# Civil Penalty Amounts

- **operation:** document
- **citation:** 86 FR 23241
- **title:** Civil Penalty Amounts
- **source type:** rulemaking
- **agency:** National Highway Traffic Safety Administration
- **status:** historical
- **official:** true
- **published on:** 2021-05-03
- **effective on:** 2021-05-03
- **summary:** In accordance with the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, this final rule provides the 2021 inflation adjustment to civil penalty amounts that may be imposed for violations of certain DOT regulations. In addition, this rule amends the Federal Aviation Administration regulations to set forth the new civil penalties established in Division V, Title I of the Consolidated Appropriations Act, 2021. The rule also corrects a rounding error in an FAA penalty.
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Federal Register, Volume 86 Issue 83 (Monday, May 3, 2021) [Federal Register Volume 86, Number 83 (Monday, May 3, 2021)] [Rules and Regulations] [Pages 23241-23260] From the Federal Register Online via the Government Publishing Office [ www.gpo.gov ] [FR Doc No: 2021-08224] ======================================================================= ----------------------------------------------------------------------- DEPARTMENT OF TRANSPORTATION Federal Aviation Administration 14 CFR Parts 13 and 406 Office of the Secretary 14 CFR Part 383 Great Lakes St. 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, 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-AE99 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 2021 inflation adjustment to civil penalty amounts that may be imposed for violations of certain DOT regulations. In addition, this rule amends the Federal Aviation Administration regulations to set forth the new civil penalties established in Division V, Title I of the Consolidated Appropriations Act, 2021. The rule also corrects a rounding error in an FAA penalty. DATES: Effective May 3, 2021. FOR FURTHER INFORMATION CONTACT: Elizabeth Kohl, 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 of requirements concerning certificates issued by the FAA and for interference with the duties of organization designation authorization unit members. These civil penalties were established in the Consolidated Appropriations Act, 2021, Public Law 116-260 (December 27, 2020), and are codified at 49 U.S.C. 44704 and 44742, respectively. 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 23, 2020, OMB released this required guidance, in OMB Memorandum M-21-10, which provides instructions on how to calculate the 2021 annual adjustment. To derive the 2021 adjustment, the Department must multiply the maximum or minimum penalty amount by the percent change between the October 2020 Consumer Price Index for All Urban Consumers (CPI-U) and the October 2019 CPI-U. In this case, as explained in OMB Memorandum M-21- 10, the percent change between the October 2020 CPI-U and the October 2019 CPI-U is 1.01182. --------------------------------------------------------------------------- \1\ 28 U.S.C. 2461 note. --------------------------------------------------------------------------- II. Issuance of a Final Rule 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 previously in the discussion of the authority for this rulemaking, Division V, Title I of the Consolidated Appropriations Act, 2021 provides explicit authority to assess civil penalties for violations of 49 U.S.C. 44704 and 44742. The rule also corrects a rounding error in an FAA penalty. DOT does not have discretion with regard to effectuating the updates resulting from the changes to its authority, and the mathematical correction simply fixes a de minimis error of $3 for the maximum penalty. 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. [[Page 23242]] 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 2021 Adjustments OST's 2021 civil penalty adjustments are summarized in the chart below. ---------------------------------------------------------------------------------------------------------------- New penalty (existing Description Citation Existing penalty penalty x 1.01182) ---------------------------------------------------------------------------------------------------------------- General civil penalty for violations of 49 U.S.C. 46301(a)(1)......... $34,777 $35,188 certain aviation economic regulations and statutes. General civil penalty for violations of 49 U.S.C. 46301(a)(1)......... 1,530 1,548 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)...... 13,910 14,074 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)...... 6,955 7,037 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)...... 3,478 3,519 businesses for violations of 49 U.S.C. 41712 or consumer protection rules and orders issued pursuant to that provision. ---------------------------------------------------------------------------------------------------------------- B. FAA 2021 Adjustments On December 27, 2020, a new statute amended 49 U.S.C. 44704 to add new civil penalty provisions. Subsection (d) imposes a penalty for a holder of a production certificate who knowingly presents a nonconforming aircraft for issuance of an initial airworthiness certificate.\2\ Subsection (e) allows for the assessment of a civil penalty against an applicant for or holder of a type certificate for knowing violations of Sec. 44704(e)(1)-(3).\3\ The maximum penalty amount for both of these violations is $1,000,000. In accordance with OMB Memorandum M-16-06, these penalty levels will not be adjusted because they have been in effect for less than a year. --------------------------------------------------------------------------- \2\ Public Law 116-260, 134 Stat. ----, Div. V, Title I, Section 120 (Dec. 27, 2020). \3\ Public Law 116-260, 134 Stat. ----, Div. V, Title I, Section 105(a). --------------------------------------------------------------------------- The new statute also authorized civil penalties against individuals acting on behalf of an applicant for or holder of a type certificate for knowingly making a false statement with respect to any of the matters described in Sec. 44704(e)(1)(A)-(E).\4\ Here, however, the statute used the preexisting civil penalty authority in 49 U.S.C. 46301 rather than creating a new maximum civil penalty. The adjustment of the penalties in Sec. 46301 thus covers this amendment to Sec. 44704. --------------------------------------------------------------------------- \4\ Public Law 116-260, 134 Stat. ----, Div. V, Title I, Section 105(a). --------------------------------------------------------------------------- Moreover, the new law authorized civil penalties for any supervisor of an organization designation authorization (``ODA'') holder who interferes with any ODA unit member's performance of authorized functions.\5\ This new law imposes the civil penalty under the authority of 49 U.S.C. 46301(a)(1), so the applicable maximum civil penalty is already included in the FAA's adjustments in this final rule. --------------------------------------------------------------------------- \5\ Public Law 116-260, 134 Stat. ----, Div. V, Title I, Section 107(a) (to be codified at 49 U.S.C. 44742). \6\ Note that this entry and the entry immediately below correct a rounding error from DOT's 2019 civil penalties adjustment rule. The 2020 penalty amounts are updated to $1,530 from the $1,527 specified in the 2020 adjustment. --------------------------------------------------------------------------- Other 2021 adjustments are summarized in the chart below. ---------------------------------------------------------------------------------------------------------------- New penalty (existing Description Citation Existing penalty penalty x 1.01182) ---------------------------------------------------------------------------------------------------------------- Violation of hazardous materials 49 U.S.C. 5123(a)(1).......... $83,439 $84,425 transportation law. Violation of hazardous materials 49 U.S.C. 5123(a)(2).......... 194,691 196,992 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).......... 502 508 materials transportation law relating to training. Maximum penalty for violation of hazardous 49 U.S.C. 5123(a)(3).......... 83,439 84,425 materials transportation law relating to training. Operation of an unmanned aircraft or 49 U.S.C. 44802 note.......... 25,441 25,742 unmanned aircraft system equipped or armed with a dangerous weapon. Violation by a person other than an 49 U.S.C. 46301(a)(1)......... 34,777 35,188 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)......... 1,530 1,548 under 49 U.S.C. 46301(a)(1)(A) or (B) (but not covered by 46301(a)(5)(A) or (B)) \6\. Violation by an individual or small business 49 U.S.C. 46301(a)(1)......... 1,530 1,548 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)...... 13,910 14,074 concern (except an airman serving as an airman) under 49 U.S.C. 46301(a)(5)(A)(i) or (ii). [[Page 23243]] Violation by an individual or small business 49 U.S.C. 46301(a)(5)(B)(i)... 13,910 14,074 concern related to the transportation of hazardous materials. Violation by an individual or small business 49 U.S.C. 46301(a)(5)(B)(ii).. 13,910 14,074 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). 13,910 14,074 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).. 13,910 14,074 concern of 49 U.S.C. 44725, relating to the safe disposal of life-limited aircraft parts. Individual who aims the beam of a laser 49 U.S.C. 46301 note.......... 26,614 26,929 pointer at an aircraft in the airspace jurisdiction of the United States, or at the flight path of such an aircraft. Tampering with a smoke alarm device......... 49 U.S.C. 46301(b)............ 4,465 4,518 Knowingly providing false information about 49 U.S.C. 46302............... 24,252 24,539 alleged violation involving the special aircraft jurisdiction of the United States. Interference with cabin or flight crew...... 49 U.S.C. 46318............... 36,516 36,948 Permanent closure of an airport without 49 U.S.C. 46319............... 13,910 14,074 providing sufficient notice. Operating an unmanned aircraft and in so 49 U.S.C. 46320............... 21,292 21,544 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)............ 244,391 247,280 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 violations 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 Sec. 46301(a)(1) and (a)(5) civil penalties. C. NHTSA 2021 Adjustments NHTSA's 2021 civil penalty adjustments are summarized in the chart below. ---------------------------------------------------------------------------------------------------------------- New penalty (existing Description Citation Existing penalty penalty x 1.01182 ---------------------------------------------------------------------------------------------------------------- Maximum penalty amount for each violation 49 U.S.C. 30165(a)(1), $22,723 $22,992 of: 49 U.S.C. 30112, 30115, 30117-30122, 30165(a)(3). 30123(a), 30125(c), 30127, 30141-30147, 30166 or 31137, or a regulation prescribed under any of these sections. Maximum penalty amount for a related series 49 U.S.C. 30165(a)(1), 113,611,635 114,954,525 of violations of: 49 U.S.C. 30112, 30115, 30165(a)(3). 30117-30122, 30123(a), 30125(c), 30127, 30141-30147, 30166 or 31137, or a regulation prescribed under any of these sections. Maximum penalty per school bus related 49 U.S.C. 30165(a)(2)(A)...... 12,919 13,072 violation of 49 U.S.C. 30112(a)(1) or 30112(a)(2). Maximum penalty amount for a series of 49 U.S.C. 30165(a)(2)(B)...... 19,378,412 19,607,465 school bus related violations of 49 U.S.C. 30112(a)(1) or 30112(a)(2). Maximum penalty per violation for filing 49 U.S.C. 30165(a)(4)......... 5,562 5,628 false or misleading reports. Maximum penalty amount for a series of 49 U.S.C. 30165(a)(4)......... 1,112,518 1,125,668 violations related to filing false or misleading reports. Maximum penalty amount for each violation of 49 U.S.C. 30505............... 1,814 1,835 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)............ 2,976 3,011 a bumper standard under 49 U.S.C. 32506. Maximum penalty amount for a series of 49 U.S.C. 32507(a)............ 3,313,763 3,352,932 violations of a bumper standard under 49 U.S.C. 32506. Maximum penalty amount for each violation of 49 U.S.C. 32308(b)............ 2,976 3,011 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)............ 1,623,024 1,642,208 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)............ 61,586 62,314 to the tire fuel efficiency information program. Maximum civil penalty for willfully failing 49 U.S.C. 32309............... 1,814 1,835 to affix, or failing to maintain, the label required in 49 U.S.C. 32304. [[Page 23244]] Maximum penalty amount per violation related 49 U.S.C. 32709............... 11,125 11,256 to odometer tampering and disclosure. Maximum penalty amount for a related series 49 U.S.C. 32709............... 1,112,518 1,125,668 of violations related to odometer tampering and disclosure. Maximum penalty amount per violation related 49 U.S.C. 32710............... 11,125 11,256 to odometer tampering and disclosure with intent to defraud. Maximum penalty amount for each violation of 49 U.S.C. 33115(a)............ 2,444 2,473 49 U.S.C. 33114(a)(1)-(4). Maximum penalty amount for a related series 49 U.S.C. 33115(a)............ 610,979 618,201 of violations of 49 U.S.C. 33114(a)(1)-(4). Maximum civil penalty for violations of 49 49 U.S.C. 33115(b)............ 181,484 183,629 U.S.C. 33114(a)(5). 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 2021 Adjustments FMCSA's civil penalties affected by this rule are all located in appendices A and B to 49 CFR part 386. The 2021 adjustments to these civil penalties are summarized in the chart below. ---------------------------------------------------------------------------------------------------------------- New penalty (existing Description Citation Existing penalty penalty x 1.01182) ---------------------------------------------------------------------------------------------------------------- Appendix A II Subpoena...................... 49 U.S.C. 525................. $1,112 $1,125 Appendix A II Subpoena...................... 49 U.S.C. 525................. 11,125 11,256 Appendix A IV (a) Out-of-service order 49 U.S.C. 521(b)(7)........... 1,928 1,951 (operation of CMV by driver). Appendix A IV (b) Out-of-service order 49 U.S.C. 521(b)(7)).......... 19,277 19,505 (requiring or permitting operation of CMV by driver). Appendix A IV (c) Out-of-service order 49 U.S.C. 521(b)(7)........... 1,928 1,951 (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)........... 19,277 19,505 (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)........ 964 975 (failure to return written certification of correction). Appendix A IV (g) Out-of-service order 49 U.S.C. 521(b)(2)(F)........ 27,813 28,142 (failure to cease operations as ordered). Appendix A IV (h) Out-of-service order 49 U.S.C. 521(b)(7)........... 24,441 24,730 (operating in violation of order). Appendix A IV (i) Out-of-service order 49 U.S.C. 521(b)(2)(A) and 15,691 15,876 (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)........... 24,441 24,730 during suspension or revocation). Appendix B (a)(1) Recordkeeping--maximum 49 U.S.C. 521(b)(2)(B)(i)..... 1,292 1,302 penalty per day. Appendix B (a)(1) Recordkeeping--maximum 49 U.S.C. 521(b)(2)(B)(i)..... 12,919 13,072 total penalty. Appendix B (a)(2) Knowing falsification of 49 U.S.C. 521(b)(2)(B)(ii).... 12,919 13,072 records. Appendix B (a)(3) Non-recordkeeping 49 U.S.C. 521(b)(2)(A)........ 15,691 15,876 violations. Appendix B (a)(4) Non-recordkeeping 49 U.S.C. 521(b)(2)(A)........ 3,923 3,969 violations by drivers. Appendix B (a)(5) Violation of 49 CFR 392.5 49 U.S.C. 31310(i)(2)(A)...... 3,230 3,268 (first conviction). Appendix B (a)(5) Violation of 49 CFR 392.5 49 U.S.C. 31310(i)(2)(A)...... 6,460 6,536 (second or subsequent conviction). Appendix B (b) Commercial driver's license 49 U.S.C. 521(b)(2)(C)........ 5,833 5,902 (CDL) violations. Appendix B (b)(1): Special penalties 49 U.S.C. 31310(i)(2)(A)...... 3,230 3,268 pertaining to violation of out-of-service orders (first conviction). Appendix B (b)(1) Special penalties 49 U.S.C. 31310(i)(2)(A)...... 6,460 6,536 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)........ 5,833 5,902 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)...... 32,297 32,679 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)...... 16,743 16,941 pertaining to railroad-highway grade crossing violations. Appendix B (d) Financial responsibility 49 U.S.C. 31138(d)(1), 17,213 17,416 violations. 31139(g)(1). Appendix B (e)(1) Violations of Hazardous 49 U.S.C. 5123(a)(1).......... 83,439 84,425 Materials Regulations (HMRs) and Safety Permitting Regulations (transportation or shipment of hazardous materials). [[Page 23245]] Appendix B (e)(2) Violations of Hazardous 49 U.S.C. 5123(a)(3).......... 502 508 Materials Regulations (HMRs) and Safety Permitting Regulations (training)--minimum penalty. Appendix B (e)(2): Violations of Hazardous 49 U.S.C. 5123(a)(1).......... 83,439 84,425 Materials Regulations (HMRs) and Safety Permitting Regulations (training)--maximum penalty. Appendix B (e)(3) Violations of Hazardous 49 U.S.C. 5123(a)(1).......... 83,439 84,425 Materials Regulations (HMRs) and Safety Permitting Regulations (packaging or container). Appendix B (e)(4): Violations of Hazardous 49 U.S.C. 5123(a)(1).......... 83,439 84,425 Materials Regulations (HMRs) and Safety Permitting Regulations (compliance with FMCSRs). Appendix B (e)(5) Violations of Hazardous 49 U.S.C. 5123(a)(2).......... 194,691 196,992 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)........ 27,813 28,142 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).......... 83,439 84,425 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).......... 194,691 196,992 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)............ 11,125 11,256 commercial regulations (CR) (property carriers). Appendix B (g)(2) Violations of the CRs 49 U.S.C. 14916(c)............ 11,125 11,256 (brokers). Appendix B (g)(3) Violations of the CRs 49 U.S.C. 14901(a)............ 27,813 28,142 (passenger carriers). Appendix B (g)(4) Violations of the CRs 49 U.S.C. 14901(a)............ 11,125 11,256 (foreign motor carriers, foreign motor private carriers). Appendix B (g)(5) Violations of the 49 U.S.C. 14901 note.......... 15,299 15,480 operating authority requirement (foreign motor carriers, foreign motor private carriers)--maximum penalty for intentional violation \7\. Appendix B (g)(5) Violations of the 49 U.S.C. 14901 note.......... 38,250 38,702 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)............ 22,251 22,514 (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)............ 44,501 45,027 (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)........ 1,673 1,693 (HHG carrier or freight forwarder, or their receiver or trustee). Appendix B (g)(8) Violation of the CRs 49 U.S.C. 14901(e)............ 3,349 3,389 (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)............ 8,372 8,471 (weight of HHG shipment, charging for services) subsequent violation. Appendix B (g)(10) Tariff violations........ 49 U.S.C. 13702, 14903........ 167,433 169,412 Appendix B (g)(11) Additional tariff 49 U.S.C. 14904(a)............ 334 338 violations (rebates or concessions)--first violation. Appendix B (g)(11) Additional tariff 49 U.S.C. 14904(a)............ 418 423 violations (rebates or concessions)-- subsequent violations. Appendix B (g)(12): Tariff violations 49 U.S.C. 14904(b)(1)......... 838 848 (freight forwarders)--maximum penalty for first violation. Appendix B (g)(12): Tariff violations 49 U.S.C. 14904(b)(1)......... 3,349 3,389 (freight forwarders)--maximum penalty for subsequent violations. Appendix B (g)(13): Service from freight 49 U.S.C. 14904(b)(2)......... 838 848 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)......... 3,349 3,389 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............... 16,743 16,941 loading and unloading motor vehicles. Appendix B (g)(16): Reporting and 49 U.S.C. 14901............... 1,112 1,125 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............... 8,372 8,471 recordkeeping under 49 U.S.C. subtitle IV, part B--maximum penalty. Appendix B (g)(17): Unauthorized disclosure 49 U.S.C. 14908............... 3,349 3,389 of information. Appendix B (g)(18): Violation of 49 U.S.C. 49 U.S.C. 14910............... 838 848 subtitle IV, part B, or condition of registration. Appendix B (g)(21)(i): Knowingly and 49 U.S.C. 14915............... 16,743 16,941 willfully fails to deliver or unload HHG at destination. Appendix B (g)(22): HHG broker estimate 49 U.S.C. 14901(d)(2)......... 12,919 13,072 before entering into an agreement with a motor carrier. [[Page 23246]] Appendix B (g)(23): HHG transportation or 49 U.S.C. 14901 (d)(3)........ 32,297 32,679 broker services--registration requirement. Appendix B (h): Copying of records and 49 U.S.C. 521(b)(2)(E)........ 1,292 1,307 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)........ 12,919 13,072 access to equipment, lands, and buildings-- maximum total penalty. Appendix B (i)(1): Evasion of regulations 49 U.S.C. 524................. 2,226 2,252 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................. 5,562 5,628 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................. 2,780 2,813 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................. 8,344 8,433 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............... 2,226 2,252 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............... 5,562 5,628 under 49 U.S.C. subtitle IV, part B-- minimum penalty for subsequent violation(s). ---------------------------------------------------------------------------------------------------------------- E. FRA 2021 Adjustments FRA's 2021 civil penalty adjustments are summarized in the chart below. --------------------------------------------------------------------------- \7\ Section (g)(5) was revised in the 2020 adjustment final rule to reflect the termination of the North American Free Trade Agreement and the adoption of the United States Mexico Canada Agreement (USMCA). See 86 FR 1745, 1748, n.6 (Jan. 11, 2021). ---------------------------------------------------------------------------------------------------------------- New penalty (existing Description Citation Existing penalty penalty x 1.01182) ---------------------------------------------------------------------------------------------------------------- Minimum rail safety penalty................. 49 U.S.C. ch. 213............. $908 $919 Ordinary maximum rail safety penalty........ 49 U.S.C. ch. 213............. 29,707 30,058 Maximum penalty for an aggravated rail 49 U.S.C. ch. 213............. 118,826 120,231 safety violation. Minimum penalty for hazardous materials 49 U.S.C. 5123................ 502 508 training violations. Maximum penalty for ordinary hazardous 49 U.S.C. 5123................ 83,439 84,425 materials violations. Maximum penalty for aggravated hazardous 49 U.S.C. 5123................ 194,691 196,992 materials violations. ---------------------------------------------------------------------------------------------------------------- F. PHMSA 2021 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 2021 civil penalty adjustments are summarized in the chart below. ---------------------------------------------------------------------------------------------------------------- New penalty (existing Description Citation Existing penalty penalty x 1.01182) ---------------------------------------------------------------------------------------------------------------- Maximum penalty for hazardous materials 49 U.S.C. 5123................ $83,439 $84,425 violation. Maximum penalty for hazardous materials 49 U.S.C. 5123................ 194,691 196,992 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................ 502 508 training violations. Maximum penalty for each pipeline safety 49 U.S.C. 60122(a)(1)......... 222,504 225,134 violation. Maximum penalty for a related series of 49 U.S.C. 60122(a)(1)......... 2,225,034 2,251,334 pipeline safety violations. Maximum additional penalty for each 49 U.S.C. 60122(a)(2)......... 81,284 82,245 liquefied natural gas pipeline facility violation. Maximum penalty for discrimination against 49 U.S.C. 60122(a)(3)......... 1,292 1,307 employees providing pipeline safety information. ---------------------------------------------------------------------------------------------------------------- [[Page 23247]] G. MARAD 2021 Adjustments MARAD's 2021 civil penalty adjustments are summarized in the chart below. ---------------------------------------------------------------------------------------------------------------- New penalty (existing Description Citation Existing penalty penalty x 1.01182) ---------------------------------------------------------------------------------------------------------------- Maximum civil penalty for a single violation 46 U.S.C. 31309............... $21,409 $21,662 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............... 53,524 54,157 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)............ 21,507 21,761 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)............ 135 137 AMVER report. Maximum civil penalty for violating 50 U.S.C. 4513................ 27,051 27,371 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............... 156,917 158,772 applying for or renewing a vessel's fishery endorsement. ---------------------------------------------------------------------------------------------------------------- H. Great Lakes St. Lawrence Seaway Development Corporation GLSLDC 2021 Adjustments GLSLDC's 2021 civil penalty adjustment is as follows: ---------------------------------------------------------------------------------------------------------------- New penalty (existing Description Citation Existing penalty penalty x 1.01764) ---------------------------------------------------------------------------------------------------------------- Maximum civil penalty for each violation of 33 U.S.C. 1232................ $95,881 $97,014 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 and 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).\8\ The Small Business Administration's A Guide for Government Agencies: How to Comply with the Regulatory Flexibility Act (2012), explains that: --------------------------------------------------------------------------- \8\ 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 analytical requirements of the RFA do 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. 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. [[Page 23248]] F. National Environmental Policy Act The Department has analyzed the environmental impacts of this final rule pursuant to the National Environmental Policy Act of 1969 (NEPA) (42 U.S.C. 4321, et seq.) and has determined that it is categorically excluded pursuant to DOT Order 5610.1C, Procedures for Considering Environmental Impacts (44 FR 56420, Oct. 1, 1979 as amended July 13, 1982 and July 30, 1985). Categorical exclusions are actions identified in an agency's NEPA implementing procedures that do not normally have a significant impact on the environment and therefore do not require either an environmental assessment (EA) or environmental impact statement (EIS). See 40 CFR 1508.4. In analyzing the applicability of a categorical exclusion, the agency must also consider whether extraordinary circumstances are present that would warrant the preparation of an EA or EIS. Id. Paragraph 4(c)(5) of DOT Order 5610.1C incorporates by reference the categorical exclusions for all DOT Operating Administrations. This action qualifies for a categorical exclusion in accordance with FAA Order 1050.1F, Environmental Impacts: Policies and Procedures, (80 FR 44208, July 24, 2015), paragraph 5- 6.6.f, which covers regulations not expected to cause any pote
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