# Revisions to Civil Penalty Amounts

- **operation:** document
- **citation:** 86 FR 1745
- **title:** Revisions to Civil Penalty Amounts
- **source type:** rulemaking
- **agency:** National Highway Traffic Safety Administration
- **status:** historical
- **official:** true
- **published on:** 2021-01-11
- **effective on:** 2021-01-11
- **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.
- **machine formats:** - **json:** https://regulus.evalyn.ai/document/federal-register-2020-25236.json
- **markdown:** https://regulus.evalyn.ai/document/federal-register-2020-25236.md
- **app url:** https://regulus.evalyn.ai/document/federal-register-2020-25236
- **source url:** https://www.federalregister.gov/documents/2021/01/11/2020-25236/revisions-to-civil-penalty-amounts
**body:**

Federal Register, Volume 86 Issue 6 (Monday, January 11, 2021) [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 
- **truncated:** true
- **body characters:** 111410