Revisions to Civil Penalty Amounts

As Enacted ( Federal Register)

Cited authorities 89

Cited in

Published date	11 January 2021
Citation	86 FR 1745
Record Number	2020-25236
Section	Rules and Regulations
Court	Federal Aviation Administration,Federal Motor Carrier Safety Administration,Federal Railroad Administration,Maritime Administration,National Highway Traffic Safety Administration,Saint Lawrence Seaway Development Corporation

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28 U.S.C. 2461 note.

the FDIC adopts without change the

regulations on collection by

administrative offset set forth at 31 CFR

901.3 and other relevant sections of the

Federal Claims Collection Standards

applicable to such offset, to the extent

those regulations are consistent with

this subpart.

(d) Nothing in this subpart precludes

the collection of debts through any other

available means or precludes the FDIC

from engaging in litigation or the

compromise of debt as provided under

12 U.S.C. 1818(i) or any other applicable

law or regulation.

§§ 313.185 through 313.190 [Reserved]

Federal Deposit Insurance Corporation.

By order of the Board of Directors.

Dated at Washington, DC, on December 15,

2020.

James P. Sheesley,

Assistant Executive Secretary.

[FR Doc. 2020–27955 Filed 1–8–21; 8:45 am]

BILLING CODE 6714–01–P

DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 13

Office of the Secretary

14 CFR Part 383

Federal Aviation Administration

14 CFR Part 406

Saint Lawrence Seaway Development

Corporation

33 CFR Part 401

Maritime Administration

46 CFR Parts 221, 307, 340, and 356

Pipeline and Hazardous Materials

Safety Administration

49 CFR Parts 107, 171, and 190

Federal Railroad Administration

49 CFR Parts 209, 213, 214, 215, 216,

217, 218, 219, 220, 221, 222, 223, 224,

225, 227, 228, 229, 230, 231, 232, 233,

234, 235, 236, 237, 238, 239, 240, 241,

242, 243, 244, and 272

Federal Motor Carrier Safety

Administration

49 CFR Part 386

National Highway Traffic Safety

Administration

49 CFR Part 578

RIN 2105–AE90

Revisions to Civil Penalty Amounts

AGENCY

: Department of Transportation

(DOT or the Department).

ACTION

: Final rule.

SUMMARY

: In accordance with the

Federal Civil Penalties Inflation

Adjustment Act Improvements Act of

2015, this final rule provides the 2020

inflation adjustment to civil penalty

amounts that may be imposed for

violations of certain DOT regulations. In

additional, this final rule makes

conforming revisions to Federal Motor

Carrier Safety Administration

regulations to reflect inflationary

adjustments to the statutorily-mandated

civil penalties for violations of Federal

law.

DATES

: Effective January 11, 2021.

FOR FURTHER INFORMATION CONTACT

Analiese Marchesseault, Attorney-

Advisor, Office of the General Counsel,

U.S. Department of Transportation, 1200

New Jersey Ave. SE, Washington, DC

20590, analiese.marchesseault@dot.gov.

SUPPLEMENTARY INFORMATION

Authority for This Rulemaking

This rule implements the Federal

Civil Penalties Inflation Adjustment Act

of 1990 (FCPIAA), Public Law 101–410,

as amended by the Federal Civil

Penalties Inflation Adjustment Act

Improvements Act of 2015 (2015 Act),

Public Law 114–74, 129 Stat. 599,

codified at 28 U.S.C. 2461 note. The

FCPIAA and the 2015 Act require

Federal agencies to adjust minimum and

maximum civil penalty amounts for

inflation to preserve their deterrent

impact. The 2015 Act amended the

formula and frequency of inflation

adjustments. It required an initial catch-

up adjustment in the form of an interim

final rule, followed by annual

adjustments of civil penalty amounts

using a statutorily mandated formula.

Section 4(b)(2) of the 2015 Act

specifically directs that the annual

adjustment be accomplished through

final rule without notice and comment.

This rule is effective immediately.

This rule also implements the

authority to assess civil penalties for

violations concerning the Drug and

Alcohol Clearinghouse, set forth in

section 34202 of the Moving Ahead for

Progress in the 21st Century Act (MAP–

21), Public Law 112–141, 126 Stat. 405,

codified at 49 U.S.C. 31306a(k)(1).

The Department’s authorities over the

specific civil penalty regulations being

amended by this rule are provided in

the preamble discussion below.

I. Background

On November 2, 2015, the President

signed into law the 2015 Act, which

amended the FCPIAA, to improve the

effectiveness of civil monetary penalties

and to maintain their deterrent effect.

The 2015 Act requires Federal agencies

to: (1) Adjust the level of civil monetary

penalties with an initial ‘‘catch-up’’

adjustment through an interim final rule

(IFR); and (2) make subsequent annual

adjustments for inflation.

The 2015 Act directed the Office of

Management and Budget (OMB) to issue

guidance on implementing the required

annual inflation adjustment no later

than December 15 of each year.

December 16, 2019, OMB released this

required guidance, in OMB

Memorandum M–20–05, which

provides instructions on how to

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Public Law 114–190, section 2104(b), 130 Stat.

615, 620 (July 15, 2016) (codified at 49 U.S.C. 46301

note).

Under OMB Memorandum M–16–06, new civil

monetary penalties are not adjusted for inflation the

first year they are in effect. Because this penalty

was enacted on July 15, 2016, it would not have

been first adjusted until 2018.

Public Law 115–254, section 363, 132 Stat.

3186, 3308 (Oct. 5, 2018) (codified at 49 U.S.C.

44802 note).

OMB Memorandum M–16–06.

calculate the 2020 annual adjustment.

To derive the 2020 adjustment, the

Department must multiply the

maximum or minimum penalty amount

by the percent change between the

October 2019 Consumer Price Index for

All Urban Consumers (CPI–U) and the

October 2018 CPI–U. In this case, as

explained in OMB Memorandum M–20–

05, the percent change between the

October 2019 CPI–U and the October

2018 CPI–U is 1.01764.

II. Dispensing With Notice and

Comment

This final rule is being published

without notice and comment and with

an immediate effective date.

The 2015 Act provides clear direction

for how to adjust the civil penalties, and

clearly states at section 4(b)(2) that this

adjustment shall be made

‘‘notwithstanding section 553 of title 5,

United States Code.’’ By operation of the

2015 Act, DOT must publish an annual

adjustment by January 15 of every year,

and the new levels take effect upon

publication of the rule. In addition, as

noted above, MAP–21 provides explicit

authority to assess civil penalties for

violations of 49 U.S.C. 31306a.

Accordingly, DOT is publishing this

final rule without prior notice and

comment, and with an immediate

effective date.

III. Discussion of the Final Rule

In 2016, OST and DOT’s operating

administrations with civil monetary

penalties promulgated the ‘‘catch up’’

IFR required by the 2015 Act. All DOT

operating administrations have already

finalized their ‘‘catch up’’ IFRs and this

rule makes the annual inflation

adjustment required by the 2015 Act.

The Department emphasizes that this

rule adjusts penalties prospectively, and

therefore the penalty adjustments made

by this rule will apply only to violations

that take place after this rule becomes

effective. This rule also does not change

previously assessed or enforced

penalties that DOT is actively collecting

or has collected.

A. OST 2020 Adjustments

OST’s 2020 civil penalty adjustments

are summarized in the chart below.

Description Citation Existing penalty

New penalty

(existing penalty

× 1.01764)

General civil penalty for violations of certain aviation economic regula-

tions and statutes. 49 U.S.C. 46301(a)(1) .......... $34,174 $34,777

General civil penalty for violations of certain aviation economic regula-

tions and statutes involving an individual or small business concern. 49 U.S.C. 46301(a)(1) .......... 1,503 1,530

Civil penalties for individuals or small 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.

49 U.S.C. 46301(a)(5)(A) ..... 13,669 13,910

Civil penalties for individuals or small businesses for violations of 49

U.S.C. 41719 and rules and orders issued pursuant to that provision. 49 U.S.C. 46301(a)(5)(C) ..... 6,834 6,955

Civil penalties for individuals or small businesses for violations of 49

U.S.C. 41712 or consumer protection rules and orders issued pursuant

to that provision.

49 U.S.C. 46301(a)(5)(D) ..... 3,418 3,478

B. FAA 2020 Adjustments

FAA recently discovered that it had

not adjusted the maximum civil penalty

for certain laser pointer violations.

Consistent with the intent of the law

and to ensure uniform year-over-year

application of the 2015 Act, the 2020

update is being calculated as if the

missed 2018 and 2019 updates had

occurred. No violations will be assessed

at the 2018 or 2019 amounts. They are

included in the chart below to show the

FAA’s calculations clearly.

Description Citation

Initial penalty

(2016)

Unpromulgated

2018 penalty

(initial penalty

× 1.02041)

Unpromulgated

2019 penalty

(2018 penalty

× 1.02522)

New penalty

(2019 penalty

× 1.01764)

Individual who aims the beam of a

laser pointer at an aircraft in the air-

space jurisdiction of the United

States, or at the flight path of such

an aircraft.

49 U.S.C. 46301 note .. $25,000 $25,510 $26,153 $26,614

On October 5, 2018, Congress enacted

a statutory penalty for operating an

unmanned aircraft or unmanned aircraft

system equipped or armed with a

dangerous weapon.

It was not adjusted

in 2019 because, per OMB guidance,

new civil monetary penalties are not

adjusted for inflation the first year they

are in effect.

This year is thus its first

adjustment.

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Description Citation

Initial penalty

(2018)

New penalty

(initial penalty

× 1.01764)

Operation of an unmanned aircraft or unmanned aircraft system

equipped or armed with a dangerous weapon. 49 U.S.C. 44802 note ......................... $25,000 $25,441

The rest of FAA’s 2020 adjustments

are summarized in the chart below.

Description Citation Existing penalty

New penalty

(existing penalty

× 1.01764)

Violation of hazardous materials transportation law ..................... 49 U.S.C. 5123(a)(1) ........................... $81,993 $83,439

Violation of hazardous materials transportation law resulting in

death, serious illness, severe injury, or substantial property

destruction.

49 U.S.C. 5123(a)(2) ........................... 191,316 194,691

Minimum penalty for violation of hazardous materials transpor-

tation law relating to training. 49 U.S.C. 5123(a)(3) ........................... 493 502

Maximum penalty for violation of hazardous materials transpor-

tation law relating to training. 49 U.S.C. 5123(a)(3) ........................... 81,993 83,439

Violation by a person other 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) ......................... 34,174 34,777

Violation by an airman 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) ......................... 1,501 1,527

Violation by an individual or 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)).

49 U.S.C. 46301(a)(1) ......................... 1,501 1,527

Violation by an individual or 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)(A) .................... 13,669 13,910

Violation by an individual or small business concern related to

the transportation of hazardous materials. 49 U.S.C. 46301(a)(5)(B)(i) ................. 13,669 13,910

Violation by an individual or 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)(ii) ................ 13,669 13,910

Violation by an individual or small business concern of 49

U.S.C. 44718(d), relating to limitation on construction or es-

tablishment of landfills.

49 U.S.C. 46301(a)(5)(B)(iii) ............... 13,669 13,910

Violation by an individual or small business concern of 49

U.S.C. 44725, relating to the safe disposal of life-limited air-

craft parts.

49 U.S.C. 46301(a)(5)(B)(iv) ............... 13,669 13,910

Tampering with a smoke alarm device ......................................... 49 U.S.C. 46301(b) ............................. 4,388 4,465

Knowingly providing false information about alleged violation in-

volving the special aircraft jurisdiction of the United States. 49 U.S.C. 46302 .................................. 23,832 24,252

Interference with cabin or flight crew ............................................ 49 U.S.C. 46318 .................................. 35,883 36,516

Permanent closure of an airport without providing sufficient no-

tice. 49 U.S.C. 46319 .................................. 13,669 13,910

Operating an unmanned aircraft and in so doing knowingly or

recklessly interfering with a wildfire suppression, law enforce-

ment, or emergency response effort.

49 U.S.C. 46320 .................................. 20,923 21,292

Violation of 51 U.S.C. 50901–50923, a regulation issued under

these statutes, or any term or condition of a license or permit

issued or transferred under these statutes..

51 U.S.C. 50917(c) ............................. 240,155 244,391

In addition to the civil penalties listed

in the above charts, FAA regulations

also provide for maximum civil

penalties for violation of 49 U.S.C.

47528–47530, relating to the prohibition

of operating certain aircraft not

complying with stage 3 noise levels.

Those civil penalties are identical to the

civil penalties imposed under 49 U.S.C.

46301(a)(1) and (a)(5), which are

detailed in the above chart, and

therefore, the noise-level civil penalties

will be adjusted in the same manner as

the section 46301(a)(1) and (a)(5) civil

penalties.

C. NHTSA 2020 Adjustments

NHTSA’s 2020 civil penalty

adjustments are summarized in the

chart below.

Description Citation Existing penalty

New penalty

(existing penalty

× 1.01764

Maximum penalty amount for each violation of the Safety Act .... 49 U.S.C. 30165(a)(1), 30165(a)(3) .... $22,329 $22,723

Maximum penalty amount for a related series of violations of the

Safety Act. 49 U.S.C. 30165(a)(1), 30165(a)(3) .... 111,642,265 113,611,635

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Section (g)(5) is revised to reflect the

termination of the North American Free Trade

Agreement and the adoption of the United States

Mexico Canada Agreement (USMCA), which came

into effect July 1, 2020. FMCSA is examining its

regulations and considering what additional

revisions, if any, are needed in light of USMCA.

Description Citation Existing penalty

New penalty

(existing penalty

× 1.01764

Maximum penalty per school bus related violation of the Safety

Act. 49 U.S.C. 30165(a)(2)(A) .................... 12,695 12,919

Maximum penalty amount for a series of school bus related vio-

lations of the Safety Act. 49 U.S.C. 30165(a)(2)(B) .................... 19,042,502 19,378,412

Maximum penalty per violation for filing false or misleading re-

ports. 49 U.S.C. 30165(a)(4) ......................... 5,466 5,562

Maximum penalty amount for a series of violations related to fil-

ing false or misleading reports. 49 U.S.C. 30165(a)(4) ......................... 1,093,233 1,112,518

Maximum penalty amount for each violation of the reporting re-

quirements related to maintaining the National Motor Vehicle

Title Information System.

49 U.S.C. 30505 .................................. 1,783 1,814

Maximum penalty amount for each violation of a bumper stand-

ard under the Motor Vehicle Information and Cost Savings Act

(Pub. L. 92–513, 86 Stat. 953, (1972)).

49 U.S.C. 32507(a) ............................. 2,924 2,976

Maximum penalty amount for a series of violations of a bumper

standard under the Motor Vehicle Information and Cost Sav-

ings Act (Pub. L. 92–513, 86 Stat. 953, (1972)).

49 U.S.C. 32507(a) ............................. 3,256,233 3,313,763

Maximum penalty amount for each violation of 49 U.S.C.

32308(a) related to providing information on crashworthiness

and damage susceptibility.

49 U.S.C. 32308(b) ............................. 2,924 2,976

Maximum penalty amount for a series of violations of 49 U.S.C.

32308(a) related to providing information on crashworthiness

and damage susceptibility.

49 U.S.C. 32308(b) ............................. 1,594,890 1,623,024

Maximum penalty for each violation related to the tire fuel effi-

ciency information program. 49 U.S.C. 32308(c) ............................. 60,518 61,586

Maximum civil penalty for willfully failing to affix, or failing to

maintain, the label requirement in the American Automobile

Labeling Act (Pub. L. 102–388, 106 Stat. 1556 (1992)).

49 U.S.C. 32309 .................................. 1,783 1,814

Maximum penalty amount per violation related to odometer tam-

pering and disclosure. 49 U.S.C. 32709 .................................. 10,932 11,125

Maximum penalty amount for a related series of violations re-

lated to odometer tampering and disclosure. 49 U.S.C. 32709 .................................. 1,093,233 1,112,518

Maximum penalty amount per violation related to odometer tam-

pering and disclosure with intent to defraud. 49 U.S.C. 32710 .................................. 10,932 11,125

Maximum penalty amount for each violation of the Motor Vehicle

Theft Law Enforcement Act of 1984 (Vehicle Theft Act), sec.

608, Pub. L. 98–547, 98 Stat. 2762 (1984).

49 U.S.C. 33115(a) ............................. 2,402 2,444

Maximum penalty amount for a related series of violations of the

Motor Vehicle Theft Law Enforcement Act of 1984 (Vehicle

Theft Act), sec. 608, Pub. L. 98–547, 98 Stat. 2762 (1984).

49 U.S.C. 33115(a) ............................. 600,388 610,979

Maximum civil penalty for violations of the Anti-Car Theft Act

(Pub. L. 102–519, 106 Stat. 3393 (1992)) related to operation

of a chop shop.

49 U.S.C. 33115(b) ............................. 178,338 181,484

Maximum civil penalty for violations under 49 U.S.C. 32911(a)

related to automobile fuel economy. 49 U.S.C 32912(a) .............................. 42,530 43,280

Maximum civil penalty for a violation under the medium- and

heavy-duty vehicle fuel efficiency program. 49 U.S.C. 32902 .................................. 41,882 42,621

D. FMCSA 2020 Adjustments and

Revisions

FMCSA’s civil penalties affected by

this rule are all located in appendices A

and B to 49 CFR part 386. Section

31306a(k) of title 49 requires FMCSA to

assess civil penalties under 49 U.S.C.

521(b)(2)(C) for violations concerning

the Drug and Alcohol Clearinghouse. To

comply with this mandate, FMCSA

revises appendix B to include civil

penalties for an employer, employee,

medical review officer, or service agent

who violates the regulations

implementing the Drug and Alcohol

Clearinghouse at 49 CFR part 382,

subpart G. FMCSA also makes

conforming changes to 49 CFR part 386,

appendix B (a)(1)–(4). The 2020

adjustments to these civil penalties are

summarized in the chart below.

Description Citation Existing penalty

New penalty

(existing penalty

× 1.01764)

Appendix A II Subpoena ................................................................ 49 U.S.C. 525 ...................................... $1,093 $1,112

Appendix A II Subpoena ................................................................ 49 U.S.C. 525 ...................................... 10,932 11,125

Appendix A IV (a) Out-of-service order (operation of CMV by

driver). 49 U.S.C. 521(b)(7) ............................. 1,895 1,928

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Description Citation Existing penalty

New penalty

(existing penalty

× 1.01764)

Appendix A IV (b) Out-of-service order (requiring or permitting

operation of CMV by driver). 49 U.S.C. 521(b)(7)) ............................ 18,943 19,277

Appendix A IV (c) Out-of-service order (operation by driver of

CMV or intermodal equipment that was placed out of service). 49 U.S.C. 521(b)(7) ............................. 1,895 1,928

Appendix A IV (d) Out-of-service order (requiring or permitting

operation of CMV or intermodal equipment that was placed

out of service).

49 U.S.C. 521(b)(7) ............................. 18,943 19,277

Appendix A IV (e) Out-of-service order (failure to return written

certification of correction). 49 U.S.C. 521(b)(2)(B) ........................ 947 964

Appendix A IV (g) Out-of-service order (failure to cease oper-

ations as ordered). 49 U.S.C. 521(b)(2)(F) ........................ 27,331 27,813

Appendix A IV (h) Out-of-service order (operating in violation of

order). 49 U.S.C. 521(b)(7) ............................. 24,017 24,441

Appendix A IV (i) Out-of-service order (conducting operations

during suspension or revocation for failure to pay penalties). 49 U.S.C. 521(b)(2)(A) and (b)(7)) ...... 15,419 15,691

Appendix A IV (j) (conducting operations during suspension or

revocation). 49 U.S.C. 521(b)(7) ............................. 24,017 24,441

Appendix B (a)(1) Recordkeeping—maximum penalty per day .... 49 U.S.C. 521(b)(2)(B)(i) ..................... 1,270 1,292

Appendix B (a)(1) Recordkeeping—maximum total penalty ......... 49 U.S.C. 521(b)(2)(B)(i) ..................... 12,695 12,919

Appendix B (a)(2) Knowing falsification of records ....................... 49 U.S.C. 521(b)(2)(B)(ii) .................... 12,695 12,919

Appendix B (a)(3) Non-recordkeeping violations .......................... 49 U.S.C. 521(b)(2)(A) ........................ 15,419 15,691

Appendix B (a)(4) Non-recordkeeping violations by drivers ......... 49 U.S.C. 521(b)(2)(A) ........................ 3,855 3,923

Appendix B (a)(5) Violation of 49 CFR 392.5 (first conviction) ..... 49 U.S.C. 31310(i)(2)(A) ..................... 3,174 3,230

Appendix B (a)(5) Violation of 49 CFR 392.5 (second or subse-

quent conviction). 49 U.S.C. 31310(i)(2)(A) ..................... 6,348 6,460

Appendix B (b) Commercial driver’s license (CDL) violations ...... 49 U.S.C. 521(b)(2)(C) ........................ 5,732 5,833

Appendix B (b)(1): Special penalties pertaining to violation of

out-of-service orders (first conviction). 49 U.S.C. 31310(i)(2)(A) ..................... 3,174 3,230

Appendix B (b)(1) Special penalties pertaining to violation of out-

of-service orders (second or subsequent conviction). 49 U.S.C. 31310(i)(2)(A) ..................... 6,348 6,460

Appendix B (b)(2) Employer violations pertaining to knowingly al-

lowing, authorizing employee violations of out-of-service order

(minimum penalty).

49 U.S.C. 521(b)(2)(C) ........................ 5,732 5,833

Appendix B (b)(2) Employer violations pertaining to knowingly al-

lowing, authorizing employee violations of out-of-service order

(maximum penalty).

49 U.S.C. 31310(i)(2)(C) ..................... 31,737 32,297

Appendix B (b)(3) Special penalties pertaining to railroad-high-

way grade crossing violations. 49 U.S.C. 31310(j)(2)(B) ..................... 16,453 16,743

Appendix B (d) Financial responsibility violations ......................... 49 U.S.C. 31138(d)(1), 31139(g)(1) .... 16,915 17,213

Appendix B (e)(1) Violations of Hazardous Materials Regulations

(HMRs) and Safety Permitting Regulations (transportation or

shipment of hazardous materials).

49 U.S.C. 5123(a)(1) ........................... 81,993 83,439

Appendix B (e)(2) Violations of Hazardous Materials Regulations

(HMRs) and Safety Permitting Regulations (training)—min-

imum penalty.

49 U.S.C. 5123(a)(3) ........................... 493 502

Appendix B (e)(2): Violations of Hazardous Materials Regula-

tions (HMRs) and Safety Permitting Regulations (training)—

maximum penalty.

49 U.S.C. 5123(a)(1) ........................... 81,993 83,439

Appendix B (e)(3) Violations of Hazardous Materials Regulations

(HMRs) and Safety Permitting Regulations (packaging or con-

tainer).

49 U.S.C. 5123(a)(1) ........................... 81,993 83,439

Appendix B (e)(4): Violations of Hazardous Materials Regula-

tions (HMRs) and Safety Permitting Regulations (compliance

with FMCSRs).

49 U.S.C. 5123(a)(1) ........................... 81,993 83,439

Appendix B (e)(5) Violations of Hazardous Materials Regulations

(HMRs) and Safety Permitting Regulations (death, serious ill-

ness, severe injury to persons; destruction of property).

49 U.S.C. 5123(a)(2) ........................... 191,316 194,691

Appendix B (f)(1) Operating after being declared unfit by assign-

ment of a final ‘‘unsatisfactory’’ safety rating (generally). 49 U.S.C. 521(b)(2)(F) ........................ 27,331 27,813

Appendix B (f)(2) Operating after being declared unfit by assign-

ment of a final ‘‘unsatisfactory’’ safety rating (hazardous mate-

rials)—maximum penalty.

49 U.S.C. 5123(a)(1) ........................... 81,993 83,439

Appendix B (f)(2): Operating after being declared unfit by as-

signment of a final ‘‘unsatisfactory’’ safety rating (hazardous

materials)—maximum penalty if death, serious illness, severe

injury to persons; destruction of property.

49 U.S.C. 5123(a)(2) ........................... 191,316 194,691

Appendix B (g)(1): Violations of the commercial regulations (CR)

(property carriers). 49 U.S.C. 14901(a) ............................. 10,932 11,125

Appendix B (g)(2) Violations of the CRs (brokers) ....................... 49 U.S.C. 14916(c) ............................. 10,932 11,125

Appendix B (g)(3) Violations of the CRs (passenger carriers) ..... 49 U.S.C. 14901(a) ............................. 27,331 27,813

Appendix B (g)(4) Violations of the CRs (foreign motor carriers,

foreign motor private carriers). 49 U.S.C. 14901(a) ............................. 10,932 11,125

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Description Citation Existing penalty

New penalty

(existing penalty

× 1.01764)

Appendix B (g)(5) Violations of the operating authority require-

ment (foreign motor carriers, foreign motor private carriers)—

maximum penalty for intentional violation

49 U.S.C. 14901 note ......................... 15,034 15,299

Appendix B (g)(5) Violations of the operating authority require-

ment (foreign motor carriers, foreign motor private carriers)—

maximum penalty for a pattern of intentional violations.

49 U.S.C. 14901 note ......................... 37,587 38,250

Appendix B (g)(6) Violations of the CRs (motor carrier or broker

for transportation of hazardous wastes)—minimum penalty. 49 U.S.C. 14901(b) ............................. 21,865 22,251

Appendix B (g)(6) Violations of the CRs (motor carrier or broker

for transportation of hazardous wastes)—maximum penalty. 49 U.S.C. 14901(b) ............................. 43,730 44,501

Appendix B (g)(7): Violations of the CRs (HHG carrier or freight

forwarder, or their receiver or trustee). I49 U.S.C. 14901(d)(1) ........................ 1,644 1,673

Appendix B (g)(8) Violation of the CRs (weight of HHG ship-

ment, charging for services)—minimum penalty for first viola-

tion.

49 U.S.C. 14901(e) ............................. 3,291 3,349

Appendix B (g)(8) Violation of the CRs (weight of HHG ship-

ment, charging for services)—subsequent violation. 49 U.S.C. 14901(e) ............................. 8,227 8,372

Appendix B (g)(10) Tariff violations ............................................... 49 U.S.C. 13702, 14903 ..................... 164,531 167,433

Appendix B (g)(11) Additional tariff violations (rebates or conces-

sions)—first violation. 49 U.S.C. 14904(a) ............................. 328 334

Appendix B (g)(11) Additional tariff violations (rebates or conces-

sions)—subsequent violations. 49 U.S.C. 14904(a) ............................. 411 418

Appendix B (g)(12): Tariff violations (freight forwarders)—max-

imum penalty for first violation. 49 U.S.C. 14904(b)(1) ......................... 823 838

Appendix B (g)(12): Tariff violations (freight forwarders)—max-

imum penalty for subsequent violations. 49 U.S.C. 14904(b)(1) ......................... 3,291 3,349

Appendix B (g)(13): service from freight forwarder at less than

rate in effect—maximum penalty for first violation. 49 U.S.C. 14904(b)(2) ......................... 823 838

Appendix B (g)(13): service from freight forwarder at less than

rate in effect—maximum penalty for subsequent violation(s). 49 U.S.C. 14904(b)(2) ......................... 3,291 3,349

Appendix B (g)(14): Violations related to loading and unloading

motor vehicles. 49 U.S.C. 14905 .................................. 16,453 16,743

Appendix B (g)(16): Reporting and recordkeeping under 49

U.S.C. subtitle IV, part B (except 13901 and 13902(c))—min-

imum penalty.

49 U.S.C. 14901 .................................. 1,093 1,112

Appendix B (g)(16): Reporting and recordkeeping under 49

U.S.C. subtitle IV, part B—maximum penalty. 49 U.S.C. 14907 .................................. 8,227 8,372

Appendix B (g)(17): Unauthorized disclosure of information ........ 49 U.S.C. 14908 .................................. 3,291 3,349

Appendix B (g)(18): Violation of 49 U.S.C. subtitle IV, part B, or

condition of registration. 49 U.S.C. 14910 .................................. 823 838

Appendix B (g)(21)(i): Knowingly and willfully fails to deliver or

unload HHG at destination. 49 U.S.C. 14915 .................................. 16,453 16,743

Appendix B (g)(22): HHG broker estimate before entering into

an agreement with a motor carrier. 49 U.S.C. 14901(d)(2) ......................... 12,695 12,919

Appendix B (g)(23): HHG transportation or broker services—reg-

istration requirement. 49 U.S.C. 14901 (d)(3) ........................ 31,737 32,297

Appendix B (h): Copying of records and access to equipment,

lands, and buildings—maximum penalty per day. 49 U.S.C. 521(b)(2)(E) ........................ 1,270 1,292

Appendix B (h): Copying of records and access to equipment,

lands, and buildings—maximum total penalty. 49 U.S.C. 521(b)(2)(E) ........................ 12,695 12,919

Appendix B (i)(1): Evasion of regulations 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.

49 U.S.C. 524 ...................................... 2,187 2,226

Appendix B (i)(1): Evasion of regulations 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.

49 U.S.C. 524 ...................................... 5,466 5,562

Appendix B (i)(1): Evasion of regulations 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).

49 U.S.C. 524 ...................................... 2,732 2,780

Appendix B (i)(1): Evasion of regulations 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).

49 U.S.C. 524 ...................................... 8,199 8,344

Appendix B (i)(2): Evasion of regulations under 49 U.S.C. sub-

title IV, part B—minimum penalty for first violation. 49 U.S.C. 14906 .................................. 2,187 2,226

Appendix B (i)(2): Evasion of regulations under 49 U.S.C. sub-

title IV, part B—minimum penalty for subsequent violation(s). 49 U.S.C. 14906 .................................. 5,466 5,562

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E. FRA 2020 Adjustments

FRA’s 2020 civil penalty adjustments

are summarized in the chart below.

Description Citation Existing penalty

New penalty

(existing penalty

× 1.01764)

Minimum rail safety penalty ........................................................... 49 U.S.C. ch. 213 ................................ $892 $908

Ordinary maximum rail safety penalty ........................................... 49 U.S.C. ch. 213 ................................ 29,192 29,707

Maximum penalty for an aggravated rail safety violation .............. 49 U.S.C. ch. 213 ................................ 116,766 118,826

Minimum penalty for hazardous materials training violations ....... 49 U.S.C. 5123 .................................... 493 502

Maximum penalty for ordinary hazardous materials violations ..... 49 U.S.C. 5123 .................................... 81,993 83,439

Maximum penalty for aggravated hazardous materials violations 49 U.S.C. 5123 .................................... 191,316 194,691

F. PHMSA 2020 Adjustments

PHMSA’s civil penalties affected by

this rule for hazardous materials

violations are located in 49 CFR

107.329, appendix A to subpart D of 49

CFR part 107, and § 171.1. The civil

penalties affected by this rule for

pipeline safety violations are located in

§ 190.223. PHMSA’s 2020 civil penalty

adjustments are summarized in the

chart below.

Description Citation Existing penalty

New penalty

(existing penalty

× 1.01764)

Maximum penalty for hazardous materials violation ..................... 49 U.S.C. 5123 .................................... $81,993 $83,439

Maximum penalty for hazardous materials violation that results

in death, serious illness, or severe injury to any person or sub-

stantial destruction of property.

49 U.S.C. 5123 .................................... 191,316 194,691

Minimum penalty for hazardous materials training violations ....... 49 U.S.C. 5123 .................................... 493 502

Maximum penalty for each pipeline safety violation ..................... 49 U.S.C. 60122(a)(1) ......................... 218,647 222,504

Maximum penalty for a related series of pipeline safety viola-

tions. 49 U.S.C. 60122(a)(1) ......................... 2,186,465 2,225,034

Maximum additional penalty for each liquefied natural gas pipe-

line facility violation. 49 U.S.C. 60122(a)(2) ......................... 79,875 81,284

Maximum penalty for discrimination against employees providing

pipeline safety information. 49 U.S.C. 60122(a)(3) ......................... 1,270 1,292

G. MARAD 2019 Adjustments

MARAD’s 2019 civil penalty

adjustments are summarized in the

chart below.

Description Citation Existing penalty

New penalty

(existing penalty

× 1.01764)

Maximum civil penalty for a single violation of any provision

under 46 U.S.C. Chapter 313 and all of Subtitle III related

MARAD regulations, except for violations of 46 U.S.C. 31329.

46 U.S.C. 31309 .................................. $21,038 $21,409

Maximum civil penalty for a single violation of 46 U.S.C. 31329

as it relates to the court sales of documented vessels. 46 U.S.C. 31330 .................................. 52,596 53,524

Maximum civil penalty for a single violation of 46 U.S.C. 56101

as it relates to approvals required to transfer a vessel to a

noncitizen.

46 U.S.C. 56101(e) ............................. 21,134 21,507

Maximum civil penalty for failure to file an AMVER report ........... 46 U.S.C. 50113(b) ............................. 133 135

Maximum civil penalty for violating procedures for the use and

allocation of shipping services, port facilities and services for

national security and national defense operations.

50 U.S.C. 4513 .................................... 26,582 27,051

Maximum civil penalty for violations in applying for or renewing a

vessel’s fishery endorsement. 46 U.S.C. 12151 .................................. 154,197 156,917

H. SLSDC 2020 Adjustments

SLSDC’s 2020 civil penalty

adjustment is as follows:

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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.

Description Citation Existing penalty

New penalty

(existing penalty

× 1.01764)

Maximum civil penalty for each violation of the Seaway Rules

and Regulations at 33 CFR part 401. 33 U.S.C. 1232 .................................... $94,219 $95,881

Regulatory Analysis and Notices

A. Executive Order 12866 and DOT

Regulatory Policies and Procedures

This final rule has been evaluated in

accordance with existing policies and

procedures and is considered not

significant under Executive Orders

12866 or DOT’s Regulatory Policies and

Procedures; therefore, the rule has not

been reviewed by the Office of

Management and Budget (OMB) under

Executive Order 12866.

B. Regulatory Flexibility Analysis

The Department has determined the

Regulatory Flexibility Act of 1980 (RFA)

(5 U.S.C. 601, et seq.) does not apply to

this rulemaking. The RFA applies, in

pertinent part, only when ‘‘an agency is

required . . . to publish general notice

of proposed rulemaking.’’ 5 U.S.C.

604(a).

The Small Business

Administration’s A Guide for

Government Agencies: How to Comply

with the Regulatory Flexibility Act

(2012), explains that:

If, under the [Administrative Procedure

Act (APA)] or any rule of general

applicability governing federal grants to state

and local governments, the agency is

required to publish a general notice of

proposed rulemaking (NPRM), the RFA must

be considered [citing 5 U.S.C. 604(a)].... If

an NPRM is not required, the RFA does not

apply.

As stated above, DOT has determined

that good cause exists to publish this

final rule without notice and comment

procedures under the APA. Therefore,

the RFA does not apply.

C. Executive Order 13132 (Federalism)

This final rule has been analyzed in

accordance with the principles and

criteria contained in Executive Order

13132 (‘‘Federalism’’). This regulation

has no substantial direct effects on the

States, the relationship between the

National Government and the States, or

the distribution of power and

responsibilities among the various

levels of government. It does not contain

any provision that imposes substantial

direct compliance costs on State and

local governments. It does not contain

any new provision that preempts State

law, because States are already

preempted from regulating in this area

under the Airline Deregulation Act, 49

U.S.C. 41713. Therefore, the

consultation and funding requirements

of Executive Order 13132 do not apply.

D. Executive Order 13175

This final rule has been analyzed in

accordance with the principles and

criteria contained in Executive Order

13175, Consultation and Coordination

with Indian Tribal Governments.

Because none of the measures in the

rule have tribal implications or impose

substantial direct compliance costs on

Indian tribal governments, the funding

and consultation requirements of

Executive Order 13175 do not apply.

E. Paperwork Reduction Act

Under the Paperwork Reduction Act,

before an agency submits a proposed

collection of information to OMB for

approval, it must publish a document in

the Federal Register providing notice of

and a 60-day comment period on, and

otherwise consult with members of the

public and affected agencies concerning,

each proposed collection of information.

This final rule imposes no new

information reporting or record keeping

necessitating clearance by OMB.

F. National Environmental Policy Act

The Department has analyzed the

environmental impacts of this final rule

pursuant to the National Environmental

Policy Act of 1969 (NEPA) (42 U.S.C.

4321, et seq.) and has determined that

it is categorically excluded pursuant to

DOT Order 5610.1C, Procedures for

Considering Environmental Impacts (44

FR 56420, Oct. 1, 1979 as amended July

13, 1982 and July 30, 1985). Categorical

exclusions are actions identified in an

agency’s NEPA implementing

procedures that do not normally have a

significant impact on the environment

and therefore do not require either an

environmental assessment (EA) or

environmental impact statement (EIS).

See 40 CFR 1508.4. In analyzing the

applicability of a categorical exclusion,

the agency must also consider whether

extraordinary circumstances are present

that would warrant the preparation of

an EA or EIS. Id. Paragraph 4(c)(5) of

DOT Order 5610.1C incorporates by

reference the categorical exclusions for

all DOT Operating Administrations.

This action qualifies for a categorical

exclusion in accordance with FAA

Order 1050.1F, Environmental Impacts:

Policies and Procedures, (80 FR 44208,

July 24, 2015), paragraph 5–6.6.f, which

covers regulations not expected to cause

any potentially significant

environmental impacts. The Department

does not anticipate any environmental

impacts, and there are no extraordinary

circumstances present in connection

with this final rule.

G. Unfunded Mandates Reform Act

The Department analyzed the final

rule under the factors in the Unfunded

Mandates Reform Act of 1995. The

Department considered whether the rule

includes a Federal mandate that may

result in the expenditure by State, local,

and tribal governments, in the aggregate,

or by the private sector, of $100,000,000

or more (adjusted annually for inflation)

in any one year. The Department has

determined that this final rule will not

result in such expenditures.

Accordingly, this final rule is not

subject to the Unfunded Mandates

Reform Act.

H. Executive Order 13771

Executive Order 13771, ‘‘Reducing

Regulation and Controlling Regulatory

Costs,’’ does not apply to this action

because it is nonsignificant; therefore, it

is not subject to the ‘‘2 for 1’’ and

budgeting requirements.

List of Subjects

14 CFR Part 13

Administrative practice and

procedure, Air transportation,

Hazardous materials transportation,

Investigations, Law enforcement,

Penalties.

14 CFR Part 383

Administrative practice and

procedure, Penalties.

14 CFR Part 406

Administrative procedure and review,

Commercial space transportation,

Enforcement, Investigations, Penalties,

Rules of adjudication.

33 CFR Part 401

Hazardous materials transportation,

Navigation (water), Penalties, Radio,

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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.

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

■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, 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.

■2. Amend § 13.301 by revising

paragraphs (b) and (c) to read as follows:

§ 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 January 11, 2021, notwithstanding

references to specific civil penalty

amounts elsewhere in this part.

monetary penalties are as follows:

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ABLE

§ 13.301—M

INIMUM AND

AXIMUM

IVIL

ONETARY

ENALTY

MOUNTS FOR

ERTAIN

IOLATIONS

United States Code citation Civil monetary penalty description 2019 minimum

penalty

amount

New minimum

penalty

amount for

violations

occurring on

or after

January 11,

2021, adjusted

for inflation

2019 maximum penalty

amount

New maximum penalty

amount for violations

occurring on or after

January 11, 2021,

adjusted for inflation

49 U.S.C. 5123(a)(1) ................. Violation of hazardous materials trans-

portation law. N/A N/A $81,993 ............................ $83,439.

49 U.S.C. 5123(a)(2) ................. Violation of hazardous materials trans-

portation law resulting in death, seri-

ous illness, severe injury, or sub-

stantial property destruction.

N/A N/A $191,316 .......................... $194,691.

49 U.S.C. 5123(a)(3) ................. Violation of hazardous materials trans-

portation law relating to training. $493 $502 $81,993 ............................ $83,439.

49 U.S.C. 44802 note ................ Operation of an unmanned aircraft or

unmanned aircraft system equipped

or armed with a dangerous weapon.

N/A N/A $25,000 ............................ $25,441.

49 U.S.C. 46301(a)(1) ............... Violation by a person other than an in-

dividual or small business concern

under 49 U.S.C. 46301(a)(1)(A) or

(B).

N/A N/A $34,174 ............................ $34,777.

49 U.S.C. 46301(a)(1) ............... Violation by an airman serving as an

airman under 49 U.S.C.

46301(a)(1)(A) or (B) (but not cov-

ered by 46301(a)(5)(A) or (B)).

N/A N/A $1,501 .............................. $1,527.

49 U.S.C. 46301(a)(1) ............... Violation by an individual or small busi-

ness concern under 49 U.S.C.

46301(a)(1)(A) or (B) (but not cov-

ered in 49 U.S.C. 46301(a)(5)).

N/A N/A $1,501 .............................. $1,527.

49 U.S.C. 46301(a)(3) ............... Violation of 49 U.S.C. 47107(b) (or any

assurance made under such section)

or 49 U.S.C. 47133.

N/A N/A Increase above otherwise

applicable maximum

amount not to exceed 3

times the amount of

revenues that are used

in violation of such sec-

tion.

No change.

49 U.S.C. 46301(a)(5)(A) .......... Violation by an individual or small busi-

ness concern (except an airman

serving as an airman) under 49

U.S.C. 46301(a)(5)(A)(i) or (ii).

N/A N/A $13,669 ............................ $13,910.

49 U.S.C. 46301(a)(5)(B)(i) ....... Violation by an individual or small busi-

ness concern related to the transpor-

tation of hazardous materials.

N/A N/A $13,669 ............................ $13,910.

49 U.S.C. 46301(a)(5)(B)(ii) ...... Violation by an individual or small busi-

ness concern related to the registra-

tion or recordation under 49 U.S.C.

chapter 441, of an aircraft not used

to provide air transportation.

N/A N/A $13,669 ............................ $13,910.

49 U.S.C. 46301(a)(5)(B)(iii) ...... Violation by an individual or small busi-

ness concern of 49 U.S.C. 44718(d),

relating to limitation on construction

or establishment of landfills.

N/A N/A $13,669 ............................ $13,910.

49 U.S.C. 46301(a)(5)(B)(iv) ..... Violation by an individual or small busi-

ness concern of 49 U.S.C. 44725,

relating to the safe disposal of life-

limited aircraft parts.

N/A N/A $13,669 ............................ $13,910.

49 U.S.C. 46301 note ................ Individual who aims the beam of a

laser pointer at an aircraft in the air-

space jurisdiction of the United

States, or at the flight path of such

an aircraft.

N/A N/A $25,000 ............................ $26,614.

49 U.S.C. 46301(b) ................... Tampering with a smoke alarm device N/A N/A $4,388 .............................. $4,465.

49 U.S.C. 46302 ........................ Knowingly providing false information

about alleged violation involving the

special aircraft jurisdiction of the

United States.

N/A N/A $23,832 ............................ $24,252.

49 U.S.C. 46318 ........................ Interference with cabin or flight crew ... N/A N/A $35,883 ............................ $36,516.

49 U.S.C. 46319 ........................ Permanent closure of an airport with-

out providing sufficient notice. N/A N/A $13,669 ............................ $13,910.

49 U.S.C. 46320 ........................ Operating an unmanned aircraft and in

so doing knowingly or recklessly

interfering with a wildfire suppres-

sion, law enforcement, or emergency

response effort.

N/A N/A $20,923 ............................ $21,292.

49 U.S.C. 47531 ........................ Violation of 49 U.S.C. 47528–47530,

relating to the prohibition of oper-

ating certain aircraft not complying

with stage 3 noise levels.

N/A N/A See 49 U.S.C.

46301(a)(1) and (a)(5),

above.

See 49 U.S.C.

46301(a)(1) and (a)(5),

above.

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PART 383—CIVIL PENALTIES

■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.

■4. Section 383.2 is revised to read as

follows:

§ 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 $34,777 (or $1,530 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 $1,466 civil penalty, the

following civil penalty limits apply:

(1) A maximum civil penalty of

$13,910 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

$6,955 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

$3,478 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

■5. The authority citation for part 406

continues to read as follows:

Authority: 51 U.S.C. 50901–50923.

■6. Amend § 406.9 by revising

paragraph (a) to read as follows:

§ 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 $244,391 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

■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.

■8. Amend § 401.102 by revising

paragraph (a) to read as follows:

§ 401.102 Civil penalty.

(a) A person, as described in

§ 401.101(b) who violates a regulation in

this chapter is liable to a civil penalty

of not more than $95,881.

* * * * *

Title 46—Shipping

PART 221—REGULATED

TRANSACTIONS INVOLVING

DOCUMENTED VESSELS AND OTHER

MARITIME INTERESTS

■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.

■10. Section 221.61(b) is revised to

read as follows:

§ 221.61 Compliance.

* * * * *

(b) Pursuant to 46 U.S.C. 31309, a

general penalty of not more than

$21,409 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 $53,524

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

$21,507 for each violation.

PART 307—ESTABLISHMENT OF

MANDATORY POSITION REPORTING

SYSTEM FOR VESSELS

■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.

■12. Section 307.19 is revised to read

as follows:

§ 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

$135.00 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

■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).

■14. Section 340.9 is revised to read as

follows:

§ 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 $27,051 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

■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.

■16. Amend § 356.49 by revising

paragraph (b) to read as follows:

§ 356.49 Penalties.

* * * * *

(b) A fine of up to $156,917 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

* * * * *

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Title 49—Transportation

PART 107—HAZARDOUS MATERIALS

PROGRAM PROCEDURES

■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.

■18. Section 107.329 is revised to read

as follows:

§ 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 $83,439 for each

violation, except the maximum civil

penalty is $194,691 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

$502 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 $83,439 for each

violation, except the maximum civil

penalty is $194,691 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

$502 for violations relating to training.

Appendix A to Subpart D of Part 107

[Amended]

■19. In appendix A to subpart D of part

107, remove ‘‘$81,993 or $191,316’’ and

‘‘July 31, 2019’’ and add in their places

‘‘$83,439 or $194,691’’ and ‘‘January 11,

2021,’’ respectively.

PART 171—GENERAL INFORMATION,

REGULATIONS, AND DEFINITIONS

■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.

■21. Amend § 171.1 by revising

paragraph (g) to read as follows:

§ 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 $83,439 for

each violation, except the maximum

civil penalty is $194,691 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

$502 for a violation relating to training.

PART 190—PIPELINE SAFETY

ENFORCEMENT AND REGULATORY

PROCEDURES

■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.

■23. Amend § 190.223 by revising

paragraphs (a), (c), and (d) to read as

follows:

§ 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 $222,504 for each

violation for each day the violation

continues, with a maximum

administrative civil penalty not to

exceed $2,225,034 for any related series

of violations.

* * * * *

any standard or order under 49 U.S.C.

60103 is subject to an administrative

civil penalty not to exceed $81,284,

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 $1,292, 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

■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.

■25. Amend § 209.103 by revising

paragraphs (a) and (c) to read as follows:

§ 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 $83,439 for each

violation, except that—

(1) The maximum civil penalty for a

violation is $194,691 if the violation

results in death, serious illness, or

severe injury to any person, or

substantial destruction of property; and

(2) A minimum $502 civil penalty

applies to a violation related to training.

* * * * *

penalties described in paragraph (a) of

this section apply to violations

occurring on or after January 11, 2021.

■26. Amend § 209.105 by revising the

last sentence of paragraph (c) to read as

follows:

§ 209.105 Notice of probable violation.

* * * * *

may change the civil penalty amount

proposed to be assessed up to and

including the maximum penalty amount

of $83,439 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 $194,691.

§ 209.409 [Amended]

■27. Amend § 209.409 as follows:

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■a. Remove the dollar amount ‘‘$892’’

and add in its place ‘‘$908’’;

■b. Remove the dollar amount

‘‘$29,192’’ and add in its place

‘‘$29,707’’; and

■c. Remove the dollar amount

‘‘$116,766’’ and add in its place

‘‘$118,826’’.

■28. In appendix A to part 209, amend

the section ‘‘Penalty Schedules;

Assessment of Maximum Penalties’’ by:

■a. Adding a sentence to the end of the

sixth paragraph;

■b. Revising the fourth sentence of the

seventh paragraph; and

■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 January 11, 2021, the

minimum civil monetary penalty was raised

from $892 to $908, the ordinary maximum

civil monetary penalty was raised from

$29,192 to $29,707, and the aggravated

maximum civil monetary penalty was raised

from $116,766 to $118,826.

* * * For each regulation in this part or

order, the schedule shows two amounts

within the $908 to $29,707 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 $118,826 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]

■29. Amend appendix B to part 209 as

follows:

■a. Remove the dollar amount

‘‘$81,993’’ everywhere it appears and

add in its place ‘‘$83,439’’;

■b. Remove the dollar amount

‘‘$191,316’’ everywhere it appears and

add in its place ‘‘$194,691’’; and

■c. Remove the dollar amount ‘‘$493’’

and add in its place ‘‘$502’’.

PART 213—TRACK SAFETY

STANDARDS

■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.

§ 213.15 [Amended]

■31. In § 213.15, amend paragraph (a)

as follows:

■a. Remove the dollar amount ‘‘$892’’

and add in its place ‘‘$908’’;

■b. Remove the dollar amount

‘‘$29,192’’ and add in its place

‘‘$29,707’’; and

■c. Remove the dollar amount

‘‘$116,766’’ and add in its place

‘‘$118,826’’.

PART 214—RAILROAD WORKPLACE

SAFETY

■32. The authority citation for part 214

continues to read as follows:

Authority: 49 U.S.C. 20103, 20107, 21301,

31304, 28 U.S.C. 2461, note; and 49 CFR

1.89.

§ 214.5 [Amended]

■33. Amend § 214.5 as follows:

■a. Remove the dollar amount ‘‘$892’’

and add in its place ‘‘$908’’;

■b. Remove the dollar amount

‘‘$29,192’’ and add in its place

‘‘$29,707’’; and

■c. Remove the dollar amount

‘‘$116,766’’ and add in its place

‘‘$118,826’’.

PART 215—RAILROAD FREIGHT CAR

SAFETY STANDARDS

■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.

§ 215.7 [Amended]

■35. Amend § 215.7 as follows:

■a. Remove the dollar amount ‘‘$892’’

and add in its place ‘‘$908’’;

■b. Remove the dollar amount

‘‘$29,192’’ and add in its place

‘‘$29,707’’; and

■c. Remove the dollar amount

‘‘$116,766’’ and add in its place

‘‘$118,826’’.

PART 216—SPECIAL NOTICE AND

EMERGENCY ORDER PROCEDURES:

RAILROAD TRACK, LOCOMOTIVE

AND EQUIPMENT

■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.

§ 216.7 [Amended]

■37. Amend § 216.7 as follows:

■a. Remove the dollar amount ‘‘$892’’

and add in its place ‘‘$908’’;

■b. Remove the dollar amount

‘‘$29,192’’ and add in its place

‘‘$29,707’’; and

■c. Remove the dollar amount

‘‘$116,766’’ and add in its place

‘‘$118,826’’.

PART 217—RAILROAD OPERATING

RULES

■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.

§ 217.5 [Amended]

■39. Amend § 217.5 as follows:

■a. Remove the dollar amount ‘‘$892’’

and add in its place ‘‘$908’’;

■b. Remove the dollar amount

‘‘$29,192’’ and add in its place

‘‘$29,707’’; and

■c. Remove the dollar amount

‘‘$116,766’’ and add in its place

‘‘$118,826’’.

PART 218—RAILROAD OPERATING

PRACTICES

■40. The authority citation for part 218

continues to read as follows:

Authority: 49 U.S.C. 20103, 20107; 28

U.S.C. 2461, note; and 49 CFR 1.89.

§ 218.9 [Amended]

■41. Amend § 218.9 as follows:

■a. Remove the dollar amount ‘‘$892’’

and add in its place ‘‘$908’’;

■b. Remove the dollar amount

‘‘$29,192’’ and add in its place

‘‘$29,707’’; and

■c. Remove the dollar amount

‘‘$116,766’’ and add in its place

‘‘$118,826’’.

PART 219—CONTROL OF ALCOHOL

AND DRUG USE

■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.

§ 219.10 [Amended]

■43. Amend § 219.10 as follows:

■a. Remove the dollar amount ‘‘$892’’

and add in its place ‘‘$908’’;

■b. Remove the dollar amount

‘‘$29,192’’ and add in its place

‘‘$29,707’’; and

■c. Remove the dollar amount

‘‘$116,766’’ and add in its place

‘‘$118,826’’.

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PART 220—RAILROAD

COMMUNICATIONS

■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.

§ 220.7 [Amended]

■45. Amend § 220.7 as follows:

■a. Remove the dollar amount ‘‘$892’’

and add in its place ‘‘$908’’;

■b. Remove the dollar amount

‘‘$29,192’’ and add in its place

‘‘$29,707’’; and

■c. Remove the dollar amount

‘‘$116,766’’ and add in its place

‘‘$118,826’’.

PART 221—REAR END MARKING

DEVICE—PASSENGER, COMMUTER

AND FREIGHT TRAINS

■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.

§ 221.7 [Amended]

■47. Amend § 221.7 as follows:

■a. Remove the dollar amount ‘‘$892’’

and add in its place ‘‘$908’’;

■b. Remove the dollar amount

‘‘$29,192’’ and add in its place

‘‘$29,707’’; and

■c. Remove the dollar amount

‘‘$116,766’’ and add in its place

‘‘$118,826’’.

PART 222—USE OF LOCOMOTIVE

HORNS AT PUBLIC HIGHWAY–RAIL

GRADE CROSSINGS

■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.

§ 222.11 [Amended]

■49. Amend § 222.11 as follows:

■a. Remove the dollar amount ‘‘$892’’

and add in its place ‘‘$908’’;

■b. Remove the dollar amount

‘‘$29,192’’ and add in its place

‘‘$29,707’’; and

■c. Remove the dollar amount

‘‘$116,766’’ and add in its place

‘‘$118,826’’.

PART 223—SAFETY GLAZING

STANDARDS—LOCOMOTIVES,

PASSENGER CARS AND CABOOSES

■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.

§ 223.7 [Amended]

■51. Amend § 223.7 as follows:

■a. Remove the dollar amount ‘‘$892’’

and add in its place ‘‘$908’’;

■b. Remove the dollar amount

‘‘$29,192’’ and add in its place

‘‘$29,707’’; and

■c. Remove the dollar amount

‘‘$116,766’’ and add in its place

‘‘$118,826’’.

PART 224—REFLECTORIZATION OF

RAIL FREIGHT ROLLING STOCK

■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.

§ 224.11 [Amended]

■53. In § 224.11, amend paragraph (a)

as follows:

■a. Remove the dollar amount ‘‘$892’’

and add in its place ‘‘$908’’;

■b. Remove the dollar amount

‘‘$29,192’’ and add in its place

‘‘$29,707’’; and

■c. Remove the dollar amount

‘‘$116,766’’ and add in its place

‘‘$118,826’’.

PART 225—RAILROAD ACCIDENTS/

INCIDENTS: REPORTS

CLASSIFICATION, AND

INVESTIGATIONS

■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.

§ 225.29 [Amended]

■55. Amend § 225.29 as follows:

■a. Remove the dollar amount ‘‘$892’’

and add in its place ‘‘$908’’;

■b. Remove the dollar amount

‘‘$29,192’’ and add in its place

‘‘$29,707’’; and

■c. Remove the dollar amount

‘‘$116,766’’ and add in its place

‘‘$118,826’’.

PART 227—OCCUPATIONAL NOISE

EXPOSURE

■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.

§ 227.9 [Amended]

■57. In § 227.9, amend paragraph (a) as

follows:

■a. Remove the dollar amount ‘‘$892’’

and add in its place ‘‘$908’’;

■b. Remove the dollar amount

‘‘$29,192’’ and add in its place

‘‘$29,707’’; and

■c. Remove the dollar amount

‘‘$116,766’’ and add in its place

‘‘$118,826’’.

PART 228—PASSENGER TRAIN

EMPLOYEE HOURS OF SERVICE;

RECORDKEEPING AND REPORTING;

SLEEPING QUARTERS

■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.

§ 228.6 [Amended]

■59. In § 228.6, amend paragraph (a) as

follows:

■a. Remove the dollar amount ‘‘$892’’

and add in its place ‘‘$908’’;

■b. Remove the dollar amount

‘‘$29,192’’ and add in its place

‘‘$29,707’’; and

■c. Remove the dollar amount

‘‘$116,766’’ and add in its place

‘‘$118,826’’.

■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 January 11, 2021,

the minimum civil monetary penalty was

raised from $892 to $908, the ordinary

maximum civil monetary penalty was raised

from $29,192 to $29,707, and the aggravated

maximum civil monetary penalty was raised

from $116,766 to $118,826.

* * * * *

PART 229—RAILROAD LOCOMOTIVE

SAFETY STANDARDS

■61. The authority citation for part 229

continues to read as follows:

Authority: 49 U.S.C. 103, 322(a), 20103,

20107, 20901–02, 21301, 21301, 21302,

21311; 28 U.S.C. 2461, note; and 49 CFR

1.89.

§ 229.7 [Amended]

■62. In § 229.7, amend paragraph (b) as

follows:

■a. Remove the dollar amount ‘‘$892’’

and add in its place ‘‘$908’’;

■b. Remove the dollar amount

‘‘$29,192’’ and add in its place

‘‘$29,707’’; and

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■c. Remove the dollar amount

‘‘$116,766’’ and add in its place

‘‘$118,826’’.

PART 230—STEAM LOCOMOTIVE

INSPECTION AND MAINTENANCE

STANDARDS

■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.

§ 230.4 [Amended]

■64. In § 230.4, amend paragraph (a) as

follows:

■a. Remove the dollar amount ‘‘$892’’

and add in its place ‘‘$908’’;

■b. Remove the dollar amount

‘‘$29,192’’ and add in its place

‘‘$29,707’’; and

■c. Remove the dollar amount

‘‘$116,766’’ and add in its place

‘‘$118,826’’.

PART 231—RAILROAD SAFETY

APPLIANCE STANDARDS

■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.

§ 231.0 [Amended]

■66. In § 231.0, amend paragraph (f) as

follows:

■a. Remove the dollar amount ‘‘$892’’

and add in its place ‘‘$908’’;

■b. Remove the dollar amount

‘‘$29,192’’ and add in its place

‘‘$29,707’’; and

■c. Remove the dollar amount

‘‘$116,766’’ and add in its place

‘‘$118,826’’.

PART 232— BRAKE SYSTEM SAFETY

STANDARDS FOR FREIGHT AND

OTHER NON–PASSENGER TRAINS

AND EQUIPMENT; END–OF–TRAIN

DEVICES

■67. The authority citation for part 232

continues to read as follows:

Authority: 49 U.S.C. 20102–20103, 20107,

20133, 20141, 20301–20303, 20306, 21301–

21302, 21304; 28 U.S.C. 2461, note; and 49

CFR 1.89.

§ 232.11 [Amended]

■68. In § 232.11, amend paragraph (a)

as follows:

■a. Remove the dollar amount ‘‘$892’’

and add in its place ‘‘$908’’;

■b. Remove the dollar amount

‘‘$29,192’’ and add in its place

‘‘$29,707’’; and

■c. Remove the dollar amount

‘‘$116,766’’ and add in its place

‘‘$118,826’’.

PART 233—SIGNAL SYSTEMS

REPORTING REQUIREMENTS

■69. 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.

§ 233.11 [Amended]

■70. Amend § 233.11 as follows:

■a. Remove the dollar amount ‘‘$892’’

and add in its place ‘‘$908’’;

■b. Remove the dollar amount

‘‘$29,192’’ and add in its place

‘‘$29,707’’; and

■c. Remove the dollar amount

‘‘$116,766’’ and add in its place

‘‘$118,826’’.

PART 234—GRADE CROSSING

SAFETY

■71. The authority citation for part 234

continues to read as follows:

Authority: 49 U.S.C. 20103, 20107, 20152,

20160, 21301, 21304, 21311, 22501 note; Pub.

L. 110–432, Div. A., Sec. 202, 28 U.S.C. 2461,

note; and 49 CFR 1.89.

§ 234.6 [Amended]

■72. In § 234.6, amend paragraph (a) as

follows:

■a. Remove the dollar amount ‘‘$892’’

and add in its place ‘‘$908’’;

■b. Remove the dollar amount

‘‘$29,192’’ and add in its place

‘‘$29,707’’; and

■c. Remove the dollar amount

‘‘$116,766’’ and add in its place

‘‘$118,826’’.

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

■73. 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.

§ 235.9 [Amended]

■74. Amend § 235.9 as follows:

■a. Remove the dollar amount ‘‘$892’’

and add in its place ‘‘$908’’;

■b. Remove the dollar amount

‘‘$29,192’’ and add in its place

‘‘$29,707’’; and

■c. Remove the dollar amount

‘‘$116,766’’ and add in its place

‘‘$118,826’’.

PART 236—RULES, STANDARDS, AND

INSTRUCTIONS GOVERNING THE

INSTALLATION, INSPECTION,

MAINTENANCE, AND REPAIR OF

SIGNAL AND TRAIN CONTROL

SYSTEMS, DEVICES, AND

APPLIANCES

■75. 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.

§ 236.0 [Amended]

■76. In § 236.0, amend paragraph (f) as

follows:

■a. Remove the dollar amount ‘‘$892’’

and add in its place ‘‘$908’’;

■b. Remove the dollar amount

‘‘$29,192’’ and add in its place

‘‘$29,707’’; and

■c. Remove the dollar amount

‘‘$116,766’’ and add in its place

‘‘$118,826’’.

PART 237—BRIDGE SAFETY

STANDARDS

■77. 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.

§ 237.7 [Amended]

■78. In § 237.7, amend paragraph (a) as

follows:

■a. Remove the dollar amount ‘‘$892’’

and add in its place ‘‘$908’’;

■b. Remove the dollar amount

‘‘$29,192’’ and add in its place

‘‘$29,707’’; and

■c. Remove the dollar amount

‘‘$116,766’’ and add in its place

‘‘$118,826’’.

PART 238—PASSENGER EQUIPMENT

SAFETY STANDARDS

■79. 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.

§ 238.11 [Amended]

■80. In § 238.11, amend paragraph (a)

as follows:

■a. Remove the dollar amount ‘‘$892’’

and add in its place ‘‘$908’’;

■b. Remove the dollar amount

‘‘$29,192’’ and add in its place

‘‘$29,707’’; and

■c. Remove the dollar amount

‘‘$116,766’’ and add in its place

‘‘$118,826’’.

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PART 239—PASSENGER TRAIN

EMERGENCY PREPAREDNESS

■81. 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.

§ 239.11 [Amended]

■82. Amend § 239.11 as follows:

■a. Remove the dollar amount ‘‘$892’’

and add in its place ‘‘$908’’;

■b. Remove the dollar amount

‘‘$29,192’’ and add in its place

‘‘$29,707’’; and

■c. Remove the dollar amount

‘‘$116,766’’ and add in its place

‘‘$118,826’’.

PART 240—QUALIFICATION AND

CERTIFICATION OF LOCOMOTIVE

ENGINEERS

■83. The authority citation for part 240

continues 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.

§ 240.11 [Amended]

■84. In § 240.11, amend paragraph (a)

as follows:

■a. Remove the dollar amount ‘‘$892’’

and add in its place ‘‘$908’’;

■b. Remove the dollar amount

‘‘$29,192’’ and add in its place

‘‘$29,707’’; and

■c. Remove the dollar amount

‘‘$116,766’’ and add in its place

‘‘$118,826’’.

PART 241—UNITED STATES

LOCATIONAL REQUIREMENT FOR

DISPATCHING OF UNITED STATES

RAIL OPERATIONS

■85. 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.

§ 241.15 [Amended]

■86. In § 241.15, amend paragraph (a)

as follows:

■a. Remove the dollar amount ‘‘$892’’

and add in its place ‘‘$908’’;

■b. Remove the dollar amount

‘‘$29,192’’ and add in its place

‘‘$29,707’’; and

■c. Remove the dollar amount

‘‘$116,766’’ and add in its place

‘‘$118,826’’.

PART 242—QUALIFICATION AND

CERTIFICATION OF CONDUCTORS

■87. 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.

§ 242.11 [Amended]

■88. In § 242.11, amend paragraph (a)

as follows:

■a. Remove the dollar amount ‘‘$892’’

and add in its place ‘‘$908’’;

■b. Remove the dollar amount

‘‘$29,192’’ and add in its place

‘‘$29,707’’; and

■c. Remove the dollar amount

‘‘$116,766’’ and add in its place

‘‘$118,826’’.

PART 243—TRAINING,

QUALIFICATION, AND OVERSIGHT

FOR SAFETY–RELATED RAILROAD

EMPLOYEES

■89. 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.

§ 243.7 [Amended]

■90. In § 243.7, amend paragraph (a) as

follows:

■a. Remove the dollar amount ‘‘$892’’

and add in its place ‘‘$908’’;

■b. Remove the dollar amount

‘‘$29,192’’ and add in its place

‘‘$29,707’’; and

■c. Remove the dollar amount

‘‘$116,766’’ and add in its place

‘‘$118,826’’.

PART 244—REGULATIONS ON

SAFETY INTEGRATION PLANS

GOVERNING RAILROAD

CONSOLIDATIONS, MERGERS, AND

ACQUISITIONS OF CONTROL

■91. 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.

§ 244.5 [Amended]

■92. In § 244.5, amend paragraph (a) as

follows:

■a. Remove the dollar amount ‘‘$892’’

and add in its place ‘‘$908’’;

■b. Remove the dollar amount

‘‘$29,192’’ and add in its place

‘‘$29,707’’; and

■c. Remove the dollar amount

‘‘$116,766’’ and add in its place

‘‘$118,826’’.

PART 272—CRITICAL INCIDENT

STRESS PLANS

■93. 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.

§ 272.11 [Amended]

■94. In § 272.11, amend paragraph (a)

as follows:

■a. Remove the dollar amount ‘‘$892’’

and add in its place ‘‘$908’’;

■b. Remove the dollar amount

‘‘$29,192’’ and add in its place

‘‘$29,707’’; and

■c. Remove the dollar amount

‘‘$116,766’’ and add in its place

‘‘$118,826’’.

PART 386—RULES OF PRACTICE FOR

FMCSA PROCEEDINGS

■95. 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.

■96. Amend appendix A to part 386 by

revising the introductory text and

sections II and 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 $1,112 but not more

than $11,125 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 $1,928 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 $19,277 per violation.

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(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 equipment by a

driver after the vehicle or intermodal

equipment was placed out-of-service and

before the required repairs are made.

Penalty—$1,928 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 $19,277 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 $964 per violation.

* * * * *

g. Violation—Operating in violation of an

order issued under § 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 $27,813 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 § 386.73.

Penalty—Up to $24,441 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 § 386.83 or

§ 386.84 for failure to pay penalties.

Penalty—Up to $15,691 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

§ 385.911, §385.913, § 385.1009, or

§ 385.1011 of this subchapter.

Penalty—Up to $24,441 for each day that

operations are conducted during the

suspension or revocation period.

■97. 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 $1,292 for each day the

violation continues, up to $12,919.

(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 $12,919 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 $15,691 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 $3,923.

(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

$3,230 for a first conviction and not less than

$6,460 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 $5,833; 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

$3,230 for a first conviction and not less than

$6,460 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 $5,833 or

more than $32,297; 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 $16,743.

* * * * *

(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 $17,213. 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 $83,439 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

$502 and not more than $83,439 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 $83,439 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 $83,439.

(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

$194,691 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.

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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 $27,813 (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 $83,439 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 $194,691 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 $11,125 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 $11,125 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 $27,813

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 $11,125 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 $15,299 for an intentional

violation and a maximum penalty of $38,250

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 $22,251 and

a maximum penalty of $44,501 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

$1,673 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

$3,349 for the first violation and $8,372 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 $167,433 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 $334 for the first violation and

$418 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 $838 for the first violation

and up to $3,349 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 $838 for the

first violation and up to $3,349 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 $16,743

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 $1,112 and for a

maximum penalty of $8,372 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, 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 $3,349.

(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 $838 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 $16,743 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 $12,919 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 $32,297 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 $1,292 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 $12,919.

(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

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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 $2,226 but not more than

$5,562 for the first violation and at least

$2,780 but not more than $8,344 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 $2,226 for the first violation or at

least $5,562 for a subsequent violation.

PART 578—CIVIL AND CRIMINAL

PENALTIES

■98. 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.

■99. In § 578.6, paragraphs (a)(1),

(a)(2)(i)(B), (a)(3) and (4), (b) through (g),

(h)(1), and (i) are revised to read as

follows:

§ 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 $22,723 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 $113,611,635.

(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 $12,919 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

$19,378,412.

(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 $22,723 per

violation per day. The maximum

penalty under this paragraph (a)(3) for a

related series of daily violations is

$113,611,635.

(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 $5,562 per day. The

maximum penalty under this paragraph

(a)(4) for a related series of daily

violations is $1,112,518.

(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.

that violates 49 U.S.C. 32506(a) is liable

to the United States Government for a

civil penalty of not more than $2,976 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

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 $3,313,763.

(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 $2,976 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 $1,623,024.

(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 $61,586 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 $1,814 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 $11,125 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 $1,112,518.

(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 $11,125, 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 $2,444 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 $610,979.

(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 $181,484 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

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in question within the regulatory

averaging set.

Issued in Washington, DC, on November

10, 2020.

Elaine L. Chao,

Secretary of Transportation.

[FR Doc. 2020–25236 Filed 1–8–21; 8:45 am]

BILLING CODE P

DEPARTMENT OF COMMERCE

Office of the Secretary

15 CFR Part 6

[Docket No. 201209–0333]

RIN 0605–AA58

Civil Monetary Penalty Adjustments for

Inflation

AGENCY

: Office of the Chief Financial

Officer and Assistant Secretary for

Administration, Department of

Commerce.

ACTION

: Final rule.

SUMMARY

: This final rule is being issued

to adjust for inflation each civil

monetary penalty (CMP) provided by

law within the jurisdiction of the United

States Department of Commerce

(Department of Commerce). The

Department of Commerce’s 2021

adjustments for inflation to CMPs apply

only to CMPs with a dollar amount, and

will not apply to CMPs written as

functions of violations. The Department

of Commerce’s 2021 adjustments for

inflation to CMPs apply only to those

CMPs, including those whose associated

violation predated such adjustment,

which are assessed by the Department of

Commerce after the effective date of the

new CMP level.

DATES

: This rule is effective January 15,

2021.

FOR FURTHER INFORMATION CONTACT

Stephen M. Kunze, Deputy Chief

Financial Officer and Director for

Financial Management, Office of

Financial Management, at (202) 482–

1207, Department of Commerce, 1401

Constitution Avenue NW, Room D200,

Washington, DC 20230. The Department

of Commerce’s Civil Monetary Penalty

Adjustments for Inflation are available

for downloading from the Department of

Commerce, Office of Financial

Management’s website at the following

address: http://www.osec.doc.gov/ofm/

OFM_Publications.html.

SUPPLEMENTARY INFORMATION

Background

The Federal Civil Penalties Inflation

Adjustment Act of 1990 (Pub. L. 101–

410; 28 U.S.C. 2461), as amended by the

Debt Collection Improvement Act of

1996 (Pub. L. 104–134), provided for

agencies’ adjustments for inflation to

CMPs to ensure that CMPs continue to

maintain their deterrent value and that

CMPs due to the Federal Government

were properly accounted for and

collected.

A CMP is defined as any penalty, fine,

or other sanction that:

1. Is for a specific monetary amount

as provided by Federal law, or has a

maximum amount provided for by

Federal law; and,

2. Is assessed or enforced by an

agency pursuant to Federal law; and,

3. Is assessed or enforced pursuant to

an administrative proceeding or a civil

action in the Federal courts.

On November 2, 2015, the Federal

Civil Penalties Inflation Adjustment Act

Improvements Act of 2015 (Section 701

of Pub. L. 114–74) further amended the

Federal Civil Penalties Inflation

Adjustment Act of 1990 to improve the

effectiveness of CMPs and to maintain

their deterrent effect. This amendment

(1) required agencies to adjust the CMP

levels in effect as of November 2, 2015,

with initial catch up adjustments for

inflation through a final rulemaking to

take effect no later than August 1, 2016;

and (2) requires agencies to make

subsequent annual adjustments for

inflation to CMPs that shall take effect

not later than January 15. The

Department of Commerce’s 2020

adjustments for inflation to CMPs were

published in the Federal Register on

January 3, 2020, and the new CMP

levels became effective January 15,

2020.

The Department of Commerce’s 2021

adjustments for inflation to CMPs apply

only to CMPs with a dollar amount, and

will not apply to CMPs written as

functions of violations. These 2021

adjustments for inflation apply only to

those CMPs, including those whose

associated violation predated such

adjustment, which are assessed by the

Department of Commerce after the

effective date of the new CMP level.

This regulation adjusts for inflation

CMPs that are provided by law within

the jurisdiction of the Department of

Commerce. The actual CMP assessed for

a particular violation is dependent upon

a variety of factors. For example, the

National Oceanic and Atmospheric

Administration’s (NOAA) Policy for the

Assessment of Civil Administrative

Penalties and Permit Sanctions (Penalty

Policy), a compilation of NOAA internal

guidelines that are used when assessing

CMPs for violations for most of the

statutes NOAA enforces, will be

interpreted in a manner consistent with

this regulation to maintain the deterrent

effect of the CMPs. The CMP ranges in

the Penalty Policy are intended to aid

enforcement attorneys in determining

the appropriate CMP to assess for a

particular violation. The Penalty Policy

is maintained and made available to the

public on NOAA’s Office of the General

Counsel, Enforcement Section website

at: http://www.gc.noaa.gov/enforce-

office.html.

The Department of Commerce’s 2021

adjustments for inflation to CMPs set

forth in this regulation were determined

pursuant to the methodology prescribed

by the Federal Civil Penalties Inflation

Adjustment Act Improvements Act of

2015, which requires the maximum

CMP, or the minimum and maximum

CMP, as applicable, to be increased by

the cost-of-living adjustment. The term

‘‘cost-of-living adjustment’’ is defined

by the Federal Civil Penalties Inflation

Adjustment Act Improvements Act of

2015. For the 2021 adjustments for

inflation to CMPs, the cost-of-living

adjustment is the percentage for each

CMP by which the Consumer Price

Index for the month of October 2020

exceeds the Consumer Price Index for

the month of October 2019.

Classification

Pursuant to 5 U.S.C. 553(b)(3)(B),

there is good cause to issue this rule

without prior public notice or

opportunity for public comment

because it would be impracticable and

unnecessary. The Federal Civil Penalties

Inflation Adjustment Act Improvements

Act of 2015 (Section 701(b)) requires

agencies to make annual adjustments for

inflation to CMPs notwithstanding

section 553 of title 5, United States

Code. Additionally, the methodology

used for adjusting CMPs for inflation is

given by statute, with no discretion

provided to agencies regarding the

substance of the adjustments for

inflation to CMPs. The Department of

Commerce is charged only with

performing ministerial computations to

determine the dollar amounts of

adjustments for inflation to CMPs.

Accordingly, prior public notice and an

opportunity for public comment are not

required for this rule. For the same

reasons, there is good cause under 5

U.S.C. 553(d)(3) to waive the 30-day

delay in effective date.

Paperwork Reduction Act

The provisions of the Paperwork

Reduction Act of 1995, Public Law 104–

13, 44 U.S.C. Chapter 35, and its

implementing regulations, 5 CFR part

1320, do not apply to this rule because

there are no new or revised

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Search over 120 million documents from over 100 countries including primary and secondary collections of legislation, case law, regulations, practical law, news, forms and contracts, books, journals, and more.
Thousands of Data Sources

Updated daily, vLex brings together legal information from over 750 publishing partners, providing access to over 2,500 legal and news sources from the world’s leading publishers.
Find What You Need, Quickly

Advanced A.I. technology developed exclusively by vLex editorially enriches legal information to make it accessible, with instant translation into 14 languages for enhanced discoverability and comparative research.
Over 2 million registered users

Founded over 20 years ago, vLex provides a first-class and comprehensive service for lawyers, law firms, government departments, and law schools around the world.

Subscribers are able to see a visualisation of a case and its relationships to other cases. An alternative to lists of cases, the Precedent Map makes it easier to establish which ones may be of most relevance to your research and prioritise further reading. You also get a useful overview of how the case was received.

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Why Sign-up to vLex?

Over 100 Countries

Search over 120 million documents from over 100 countries including primary and secondary collections of legislation, case law, regulations, practical law, news, forms and contracts, books, journals, and more.
Thousands of Data Sources

Updated daily, vLex brings together legal information from over 750 publishing partners, providing access to over 2,500 legal and news sources from the world’s leading publishers.
Find What You Need, Quickly

Advanced A.I. technology developed exclusively by vLex editorially enriches legal information to make it accessible, with instant translation into 14 languages for enhanced discoverability and comparative research.
Over 2 million registered users

Founded over 20 years ago, vLex provides a first-class and comprehensive service for lawyers, law firms, government departments, and law schools around the world.

Subscribers are able to see the list of results connected to your document through the topics and citations Vincent found.

You can sign up for a trial and make the most of our service including these benefits.

Request your trial

Why Sign-up to vLex?

Over 100 Countries

Search over 120 million documents from over 100 countries including primary and secondary collections of legislation, case law, regulations, practical law, news, forms and contracts, books, journals, and more.
Thousands of Data Sources

Updated daily, vLex brings together legal information from over 750 publishing partners, providing access to over 2,500 legal and news sources from the world’s leading publishers.
Find What You Need, Quickly

Advanced A.I. technology developed exclusively by vLex editorially enriches legal information to make it accessible, with instant translation into 14 languages for enhanced discoverability and comparative research.
Over 2 million registered users

Founded over 20 years ago, vLex provides a first-class and comprehensive service for lawyers, law firms, government departments, and law schools around the world.

Revisions to Civil Penalty Amounts

You can sign up for a trial and make the most of our service including these benefits.

Why Sign-up to vLex?

Over 100 Countries

Thousands of Data Sources

Find What You Need, Quickly

Over 2 million registered users

You can sign up for a trial and make the most of our service including these benefits.

Why Sign-up to vLex?

Over 100 Countries

Thousands of Data Sources

Find What You Need, Quickly

Over 2 million registered users

You can sign up for a trial and make the most of our service including these benefits.

Why Sign-up to vLex?

Over 100 Countries

Thousands of Data Sources

Find What You Need, Quickly

Over 2 million registered users

You can sign up for a trial and make the most of our service including these benefits.

Why Sign-up to vLex?

Over 100 Countries

Thousands of Data Sources

Find What You Need, Quickly

Over 2 million registered users

You can sign up for a trial and make the most of our service including these benefits.

Why Sign-up to vLex?

Over 100 Countries

Thousands of Data Sources

Find What You Need, Quickly

Over 2 million registered users

Why Sign-up to vLex?

Over 100 Countries

Thousands of Data Sources

Find What You Need, Quickly

Over 2 million registered users

You can sign up for a trial and make the most of our service including these benefits.

Why Sign-up to vLex?

Over 100 Countries

Thousands of Data Sources

Find What You Need, Quickly

Over 2 million registered users