# Revisions to Civil Penalty Amounts

- **operation:** document
- **citation:** 83 FR 60732
- **title:** Revisions to Civil Penalty Amounts
- **source type:** rulemaking
- **agency:** National Highway Traffic Safety Administration
- **status:** historical
- **official:** true
- **published on:** 2018-11-27
- **effective on:** 2018-11-27
- **summary:** In accordance with the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, this final rule provides the 2018 inflation adjustment to civil penalty amounts that may be imposed for violations of certain DOT regulations. This rule also finalizes the National Highway Traffic Safety Administration's and the Office of the Secretary's catch-up inflation adjustment interim final rules required by the same Act.
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Federal Register, Volume 83 Issue 228 (Tuesday, November 27, 2018) [Federal Register Volume 83, Number 228 (Tuesday, November 27, 2018)] [Rules and Regulations] [Pages 60732-60754] From the Federal Register Online via the Government Publishing Office [ www.gpo.gov ] [FR Doc No: 2018-24930] ======================================================================= ----------------------------------------------------------------------- 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 [[Page 60733]] 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, 270, and 272 Federal Motor Carrier Safety Administration 49 CFR Part 386 National Highway Traffic Safety Administration 49 CFR Part 578 RIN 2105-AE70 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 2018 inflation adjustment to civil penalty amounts that may be imposed for violations of certain DOT regulations. This rule also finalizes the National Highway Traffic Safety Administration's and the Office of the Secretary's catch-up inflation adjustment interim final rules required by the same Act. DATES: Effective November 27, 2018. FOR FURTHER INFORMATION CONTACT: Alex Zektser, Attorney-Advisor, Office of the General Counsel, U.S. Department of Transportation, 1200 New Jersey Ave. SE, Washington, DC 20590, 202-366-9301, [email protected] (email). 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. 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 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 15, 2017, OMB released this required guidance, in OMB Memorandum M-18-03, which provides instructions on how to calculate the 2018 annual adjustment. To derive the 2018 adjustment, the Department must multiply the maximum or minimum penalty amount by the percent change between the October 2017 Consumer Price Index for All Urban Consumers (CPI-U) and the October 2016 CPI-U. In this case, as explained in OMB Memorandum M-18- 03, the percent change between the October 2017 CPI-U (246.663) and the October 2016 CPI-U (241.729) is 1.02041. --------------------------------------------------------------------------- \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. NHTSA and OST are finalizing their ``catch-up'' adjustment interim final rules in this annual adjustment. Pursuant to the 2015 Act and notwithstanding 5 U.S.C. 553, NHTSA and OST adopt their interim final rules as final and superseded by this rule. Accordingly, DOT is publishing this final rule without prior notice and comment, and with an immediate effective date. Additionally, the Act clearly prescribes the frequency with which civil monetary penalties must be reviewed and adjusted. NHTSA's regulations at 49 CFR 578.5 stating that the Administrator will review and, if necessary, adjust its civil penalties every four years is superseded by the Act. NHTSA has no discretion to review and adjust its civil penalties at different intervals, and is therefore conforming its regulations to the requirements of the Act, as discussed in section IV below. Accordingly, and pursuant to 5 U.S.C. 553(b)(3)(B), 553(d)(3), DOT finds that good cause exists for immediate implementation of this provision of the 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. OST and NHTSA have not yet finalized their IFRs, and accordingly, this rule both finalizes OST and NHTSA's ``catch up'' IFRs and makes the annual inflation adjustment required by the 2015 Act. All other DOT operating administrations have already finalized their ``catch up'' IFRs and for those operating administrations, 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 ``Catch-Up'' IFR and 2017 and 2018 Adjustments OST's ``catch-up'' IFR is finalized in this rule, and superseded by the annual inflation adjustment discussed in the next section. Additionally, OST is updating its civil monetary penalties to reflect inflation for both 2017 and 2018 in this rule. OST did not timely complete the 2017 annual adjustment for civil penalties contained in 49 U.S.C. [[Page 60734]] 46301. However, consistent with the intent of the law and to ensure uniform year-over-year application of the 2015 Act, the 2018 update is being calculated as if the 2017 update had occurred. No violations will be assessed at the 2017 inflation adjustment amount. It is included in the chart below to clearly show the Department's calculations. OST's 2018 civil penalty adjustments are summarized in the chart below. ---------------------------------------------------------------------------------------------------------------- Unpromulgated 2017 adjustment New penalty (2017 Description Citation Existing penalty (existing penalty adjustment x x 1.01636) 1.02041) ---------------------------------------------------------------------------------------------------------------- General civil penalty for 49 U.S.C. $32,140 $32,666 $33,333 violations of certain aviation 46301(a)(1). economic regulations and statutes. General civil penalty for 49 U.S.C. 1,414 1,437 1,466 violations of certain aviation 46301(a)(1). economic regulations and statutes involving an individual or small business concern. Civil penalties for individuals 49 U.S.C. 12,856 13,066 13,333 or small businesses for 46301(a)(5)(A). 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 49 U.S.C. 6,428 6,533 6,666 or small businesses for 46301(a)(5)(C). violations of 49 U.S.C. 41719 and rules and orders issued pursuant to that provision. Civil penalties for individuals 49 U.S.C. 3,214 3,267 3,334 or small businesses for 46301(a)(5)(D). violations of 49 U.S.C. 41712 or consumer protection rules and orders issued pursuant to that provision. ---------------------------------------------------------------------------------------------------------------- B. FAA 2018 Annual Adjustment In 2016, Congress enacted 49 U.S.C. 46320. It imposes a civil penalty of not more than $20,000 for operating an unmanned aircraft where the operator knowingly or recklessly interferes with a wildfire suppression, law enforcement, or emergency response effort. The FAA did not adjust this maximum civil penalty for inflation in 2017 because, per OMB guidance, new civil monetary penalties are not adjusted for inflation the first year they are in effect.\2\ Therefore, the FAA is applying the 2018 adjustment directly to the statutory maximum of $20,000. The 2018 adjustment is therefore $20,408. --------------------------------------------------------------------------- \2\ OMB Memorandum M-16-06. --------------------------------------------------------------------------- The FAA's 2018 adjustments are summarized in the following chart: ---------------------------------------------------------------------------------------------------------------- New penalty Description Citation Existing penalty (existing penalty x 1.02041) ---------------------------------------------------------------------------------------------------------------- Violation of hazardous materials 49 U.S.C. 5123(a)(1)......... $78,376 $79,976 transportation law. Violation of hazardous materials 49 U.S.C. 5123(a)(2)......... 182,877 186,610 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)......... 471 481 materials transportation law relating to training. Maximum penalty for violation of hazardous 49 U.S.C. 5123(a)(3)......... 78,376 79,976 materials transportation law relating to training. Violation by a person other than an 49 U.S.C. 46301(a)(1)........ 32,666 33,333 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)........ 1,437 1,466 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 49 U.S.C. 46301(a)(1)........ 1,437 1,466 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 49 U.S.C. 46301(a)(5)(A)..... 13,066 13,333 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 49 U.S.C. 46301(a)(5)(B)(i).. 13,066 13,333 business concern related to the transportation of hazardous materials. Violation by an individual or small 49 U.S.C. 46301(a)(5)(B)(ii). 13,066 13,333 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 49 U.S.C. 46301(a)(5)(B)(iii) 13,066 13,333 business concern of 49 U.S.C. 44718(d), relating to limitation on construction or establishment of landfills. Violation by an individual or small 49 U.S.C. 46301(a)(5)(B)(iv). 13,066 13,333 business 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)........... 4,194 4,280 [[Page 60735]] Knowingly providing false information about 49 U.S.C. 46302.............. 22,957 23,426 alleged violation involving the special aircraft jurisdiction of the United States. Interference with cabin or flight crew..... 49 U.S.C. 46318.............. 34,731 35,440 Permanent closure of an airport without 49 U.S.C. 46319.............. 13,066 13,333 providing sufficient notice. Operating an unmanned aircraft and in so 49 U.S.C. 46320.............. 20,000 20,408 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)........... 229,562 234,247 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 chart, 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 ``Catch-Up'' IFR and 2017 and 2018 Adjustments NHTSA's ``catch-up'' IFR is finalized in this rule, and superseded by the annual inflation adjustment discussed in the next section. Additionally, NHTSA is updating its civil monetary penalties to reflect inflation for both 2017 and 2018 in this rule. NHTSA did not timely complete the 2017 annual adjustment for its civil penalty authority. However, consistent with the intent of the law and to ensure uniform year-over-year application of the 2015 Act, the 2018 update is being calculated as if the 2017 update had occurred. No violations will be assessed at the 2017 inflation adjustment amount. It is included in the chart below to clearly show the Department's calculations. NHTSA's 2018 civil penalty adjustments are summarized in the chart below.\3\ --------------------------------------------------------------------------- \3\ On December 28, 2016, NHTSA published a final rule regarding some aspects of its IFR provisions regarding Corporate Average Fuel Economy (CAFE) penalties. 81 FR 95489 (Dec. 28, 2016). On July 12, 2017, NHTSA announced that it was reconsidering that final rule. 82 FR 32140 (July 12, 2017). Accordingly, the CAFE civil penalty provisions at 49 U.S.C. 32912(b)-(c) and 49 CFR 578.6(h)(2), which are the subject of the reconsideration, are not being adjusted in the final rule promulgated herein. Instead, they will be addressed in a separate final rule for which an NPRM has been issued. 83 FR 13904 (Apr. 2, 2018). The provision in 49 CFR 578.6(h)(1), establishing the maximum civil penalty for each violation of 49 U.S.C. 32911(a), will also be addressed in that separate notice. ---------------------------------------------------------------------------------------------------------------- Unpromulgated 2017 New penalty (2017 Description Citation Existing penalty adjustment (existing adjustment x penalty x 1.01636) 1.02041) ---------------------------------------------------------------------------------------------------------------- Maximum penalty amount for 49 U.S.C. $21,000............. $21,344............. $21,780. each violation of the Safety 30165(a)(1), Act. 30165(a)(3). Maximum penalty amount for a 49 U.S.C. 105,000,000......... 106,717,800......... 108,895,910. related series of violations 30165(a)(1), of the Safety Act. 30165(a)(3). Maximum penalty per school 49 U.S.C. 11,940.............. 12,135.............. 12,383. bus related violation of the 30165(a)(2)(A). Safety Act. Maximum penalty amount for a 49 U.S.C. 17,909,550.......... 18,202,550.......... 18,574,064. series of school bus related 30165(a)(2)(B). violations of the Safety Act. Maximum penalty per violation 49 U.S.C. 5,141............... 5,225............... 5,332. for filing false or 30165(a)(4). misleading reports. Maximum penalty amount for a 49 U.S.C. 1,028,190........... 1,045,011........... 1,066,340. series of violations related 30165(a)(4). to filing false or misleading reports. Maximum penalty amount for 49 U.S.C. 30505 1,677............... 1,704............... 1,739. each violation of the reporting requirements related to maintaining the National Motor Vehicle Title Information System. Maximum penalty amount for 49 U.S.C. 2,750............... 2,795............... 2,852. each violation of a bumper 32507(a). standard under the Motor Vehicle Information and Cost Savings Act (Pub. L. 92-513, 86 Stat. 953, (1972)). Maximum penalty amount for a 49 U.S.C. 3,062,500........... 3,112,603........... 3,176,131. series of violations of a 32507(a). bumper standard under the Motor Vehicle Information and Cost Savings Act (Pub. L. 92-513, 86 Stat. 953, (1972)). Maximum penalty amount for 49 U.S.C. 2,750............... 2,795............... 2,852. each violation of 49 U.S.C. 32308(b). 32308(a) related to providing information on crashworthiness and damage susceptibility. Maximum penalty amount for a 49 U.S.C. 1,500,000........... 1,524,540........... 1,555,656. series of violations of 49 32308(b). U.S.C. 32308(a) related to providing information on crashworthiness and damage susceptibility. [[Page 60736]] Maximum penalty for each 49 U.S.C. 56,917.............. 57,848.............. 59,029. violation related to the 32308(c). tire fuel efficiency information program. Maximum civil penalty for 49 U.S.C. 32309 1,677............... 1,704............... 1,739. 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 49 U.S.C. 32709 10,281.............. 10,450.............. 10,663. violation related to odometer tampering and disclosure. Maximum penalty amount for a 49 U.S.C. 32709 1,028,190........... 1,045,011........... 1,066,340. related series of violations related to odometer tampering and disclosure. Maximum penalty amount per 49 U.S.C. 32710 10,281.............. 10,450.............. Three times actual violation related to damages or $10,663, odometer tampering and whichever is disclosure with intent to greater. defraud. Maximum penalty amount for 49 U.S.C. 2,259............... 2,296............... 2,343. each violation of the Motor 33115(a). Vehicle Theft Law Enforcement Act of 1984 (Vehicle Theft Act), sec. 608, Public Law 98-547, 98 Stat. 2762 (1984). Maximum penalty amount for a 49 U.S.C. 564,668............. 573,906............. 585,619. related series of violations 33115(a). of the Motor Vehicle Theft Law Enforcement Act of 1984 (Vehicle Theft Act), sec. 608, Public Law 98-547, 98 Stat. 2762 (1984). Maximum civil penalty for 49 U.S.C. 167,728 per day..... 170,472 per day..... 173,951 per day. violations of the Anti-Car 33115(b). Theft Act (Pub. L. 102-519, 106 Stat. 3393 (1992)) related to operation of a chop shop. Maximum civil penalty for a 49 U.S.C. 32902 39,391.............. 40,035.............. 40,852. violation under the medium- and heavy-duty vehicle fuel efficiency program. ---------------------------------------------------------------------------------------------------------------- D. FMCSA 2018 Annual Adjustment FMCSA's civil penalties affected by this rule are all located in Appendices A and B to 49 CFR part 386. The 2018 adjustments to these civil penalties are summarized in the chart below. ---------------------------------------------------------------------------------------------------------------- New penalty Description Citation Existing penalty (existing penalty x 1.02041) ---------------------------------------------------------------------------------------------------------------- Appendix A II Subpoena..................... 49 U.S.C. 525................ $1,045 $1,066 Appendix A II Subpoena..................... 49 U.S.C. 525................ 10,450 10,663 Appendix A IV (a) Out-of-service order 49 U.S.C. 521(b)(7).......... 1,811 1,848 (operation of CMV by driver). Appendix A IV (b) Out-of-service order 49 U.S.C. 521(b)(7))......... 18,107 18,477 (requiring or permitting operation of CMV by driver). Appendix A IV (c) Out-of-service order 49 U.S.C. 521(b)(7).......... 1,811 1,848 (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).......... 18,107 18,477 (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)....... 906 924 (failure to return written certification of correction). Appendix A IV (g) Out-of-service order 49 U.S.C. 521(b)(2)(F)....... 26,126 26,659 (failure to cease operations as ordered). Appendix A IV (h) Out-of-service order 49 U.S.C. 521(b)(7).......... 22,957 23,426 (operating in violation of order). Appendix A IV (i) Out-of-service order 49 U.S.C. 521(b)(2)(A) and 14,739 15,040 (conducting operations during suspension (b)(7)). or revocation for failure to pay penalties). Appendix A IV (j) (conducting operations 49 U.S.C. 521(b)(7).......... 22,957 23,426 during suspension or revocation). Appendix B (a)(1) Recordkeeping--maximum 49 U.S.C. 521(b)(2)(B)(i).... 1,214 1,239 penalty per day. Appendix B (a)(1) Recordkeeping--maximum 49 U.S.C. 521(b)(2)(B)(i).... 12,135 12,383 total penalty. Appendix B (a)(2) Knowing falsification of 49 U.S.C. 521(b)(2)(B)(ii)... 12,135 12,383 records. Appendix B (a)(3) Non-recordkeeping 49 U.S.C. 521(b)(2)(A)....... 14,739 15,040 violations. Appendix B (a)(4) Non-recordkeeping 49 U.S.C. 521(b)(2)(A)....... 3,685 3,760 violations by drivers. Appendix B (a)(5) Violation of 49 CFR 392.5 49 U.S.C. 31310(i)(2)(A)..... 3,034 3,096 (first conviction). Appendix B (a)(5) Violation of 49 CFR 392.5 49 U.S.C. 31310(i)(2)(A)..... 6,068 6,192 (second or subsequent conviction). Appendix B (b) Commercial driver's license 49 U.S.C. 521(b)(2)(C)....... 5,479 5,591 (CDL) violations. Appendix B (b)(1): Special penalties 49 U.S.C. 31310(i)(2)(A)..... 3,034 3,096 pertaining to violation of out-of-service orders (first conviction). [[Page 60737]] Appendix B (b)(1) Special penalties 49 U.S.C. 31310(i)(2)(A)..... 6,068 6,192 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)....... 5,479 5,591 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)..... 30,337 30,956 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)..... 15,727 16,048 pertaining to railroad-highway grade crossing violations. Appendix B (d) Financial responsibility 49 U.S.C. 31138(d)(1), 16,169 16,499 violations. 31139(g)(1). Appendix B (e)(1) Violations of Hazardous 49 U.S.C. 5123(a)(1)......... 78,376 79,976 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)......... 471 481 Materials Regulations (HMRs) and Safety Permitting Regulations (training)--minimum penalty. Appendix B (e)(2): Violations of Hazardous 49 U.S.C. 5123(a)(1)......... 78,376 79,976 Materials Regulations (HMRs) and Safety Permitting Regulations (training)--maximum penalty. Appendix B (e)(3) Violations of Hazardous 49 U.S.C. 5123(a)(1)......... 78,376 79,976 Materials Regulations (HMRs) and Safety Permitting Regulations (packaging or container). Appendix B (e)(4): Violations of Hazardous 49 U.S.C. 5123(a)(1)......... 78,376 79,976 Materials Regulations (HMRs) and Safety Permitting Regulations (compliance with FMCSRs). Appendix B (e)(5) Violations of Hazardous 49 U.S.C. 5123(a)(2)......... 182,877 186,610 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)....... 26,126 26,659 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)......... 78,376 79,976 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)......... 182,877 186,610 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)........... 10,450 10,663 commercial regulations (CR) (property carriers). Appendix B (g)(2) Violations of the CRs 49 U.S.C. 14916(c)........... 10,450 10,663 (brokers). Appendix B (g)(3) Violations of the CRs 49 U.S.C. 14901(a)........... 26,126 26,659 (passenger carriers). Appendix B (g)(4) Violations of the CRs 49 U.S.C. 14901(a)........... 10,450 10,663 (foreign motor carriers, foreign motor private carriers). Appendix B (g)(5) Violations of the CRs 49 U.S.C. 14901 note......... 14,371 14,664 (foreign motor carriers, foreign motor private carriers before implementation of North American Free Trade Agreement land transportation provisions)--maximum penalty for intentional violation. Appendix B (g)(5) Violations of the CRs 49 U.S.C. 14901 note......... 35,929 36,662 (foreign motor carriers, foreign motor private carriers before implementation of North American Free Trade Agreement land transportation provisions)--maximum penalty for a pattern of intentional violations. Appendix B (g)(6) Violations of the CRs 49 U.S.C. 14901(b)........... 20,900 21,327 (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)........... 41,801 42,654 (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)....... 1,572 1,604 (HHG carrier or freight forwarder, or their receiver or trustee). Appendix B (g)(8) Violation of the CRs 49 U.S.C. 14901(e)........... 3,146 3,210 (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)........... 7,864 8,025 (weight of HHG shipment, charging for services) subsequent violation. Appendix B (g)(10) Tariff violations....... 49 U.S.C. 13702, 14903....... 157,274 160,484 Appendix B (g)(11) Additional tariff 49 U.S.C. 14904(a)........... 314 320 violations (rebates or concessions)--first violation. Appendix B (g)(11) Additional tariff 49 U.S.C. 14904(a)........... 393 401 violations (rebates or concessions)-- subsequent violations. Appendix B (g)(12): Tariff violations 49 U.S.C. 14904(b)(1)........ 787 803 (freight forwarders)--maximum penalty for first violation. Appendix B (g)(12): Tariff violations 49 U.S.C. 14904(b)(1)........ 3,146 3,210 (freight forwarders)--maximum penalty for subsequent violations. [[Page 60738]] Appendix B (g)(13): Service from freight 49 U.S.C. 14904(b)(2)........ 787 803 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)........ 3,146 3,210 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.............. 15,727 16,048 loading and unloading motor vehicles. Appendix B (g)(16): Reporting and 49 U.S.C. 14901.............. 1,045 1,066 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.............. 7,864 8,025 recordkeeping under 49 U.S.C. subtitle IV, part B--maximum penalty. Appendix B (g)(17): Unauthorized disclosure 49 U.S.C. 14908.............. 3,146 3,210 of information. Appendix B (g)(18): Violation of 49 U.S.C. 49 U.S.C. 14910.............. 787 803 subtitle IV, part B, or condition of registration. Appendix B (g)(21)(i): Knowingly and 49 U.S.C. 14905.............. 15,727 16,048 willfully fails to deliver or unload HHG at destination. Appendix B (g)(22): HHG broker estimate 49 U.S.C. 14901(d)(2)........ 12,135 12,383 before entering into an agreement with a motor carrier. Appendix B (g)(23): HHG transportation or 49 U.S.C. 14901 (d)(3)....... 30,337 30,956 broker services--registration requirement. Appendix B (h): Copying of records and 49 U.S.C. 521(b)(2)(E)....... 1,214 1,239 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)....... 12,135 12,383 access to equipment, lands, and buildings-- maximum total penalty. Appendix B (i)(1): Evasion of regulations 49 U.S.C. 524................ 2,090 2,133 under 49 U.S.C. ch. 5, 51, subchapter III of 311 (except 31138 and 31139), 31302- 31304, 31305(b), 31310(g)(1)(A), 31502-- minimum penalty for first violation. Appendix B (i)(1): Evasion of regulations 49 U.S.C. 524................ 5,225 5,332 under 49 U.S.C. ch. 5, 51, subchapter III of 311 (except 31138 and 31139), 31302- 31304, 31305(b), 31310(g)(1)(A), 31502-- maximum penalty for first violation. Appendix B (i)(1): Evasion of regulations 49 U.S.C. 524................ 2,612 2,665 under 49 U.S.C. ch. 5, 51, subchapter III of 311 (except 31138 and 31139), 31302- 31304, 31305(b), 31310(g)(1)(A), 31502-- minimum penalty for subsequent violation(s). Appendix B (i)(1): Evasion of regulations 49 U.S.C. 524................ 7,837 7,997 under 49 U.S.C. ch. 5, 51, subchapter III of 311 (except 31138 and 31139), 31302- 31304, 31305(b), 31310(g)(1)(A), 31502-- maximum penalty for subsequent violation(s). Appendix B (i)(2): Evasion of regulations 49 U.S.C. 14906.............. 2,090 2,133 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.............. 5,225 5,332 under 49 U.S.C. subtitle IV, part B-- minimum penalty for subsequent violation(s). ---------------------------------------------------------------------------------------------------------------- E. FRA 2018 Annual Adjustment FRA's 2018 civil penalty adjustments are summarized in the chart below. ---------------------------------------------------------------------------------------------------------------- New penalty Description Citation Existing penalty (existing penalty x 1.02041) ---------------------------------------------------------------------------------------------------------------- Minimum rail safety penalty................ 49 U.S.C. ch. 213............ $853 $870 Ordinary maximum rail safety penalty....... 49 U.S.C. ch. 213............ 27,904 28,474 Maximum penalty for an aggravated rail 49 U.S.C. ch. 213............ 111,616 113,894 safety violation. Minimum penalty for hazardous materials 49 U.S.C. 5123............... 471 481 training violations. Maximum penalty for ordinary hazardous 49 U.S.C. 5123............... 78,376 79,976 materials violations. Maximum penalty for aggravated hazardous 49 U.S.C. 5123............... 182,877 186,610 materials violations. ---------------------------------------------------------------------------------------------------------------- F. PHMSA 2018 Annual Adjustment PHMSA's 2018 civil penalty adjustments are summarized in the chart below. [[Page 60739]] ---------------------------------------------------------------------------------------------------------------- New penalty Description Citation Existing penalty (existing penalty x 1.02041) ---------------------------------------------------------------------------------------------------------------- Maximum penalty for hazardous materials 49 U.S.C. 5123............... $78,376 $79,976 violation. Maximum penalty for hazardous materials 49 U.S.C. 5123............... 182,877 186,610 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............... 471 481 training violations. Maximum penalty for each pipeline safety 49 U.S.C. 60122(a)(1)........ 209,002 213,268 violation. Maximum penalty for a related series of 49 U.S.C. 60122(a)(1)........ 2,090,022 2,132,679 pipeline safety violations. Maximum penalty for liquefied natural gas 49 U.S.C. 60122(a)(2)........ 76,352 77,910 pipeline safety violation. Maximum penalty for discrimination against 49 U.S.C. 60122(a)(3)........ 1,214 1,239 employees providing pipeline safety information. ---------------------------------------------------------------------------------------------------------------- G. MARAD 2018 Annual Adjustment MARAD's 2018 civil penalty adjustments are summarized in the chart below. ---------------------------------------------------------------------------------------------------------------- New penalty Description Citation Existing penalty (existing penalty x 1.02041) ---------------------------------------------------------------------------------------------------------------- Maximum civil penalty for a single 46 U.S.C. 31309.............. $20,111 $20,521 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 46 U.S.C. 31330.............. 50,276 51,302 violation of 46 U.S.C. 31329 as it relates to the court sales of documented vessels. Maximum civil penalty for a single 46 U.S.C. 56101(e)........... 19,246 19,639 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 46 U.S.C. 50113(b)........... 127 130 an AMVER report. Maximum civil penalty for violating 50 U.S.C. 4513............... 25,409 25,928 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.............. 147,396 150,404 applying for or renewing a vessel's fishery endorsement. ---------------------------------------------------------------------------------------------------------------- H. SLS 2018 Annual Adjustment SLS' 2018 civil penalty adjustment is as follows: ---------------------------------------------------------------------------------------------------------------- New penalty Description Citation Existing penalty (existing penalty x 1.02041) ---------------------------------------------------------------------------------------------------------------- Maximum civil penalty for each violation 33 U.S.C. 1232.............. $90,063 $91,901 of the Seaway Rules and Regulations at 33 CFR part 401. ---------------------------------------------------------------------------------------------------------------- IV. Conforming Change to 49 CFR 578.5 Currently, 49 CFR 578.5 specifies that the NHTSA Administrator will review the amount of civil penalties set forth in 49 CFR part 578 at least once every four years and, if appropriate, adjust them by rule. Since this no longer reflects the law, NHTSA is updating this provision to conform to the 2015 Act's requirement of annual inflationary adjustments to civil penalty amounts. Regulatory Analysis and Notices A. Executive Orders 12866 and 13563 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 and 13563 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).\4\ The Small Business Administration's A Guide for Government Agencies: How to Comply with the Regulatory Flexibility Act (2012), explains that: --------------------------------------------------------------------------- \4\ 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 APA or any rule of general applicability governing federal grants to state [[Page 60740]] 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 the Office of Management and Budget. F. National Environmental Policy Act The Department has analyzed the environmental impacts of this final rule pursuan
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