assessment subsequent
offense).
Safe Containers for International Cargo ........................................................................................
Suspension of Passenger Service ................................................................................................
Vessel Inspection or Examination Fees ........................................................................................
Alcohol and Dangerous Drug Testing ...........................................................................................
Negligent Operations: Recreational Vessels .................................................................................
Negligent Operations: Other Vessels ............................................................................................
Operating a Vessel While Under the Influence of Alcohol or a Dangerous Drug ........................
Vessel Reporting Requirements: Owner, Charterer, Managing Operator, or Agent ....................
Vessel Reporting Requirements: Master .......................................................................................
Immersion Suits .............................................................................................................................
Inspection Permit ...........................................................................................................................
Vessel Inspection; General ............................................................................................................
Vessel Inspection; Nautical School Vessel ...................................................................................
Vessel Inspection; Failure to Give Notice IAW 3304(b) ................................................................
Vessel Inspection; Failure to Give Notice IAW 3309(c) ................................................................
Vessel Inspection; Vessel ≥1600 Gross Tons ..............................................................................
Vessel Inspection; Vessel <1600 Gross Tons ..............................................................................
Vessel Inspection; Failure to Comply with 3311(b) .......................................................................
Vessel Inspection; Violation of 3318(b)–3318(f) ...........................................................................
List/Count of Passengers ..............................................................................................................
Notification to Passengers .............................................................................................................
Notification to Passengers; Sale of Tickets ...................................................................................
Copies of Laws on Passenger Vessels; Master ...........................................................................
Liquid Bulk/Dangerous Cargo ........................................................................................................
Uninspected Vessels .....................................................................................................................
Recreational Vessels (maximum for related series of violations) .................................................
Recreational Vessels; Violation of 4307(a) ...................................................................................
Recreational Vessels .....................................................................................................................
Uninspected Commercial Fishing Industry Vessels ......................................................................
Abandonment of Barges ................................................................................................................
Load Lines .....................................................................................................................................
Load Lines; Violation of 5112(a) ...................................................................................................
Load Lines; Violation of 5112(b) ...................................................................................................
Reporting Marine Casualties .........................................................................................................
Reporting Marine Casualties; Violation of 6104 ............................................................................
Manning of Inspected Vessels; Failure to Report Deficiency in Vessel Complement ..................
Manning of Inspected Vessels ......................................................................................................
Manning of Inspected Vessels; Employing or Serving in Capacity not Licensed by USCG ........
Manning of Inspected Vessels; Freight Vessel <100 GT, Small Passenger Vessel, or Sailing
School Vessel.
Watchmen on Passenger Vessels ................................................................................................
Citizenship Requirements ..............................................................................................................
Watches on Vessels; Violation of 8104(a) or (b) ..........................................................................
Watches on Vessels; Violation of 8104(c), (d), (e), or (h) ............................................................
Staff Department on Vessels .........................................................................................................
Officer’s Competency Certificates .................................................................................................
Coastwise Pilotage; Owner, Charterer, Managing Operator, Agent, Master or Individual in
Charge.
Coastwise Pilotage; Individual .......................................................................................................
Federal Pilots .................................................................................................................................
Merchant Mariners Documents .....................................................................................................
Crew Requirements .......................................................................................................................
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E:\FR\FM\01JYR1.SGM
01JYR1
70,117
14,023
14,023
14,023
49,467
19,787
44,539
40,779
54,373
5,437
53,907
53,907
161,721
53,907
161,721
5,893
58,929
8,908
7,251
6,559
32,796
7,251
11,293
2,259
11,293
2,355
11,293
11,293
2,259
2,259
22,587
4,517
22,587
11,293
235
23,548
1,177
471
58,871
9,893
311,470
6,229
2,355
9,893
1,677
10,781
21,563
10,781
37,561
9,893
1,782
17,816
17,816
2,355
2,355
1,177
17,816
17,816
235
235
17,816
17,816
56,467
1,177
17,816
Federal Register / Vol. 81, No. 127 / Friday, July 1, 2016 / Rules and Regulations
43005
TABLE 1—CIVIL MONETARY PENALTY INFLATION ADJUSTMENTS—Continued
2016 adjusted
maximum
penalty
amount
($)
U.S. Code citation
Civil monetary penalty description
46 U.S.C. 8906 ........................
46 U.S.C. 9308(a) ...................
Small Vessel Manning ...................................................................................................................
Pilotage: Great Lakes; Owner, Charterer, Managing Operator, Agent, Master or Individual in
Charge.
Pilotage: Great Lakes; Individual ...................................................................................................
Pilotage: Great Lakes; Violation of 9303 .......................................................................................
Failure to Report Sexual Offense ..................................................................................................
Pay Advances to Seamen .............................................................................................................
Pay Advances to Seamen; Remuneration for Employment ..........................................................
Allotment to Seamen .....................................................................................................................
Seamen Protection; General .........................................................................................................
Coastwise Voyages: Advances .....................................................................................................
Coastwise Voyages: Advances; Remuneration for Employment ..................................................
Coastwise Voyages: Seamen Protection; General .......................................................................
Effects of Deceased Seamen ........................................................................................................
Complaints of Unfitness .................................................................................................................
Proceedings on Examination of Vessel .........................................................................................
Permission to Make Complaint ......................................................................................................
Accommodations for Seamen .......................................................................................................
Medicine Chests on Vessels .........................................................................................................
Destitute Seamen ..........................................................................................................................
Wages on Discharge .....................................................................................................................
Log Books; Master Failing to Maintain ..........................................................................................
Log Books; Master Failing to Make Entry .....................................................................................
Log Books; Late Entry ...................................................................................................................
Carrying of Sheath Knives .............................................................................................................
Vessel Documentation ...................................................................................................................
Documentation of Vessels—Related to activities involving mobile offshore drilling units ............
Vessel Documentation; Fishery Endorsement ..............................................................................
Numbering of Undocumented Vessels—Willful violation ..............................................................
Numbering of Undocumented Vessels ..........................................................................................
Vessel Identification System ..........................................................................................................
Measurement of Vessels ...............................................................................................................
Measurement; False Statements ...................................................................................................
Commercial Instruments and Maritime Liens ................................................................................
Commercial Instruments and Maritime Liens; Mortgagor .............................................................
Commercial Instruments and Maritime Liens; Violation of 31329 ................................................
Port Security ..................................................................................................................................
Port Security—Continuing Violations .............................................................................................
Maritime Drug Law Enforcement; Penalties ..................................................................................
Hazardous Materials: Related to Vessels—Maximum Penalty .....................................................
Hazardous Materials: Related to Vessels—Penalty from Fatalities, Serious Injuries/Illness or
Substantial Damage to Property.
Hazardous Materials: Related to Vessels—Training. ....................................................................
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
46
49
49
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
9308(b) ...................
9308(c) ...................
10104(b) .................
10314(a)(2) .............
10314(b) .................
10315(c) .................
10321 ......................
10505(a)(2) .............
10505(b) .................
10508(b) .................
10711 ......................
10902(a)(2) .............
10903(d) .................
10907(b) .................
11101(f) ..................
11102(b) .................
11104(b) .................
11105(c) .................
11303(a) .................
11303(b) .................
11303(c) .................
11506 ......................
12151(a)(1) .............
12151(a)(2) .............
12151(c) .................
12309(a) .................
12309(b) .................
12507(b) .................
14701 ......................
14702 ......................
31309 ......................
31330(a)(2) .............
31330(b)(2) .............
70119(a) .................
70119(b) .................
70506 ......................
5123(a)(1) ...............
5123(a)(2) ...............
49 U.S.C. 5123(a)(3) ...............
1 Enacted
17,816
17,816
9,468
1,177
1,177
1,177
8,162
8,162
8,162
8,162
471
1,177
235
1,177
1,177
1,177
235
1,177
471
471
353
118
15,423
25,705
117,858
11,774
2,355
19,787
43,126
43,126
19,787
19,787
49,467
32,796
58,929
5,437
77,114
179,933
463
under the Tariff Act of 1930, exempt from inflation adjustments.
Title 49—Transportation
PART 1503—INVESTIGATIVE AND
ENFORCEMENT PROCEDURES
12. The authority citation for part
1503 is revised to read as follows:
■
asabaliauskas on DSK3SPTVN1PROD with RULES
37,561
17,816
Authority: 6 U.S.C. 1142; 18 U.S.C. 6002;
28 U.S.C. 2461 (note); 49 U.S.C. 114, 20109,
31105, 40113–40114, 40119, 44901–44907,
46101–46107, 46109–46110, 46301, 46305,
46311, 46313–46314; Pub. L. 104–134, as
amended by Pub. L. 114–74.
13. Revise § 1503.401 to read as
follows:
■
§ 1503.401
Maximum penalty amounts.
(a) General. TSA may assess civil
penalties not exceeding the following
VerDate Sep<11>2014
16:44 Jun 30, 2016
Jkt 238001
amounts against a person for the
violation of a TSA requirement.
(b) In general. Except as provided in
paragraph (c) of this section, in the case
of violation of title 49 U.S.C. or 46
U.S.C. chapter 701, or a regulation
prescribed or order issued under any of
those provisions, TSA may impose a
civil penalty in the following amounts:
(1) For violations that occurred on or
before November 2, 2015, $10,000 per
violation, up to a total of $50,000 per
civil penalty action, in the case of an
individual or small business concern, as
defined in section 3 of the Small
Business Act (15 U.S.C. 632). For
violations that occurred after November
2, 2015, $11,002 per violation, up to a
total of $55,010 per civil penalty action,
PO 00000
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Fmt 4700
Sfmt 4700
in the case of an individual or small
business concern; and
(2) For violations that occurred on or
before November 2, 2015, $10,000 per
violation, up to a total of $400,000 per
civil penalty action, in the case of any
other person. For violations that
occurred after November 2, 2015,
$11,002 per violation, up to a total of
$440,080 per civil penalty action, in the
case of any other person.
(c) Certain aviation related violations.
In the case of a violation of 49 U.S.C.
chapter 449 (except sections 44902,
44903(d), 44907(a)–(d)(1)(A),
44907(d)(1)(C)–(f), 44908, and 44909), or
49 U.S.C. 46302 or 46303, or a
regulation prescribed or order issued
under any of those provisions, TSA may
E:\FR\FM\01JYR1.SGM
01JYR1
43006
Federal Register / Vol. 81, No. 127 / Friday, July 1, 2016 / Rules and Regulations
impose a civil penalty in the following
amounts:
(1) For violations that occurred on or
before November 2, 2015, $10,000 per
violation, up to a total of $50,000 per
civil penalty action, in the case of an
individual or small business concern, as
defined in section 3 of the Small
Business Act (15 U.S.C. 632). For
violations that occurred after November
2, 2015, $12,856 per violation, up to a
total of 64,281 per civil penalty action,
in the case of an individual (except an
airman serving as an airman), or a small
business concern.
(2) For violations that occurred on or
before November 2, 2015, $10,000 per
violation, up to a total of $400,000 per
civil penalty action, in the case of any
other person (except an airman serving
as an airman) not operating an aircraft
for the transportation of passengers or
property for compensation. For
violations that occurred after November
2, 2015, $12,856 per violation, up to a
total of $514,244 per civil penalty
action, in the case of any other person
(except an airman serving as an airman)
not operating an aircraft for the
transportation of passengers or property
for compensation.
(3) For violations that occurred on or
before November 2, 2015, $25,000 per
violation, up to a total of $400,000 per
civil penalty action, in the case of a
person operating an aircraft for the
transportation of passengers or property
for compensation (except an individual
serving as an airman). For violations
that occurred after November 2, 2015,
$32,140 per violation, up to a total of
$514,244 per civil penalty action, in the
case of a person (except an individual
serving as an airman) operating an
aircraft for the transportation of
passengers or property for
compensation.
Jeh Charles Johnson,
Secretary.
[FR Doc. 2016–15673 Filed 6–30–16; 8:45 am]
BILLING CODE 9110–09–P; 9111–14–P; 9111–28–P;
9110–04–P; 9110–05–P
This document establishes
rules to govern the award of funds by
the Foreign Agricultural Service (FAS)
to recipients under the USDA Local and
Regional Food Aid Procurement
Program (USDA LRP Program). Section
3206 of the Food, Conservation, and
Energy Act of 2008, as amended by the
Agricultural Act of 2014, provides that
the Secretary of Agriculture will provide
grants to, or enter into cooperative
agreements with, eligible organizations
to implement field-based projects that
consist of local or regional
procurements of eligible commodities in
developing countries to provide
development assistance and respond to
food crises and disasters. The intended
effects of the USDA LRP Program are to
support development activities aimed at
strengthening the trade capacity of foodinsecure developing countries and to
address the cause of chronic food
insecurity. The regulation also
addresses how emergency programming
will be addressed.
DATES: Effective July 1, 2016.
Comment Dates: Written comments
must be received by FAS or carry a
postmark or equivalent no later than
August 30, 2016.
ADDRESSES: Submit comments to:
• Federal Rulemaking Portal: Go to
https://www.regulations.gov. Follow the
instructions for submitting comments.
• Director, Food Assistance Division,
Office of Capacity Building and
Development, Foreign Agricultural
Service, 1400 Independence Ave. SW.,
STOP 1034, Washington, DC 20250.
FOR FURTHER INFORMATION CONTACT:
Director, Food Assistance Division,
Office of Capacity Building and
Development, Foreign Agricultural
Service, 1400 Independence Ave. SW.,
STOP 1034, Washington, DC 20250.
Telephone: (202) 720–4221; Fax: (202)
690–0251; Email: FAD_Contact@
fas.usda.gov.
SUMMARY:
SUPPLEMENTARY INFORMATION:
Background
Overview
DEPARTMENT OF AGRICULTURE
Foreign Agricultural Service
asabaliauskas on DSK3SPTVN1PROD with RULES
7 CFR Part 1590
RIN 0551–AA87
Local and Regional Food Aid
Procurement Program
Foreign Agricultural Service,
USDA.
ACTION: Final rule with request for
comments.
AGENCY:
VerDate Sep<11>2014
16:44 Jun 30, 2016
Jkt 238001
the World Food Program (WFP), have
successfully utilized local and regional
procurement over the last decade. Local
and regional procurement, which has
increasingly become a key element in
the multilateral food aid response, is
used to purchase food in countries
affected by disasters and food crises or
in a different country within the same
region.
Currently many bilateral food
assistance donors have shifted from
commodity-based in-kind food aid to a
cash-based food assistance program. The
World Food Program has cited that the
use of cash-based programs enables
NGOs and intergovernmental
organizations to purchase food locally
or regionally in order to deliver
assistance to beneficiaries quickly and
cost-effectively, while also providing
development benefits to local
communities by strengthening
agricultural markets where the food is
purchased.
Several academic and other studies
have cited significant cost and time
savings for certain commodities and in
certain areas.1 For example, GAO found
that in Sub-Saharan Africa, local
procurement cost about 34 percent less
than similar in-kind U.S. food aid
shipments. Some studies cited by the
Government Accountability Office
noted that large cash purchases in some
developing countries could have
detrimental effects on local market
conditions if not carefully done. In cases
where local purchases might
substantially raise local market prices,
in-kind donations of commodities may
be more beneficial. Similarly, GAO and
others have noted that in-kind
donations can also have detrimental
effects depending on local market
conditions, depressing local farmers’
prices if not carefully done. As the
largest international food aid donor,
contributing over half of all global food
aid supplies to alleviate hunger and
support development, the United States
plays an important role in responding to
Section 3206 of the Food,
Conservation, and Energy Act of 2008
(the ‘‘2008 Farm Bill’’), as amended by
the Agricultural Act of 2014 (the ‘‘2014
Farm Bill’’), provides that the Secretary
of Agriculture will establish a program
to provide grants to, or enter into
cooperative agreements with, eligible
organizations to procure locally or
regionally produced commodities to
respond to food crises and disasters.
International nongovernmental
organizations (NGOs) and
intergovernmental organizations, like
PO 00000
Frm 00024
Fmt 4700
Sfmt 4700
1 See, for example, Erin C. Lentz, Simone
Passarelli, Christopher B. Barrett, ‘‘The Timeliness
and Cost-Effectiveness of the Local and Regional
Procurement of Food Aid,’’ World Development,
Available online 1 March 2013, ISSN 0305–750X,
10.1016/j.worlddev.2013.01.017; Barrett,
Christopher B., Samuel D. Bell, Teevrat Garg,
´
Miguel I. Gomez, Aurelie P. Harou, Erin C. Lentz,
Simone Passarelli, Joanna B. Upton and William J.
Violette. ‘‘Final Report: A Multidimensional
Analysis of Local and Regional Procurement of US
Food Aid,’’ January 2012. Cornell University; and
General Accountability Office, Local and Regional
Procurement Can Enhance the Efficiency of U.S.
Food Aid, but Challenges May Constrain Its
Implementation, GAO–09–570: Published: May 29,
2009. Publicly Released: Jun 4, 2009, https://
www.gao.gov/products/GAO-09-570. Appendix VI
of the GAO report includes a review of literature
on local and regional procurement.
E:\FR\FM\01JYR1.SGM
01JYR1
]]>Agencies
[Federal Register Volume 81, Number 127 (Friday, July 1, 2016)]
[Rules and Regulations]
[Pages 42987-43006]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-15673]
[[Page 42987]]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF HOMELAND SECURITY
6 CFR Part 27
8 CFR Parts 270, 274a, and 280
Coast Guard
33 CFR Part 27
Transportation Security Administration
49 CFR Part 1503
RIN 1601-AA80
[Docket No. DHS-2016-0034]
Civil Monetary Penalty Adjustments for Inflation
AGENCY: Department of Homeland Security.
ACTION: Interim final rule with request for comments.
-----------------------------------------------------------------------
SUMMARY: This rule amends Department of Homeland Security (DHS or
Department) regulations to adjust DHS and component civil monetary
penalties for inflation. DHS calculated the adjusted penalties
according to the statutory formula in the Federal Civil Penalties
Inflation Adjustment Act Improvements Act of 2015, which was signed
into law on November 2, 2015. The adjusted penalties will be effective
for civil penalties assessed after August 1, 2016 whose associated
violations occurred after November 2, 2015.
DATES: Effective Date. This rule is effective on August 1, 2016.
Comment Date: Comments must be received on or before August 1,
2016.
ADDRESSES: You may submit comments, identified by docket number DHS-
2016-0034, by one of the following methods:
Federal eRulemaking Portal: https://www.regulations.gov.
Follow the instructions for submitting comments.
Mail: Megan Westmoreland, Office of the General Counsel,
U.S. Department of Homeland Security, 245 Murray Lane SW., Mail Stop
0485, Washington, DC 20528-0485.
FOR FURTHER INFORMATION CONTACT: Megan Westmoreland, Attorney-Advisor,
Office of the General Counsel, U.S. Department of Homeland Security.
Phone: 202-447-4384.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Background
II. Adjustments by Component
A. National Protection and Programs Directorate
B. U.S. Customs and Border Protection
C. Immigration and Customs Enforcement
D. U.S. Coast Guard
E. Transportation Security Administration
III. Administrative Procedure Act
IV. Regulatory Analyses
A. Executive Orders 12866 and 13563
B. Regulatory Flexibility Act
C. Unfunded Mandates Reform Act
D. Paperwork Reduction Act
I. Background
On November 2, 2015, the President signed into law the Federal
Civil Penalties Inflation Adjustment Act Improvements Act of 2015 (Pub.
L. 114-74 section 701 (Nov. 2, 2105)) (the 2015 Act),\1\ which further
amended the Federal Civil Penalties Inflation Adjustment Act of 1990
(28 U.S.C. 2461 note) (the Inflation Adjustment Act), to improve the
effectiveness of civil monetary penalties and to maintain their
deterrent effect. The 2015 Act requires agencies to: (1) adjust the
level of civil monetary penalties with an initial ``catch-up''
adjustment through issuance of an interim final rule (IFR) and (2) make
subsequent annual adjustments for inflation.
---------------------------------------------------------------------------
\1\ The 2015 Act was enacted as part of the Bipartisan Budget
Act of 2015, Public Law 114-74 (Nov. 2, 2015).
---------------------------------------------------------------------------
The 2015 Act applies to all agency civil penalties except for any
penalty (including any addition to tax and additional amount) under the
Internal Revenue Code of 1986 (26 U.S.C. 1 et seq.) and the Tariff Act
of 1930 (19 U.S.C. 1202 et seq.). See sec. 4(a)(1) of the 2015 Act. In
the case of DHS, several civil penalties that are collected by U.S.
Customs and Border Protection (CBP) and the U.S. Coast Guard fall under
the Tariff Act of 1930, and thus DHS is not adjusting those civil
penalties in this rulemaking.
The 2015 Act applies the new penalty amounts to all penalties that
DHS assesses after August 1, 2016, the effective date of this rule.
Additionally, pursuant to 28 U.S.C. 2461 note sec. 6, as amended by the
2015 Act, DHS will apply the adjusted penalty amounts for any
violations that occurred after November 2, 2015 (i.e., the date the
2015 Act was signed into law) as long as the penalty is assessed after
the effective date of this interim final rule.
The 2015 Act provides a new method for calculating inflation
adjustments. The new method differs substantially from the methods that
agencies used in the past when conducting inflation adjustments
pursuant to the 1990 Inflation Adjustment Act. The new method is
intended to more accurately reflect inflation. Previously, when
agencies conducted adjustments to civil penalties, they did so under
rules that required significant rounding of figures. For example, an
agency would round a penalty increase that was greater than $1,000, but
less than or equal to $10,000, to the nearest multiple of $1,000. While
this allowed penalties to be kept at round numbers, it meant that
agencies would often not increase penalties at all if the inflation
factor was not large enough. Furthermore, increases to penalties were
capped at 10 percent, which meant that longer periods without an
inflation adjustment could cause a penalty to rapidly lose value in
real terms. Over time, the formula used in the 1990 Inflation
Adjustment Act calculations frequently caused penalties to lose value
relative to actual inflation. The 2015 Act removed these rounding
rules, and instead instructs agencies to round penalties to the nearest
$1. While this creates penalty values that are no longer round numbers,
it does ensure that agencies will increase penalties each year to a
figure commensurate with the actual calculated inflation.
To better reflect the original impact of civil penalties, the 2015
Act ``resets'' the inflation calculations by excluding prior
inflationary adjustments under the Inflation Adjustment Act. To do
this, the 2015 Act requires agencies to identify, for each penalty, the
year that Congress originally enacted the maximum penalty level/range
of minimum and maximum penalty levels or the year that the agency last
adjusted the penalty amount other than to pursuant to the Inflation
Adjustment Act, and the corresponding penalty amount(s). The 2015 Act
then requires agencies to perform an initial ``catch-up'' adjustment,
using the original amounts of civil penalties as a baseline, so that
the 2016 penalty levels are equal, in real terms, to the penalty
amounts as they were originally established.
Pursuant to the 2015 Act, DHS undertook a review of the civil
penalties that DHS and its components administer. This rule sets forth
the initial ``catch-up'' adjustment for all civil penalties that DHS
and its components administer. For each component, we have provided a
table showing how DHS is increasing the penalties pursuant to the 2015
Act. The table contains the following information:
In the first column (penalty name), we provide a
description of the penalty.
In the second column (citation), we provide the statutory
cite from the United States Code (U.S.C.) and the regulatory cite from
the Code of Federal Regulations (CFR).
[[Page 42988]]
In the third column (current penalty), we list the
existing penalty in effect on November 2, 2015.
In the fourth column (baseline penalty (year)), we provide
the amount and year of the penalty as enacted by Congress or as last
changed through a mechanism other than pursuant to the Inflation
Adjustment Act, whichever is later.
In the fifth column (multiplier), we list the multiplier
used to adjust the penalty. The multiplier is determined by the year of
enactment or last adjustment of the penalty. The multiplier is based
upon the Consumer Price Index (CPI-U) for the month of October 2015,
not seasonally adjusted.\2\
---------------------------------------------------------------------------
\2\ OMB, Implementation of the Federal Civil Penalties Inflation
Adjustment Act Improvements Act of 2015, Table A, 24 February 2016.
https://www.whitehouse.gov/sites/default/files/omb/memoranda/2016/m-16-06.pdf.
---------------------------------------------------------------------------
In the sixth column (preliminary new penalty), we list the
amount obtained by multiplying the Baseline Penalty from column 4 with
the Multiplier from column 5. This amount will be the final penalty,
if, in accordance with the 2015 Act, this level does not increase
penalty levels by more than 150 percent of the corresponding levels in
effect on November 2, 2015.\3\
---------------------------------------------------------------------------
\3\ The 150 percent limitation is on the amount of the increase;
therefore, the adjusted penalty levels are up to 250 percent of the
levels in effect on November 2, 2015.
---------------------------------------------------------------------------
In the seventh column, (adjusted new penalty), we provide
the final number for the penalty. To derive this number, we compare the
preliminary new penalty with the current penalty from column 3. The
adjusted new penalty is the lesser of either the preliminary new
penalty or an amount equal to 150 percent more than the current
penalty.
Additionally, where applicable, we have also made conforming edits
to regulatory text.
II. Adjustments by Component
In the following sections, we briefly describe the civil penalties
that DHS and its components assess. We describe the nature of the
penalties and discuss relevant authorities. We include tables at the
end of each section, which list the individual adjustments for each
penalty. We also include discussions where we believe further
explanation is helpful.
A. National Protection and Programs Directorate
The National Protection and Programs Directorate (NPPD) administers
only one civil penalty that the 2015 Act affects. This penalty assesses
fines for violations of the Chemical Facility Anti-Terrorism Standards
(CFATS), a program which regulates the security of chemical facilities
that, in the discretion of the Secretary, present high levels of
security risk. The CFATS program was originally established in 2007,
pursuant to section 550 of the Department of Homeland Security
Appropriations Act of 2007 (Pub. L. 109-295),\4\ and is currently
located in part 27 of Title 6 of the CFR.
---------------------------------------------------------------------------
\4\ Section 550 has since been superseded by the Protecting and
Securing Chemical Facilities from Terrorist Attacks Act of 2014
(Pub. L. 113-254). The new legislation codified the statutory
authority for the CFATS program within Title XXI of the Homeland
Security Act of 2002, as amended. See 6 U.S.C. 621 et seq.
---------------------------------------------------------------------------
One question that arose is how to calculate the baseline date of
the CFATS penalty, which is $25,000 per day. The question arose because
the 2007 legislation, which established CFATS, did not create a new
penalty provision, but rather referenced an older one: \5\ Section
70119(a) of Title 46. The Maritime Transportation Security Act (MTSA)
(Pub. L. 107-295) was enacted in 2002 and established this penalty
provision. For that reason, arguments could be made that we should
index the $25,000 penalty by the 2002 CPI value (the date the MTSA
penalty was established) or the 2007 CPI value (the date the CFATS
program was enacted). The difference between these numbers is
material--indexing the $25,000 penalty by the 2002 CPI value would
yield a current penalty of $32,796 per day, while indexing the penalty
by the 2007 CPI value would yield a current penalty of only $28,458 per
day.
---------------------------------------------------------------------------
\5\ Section 550(d) of the Department of Homeland Security
Appropriations Act of 2007 set forth the CFATS penalty, providing
that ``[a]ny person who violates an order issued under this section
shall be liable for a civil penalty under section 70119(a) of title
46, United States Code. After promulgation of the Protecting and
Securing Chemical Facilities from Terrorist Attacks Act of 2014, the
relevant U.S.C. citation is 6 U.S.C. 624(b)(1), which still refers
to the civil penalty section in 46 U.S.C. 70119(a).
---------------------------------------------------------------------------
Because the CFATS legislation did not create a new civil penalty,
but rather simply referenced the existing MTSA penalty, we believe the
intent of Congress was that violators of either MTSA or CFATS would
face identical penalties. For this reason, we have considered the
``baseline'' year for the CFATS penalty to be 2002 rather than 2007,
and have increased the penalty by the multiplier appropriate for that
year, as shown in Table 1 below.
Table 1--CFATS Civil Penalty Adjustment
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Adjusted new penalty
Preliminary new [increase capped at
Penalty name Citation Current penalty Baseline penalty * (year) Multiplier ** penalty [multiplier 150% more than
x baseline penalty] current penalty]
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Penalty for non-compliance with 6 U.S.C. 624(b)(1);............ $25,000 per day................ $25,000 (2002)................ 1.31185 $32,796............. $32,796
CFATS regulations. 6 CFR 27.300(b)(3).............
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
* The amount of the penalty and the year of when the penalty was established or last adjusted in statute or regulation other than pursuant to the Inflation Adjustment Act of 1990.
** OMB, Implementation of the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, Table A: 2016 Civil Monetary Penalty Catch-Up Adjustment Multiplier by Calendar Year,
February 24, 2016.
B. U.S. Customs and Border Protection
U.S. Customs and Border Protection (CBP) assesses civil monetary
penalties for certain violations of title 8 of the CFR regarding the
Immigration and Nationality Act of 1952 (Pub. L. 82-414, as amended)
(INA). The INA contains provisions that impose penalties on persons,
including carriers and aliens, who violate specified provisions of the
INA. For example, section 231(g) of the INA, codified at 8 U.S.C.
1221(g), requires that a carrier shall be fined $1,000 for each person
for whom manifest information is not provided.
CBP's relevant penalty provisions are located in numerous sections
of the INA (see list below), however CBP has
[[Page 42989]]
enumerated these penalties in regulation in one location--in 8 CFR
280.53. Below is the list of penalty provisions in the INA:
Section 231(g), Penalties for non-compliance with arrival
and departure manifest requirements for passengers, crewmembers, or
occupants transported on commercial vessels or aircraft arriving to or
departing from the United States.
Section 234, Penalties for non-compliance with landing
requirements at designated ports of entry for aircraft transporting
aliens.
Section 240B(d), Penalties for failure to depart
voluntarily.
Section 243(c)(1)(A), Penalties for violations of removal
orders relating to aliens transported on vessels or aircraft under
section 241(d) or for costs associated with removal under section
241(e).
Section 243(c)(1)(B), Penalties for failure to remove
alien stowaways under section 241(d)(2).
Section 251(d), Penalties for failure to report an illegal
landing or desertion of alien crewmen, and for each alien not reported
on arrival or departure manifest or lists required in accordance with
section 251 and penalties for use of alien crewmen for longshore work
in violation of section 251(d).
Section 254(a), Penalties for failure to control, detain,
or remove alien crewmen.
Section 255, Penalties for employment on passenger vessels
of aliens afflicted with certain disabilities.
Section 256, Penalties for discharge of alien crewmen.
Section 257, Penalties for bringing into the United States
alien crewmen with intent to evade immigration laws.
Section 271(a), Penalties for failure to prevent the
unauthorized landing of aliens.
Section 272(a), Penalties for bringing to the United
States aliens subject to denial of admission on a health-related
ground.
Section 273(b), Penalties for bringing to the United
States aliens without required documentation.
Section 274D, Penalties for failure to depart.
Section 275(b), Penalties for improper entry.
We note, for reference, that CBP also assesses certain civil
monetary penalties for customs violations under title 19 of the CFR.
CBP assesses those penalties under the Tariff Act of 1930, as amended,
but as we discussed above, the 2015 Act specifically exempts Tariff Act
penalties from the inflation adjustment requirements in the 2015 Act.
For that reason, we have not listed those title 19 penalties in the
below table of CBP penalty adjustments.
Under this rule, the current penalties continue to be applicable
with regard to violations that occurred on or before November 2, 2015,
the date of enactment of the 2015 Act. In Table 2 below, we provide the
penalties that we are adjusting in accordance with the 2015 Act, where
the associated violations occurred after November 2, 2015.
Table 2--U.S. Customs and Border Protection Civil Penalties Adjustments
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Adjusted new penalty
Preliminary new [increase capped at
Penalty name Citation Current penalty Baseline penalty * (year) Multiplier ** penalty [multiplier 150% more than
x baseline penalty] current penalty]
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Penalties for non-compliance with 8 U.S.C. 1221(g)............... $1,100......................... $1,000 (2002).................. 1.31185 $1,312.............. $1,312
arrival and departure manifest 8 CFR 280.53(c)(1) (INA section
requirements for passengers, 231(g)).
crewmembers, or occupants
transported on commercial
vessels or aircraft arriving to
or departing from the United
States.
Penalties for non-compliance with 8 U.S.C. 1224.................. $3,200......................... $2,000 (1990).................. 1.78156 $3,563.............. $3,563
landing requirements at 8 CFR 280.53(c)(2) (INA section
designated ports of entry for 234).
aircraft transporting aliens.
Penalties for failure to depart 8 U.S.C. 1229c(d).............. $1,100-$5,500.................. $1,000-$5,000 (1996)........... 1.50245 $1,502-$7,512....... $1,502-$7,512
voluntarily. 8 CFR 280.53(c)(3) (INA section
240B(d)).
Penalties for violations of 8 U.S.C. 1253(c)(1)(A)......... $2,200......................... $2,000 (1996).................. 1.50245 $3,005.............. $3,005
removal orders relating to 8 CFR 280.53(c)(4) (INA section
aliens transported on vessels or 243(c)(1)(A)).
aircraft under section 241(d) of
the INA, or for costs associated
with removal under section
241(e) of the INA.
[[Page 42990]]
Penalties for failure to remove 8 U.S.C. 1253(c)(1)(B)......... $5,500......................... $5,000 (1996).................. 1.50245 $7,512.............. $7,512
alien stowaways under section 8 CFR 280.53(c)(4) (INA section
241(d)(2) of the INA. 243(c)(1)(B)).
Penalties for failure to report 8 U.S.C. 1281(d)............... $320 for each alien............ $200 for each alien (1990)..... 1.78156 $356 for each alien. $356 for each alien
an illegal landing or desertion 8 CFR 280.53(c)(5) (INA section
of alien crewmen, and for each 251(d)).
alien not reported on arrival or
departure manifest or lists
required in accordance with
section 251 of the INA.
Penalties for use of alien 8 U.S.C. 1281(d)............... $7,500......................... $5,000 (1990).................. 1.78156 $8,908.............. $8,908
crewmen for longshore work in 8 CFR 280.53(c)(5) (INA section
violation of section 251(d) of 251(d)).
the INA.
Penalties for failure to control, 8 U.S.C. 1284(a)............... $750-$4,300.................... $500-$3000 (1990).............. 1.78156 $891-$5,345......... $891-$5,345
detain, or remove alien crewmen. 8 CFR 280.53(c)(6) (INA section
254(a)).
Penalties for employment on 8 U.S.C. 1285.................. $1,100......................... $1,000 (1990).................. 1.78156 $1,782.............. $1,782
passenger vessels of aliens 8 CFR 280.53(c)(7) (INA section
afflicted with certain 255).
disabilities.
Penalties for discharge of alien 8 U.S.C. 1286.................. $1,500-$4,300.................. $1,500-$3,000 (1990)........... 1.78156 $2,672-$5,345....... $2,672-$5,345
crewmen. 8 CFR 280.53(c)(8) (INA section
256).
Penalties for bringing into the 8 U.S.C. 1287.................. $16,000........................ $10,000 (1990)................. 1.78156 $17,816............. $17,816
United States alien crewmen with 8 CFR 280.53(c)(9) (INA section
intent to evade immigration laws. 257).
Penalties for failure to prevent 8 U.S.C. Sec. 1321(a)........ $4,300......................... $3,000 (1990).................. 1.78156 $5,345.............. $5,345
the unauthorized landing of 8 CFR 280.53(c)(10) (INA
aliens. section 271(a)).
Penalties for bringing to the 8 U.S.C. Sec. 1322(a)........ $4,300......................... $3,000 (1990).................. 1.78156 $5,345.............. $5,345
United States aliens subject to 8 CFR 280.53(c)(11) (INA
denial of admission on a health- section 272(a)).
related ground.
Penalties for bringing to the 8 U.S.C. Sec. 1323(b)........ $4,300......................... $3,000 (1990).................. 1.78156 $5,345.............. $5,345
United States aliens without 8 CFR 280.53(c)(12) (INA
required documentation. section 273(b)).
Penalties for failure to depart.. 8 U.S.C. 1324d................. $550........................... $500 (1996).................... 1.50245 $751................ $751
8 CFR 280.53(c)(13) (INA
section 274D).
Penalties for improper entry..... 8 U.S.C. Sec. 1325(b)........ $55-275........................ $50-$250 (1996)................ 1.50245 $75-$376............ $75-$376
8 CFR 280.53(c)(14) (INA
section 275(b)).
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
* The amount of the penalty and the year of when the penalty was established or last adjusted in statute or regulation other than pursuant to the Inflation Adjustment Act of 1990.
** OMB, Implementation of the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, Table A: 2016 Civil Monetary Penalty Catch-Up Adjustment Multiplier by Calendar Year,
February 24, 2016.
[[Page 42991]]
C. Immigration and Customs Enforcement
Immigration and Customs Enforcement (ICE) assesses civil monetary
penalties for certain employment-related violations arising from the
INA. ICE's civil penalties are located in title 8 of the CFR.
There are three different sections in the INA that impose civil
monetary penalties for violations of the laws that relate to employment
actions (sections 274A, 274B, and 274C). ICE has primary enforcement
responsibilities for two of these civil penalty provisions (sections
274A and 274C), and the Department of Justice (DOJ) has enforcement
responsibilities for one of these civil penalty provisions (section
274B). The INA, in sections 274A and 274C, provides for imposition of
civil penalties for various specified unlawful acts pertaining to the
employment eligibility verification process (Form I-9, Employment
Eligibility Verification) and the employment of unauthorized aliens.
These penalties cover, among other things, the knowing employment of
unauthorized aliens and the failure to comply with the employment
verification requirements relating to completion of the Form I-9. ICE
assesses and imposes civil monetary penalties with respect to employer
sanctions under section 274A of the INA and 8 CFR part 274a. Similarly,
ICE imposes civil penalties for specified actions relating to
immigration-related document fraud under section 274C of the INA and 8
CFR part 270. We note that while ICE is updating the penalty amounts in
8 CFR part 270, ICE has not assessed these penalties in recent years.
Because both DHS and DOJ implement the three employment-related
penalty sections in the INA, both Departments are codifying the civil
penalty amounts in their implementing regulations. Pursuant to the
authority of the Inflation Adjustment Act and before the creation of
DHS, DOJ previously adjusted the civil monetary penalties for
inflation, increasing the specific amounts stated in sections 274A,
274B, and 274C of the INA. See 64 FR 7066 (Feb. 12, 1999) and 64 FR
47099 (Aug. 30, 1999). Both agencies issued a joint rulemaking to
update the penalties in 2008. See 73 FR 10130 (Feb. 26, 2008). Today,
as in 2008, the division of responsibilities between the Secretary of
Homeland Security and the Attorney General requires action by both
Departments in order to effectuate a further adjustment of the civil
penalties. The minimum and maximum civil penalty amounts for each
violation will necessarily be the same whether DHS or DOJ imposes the
penalty. See 8 CFR 274a.10 and 270.3; 28 CFR 68.52(c) and (e).
In this rule, DHS is amending 8 CFR parts 270 and 274a of the DHS
regulations to incorporate the revised schedule of civil penalties, as
adjusted for inflation according to the statutory formula described
above. We note that DOJ is similarly revising regulations in 28 CFR
part 68 (which correspond to the penalties in 8 CFR part 270) in a
separate civil penalty adjustment rulemaking.
Under this rule, the current penalties continue to be applicable
with regard to violations that occurred on or before November 2, 2015,
the date of enactment of the 2015 Act. Table 3 below lays out the
changes to the penalties, where the associated violations occurred
after November 2, 2015.
Table 3--Immigration and Customs Enforcement Civil Penalties Adjustments
--------------------------------------------------------------------------------------------------------------------------------------------------------
Adjusted new
Preliminary new penalty [increase
Penalty name Citation Current penalty Baseline penalty Multiplier penalty capped at 150%
* (year) ** [multiplier x more than current
baseline penalty] penalty]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Civil penalties for violation 8 CFR 270.3(b)(1)(ii)(A).... $375-$3,200....... $250-$2,000 (1990) 1.78156 $445-$3,563....... $445-$3,563
of Immigration and
Naturalization Act (INA)
sections 274C(a)(1)-(a)(4),
penalty for first offense.
Civil penalties for violation 8 CFR 270.3(b)(1)(ii)(B).... $275-$2,200....... $250-$2,000 (1996) 1.50245 $376-$3,005....... $376-$3,005
of Immigration and
Naturalization Act (INA)
sections 274C(a)(5)-(a)(6),
penalty for first offense.
Civil penalties for violation 8 CFR 270.3(b)(1)(ii)(C).... $3,200-$6,500..... $2,000-$5,000 1.78156 $3,563-$8,908..... $3,563-$8,908
of Immigration and (1990)
Naturalization Act (INA)
sections 274C(a)(1)-(a)(4),
penalty for subsequent
offenses.
Civil penalties for violation 8 CFR 270.3(b)(1)(ii)(D).... $2,200-$5,500..... $2,000-$5,000 1.50245 $3,005-$7,512..... $3,005-$7,512
of Immigration and (1996)
Naturalization Act (INA)
sections 274C(a)(5)-(a)(6),
penalty for subsequent
offenses.
Violation/prohibition of 8 CFR 274a.8(b)............. $1,100............ $1,000 (1986) 2.15628 $2,156............ $2,156
indemnity bonds.
Civil penalties for knowingly 8 CFR 274a.10(b)(1)(ii)(A).. $375-$3,200....... $250-$2,000 (1986) 2.15628 $539-$4,313....... $539-$4,313
hiring, recruiting,
referral, or retention of
unauthorized aliens--Penalty
for first offense (per
unauthorized alien).
Penalty for second offense 8 CFR 274a.10(b)(1)(ii)(B).. $3,200-$6,500..... $2,000-$5,000 2.15628 $4,313-$10,781.... $4,313-$10,781
(per unauthorized alien). (1986)
Penalty for third or 8 CFR 274a.10(b)(1)(ii)(C).. $4,300-$16,000.... $3,000-$10,000 2.15628 $6,469-$21,563.... $6,469-$21,563
subsequent offense (per (1986)
unauthorized alien).
Civil penalties for I-9 8 CFR 274a.10(b)(2)......... $110-$1,100....... $100-$1,000 (1986) 2.15628 $216-$2,156....... $216-$2,156
paperwork violations.
--------------------------------------------------------------------------------------------------------------------------------------------------------
* The amount of the penalty and the year of when the penalty was established or last adjusted in statute or regulation other than pursuant to the
Inflation Adjustment Act of 1990.
** OMB, Implementation of the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, Table A: 2016 Civil Monetary Penalty Catch-Up
Adjustment Multiplier by Calendar Year, February 24, 2016.
[[Page 42992]]
D. U.S. Coast Guard
The Coast Guard is adjusting for inflation the penalties in the
table in part 27 of title 33 of the CFR. That table identifies the
statutes that provide the Coast Guard with civil monetary penalty
authority and sets out the inflation-adjusted maximum penalty that the
Coast Guard may impose pursuant to each statutory provision. The new
table in this regulation provides the current maximum penalty for
violations that occurred after November 2, 2015. The penalties in
effect for violations on or prior to November 2, 2015 can be found in
prior CFR versions that pertain to the date in which the violation
occurred. Since the Coast Guard had adjusted the table in part 27 for
inflation on several occasions, not just one table can be used for all
violations on or before November 2, 2015.
The Coast Guard is authorized to assess close to 150 penalties
involving maritime safety and security and environmental stewardship
that are critical to the continued success of Coast Guard missions.
Various statutes in Title 14, 16, 19, 33, 42, 46, and 49 of the U.S.C.
authorize these penalties. Titles 33 and 46 authorize the vast majority
of these penalties as these statutes deal with navigation, navigable
waters, and shipping.
Under title 33 of the U.S.C., the Coast Guard assesses penalties
with respect to bridges, marine events, pollution prevention, oil
discharges, sanitation, international navigation, and other
environmental stewardship responsibilities. Most notably, the Coast
Guard has express joint authority with the Environmental Protection
Agency (EPA) to assess penalties in order to enforce the Federal Water
Pollution Control Act (Clean Water Act) (CWA), as amended by the Oil
Pollution Act of 1990 (OPA 90) (33 U.S.C. 1321 et seq.), and MARPOL
Protocol, Annex VI (33 U.S.C. 1908). Penalties under the CWA and OPA 90
relate to the discharge of oil or a hazardous substance from a vessel
or facility into or upon the navigable waters of the United States,
adjoining shoreline, or into or upon the waters of the contiguous zone.
Both agencies may assess penalties for discharges of oil or hazardous
substances in connection with activities under the Outer Continental
Shelf Lands Act or the Deepwater Port Act. Further, both agencies may
assess penalties if a person fails to take mitigation or removal
action, or fails to comply with an order of the Federal On-Scene
Coordinator. The Coast Guard and EPA delineate enforcement boundaries
within each region. Under the Act to Prevent Pollution from Ships
(APPS) (33 U.S.C. 1901 et seq.), both of these agencies may assess
penalties for any violation of Annex VI, including but not limited to
the carriage and use of low-sulfur fuel oil, and vessel engine and
emission requirements. While the EPA focuses primarily on engine permit
requirements and shoreside facility compliance, the Coast Guard may
refer other matters to the EPA for enforcement in accordance with
established protocol.
Under title 46 of the U.S.C., the Coast Guard assesses penalties
with respect to vessel inspections, vessel operations, manning and
training on vessels, marine casualty reporting, drug testing, pilotage,
vessel identification, and other aspects of personnel and operations
involved in the shipping industry. The majority of civil penalties
under this title relate to vessel compliance, which includes general
inspection requirements, crew requirements and limitations, and
operational requirements of the vessel to engage in a commercial
enterprise.
Beyond title 33 and title 46 of the U.S.C., the Coast Guard
assesses penalties related to the organization and management of the
Coast Guard, aquatic species conservation, obstruction of revenue, and
hazardous substances and materials. Most notably, the Coast Guard has
joint authority with EPA under title 42 of the U.S.C. to assess
penalties for hazardous substances. Under the Comprehensive
Environmental Response, Compensation and Liability Act of 1980 (CERCLA)
(42 U.S.C. 9601 et seq.), the Coast Guard may assess penalties for the
failure to meet the notification requirements, failure to provide
evidence of financial responsibility, or failure to follow an
administrative order, among other violations. The Coast Guard has the
primary responsibility to enforce the laws on navigational waterways.
As evidenced by the table below, the current inflation adjustment
imposes a substantial change in many of the civil penalties
administered by the Coast Guard. Part of the reason for the changes are
that the enactment dates for penalties assessed by the Coast Guard vary
widely, spanning from 1935 to 2014. Furthermore, the penalty amounts
vary widely, spanning up to $250,000. Under the 2015 Act, and as
mentioned elsewhere in this preamble, Congress has created a
straightforward method for calculating the amount of the inflation
allowable for each penalty.
While the increases due to inflation are, for some penalties,
substantial, not all penalties will be equivalent to their original
value in real terms. Pursuant to the 2015 Act, the Coast Guard cannot
increase any penalty by more than 150% of the previously adjusted
penalty. As the Coast Guard last adjusted penalties for inflation on
June 2, 2011 (76 FR 31831), it cannot adjust any penalty by more than
150% of the amount set by the final rule of June 2, 2011. After the
Coast Guard used the new method and applied the 150% cap, they
increased the penalties by an amount of 3% to 150% above the last
adjustment. Of those penalties that the Coast Guard is increasing in
this rulemaking, approximately 23 of the penalties are increasing more
than 100% from their 2011 value, and the 2015 Act limits the amount
that they can increase to 150% of the 2011 value. All of the penalties
that Congress or the Coast Guard enacted prior to 1980 are increasing
more than 100%. This is due to the great difference between the CPI-U
level from the years enacted and the CPI-U from October 2015.
There were three penalties that decreased in value from their
previous amounts. These penalties (codified in 46 U.S.C. App.
1505(a)(2), 46 U.S.C. App. 1805(c)(2), and 42 U.S.C. 12151(c)) showed
significant decreases. These changes occurred because Congress
recodified these penalties in 2006 after the Coast Guard adjusted them
for inflation. Using the 2006 recodification as the new statutory
baseline, the penalty amounts declined significantly in this rulemaking
from their current values.
Finally, we are adding several penalties to the existing table in
33 CFR 27.3 that had been inadvertently omitted from regulatory text.
These penalties include a penalty for intentional interference with a
broadcast (codified at 14 U.S.C. 88(e)), a clean hulls penalty for
recreational and commercial vessels (33 U.S.C. 3852(c)), vessel
documentation relating to mobile offshore drilling units (46 U.S.C.
12151(a)(2), and hazardous material training penalties (49 U.S.C.
5123(a)(3)).
[[Page 42993]]
Table 4--U.S. Coast Guard Civil Penalties Adjustments
--------------------------------------------------------------------------------------------------------------------------------------------------------
Adjusted new
Baseline penalty Preliminary new penalty [increase
Penalty name Citation Current penalty * (year) Multiplier penalty capped at 150%
(statutory ** [multiplier x more than current
citation) baseline penalty] penalty]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Saving Life and Property..... 14 U.S.C. 88(c)............. $10,000........... $10,000........... 1.00171 $10,017........... $10,017
(2014)............
(Pub. L. 113-281).
Saving Life and Property; 14 U.S.C. 88(e)............. 1,000............. $1,000............ 1.02819 1,028............. 1,028
Intentional Interference (2012)............
with Broadcast. (Pub. L. 112-213).
Confidentiality of Medical 14 U.S.C. 645(i); 33 CFR 4,000............. $3,000............ 1.67728 5,032............. 5,032
Quality Assurance Records 27.3. (1992)............
(first offense). (Pub. L. 102-587).
Confidentiality of Medical 14 U.S.C. 645(i); 33 CFR 30,000............ $20,000........... 1.67728 33,546............ 33,546
Quality Assurance Records 27.3. (1992)............
(subsequent offenses). (Pub. L. 102-587).
Aquatic Nuisance Species in 16 U.S.C. 4711(g)(1); 33 CFR 35,000............ $25,000........... 1.50245 37,561............ 37,561
Waters of the United States. 27.3. (1996)............
(Pub. L. 104-332).
Obstruction of Revenue 19 U.S.C. 70; 33 CFR 27.3... 3,000............. $2,000............ 17.36044 34,721............ 7,500
Officers by Masters of (1935)............
Vessels.
Obstruction of Revenue 19 U.S.C. 70; 33 CFR 27.3... 700............... $500.............. 17.36044 8,680............. 1,750
Officers by Masters of (1935)............
Vessels--Minimum Penalty.
Failure to Stop Vessel When 19 U.S.C. 1581(d)........... 5,000............. $5,000............ N/A N/A............... *** 5,000
Directed; Master, Owner, (1930)............
Operator or Person in Charge.
Failure to Stop Vessel When 19 U.S.C. 1581(d)........... 1,000............. $1,000............ N/A N/A............... *** 1,000
Directed; Master, Owner, (1930)............
Operator or Person in
Charge--Minimum Penalty.
Anchorage Ground/Harbor 33 U.S.C. 471; 33 CFR 27.3.. 110............... $10,000........... 1.08745 10,875............ 10,875
Regulations General. (2010)............
(Pub. L. 111-281).
Anchorage Ground/Harbor 33 U.S.C. 474; 33 CFR 27.3.. 300............... $200.............. 11.43452 2,287............. 750
Regulations St. Mary's river. (1946)............
(11 FR 7875)......
Bridges/Failure to Comply 33 U.S.C. 495(b); 33 CFR 25,000............ $25,000........... 1.09819 27,455............ 27,455
with Regulations. 27.3. (2008)............
(Pub. L. 108-293).
Bridges/Drawbridges.......... 33 U.S.C. 499(c); 33 CFR 25,000............ $25,000........... 1.09819 27,455............ 27,455
27.3. (2008)............
(Pub. L. 108-293).
Bridges/Failure to Alter 33 U.S.C. 502(c); 33 CFR 25,000............ $25,000........... 1.09819 27,455............ 27,455
Bridge Obstructing 27.3. (2008)............
Navigation. (Pub. L. 108-293).
Bridges/Maintenance and 33 U.S.C. 533(b); 33 CFR 25,000............ $25,000........... 1.09819 27,455............ 27,455
Operation. 27.3. (2008)............
(Pub. L. 108-293).
Bridge to Bridge 33 U.S.C. 1208(a); 33 CFR 800............... $500.............. 5.81511 2,908............. 2,000
Communication; Master, 27.3. (1971)............
Person in Charge or Pilot. (Pub. L. 92-63)...
Bridge to Bridge 33 U.S.C. 1208(b); 33 CFR 800............... $500.............. 5.81511 2,908............. 2,000
Communication; Vessel. 27.3. (1971)............
(Pub. L. 92-63)...
PWSA Regulations............. 33 U.S.C. 1232(a); 33 CFR 40,000............ $25,000........... 3.54453 88,613............ 88,613
27.3. (1978)............
(Pub. L. 95-474)..
Vessel Navigation: Regattas 33 U.S.C. 1236(b); 33 CFR 8,000............. $5,000............ 1.78156 8,908............. 8,908
or Marine Parades; 27.3. (1990)............
Unlicensed Person in Charge. (Pub. L. 101-380).
Vessel Navigation: Regattas 33 U.S.C. 1236(c); 33 CFR 8,000............. $5,000............ 1.78156 8,908............. 8,908
or Marine Parades; Owner 27.3. (1990)............
Onboard Vessel. (Pub. L. 101-380).
Vessel Navigation: Regattas 33 U.S.C. 1236(d); 33 CFR 3,000............. $2,500............ 1.78156 4,454............. 4,454
or Marine Parades; Other 27.3. (1990)............
Persons. (Pub. L. 101-380).
[[Page 42994]]
Oil/Hazardous Substances: 33 U.S.C. 1321(b)(6)(B)(i); 15,000............ $10,000........... 1.78156 17,816............ 17,816
Discharges (Class I per 33 CFR 27.3. (1990)............
violation). (Pub. L. 101-380).
Oil/Hazardous Substances: 33 U.S.C. 1321(b)(6)(B)(i); 40,000............ $25,000........... 1.78156 44,539............ 44,539
Discharges (Class I total 33 CFR 27.3. (1990)............
under paragraph). (Pub. L. 101-380).
Oil/Hazardous Substances: 33 U.S.C. 1321(b)(6)(B)(ii); 15,000............ $10,000........... 1.78156 17,816............ 17,816
Discharges (Class II per day 33 CFR 27.3. (1990)............
of violation). (Pub. L. 101-380).
Oil/Hazardous Substances: 33 U.S.C. 1321(b)(6)(B)(ii); 190,000........... $125,000.......... 1.78156 222,695........... 222,695
Discharges (Class II total 33 CFR 27.3. (1990)............
under paragraph). (Pub. L. 101-380).
Oil/Hazardous Substances: 33 U.S.C. 1321(b)(7)(A); 33 40,000............ $25,000........... 1.78156 44,539............ 44,539
Discharges (per day of CFR 27.3. (1990)............
violation) Judicial (Pub. L. 101-380).
Assessment.
Oil/Hazardous Substances: 33 U.S.C. 1321(b)(7)(A); 33 1,100............. $1,000............ 1.78156 1,782............. 1,782
Discharges (per barrel of CFR 27.3. (1990)............
oil or unit discharged) (Pub. L. 101-380).
Judicial Assessment.
Oil/Hazardous Substances: 33 U.S.C. 1321(b)(7)(B); 33 40,000............ $25,000........... 1.78156 44,539............ 44,539
Failure to Carry Out Removal/ CFR 27.3. (1990)............
Comply With Order (Judicial (Pub. L. 101-380).
Assessment).
Oil/Hazardous Substances: 33 U.S.C. 1321(b)(7)(C); 33 40,000............ $25,000........... 1.78156 44,539............ 44,539
Failure to Comply with CFR 27.3. (1990)............
Regulation Issued Under (Pub. L. 101-380).
1321(j) (Judicial
Assessment).
Oil/Hazardous Substances: 33 U.S.C. 1321(b)(7)(D); 33 4,000............. $3,000............ 1.78156 5,345............. 5,345
Discharges, Gross Negligence CFR 27.3. (1990)............
(per barrel of oil or unit (Pub. L. 101-380).
discharged) Judicial
Assessment.
Oil/Hazardous Substances: 33 U.S.C. 1321(b)(7)(D); 33 130,000........... $100,000.......... 1.78156 178,156........... 178,156
Discharges, Gross CFR 27.3. (1990)............
Negligence--Minimum Penalty (Pub. L. 101-380).
(Judicial Assessment).
Marine Sanitation Devices; 33 U.S.C. 1322(j); 33 CFR 3,000............. $2,000............ 5.62265 11,245............ 7,500
Operating. 27.3. (1972)............
(Pub. L. 92-500)..
Marine Sanitation Devices; 33 U.S.C. 1322(j); 33 CFR 8,000............. $5,000............ 5.62265 28,113............ 20,000
Sale or Manufacture. 27.3. (1972)............
(Pub. L. 92-500)..
International Navigation 33 U.S.C. 1608(a); 33 CFR 8,000............. $5,000............ 2.80469 14,023............ 14,023
Rules; Operator. 27.3. (1980)............
(Pub. L. 96-591)..
International Navigation 33 U.S.C. 1608(b); 33 CFR 8,000............. $5,000............ 2.80469 14,023............ 14,023
Rules; Vessel. 27.3. (1980)............
(Pub. L. 96-591)..
Pollution from Ships; General 33 U.S.C. 1908(b)(1); 33 CFR 40,000............ $25,000........... 2.80469 70,117............ 70,117
27.3. (1980)............
(Pub. L. 96-478)..
Pollution from Ships; False 33 U.S.C. 1908(b)(1); 33 CFR 8,000............. $5,000............ 2.80469 14,023............ 14,023
Statement. 27.3. (1980)............
(Pub. L. 96-478)..
Inland Navigation Rules; 33 U.S.C. 2072(a); 33 CFR 8,000............. $5,000............ 2.80469 14,023............ 14,023
Operator. 27.3. (1980)............
(Pub. L. 96-591)..
Inland Navigation Rules; 33 U.S.C. 2072(b); 33 CFR 8,000............. $5,000............ 2.80469 14,023............ 14,023
Vessel. 27.3. (1980)............
(Pub. L. 96-591)..
Shore Protection; General.... 33 U.S.C. 2609(a); 33 CFR 40,000............ $25,000........... 1.97869 49,467............ 49,467
27.3. (1988)............
(Pub. L. 100-688).
Shore Protection; Operating 33 U.S.C. 2609(b); 33 CFR 15,000............ $10,000........... 1.97869 19,787............ 19,787
Without Permit. 27.3. (1988)............
(Pub. L. 100-688).
Oil Pollution Liability and 33 U.S.C. 2716a(a); 33 CFR 40,000............ $25,000........... 1.78156 44,539............ 44,539
Compensation. 27.3. (1990)............
(Pub. L. 101-380).
[[Page 42995]]
Clean Hulls.................. 33 U.S.C. 3852(a)(1)(A); 33 37,500............ $37,500........... 1.08745 40,779............ 40,779
CFR 27.3. (2010)............
(Pub. L. 111-281).
Clean Hulls--related to false 33 U.S.C. 3852(a)(1)(A); 33 50,000............ $50,000........... 1.08745 54,373............ 54,373
statements. CFR 27.3. (2010)............
(Pub. L. 111-281).
Clean Hulls--Recreational 33 U.S.C. 3852(c); 33 CFR 5,000............. $5,000............ 1.08745 5,437............. 5,437
Vessel. 27.3. (2010)............
(Pub. L. 111-281).
Hazardous Substances, 42 U.S.C. 9609(a); 33 CFR 35,000............ $25,000........... 2.15628 53,907............ 53,907
Releases, Liability, 27.3. (1986)............
Compensation (Class I). (Pub. L. 99-499)..
Hazardous Substances, 42 U.S.C. 9609(b); 33 CFR 35,000............ $25,000........... 2.15628 53,907............ 53,907
Releases, Liability, 27.3. (1986)............
Compensation (Class II). (Pub. L. 99-499)..
Hazardous Substances, 42 U.S.C. 9609(b); 33 CFR 100,000........... $75,000........... 2.15628 161,721........... 161,721
Releases, Liability, 27.3. (1986)............
Compensation (Class II (Pub. L. 99-499)..
subsequent offense).
Hazardous Substances, 42 U.S.C. 9609(c); 33 CFR 35,000............ $25,000........... 2.15628 53,907............ 53,907
Releases, Liability, 27.3. (1986)............
Compensation (Judicial (Pub. L. 99-499)..
Assessment).
Hazardous Substances, 42 U.S.C. 9609(c); 33 CFR 100,000........... $75,000........... 2.15628 161,721........... 161,721
Releases, Liability, 27.3. (1986)............
Compensation (Judicial (Pub. L. 99-499)..
Assessment subsequent
offense).
Safe Containers for 46 U.S.C. App 1505(a)(2) 8,000............. $5,000............ 1.17858 5,893............. 5,893
International Cargo. (codified as 46 USC 80509); (2006)............
33 CFR 27.3. (Pub. L. 109-304).
Suspension of Passenger 46 U.S.C. App 1805(c)(2) 70,000............ $50,000........... 1.17858 58,929............ 58,929
Service. (codified 46 USC 70305); 33 (2006)............
CFR 27.3. (Pub. L. 109-304;
46 USC 70305).
Vessel Inspection or 46 U.S.C. 2110(e); 33 CFR 8,000............. $5,000............ 1.78156 8,908............. 8,908
Examination Fees. 27.3. (1990)............
(Pub. L. 101-508).
Alcohol and Dangerous Drug 46 U.S.C. 2115; 33 CFR 27.3. 7,000............. $5,000............ 1.45023 7,251............. 7,251
Testing. (1998)............
(Pub. L. 105-383).
Negligent Operations: 46 U.S.C. 2302(a); 33 CFR 6,000............. $5,000............ 1.31185 6,559............. 6,559
Recreational Vessels. 27.3. (2002)............
(Pub. L. 107-295).
Negligent Operations: Other 46 U.S.C. 2302(a); 33 CFR 30,000............ $25,000........... 1.31185 32,796............ 32,796
Vessels. 27.3. (2002)............
(Pub. L. 107-295).
Operating a Vessel While 46 U.S.C. 2302(c)(1); 33 CFR 7,000............. $5,000............ 1.45023 7,251............. 7,251
Under the Influence of 27.3. (1998)............
Alcohol or a Dangerous Drug. (Pub. L. 105-383).
Vessel Reporting 46 U.S.C. 2306(a)(4); 33 CFR 8,000............. $5,000............ 2.25867 11,293............ 11,293
Requirements: Owner, 27.3. (1984)............
Charterer, Managing (Pub. L. 98-498)..
Operator, or Agent.
Vessel Reporting 46 U.S.C. 2306(b)(2); 33 CFR 1,100............. $1,000............ 2.25867 2,259............. 2,259
Requirements: Master. 27.3. (1984)............
(Pub. L. 98-498)..
Immersion Suits.............. 46 U.S.C. 3102(c)(1); 33 CFR 8,000............. $5,000............ 2.25867 11,293............ 11,293
27.3. (1984)............
(Pub. L. 98-623)..
Inspection Permit............ 46 U.S.C. 3302(i)(5); 33 CFR 1,100............. $1,000............ 2.35483 2,355............. 2,355
27.3. (1983)............
(Pub. L. 98-89)...
Vessel Inspection; General... 46 U.S.C. 3318(a); 33 CFR 8,000............. $5,000............ 2.25867 11,293............ 11,293
27.3. (1984)............
(Pub. L. 98-498)..
Vessel Inspection; Nautical 46 U.S.C. 3318(g); 33 CFR 8,000............. $5,000............ 2.25867 11,293............ 11,293
School Vessel. 27.3. (1984)............
(Pub. L. 98-498)..
Vessel Inspection; Failure to 46 U.S.C. 3318(h); 33 CFR 1,100............. $1,000............ 2.25867 2,259............. 2,259
Give Notice IAW 3304(b). 27.3. (1984)............
(Pub. L. 98-498)..
[[Page 42996]]
Vessel Inspection; Failure to 46 U.S.C. 3318(i); 33 CFR 1,100............. $1,000............ 2.25867 2,259............. 2,259
Give Notice IAW 3309(c). 27.3. (1984)............
(Pub. L. 98-498)..
Vessel Inspection; Vessel 46 U.S.C. 3318(j)(1); 33 CFR 15,000............ $10,000........... 2.25867 22,587............ 22,587
>=1600 Gross Tons. 27.3. (1984)............
(Pub. L. 98-498)..
Vessel Inspection; Vessel 46 U.S.C. 3318(j)(1); 33 CFR 3,000............. $2,000............ 2.25867 4,517............. 4,517
<1600 Gross Tons. 27.3. (1984)............
(Pub. L. 98-498)..
Vessel Inspection; Failure to 46 U.S.C. 3318(k); 33 CFR 15,000............ $10,000........... 2.25867 22,587............ 22,587
Comply with 3311(b). 27.3. (1984)............
(Pub. L. 98-498)..
Vessel Inspection; Violation 46 U.S.C. 3318(l); 33 CFR 8,000............. $5,000............ 2.25867 11,293............ 11,293
of 3318(b)-3318(f). 27.3. (1984)............
(Pub. L. 98-498)..
List/count of Passengers..... 46 U.S.C. 3502(e); 33 CFR 110............... $100.............. 2.35483 235............... 235
27.3. (1983)............
(Pub. L. 98-89)...
Notification to Passengers... 46 U.S.C. 3504(c); 33 CFR 15,000............ $10,000........... 2.35483 23,548............ 23,548
27.3. (1983)............
(Pub. L. 98-89)...
Notification to Passengers; 46 U.S.C. 3504(c); 33 CFR 800............... $500.............. 2.35483 1,177............. 1,177
Sale of Tickets. 27.3. (1983)............
(Pub. L. 98-89)...
Copies of Laws on Passenger 46 U.S.C. 3506; 33 CFR 27.3. 300............... $200.............. 2.35483 471............... 471
Vessels; Master. (1983)............
(Pub. L. 98-89)...
Liquid Bulk/Dangerous Cargo.. 46 U.S.C. 3718(a)(1); 33 CFR 40,000............ $25,000........... 2.35483 58,871............ 58,871
27.3. (1983)............
(Pub. L. 98-89)...
Uninspected Vessels.......... 46 U.S.C. 4106; 33 CFR 27.3. 8,000............. $5,000............ 1.97869 9,893............. 9,893
(1988)............
(Pub. L. 100-540).
Recreational Vessels (maximum 46 U.S.C. 4311(b)(1); 33 CFR 300,000........... $250,000.......... 1.24588 311,470........... 311,470
for related series of 27.3. (2004)............
violations). (Pub. L. 108-293).
Recreational Vessels; 46 U.S.C. 4311(b)(1); 33 CFR 6,000............. $5,000............ 1.24588 6,229............. 6,229
Violation of 4307(a). 27.3. (2004)............
(Pub. L. 108-293).
Recreational vessels......... 46 U.S.C. 4311(c); 33 CFR 1,100............. $1,000............ 2.35483 2,355............. 2,355
27.3. (1983)............
(Pub. L. 98-89)...
Uninspected Commercial 46 U.S.C. 4507; 33 CFR 27.3. 8,000............. $5,000............ 1.97869 9,893............. 9,893
Fishing Industry Vessels. (1988)............
(Pub. L. 100-424).
Abandonment of Barges........ 46 U.S.C. 4703; 33 CFR 27.3. 1,100............. $1,000............ 1.67728 1,677............. 1,677
(1992)............
(Pub. L. 102-587).
Load Lines................... 46 U.S.C. 5116(a); 33 CFR 8,000............. $5,000............ 2.15628 10,781............ 10,781
27.3. (1986)............
(Pub. L. 99-509)..
Load Lines; Violation of 46 U.S.C. 5116(b); 33 CFR 15,000............ $10,000........... 2.15628 21,563............ 21,563
5112(a). 27.3. (1986)............
(Pub. L. 99-509)..
Load Lines; Violation of 46 U.S.C. 5116(c); 33 CFR 8,000............. $5,000............ 2.15628 10,781............ 10,781
5112(b). 27.3. (1986)............
(Pub. L. 99-509)..
Reporting Marine Casualties.. 46 U.S.C. 6103(a); 33 CFR 35,000............ $25,000........... 1.50245 37,561............ 37,561
27.3. (1996)............
(Pub. L. 104-324).
Reporting Marine Casualties; 46 U.S.C. 6103(b); 33 CFR 8,000............. $5,000............ 1.97869 9,893............. 9,893
Violation of 6104. 27.3. (1988)............
(Pub. L. 100-424).
Manning of Inspected Vessels; 46 U.S.C. 8101(e); 33 CFR 1,100............. $1,000............ 1.78156 1,782............. 1,782
Failure to Report Deficiency 27.3. (1990)............
in Vessel Complement. (Pub. L. 101-380).
[[Page 42997]]
Manning of Inspected Vessels. 46 U.S.C. 8101(f); 33 CFR 15,000............ $10,000........... 1.78156 17,816............ 17,816
27.3. (1990)............
(Pub. L. 101-380).
Manning of Inspected Vessels; 46 U.S.C. 8101(g); 33 CFR 15,000............ $10,000........... 1.78156 17,816............ 17,816
Employing or Serving in 27.3. (1990)............
Capacity not Licensed by (Pub. L. 101-380).
USCG.
Manning of Inspected Vessels; 46 U.S.C. 8101(h); 33 CFR 1,100............. $1,000............ 2.35483 2,355............. 2,355
Freight Vessel <100 GT, 27.3. (1983)............
Small Passenger Vessel, or (Pub. L. 98-89)...
Sailing School Vessel.
Watchmen on Passenger Vessels 46 U.S.C. 8102(a)........... 1,100............. $1,000............ 2.35483 2,355............. 2,355
(1983)............
(Pub. L. 98-89)...
Citizenship Requirements..... 46 U.S.C. 8103(f)........... 800............... $500.............. 2.35483 1,177............. 1,177
(1983)............
(Pub. L. 98-89)...
Watches on Vessels; Violation 46 U.S.C. 8104(i)........... 15,000............ $10,000........... 1.78156 17,816............ 17,816
of 8104(a) or (b). (1990)............
(Pub. L. 101-380).
Watches on Vessels; Violation 46 U.S.C. 8104(j)........... 15,000............ $10,000........... 1.78156 17,816............ 17,816
of 8104(c), (d), (e), or (h). (1990)............
(Pub. L. 101-380).
Staff Department on Vessels.. 46 U.S.C. 8302(e)........... 110............... $100.............. 2.35483 235............... 235
(1983)............
(Pub. L. 98-89)...
Officer's Competency 46 U.S.C. 8304(d)........... 110............... $100.............. 2.35483 235............... 235
Certificates. (1983)............
(Pub. L. 98-89)...
Coastwise Pilotage; Owner, 46 U.S.C. 8502(e)........... 15,000............ $10,000........... 1.78156 17,816............ 17,816
Charterer, Managing (1990)............
Operator, Agent, Master or (Pub. L. 101-380).
Individual in Charge.
Coastwise Pilotage; 46 U.S.C. 8502(f)........... 15,000............ $10,000........... 1.78156 17,816............ 17,816
Individual. (1990)............
(Pub. L. 101-380).
Federal Pilots............... 46 U.S.C. 8503.............. 40,000............ $25,000........... 2.25867 56,467............ 56,467
(1984)............
(Pub. L. 98-557)..
Merchant Mariners Documents.. 46 U.S.C. 8701(d)........... 800............... $500.............. 2.35483 1,177............. 1,177
(1983)............
(Pub. L. 98-89)...
Crew Requirements............ 46 U.S.C. 8702(e)........... 15,000............ $10,000........... 1.78156 17,816............ 17,816
(1990)............
(Pub. L. 101-380).
Small Vessel Manning......... 46 U.S.C. 8906.............. 35,000............ $25,000........... 1.50245 37,561............ 37,561
(1996)............
(Pub. L. 104-324).
Pilotage: Great Lakes; Owner, 46 U.S.C. 9308(a)........... 15,000............ $10,000........... 1.78156 17,816............ 17,816
Charterer, Managing (1990)............
Operator, Agent, Master or (Pub. L. 101-380).
Individual in Charge.
Pilotage: Great Lakes; 46 U.S.C. 9308(b)........... 15,000............ $10,000........... 1.78156 17,816............ 17,816
Individual. (1990)............
(Pub. L. 101-380).
Pilotage: Great Lakes; 46 U.S.C. 9308(c)........... 15,000............ $10,000........... 1.78156 17,816............ 17,816
Violation of 9303. (1990)............
(Pub. L. 101-380).
Failure to Report Sexual 46 U.S.C. 10104(b).......... 8,000............. $5,000............ 1.89361 9,468............. 9,468
Offense. (1989)............
(Pub. L. 101-225).
Pay Advances to Seamen....... 46 U.S.C. 10314(a)(2)....... 800............... $500.............. 2.35483 1,177............. 1,177
(1983)............
(Pub. L. 98-89)...
Pay Advances to Seamen; 46 U.S.C. 10314(b).......... 800............... $500.............. 2.35483 1,177............. 1,177
Remuneration for Employment. (1983)............
(Pub. L. 98-89)...
[[Page 42998]]
Allotment to Seamen.......... 46 U.S.C. 10315(c).......... 800............... $500.............. 2.35483 1,177............. 1,177
(1983)............
(Pub. L. 98-89)...
Seamen Protection; General... 46 U.S.C. 10321............. 7,000............. $5,000............ 1.63238 8,162............. 8,162
(1993)............
(Pub. L. 103-206).
Coastwise Voyages: Advances.. 46 U.S.C. 10505(a)(2)....... 7,000............. $5,000............ 1.63238 8,162............. 8,162
(1993)............
(Pub. L. 103-206).
Coastwise Voyages: Advances; 46 U.S.C. 10505(b).......... 7,000............. $5,000............ 1.63238 8,162............. 8,162
Remuneration for Employment. (1993)............
(Pub. L. 103-206).
Coastwise Voyages: Seamen 46 U.S.C. 10508(b).......... 7,000............. $5,000............ 1.63238 8,162............. 8,162
Protection; General. (1993)............
(Pub. L. 103-206).
Effects of Deceased Seamen... 46 U.S.C. 10711............. 300............... $200.............. 2.35483 471............... 471
(1983)............
(Pub. L. 98-89)...
Complaints of Unfitness...... 46 U.S.C. 10902(a)(2)....... 800............... $500.............. 2.35483 1,177............. 1,177
(1983)............
(Pub. L. 98-89)...
Proceedings on Examination of 46 U.S.C. 10903(d).......... 110............... $100.............. 2.35483 235............... 235
Vessel. (1983)............
(Pub. L. 98-89)...
Permission to Make Complaint. 46 U.S.C. 10907(b).......... 800............... $500.............. 2.35483 1,177............. 1,177
(1983)............
(Pub. L. 98-89)...
Accommodations for Seamen.... 46 U.S.C. 11101(f).......... 800............... $500.............. 2.35483 1,177............. 1,177
(1983)............
(Pub. L. 98-89)...
Medicine Chests on Vessels... 46 U.S.C. 11102(b).......... 800............... $500.............. 2.35483 1,177............. 1,177
(1983)............
(Pub. L. 98-89)...
Destitute Seamen............. 46 U.S.C. 11104(b).......... 110............... $100.............. 2.35483 235............... 235
(1983)............
(Pub. L. 98-89)...
Wages on Discharge........... 46 U.S.C. 11105(c).......... 800............... $500.............. 2.35483 1,177............. 1,177
(1983)............
(Pub. L. 98-89)...
Log Books; Master Failing to 46 U.S.C. 11303(a).......... 300............... $200.............. 2.35483 471............... 471
Maintain. (1983)............
(Pub. L. 98-89)...
Log Books; Master Failing to 46 U.S.C. 11303(b).......... 300............... $200.............. 2.35483 471............... 471
Make Entry. (1983)............
(Pub. L. 98-89)...
Log Books; Late Entry........ 46 U.S.C. 11303(c).......... 200............... $150.............. 2.35483 353............... 353
(1983)............
(Pub. L. 98-89)...
Carrying of Sheath Knives.... 46 U.S.C. 11506............. 80................ $50............... 2.35483 118............... 118
(1983)............
(Pub. L. 98-89)...
Vessel Documentation......... 46 U.S.C. 12151(a)(1)....... 15,000............ $15,000........... 1.02819 15,423............ 15,423
(2012)............
(Pub. L. 112-213).
Documentation of Vessels-- 46 U.S.C. 12151(a)(2)....... 25,000............ $25,000........... 1.02819 25,705............ 25,705
Related to Activities (2012)............
involving mobile offshore (Pub. L. 112-213).
drilling units.
Vessel Documentation; Fishery 46 U.S.C. 12151(c).......... 130,000........... $100,000.......... 1.17858 117,858........... 117,858
Endorsement. (2006)............
(Pub. L. 109-304).
Numbering of Undocumented 46 U.S.C. 12309(a).......... 6,000............. $5,000............ 2.35483 11,774............ 11,774
Vessels--Willful violation. (1983)............
(Pub. L. 98-89)...
Numbering of Undocumented 46 U.S.C. 12309(b).......... 1,100............. $1,000............ 2.35483 2,355............. 2,355
Vessels. (1983)............
(Pub. L. 98-89)...
Vessel Identification System. 46 U.S.C. 12507(b).......... 15,000............ $10,000........... 1.97869 19,787............ 19,787
(1988)............
(Pub. L. 100-710).
[[Page 42999]]
Measurement of Vessels....... 46 U.S.C. 14701............. 30,000............ $20,000........... 2.15628 43,126............ 43,126
(1986)............
(Pub. L. 99-509)..
Measurement; False Statements 46 U.S.C. 14702............. 30,000............ $20,000........... 2.15628 43,126............ 43,126
(1986)............
(Pub. L. 99-509)..
Commercial Instruments and 46 U.S.C. 31309............. 15,000............ $10,000........... 1.97869 19,787............ 19,787
Maritime Liens. (1988)............
(Pub. L. 100-710).
Commercial Instruments and 46 U.S.C. 31330(a)(2)....... 15,000............ $10,000........... 1.97869 19,787............ 19,787
Maritime Liens; Mortgagor. (1988)............
(Pub. L. 100-710).
Commercial Instruments and 46 U.S.C. 31330(b)(2)....... 35,000............ $25,000........... 1.97869 49,467............ 49,467
Maritime Liens; Violation of (1988)............
31329. (Pub. L. 100-710).
Port Security................ 46 U.S.C. 70119(a).......... 30,000............ $25,000........... 1.31185 32,796............ 32,796
(2002)............
(Pub. L. 107-295).
Port Security--Continuing 46 U.S.C. 70119(b).......... 50,000............ $50,000........... 1.17858 58,929............ 58,929
Violations. (2006)............
(Pub. L. 109-241).
Maritime Drug Law Enforcement 46 U.S.C. 70506(c).......... 5,000............. $5,000............ 1.08745 5,437............. 5,437
(2010)............
(Pub. L. 111-281).
Hazardous Materials: Related 49 U.S.C. 5123(a)(1)........ 75,000............ $75,000........... 1.02819 77,114............ 77,114
to Vessels. (2012)............
(Pub. L. 112-141).
Hazardous Materials: Related 49 U.S.C. 5123(a)(2)........ 175,000........... $175,000.......... 1.02819 179,933........... 179,933
to Vessels--Penalty from (2012)............
Fatalities, Serious Injuries/ (Pub. L. 112-141).
Illness or substantial
Damage to Property.
Hazardous Materials: Related 49 U.S.C. 5123(a)(3)........ 450............... $450.............. 1.02819 463............... 463
to Vessels; Training. (2012)............
(Pub. L. 112-141).
--------------------------------------------------------------------------------------------------------------------------------------------------------
* The amount of the penalty and the year of when the penalty was established or last adjusted in statute or regulation other than pursuant to the
Inflation Adjustment Act of 1990.
** OMB, Implementation of the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, Table A: 2016 Civil Monetary Penalty Catch-Up
Adjustment Multiplier by Calendar Year, February 24, 2016.
*** Exempt as under the Tariff Act.
E. Transportation Security Administration
The Transportation Security Administration (TSA) is updating its
civil penalties regulation in accordance with the 2015 Act. Pursuant to
its statutory authority in 49 U.S.C. 114(v), TSA may impose penalties
for violations of any statute that TSA administers, whether an
implementing regulation or order imposes the penalty.\6\ TSA assesses
these penalties for a wide variety of aviation and surface security
requirements, including violations of TSA's requirements applicable to
Transportation Worker Identification Credentials (TWIC),\7\ as well as
violations of requirements described in chapter 449 of Title 49 of the
U.S. Code. These penalties can apply to a wide variety of situations,
as described in the statutory and regulatory provisions, as well as in
guidance that TSA publishes.
---------------------------------------------------------------------------
\6\ See 49 U.S.C. 114(v), as amended by sec. 1302 of the
Implementing Recommendations of the 9/11 Commission Act of 2007
(Pub. L. 110-53, 121 Stat. 266 (Aug. 3, 2007)).
\7\ See, e.g., 46 U.S.C. 70105, 49 U.S.C. 46302 and 46303, and
U.S.C. ch. 449.
---------------------------------------------------------------------------
TSA's maximum civil penalty amounts are located in 49 CFR 1503.401.
Over the years, Congress has increased the amount of those penalties to
reflect the importance of maintaining aviation security. In section
1602 of the Homeland Security Act of 2002 (Pub. L. 107-296 (Nov. 25,
2002)), Congress raised the maximum civil penalty amounts per violation
for certain aviation security statutes. Additionally, in section 503(b)
of the Vision 100--Century of Aviation Reauthorization Act (Vision 100)
(Pub. L. 108-176 (Dec. 12, 2003)), Congress raised the total civil
penalty amount per case that TSA may assess.
In this rulemaking, we are also making several minor adjustments to
the regulatory text in section 1503.401 beyond simply updating the
penalty numbers. First, we are eliminating the text in paragraph (d),
``Inflation adjustment,'' because it is no longer needed. Pursuant to
the 2015 Act, TSA will carry out inflation adjustments annually in the
future, so there is no need for this text. Each year, TSA will update
the amounts with current figures per the latest adjustment.
Additionally, TSA is correcting a minor error that appeared in
section 1503.401(c). Previously, subsection
[[Page 43000]]
(c)(1), which prescribed penalties for certain aviation-related
violations, stated that the penalty against an entity that is operating
a non-aircraft operator business was limited to $50,000. However, that
statement incorrectly applied the limiting provision in 49 U.S.C.
46301(d)(8)(C), which applies the $50,000 limitation (unadjusted for
inflation) only to individuals and small businesses. TSA can assess the
full amount of $400,000 (adjusted for inflation) against an entity that
is not an individual or small business, and operating a non-aircraft
operator business who is subject to this fine. We have made this
correction by removing the inaccurate clause from paragraph (c)(1) and
adding a new paragraph (c)(2) explicitly stating that an entity
operating an on-aircraft operator business is subject to the full fine.
We are redesignating existing paragraph (c)(2) as (c)(3).
Under this rule, the current penalties continue to be applicable
with regard to violations that occurred on or before November 2, 2015,
the date of enactment of the 2015 Act. Table 5 below contains a full
list of the penalties assessed by the Transportation Security
Administration, where the associated violation occurred after November
2, 2015.
Table 5--Transportation Security Administration Civil Penalties Adjustments
--------------------------------------------------------------------------------------------------------------------------------------------------------
Adjusted new
Preliminary new penalty [increase
Penalty name Citation Current penalty Baseline penalty * Multiplier penalty [multiplier capped at 150% more
(year) ** x baseline than current
penalty] penalty]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Violation of 49 U.S.C. ch. 449 49 U.S.C. $27,500 (up to a $25,000 (2003) (up 1.28561 $32,140 (up to a $32,140 (up to a
(except secs. 44902, 44903(d), 46301(a)(1), (4); total of $400,000 to a total of total of $514,244 total of $514,244
44907(a)-(d)(1)(A), 49 CFR per civil penalty $400,000 per civil per civil penalty per civil penalty
44907(d)(1)(C)-(f), 44908, and 1503.401(c)(2). action). penalty action). action). action).
44909), or 49 U.S.C. 46302 or
46303, a regulation prescribed,
or order issued thereunder by a
person operating an aircraft for
the transportation of passengers
or property for compensation.
Violation of 49 U.S.C. ch. 449 49 U.S.C. $11,000 (up to a $10,000 (2003) (up 1.28561 $12,856 (up to a $12,856 (up to a
(except secs. 44902, 44903(d), 46301(a)(1), (4); total of $50,000 to a total of total of $64,281 total of $64,281
44907(a)-(d)(1)(A), 49 CFR total for small $50,000 total for total for small total for small
44907(d)(1)(C)-(f), 44908, and 1503.401(c)(1). businesses, small businesses, businesses, businesses,
44909), or 49 U.S.C. 46302 or $400,000 for $400,000 for $514,244 for $514,244 for
46303, a regulation prescribed, others). others). others). others).
or order issued thereunder by an
individual (except an airman
serving as an airman), any
person not operating an aircraft
for the transportation of
passengers or property for
compensation, or a small
business concern.
Violation of any other provision 49 U.S.C. 114(v); 49 $10,000 (up to a $10,000 (2009) (up 1.10020 $11,002 (up to a $11,002 (up to a
of title 49 U.S.C. or of 46 CFR 1503.401(b). total of $50,000 to a total of total of $55,010 total of $55,010
U.S.C. ch. 701, a regulation total for small $50,000 total for total for small total for small
prescribed, or order issued businesses, small businesses, businesses, businesses,
thereunder. $400,000 for $400,000 for $440,080 for $440,080 for
others). others). others). others).
--------------------------------------------------------------------------------------------------------------------------------------------------------
* The amount of the penalty and the year of when the penalty was established or last adjusted in statute or regulation other than pursuant to the
Inflation Adjustment Act of 1990.
** OMB, Implementation of the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, Table A: 2016 Civil Monetary Penalty Catch-Up
Adjustment Multiplier by Calendar Year, February 24, 2016.
III. Administrative Procedure Act
The Administrative Procedure Act (APA) generally requires agencies
to publish a notice of proposed rulemaking in the Federal Register (5
U.S.C. 553(b)) and to provide interested persons with the opportunity
to submit comments (5 U.S.C. 553(c)). The APA, however, provides an
exception to the notice and public comment requirements where the
``agency for good cause finds . . . that notice and public procedure
thereon are impracticable, unnecessary, or contrary to public
interest.'' 5 U.S.C. 553(b)(B).
DHS is promulgating this rule to ensure that the amount of civil
penalties that DHS assesses or enforces reflects the statutorily
mandated ranges as adjusted for inflation. Pursuant to 5 U.S.C.
553(b)(3)(B), there is good cause to issue this rule without prior
public notice or opportunity for public comment, because it would be
impracticable and unnecessary. The 2015 Act directed agencies to
``adjust civil monetary penalties through an interim final rulemaking''
and to make subsequent annual adjustments for inflation to civil
monetary penalties notwithstanding section 553 of title 5 of the U.S.
Code. In addition, the 2015 Act provides a clear formula for adjustment
of the civil penalties, leaving DHS and its components with little room
for discretion. DHS and its components have been charged only with
performing ministerial computations to determine the amounts of
adjustments for inflation to civil monetary penalties. Accordingly,
prior public notice and comment are not required for this rule.
IV. Regulatory Analyses
A. Executive Orders 12866 and 13563
Executive Orders 12866 and 13563 direct agencies to assess the
costs and benefits of available regulatory alternatives and, if
regulation is necessary, to select regulatory approaches that maximize
net benefits (including potential economic, environmental, public
health and safety effects, distributive impacts, and equity). Executive
Order 13563 emphasizes the importance of quantifying both costs and
benefits, of reducing costs, of harmonizing rules, and of promoting
flexibility. This final rule has not been designated a ``significant
regulatory action,'' under section 3(f) of Executive Order 12866.
Accordingly, the Office of Management
[[Page 43001]]
and Budget (OMB) has not reviewed this rule.
This final rule makes nondiscretionary adjustments to existing
civil monetary penalties in accordance with the 2015 Act and OMB
guidance.\8\ DHS therefore did not consider alternatives and does not
have the flexibility to alter the adjustments of the civil monetary
penalty amounts as provided in this rule. To the extent this rule
increases civil monetary penalties, it would result in an increase in
transfers from persons or entities assessed a civil monetary penalty to
the government.
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\8\ OMB, Implementation of the Federal Civil Penalties Inflation
Adjustment Act Improvements Act of 2015, 24 February 2016. https://www.whitehouse.gov/sites/default/files/omb/memoranda/2016/m-16-06.pdf.
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B. Regulatory Flexibility Act
The Regulatory Flexibility Act applies only to rules for which an
agency publishes a notice of proposed rulemaking pursuant to 5 U.S.C.
553(b). See 5 U.S.C. 601-612. The Regulatory Flexibility Act does not
apply to this interim final rule, because a notice of proposed
rulemaking is not required for the reasons stated above.
C. Unfunded Mandates Reform Act
The Unfunded Mandates Reform Act of 1995, 2 U.S.C. 1531-1538,
requires Federal agencies to assess the effects of their discretionary
regulatory actions. In particular, the Act addresses actions that may
result in the expenditure by a State, local, or Tribal government, in
the aggregate, or by the private sector of $100,000,000 (adjusted for
inflation) or more in any one year. This interim final rule will not
result in such an expenditure.
D. Paperwork Reduction Act
The provisions of the Paperwork Reduction Act of 1995, 44 U.S.C.
chapter 35, and its implementing regulations, 5 CFR part 1320, do not
apply to this final rule, because this interim final rule does not
trigger any new or revised recordkeeping or reporting.
List of Subjects
6 CFR Part 27
Reporting and recordkeeping requirements, Security measures.
8 CFR Part 270
Administrative practice and procedure, Aliens, Employment, Fraud,
Penalties.
8 CFR Part 274a
Administrative practice and procedure, Aliens, Employment,
Penalties, Reporting and recordkeeping requirements.
8 CFR Part 280
Administrative practice and procedure, Immigration, Penalties.
33 CFR Part 27
Administrative practice and procedure, Penalties.
49 CFR Part 1503
Administrative practice and procedure, Investigations, Law
enforcement, Penalties.
Amendments to the Regulations
For the reasons stated in the preamble, the Department of Homeland
Security amends 6 CFR part 27, 8 CFR parts 270, 274a, and 280, 33 CFR
part 27, and 49 CFR part 1503 as follows:
Title 6--Domestic Security
PART 27--CHEMICAL FACILITY ANTI-TERRORISM STANDARDS
0
1. The authority citation for part 27 is revised to read as follows:
Authority: 6 U.S.C. 624; Pub. L. 101-410, 104 Stat. 890, as
amended by Pub. L. 114-74, 129 Stat. 599.
0
2. In Sec. 27.300, revise paragraph (b)(3) to read as follows:
Sec. 27.300 Orders.
* * * * *
(b) * * *
(3) Where the Assistant Secretary determines that a facility is in
violation of an Order issued pursuant to paragraph (a) of this section
and issues an Order Assessing Civil Penalty pursuant to paragraph
(b)(1) of this section, a chemical facility is liable to the United
States for a civil penalty of not more than $25,000 for each day during
which the violation continues, if the violation of the Order occurred
on or before November 2, 2015, or $32,796 for each day during which the
violation of the Order continues, if the violation occurred after
November 2, 2015.
* * * * *
Title 8--Aliens and Nationality
PART 270--PENALTIES FOR DOCUMENT FRAUD
0
3. The authority citation for part 270 is revised to read as follows:
Authority: 8 U.S.C. 1101, 1103, and 1324c; Pub. L. 101-410, 104
Stat. 890, as amended by Pub. L. 104-134, 110 Stat. 1321 and Pub. L.
114-74, 129 Stat. 599.
0
4. In Sec. 270.3, revise paragraphs (b)(1)(ii)(A), (B), (C), and (D)
to read as follows:
Sec. 270.3 Penalties.
* * * * *
(b) * * *
(1) * * *
(ii) * * *
(A) First offense under section 274C(a)(1) through (a)(4). Not less
than $275 and not exceeding $2,200 for each fraudulent document or each
proscribed activity described in section 274C(a)(1) through (a)(4) of
the Act before March 27, 2008; not less than $375 and not exceeding
$3,200 for each fraudulent document or each proscribed activity
described in section 274C(a)(1) through (a)(4) of the Act on or after
March 27, 2008 and on or before November 2, 2015; and not less than
$445 and not exceeding $3,563 for each fraudulent document or each
proscribed activity described in section 274C(a)(1) through (a)(4) of
the Act after November 2, 2015.
(B) First offense under section 274C(a)(5) or (a)(6). Not less than
$250 and not exceeding $2,000 for each fraudulent document or each
proscribed activity described in section 274C(a)(5) or (a)(6) of the
Act before March 27, 2008; not less than $275 and not exceeding $2,200
for each fraudulent document or each proscribed activity described in
section 274C(a)(5) or (a)(6) of the Act on or after March 27, 2008 and
on or before November 2, 2015; and not less than $376 and not exceeding
$3,005 for each fraudulent document or each proscribed activity
described in section 274C(a)(5) or (a)(6) of the Act after November 2,
2015.
(C) Subsequent offenses under section 274C(a)(1) through (a)(4).
Not less than $2,200 and not more than $5,500 for each fraudulent
document or each proscribed activity described in section 274C(a)(1)
through (a)(4) of the Act before March 27, 2008; not less than $3,200
and not exceeding $6,500 for each fraudulent document or each
proscribed activity described in section 274C(a)(1) through (a)(4) of
the Act occurring on or after March 27, 2008 and on or before November
2, 2015; and not less than $3,563 and not more than $8,908 for each
fraudulent document or each proscribed activity described in section
274C(a)(1) through (a)(4) of the Act after November 2, 2015.
(D) Subsequent offenses under section 274C(a)(5) or (a)(6). Not
less than $2,000 and not more than $5,000 for each fraudulent document
or each proscribed activity described in section 274C(a)(5) or (a)(6)
of the Act before March 27, 2008; not less than $2,200 and not
exceeding $5,500 for each fraudulent
[[Page 43002]]
document or each proscribed activity described in section 274C(a)(5) or
(a)(6) of the Act occurring on or after March 27, 2008 and on or before
November 2, 2015; and not less than $3,005 and not more than $7,512 for
each fraudulent document or each proscribed activity described in
section 274C(a)(5) or (a)(6) of the Act after November 2, 2015.
* * * * *
PART 274a--CONTROL OF EMPLOYMENT OF ALIENS
0
5. The authority citation for part 274a is revised to read as follows:
Authority: 8 U.S.C. 1101, 1103, 1324a; 48 U.S.C. 1806; 8 CFR
part 2; Pub. L. 101-410, 104 Stat. 890, as amended by Pub. L. 114-
74, 129 Stat. 599.
0
6. In Sec. 4a.8, revise (b) to read as follows:
Sec. 274a.8 Prohibition of indemnity bonds.
* * * * *
(b) Penalty. Any person or other entity who requires any individual
to post a bond or security as stated in this section shall, after
notice and opportunity for an administrative hearing in accordance with
section 274A(e)(3)(B) of the Act, be subject to a civil monetary
penalty of $1,000 for each violation before September 29, 1999, of
$1,100 for each violation occurring on or after September 29, 1999 but
on or before November 2, 2015, and of $2,156 for each violation
occurring after November 2, 2015, and to an administrative order
requiring the return to the individual of any amounts received in
violation of this section or, if the individual cannot be located, to
the general fund of the Treasury.
0
7. In Sec. 274a.10, revise paragraphs (b)(1)(ii)(A),(B),(C), and
(b)(1)(iii)(2) to read as follows:
Sec. 274a.10 Penalties.
* * * * *
(b) * * *
(1) * * *
(ii) * * *
(A) First offense--not less than $275 and not more than $2,200 for
each unauthorized alien with respect to whom the offense occurred
before March 27, 2008; not less than $375 and not exceeding $3,200, for
each unauthorized alien with respect to whom the offense occurred
occurring on or after March 27, 2008 and on or before November 2, 2015;
and not less than $539 and not more than $4,313 for each unauthorized
alien with respect to whom the offense occurred occurring after
November 2, 2015.
(B) Second offense--not less than $2,200 and not more than $5,500
for each unauthorized alien with respect to whom the second offense
occurred before March 27, 2008; not less than $3,200 and not more than
$6,500, for each unauthorized alien with respect to whom the second
offense occurred on or after March 27, 2008 and on or before November
2, 2015; and not less than $4,313 and not more than $10,781 for each
unauthorized alien with respect to whom the second offense occurred
after November 2, 2015; or
(C) More than two offenses--not less than $3,300 and not more than
$11,000 for each unauthorized alien with respect to whom the third or
subsequent offense occurred before March 27, 2008; not less than $4,300
and not exceeding $16,000, for each unauthorized alien with respect to
whom the third or subsequent offense occurred on or after March 27,
2008 and on or before November 2, 2015; and not less than $6,469 and
not more than $21,563 for each unauthorized alien with respect to whom
the third or subsequent offense occurred after November 2, 2015; and
(iii) * * *
(2) A respondent determined by the Service (if a respondent fails
to request a hearing) or by an administrative law judge, to have failed
to comply with the employment verification requirements as set forth in
Sec. 274a.2(b), shall be subject to a civil penalty in an amount of
not less than $100 and not more than $1,000 for each individual with
respect to whom such violation occurred before September 29, 1999; not
less than $110 and not more than $1,100 for each individual with
respect to whom such violation occurred on or after September 29, 1999
and on or before November 2, 2015; and not less than $216 and not more
than $2,156 for each individual with respect to whom such violation
occurred after November 2, 2015. In determining the amount of the
penalty, consideration shall be given to:
(i) The size of the business of the employer being charged;
(ii) The good faith of the employer;
(iii) The seriousness of the violation;
(iv) Whether or not the individual was an unauthorized alien; and
(v) The history of previous violations of the employer.
* * * * *
PART 280--IMPOSITION AND COLLECTION OF FINES
0
8. The authority citation for part 280 is revised to read as follows:
Authority: 8 U.S.C. 1103, 1221, 1223, 1227, 1229, 1253, 1281,
1283, 1284, 1285, 1286, 1322, 1323, 1330; 66 Stat. 173, 195, 197,
201, 203, 212, 219, 221-223, 226, 227, 230; Pub. L. 101-410, 104
Stat. 890, as amended by Pub. L. 114-74, 129 Stat. 599.
0
9. Revise Sec. 280.53 to read as follows:
Sec. 280.53 Civil Monetary Penalties Inflation Adjustment.
(a) Statutory authority. In accordance with the requirements of the
Federal Civil Penalties Inflation Adjustment Act of 1990, Public Law
101-410, 104 Stat. 890, as amended by the Federal Civil Penalties
Inflation Adjustment Act Improvements Act of 2015, Public Law 114-74,
Sec. 701, 129 Stat. 599, the civil monetary penalties listed in
paragraph (b) of this section are adjusted as provided in this
paragraph (b).
(b) Adjustment of penalties. For violations occurring on or before
November 2, 2015, the penalty amount prior to adjustment applies. For
violations occurring after November 2, 2015, the listed penalties are
adjusted as follows:
(1) Section 231(g) of the Act, Penalties for non-compliance with
arrival and departure manifest requirements for passengers,
crewmembers, or occupants transported on commercial vessels or aircraft
arriving to or departing from the United States: From $1,100 to $1,312.
(2) Section 234 of the Act, Penalties for non-compliance with
landing requirements at designated ports of entry for aircraft
transporting aliens: From $3,200 to $3,563.
(3) Section 240B(d) of the Act, Penalties for failure to depart
voluntarily: From $1,100 minimum/$5,500 maximum to $1,502 minimum/
$7,512 maximum.
(4) Section 243(c)(1)(A) of the Act, Penalties for violations of
removal orders relating to aliens transported on vessels or aircraft,
under section 241(d) of the Act, or for costs associated with removal
under section 241(e) of the Act: From $2,200 to $3,005;
(5) Penalties for failure to remove alien stowaways under section
241(d)(2): From $5,500 to $7,512.
(6) Section 251(d) of the Act, Penalties for failure to report an
illegal landing or desertion of alien crewmen, and for each alien not
reported on arrival or departure manifest or lists required in
accordance with section 251 of the Act: From $320 to $356; and
penalties for use of alien crewmen for longshore work in violation of
section 251(d) of the Act: From $7,500 to $8,908.
(7) Section 254(a) of the Act, Penalties for failure to control,
detain, or remove alien crewmen: From $750 minimum/$4,300 maximum to
$891 minimum/$5,345 maximum.
(8) Section 255 of the Act, Penalties for employment on passenger
vessels of
[[Page 43003]]
aliens afflicted with certain disabilities: From $1,100 to $1,782.
(9) Section 256 of the Act, Penalties for discharge of alien
crewmen: From $1,500 minimum/$4,300 maximum to $2,672 minimum/$5,345
maximum.
(10) Section 257 of the Act, Penalties for bringing into the United
States alien crewmen with intent to evade immigration laws: From
$16,000 maximum to $17,816 maximum.
(11) Section 271(a) of the Act, Penalties for failure to prevent
the unauthorized landing of aliens: From $4,300 to $5,345.
(12) Section 272(a) of the Act, Penalties for bringing to the
United States aliens subject to denial of admission on a health-related
ground: From $4,300 to $5,345.
(13) Section 273(b) of the Act, Penalties for bringing to the
United States aliens without required documentation: From $4,300 to
$5,345.
(14) Section 274D of the Act, Penalties for failure to depart: From
$550 to $751, for each day the alien is in violation.
(15) Section 275(b) of the Act, Penalties for improper entry: From
$55 minimum/$275 maximum to $75 minimum/$376 maximum, for each entry or
attempted entry.
Title 33--Navigation and Navigable Waters
PART 27--ADJUSTMENT OF CIVIL MONETARY PENALTIES FOR INFLATION
0
10. The authority citation for part 27 continues to read as follows:
Authority: Secs. 1-6, Public Law 101-410, 104 Stat. 890, as
amended by Sec. 31001(s)(1), Public Law 104-134, as amended by
Public Law 114-74; 110 Stat. 1321 (28 U.S.C. 2461 note); Department
of Homeland Security Delegation No. 0170.1, sec. 2 (106).
0
11. Revise Sec. 27.3 to read as follows:
Sec. 27.3 Penalty adjustment table.
Table 1 identifies the statutes administered by the Coast Guard
that authorize a civil monetary penalty. The ``adjusted maximum
penalty'' is the maximum penalty authorized by the Federal Civil
Penalties Inflation Adjustment Act of 1990, as amended by the Federal
Civil Penalties Inflation Adjustment Act Improvements Act of 2015, as
determined by the Coast Guard. The adjusted civil penalty amounts
listed in Table 1 are applicable for penalty assessments issued after
August 1, 2016, with respect to violations occurring after November 2,
2015. The applicable civil penalty amounts for violations occurring on
or before November 2, 2015, are set forth in previously published
regulations amending 33 CFR part 27.
Table 1--Civil Monetary Penalty Inflation Adjustments
----------------------------------------------------------------------------------------------------------------
2016 adjusted
maximum
U.S. Code citation Civil monetary penalty description penalty amount
($)
----------------------------------------------------------------------------------------------------------------
14 U.S.C. 88(c)................................... Saving Life and Property.................... 10,017
14 U.S.C. 88(e)................................... Saving Life and Property; Intentional 1,028
Interference with Broadcast.
14 U.S.C. 645(i).................................. Confidentiality of Medical Quality Assurance 5,032
Records (first offense).
14 U.S.C. 645(i).................................. Confidentiality of Medical Quality Assurance 33,546
Records (subsequent offenses).
16 U.S.C. 4711(g)(1).............................. Aquatic Nuisance Species in Waters of the 37,561
United States.
19 U.S.C. 70...................................... Obstruction of Revenue Officers by Masters 7,500
of Vessels.
19 U.S.C. 70...................................... Obstruction of Revenue Officers by Masters 1,750
of Vessels--Minimum Penalty.
19 U.S.C. 1581(d)................................. Failure to Stop Vessel When Directed; 5,000
Master, Owner, Operator or Person in Charge
\1\.
19 U.S.C. 1581(d)................................. Failure to Stop Vessel When Directed; 1,000
Master, Owner, Operator or Person in
Charge--Minimum Penalty \1\.
33 U.S.C. 471..................................... Anchorage Ground/Harbor Regulations General. 10,875
33 U.S.C. 474..................................... Anchorage Ground/Harbor Regulations St. 750
Mary's River.
33 U.S.C. 495(b).................................. Bridges/Failure to Comply with Regulations.. 27,455
33 U.S.C. 499(c).................................. Bridges/Drawbridges......................... 27,455
33 U.S.C. 502(c).................................. Bridges/Failure to Alter Bridge Obstructing 27,455
Navigation.
33 U.S.C. 533(b).................................. Bridges/Maintenance and Operation........... 27,455
33 U.S.C. 1208(a)................................. Bridge to Bridge Communication; Master, 2,000
Person in Charge or Pilot.
33 U.S.C. 1208(b)................................. Bridge to Bridge Communication; Vessel...... 2,000
33 U.S.C. 1232(a)................................. PWSA Regulations............................ 88,613
33 U.S.C. 1236(b)................................. Vessel Navigation: Regattas or Marine 8,908
Parades; Unlicensed Person in Charge.
33 U.S.C. 1236(c)................................. Vessel Navigation: Regattas or Marine 8,908
Parades; Owner Onboard Vessel.
33 U.S.C. 1236(d)................................. Vessel Navigation: Regattas or Marine 4,454
Parades; Other Persons.
33 U.S.C. 1321(b)(6)(B)(i)........................ Oil/Hazardous Substances: Discharges (Class 17,816
I per violation).
33 U.S.C. 1321(b)(6)(B)(i)........................ Oil/Hazardous Substances: Discharges (Class 44,539
I total under paragraph).
33 U.S.C. 1321(b)(6)(B)(ii)....................... Oil/Hazardous Substances: Discharges (Class 17,816
II per day of violation).
33 U.S.C. 1321(b)(6)(B)(ii)....................... Oil/Hazardous Substances: Discharges (Class 222,695
II total under paragraph).
33 U.S.C. 1321(b)(7)(A)........................... Oil/Hazardous Substances: Discharges (per 44,539
day of violation) Judicial Assessment.
33 U.S.C. 1321(b)(7)(A)........................... Oil/Hazardous Substances: Discharges (per 1,782
barrel of oil or unit discharged) Judicial
Assessment.
33 U.S.C. 1321(b)(7)(B)........................... Oil/Hazardous Substances: Failure to Carry 44,539
Out Removal/Comply With Order (Judicial
Assessment).
33 U.S.C. 1321(b)(7)(C)........................... Oil/Hazardous Substances: Failure to Comply 44,539
with Regulation Issued Under 1321(j)
(Judicial Assessment).
33 U.S.C. 1321(b)(7)(D)........................... Oil/Hazardous Substances: Discharges, Gross 5,345
Negligence (per barrel of oil or unit
discharged) Judicial Assessment.
33 U.S.C. 1321(b)(7)(D)........................... Oil/Hazardous Substances: Discharges, Gross 178,156
Negligence--Minimum Penalty (Judicial
Assessment).
33 U.S.C. 1322(j)................................. Marine Sanitation Devices; Operating........ 7,500
33 U.S.C. 1322(j)................................. Marine Sanitation Devices; Sale or 20,000
Manufacture.
33 U.S.C. 1608(a)................................. International Navigation Rules; Operator.... 14,023
33 U.S.C. 1608(b)................................. International Navigation Rules; Vessel...... 14,023
[[Page 43004]]
33 U.S.C. 1908(b)(1).............................. Pollution from Ships; General............... 70,117
33 U.S.C. 1908(b)(2).............................. Pollution from Ships; False Statement....... 14,023
33 U.S.C. 2072(a)................................. Inland Navigation Rules; Operator........... 14,023
33 U.S.C. 2072(b)................................. Inland Navigation Rules; Vessel............. 14,023
33 U.S.C. 2609(a)................................. Shore Protection; General................... 49,467
33 U.S.C. 2609(b)................................. Shore Protection; Operating Without Permit.. 19,787
33 U.S.C. 2716a(a)................................ Oil Pollution Liability and Compensation.... 44,539
33 U.S.C. 3852(a)(1)(A)........................... Clean Hulls; Civil Enforcement.............. 40,779
33 U.S.C. 3852(a)(1)(A)........................... Clean Hulls; related to false statements.... 54,373
33 U.S.C. 3852(c)................................. Clean Hulls; Recreational Vessels........... 5,437
42 U.S.C. 9609(a)................................. Hazardous Substances, Releases, Liability, 53,907
Compensation (Class I).
42 U.S.C. 9609(b)................................. Hazardous Substances, Releases, Liability, 53,907
Compensation (Class II).
42 U.S.C. 9609(b)................................. Hazardous Substances, Releases, Liability, 161,721
Compensation (Class II subsequent offense).
42 U.S.C. 9609(c)................................. Hazardous Substances, Releases, Liability, 53,907
Compensation (Judicial Assessment).
42 U.S.C. 9609(c)................................. Hazardous Substances, Releases, Liability, 161,721
Compensation (Judicial Assessment
subsequent offense).
46 U.S.C. 80509(a)................................ Safe Containers for International Cargo..... 5,893
46 U.S.C. 70305(c)................................ Suspension of Passenger Service............. 58,929
46 U.S.C. 2110(e)................................. Vessel Inspection or Examination Fees....... 8,908
46 U.S.C. 2115.................................... Alcohol and Dangerous Drug Testing.......... 7,251
46 U.S.C. 2302(a)................................. Negligent Operations: Recreational Vessels.. 6,559
46 U.S.C. 2302(a)................................. Negligent Operations: Other Vessels......... 32,796
46 U.S.C. 2302(c)(1).............................. Operating a Vessel While Under the Influence 7,251
of Alcohol or a Dangerous Drug.
46 U.S.C. 2306(a)(4).............................. Vessel Reporting Requirements: Owner, 11,293
Charterer, Managing Operator, or Agent.
46 U.S.C. 2306(b)(2).............................. Vessel Reporting Requirements: Master....... 2,259
46 U.S.C. 3102(c)(1).............................. Immersion Suits............................. 11,293
46 U.S.C. 3302(i)(5).............................. Inspection Permit........................... 2,355
46 U.S.C. 3318(a)................................. Vessel Inspection; General.................. 11,293
46 U.S.C. 3318(g)................................. Vessel Inspection; Nautical School Vessel... 11,293
46 U.S.C. 3318(h)................................. Vessel Inspection; Failure to Give Notice 2,259
IAW 3304(b).
46 U.S.C. 3318(i)................................. Vessel Inspection; Failure to Give Notice 2,259
IAW 3309(c).
46 U.S.C. 3318(j)(1).............................. Vessel Inspection; Vessel >=1600 Gross Tons. 22,587
46 U.S.C. 3318(j)(1).............................. Vessel Inspection; Vessel <1600 Gross Tons.. 4,517
46 U.S.C. 3318(k)................................. Vessel Inspection; Failure to Comply with 22,587
3311(b).
46 U.S.C. 3318(l)................................. Vessel Inspection; Violation of 3318(b)- 11,293
3318(f).
46 U.S.C. 3502(e)................................. List/Count of Passengers.................... 235
46 U.S.C. 3504(c)................................. Notification to Passengers.................. 23,548
46 U.S.C. 3504(c)................................. Notification to Passengers; Sale of Tickets. 1,177
46 U.S.C. 3506.................................... Copies of Laws on Passenger Vessels; Master. 471
46 U.S.C. 3718(a)(1).............................. Liquid Bulk/Dangerous Cargo................. 58,871
46 U.S.C. 4106.................................... Uninspected Vessels......................... 9,893
46 U.S.C. 4311(b)(1).............................. Recreational Vessels (maximum for related 311,470
series of violations).
46 U.S.C. 4311(b)(1).............................. Recreational Vessels; Violation of 4307(a).. 6,229
46 U.S.C. 4311(c)................................. Recreational Vessels........................ 2,355
46 U.S.C. 4507.................................... Uninspected Commercial Fishing Industry 9,893
Vessels.
46 U.S.C. 4703.................................... Abandonment of Barges....................... 1,677
46 U.S.C. 5116(a)................................. Load Lines.................................. 10,781
46 U.S.C. 5116(b)................................. Load Lines; Violation of 5112(a)............ 21,563
46 U.S.C. 5116(c)................................. Load Lines; Violation of 5112(b)............ 10,781
46 U.S.C. 6103(a)................................. Reporting Marine Casualties................. 37,561
46 U.S.C. 6103(b)................................. Reporting Marine Casualties; Violation of 9,893
6104.
46 U.S.C. 8101(e)................................. Manning of Inspected Vessels; Failure to 1,782
Report Deficiency in Vessel Complement.
46 U.S.C. 8101(f)................................. Manning of Inspected Vessels................ 17,816
46 U.S.C. 8101(g)................................. Manning of Inspected Vessels; Employing or 17,816
Serving in Capacity not Licensed by USCG.
46 U.S.C. 8101(h)................................. Manning of Inspected Vessels; Freight Vessel 2,355
<100 GT, Small Passenger Vessel, or Sailing
School Vessel.
46 U.S.C. 8102(a)................................. Watchmen on Passenger Vessels............... 2,355
46 U.S.C. 8103(f)................................. Citizenship Requirements.................... 1,177
46 U.S.C. 8104(i)................................. Watches on Vessels; Violation of 8104(a) or 17,816
(b).
46 U.S.C. 8104(j)................................. Watches on Vessels; Violation of 8104(c), 17,816
(d), (e), or (h).
46 U.S.C. 8302(e)................................. Staff Department on Vessels................. 235
46 U.S.C. 8304(d)................................. Officer's Competency Certificates........... 235
46 U.S.C. 8502(e)................................. Coastwise Pilotage; Owner, Charterer, 17,816
Managing Operator, Agent, Master or
Individual in Charge.
46 U.S.C. 8502(f)................................. Coastwise Pilotage; Individual.............. 17,816
46 U.S.C. 8503.................................... Federal Pilots.............................. 56,467
46 U.S.C. 8701(d)................................. Merchant Mariners Documents................. 1,177
46 U.S.C. 8702(e)................................. Crew Requirements........................... 17,816
[[Page 43005]]
46 U.S.C. 8906.................................... Small Vessel Manning........................ 37,561
46 U.S.C. 9308(a)................................. Pilotage: Great Lakes; Owner, Charterer, 17,816
Managing Operator, Agent, Master or
Individual in Charge.
46 U.S.C. 9308(b)................................. Pilotage: Great Lakes; Individual........... 17,816
46 U.S.C. 9308(c)................................. Pilotage: Great Lakes; Violation of 9303.... 17,816
46 U.S.C. 10104(b)................................ Failure to Report Sexual Offense............ 9,468
46 U.S.C. 10314(a)(2)............................. Pay Advances to Seamen...................... 1,177
46 U.S.C. 10314(b)................................ Pay Advances to Seamen; Remuneration for 1,177
Employment.
46 U.S.C. 10315(c)................................ Allotment to Seamen......................... 1,177
46 U.S.C. 10321................................... Seamen Protection; General.................. 8,162
46 U.S.C. 10505(a)(2)............................. Coastwise Voyages: Advances................. 8,162
46 U.S.C. 10505(b)................................ Coastwise Voyages: Advances; Remuneration 8,162
for Employment.
46 U.S.C. 10508(b)................................ Coastwise Voyages: Seamen Protection; 8,162
General.
46 U.S.C. 10711................................... Effects of Deceased Seamen.................. 471
46 U.S.C. 10902(a)(2)............................. Complaints of Unfitness..................... 1,177
46 U.S.C. 10903(d)................................ Proceedings on Examination of Vessel........ 235
46 U.S.C. 10907(b)................................ Permission to Make Complaint................ 1,177
46 U.S.C. 11101(f)................................ Accommodations for Seamen................... 1,177
46 U.S.C. 11102(b)................................ Medicine Chests on Vessels.................. 1,177
46 U.S.C. 11104(b)................................ Destitute Seamen............................ 235
46 U.S.C. 11105(c)................................ Wages on Discharge.......................... 1,177
46 U.S.C. 11303(a)................................ Log Books; Master Failing to Maintain....... 471
46 U.S.C. 11303(b)................................ Log Books; Master Failing to Make Entry..... 471
46 U.S.C. 11303(c)................................ Log Books; Late Entry....................... 353
46 U.S.C. 11506................................... Carrying of Sheath Knives................... 118
46 U.S.C. 12151(a)(1)............................. Vessel Documentation........................ 15,423
46 U.S.C. 12151(a)(2)............................. Documentation of Vessels--Related to 25,705
activities involving mobile offshore
drilling units.
46 U.S.C. 12151(c)................................ Vessel Documentation; Fishery Endorsement... 117,858
46 U.S.C. 12309(a)................................ Numbering of Undocumented Vessels--Willful 11,774
violation.
46 U.S.C. 12309(b)................................ Numbering of Undocumented Vessels........... 2,355
46 U.S.C. 12507(b)................................ Vessel Identification System................ 19,787
46 U.S.C. 14701................................... Measurement of Vessels...................... 43,126
46 U.S.C. 14702................................... Measurement; False Statements............... 43,126
46 U.S.C. 31309................................... Commercial Instruments and Maritime Liens... 19,787
46 U.S.C. 31330(a)(2)............................. Commercial Instruments and Maritime Liens; 19,787
Mortgagor.
46 U.S.C. 31330(b)(2)............................. Commercial Instruments and Maritime Liens; 49,467
Violation of 31329.
46 U.S.C. 70119(a)................................ Port Security............................... 32,796
46 U.S.C. 70119(b)................................ Port Security--Continuing Violations........ 58,929
46 U.S.C. 70506................................... Maritime Drug Law Enforcement; Penalties.... 5,437
49 U.S.C. 5123(a)(1).............................. Hazardous Materials: Related to Vessels-- 77,114
Maximum Penalty.
49 U.S.C. 5123(a)(2).............................. Hazardous Materials: Related to Vessels-- 179,933
Penalty from Fatalities, Serious Injuries/
Illness or Substantial Damage to Property.
49 U.S.C. 5123(a)(3).............................. Hazardous Materials: Related to Vessels-- 463
Training..
----------------------------------------------------------------------------------------------------------------
\1\ Enacted under the Tariff Act of 1930, exempt from inflation adjustments.
Title 49--Transportation
PART 1503--INVESTIGATIVE AND ENFORCEMENT PROCEDURES
0
12. The authority citation for part 1503 is revised to read as follows:
Authority: 6 U.S.C. 1142; 18 U.S.C. 6002; 28 U.S.C. 2461 (note);
49 U.S.C. 114, 20109, 31105, 40113-40114, 40119, 44901-44907, 46101-
46107, 46109-46110, 46301, 46305, 46311, 46313-46314; Pub. L. 104-
134, as amended by Pub. L. 114-74.
0
13. Revise Sec. 1503.401 to read as follows:
Sec. 1503.401 Maximum penalty amounts.
(a) General. TSA may assess civil penalties not exceeding the
following amounts against a person for the violation of a TSA
requirement.
(b) In general. Except as provided in paragraph (c) of this
section, in the case of violation of title 49 U.S.C. or 46 U.S.C.
chapter 701, or a regulation prescribed or order issued under any of
those provisions, TSA may impose a civil penalty in the following
amounts:
(1) For violations that occurred on or before November 2, 2015,
$10,000 per violation, up to a total of $50,000 per civil penalty
action, in the case of an individual or small business concern, as
defined in section 3 of the Small Business Act (15 U.S.C. 632). For
violations that occurred after November 2, 2015, $11,002 per violation,
up to a total of $55,010 per civil penalty action, in the case of an
individual or small business concern; and
(2) For violations that occurred on or before November 2, 2015,
$10,000 per violation, up to a total of $400,000 per civil penalty
action, in the case of any other person. For violations that occurred
after November 2, 2015, $11,002 per violation, up to a total of
$440,080 per civil penalty action, in the case of any other person.
(c) Certain aviation related violations. In the case of a violation
of 49 U.S.C. chapter 449 (except sections 44902, 44903(d), 44907(a)-
(d)(1)(A), 44907(d)(1)(C)-(f), 44908, and 44909), or 49 U.S.C. 46302 or
46303, or a regulation prescribed or order issued under any of those
provisions, TSA may
[[Page 43006]]
impose a civil penalty in the following amounts:
(1) For violations that occurred on or before November 2, 2015,
$10,000 per violation, up to a total of $50,000 per civil penalty
action, in the case of an individual or small business concern, as
defined in section 3 of the Small Business Act (15 U.S.C. 632). For
violations that occurred after November 2, 2015, $12,856 per violation,
up to a total of 64,281 per civil penalty action, in the case of an
individual (except an airman serving as an airman), or a small business
concern.
(2) For violations that occurred on or before November 2, 2015,
$10,000 per violation, up to a total of $400,000 per civil penalty
action, in the case of any other person (except an airman serving as an
airman) not operating an aircraft for the transportation of passengers
or property for compensation. For violations that occurred after
November 2, 2015, $12,856 per violation, up to a total of $514,244 per
civil penalty action, in the case of any other person (except an airman
serving as an airman) not operating an aircraft for the transportation
of passengers or property for compensation.
(3) For violations that occurred on or before November 2, 2015,
$25,000 per violation, up to a total of $400,000 per civil penalty
action, in the case of a person operating an aircraft for the
transportation of passengers or property for compensation (except an
individual serving as an airman). For violations that occurred after
November 2, 2015, $32,140 per violation, up to a total of $514,244 per
civil penalty action, in the case of a person (except an individual
serving as an airman) operating an aircraft for the transportation of
passengers or property for compensation.
Jeh Charles Johnson,
Secretary.
[FR Doc. 2016-15673 Filed 6-30-16; 8:45 am]
BILLING CODE 9110-09-P; 9111-14-P; 9111-28-P; 9110-04-P; 9110-05-P
