Revisions to Civil Penalty Amounts |
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Steven G. Bradbury
U.S. Department of Transportation
31 July 2019
[Federal Register Volume 84, Number 147 (Wednesday, July 31, 2019)]
[Rules and Regulations]
[Pages 37059-37079]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-14101]
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DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
14 CFR Parts 13 and 406
Office of the Secretary
14 CFR Part 383
Saint Lawrence Seaway Development Corporation
33 CFR Part 401
Maritime Administration
46 CFR Parts 221, 307, 340, and 356
Pipeline and Hazardous Materials Safety Administration
49 CFR Parts 107, 171, and 190
Federal Railroad Administration
49 CFR Parts 209, 213, 214, 215, 216, 217, 218, 219, 220, 221, 222,
223, 224, 225, 227, 228, 229, 230, 231, 232, 233, 234, 235, 236,
237, 238, 239, 240, 241, 242, 243, 244, 270, and 272
Federal Motor Carrier Safety Administration
49 CFR Part 386
National Highway Traffic Safety Administration
49 CFR Part 578
RIN 2105-AE80
Revisions to Civil Penalty Amounts
AGENCY: Department of Transportation.
ACTION: Final rule.
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SUMMARY: In accordance with the Federal Civil Penalties Inflation
Adjustment Act Improvements Act of 2015, this final rule provides the
2019 inflation adjustment to civil penalty amounts that may be imposed
for violations of certain DOT regulations.
DATES: Effective July 31, 2019.
FOR FURTHER INFORMATION CONTACT: Analiese Marchesseault, Attorney-
Advisor, Office of the General Counsel, U.S. Department of
Transportation, 1200 New Jersey Ave. SE, Washington, DC 20590,
analiese.marchesseault@dot.gov.
[[Page 37060]]
SUPPLEMENTARY INFORMATION:
Authority for This Rulemaking
This rule implements the Federal Civil Penalties Inflation
Adjustment Act of 1990 (FCPIAA), Public Law 101-410, as amended by the
Federal Civil Penalties Inflation Adjustment Act Improvements Act of
2015 (2015 Act), Public Law 114-74, 129 Stat. 599, codified at 28
U.S.C. 2461 note. The FCPIAA and the 2015 Act require federal agencies
to adjust minimum and maximum civil penalty amounts for inflation to
preserve their deterrent impact. The 2015 Act amended the formula and
frequency of inflation adjustments. It required an initial catch-up
adjustment in the form of an interim final rule, followed by annual
adjustments of civil penalty amounts using a statutorily mandated
formula. Section 4(b)(2) of the 2015 Act specifically directs that the
annual adjustment be accomplished through final rule without notice and
comment. This rule is effective immediately.
The Department's authorities over the specific civil penalty
regulations being amended by this rule are provided in the preamble
discussion below.
I. Background
On November 2, 2015, the President signed into law the 2015 Act,
which amended the FCPIAA, to improve the effectiveness of civil
monetary penalties and to maintain their deterrent effect. The 2015 Act
requires federal agencies to: (1) Adjust the level of civil monetary
penalties with an initial ``catch-up'' adjustment through an interim
final rule (IFR); and (2) make subsequent annual adjustments for
inflation.
The 2015 Act directed the Office of Management and Budget (OMB) to
issue guidance on implementing the required annual inflation adjustment
no later than December 15 of each year.\1\ On December 14, 2018, OMB
released this required guidance, in OMB Memorandum M-19-04, which
provides instructions on how to calculate the 2019 annual adjustment.
To derive the 2019 adjustment, the Department must multiply the maximum
or minimum penalty amount by the percent change between the October
2018 Consumer Price Index for All Urban Consumers (CPI-U) and the
October 2017 CPI-U. In this case, as explained in OMB Memorandum M-19-
04, the percent change between the October 2018 CPI-U and the October
2017 CPI-U is 1.02522.
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\1\ 28 U.S.C. 2461 note.
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II. Dispensing With Notice and Comment
This final rule is being published without notice and comment and
with an immediate effective date.
The 2015 Act provides clear direction for how to adjust the civil
penalties, and clearly states at section 4(b)(2) that this adjustment
shall be made ``notwithstanding section 553 of title 5, United States
Code.'' By operation of the 2015 Act, DOT must publish an annual
adjustment by January 15 of every year, and the new levels take effect
upon publication of the rule. Accordingly, DOT is publishing this final
rule without prior notice and comment, and with an immediate effective
date.
III. Discussion of the Final Rule
In 2016, OST and DOT's operating administrations with civil
monetary penalties promulgated the ``catch up'' IFR required by the
2015 Act. All DOT operating administrations have already finalized
their ``catch up'' IFRs and this rule makes the annual inflation
adjustment required by the 2015 Act.
The Department emphasizes that this rule adjusts penalties
prospectively, and therefore the penalty adjustments made by this rule
will apply only to violations that take place after this rule becomes
effective. This rule also does not change previously assessed or
enforced penalties that DOT is actively collecting or has collected.
A. OST 2019 Adjustments
OST's 2019 civil penalty adjustments are summarized in the chart
below.
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New penalty
(existing
Description Citation Existing penalty penalty x
1.02522)
----------------------------------------------------------------------------------------------------------------
General civil penalty for violations of 49 U.S.C. 46301(a)(1)........ $33,333 $34,174
certain aviation economic regulations and
statutes.
General civil penalty for violations of 49 U.S.C. 46301(a)(1)........ 1,466 1,503
certain aviation economic regulations and
statutes involving an individual or small
business concern.
Civil penalties for individuals or small 49 U.S.C. 46301(a)(5)(A)..... 13,333 13,669
businesses for violations of most
provisions of Chapter 401 of Title 49,
including the anti-discrimination
provisions of sections 40127 and 41705 and
rules and orders issued pursuant to these
provisions.
Civil penalties for individuals or small 49 U.S.C. 46301(a)(5)(C)..... 6,666 6,834
businesses for violations of 49 U.S.C.
41719 and rules and orders issued pursuant
to that provision.
Civil penalties for individuals or small 49 U.S.C. 46301(a)(5)(D)..... 3,334 3,418
businesses for violations of 49 U.S.C.
41712 or consumer protection rules and
orders issued pursuant to that provision.
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B. FAA 2019 Adjustments
The FAA's 2019 adjustments are summarized in the chart below.
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New penalty
Description Citation Existing penalty (existing penalty
x 1.02522)
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Violation of hazardous materials 49 U.S.C. 5123(a)(1)......... $79,976 $81,993
transportation law.
[[Page 37061]]
Violation of hazardous materials 49 U.S.C. 5123(a)(2)......... 186,610 191,316
transportation law resulting in death,
serious illness, severe injury, or
substantial property destruction.
Minimum penalty for violation of hazardous 49 U.S.C. 5123(a)(3)......... 481 493
materials transportation law relating to
training.
Maximum penalty for violation of hazardous 49 U.S.C. 5123(a)(3)......... 79,976 81,993
materials transportation law relating to
training.
Violation by a person other than an 49 U.S.C. 46301(a)(1)........ 33,333 34,174
individual or small business concern under
49 U.S.C. 46301(a)(1)(A) or (B).
Violation by an airman serving as an airman 49 U.S.C. 46301(a)(1)........ 1,466 1,501
under 49 U.S.C. 46301(a)(1)(A) or (B) (but
not covered by 46301(a)(5)(A) or (B)).
Violation by an individual or small 49 U.S.C. 46301(a)(1)........ 1,466 1,501
business concern under 49 U.S.C.
46301(a)(1)(A) or (B) (but not covered in
49 U.S.C. 46301(a)(5)).
Violation by an individual or small 49 U.S.C. 46301(a)(5)(A)..... 13,333 13,669
business concern (except an airman serving
as an airman) under 49 U.S.C.
46301(a)(5)(A)(i) or (ii).
Violation by an individual or small 49 U.S.C. 46301(a)(5)(B)(i).. 13,333 13,669
business concern related to the
transportation of hazardous materials.
Violation by an individual or small 49 U.S.C. 46301(a)(5)(B)(ii). 13,333 13,669
business concern related to the
registration or recordation under 49
U.S.C. chapter 441, of an aircraft not
used to provide air transportation.
Violation by an individual or small 49 U.S.C. 46301(a)(5)(B)(iii) 13,333 13,669
business concern of 49 U.S.C. 44718(d),
relating to limitation on construction or
establishment of landfills.
Violation by an individual or small 49 U.S.C. 46301(a)(5)(B)(iv). 13,333 13,669
business concern of 49 U.S.C. 44725,
relating to the safe disposal of life-
limited aircraft parts.
Tampering with a smoke alarm device........ 49 U.S.C. 46301(b)........... 4,280 4,388
Knowingly providing false information about 49 U.S.C. 46302.............. 23,246 23,832
alleged violation involving the special
aircraft jurisdiction of the United States.
Interference with cabin or flight crew..... 49 U.S.C. 46318.............. \2\ 35,000 35,883
Permanent closure of an airport without 49 U.S.C. 46319.............. 13,333 13,669
providing sufficient notice.
Operating an unmanned aircraft and in so 49 U.S.C. 46320.............. 20,408 20,923
doing knowingly or recklessly interfering
with a wildfire suppression, law
enforcement, or emergency response effort.
Violation of 51 U.S.C. 50901-50923, a 51 U.S.C. 50917(c)........... 234,247 240,155
regulation issued under these statutes, or
any term or condition of a license or
permit issued or transferred under these
statutes.
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In addition to the civil penalties listed in the above chart, FAA
regulations also provide for maximum civil penalties for violation of
49 U.S.C. 47528-47530, relating to the prohibition of operating certain
aircraft not complying with stage 3 noise levels. Those civil penalties
are identical to the civil penalties imposed under 49 U.S.C.
46301(a)(1) and (a)(5), which are detailed in the above chart, and
therefore, the noise-level civil penalties will be adjusted in the same
manner as the section 46301(a)(1) and (a)(5) civil penalties.
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\2\ Congress amended Sec. 46318 on October 5, 2018, to increase
the statutory maximum from $25,000 to $35,000. FAA Reauthorization
Act of 2018, Public Law 115-254, section 339, 132 Stat. 3186, 3282.
Accordingly, the inflation adjustment is being applied to this
statutory maximum.
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C. NHTSA 2019 Adjustments
NHTSA's 2019 civil penalty adjustments are summarized in the chart
below.\3\
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\3\ On December 28, 2016, NHTSA published a final rule regarding
some aspects of its IFR provisions regarding Corporate Average Fuel
Economy (CAFE) penalties. 81 FR 95489 (Dec. 28, 2016). On July 12,
2017, NHTSA announced that it was reconsidering that final rule. 82
FR 32140 (July 12, 2017). Accordingly, the CAFE civil penalty
provisions at 49 U.S.C. 32912(b)-(c) and 49 CFR 578.6(h)(2), which
are the subject of the reconsideration, are not being adjusted in
the final rule promulgated herein. Instead, they will be addressed
in a separate final rule for which an NPRM has been issued. 83 FR
13904 (Apr. 2, 2018). The provision in 49 CFR 578.6(h)(1),
establishing the maximum civil penalty for each violation of 49
U.S.C. 32911(a), will also be addressed in that separate notice.
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New penalty
Description Citation Existing penalty (existing penalty
x 1.02522)
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Maximum penalty amount for each violation 49 U.S.C. 30165(a)(1), $21,780 $22,329
of the Safety Act. 30165(a)(3).
[[Page 37062]]
Maximum penalty amount for a related series 49 U.S.C. 30165(a)(1), 108,895,910 111,642,265
of violations of the Safety Act. 30165(a)(3).
Maximum penalty per school bus related 49 U.S.C. 30165(a)(2)(A)..... 12,383 12,695
violation of the Safety Act.
Maximum penalty amount for a series of 49 U.S.C. 30165(a)(2)(B)..... 18,574,064 19,042,502
school bus related violations of the
Safety Act.
Maximum penalty per violation for filing 49 U.S.C. 30165(a)(4)........ 5,332 5,466
false or misleading reports.
Maximum penalty amount for a series of 49 U.S.C. 30165(a)(4)........ 1,066,340 1,093,233
violations related to filing false or
misleading reports.
Maximum penalty amount for each violation 49 U.S.C. 30505.............. 1,739 1,783
of the reporting requirements related to
maintaining the National Motor Vehicle
Title Information System.
Maximum penalty amount for each violation 49 U.S.C. 32507(a)........... 2,852 2,924
of a bumper standard under the Motor
Vehicle Information and Cost Savings Act
(Pub. L. 92-513, 86 Stat. 953, (1972)).
Maximum penalty amount for a series of 49 U.S.C. 32507(a)........... 3,176,131 3,256,233
violations of a bumper standard under the
Motor Vehicle Information and Cost Savings
Act (Pub. L. 92-513, 86 Stat. 953, (1972)).
Maximum penalty amount for each violation 49 U.S.C. 32308(b)........... 2,852 2,924
of 49 U.S.C. 32308(a) related to providing
information on crashworthiness and damage
susceptibility.
Maximum penalty amount for a series of 49 U.S.C. 32308(b)........... 1,555,656 1,594,890
violations of 49 U.S.C. 32308(a) related
to providing information on
crashworthiness and damage susceptibility.
Maximum penalty for each violation related 49 U.S.C. 32308(c)........... 59,029 60,518
to the tire fuel efficiency information
program.
Maximum civil penalty for willfully failing 49 U.S.C. 32309.............. 1,739 1,783
to affix, or failing to maintain, the
label requirement in the American
Automobile Labeling Act (Pub. L. 102-388,
106 Stat. 1556 (1992)).
Maximum penalty amount per violation 49 U.S.C. 32709.............. 10,663 10,932
related to odometer tampering and
disclosure.
Maximum penalty amount for a related series 49 U.S.C. 32709.............. 1,066,340 1,093,233
of violations related to odometer
tampering and disclosure.
Maximum penalty amount per violation 49 U.S.C. 32710.............. 10,663 10,932
related to odometer tampering and
disclosure with intent to defraud.
Maximum penalty amount for each violation 49 U.S.C. 33115(a)........... 2,343 2,402
of the Motor Vehicle Theft Law Enforcement
Act of 1984 (Vehicle Theft Act), sec. 608,
Public Law 98-547, 98 Stat. 2762 (1984).
Maximum penalty amount for a related series 49 U.S.C. 33115(a)........... 585,619 600,388
of violations of the Motor Vehicle Theft
Law Enforcement Act of 1984 (Vehicle Theft
Act), sec. 608, Public Law 98-547, 98
Stat. 2762 (1984).
Maximum civil penalty for violations of the 49 U.S.C. 33115(b)........... 173,951 178,338
Anti-Car Theft Act (Pub. L. 102-519, 106
Stat. 3393 (1992)) related to operation of
a chop shop.
Maximum civil penalty for a violation under 49 U.S.C. 32902.............. 40,852 41,882
the medium- and heavy-duty vehicle fuel
efficiency program.
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D. FMCSA 2019 Adjustments
FMCSA's civil penalties affected by this rule are all located in
Appendices A and B to 49 CFR part 386. The 2019 adjustments to these
civil penalties are summarized in the chart below.
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New penalty
Description Citation Existing penalty (existing penalty
x 1.02522)
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Appendix A II Subpoena..................... 49 U.S.C. 525................ $1,066 $1,093
Appendix A II Subpoena..................... 49 U.S.C. 525................ 10,663 10,932
Appendix A IV (a) Out-of-service order 49 U.S.C. 521(b)(7).......... 1,848 1,895
(operation of CMV by driver).
Appendix A IV (b) Out-of-service order 49 U.S.C. 521(b)(7))......... 18,477 18,943
(requiring or permitting operation of CMV
by driver).
Appendix A IV (c) Out-of-service order 49 U.S.C. 521(b)(7).......... 1,848 1,895
(operation by driver of CMV or intermodal
equipment that was placed out of service).
Appendix A IV (d) Out-of-service order 49 U.S.C. 521(b)(7).......... 18,477 18,943
(requiring or permitting operation of CMV
or intermodal equipment that was placed
out of service).
Appendix A IV (e) Out-of-service order 49 U.S.C. 521(b)(2)(B)....... 924 947
(failure to return written certification
of correction).
[[Page 37063]]
Appendix A IV (g) Out-of-service order 49 U.S.C. 521(b)(2)(F)....... 26,659 27,331
(failure to cease operations as ordered).
Appendix A IV (h) Out-of-service order 49 U.S.C. 521(b)(7).......... 23,426 24,017
(operating in violation of order).
Appendix A IV (i) Out-of-service order 49 U.S.C. 521(b)(2)(A) and 15,040 15,419
(conducting operations during suspension (b)(7)).
or revocation for failure to pay
penalties).
Appendix A IV (j) (conducting operations 49 U.S.C. 521(b)(7).......... 23,426 24,017
during suspension or revocation).
Appendix B (a)(1) Recordkeeping--maximum 49 U.S.C. 521(b)(2)(B)(i).... 1,239 1,270
penalty per day.
Appendix B (a)(1) Recordkeeping--maximum 49 U.S.C. 521(b)(2)(B)(i).... 12,383 12,695
total penalty.
Appendix B (a)(2) Knowing falsification of 49 U.S.C. 521(b)(2)(B)(ii)... 12,383 12,695
records.
Appendix B (a)(3) Non-recordkeeping 49 U.S.C. 521(b)(2)(A)....... 15,040 15,419
violations.
Appendix B (a)(4) Non-recordkeeping 49 U.S.C. 521(b)(2)(A)....... 3,760 3,855
violations by drivers.
Appendix B (a)(5) Violation of 49 CFR 392.5 49 U.S.C. 31310(i)(2)(A)..... 3,096 3,174
(first conviction).
Appendix B (a)(5) Violation of 49 CFR 392.5 49 U.S.C. 31310(i)(2)(A)..... 6,192 6,348
(second or subsequent conviction).
Appendix B (b) Commercial driver's license 49 U.S.C. 521(b)(2)(C)....... 5,591 5,732
(CDL) violations.
Appendix B (b)(1): Special penalties 49 U.S.C. 31310(i)(2)(A)..... 3,096 3,174
pertaining to violation of out-of-service
orders (first conviction).
Appendix B (b)(1) Special penalties 49 U.S.C. 31310(i)(2)(A)..... 6,192 6,348
pertaining to violation of out-of-service
orders (second or subsequent conviction).
Appendix B (b)(2) Employer violations 49 U.S.C. 521(b)(2)(C)....... 5,591 5,732
pertaining to knowingly allowing,
authorizing employee violations of out-of-
service order (minimum penalty).
Appendix B (b)(2) Employer violations 49 U.S.C. 31310(i)(2)(C)..... 30,956 31,737
pertaining to knowingly allowing,
authorizing employee violations of out-of-
service order (maximum penalty).
Appendix B (b)(3) Special penalties 49 U.S.C. 31310(j)(2)(B)..... 16,048 16,453
pertaining to railroad-highway grade
crossing violations.
Appendix B (d) Financial responsibility 49 U.S.C. 31138(d)(1), 16,499 16,915
violations. 31139(g)(1).
Appendix B (e)(1) Violations of Hazardous 49 U.S.C. 5123(a)(1)......... 79,976 81,993
Materials Regulations (HMRs) and Safety
Permitting Regulations (transportation or
shipment of hazardous materials).
Appendix B (e)(2) Violations of Hazardous 49 U.S.C. 5123(a)(3)......... 481 493
Materials Regulations (HMRs) and Safety
Permitting Regulations (training)--minimum
penalty.
Appendix B (e)(2): Violations of Hazardous 49 U.S.C. 5123(a)(1)......... 79,976 81,993
Materials Regulations (HMRs) and Safety
Permitting Regulations (training)--maximum
penalty.
Appendix B (e)(3) Violations of Hazardous 49 U.S.C. 5123(a)(1)......... 79,976 81,993
Materials Regulations (HMRs) and Safety
Permitting Regulations (packaging or
container).
Appendix B (e)(4): Violations of Hazardous 49 U.S.C. 5123(a)(1)......... 79,976 81,993
Materials Regulations (HMRs) and Safety
Permitting Regulations (compliance with
FMCSRs).
Appendix B (e)(5) Violations of Hazardous 49 U.S.C. 5123(a)(2)......... 186,610 191,316
Materials Regulations (HMRs) and Safety
Permitting Regulations (death, serious
illness, severe injury to persons;
destruction of property).
Appendix B (f)(1) Operating after being 49 U.S.C. 521(b)(2)(F)....... 26,659 27,331
declared unfit by assignment of a final
``unsatisfactory'' safety rating
(generally).
Appendix B (f)(2) Operating after being 49 U.S.C. 5123(a)(1)......... 79,976 81,993
declared unfit by assignment of a final
``unsatisfactory'' safety rating
(hazardous materials)--maximum penalty.
Appendix B (f)(2): Operating after being 49 U.S.C. 5123(a)(2)......... 186,610 191,316
declared unfit by assignment of a final
``unsatisfactory'' safety rating
(hazardous materials)--maximum penalty if
death, serious illness, severe injury to
persons; destruction of property.
Appendix B (g)(1): Violations of the 49 U.S.C. 14901(a)........... 10,663 10,932
commercial regulations (CR) (property
carriers).
Appendix B (g)(2) Violations of the CRs 49 U.S.C. 14916(c)........... 10,663 10,932
(brokers).
Appendix B (g)(3) Violations of the CRs 49 U.S.C. 14901(a)........... 26,659 27,331
(passenger carriers).
[[Page 37064]]
Appendix B (g)(4) Violations of the CRs 49 U.S.C. 14901(a)........... 10,663 10,932
(foreign motor carriers, foreign motor
private carriers).
Appendix B (g)(5) Violations of the CRs 49 U.S.C. 14901 note......... 14,664 15,034
(foreign motor carriers, foreign motor
private carriers before implementation of
North American Free Trade Agreement land
transportation provisions)--maximum
penalty for intentional violation.
Appendix B (g)(5) Violations of the CRs 49 U.S.C. 14901 note......... 36,662 37,587
(foreign motor carriers, foreign motor
private carriers before implementation of
North American Free Trade Agreement land
transportation provisions)--maximum
penalty for a pattern of intentional
violations.
Appendix B (g)(6) Violations of the CRs 49 U.S.C. 14901(b)........... 21,327 21,865
(motor carrier or broker for
transportation of hazardous wastes)--
minimum penalty.
Appendix B (g)(6) Violations of the CRs 49 U.S.C. 14901(b)........... 42,654 43,730
(motor carrier or broker for
transportation of hazardous wastes)--
maximum penalty.
Appendix B (g)(7): Violations of the CRs I49 U.S.C. 14901(d)(1)....... 1,604 1,644
(HHG carrier or freight forwarder, or
their receiver or trustee).
Appendix B (g)(8) Violation of the CRs 49 U.S.C. 14901(e)........... 3,210 3,291
(weight of HHG shipment, charging for
services)--minimum penalty for first
violation.
Appendix B (g)(8) Violation of the CRs 49 U.S.C. 14901(e)........... 8,025 8,227
(weight of HHG shipment, charging for
services) subsequent violation.
Appendix B (g)(10) Tariff violations....... 49 U.S.C. 13702, 14903....... 160,484 164,531
Appendix B (g)(11) Additional tariff 49 U.S.C. 14904(a)........... 320 328
violations (rebates or concessions)--first
violation.
Appendix B (g)(11) Additional tariff 49 U.S.C. 14904(a)........... 401 411
violations (rebates or concessions)--
subsequent violations.
Appendix B (g)(12): Tariff violations 49 U.S.C. 14904(b)(1)........ 803 823
(freight forwarders)--maximum penalty for
first violation.
Appendix B (g)(12): Tariff violations 49 U.S.C. 14904(b)(1)........ 3,210 3,291
(freight forwarders)--maximum penalty for
subsequent violations.
Appendix B (g)(13): Service from freight 49 U.S.C. 14904(b)(2)........ 803 823
forwarder at less than rate in effect--
maximum penalty for first violation.
Appendix B (g)(13): Service from freight 49 U.S.C. 14904(b)(2)........ 3,210 3,291
forwarder at less than rate in effect--
maximum penalty for subsequent
violation(s).
Appendix B (g)(14): Violations related to 49 U.S.C. 14905.............. 16,048 16,453
loading and unloading motor vehicles.
Appendix B (g)(16): Reporting and 49 U.S.C. 14901.............. 1,066 1,093
recordkeeping under 49 U.S.C. subtitle IV,
part B (except 13901 and 13902(c)--minimum
penalty.
Appendix B (g)(16): Reporting and 49 U.S.C. 14907.............. 8,025 8,227
recordkeeping under 49 U.S.C. subtitle IV,
part B--maximum penalty.
Appendix B (g)(17): Unauthorized disclosure 49 U.S.C. 14908.............. 3,210 3,291
of information.
Appendix B (g)(18): Violation of 49 U.S.C. 49 U.S.C. 14910.............. 803 823
subtitle IV, part B, or condition of
registration.
Appendix B (g)(21)(i): Knowingly and 49 U.S.C. 14905.............. 16,048 16,453
willfully fails to deliver or unload HHG
at destination.
Appendix B (g)(22): HHG broker estimate 49 U.S.C. 14901(d)(2)........ 12,383 12,695
before entering into an agreement with a
motor carrier.
Appendix B (g)(23): HHG transportation or 49 U.S.C. 14901 (d)(3)....... 30,956 31,737
broker services--registration requirement.
Appendix B (h): Copying of records and 49 U.S.C. 521(b)(2)(E)....... 1,239 1,270
access to equipment, lands, and buildings--
maximum penalty per day.
Appendix B (h): Copying of records and 49 U.S.C. 521(b)(2)(E)....... 12,383 12,695
access to equipment, lands, and buildings--
maximum total penalty.
Appendix B (i)(1): Evasion of regulations 49 U.S.C. 524................ 2,133 2,187
under 49 U.S.C. ch. 5, 51, subchapter III
of 311 (except 31138 and 31139), 31302-
31304, 31305(b), 31310(g)(1)(A), 31502--
minimum penalty for first violation.
Appendix B (i)(1): Evasion of regulations 49 U.S.C. 524................ 5,332 5,466
under 49 U.S.C. ch. 5, 51, subchapter III
of 311 (except 31138 and 31139), 31302-
31304, 31305(b), 31310(g)(1)(A), 31502--
maximum penalty for first violation.
Appendix B (i)(1): Evasion of regulations 49 U.S.C. 524................ 2,665 2,732
under 49 U.S.C. ch. 5, 51, subchapter III
of 311 (except 31138 and 31139), 31302-
31304, 31305(b), 31310(g)(1)(A), 31502--
minimum penalty for subsequent
violation(s).
[[Page 37065]]
Appendix B (i)(1): Evasion of regulations 49 U.S.C. 524................ 7,997 8,199
under 49 U.S.C. ch. 5, 51, subchapter III
of 311 (except 31138 and 31139), 31302-
31304, 31305(b), 31310(g)(1)(A), 31502--
maximum penalty for subsequent
violation(s).
Appendix B (i)(2): Evasion of regulations 49 U.S.C. 14906.............. 2,133 2,187
under 49 U.S.C. subtitle IV, part B--
minimum penalty for first violation.
Appendix B (i)(2): Evasion of regulations 49 U.S.C. 14906.............. 5,332 5,466
under 49 U.S.C. subtitle IV, part B--
minimum penalty for subsequent
violation(s).
----------------------------------------------------------------------------------------------------------------
E. FRA 2019 Adjustments
FRA's 2019 civil penalty adjustments are summarized in the chart
below.
----------------------------------------------------------------------------------------------------------------
New penalty
Description Citation Existing penalty (existing penalty
x 1.02522)
----------------------------------------------------------------------------------------------------------------
Minimum rail safety penalty................ 49 U.S.C. ch. 213............ $870 $892
Ordinary maximum rail safety penalty....... 49 U.S.C. ch. 213............ 28,474 29,192
Maximum penalty for an aggravated rail 49 U.S.C. ch. 213............ 113,894 116,766
safety violation.
Minimum penalty for hazardous materials 49 U.S.C. 5123............... 481 493
training violations.
Maximum penalty for ordinary hazardous 49 U.S.C. 5123............... 79,976 81,993
materials violations.
Maximum penalty for aggravated hazardous 49 U.S.C. 5123............... 186,610 191,316
materials violations.
----------------------------------------------------------------------------------------------------------------
F. PHMSA 2019 Adjustments
PHMSA's 2019 civil penalty adjustments are summarized in the chart
below.
----------------------------------------------------------------------------------------------------------------
New penalty
Description Citation Existing penalty (existing penalty
x 1.02522)
----------------------------------------------------------------------------------------------------------------
Maximum penalty for hazardous materials 49 U.S.C. 5123............... $79,976 $81,993
violation.
Maximum penalty for hazardous materials 49 U.S.C. 5123............... 186,610 191,316
violation that results in death, serious
illness, or severe injury to any person or
substantial destruction of property.
Minimum penalty for hazardous materials 49 U.S.C. 5123............... 481 493
training violations.
Maximum penalty for each pipeline safety 49 U.S.C. 60122(a)(1)........ 213,268 218,647
violation.
Maximum penalty for a related series of 49 U.S.C. 60122(a)(1)........ 2,132,679 2,186,465
pipeline safety violations.
Maximum penalty for liquefied natural gas 49 U.S.C. 60122(a)(2)........ 77,910 79,875
pipeline safety violation.
Maximum penalty for discrimination against 49 U.S.C. 60122(a)(3)........ 1,239 1,270
employees providing pipeline safety
information.
----------------------------------------------------------------------------------------------------------------
G. MARAD 2019 Adjustments
MARAD's 2019 civil penalty adjustments are summarized in the chart
below.
----------------------------------------------------------------------------------------------------------------
New penalty
Description Citation Existing penalty (existing penalty
x 1.02522)
----------------------------------------------------------------------------------------------------------------
Maximum civil penalty for a single 46 U.S.C. 31309.............. $20,521 $21,038
violation of any provision under 46 U.S.C.
Chapter 313 and all of Subtitle III
related MARAD regulations, except for
violations of 46 U.S.C. 31329.
[[Page 37066]]
Maximum civil penalty for a single 46 U.S.C. 31330.............. 51,302 52,596
violation of 46 U.S.C. 31329 as it relates
to the court sales of documented vessels.
Maximum civil penalty for a single 46 U.S.C. 56101(e)........... 19,639 21,134
violation of 46 U.S.C. 56101 as it relates
to approvals required to transfer a vessel
to a noncitizen.
Maximum civil penalty for failure to file 46 U.S.C. 50113(b)........... 130 133
an AMVER report.
Maximum civil penalty for violating 50 U.S.C. 4513............... 25,928 26,582
procedures for the use and allocation of
shipping services, port facilities and
services for national security and
national defense operations.
Maximum civil penalty for violations in 46 U.S.C. 12151.............. 150,404 154,197
applying for or renewing a vessel's
fishery endorsement.
----------------------------------------------------------------------------------------------------------------
H. SLSDC 2019 Adjustments
SLSDC's 2019 civil penalty adjustment is as follows:
----------------------------------------------------------------------------------------------------------------
New penalty
Description Citation Existing penalty (existing penalty
x 1.02522)
----------------------------------------------------------------------------------------------------------------
Maximum civil penalty for each violation of 33 U.S.C. 1232............... $91,901 $94,219
the Seaway Rules and Regulations at 33 CFR
part 401.
----------------------------------------------------------------------------------------------------------------
Regulatory Analysis and Notices
A. Executive Order 12866 and DOT Regulatory Policies and Procedures
This final rule has been evaluated in accordance with existing
policies and procedures and is considered not significant under
Executive Orders 12866 or DOT's Regulatory Policies and Procedures;
therefore, the rule has not been reviewed by the Office of Management
and Budget (OMB) under Executive Order 12866.
B. Regulatory Flexibility Analysis
The Department has determined the Regulatory Flexibility Act of
1980 (RFA) (5 U.S.C. 601, et seq.) does not apply to this rulemaking.
The RFA applies, in pertinent part, only when ``an agency is required .
. . to publish general notice of proposed rulemaking.'' 5 U.S.C.
604(a).\4\ The Small Business Administration's A Guide for Government
Agencies: How to Comply with the Regulatory Flexibility Act (2012),
explains that:
---------------------------------------------------------------------------
\4\ Under 5 U.S.C. 603(a), the Regulatory Flexibility Act also
applies when an agency ``publishes a notice of proposed rulemaking
for an interpretative rule involving the internal revenue laws of
the United States.'' However, this rule does not involve the
internal revenue laws of the United States.
If, under the APA or any rule of general applicability governing
federal grants to state and local governments, the agency is
required to publish a general notice of proposed rulemaking (NPRM),
the RFA must be considered [citing 5 U.S.C. 604(a)]. . . . If an
---------------------------------------------------------------------------
NPRM is not required, the RFA does not apply.
As stated above, DOT has determined that good cause exists to
publish this final rule without notice and comment procedures under the
APA. Therefore, the RFA does not apply.
C. Executive Order 13132 (Federalism)
This final rule has been analyzed in accordance with the principles
and criteria contained in Executive Order 13132 (``Federalism''). This
regulation has no substantial direct effects on the States, the
relationship between the national government and the States, or the
distribution of power and responsibilities among the various levels of
government. It does not contain any provision that imposes substantial
direct compliance costs on State and local governments. It does not
contain any new provision that preempts state law, because states are
already preempted from regulating in this area under the Airline
Deregulation Act, 49 U.S.C. 41713. Therefore, the consultation and
funding requirements of Executive Order 13132 do not apply.
D. Executive Order 13175
This final rule has been analyzed in accordance with the principles
and criteria contained in Executive Order 13175, Consultation and
Coordination with Indian Tribal Governments. Because none of the
measures in the rule have tribal implications or impose substantial
direct compliance costs on Indian tribal governments, the funding and
consultation requirements of Executive Order 13175 do not apply.
E. Paperwork Reduction Act
Under the Paperwork Reduction Act, before an agency submits a
proposed collection of information to OMB for approval, it must publish
a document in the Federal Register providing notice of and a 60-day
comment period on, and otherwise consult with members of the public and
affected agencies concerning, each proposed collection of information.
This final rule imposes no new information reporting or record keeping
necessitating clearance by OMB.
F. National Environmental Policy Act
The Department has analyzed the environmental impacts of this final
rule pursuant to the National Environmental Policy Act of 1969 (NEPA)
(42 U.S.C. 4321, et seq.) and has determined that it is categorically
excluded pursuant to DOT Order 5610.1C, Procedures for Considering
Environmental Impacts (44 FR 56420, Oct. 1, 1979 as amended July 13,
1982 and July 30, 1985). Categorical exclusions are actions identified
in an agency's NEPA implementing procedures that do not normally have a
significant impact on the environment and therefore do not require
either an environmental assessment (EA) or environmental impact
statement (EIS). See 40 CFR 1508.4. In analyzing the applicability of a
categorical exclusion, the agency must also consider whether
[[Page 37067]]
extraordinary circumstances are present that would warrant the
preparation of an EA or EIS. Id. Paragraph 4(c)(5) of DOT Order 5610.1C
incorporates by reference the categorical exclusions for all DOT
Operating Administrations. This action qualifies for a categorical
exclusion in accordance with FAA Order 1050.1F, Environmental Impacts:
Policies and Procedures, (80 FR 44208, July 24, 2015), paragraph 5-
6.6.f, which covers regulations not expected to cause any potentially
significant environmental impacts. The Department does not anticipate
any environmental impacts, and there are no extraordinary circumstances
present in connection with this final rule.
G. Unfunded Mandates Reform Act
The Department analyzed the final rule under the factors in the
Unfunded Mandates Reform Act of 1995. The Department considered whether
the rule includes a federal mandate that may result in the expenditure
by State, local, and tribal governments, in the aggregate, or by the
private sector, of $100,000,000 or more (adjusted annually for
inflation) in any one year. The Department has determined that this
final rule will not result in such expenditures. Accordingly, this
final rule is not subject to the Unfunded Mandates Reform Act.
H. Executive Order 13771
Executive Order 13771, ``Reducing Regulation and Controlling
Regulatory Costs,'' does not apply to this action because it is
nonsignificant; therefore, it is not subject to the ``2 for 1'' and
budgeting requirements.
List of Subjects
14 CFR Part 13
Administrative practice and procedure, Air transportation,
Hazardous materials transportation, Investigations, Law enforcement,
Penalties.
14 CFR Part 383
Administrative practice and procedure, Penalties.
14 CFR Part 406
Administrative procedure and review, Commercial space
transportation, Enforcement, Investigations, Penalties, Rules of
adjudication.
33 CFR Part 401
Hazardous materials transportation, Navigation (water), Penalties,
Radio, Reporting and recordkeeping requirements, Vessels, Waterways.
46 CFR Part 221
Administrative practice and procedure, Maritime carriers,
Mortgages, Penalties, Reporting and recordkeeping requirements, Trusts
and trustees.
46 CFR Part 307
Marine safety, Maritime carriers, Penalties, Reporting and
recordkeeping requirements.
46 CFR Part 340
Harbors, Maritime carriers, National defense, Packaging and
containers.
46 CFR Part 356
Citizenship and naturalization, Fishing vessels, Mortgages,
Penalties, Reporting and recordkeeping requirements, Vessels.
49 CFR Part 107
Administrative practices and procedure, Hazardous materials
transportation, Packaging and containers, Penalties, Reporting and
recordkeeping requirements.
49 CFR Part 171
Definitions, General information, Regulations
49 CFR Part 190
Administrative practice and procedure, Penalties, Pipeline safety.
49 CFR Part 209
Administrative practice and procedure, Hazardous materials
transportation, Penalties, Railroad safety, Reporting and recordkeeping
requirements.
49 CFR Part 213
Bridges, Penalties, Railroad safety, Reporting and recordkeeping
requirements.
49 CFR Part 214
Bridges, Occupational safety and health, Penalties, Railroad
safety, Reporting and recordkeeping requirements.
49 CFR Part 215
Freight, Penalties, Railroad safety, Reporting and recordkeeping
requirements.
49 CFR Part 216
Penalties, Railroad safety, Reporting and recordkeeping
requirements.
49 CFR Part 217
Penalties, Railroad safety, Reporting and recordkeeping
requirements.
49 CFR Part 218
Occupational safety and health, Penalties, Railroad employees,
Railroad safety, Reporting and recordkeeping requirements.
49 CFR Part 219
Alcohol abuse, Drug abuse, Drug testing, Penalties, Railroad
safety, Reporting and recordkeeping requirements, Safety,
Transportation.
49 CFR Part 220
Penalties, Radio, Railroad safety, Reporting and recordkeeping
requirements.
49 CFR Part 221
Penalties, Railroad safety, Reporting and recordkeeping
requirements.
49 CFR Part 222
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 224
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 229
Penalties, Railroad safety, Reporting and recordkeeping
requirements.
49 CFR Part 230
Penalties, Railroad safety, Reporting and recordkeeping
requirements.
49 CFR Part 231
Penalties, Railroad safety.
49 CFR Part 232
Penalties, Railroad safety, Reporting and recordkeeping
requirements.
49 CFR Part 233
Penalties, Railroad safety, Reporting and recordkeeping
requirements.
49 CFR Part 234
Highway safety, Penalties, Railroad safety, Reporting and
recordkeeping
[[Page 37068]]
requirements, State and local governments.
49 CFR Part 235
Administrative practice and procedure, Penalties, Railroad safety,
Railroad signals, Reporting and recordkeeping requirements.
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
Incorporation by reference, Passenger Equipment, Fire prevention,
Penalties, Railroad safety, Reporting and recordkeeping requirements.
49 CFR Part 239
Penalties, Railroad safety, Reporting and recordkeeping
requirements.
49 CFR Part 240
Administrative practice and procedure, Penalties, Railroad
employees, Railroad safety, Reporting and recordkeeping requirements.
49 CFR Part 241
Communications, Penalties, Railroad safety, Reporting and
recordkeeping requirements.
49 CFR Part 242
Administrative practice and procedure, Penalties, Railroad
employees, Railroad safety, Reporting and recordkeeping requirements.
49 CFR Part 243
Administrative practice and procedure, Penalties, Railroad
employees, Railroad safety, Reporting and recordkeeping requirements.
49 CFR Part 244
Administrative practice and procedure, Penalties, Railroad safety,
Reporting and recordkeeping requirements.
49 CFR Part 270
Penalties, Railroad safety, Reporting and recordkeeping
requirements, System safety.
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 II and III, 33 CFR part 401, 46 CFR chapter II, and 49 CFR
chapters I, II, III, and V as follows:
Title 14--Aeronautics and Space
PART 13--INVESTIGATIVE AND ENFORCEMENT PROCEDURES
0
1. The authority citation for part 13 continues 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, 46101-46111, 46301, 46302 (for a violation of
49 U.S.C. 46504), 46304-46316, 46318, 46501-46502, 46504-46507,
47106, 47107, 47111, 47122, 47306, 47531-47532; 49 CFR 1.83.
0
2. Revise Sec. 13.301 to read as follows:
Sec. 13.301 Inflation adjustments of civil monetary penalties.
(a) This subpart provides the maximum civil monetary penalties or
range of minimum and maximum civil monetary penalties for each
statutory civil penalty subject to FAA jurisdiction, as adjusted for
inflation.
(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 July 31, 2019, notwithstanding
references to specific civil penalty amounts elsewhere in this part.
(c) Minimum and maximum civil monetary penalties are as follows:
Table 1 to Sec. 13.301: Minimum and Maximum Civil Monetary Penalty Amounts for Certain Violations
--------------------------------------------------------------------------------------------------------------------------------------------------------
New minimum
penalty amount
for violations New maximum penalty
Civil monetary penalty 2018 minimum occurring on 2018 maximum penalty amount for violations
United States Code citation description penalty amount or after 07/ amount occurring on or after 07/
31/2019, 31/2019, adjusted for
adjusted for inflation
inflation
--------------------------------------------------------------------------------------------------------------------------------------------------------
49 U.S.C. 5123(a)(1)................. Violation of hazardous N/A N/A $79,976................. $81,993.
materials transportation law.
49 U.S.C. 5123(a)(2)................. Violation of hazardous N/A N/A $186,610................ $191,316.
materials transportation law
resulting in death, serious
illness, severe injury, or
substantial property
destruction.
49 U.S.C. 5123(a)(3)................. Violation of hazardous $481 $493 $79,976................. $81,993.
materials transportation law
relating to training.
49 U.S.C. 46301(a)(1)................ Violation by a person other N/A N/A $33,333................. $34,174.
than an individual or small
business concern under 49
U.S.C. 46301(a)(1)(A) or (B).
49 U.S.C. 46301(a)(1)................ Violation by an airman N/A N/A $1,466.................. $1,501.
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)).
[[Page 37069]]
49 U.S.C. 46301(a)(1)................ Violation by an individual or N/A N/A $1,466.................. $1,501.
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)(3)................ Violation of 49 U.S.C. N/A N/A Increase above otherwise No change.
47107(b) (or any assurance applicable maximum
made under such section) or amount not to exceed 3
49 U.S.C. 47133. times the amount of
revenues that are used
in violation of such
section.
49 U.S.C. 46301(a)(5)(A)............. Violation by an individual or N/A N/A $13,333................. $13,669.
small business concern
(except an airman serving as
an airman) under 49 U.S.C.
46301(a)(5)(A)(i) or (ii).
49 U.S.C. 46301(a)(5)(B)(i).......... Violation by an individual or N/A N/A $13,333................. $13,669.
small business concern
related to the
transportation of hazardous
materials.
49 U.S.C. 46301(a)(5)(B)(ii)......... Violation by an individual or N/A N/A $13,333................. $13,669.
small business concern
related to the registration
or recordation under 49
U.S.C. chapter 441, of an
aircraft not used to provide
air transportation.
49 U.S.C. 46301(a)(5)(B)(iii)........ Violation by an individual or N/A N/A $13,333................. $13,669.
small business concern of 49
U.S.C. 44718(d), relating to
limitation on construction
or establishment of
landfills.
49 U.S.C. 46301(a)(5)(B)(iv)......... Violation by an individual or N/A N/A $13,333................. $13,669.
small business concern of 49
U.S.C. 44725, relating to
the safe disposal of life-
limited aircraft parts.
49 U.S.C. 46301(b)................... Tampering with a smoke alarm N/A N/A $4,280.................. $4,388.
device.
49 U.S.C. 46302...................... Knowingly providing false N/A N/A $23,246................. $23,832.
information about alleged
violation involving the
special aircraft
jurisdiction of the United
States.
49 U.S.C. 46318...................... Interference with cabin or N/A N/A $35,440................. $35,883.
flight crew.
49 U.S.C. 46319...................... Permanent closure of an N/A N/A $13,333................. $13,669.
airport without providing
sufficient notice.
49 U.S.C. 46320...................... Operating an unmanned N/A N/A $20,408................. $20,923.
aircraft and in so doing
knowingly or recklessly
interfering with a wildfire
suppression, law
enforcement, or emergency
response effort.
49 U.S.C. 47531...................... Violation of 49 U.S.C. 47528- N/A N/A See 49 U.S.C. See 49 U.S.C.
47530, relating to the 46301(a)(1) and (a)(5), 46301(a)(1) and (a)(5),
prohibition of operating above. above.
certain aircraft not
complying with stage 3 noise
levels.
--------------------------------------------------------------------------------------------------------------------------------------------------------
[[Page 37070]]
0
3. Part 383 is revised to read as follows:
PART 383--CIVIL PENALTIES
Sec.
383.1 Purpose and periodic adjustment.
383.2 Amount of penalty.
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.
Sec. 383.1 Purpose and periodic adjustment.
(a) Purpose. This part adjusts the civil penalty liability amounts
prescribed in 49 U.S.C. 46301(a) for inflation in accordance with the
Act cited in paragraph (b) of this section.
(b) Periodic adjustment. DOT will periodically adjust the maximum
civil penalties set forth in 49 U.S.C. 46301 and this part as required
by the Federal Civil Penalties Inflation Adjustment Act of 1990 as
amended by the Federal Civil Penalties Inflation Adjustment Act
Improvements Act of 2015.
Sec. 383.2 Amount of penalty.
Civil penalties payable to the U.S. Government for violations of
Title 49, Chapters 401 through 421, pursuant to 49 U.S.C. 46301(a), are
as follows:
(a) A general civil penalty of not more than $34,174 (or $1.503 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 $13,669 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 $6,834 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 $3,418 applies for violations of
section 41712 or consumer protection rules or orders (see 49 U.S.C.
46301(a)(5)(D)).
PART 406--INVESTIGATIONS, ENFORCEMENT, AND ADMINISTRATIVE REVIEW
0
4. The authority citation for part 406 continues to read as follows:
Authority: 51 U.S.C. 50901-50923.
0
5. Amend Sec. 406.9 by revising paragraph (a) to read as follows:
Sec. 406.9 Civil penalties.
(a) Civil penalty liability. Under 51 U.S.C. 50917(c), a person
found by the FAA to have violated a requirement of the Act, a
regulation issued under the Act, or any term or condition of a license
or permit issued or transferred under the Act, is liable to the United
States for a civil penalty of not more than $240,155 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 A--Regulations
0
6. The authority citation for subpart A of part 401 is revised to read
as follows:
Authority: 33 U.S.C. 981-990, 1231 and 1232, 49 CFR 1.52,
unless otherwise noted.
0
7. Amend Sec. 401.102 by revising paragraph (a) to read as follows:
Sec. 401.101 Criminal penalty.
(a) A person, as described in Sec. 401.101(b) who violates a
regulation is liable to a civil penalty of not more than $94,219.
* * * * *
Title 46--Shipping
PART 221--REGULATED TRANSACTIONS INVOLVING DOCUMENTED VESSELS AND
OTHER MARITIME INTERESTS
0
8. The authority citation for part 221 continues to read as follows:
Authority: 46 U.S.C. chs. 301, 313, and 561; Pub. L. 114-74; 49
CFR 1.93.
0
9. Section 221.61 is revised to read as follows:
Sec. 221.61 Compliance.
(a) This subpart describes procedures for the administration of
civil penalties that the Maritime Administration may assess under 46
U.S.C. 31309, 31330, and 56101, pursuant to 49 U.S.C. 336.
(b) Pursuant to 46 U.S.C. 31309, a general penalty of not more than
$21,038 may be assessed for each violation of chapter 313 or 46 U.S.C.
subtitle III administered by the Maritime Administration, and the
regulations in this part that are promulgated thereunder, except that a
person violating 46 U.S.C. 31329 and the regulations promulgated
thereunder is liable for a civil penalty of not more than $52,596 for
each violation. A person that 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 $21,134 for each violation.
PART 307--ESTABLISHMENT OF MANDATORY POSITION REPORTING SYSTEM FOR
VESSELS
0
10. The authority citation for part 307 continues to read as follows:
Authority: Pub. L. 109-304; 46 U.S.C. 50113; Pub. L. 114-74; 49
CFR 1.93.
0
11. Section 307.19 is revised to read as follows:
Sec. 307.19 Penalties.
The owner or operator of a vessel in the waterborne foreign
commerce of the United States is subject to a penalty of $133.00 for
each day of failure to file an AMVER report required by this part. Such
penalty shall constitute a lien upon the vessel, and such vessel may be
libeled in the district court of the United States in which the vessel
may be found.
PART 340--PRIORITY USE AND ALLOCATION OF SHIPPING SERVICES,
CONTAINERS AND CHASSIS, AND PORT FACILITIES AND SERVICES FOR
NATIONAL SECURITY AND NATIONAL DEFENSE RELATED OPERATIONS
0
12. The authority citation for part 340 continues to read as follows:
Authority: 50 U.S.C. 4501 et seq. (``The Defense Production
Act''); Executive Order 13603 (77 FR 16651); Executive Order 12656
(53 FR 47491); Pub. L. 114-74; 49 CFR 1.45; 49 CFR 1.93(l).
0
13. Section 340.9 is revised to read as follows:
Sec. 340.9 Compliance.
Pursuant 50 U.S.C. 4513 any person who willfully performs any act
prohibited, or willfully fails to perform any act required, by the
provisions of this regulation shall, upon conviction, be fined not more
than $26,582 or imprisoned for not more than one year, or both.
PART 356--REQUIREMENTS FOR VESSELS OF 100 FEET OR GREATER IN
REGISTERED LENGTH TO OBTAIN A FISHERY ENDORSEMENT TO THE VESSEL'S
DOCUMENTATION
0
14. The authority citation for part 356 continues to read as follows:
[[Page 37071]]
Authority: 46 U.S.C. 12102; 46 U.S.C. 12151; 46 U.S.C. 31322;
Pub. L. 105-277, division C, title II, subtitle I, section 203 (46
U.S.C. 12102 note), section 210(e), and section 213(g), 112 Stat.
2681; Pub. L. 107-20, section 2202, 115 Stat. 168-170; Pub. L. 114-
74; 49 CFR 1.93.
0
15. Amend Sec. 356.49 by revising paragraph (b) to read as follows:
Sec. 356.49 Penalties.
* * * * *
(b) A fine of up to $154,197may 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
* * * * *
Title 49--Transportation
PART 107--HAZARDOUS MATERIALS PROGRAM PROCEDURES
0
16. 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(b).
0
17. Section 107.329 is revised to read as follows:
Sec. 107.329 Maximum penalties.
(a) A person who knowingly violates a requirement of the Federal
hazardous material transportation law, an order issued thereunder, this
subchapter, subchapter C of the chapter, or a special permit or
approval issued under this subchapter applicable to the transportation
of hazardous materials or the causing of them to be transported or
shipped is liable for a civil penalty of not more than $81,993 for each
violation, except the maximum civil penalty is $191,316 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 $493 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
$81,993 for each violation, except the maximum civil penalty is
$191,316 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 $493
for violations relating to training.
0
18. In appendix A to subpart D of part 107, section II, following the
table, under ``B. Penalty Increases for Multiple Counts'', the first
sentence of the second paragraph is revised to read as follows:
Appendix A to Subpart D of Part 107--Guidelines for Civil Penalties
* * * * *
II. * * *
B. * * *
Under the Federal hazmat law, 49 U.S.C. 5123(a), each violation
of the HMR and each day of a continuing violation (except for
violations relating to packaging manufacture or qualification) is
subject to a civil penalty of up to $81,993 or $191,316 for a
violation occurring on or after July 31, 2019. * * *
* * * * *
PART 171--GENERAL INFORMATION, REGULATIONS, AND DEFINITIONS
0
19. The authority citation for part 171 continues to read as follows:
Authority: 49 U.S.C. 5101-5128, 44701; Pub. L. 101-410 section
4; Pub. L. 104-134, section 31001; Pub. L. 114-74 section 4 (28
U.S.C. 2461 note); 49 CFR 1.81 and 1.97.
0
20. Amend Sec. 171.1 by revising paragraph (g) to read as follows:
Sec. 171.1 Applicability of Hazardous Materials Regulations (HMR) to
persons and functions.
* * * * *
(g) Penalties for noncompliance. Each person who knowingly violates
a requirement of the Federal hazardous material transportation law, an
order issued under Federal hazardous material transportation law,
subchapter A of this chapter, or a special permit or approval issued
under subchapter A or C of this chapter is liable for a civil penalty
of not more than $81,993 for each violation, except the maximum civil
penalty is $191,316 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 $493 for a violation relating to training.
PART 190--PIPELINE SAFETY ENFORCEMENT AND REGULATORY PROCEDURES
0
21a. The authority citation for part 190 is revised to read as follows:
Authority: 33 U.S.C. 1321(b); 49 U.S.C. 60101 et seq.
0
21b. Amend Sec. 190.223 by revising paragraphs (a) through (d) to read
as follows:
Sec. 190.223 Maximum penalties.
(a) Any person found to have violated a provision of 49 U.S.C.
60101, et seq., or any regulation or order issued thereunder, is
subject to an administrative civil penalty not to exceed $218,647 for
each violation for each day the violation continues, with a maximum
administrative civil penalty not to exceed $2,186,465 for any related
series of violations.
(b) Any person found to have violated a provision of 33 U.S.C.
1321(j), or any regulation or order issued thereunder, is subject to an
administrative civil penalty under 33 U.S.C. 1321(b)(6), as adjusted by
40 CFR 19.4.
(c) Any person found to have violated any standard or order under
49 U.S.C. 60103 is subject to an administrative civil penalty not to
exceed $79,875, 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 $1,270, which may be in addition to other
penalties to which such person may be subject under paragraph (a) of
this section.
* * * * *
PART 209--RAILROAD SAFETY ENFORCEMENT PROCEDURES
0
22. The authority citation for part 209 continues to read as follows:
Authority: 49 U.S.C. 5123, 5124, 20103, 20107, 20111, 20112,
20114; 28 U.S.C. 2461, note; and 49 CFR 1.89.
0
23. Amend Sec. 209.103 by revising paragraphs (a) and (c) to read as
follows:
Sec. 209.103 Minimum and maximum penalties.
(a) A person who knowingly violates a requirement of the Federal
hazardous materials transportation laws, an order issued thereunder,
subchapter A or C of chapter I, subtitle B, of this title, or a special
permit or approval issued under subchapter A or C of chapter I,
subtitle B, of this title is liable for a civil penalty
[[Page 37072]]
of not more than $81,993 for each violation, except that--
(1) The maximum civil penalty for a violation is $191,316 if the
violation results in death, serious illness, or severe injury to any
person, or substantial destruction of property and
(2) A minimum $493 civil penalty applies to a violation related to
training.
* * * * *
(c) The maximum and minimum civil penalties described in paragraph
(a) of this section apply to violations occurring on or after July 31,
2019.
0
24. Amend Sec. 209.105 by revising the last sentence of paragraph (c)
to read as follows:
Sec. 209.105 Notice of probable violation.
* * * * *
(c) * * * In an amended notice, FRA may change the civil penalty
amount proposed to be assessed up to and including the maximum penalty
amount of $81,993 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 $191,316.
Sec. 209.409 [Amended]
0
25. Amend Sec. 209.409 as follows:
0
a. Remove the dollar amount ``$870'' and add in its place ``$892'';
0
b. Remove the dollar amount ``$28,474'' and add in its place
``$29,192''; and
0
c. Remove the dollar amount ``$113,894'' and add in its place
``$116,766''.
0
26. In appendix A to part 209, amend the section ``Penalty Schedules;
Assessment of Maximum Penalties'' by:
0
a. Adding a sentence to the end of the sixth paragraph;
0
b. Revising the fourth sentence of the seventh paragraph; and
0
c. Revising the first sentence of the tenth paragraph.
The addition and revisions read as follows:
Appendix A to Part 209--Statement of Agency Policy Concerning
Enforcement of the Federal Railroad Safety Laws
* * * * *
Penalty Schedules; Assessment of Maximum Penalties
* * * * *
* * * Effective July 31, 2019, the minimum civil monetary
penalty was raised from $870 to $892, the ordinary maximum civil
monetary penalty was raised from $28,474 to $29,192, and the
aggravated maximum civil monetary penalty was raised from $113,894
to $116,766.
* * * For each regulation or order, the schedule shows two
amounts within the $892 to $29,192 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 $116,766 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. * * *
* * * * *
0
27. Amend appendix B to part 209 in the introductory text by revising
the second sentence of the first paragraph, the last sentence of the
second paragraph, and the fifth sentence of the third paragraph to read
as follows:
Appendix B to Part 209--Federal Railroad Administration Guidelines for
Initial Hazardous Materials Assessments
* * * The guideline penalty amounts reflect the best judgment of
the FRA Office of Railroad Safety (RRS) and of the Safety Law
Division of the Office of Chief Counsel (RCC) on the relative
severity of the various violations routinely encountered by FRA
inspectors on a scale of amounts up to the maximum $81,993 penalty,
except the maximum civil penalty is $191,316 if the violation
results in death, serious illness or severe injury to any person, or
substantial destruction of property, and a minimum $493 penalty
applies to a violation related to training. * * *
* * * When a violation of the Federal hazardous material
transportation law, an order issued thereunder, the Hazardous
Materials Regulations or a special permit, approval, or order issued
under those regulations results in death, serious illness or severe
injury to any person, or substantial destruction of property, a
maximum penalty of at least $81,993 and up to and including $191,316
shall always be assessed initially.
* * * In fact, FRA reserves the express authority to amend the
NOPV to seek a penalty of up to $81,993 for each violation, and up
to $191,316 for any violation resulting in death, serious illness or
severe injury to any person, or substantial destruction of property,
at any time prior to issuance of an order. * * *
PART 213--TRACK SAFETY STANDARDS
0
28. The authority citation for part 213 continues to read as follows:
Authority: 49 U.S.C. 20102-20114 and 20142; Sec. 403, Div. A,
Public Law 110-432, 122 Stat. 4885; 28 U.S.C. 2461, note; and 49 CFR
1.89.
Sec. 213.15 [Amended]
0
29. In Sec. 213.15, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$870'' and add in its place ``$892'';
0
b. Remove the dollar amount ``$28,474'' and add in its place
``$29,192''; and
0
c. Remove the dollar amount ``$113,894'' and add in its place
``$116,766''.
PART 214--RAILROAD WORKPLACE SAFETY
0
30. 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.
Sec. 214.5 [Amended]
0
31. Amend Sec. 214.5 as follows:
0
a. Remove the dollar amount ``$870'' and add in its place ``$892'';
0
b. Remove the dollar amount ``$28,474'' and add in its place
``$29,192''; and
0
c. Remove the dollar amount ``$113,894'' and add in its place
``$116,766''.
PART 215--RAILROAD FREIGHT CAR SAFETY STANDARDS
0
32. The authority citation for part 215 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 241, note; and 49
CFR 1.89.
Sec. 215.7 [Amended]
0
33. Amend Sec. 215.7 as follows:
0
a. Remove the dollar amount ``$870'' and add in its place ``$892'';
0
b. Remove the dollar amount ``$28,474'' and add in its place
``$29,192''; and
0
c. Remove the dollar amount ``$113,894'' and add in its place
``$116,766''.
PART 216--SPECIAL NOTICE AND EMERGENCY ORDER PROCEDURES: RAILROAD
TRACK, LOCOMOTIVE AND EQUIPMENT
0
34. The authority citation for part 216 continues to read as follows:
Authority: 49 U.S.C. 20102-20104, 20107, 20111, 20133, 20701-
20702, 21301-21302, 21304; 28 U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 216.7 [Amended]
0
35. Amend Sec. 216.7 as follows:
0
a. Remove the dollar amount ``$870'' and add in its place ``$892'';
0
b. Remove the dollar amount ``$28,474'' and add in its place
``$29,192''; and
[[Page 37073]]
0
c. Remove the dollar amount ``$113,894'' and add in its place
``$116,766''.
PART 217--RAILROAD OPERATING RULES
0
36. The authority citation for part 217 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and
49 CFR 1.89.
Sec. 217.5 [Amended]
0
37. Amend Sec. 217.5 as follows:
0
a. Remove the dollar amount ``$870'' and add in its place ``$892'';
0
b. Remove the dollar amount ``$28,474'' and add in its place
``$29,192''; and
0
c. Remove the dollar amount ``$113,894'' and add in its place
``$116,766''.
PART 218--RAILROAD OPERATING PRACTICES
0
38. 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.
Sec. 218.9 [Amended]
0
39. Amend Sec. 218.9 as follows:
0
a. Remove the dollar amount ``$870'' and add in its place ``$892'';
0
b. Remove the dollar amount ``$28,474'' and add in its place
``$29,192''; and
0
c. Remove the dollar amount ``$113,894'' and add in its place
``$116,766''.
PART 219--CONTROL OF ALCOHOL AND DRUG USE
0
40. The authority citation for part 219 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20140, 21301, 21304, 21311;
28 U.S.C. 2461, note; Sec. 412, Div. A, Pub. L. 110-432, 122 Stat.
4889 (49 U.S.C. 20140, note); and 49 CFR 1.89.
Sec. 219.10 [Amended]
0
41. In Sec. 219.10, amend as follows:
0
a. Remove the dollar amount ``$870'' and add in its place ``$892'';
0
b. Remove the dollar amount ``$28,474'' and add in its place
``$29,192''; and
0
c. Remove the dollar amount ``$113,894'' and add in its place
``$116,766''.
PART 220--RAILROAD COMMUNICATIONS
0
42. The authority citation for part 220 continues to read as follows:
Authority: 49 U.S.C. 20102-20103, 20103, note, 20107, 21301-
21302, 20701-20703, 21304, 21311; 28 U.S.C. 2461, note; and 49 CFR
1.89.
Sec. 220.7 [Amended]
0
43. Amend Sec. 220.7 as follows:
0
a. Remove the dollar amount ``$870'' and add in its place ``$892'';
0
b. Remove the dollar amount ``$28,474'' and add in its place
``$29,192''; and
0
c. Remove the dollar amount ``$113,894'' and add in its place
``$116,766''.
PART 221--REAR END MARKING DEVICE--PASSENGER, COMMUTER AND FREIGHT
TRAINS
0
44. The authority citation for part 221 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49
CFR 1.89.
Sec. 221.7 [Amended]
0
45. Amend Sec. 221.7 as follows:
0
a. Remove the dollar amount ``$870'' and add in its place ``$892'';
0
b. Remove the dollar amount ``$28,474'' and add in its place
``$29,192''; and
0
c. Remove the dollar amount ``$113,894'' and add in its place
``$116,766''.
PART 222--USE OF LOCOMOTIVE HORNS AT PUBLIC HIGHWAY-RAIL GRADE
CROSSINGS
0
46. The authority citation for part 222 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20153, 21301, 21304; 28
U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 222.11 [Amended]
0
47. Amend Sec. 222.11 as follows:
0
a. Remove the dollar amount ``$870'' and add in its place ``$892'';
0
b. Remove the dollar amount ``$28,474'' and add in its place
``$29,192''; and
0
c. Remove the dollar amount ``$113,894'' and add in its place
PART 223--SAFETY GLAZING STANDARDS--LOCOMOTIVES, PASSENGER CARS AND
CABOOSES
0
48. The authority citation for part 223 continues to read as follows:
Authority: 49 U.S.C. 20102-20103, 20133, 20701-20702, 21301-
21302, 21304; 28 U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 223.7 [Amended]
0
49. Amend Sec. 223.7 as follows:
0
a. Remove the dollar amount ``$870'' and add in its place ``$892'';
0
b. Remove the dollar amount ``$28,474'' and add in its place
``$29,192''; and
0
c. Remove the dollar amount ``$113,894'' and add in its place
``$116,766''.
PART 224--REFLECTORIZATION OF RAIL FREIGHT ROLLING STOCK
0
50. The authority citation for part 224 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20148 and 21301; 28 U.S.C.
2461, note; and 49 CFR 1.89.
Sec. 224.11 [Amended]
0
51. In Sec. 224.11, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$870'' and add in its place ``$892'';
0
b. Remove the dollar amount ``$28,474'' and add in its place
``$29,192''; and
0
c. Remove the dollar amount ``$113,894'' and add in its place
``$116,766''.
PART 225--RAILROAD ACCIDENTS/INCIDENTS: REPORTS CLASSIFICATION, AND
INVESTIGATIONS
0
52. The authority citation for part 225 continues to read as follows:
Authority: 49 U.S.C. 103, 322(a), 20103, 20107, 20901-20902,
21301, 21302, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 225.29 [Amended]
0
53. Amend Sec. 225.29 as follows:
0
a. Remove the dollar amount ``$870'' and add in its place ``$892'';
0
b. Remove the dollar amount ``$28,474'' and add in its place
``$29,192''; and
0
c. Remove the dollar amount ``$113,894'' and add in its place
``$116,766''.
PART 227--OCCUPATIONAL NOISE EXPOSURE
0
54. The authority citation for part 227 continues to read as follows:
Authority: 49 U.S.C. 20103, 20103, note, 20701-20702; 28 U.S.C.
2461, note; and 49 CFR 1.89.
Sec. 227.9 [Amended]
0
55. In Sec. 227.9, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$870'' and add in its place ``$892'';
0
b. Remove the dollar amount ``$28,474'' and add in its place
``$29,192''; and
0
c. Remove the dollar amount ``$113,894'' and add in its place
``$116,766''.
[[Page 37074]]
PART 228--PASSENGER TRAIN EMPLOYEE HOURS OF SERVICE; RECORDKEEPING
AND REPORTING; SLEEPING QUARTERS
0
56. 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, Public Law 110-432, 122 Stat. 4860-4866, 4893-4894; 49
U.S.C. 21301, 21303, 21304, 21311; 28 U.S.C. 2461, note; and 49 CFR
1.89.
Sec. 228.6 [Amended]
0
57. In Sec. 228.6, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$870'' and add in its place ``$892'';
0
b. Remove the dollar amount ``$28,474'' and add in its place
``$29,192''; and
0
c. Remove the dollar amount ``$113,894'' and add in its place
``$116,766''.
0
58. In appendix A to part 228, below the heading ``GENERAL
PROVISIONS,'' amend the ``Penalty'' paragraph by adding a sentence at
the end of the 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 July 31, 2019, the minimum civil
monetary penalty was raised from $870 to $892, the ordinary maximum
civil monetary penalty was raised from $28,474 to $29,192, and the
aggravated maximum civil monetary penalty was raised from $113,894
to $116,766.
* * * * *
PART 229--RAILROAD LOCOMOTIVE SAFETY STANDARDS
0
59. 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.
Sec. 229.7 [Amended]
0
60. In Sec. 229.7, amend paragraph (b) as follows:
0
a. Remove the dollar amount ``$870'' and add in its place ``$892'';
0
b. Remove the dollar amount ``$28,474'' and add in its place
``$29,192''; and
0
c. Remove the dollar amount ``$113,894'' and add in its place
``$116,766''.
PART 230--STEAM LOCOMOTIVE INSPECTION AND MAINTENANCE STANDARDS
0
61. The authority citation for part 230 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20702; 28 U.S.C. 2461, note;
and 49 CFR 1.89.
Sec. 230.4 [Amended]
0
62. In Sec. 230.4, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$870'' and add in its place ``$892'';
0
b. Remove the dollar amount ``$28,474'' and add in its place
``$29,192''; and
0
c. Remove the dollar amount ``$113,894'' and add in its place
``$116,766''.
PART 231--RAILROAD SAFETY APPLIANCE STANDARDS
0
63. The authority citation for part 231 continues to read as follows:
Authority: 49 U.S.C. 20102-20103, 20107, 20131, 20301-20303,
21301-21302, 21304; 28 U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 231.0 [Amended]
0
64. In Sec. 231.0, amend paragraph (f) as follows:
0
a. Remove the dollar amount ``$870'' and add in its place ``$892'';
0
b. Remove the dollar amount ``$28,474'' and add in its place
``$29,192''; and
0
c. Remove the dollar amount ``$113,894'' and add in its place
``$116,766''.
PART 232--BRAKE SYSTEM SAFETY STANDARDS FOR FREIGHT AND OTHER NON-
PASSENGER TRAINS AND EQUIPMENT; END-OF-TRAIN DEVICES
0
65. 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.
Sec. 232.11 [Amended]
0
66. In Sec. 232.11, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$870'' and add in its place ``$892'';
0
b. Remove the dollar amount ``$28,474'' and add in its place
``$29,192''; and
0
c. Remove the dollar amount ``$113,894'' and add in its place
``$116,766''.
PART 233--SIGNAL SYSTEMS REPORTING REQUIREMENTS
0
67. The authority citation for part 233 continues to read as follows:
Authority: 49 U.S.C. 504, 522, 20103, 20107, 20501-20505,
21301, 21302, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 233.11 [Amended]
0
68. Amend Sec. 233.11 as follows:
0
a. Remove the dollar amount ``$870'' and add in its place ``$892'';
0
b. Remove the dollar amount ``$28,474'' and add in its place
``$29,192''; and
0
c. Remove the dollar amount ``$113,894'' and add in its place
``$116,766''.
PART 234--GRADE CROSSING SAFETY
0
69. 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.
Sec. 234.6 [Amended]
0
70. In Sec. 234.6, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$870'' and add in its place ``$892'';
0
b. Remove the dollar amount ``$28,474'' and add in its place
``$29,192''; and
0
c. Remove the dollar amount ``$113,894'' and add in its place
``$116,766''.
PART 235--INSTRUCTIONS GOVERNING APPLICATIONS FOR APPROVAL OF A
DISCONTINUANCE OR MATERIAL MODIFICATION OF A SIGNAL SYSTEM OR
RELIEF FROM THE REQUIREMENTS OF PART 236
0
71. The authority citation for part 235 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49
CFR 1.89.
Sec. 235.9 [Amended]
0
72. Amend Sec. 235.9 as follows:
0
a. Remove the dollar amount ``$870'' and add in its place ``$892'';
0
b. Remove the dollar amount ``$28,474'' and add in its place
``$29,192''; and
0
c. Remove the dollar amount ``$113,894'' and add in its place
``$116,766''.
[[Page 37075]]
PART 236--RULES, STANDARDS, AND INSTRUCTIONS GOVERNING THE
INSTALLATION, INSPECTION, MAINTENANCE, AND REPAIR OF SIGNAL AND
TRAIN CONTROL SYSTEMS, DEVICES, AND APPLIANCES
0
73. The authority citation for part 236 continues to read as follows:
Authority: 49 U.S.C. 20102-20103, 20107, 20133, 20141, 20157,
20301-20303, 20306, 20501-20505, 20701-20703, 21301-21302, 21304; 28
U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 236.0 [Amended]
0
74. In Sec. 236.0, amend paragraph (f) as follows:
0
a. Remove the dollar amount ``$870'' and add in its place ``$892'';
0
b. Remove the dollar amount ``$28,474'' and add in its place
``$29,192''; and
0
c. Remove the dollar amount ``$113,894'' and add in its place
``$116,766''.
PART 237--BRIDGE SAFETY STANDARDS
0
75. The authority citation for part 237 continues to read as follows:
Authority: 49 U.S.C. 20102-20114; Public Law 110-432, Div. A,
Sec. 417; 28 U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 237.7 [Amended]
0
76. In Sec. 237.7, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$870'' and add in its place ``$892'';
0
b. Remove the dollar amount ``$28,474'' and add in its place
``$29,192''; and
0
c. Remove the dollar amount ``$113,894'' and add in its place
``$116,766''.
PART 238--PASSENGER EQUIPMENT SAFETY STANDARDS
0
77. The authority citation for part 238 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20133, 20141, 20302-20303,
20306, 20701-20702, 21301-21302, 21304; 28 U.S.C. 2461, note; and 49
CFR 1.89.
Sec. 238.11 [Amended]
0
78. In Sec. 238.11, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$870'' and add in its place ``$892'';
0
b. Remove the dollar amount ``$28,474'' and add in its place
``$29,192''; and
0
c. Remove the dollar amount ``$113,894'' and add in its place
``$116,766''.
PART 239--PASSENGER TRAIN EMERGENCY PREPAREDNESS
0
79. The authority citation for part 239 continues to read as follows:
Authority: 49 U.S.C. 20102-20103, 20105-20114, 20133, 21301,
21304, and 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 239.11 [Amended]
0
80. Amend Sec. 239.11 as follows:
0
a. Remove the dollar amount ``$870'' and add in its place ``$892'';
0
b. Remove the dollar amount ``$28,474'' and add in its place
``$29,192''; and
0
c. Remove the dollar amount ``$113,894'' and add in its place
``$116,766''.
PART 240--QUALIFICATION AND CERTIFICATION OF LOCOMOTIVE ENGINEERS
0
81. 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.
Sec. 240.11 [Amended]
0
82. In Sec. 240.11, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$870'' and add in its place ``$892'';
0
b. Remove the dollar amount ``$28,474'' and add in its place
``$29,192''; and
0
c. Remove the dollar amount ``$113,894'' and add in its place
``$116,766''.
PART 241--UNITED STATES LOCATIONAL REQUIREMENT FOR DISPATCHING OF
UNITED STATES RAIL OPERATIONS
0
83. The authority citation for part 241 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 21301, 21304, 21311; 28
U.S.C. 2461, note; 49 CFR 1.89.
Sec. 241.15 [Amended]
0
84. In Sec. 241.15, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$870'' and add in its place ``$892'';
0
b. Remove the dollar amount ``$28,474'' and add in its place
``$29,192''; and
0
c. Remove the dollar amount ``$113,894'' and add in its place
``$116,766''.
PART 242--QUALIFICATION AND CERTIFICATION OF CONDUCTORS
0
85. The authority citation for part 242 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20135, 20138, 20162, 20163,
21301, 21304, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 242.11 [Amended]
0
86. In Sec. 242.11, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$870'' and add in its place ``$892'';
0
b. Remove the dollar amount ``$28,474'' and add in its place
``$29,192''; and
0
c. Remove the dollar amount ``$113,894'' and add in its place
``$116,766''.
PART 243--TRAINING, QUALIFICATION, AND OVERSIGHT FOR SAFETY-RELATED
RAILROAD EMPLOYEES
0
87. The authority citation for part 243 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20131-20155, 20162, 20301-
20306, 20701-20702, 21301-21304, 21311; 28 U.S.C. 2461, note; and 49
CFR 1.89.
Sec. 243.7 [Amended]
0
88. In Sec. 243.7, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$870'' and add in its place ``$892'';
0
b. Remove the dollar amount ``$28,474'' and add in its place
``$29,192''; and
0
c. Remove the dollar amount ``$113,894'' and add in its place
``$116,766''.
PART 244--REGULATIONS ON SAFETY INTEGRATION PLANS GOVERNING
RAILROAD CONSOLIDATIONS, MERGERS, AND ACQUISITIONS OF CONTROL
0
89. The authority citation for part 244 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 21301; 5 U.S.C. 553 and 559;
28 U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 244.5 [Amended]
0
90. In Sec. 244.5, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$870'' and add in its place ``$892'';
0
b. Remove the dollar amount ``$28,474'' and add in its place
``$29,192''; and
0
c. Remove the dollar amount ``$113,894'' and add in its place
``$116,766''.
PART 270--SYSTEM SAFETY PROGRAM
0
91. The authority citation for part 270 continues to read as follows:
[[Page 37076]]
Authority: 49 U.S.C. 20103, 20106-20107, 20118-20119, 20156,
21301, 21304, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.
Sec. 270.7 [Amended]
0
92. In Sec. 270.7, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$870'' and add in its place ``$892'';
0
b. Remove the dollar amount ``$28,474'' and add in its place
``$29,192''; and
0
c. Remove the dollar amount ``$113,894'' and add in its place
``$116,766''.
PART 272--CRITICAL INCIDENT STRESS PLANS
0
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.
Sec. 272.11 [Amended]
0
94. In Sec. 272.11, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$870'' and add in its place ``$892'';
0
b. Remove the dollar amount ``$28,474'' and add in its place
``$29,192''; and
0
c. Remove the dollar amount ``$113,894'' and add in its place
``$116,766''.
PART 386--RULES OF PRACTICE FOR FMCSA PROCEEDINGS
0
95. The authority citation for part 386 continues 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. 217, Pub. L. 105-159, 113 Stat. 1748, 1767;
Sec. 206, Pub. L. 106-159, 113 Stat. 1763; subtitle B, title IV of
Pub. L. 109-59; Sec. 701 of Pub. L. 114-74, 129 Stat. 599 (28 U.S.C.
2461 note); 49 CFR 1.81 and 1.87.
0
96. Amend Appendix A to part 386 by revising the introductory text and
sections II, IV.a. through e., and IV.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 [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.
* * * * *
II. Subpoena
Violation--Failure to respond to Agency subpoena to appear and
testify or produce records.
Penalty--minimum of $1,093 but not more than $10,932 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 $1,895 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 $18,943 per violation.
(This violation applies to motor carriers including an
independent contractor who is not a ``driver,'' as defined under
paragraph IV(a) above.)
c. Violation--Operation of a commercial motor vehicle or
intermodal equipment by a driver after the vehicle or intermodal
equipment was placed out-of-service and before the required repairs
are made.
Penalty--$1,895 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 $18,943 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 $947 per violation.
* * * * *
g. Violation--Operating in violation of an order issued under
Sec. 386.72(b) to cease all or part of the employer's commercial
motor vehicle operations or to cease part of an intermodal equipment
provider's operations, i.e., failure to cease operations as ordered.
Penalty--Up to $27,331 per day the operation continues after the
effective date and time of the order to cease.
h. Violation--Operating in violation of an order issued under
Sec. 386.73.
Penalty--Up to $24,017 per day the operation continues after the
effective date and time of the out-of-service order.
i. Violation--Conducting operations during a period of
suspension under Sec. 386.83 or Sec. 386.84 for failure to pay
penalties.
Penalty--Up to $15,419 for each day that operations are
conducted during the suspension or revocation period.
j. Violation--Conducting operations during a period of
suspension or revocation under Sec. 385.911, Sec. 385.913, Sec.
385.1009 or Sec. 385.1011.
Penalty--Up to $24,017 for each day that operations are
conducted during the suspension or revocation period.
0
97. Amend Appendix B to part 386 by revising the introductory text and
paragraphs (a)(1) through (5), (b), (d) through (f), (g) introductory
text, (g)(1) through (8), (g)(10) through (14), (g)(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 parts 40, 382, 385, and 390-99 of this
subchapter, or prepares or maintains a required record that is
incomplete, inaccurate, or false, is subject to a maximum civil
penalty of $1,270 for each day the violation continues, up to
$12,695.
(2) Knowing falsification of records. A person or entity that
knowingly falsifies, destroys, mutilates, or changes a report or
record required by parts 382, 385, and 390-99 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
$12,695 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 parts 382, 385, or 390-99 of this subchapter, except a
recordkeeping requirement, is subject to a civil penalty not to
exceed $15,419 for each violation.
(4) Non-recordkeeping violations by drivers. A driver who
violates parts 382, 385, and 390-99 of this subchapter, except a
recordkeeping violation, is subject to a civil penalty not to exceed
$3,855.
(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 $3,174 for a first conviction and not less
than $6,348 for a second or subsequent conviction.
* * * * *
(b) Commercial driver's license (CDL) violations. Any person who
violates 49 CFR part 383, subparts B, C, E, F, G, or H, is subject
to a civil penalty not to exceed $5,732; except:
[[Page 37077]]
(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 $3,174
for a first conviction and not less than $6,348 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 $5,732 or more
than $31,737; 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 $16,453.
* * * * *
(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 $16,915. 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. This
paragraph 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 $81,993 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 $493 and not more than $81,993 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 $81,993 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 $81,993.
(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 $191,316 for each offense.
(f) Operating after being declared unfit by assignment of a
final ``unsatisfactory'' safety rating. (1) A motor carrier
operating a commercial motor vehicle in interstate commerce (except
owners or operators of commercial motor vehicles designed or used to
transport hazardous materials for which placarding of a motor
vehicle is required under regulations prescribed under 49 U.S.C.
chapter 51) is subject, after being placed out of service because of
receiving a final ``unsatisfactory'' safety rating, to a civil
penalty of not more than $27,331 (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 $81,993 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
$191,316 for each offense. Each day the transportation continues in
violation of a final ``unsatisfactory'' safety rating constitutes a
separate offense.
(g) Violations of the commercial regulations (CRs). Penalties
for violations of the CRs are specified in 49 U.S.C. chapter 149.
These penalties relate to transportation subject to the Secretary's
jurisdiction under 49 U.S.C. chapter 135. Unless otherwise noted, a
separate violation occurs for each day the violation continues.
(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
$10,931 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
$10,931 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 $27,331 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 $10,932 per
violation.
(5) A person who operates as a foreign motor carrier or foreign
motor private carrier without authority, before the implementation
of the land transportation provisions of the North American Free
Trade Agreement, outside the boundaries of a commercial zone along
the United States-Mexico border, is liable for a maximum penalty of
$15,034 for an intentional violation and a maximum penalty of
$37,587 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
$21,865 and a maximum penalty of $43,730 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 $1,644 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 $3,291 for the first
violation and $8,227 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 $164,531 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 $328 for the first violation and $411 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 $823 for the first
violation and up to $3,291 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 $823 for the first violation and up to $3,291 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 $16,453 per
violation.
* * * * *
(16) A person required to make a report to the Secretary, answer
a question, or make,
[[Page 37078]]
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 $1,093 and for a maximum penalty of $8,227
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 $3,291.
(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 $823 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 chapter, is liable for a civil penalty of not
less than $16,453 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 $12,695 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 $31,737 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 $1,270 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 $12,695.
(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
sections 31302, 31303, 31304, 31305(b), 31310(g)(1)(A), or 31502, or
a regulation issued under any of those provisions, shall be fined at
least $2,187 but not more than $5,466 for the first violation and at
least $2,732 but not more than $8,199 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 $2,187 for the first violation or at least $5,466 for a
subsequent violation.
PART 578--CIVIL AND CRIMINAL PENALTIES
0
98. The authority citation for 49 CFR Part 578 is revised to read as
follows:
Authority: Pub. L. 92-513, Pub. L. 94-163, Pub. L. 98-547, Pub.
L. 101-410, Pub. L. 102-388, Pub. L. 102-519, Pub. L. 104-134, Pub.
L. 109-59, Pub. L. 110-140, Pub. L. 112-141, Pub. L. 114-74, Pub. L.
114-94, 49 U.S.C. 30165, 30170, 30505, 32308, 32309, 32507, 32709,
32710, 32902, 32912, 33114 and 33115; delegation of authority at 49
CFR 1.81, 1.95.
0
99. In Sec. 578.5, paragraphs (a) through (g) and (i) are revised to
read as follows:
Sec. 578.6 Civil penalties for violations of specified provisions of
Title 49 of the United States Code.
(a) Motor vehicle safety--(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 prescribed under any of those sections is liable to the
United States Government for a civil penalty of not more than $22,329
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 for a related series of violations
is $111,642,265.
(2) School buses. (i) Notwithstanding paragraph (a)(1) of this
section, a person who:
(A) Violates section 30112(a)(1) of Title 49 United States Code by
the manufacture, sale, offer for sale, introduction or delivery for
introduction into interstate commerce, or importation of a school bus
or school bus equipment (as those terms are defined in 49 U.S.C.
30125(a)); or
(B) Violates section 30112(a)(2) of Title 49 United States Code,
shall be subject to a civil penalty of not more than $12,695 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 for a related series of violations is $19,042,502.
(3) Section 30166. A person who violates Section 30166 of Title 49
of the United States Code or a regulation 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 is
$22,329 per violation per day. The maximum penalty under this paragraph
for a related series of daily violations is $111,642,265.
(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), shall
be subject to a civil penalty of not more than $5,466 per day. The
maximum penalty under this paragraph for a related series of daily
violations is $1,093,233.
(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 $1,783 for each
violation.
(c) Bumper standards. (1) A person that violates 49 U.S.C. 32506(a)
is liable to the United States Government for a civil penalty of not
more than $2,924 for each violation. A separate violation occurs for
each passenger motor vehicle or item of passenger motor vehicle
equipment involved in a violation of 49 U.S.C. 32506(a)(1) or (4)--
(i) That does not comply with a standard prescribed under 49 U.S.C.
32502, or
(ii) For which a certificate is not provided, or for which a false
or
[[Page 37079]]
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 $3,256,233.
(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 $2,924 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 for a related series of
violations is $1,594,890.
(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 $60,518 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 $1,783 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 prescribed or order issued
thereunder is liable to the United States Government for a civil
penalty of not more than $10,932 for each violation. A separate
violation occurs for each motor vehicle or device involved in the
violation. The maximum civil penalty under this paragraph for a related
series of violations is $1,093,233.
(2) A person that violates 49 U.S.C. Chapter 327 or a regulation
prescribed or order issued thereunder, with intent to defraud, is
liable for three times the actual damages or $10,932, 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 $2,402 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 for a related series of violations
is $600,388.
(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 $178,338
a day for each violation.
* * * * *
(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 $41,882 per vehicle or engine. The
maximum civil penalty for a related series of violations shall be
determined by multiplying $41,882 times the vehicle or engine
production volume for the model year in question within the regulatory
averaging set.
Issued in Washington, DC, under authority delegated at 49 CFR
1.27(n), on: June 26, 2019.
Steven G. Bradbury,
General Counsel.
[FR Doc. 2019-14101 Filed 7-30-19; 8:45 am]
BILLING CODE 4910-9X-P