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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.
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.
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.
1?28 U.S.C. 2461 note.
II. Dispensing With Notice and Comment
This final rule is being published without notice and comment and with an immediate effective date.
The 2015 Act provides clear direction for how to adjust the civil penalties, and clearly states at section 4(b)(2) that this adjustment shall be made “notwithstanding section 553 of title 5, United States Code.” By operation of the 2015 Act, DOT must publish an annual adjustment by January 15 of every year, and the new levels take effect upon publication of the rule. 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.
Description | Citation | Existing penalty | New penalty (existing penalty × 1.02522) |
---|---|---|---|
General civil penalty for violations of certain aviation economic regulations and statutes | 49 U.S.C. 46301(a)(1) | $33,333 | $34,174 |
General civil penalty for violations of certain aviation economic regulations and statutes involving an individual or small business concern | 49 U.S.C. 46301(a)(1) | 1,466 | 1,503 |
Civil penalties for individuals or small businesses for violations of most provisions of Chapter 401 of Title 49, including the anti-discrimination provisions of sections 40127 and 41705 and rules and orders issued pursuant to these provisions | 49 U.S.C. 46301(a)(5)(A) | 13,333 | 13,669 |
Civil penalties for individuals or small businesses for violations of 49 U.S.C. 41719 and rules and orders issued pursuant to that provision | 49 U.S.C. 46301(a)(5)(C) | 6,666 | 6,834 |
Civil penalties for individuals or small businesses for violations of 49 U.S.C. 41712 or consumer protection rules and orders issued pursuant to that provision | 49 U.S.C. 46301(a)(5)(D) | 3,334 | 3,418 |
B. FAA 2019 Adjustments
The FAA's 2019 adjustments are summarized in the chart below.
Description | Citation | Existing penalty | New penalty (existing penalty × 1.02522) |
---|---|---|---|
Violation of hazardous materials transportation law | 49 U.S.C. 5123(a)(1) | $79,976 | $81,993 |
Violation of hazardous materials transportation law resulting in death, serious illness, severe injury, or substantial property destruction | 49 U.S.C. 5123(a)(2) | 186,610 | 191,316 |
Minimum penalty for violation of hazardous materials transportation law relating to training | 49 U.S.C. 5123(a)(3) | 481 | 493 |
Maximum penalty for violation of hazardous materials transportation law relating to training | 49 U.S.C. 5123(a)(3) | 79,976 | 81,993 |
Violation by a person other than an individual or small business concern under 49 U.S.C. 46301(a)(1)(A) or (B) | 49 U.S.C. 46301(a)(1) | 33,333 | 34,174 |
Violation by an airman serving as an airman under 49 U.S.C. 46301(a)(1)(A) or (B) (but not covered by 46301(a)(5)(A) or (B)) | 49 U.S.C. 46301(a)(1) | 1,466 | 1,501 |
Violation by an individual or small business concern under 49 U.S.C. 46301(a)(1)(A) or (B) (but not covered in 49 U.S.C. 46301(a)(5)) | 49 U.S.C. 46301(a)(1) | 1,466 | 1,501 |
Violation by an individual or small business concern (except an airman serving as an airman) under 49 U.S.C. 46301(a)(5)(A)(i) or (ii) | 49 U.S.C. 46301(a)(5)(A) | 13,333 | 13,669 |
Violation by an individual or small business concern related to the transportation of hazardous materials | 49 U.S.C. 46301(a)(5)(B)(i) | 13,333 | 13,669 |
Violation by an individual or small business concern related to the registration or recordation under 49 U.S.C. chapter 441, of an aircraft not used to provide air transportation | 49 U.S.C. 46301(a)(5)(B)(ii) | 13,333 | 13,669 |
Violation by an individual or 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)(iii) | 13,333 | 13,669 |
Violation by an individual or small business concern of 49 U.S.C. 44725, relating to the safe disposal of life-limited aircraft parts | 49 U.S.C. 46301(a)(5)(B)(iv) | 13,333 | 13,669 |
Tampering with a smoke alarm device | 49 U.S.C. 46301(b) | 4,280 | 4,388 |
Knowingly providing false information about alleged violation involving the special aircraft jurisdiction of the United States | 49 U.S.C. 46302 | 23,246 | 23,832 |
Interference with cabin or flight crew | 49 U.S.C. 46318 | 2?35,000 | 35,883 |
Permanent closure of an airport without providing sufficient notice | 49 U.S.C. 46319 | 13,333 | 13,669 |
Operating an unmanned aircraft and in so doing knowingly or recklessly interfering with a wildfire suppression, law enforcement, or emergency response effort | 49 U.S.C. 46320 | 20,408 | 20,923 |
Violation of 51 U.S.C. 50901-50923, a regulation issued under these statutes, or any term or condition of a license or permit issued or transferred under these statutes | 51 U.S.C. 50917(c) | 234,247 | 240,155 |
2?Congress amended §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.
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.
C. NHTSA 2019 Adjustments
NHTSA's 2019 civil penalty adjustments are summarized in the chart below.3
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.
Description | Citation | Existing penalty | New penalty (existing penalty × 1.02522) |
---|---|---|---|
Maximum penalty amount for each violation of the Safety Act | 49 U.S.C. 30165(a)(1), 30165(a)(3) | $21,780 | $22,329 |
Maximum penalty amount for a related series of violations of the Safety Act | 49 U.S.C. 30165(a)(1), 30165(a)(3) | 108,895,910 | 111,642,265 |
Maximum penalty per school bus related violation of the Safety Act | 49 U.S.C. 30165(a)(2)(A) | 12,383 | 12,695 |
Maximum penalty amount for a series of school bus related violations of the Safety Act | 49 U.S.C. 30165(a)(2)(B) | 18,574,064 | 19,042,502 |
Maximum penalty per violation for filing false or misleading reports | 49 U.S.C. 30165(a)(4) | 5,332 | 5,466 |
Maximum penalty amount for a series of violations related to filing false or misleading reports | 49 U.S.C. 30165(a)(4) | 1,066,340 | 1,093,233 |
Maximum penalty amount for each violation of the reporting requirements related to maintaining the National Motor Vehicle Title Information System | 49 U.S.C. 30505 | 1,739 | 1,783 |
Maximum penalty amount for each violation of a bumper standard under the Motor Vehicle Information and Cost Savings Act (Pub. L. 92-513, 86 Stat. 953, (1972)) | 49 U.S.C. 32507(a) | 2,852 | 2,924 |
Maximum penalty amount for a series of violations of a bumper standard under the Motor Vehicle Information and Cost Savings Act (Pub. L. 92-513, 86 Stat. 953, (1972)) | 49 U.S.C. 32507(a) | 3,176,131 | 3,256,233 |
Maximum penalty amount for each violation of 49 U.S.C. 32308(a) related to providing information on crashworthiness and damage susceptibility | 49 U.S.C. 32308(b) | 2,852 | 2,924 |
Maximum penalty amount for a series of violations of 49 U.S.C. 32308(a) related to providing information on crashworthiness and damage susceptibility | 49 U.S.C. 32308(b) | 1,555,656 | 1,594,890 |
Maximum penalty for each violation related to the tire fuel efficiency information program | 49 U.S.C. 32308(c) | 59,029 | 60,518 |
Maximum civil penalty for willfully failing to affix, or failing to maintain, the label requirement in the American Automobile Labeling Act (Pub. L. 102-388, 106 Stat. 1556 (1992)) | 49 U.S.C. 32309 | 1,739 | 1,783 |
Maximum penalty amount per violation related to odometer tampering and disclosure | 49 U.S.C. 32709 | 10,663 | 10,932 |
Maximum penalty amount for a related series of violations related to odometer tampering and disclosure | 49 U.S.C. 32709 | 1,066,340 | 1,093,233 |
Maximum penalty amount per violation related to odometer tampering and disclosure with intent to defraud | 49 U.S.C. 32710 | 10,663 | 10,932 |
Maximum penalty amount for each violation of the Motor Vehicle Theft Law Enforcement Act of 1984 (Vehicle Theft Act), sec. 608, Public Law 98-547, 98 Stat. 2762 (1984) | 49 U.S.C. 33115(a) | 2,343 | 2,402 |
Maximum penalty amount for a related series 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) | 49 U.S.C. 33115(a) | 585,619 | 600,388 |
Maximum civil penalty for violations of the Anti-Car Theft Act (Pub. L. 102-519, 106 Stat. 3393 (1992)) related to operation of a chop shop | 49 U.S.C. 33115(b) | 173,951 | 178,338 |
Maximum civil penalty for a violation under the medium- and heavy-duty vehicle fuel efficiency program | 49 U.S.C. 32902 | 40,852 | 41,882 |
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.
Description | Citation | Existing penalty | New penalty (existing penalty × 1.02522) |
---|---|---|---|
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 (operation of CMV by driver) | 49 U.S.C. 521(b)(7) | 1,848 | 1,895 |
Appendix A IV (b) Out-of-service order (requiring or permitting operation of CMV by driver) | 49 U.S.C. 521(b)(7)) | 18,477 | 18,943 |
Appendix A IV (c) Out-of-service order (operation by driver of CMV or intermodal equipment that was placed out of service) | 49 U.S.C. 521(b)(7) | 1,848 | 1,895 |
Appendix A IV (d) Out-of-service order (requiring or permitting operation of CMV or intermodal equipment that was placed out of service) | 49 U.S.C. 521(b)(7) | 18,477 | 18,943 |
Appendix A IV (e) Out-of-service order (failure to return written certification of correction) | 49 U.S.C. 521(b)(2)(B) | 924 | 947 |
Appendix A IV (g) Out-of-service order (failure to cease operations as ordered) | 49 U.S.C. 521(b)(2)(F) | 26,659 | 27,331 |
Appendix A IV (h) Out-of-service order (operating in violation of order) | 49 U.S.C. 521(b)(7) | 23,426 | 24,017 |
Appendix A IV (i) Out-of-service order (conducting operations during suspension or revocation for failure to pay penalties) | 49 U.S.C. 521(b)(2)(A) and (b)(7)) | 15,040 | 15,419 |
Appendix A IV (j) (conducting operations during suspension or revocation) | 49 U.S.C. 521(b)(7) | 23,426 | 24,017 |
Appendix B (a)(1) Recordkeeping—maximum penalty per day | 49 U.S.C. 521(b)(2)(B)(i) | 1,239 | 1,270 |
Appendix B (a)(1) Recordkeeping—maximum total penalty | 49 U.S.C. 521(b)(2)(B)(i) | 12,383 | 12,695 |
Appendix B (a)(2) Knowing falsification of records | 49 U.S.C. 521(b)(2)(B)(ii) | 12,383 | 12,695 |
Appendix B (a)(3) Non-recordkeeping violations | 49 U.S.C. 521(b)(2)(A) | 15,040 | 15,419 |
Appendix B (a)(4) Non-recordkeeping violations by drivers | 49 U.S.C. 521(b)(2)(A) | 3,760 | 3,855 |
Appendix B (a)(5) Violation of 49 CFR 392.5 (first conviction) | 49 U.S.C. 31310(i)(2)(A) | 3,096 | 3,174 |
Appendix B (a)(5) Violation of 49 CFR 392.5 (second or subsequent conviction) | 49 U.S.C. 31310(i)(2)(A) | 6,192 | 6,348 |
Appendix B (b) Commercial driver's license (CDL) violations | 49 U.S.C. 521(b)(2)(C) | 5,591 | 5,732 |
Appendix B (b)(1): Special penalties pertaining to violation of out-of-service orders (first conviction) | 49 U.S.C. 31310(i)(2)(A) | 3,096 | 3,174 |
Appendix B (b)(1) Special penalties pertaining to violation of out-of-service orders (second or subsequent conviction) | 49 U.S.C. 31310(i)(2)(A) | 6,192 | 6,348 |
Appendix B (b)(2) Employer violations pertaining to knowingly allowing, authorizing employee violations of out-of-service order (minimum penalty) | 49 U.S.C. 521(b)(2)(C) | 5,591 | 5,732 |
Appendix B (b)(2) Employer violations pertaining to knowingly allowing, authorizing employee violations of out-of-service order (maximum penalty) | 49 U.S.C. 31310(i)(2)(C) | 30,956 | 31,737 |
Appendix B (b)(3) Special penalties pertaining to railroad-highway grade crossing violations | 49 U.S.C. 31310(j)(2)(B) | 16,048 | 16,453 |
Appendix B (d) Financial responsibility violations | 49 U.S.C. 31138(d)(1), 31139(g)(1) | 16,499 | 16,915 |
Appendix B (e)(1) Violations of Hazardous Materials Regulations (HMRs) and Safety Permitting Regulations (transportation or shipment of hazardous materials) | 49 U.S.C. 5123(a)(1) | 79,976 | 81,993 |
Appendix B (e)(2) Violations of Hazardous Materials Regulations (HMRs) and Safety Permitting Regulations (training)—minimum penalty | 49 U.S.C. 5123(a)(3) | 481 | 493 |
Appendix B (e)(2): Violations of Hazardous Materials Regulations (HMRs) and Safety Permitting Regulations (training)—maximum penalty | 49 U.S.C. 5123(a)(1) | 79,976 | 81,993 |
Appendix B (e)(3) Violations of Hazardous Materials Regulations (HMRs) and Safety Permitting Regulations (packaging or container) | 49 U.S.C. 5123(a)(1) | 79,976 | 81,993 |
Appendix B (e)(4): Violations of Hazardous Materials Regulations (HMRs) and Safety Permitting Regulations (compliance with FMCSRs) | 49 U.S.C. 5123(a)(1) | 79,976 | 81,993 |
Appendix B (e)(5) Violations of Hazardous Materials Regulations (HMRs) and Safety Permitting Regulations (death, serious illness, severe injury to persons; destruction of property) | 49 U.S.C. 5123(a)(2) | 186,610 | 191,316 |
Appendix B (f)(1) Operating after being declared unfit by assignment of a final “unsatisfactory” safety rating (generally) | 49 U.S.C. 521(b)(2)(F) | 26,659 | 27,331 |
Appendix B (f)(2) Operating after being declared unfit by assignment of a final “unsatisfactory” safety rating (hazardous materials)—maximum penalty | 49 U.S.C. 5123(a)(1) | 79,976 | 81,993 |
Appendix B (f)(2): Operating after being 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 | 49 U.S.C. 5123(a)(2) | 186,610 | 191,316 |
Appendix B (g)(1): Violations of the commercial regulations (CR) (property carriers) | 49 U.S.C. 14901(a) | 10,663 | 10,932 |
Appendix B (g)(2) Violations of the CRs (brokers) | 49 U.S.C. 14916(c) | 10,663 | 10,932 |
Appendix B (g)(3) Violations of the CRs (passenger carriers) | 49 U.S.C. 14901(a) | 26,659 | 27,331 |
Appendix B (g)(4) Violations of the CRs (foreign motor carriers, foreign motor private carriers) | 49 U.S.C. 14901(a) | 10,663 | 10,932 |
Appendix B (g)(5) Violations of the CRs (foreign motor carriers, foreign motor private carriers before implementation of North American Free Trade Agreement land transportation provisions)—maximum penalty for intentional violation | 49 U.S.C. 14901 note | 14,664 | 15,034 |
Appendix B (g)(5) Violations of the CRs (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 | 49 U.S.C. 14901 note | 36,662 | 37,587 |
Appendix B (g)(6) Violations of the CRs (motor carrier or broker for transportation of hazardous wastes)—minimum penalty | 49 U.S.C. 14901(b) | 21,327 | 21,865 |
Appendix B (g)(6) Violations of the CRs (motor carrier or broker for transportation of hazardous wastes)—maximum penalty | 49 U.S.C. 14901(b) | 42,654 | 43,730 |
Appendix B (g)(7): Violations of the CRs (HHG carrier or freight forwarder, or their receiver or trustee) | I49 U.S.C. 14901(d)(1) | 1,604 | 1,644 |
Appendix B (g)(8) Violation of the CRs (weight of HHG shipment, charging for services)—minimum penalty for first violation | 49 U.S.C. 14901(e) | 3,210 | 3,291 |
Appendix B (g)(8) Violation of the CRs (weight of HHG shipment, charging for services) subsequent violation | 49 U.S.C. 14901(e) | 8,025 | 8,227 |
Appendix B (g)(10) Tariff violations | 49 U.S.C. 13702, 14903 | 160,484 | 164,531 |
Appendix B (g)(11) Additional tariff violations (rebates or concessions)—first violation | 49 U.S.C. 14904(a) | 320 | 328 |
Appendix B (g)(11) Additional tariff violations (rebates or concessions)—subsequent violations | 49 U.S.C. 14904(a) | 401 | 411 |
Appendix B (g)(12): Tariff violations (freight forwarders)—maximum penalty for first violation | 49 U.S.C. 14904(b)(1) | 803 | 823 |
Appendix B (g)(12): Tariff violations (freight forwarders)—maximum penalty for subsequent violations | 49 U.S.C. 14904(b)(1) | 3,210 | 3,291 |
Appendix B (g)(13): Service from freight forwarder at less than rate in effect—maximum penalty for first violation | 49 U.S.C. 14904(b)(2) | 803 | 823 |
Appendix B (g)(13): Service from freight forwarder at less than rate in effect—maximum penalty for subsequent violation(s) | 49 U.S.C. 14904(b)(2) | 3,210 | 3,291 |
Appendix B (g)(14): Violations related to loading and unloading motor vehicles | 49 U.S.C. 14905 | 16,048 | 16,453 |
Appendix B (g)(16): Reporting and recordkeeping under 49 U.S.C. subtitle IV, part B (except 13901 and 13902(c)—minimum penalty | 49 U.S.C. 14901 | 1,066 | 1,093 |
Appendix B (g)(16): Reporting and recordkeeping under 49 U.S.C. subtitle IV, part B—maximum penalty | 49 U.S.C. 14907 | 8,025 | 8,227 |
Appendix B (g)(17): Unauthorized disclosure of information | 49 U.S.C. 14908 | 3,210 | 3,291 |
Appendix B (g)(18): Violation of 49 U.S.C. subtitle IV, part B, or condition of registration | 49 U.S.C. 14910 | 803 | 823 |
Appendix B (g)(21)(i): Knowingly and willfully fails to deliver or unload HHG at destination | 49 U.S.C. 14905 | 16,048 | 16,453 |
Appendix B (g)(22): HHG broker estimate before entering into an agreement with a motor carrier | 49 U.S.C. 14901(d)(2) | 12,383 | 12,695 |
Appendix B (g)(23): HHG transportation or broker services—registration requirement | 49 U.S.C. 14901 (d)(3) | 30,956 | 31,737 |
Appendix B (h): Copying of records and access to equipment, lands, and buildings—maximum penalty per day | 49 U.S.C. 521(b)(2)(E) | 1,239 | 1,270 |
Appendix B (h): Copying of records and access to equipment, lands, and buildings—maximum total penalty | 49 U.S.C. 521(b)(2)(E) | 12,383 | 12,695 |
Appendix B (i)(1): Evasion of regulations 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 | 49 U.S.C. 524 | 2,133 | 2,187 |
Appendix B (i)(1): Evasion of regulations 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 | 49 U.S.C. 524 | 5,332 | 5,466 |
Appendix B (i)(1): Evasion of regulations 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) | 49 U.S.C. 524 | 2,665 | 2,732 |
Appendix B (i)(1): Evasion of regulations 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) | 49 U.S.C. 524 | 7,997 | 8,199 |
Appendix B (i)(2): Evasion of regulations under 49 U.S.C. subtitle IV, part B—minimum penalty for first violation | 49 U.S.C. 14906 | 2,133 | 2,187 |
Appendix B (i)(2): Evasion of regulations under 49 U.S.C. subtitle IV, part B—minimum penalty for subsequent violation(s) | 49 U.S.C. 14906 | 5,332 | 5,466 |
E. FRA 2019 Adjustments
FRA's 2019 civil penalty adjustments are summarized in the chart below.
Description | Citation | Existing penalty | New penalty (existing penalty × 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 safety violation | 49 U.S.C. ch. 213 | 113,894 | 116,766 |
Minimum penalty for hazardous materials training violations | 49 U.S.C. 5123 | 481 | 493 |
Maximum penalty for ordinary hazardous materials violations | 49 U.S.C. 5123 | 79,976 | 81,993 |
Maximum penalty for aggravated hazardous materials violations | 49 U.S.C. 5123 | 186,610 | 191,316 |
F. PHMSA 2019 Adjustments
PHMSA's 2019 civil penalty adjustments are summarized in the chart below.
Description | Citation | Existing penalty | New penalty (existing penalty × 1.02522) |
---|---|---|---|
Maximum penalty for hazardous materials violation | 49 U.S.C. 5123 | $79,976 | $81,993 |
Maximum penalty for hazardous materials violation that results in death, serious illness, or severe injury to any person or substantial destruction of property | 49 U.S.C. 5123 | 186,610 | 191,316 |
Minimum penalty for hazardous materials training violations | 49 U.S.C. 5123 | 481 | 493 |
Maximum penalty for each pipeline safety violation | 49 U.S.C. 60122(a)(1) | 213,268 | 218,647 |
Maximum penalty for a related series of pipeline safety violations | 49 U.S.C. 60122(a)(1) | 2,132,679 | 2,186,465 |
Maximum penalty for liquefied natural gas pipeline safety violation | 49 U.S.C. 60122(a)(2) | 77,910 | 79,875 |
Maximum penalty for discrimination against employees providing pipeline safety information | 49 U.S.C. 60122(a)(3) | 1,239 | 1,270 |
G. MARAD 2019 Adjustments
MARAD's 2019 civil penalty adjustments are summarized in the chart below.
Description | Citation | Existing penalty | New penalty (existing penalty × 1.02522) |
---|---|---|---|
Maximum civil penalty for a single violation of any provision under 46 U.S.C. Chapter 313 and all of Subtitle III related MARAD regulations, except for violations of 46 U.S.C. 31329 | 46 U.S.C. 31309 | $20,521 | $21,038 |
Maximum civil penalty for a single violation of 46 U.S.C. 31329 as it relates to the court sales of documented vessels | 46 U.S.C. 31330 | 51,302 | 52,596 |
Maximum civil penalty for a single violation of 46 U.S.C. 56101 as it relates to approvals required to transfer a vessel to a noncitizen | 46 U.S.C. 56101(e) | 19,639 | 21,134 |
Maximum civil penalty for failure to file an AMVER report | 46 U.S.C. 50113(b) | 130 | 133 |
Maximum civil penalty for violating procedures for the use and allocation of shipping services, port facilities and services for national security and national defense operations | 50 U.S.C. 4513 | 25,928 | 26,582 |
Maximum civil penalty for violations in applying for or renewing a vessel's fishery endorsement | 46 U.S.C. 12151 | 150,404 | 154,197 |
H. SLSDC 2019 Adjustments
SLSDC's 2019 civil penalty adjustment is as follows:
Description | Citation | Existing penalty | New penalty (existing penalty × 1.02522) |
---|---|---|---|
Maximum civil penalty for each violation of the Seaway Rules and Regulations at 33 CFR part 401 | 33 U.S.C. 1232 | $91,901 | $94,219 |
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 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 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.
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