# Revisions to Civil Penalty Amounts

- **operation:** document
- **citation:** 84 FR 37059
- **title:** Revisions to Civil Penalty Amounts
- **source type:** rulemaking
- **agency:** National Highway Traffic Safety Administration
- **status:** historical
- **official:** true
- **published on:** 2019-07-31
- **effective on:** 2019-07-31
- **summary:** In accordance with the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, this final rule provides the 2019 inflation adjustment to civil penalty amounts that may be imposed for violations of certain DOT regulations.
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Federal Register, Volume 84 Issue 147 (Wednesday, July 31, 2019) [Federal Register Volume 84, Number 147 (Wednesday, July 31, 2019)] [Rules and Regulations] [Pages 37059-37079] From the Federal Register Online via the Government Publishing Office [ www.gpo.gov ] [FR Doc No: 2019-14101] ======================================================================= ----------------------------------------------------------------------- DEPARTMENT OF TRANSPORTATION Federal Aviation Administration 14 CFR Parts 13 and 406 Office of the Secretary 14 CFR Part 383 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, 270, and 272 Federal Motor Carrier Safety Administration 49 CFR Part 386 National Highway Traffic Safety Administration 49 CFR Part 578 RIN 2105-AE80 Revisions to Civil Penalty Amounts AGENCY: Department of Transportation. ACTION: Final rule. ----------------------------------------------------------------------- SUMMARY: In accordance with the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, this final rule provides the 2019 inflation adjustment to civil penalty amounts that may be imposed for violations of certain DOT regulations. DATES: Effective July 31, 2019. 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] . [[Page 37060]] 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 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 14, 2018, OMB released this required guidance, in OMB Memorandum M-19-04, which provides instructions on how to calculate the 2019 annual adjustment. To derive the 2019 adjustment, the Department must multiply the maximum or minimum penalty amount by the percent change between the October 2018 Consumer Price Index for All Urban Consumers (CPI-U) and the October 2017 CPI-U. In this case, as explained in OMB Memorandum M-19- 04, the percent change between the October 2018 CPI-U and the October 2017 CPI-U is 1.02522. --------------------------------------------------------------------------- \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. 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 2019 Adjustments OST's 2019 civil penalty adjustments are summarized in the chart below. ---------------------------------------------------------------------------------------------------------------- New penalty (existing Description Citation Existing penalty penalty x 1.02522) ---------------------------------------------------------------------------------------------------------------- General civil penalty for violations of 49 U.S.C. 46301(a)(1)........ $33,333 $34,174 certain aviation economic regulations and statutes. General civil penalty for violations of 49 U.S.C. 46301(a)(1)........ 1,466 1,503 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)..... 13,333 13,669 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)..... 6,666 6,834 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)..... 3,334 3,418 businesses for violations of 49 U.S.C. 41712 or consumer protection rules and orders issued pursuant to that provision. ---------------------------------------------------------------------------------------------------------------- B. FAA 2019 Adjustments The FAA's 2019 adjustments are summarized in the chart below. ---------------------------------------------------------------------------------------------------------------- New penalty Description Citation Existing penalty (existing penalty x 1.02522) ---------------------------------------------------------------------------------------------------------------- Violation of hazardous materials 49 U.S.C. 5123(a)(1)......... $79,976 $81,993 transportation law. [[Page 37061]] Violation of hazardous materials 49 U.S.C. 5123(a)(2)......... 186,610 191,316 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)......... 481 493 materials transportation law relating to training. Maximum penalty for violation of hazardous 49 U.S.C. 5123(a)(3)......... 79,976 81,993 materials transportation law relating to training. Violation by a person other than an 49 U.S.C. 46301(a)(1)........ 33,333 34,174 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)........ 1,466 1,501 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)........ 1,466 1,501 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)..... 13,333 13,669 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).. 13,333 13,669 business concern related to the transportation of hazardous materials. Violation by an individual or small 49 U.S.C. 46301(a)(5)(B)(ii). 13,333 13,669 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) 13,333 13,669 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). 13,333 13,669 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)........... 4,280 4,388 Knowingly providing false information about 49 U.S.C. 46302.............. 23,246 23,832 alleged violation involving the special aircraft jurisdiction of the United States. Interference with cabin or flight crew..... 49 U.S.C. 46318.............. \2\ 35,000 35,883 Permanent closure of an airport without 49 U.S.C. 46319.............. 13,333 13,669 providing sufficient notice. Operating an unmanned aircraft and in so 49 U.S.C. 46320.............. 20,408 20,923 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)........... 234,247 240,155 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. --------------------------------------------------------------------------- \2\ Congress amended Sec. 46318 on October 5, 2018, to increase the statutory maximum from $25,000 to $35,000. FAA Reauthorization Act of 2018, Public Law 115-254, section 339, 132 Stat. 3186, 3282. Accordingly, the inflation adjustment is being applied to this statutory maximum. --------------------------------------------------------------------------- C. NHTSA 2019 Adjustments NHTSA's 2019 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. ---------------------------------------------------------------------------------------------------------------- New penalty Description Citation Existing penalty (existing penalty x 1.02522) ---------------------------------------------------------------------------------------------------------------- Maximum penalty amount for each violation 49 U.S.C. 30165(a)(1), $21,780 $22,329 of the Safety Act. 30165(a)(3). [[Page 37062]] Maximum penalty amount for a related series 49 U.S.C. 30165(a)(1), 108,895,910 111,642,265 of violations of the Safety Act. 30165(a)(3). Maximum penalty per school bus related 49 U.S.C. 30165(a)(2)(A)..... 12,383 12,695 violation of the Safety Act. Maximum penalty amount for a series of 49 U.S.C. 30165(a)(2)(B)..... 18,574,064 19,042,502 school bus related violations of the Safety Act. Maximum penalty per violation for filing 49 U.S.C. 30165(a)(4)........ 5,332 5,466 false or misleading reports. Maximum penalty amount for a series of 49 U.S.C. 30165(a)(4)........ 1,066,340 1,093,233 violations related to filing false or misleading reports. Maximum penalty amount for each violation 49 U.S.C. 30505.............. 1,739 1,783 of the reporting requirements related to maintaining the National Motor Vehicle Title Information System. Maximum penalty amount for each violation 49 U.S.C. 32507(a)........... 2,852 2,924 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 49 U.S.C. 32507(a)........... 3,176,131 3,256,233 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 49 U.S.C. 32308(b)........... 2,852 2,924 of 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)........... 1,555,656 1,594,890 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)........... 59,029 60,518 to the tire fuel efficiency information program. Maximum civil penalty for willfully failing 49 U.S.C. 32309.............. 1,739 1,783 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 49 U.S.C. 32709.............. 10,663 10,932 related to odometer tampering and disclosure. Maximum penalty amount for a related series 49 U.S.C. 32709.............. 1,066,340 1,093,233 of violations related to odometer tampering and disclosure. Maximum penalty amount per violation 49 U.S.C. 32710.............. 10,663 10,932 related to odometer tampering and disclosure with intent to defraud. Maximum penalty amount for each violation 49 U.S.C. 33115(a)........... 2,343 2,402 of the Motor 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 related series 49 U.S.C. 33115(a)........... 585,619 600,388 of violations 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 violations of the 49 U.S.C. 33115(b)........... 173,951 178,338 Anti-Car Theft Act (Pub. L. 102-519, 106 Stat. 3393 (1992)) related to operation of a chop shop. Maximum civil penalty for a violation under 49 U.S.C. 32902.............. 40,852 41,882 the medium- and heavy-duty vehicle fuel efficiency program. ---------------------------------------------------------------------------------------------------------------- D. FMCSA 2019 Adjustments FMCSA's civil penalties affected by this rule are all located in Appendices A and B to 49 CFR part 386. The 2019 adjustments to these civil penalties are summarized in the chart below. ---------------------------------------------------------------------------------------------------------------- New penalty Description Citation Existing penalty (existing penalty x 1.02522) ---------------------------------------------------------------------------------------------------------------- Appendix A II Subpoena..................... 49 U.S.C. 525................ $1,066 $1,093 Appendix A II Subpoena..................... 49 U.S.C. 525................ 10,663 10,932 Appendix A IV (a) Out-of-service order 49 U.S.C. 521(b)(7).......... 1,848 1,895 (operation of CMV by driver). Appendix A IV (b) Out-of-service order 49 U.S.C. 521(b)(7))......... 18,477 18,943 (requiring or permitting operation of CMV by driver). Appendix A IV (c) Out-of-service order 49 U.S.C. 521(b)(7).......... 1,848 1,895 (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).......... 18,477 18,943 (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)....... 924 947 (failure to return written certification of correction). [[Page 37063]] Appendix A IV (g) Out-of-service order 49 U.S.C. 521(b)(2)(F)....... 26,659 27,331 (failure to cease operations as ordered). Appendix A IV (h) Out-of-service order 49 U.S.C. 521(b)(7).......... 23,426 24,017 (operating in violation of order). Appendix A IV (i) Out-of-service order 49 U.S.C. 521(b)(2)(A) and 15,040 15,419 (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).......... 23,426 24,017 during suspension or revocation). Appendix B (a)(1) Recordkeeping--maximum 49 U.S.C. 521(b)(2)(B)(i).... 1,239 1,270 penalty per day. Appendix B (a)(1) Recordkeeping--maximum 49 U.S.C. 521(b)(2)(B)(i).... 12,383 12,695 total penalty. Appendix B (a)(2) Knowing falsification of 49 U.S.C. 521(b)(2)(B)(ii)... 12,383 12,695 records. Appendix B (a)(3) Non-recordkeeping 49 U.S.C. 521(b)(2)(A)....... 15,040 15,419 violations. Appendix B (a)(4) Non-recordkeeping 49 U.S.C. 521(b)(2)(A)....... 3,760 3,855 violations by drivers. Appendix B (a)(5) Violation of 49 CFR 392.5 49 U.S.C. 31310(i)(2)(A)..... 3,096 3,174 (first conviction). Appendix B (a)(5) Violation of 49 CFR 392.5 49 U.S.C. 31310(i)(2)(A)..... 6,192 6,348 (second or subsequent conviction). Appendix B (b) Commercial driver's license 49 U.S.C. 521(b)(2)(C)....... 5,591 5,732 (CDL) violations. Appendix B (b)(1): Special penalties 49 U.S.C. 31310(i)(2)(A)..... 3,096 3,174 pertaining to violation of out-of-service orders (first conviction). Appendix B (b)(1) Special penalties 49 U.S.C. 31310(i)(2)(A)..... 6,192 6,348 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)....... 5,591 5,732 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)..... 30,956 31,737 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)..... 16,048 16,453 pertaining to railroad-highway grade crossing violations. Appendix B (d) Financial responsibility 49 U.S.C. 31138(d)(1), 16,499 16,915 violations. 31139(g)(1). Appendix B (e)(1) Violations of Hazardous 49 U.S.C. 5123(a)(1)......... 79,976 81,993 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)......... 481 493 Materials Regulations (HMRs) and Safety Permitting Regulations (training)--minimum penalty. Appendix B (e)(2): Violations of Hazardous 49 U.S.C. 5123(a)(1)......... 79,976 81,993 Materials Regulations (HMRs) and Safety Permitting Regulations (training)--maximum penalty. Appendix B (e)(3) Violations of Hazardous 49 U.S.C. 5123(a)(1)......... 79,976 81,993 Materials Regulations (HMRs) and Safety Permitting Regulations (packaging or container). Appendix B (e)(4): Violations of Hazardous 49 U.S.C. 5123(a)(1)......... 79,976 81,993 Materials Regulations (HMRs) and Safety Permitting Regulations (compliance with FMCSRs). Appendix B (e)(5) Violations of Hazardous 49 U.S.C. 5123(a)(2)......... 186,610 191,316 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)....... 26,659 27,331 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)......... 79,976 81,993 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)......... 186,610 191,316 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)........... 10,663 10,932 commercial regulations (CR) (property carriers). Appendix B (g)(2) Violations of the CRs 49 U.S.C. 14916(c)........... 10,663 10,932 (brokers). Appendix B (g)(3) Violations of the CRs 49 U.S.C. 14901(a)........... 26,659 27,331 (passenger carriers). [[Page 37064]] Appendix B (g)(4) Violations of the CRs 49 U.S.C. 14901(a)........... 10,663 10,932 (foreign motor carriers, foreign motor private carriers). Appendix B (g)(5) Violations of the CRs 49 U.S.C. 14901 note......... 14,664 15,034 (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......... 36,662 37,587 (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)........... 21,327 21,865 (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)........... 42,654 43,730 (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)....... 1,604 1,644 (HHG carrier or freight forwarder, or their receiver or trustee). Appendix B (g)(8) Violation of the CRs 49 U.S.C. 14901(e)........... 3,210 3,291 (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)........... 8,025 8,227 (weight of HHG shipment, charging for services) subsequent violation. Appendix B (g)(10) Tariff violations....... 49 U.S.C. 13702, 14903....... 160,484 164,531 Appendix B (g)(11) Additional tariff 49 U.S.C. 14904(a)........... 320 328 violations (rebates or concessions)--first violation. Appendix B (g)(11) Additional tariff 49 U.S.C. 14904(a)........... 401 411 violations (rebates or concessions)-- subsequent violations. Appendix B (g)(12): Tariff violations 49 U.S.C. 14904(b)(1)........ 803 823 (freight forwarders)--maximum penalty for first violation. Appendix B (g)(12): Tariff violations 49 U.S.C. 14904(b)(1)........ 3,210 3,291 (freight forwarders)--maximum penalty for subsequent violations. Appendix B (g)(13): Service from freight 49 U.S.C. 14904(b)(2)........ 803 823 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)........ 3,210 3,291 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.............. 16,048 16,453 loading and unloading motor vehicles. Appendix B (g)(16): Reporting and 49 U.S.C. 14901.............. 1,066 1,093 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.............. 8,025 8,227 recordkeeping under 49 U.S.C. subtitle IV, part B--maximum penalty. Appendix B (g)(17): Unauthorized disclosure 49 U.S.C. 14908.............. 3,210 3,291 of information. Appendix B (g)(18): Violation of 49 U.S.C. 49 U.S.C. 14910.............. 803 823 subtitle IV, part B, or condition of registration. Appendix B (g)(21)(i): Knowingly and 49 U.S.C. 14905.............. 16,048 16,453 willfully fails to deliver or unload HHG at destination. Appendix B (g)(22): HHG broker estimate 49 U.S.C. 14901(d)(2)........ 12,383 12,695 before entering into an agreement with a motor carrier. Appendix B (g)(23): HHG transportation or 49 U.S.C. 14901 (d)(3)....... 30,956 31,737 broker services--registration requirement. Appendix B (h): Copying of records and 49 U.S.C. 521(b)(2)(E)....... 1,239 1,270 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)....... 12,383 12,695 access to equipment, lands, and buildings-- maximum total penalty. Appendix B (i)(1): Evasion of regulations 49 U.S.C. 524................ 2,133 2,187 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................ 5,332 5,466 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................ 2,665 2,732 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). [[Page 37065]] Appendix B (i)(1): Evasion of regulations 49 U.S.C. 524................ 7,997 8,199 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.............. 2,133 2,187 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.............. 5,332 5,466 under 49 U.S.C. subtitle IV, part B-- minimum penalty for subsequent violation(s). ---------------------------------------------------------------------------------------------------------------- E. FRA 2019 Adjustments FRA's 2019 civil penalty adjustments are summarized in the chart below. ---------------------------------------------------------------------------------------------------------------- New penalty Description Citation Existing penalty (existing penalty x 1.02522) ---------------------------------------------------------------------------------------------------------------- Minimum rail safety penalty................ 49 U.S.C. ch. 213............ $870 $892 Ordinary maximum rail safety penalty....... 49 U.S.C. ch. 213............ 28,474 29,192 Maximum penalty for an aggravated rail 49 U.S.C. ch. 213............ 113,894 116,766 safety violation. Minimum penalty for hazardous materials 49 U.S.C. 5123............... 481 493 training violations. Maximum penalty for ordinary hazardous 49 U.S.C. 5123............... 79,976 81,993 materials violations. Maximum penalty for aggravated hazardous 49 U.S.C. 5123............... 186,610 191,316 materials violations. ---------------------------------------------------------------------------------------------------------------- F. PHMSA 2019 Adjustments PHMSA's 2019 civil penalty adjustments are summarized in the chart below. ---------------------------------------------------------------------------------------------------------------- New penalty Description Citation Existing penalty (existing penalty x 1.02522) ---------------------------------------------------------------------------------------------------------------- Maximum penalty for hazardous materials 49 U.S.C. 5123............... $79,976 $81,993 violation. Maximum penalty for hazardous materials 49 U.S.C. 5123............... 186,610 191,316 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............... 481 493 training violations. Maximum penalty for each pipeline safety 49 U.S.C. 60122(a)(1)........ 213,268 218,647 violation. Maximum penalty for a related series of 49 U.S.C. 60122(a)(1)........ 2,132,679 2,186,465 pipeline safety violations. Maximum penalty for liquefied natural gas 49 U.S.C. 60122(a)(2)........ 77,910 79,875 pipeline safety violation. Maximum penalty for discrimination against 49 U.S.C. 60122(a)(3)........ 1,239 1,270 employees providing pipeline safety information. ---------------------------------------------------------------------------------------------------------------- G. MARAD 2019 Adjustments MARAD's 2019 civil penalty adjustments are summarized in the chart below. ---------------------------------------------------------------------------------------------------------------- New penalty Description Citation Existing penalty (existing penalty x 1.02522) ---------------------------------------------------------------------------------------------------------------- Maximum civil penalty for a single 46 U.S.C. 31309.............. $20,521 $21,038 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. [[Page 37066]] Maximum civil penalty for a single 46 U.S.C. 31330.............. 51,302 52,596 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)........... 19,639 21,134 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)........... 130 133 an AMVER report. Maximum civil penalty for violating 50 U.S.C. 4513............... 25,928 26,582 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.............. 150,404 154,197 applying for or renewing a vessel's fishery endorsement. ---------------------------------------------------------------------------------------------------------------- H. SLSDC 2019 Adjustments SLSDC's 2019 civil penalty adjustment is as follows: ---------------------------------------------------------------------------------------------------------------- New penalty Description Citation Existing penalty (existing penalty x 1.02522) ---------------------------------------------------------------------------------------------------------------- Maximum civil penalty for each violation of 33 U.S.C. 1232............... $91,901 $94,219 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).\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 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 [[Page 37067]] 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, 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 Part 216 Penalties, Railroad safety, Reporting and recordkeeping requirements. 49 CFR Part 217 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 sa
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