Civil Penalty Amounts
| Published date | 03 May 2021 |
| Citation | 86 FR 23241 |
| Record Number | 2021-08224 |
| Section | Rules and Regulations |
| Court | Federal Motor Carrier Safety Administration,Federal Railroad Administration,Great Lakes St. Lawrence Seaway Development Corporation,Maritime Administration,National Highway Traffic Safety Administration,Pipeline And Hazardous Materials Safety Administration |
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]
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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.
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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.
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\1\ 28 U.S.C. 2461 note.
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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.
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\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).
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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.
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\4\ Public Law 116-260, 134 Stat. ----, Div. V, Title I, Section
105(a).
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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.
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\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.
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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.
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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.
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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 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, no
further assessment or analysis is required under the Unfunded Mandates
Reform Act.
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 Parts 216, 217, 221, 224, 229, 230, 232, 233, and 239
Penalties, Railroad safety, Reporting and recordkeeping
requirements.
49 CFR Part 218
Occupational safety and health, Penalties, Railroad employees,
Railroad safety, Reporting and recordkeeping requirements.
49 CFR Part 219
Alcohol abuse, Drug abuse, Drug testing, Penalties, Railroad
safety, Reporting and recordkeeping requirements, Safety,
Transportation.
49 CFR Part 220
Penalties, Radio, Railroad safety, Reporting and recordkeeping
requirements.
49 CFR Parts 222, 235, 240, 242, 243, and 244
Administrative practice and procedure, Penalties, Railroad safety,
Reporting and recordkeeping requirements.
49 CFR Part 223
Glazing standards, Penalties, Railroad safety, Reporting and
recordkeeping requirements.
49 CFR Part 225
Investigations, Penalties, Railroad safety, Reporting and
recordkeeping requirements.
49 CFR Part 227
Noise control, Occupational safety and health, Penalties, Railroad
safety, Reporting and recordkeeping requirements.
49 CFR Part 228
Penalties, Railroad employees, Reporting and recordkeeping
requirements.
49 CFR Part 231
Penalties, Railroad safety.
49 CFR Part 234
Highway safety, Penalties, Railroad safety, Reporting and
recordkeeping requirements, State and local governments.
49 CFR Part 236
Penalties, Positive train control, Railroad safety, Reporting and
recordkeeping requirements.
49 CFR Part 237
Bridges, Penalties, Railroad safety, Reporting and recordkeeping
requirements.
[[Page 23249]]
49 CFR Part 238
Fire prevention, Passenger equipment, Penalties, Railroad safety,
Reporting and recordkeeping requirements.
49 CFR Part 241
Communications, Penalties, Railroad safety, Reporting and
recordkeeping requirements.
49 CFR Part 272
Penalties, Railroad employees, Railroad safety, Railroads, Safety,
Transportation.
49 CFR Part 386
Administrative procedures, Commercial motor vehicle safety,
Highways and roads, Motor carriers, Penalties.
49 CFR Part 578
Imports, Motor vehicle safety, Motor vehicles, Rubber and rubber
products, Tires, Penalties.
Accordingly, the Department of Transportation amends 14 CFR
chapters I, II, and III, 33 CFR chapter IV, 46 CFR chapter II, and 49
CFR chapters I, II, III, and V as follows:
Title 14--Aeronautics and Space
PART 13--INVESTIGATIVE AND ENFORCEMENT PROCEDURES
0
1. Revise the authority citation for part 13 to read as follows:
Authority: 18 U.S.C. 6002, 28 U.S.C. 2461 (note); 49 U.S.C.
106(g), 5121-5124, 40113-40114, 44103-44106, 44701-44703, 44709-
44710, 44713, 44725, 44742, 44802 (note), 46101-46111, 46301, 46302
(for a violation of 49 U.S.C. 46504), 46304-46316, 46318-46320,
46501-46502, 46504, 46507, 47106, 47107, 47111, 47122, 47306, 47531-
47532; 49 CFR 1.83.
0
2. Amend Sec. 13.301 by revising paragraphs (b) and (c) to read as
follows:
Sec. 13.301 Inflation adjustments of civil monetary penalties.
* * * * *
(b) Each adjustment to a maximum civil monetary penalty or to
minimum and maximum civil monetary penalties that establish a civil
monetary penalty range applies to actions initiated under this part for
violations occurring on or after May 3, 2021, notwithstanding
references to specific civil penalty amounts elsewhere in this part.
(c) Minimum and maximum civil monetary penalties are as follows:
Table 1 to Sec. 13.301--Minimum and Maximum Civil Monetary Penalty Amounts for Certain Violations
--------------------------------------------------------------------------------------------------------------------------------------------------------
New minimum
penalty amount
for violations New maximum penalty
Civil monetary penalty 2020 minimum occurring on 2020 maximum penalty amount for violations
United States Code citation description penalty or after May amount occurring on or after
amount 3, 2021, May 3, 2021, adjusted
adjusted for for inflation
inflation
--------------------------------------------------------------------------------------------------------------------------------------------------------
49 U.S.C. 5123(a)(1)................... Violation of hazardous N/A N/A $83,439................ $84,425.
materials transportation law.
49 U.S.C. 5123(a)(2)................... Violation of hazardous N/A N/A $194,691............... $196,992.
materials transportation law
resulting in death, serious
illness, severe injury, or
substantial property
destruction.
49 U.S.C. 5123(a)(3)................... Violation of hazardous $502 $508 $83,439................ $84,425.
materials transportation law
relating to training.
49 U.S.C. 44704(d)(3).................. Knowing presentation of a N/A N/A $1,000,000............. No change.
nonconforming aircraft for
issuance of an initial
airworthiness certificate.
49 U.S.C. 44704(e)(4).................. Knowing failure to submit N/A N/A $1,000,000............. No change.
safety critical information
or include certain such
information in an airplane
flight manual or flight crew
operating manual.
49 U.S.C. 44802 note................... Operation of an unmanned N/A N/A $25,441................ $25,742.
aircraft or unmanned
aircraft system equipped or
armed with a dangerous
weapon.
49 U.S.C. 46301(a)(1).................. Violation by a person other N/A N/A $34,777................ $35,188.
than an individual or small
business concern under 49
U.S.C. 46301(a)(1)(A) or (B).
49 U.S.C. 46301(a)(1).................. Violation by an airman N/A N/A $1,530................. $1,548.
serving as an airman under
49 U.S.C. 46301(a)(1)(A) or
(B) (but not covered by
46301(a)(5)(A) or (B)).
49 U.S.C. 46301(a)(1).................. Violation by an individual or N/A N/A $1,530................. $1,548.
small business concern under
49 U.S.C. 46301(a)(1)(A) or
(B) (but not covered in 49
U.S.C. 46301(a)(5)).
[[Page 23250]]
49 U.S.C. 46301(a)(3).................. Violation of 49 U.S.C. N/A N/A Increase above No change.
47107(b) (or any assurance otherwise applicable
made under such section) or maximum amount not to
49 U.S.C. 47133. exceed 3 times the
amount of revenues
that are used in
violation of such
section.
49 U.S.C. 46301(a)(5)(A)............... Violation by an individual or N/A N/A $13,910................ $14,074.
small business concern
(except an airman serving as
an airman) under 49 U.S.C.
46301(a)(5)(A)(i) or (ii).
49 U.S.C. 46301(a)(5)(B)(i)............ Violation by an individual or N/A N/A $13,910................ $14,074.
small business concern
related to the
transportation of hazardous
materials.
49 U.S.C. 46301(a)(5)(B)(ii)........... Violation by an individual or N/A N/A $13,910................ $14,074.
small business concern
related to the registration
or recordation under 49
U.S.C. chapter 441, of an
aircraft not used to provide
air transportation.
49 U.S.C. 46301(a)(5)(B)(iii).......... Violation by an individual or N/A N/A $13,910................ $14,074.
small business concern of 49
U.S.C. 44718(d), relating to
limitation on construction
or establishment of
landfills.
49 U.S.C. 46301(a)(5)(B)(iv)........... Violation by an individual or N/A N/A $13,910................ $14,074.
small business concern of 49
U.S.C. 44725, relating to
the safe disposal of life-
limited aircraft parts.
49 U.S.C. 46301 note................... Individual who aims the beam N/A N/A $26,614................ $26,929.
of a laser pointer at an
aircraft in the airspace
jurisdiction of the United
States, or at the flight
path of such an aircraft.
49 U.S.C. 46301(b)..................... Tampering with a smoke alarm N/A N/A $4,465................. $4,518.
device.
49 U.S.C. 46302........................ Knowingly providing false N/A N/A $24,252................ $24,539.
information about alleged
violation involving the
special aircraft
jurisdiction of the United
States.
49 U.S.C. 46318........................ Interference with cabin or N/A N/A $36,516................ $36,948.
flight crew.
49 U.S.C. 46319........................ Permanent closure of an N/A N/A $13,910................ $14,074.
airport without providing
sufficient notice.
49 U.S.C. 46320........................ Operating an unmanned N/A N/A $21,292................ $21,544.
aircraft and in so doing
knowingly or recklessly
interfering with a wildfire
suppression, law
enforcement, or emergency
response effort.
49 U.S.C. 47531........................ Violation of 49 U.S.C. 47528- N/A N/A See 49 U.S.C. See 49 U.S.C.
47530, relating to the 46301(a)(1) and 46301(a)(1) and
prohibition of operating (a)(5), above. (a)(5), above.
certain aircraft not
complying with stage 3 noise
levels.
--------------------------------------------------------------------------------------------------------------------------------------------------------
[[Page 23251]]
PART 383--CIVIL PENALTIES
0
3. The authority citation for part 383 continues to read as follows:
Authority: Sec. 701, Pub. L. 114-74, 129 Stat. 584; Sec. 503,
Pub. L. 108-176, 117 Stat. 2490; Pub. L. 101-410, 104 Stat. 890;
Sec. 31001, Pub. L. 104-134.
0
4. Section 383.2 is revised to read as follows:
Sec. 383.2 Amount of penalty.
Civil penalties payable to the U.S. Government for violations of
Title 49, Chapters 401 through 421, pursuant to 49 U.S.C. 46301(a), are
as follows:
(a) A general civil penalty of not more than $35,188 (or $1,548 for
individuals or small businesses) applies to violations of statutory
provisions and rules or orders issued under those provisions, other
than those listed in paragraph (b) of this section (see 49 U.S.C.
46301(a)(1));
(b) With respect to small businesses and individuals,
notwithstanding the general $1,483 civil penalty, the following civil
penalty limits apply:
(1) A maximum civil penalty of $14,074 applies for violations of
most provisions of Chapter 401, including the anti-discrimination
provisions of sections 40127 (general provision), and 41705
(discrimination against the disabled) and rules and orders issued
pursuant to those provisions (see 49 U.S.C. 46301(a)(5)(A));
(2) A maximum civil penalty of $7,037 applies for violations of
section 41719 and rules and orders issued pursuant to that provision
(see 49 U.S.C. 46301(a)(5)(C)); and
(3) A maximum civil penalty of $3,519 applies for violations of
section 41712 or consumer protection rules or orders (see 49 U.S.C.
46301(a)(5)(D)).
PART 406--INVESTIGATIONS, ENFORCEMENT, AND ADMINISTRATIVE REVIEW
0
5. The authority citation for part 406 continues to read as follows:
Authority: 51 U.S.C. 50901-50923.
0
6. Amend Sec. 406.9 by revising paragraph (a) to read as follows:
Sec. 406.9 Civil penalties.
(a) Civil penalty liability. Under 51 U.S.C. 50917(c), a person
found by the FAA to have violated a requirement of the Act, a
regulation issued under the Act, or any term or condition of a license
or permit issued or transferred under the Act, is liable to the United
States for a civil penalty of not more than $247,280 for each
violation. A separate violation occurs for each day the violation
continues.
* * * * *
Title 33--Navigation and Navigable Waters
PART 401--SEAWAY REGULATIONS AND RULES
Subpart B--Penalties--Violations of Seaway Regulations
0
7. The authority citation for subpart B of part 401 is revised to read
as follows:
Authority: 33 U.S.C. 981-990, 1231 and 1232, 49 CFR 1.52, unless
otherwise noted.
0
8. Amend Sec. 401.102 by revising paragraph (a) to read as follows:
Sec. 401.102 Civil penalty.
(a) A person, as described in Sec. 401.101(b) who violates a
regulation in this chapter is liable to a civil penalty of not more
than $97,014.
* * * * *
Title 46--Shipping
PART 221--REGULATED TRANSACTIONS INVOLVING DOCUMENTED VESSELS AND
OTHER MARITIME INTERESTS
0
9. The authority citation for part 221 continues to read as follows:
Authority: 46 U.S.C. chs. 301, 313, and 561; Pub. L. 114-74; 49
CFR 1.93.
0
10. Section 221.61(b) is revised to read as follows:
Sec. 221.61 Compliance.
* * * * *
(b) Pursuant to 46 U.S.C. 31309, a general penalty of not more than
$21,662 may be assessed for each violation of chapter 313 or 46 U.S.C.
subtitle III administered by the Maritime Administration, and pursuant
to the regulations in this part a person violating 46 U.S.C. 31329 is
liable for a civil penalty of not more than $54,157 for each violation.
A person who charters, sells, transfers or mortgages a vessel, or an
interest therein, in violation of 46 U.S.C. 56101(e) is liable for a
civil penalty of not more than $21,761 for each violation.
PART 307--ESTABLISHMENT OF MANDATORY POSITION REPORTING SYSTEM FOR
VESSELS
0
11. The authority citation for part 307 continues to read as follows:
Authority: Pub. L. 109-304; 46 U.S.C. 50113; Pub. L. 114-74; 49
CFR 1.93.
0
12. Section 307.19 is revised to read as follows:
Sec. 307.19 Penalties.
The owner or operator of a vessel in the waterborne foreign
commerce of the United States is subject to a penalty of $137.00 for
each day of failure to file an AMVER report required by this part. Such
penalty shall constitute a lien upon the vessel, and such vessel may be
libeled in the district court of the United States in which the vessel
may be found.
PART 340--PRIORITY USE AND ALLOCATION OF SHIPPING SERVICES,
CONTAINERS AND CHASSIS, AND PORT FACILITIES AND SERVICES FOR
NATIONAL SECURITY AND NATIONAL DEFENSE RELATED OPERATIONS
0
13. The authority citation for part 340 continues to read as follows:
Authority: 50 U.S.C. 4501 et seq. (``The Defense Production
Act''); Executive Order 13603 (77 FR 16651); Executive Order 12656
(53 FR 47491); Pub. L. 114-74; 49 CFR 1.45; 49 CFR 1.93(l).
0
14. Section 340.9 is revised to read as follows:
Sec. 340.9 Compliance.
Pursuant 50 U.S.C. 4513 any person who willfully performs any act
prohibited, or willfully fails to perform any act required, by the
provisions of this part shall, upon conviction, be fined not more than
$27,371 or imprisoned for not more than one year, or both.
PART 356--REQUIREMENTS FOR VESSELS OF 100 FEET OR GREATER IN
REGISTERED LENGTH TO OBTAIN A FISHERY ENDORSEMENT TO THE VESSEL'S
DOCUMENTATION
0
15. The authority citation for part 356 continues to read as follows:
Authority: 46 U.S.C. 12102; 46 U.S.C. 12151; 46 U.S.C. 31322;
Pub. L. 105-277, division C, title II, subtitle I, section 203 (46
U.S.C. 12102 note), section 210(e), and section 213(g), 112 Stat.
2681; Pub. L. 107-20, section 2202, 115 Stat. 168-170; Pub. L. 114-
74; 49 CFR 1.93.
0
16. Amend Sec. 356.49 by revising paragraph (b) to read as follows:
Sec. 356.49 Penalties.
* * * * *
(b) A fine of up to $158,772 may be assessed against the vessel
owner for each day in which such vessel has engaged in fishing (as such
term is defined in section 3 of the Magnuson-Stevens Fishery
Conservation and Management Act (16 U.S.C. 1802)) within the exclusive
economic zone of the United States; and
* * * * *
[[Page 23252]]
Title 49--Transportation
PART 107--HAZARDOUS MATERIALS PROGRAM PROCEDURES
0
17. The authority citation for part 107 continues to read as follows:
Authority: 49 U.S.C. 5101-5128, 44701; Pub. L. 101-410 Section
4; Pub. L. 104-121 Sections 212-213; Pub. L. 104-134 Section 31001;
Pub. L. 114-74 Section 4 (28 U.S.C. 2461 note); 49 CFR 1.81 and
1.97; 33 U.S.C. 1321.
0
18. Revise Sec. 107.329 to read as follows:
Sec. 107.329 Maximum penalties.
(a) A person who knowingly violates a requirement of the Federal
hazardous material transportation law, an order issued thereunder, this
subchapter, subchapter C of the chapter, or a special permit or
approval issued under this subchapter applicable to the transportation
of hazardous materials or the causing of them to be transported or
shipped is liable for a civil penalty of not more than $84,425 for each
violation, except the maximum civil penalty is $196,992 if the
violation results in death, serious illness, or severe injury to any
person or substantial destruction of property. There is no minimum
civil penalty, except for a minimum civil penalty of $508 for
violations relating to training. When the violation is a continuing
one, each day of the violation constitutes a separate offense.
(b) A person who knowingly violates a requirement of the Federal
hazardous material transportation law, an order issued thereunder, this
subchapter, subchapter C of the chapter, or a special permit or
approval issued under this subchapter applicable to the design,
manufacture, fabrication, inspection, marking, maintenance,
reconditioning, repair or testing of a package, container, or packaging
component which is represented, marked, certified, or sold by that
person as qualified for use in the transportation of hazardous
materials in commerce is liable for a civil penalty of not more than
$84,425 for each violation, except the maximum civil penalty is
$196,992 if the violation results in death, serious illness, or severe
injury to any person or substantial destruction of property. There is
no minimum civil penalty, except for a minimum civil penalty of $508
for violations relating to training.
Appendix A to Subpart D of Part 107 [Amended]
0
19. In appendix A to subpart D of part 107, remove ``$83,439 or
$194,691'' and ``July 31, 2019'' and add in their places ``$84,425 or
$196,992'' and ``May 3, 2021,'' respectively.
PART 171--GENERAL INFORMATION, REGULATIONS, AND DEFINITIONS
0
20. The authority citation for part 171 continues to read as follows:
Authority: 49 U.S.C. 5101-5128, 44701; Pub. L. 101-410 section
4; Pub. L. 104-134, section 31001; Pub. L. 114-74 section 4 (28
U.S.C. 2461 note); 49 CFR 1.81 and 1.97.
0
21. Amend Sec. 171.1 by revising paragraph (g) to read as follows:
Sec. 171.1 Applicability of Hazardous Materials Regulations (HMR) to
persons and functions.
* * * * *
(g) Penalties for noncompliance. Each person who knowingly violates
a requirement of the Federal hazardous material transportation law, an
order issued under Federal hazardous material transportation law,
subchapter A of this chapter, or a special permit or approval issued
under subchapter A or C of this chapter is liable for a civil penalty
of not more than $84,425 for each violation, except the maximum civil
penalty is $196,992 if the violation results in death, serious illness,
or severe injury to any person or substantial destruction of property.
There is no minimum civil penalty, except for a minimum civil penalty
of $508 for a violation relating to training.
PART 190--PIPELINE SAFETY ENFORCEMENT AND REGULATORY PROCEDURES
0
22. The authority citation for part 190 continues to read as follows:
Authority: 33 U.S.C. 1321(b); 49 U.S.C. 60101 et seq.
0
23. Amend Sec. 190.223 by revising paragraphs (a), (c), and (d) to
read as follows:
Sec. 190.223 Maximum penalties.
(a) Any person found to have violated a provision of 49 U.S.C.
60101, et seq., or any regulation in 49 CFR parts 190 through 199, or
order issued pursuant to 49 U.S.C. 60101, et seq. or 49 CFR part 190,
is subject to an administrative civil penalty not to exceed $225,134
for each violation for each day the violation continues, with a maximum
administrative civil penalty not to exceed $2,251,334 for any related
series of violations.
* * * * *
(c) Any person found to have violated any standard or order under
49 U.S.C. 60103 is subject to an administrative civil penalty not to
exceed $82,245, which may be in addition to other penalties to which
such person may be subject under paragraph (a) of this section.
(d) Any person who is determined to have violated any standard or
order under 49 U.S.C. 60129 is subject to an administrative civil
penalty not to exceed $1,307, which may be in addition to other
penalties to which such person may be subject under paragraph (a) of
this section.
* * * * *
PART 209--RAILROAD SAFETY ENFORCEMENT PROCEDURES
0
24. The authority citation for part 209 continues to read as follows:
Authority: 49 U.S.C. 5123, 5124, 20103, 20107, 20111, 20112,
20114; 28 U.S.C. 2461, note; and 49 CFR 1.89.
0
25. Amend Sec. 209.103 by revising paragraphs (a) and (c) to read as
follows:
Sec. 209.103 Minimum and maximum penalties.
(a) A person who knowingly violates a requirement of the Federal
hazardous materials transportation laws, an order issued thereunder,
subchapter A or C of chapter I, subtitle B, of this title, or a special
permit or approval issued under subchapter A or C of chapter I,
subtitle B, of this title is liable for a civil penalty of not more
than $84,425 for each violation, except that--
(1) The maximum civil penalty for a violation is $196,992 if the
violation results in death, serious illness, or severe injury to any
person, or substantial destruction of property; and
(2) A minimum $508 civil penalty applies to a violation related to
training.
* * * * *
(c) The maximum and minimum civil penalties described in paragraph
(a) of this section apply to violations occurring on or after May 3,
2021.
0
26. Amend Sec. 209.105 by revising the last sentence of paragraph (c)
to read as follows:
Sec. 209.105 Notice of probable violation.
* * * * *
(c) * * * In an amended notice, FRA may change the civil penalty
amount proposed to be assessed up to and including the maximum penalty
amount of $84,425 for each violation, except that if the violation
results in death, serious illness or severe injury to any person, or
substantial destruction of property, FRA may change the penalty amount
proposed to be assessed up to and including the maximum penalty amount
of $196,992.
Sec. 209.409 [Amended]
0
27. Amend Sec. 209.409 as follows:
[[Page 23253]]
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place
``$120,231''.
0
28. In appendix A to part 209, amend the section ``Penalty Schedules;
Assessment of Maximum Penalties'' by:
0
a. Adding a sentence to the end of the sixth paragraph;
0
b. Revising the fourth sentence in the seventh paragraph; and
0
c. Revising the first sentence of the tenth paragraph.
The addition and revisions read as follows:
Appendix A to Part 209--Statement of Agency Policy Concerning
Enforcement of the Federal Railroad Safety Laws
* * * * *
Penalty Schedules; Assessment of Maximum Penalties
* * * * *
* * * Effective May 3, 2021, the minimum civil monetary penalty was
raised from $908 to $919, the ordinary maximum civil monetary penalty
was raised from $29,707 to $30,058, and the aggravated maximum civil
monetary penalty was raised from $118,826 to $120,231.
* * * For each regulation in this part or order, the schedule shows
two amounts within the $919 to $30,058 range in separate columns, the
first for ordinary violations, the second for willful violations
(whether committed by railroads or individuals). * * *
* * * * *
Accordingly, under each of the schedules (ordinarily in a
footnote), and regardless of the fact that a lesser amount might be
shown in both columns of the schedule, FRA reserves the right to assess
the statutory maximum penalty of up to $120,231 per violation where a
pattern of repeated violations or a grossly negligent violation has
created an imminent hazard of death or injury or has caused death or
injury. * * *
* * * * *
Appendix B to Part 209 [Amended]
0
29. Amend appendix B to part 209 as follows:
0
a. Remove the dollar amount ``$83,439'' everywhere it appears and add
in its place ``$84,425'';
0
b. Remove the dollar amount ``$194,691'' everywhere it appears and add
in its place ``$196,992''; and
0
c. Remove the dollar amount ``$502'' and add in its place ``$508''.
PART 213--TRACK SAFETY STANDARDS
0
30. The authority citation for part 213 continues to read as follows:
Authority: 49 U.S.C. 20102-20114 and 20142; Sec. 403, Div. A,
Public Law 110-432, 122 Stat. 4885; 28 U.S.C. 2461, note; and 49 CFR
1.89.
Sec. 213.15 [Amended]
0
31. In Sec. 213.15, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place
``$120,231''.
PART 214--RAILROAD WORKPLACE SAFETY
0
32. The authority citation for part 214 continues to read as follows:
Authority: 49 U.S.C. 20102-20103, 20107, 21301-21302, 31304, 28
U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 214.5 [Amended]
0
33. Amend Sec. 214.5 as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place
``$120,231''.
PART 215--RAILROAD FREIGHT CAR SAFETY STANDARDS
0
34. The authority citation for part 215 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49
CFR 1.89.
Sec. 215.7 [Amended]
0
35. Amend Sec. 215.7 as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place
``$120,231''.
PART 216--SPECIAL NOTICE AND EMERGENCY ORDER PROCEDURES: RAILROAD
TRACK, LOCOMOTIVE AND EQUIPMENT
0
36. The authority citation for part 216 continues to read as follows:
Authority: 49 U.S.C. 20102-20104, 20107, 20111, 20133, 20701-
20702, 21301-21302, 21304; 28 U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 216.7 [Amended]
0
37. Amend Sec. 216.7 as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place
``$120,231''.
PART 217--RAILROAD OPERATING RULES
0
38. The authority citation for part 217 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49
CFR 1.89.
Sec. 217.5 [Amended]
0
39. Amend Sec. 217.5 as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place
``$120,231''.
PART 218--RAILROAD OPERATING PRACTICES
0
40. The authority citation for part 218 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107; 20131, 20138, 20144, 20168,
28 U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 218.9 [Amended]
0
41. Amend Sec. 218.9 as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place
``$120,231''.
PART 219--CONTROL OF ALCOHOL AND DRUG USE
0
42. The authority citation for part 219 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20140, 21301, 21304, 21311;
28 U.S.C. 2461, note; Sec. 412, Div. A, Pub. L. 110-432, 122 Stat.
4889 (49 U.S.C. 20140, note); and 49 CFR 1.89.
Sec. 219.10 [Amended]
0
43. Amend Sec. 219.10 as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place
``$30,058''; and
[[Page 23254]]
0
c. Remove the dollar amount ``$118,826'' and add in its place
``$120,231''.
PART 220--RAILROAD COMMUNICATIONS
0
44. The authority citation for part 220 continues to read as follows:
Authority: 49 U.S.C. 20102-20103, 20103, note, 20107, 21301-
21302, 20701-20703, 21304, 21311; 28 U.S.C. 2461, note; and 49 CFR
1.89.
Sec. 220.7 [Amended]
0
45. Amend Sec. 220.7 as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place
``$120,231''.
PART 221--REAR END MARKING DEVICE--PASSENGER, COMMUTER AND FREIGHT
TRAINS
0
46. The authority citation for part 221 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49
CFR 1.89.
Sec. 221.7 [Amended]
0
47. Amend Sec. 221.7 as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place
``$120,231''.
PART 222--USE OF LOCOMOTIVE HORNS AT PUBLIC HIGHWAY-RAIL GRADE
CROSSINGS
0
48. The authority citation for part 222 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20153, 21301, 21304; 28
U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 222.11 [Amended]
0
49. Amend Sec. 222.11 as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place
``$120,231''.
PART 223--SAFETY GLAZING STANDARDS--LOCOMOTIVES, PASSENGER CARS AND
CABOOSES
0
50. The authority citation for part 223 continues to read as follows:
Authority: 49 U.S.C. 20102-20103, 20133, 20701-20702, 21301-
21302, 21304; 28 U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 223.7 [Amended]
0
51. Amend Sec. 223.7 as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place
``$120,231''.
PART 224--REFLECTORIZATION OF RAIL FREIGHT ROLLING STOCK
0
52. The authority citation for part 224 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20148 and 21301; 28 U.S.C.
2461, note; and 49 CFR 1.89.
Sec. 224.11 [Amended]
0
53. In Sec. 224.11, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place
``$120,231''.
PART 225--RAILROAD ACCIDENTS/INCIDENTS: REPORTS CLASSIFICATION, AND
INVESTIGATIONS
0
54. The authority citation for part 225 continues to read as follows:
Authority: 49 U.S.C. 103, 322(a), 20103, 20107, 20901-20902,
21301, 21302, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 225.29 [Amended]
0
55. Amend Sec. 225.29 as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place
``$120,231''.
PART 227--OCCUPATIONAL NOISE EXPOSURE
0
56. The authority citation for part 227 continues to read as follows:
Authority: 49 U.S.C. 20103, 20103, note, 20701-20702; 28 U.S.C.
2461, note; and 49 CFR 1.89.
Sec. 227.9 [Amended]
0
57. In Sec. 227.9, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place
``$120,231''.
PART 228--PASSENGER TRAIN EMPLOYEE HOURS OF SERVICE; RECORDKEEPING
AND REPORTING; SLEEPING QUARTERS
0
58. The authority citation for part 228 continues to read as follows:
Authority: 49 U.S.C. 103, 20103, 20107, 21101-21109; Sec. 108,
Div. A, Pub. L. 110-432, 122 Stat. 4860-4866, 4893-4894; 49 U.S.C.
21301, 21303, 21304, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 228.6 [Amended]
0
59. In Sec. 228.6, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place
``$120,231''.
0
60. In appendix A to part 228, under the heading ``General
Provisions,'' amend the ``Penalty'' paragraph by adding a sentence at
the end of the first paragraph to read as follows:
Appendix A to Part 228--Requirements of the Hours of Service Act:
Statement of Agency Policy and Interpretation
* * * * *
General Provisions
* * * * *
Penalty. * * * Effective May 3, 2021, the minimum civil monetary
penalty was raised from $908 to $919, the ordinary maximum civil
monetary penalty was raised from $29,707 to $30,058, and the aggravated
maximum civil monetary penalty was raised from $118,826 to $120,231.
* * * * *
PART 229--RAILROAD LOCOMOTIVE SAFETY STANDARDS
0
61. The authority citation for part 229 continues to read as follows:
[[Page 23255]]
Authority: 49 U.S.C. 103, 322(a), 20103, 20107, 20901-02, 21301,
21302, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 229.7 [Amended]
0
62. In Sec. 229.7, amend paragraph (b) as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place
``$120,231''.
PART 230--STEAM LOCOMOTIVE INSPECTION AND MAINTENANCE STANDARDS
0
63. The authority citation for part 230 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20702; 28 U.S.C. 2461, note;
and 49 CFR 1.89.
Sec. 230.4 [Amended]
0
64. In Sec. 230.4, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place
``$120,231''.
PART 231--RAILROAD SAFETY APPLIANCE STANDARDS
0
65. The authority citation for part 231 continues to read as follows:
Authority: 49 U.S.C. 20102-20103, 20107, 20131, 20301-20303,
21301-21302, 21304; 28 U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 231.0 [Amended]
0
66. In Sec. 231.0, amend paragraph (f) as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place
``$120,231''.
PART 233--SIGNAL SYSTEMS REPORTING REQUIREMENTS
0
67. The authority citation for part 233 continues to read as follows:
Authority: 49 U.S.C. 504, 522, 20103, 20107, 20501-20505, 21301,
21302, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 233.11 [Amended]
0
68. Amend Sec. 233.11 as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place
``$120,231''.
PART 234--GRADE CROSSING SAFETY
0
69. Revise the authority citation for part 234 to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20152, 20160, 21301, 21304,
21311, 22501 note; Public Law 110-432, Div. A., Sec. 202, 28 U.S.C.
2461, note; and 49 CFR 1.89.
Sec. 234.6 [Amended]
0
70. In Sec. 234.6, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place
``$120,231''.
PART 235--INSTRUCTIONS GOVERNING APPLICATIONS FOR APPROVAL OF A
DISCONTINUANCE OR MATERIAL MODIFICATION OF A SIGNAL SYSTEM OR
RELIEF FROM THE REQUIREMENTS OF PART 236
0
71. The authority citation for part 235 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49
CFR 1.89.
Sec. 235.9 [Amended]
0
72. Amend Sec. 235.9 as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place
``$120,231''.
PART 236--RULES, STANDARDS, AND INSTRUCTIONS GOVERNING THE
INSTALLATION, INSPECTION, MAINTENANCE, AND REPAIR OF SIGNAL AND
TRAIN CONTROL SYSTEMS, DEVICES, AND APPLIANCES
0
73. The authority citation for part 236 continues to read as follows:
Authority: 49 U.S.C. 20102-20103, 20107, 20133, 20141, 20157,
20301-20303, 20306, 20501-20505, 20701-20703, 21301-21302, 21304; 28
U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 236.0 [Amended]
0
74. In Sec. 236.0, amend paragraph (f) as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place
``$120,231''.
PART 237--BRIDGE SAFETY STANDARDS
0
75. The authority citation for part 237 continues to read as follows:
Authority: 49 U.S.C. 20102-20114; Public Law 110-432, Div. A,
Sec. 417; 28 U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 237.7 [Amended]
0
76. In Sec. 237.7, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place
``$120,231''.
PART 238--PASSENGER EQUIPMENT SAFETY STANDARDS
0
77. The authority citation for part 238 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20133, 20141, 20302-20303,
20306, 20701-20702, 21301-21302, 21304; 28 U.S.C. 2461, note; and 49
CFR 1.89.
Sec. 238.11 [Amended]
0
78. In Sec. 238.11, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place
``$120,231''.
PART 239--PASSENGER TRAIN EMERGENCY PREPAREDNESS
0
79. The authority citation for part 239 continues to read as follows:
Authority: 49 U.S.C. 20102-20103, 20105-20114, 20133, 21301,
21304, and 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 239.11 [Amended]
0
80. Amend Sec. 239.11 as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
[[Page 23256]]
0
b. Remove the dollar amount ``$29,707'' and add in its place
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place
``$120,231''.
PART 240--QUALIFICATION AND CERTIFICATION OF LOCOMOTIVE ENGINEERS
0
81. The authority citation for part 240 is revised to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20135, 21301, 21304, 21311;
28 U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 240.11 [Amended]
0
82. In Sec. 240.11, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place
``$120,231''.
PART 241--UNITED STATES LOCATIONAL REQUIREMENT FOR DISPATCHING OF
UNITED STATES RAIL OPERATIONS
0
83. The authority citation for part 241 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 21301, 21304, 21311; 28
U.S.C. 2461, note; 49 CFR 1.89.
Sec. 241.15 [Amended]
0
84. In Sec. 241.15, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place
``$120,231''.
PART 242--QUALIFICATION AND CERTIFICATION OF CONDUCTORS
0
85. The authority citation for part 242 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20135, 20138, 20162, 20163,
21301, 21304, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 242.11 [Amended]
0
86. In Sec. 242.11, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place
``$120,231''.
PART 243--TRAINING, QUALIFICATION, AND OVERSIGHT FOR SAFETY-RELATED
RAILROAD EMPLOYEES
0
87. The authority citation for part 243 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20131-20155, 20162, 20301-
20306, 20701-20702, 21301-21304, 21311; 28 U.S.C. 2461, note; and 49
CFR 1.89.
Sec. 243.7 [Amended]
0
88. In Sec. 243.7, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place
``$120,231''.
PART 244--REGULATIONS ON SAFETY INTEGRATION PLANS GOVERNING
RAILROAD CONSOLIDATIONS, MERGERS, AND ACQUISITIONS OF CONTROL
0
89. The authority citation for part 244 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 21301; 5 U.S.C. 553 and 559;
28 U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 244.5 [Amended]
0
90. In Sec. 244.5, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place
``$120,231''.
PART 272--CRITICAL INCIDENT STRESS PLANS
0
91. The authority citation for part 272 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20109, note; 28 U.S.C. 2461,
note; 49 CFR 1.89; and sec. 410, Div. A, Pub. L. 110-432, 122 Stat.
4888.
Sec. 272.11 [Amended]
0
92. In Sec. 272.11, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place
``$120,231''.
PART 386--RULES OF PRACTICE FOR FMCSA PROCEEDINGS
0
93. The authority citation for part 386 is revised to read as follows:
Authority: 49 U.S.C. 113; chapters 5, 51, 131-141, 145-149, 311,
313, and 315; Sec. 204, Pub. L. 104-88, 109 Stat. 803, 941 (49
U.S.C. 701 note); Sec. 32402, Pub. L. 112-141, 126 Stat. 405, 795
(49 U.S.C. 31306a); Sec. 701 Pub. L. 114-74, 129 Stat. 599 (28
U.S.C. 2461 note); 49 CFR 1.81 and 1.87.
0
94. Amend appendix A to part 386 by revising the introductory text,
section II, and section IV.a. through e. and g. through j. to read as
follows:
Appendix A to Part 386--Penalty Schedule: Violations of Notices and
Orders
The Civil Penalties Inflation Adjustment Act Improvements Act of
2015 [Public Law 114-74, sec. 701, 129 Stat. 599] amended the Federal
Civil Penalties Inflation Adjustment Act of 1990 to require agencies to
adjust civil penalties for inflation. Pursuant to that authority, the
inflation adjusted civil penalties identified in this appendix
supersede the corresponding civil penalty amounts identified in title
49, United States Code.
* * * * *
II. Subpoena
Violation--Failure to respond to Agency subpoena to appear and
testify or produce records.
Penalty--minimum of $1,125 but not more than $11,256 per violation.
* * * * *
IV. Out-of-Service Order
a. Violation--Operation of a commercial vehicle by a driver during
the period the driver was placed out of service.
Penalty--Up to $1,951 per violation.
(For purposes of this violation, the term ``driver'' means an
operator of a commercial motor vehicle, including an independent
contractor who, while in the course of operating a commercial motor
vehicle, is employed or used by another person.)
b. Violation--Requiring or permitting a driver to operate a
commercial vehicle during the period the driver was placed out of
service.
Penalty--Up to $19,505 per violation.
(This violation applies to motor carriers including an independent
contractor who is not a ``driver,'' as defined under paragraph IV(a)
above.)
c. Violation--Operation of a commercial motor vehicle or intermodal
[[Page 23257]]
equipment by a driver after the vehicle or intermodal equipment was
placed out-of-service and before the required repairs are made.
Penalty--$1,951 each time the vehicle or intermodal equipment is so
operated.
(This violation applies to drivers as defined in IV(a) above.)
d. Violation--Requiring or permitting the operation of a commercial
motor vehicle or intermodal equipment placed out-of-service before the
required repairs are made.
Penalty--Up to $19,505 each time the vehicle or intermodal
equipment is so operated after notice of the defect is received.
(This violation applies to intermodal equipment providers and motor
carriers, including an independent owner operator who is not a
``driver,'' as defined in IV(a) above.)
e. Violation--Failure to return written certification of correction
as required by the out-of-service order.
Penalty--Up to $975 per violation.
* * * * *
g. Violation--Operating in violation of an order issued under Sec.
386.72(b) to cease all or part of the employer's commercial motor
vehicle operations or to cease part of an intermodal equipment
provider's operations, i.e., failure to cease operations as ordered.
Penalty--Up to $28,142 per day the operation continues after the
effective date and time of the order to cease.
h. Violation--Operating in violation of an order issued under Sec.
386.73.
Penalty--Up to $24,730 per day the operation continues after the
effective date and time of the out-of-service order.
i. Violation--Conducting operations during a period of suspension
under Sec. 386.83 or Sec. 386.84 for failure to pay penalties.
Penalty--Up to $15,876 for each day that operations are conducted
during the suspension or revocation period.
j. Violation--Conducting operations during a period of suspension
or revocation under Sec. 385.911, Sec. 385.913, Sec. 385.1009, or
Sec. 385.1011 of this subchapter.
Penalty--Up to $24,730 for each day that operations are conducted
during the suspension or revocation period.
0
95. Amend appendix B to part 386 by revising the introductory text and
paragraphs (a)(1) through (5), (b), (d) through (f), (g)(1) through
(8), (10) through (14), and (16) through (18), (g)(21)(i), (g)(22) and
(23), (h), and (i) to read as follows:
Appendix B to Part 386--Penalty Schedule: Violations and Monetary
Penalties
The Civil Penalties Inflation Adjustment Act Improvements Act of
2015 [Pub. L. 114-74, sec. 701, 129 Stat. 599] amended the Federal
Civil Penalties Inflation Adjustment Act of 1990 to require agencies to
adjust civil penalties for inflation. Pursuant to that authority, the
inflation adjusted civil penalties identified in this appendix
supersede the corresponding civil penalty amounts identified in title
49, United States Code.
What are the types of violations and maximum monetary penalties?
(a) * * *
(1) Recordkeeping. A person or entity that fails to prepare or
maintain a record required by part 40 of this title and parts 382,
subpart A, B, C, D, E, or F, 385, and 390 through 399 of this
subchapter, or prepares or maintains a required record that is
incomplete, inaccurate, or false, is subject to a maximum civil penalty
of $1,307 for each day the violation continues, up to $13,072.
(2) Knowing falsification of records. A person or entity that
knowingly falsifies, destroys, mutilates, or changes a report or record
required by parts 382, subpart A, B, C, D, E, or F, 385, and 390
through 399 of this subchapter, knowingly makes or causes to be made a
false or incomplete record about an operation or business fact or
transaction, or knowingly makes, prepares, or preserves a record in
violation of a regulation order of the Secretary is subject to a
maximum civil penalty of $13,072 if such action misrepresents a fact
that constitutes a violation other than a reporting or recordkeeping
violation.
(3) Non-recordkeeping violations. A person or entity that violates
part 382, subpart A, B, C, D, E, or F, part 385, or parts 390 through
399 of this subchapter, except a recordkeeping requirement, is subject
to a civil penalty not to exceed $15,876 for each violation.
(4) Non-recordkeeping violations by drivers. A driver who violates
parts 382, subpart A, B, C, D, E, or F, 385, and 390 through 399 of
this subchapter, except a recordkeeping violation, is subject to a
civil penalty not to exceed $3,969.
(5) Violation of 49 CFR 392.5. A driver placed out of service for
24 hours for violating the alcohol prohibitions of 49 CFR 392.5(a) or
(b) who drives during that period is subject to a civil penalty not to
exceed $3,268 for a first conviction and not less than $6,536 for a
second or subsequent conviction.
* * * * *
(b) Commercial driver's license (CDL) violations. Any employer,
employee, medical review officer, or service agent who violates any
provision of 49 CFR part 382, subpart G, or any person who violates 49
CFR part 383, subpart B, C, E, F, G, or H, is subject to a civil
penalty not to exceed $5,902; except:
(1) A CDL-holder who is convicted of violating an out-of-service
order shall be subject to a civil penalty of not less than $3,268 for a
first conviction and not less than $6,536 for a second or subsequent
conviction;
(2) An employer of a CDL-holder who knowingly allows, requires,
permits, or authorizes an employee to operate a CMV during any period
in which the CDL-holder is subject to an out-of-service order, is
subject to a civil penalty of not less than $5,902 or more than
$32,679; and
(3) An employer of a CDL-holder who knowingly allows, requires,
permits, or authorizes that CDL-holder to operate a CMV in violation of
a Federal, State, or local law or regulation pertaining to railroad-
highway grade crossings is subject to a civil penalty of not more than
$16,941.
* * * * *
(d) Financial responsibility violations. A motor carrier that fails
to maintain the levels of financial responsibility prescribed by part
387 of this subchapter or any person (except an employee who acts
without knowledge) who knowingly violates the rules of part 387,
subparts A and B, is subject to a maximum penalty of $17,416. Each day
of a continuing violation constitutes a separate offense.
(e) Violations of the Hazardous Materials Regulations (HMRs) and
safety permitting regulations found in subpart E of part 385 of this
subchapter. This paragraph (e) applies to violations by motor carriers,
drivers, shippers and other persons who transport hazardous materials
on the highway in commercial motor vehicles or cause hazardous
materials to be so transported.
(1) All knowing violations of 49 U.S.C. chapter 51 or orders or
regulations issued under the authority of that chapter applicable to
the transportation or shipment of hazardous materials by commercial
motor vehicle on the highways are subject to a civil penalty of not
more than $84,425 for each violation. Each day of a continuing
violation constitutes a separate offense.
(2) All knowing violations of 49 U.S.C. chapter 51 or orders or
regulations issued under the authority of that chapter applicable to
training related to the transportation or shipment of hazardous
materials by commercial motor vehicle on the highways are subject to a
civil penalty of not less than
[[Page 23258]]
$508 and not more than $84,425 for each violation.
(3) All knowing violations of 49 U.S.C. chapter 51 or orders,
regulations, or exemptions under the authority of that chapter
applicable to the manufacture, fabrication, marking, maintenance,
reconditioning, repair, or testing of a packaging or container that is
represented, marked, certified, or sold as being qualified for use in
the transportation or shipment of hazardous materials by commercial
motor vehicle on the highways are subject to a civil penalty of not
more than $84,425 for each violation.
(4) Whenever regulations issued under the authority of 49 U.S.C.
chapter 51 require compliance with the FMCSRs while transporting
hazardous materials, any violations of the FMCSRs will be considered a
violation of the HMRs and subject to a civil penalty of not more than
$84,425.
(5) If any violation subject to the civil penalties set out in
paragraphs (e)(1) through (4) of this appendix results in death,
serious illness, or severe injury to any person or in substantial
destruction of property, the civil penalty may be increased to not more
than $196,992 for each offense.
(f) Operating after being declared unfit by assignment of a final
``unsatisfactory'' safety rating. (1) A motor carrier operating a
commercial motor vehicle in interstate commerce (except owners or
operators of commercial motor vehicles designed or used to transport
hazardous materials for which placarding of a motor vehicle is required
under regulations prescribed under 49 U.S.C. chapter 51) is subject,
after being placed out of service because of receiving a final
``unsatisfactory'' safety rating, to a civil penalty of not more than
$28,142 (49 CFR 385.13). Each day the transportation continues in
violation of a final ``unsatisfactory'' safety rating constitutes a
separate offense.
(2) A motor carrier operating a commercial motor vehicle designed
or used to transport hazardous materials for which placarding of a
motor vehicle is required under regulations prescribed under 49 U.S.C.
chapter 51 is subject, after being placed out of service because of
receiving a final ``unsatisfactory'' safety rating, to a civil penalty
of not more than $84,425 for each offense. If the violation results in
death, serious illness, or severe injury to any person or in
substantial destruction of property, the civil penalty may be increased
to not more than $196,992 for each offense. Each day the transportation
continues in violation of a final ``unsatisfactory'' safety rating
constitutes a separate offense.
(g) * * *
(1) A person who operates as a motor carrier for the transportation
of property in violation of the registration requirements of 49 U.S.C.
13901 is liable for a minimum penalty of $11,256 per violation.
(2) A person who knowingly operates as a broker in violation of
registration requirements of 49 U.S.C 13904 or financial security
requirements of 49 U.S.C 13906 is liable for a penalty not to exceed
$11,256 for each violation.
(3) A person who operates as a motor carrier of passengers in
violation of the registration requirements of 49 U.S.C. 13901 is liable
for a minimum penalty of $28,142 per violation.
(4) A person who operates as a foreign motor carrier or foreign
motor private carrier of property in violation of the provisions of 49
U.S.C. 13902(c) is liable for a minimum penalty of $11,256 per
violation.
(5) A person who operates as a foreign motor carrier or foreign
motor private carrier without authority, outside the boundaries of a
commercial zone along the United States-Mexico border, is liable for a
maximum penalty of $15,480 for an intentional violation and a maximum
penalty of $38,702 for a pattern of intentional violations.
(6) A person who operates as a motor carrier or broker for the
transportation of hazardous wastes in violation of the registration
provisions of 49 U.S.C. 13901 is liable for a minimum penalty of
$22,514 and a maximum penalty of $45,027 per violation.
(7) A motor carrier or freight forwarder of household goods, or
their receiver or trustee, that does not comply with any regulation
relating to the protection of individual shippers, is liable for a
minimum penalty of $1,693 per violation.
(8) A person--
(i) Who falsifies, or authorizes an agent or other person to
falsify, documents used in the transportation of household goods by
motor carrier or freight forwarder to evidence the weight of a
shipment; or
(ii) Who charges for services which are not performed or are not
reasonably necessary in the safe and adequate movement of the shipment
is liable for a minimum penalty of $3,389 for the first violation and
$8,471 for each subsequent violation.
* * * * *
(10) A person who offers, gives, solicits, or receives
transportation of property by a carrier at a different rate than the
rate in effect under 49 U.S.C. 13702 is liable for a maximum penalty of
$169,412 per violation. When acting in the scope of his/her employment,
the acts or omissions of a person acting for or employed by a carrier
or shipper are considered to be the acts or omissions of that carrier
or shipper, as well as that person.
(11) Any person who offers, gives, solicits, or receives a rebate
or concession related to motor carrier transportation subject to
jurisdiction under subchapter I of 49 U.S.C. chapter 135, or who
assists or permits another person to get that transportation at less
than the rate in effect under 49 U.S.C. 13702, commits a violation for
which the penalty is $338 for the first violation and $423 for each
subsequent violation.
(12) A freight forwarder, its officer, agent, or employee, that
assists or willingly permits a person to get service under 49 U.S.C.
13531 at less than the rate in effect under 49 U.S.C. 13702 commits a
violation for which the penalty is up to $848 for the first violation
and up to $3,389 for each subsequent violation.
(13) A person who gets or attempts to get service from a freight
forwarder under 49 U.S.C. 13531 at less than the rate in effect under
49 U.S.C. 13702 commits a violation for which the penalty is up to $848
for the first violation and up to $3,389 for each subsequent violation.
(14) A person who knowingly authorizes, consents to, or permits a
violation of 49 U.S.C. 14103 relating to loading and unloading motor
vehicles or who knowingly violates subsection (a) of 49 U.S.C. 14103 is
liable for a penalty of not more than $16,941 per violation.
* * * * *
(16) A person required to make a report to the Secretary, answer a
question, or make, prepare, or preserve a record under part B of
subtitle IV, title 49, U.S.C., or an officer, agent, or employee of
that person, is liable for a minimum penalty of $1,125 and for a
maximum penalty of $8,471 per violation if it does not make the report,
does not completely and truthfully answer the question within 30 days
from the date the Secretary requires the answer, does not make or
preserve the record in the form and manner prescribed, falsifies,
destroys, or changes the report or record, files a false report or
record, makes a false or incomplete entry in the record about a
business-related fact, or prepares or preserves a record in violation
of a regulation or order of the Secretary.
(17) A motor carrier, water carrier, freight forwarder, or broker,
or their officer, receiver, trustee, lessee,
[[Page 23259]]
employee, or other person authorized to receive information from them,
who discloses information identified in 49 U.S.C. 14908 without the
permission of the shipper or consignee is liable for a maximum penalty
of $3,389.
(18) A person who violates a provision of part B, subtitle IV,
title 49, U.S.C., or a regulation or order under part B, or who
violates a condition of registration related to transportation that is
subject to jurisdiction under subchapter I or III of chapter 135, or
who violates a condition of registration of a foreign motor carrier or
foreign motor private carrier under section 13902, is liable for a
penalty of $848 for each violation if another penalty is not provided
in 49 U.S.C. chapter 149.
* * * * *
(21) * * *
(i) Who knowingly and willfully fails, in violation of a contract,
to deliver to, or unload at, the destination of a shipment of household
goods in interstate commerce for which charges have been estimated by
the motor carrier transporting such goods, and for which the shipper
has tendered a payment in accordance with part 375, subpart G, of this
subchapter, is liable for a civil penalty of not less than $16,941 for
each violation. Each day of a continuing violation constitutes a
separate offense.
* * * * *
(22) A broker for transportation of household goods who makes an
estimate of the cost of transporting any such goods before entering
into an agreement with a motor carrier to provide transportation of
household goods subject to FMCSA jurisdiction is liable to the United
States for a civil penalty of not less than $13,072 for each violation.
(23) A person who provides transportation of household goods
subject to jurisdiction under 49 U.S.C. chapter 135, subchapter I, or
provides broker services for such transportation, without being
registered under 49 U.S.C. chapter 139 to provide such transportation
or services as a motor carrier or broker, as the case may be, is liable
to the United States for a civil penalty of not less than $32,679 for
each violation.
(h) Copying of records and access to equipment, lands, and
buildings. A person subject to 49 U.S.C. chapter 51 or a motor carrier,
broker, freight forwarder, or owner or operator of a commercial motor
vehicle subject to part B of subtitle VI of title 49 U.S.C. who fails
to allow promptly, upon demand in person or in writing, the Federal
Motor Carrier Safety Administration, an employee designated by the
Federal Motor Carrier Safety Administration, or an employee of a MCSAP
grant recipient to inspect and copy any record or inspect and examine
equipment, lands, buildings, and other property, in accordance with 49
U.S.C. 504(c), 5121(c), and 14122(b), is subject to a civil penalty of
not more than $1,307 for each offense. Each day of a continuing
violation constitutes a separate offense, except that the total of all
civil penalties against any violator for all offenses related to a
single violation shall not exceed $13,072.
(i) Evasion. A person, or an officer, employee, or agent of that
person:
(1) Who by any means tries to evade regulation of motor carriers
under title 49, United States Code, chapter 5, chapter 51, subchapter
III of chapter 311 (except sections 31138 and 31139) or section 31302,
31303, 31304, 31305(b), 31310(g)(1)(A), or 31502, or a regulation in
subtitle B, chapter I, subchapter C of this title, or this subchapter,
issued under any of those provisions, shall be fined at least $2,252
but not more than $5,628 for the first violation and at least $2,813
but not more than $8,433 for a subsequent violation.
(2) Who tries to evade regulation under part B of subtitle IV,
title 49, U.S.C., for carriers or brokers is liable for a penalty of at
least $2,252 for the first violation or at least $5,628 for a
subsequent violation.
PART 578--CIVIL AND CRIMINAL PENALTIES
0
96. The authority citation for part 578 is revised to read as follows:
Authority: Pub. L. 92-513, Pub. L. 94-163, Pub. L. 98-547, Pub.
L. 101-410, Pub. L. 102-388, Pub. L. 102-519, Pub. L. 104-134, Pub.
L. 109-59, Pub. L. 110-140, Pub. L. 112-141, Pub. L. 114-74, Pub. L.
114-94 (49 U.S.C. 30165, 30170, 30505, 32308, 32309, 32507, 32709,
32710, 32902, 32912, 33114, and 33115); delegation of authority at
49 CFR 1.81, 1.95.
0
97. In Sec. 578.6, revise paragraphs (a)(1), (a)(2)(i)(B), (a)(3) and
(4), (b) through (g), (h)(1), and (i) to read as follows:
Sec. 578.6 Civil penalties for violations of specified provisions of
Title 49 of the United States Code.
(a) * * *
(1) In general. A person who violates any of sections 30112, 30115,
30117 through 30122, 30123(a), 30125(c), 30127, or 30141 through 30147
of Title 49 of the United States Code or a regulation in this chapter
prescribed under any of those sections is liable to the United States
Government for a civil penalty of not more than $22,992 for each
violation. A separate violation occurs for each motor vehicle or item
of motor vehicle equipment and for each failure or refusal to allow or
perform an act required by any of those sections. The maximum civil
penalty under this paragraph (a)(1) for a related series of violations
is $114,954,525.
(2) * * *
(i) * * *
(B) Violates section 30112(a)(2) of Title 49 United States Code,
shall be subject to a civil penalty of not more than $13,072 for each
violation. A separate violation occurs for each motor vehicle or item
of motor vehicle equipment and for each failure or refusal to allow or
perform an act required by this section. The maximum penalty under this
paragraph (a)(2)(i)(B) for a related series of violations is
$19,607,465.
(3) Section 30166. A person who violates Section 30166 of Title 49
of the United States Code or a regulation in this chapter prescribed
under that section is liable to the United States Government for a
civil penalty for failing or refusing to allow or perform an act
required under that section or regulation. The maximum penalty under
this paragraph (a)(3) is $22,992 per violation per day. The maximum
penalty under this paragraph (a)(3) for a related series of daily
violations is $114,954,525.
(4) False and misleading reports. A person who knowingly and
willfully submits materially false or misleading information to the
Secretary, after certifying the same information as accurate under the
certification process established pursuant to Section 30166(o) of Title
49 of the United States Code, shall be subject to a civil penalty of
not more than $5,628 per day. The maximum penalty under this paragraph
(a)(4) for a related series of daily violations is $1,125,668.
(b) National Automobile Title Information System. An individual or
entity violating 49 U.S.C. Chapter 305 is liable to the United States
Government for a civil penalty of not more than $1,814 for each
violation.
(c) Bumper standards. (1) A person that violates 49 U.S.C. 32506(a)
is liable to the United States Government for a civil penalty of not
more than $3,011 for each violation. A separate violation occurs for
each passenger motor vehicle or item of passenger motor vehicle
equipment involved in a violation of 49 U.S.C. 32506(a)(1) or (4)--
(i) That does not comply with a standard prescribed under 49 U.S.C.
32502; or
(ii) For which a certificate is not provided, or for which a false
or
[[Page 23260]]
misleading certificate is provided, under 49 U.S.C. 32504.
(2) The maximum civil penalty under this paragraph (c) for a
related series of violations is $3,352,932.
(d) Consumer information--(1) Crash-worthiness and damage
susceptibility. A person who violates 49 U.S.C. 32308(a), regarding
crashworthiness and damage susceptibility, is liable to the United
States Government for a civil penalty of not more than $3,011 for each
violation. Each failure to provide information or comply with a
regulation in violation of 49 U.S.C. 32308(a) is a separate violation.
The maximum penalty under this paragraph (d)(1) for a related series of
violations is $1,642,208.
(2) Consumer tire information. Any person who fails to comply with
the national tire fuel efficiency program under 49 U.S.C. 32304A is
liable to the United States Government for a civil penalty of not more
than $62,314 for each violation.
(e) Country of origin content labeling. A manufacturer of a
passenger motor vehicle distributed in commerce for sale in the United
States that willfully fails to attach the label required under 49
U.S.C. 32304 to a new passenger motor vehicle that the manufacturer
manufactures or imports, or a dealer that fails to maintain that label
as required under 49 U.S.C. 32304, is liable to the United States
Government for a civil penalty of not more than $1,835 for each
violation. Each failure to attach or maintain that label for each
vehicle is a separate violation.
(f) Odometer tampering and disclosure. (1) A person that violates
49 U.S.C. Chapter 327 or a regulation in this chapter prescribed or
order issued thereunder is liable to the United States Government for a
civil penalty of not more than $11,256 for each violation. A separate
violation occurs for each motor vehicle or device involved in the
violation. The maximum civil penalty under this paragraph (f)(1) for a
related series of violations is $1,125,668.
(2) A person that violates 49 U.S.C. Chapter 327 or a regulation in
this chapter prescribed or order issued thereunder, with intent to
defraud, is liable for three times the actual damages or $11,256,
whichever is greater.
(g) Vehicle theft protection. (1) A person that violates 49 U.S.C.
33114(a)(1)-(4) is liable to the United States Government for a civil
penalty of not more than $2,473 for each violation. The failure of more
than one part of a single motor vehicle to conform to an applicable
standard under 49 U.S.C. 33102 or 33103 is only a single violation. The
maximum penalty under this paragraph (g)(1) for a related series of
violations is $618,201.
(2) A person that violates 49 U.S.C. 33114(a)(5) is liable to the
United States Government for a civil penalty of not more than $183,629
a day for each violation.
(h) * * *
(1) A person that violates 49 U.S.C. 32911(a) is liable to the
United States Government for a civil penalty of not more than $43,280
for each violation. A separate violation occurs for each day the
violation continues.
* * * * *
(i) Medium- and heavy-duty vehicle fuel efficiency. The maximum
civil penalty for a violation of the fuel consumption standards of 49
CFR part 535 is not more than $42,621 per vehicle or engine. The
maximum civil penalty for a related series of violations shall be
determined by multiplying $42,621 times the vehicle or engine
production volume for the model year in question within the regulatory
averaging set.
Signed in Washington, DC, on April 16, 2021:
Peter Paul Montgomery Buttigieg,
Secretary of Transportation.
[FR Doc. 2021-08224 Filed 4-30-21; 8:45 am]
BILLING CODE P
