Revisions to Civil Penalty Amounts, 1745-1764 [2020-25236]
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Federal Register / Vol. 86, No. 6 / Monday, January 11, 2021 / Rules and Regulations
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§§ 313.185 through 313.190
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By order of the Board of Directors.
Dated at Washington, DC, on December 15,
2020.
James P. Sheesley,
Assistant Executive Secretary.
Federal Aviation Administration
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Revisions to Civil Penalty Amounts
Department of Transportation
(DOT or the Department).
ACTION: Final rule.
AGENCY:
In accordance with the
Federal Civil Penalties Inflation
Adjustment Act Improvements Act of
2015, this final rule provides the 2020
inflation adjustment to civil penalty
amounts that may be imposed for
violations of certain DOT regulations. In
additional, this final rule makes
conforming revisions to Federal Motor
Carrier Safety Administration
regulations to reflect inflationary
adjustments to the statutorily-mandated
civil penalties for violations of Federal
law.
DATES: Effective January 11, 2021.
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SUMMARY:
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FOR FURTHER INFORMATION CONTACT:
Analiese Marchesseault, AttorneyAdvisor, Office of the General Counsel,
U.S. Department of Transportation, 1200
New Jersey Ave. SE, Washington, DC
20590, analiese.marchesseault@dot.gov.
SUPPLEMENTARY INFORMATION:
Authority for This Rulemaking
This rule implements the Federal
Civil Penalties Inflation Adjustment Act
of 1990 (FCPIAA), Public Law 101–410,
as amended by the Federal Civil
Penalties Inflation Adjustment Act
Improvements Act of 2015 (2015 Act),
Public Law 114–74, 129 Stat. 599,
codified at 28 U.S.C. 2461 note. The
FCPIAA and the 2015 Act require
Federal agencies to adjust minimum and
maximum civil penalty amounts for
inflation to preserve their deterrent
impact. The 2015 Act amended the
formula and frequency of inflation
adjustments. It required an initial catchup adjustment in the form of an interim
final rule, followed by annual
adjustments of civil penalty amounts
using a statutorily mandated formula.
Section 4(b)(2) of the 2015 Act
specifically directs that the annual
adjustment be accomplished through
final rule without notice and comment.
This rule is effective immediately.
This rule also implements the
authority to assess civil penalties for
violations concerning the Drug and
Alcohol Clearinghouse, set forth in
section 34202 of the Moving Ahead for
Progress in the 21st Century Act (MAP–
21), Public Law 112–141, 126 Stat. 405,
codified at 49 U.S.C. 31306a(k)(1).
The Department’s authorities over the
specific civil penalty regulations being
amended by this rule are provided in
the preamble discussion below.
I. Background
On November 2, 2015, the President
signed into law the 2015 Act, which
amended the FCPIAA, to improve the
effectiveness of civil monetary penalties
and to maintain their deterrent effect.
The 2015 Act requires Federal agencies
to: (1) Adjust the level of civil monetary
penalties with an initial ‘‘catch-up’’
adjustment through an interim final rule
(IFR); and (2) make subsequent annual
adjustments for inflation.
The 2015 Act directed the Office of
Management and Budget (OMB) to issue
guidance on implementing the required
annual inflation adjustment no later
than December 15 of each year.1 On
December 16, 2019, OMB released this
required guidance, in OMB
Memorandum M–20–05, which
provides instructions on how to
1 28
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calculate the 2020 annual adjustment.
To derive the 2020 adjustment, the
Department must multiply the
maximum or minimum penalty amount
by the percent change between the
October 2019 Consumer Price Index for
All Urban Consumers (CPI–U) and the
October 2018 CPI–U. In this case, as
explained in OMB Memorandum M–20–
05, the percent change between the
October 2019 CPI–U and the October
2018 CPI–U is 1.01764.
II. Dispensing With Notice and
Comment
This final rule is being published
without notice and comment and with
an immediate effective date.
The 2015 Act provides clear direction
for how to adjust the civil penalties, and
penalties promulgated the ‘‘catch up’’
IFR required by the 2015 Act. All DOT
operating administrations have already
finalized their ‘‘catch up’’ IFRs and this
rule makes the annual inflation
adjustment required by the 2015 Act.
The Department emphasizes that this
rule adjusts penalties prospectively, and
therefore the penalty adjustments made
by this rule will apply only to violations
that take place after this rule becomes
effective. This rule also does not change
previously assessed or enforced
penalties that DOT is actively collecting
or has collected.
III. Discussion of the Final Rule
A. OST 2020 Adjustments
In 2016, OST and DOT’s operating
administrations with civil monetary
OST’s 2020 civil penalty adjustments
are summarized in the chart below.
Citation
General civil penalty for violations of certain aviation economic regulations and statutes.
General civil penalty for violations of certain aviation economic regulations and statutes involving an individual or small business concern.
Civil penalties for individuals or small businesses for violations of most
provisions of Chapter 401 of Title 49, including the anti-discrimination
provisions of sections 40127 and 41705 and rules and orders issued
pursuant to these provisions.
Civil penalties for individuals or small businesses for violations of 49
U.S.C. 41719 and rules and orders issued pursuant to that provision.
Civil penalties for individuals or small businesses for violations of 49
U.S.C. 41712 or consumer protection rules and orders issued pursuant
to that provision.
49 U.S.C. 46301(a)(1) ..........
$34,174
$34,777
49 U.S.C. 46301(a)(1) ..........
1,503
1,530
49 U.S.C. 46301(a)(5)(A) .....
13,669
13,910
49 U.S.C. 46301(a)(5)(C) .....
6,834
6,955
49 U.S.C. 46301(a)(5)(D) .....
3,418
3,478
FAA recently discovered that it had
not adjusted the maximum civil penalty
for certain laser pointer violations.2
Consistent with the intent of the law
and to ensure uniform year-over-year
application of the 2015 Act, the 2020
update is being calculated as if the
missed 2018 and 2019 updates had
Citation
Individual who aims the beam of a
laser pointer at an aircraft in the airspace jurisdiction of the United
States, or at the flight path of such
an aircraft.
49 U.S.C. 46301 note ..
occurred. No violations will be assessed
at the 2018 or 2019 amounts. They are
included in the chart below to show the
FAA’s calculations clearly.
Unpromulgated
2019 penalty
(2018 penalty
× 1.02522)
Unpromulgated
2018 penalty
(initial penalty
× 1.02041) 3
Initial penalty
(2016)
Description
Existing penalty
New penalty
(existing penalty
× 1.01764)
Description
B. FAA 2020 Adjustments
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clearly states at section 4(b)(2) that this
adjustment shall be made
‘‘notwithstanding section 553 of title 5,
United States Code.’’ By operation of the
2015 Act, DOT must publish an annual
adjustment by January 15 of every year,
and the new levels take effect upon
publication of the rule. In addition, as
noted above, MAP–21 provides explicit
authority to assess civil penalties for
violations of 49 U.S.C. 31306a.
Accordingly, DOT is publishing this
final rule without prior notice and
comment, and with an immediate
effective date.
$25,000
$25,510
$26,153
New penalty
(2019 penalty
× 1.01764)
$26,614
On October 5, 2018, Congress enacted
a statutory penalty for operating an
unmanned aircraft or unmanned aircraft
system equipped or armed with a
dangerous weapon.4 It was not adjusted
in 2019 because, per OMB guidance,
new civil monetary penalties are not
adjusted for inflation the first year they
are in effect.5 This year is thus its first
adjustment.
2 Public Law 114–190, section 2104(b), 130 Stat.
615, 620 (July 15, 2016) (codified at 49 U.S.C. 46301
note).
3 Under OMB Memorandum M–16–06, new civil
monetary penalties are not adjusted for inflation the
first year they are in effect. Because this penalty
was enacted on July 15, 2016, it would not have
been first adjusted until 2018.
4 Public Law 115–254, section 363, 132 Stat.
3186, 3308 (Oct. 5, 2018) (codified at 49 U.S.C.
44802 note).
5 OMB Memorandum M–16–06.
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Initial penalty
(2018)
Description
Citation
Operation of an unmanned aircraft or unmanned aircraft system
equipped or armed with a dangerous weapon.
49 U.S.C. 44802 note .........................
New penalty
(initial penalty
× 1.01764)
$25,000
$25,441
The rest of FAA’s 2020 adjustments
are summarized in the chart below.
Citation
Violation of hazardous materials transportation law .....................
Violation of hazardous materials transportation law resulting in
death, serious illness, severe injury, or substantial property
destruction.
Minimum penalty for violation of hazardous materials transportation law relating to training.
Maximum penalty for violation of hazardous materials transportation law relating to training.
Violation by a person other than an individual or small business
concern under 49 U.S.C. 46301(a)(1)(A) or (B).
Violation by an airman serving as an airman under 49 U.S.C.
46301(a)(1)(A) or (B) (but not covered by 46301(a)(5)(A) or
(B)).
Violation by an individual or small business concern under 49
U.S.C. 46301(a)(1)(A) or (B) (but not covered in 49 U.S.C.
46301(a)(5)).
Violation by an individual or small business concern (except an
airman serving as an airman) under 49 U.S.C.
46301(a)(5)(A)(i) or (ii).
Violation by an individual or small business concern related to
the transportation of hazardous materials.
Violation by an individual or small business concern related to
the registration or recordation under 49 U.S.C. chapter 441, of
an aircraft not used to provide air transportation.
Violation by an individual or small business concern of 49
U.S.C. 44718(d), relating to limitation on construction or establishment of landfills.
Violation by an individual or small business concern of 49
U.S.C. 44725, relating to the safe disposal of life-limited aircraft parts.
Tampering with a smoke alarm device .........................................
Knowingly providing false information about alleged violation involving the special aircraft jurisdiction of the United States.
Interference with cabin or flight crew ............................................
Permanent closure of an airport without providing sufficient notice.
Operating an unmanned aircraft and in so doing knowingly or
recklessly interfering with a wildfire suppression, law enforcement, or emergency response effort.
Violation of 51 U.S.C. 50901–50923, a regulation issued under
these statutes, or any term or condition of a license or permit
issued or transferred under these statutes..
49 U.S.C. 5123(a)(1) ...........................
49 U.S.C. 5123(a)(2) ...........................
$81,993
191,316
$83,439
194,691
49 U.S.C. 5123(a)(3) ...........................
493
502
49 U.S.C. 5123(a)(3) ...........................
81,993
83,439
49 U.S.C. 46301(a)(1) .........................
34,174
34,777
49 U.S.C. 46301(a)(1) .........................
1,501
1,527
49 U.S.C. 46301(a)(1) .........................
1,501
1,527
49 U.S.C. 46301(a)(5)(A) ....................
13,669
13,910
49 U.S.C. 46301(a)(5)(B)(i) .................
13,669
13,910
49 U.S.C. 46301(a)(5)(B)(ii) ................
13,669
13,910
49 U.S.C. 46301(a)(5)(B)(iii) ...............
13,669
13,910
49 U.S.C. 46301(a)(5)(B)(iv) ...............
13,669
13,910
49 U.S.C. 46301(b) .............................
49 U.S.C. 46302 ..................................
4,388
23,832
4,465
24,252
49 U.S.C. 46318 ..................................
49 U.S.C. 46319 ..................................
35,883
13,669
36,516
13,910
49 U.S.C. 46320 ..................................
20,923
21,292
51 U.S.C. 50917(c) .............................
240,155
244,391
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In addition to the civil penalties listed
in the above charts, FAA regulations
also provide for maximum civil
penalties for violation of 49 U.S.C.
47528–47530, relating to the prohibition
of operating certain aircraft not
complying with stage 3 noise levels.
Those civil penalties are identical to the
civil penalties imposed under 49 U.S.C.
46301(a)(1) and (a)(5), which are
detailed in the above chart, and
therefore, the noise-level civil penalties
will be adjusted in the same manner as
Existing penalty
New penalty
(existing penalty
× 1.01764)
Description
the section 46301(a)(1) and (a)(5) civil
penalties.
C. NHTSA 2020 Adjustments
NHTSA’s 2020 civil penalty
adjustments are summarized in the
chart below.
Description
Citation
Maximum penalty amount for each violation of the Safety Act ....
Maximum penalty amount for a related series of violations of the
Safety Act.
49 U.S.C. 30165(a)(1), 30165(a)(3) ....
49 U.S.C. 30165(a)(1), 30165(a)(3) ....
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Existing penalty
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$22,329
111,642,265
New penalty
(existing penalty
× 1.01764
$22,723
113,611,635
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Citation
Maximum penalty per school bus related violation of the Safety
Act.
Maximum penalty amount for a series of school bus related violations of the Safety Act.
Maximum penalty per violation for filing false or misleading reports.
Maximum penalty amount for a series of violations related to filing false or misleading reports.
Maximum penalty amount for each violation of the reporting requirements related to maintaining the National Motor Vehicle
Title Information System.
Maximum penalty amount for each violation of a bumper standard under the Motor Vehicle Information and Cost Savings Act
(Pub. L. 92–513, 86 Stat. 953, (1972)).
Maximum penalty amount for a series of violations of a bumper
standard under the Motor Vehicle Information and Cost Savings Act (Pub. L. 92–513, 86 Stat. 953, (1972)).
Maximum penalty amount for each violation of 49 U.S.C.
32308(a) related to providing information on crashworthiness
and damage susceptibility.
Maximum penalty amount for a series of violations of 49 U.S.C.
32308(a) related to providing information on crashworthiness
and damage susceptibility.
Maximum penalty for each violation related to the tire fuel efficiency information program.
Maximum civil penalty for willfully failing to affix, or failing to
maintain, the label requirement in the American Automobile
Labeling Act (Pub. L. 102–388, 106 Stat. 1556 (1992)).
Maximum penalty amount per violation related to odometer tampering and disclosure.
Maximum penalty amount for a related series of violations related to odometer tampering and disclosure.
Maximum penalty amount per violation related to odometer tampering and disclosure with intent to defraud.
Maximum penalty amount for each violation of the Motor Vehicle
Theft Law Enforcement Act of 1984 (Vehicle Theft Act), sec.
608, Pub. L. 98–547, 98 Stat. 2762 (1984).
Maximum penalty amount for a related series of violations of the
Motor Vehicle Theft Law Enforcement Act of 1984 (Vehicle
Theft Act), sec. 608, Pub. L. 98–547, 98 Stat. 2762 (1984).
Maximum civil penalty for violations of the Anti-Car Theft Act
(Pub. L. 102–519, 106 Stat. 3393 (1992)) related to operation
of a chop shop.
Maximum civil penalty for violations under 49 U.S.C. 32911(a)
related to automobile fuel economy.
Maximum civil penalty for a violation under the medium- and
heavy-duty vehicle fuel efficiency program.
49 U.S.C. 30165(a)(2)(A) ....................
12,695
12,919
49 U.S.C. 30165(a)(2)(B) ....................
19,042,502
19,378,412
49 U.S.C. 30165(a)(4) .........................
5,466
5,562
49 U.S.C. 30165(a)(4) .........................
1,093,233
1,112,518
49 U.S.C. 30505 ..................................
1,783
1,814
49 U.S.C. 32507(a) .............................
2,924
2,976
49 U.S.C. 32507(a) .............................
3,256,233
3,313,763
49 U.S.C. 32308(b) .............................
2,924
2,976
49 U.S.C. 32308(b) .............................
1,594,890
1,623,024
49 U.S.C. 32308(c) .............................
60,518
61,586
49 U.S.C. 32309 ..................................
1,783
1,814
49 U.S.C. 32709 ..................................
10,932
11,125
49 U.S.C. 32709 ..................................
1,093,233
1,112,518
49 U.S.C. 32710 ..................................
10,932
11,125
49 U.S.C. 33115(a) .............................
2,402
2,444
49 U.S.C. 33115(a) .............................
600,388
610,979
49 U.S.C. 33115(b) .............................
178,338
181,484
49 U.S.C 32912(a) ..............................
42,530
43,280
49 U.S.C. 32902 ..................................
41,882
42,621
D. FMCSA 2020 Adjustments and
Revisions
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FMCSA’s civil penalties affected by
this rule are all located in appendices A
and B to 49 CFR part 386. Section
31306a(k) of title 49 requires FMCSA to
assess civil penalties under 49 U.S.C.
521(b)(2)(C) for violations concerning
the Drug and Alcohol Clearinghouse. To
comply with this mandate, FMCSA
revises appendix B to include civil
penalties for an employer, employee,
medical review officer, or service agent
who violates the regulations
Existing penalty
New penalty
(existing penalty
× 1.01764
Description
implementing the Drug and Alcohol
Clearinghouse at 49 CFR part 382,
subpart G. FMCSA also makes
conforming changes to 49 CFR part 386,
appendix B (a)(1)–(4). The 2020
adjustments to these civil penalties are
summarized in the chart below.
Description
Citation
Appendix A II Subpoena ................................................................
Appendix A II Subpoena ................................................................
Appendix A IV (a) Out-of-service order (operation of CMV by
driver).
49 U.S.C. 525 ......................................
49 U.S.C. 525 ......................................
49 U.S.C. 521(b)(7) .............................
6 Section (g)(5) is revised to reflect the
termination of the North American Free Trade
Agreement and the adoption of the United States
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Mexico Canada Agreement (USMCA), which came
into effect July 1, 2020. FMCSA is examining its
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Existing penalty
$1,093
10,932
1,895
New penalty
(existing penalty
× 1.01764)
$1,112
11,125
1,928
regulations and considering what additional
revisions, if any, are needed in light of USMCA.
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New penalty
(existing penalty
× 1.01764)
Description
Citation
Appendix A IV (b) Out-of-service order (requiring or permitting
operation of CMV by driver).
Appendix A IV (c) Out-of-service order (operation by driver of
CMV or intermodal equipment that was placed out of service).
Appendix A IV (d) Out-of-service order (requiring or permitting
operation of CMV or intermodal equipment that was placed
out of service).
Appendix A IV (e) Out-of-service order (failure to return written
certification of correction).
Appendix A IV (g) Out-of-service order (failure to cease operations as ordered).
Appendix A IV (h) Out-of-service order (operating in violation of
order).
Appendix A IV (i) Out-of-service order (conducting operations
during suspension or revocation for failure to pay penalties).
Appendix A IV (j) (conducting operations during suspension or
revocation).
Appendix B (a)(1) Recordkeeping—maximum penalty per day ....
Appendix B (a)(1) Recordkeeping—maximum total penalty .........
Appendix B (a)(2) Knowing falsification of records .......................
Appendix B (a)(3) Non-recordkeeping violations ..........................
Appendix B (a)(4) Non-recordkeeping violations by drivers .........
Appendix B (a)(5) Violation of 49 CFR 392.5 (first conviction) .....
Appendix B (a)(5) Violation of 49 CFR 392.5 (second or subsequent conviction).
Appendix B (b) Commercial driver’s license (CDL) violations ......
Appendix B (b)(1): Special penalties pertaining to violation of
out-of-service orders (first conviction).
Appendix B (b)(1) Special penalties pertaining to violation of outof-service orders (second or subsequent conviction).
Appendix B (b)(2) Employer violations pertaining to knowingly allowing, authorizing employee violations of out-of-service order
(minimum penalty).
Appendix B (b)(2) Employer violations pertaining to knowingly allowing, authorizing employee violations of out-of-service order
(maximum penalty).
Appendix B (b)(3) Special penalties pertaining to railroad-highway grade crossing violations.
Appendix B (d) Financial responsibility violations .........................
Appendix B (e)(1) Violations of Hazardous Materials Regulations
(HMRs) and Safety Permitting Regulations (transportation or
shipment of hazardous materials).
Appendix B (e)(2) Violations of Hazardous Materials Regulations
(HMRs) and Safety Permitting Regulations (training)—minimum penalty.
Appendix B (e)(2): Violations of Hazardous Materials Regulations (HMRs) and Safety Permitting Regulations (training)—
maximum penalty.
Appendix B (e)(3) Violations of Hazardous Materials Regulations
(HMRs) and Safety Permitting Regulations (packaging or container).
Appendix B (e)(4): Violations of Hazardous Materials Regulations (HMRs) and Safety Permitting Regulations (compliance
with FMCSRs).
Appendix B (e)(5) Violations of Hazardous Materials Regulations
(HMRs) and Safety Permitting Regulations (death, serious illness, severe injury to persons; destruction of property).
Appendix B (f)(1) Operating after being declared unfit by assignment of a final ‘‘unsatisfactory’’ safety rating (generally).
Appendix B (f)(2) Operating after being declared unfit by assignment of a final ‘‘unsatisfactory’’ safety rating (hazardous materials)—maximum penalty.
Appendix B (f)(2): Operating after being declared unfit by assignment of a final ‘‘unsatisfactory’’ safety rating (hazardous
materials)—maximum penalty if death, serious illness, severe
injury to persons; destruction of property.
Appendix B (g)(1): Violations of the commercial regulations (CR)
(property carriers).
Appendix B (g)(2) Violations of the CRs (brokers) .......................
Appendix B (g)(3) Violations of the CRs (passenger carriers) .....
Appendix B (g)(4) Violations of the CRs (foreign motor carriers,
foreign motor private carriers).
49 U.S.C. 521(b)(7)) ............................
18,943
19,277
49 U.S.C. 521(b)(7) .............................
1,895
1,928
49 U.S.C. 521(b)(7) .............................
18,943
19,277
49 U.S.C. 521(b)(2)(B) ........................
947
964
49 U.S.C. 521(b)(2)(F) ........................
27,331
27,813
49 U.S.C. 521(b)(7) .............................
24,017
24,441
49 U.S.C. 521(b)(2)(A) and (b)(7)) ......
15,419
15,691
49 U.S.C. 521(b)(7) .............................
24,017
24,441
49
49
49
49
49
49
49
521(b)(2)(B)(i) .....................
521(b)(2)(B)(i) .....................
521(b)(2)(B)(ii) ....................
521(b)(2)(A) ........................
521(b)(2)(A) ........................
31310(i)(2)(A) .....................
31310(i)(2)(A) .....................
1,270
12,695
12,695
15,419
3,855
3,174
6,348
1,292
12,919
12,919
15,691
3,923
3,230
6,460
49 U.S.C. 521(b)(2)(C) ........................
49 U.S.C. 31310(i)(2)(A) .....................
5,732
3,174
5,833
3,230
49 U.S.C. 31310(i)(2)(A) .....................
6,348
6,460
49 U.S.C. 521(b)(2)(C) ........................
5,732
5,833
49 U.S.C. 31310(i)(2)(C) .....................
31,737
32,297
49 U.S.C. 31310(j)(2)(B) .....................
16,453
16,743
49 U.S.C. 31138(d)(1), 31139(g)(1) ....
49 U.S.C. 5123(a)(1) ...........................
16,915
81,993
17,213
83,439
49 U.S.C. 5123(a)(3) ...........................
493
502
49 U.S.C. 5123(a)(1) ...........................
81,993
83,439
49 U.S.C. 5123(a)(1) ...........................
81,993
83,439
49 U.S.C. 5123(a)(1) ...........................
81,993
83,439
49 U.S.C. 5123(a)(2) ...........................
191,316
194,691
49 U.S.C. 521(b)(2)(F) ........................
27,331
27,813
49 U.S.C. 5123(a)(1) ...........................
81,993
83,439
49 U.S.C. 5123(a)(2) ...........................
191,316
194,691
49 U.S.C. 14901(a) .............................
10,932
11,125
49 U.S.C. 14916(c) .............................
49 U.S.C. 14901(a) .............................
49 U.S.C. 14901(a) .............................
10,932
27,331
10,932
11,125
27,813
11,125
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U.S.C.
U.S.C.
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U.S.C.
U.S.C.
U.S.C.
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Existing penalty
1749
11JAR1
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Federal Register / Vol. 86, No. 6 / Monday, January 11, 2021 / Rules and Regulations
Citation
Appendix B (g)(5) Violations of the operating authority requirement (foreign motor carriers, foreign motor private carriers)—
maximum penalty for intentional violation 6
Appendix B (g)(5) Violations of the operating authority requirement (foreign motor carriers, foreign motor private carriers)—
maximum penalty for a pattern of intentional violations.
Appendix B (g)(6) Violations of the CRs (motor carrier or broker
for transportation of hazardous wastes)—minimum penalty.
Appendix B (g)(6) Violations of the CRs (motor carrier or broker
for transportation of hazardous wastes)—maximum penalty.
Appendix B (g)(7): Violations of the CRs (HHG carrier or freight
forwarder, or their receiver or trustee).
Appendix B (g)(8) Violation of the CRs (weight of HHG shipment, charging for services)—minimum penalty for first violation.
Appendix B (g)(8) Violation of the CRs (weight of HHG shipment, charging for services)—subsequent violation.
Appendix B (g)(10) Tariff violations ...............................................
Appendix B (g)(11) Additional tariff violations (rebates or concessions)—first violation.
Appendix B (g)(11) Additional tariff violations (rebates or concessions)—subsequent violations.
Appendix B (g)(12): Tariff violations (freight forwarders)—maximum penalty for first violation.
Appendix B (g)(12): Tariff violations (freight forwarders)—maximum penalty for subsequent violations.
Appendix B (g)(13): service from freight forwarder at less than
rate in effect—maximum penalty for first violation.
Appendix B (g)(13): service from freight forwarder at less than
rate in effect—maximum penalty for subsequent violation(s).
Appendix B (g)(14): Violations related to loading and unloading
motor vehicles.
Appendix B (g)(16): Reporting and recordkeeping under 49
U.S.C. subtitle IV, part B (except 13901 and 13902(c))—minimum penalty.
Appendix B (g)(16): Reporting and recordkeeping under 49
U.S.C. subtitle IV, part B—maximum penalty.
Appendix B (g)(17): Unauthorized disclosure of information ........
Appendix B (g)(18): Violation of 49 U.S.C. subtitle IV, part B, or
condition of registration.
Appendix B (g)(21)(i): Knowingly and willfully fails to deliver or
unload HHG at destination.
Appendix B (g)(22): HHG broker estimate before entering into
an agreement with a motor carrier.
Appendix B (g)(23): HHG transportation or broker services—registration requirement.
Appendix B (h): Copying of records and access to equipment,
lands, and buildings—maximum penalty per day.
Appendix B (h): Copying of records and access to equipment,
lands, and buildings—maximum total penalty.
Appendix B (i)(1): Evasion of regulations under 49 U.S.C. ch. 5,
51, subchapter III of ch. 311 (except 31138 and 31139),
31302–31304, 31305(b), 31310(g)(1)(A), or 31502—minimum
penalty for first violation.
Appendix B (i)(1): Evasion of regulations under 49 U.S.C. ch. 5,
51, subchapter III of ch. 311 (except 31138 and 31139),
31302–31304, 31305(b), 31310(g)(1)(A), or 31502—maximum
penalty for first violation.
Appendix B (i)(1): Evasion of regulations under 49 U.S.C. ch. 5,
51, subchapter III of ch. 311 (except 31138 and 31139),
31302–31304, 31305(b), 31310(g)(1)(A), or 31502—minimum
penalty for subsequent violation(s).
Appendix B (i)(1): Evasion of regulations under 49 U.S.C. ch. 5,
51, subchapter III of ch. 311 (except 31138 and 31139),
31302–31304, 31305(b), 31310(g)(1)(A), or 31502—maximum
penalty for subsequent violation(s).
Appendix B (i)(2): Evasion of regulations under 49 U.S.C. subtitle IV, part B—minimum penalty for first violation.
Appendix B (i)(2): Evasion of regulations under 49 U.S.C. subtitle IV, part B—minimum penalty for subsequent violation(s).
49 U.S.C. 14901 note .........................
15,034
15,299
49 U.S.C. 14901 note .........................
37,587
38,250
49 U.S.C. 14901(b) .............................
21,865
22,251
49 U.S.C. 14901(b) .............................
43,730
44,501
I49 U.S.C. 14901(d)(1) ........................
1,644
1,673
49 U.S.C. 14901(e) .............................
3,291
3,349
49 U.S.C. 14901(e) .............................
8,227
8,372
49 U.S.C. 13702, 14903 .....................
49 U.S.C. 14904(a) .............................
164,531
328
167,433
334
49 U.S.C. 14904(a) .............................
411
418
49 U.S.C. 14904(b)(1) .........................
823
838
49 U.S.C. 14904(b)(1) .........................
3,291
3,349
49 U.S.C. 14904(b)(2) .........................
823
838
49 U.S.C. 14904(b)(2) .........................
3,291
3,349
49 U.S.C. 14905 ..................................
16,453
16,743
49 U.S.C. 14901 ..................................
1,093
1,112
49 U.S.C. 14907 ..................................
8,227
8,372
49 U.S.C. 14908 ..................................
49 U.S.C. 14910 ..................................
3,291
823
3,349
838
49 U.S.C. 14915 ..................................
16,453
16,743
49 U.S.C. 14901(d)(2) .........................
12,695
12,919
49 U.S.C. 14901 (d)(3) ........................
31,737
32,297
49 U.S.C. 521(b)(2)(E) ........................
1,270
1,292
49 U.S.C. 521(b)(2)(E) ........................
12,695
12,919
49 U.S.C. 524 ......................................
2,187
2,226
49 U.S.C. 524 ......................................
5,466
5,562
49 U.S.C. 524 ......................................
2,732
2,780
49 U.S.C. 524 ......................................
8,199
8,344
49 U.S.C. 14906 ..................................
2,187
2,226
49 U.S.C. 14906 ..................................
5,466
5,562
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Existing penalty
New penalty
(existing penalty
× 1.01764)
Description
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1751
E. FRA 2020 Adjustments
FRA’s 2020 civil penalty adjustments
are summarized in the chart below.
Description
Citation
Minimum rail safety penalty ...........................................................
Ordinary maximum rail safety penalty ...........................................
Maximum penalty for an aggravated rail safety violation ..............
Minimum penalty for hazardous materials training violations .......
Maximum penalty for ordinary hazardous materials violations .....
Maximum penalty for aggravated hazardous materials violations
F. PHMSA 2020 Adjustments
PHMSA’s civil penalties affected by
this rule for hazardous materials
49
49
49
49
49
49
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
U.S.C.
Existing penalty
ch. 213 ................................
ch. 213 ................................
ch. 213 ................................
5123 ....................................
5123 ....................................
5123 ....................................
violations are located in 49 CFR
107.329, appendix A to subpart D of 49
CFR part 107, and § 171.1. The civil
penalties affected by this rule for
$892
29,192
116,766
493
81,993
191,316
New penalty
(existing penalty
× 1.01764)
$908
29,707
118,826
502
83,439
194,691
pipeline safety violations are located in
§ 190.223. PHMSA’s 2020 civil penalty
adjustments are summarized in the
chart below.
Existing penalty
New penalty
(existing penalty
× 1.01764)
Description
Citation
Maximum penalty for hazardous materials violation .....................
Maximum penalty for hazardous materials violation that results
in death, serious illness, or severe injury to any person or substantial destruction of property.
Minimum penalty for hazardous materials training violations .......
Maximum penalty for each pipeline safety violation .....................
Maximum penalty for a related series of pipeline safety violations.
Maximum additional penalty for each liquefied natural gas pipeline facility violation.
Maximum penalty for discrimination against employees providing
pipeline safety information.
49 U.S.C. 5123 ....................................
49 U.S.C. 5123 ....................................
$81,993
191,316
$83,439
194,691
49 U.S.C. 5123 ....................................
49 U.S.C. 60122(a)(1) .........................
49 U.S.C. 60122(a)(1) .........................
493
218,647
2,186,465
502
222,504
2,225,034
49 U.S.C. 60122(a)(2) .........................
79,875
81,284
49 U.S.C. 60122(a)(3) .........................
1,270
1,292
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G. MARAD 2019 Adjustments
MARAD’s 2019 civil penalty
adjustments are summarized in the
chart below.
Existing penalty
New penalty
(existing penalty
× 1.01764)
Description
Citation
Maximum civil penalty for a single violation of any provision
under 46 U.S.C. Chapter 313 and all of Subtitle III related
MARAD regulations, except for violations of 46 U.S.C. 31329.
Maximum civil penalty for a single violation of 46 U.S.C. 31329
as it relates to the court sales of documented vessels.
Maximum civil penalty for a single violation of 46 U.S.C. 56101
as it relates to approvals required to transfer a vessel to a
noncitizen.
Maximum civil penalty for failure to file an AMVER report ...........
Maximum civil penalty for violating procedures for the use and
allocation of shipping services, port facilities and services for
national security and national defense operations.
Maximum civil penalty for violations in applying for or renewing a
vessel’s fishery endorsement.
46 U.S.C. 31309 ..................................
$21,038
$21,409
46 U.S.C. 31330 ..................................
52,596
53,524
46 U.S.C. 56101(e) .............................
21,134
21,507
46 U.S.C. 50113(b) .............................
50 U.S.C. 4513 ....................................
133
26,582
135
27,051
46 U.S.C. 12151 ..................................
154,197
156,917
H. SLSDC 2020 Adjustments
SLSDC’s 2020 civil penalty
adjustment is as follows:
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Description
Citation
Maximum civil penalty for each violation of the Seaway Rules
and Regulations at 33 CFR part 401.
33 U.S.C. 1232 ....................................
Regulatory Analysis and Notices
A. Executive Order 12866 and DOT
Regulatory Policies and Procedures
This final rule has been evaluated in
accordance with existing policies and
procedures and is considered not
significant under Executive Orders
12866 or DOT’s Regulatory Policies and
Procedures; therefore, the rule has not
been reviewed by the Office of
Management and Budget (OMB) under
Executive Order 12866.
B. Regulatory Flexibility Analysis
The Department has determined the
Regulatory Flexibility Act of 1980 (RFA)
(5 U.S.C. 601, et seq.) does not apply to
this rulemaking. The RFA applies, in
pertinent part, only when ‘‘an agency is
required . . . to publish general notice
of proposed rulemaking.’’ 5 U.S.C.
604(a).7 The Small Business
Administration’s A Guide for
Government Agencies: How to Comply
with the Regulatory Flexibility Act
(2012), explains that:
If, under the [Administrative Procedure
Act (APA)] or any rule of general
applicability governing federal grants to state
and local governments, the agency is
required to publish a general notice of
proposed rulemaking (NPRM), the RFA must
be considered [citing 5 U.S.C. 604(a)]. . . . If
an NPRM is not required, the RFA does not
apply.
As stated above, DOT has determined
that good cause exists to publish this
final rule without notice and comment
procedures under the APA. Therefore,
the RFA does not apply.
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C. Executive Order 13132 (Federalism)
This final rule has been analyzed in
accordance with the principles and
criteria contained in Executive Order
13132 (‘‘Federalism’’). This regulation
has no substantial direct effects on the
States, the relationship between the
National Government and the States, or
the distribution of power and
responsibilities among the various
levels of government. It does not contain
any provision that imposes substantial
direct compliance costs on State and
7 Under 5 U.S.C. 603(a), the Regulatory Flexibility
Act also applies when an agency ‘‘publishes a
notice of proposed rulemaking for an interpretative
rule involving the internal revenue laws of the
United States.’’ However, this rule does not involve
the internal revenue laws of the United States.
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local governments. It does not contain
any new provision that preempts State
law, because States are already
preempted from regulating in this area
under the Airline Deregulation Act, 49
U.S.C. 41713. Therefore, the
consultation and funding requirements
of Executive Order 13132 do not apply.
D. Executive Order 13175
This final rule has been analyzed in
accordance with the principles and
criteria contained in Executive Order
13175, Consultation and Coordination
with Indian Tribal Governments.
Because none of the measures in the
rule have tribal implications or impose
substantial direct compliance costs on
Indian tribal governments, the funding
and consultation requirements of
Executive Order 13175 do not apply.
E. Paperwork Reduction Act
Under the Paperwork Reduction Act,
before an agency submits a proposed
collection of information to OMB for
approval, it must publish a document in
the Federal Register providing notice of
and a 60-day comment period on, and
otherwise consult with members of the
public and affected agencies concerning,
each proposed collection of information.
This final rule imposes no new
information reporting or record keeping
necessitating clearance by OMB.
F. National Environmental Policy Act
The Department has analyzed the
environmental impacts of this final rule
pursuant to the National Environmental
Policy Act of 1969 (NEPA) (42 U.S.C.
4321, et seq.) and has determined that
it is categorically excluded pursuant to
DOT Order 5610.1C, Procedures for
Considering Environmental Impacts (44
FR 56420, Oct. 1, 1979 as amended July
13, 1982 and July 30, 1985). Categorical
exclusions are actions identified in an
agency’s NEPA implementing
procedures that do not normally have a
significant impact on the environment
and therefore do not require either an
environmental assessment (EA) or
environmental impact statement (EIS).
See 40 CFR 1508.4. In analyzing the
applicability of a categorical exclusion,
the agency must also consider whether
extraordinary circumstances are present
that would warrant the preparation of
an EA or EIS. Id. Paragraph 4(c)(5) of
DOT Order 5610.1C incorporates by
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$94,219
$95,881
reference the categorical exclusions for
all DOT Operating Administrations.
This action qualifies for a categorical
exclusion in accordance with FAA
Order 1050.1F, Environmental Impacts:
Policies and Procedures, (80 FR 44208,
July 24, 2015), paragraph 5–6.6.f, which
covers regulations not expected to cause
any potentially significant
environmental impacts. The Department
does not anticipate any environmental
impacts, and there are no extraordinary
circumstances present in connection
with this final rule.
G. Unfunded Mandates Reform Act
The Department analyzed the final
rule under the factors in the Unfunded
Mandates Reform Act of 1995. The
Department considered whether the rule
includes a Federal mandate that may
result in the expenditure by State, local,
and tribal governments, in the aggregate,
or by the private sector, of $100,000,000
or more (adjusted annually for inflation)
in any one year. The Department has
determined that this final rule will not
result in such expenditures.
Accordingly, this final rule is not
subject to the Unfunded Mandates
Reform Act.
H. Executive Order 13771
Executive Order 13771, ‘‘Reducing
Regulation and Controlling Regulatory
Costs,’’ does not apply to this action
because it is nonsignificant; therefore, it
is not subject to the ‘‘2 for 1’’ and
budgeting requirements.
List of Subjects
14 CFR Part 13
Administrative practice and
procedure, Air transportation,
Hazardous materials transportation,
Investigations, Law enforcement,
Penalties.
14 CFR Part 383
Administrative practice and
procedure, Penalties.
14 CFR Part 406
Administrative procedure and review,
Commercial space transportation,
Enforcement, Investigations, Penalties,
Rules of adjudication.
33 CFR Part 401
Hazardous materials transportation,
Navigation (water), Penalties, Radio,
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Federal Register / Vol. 86, No. 6 / Monday, January 11, 2021 / Rules and Regulations
Reporting and recordkeeping
requirements, Vessels, Waterways.
46 CFR Part 221
Administrative practice and
procedure, Maritime carriers, Mortgages,
Penalties, Reporting and recordkeeping
requirements, Trusts and trustees.
46 CFR Part 307
Marine safety, Maritime carriers,
Penalties, Reporting and recordkeeping
requirements.
46 CFR Part 340
Harbors, Maritime carriers, National
defense, Packaging and containers.
46 CFR Part 356
Citizenship and naturalization,
Fishing vessels, Mortgages, Penalties,
Reporting and recordkeeping
requirements, Vessels.
49 CFR Part 238
Occupational safety and health,
Penalties, Railroad employees, Railroad
safety, Reporting and recordkeeping
requirements.
Fire prevention, Passenger equipment,
Penalties, Railroad safety, Reporting and
recordkeeping requirements.
49 CFR Part 219
Communications, Penalties, Railroad
safety, Reporting and recordkeeping
requirements.
Alcohol abuse, Drug abuse, Drug
testing, Penalties, Railroad safety,
Reporting and recordkeeping
requirements, Safety, Transportation.
49 CFR Part 220
Penalties, Radio, Railroad safety,
Reporting and recordkeeping
requirements.
Administrative practice and
procedure, Penalties, Railroad safety,
Reporting and recordkeeping
requirements.
49 CFR Part 223
Glazing standards, Penalties, Railroad
safety, Reporting and recordkeeping
requirements.
49 CFR Part 225
49 CFR Part 171
Definitions, General information,
Regulations.
Investigations, Penalties, Railroad
safety, Reporting and recordkeeping
requirements.
49 CFR Part 190
Administrative practice and
procedure, Penalties, Pipeline safety.
49 CFR Part 227
Noise control, Occupational safety
and health, Penalties, Railroad safety,
Reporting and recordkeeping
requirements.
49 CFR Part 209
Administrative practice and
procedure, Hazardous materials
transportation, Penalties, Railroad
safety, Reporting and recordkeeping
requirements.
49 CFR Part 228
Penalties, Railroad employees,
Reporting and recordkeeping
requirements.
49 CFR Part 213
Bridges, Penalties, Railroad safety,
Reporting and recordkeeping
requirements.
49 CFR Part 231
Penalties, Railroad safety.
49 CFR Part 236
49 CFR Parts 216, 217, 221, 224, 229,
230, 232, 233, and 239
Penalties, Railroad safety, Reporting
and recordkeeping requirements.
49 CFR Part 237
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Penalties, Positive train control,
Railroad safety, Reporting and
recordkeeping requirements.
Bridges, Penalties, Railroad safety,
Reporting and recordkeeping
requirements.
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49 CFR Part 272
Penalties, Railroad employees,
Railroad safety, Railroads, Safety,
Transportation.
49 CFR Part 386
Administrative procedures,
Commercial motor vehicle safety,
Highways and roads, Motor carriers,
Penalties.
49 CFR Part 578
Imports, Motor vehicle safety, Motor
vehicles, Rubber and rubber products,
Tires, Penalties.
Accordingly, the Department of
Transportation amends 14 CFR chapters
I, II, and III, 33 CFR chapter IV, 46 CFR
chapter II, and 49 CFR chapters I, II, III,
and V as follows:
Title 14—Aeronautics and Space
PART 13—INVESTIGATIVE AND
ENFORCEMENT PROCEDURES
1. Revise the authority citation for part
13 to read as follows:
■
Authority: 18 U.S.C. 6002, 28 U.S.C. 2461
(note); 49 U.S.C. 106(g), 5121–5124, 40113–
40114, 44103–44106, 44701–44703, 44709–
44710, 44713, 44725, 44802 (note), 46101–
46111, 46301, 46302 (for a violation of 49
U.S.C. 46504), 46304–46316, 46318–46320,
46501–46502, 46504–46507, 47106, 47107,
47111, 47122, 47306, 47531–47532; 49 CFR
1.83.
2. Amend § 13.301 by revising
paragraphs (b) and (c) to read as follows:
Highway safety, Penalties, Railroad
safety, Reporting and recordkeeping
requirements, State and local
governments.
49 CFR Part 215
Freight, Penalties, Railroad safety,
Reporting and recordkeeping
requirements.
49 CFR Part 241
■
49 CFR Part 234
49 CFR Part 214
Bridges, Occupational safety and
health, Penalties, Railroad safety,
Reporting and recordkeeping
requirements.
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49 CFR Part 218
49 CFR Parts 222, 235, 240, 242, 243,
and 244
49 CFR Part 107
Administrative practices and
procedure, Hazardous materials
transportation, Packaging and
containers, Penalties, Reporting and
recordkeeping requirements.
1753
§ 13.301 Inflation adjustments of civil
monetary penalties.
*
*
*
*
*
(b) Each adjustment to a maximum
civil monetary penalty or to minimum
and maximum civil monetary penalties
that establish a civil monetary penalty
range applies to actions initiated under
this part for violations occurring on or
after January 11, 2021, notwithstanding
references to specific civil penalty
amounts elsewhere in this part.
(c) Minimum and maximum civil
monetary penalties are as follows:
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TABLE 1 TO § 13.301—MINIMUM AND MAXIMUM CIVIL MONETARY PENALTY AMOUNTS FOR CERTAIN VIOLATIONS
United States Code citation
Civil monetary penalty description
49 U.S.C. 5123(a)(1) .................
Violation of hazardous materials transportation law.
Violation of hazardous materials transportation law resulting in death, serious illness, severe injury, or substantial property destruction.
Violation of hazardous materials transportation law relating to training.
Operation of an unmanned aircraft or
unmanned aircraft system equipped
or armed with a dangerous weapon.
Violation by a person other than an individual or small business concern
under 49 U.S.C. 46301(a)(1)(A) or
(B).
Violation by an airman serving as an
airman
under
49
U.S.C.
46301(a)(1)(A) or (B) (but not covered by 46301(a)(5)(A) or (B)).
Violation by an individual or small business concern under 49 U.S.C.
46301(a)(1)(A) or (B) (but not covered in 49 U.S.C. 46301(a)(5)).
Violation of 49 U.S.C. 47107(b) (or any
assurance made under such section)
or 49 U.S.C. 47133.
49 U.S.C. 5123(a)(2) .................
49 U.S.C. 5123(a)(3) .................
49 U.S.C. 44802 note ................
49 U.S.C. 46301(a)(1) ...............
49 U.S.C. 46301(a)(1) ...............
49 U.S.C. 46301(a)(1) ...............
49 U.S.C. 46301(a)(3) ...............
49 U.S.C. 46301(a)(5)(A) ..........
49 U.S.C. 46301(a)(5)(B)(i) .......
49 U.S.C. 46301(a)(5)(B)(ii) ......
49 U.S.C. 46301(a)(5)(B)(iii) ......
49 U.S.C. 46301(a)(5)(B)(iv) .....
49 U.S.C. 46301 note ................
49 U.S.C. 46301(b) ...................
49 U.S.C. 46302 ........................
49 U.S.C. 46318 ........................
49 U.S.C. 46319 ........................
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49 U.S.C. 46320 ........................
49 U.S.C. 47531 ........................
VerDate Sep<11>2014
2019 minimum
penalty
amount
New minimum
penalty
amount for
violations
occurring on
or after
January 11,
2021, adjusted
for inflation
N/A
N/A
$81,993 ............................
$83,439.
N/A
N/A
$191,316 ..........................
$194,691.
$493
$502
$81,993 ............................
$83,439.
N/A
N/A
$25,000 ............................
$25,441.
N/A
N/A
$34,174 ............................
$34,777.
N/A
N/A
$1,501 ..............................
$1,527.
N/A
N/A
$1,501 ..............................
$1,527.
N/A
N/A
No change.
N/A
N/A
Increase above otherwise
applicable maximum
amount not to exceed 3
times the amount of
revenues that are used
in violation of such section.
$13,669 ............................
$13,910.
N/A
N/A
$13,669 ............................
$13,910.
N/A
N/A
$13,669 ............................
$13,910.
N/A
N/A
$13,669 ............................
$13,910.
N/A
N/A
$13,669 ............................
$13,910.
N/A
N/A
$25,000 ............................
$26,614.
N/A
N/A
N/A
N/A
$4,388 ..............................
$23,832 ............................
$4,465.
$24,252.
N/A
N/A
N/A
N/A
$35,883 ............................
$13,669 ............................
$36,516.
$13,910.
N/A
N/A
$20,923 ............................
$21,292.
N/A
N/A
See 49 U.S.C.
46301(a)(1) and (a)(5),
above.
See 49 U.S.C.
46301(a)(1) and (a)(5),
above.
Sfmt 4700
E:\FR\FM\11JAR1.SGM
Violation by an individual or small business concern (except an airman
serving as an airman) under 49
U.S.C. 46301(a)(5)(A)(i) or (ii).
Violation by an individual or small business concern related to the transportation of hazardous materials.
Violation by an individual or small business concern related to the registration or recordation under 49 U.S.C.
chapter 441, of an aircraft not used
to provide air transportation.
Violation by an individual or small business concern of 49 U.S.C. 44718(d),
relating to limitation on construction
or establishment of landfills.
Violation by an individual or small business concern of 49 U.S.C. 44725,
relating to the safe disposal of lifelimited aircraft parts.
Individual who aims the beam of a
laser pointer at an aircraft in the airspace jurisdiction of the United
States, or at the flight path of such
an aircraft.
Tampering with a smoke alarm device
Knowingly providing false information
about alleged violation involving the
special aircraft jurisdiction of the
United States.
Interference with cabin or flight crew ...
Permanent closure of an airport without providing sufficient notice.
Operating an unmanned aircraft and in
so doing knowingly or recklessly
interfering with a wildfire suppression, law enforcement, or emergency
response effort.
Violation of 49 U.S.C. 47528–47530,
relating to the prohibition of operating certain aircraft not complying
with stage 3 noise levels.
19:42 Jan 08, 2021
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2019 maximum penalty
amount
11JAR1
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amount for violations
occurring on or after
January 11, 2021,
adjusted for inflation
Federal Register / Vol. 86, No. 6 / Monday, January 11, 2021 / Rules and Regulations
separate violation occurs for each day
the violation continues.
*
*
*
*
*
PART 383—CIVIL PENALTIES
3. The authority citation for part 383
continues to read as follows:
■
Authority: Sec. 701, Pub. L. 114–74, 129
Stat. 584; Sec. 503, Pub. L. 108–176, 117 Stat.
2490; Pub. L. 101–410, 104 Stat. 890; Sec.
31001, Pub. L. 104–134.
4. Section 383.2 is revised to read as
follows:
Title 33—Navigation and Navigable
Waters
PART 401—SEAWAY REGULATIONS
AND RULES
■
§ 383.2
Subpart B—Penalties—Violations of
Seaway Regulations
Amount of penalty.
Civil penalties payable to the U.S.
Government for violations of Title 49,
Chapters 401 through 421, pursuant to
49 U.S.C. 46301(a), are as follows:
(a) A general civil penalty of not more
than $34,777 (or $1,530 for individuals
or small businesses) applies to
violations of statutory provisions and
rules or orders issued under those
provisions, other than those listed in
paragraph (b) of this section (see 49
U.S.C. 46301(a)(1));
(b) With respect to small businesses
and individuals, notwithstanding the
general $1,466 civil penalty, the
following civil penalty limits apply:
(1) A maximum civil penalty of
$13,910 applies for violations of most
provisions of Chapter 401, including the
anti-discrimination provisions of
sections 40127 (general provision), and
41705 (discrimination against the
disabled) and rules and orders issued
pursuant to those provisions (see 49
U.S.C. 46301(a)(5)(A));
(2) A maximum civil penalty of
$6,955 applies for violations of section
41719 and rules and orders issued
pursuant to that provision (see 49 U.S.C.
46301(a)(5)(C)); and
(3) A maximum civil penalty of
$3,478 applies for violations of section
41712 or consumer protection rules or
orders (see 49 U.S.C. 46301(a)(5)(D)).
PART 406—INVESTIGATIONS,
ENFORCEMENT, AND
ADMINISTRATIVE REVIEW
5. The authority citation for part 406
continues to read as follows:
■
Authority: 51 U.S.C. 50901–50923.
6. Amend § 406.9 by revising
paragraph (a) to read as follows:
■
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§ 406.9
Civil penalties.
(a) Civil penalty liability. Under 51
U.S.C. 50917(c), a person found by the
FAA to have violated a requirement of
the Act, a regulation issued under the
Act, or any term or condition of a
license or permit issued or transferred
under the Act, is liable to the United
States for a civil penalty of not more
than $244,391 for each violation. A
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§ 307.19
1755
Penalties.
The owner or operator of a vessel in
the waterborne foreign commerce of the
United States is subject to a penalty of
$135.00 for each day of failure to file an
AMVER report required by this part.
Such penalty shall constitute a lien
upon the vessel, and such vessel may be
libeled in the district court of the United
States in which the vessel may be
found.
8. Amend § 401.102 by revising
paragraph (a) to read as follows:
PART 340—PRIORITY USE AND
ALLOCATION OF SHIPPING
SERVICES, CONTAINERS AND
CHASSIS, AND PORT FACILITIES AND
SERVICES FOR NATIONAL SECURITY
AND NATIONAL DEFENSE RELATED
OPERATIONS
§ 401.102
■
7. The authority citation for subpart B
of part 401 is revised to read as follows:
■
Authority: 33 U.S.C. 981–990, 1231 and
1232, 49 CFR 1.52, unless otherwise noted.
■
Civil penalty.
(a) A person, as described in
§ 401.101(b) who violates a regulation in
this chapter is liable to a civil penalty
of not more than $95,881.
*
*
*
*
*
Title 46—Shipping
9. The authority citation for part 221
continues to read as follows:
■
Authority: 46 U.S.C. chs. 301, 313, and
561; Pub. L. 114–74; 49 CFR 1.93.
10. Section 221.61(b) is revised to
read as follows:
■
Compliance.
*
*
*
*
*
(b) Pursuant to 46 U.S.C. 31309, a
general penalty of not more than
$21,409 may be assessed for each
violation of chapter 313 or 46 U.S.C.
subtitle III administered by the Maritime
Administration, and pursuant to the
regulations in this part a person
violating 46 U.S.C. 31329 is liable for a
civil penalty of not more than $53,524
for each violation. A person who
charters, sells, transfers or mortgages a
vessel, or an interest therein, in
violation of 46 U.S.C. 56101(e) is liable
for a civil penalty of not more than
$21,507 for each violation.
PART 307—ESTABLISHMENT OF
MANDATORY POSITION REPORTING
SYSTEM FOR VESSELS
11. The authority citation for part 307
continues to read as follows:
■
Authority: Pub. L. 109–304; 46 U.S.C.
50113; Pub. L. 114–74; 49 CFR 1.93.
12. Section 307.19 is revised to read
as follows:
■
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Authority: 50 U.S.C. 4501 et seq. (‘‘The
Defense Production Act’’); Executive Order
13603 (77 FR 16651); Executive Order 12656
(53 FR 47491); Pub. L. 114–74; 49 CFR 1.45;
49 CFR 1.93(l).
14. Section 340.9 is revised to read as
follows:
■
PART 221—REGULATED
TRANSACTIONS INVOLVING
DOCUMENTED VESSELS AND OTHER
MARITIME INTERESTS
§ 221.61
13. The authority citation for part 340
continues to read as follows:
Sfmt 4700
§ 340.9
Compliance.
Pursuant 50 U.S.C. 4513 any person
who willfully performs any act
prohibited, or willfully fails to perform
any act required, by the provisions of
this part shall, upon conviction, be
fined not more than $27,051 or
imprisoned for not more than one year,
or both.
PART 356—REQUIREMENTS FOR
VESSELS OF 100 FEET OR GREATER
IN REGISTERED LENGTH TO OBTAIN
A FISHERY ENDORSEMENT TO THE
VESSEL’S DOCUMENTATION
15. The authority citation for part 356
continues to read as follows:
■
Authority: 46 U.S.C. 12102; 46 U.S.C.
12151; 46 U.S.C. 31322; Pub. L. 105–277,
division C, title II, subtitle I, section 203 (46
U.S.C. 12102 note), section 210(e), and
section 213(g), 112 Stat. 2681; Pub. L. 107–
20, section 2202, 115 Stat. 168–170; Pub. L.
114–74; 49 CFR 1.93.
16. Amend § 356.49 by revising
paragraph (b) to read as follows:
■
§ 356.49
Penalties.
*
*
*
*
*
(b) A fine of up to $156,917 may be
assessed against the vessel owner for
each day in which such vessel has
engaged in fishing (as such term is
defined in section 3 of the MagnusonStevens Fishery Conservation and
Management Act (16 U.S.C. 1802))
within the exclusive economic zone of
the United States; and
*
*
*
*
*
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Federal Register / Vol. 86, No. 6 / Monday, January 11, 2021 / Rules and Regulations
Title 49—Transportation
PART 107—HAZARDOUS MATERIALS
PROGRAM PROCEDURES
17. The authority citation for part 107
continues to read as follows:
■
Authority: 49 U.S.C. 5101–5128, 44701;
Pub. L. 101–410 Section 4; Pub. L. 104–121
Sections 212–213; Pub. L. 104–134 Section
31001; Pub. L. 114–74 Section 4 (28 U.S.C.
2461 note); 49 CFR 1.81 and 1.97; 33 U.S.C.
1321.
18. Section 107.329 is revised to read
as follows:
■
§ 107.329
Maximum penalties.
jbell on DSKJLSW7X2PROD with RULES
(a) A person who knowingly violates
a requirement of the Federal hazardous
material transportation law, an order
issued thereunder, this subchapter,
subchapter C of the chapter, or a special
permit or approval issued under this
subchapter applicable to the
transportation of hazardous materials or
the causing of them to be transported or
shipped is liable for a civil penalty of
not more than $83,439 for each
violation, except the maximum civil
penalty is $194,691 if the violation
results in death, serious illness, or
severe injury to any person or
substantial destruction of property.
There is no minimum civil penalty,
except for a minimum civil penalty of
$502 for violations relating to training.
When the violation is a continuing one,
each day of the violation constitutes a
separate offense.
(b) A person who knowingly violates
a requirement of the Federal hazardous
material transportation law, an order
issued thereunder, this subchapter,
subchapter C of the chapter, or a special
permit or approval issued under this
subchapter applicable to the design,
manufacture, fabrication, inspection,
marking, maintenance, reconditioning,
repair or testing of a package, container,
or packaging component which is
represented, marked, certified, or sold
by that person as qualified for use in the
transportation of hazardous materials in
commerce is liable for a civil penalty of
not more than $83,439 for each
violation, except the maximum civil
penalty is $194,691 if the violation
results in death, serious illness, or
severe injury to any person or
substantial destruction of property.
There is no minimum civil penalty,
except for a minimum civil penalty of
$502 for violations relating to training.
Appendix A to Subpart D of Part 107
[Amended]
19. In appendix A to subpart D of part
107, remove ‘‘$81,993 or $191,316’’ and
‘‘July 31, 2019’’ and add in their places
■
VerDate Sep<11>2014
19:42 Jan 08, 2021
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‘‘$83,439 or $194,691’’ and ‘‘January 11,
2021,’’ respectively.
PART 171—GENERAL INFORMATION,
REGULATIONS, AND DEFINITIONS
20. The authority citation for part 171
continues to read as follows:
■
Authority: 49 U.S.C. 5101–5128, 44701;
Pub. L. 101–410 section 4; Pub. L. 104–134,
section 31001; Pub. L. 114–74 section 4 (28
U.S.C. 2461 note); 49 CFR 1.81 and 1.97.
21. Amend § 171.1 by revising
paragraph (g) to read as follows:
■
§ 171.1 Applicability of Hazardous
Materials Regulations (HMR) to persons and
functions.
*
*
*
*
*
(g) Penalties for noncompliance. Each
person who knowingly violates a
requirement of the Federal hazardous
material transportation law, an order
issued under Federal hazardous
material transportation law, subchapter
A of this chapter, or a special permit or
approval issued under subchapter A or
C of this chapter is liable for a civil
penalty of not more than $83,439 for
each violation, except the maximum
civil penalty is $194,691 if the violation
results in death, serious illness, or
severe injury to any person or
substantial destruction of property.
There is no minimum civil penalty,
except for a minimum civil penalty of
$502 for a violation relating to training.
PART 190—PIPELINE SAFETY
ENFORCEMENT AND REGULATORY
PROCEDURES
22. The authority citation for part 190
continues to read as follows:
■
Authority: 33 U.S.C. 1321(b); 49 U.S.C.
60101 et seq.
23. Amend § 190.223 by revising
paragraphs (a), (c), and (d) to read as
follows:
■
§ 190.223
Maximum penalties.
(a) Any person found to have violated
a provision of 49 U.S.C. 60101, et seq.,
or any regulation in 49 CFR parts 190
through 199, or order issued pursuant to
49 U.S.C. 60101, et seq. or 49 CFR part
190, is subject to an administrative civil
penalty not to exceed $222,504 for each
violation for each day the violation
continues, with a maximum
administrative civil penalty not to
exceed $2,225,034 for any related series
of violations.
*
*
*
*
*
(c) Any person found to have violated
any standard or order under 49 U.S.C.
60103 is subject to an administrative
civil penalty not to exceed $81,284,
which may be in addition to other
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Frm 00020
Fmt 4700
Sfmt 4700
penalties to which such person may be
subject under paragraph (a) of this
section.
(d) Any person who is determined to
have violated any standard or order
under 49 U.S.C. 60129 is subject to an
administrative civil penalty not to
exceed $1,292, which may be in
addition to other penalties to which
such person may be subject under
paragraph (a) of this section.
*
*
*
*
*
PART 209—RAILROAD SAFETY
ENFORCEMENT PROCEDURES
24. The authority citation for part 209
continues to read as follows:
■
Authority: 49 U.S.C. 5123, 5124, 20103,
20107, 20111, 20112, 20114; 28 U.S.C. 2461,
note; and 49 CFR 1.89.
25. Amend § 209.103 by revising
paragraphs (a) and (c) to read as follows:
■
§ 209.103 Minimum and maximum
penalties.
(a) A person who knowingly violates
a requirement of the Federal hazardous
materials transportation laws, an order
issued thereunder, subchapter A or C of
chapter I, subtitle B, of this title, or a
special permit or approval issued under
subchapter A or C of chapter I, subtitle
B, of this title is liable for a civil penalty
of not more than $83,439 for each
violation, except that—
(1) The maximum civil penalty for a
violation is $194,691 if the violation
results in death, serious illness, or
severe injury to any person, or
substantial destruction of property; and
(2) A minimum $502 civil penalty
applies to a violation related to training.
*
*
*
*
*
(c) The maximum and minimum civil
penalties described in paragraph (a) of
this section apply to violations
occurring on or after January 11, 2021.
■ 26. Amend § 209.105 by revising the
last sentence of paragraph (c) to read as
follows:
§ 209.105
Notice of probable violation.
*
*
*
*
*
(c) * * * In an amended notice, FRA
may change the civil penalty amount
proposed to be assessed up to and
including the maximum penalty amount
of $83,439 for each violation, except
that if the violation results in death,
serious illness or severe injury to any
person, or substantial destruction of
property, FRA may change the penalty
amount proposed to be assessed up to
and including the maximum penalty
amount of $194,691.
§ 209.409
■
[Amended]
27. Amend § 209.409 as follows:
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Federal Register / Vol. 86, No. 6 / Monday, January 11, 2021 / Rules and Regulations
a. Remove the dollar amount ‘‘$892’’
and add in its place ‘‘$908’’;
■ b. Remove the dollar amount
‘‘$29,192’’ and add in its place
‘‘$29,707’’; and
■ c. Remove the dollar amount
‘‘$116,766’’ and add in its place
‘‘$118,826’’.
■ 28. In appendix A to part 209, amend
the section ‘‘Penalty Schedules;
Assessment of Maximum Penalties’’ by:
■ a. Adding a sentence to the end of the
sixth paragraph;
■ b. Revising the fourth sentence of the
seventh paragraph; and
■ c. Revising the first sentence of the
tenth paragraph.
The addition and revisions read as
follows:
Authority: 49 U.S.C. 20102–20114 and
20142; Sec. 403, Div. A, Public Law 110–432,
122 Stat. 4885; 28 U.S.C. 2461, note; and 49
CFR 1.89.
Appendix A to Part 209—Statement of
Agency Policy Concerning Enforcement
of the Federal Railroad Safety Laws
■
■
*
*
*
*
*
Penalty Schedules; Assessment of Maximum
Penalties
*
*
*
*
*
* * * Effective January 11, 2021, the
minimum civil monetary penalty was raised
from $892 to $908, the ordinary maximum
civil monetary penalty was raised from
$29,192 to $29,707, and the aggravated
maximum civil monetary penalty was raised
from $116,766 to $118,826.
* * * For each regulation in this part or
order, the schedule shows two amounts
within the $908 to $29,707 range in separate
columns, the first for ordinary violations, the
second for willful violations (whether
committed by railroads or individuals).
* * *
*
*
*
*
*
Accordingly, under each of the schedules
(ordinarily in a footnote), and regardless of
the fact that a lesser amount might be shown
in both columns of the schedule, FRA
reserves the right to assess the statutory
maximum penalty of up to $118,826 per
violation where a pattern of repeated
violations or a grossly negligent violation has
created an imminent hazard of death or
injury or has caused death or injury. * * *
*
*
*
*
*
Appendix B to Part 209 [Amended]
29. Amend appendix B to part 209 as
follows:
■ a. Remove the dollar amount
‘‘$81,993’’ everywhere it appears and
add in its place ‘‘$83,439’’;
■ b. Remove the dollar amount
‘‘$191,316’’ everywhere it appears and
add in its place ‘‘$194,691’’; and
■ c. Remove the dollar amount ‘‘$493’’
and add in its place ‘‘$502’’.
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■
PART 213—TRACK SAFETY
STANDARDS
30. The authority citation for part 213
continues to read as follows:
■
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§ 213.15
[Amended]
31. In § 213.15, amend paragraph (a)
as follows:
■ a. Remove the dollar amount ‘‘$892’’
and add in its place ‘‘$908’’;
■ b. Remove the dollar amount
‘‘$29,192’’ and add in its place
‘‘$29,707’’; and
■ c. Remove the dollar amount
‘‘$116,766’’ and add in its place
‘‘$118,826’’.
■
PART 214—RAILROAD WORKPLACE
SAFETY
1757
a. Remove the dollar amount ‘‘$892’’
and add in its place ‘‘$908’’;
■ b. Remove the dollar amount
‘‘$29,192’’ and add in its place
‘‘$29,707’’; and
■ c. Remove the dollar amount
‘‘$116,766’’ and add in its place
‘‘$118,826’’.
■
PART 217—RAILROAD OPERATING
RULES
38. The authority citation for part 217
continues to read as follows:
■
Authority: 49 U.S.C. 20103, 20107; 28
U.S.C. 2461, note; and 49 CFR 1.89.
§ 217.5
[Amended]
39. Amend § 217.5 as follows:
■ a. Remove the dollar amount ‘‘$892’’
and add in its place ‘‘$908’’;
■ b. Remove the dollar amount
‘‘$29,192’’ and add in its place
‘‘$29,707’’; and
■ c. Remove the dollar amount
‘‘$116,766’’ and add in its place
‘‘$118,826’’.
■
32. The authority citation for part 214
continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 21301,
31304, 28 U.S.C. 2461, note; and 49 CFR
1.89.
§ 214.5
[Amended]
33. Amend § 214.5 as follows:
a. Remove the dollar amount ‘‘$892’’
and add in its place ‘‘$908’’;
■ b. Remove the dollar amount
‘‘$29,192’’ and add in its place
‘‘$29,707’’; and
■ c. Remove the dollar amount
‘‘$116,766’’ and add in its place
‘‘$118,826’’.
■
■
PART 215—RAILROAD FREIGHT CAR
SAFETY STANDARDS
34. The authority citation for part 215
continues to read as follows:
■
Authority: 49 U.S.C. 20103, 20107; 28
U.S.C. 2461, note; and 49 CFR 1.89.
§ 215.7
[Amended]
35. Amend § 215.7 as follows:
a. Remove the dollar amount ‘‘$892’’
and add in its place ‘‘$908’’;
■ b. Remove the dollar amount
‘‘$29,192’’ and add in its place
‘‘$29,707’’; and
■ c. Remove the dollar amount
‘‘$116,766’’ and add in its place
‘‘$118,826’’.
■
■
PART 216—SPECIAL NOTICE AND
EMERGENCY ORDER PROCEDURES:
RAILROAD TRACK, LOCOMOTIVE
AND EQUIPMENT
36. The authority citation for part 216
continues to read as follows:
■
Authority: 49 U.S.C. 20102–20104, 20107,
20111, 20133, 20701–20702, 21301–21302,
21304; 28 U.S.C. 2461, note; and 49 CFR
1.89.
§ 216.7
■
[Amended]
37. Amend § 216.7 as follows:
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PART 218—RAILROAD OPERATING
PRACTICES
40. The authority citation for part 218
continues to read as follows:
■
Authority: 49 U.S.C. 20103, 20107; 28
U.S.C. 2461, note; and 49 CFR 1.89.
§ 218.9
[Amended]
41. Amend § 218.9 as follows:
■ a. Remove the dollar amount ‘‘$892’’
and add in its place ‘‘$908’’;
■ b. Remove the dollar amount
‘‘$29,192’’ and add in its place
‘‘$29,707’’; and
■ c. Remove the dollar amount
‘‘$116,766’’ and add in its place
‘‘$118,826’’.
■
PART 219—CONTROL OF ALCOHOL
AND DRUG USE
42. The authority citation for part 219
continues to read as follows:
■
Authority: 49 U.S.C. 20103, 20107, 20140,
21301, 21304, 21311; 28 U.S.C. 2461, note;
Sec. 412, Div. A, Pub. L. 110–432, 122 Stat.
4889 (49 U.S.C. 20140, note); and 49 CFR
1.89.
§ 219.10
[Amended]
43. Amend § 219.10 as follows:
a. Remove the dollar amount ‘‘$892’’
and add in its place ‘‘$908’’;
■ b. Remove the dollar amount
‘‘$29,192’’ and add in its place
‘‘$29,707’’; and
■ c. Remove the dollar amount
‘‘$116,766’’ and add in its place
‘‘$118,826’’.
■
■
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Federal Register / Vol. 86, No. 6 / Monday, January 11, 2021 / Rules and Regulations
§ 223.7
PART 220—RAILROAD
COMMUNICATIONS
44. The authority citation for part 220
continues to read as follows:
■
Authority: 49 U.S.C. 20102–20103, 20103,
note, 20107, 21301–21302, 20701–20703,
21304, 21311; 28 U.S.C. 2461, note; and 49
CFR 1.89.
§ 220.7
[Amended]
45. Amend § 220.7 as follows:
a. Remove the dollar amount ‘‘$892’’
and add in its place ‘‘$908’’;
■ b. Remove the dollar amount
‘‘$29,192’’ and add in its place
‘‘$29,707’’; and
■ c. Remove the dollar amount
‘‘$116,766’’ and add in its place
‘‘$118,826’’.
■
■
PART 221—REAR END MARKING
DEVICE—PASSENGER, COMMUTER
AND FREIGHT TRAINS
46. The authority citation for part 221
continues to read as follows:
■
Authority: 49 U.S.C. 20103, 20107; 28
U.S.C. 2461, note; and 49 CFR 1.89.
§ 221.7
[Amended]
47. Amend § 221.7 as follows:
a. Remove the dollar amount ‘‘$892’’
and add in its place ‘‘$908’’;
■ b. Remove the dollar amount
‘‘$29,192’’ and add in its place
‘‘$29,707’’; and
■ c. Remove the dollar amount
‘‘$116,766’’ and add in its place
‘‘$118,826’’.
■
■
51. Amend § 223.7 as follows:
a. Remove the dollar amount ‘‘$892’’
and add in its place ‘‘$908’’;
■ b. Remove the dollar amount
‘‘$29,192’’ and add in its place
‘‘$29,707’’; and
■ c. Remove the dollar amount
‘‘$116,766’’ and add in its place
‘‘$118,826’’.
■
■
PART 224—REFLECTORIZATION OF
RAIL FREIGHT ROLLING STOCK
52. The authority citation for part 224
continues to read as follows:
■
Authority: 49 U.S.C. 20103, 20107, 20148
and 21301; 28 U.S.C. 2461, note; and 49 CFR
1.89.
§ 224.11
[Amended]
PART 225—RAILROAD ACCIDENTS/
INCIDENTS: REPORTS
CLASSIFICATION, AND
INVESTIGATIONS
54. The authority citation for part 225
continues to read as follows:
■
48. The authority citation for part 222
continues to read as follows:
§ 225.29
§ 222.11
[Amended]
49. Amend § 222.11 as follows:
a. Remove the dollar amount ‘‘$892’’
and add in its place ‘‘$908’’;
■ b. Remove the dollar amount
‘‘$29,192’’ and add in its place
‘‘$29,707’’; and
■ c. Remove the dollar amount
‘‘$116,766’’ and add in its place
‘‘$118,826’’.
■
■
PART 228—PASSENGER TRAIN
EMPLOYEE HOURS OF SERVICE;
RECORDKEEPING AND REPORTING;
SLEEPING QUARTERS
58. The authority citation for part 228
continues to read as follows:
■
Authority: 49 U.S.C. 103, 20103, 20107,
21101–21109; Sec. 108, Div. A, Pub. L. 110–
432, 122 Stat. 4860–4866, 4893–4894; 49
U.S.C. 21301, 21303, 21304, 21311; 28 U.S.C.
2461, note; and 49 CFR 1.89.
§ 228.6
[Amended]
59. In § 228.6, amend paragraph (a) as
follows:
■ a. Remove the dollar amount ‘‘$892’’
and add in its place ‘‘$908’’;
■ b. Remove the dollar amount
‘‘$29,192’’ and add in its place
‘‘$29,707’’; and
■ c. Remove the dollar amount
‘‘$116,766’’ and add in its place
‘‘$118,826’’.
■ 60. In appendix A to part 228, under
the heading ‘‘General Provisions,’’
amend the ‘‘Penalty’’ paragraph by
adding a sentence at the end of the first
paragraph to read as follows:
■
53. In § 224.11, amend paragraph (a)
as follows:
■ a. Remove the dollar amount ‘‘$892’’
and add in its place ‘‘$908’’;
■ b. Remove the dollar amount
‘‘$29,192’’ and add in its place
‘‘$29,707’’; and
■ c. Remove the dollar amount
‘‘$116,766’’ and add in its place
‘‘$118,826’’.
■
Authority: 49 U.S.C. 103, 322(a), 20103,
20107, 20901–20902, 21301, 21302, 21311;
28 U.S.C. 2461, note; and 49 CFR 1.89.
Authority: 49 U.S.C. 20103, 20107, 20153,
21301, 21304; 28 U.S.C. 2461, note; and 49
CFR 1.89.
b. Remove the dollar amount
‘‘$29,192’’ and add in its place
‘‘$29,707’’; and
■ c. Remove the dollar amount
‘‘$116,766’’ and add in its place
‘‘$118,826’’.
■
PART 222—USE OF LOCOMOTIVE
HORNS AT PUBLIC HIGHWAY–RAIL
GRADE CROSSINGS
■
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[Amended]
[Amended]
55. Amend § 225.29 as follows:
a. Remove the dollar amount ‘‘$892’’
and add in its place ‘‘$908’’;
■ b. Remove the dollar amount
‘‘$29,192’’ and add in its place
‘‘$29,707’’; and
■ c. Remove the dollar amount
‘‘$116,766’’ and add in its place
‘‘$118,826’’.
■
■
PART 227—OCCUPATIONAL NOISE
EXPOSURE
Appendix A to Part 228—Requirements
of the Hours of Service Act: Statement
of Agency Policy and Interpretation
*
*
*
*
*
General Provisions
*
*
*
*
*
Penalty. * * * Effective January 11, 2021,
the minimum civil monetary penalty was
raised from $892 to $908, the ordinary
maximum civil monetary penalty was raised
from $29,192 to $29,707, and the aggravated
maximum civil monetary penalty was raised
from $116,766 to $118,826.
*
*
*
*
*
PART 229—RAILROAD LOCOMOTIVE
SAFETY STANDARDS
61. The authority citation for part 229
continues to read as follows:
■
■
Authority: 49 U.S.C. 103, 322(a), 20103,
20107, 20901–02, 21301, 21301, 21302,
21311; 28 U.S.C. 2461, note; and 49 CFR
1.89.
PART 223—SAFETY GLAZING
STANDARDS—LOCOMOTIVES,
PASSENGER CARS AND CABOOSES
Authority: 49 U.S.C. 20103, 20103, note,
20701–20702; 28 U.S.C. 2461, note; and 49
CFR 1.89.
§ 229.7
50. The authority citation for part 223
continues to read as follows:
§ 227.9
■
Authority: 49 U.S.C. 20102–20103, 20133,
20701–20702, 21301–21302, 21304; 28 U.S.C.
2461, note; and 49 CFR 1.89.
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Jkt 253001
56. The authority citation for part 227
continues to read as follows:
[Amended]
57. In § 227.9, amend paragraph (a) as
follows:
■ a. Remove the dollar amount ‘‘$892’’
and add in its place ‘‘$908’’;
■
PO 00000
Frm 00022
Fmt 4700
Sfmt 4700
[Amended]
62. In § 229.7, amend paragraph (b) as
follows:
■ a. Remove the dollar amount ‘‘$892’’
and add in its place ‘‘$908’’;
■ b. Remove the dollar amount
‘‘$29,192’’ and add in its place
‘‘$29,707’’; and
■
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11JAR1
Federal Register / Vol. 86, No. 6 / Monday, January 11, 2021 / Rules and Regulations
c. Remove the dollar amount
‘‘$116,766’’ and add in its place
‘‘$118,826’’.
■
PART 233—SIGNAL SYSTEMS
REPORTING REQUIREMENTS
69. The authority citation for part 233
continues to read as follows:
■
PART 230—STEAM LOCOMOTIVE
INSPECTION AND MAINTENANCE
STANDARDS
63. The authority citation for part 230
continues to read as follows:
■
Authority: 49 U.S.C. 20103, 20107, 20702;
28 U.S.C. 2461, note; and 49 CFR 1.89.
§ 230.4
[Amended]
64. In § 230.4, amend paragraph (a) as
follows:
■ a. Remove the dollar amount ‘‘$892’’
and add in its place ‘‘$908’’;
■ b. Remove the dollar amount
‘‘$29,192’’ and add in its place
‘‘$29,707’’; and
■ c. Remove the dollar amount
‘‘$116,766’’ and add in its place
‘‘$118,826’’.
■
Authority: 49 U.S.C. 504, 522, 20103,
20107, 20501–20505, 21301, 21302, 21311;
28 U.S.C. 2461, note; and 49 CFR 1.89.
§ 233.11
[Amended]
70. Amend § 233.11 as follows:
■ a. Remove the dollar amount ‘‘$892’’
and add in its place ‘‘$908’’;
■ b. Remove the dollar amount
‘‘$29,192’’ and add in its place
‘‘$29,707’’; and
■ c. Remove the dollar amount
‘‘$116,766’’ and add in its place
‘‘$118,826’’.
■
PART 234—GRADE CROSSING
SAFETY
PART 231—RAILROAD SAFETY
APPLIANCE STANDARDS
■
65. The authority citation for part 231
continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20152,
20160, 21301, 21304, 21311, 22501 note; Pub.
L. 110–432, Div. A., Sec. 202, 28 U.S.C. 2461,
note; and 49 CFR 1.89.
71. The authority citation for part 234
continues to read as follows:
■
Authority: 49 U.S.C. 20102–20103, 20107,
20131, 20301–20303, 21301–21302, 21304;
28 U.S.C. 2461, note; and 49 CFR 1.89.
§ 231.0
[Amended]
§ 234.6
[Amended]
72. In § 234.6, amend paragraph (a) as
follows:
■ a. Remove the dollar amount ‘‘$892’’
and add in its place ‘‘$908’’;
■ b. Remove the dollar amount
‘‘$29,192’’ and add in its place
‘‘$29,707’’; and
■ c. Remove the dollar amount
‘‘$116,766’’ and add in its place
‘‘$118,826’’.
■
66. In § 231.0, amend paragraph (f) as
follows:
■ a. Remove the dollar amount ‘‘$892’’
and add in its place ‘‘$908’’;
■ b. Remove the dollar amount
‘‘$29,192’’ and add in its place
‘‘$29,707’’; and
■ c. Remove the dollar amount
‘‘$116,766’’ and add in its place
‘‘$118,826’’.
■
PART 232— BRAKE SYSTEM SAFETY
STANDARDS FOR FREIGHT AND
OTHER NON–PASSENGER TRAINS
AND EQUIPMENT; END–OF–TRAIN
DEVICES
67. The authority citation for part 232
continues to read as follows:
PART 235—INSTRUCTIONS
GOVERNING APPLICATIONS FOR
APPROVAL OF A DISCONTINUANCE
OR MATERIAL MODIFICATION OF A
SIGNAL SYSTEM OR RELIEF FROM
THE REQUIREMENTS OF PART 236
§ 232.11
68. In § 232.11, amend paragraph (a)
as follows:
■ a. Remove the dollar amount ‘‘$892’’
and add in its place ‘‘$908’’;
■ b. Remove the dollar amount
‘‘$29,192’’ and add in its place
‘‘$29,707’’; and
■ c. Remove the dollar amount
‘‘$116,766’’ and add in its place
‘‘$118,826’’.
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■
VerDate Sep<11>2014
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73. The authority citation for part 235
continues to read as follows:
■
Authority: 49 U.S.C. 20103, 20107; 28
U.S.C. 2461, note; and 49 CFR 1.89.
§ 235.9
[Amended]
Jkt 253001
PART 236—RULES, STANDARDS, AND
INSTRUCTIONS GOVERNING THE
INSTALLATION, INSPECTION,
MAINTENANCE, AND REPAIR OF
SIGNAL AND TRAIN CONTROL
SYSTEMS, DEVICES, AND
APPLIANCES
75. The authority citation for part 236
continues to read as follows:
■
Authority: 49 U.S.C. 20102–20103, 20107,
20133, 20141, 20157, 20301–20303, 20306,
20501–20505, 20701–20703, 21301–21302,
21304; 28 U.S.C. 2461, note; and 49 CFR
1.89.
§ 236.0
[Amended]
76. In § 236.0, amend paragraph (f) as
follows:
■ a. Remove the dollar amount ‘‘$892’’
and add in its place ‘‘$908’’;
■ b. Remove the dollar amount
‘‘$29,192’’ and add in its place
‘‘$29,707’’; and
■ c. Remove the dollar amount
‘‘$116,766’’ and add in its place
‘‘$118,826’’.
■
PART 237—BRIDGE SAFETY
STANDARDS
77. The authority citation for part 237
continues to read as follows:
■
Authority: 49 U.S.C. 20102–20114; Public
Law 110–432, Div. A, Sec. 417; 28 U.S.C.
2461, note; and 49 CFR 1.89.
§ 237.7
[Amended]
78. In § 237.7, amend paragraph (a) as
follows:
■ a. Remove the dollar amount ‘‘$892’’
and add in its place ‘‘$908’’;
■ b. Remove the dollar amount
‘‘$29,192’’ and add in its place
‘‘$29,707’’; and
■ c. Remove the dollar amount
‘‘$116,766’’ and add in its place
‘‘$118,826’’.
■
PART 238—PASSENGER EQUIPMENT
SAFETY STANDARDS
79. The authority citation for part 238
continues to read as follows:
■
■
Authority: 49 U.S.C. 20102–20103, 20107,
20133, 20141, 20301–20303, 20306, 21301–
21302, 21304; 28 U.S.C. 2461, note; and 49
CFR 1.89.
1759
[Amended]
§ 238.11
74. Amend § 235.9 as follows:
■ a. Remove the dollar amount ‘‘$892’’
and add in its place ‘‘$908’’;
■ b. Remove the dollar amount
‘‘$29,192’’ and add in its place
‘‘$29,707’’; and
■ c. Remove the dollar amount
‘‘$116,766’’ and add in its place
‘‘$118,826’’.
■
PO 00000
Frm 00023
Fmt 4700
Authority: 49 U.S.C. 20103, 20107, 20133,
20141, 20302–20303, 20306, 20701–20702,
21301–21302, 21304; 28 U.S.C. 2461, note;
and 49 CFR 1.89.
Sfmt 4700
[Amended]
80. In § 238.11, amend paragraph (a)
as follows:
■ a. Remove the dollar amount ‘‘$892’’
and add in its place ‘‘$908’’;
■ b. Remove the dollar amount
‘‘$29,192’’ and add in its place
‘‘$29,707’’; and
■ c. Remove the dollar amount
‘‘$116,766’’ and add in its place
‘‘$118,826’’.
■
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PART 239—PASSENGER TRAIN
EMERGENCY PREPAREDNESS
Authority: 49 U.S.C. 20103, 20107, 20135,
20138, 20162, 20163, 21301, 21304, 21311;
28 U.S.C. 2461, note; and 49 CFR 1.89.
81. The authority citation for part 239
continues to read as follows:
§ 242.11
■
Authority: 49 U.S.C. 20102–20103, 20105–
20114, 20133, 21301, 21304, and 21311; 28
U.S.C. 2461, note; and 49 CFR 1.89.
§ 239.11
[Amended]
82. Amend § 239.11 as follows:
a. Remove the dollar amount ‘‘$892’’
and add in its place ‘‘$908’’;
■ b. Remove the dollar amount
‘‘$29,192’’ and add in its place
‘‘$29,707’’; and
■ c. Remove the dollar amount
‘‘$116,766’’ and add in its place
‘‘$118,826’’.
■
■
PART 240—QUALIFICATION AND
CERTIFICATION OF LOCOMOTIVE
ENGINEERS
88. In § 242.11, amend paragraph (a)
as follows:
■ a. Remove the dollar amount ‘‘$892’’
and add in its place ‘‘$908’’;
■ b. Remove the dollar amount
‘‘$29,192’’ and add in its place
‘‘$29,707’’; and
■ c. Remove the dollar amount
‘‘$116,766’’ and add in its place
‘‘$118,826’’.
■
PART 243—TRAINING,
QUALIFICATION, AND OVERSIGHT
FOR SAFETY–RELATED RAILROAD
EMPLOYEES
89. The authority citation for part 243
continues to read as follows:
■
■
Authority: 49 U.S.C. 20103, 20107, 20131–
20155, 20162, 20301–20306, 20701–20702,
21301–21304, 21311; 28 U.S.C. 2461, note;
and 49 CFR 1.89.
Authority: 49 U.S.C. 20103, 20107, 20135,
21301, 21304, 21311; 28 U.S.C. 2461, note;
and 49 CFR 1.89.
§ 243.7
83. The authority citation for part 240
continues to read as follows:
§ 240.11
[Amended]
84. In § 240.11, amend paragraph (a)
as follows:
■ a. Remove the dollar amount ‘‘$892’’
and add in its place ‘‘$908’’;
■ b. Remove the dollar amount
‘‘$29,192’’ and add in its place
‘‘$29,707’’; and
■ c. Remove the dollar amount
‘‘$116,766’’ and add in its place
‘‘$118,826’’.
■
PART 241—UNITED STATES
LOCATIONAL REQUIREMENT FOR
DISPATCHING OF UNITED STATES
RAIL OPERATIONS
Authority: 49 U.S.C. 20103, 20107, 21301,
21304, 21311; 28 U.S.C. 2461, note; 49 CFR
1.89.
PART 244—REGULATIONS ON
SAFETY INTEGRATION PLANS
GOVERNING RAILROAD
CONSOLIDATIONS, MERGERS, AND
ACQUISITIONS OF CONTROL
Authority: 49 U.S.C. 20103, 20107, 21301;
5 U.S.C. 553 and 559; 28 U.S.C. 2461, note;
and 49 CFR 1.89.
§ 244.5
[Amended]
92. In § 244.5, amend paragraph (a) as
follows:
■ a. Remove the dollar amount ‘‘$892’’
and add in its place ‘‘$908’’;
■ b. Remove the dollar amount
‘‘$29,192’’ and add in its place
‘‘$29,707’’; and
■ c. Remove the dollar amount
‘‘$116,766’’ and add in its place
‘‘$118,826’’.
■
[Amended]
86. In § 241.15, amend paragraph (a)
as follows:
■ a. Remove the dollar amount ‘‘$892’’
and add in its place ‘‘$908’’;
■ b. Remove the dollar amount
‘‘$29,192’’ and add in its place
‘‘$29,707’’; and
■ c. Remove the dollar amount
‘‘$116,766’’ and add in its place
‘‘$118,826’’.
■
PART 272—CRITICAL INCIDENT
STRESS PLANS
PART 242—QUALIFICATION AND
CERTIFICATION OF CONDUCTORS
■
87. The authority citation for part 242
continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20109,
note; 28 U.S.C. 2461, note; 49 CFR 1.89; and
■
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Jkt 253001
93. The authority citation for part 272
continues to read as follows:
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Fmt 4700
§ 272.11
[Amended]
94. In § 272.11, amend paragraph (a)
as follows:
■ a. Remove the dollar amount ‘‘$892’’
and add in its place ‘‘$908’’;
■ b. Remove the dollar amount
‘‘$29,192’’ and add in its place
‘‘$29,707’’; and
■ c. Remove the dollar amount
‘‘$116,766’’ and add in its place
‘‘$118,826’’.
■
PART 386—RULES OF PRACTICE FOR
FMCSA PROCEEDINGS
95. The authority citation for part 386
is revised to read as follows:
■
Authority: 49 U.S.C. 113; chapters 5, 51,
131–141, 145–149, 311, 313, and 315; Sec.
204, Pub. L. 104–88, 109 Stat. 803, 941 (49
U.S.C. 701 note); Sec. 32402, Pub. L. 112–
141, 126 Stat. 405, 795 (49 U.S.C. 31306a);
Sec. 701 Pub. L. 114–74, 129 Stat. 599 (28
U.S.C. 2461 note); 49 CFR 1.81 and 1.87.
96. Amend appendix A to part 386 by
revising the introductory text and
sections II and IV.a. through e. and g.
through j. to read as follows:
■
91. The authority citation for part 244
continues to read as follows:
85. The authority citation for part 241
continues to read as follows:
§ 241.15
[Amended]
90. In § 243.7, amend paragraph (a) as
follows:
■ a. Remove the dollar amount ‘‘$892’’
and add in its place ‘‘$908’’;
■ b. Remove the dollar amount
‘‘$29,192’’ and add in its place
‘‘$29,707’’; and
■ c. Remove the dollar amount
‘‘$116,766’’ and add in its place
‘‘$118,826’’.
■
■
■
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[Amended]
sec. 410, Div. A, Pub. L. 110–432, 122 Stat.
4888.
Sfmt 4700
Appendix A to Part 386—Penalty
Schedule: Violations of Notices and
Orders
The Civil Penalties Inflation Adjustment
Act Improvements Act of 2015 [Public Law
114–74, sec. 701, 129 Stat. 599] amended the
Federal Civil Penalties Inflation Adjustment
Act of 1990 to require agencies to adjust civil
penalties for inflation. Pursuant to that
authority, the inflation adjusted civil
penalties identified in this appendix
supersede the corresponding civil penalty
amounts identified in title 49, United States
Code.
*
*
*
*
*
II. Subpoena
Violation—Failure to respond to Agency
subpoena to appear and testify or produce
records.
Penalty—minimum of $1,112 but not more
than $11,125 per violation.
*
*
*
*
*
IV. Out-of-Service Order
a. Violation—Operation of a commercial
vehicle by a driver during the period the
driver was placed out of service.
Penalty—Up to $1,928 per violation.
(For purposes of this violation, the term
‘‘driver’’ means an operator of a commercial
motor vehicle, including an independent
contractor who, while in the course of
operating a commercial motor vehicle, is
employed or used by another person.)
b. Violation—Requiring or permitting a
driver to operate a commercial vehicle during
the period the driver was placed out of
service.
Penalty—Up to $19,277 per violation.
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(This violation applies to motor carriers
including an independent contractor who is
not a ‘‘driver,’’ as defined under paragraph
IV(a) above.)
c. Violation—Operation of a commercial
motor vehicle or intermodal equipment by a
driver after the vehicle or intermodal
equipment was placed out-of-service and
before the required repairs are made.
Penalty—$1,928 each time the vehicle or
intermodal equipment is so operated.
(This violation applies to drivers as
defined in IV(a) above.)
d. Violation—Requiring or permitting the
operation of a commercial motor vehicle or
intermodal equipment placed out-of-service
before the required repairs are made.
Penalty—Up to $19,277 each time the
vehicle or intermodal equipment is so
operated after notice of the defect is received.
(This violation applies to intermodal
equipment providers and motor carriers,
including an independent owner operator
who is not a ‘‘driver,’’ as defined in IV(a)
above.)
e. Violation—Failure to return written
certification of correction as required by the
out-of-service order.
Penalty—Up to $964 per violation.
*
*
*
*
*
g. Violation—Operating in violation of an
order issued under § 386.72(b) to cease all or
part of the employer’s commercial motor
vehicle operations or to cease part of an
intermodal equipment provider’s operations,
i.e., failure to cease operations as ordered.
Penalty—Up to $27,813 per day the
operation continues after the effective date
and time of the order to cease.
h. Violation—Operating in violation of an
order issued under § 386.73.
Penalty—Up to $24,441 per day the
operation continues after the effective date
and time of the out-of-service order.
i. Violation—Conducting operations during
a period of suspension under § 386.83 or
§ 386.84 for failure to pay penalties.
Penalty—Up to $15,691 for each day that
operations are conducted during the
suspension or revocation period.
j. Violation—Conducting operations during
a period of suspension or revocation under
§ 385.911, § 385.913, § 385.1009, or
§ 385.1011 of this subchapter.
Penalty—Up to $24,441 for each day that
operations are conducted during the
suspension or revocation period.
97. Amend appendix B to part 386 by
revising the introductory text and
paragraphs (a)(1) through (5), (b), (d)
through (f), (g)(1) through (8), (10)
through (14), and (16) through (18),
(g)(21)(i), (g)(22) and (23), (h), and (i) to
read as follows:
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■
Appendix B to Part 386—Penalty
Schedule: Violations and Monetary
Penalties
The Civil Penalties Inflation Adjustment
Act Improvements Act of 2015 [Pub. L. 114–
74, sec. 701, 129 Stat. 599] amended the
Federal Civil Penalties Inflation Adjustment
Act of 1990 to require agencies to adjust civil
penalties for inflation. Pursuant to that
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Jkt 253001
authority, the inflation adjusted civil
penalties identified in this appendix
supersede the corresponding civil penalty
amounts identified in title 49, United States
Code.
What are the types of violations and
maximum monetary penalties?
(a) * * *
(1) Recordkeeping. A person or entity that
fails to prepare or maintain a record required
by part 40 of this title and parts 382, subpart
A, B, C, D, E, or F, 385, and 390 through 399
of this subchapter, or prepares or maintains
a required record that is incomplete,
inaccurate, or false, is subject to a maximum
civil penalty of $1,292 for each day the
violation continues, up to $12,919.
(2) Knowing falsification of records. A
person or entity that knowingly falsifies,
destroys, mutilates, or changes a report or
record required by parts 382, subpart A, B,
C, D, E, or F, 385, and 390 through 399 of
this subchapter, knowingly makes or causes
to be made a false or incomplete record about
an operation or business fact or transaction,
or knowingly makes, prepares, or preserves a
record in violation of a regulation order of
the Secretary is subject to a maximum civil
penalty of $12,919 if such action
misrepresents a fact that constitutes a
violation other than a reporting or
recordkeeping violation.
(3) Non-recordkeeping violations. A person
or entity that violates part 382, subpart A, B,
C, D, E, or F, part 385, or parts 390 through
399 of this subchapter, except a
recordkeeping requirement, is subject to a
civil penalty not to exceed $15,691 for each
violation.
(4) Non-recordkeeping violations by
drivers. A driver who violates parts 382,
subpart A, B, C, D, E, or F, 385, and 390
through 399 of this subchapter, except a
recordkeeping violation, is subject to a civil
penalty not to exceed $3,923.
(5) Violation of 49 CFR 392.5. A driver
placed out of service for 24 hours for
violating the alcohol prohibitions of 49 CFR
392.5(a) or (b) who drives during that period
is subject to a civil penalty not to exceed
$3,230 for a first conviction and not less than
$6,460 for a second or subsequent conviction.
*
*
*
*
*
(b) Commercial driver’s license (CDL)
violations. Any employer, employee, medical
review officer, or service agent who violates
any provision of 49 CFR part 382, subpart G,
or any person who violates 49 CFR part 383,
subpart B, C, E, F, G, or H, is subject to a civil
penalty not to exceed $5,833; except:
(1) A CDL-holder who is convicted of
violating an out-of-service order shall be
subject to a civil penalty of not less than
$3,230 for a first conviction and not less than
$6,460 for a second or subsequent conviction;
(2) An employer of a CDL-holder who
knowingly allows, requires, permits, or
authorizes an employee to operate a CMV
during any period in which the CDL-holder
is subject to an out-of-service order, is subject
to a civil penalty of not less than $5,833 or
more than $32,297; and
(3) An employer of a CDL-holder who
knowingly allows, requires, permits, or
authorizes that CDL-holder to operate a CMV
in violation of a Federal, State, or local law
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1761
or regulation pertaining to railroad-highway
grade crossings is subject to a civil penalty
of not more than $16,743.
*
*
*
*
*
(d) Financial responsibility violations. A
motor carrier that fails to maintain the levels
of financial responsibility prescribed by part
387 of this subchapter or any person (except
an employee who acts without knowledge)
who knowingly violates the rules of part 387,
subparts A and B, is subject to a maximum
penalty of $17,213. Each day of a continuing
violation constitutes a separate offense.
(e) Violations of the Hazardous Materials
Regulations (HMRs) and safety permitting
regulations found in subpart E of part 385 of
this subchapter. This paragraph (e) applies to
violations by motor carriers, drivers, shippers
and other persons who transport hazardous
materials on the highway in commercial
motor vehicles or cause hazardous materials
to be so transported.
(1) All knowing violations of 49 U.S.C.
chapter 51 or orders or regulations issued
under the authority of that chapter applicable
to the transportation or shipment of
hazardous materials by commercial motor
vehicle on the highways are subject to a civil
penalty of not more than $83,439 for each
violation. Each day of a continuing violation
constitutes a separate offense.
(2) All knowing violations of 49 U.S.C.
chapter 51 or orders or regulations issued
under the authority of that chapter applicable
to training related to the transportation or
shipment of hazardous materials by
commercial motor vehicle on the highways
are subject to a civil penalty of not less than
$502 and not more than $83,439 for each
violation.
(3) All knowing violations of 49 U.S.C.
chapter 51 or orders, regulations, or
exemptions under the authority of that
chapter applicable to the manufacture,
fabrication, marking, maintenance,
reconditioning, repair, or testing of a
packaging or container that is represented,
marked, certified, or sold as being qualified
for use in the transportation or shipment of
hazardous materials by commercial motor
vehicle on the highways are subject to a civil
penalty of not more than $83,439 for each
violation.
(4) Whenever regulations issued under the
authority of 49 U.S.C. chapter 51 require
compliance with the FMCSRs while
transporting hazardous materials, any
violations of the FMCSRs will be considered
a violation of the HMRs and subject to a civil
penalty of not more than $83,439.
(5) If any violation subject to the civil
penalties set out in paragraphs (e)(1) through
(4) of this appendix results in death, serious
illness, or severe injury to any person or in
substantial destruction of property, the civil
penalty may be increased to not more than
$194,691 for each offense.
(f) Operating after being declared unfit by
assignment of a final ‘‘unsatisfactory’’ safety
rating. (1) A motor carrier operating a
commercial motor vehicle in interstate
commerce (except owners or operators of
commercial motor vehicles designed or used
to transport hazardous materials for which
placarding of a motor vehicle is required
under regulations prescribed under 49 U.S.C.
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chapter 51) is subject, after being placed out
of service because of receiving a final
‘‘unsatisfactory’’ safety rating, to a civil
penalty of not more than $27,813 (49 CFR
385.13). Each day the transportation
continues in violation of a final
‘‘unsatisfactory’’ safety rating constitutes a
separate offense.
(2) A motor carrier operating a commercial
motor vehicle designed or used to transport
hazardous materials for which placarding of
a motor vehicle is required under regulations
prescribed under 49 U.S.C. chapter 51 is
subject, after being placed out of service
because of receiving a final ‘‘unsatisfactory’’
safety rating, to a civil penalty of not more
than $83,439 for each offense. If the violation
results in death, serious illness, or severe
injury to any person or in substantial
destruction of property, the civil penalty may
be increased to not more than $194,691 for
each offense. Each day the transportation
continues in violation of a final
‘‘unsatisfactory’’ safety rating constitutes a
separate offense.
(g) * * *
(1) A person who operates as a motor
carrier for the transportation of property in
violation of the registration requirements of
49 U.S.C. 13901 is liable for a minimum
penalty of $11,125 per violation.
(2) A person who knowingly operates as a
broker in violation of registration
requirements of 49 U.S.C 13904 or financial
security requirements of 49 U.S.C 13906 is
liable for a penalty not to exceed $11,125 for
each violation.
(3) A person who operates as a motor
carrier of passengers in violation of the
registration requirements of 49 U.S.C. 13901
is liable for a minimum penalty of $27,813
per violation.
(4) A person who operates as a foreign
motor carrier or foreign motor private carrier
of property in violation of the provisions of
49 U.S.C. 13902(c) is liable for a minimum
penalty of $11,125 per violation.
(5) A person who operates as a foreign
motor carrier or foreign motor private carrier
without authority, outside the boundaries of
a commercial zone along the United StatesMexico border, is liable for a maximum
penalty of $15,299 for an intentional
violation and a maximum penalty of $38,250
for a pattern of intentional violations.
(6) A person who operates as a motor
carrier or broker for the transportation of
hazardous wastes in violation of the
registration provisions of 49 U.S.C. 13901 is
liable for a minimum penalty of $22,251 and
a maximum penalty of $44,501 per violation.
(7) A motor carrier or freight forwarder of
household goods, or their receiver or trustee,
that does not comply with any regulation
relating to the protection of individual
shippers, is liable for a minimum penalty of
$1,673 per violation.
(8) A person—
(i) Who falsifies, or authorizes an agent or
other person to falsify, documents used in
the transportation of household goods by
motor carrier or freight forwarder to evidence
the weight of a shipment; or
(ii) Who charges for services which are not
performed or are not reasonably necessary in
the safe and adequate movement of the
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shipment is liable for a minimum penalty of
$3,349 for the first violation and $8,372 for
each subsequent violation.
*
*
*
*
*
(10) A person who offers, gives, solicits, or
receives transportation of property by a
carrier at a different rate than the rate in
effect under 49 U.S.C. 13702 is liable for a
maximum penalty of $167,433 per violation.
When acting in the scope of his/her
employment, the acts or omissions of a
person acting for or employed by a carrier or
shipper are considered to be the acts or
omissions of that carrier or shipper, as well
as that person.
(11) Any person who offers, gives, solicits,
or receives a rebate or concession related to
motor carrier transportation subject to
jurisdiction under subchapter I of 49 U.S.C.
chapter 135, or who assists or permits
another person to get that transportation at
less than the rate in effect under 49 U.S.C.
13702, commits a violation for which the
penalty is $334 for the first violation and
$418 for each subsequent violation.
(12) A freight forwarder, its officer, agent,
or employee, that assists or willingly permits
a person to get service under 49 U.S.C. 13531
at less than the rate in effect under 49 U.S.C.
13702 commits a violation for which the
penalty is up to $838 for the first violation
and up to $3,349 for each subsequent
violation.
(13) A person who gets or attempts to get
service from a freight forwarder under 49
U.S.C. 13531 at less than the rate in effect
under 49 U.S.C. 13702 commits a violation
for which the penalty is up to $838 for the
first violation and up to $3,349 for each
subsequent violation.
(14) A person who knowingly authorizes,
consents to, or permits a violation of 49
U.S.C. 14103 relating to loading and
unloading motor vehicles or who knowingly
violates subsection (a) of 49 U.S.C. 14103 is
liable for a penalty of not more than $16,743
per violation.
*
*
*
*
*
(16) A person required to make a report to
the Secretary, answer a question, or make,
prepare, or preserve a record under part B of
subtitle IV, title 49, U.S.C., or an officer,
agent, or employee of that person, is liable for
a minimum penalty of $1,112 and for a
maximum penalty of $8,372 per violation if
it does not make the report, does not
completely and truthfully answer the
question within 30 days from the date the
Secretary requires the answer, does not make
or preserve the record in the form and
manner prescribed, falsifies, destroys, or
changes the report or record, files a false
report or record, makes a false or incomplete
entry in the record about a business-related
fact, or prepares or preserves a record in
violation of a regulation or order of the
Secretary.
(17) A motor carrier, water carrier, freight
forwarder, or broker, or their officer, receiver,
trustee, lessee, employee, or other person
authorized to receive information from them,
who discloses information identified in 49
U.S.C. 14908 without the permission of the
shipper or consignee is liable for a maximum
penalty of $3,349.
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(18) A person who violates a provision of
part B, subtitle IV, title 49, U.S.C., or a
regulation or order under part B, or who
violates a condition of registration related to
transportation that is subject to jurisdiction
under subchapter I or III of chapter 135, or
who violates a condition of registration of a
foreign motor carrier or foreign motor private
carrier under section 13902, is liable for a
penalty of $838 for each violation if another
penalty is not provided in 49 U.S.C. chapter
149.
*
*
*
*
*
(21) * * *
(i) Who knowingly and willfully fails, in
violation of a contract, to deliver to, or
unload at, the destination of a shipment of
household goods in interstate commerce for
which charges have been estimated by the
motor carrier transporting such goods, and
for which the shipper has tendered a
payment in accordance with part 375,
subpart G, of this subchapter, is liable for a
civil penalty of not less than $16,743 for each
violation. Each day of a continuing violation
constitutes a separate offense.
*
*
*
*
*
(22) A broker for transportation of
household goods who makes an estimate of
the cost of transporting any such goods
before entering into an agreement with a
motor carrier to provide transportation of
household goods subject to FMCSA
jurisdiction is liable to the United States for
a civil penalty of not less than $12,919 for
each violation.
(23) A person who provides transportation
of household goods subject to jurisdiction
under 49 U.S.C. chapter 135, subchapter I, or
provides broker services for such
transportation, without being registered
under 49 U.S.C. chapter 139 to provide such
transportation or services as a motor carrier
or broker, as the case may be, is liable to the
United States for a civil penalty of not less
than $32,297 for each violation.
(h) Copying of records and access to
equipment, lands, and buildings. A person
subject to 49 U.S.C. chapter 51 or a motor
carrier, broker, freight forwarder, or owner or
operator of a commercial motor vehicle
subject to part B of subtitle VI of title 49
U.S.C. who fails to allow promptly, upon
demand in person or in writing, the Federal
Motor Carrier Safety Administration, an
employee designated by the Federal Motor
Carrier Safety Administration, or an
employee of a MCSAP grant recipient to
inspect and copy any record or inspect and
examine equipment, lands, buildings, and
other property, in accordance with 49 U.S.C.
504(c), 5121(c), and 14122(b), is subject to a
civil penalty of not more than $1,292 for each
offense. Each day of a continuing violation
constitutes a separate offense, except that the
total of all civil penalties against any violator
for all offenses related to a single violation
shall not exceed $12,919.
(i) Evasion. A person, or an officer,
employee, or agent of that person:
(1) Who by any means tries to evade
regulation of motor carriers under title 49,
United States Code, chapter 5, chapter 51,
subchapter III of chapter 311 (except sections
31138 and 31139) or section 31302, 31303,
31304, 31305(b), 31310(g)(1)(A), or 31502, or
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a regulation in subtitle B, chapter I,
subchapter C of this title, or this subchapter,
issued under any of those provisions, shall be
fined at least $2,226 but not more than
$5,562 for the first violation and at least
$2,780 but not more than $8,344 for a
subsequent violation.
(2) Who tries to evade regulation under
part B of subtitle IV, title 49, U.S.C., for
carriers or brokers is liable for a penalty of
at least $2,226 for the first violation or at
least $5,562 for a subsequent violation.
PART 578—CIVIL AND CRIMINAL
PENALTIES
98. The authority citation for part 578
is revised to read as follows:
■
Authority: Pub. L. 92–513, Pub. L. 94–163,
Pub. L. 98–547, Pub. L. 101–410, Pub. L.
102–388, Pub. L. 102–519, Pub. L. 104–134,
Pub. L. 109–59, Pub. L. 110–140, Pub. L.
112–141, Pub. L. 114–74, Pub. L. 114–94 (49
U.S.C. 30165, 30170, 30505, 32308, 32309,
32507, 32709, 32710, 32902, 32912, 33114,
and 33115); delegation of authority at 49 CFR
1.81, 1.95.
99. In § 578.6, paragraphs (a)(1),
(a)(2)(i)(B), (a)(3) and (4), (b) through (g),
(h)(1), and (i) are revised to read as
follows:
■
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§ 578.6 Civil penalties for violations of
specified provisions of Title 49 of the United
States Code.
(a) * * *
(1) In general. A person who violates
any of sections 30112, 30115, 30117
through 30122, 30123(a), 30125(c),
30127, or 30141 through 30147 of Title
49 of the United States Code or a
regulation in this chapter prescribed
under any of those sections is liable to
the United States Government for a civil
penalty of not more than $22,723 for
each violation. A separate violation
occurs for each motor vehicle or item of
motor vehicle equipment and for each
failure or refusal to allow or perform an
act required by any of those sections.
The maximum civil penalty under this
paragraph (a)(1) for a related series of
violations is $113,611,635.
(2) * * *
(i) * * *
(B) Violates section 30112(a)(2) of
Title 49 United States Code, shall be
subject to a civil penalty of not more
than $12,919 for each violation. A
separate violation occurs for each motor
vehicle or item of motor vehicle
equipment and for each failure or
refusal to allow or perform an act
required by this section. The maximum
penalty under this paragraph (a)(2)(i)(B)
for a related series of violations is
$19,378,412.
(3) Section 30166. A person who
violates Section 30166 of Title 49 of the
United States Code or a regulation in
this chapter prescribed under that
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section is liable to the United States
Government for a civil penalty for
failing or refusing to allow or perform
an act required under that section or
regulation. The maximum penalty under
this paragraph (a)(3) is $22,723 per
violation per day. The maximum
penalty under this paragraph (a)(3) for a
related series of daily violations is
$113,611,635.
(4) False and misleading reports. A
person who knowingly and willfully
submits materially false or misleading
information to the Secretary, after
certifying the same information as
accurate under the certification process
established pursuant to Section
30166(o) of Title 49 of the United States
Code, shall be subject to a civil penalty
of not more than $5,562 per day. The
maximum penalty under this paragraph
(a)(4) for a related series of daily
violations is $1,112,518.
(b) National Automobile Title
Information System. An individual or
entity violating 49 U.S.C. Chapter 305 is
liable to the United States Government
for a civil penalty of not more than
$1,814 for each violation.
(c) Bumper standards. (1) A person
that violates 49 U.S.C. 32506(a) is liable
to the United States Government for a
civil penalty of not more than $2,976 for
each violation. A separate violation
occurs for each passenger motor vehicle
or item of passenger motor vehicle
equipment involved in a violation of 49
U.S.C. 32506(a)(1) or (4)—
(i) That does not comply with a
standard prescribed under 49 U.S.C.
32502; or
(ii) For which a certificate is not
provided, or for which a false or
misleading certificate is provided, under
49 U.S.C. 32504.
(2) The maximum civil penalty under
this paragraph (c) for a related series of
violations is $3,313,763.
(d) Consumer information—(1) Crashworthiness and damage susceptibility. A
person who violates 49 U.S.C. 32308(a),
regarding crashworthiness and damage
susceptibility, is liable to the United
States Government for a civil penalty of
not more than $2,976 for each violation.
Each failure to provide information or
comply with a regulation in violation of
49 U.S.C. 32308(a) is a separate
violation. The maximum penalty under
this paragraph (d)(1) for a related series
of violations is $1,623,024.
(2) Consumer tire information. Any
person who fails to comply with the
national tire fuel efficiency program
under 49 U.S.C. 32304A is liable to the
United States Government for a civil
penalty of not more than $61,586 for
each violation.
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1763
(e) Country of origin content labeling.
A manufacturer of a passenger motor
vehicle distributed in commerce for sale
in the United States that willfully fails
to attach the label required under 49
U.S.C. 32304 to a new passenger motor
vehicle that the manufacturer
manufactures or imports, or a dealer
that fails to maintain that label as
required under 49 U.S.C. 32304, is liable
to the United States Government for a
civil penalty of not more than $1,814 for
each violation. Each failure to attach or
maintain that label for each vehicle is a
separate violation.
(f) Odometer tampering and
disclosure. (1) A person that violates 49
U.S.C. Chapter 327 or a regulation in
this chapter prescribed or order issued
thereunder is liable to the United States
Government for a civil penalty of not
more than $11,125 for each violation. A
separate violation occurs for each motor
vehicle or device involved in the
violation. The maximum civil penalty
under this paragraph (f)(1) for a related
series of violations is $1,112,518.
(2) A person that violates 49 U.S.C.
Chapter 327 or a regulation in this
chapter prescribed or order issued
thereunder, with intent to defraud, is
liable for three times the actual damages
or $11,125, whichever is greater.
(g) Vehicle theft protection. (1) A
person that violates 49 U.S.C.
33114(a)(1)–(4) is liable to the United
States Government for a civil penalty of
not more than $2,444 for each violation.
The failure of more than one part of a
single motor vehicle to conform to an
applicable standard under 49 U.S.C.
33102 or 33103 is only a single
violation. The maximum penalty under
this paragraph (g)(1) for a related series
of violations is $610,979.
(2) A person that violates 49 U.S.C.
33114(a)(5) is liable to the United States
Government for a civil penalty of not
more than $181,484 a day for each
violation.
(h) * * *
(1) A person that violates 49 U.S.C.
32911(a) is liable to the United States
Government for a civil penalty of not
more than $43,280 for each violation. A
separate violation occurs for each day
the violation continues.
*
*
*
*
*
(i) Medium- and heavy-duty vehicle
fuel efficiency. The maximum civil
penalty for a violation of the fuel
consumption standards of 49 CFR part
535 is not more than $42,621 per
vehicle or engine. The maximum civil
penalty for a related series of violations
shall be determined by multiplying
$42,621 times the vehicle or engine
production volume for the model year
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in question within the regulatory
averaging set.
Issued in Washington, DC, on November
10, 2020.
Elaine L. Chao,
Secretary of Transportation.
[FR Doc. 2020–25236 Filed 1–8–21; 8:45 am]
BILLING CODE P
DEPARTMENT OF COMMERCE
Office of the Secretary
15 CFR Part 6
[Docket No. 201209–0333]
RIN 0605–AA58
Civil Monetary Penalty Adjustments for
Inflation
Office of the Chief Financial
Officer and Assistant Secretary for
Administration, Department of
Commerce.
ACTION: Final rule.
AGENCY:
This final rule is being issued
to adjust for inflation each civil
monetary penalty (CMP) provided by
law within the jurisdiction of the United
States Department of Commerce
(Department of Commerce). The
Department of Commerce’s 2021
adjustments for inflation to CMPs apply
only to CMPs with a dollar amount, and
will not apply to CMPs written as
functions of violations. The Department
of Commerce’s 2021 adjustments for
inflation to CMPs apply only to those
CMPs, including those whose associated
violation predated such adjustment,
which are assessed by the Department of
Commerce after the effective date of the
new CMP level.
DATES: This rule is effective January 15,
2021.
FOR FURTHER INFORMATION CONTACT:
Stephen M. Kunze, Deputy Chief
Financial Officer and Director for
Financial Management, Office of
Financial Management, at (202) 482–
1207, Department of Commerce, 1401
Constitution Avenue NW, Room D200,
Washington, DC 20230. The Department
of Commerce’s Civil Monetary Penalty
Adjustments for Inflation are available
for downloading from the Department of
Commerce, Office of Financial
Management’s website at the following
address: https://www.osec.doc.gov/ofm/
OFM_Publications.html.
SUPPLEMENTARY INFORMATION:
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SUMMARY:
Background
The Federal Civil Penalties Inflation
Adjustment Act of 1990 (Pub. L. 101–
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410; 28 U.S.C. 2461), as amended by the
Debt Collection Improvement Act of
1996 (Pub. L. 104–134), provided for
agencies’ adjustments for inflation to
CMPs to ensure that CMPs continue to
maintain their deterrent value and that
CMPs due to the Federal Government
were properly accounted for and
collected.
A CMP is defined as any penalty, fine,
or other sanction that:
1. Is for a specific monetary amount
as provided by Federal law, or has a
maximum amount provided for by
Federal law; and,
2. Is assessed or enforced by an
agency pursuant to Federal law; and,
3. Is assessed or enforced pursuant to
an administrative proceeding or a civil
action in the Federal courts.
On November 2, 2015, the Federal
Civil Penalties Inflation Adjustment Act
Improvements Act of 2015 (Section 701
of Pub. L. 114–74) further amended the
Federal Civil Penalties Inflation
Adjustment Act of 1990 to improve the
effectiveness of CMPs and to maintain
their deterrent effect. This amendment
(1) required agencies to adjust the CMP
levels in effect as of November 2, 2015,
with initial catch up adjustments for
inflation through a final rulemaking to
take effect no later than August 1, 2016;
and (2) requires agencies to make
subsequent annual adjustments for
inflation to CMPs that shall take effect
not later than January 15. The
Department of Commerce’s 2020
adjustments for inflation to CMPs were
published in the Federal Register on
January 3, 2020, and the new CMP
levels became effective January 15,
2020.
The Department of Commerce’s 2021
adjustments for inflation to CMPs apply
only to CMPs with a dollar amount, and
will not apply to CMPs written as
functions of violations. These 2021
adjustments for inflation apply only to
those CMPs, including those whose
associated violation predated such
adjustment, which are assessed by the
Department of Commerce after the
effective date of the new CMP level.
This regulation adjusts for inflation
CMPs that are provided by law within
the jurisdiction of the Department of
Commerce. The actual CMP assessed for
a particular violation is dependent upon
a variety of factors. For example, the
National Oceanic and Atmospheric
Administration’s (NOAA) Policy for the
Assessment of Civil Administrative
Penalties and Permit Sanctions (Penalty
Policy), a compilation of NOAA internal
guidelines that are used when assessing
CMPs for violations for most of the
statutes NOAA enforces, will be
interpreted in a manner consistent with
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this regulation to maintain the deterrent
effect of the CMPs. The CMP ranges in
the Penalty Policy are intended to aid
enforcement attorneys in determining
the appropriate CMP to assess for a
particular violation. The Penalty Policy
is maintained and made available to the
public on NOAA’s Office of the General
Counsel, Enforcement Section website
at: https://www.gc.noaa.gov/enforceoffice.html.
The Department of Commerce’s 2021
adjustments for inflation to CMPs set
forth in this regulation were determined
pursuant to the methodology prescribed
by the Federal Civil Penalties Inflation
Adjustment Act Improvements Act of
2015, which requires the maximum
CMP, or the minimum and maximum
CMP, as applicable, to be increased by
the cost-of-living adjustment. The term
‘‘cost-of-living adjustment’’ is defined
by the Federal Civil Penalties Inflation
Adjustment Act Improvements Act of
2015. For the 2021 adjustments for
inflation to CMPs, the cost-of-living
adjustment is the percentage for each
CMP by which the Consumer Price
Index for the month of October 2020
exceeds the Consumer Price Index for
the month of October 2019.
Classification
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 Federal Civil Penalties
Inflation Adjustment Act Improvements
Act of 2015 (Section 701(b)) requires
agencies to make annual adjustments for
inflation to CMPs notwithstanding
section 553 of title 5, United States
Code. Additionally, the methodology
used for adjusting CMPs for inflation is
given by statute, with no discretion
provided to agencies regarding the
substance of the adjustments for
inflation to CMPs. The Department of
Commerce is charged only with
performing ministerial computations to
determine the dollar amounts of
adjustments for inflation to CMPs.
Accordingly, prior public notice and an
opportunity for public comment are not
required for this rule. For the same
reasons, there is good cause under 5
U.S.C. 553(d)(3) to waive the 30-day
delay in effective date.
Paperwork Reduction Act
The provisions of the Paperwork
Reduction Act of 1995, Public Law 104–
13, 44 U.S.C. Chapter 35, and its
implementing regulations, 5 CFR part
1320, do not apply to this rule because
there are no new or revised
E:\FR\FM\11JAR1.SGM
11JAR1
]]>Agencies
[Federal Register Volume 86, Number 6 (Monday, January 11, 2021)]
[Rules and Regulations]
[Pages 1745-1764]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-25236]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
14 CFR Part 13
Office of the Secretary
14 CFR Part 383
Federal Aviation Administration
14 CFR Part 406
Saint Lawrence Seaway Development Corporation
33 CFR Part 401
Maritime Administration
46 CFR Parts 221, 307, 340, and 356
Pipeline and Hazardous Materials Safety Administration
49 CFR Parts 107, 171, and 190
Federal Railroad Administration
49 CFR Parts 209, 213, 214, 215, 216, 217, 218, 219, 220, 221, 222,
223, 224, 225, 227, 228, 229, 230, 231, 232, 233, 234, 235, 236,
237, 238, 239, 240, 241, 242, 243, 244, and 272
Federal Motor Carrier Safety Administration
49 CFR Part 386
National Highway Traffic Safety Administration
49 CFR Part 578
RIN 2105-AE90
Revisions to Civil Penalty Amounts
AGENCY: Department of Transportation (DOT or the Department).
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: In accordance with the Federal Civil Penalties Inflation
Adjustment Act Improvements Act of 2015, this final rule provides the
2020 inflation adjustment to civil penalty amounts that may be imposed
for violations of certain DOT regulations. In additional, this final
rule makes conforming revisions to Federal Motor Carrier Safety
Administration regulations to reflect inflationary adjustments to the
statutorily-mandated civil penalties for violations of Federal law.
DATES: Effective January 11, 2021.
FOR FURTHER INFORMATION CONTACT: Analiese Marchesseault, Attorney-
Advisor, Office of the General Counsel, U.S. Department of
Transportation, 1200 New Jersey Ave. SE, Washington, DC 20590,
[email protected].
SUPPLEMENTARY INFORMATION:
Authority for This Rulemaking
This rule implements the Federal Civil Penalties Inflation
Adjustment Act of 1990 (FCPIAA), Public Law 101-410, as amended by the
Federal Civil Penalties Inflation Adjustment Act Improvements Act of
2015 (2015 Act), Public Law 114-74, 129 Stat. 599, codified at 28
U.S.C. 2461 note. The FCPIAA and the 2015 Act require Federal agencies
to adjust minimum and maximum civil penalty amounts for inflation to
preserve their deterrent impact. The 2015 Act amended the formula and
frequency of inflation adjustments. It required an initial catch-up
adjustment in the form of an interim final rule, followed by annual
adjustments of civil penalty amounts using a statutorily mandated
formula. Section 4(b)(2) of the 2015 Act specifically directs that the
annual adjustment be accomplished through final rule without notice and
comment. This rule is effective immediately.
This rule also implements the authority to assess civil penalties
for violations concerning the Drug and Alcohol Clearinghouse, set forth
in section 34202 of the Moving Ahead for Progress in the 21st Century
Act (MAP-21), Public Law 112-141, 126 Stat. 405, codified at 49 U.S.C.
31306a(k)(1).
The Department's authorities over the specific civil penalty
regulations being amended by this rule are provided in the preamble
discussion below.
I. Background
On November 2, 2015, the President signed into law the 2015 Act,
which amended the FCPIAA, to improve the effectiveness of civil
monetary penalties and to maintain their deterrent effect. The 2015 Act
requires Federal agencies to: (1) Adjust the level of civil monetary
penalties with an initial ``catch-up'' adjustment through an interim
final rule (IFR); and (2) make subsequent annual adjustments for
inflation.
The 2015 Act directed the Office of Management and Budget (OMB) to
issue guidance on implementing the required annual inflation adjustment
no later than December 15 of each year.\1\ On December 16, 2019, OMB
released this required guidance, in OMB Memorandum M-20-05, which
provides instructions on how to
[[Page 1746]]
calculate the 2020 annual adjustment. To derive the 2020 adjustment,
the Department must multiply the maximum or minimum penalty amount by
the percent change between the October 2019 Consumer Price Index for
All Urban Consumers (CPI-U) and the October 2018 CPI-U. In this case,
as explained in OMB Memorandum M-20-05, the percent change between the
October 2019 CPI-U and the October 2018 CPI-U is 1.01764.
---------------------------------------------------------------------------
\1\ 28 U.S.C. 2461 note.
---------------------------------------------------------------------------
II. Dispensing With Notice and Comment
This final rule is being published without notice and comment and
with an immediate effective date.
The 2015 Act provides clear direction for how to adjust the civil
penalties, and clearly states at section 4(b)(2) that this adjustment
shall be made ``notwithstanding section 553 of title 5, United States
Code.'' By operation of the 2015 Act, DOT must publish an annual
adjustment by January 15 of every year, and the new levels take effect
upon publication of the rule. In addition, as noted above, MAP-21
provides explicit authority to assess civil penalties for violations of
49 U.S.C. 31306a. Accordingly, DOT is publishing this final rule
without prior notice and comment, and with an immediate effective date.
III. Discussion of the Final Rule
In 2016, OST and DOT's operating administrations with civil
monetary penalties promulgated the ``catch up'' IFR required by the
2015 Act. All DOT operating administrations have already finalized
their ``catch up'' IFRs and this rule makes the annual inflation
adjustment required by the 2015 Act.
The Department emphasizes that this rule adjusts penalties
prospectively, and therefore the penalty adjustments made by this rule
will apply only to violations that take place after this rule becomes
effective. This rule also does not change previously assessed or
enforced penalties that DOT is actively collecting or has collected.
A. OST 2020 Adjustments
OST's 2020 civil penalty adjustments are summarized in the chart
below.
----------------------------------------------------------------------------------------------------------------
New penalty
(existing
Description Citation Existing penalty penalty x
1.01764)
----------------------------------------------------------------------------------------------------------------
General civil penalty for violations of 49 U.S.C. 46301(a)(1)......... $34,174 $34,777
certain aviation economic regulations and
statutes.
General civil penalty for violations of 49 U.S.C. 46301(a)(1)......... 1,503 1,530
certain aviation economic regulations and
statutes involving an individual or small
business concern.
Civil penalties for individuals or small 49 U.S.C. 46301(a)(5)(A)...... 13,669 13,910
businesses for violations of most
provisions of Chapter 401 of Title 49,
including the anti-discrimination
provisions of sections 40127 and 41705 and
rules and orders issued pursuant to these
provisions.
Civil penalties for individuals or small 49 U.S.C. 46301(a)(5)(C)...... 6,834 6,955
businesses for violations of 49 U.S.C.
41719 and rules and orders issued pursuant
to that provision.
Civil penalties for individuals or small 49 U.S.C. 46301(a)(5)(D)...... 3,418 3,478
businesses for violations of 49 U.S.C.
41712 or consumer protection rules and
orders issued pursuant to that provision.
----------------------------------------------------------------------------------------------------------------
B. FAA 2020 Adjustments
FAA recently discovered that it had not adjusted the maximum civil
penalty for certain laser pointer violations.\2\ Consistent with the
intent of the law and to ensure uniform year-over-year application of
the 2015 Act, the 2020 update is being calculated as if the missed 2018
and 2019 updates had occurred. No violations will be assessed at the
2018 or 2019 amounts. They are included in the chart below to show the
FAA's calculations clearly.
---------------------------------------------------------------------------
\2\ Public Law 114-190, section 2104(b), 130 Stat. 615, 620
(July 15, 2016) (codified at 49 U.S.C. 46301 note).
--------------------------------------------------------------------------------------------------------------------------------------------------------
Unpromulgated Unpromulgated
Initial penalty 2018 penalty 2019 penalty New penalty
Description Citation (2016) (initial penalty (2018 penalty x (2019 penalty x
x 1.02041) \3\ 1.02522) 1.01764)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Individual who aims the beam of a laser 49 U.S.C. 46301 note............ $25,000 $25,510 $26,153 $26,614
pointer at an aircraft in the airspace
jurisdiction of the United States, or at the
flight path of such an aircraft.
--------------------------------------------------------------------------------------------------------------------------------------------------------
On October 5, 2018, Congress enacted a statutory penalty for
operating an unmanned aircraft or unmanned aircraft system equipped or
armed with a dangerous weapon.\4\ It was not adjusted in 2019 because,
per OMB guidance, new civil monetary penalties are not adjusted for
inflation the first year they are in effect.\5\ This year is thus its
first adjustment.
---------------------------------------------------------------------------
\3\ Under OMB Memorandum M-16-06, new civil monetary penalties
are not adjusted for inflation the first year they are in effect.
Because this penalty was enacted on July 15, 2016, it would not have
been first adjusted until 2018.
\4\ Public Law 115-254, section 363, 132 Stat. 3186, 3308 (Oct.
5, 2018) (codified at 49 U.S.C. 44802 note).
\5\ OMB Memorandum M-16-06.
[[Page 1747]]
----------------------------------------------------------------------------------------------------------------
New penalty
Description Citation Initial penalty (initial penalty
(2018) x 1.01764)
----------------------------------------------------------------------------------------------------------------
Operation of an unmanned aircraft or 49 U.S.C. 44802 note.......... $25,000 $25,441
unmanned aircraft system equipped or armed
with a dangerous weapon.
----------------------------------------------------------------------------------------------------------------
The rest of FAA's 2020 adjustments are summarized in the chart
below.
----------------------------------------------------------------------------------------------------------------
New penalty
(existing
Description Citation Existing penalty penalty x
1.01764)
----------------------------------------------------------------------------------------------------------------
Violation of hazardous materials 49 U.S.C. 5123(a)(1).......... $81,993 $83,439
transportation law.
Violation of hazardous materials 49 U.S.C. 5123(a)(2).......... 191,316 194,691
transportation law resulting in death,
serious illness, severe injury, or
substantial property destruction.
Minimum penalty for violation of hazardous 49 U.S.C. 5123(a)(3).......... 493 502
materials transportation law relating to
training.
Maximum penalty for violation of hazardous 49 U.S.C. 5123(a)(3).......... 81,993 83,439
materials transportation law relating to
training.
Violation by a person other than an 49 U.S.C. 46301(a)(1)......... 34,174 34,777
individual or small business concern under
49 U.S.C. 46301(a)(1)(A) or (B).
Violation by an airman serving as an airman 49 U.S.C. 46301(a)(1)......... 1,501 1,527
under 49 U.S.C. 46301(a)(1)(A) or (B) (but
not covered by 46301(a)(5)(A) or (B)).
Violation by an individual or small business 49 U.S.C. 46301(a)(1)......... 1,501 1,527
concern under 49 U.S.C. 46301(a)(1)(A) or
(B) (but not covered in 49 U.S.C.
46301(a)(5)).
Violation by an individual or small business 49 U.S.C. 46301(a)(5)(A)...... 13,669 13,910
concern (except an airman serving as an
airman) under 49 U.S.C. 46301(a)(5)(A)(i)
or (ii).
Violation by an individual or small business 49 U.S.C. 46301(a)(5)(B)(i)... 13,669 13,910
concern related to the transportation of
hazardous materials.
Violation by an individual or small business 49 U.S.C. 46301(a)(5)(B)(ii).. 13,669 13,910
concern related to the registration or
recordation under 49 U.S.C. chapter 441, of
an aircraft not used to provide air
transportation.
Violation by an individual or small business 49 U.S.C. 46301(a)(5)(B)(iii). 13,669 13,910
concern of 49 U.S.C. 44718(d), relating to
limitation on construction or establishment
of landfills.
Violation by an individual or small business 49 U.S.C. 46301(a)(5)(B)(iv).. 13,669 13,910
concern of 49 U.S.C. 44725, relating to the
safe disposal of life-limited aircraft
parts.
Tampering with a smoke alarm device......... 49 U.S.C. 46301(b)............ 4,388 4,465
Knowingly providing false information about 49 U.S.C. 46302............... 23,832 24,252
alleged violation involving the special
aircraft jurisdiction of the United States.
Interference with cabin or flight crew...... 49 U.S.C. 46318............... 35,883 36,516
Permanent closure of an airport without 49 U.S.C. 46319............... 13,669 13,910
providing sufficient notice.
Operating an unmanned aircraft and in so 49 U.S.C. 46320............... 20,923 21,292
doing knowingly or recklessly interfering
with a wildfire suppression, law
enforcement, or emergency response effort.
Violation of 51 U.S.C. 50901-50923, a 51 U.S.C. 50917(c)............ 240,155 244,391
regulation issued under these statutes, or
any term or condition of a license or
permit issued or transferred under these
statutes..
----------------------------------------------------------------------------------------------------------------
In addition to the civil penalties listed in the above charts, FAA
regulations also provide for maximum civil penalties for violation of
49 U.S.C. 47528-47530, relating to the prohibition of operating certain
aircraft not complying with stage 3 noise levels. Those civil penalties
are identical to the civil penalties imposed under 49 U.S.C.
46301(a)(1) and (a)(5), which are detailed in the above chart, and
therefore, the noise-level civil penalties will be adjusted in the same
manner as the section 46301(a)(1) and (a)(5) civil penalties.
C. NHTSA 2020 Adjustments
NHTSA's 2020 civil penalty adjustments are summarized in the chart
below.
----------------------------------------------------------------------------------------------------------------
New penalty
(existing
Description Citation Existing penalty penalty x
1.01764
----------------------------------------------------------------------------------------------------------------
Maximum penalty amount for each violation of 49 U.S.C. 30165(a)(1), $22,329 $22,723
the Safety Act. 30165(a)(3).
Maximum penalty amount for a related series 49 U.S.C. 30165(a)(1), 111,642,265 113,611,635
of violations of the Safety Act. 30165(a)(3).
[[Page 1748]]
Maximum penalty per school bus related 49 U.S.C. 30165(a)(2)(A)...... 12,695 12,919
violation of the Safety Act.
Maximum penalty amount for a series of 49 U.S.C. 30165(a)(2)(B)...... 19,042,502 19,378,412
school bus related violations of the Safety
Act.
Maximum penalty per violation for filing 49 U.S.C. 30165(a)(4)......... 5,466 5,562
false or misleading reports.
Maximum penalty amount for a series of 49 U.S.C. 30165(a)(4)......... 1,093,233 1,112,518
violations related to filing false or
misleading reports.
Maximum penalty amount for each violation of 49 U.S.C. 30505............... 1,783 1,814
the reporting requirements related to
maintaining the National Motor Vehicle
Title Information System.
Maximum penalty amount for each violation of 49 U.S.C. 32507(a)............ 2,924 2,976
a bumper standard under the Motor Vehicle
Information and Cost Savings Act (Pub. L.
92-513, 86 Stat. 953, (1972)).
Maximum penalty amount for a series of 49 U.S.C. 32507(a)............ 3,256,233 3,313,763
violations of a bumper standard under the
Motor Vehicle Information and Cost Savings
Act (Pub. L. 92-513, 86 Stat. 953, (1972)).
Maximum penalty amount for each violation of 49 U.S.C. 32308(b)............ 2,924 2,976
49 U.S.C. 32308(a) related to providing
information on crashworthiness and damage
susceptibility.
Maximum penalty amount for a series of 49 U.S.C. 32308(b)............ 1,594,890 1,623,024
violations of 49 U.S.C. 32308(a) related to
providing information on crashworthiness
and damage susceptibility.
Maximum penalty for each violation related 49 U.S.C. 32308(c)............ 60,518 61,586
to the tire fuel efficiency information
program.
Maximum civil penalty for willfully failing 49 U.S.C. 32309............... 1,783 1,814
to affix, or failing to maintain, the label
requirement in the American Automobile
Labeling Act (Pub. L. 102-388, 106 Stat.
1556 (1992)).
Maximum penalty amount per violation related 49 U.S.C. 32709............... 10,932 11,125
to odometer tampering and disclosure.
Maximum penalty amount for a related series 49 U.S.C. 32709............... 1,093,233 1,112,518
of violations related to odometer tampering
and disclosure.
Maximum penalty amount per violation related 49 U.S.C. 32710............... 10,932 11,125
to odometer tampering and disclosure with
intent to defraud.
Maximum penalty amount for each violation of 49 U.S.C. 33115(a)............ 2,402 2,444
the Motor Vehicle Theft Law Enforcement Act
of 1984 (Vehicle Theft Act), sec. 608, Pub.
L. 98-547, 98 Stat. 2762 (1984).
Maximum penalty amount for a related series 49 U.S.C. 33115(a)............ 600,388 610,979
of violations of the Motor Vehicle Theft
Law Enforcement Act of 1984 (Vehicle Theft
Act), sec. 608, Pub. L. 98-547, 98 Stat.
2762 (1984).
Maximum civil penalty for violations of the 49 U.S.C. 33115(b)............ 178,338 181,484
Anti-Car Theft Act (Pub. L. 102-519, 106
Stat. 3393 (1992)) related to operation of
a chop shop.
Maximum civil penalty for violations under 49 U.S.C 32912(a)............. 42,530 43,280
49 U.S.C. 32911(a) related to automobile
fuel economy.
Maximum civil penalty for a violation under 49 U.S.C. 32902............... 41,882 42,621
the medium- and heavy-duty vehicle fuel
efficiency program.
----------------------------------------------------------------------------------------------------------------
D. FMCSA 2020 Adjustments and Revisions
FMCSA's civil penalties affected by this rule are all located in
appendices A and B to 49 CFR part 386. Section 31306a(k) of title 49
requires FMCSA to assess civil penalties under 49 U.S.C. 521(b)(2)(C)
for violations concerning the Drug and Alcohol Clearinghouse. To comply
with this mandate, FMCSA revises appendix B to include civil penalties
for an employer, employee, medical review officer, or service agent who
violates the regulations implementing the Drug and Alcohol
Clearinghouse at 49 CFR part 382, subpart G. FMCSA also makes
conforming changes to 49 CFR part 386, appendix B (a)(1)-(4). The 2020
adjustments to these civil penalties are summarized in the chart below.
---------------------------------------------------------------------------
\6\ Section (g)(5) is revised to reflect the termination of the
North American Free Trade Agreement and the adoption of the United
States Mexico Canada Agreement (USMCA), which came into effect July
1, 2020. FMCSA is examining its regulations and considering what
additional revisions, if any, are needed in light of USMCA.
----------------------------------------------------------------------------------------------------------------
New penalty
(existing
Description Citation Existing penalty penalty x
1.01764)
----------------------------------------------------------------------------------------------------------------
Appendix A II Subpoena...................... 49 U.S.C. 525................. $1,093 $1,112
Appendix A II Subpoena...................... 49 U.S.C. 525................. 10,932 11,125
Appendix A IV (a) Out-of-service order 49 U.S.C. 521(b)(7)........... 1,895 1,928
(operation of CMV by driver).
[[Page 1749]]
Appendix A IV (b) Out-of-service order 49 U.S.C. 521(b)(7)).......... 18,943 19,277
(requiring or permitting operation of CMV
by driver).
Appendix A IV (c) Out-of-service order 49 U.S.C. 521(b)(7)........... 1,895 1,928
(operation by driver of CMV or intermodal
equipment that was placed out of service).
Appendix A IV (d) Out-of-service order 49 U.S.C. 521(b)(7)........... 18,943 19,277
(requiring or permitting operation of CMV
or intermodal equipment that was placed out
of service).
Appendix A IV (e) Out-of-service order 49 U.S.C. 521(b)(2)(B)........ 947 964
(failure to return written certification of
correction).
Appendix A IV (g) Out-of-service order 49 U.S.C. 521(b)(2)(F)........ 27,331 27,813
(failure to cease operations as ordered).
Appendix A IV (h) Out-of-service order 49 U.S.C. 521(b)(7)........... 24,017 24,441
(operating in violation of order).
Appendix A IV (i) Out-of-service order 49 U.S.C. 521(b)(2)(A) and 15,419 15,691
(conducting operations during suspension or (b)(7)).
revocation for failure to pay penalties).
Appendix A IV (j) (conducting operations 49 U.S.C. 521(b)(7)........... 24,017 24,441
during suspension or revocation).
Appendix B (a)(1) Recordkeeping--maximum 49 U.S.C. 521(b)(2)(B)(i)..... 1,270 1,292
penalty per day.
Appendix B (a)(1) Recordkeeping--maximum 49 U.S.C. 521(b)(2)(B)(i)..... 12,695 12,919
total penalty.
Appendix B (a)(2) Knowing falsification of 49 U.S.C. 521(b)(2)(B)(ii).... 12,695 12,919
records.
Appendix B (a)(3) Non-recordkeeping 49 U.S.C. 521(b)(2)(A)........ 15,419 15,691
violations.
Appendix B (a)(4) Non-recordkeeping 49 U.S.C. 521(b)(2)(A)........ 3,855 3,923
violations by drivers.
Appendix B (a)(5) Violation of 49 CFR 392.5 49 U.S.C. 31310(i)(2)(A)...... 3,174 3,230
(first conviction).
Appendix B (a)(5) Violation of 49 CFR 392.5 49 U.S.C. 31310(i)(2)(A)...... 6,348 6,460
(second or subsequent conviction).
Appendix B (b) Commercial driver's license 49 U.S.C. 521(b)(2)(C)........ 5,732 5,833
(CDL) violations.
Appendix B (b)(1): Special penalties 49 U.S.C. 31310(i)(2)(A)...... 3,174 3,230
pertaining to violation of out-of-service
orders (first conviction).
Appendix B (b)(1) Special penalties 49 U.S.C. 31310(i)(2)(A)...... 6,348 6,460
pertaining to violation of out-of-service
orders (second or subsequent conviction).
Appendix B (b)(2) Employer violations 49 U.S.C. 521(b)(2)(C)........ 5,732 5,833
pertaining to knowingly allowing,
authorizing employee violations of out-of-
service order (minimum penalty).
Appendix B (b)(2) Employer violations 49 U.S.C. 31310(i)(2)(C)...... 31,737 32,297
pertaining to knowingly allowing,
authorizing employee violations of out-of-
service order (maximum penalty).
Appendix B (b)(3) Special penalties 49 U.S.C. 31310(j)(2)(B)...... 16,453 16,743
pertaining to railroad-highway grade
crossing violations.
Appendix B (d) Financial responsibility 49 U.S.C. 31138(d)(1), 16,915 17,213
violations. 31139(g)(1).
Appendix B (e)(1) Violations of Hazardous 49 U.S.C. 5123(a)(1).......... 81,993 83,439
Materials Regulations (HMRs) and Safety
Permitting Regulations (transportation or
shipment of hazardous materials).
Appendix B (e)(2) Violations of Hazardous 49 U.S.C. 5123(a)(3).......... 493 502
Materials Regulations (HMRs) and Safety
Permitting Regulations (training)--minimum
penalty.
Appendix B (e)(2): Violations of Hazardous 49 U.S.C. 5123(a)(1).......... 81,993 83,439
Materials Regulations (HMRs) and Safety
Permitting Regulations (training)--maximum
penalty.
Appendix B (e)(3) Violations of Hazardous 49 U.S.C. 5123(a)(1).......... 81,993 83,439
Materials Regulations (HMRs) and Safety
Permitting Regulations (packaging or
container).
Appendix B (e)(4): Violations of Hazardous 49 U.S.C. 5123(a)(1).......... 81,993 83,439
Materials Regulations (HMRs) and Safety
Permitting Regulations (compliance with
FMCSRs).
Appendix B (e)(5) Violations of Hazardous 49 U.S.C. 5123(a)(2).......... 191,316 194,691
Materials Regulations (HMRs) and Safety
Permitting Regulations (death, serious
illness, severe injury to persons;
destruction of property).
Appendix B (f)(1) Operating after being 49 U.S.C. 521(b)(2)(F)........ 27,331 27,813
declared unfit by assignment of a final
``unsatisfactory'' safety rating
(generally).
Appendix B (f)(2) Operating after being 49 U.S.C. 5123(a)(1).......... 81,993 83,439
declared unfit by assignment of a final
``unsatisfactory'' safety rating (hazardous
materials)--maximum penalty.
Appendix B (f)(2): Operating after being 49 U.S.C. 5123(a)(2).......... 191,316 194,691
declared unfit by assignment of a final
``unsatisfactory'' safety rating (hazardous
materials)--maximum penalty if death,
serious illness, severe injury to persons;
destruction of property.
Appendix B (g)(1): Violations of the 49 U.S.C. 14901(a)............ 10,932 11,125
commercial regulations (CR) (property
carriers).
Appendix B (g)(2) Violations of the CRs 49 U.S.C. 14916(c)............ 10,932 11,125
(brokers).
Appendix B (g)(3) Violations of the CRs 49 U.S.C. 14901(a)............ 27,331 27,813
(passenger carriers).
Appendix B (g)(4) Violations of the CRs 49 U.S.C. 14901(a)............ 10,932 11,125
(foreign motor carriers, foreign motor
private carriers).
[[Page 1750]]
Appendix B (g)(5) Violations of the 49 U.S.C. 14901 note.......... 15,034 15,299
operating authority requirement (foreign
motor carriers, foreign motor private
carriers)--maximum penalty for intentional
violation \6\
Appendix B (g)(5) Violations of the 49 U.S.C. 14901 note.......... 37,587 38,250
operating authority requirement (foreign
motor carriers, foreign motor private
carriers)--maximum penalty for a pattern of
intentional violations.
Appendix B (g)(6) Violations of the CRs 49 U.S.C. 14901(b)............ 21,865 22,251
(motor carrier or broker for transportation
of hazardous wastes)--minimum penalty.
Appendix B (g)(6) Violations of the CRs 49 U.S.C. 14901(b)............ 43,730 44,501
(motor carrier or broker for transportation
of hazardous wastes)--maximum penalty.
Appendix B (g)(7): Violations of the CRs I49 U.S.C. 14901(d)(1)........ 1,644 1,673
(HHG carrier or freight forwarder, or their
receiver or trustee).
Appendix B (g)(8) Violation of the CRs 49 U.S.C. 14901(e)............ 3,291 3,349
(weight of HHG shipment, charging for
services)--minimum penalty for first
violation.
Appendix B (g)(8) Violation of the CRs 49 U.S.C. 14901(e)............ 8,227 8,372
(weight of HHG shipment, charging for
services)--subsequent violation.
Appendix B (g)(10) Tariff violations........ 49 U.S.C. 13702, 14903........ 164,531 167,433
Appendix B (g)(11) Additional tariff 49 U.S.C. 14904(a)............ 328 334
violations (rebates or concessions)--first
violation.
Appendix B (g)(11) Additional tariff 49 U.S.C. 14904(a)............ 411 418
violations (rebates or concessions)--
subsequent violations.
Appendix B (g)(12): Tariff violations 49 U.S.C. 14904(b)(1)......... 823 838
(freight forwarders)--maximum penalty for
first violation.
Appendix B (g)(12): Tariff violations 49 U.S.C. 14904(b)(1)......... 3,291 3,349
(freight forwarders)--maximum penalty for
subsequent violations.
Appendix B (g)(13): service from freight 49 U.S.C. 14904(b)(2)......... 823 838
forwarder at less than rate in effect--
maximum penalty for first violation.
Appendix B (g)(13): service from freight 49 U.S.C. 14904(b)(2)......... 3,291 3,349
forwarder at less than rate in effect--
maximum penalty for subsequent violation(s).
Appendix B (g)(14): Violations related to 49 U.S.C. 14905............... 16,453 16,743
loading and unloading motor vehicles.
Appendix B (g)(16): Reporting and 49 U.S.C. 14901............... 1,093 1,112
recordkeeping under 49 U.S.C. subtitle IV,
part B (except 13901 and 13902(c))--minimum
penalty.
Appendix B (g)(16): Reporting and 49 U.S.C. 14907............... 8,227 8,372
recordkeeping under 49 U.S.C. subtitle IV,
part B--maximum penalty.
Appendix B (g)(17): Unauthorized disclosure 49 U.S.C. 14908............... 3,291 3,349
of information.
Appendix B (g)(18): Violation of 49 U.S.C. 49 U.S.C. 14910............... 823 838
subtitle IV, part B, or condition of
registration.
Appendix B (g)(21)(i): Knowingly and 49 U.S.C. 14915............... 16,453 16,743
willfully fails to deliver or unload HHG at
destination.
Appendix B (g)(22): HHG broker estimate 49 U.S.C. 14901(d)(2)......... 12,695 12,919
before entering into an agreement with a
motor carrier.
Appendix B (g)(23): HHG transportation or 49 U.S.C. 14901 (d)(3)........ 31,737 32,297
broker services--registration requirement.
Appendix B (h): Copying of records and 49 U.S.C. 521(b)(2)(E)........ 1,270 1,292
access to equipment, lands, and buildings--
maximum penalty per day.
Appendix B (h): Copying of records and 49 U.S.C. 521(b)(2)(E)........ 12,695 12,919
access to equipment, lands, and buildings--
maximum total penalty.
Appendix B (i)(1): Evasion of regulations 49 U.S.C. 524................. 2,187 2,226
under 49 U.S.C. ch. 5, 51, subchapter III
of ch. 311 (except 31138 and 31139), 31302-
31304, 31305(b), 31310(g)(1)(A), or 31502--
minimum penalty for first violation.
Appendix B (i)(1): Evasion of regulations 49 U.S.C. 524................. 5,466 5,562
under 49 U.S.C. ch. 5, 51, subchapter III
of ch. 311 (except 31138 and 31139), 31302-
31304, 31305(b), 31310(g)(1)(A), or 31502--
maximum penalty for first violation.
Appendix B (i)(1): Evasion of regulations 49 U.S.C. 524................. 2,732 2,780
under 49 U.S.C. ch. 5, 51, subchapter III
of ch. 311 (except 31138 and 31139), 31302-
31304, 31305(b), 31310(g)(1)(A), or 31502--
minimum penalty for subsequent violation(s).
Appendix B (i)(1): Evasion of regulations 49 U.S.C. 524................. 8,199 8,344
under 49 U.S.C. ch. 5, 51, subchapter III
of ch. 311 (except 31138 and 31139), 31302-
31304, 31305(b), 31310(g)(1)(A), or 31502--
maximum penalty for subsequent violation(s).
Appendix B (i)(2): Evasion of regulations 49 U.S.C. 14906............... 2,187 2,226
under 49 U.S.C. subtitle IV, part B--
minimum penalty for first violation.
Appendix B (i)(2): Evasion of regulations 49 U.S.C. 14906............... 5,466 5,562
under 49 U.S.C. subtitle IV, part B--
minimum penalty for subsequent violation(s).
----------------------------------------------------------------------------------------------------------------
[[Page 1751]]
E. FRA 2020 Adjustments
FRA's 2020 civil penalty adjustments are summarized in the chart
below.
----------------------------------------------------------------------------------------------------------------
New penalty
(existing
Description Citation Existing penalty penalty x
1.01764)
----------------------------------------------------------------------------------------------------------------
Minimum rail safety penalty................. 49 U.S.C. ch. 213............. $892 $908
Ordinary maximum rail safety penalty........ 49 U.S.C. ch. 213............. 29,192 29,707
Maximum penalty for an aggravated rail 49 U.S.C. ch. 213............. 116,766 118,826
safety violation.
Minimum penalty for hazardous materials 49 U.S.C. 5123................ 493 502
training violations.
Maximum penalty for ordinary hazardous 49 U.S.C. 5123................ 81,993 83,439
materials violations.
Maximum penalty for aggravated hazardous 49 U.S.C. 5123................ 191,316 194,691
materials violations.
----------------------------------------------------------------------------------------------------------------
F. PHMSA 2020 Adjustments
PHMSA's civil penalties affected by this rule for hazardous
materials violations are located in 49 CFR 107.329, appendix A to
subpart D of 49 CFR part 107, and Sec. 171.1. The civil penalties
affected by this rule for pipeline safety violations are located in
Sec. 190.223. PHMSA's 2020 civil penalty adjustments are summarized in
the chart below.
----------------------------------------------------------------------------------------------------------------
New penalty
(existing
Description Citation Existing penalty penalty x
1.01764)
----------------------------------------------------------------------------------------------------------------
Maximum penalty for hazardous materials 49 U.S.C. 5123................ $81,993 $83,439
violation.
Maximum penalty for hazardous materials 49 U.S.C. 5123................ 191,316 194,691
violation that results in death, serious
illness, or severe injury to any person or
substantial destruction of property.
Minimum penalty for hazardous materials 49 U.S.C. 5123................ 493 502
training violations.
Maximum penalty for each pipeline safety 49 U.S.C. 60122(a)(1)......... 218,647 222,504
violation.
Maximum penalty for a related series of 49 U.S.C. 60122(a)(1)......... 2,186,465 2,225,034
pipeline safety violations.
Maximum additional penalty for each 49 U.S.C. 60122(a)(2)......... 79,875 81,284
liquefied natural gas pipeline facility
violation.
Maximum penalty for discrimination against 49 U.S.C. 60122(a)(3)......... 1,270 1,292
employees providing pipeline safety
information.
----------------------------------------------------------------------------------------------------------------
G. MARAD 2019 Adjustments
MARAD's 2019 civil penalty adjustments are summarized in the chart
below.
----------------------------------------------------------------------------------------------------------------
New penalty
(existing
Description Citation Existing penalty penalty x
1.01764)
----------------------------------------------------------------------------------------------------------------
Maximum civil penalty for a single violation 46 U.S.C. 31309............... $21,038 $21,409
of any provision under 46 U.S.C. Chapter
313 and all of Subtitle III related MARAD
regulations, except for violations of 46
U.S.C. 31329.
Maximum civil penalty for a single violation 46 U.S.C. 31330............... 52,596 53,524
of 46 U.S.C. 31329 as it relates to the
court sales of documented vessels.
Maximum civil penalty for a single violation 46 U.S.C. 56101(e)............ 21,134 21,507
of 46 U.S.C. 56101 as it relates to
approvals required to transfer a vessel to
a noncitizen.
Maximum civil penalty for failure to file an 46 U.S.C. 50113(b)............ 133 135
AMVER report.
Maximum civil penalty for violating 50 U.S.C. 4513................ 26,582 27,051
procedures for the use and allocation of
shipping services, port facilities and
services for national security and national
defense operations.
Maximum civil penalty for violations in 46 U.S.C. 12151............... 154,197 156,917
applying for or renewing a vessel's fishery
endorsement.
----------------------------------------------------------------------------------------------------------------
H. SLSDC 2020 Adjustments
SLSDC's 2020 civil penalty adjustment is as follows:
[[Page 1752]]
----------------------------------------------------------------------------------------------------------------
New penalty
(existing
Description Citation Existing penalty penalty x
1.01764)
----------------------------------------------------------------------------------------------------------------
Maximum civil penalty for each violation of 33 U.S.C. 1232................ $94,219 $95,881
the Seaway Rules and Regulations at 33 CFR
part 401.
----------------------------------------------------------------------------------------------------------------
Regulatory Analysis and Notices
A. Executive Order 12866 and DOT Regulatory Policies and Procedures
This final rule has been evaluated in accordance with existing
policies and procedures and is considered not significant under
Executive Orders 12866 or DOT's Regulatory Policies and Procedures;
therefore, the rule has not been reviewed by the Office of Management
and Budget (OMB) under Executive Order 12866.
B. Regulatory Flexibility Analysis
The Department has determined the Regulatory Flexibility Act of
1980 (RFA) (5 U.S.C. 601, et seq.) does not apply to this rulemaking.
The RFA applies, in pertinent part, only when ``an agency is required .
. . to publish general notice of proposed rulemaking.'' 5 U.S.C.
604(a).\7\ The Small Business Administration's A Guide for Government
Agencies: How to Comply with the Regulatory Flexibility Act (2012),
explains that:
---------------------------------------------------------------------------
\7\ Under 5 U.S.C. 603(a), the Regulatory Flexibility Act also
applies when an agency ``publishes a notice of proposed rulemaking
for an interpretative rule involving the internal revenue laws of
the United States.'' However, this rule does not involve the
internal revenue laws of the United States.
If, under the [Administrative Procedure Act (APA)] or any rule
of general applicability governing federal grants to state and local
governments, the agency is required to publish a general notice of
proposed rulemaking (NPRM), the RFA must be considered [citing 5
U.S.C. 604(a)]. . . . If an NPRM is not required, the RFA does not
---------------------------------------------------------------------------
apply.
As stated above, DOT has determined that good cause exists to
publish this final rule without notice and comment procedures under the
APA. Therefore, the RFA does not apply.
C. Executive Order 13132 (Federalism)
This final rule has been analyzed in accordance with the principles
and criteria contained in Executive Order 13132 (``Federalism''). This
regulation has no substantial direct effects on the States, the
relationship between the National Government and the States, or the
distribution of power and responsibilities among the various levels of
government. It does not contain any provision that imposes substantial
direct compliance costs on State and local governments. It does not
contain any new provision that preempts State law, because States are
already preempted from regulating in this area under the Airline
Deregulation Act, 49 U.S.C. 41713. Therefore, the consultation and
funding requirements of Executive Order 13132 do not apply.
D. Executive Order 13175
This final rule has been analyzed in accordance with the principles
and criteria contained in Executive Order 13175, Consultation and
Coordination with Indian Tribal Governments. Because none of the
measures in the rule have tribal implications or impose substantial
direct compliance costs on Indian tribal governments, the funding and
consultation requirements of Executive Order 13175 do not apply.
E. Paperwork Reduction Act
Under the Paperwork Reduction Act, before an agency submits a
proposed collection of information to OMB for approval, it must publish
a document in the Federal Register providing notice of and a 60-day
comment period on, and otherwise consult with members of the public and
affected agencies concerning, each proposed collection of information.
This final rule imposes no new information reporting or record keeping
necessitating clearance by OMB.
F. National Environmental Policy Act
The Department has analyzed the environmental impacts of this final
rule pursuant to the National Environmental Policy Act of 1969 (NEPA)
(42 U.S.C. 4321, et seq.) and has determined that it is categorically
excluded pursuant to DOT Order 5610.1C, Procedures for Considering
Environmental Impacts (44 FR 56420, Oct. 1, 1979 as amended July 13,
1982 and July 30, 1985). Categorical exclusions are actions identified
in an agency's NEPA implementing procedures that do not normally have a
significant impact on the environment and therefore do not require
either an environmental assessment (EA) or environmental impact
statement (EIS). See 40 CFR 1508.4. In analyzing the applicability of a
categorical exclusion, the agency must also consider whether
extraordinary circumstances are present that would warrant the
preparation of an EA or EIS. Id. Paragraph 4(c)(5) of DOT Order 5610.1C
incorporates by reference the categorical exclusions for all DOT
Operating Administrations. This action qualifies for a categorical
exclusion in accordance with FAA Order 1050.1F, Environmental Impacts:
Policies and Procedures, (80 FR 44208, July 24, 2015), paragraph 5-
6.6.f, which covers regulations not expected to cause any potentially
significant environmental impacts. The Department does not anticipate
any environmental impacts, and there are no extraordinary circumstances
present in connection with this final rule.
G. Unfunded Mandates Reform Act
The Department analyzed the final rule under the factors in the
Unfunded Mandates Reform Act of 1995. The Department considered whether
the rule includes a Federal mandate that may result in the expenditure
by State, local, and tribal governments, in the aggregate, or by the
private sector, of $100,000,000 or more (adjusted annually for
inflation) in any one year. The Department has determined that this
final rule will not result in such expenditures. Accordingly, this
final rule is not subject to the Unfunded Mandates Reform Act.
H. Executive Order 13771
Executive Order 13771, ``Reducing Regulation and Controlling
Regulatory Costs,'' does not apply to this action because it is
nonsignificant; therefore, it is not subject to the ``2 for 1'' and
budgeting requirements.
List of Subjects
14 CFR Part 13
Administrative practice and procedure, Air transportation,
Hazardous materials transportation, Investigations, Law enforcement,
Penalties.
14 CFR Part 383
Administrative practice and procedure, Penalties.
14 CFR Part 406
Administrative procedure and review, Commercial space
transportation, Enforcement, Investigations, Penalties, Rules of
adjudication.
33 CFR Part 401
Hazardous materials transportation, Navigation (water), Penalties,
Radio,
[[Page 1753]]
Reporting and recordkeeping requirements, Vessels, Waterways.
46 CFR Part 221
Administrative practice and procedure, Maritime carriers,
Mortgages, Penalties, Reporting and recordkeeping requirements, Trusts
and trustees.
46 CFR Part 307
Marine safety, Maritime carriers, Penalties, Reporting and
recordkeeping requirements.
46 CFR Part 340
Harbors, Maritime carriers, National defense, Packaging and
containers.
46 CFR Part 356
Citizenship and naturalization, Fishing vessels, Mortgages,
Penalties, Reporting and recordkeeping requirements, Vessels.
49 CFR Part 107
Administrative practices and procedure, Hazardous materials
transportation, Packaging and containers, Penalties, Reporting and
recordkeeping requirements.
49 CFR Part 171
Definitions, General information, Regulations.
49 CFR Part 190
Administrative practice and procedure, Penalties, Pipeline safety.
49 CFR Part 209
Administrative practice and procedure, Hazardous materials
transportation, Penalties, Railroad safety, Reporting and recordkeeping
requirements.
49 CFR Part 213
Bridges, Penalties, Railroad safety, Reporting and recordkeeping
requirements.
49 CFR Part 214
Bridges, Occupational safety and health, Penalties, Railroad
safety, Reporting and recordkeeping requirements.
49 CFR Part 215
Freight, Penalties, Railroad safety, Reporting and recordkeeping
requirements.
49 CFR Parts 216, 217, 221, 224, 229, 230, 232, 233, and 239
Penalties, Railroad safety, Reporting and recordkeeping
requirements.
49 CFR Part 218
Occupational safety and health, Penalties, Railroad employees,
Railroad safety, Reporting and recordkeeping requirements.
49 CFR Part 219
Alcohol abuse, Drug abuse, Drug testing, Penalties, Railroad
safety, Reporting and recordkeeping requirements, Safety,
Transportation.
49 CFR Part 220
Penalties, Radio, Railroad safety, Reporting and recordkeeping
requirements.
49 CFR Parts 222, 235, 240, 242, 243, and 244
Administrative practice and procedure, Penalties, Railroad safety,
Reporting and recordkeeping requirements.
49 CFR Part 223
Glazing standards, Penalties, Railroad safety, Reporting and
recordkeeping requirements.
49 CFR Part 225
Investigations, Penalties, Railroad safety, Reporting and
recordkeeping requirements.
49 CFR Part 227
Noise control, Occupational safety and health, Penalties, Railroad
safety, Reporting and recordkeeping requirements.
49 CFR Part 228
Penalties, Railroad employees, Reporting and recordkeeping
requirements.
49 CFR Part 231
Penalties, Railroad safety.
49 CFR Part 234
Highway safety, Penalties, Railroad safety, Reporting and
recordkeeping requirements, State and local governments.
49 CFR Part 236
Penalties, Positive train control, Railroad safety, Reporting and
recordkeeping requirements.
49 CFR Part 237
Bridges, Penalties, Railroad safety, Reporting and recordkeeping
requirements.
49 CFR Part 238
Fire prevention, Passenger equipment, Penalties, Railroad safety,
Reporting and recordkeeping requirements.
49 CFR Part 241
Communications, Penalties, Railroad safety, Reporting and
recordkeeping requirements.
49 CFR Part 272
Penalties, Railroad employees, Railroad safety, Railroads, Safety,
Transportation.
49 CFR Part 386
Administrative procedures, Commercial motor vehicle safety,
Highways and roads, Motor carriers, Penalties.
49 CFR Part 578
Imports, Motor vehicle safety, Motor vehicles, Rubber and rubber
products, Tires, Penalties.
Accordingly, the Department of Transportation amends 14 CFR
chapters I, II, and III, 33 CFR chapter IV, 46 CFR chapter II, and 49
CFR chapters I, II, III, and V as follows:
Title 14--Aeronautics and Space
PART 13--INVESTIGATIVE AND ENFORCEMENT PROCEDURES
0
1. Revise the authority citation for part 13 to read as follows:
Authority: 18 U.S.C. 6002, 28 U.S.C. 2461 (note); 49 U.S.C.
106(g), 5121-5124, 40113-40114, 44103-44106, 44701-44703, 44709-
44710, 44713, 44725, 44802 (note), 46101-46111, 46301, 46302 (for a
violation of 49 U.S.C. 46504), 46304-46316, 46318-46320, 46501-
46502, 46504-46507, 47106, 47107, 47111, 47122, 47306, 47531-47532;
49 CFR 1.83.
0
2. Amend Sec. 13.301 by revising paragraphs (b) and (c) to read as
follows:
Sec. 13.301 Inflation adjustments of civil monetary penalties.
* * * * *
(b) Each adjustment to a maximum civil monetary penalty or to
minimum and maximum civil monetary penalties that establish a civil
monetary penalty range applies to actions initiated under this part for
violations occurring on or after January 11, 2021, notwithstanding
references to specific civil penalty amounts elsewhere in this part.
(c) Minimum and maximum civil monetary penalties are as follows:
[[Page 1754]]
Table 1 to Sec. 13.301--Minimum and Maximum Civil Monetary Penalty Amounts for Certain Violations
----------------------------------------------------------------------------------------------------------------
New minimum New maximum
penalty amount penalty amount
for violations for violations
Civil monetary 2019 minimum occurring on 2019 maximum occurring on or
United States Code citation penalty penalty amount or after penalty amount after January
description January 11, 11, 2021,
2021, adjusted adjusted for
for inflation inflation
----------------------------------------------------------------------------------------------------------------
49 U.S.C. 5123(a)(1)......... Violation of N/A N/A $81,993........ $83,439.
hazardous
materials
transportation
law.
49 U.S.C. 5123(a)(2)......... Violation of N/A N/A $191,316....... $194,691.
hazardous
materials
transportation
law resulting
in death,
serious
illness,
severe injury,
or substantial
property
destruction.
49 U.S.C. 5123(a)(3)......... Violation of $493 $502 $81,993........ $83,439.
hazardous
materials
transportation
law relating
to training.
49 U.S.C. 44802 note......... Operation of an N/A N/A $25,000........ $25,441.
unmanned
aircraft or
unmanned
aircraft
system
equipped or
armed with a
dangerous
weapon.
49 U.S.C. 46301(a)(1)........ Violation by a N/A N/A $34,174........ $34,777.
person other
than an
individual or
small business
concern under
49 U.S.C.
46301(a)(1)(A)
or (B).
49 U.S.C. 46301(a)(1)........ Violation by an N/A N/A $1,501......... $1,527.
airman serving
as an airman
under 49
U.S.C.
46301(a)(1)(A)
or (B) (but
not covered by
46301(a)(5)(A)
or (B)).
49 U.S.C. 46301(a)(1)........ Violation by an N/A N/A $1,501......... $1,527.
individual or
small business
concern under
49 U.S.C.
46301(a)(1)(A)
or (B) (but
not covered in
49 U.S.C.
46301(a)(5)).
49 U.S.C. 46301(a)(3)........ Violation of 49 N/A N/A Increase above No change.
U.S.C. otherwise
47107(b) (or applicable
any assurance maximum amount
made under not to exceed
such section) 3 times the
or 49 U.S.C. amount of
47133. revenues that
are used in
violation of
such section.
49 U.S.C. 46301(a)(5)(A)..... Violation by an N/A N/A $13,669........ $13,910.
individual or
small business
concern
(except an
airman serving
as an airman)
under 49
U.S.C.
46301(a)(5)(A)
(i) or (ii).
49 U.S.C. 46301(a)(5)(B)(i).. Violation by an N/A N/A $13,669........ $13,910.
individual or
small business
concern
related to the
transportation
of hazardous
materials.
49 U.S.C. 46301(a)(5)(B)(ii). Violation by an N/A N/A $13,669........ $13,910.
individual or
small business
concern
related to the
registration
or recordation
under 49
U.S.C. chapter
441, of an
aircraft not
used to
provide air
transportation.
49 U.S.C. 46301(a)(5)(B)(iii) Violation by an N/A N/A $13,669........ $13,910.
individual or
small business
concern of 49
U.S.C.
44718(d),
relating to
limitation on
construction
or
establishment
of landfills.
49 U.S.C. 46301(a)(5)(B)(iv). Violation by an N/A N/A $13,669........ $13,910.
individual or
small business
concern of 49
U.S.C. 44725,
relating to
the safe
disposal of
life-limited
aircraft parts.
49 U.S.C. 46301 note......... Individual who N/A N/A $25,000........ $26,614.
aims the beam
of a laser
pointer at an
aircraft in
the airspace
jurisdiction
of the United
States, or at
the flight
path of such
an aircraft.
49 U.S.C. 46301(b)........... Tampering with N/A N/A $4,388......... $4,465.
a smoke alarm
device.
49 U.S.C. 46302.............. Knowingly N/A N/A $23,832........ $24,252.
providing
false
information
about alleged
violation
involving the
special
aircraft
jurisdiction
of the United
States.
49 U.S.C. 46318.............. Interference N/A N/A $35,883........ $36,516.
with cabin or
flight crew.
49 U.S.C. 46319.............. Permanent N/A N/A $13,669........ $13,910.
closure of an
airport
without
providing
sufficient
notice.
49 U.S.C. 46320.............. Operating an N/A N/A $20,923........ $21,292.
unmanned
aircraft and
in so doing
knowingly or
recklessly
interfering
with a
wildfire
suppression,
law
enforcement,
or emergency
response
effort.
49 U.S.C. 47531.............. Violation of 49 N/A N/A See 49 U.S.C. See 49 U.S.C.
U.S.C. 47528- 46301(a)(1) 46301(a)(1)
47530, and (a)(5), and (a)(5),
relating to above. above.
the
prohibition of
operating
certain
aircraft not
complying with
stage 3 noise
levels.
----------------------------------------------------------------------------------------------------------------
[[Page 1755]]
PART 383--CIVIL PENALTIES
0
3. The authority citation for part 383 continues to read as follows:
Authority: Sec. 701, Pub. L. 114-74, 129 Stat. 584; Sec. 503,
Pub. L. 108-176, 117 Stat. 2490; Pub. L. 101-410, 104 Stat. 890;
Sec. 31001, Pub. L. 104-134.
0
4. Section 383.2 is revised to read as follows:
Sec. 383.2 Amount of penalty.
Civil penalties payable to the U.S. Government for violations of
Title 49, Chapters 401 through 421, pursuant to 49 U.S.C. 46301(a), are
as follows:
(a) A general civil penalty of not more than $34,777 (or $1,530 for
individuals or small businesses) applies to violations of statutory
provisions and rules or orders issued under those provisions, other
than those listed in paragraph (b) of this section (see 49 U.S.C.
46301(a)(1));
(b) With respect to small businesses and individuals,
notwithstanding the general $1,466 civil penalty, the following civil
penalty limits apply:
(1) A maximum civil penalty of $13,910 applies for violations of
most provisions of Chapter 401, including the anti-discrimination
provisions of sections 40127 (general provision), and 41705
(discrimination against the disabled) and rules and orders issued
pursuant to those provisions (see 49 U.S.C. 46301(a)(5)(A));
(2) A maximum civil penalty of $6,955 applies for violations of
section 41719 and rules and orders issued pursuant to that provision
(see 49 U.S.C. 46301(a)(5)(C)); and
(3) A maximum civil penalty of $3,478 applies for violations of
section 41712 or consumer protection rules or orders (see 49 U.S.C.
46301(a)(5)(D)).
PART 406--INVESTIGATIONS, ENFORCEMENT, AND ADMINISTRATIVE REVIEW
0
5. The authority citation for part 406 continues to read as follows:
Authority: 51 U.S.C. 50901-50923.
0
6. Amend Sec. 406.9 by revising paragraph (a) to read as follows:
Sec. 406.9 Civil penalties.
(a) Civil penalty liability. Under 51 U.S.C. 50917(c), a person
found by the FAA to have violated a requirement of the Act, a
regulation issued under the Act, or any term or condition of a license
or permit issued or transferred under the Act, is liable to the United
States for a civil penalty of not more than $244,391 for each
violation. A separate violation occurs for each day the violation
continues.
* * * * *
Title 33--Navigation and Navigable Waters
PART 401--SEAWAY REGULATIONS AND RULES
Subpart B--Penalties--Violations of Seaway Regulations
0
7. The authority citation for subpart B of part 401 is revised to read
as follows:
Authority: 33 U.S.C. 981-990, 1231 and 1232, 49 CFR 1.52, unless
otherwise noted.
0
8. Amend Sec. 401.102 by revising paragraph (a) to read as follows:
Sec. 401.102 Civil penalty.
(a) A person, as described in Sec. 401.101(b) who violates a
regulation in this chapter is liable to a civil penalty of not more
than $95,881.
* * * * *
Title 46--Shipping
PART 221--REGULATED TRANSACTIONS INVOLVING DOCUMENTED VESSELS AND
OTHER MARITIME INTERESTS
0
9. The authority citation for part 221 continues to read as follows:
Authority: 46 U.S.C. chs. 301, 313, and 561; Pub. L. 114-74; 49
CFR 1.93.
0
10. Section 221.61(b) is revised to read as follows:
Sec. 221.61 Compliance.
* * * * *
(b) Pursuant to 46 U.S.C. 31309, a general penalty of not more than
$21,409 may be assessed for each violation of chapter 313 or 46 U.S.C.
subtitle III administered by the Maritime Administration, and pursuant
to the regulations in this part a person violating 46 U.S.C. 31329 is
liable for a civil penalty of not more than $53,524 for each violation.
A person who charters, sells, transfers or mortgages a vessel, or an
interest therein, in violation of 46 U.S.C. 56101(e) is liable for a
civil penalty of not more than $21,507 for each violation.
PART 307--ESTABLISHMENT OF MANDATORY POSITION REPORTING SYSTEM FOR
VESSELS
0
11. The authority citation for part 307 continues to read as follows:
Authority: Pub. L. 109-304; 46 U.S.C. 50113; Pub. L. 114-74; 49
CFR 1.93.
0
12. Section 307.19 is revised to read as follows:
Sec. 307.19 Penalties.
The owner or operator of a vessel in the waterborne foreign
commerce of the United States is subject to a penalty of $135.00 for
each day of failure to file an AMVER report required by this part. Such
penalty shall constitute a lien upon the vessel, and such vessel may be
libeled in the district court of the United States in which the vessel
may be found.
PART 340--PRIORITY USE AND ALLOCATION OF SHIPPING SERVICES,
CONTAINERS AND CHASSIS, AND PORT FACILITIES AND SERVICES FOR
NATIONAL SECURITY AND NATIONAL DEFENSE RELATED OPERATIONS
0
13. The authority citation for part 340 continues to read as follows:
Authority: 50 U.S.C. 4501 et seq. (``The Defense Production
Act''); Executive Order 13603 (77 FR 16651); Executive Order 12656
(53 FR 47491); Pub. L. 114-74; 49 CFR 1.45; 49 CFR 1.93(l).
0
14. Section 340.9 is revised to read as follows:
Sec. 340.9 Compliance.
Pursuant 50 U.S.C. 4513 any person who willfully performs any act
prohibited, or willfully fails to perform any act required, by the
provisions of this part shall, upon conviction, be fined not more than
$27,051 or imprisoned for not more than one year, or both.
PART 356--REQUIREMENTS FOR VESSELS OF 100 FEET OR GREATER IN
REGISTERED LENGTH TO OBTAIN A FISHERY ENDORSEMENT TO THE VESSEL'S
DOCUMENTATION
0
15. The authority citation for part 356 continues to read as follows:
Authority: 46 U.S.C. 12102; 46 U.S.C. 12151; 46 U.S.C. 31322;
Pub. L. 105-277, division C, title II, subtitle I, section 203 (46
U.S.C. 12102 note), section 210(e), and section 213(g), 112 Stat.
2681; Pub. L. 107-20, section 2202, 115 Stat. 168-170; Pub. L. 114-
74; 49 CFR 1.93.
0
16. Amend Sec. 356.49 by revising paragraph (b) to read as follows:
Sec. 356.49 Penalties.
* * * * *
(b) A fine of up to $156,917 may be assessed against the vessel
owner for each day in which such vessel has engaged in fishing (as such
term is defined in section 3 of the Magnuson-Stevens Fishery
Conservation and Management Act (16 U.S.C. 1802)) within the exclusive
economic zone of the United States; and
* * * * *
[[Page 1756]]
Title 49--Transportation
PART 107--HAZARDOUS MATERIALS PROGRAM PROCEDURES
0
17. The authority citation for part 107 continues to read as follows:
Authority: 49 U.S.C. 5101-5128, 44701; Pub. L. 101-410 Section
4; Pub. L. 104-121 Sections 212-213; Pub. L. 104-134 Section 31001;
Pub. L. 114-74 Section 4 (28 U.S.C. 2461 note); 49 CFR 1.81 and
1.97; 33 U.S.C. 1321.
0
18. Section 107.329 is revised to read as follows:
Sec. 107.329 Maximum penalties.
(a) A person who knowingly violates a requirement of the Federal
hazardous material transportation law, an order issued thereunder, this
subchapter, subchapter C of the chapter, or a special permit or
approval issued under this subchapter applicable to the transportation
of hazardous materials or the causing of them to be transported or
shipped is liable for a civil penalty of not more than $83,439 for each
violation, except the maximum civil penalty is $194,691 if the
violation results in death, serious illness, or severe injury to any
person or substantial destruction of property. There is no minimum
civil penalty, except for a minimum civil penalty of $502 for
violations relating to training. When the violation is a continuing
one, each day of the violation constitutes a separate offense.
(b) A person who knowingly violates a requirement of the Federal
hazardous material transportation law, an order issued thereunder, this
subchapter, subchapter C of the chapter, or a special permit or
approval issued under this subchapter applicable to the design,
manufacture, fabrication, inspection, marking, maintenance,
reconditioning, repair or testing of a package, container, or packaging
component which is represented, marked, certified, or sold by that
person as qualified for use in the transportation of hazardous
materials in commerce is liable for a civil penalty of not more than
$83,439 for each violation, except the maximum civil penalty is
$194,691 if the violation results in death, serious illness, or severe
injury to any person or substantial destruction of property. There is
no minimum civil penalty, except for a minimum civil penalty of $502
for violations relating to training.
Appendix A to Subpart D of Part 107 [Amended]
0
19. In appendix A to subpart D of part 107, remove ``$81,993 or
$191,316'' and ``July 31, 2019'' and add in their places ``$83,439 or
$194,691'' and ``January 11, 2021,'' respectively.
PART 171--GENERAL INFORMATION, REGULATIONS, AND DEFINITIONS
0
20. The authority citation for part 171 continues to read as follows:
Authority: 49 U.S.C. 5101-5128, 44701; Pub. L. 101-410 section
4; Pub. L. 104-134, section 31001; Pub. L. 114-74 section 4 (28
U.S.C. 2461 note); 49 CFR 1.81 and 1.97.
0
21. Amend Sec. 171.1 by revising paragraph (g) to read as follows:
Sec. 171.1 Applicability of Hazardous Materials Regulations (HMR) to
persons and functions.
* * * * *
(g) Penalties for noncompliance. Each person who knowingly violates
a requirement of the Federal hazardous material transportation law, an
order issued under Federal hazardous material transportation law,
subchapter A of this chapter, or a special permit or approval issued
under subchapter A or C of this chapter is liable for a civil penalty
of not more than $83,439 for each violation, except the maximum civil
penalty is $194,691 if the violation results in death, serious illness,
or severe injury to any person or substantial destruction of property.
There is no minimum civil penalty, except for a minimum civil penalty
of $502 for a violation relating to training.
PART 190--PIPELINE SAFETY ENFORCEMENT AND REGULATORY PROCEDURES
0
22. The authority citation for part 190 continues to read as follows:
Authority: 33 U.S.C. 1321(b); 49 U.S.C. 60101 et seq.
0
23. Amend Sec. 190.223 by revising paragraphs (a), (c), and (d) to
read as follows:
Sec. 190.223 Maximum penalties.
(a) Any person found to have violated a provision of 49 U.S.C.
60101, et seq., or any regulation in 49 CFR parts 190 through 199, or
order issued pursuant to 49 U.S.C. 60101, et seq. or 49 CFR part 190,
is subject to an administrative civil penalty not to exceed $222,504
for each violation for each day the violation continues, with a maximum
administrative civil penalty not to exceed $2,225,034 for any related
series of violations.
* * * * *
(c) Any person found to have violated any standard or order under
49 U.S.C. 60103 is subject to an administrative civil penalty not to
exceed $81,284, which may be in addition to other penalties to which
such person may be subject under paragraph (a) of this section.
(d) Any person who is determined to have violated any standard or
order under 49 U.S.C. 60129 is subject to an administrative civil
penalty not to exceed $1,292, which may be in addition to other
penalties to which such person may be subject under paragraph (a) of
this section.
* * * * *
PART 209--RAILROAD SAFETY ENFORCEMENT PROCEDURES
0
24. The authority citation for part 209 continues to read as follows:
Authority: 49 U.S.C. 5123, 5124, 20103, 20107, 20111, 20112,
20114; 28 U.S.C. 2461, note; and 49 CFR 1.89.
0
25. Amend Sec. 209.103 by revising paragraphs (a) and (c) to read as
follows:
Sec. 209.103 Minimum and maximum penalties.
(a) A person who knowingly violates a requirement of the Federal
hazardous materials transportation laws, an order issued thereunder,
subchapter A or C of chapter I, subtitle B, of this title, or a special
permit or approval issued under subchapter A or C of chapter I,
subtitle B, of this title is liable for a civil penalty of not more
than $83,439 for each violation, except that--
(1) The maximum civil penalty for a violation is $194,691 if the
violation results in death, serious illness, or severe injury to any
person, or substantial destruction of property; and
(2) A minimum $502 civil penalty applies to a violation related to
training.
* * * * *
(c) The maximum and minimum civil penalties described in paragraph
(a) of this section apply to violations occurring on or after January
11, 2021.
0
26. Amend Sec. 209.105 by revising the last sentence of paragraph (c)
to read as follows:
Sec. 209.105 Notice of probable violation.
* * * * *
(c) * * * In an amended notice, FRA may change the civil penalty
amount proposed to be assessed up to and including the maximum penalty
amount of $83,439 for each violation, except that if the violation
results in death, serious illness or severe injury to any person, or
substantial destruction of property, FRA may change the penalty amount
proposed to be assessed up to and including the maximum penalty amount
of $194,691.
Sec. 209.409 [Amended]
0
27. Amend Sec. 209.409 as follows:
[[Page 1757]]
0
a. Remove the dollar amount ``$892'' and add in its place ``$908'';
0
b. Remove the dollar amount ``$29,192'' and add in its place
``$29,707''; and
0
c. Remove the dollar amount ``$116,766'' and add in its place
``$118,826''.
0
28. In appendix A to part 209, amend the section ``Penalty Schedules;
Assessment of Maximum Penalties'' by:
0
a. Adding a sentence to the end of the sixth paragraph;
0
b. Revising the fourth sentence of the seventh paragraph; and
0
c. Revising the first sentence of the tenth paragraph.
The addition and revisions read as follows:
Appendix A to Part 209--Statement of Agency Policy Concerning
Enforcement of the Federal Railroad Safety Laws
* * * * *
Penalty Schedules; Assessment of Maximum Penalties
* * * * *
* * * Effective January 11, 2021, the minimum civil monetary
penalty was raised from $892 to $908, the ordinary maximum civil
monetary penalty was raised from $29,192 to $29,707, and the
aggravated maximum civil monetary penalty was raised from $116,766
to $118,826.
* * * For each regulation in this part or order, the schedule
shows two amounts within the $908 to $29,707 range in separate
columns, the first for ordinary violations, the second for willful
violations (whether committed by railroads or individuals). * * *
* * * * *
Accordingly, under each of the schedules (ordinarily in a
footnote), and regardless of the fact that a lesser amount might be
shown in both columns of the schedule, FRA reserves the right to
assess the statutory maximum penalty of up to $118,826 per violation
where a pattern of repeated violations or a grossly negligent
violation has created an imminent hazard of death or injury or has
caused death or injury. * * *
* * * * *
Appendix B to Part 209 [Amended]
0
29. Amend appendix B to part 209 as follows:
0
a. Remove the dollar amount ``$81,993'' everywhere it appears and add
in its place ``$83,439'';
0
b. Remove the dollar amount ``$191,316'' everywhere it appears and add
in its place ``$194,691''; and
0
c. Remove the dollar amount ``$493'' and add in its place ``$502''.
PART 213--TRACK SAFETY STANDARDS
0
30. The authority citation for part 213 continues to read as follows:
Authority: 49 U.S.C. 20102-20114 and 20142; Sec. 403, Div. A,
Public Law 110-432, 122 Stat. 4885; 28 U.S.C. 2461, note; and 49 CFR
1.89.
Sec. 213.15 [Amended]
0
31. In Sec. 213.15, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$892'' and add in its place ``$908'';
0
b. Remove the dollar amount ``$29,192'' and add in its place
``$29,707''; and
0
c. Remove the dollar amount ``$116,766'' and add in its place
``$118,826''.
PART 214--RAILROAD WORKPLACE SAFETY
0
32. The authority citation for part 214 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 21301, 31304, 28 U.S.C. 2461,
note; and 49 CFR 1.89.
Sec. 214.5 [Amended]
0
33. Amend Sec. 214.5 as follows:
0
a. Remove the dollar amount ``$892'' and add in its place ``$908'';
0
b. Remove the dollar amount ``$29,192'' and add in its place
``$29,707''; and
0
c. Remove the dollar amount ``$116,766'' and add in its place
``$118,826''.
PART 215--RAILROAD FREIGHT CAR SAFETY STANDARDS
0
34. The authority citation for part 215 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49
CFR 1.89.
Sec. 215.7 [Amended]
0
35. Amend Sec. 215.7 as follows:
0
a. Remove the dollar amount ``$892'' and add in its place ``$908'';
0
b. Remove the dollar amount ``$29,192'' and add in its place
``$29,707''; and
0
c. Remove the dollar amount ``$116,766'' and add in its place
``$118,826''.
PART 216--SPECIAL NOTICE AND EMERGENCY ORDER PROCEDURES: RAILROAD
TRACK, LOCOMOTIVE AND EQUIPMENT
0
36. The authority citation for part 216 continues to read as follows:
Authority: 49 U.S.C. 20102-20104, 20107, 20111, 20133, 20701-
20702, 21301-21302, 21304; 28 U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 216.7 [Amended]
0
37. Amend Sec. 216.7 as follows:
0
a. Remove the dollar amount ``$892'' and add in its place ``$908'';
0
b. Remove the dollar amount ``$29,192'' and add in its place
``$29,707''; and
0
c. Remove the dollar amount ``$116,766'' and add in its place
``$118,826''.
PART 217--RAILROAD OPERATING RULES
0
38. The authority citation for part 217 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49
CFR 1.89.
Sec. 217.5 [Amended]
0
39. Amend Sec. 217.5 as follows:
0
a. Remove the dollar amount ``$892'' and add in its place ``$908'';
0
b. Remove the dollar amount ``$29,192'' and add in its place
``$29,707''; and
0
c. Remove the dollar amount ``$116,766'' and add in its place
``$118,826''.
PART 218--RAILROAD OPERATING PRACTICES
0
40. The authority citation for part 218 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49
CFR 1.89.
Sec. 218.9 [Amended]
0
41. Amend Sec. 218.9 as follows:
0
a. Remove the dollar amount ``$892'' and add in its place ``$908'';
0
b. Remove the dollar amount ``$29,192'' and add in its place
``$29,707''; and
0
c. Remove the dollar amount ``$116,766'' and add in its place
``$118,826''.
PART 219--CONTROL OF ALCOHOL AND DRUG USE
0
42. The authority citation for part 219 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20140, 21301, 21304, 21311;
28 U.S.C. 2461, note; Sec. 412, Div. A, Pub. L. 110-432, 122 Stat.
4889 (49 U.S.C. 20140, note); and 49 CFR 1.89.
Sec. 219.10 [Amended]
0
43. Amend Sec. 219.10 as follows:
0
a. Remove the dollar amount ``$892'' and add in its place ``$908'';
0
b. Remove the dollar amount ``$29,192'' and add in its place
``$29,707''; and
0
c. Remove the dollar amount ``$116,766'' and add in its place
``$118,826''.
[[Page 1758]]
PART 220--RAILROAD COMMUNICATIONS
0
44. The authority citation for part 220 continues to read as follows:
Authority: 49 U.S.C. 20102-20103, 20103, note, 20107, 21301-
21302, 20701-20703, 21304, 21311; 28 U.S.C. 2461, note; and 49 CFR
1.89.
Sec. 220.7 [Amended]
0
45. Amend Sec. 220.7 as follows:
0
a. Remove the dollar amount ``$892'' and add in its place ``$908'';
0
b. Remove the dollar amount ``$29,192'' and add in its place
``$29,707''; and
0
c. Remove the dollar amount ``$116,766'' and add in its place
``$118,826''.
PART 221--REAR END MARKING DEVICE--PASSENGER, COMMUTER AND FREIGHT
TRAINS
0
46. The authority citation for part 221 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49
CFR 1.89.
Sec. 221.7 [Amended]
0
47. Amend Sec. 221.7 as follows:
0
a. Remove the dollar amount ``$892'' and add in its place ``$908'';
0
b. Remove the dollar amount ``$29,192'' and add in its place
``$29,707''; and
0
c. Remove the dollar amount ``$116,766'' and add in its place
``$118,826''.
PART 222--USE OF LOCOMOTIVE HORNS AT PUBLIC HIGHWAY-RAIL GRADE
CROSSINGS
0
48. The authority citation for part 222 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20153, 21301, 21304; 28
U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 222.11 [Amended]
0
49. Amend Sec. 222.11 as follows:
0
a. Remove the dollar amount ``$892'' and add in its place ``$908'';
0
b. Remove the dollar amount ``$29,192'' and add in its place
``$29,707''; and
0
c. Remove the dollar amount ``$116,766'' and add in its place
``$118,826''.
PART 223--SAFETY GLAZING STANDARDS--LOCOMOTIVES, PASSENGER CARS AND
CABOOSES
0
50. The authority citation for part 223 continues to read as follows:
Authority: 49 U.S.C. 20102-20103, 20133, 20701-20702, 21301-
21302, 21304; 28 U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 223.7 [Amended]
0
51. Amend Sec. 223.7 as follows:
0
a. Remove the dollar amount ``$892'' and add in its place ``$908'';
0
b. Remove the dollar amount ``$29,192'' and add in its place
``$29,707''; and
0
c. Remove the dollar amount ``$116,766'' and add in its place
``$118,826''.
PART 224--REFLECTORIZATION OF RAIL FREIGHT ROLLING STOCK
0
52. The authority citation for part 224 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20148 and 21301; 28 U.S.C.
2461, note; and 49 CFR 1.89.
Sec. 224.11 [Amended]
0
53. In Sec. 224.11, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$892'' and add in its place ``$908'';
0
b. Remove the dollar amount ``$29,192'' and add in its place
``$29,707''; and
0
c. Remove the dollar amount ``$116,766'' and add in its place
``$118,826''.
PART 225--RAILROAD ACCIDENTS/INCIDENTS: REPORTS CLASSIFICATION, AND
INVESTIGATIONS
0
54. The authority citation for part 225 continues to read as follows:
Authority: 49 U.S.C. 103, 322(a), 20103, 20107, 20901-20902,
21301, 21302, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 225.29 [Amended]
0
55. Amend Sec. 225.29 as follows:
0
a. Remove the dollar amount ``$892'' and add in its place ``$908'';
0
b. Remove the dollar amount ``$29,192'' and add in its place
``$29,707''; and
0
c. Remove the dollar amount ``$116,766'' and add in its place
``$118,826''.
PART 227--OCCUPATIONAL NOISE EXPOSURE
0
56. The authority citation for part 227 continues to read as follows:
Authority: 49 U.S.C. 20103, 20103, note, 20701-20702; 28 U.S.C.
2461, note; and 49 CFR 1.89.
Sec. 227.9 [Amended]
0
57. In Sec. 227.9, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$892'' and add in its place ``$908'';
0
b. Remove the dollar amount ``$29,192'' and add in its place
``$29,707''; and
0
c. Remove the dollar amount ``$116,766'' and add in its place
``$118,826''.
PART 228--PASSENGER TRAIN EMPLOYEE HOURS OF SERVICE; RECORDKEEPING
AND REPORTING; SLEEPING QUARTERS
0
58. The authority citation for part 228 continues to read as follows:
Authority: 49 U.S.C. 103, 20103, 20107, 21101-21109; Sec. 108,
Div. A, Pub. L. 110-432, 122 Stat. 4860-4866, 4893-4894; 49 U.S.C.
21301, 21303, 21304, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 228.6 [Amended]
0
59. In Sec. 228.6, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$892'' and add in its place ``$908'';
0
b. Remove the dollar amount ``$29,192'' and add in its place
``$29,707''; and
0
c. Remove the dollar amount ``$116,766'' and add in its place
``$118,826''.
0
60. In appendix A to part 228, under the heading ``General
Provisions,'' amend the ``Penalty'' paragraph by adding a sentence at
the end of the first paragraph to read as follows:
Appendix A to Part 228--Requirements of the Hours of Service Act:
Statement of Agency Policy and Interpretation
* * * * *
General Provisions
* * * * *
Penalty. * * * Effective January 11, 2021, the minimum civil
monetary penalty was raised from $892 to $908, the ordinary maximum
civil monetary penalty was raised from $29,192 to $29,707, and the
aggravated maximum civil monetary penalty was raised from $116,766
to $118,826.
* * * * *
PART 229--RAILROAD LOCOMOTIVE SAFETY STANDARDS
0
61. The authority citation for part 229 continues to read as follows:
Authority: 49 U.S.C. 103, 322(a), 20103, 20107, 20901-02, 21301,
21301, 21302, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 229.7 [Amended]
0
62. In Sec. 229.7, amend paragraph (b) as follows:
0
a. Remove the dollar amount ``$892'' and add in its place ``$908'';
0
b. Remove the dollar amount ``$29,192'' and add in its place
``$29,707''; and
[[Page 1759]]
0
c. Remove the dollar amount ``$116,766'' and add in its place
``$118,826''.
PART 230--STEAM LOCOMOTIVE INSPECTION AND MAINTENANCE STANDARDS
0
63. The authority citation for part 230 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20702; 28 U.S.C. 2461, note;
and 49 CFR 1.89.
Sec. 230.4 [Amended]
0
64. In Sec. 230.4, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$892'' and add in its place ``$908'';
0
b. Remove the dollar amount ``$29,192'' and add in its place
``$29,707''; and
0
c. Remove the dollar amount ``$116,766'' and add in its place
``$118,826''.
PART 231--RAILROAD SAFETY APPLIANCE STANDARDS
0
65. The authority citation for part 231 continues to read as follows:
Authority: 49 U.S.C. 20102-20103, 20107, 20131, 20301-20303,
21301-21302, 21304; 28 U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 231.0 [Amended]
0
66. In Sec. 231.0, amend paragraph (f) as follows:
0
a. Remove the dollar amount ``$892'' and add in its place ``$908'';
0
b. Remove the dollar amount ``$29,192'' and add in its place
``$29,707''; and
0
c. Remove the dollar amount ``$116,766'' and add in its place
``$118,826''.
PART 232-- BRAKE SYSTEM SAFETY STANDARDS FOR FREIGHT AND OTHER NON-
PASSENGER TRAINS AND EQUIPMENT; END-OF-TRAIN DEVICES
0
67. The authority citation for part 232 continues to read as follows:
Authority: 49 U.S.C. 20102-20103, 20107, 20133, 20141, 20301-
20303, 20306, 21301-21302, 21304; 28 U.S.C. 2461, note; and 49 CFR
1.89.
Sec. 232.11 [Amended]
0
68. In Sec. 232.11, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$892'' and add in its place ``$908'';
0
b. Remove the dollar amount ``$29,192'' and add in its place
``$29,707''; and
0
c. Remove the dollar amount ``$116,766'' and add in its place
``$118,826''.
PART 233--SIGNAL SYSTEMS REPORTING REQUIREMENTS
0
69. The authority citation for part 233 continues to read as follows:
Authority: 49 U.S.C. 504, 522, 20103, 20107, 20501-20505, 21301,
21302, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 233.11 [Amended]
0
70. Amend Sec. 233.11 as follows:
0
a. Remove the dollar amount ``$892'' and add in its place ``$908'';
0
b. Remove the dollar amount ``$29,192'' and add in its place
``$29,707''; and
0
c. Remove the dollar amount ``$116,766'' and add in its place
``$118,826''.
PART 234--GRADE CROSSING SAFETY
0
71. The authority citation for part 234 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20152, 20160, 21301, 21304,
21311, 22501 note; Pub. L. 110-432, Div. A., Sec. 202, 28 U.S.C.
2461, note; and 49 CFR 1.89.
Sec. 234.6 [Amended]
0
72. In Sec. 234.6, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$892'' and add in its place ``$908'';
0
b. Remove the dollar amount ``$29,192'' and add in its place
``$29,707''; and
0
c. Remove the dollar amount ``$116,766'' and add in its place
``$118,826''.
PART 235--INSTRUCTIONS GOVERNING APPLICATIONS FOR APPROVAL OF A
DISCONTINUANCE OR MATERIAL MODIFICATION OF A SIGNAL SYSTEM OR
RELIEF FROM THE REQUIREMENTS OF PART 236
0
73. The authority citation for part 235 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49
CFR 1.89.
Sec. 235.9 [Amended]
0
74. Amend Sec. 235.9 as follows:
0
a. Remove the dollar amount ``$892'' and add in its place ``$908'';
0
b. Remove the dollar amount ``$29,192'' and add in its place
``$29,707''; and
0
c. Remove the dollar amount ``$116,766'' and add in its place
``$118,826''.
PART 236--RULES, STANDARDS, AND INSTRUCTIONS GOVERNING THE
INSTALLATION, INSPECTION, MAINTENANCE, AND REPAIR OF SIGNAL AND
TRAIN CONTROL SYSTEMS, DEVICES, AND APPLIANCES
0
75. The authority citation for part 236 continues to read as follows:
Authority: 49 U.S.C. 20102-20103, 20107, 20133, 20141, 20157,
20301-20303, 20306, 20501-20505, 20701-20703, 21301-21302, 21304; 28
U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 236.0 [Amended]
0
76. In Sec. 236.0, amend paragraph (f) as follows:
0
a. Remove the dollar amount ``$892'' and add in its place ``$908'';
0
b. Remove the dollar amount ``$29,192'' and add in its place
``$29,707''; and
0
c. Remove the dollar amount ``$116,766'' and add in its place
``$118,826''.
PART 237--BRIDGE SAFETY STANDARDS
0
77. The authority citation for part 237 continues to read as follows:
Authority: 49 U.S.C. 20102-20114; Public Law 110-432, Div. A,
Sec. 417; 28 U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 237.7 [Amended]
0
78. In Sec. 237.7, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$892'' and add in its place ``$908'';
0
b. Remove the dollar amount ``$29,192'' and add in its place
``$29,707''; and
0
c. Remove the dollar amount ``$116,766'' and add in its place
``$118,826''.
PART 238--PASSENGER EQUIPMENT SAFETY STANDARDS
0
79. The authority citation for part 238 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20133, 20141, 20302-20303,
20306, 20701-20702, 21301-21302, 21304; 28 U.S.C. 2461, note; and 49
CFR 1.89.
Sec. 238.11 [Amended]
0
80. In Sec. 238.11, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$892'' and add in its place ``$908'';
0
b. Remove the dollar amount ``$29,192'' and add in its place
``$29,707''; and
0
c. Remove the dollar amount ``$116,766'' and add in its place
``$118,826''.
[[Page 1760]]
PART 239--PASSENGER TRAIN EMERGENCY PREPAREDNESS
0
81. The authority citation for part 239 continues to read as follows:
Authority: 49 U.S.C. 20102-20103, 20105-20114, 20133, 21301,
21304, and 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 239.11 [Amended]
0
82. Amend Sec. 239.11 as follows:
0
a. Remove the dollar amount ``$892'' and add in its place ``$908'';
0
b. Remove the dollar amount ``$29,192'' and add in its place
``$29,707''; and
0
c. Remove the dollar amount ``$116,766'' and add in its place
``$118,826''.
PART 240--QUALIFICATION AND CERTIFICATION OF LOCOMOTIVE ENGINEERS
0
83. The authority citation for part 240 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20135, 21301, 21304, 21311;
28 U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 240.11 [Amended]
0
84. In Sec. 240.11, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$892'' and add in its place ``$908'';
0
b. Remove the dollar amount ``$29,192'' and add in its place
``$29,707''; and
0
c. Remove the dollar amount ``$116,766'' and add in its place
``$118,826''.
PART 241--UNITED STATES LOCATIONAL REQUIREMENT FOR DISPATCHING OF
UNITED STATES RAIL OPERATIONS
0
85. The authority citation for part 241 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 21301, 21304, 21311; 28
U.S.C. 2461, note; 49 CFR 1.89.
Sec. 241.15 [Amended]
0
86. In Sec. 241.15, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$892'' and add in its place ``$908'';
0
b. Remove the dollar amount ``$29,192'' and add in its place
``$29,707''; and
0
c. Remove the dollar amount ``$116,766'' and add in its place
``$118,826''.
PART 242--QUALIFICATION AND CERTIFICATION OF CONDUCTORS
0
87. The authority citation for part 242 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20135, 20138, 20162, 20163,
21301, 21304, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 242.11 [Amended]
0
88. In Sec. 242.11, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$892'' and add in its place ``$908'';
0
b. Remove the dollar amount ``$29,192'' and add in its place
``$29,707''; and
0
c. Remove the dollar amount ``$116,766'' and add in its place
``$118,826''.
PART 243--TRAINING, QUALIFICATION, AND OVERSIGHT FOR SAFETY-RELATED
RAILROAD EMPLOYEES
0
89. The authority citation for part 243 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20131-20155, 20162, 20301-
20306, 20701-20702, 21301-21304, 21311; 28 U.S.C. 2461, note; and 49
CFR 1.89.
Sec. 243.7 [Amended]
0
90. In Sec. 243.7, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$892'' and add in its place ``$908'';
0
b. Remove the dollar amount ``$29,192'' and add in its place
``$29,707''; and
0
c. Remove the dollar amount ``$116,766'' and add in its place
``$118,826''.
PART 244--REGULATIONS ON SAFETY INTEGRATION PLANS GOVERNING
RAILROAD CONSOLIDATIONS, MERGERS, AND ACQUISITIONS OF CONTROL
0
91. The authority citation for part 244 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 21301; 5 U.S.C. 553 and 559;
28 U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 244.5 [Amended]
0
92. In Sec. 244.5, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$892'' and add in its place ``$908'';
0
b. Remove the dollar amount ``$29,192'' and add in its place
``$29,707''; and
0
c. Remove the dollar amount ``$116,766'' and add in its place
``$118,826''.
PART 272--CRITICAL INCIDENT STRESS PLANS
0
93. The authority citation for part 272 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20109, note; 28 U.S.C. 2461,
note; 49 CFR 1.89; and sec. 410, Div. A, Pub. L. 110-432, 122 Stat.
4888.
Sec. 272.11 [Amended]
0
94. In Sec. 272.11, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$892'' and add in its place ``$908'';
0
b. Remove the dollar amount ``$29,192'' and add in its place
``$29,707''; and
0
c. Remove the dollar amount ``$116,766'' and add in its place
``$118,826''.
PART 386--RULES OF PRACTICE FOR FMCSA PROCEEDINGS
0
95. The authority citation for part 386 is revised to read as follows:
Authority: 49 U.S.C. 113; chapters 5, 51, 131-141, 145-149, 311,
313, and 315; Sec. 204, Pub. L. 104-88, 109 Stat. 803, 941 (49
U.S.C. 701 note); Sec. 32402, Pub. L. 112-141, 126 Stat. 405, 795
(49 U.S.C. 31306a); Sec. 701 Pub. L. 114-74, 129 Stat. 599 (28
U.S.C. 2461 note); 49 CFR 1.81 and 1.87.
0
96. Amend appendix A to part 386 by revising the introductory text and
sections II and IV.a. through e. and g. through j. to read as follows:
Appendix A to Part 386--Penalty Schedule: Violations of Notices and
Orders
The Civil Penalties Inflation Adjustment Act Improvements Act of
2015 [Public Law 114-74, sec. 701, 129 Stat. 599] amended the
Federal Civil Penalties Inflation Adjustment Act of 1990 to require
agencies to adjust civil penalties for inflation. Pursuant to that
authority, the inflation adjusted civil penalties identified in this
appendix supersede the corresponding civil penalty amounts
identified in title 49, United States Code.
* * * * *
II. Subpoena
Violation--Failure to respond to Agency subpoena to appear and
testify or produce records.
Penalty--minimum of $1,112 but not more than $11,125 per
violation.
* * * * *
IV. Out-of-Service Order
a. Violation--Operation of a commercial vehicle by a driver
during the period the driver was placed out of service.
Penalty--Up to $1,928 per violation.
(For purposes of this violation, the term ``driver'' means an
operator of a commercial motor vehicle, including an independent
contractor who, while in the course of operating a commercial motor
vehicle, is employed or used by another person.)
b. Violation--Requiring or permitting a driver to operate a
commercial vehicle during the period the driver was placed out of
service.
Penalty--Up to $19,277 per violation.
[[Page 1761]]
(This violation applies to motor carriers including an
independent contractor who is not a ``driver,'' as defined under
paragraph IV(a) above.)
c. Violation--Operation of a commercial motor vehicle or
intermodal equipment by a driver after the vehicle or intermodal
equipment was placed out-of-service and before the required repairs
are made.
Penalty--$1,928 each time the vehicle or intermodal equipment is
so operated.
(This violation applies to drivers as defined in IV(a) above.)
d. Violation--Requiring or permitting the operation of a
commercial motor vehicle or intermodal equipment placed out-of-
service before the required repairs are made.
Penalty--Up to $19,277 each time the vehicle or intermodal
equipment is so operated after notice of the defect is received.
(This violation applies to intermodal equipment providers and
motor carriers, including an independent owner operator who is not a
``driver,'' as defined in IV(a) above.)
e. Violation--Failure to return written certification of
correction as required by the out-of-service order.
Penalty--Up to $964 per violation.
* * * * *
g. Violation--Operating in violation of an order issued under
Sec. 386.72(b) to cease all or part of the employer's commercial
motor vehicle operations or to cease part of an intermodal equipment
provider's operations, i.e., failure to cease operations as ordered.
Penalty--Up to $27,813 per day the operation continues after the
effective date and time of the order to cease.
h. Violation--Operating in violation of an order issued under
Sec. 386.73.
Penalty--Up to $24,441 per day the operation continues after the
effective date and time of the out-of-service order.
i. Violation--Conducting operations during a period of
suspension under Sec. 386.83 or Sec. 386.84 for failure to pay
penalties.
Penalty--Up to $15,691 for each day that operations are
conducted during the suspension or revocation period.
j. Violation--Conducting operations during a period of
suspension or revocation under Sec. 385.911, Sec. 385.913, Sec.
385.1009, or Sec. 385.1011 of this subchapter.
Penalty--Up to $24,441 for each day that operations are
conducted during the suspension or revocation period.
0
97. Amend appendix B to part 386 by revising the introductory text and
paragraphs (a)(1) through (5), (b), (d) through (f), (g)(1) through
(8), (10) through (14), and (16) through (18), (g)(21)(i), (g)(22) and
(23), (h), and (i) to read as follows:
Appendix B to Part 386--Penalty Schedule: Violations and Monetary
Penalties
The Civil Penalties Inflation Adjustment Act Improvements Act of
2015 [Pub. L. 114-74, sec. 701, 129 Stat. 599] amended the Federal
Civil Penalties Inflation Adjustment Act of 1990 to require agencies
to adjust civil penalties for inflation. Pursuant to that authority,
the inflation adjusted civil penalties identified in this appendix
supersede the corresponding civil penalty amounts identified in
title 49, United States Code.
What are the types of violations and maximum monetary penalties?
(a) * * *
(1) Recordkeeping. A person or entity that fails to prepare or
maintain a record required by part 40 of this title and parts 382,
subpart A, B, C, D, E, or F, 385, and 390 through 399 of this
subchapter, or prepares or maintains a required record that is
incomplete, inaccurate, or false, is subject to a maximum civil
penalty of $1,292 for each day the violation continues, up to
$12,919.
(2) Knowing falsification of records. A person or entity that
knowingly falsifies, destroys, mutilates, or changes a report or
record required by parts 382, subpart A, B, C, D, E, or F, 385, and
390 through 399 of this subchapter, knowingly makes or causes to be
made a false or incomplete record about an operation or business
fact or transaction, or knowingly makes, prepares, or preserves a
record in violation of a regulation order of the Secretary is
subject to a maximum civil penalty of $12,919 if such action
misrepresents a fact that constitutes a violation other than a
reporting or recordkeeping violation.
(3) Non-recordkeeping violations. A person or entity that
violates part 382, subpart A, B, C, D, E, or F, part 385, or parts
390 through 399 of this subchapter, except a recordkeeping
requirement, is subject to a civil penalty not to exceed $15,691 for
each violation.
(4) Non-recordkeeping violations by drivers. A driver who
violates parts 382, subpart A, B, C, D, E, or F, 385, and 390
through 399 of this subchapter, except a recordkeeping violation, is
subject to a civil penalty not to exceed $3,923.
(5) Violation of 49 CFR 392.5. A driver placed out of service
for 24 hours for violating the alcohol prohibitions of 49 CFR
392.5(a) or (b) who drives during that period is subject to a civil
penalty not to exceed $3,230 for a first conviction and not less
than $6,460 for a second or subsequent conviction.
* * * * *
(b) Commercial driver's license (CDL) violations. Any employer,
employee, medical review officer, or service agent who violates any
provision of 49 CFR part 382, subpart G, or any person who violates
49 CFR part 383, subpart B, C, E, F, G, or H, is subject to a civil
penalty not to exceed $5,833; except:
(1) A CDL-holder who is convicted of violating an out-of-service
order shall be subject to a civil penalty of not less than $3,230
for a first conviction and not less than $6,460 for a second or
subsequent conviction;
(2) An employer of a CDL-holder who knowingly allows, requires,
permits, or authorizes an employee to operate a CMV during any
period in which the CDL-holder is subject to an out-of-service
order, is subject to a civil penalty of not less than $5,833 or more
than $32,297; and
(3) An employer of a CDL-holder who knowingly allows, requires,
permits, or authorizes that CDL-holder to operate a CMV in violation
of a Federal, State, or local law or regulation pertaining to
railroad-highway grade crossings is subject to a civil penalty of
not more than $16,743.
* * * * *
(d) Financial responsibility violations. A motor carrier that
fails to maintain the levels of financial responsibility prescribed
by part 387 of this subchapter or any person (except an employee who
acts without knowledge) who knowingly violates the rules of part
387, subparts A and B, is subject to a maximum penalty of $17,213.
Each day of a continuing violation constitutes a separate offense.
(e) Violations of the Hazardous Materials Regulations (HMRs) and
safety permitting regulations found in subpart E of part 385 of this
subchapter. This paragraph (e) applies to violations by motor
carriers, drivers, shippers and other persons who transport
hazardous materials on the highway in commercial motor vehicles or
cause hazardous materials to be so transported.
(1) All knowing violations of 49 U.S.C. chapter 51 or orders or
regulations issued under the authority of that chapter applicable to
the transportation or shipment of hazardous materials by commercial
motor vehicle on the highways are subject to a civil penalty of not
more than $83,439 for each violation. Each day of a continuing
violation constitutes a separate offense.
(2) All knowing violations of 49 U.S.C. chapter 51 or orders or
regulations issued under the authority of that chapter applicable to
training related to the transportation or shipment of hazardous
materials by commercial motor vehicle on the highways are subject to
a civil penalty of not less than $502 and not more than $83,439 for
each violation.
(3) All knowing violations of 49 U.S.C. chapter 51 or orders,
regulations, or exemptions under the authority of that chapter
applicable to the manufacture, fabrication, marking, maintenance,
reconditioning, repair, or testing of a packaging or container that
is represented, marked, certified, or sold as being qualified for
use in the transportation or shipment of hazardous materials by
commercial motor vehicle on the highways are subject to a civil
penalty of not more than $83,439 for each violation.
(4) Whenever regulations issued under the authority of 49 U.S.C.
chapter 51 require compliance with the FMCSRs while transporting
hazardous materials, any violations of the FMCSRs will be considered
a violation of the HMRs and subject to a civil penalty of not more
than $83,439.
(5) If any violation subject to the civil penalties set out in
paragraphs (e)(1) through (4) of this appendix results in death,
serious illness, or severe injury to any person or in substantial
destruction of property, the civil penalty may be increased to not
more than $194,691 for each offense.
(f) Operating after being declared unfit by assignment of a
final ``unsatisfactory'' safety rating. (1) A motor carrier
operating a commercial motor vehicle in interstate commerce (except
owners or operators of commercial motor vehicles designed or used to
transport hazardous materials for which placarding of a motor
vehicle is required under regulations prescribed under 49 U.S.C.
[[Page 1762]]
chapter 51) is subject, after being placed out of service because of
receiving a final ``unsatisfactory'' safety rating, to a civil
penalty of not more than $27,813 (49 CFR 385.13). Each day the
transportation continues in violation of a final ``unsatisfactory''
safety rating constitutes a separate offense.
(2) A motor carrier operating a commercial motor vehicle
designed or used to transport hazardous materials for which
placarding of a motor vehicle is required under regulations
prescribed under 49 U.S.C. chapter 51 is subject, after being placed
out of service because of receiving a final ``unsatisfactory''
safety rating, to a civil penalty of not more than $83,439 for each
offense. If the violation results in death, serious illness, or
severe injury to any person or in substantial destruction of
property, the civil penalty may be increased to not more than
$194,691 for each offense. Each day the transportation continues in
violation of a final ``unsatisfactory'' safety rating constitutes a
separate offense.
(g) * * *
(1) A person who operates as a motor carrier for the
transportation of property in violation of the registration
requirements of 49 U.S.C. 13901 is liable for a minimum penalty of
$11,125 per violation.
(2) A person who knowingly operates as a broker in violation of
registration requirements of 49 U.S.C 13904 or financial security
requirements of 49 U.S.C 13906 is liable for a penalty not to exceed
$11,125 for each violation.
(3) A person who operates as a motor carrier of passengers in
violation of the registration requirements of 49 U.S.C. 13901 is
liable for a minimum penalty of $27,813 per violation.
(4) A person who operates as a foreign motor carrier or foreign
motor private carrier of property in violation of the provisions of
49 U.S.C. 13902(c) is liable for a minimum penalty of $11,125 per
violation.
(5) A person who operates as a foreign motor carrier or foreign
motor private carrier without authority, outside the boundaries of a
commercial zone along the United States-Mexico border, is liable for
a maximum penalty of $15,299 for an intentional violation and a
maximum penalty of $38,250 for a pattern of intentional violations.
(6) A person who operates as a motor carrier or broker for the
transportation of hazardous wastes in violation of the registration
provisions of 49 U.S.C. 13901 is liable for a minimum penalty of
$22,251 and a maximum penalty of $44,501 per violation.
(7) A motor carrier or freight forwarder of household goods, or
their receiver or trustee, that does not comply with any regulation
relating to the protection of individual shippers, is liable for a
minimum penalty of $1,673 per violation.
(8) A person--
(i) Who falsifies, or authorizes an agent or other person to
falsify, documents used in the transportation of household goods by
motor carrier or freight forwarder to evidence the weight of a
shipment; or
(ii) Who charges for services which are not performed or are not
reasonably necessary in the safe and adequate movement of the
shipment is liable for a minimum penalty of $3,349 for the first
violation and $8,372 for each subsequent violation.
* * * * *
(10) A person who offers, gives, solicits, or receives
transportation of property by a carrier at a different rate than the
rate in effect under 49 U.S.C. 13702 is liable for a maximum penalty
of $167,433 per violation. When acting in the scope of his/her
employment, the acts or omissions of a person acting for or employed
by a carrier or shipper are considered to be the acts or omissions
of that carrier or shipper, as well as that person.
(11) Any person who offers, gives, solicits, or receives a
rebate or concession related to motor carrier transportation subject
to jurisdiction under subchapter I of 49 U.S.C. chapter 135, or who
assists or permits another person to get that transportation at less
than the rate in effect under 49 U.S.C. 13702, commits a violation
for which the penalty is $334 for the first violation and $418 for
each subsequent violation.
(12) A freight forwarder, its officer, agent, or employee, that
assists or willingly permits a person to get service under 49 U.S.C.
13531 at less than the rate in effect under 49 U.S.C. 13702 commits
a violation for which the penalty is up to $838 for the first
violation and up to $3,349 for each subsequent violation.
(13) A person who gets or attempts to get service from a freight
forwarder under 49 U.S.C. 13531 at less than the rate in effect
under 49 U.S.C. 13702 commits a violation for which the penalty is
up to $838 for the first violation and up to $3,349 for each
subsequent violation.
(14) A person who knowingly authorizes, consents to, or permits
a violation of 49 U.S.C. 14103 relating to loading and unloading
motor vehicles or who knowingly violates subsection (a) of 49 U.S.C.
14103 is liable for a penalty of not more than $16,743 per
violation.
* * * * *
(16) A person required to make a report to the Secretary, answer
a question, or make, prepare, or preserve a record under part B of
subtitle IV, title 49, U.S.C., or an officer, agent, or employee of
that person, is liable for a minimum penalty of $1,112 and for a
maximum penalty of $8,372 per violation if it does not make the
report, does not completely and truthfully answer the question
within 30 days from the date the Secretary requires the answer, does
not make or preserve the record in the form and manner prescribed,
falsifies, destroys, or changes the report or record, files a false
report or record, makes a false or incomplete entry in the record
about a business-related fact, or prepares or preserves a record in
violation of a regulation or order of the Secretary.
(17) A motor carrier, water carrier, freight forwarder, or
broker, or their officer, receiver, trustee, lessee, employee, or
other person authorized to receive information from them, who
discloses information identified in 49 U.S.C. 14908 without the
permission of the shipper or consignee is liable for a maximum
penalty of $3,349.
(18) A person who violates a provision of part B, subtitle IV,
title 49, U.S.C., or a regulation or order under part B, or who
violates a condition of registration related to transportation that
is subject to jurisdiction under subchapter I or III of chapter 135,
or who violates a condition of registration of a foreign motor
carrier or foreign motor private carrier under section 13902, is
liable for a penalty of $838 for each violation if another penalty
is not provided in 49 U.S.C. chapter 149.
* * * * *
(21) * * *
(i) Who knowingly and willfully fails, in violation of a
contract, to deliver to, or unload at, the destination of a shipment
of household goods in interstate commerce for which charges have
been estimated by the motor carrier transporting such goods, and for
which the shipper has tendered a payment in accordance with part
375, subpart G, of this subchapter, is liable for a civil penalty of
not less than $16,743 for each violation. Each day of a continuing
violation constitutes a separate offense.
* * * * *
(22) A broker for transportation of household goods who makes an
estimate of the cost of transporting any such goods before entering
into an agreement with a motor carrier to provide transportation of
household goods subject to FMCSA jurisdiction is liable to the
United States for a civil penalty of not less than $12,919 for each
violation.
(23) A person who provides transportation of household goods
subject to jurisdiction under 49 U.S.C. chapter 135, subchapter I,
or provides broker services for such transportation, without being
registered under 49 U.S.C. chapter 139 to provide such
transportation or services as a motor carrier or broker, as the case
may be, is liable to the United States for a civil penalty of not
less than $32,297 for each violation.
(h) Copying of records and access to equipment, lands, and
buildings. A person subject to 49 U.S.C. chapter 51 or a motor
carrier, broker, freight forwarder, or owner or operator of a
commercial motor vehicle subject to part B of subtitle VI of title
49 U.S.C. who fails to allow promptly, upon demand in person or in
writing, the Federal Motor Carrier Safety Administration, an
employee designated by the Federal Motor Carrier Safety
Administration, or an employee of a MCSAP grant recipient to inspect
and copy any record or inspect and examine equipment, lands,
buildings, and other property, in accordance with 49 U.S.C. 504(c),
5121(c), and 14122(b), is subject to a civil penalty of not more
than $1,292 for each offense. Each day of a continuing violation
constitutes a separate offense, except that the total of all civil
penalties against any violator for all offenses related to a single
violation shall not exceed $12,919.
(i) Evasion. A person, or an officer, employee, or agent of that
person:
(1) Who by any means tries to evade regulation of motor carriers
under title 49, United States Code, chapter 5, chapter 51,
subchapter III of chapter 311 (except sections 31138 and 31139) or
section 31302, 31303, 31304, 31305(b), 31310(g)(1)(A), or 31502, or
[[Page 1763]]
a regulation in subtitle B, chapter I, subchapter C of this title,
or this subchapter, issued under any of those provisions, shall be
fined at least $2,226 but not more than $5,562 for the first
violation and at least $2,780 but not more than $8,344 for a
subsequent violation.
(2) Who tries to evade regulation under part B of subtitle IV,
title 49, U.S.C., for carriers or brokers is liable for a penalty of
at least $2,226 for the first violation or at least $5,562 for a
subsequent violation.
PART 578--CIVIL AND CRIMINAL PENALTIES
0
98. The authority citation for part 578 is revised to read as follows:
Authority: Pub. L. 92-513, Pub. L. 94-163, Pub. L. 98-547, Pub.
L. 101-410, Pub. L. 102-388, Pub. L. 102-519, Pub. L. 104-134, Pub.
L. 109-59, Pub. L. 110-140, Pub. L. 112-141, Pub. L. 114-74, Pub. L.
114-94 (49 U.S.C. 30165, 30170, 30505, 32308, 32309, 32507, 32709,
32710, 32902, 32912, 33114, and 33115); delegation of authority at
49 CFR 1.81, 1.95.
0
99. In Sec. 578.6, paragraphs (a)(1), (a)(2)(i)(B), (a)(3) and (4),
(b) through (g), (h)(1), and (i) are revised to read as follows:
Sec. 578.6 Civil penalties for violations of specified provisions of
Title 49 of the United States Code.
(a) * * *
(1) In general. A person who violates any of sections 30112, 30115,
30117 through 30122, 30123(a), 30125(c), 30127, or 30141 through 30147
of Title 49 of the United States Code or a regulation in this chapter
prescribed under any of those sections is liable to the United States
Government for a civil penalty of not more than $22,723 for each
violation. A separate violation occurs for each motor vehicle or item
of motor vehicle equipment and for each failure or refusal to allow or
perform an act required by any of those sections. The maximum civil
penalty under this paragraph (a)(1) for a related series of violations
is $113,611,635.
(2) * * *
(i) * * *
(B) Violates section 30112(a)(2) of Title 49 United States Code,
shall be subject to a civil penalty of not more than $12,919 for each
violation. A separate violation occurs for each motor vehicle or item
of motor vehicle equipment and for each failure or refusal to allow or
perform an act required by this section. The maximum penalty under this
paragraph (a)(2)(i)(B) for a related series of violations is
$19,378,412.
(3) Section 30166. A person who violates Section 30166 of Title 49
of the United States Code or a regulation in this chapter prescribed
under that section is liable to the United States Government for a
civil penalty for failing or refusing to allow or perform an act
required under that section or regulation. The maximum penalty under
this paragraph (a)(3) is $22,723 per violation per day. The maximum
penalty under this paragraph (a)(3) for a related series of daily
violations is $113,611,635.
(4) False and misleading reports. A person who knowingly and
willfully submits materially false or misleading information to the
Secretary, after certifying the same information as accurate under the
certification process established pursuant to Section 30166(o) of Title
49 of the United States Code, shall be subject to a civil penalty of
not more than $5,562 per day. The maximum penalty under this paragraph
(a)(4) for a related series of daily violations is $1,112,518.
(b) National Automobile Title Information System. An individual or
entity violating 49 U.S.C. Chapter 305 is liable to the United States
Government for a civil penalty of not more than $1,814 for each
violation.
(c) Bumper standards. (1) A person that violates 49 U.S.C. 32506(a)
is liable to the United States Government for a civil penalty of not
more than $2,976 for each violation. A separate violation occurs for
each passenger motor vehicle or item of passenger motor vehicle
equipment involved in a violation of 49 U.S.C. 32506(a)(1) or (4)--
(i) That does not comply with a standard prescribed under 49 U.S.C.
32502; or
(ii) For which a certificate is not provided, or for which a false
or misleading certificate is provided, under 49 U.S.C. 32504.
(2) The maximum civil penalty under this paragraph (c) for a
related series of violations is $3,313,763.
(d) Consumer information--(1) Crash-worthiness and damage
susceptibility. A person who violates 49 U.S.C. 32308(a), regarding
crashworthiness and damage susceptibility, is liable to the United
States Government for a civil penalty of not more than $2,976 for each
violation. Each failure to provide information or comply with a
regulation in violation of 49 U.S.C. 32308(a) is a separate violation.
The maximum penalty under this paragraph (d)(1) for a related series of
violations is $1,623,024.
(2) Consumer tire information. Any person who fails to comply with
the national tire fuel efficiency program under 49 U.S.C. 32304A is
liable to the United States Government for a civil penalty of not more
than $61,586 for each violation.
(e) Country of origin content labeling. A manufacturer of a
passenger motor vehicle distributed in commerce for sale in the United
States that willfully fails to attach the label required under 49
U.S.C. 32304 to a new passenger motor vehicle that the manufacturer
manufactures or imports, or a dealer that fails to maintain that label
as required under 49 U.S.C. 32304, is liable to the United States
Government for a civil penalty of not more than $1,814 for each
violation. Each failure to attach or maintain that label for each
vehicle is a separate violation.
(f) Odometer tampering and disclosure. (1) A person that violates
49 U.S.C. Chapter 327 or a regulation in this chapter prescribed or
order issued thereunder is liable to the United States Government for a
civil penalty of not more than $11,125 for each violation. A separate
violation occurs for each motor vehicle or device involved in the
violation. The maximum civil penalty under this paragraph (f)(1) for a
related series of violations is $1,112,518.
(2) A person that violates 49 U.S.C. Chapter 327 or a regulation in
this chapter prescribed or order issued thereunder, with intent to
defraud, is liable for three times the actual damages or $11,125,
whichever is greater.
(g) Vehicle theft protection. (1) A person that violates 49 U.S.C.
33114(a)(1)-(4) is liable to the United States Government for a civil
penalty of not more than $2,444 for each violation. The failure of more
than one part of a single motor vehicle to conform to an applicable
standard under 49 U.S.C. 33102 or 33103 is only a single violation. The
maximum penalty under this paragraph (g)(1) for a related series of
violations is $610,979.
(2) A person that violates 49 U.S.C. 33114(a)(5) is liable to the
United States Government for a civil penalty of not more than $181,484
a day for each violation.
(h) * * *
(1) A person that violates 49 U.S.C. 32911(a) is liable to the
United States Government for a civil penalty of not more than $43,280
for each violation. A separate violation occurs for each day the
violation continues.
* * * * *
(i) Medium- and heavy-duty vehicle fuel efficiency. The maximum
civil penalty for a violation of the fuel consumption standards of 49
CFR part 535 is not more than $42,621 per vehicle or engine. The
maximum civil penalty for a related series of violations shall be
determined by multiplying $42,621 times the vehicle or engine
production volume for the model year
[[Page 1764]]
in question within the regulatory averaging set.
Issued in Washington, DC, on November 10, 2020.
Elaine L. Chao,
Secretary of Transportation.
[FR Doc. 2020-25236 Filed 1-8-21; 8:45 am]
BILLING CODE P
