[Federal Register Volume 86, Number 83 (Monday, May 3, 2021)]
[Rules and Regulations]
[Pages 23241-23260]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-08224]


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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Parts 13 and 406

Office of the Secretary

14 CFR Part 383

Great Lakes St. Lawrence Seaway Development Corporation

33 CFR Part 401

Maritime Administration

46 CFR Parts 221, 307, 340, and 356

Pipeline and Hazardous Materials Safety Administration

49 CFR Parts 107, 171, and 190

Federal Railroad Administration

49 CFR Parts 209, 213, 214, 215, 216, 217, 218, 219, 220, 221, 222, 
223, 224, 225, 227, 228, 229, 230, 231, 233, 234, 235, 236, 237, 
238, 239, 240, 241, 242, 243, 244, and 272

Federal Motor Carrier Safety Administration

49 CFR Part 386

National Highway Traffic Safety Administration

49 CFR Part 578

RIN 2105-AE99


Civil Penalty Amounts

AGENCY: Department of Transportation (DOT or the Department).

ACTION: Final rule.

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SUMMARY: In accordance with the Federal Civil Penalties Inflation 
Adjustment Act Improvements Act of 2015, this final rule provides the 
2021 inflation adjustment to civil penalty amounts that may be imposed 
for violations of certain DOT regulations. In addition, this rule 
amends the Federal Aviation Administration regulations to set forth the 
new civil penalties established in Division V, Title I of the 
Consolidated Appropriations Act, 2021. The rule also corrects a 
rounding error in an FAA penalty.

DATES: Effective May 3, 2021.

FOR FURTHER INFORMATION CONTACT: Elizabeth Kohl, Attorney-Advisor, 
Office of the General Counsel, U.S. Department of Transportation, 1200 
New Jersey Ave. SE, Washington, DC 20590, elizabeth.kohl@dot.gov.

SUPPLEMENTARY INFORMATION: 

Authority for This Rulemaking

    This rule implements the Federal Civil Penalties Inflation 
Adjustment Act of 1990 (FCPIAA), Public Law 101-410, as amended by the 
Federal Civil Penalties Inflation Adjustment Act Improvements Act of 
2015 (2015 Act), Public Law 114-74, 129 Stat. 599, codified at 28 
U.S.C. 2461 note. The FCPIAA and the 2015 Act require Federal agencies 
to adjust minimum and maximum civil penalty amounts for inflation to 
preserve their deterrent impact. The 2015 Act amended the formula and 
frequency of inflation adjustments. It required an initial catch-up 
adjustment in the form of an interim final rule, followed by annual 
adjustments of civil penalty amounts using a statutorily mandated 
formula. Section 4(b)(2) of the 2015 Act specifically directs that the 
annual adjustment be accomplished through final rule without notice and 
comment. This rule is effective immediately.
    This rule also implements the authority to assess civil penalties 
for violations of requirements concerning certificates issued by the 
FAA and for interference with the duties of organization designation 
authorization unit members. These civil penalties were established in 
the Consolidated Appropriations Act, 2021, Public Law 116-260 (December 
27, 2020), and are codified at 49 U.S.C. 44704 and 44742, respectively.
    The Department's authorities over the specific civil penalty 
regulations being amended by this rule are provided in the preamble 
discussion below.

I. Background

    On November 2, 2015, the President signed into law the 2015 Act, 
which amended the FCPIAA, to improve the effectiveness of civil 
monetary penalties and to maintain their deterrent effect. The 2015 Act 
requires Federal agencies to: (1) Adjust the level of civil monetary 
penalties with an initial ``catch-up'' adjustment through an interim 
final rule (IFR); and (2) make subsequent annual adjustments for 
inflation.
    The 2015 Act directed the Office of Management and Budget (OMB) to 
issue guidance on implementing the required annual inflation adjustment 
no later than December 15 of each year.\1\ On December 23, 2020, OMB 
released this required guidance, in OMB Memorandum M-21-10, which 
provides instructions on how to calculate the 2021 annual adjustment. 
To derive the 2021 adjustment, the Department must multiply the maximum 
or minimum penalty amount by the percent change between the October 
2020 Consumer Price Index for All Urban Consumers (CPI-U) and the 
October 2019 CPI-U. In this case, as explained in OMB Memorandum M-21-
10, the percent change between the October 2020 CPI-U and the October 
2019 CPI-U is 1.01182.
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    \1\ 28 U.S.C. 2461 note.
---------------------------------------------------------------------------

II. Issuance of a Final Rule

    This final rule is being published without notice and comment and 
with an immediate effective date.
    The 2015 Act provides clear direction for how to adjust the civil 
penalties, and clearly states at section 4(b)(2) that this adjustment 
shall be made ``notwithstanding section 553 of title 5, United States 
Code.'' By operation of the 2015 Act, DOT must publish an annual 
adjustment by January 15 of every year, and the new levels take effect 
upon publication of the rule. In addition, as noted previously in the 
discussion of the authority for this rulemaking, Division V, Title I of 
the Consolidated Appropriations Act, 2021 provides explicit authority 
to assess civil penalties for violations of 49 U.S.C. 44704 and 44742. 
The rule also corrects a rounding error in an FAA penalty. DOT does not 
have discretion with regard to effectuating the updates resulting from 
the changes to its authority, and the mathematical correction simply 
fixes a de minimis error of $3 for the maximum penalty.
    Accordingly, DOT is publishing this final rule without prior notice 
and comment, and with an immediate effective date.

III. Discussion of the Final Rule

    In 2016, OST and DOT's operating administrations with civil 
monetary penalties promulgated the ``catch up'' IFR required by the 
2015 Act. All DOT operating administrations have already finalized 
their ``catch up'' IFRs and this rule makes the annual inflation 
adjustment required by the 2015 Act.

[[Page 23242]]

    The Department emphasizes that this rule adjusts penalties 
prospectively, and therefore the penalty adjustments made by this rule 
will apply only to violations that take place after this rule becomes 
effective. This rule also does not change previously assessed or 
enforced penalties that DOT is actively collecting or has collected.

A. OST 2021 Adjustments

    OST's 2021 civil penalty adjustments are summarized in the chart 
below.

----------------------------------------------------------------------------------------------------------------
                                                                                                   New penalty
                                                                                                    (existing
                 Description                             Citation             Existing penalty      penalty x
                                                                                                    1.01182)
----------------------------------------------------------------------------------------------------------------
General civil penalty for violations of       49 U.S.C. 46301(a)(1).........           $34,777           $35,188
 certain aviation economic regulations and
 statutes.
General civil penalty for violations of       49 U.S.C. 46301(a)(1).........             1,530             1,548
 certain aviation economic regulations and
 statutes involving an individual or small
 business concern.
Civil penalties for individuals or small      49 U.S.C. 46301(a)(5)(A)......            13,910            14,074
 businesses for violations of most
 provisions of Chapter 401 of Title 49,
 including the anti-discrimination
 provisions of sections 40127 and 41705 and
 rules and orders issued pursuant to these
 provisions.
Civil penalties for individuals or small      49 U.S.C. 46301(a)(5)(C)......             6,955             7,037
 businesses for violations of 49 U.S.C.
 41719 and rules and orders issued pursuant
 to that provision.
Civil penalties for individuals or small      49 U.S.C. 46301(a)(5)(D)......             3,478             3,519
 businesses for violations of 49 U.S.C.
 41712 or consumer protection rules and
 orders issued pursuant to that provision.
----------------------------------------------------------------------------------------------------------------

B. FAA 2021 Adjustments

    On December 27, 2020, a new statute amended 49 U.S.C. 44704 to add 
new civil penalty provisions. Subsection (d) imposes a penalty for a 
holder of a production certificate who knowingly presents a 
nonconforming aircraft for issuance of an initial airworthiness 
certificate.\2\ Subsection (e) allows for the assessment of a civil 
penalty against an applicant for or holder of a type certificate for 
knowing violations of Sec.  44704(e)(1)-(3).\3\ The maximum penalty 
amount for both of these violations is $1,000,000. In accordance with 
OMB Memorandum M-16-06, these penalty levels will not be adjusted 
because they have been in effect for less than a year.
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    \2\ Public Law 116-260, 134 Stat. ----, Div. V, Title I, Section 
120 (Dec. 27, 2020).
    \3\ Public Law 116-260, 134 Stat. ----, Div. V, Title I, Section 
105(a).
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    The new statute also authorized civil penalties against individuals 
acting on behalf of an applicant for or holder of a type certificate 
for knowingly making a false statement with respect to any of the 
matters described in Sec.  44704(e)(1)(A)-(E).\4\ Here, however, the 
statute used the preexisting civil penalty authority in 49 U.S.C. 46301 
rather than creating a new maximum civil penalty. The adjustment of the 
penalties in Sec.  46301 thus covers this amendment to Sec.  44704.
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    \4\ Public Law 116-260, 134 Stat. ----, Div. V, Title I, Section 
105(a).
---------------------------------------------------------------------------

    Moreover, the new law authorized civil penalties for any supervisor 
of an organization designation authorization (``ODA'') holder who 
interferes with any ODA unit member's performance of authorized 
functions.\5\ This new law imposes the civil penalty under the 
authority of 49 U.S.C. 46301(a)(1), so the applicable maximum civil 
penalty is already included in the FAA's adjustments in this final 
rule.
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    \5\ Public Law 116-260, 134 Stat. ----, Div. V, Title I, Section 
107(a) (to be codified at 49 U.S.C. 44742).
    \6\ Note that this entry and the entry immediately below correct 
a rounding error from DOT's 2019 civil penalties adjustment rule. 
The 2020 penalty amounts are updated to $1,530 from the $1,527 
specified in the 2020 adjustment.
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    Other 2021 adjustments are summarized in the chart below.

----------------------------------------------------------------------------------------------------------------
                                                                                                   New penalty
                                                                                                    (existing
                 Description                             Citation             Existing penalty      penalty x
                                                                                                    1.01182)
----------------------------------------------------------------------------------------------------------------
Violation of hazardous materials              49 U.S.C. 5123(a)(1)..........           $83,439           $84,425
 transportation law.
Violation of hazardous materials              49 U.S.C. 5123(a)(2)..........           194,691           196,992
 transportation law resulting in death,
 serious illness, severe injury, or
 substantial property destruction.
Minimum penalty for violation of hazardous    49 U.S.C. 5123(a)(3)..........               502               508
 materials transportation law relating to
 training.
Maximum penalty for violation of hazardous    49 U.S.C. 5123(a)(3)..........            83,439            84,425
 materials transportation law relating to
 training.
Operation of an unmanned aircraft or          49 U.S.C. 44802 note..........            25,441            25,742
 unmanned aircraft system equipped or armed
 with a dangerous weapon.
Violation by a person other than an           49 U.S.C. 46301(a)(1).........            34,777            35,188
 individual or small business concern under
 49 U.S.C. 46301(a)(1)(A) or (B).
Violation by an airman serving as an airman   49 U.S.C. 46301(a)(1).........             1,530             1,548
 under 49 U.S.C. 46301(a)(1)(A) or (B) (but
 not covered by 46301(a)(5)(A) or (B)) \6\.
Violation by an individual or small business  49 U.S.C. 46301(a)(1).........             1,530             1,548
 concern under 49 U.S.C. 46301(a)(1)(A) or
 (B) (but not covered in 49 U.S.C.
 46301(a)(5)).
Violation by an individual or small business  49 U.S.C. 46301(a)(5)(A)......            13,910            14,074
 concern (except an airman serving as an
 airman) under 49 U.S.C. 46301(a)(5)(A)(i)
 or (ii).

[[Page 23243]]

 
Violation by an individual or small business  49 U.S.C. 46301(a)(5)(B)(i)...            13,910            14,074
 concern related to the transportation of
 hazardous materials.
Violation by an individual or small business  49 U.S.C. 46301(a)(5)(B)(ii)..            13,910            14,074
 concern related to the registration or
 recordation under 49 U.S.C. chapter 441, of
 an aircraft not used to provide air
 transportation.
Violation by an individual or small business  49 U.S.C. 46301(a)(5)(B)(iii).            13,910            14,074
 concern of 49 U.S.C. 44718(d), relating to
 limitation on construction or establishment
 of landfills.
Violation by an individual or small business  49 U.S.C. 46301(a)(5)(B)(iv)..            13,910            14,074
 concern of 49 U.S.C. 44725, relating to the
 safe disposal of life-limited aircraft
 parts.
Individual who aims the beam of a laser       49 U.S.C. 46301 note..........            26,614            26,929
 pointer at an aircraft in the airspace
 jurisdiction of the United States, or at
 the flight path of such an aircraft.
Tampering with a smoke alarm device.........  49 U.S.C. 46301(b)............             4,465             4,518
Knowingly providing false information about   49 U.S.C. 46302...............            24,252            24,539
 alleged violation involving the special
 aircraft jurisdiction of the United States.
Interference with cabin or flight crew......  49 U.S.C. 46318...............            36,516            36,948
Permanent closure of an airport without       49 U.S.C. 46319...............            13,910            14,074
 providing sufficient notice.
Operating an unmanned aircraft and in so      49 U.S.C. 46320...............            21,292            21,544
 doing knowingly or recklessly interfering
 with a wildfire suppression, law
 enforcement, or emergency response effort.
Violation of 51 U.S.C. 50901-50923, a         51 U.S.C. 50917(c)............           244,391           247,280
 regulation issued under these statutes, or
 any term or condition of a license or
 permit issued or transferred under these
 statutes.
----------------------------------------------------------------------------------------------------------------

    In addition to the civil penalties listed in the above charts, FAA 
regulations also provide for maximum civil penalties for violations of 
49 U.S.C. 47528-47530, relating to the prohibition of operating certain 
aircraft not complying with stage 3 noise levels. Those civil penalties 
are identical to the civil penalties imposed under 49 U.S.C. 
46301(a)(1) and (a)(5), which are detailed in the above chart, and 
therefore, the noise-level civil penalties will be adjusted in the same 
manner as the Sec.  46301(a)(1) and (a)(5) civil penalties.

C. NHTSA 2021 Adjustments

    NHTSA's 2021 civil penalty adjustments are summarized in the chart 
below.

----------------------------------------------------------------------------------------------------------------
                                                                                                   New penalty
                                                                                                    (existing
                 Description                             Citation             Existing penalty      penalty x
                                                                                                     1.01182
----------------------------------------------------------------------------------------------------------------
Maximum penalty amount for each violation     49 U.S.C. 30165(a)(1),                   $22,723           $22,992
 of: 49 U.S.C. 30112, 30115, 30117-30122,      30165(a)(3).
 30123(a), 30125(c), 30127, 30141-30147,
 30166 or 31137, or a regulation prescribed
 under any of these sections.
Maximum penalty amount for a related series   49 U.S.C. 30165(a)(1),               113,611,635       114,954,525
 of violations of: 49 U.S.C. 30112, 30115,     30165(a)(3).
 30117-30122, 30123(a), 30125(c), 30127,
 30141-30147, 30166 or 31137, or a
 regulation prescribed under any of these
 sections.
Maximum penalty per school bus related        49 U.S.C. 30165(a)(2)(A)......            12,919            13,072
 violation of 49 U.S.C. 30112(a)(1) or
 30112(a)(2).
Maximum penalty amount for a series of        49 U.S.C. 30165(a)(2)(B)......        19,378,412        19,607,465
 school bus related violations of 49 U.S.C.
 30112(a)(1) or 30112(a)(2).
Maximum penalty per violation for filing      49 U.S.C. 30165(a)(4).........             5,562             5,628
 false or misleading reports.
Maximum penalty amount for a series of        49 U.S.C. 30165(a)(4).........         1,112,518         1,125,668
 violations related to filing false or
 misleading reports.
Maximum penalty amount for each violation of  49 U.S.C. 30505...............             1,814             1,835
 the reporting requirements related to
 maintaining the National Motor Vehicle
 Title Information System.
Maximum penalty amount for each violation of  49 U.S.C. 32507(a)............             2,976             3,011
 a bumper standard under 49 U.S.C. 32506.
Maximum penalty amount for a series of        49 U.S.C. 32507(a)............         3,313,763         3,352,932
 violations of a bumper standard under 49
 U.S.C. 32506.
Maximum penalty amount for each violation of  49 U.S.C. 32308(b)............             2,976             3,011
 49 U.S.C. 32308(a) related to providing
 information on crashworthiness and damage
 susceptibility.
Maximum penalty amount for a series of        49 U.S.C. 32308(b)............         1,623,024         1,642,208
 violations of 49 U.S.C. 32308(a) related to
 providing information on crashworthiness
 and damage susceptibility.
Maximum penalty for each violation related    49 U.S.C. 32308(c)............            61,586            62,314
 to the tire fuel efficiency information
 program.
Maximum civil penalty for willfully failing   49 U.S.C. 32309...............             1,814             1,835
 to affix, or failing to maintain, the label
 required in 49 U.S.C. 32304.

[[Page 23244]]

 
Maximum penalty amount per violation related  49 U.S.C. 32709...............            11,125            11,256
 to odometer tampering and disclosure.
Maximum penalty amount for a related series   49 U.S.C. 32709...............         1,112,518         1,125,668
 of violations related to odometer tampering
 and disclosure.
Maximum penalty amount per violation related  49 U.S.C. 32710...............            11,125            11,256
 to odometer tampering and disclosure with
 intent to defraud.
Maximum penalty amount for each violation of  49 U.S.C. 33115(a)............             2,444             2,473
 49 U.S.C. 33114(a)(1)-(4).
Maximum penalty amount for a related series   49 U.S.C. 33115(a)............           610,979           618,201
 of violations of 49 U.S.C. 33114(a)(1)-(4).
Maximum civil penalty for violations of 49    49 U.S.C. 33115(b)............           181,484           183,629
 U.S.C. 33114(a)(5).
Maximum civil penalty for violations under    49 U.S.C 32912(a).............            42,530            43,280
 49 U.S.C. 32911(a) related to automobile
 fuel economy.
Maximum civil penalty for a violation under   49 U.S.C. 32902...............            41,882            42,621
 the medium- and heavy-duty vehicle fuel
 efficiency program.
----------------------------------------------------------------------------------------------------------------

D. FMCSA 2021 Adjustments

    FMCSA's civil penalties affected by this rule are all located in 
appendices A and B to 49 CFR part 386. The 2021 adjustments to these 
civil penalties are summarized in the chart below.

----------------------------------------------------------------------------------------------------------------
                                                                                                   New penalty
                                                                                                    (existing
                 Description                             Citation             Existing penalty      penalty x
                                                                                                    1.01182)
----------------------------------------------------------------------------------------------------------------
Appendix A II Subpoena......................  49 U.S.C. 525.................            $1,112            $1,125
Appendix A II Subpoena......................  49 U.S.C. 525.................            11,125            11,256
Appendix A IV (a) Out-of-service order        49 U.S.C. 521(b)(7)...........             1,928             1,951
 (operation of CMV by driver).
Appendix A IV (b) Out-of-service order        49 U.S.C. 521(b)(7))..........            19,277            19,505
 (requiring or permitting operation of CMV
 by driver).
Appendix A IV (c) Out-of-service order        49 U.S.C. 521(b)(7)...........             1,928             1,951
 (operation by driver of CMV or intermodal
 equipment that was placed out of service).
Appendix A IV (d) Out-of-service order        49 U.S.C. 521(b)(7)...........            19,277            19,505
 (requiring or permitting operation of CMV
 or intermodal equipment that was placed out
 of service).
Appendix A IV (e) Out-of-service order        49 U.S.C. 521(b)(2)(B)........               964               975
 (failure to return written certification of
 correction).
Appendix A IV (g) Out-of-service order        49 U.S.C. 521(b)(2)(F)........            27,813            28,142
 (failure to cease operations as ordered).
Appendix A IV (h) Out-of-service order        49 U.S.C. 521(b)(7)...........            24,441            24,730
 (operating in violation of order).
Appendix A IV (i) Out-of-service order        49 U.S.C. 521(b)(2)(A) and                15,691            15,876
 (conducting operations during suspension or   (b)(7)).
 revocation for failure to pay penalties).
Appendix A IV (j) (conducting operations      49 U.S.C. 521(b)(7)...........            24,441            24,730
 during suspension or revocation).
Appendix B (a)(1) Recordkeeping--maximum      49 U.S.C. 521(b)(2)(B)(i).....             1,292             1,302
 penalty per day.
Appendix B (a)(1) Recordkeeping--maximum      49 U.S.C. 521(b)(2)(B)(i).....            12,919            13,072
 total penalty.
Appendix B (a)(2) Knowing falsification of    49 U.S.C. 521(b)(2)(B)(ii)....            12,919            13,072
 records.
Appendix B (a)(3) Non-recordkeeping           49 U.S.C. 521(b)(2)(A)........            15,691            15,876
 violations.
Appendix B (a)(4) Non-recordkeeping           49 U.S.C. 521(b)(2)(A)........             3,923             3,969
 violations by drivers.
Appendix B (a)(5) Violation of 49 CFR 392.5   49 U.S.C. 31310(i)(2)(A)......             3,230             3,268
 (first conviction).
Appendix B (a)(5) Violation of 49 CFR 392.5   49 U.S.C. 31310(i)(2)(A)......             6,460             6,536
 (second or subsequent conviction).
Appendix B (b) Commercial driver's license    49 U.S.C. 521(b)(2)(C)........             5,833             5,902
 (CDL) violations.
Appendix B (b)(1): Special penalties          49 U.S.C. 31310(i)(2)(A)......             3,230             3,268
 pertaining to violation of out-of-service
 orders (first conviction).
Appendix B (b)(1) Special penalties           49 U.S.C. 31310(i)(2)(A)......             6,460             6,536
 pertaining to violation of out-of-service
 orders (second or subsequent conviction).
Appendix B (b)(2) Employer violations         49 U.S.C. 521(b)(2)(C)........             5,833             5,902
 pertaining to knowingly allowing,
 authorizing employee violations of out-of-
 service order (minimum penalty).
Appendix B (b)(2) Employer violations         49 U.S.C. 31310(i)(2)(C)......            32,297            32,679
 pertaining to knowingly allowing,
 authorizing employee violations of out-of-
 service order (maximum penalty).
Appendix B (b)(3) Special penalties           49 U.S.C. 31310(j)(2)(B)......            16,743            16,941
 pertaining to railroad-highway grade
 crossing violations.
Appendix B (d) Financial responsibility       49 U.S.C. 31138(d)(1),                    17,213            17,416
 violations.                                   31139(g)(1).
Appendix B (e)(1) Violations of Hazardous     49 U.S.C. 5123(a)(1)..........            83,439            84,425
 Materials Regulations (HMRs) and Safety
 Permitting Regulations (transportation or
 shipment of hazardous materials).

[[Page 23245]]

 
Appendix B (e)(2) Violations of Hazardous     49 U.S.C. 5123(a)(3)..........               502               508
 Materials Regulations (HMRs) and Safety
 Permitting Regulations (training)--minimum
 penalty.
Appendix B (e)(2): Violations of Hazardous    49 U.S.C. 5123(a)(1)..........            83,439            84,425
 Materials Regulations (HMRs) and Safety
 Permitting Regulations (training)--maximum
 penalty.
Appendix B (e)(3) Violations of Hazardous     49 U.S.C. 5123(a)(1)..........            83,439            84,425
 Materials Regulations (HMRs) and Safety
 Permitting Regulations (packaging or
 container).
Appendix B (e)(4): Violations of Hazardous    49 U.S.C. 5123(a)(1)..........            83,439            84,425
 Materials Regulations (HMRs) and Safety
 Permitting Regulations (compliance with
 FMCSRs).
Appendix B (e)(5) Violations of Hazardous     49 U.S.C. 5123(a)(2)..........           194,691           196,992
 Materials Regulations (HMRs) and Safety
 Permitting Regulations (death, serious
 illness, severe injury to persons;
 destruction of property).
Appendix B (f)(1) Operating after being       49 U.S.C. 521(b)(2)(F)........            27,813            28,142
 declared unfit by assignment of a final
 ``unsatisfactory'' safety rating
 (generally).
Appendix B (f)(2) Operating after being       49 U.S.C. 5123(a)(1)..........            83,439            84,425
 declared unfit by assignment of a final
 ``unsatisfactory'' safety rating (hazardous
 materials)--maximum penalty.
Appendix B (f)(2): Operating after being      49 U.S.C. 5123(a)(2)..........           194,691           196,992
 declared unfit by assignment of a final
 ``unsatisfactory'' safety rating (hazardous
 materials)--maximum penalty if death,
 serious illness, severe injury to persons;
 destruction of property.
Appendix B (g)(1): Violations of the          49 U.S.C. 14901(a)............            11,125            11,256
 commercial regulations (CR) (property
 carriers).
Appendix B (g)(2) Violations of the CRs       49 U.S.C. 14916(c)............            11,125            11,256
 (brokers).
Appendix B (g)(3) Violations of the CRs       49 U.S.C. 14901(a)............            27,813            28,142
 (passenger carriers).
Appendix B (g)(4) Violations of the CRs       49 U.S.C. 14901(a)............            11,125            11,256
 (foreign motor carriers, foreign motor
 private carriers).
Appendix B (g)(5) Violations of the           49 U.S.C. 14901 note..........            15,299            15,480
 operating authority requirement (foreign
 motor carriers, foreign motor private
 carriers)--maximum penalty for intentional
 violation \7\.
Appendix B (g)(5) Violations of the           49 U.S.C. 14901 note..........            38,250            38,702
 operating authority requirement (foreign
 motor carriers, foreign motor private
 carriers)--maximum penalty for a pattern of
 intentional violations.
Appendix B (g)(6) Violations of the CRs       49 U.S.C. 14901(b)............            22,251            22,514
 (motor carrier or broker for transportation
 of hazardous wastes)--minimum penalty.
Appendix B (g)(6) Violations of the CRs       49 U.S.C. 14901(b)............            44,501            45,027
 (motor carrier or broker for transportation
 of hazardous wastes)--maximum penalty.
Appendix B (g)(7): Violations of the CRs      I49 U.S.C. 14901(d)(1)........             1,673             1,693
 (HHG carrier or freight forwarder, or their
 receiver or trustee).
Appendix B (g)(8) Violation of the CRs        49 U.S.C. 14901(e)............             3,349             3,389
 (weight of HHG shipment, charging for
 services)--minimum penalty for first
 violation.
Appendix B (g)(8) Violation of the CRs        49 U.S.C. 14901(e)............             8,372             8,471
 (weight of HHG shipment, charging for
 services) subsequent violation.
Appendix B (g)(10) Tariff violations........  49 U.S.C. 13702, 14903........           167,433           169,412
Appendix B (g)(11) Additional tariff          49 U.S.C. 14904(a)............               334               338
 violations (rebates or concessions)--first
 violation.
Appendix B (g)(11) Additional tariff          49 U.S.C. 14904(a)............               418               423
 violations (rebates or concessions)--
 subsequent violations.
Appendix B (g)(12): Tariff violations         49 U.S.C. 14904(b)(1).........               838               848
 (freight forwarders)--maximum penalty for
 first violation.
Appendix B (g)(12): Tariff violations         49 U.S.C. 14904(b)(1).........             3,349             3,389
 (freight forwarders)--maximum penalty for
 subsequent violations.
Appendix B (g)(13): Service from freight      49 U.S.C. 14904(b)(2).........               838               848
 forwarder at less than rate in effect--
 maximum penalty for first violation.
Appendix B (g)(13): Service from freight      49 U.S.C. 14904(b)(2).........             3,349             3,389
 forwarder at less than rate in effect--
 maximum penalty for subsequent violation(s).
Appendix B (g)(14): Violations related to     49 U.S.C. 14905...............            16,743            16,941
 loading and unloading motor vehicles.
Appendix B (g)(16): Reporting and             49 U.S.C. 14901...............             1,112             1,125
 recordkeeping under 49 U.S.C. subtitle IV,
 part B (except 13901 and 13902(c)--minimum
 penalty.
Appendix B (g)(16): Reporting and             49 U.S.C. 14907...............             8,372             8,471
 recordkeeping under 49 U.S.C. subtitle IV,
 part B--maximum penalty.
Appendix B (g)(17): Unauthorized disclosure   49 U.S.C. 14908...............             3,349             3,389
 of information.
Appendix B (g)(18): Violation of 49 U.S.C.    49 U.S.C. 14910...............               838               848
 subtitle IV, part B, or condition of
 registration.
Appendix B (g)(21)(i): Knowingly and          49 U.S.C. 14915...............            16,743            16,941
 willfully fails to deliver or unload HHG at
 destination.
Appendix B (g)(22): HHG broker estimate       49 U.S.C. 14901(d)(2).........            12,919            13,072
 before entering into an agreement with a
 motor carrier.

[[Page 23246]]

 
Appendix B (g)(23): HHG transportation or     49 U.S.C. 14901 (d)(3)........            32,297            32,679
 broker services--registration requirement.
Appendix B (h): Copying of records and        49 U.S.C. 521(b)(2)(E)........             1,292             1,307
 access to equipment, lands, and buildings--
 maximum penalty per day.
Appendix B (h): Copying of records and        49 U.S.C. 521(b)(2)(E)........            12,919            13,072
 access to equipment, lands, and buildings--
 maximum total penalty.
Appendix B (i)(1): Evasion of regulations     49 U.S.C. 524.................             2,226             2,252
 under 49 U.S.C. ch. 5, 51, subchapter III
 of ch. 311 (except 31138 and 31139), 31302-
 31304, 31305(b), 31310(g)(1)(A), or 31502--
 minimum penalty for first violation.
Appendix B (i)(1): Evasion of regulations     49 U.S.C. 524.................             5,562             5,628
 under 49 U.S.C. ch. 5, 51, subchapter III
 of ch. 311 (except 31138 and 31139), 31302-
 31304, 31305(b), 31310(g)(1)(A), or 31502--
 maximum penalty for first violation.
Appendix B (i)(1): Evasion of regulations     49 U.S.C. 524.................             2,780             2,813
 under 49 U.S.C. ch. 5, 51, subchapter III
 of ch. 311 (except 31138 and 31139), 31302-
 31304, 31305(b), 31310(g)(1)(A), or 31502--
 minimum penalty for subsequent violation(s).
Appendix B (i)(1): Evasion of regulations     49 U.S.C. 524.................             8,344             8,433
 under 49 U.S.C. ch. 5, 51, subchapter III
 of ch. 311 (except 31138 and 31139), 31302-
 31304, 31305(b), 31310(g)(1)(A), or 31502--
 maximum penalty for subsequent violation(s).
Appendix B (i)(2): Evasion of regulations     49 U.S.C. 14906...............             2,226             2,252
 under 49 U.S.C. subtitle IV, part B--
 minimum penalty for first violation.
Appendix B (i)(2): Evasion of regulations     49 U.S.C. 14906...............             5,562             5,628
 under 49 U.S.C. subtitle IV, part B--
 minimum penalty for subsequent violation(s).
----------------------------------------------------------------------------------------------------------------

E. FRA 2021 Adjustments

    FRA's 2021  civil penalty adjustments are summarized in the chart 
below.
---------------------------------------------------------------------------

    \7\ Section (g)(5) was revised in the 2020 adjustment final rule 
to reflect the termination of the North American Free Trade 
Agreement and the adoption of the United States Mexico Canada 
Agreement (USMCA). See 86 FR 1745, 1748, n.6 (Jan. 11, 2021).

----------------------------------------------------------------------------------------------------------------
                                                                                                   New penalty
                                                                                                    (existing
                 Description                             Citation             Existing penalty     penalty  x
                                                                                                    1.01182)
----------------------------------------------------------------------------------------------------------------
Minimum rail safety penalty.................  49 U.S.C. ch. 213.............              $908              $919
Ordinary maximum rail safety penalty........  49 U.S.C. ch. 213.............            29,707            30,058
Maximum penalty for an aggravated rail        49 U.S.C. ch. 213.............           118,826           120,231
 safety violation.
Minimum penalty for hazardous materials       49 U.S.C. 5123................               502               508
 training violations.
Maximum penalty for ordinary hazardous        49 U.S.C. 5123................            83,439            84,425
 materials violations.
Maximum penalty for aggravated hazardous      49 U.S.C. 5123................           194,691           196,992
 materials violations.
----------------------------------------------------------------------------------------------------------------

F. PHMSA 2021 Adjustments

    PHMSA's civil penalties affected by this rule for hazardous 
materials violations are located in 49 CFR 107.329, appendix A to 
subpart D of 49 CFR part 107, and Sec.  171.1. The civil penalties 
affected by this rule for pipeline safety violations are located in 
Sec.  190.223. PHMSA's 2021 civil penalty adjustments are summarized in 
the chart below.

----------------------------------------------------------------------------------------------------------------
                                                                                                   New penalty
                                                                                                    (existing
                 Description                             Citation             Existing penalty     penalty  x
                                                                                                    1.01182)
----------------------------------------------------------------------------------------------------------------
Maximum penalty for hazardous materials       49 U.S.C. 5123................           $83,439           $84,425
 violation.
Maximum penalty for hazardous materials       49 U.S.C. 5123................           194,691           196,992
 violation that results in death, serious
 illness, or severe injury to any person or
 substantial destruction of property.
Minimum penalty for hazardous materials       49 U.S.C. 5123................               502               508
 training violations.
Maximum penalty for each pipeline safety      49 U.S.C. 60122(a)(1).........           222,504           225,134
 violation.
Maximum penalty for a related series of       49 U.S.C. 60122(a)(1).........         2,225,034         2,251,334
 pipeline safety violations.
Maximum additional penalty for each           49 U.S.C. 60122(a)(2).........            81,284            82,245
 liquefied natural gas pipeline facility
 violation.
Maximum penalty for discrimination against    49 U.S.C. 60122(a)(3).........             1,292             1,307
 employees providing pipeline safety
 information.
----------------------------------------------------------------------------------------------------------------


[[Page 23247]]

G. MARAD 2021 Adjustments

    MARAD's 2021 civil penalty adjustments are summarized in the chart 
below.

----------------------------------------------------------------------------------------------------------------
                                                                                                   New penalty
                                                                                                    (existing
                 Description                             Citation             Existing penalty     penalty  x
                                                                                                    1.01182)
----------------------------------------------------------------------------------------------------------------
Maximum civil penalty for a single violation  46 U.S.C. 31309...............           $21,409           $21,662
 of any provision under 46 U.S.C. Chapter
 313 and all of Subtitle III related MARAD
 regulations, except for violations of 46
 U.S.C. 31329.
Maximum civil penalty for a single violation  46 U.S.C. 31330...............            53,524            54,157
 of 46 U.S.C. 31329 as it relates to the
 court sales of documented vessels.
Maximum civil penalty for a single violation  46 U.S.C. 56101(e)............            21,507            21,761
 of 46 U.S.C. 56101 as it relates to
 approvals required to transfer a vessel to
 a noncitizen.
Maximum civil penalty for failure to file an  46 U.S.C. 50113(b)............               135               137
 AMVER report.
Maximum civil penalty for violating           50 U.S.C. 4513................            27,051            27,371
 procedures for the use and allocation of
 shipping services, port facilities and
 services for national security and national
 defense operations.
Maximum civil penalty for violations in       46 U.S.C. 12151...............           156,917           158,772
 applying for or renewing a vessel's fishery
 endorsement.
----------------------------------------------------------------------------------------------------------------

H. Great Lakes St. Lawrence Seaway Development Corporation GLSLDC 2021 
Adjustments

    GLSLDC's 2021 civil penalty adjustment is as follows:

----------------------------------------------------------------------------------------------------------------
                                                                                                   New penalty
                                                                                                    (existing
                 Description                             Citation             Existing penalty     penalty  x
                                                                                                    1.01764)
----------------------------------------------------------------------------------------------------------------
Maximum civil penalty for each violation of   33 U.S.C. 1232................           $95,881           $97,014
 the Seaway Rules and Regulations at 33 CFR
 part 401.
----------------------------------------------------------------------------------------------------------------

Regulatory Analysis and Notices

A. Executive Order 12866 and DOT Regulatory Policies and Procedures

    This final rule has been evaluated in accordance with existing 
policies and procedures and is considered not significant under 
Executive Orders 12866 and DOT's Regulatory Policies and Procedures; 
therefore, the rule has not been reviewed by the Office of Management 
and Budget (OMB) under Executive Order 12866.

B. Regulatory Flexibility Analysis

    The Department has determined the Regulatory Flexibility Act of 
1980 (RFA) (5 U.S.C. 601, et seq.) does not apply to this rulemaking. 
The RFA applies, in pertinent part, only when ``an agency is required . 
. . to publish general notice of proposed rulemaking.'' 5 U.S.C. 
604(a).\8\ The Small Business Administration's A Guide for Government 
Agencies: How to Comply with the Regulatory Flexibility Act (2012), 
explains that:
---------------------------------------------------------------------------

    \8\ Under 5 U.S.C. 603(a), the Regulatory Flexibility Act also 
applies when an agency ``publishes a notice of proposed rulemaking 
for an interpretative rule involving the internal revenue laws of 
the United States.'' However, this rule does not involve the 
internal revenue laws of the United States.

    If, under the [Administrative Procedure Act (APA)] or any rule 
of general applicability governing federal grants to state and local 
governments, the agency is required to publish a general notice of 
proposed rulemaking (NPRM), the RFA must be considered [citing 5 
U.S.C. 604(a)]. . . . If an NPRM is not required, the RFA does not 
---------------------------------------------------------------------------
apply.

    As stated above, DOT has determined that good cause exists to 
publish this final rule without notice and comment procedures under the 
APA. Therefore, the analytical requirements of the RFA do not apply.

C. Executive Order 13132 (Federalism)

    This final rule has been analyzed in accordance with the principles 
and criteria contained in Executive Order 13132 (``Federalism''). This 
regulation has no substantial direct effects on the States, the 
relationship between the National Government and the States, or the 
distribution of power and responsibilities among the various levels of 
government. It does not contain any provision that imposes substantial 
direct compliance costs on State and local governments. Therefore, the 
consultation and funding requirements of Executive Order 13132 do not 
apply.

D. Executive Order 13175

    This final rule has been analyzed in accordance with the principles 
and criteria contained in Executive Order 13175, Consultation and 
Coordination with Indian Tribal Governments. Because none of the 
measures in the rule have tribal implications or impose substantial 
direct compliance costs on Indian tribal governments, the funding and 
consultation requirements of Executive Order 13175 do not apply.

E. Paperwork Reduction Act

    Under the Paperwork Reduction Act, before an agency submits a 
proposed collection of information to OMB for approval, it must publish 
a document in the Federal Register providing notice of and a 60-day 
comment period on, and otherwise consult with members of the public and 
affected agencies concerning, each proposed collection of information. 
This final rule imposes no new information reporting or record keeping 
necessitating clearance by OMB.

[[Page 23248]]

F. National Environmental Policy Act

    The Department has analyzed the environmental impacts of this final 
rule pursuant to the National Environmental Policy Act of 1969 (NEPA) 
(42 U.S.C. 4321, et seq.) and has determined that it is categorically 
excluded pursuant to DOT Order 5610.1C, Procedures for Considering 
Environmental Impacts (44 FR 56420, Oct. 1, 1979 as amended July 13, 
1982 and July 30, 1985). Categorical exclusions are actions identified 
in an agency's NEPA implementing procedures that do not normally have a 
significant impact on the environment and therefore do not require 
either an environmental assessment (EA) or environmental impact 
statement (EIS). See 40 CFR 1508.4. In analyzing the applicability of a 
categorical exclusion, the agency must also consider whether 
extraordinary circumstances are present that would warrant the 
preparation of an EA or EIS. Id. Paragraph 4(c)(5) of DOT Order 5610.1C 
incorporates by reference the categorical exclusions for all DOT 
Operating Administrations. This action qualifies for a categorical 
exclusion in accordance with FAA Order 1050.1F, Environmental Impacts: 
Policies and Procedures, (80 FR 44208, July 24, 2015), paragraph 5-
6.6.f, which covers regulations not expected to cause any potentially 
significant environmental impacts. The Department does not anticipate 
any environmental impacts, and there are no extraordinary circumstances 
present in connection with this final rule.

G. Unfunded Mandates Reform Act

    The Department analyzed the final rule under the factors in the 
Unfunded Mandates Reform Act of 1995. The Department considered whether 
the rule includes a Federal mandate that may result in the expenditure 
by State, local, and tribal governments, in the aggregate, or by the 
private sector, of $100,000,000 or more (adjusted annually for 
inflation) in any one year. The Department has determined that this 
final rule will not result in such expenditures. Accordingly, no 
further assessment or analysis is required under the Unfunded Mandates 
Reform Act.

List of Subjects

14 CFR Part 13

    Administrative practice and procedure, Air transportation, 
Hazardous materials transportation, Investigations, Law enforcement, 
Penalties.

14 CFR Part 383

    Administrative practice and procedure, Penalties.

14 CFR Part 406

    Administrative procedure and review, Commercial space 
transportation, Enforcement, Investigations, Penalties, Rules of 
adjudication.

33 CFR Part 401

    Hazardous materials transportation, Navigation (water), Penalties, 
Radio, Reporting and recordkeeping requirements, Vessels, Waterways.

46 CFR Part 221

    Administrative practice and procedure, Maritime carriers, 
Mortgages, Penalties, Reporting and recordkeeping requirements, Trusts 
and trustees.

46 CFR Part 307

    Marine safety, Maritime carriers, Penalties, Reporting and 
recordkeeping requirements.

46 CFR Part 340

    Harbors, Maritime carriers, National defense, Packaging and 
containers.

46 CFR Part 356

    Citizenship and naturalization, Fishing vessels, Mortgages, 
Penalties, Reporting and recordkeeping requirements, Vessels.

49 CFR Part 107

    Administrative practices and procedure, Hazardous materials 
transportation, Packaging and containers, Penalties, Reporting and 
recordkeeping requirements.

49 CFR Part 171

    Definitions, General information, Regulations.

49 CFR Part 190

    Administrative practice and procedure, Penalties, Pipeline safety.

49 CFR Part 209

    Administrative practice and procedure, Hazardous materials 
transportation, Penalties, Railroad safety, Reporting and recordkeeping 
requirements.

49 CFR Part 213

    Bridges, Penalties, Railroad safety, Reporting and recordkeeping 
requirements.

49 CFR Part 214

    Bridges, Occupational safety and health, Penalties, Railroad 
safety, Reporting and recordkeeping requirements.

49 CFR Part 215

    Freight, Penalties, Railroad safety, Reporting and recordkeeping 
requirements.

49 CFR Parts 216, 217, 221, 224, 229, 230, 232, 233, and 239

    Penalties, Railroad safety, Reporting and recordkeeping 
requirements.

49 CFR Part 218

    Occupational safety and health, Penalties, Railroad employees, 
Railroad safety, Reporting and recordkeeping requirements.

49 CFR Part 219

    Alcohol abuse, Drug abuse, Drug testing, Penalties, Railroad 
safety, Reporting and recordkeeping requirements, Safety, 
Transportation.

49 CFR Part 220

    Penalties, Radio, Railroad safety, Reporting and recordkeeping 
requirements.

49 CFR Parts 222, 235, 240, 242, 243, and 244

    Administrative practice and procedure, Penalties, Railroad safety, 
Reporting and recordkeeping requirements.

49 CFR Part 223

    Glazing standards, Penalties, Railroad safety, Reporting and 
recordkeeping requirements.

49 CFR Part 225

    Investigations, Penalties, Railroad safety, Reporting and 
recordkeeping requirements.

49 CFR Part 227

    Noise control, Occupational safety and health, Penalties, Railroad 
safety, Reporting and recordkeeping requirements.

49 CFR Part 228

    Penalties, Railroad employees, Reporting and recordkeeping 
requirements.

49 CFR Part 231

    Penalties, Railroad safety.

49 CFR Part 234

    Highway safety, Penalties, Railroad safety, Reporting and 
recordkeeping requirements, State and local governments.

49 CFR Part 236

    Penalties, Positive train control, Railroad safety, Reporting and 
recordkeeping requirements.

49 CFR Part 237

    Bridges, Penalties, Railroad safety, Reporting and recordkeeping 
requirements.

[[Page 23249]]

49 CFR Part 238

    Fire prevention, Passenger equipment, Penalties, Railroad safety, 
Reporting and recordkeeping requirements.

49 CFR Part 241

    Communications, Penalties, Railroad safety, Reporting and 
recordkeeping requirements.

49 CFR Part 272

    Penalties, Railroad employees, Railroad safety, Railroads, Safety, 
Transportation.

49 CFR Part 386

    Administrative procedures, Commercial motor vehicle safety, 
Highways and roads, Motor carriers, Penalties.

49 CFR Part 578

    Imports, Motor vehicle safety, Motor vehicles, Rubber and rubber 
products, Tires, Penalties.

    Accordingly, the Department of Transportation amends 14 CFR 
chapters I, II, and III, 33 CFR chapter IV, 46 CFR chapter II, and 49 
CFR chapters I, II, III, and V as follows:

Title 14--Aeronautics and Space

PART 13--INVESTIGATIVE AND ENFORCEMENT PROCEDURES

0
1. Revise the authority citation for part 13 to read as follows:

    Authority: 18 U.S.C. 6002, 28 U.S.C. 2461 (note); 49 U.S.C. 
106(g), 5121-5124, 40113-40114, 44103-44106, 44701-44703, 44709- 
44710, 44713, 44725, 44742, 44802 (note), 46101-46111, 46301, 46302 
(for a violation of 49 U.S.C. 46504), 46304-46316, 46318-46320, 
46501-46502, 46504, 46507, 47106, 47107, 47111, 47122, 47306, 47531-
47532; 49 CFR 1.83.


0
2. Amend Sec.  13.301 by revising paragraphs (b) and (c) to read as 
follows:


Sec.  13.301  Inflation adjustments of civil monetary penalties.

* * * * *
    (b) Each adjustment to a maximum civil monetary penalty or to 
minimum and maximum civil monetary penalties that establish a civil 
monetary penalty range applies to actions initiated under this part for 
violations occurring on or after May 3, 2021, notwithstanding 
references to specific civil penalty amounts elsewhere in this part.
    (c) Minimum and maximum civil monetary penalties are as follows:

                           Table 1 to Sec.   13.301--Minimum and Maximum Civil Monetary Penalty Amounts for Certain Violations
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                          New minimum
                                                                                        penalty amount
                                                                                        for violations                             New maximum penalty
                                             Civil monetary penalty      2020  minimum    occurring on    2020 maximum penalty    amount for violations
      United States Code  citation                description               penalty      or after May            amount           occurring on or after
                                                                            amount         3, 2021,                               May 3, 2021,  adjusted
                                                                                         adjusted for                                 for  inflation
                                                                                           inflation
--------------------------------------------------------------------------------------------------------------------------------------------------------
49 U.S.C. 5123(a)(1)...................  Violation of hazardous                    N/A             N/A  $83,439................  $84,425.
                                          materials transportation law.
49 U.S.C. 5123(a)(2)...................  Violation of hazardous                    N/A             N/A  $194,691...............  $196,992.
                                          materials transportation law
                                          resulting in death, serious
                                          illness, severe injury, or
                                          substantial property
                                          destruction.
49 U.S.C. 5123(a)(3)...................  Violation of hazardous                   $502            $508  $83,439................  $84,425.
                                          materials transportation law
                                          relating to training.
49 U.S.C. 44704(d)(3)..................  Knowing presentation of a                 N/A             N/A  $1,000,000.............  No change.
                                          nonconforming aircraft for
                                          issuance of an initial
                                          airworthiness certificate.
49 U.S.C. 44704(e)(4)..................  Knowing failure to submit                 N/A             N/A  $1,000,000.............  No change.
                                          safety critical information
                                          or include certain such
                                          information in an airplane
                                          flight manual or flight crew
                                          operating manual.
49 U.S.C. 44802 note...................  Operation of an unmanned                  N/A             N/A  $25,441................  $25,742.
                                          aircraft or unmanned
                                          aircraft system equipped or
                                          armed with a dangerous
                                          weapon.
49 U.S.C. 46301(a)(1)..................  Violation by a person other               N/A             N/A  $34,777................  $35,188.
                                          than an individual or small
                                          business concern under 49
                                          U.S.C. 46301(a)(1)(A) or (B).
49 U.S.C. 46301(a)(1)..................  Violation by an airman                    N/A             N/A  $1,530.................  $1,548.
                                          serving as an airman under
                                          49 U.S.C. 46301(a)(1)(A) or
                                          (B) (but not covered by
                                          46301(a)(5)(A) or (B)).
49 U.S.C. 46301(a)(1)..................  Violation by an individual or             N/A             N/A  $1,530.................  $1,548.
                                          small business concern under
                                          49 U.S.C. 46301(a)(1)(A) or
                                          (B) (but not covered in 49
                                          U.S.C. 46301(a)(5)).

[[Page 23250]]

 
49 U.S.C. 46301(a)(3)..................  Violation of 49 U.S.C.                    N/A             N/A  Increase above           No change.
                                          47107(b) (or any assurance                                     otherwise applicable
                                          made under such section) or                                    maximum amount not to
                                          49 U.S.C. 47133.                                               exceed 3 times the
                                                                                                         amount of revenues
                                                                                                         that are used in
                                                                                                         violation of such
                                                                                                         section.
49 U.S.C. 46301(a)(5)(A)...............  Violation by an individual or             N/A             N/A  $13,910................  $14,074.
                                          small business concern
                                          (except an airman serving as
                                          an airman) under 49 U.S.C.
                                          46301(a)(5)(A)(i) or (ii).
49 U.S.C. 46301(a)(5)(B)(i)............  Violation by an individual or             N/A             N/A  $13,910................  $14,074.
                                          small business concern
                                          related to the
                                          transportation of hazardous
                                          materials.
49 U.S.C. 46301(a)(5)(B)(ii)...........  Violation by an individual or             N/A             N/A  $13,910................  $14,074.
                                          small business concern
                                          related to the registration
                                          or recordation under 49
                                          U.S.C. chapter 441, of an
                                          aircraft not used to provide
                                          air transportation.
49 U.S.C. 46301(a)(5)(B)(iii)..........  Violation by an individual or             N/A             N/A  $13,910................  $14,074.
                                          small business concern of 49
                                          U.S.C. 44718(d), relating to
                                          limitation on construction
                                          or establishment of
                                          landfills.
49 U.S.C. 46301(a)(5)(B)(iv)...........  Violation by an individual or             N/A             N/A  $13,910................  $14,074.
                                          small business concern of 49
                                          U.S.C. 44725, relating to
                                          the safe disposal of life-
                                          limited aircraft parts.
49 U.S.C. 46301 note...................  Individual who aims the beam              N/A             N/A  $26,614................  $26,929.
                                          of a laser pointer at an
                                          aircraft in the airspace
                                          jurisdiction of the United
                                          States, or at the flight
                                          path of such an aircraft.
49 U.S.C. 46301(b).....................  Tampering with a smoke alarm              N/A             N/A  $4,465.................  $4,518.
                                          device.
49 U.S.C. 46302........................  Knowingly providing false                 N/A             N/A  $24,252................  $24,539.
                                          information about alleged
                                          violation involving the
                                          special aircraft
                                          jurisdiction of the United
                                          States.
49 U.S.C. 46318........................  Interference with cabin or                N/A             N/A  $36,516................  $36,948.
                                          flight crew.
49 U.S.C. 46319........................  Permanent closure of an                   N/A             N/A  $13,910................  $14,074.
                                          airport without providing
                                          sufficient notice.
49 U.S.C. 46320........................  Operating an unmanned                     N/A             N/A  $21,292................  $21,544.
                                          aircraft and in so doing
                                          knowingly or recklessly
                                          interfering with a wildfire
                                          suppression, law
                                          enforcement, or emergency
                                          response effort.
49 U.S.C. 47531........................  Violation of 49 U.S.C. 47528-             N/A             N/A  See 49 U.S.C.            See 49 U.S.C.
                                          47530, relating to the                                         46301(a)(1) and          46301(a)(1) and
                                          prohibition of operating                                       (a)(5), above.           (a)(5), above.
                                          certain aircraft not
                                          complying with stage 3 noise
                                          levels.
--------------------------------------------------------------------------------------------------------------------------------------------------------


[[Page 23251]]

PART 383--CIVIL PENALTIES

0
3. The authority citation for part 383 continues to read as follows:

    Authority: Sec. 701, Pub. L. 114-74, 129 Stat. 584; Sec. 503, 
Pub. L. 108-176, 117 Stat. 2490; Pub. L. 101-410, 104 Stat. 890; 
Sec. 31001, Pub. L. 104-134.


0
4. Section 383.2 is revised to read as follows:


Sec.  383.2  Amount of penalty.

    Civil penalties payable to the U.S. Government for violations of 
Title 49, Chapters 401 through 421, pursuant to 49 U.S.C. 46301(a), are 
as follows:
    (a) A general civil penalty of not more than $35,188 (or $1,548 for 
individuals or small businesses) applies to violations of statutory 
provisions and rules or orders issued under those provisions, other 
than those listed in paragraph (b) of this section (see 49 U.S.C. 
46301(a)(1));
    (b) With respect to small businesses and individuals, 
notwithstanding the general $1,483 civil penalty, the following civil 
penalty limits apply:
    (1) A maximum civil penalty of $14,074 applies for violations of 
most provisions of Chapter 401, including the anti-discrimination 
provisions of sections 40127 (general provision), and 41705 
(discrimination against the disabled) and rules and orders issued 
pursuant to those provisions (see 49 U.S.C. 46301(a)(5)(A));
    (2) A maximum civil penalty of $7,037 applies for violations of 
section 41719 and rules and orders issued pursuant to that provision 
(see 49 U.S.C. 46301(a)(5)(C)); and
    (3) A maximum civil penalty of $3,519 applies for violations of 
section 41712 or consumer protection rules or orders (see 49 U.S.C. 
46301(a)(5)(D)).

PART 406--INVESTIGATIONS, ENFORCEMENT, AND ADMINISTRATIVE REVIEW

0
5. The authority citation for part 406 continues to read as follows:

    Authority: 51 U.S.C. 50901-50923.


0
6. Amend Sec.  406.9 by revising paragraph (a) to read as follows:


Sec.  406.9  Civil penalties.

    (a) Civil penalty liability. Under 51 U.S.C. 50917(c), a person 
found by the FAA to have violated a requirement of the Act, a 
regulation issued under the Act, or any term or condition of a license 
or permit issued or transferred under the Act, is liable to the United 
States for a civil penalty of not more than $247,280 for each 
violation. A separate violation occurs for each day the violation 
continues.
* * * * *

Title 33--Navigation and Navigable Waters

PART 401--SEAWAY REGULATIONS AND RULES

Subpart B--Penalties--Violations of Seaway Regulations

0
7. The authority citation for subpart B of part 401 is revised to read 
as follows:

    Authority: 33 U.S.C. 981-990, 1231 and 1232, 49 CFR 1.52, unless 
otherwise noted.


0
8. Amend Sec.  401.102 by revising paragraph (a) to read as follows:


Sec.  401.102  Civil penalty.

    (a) A person, as described in Sec.  401.101(b) who violates a 
regulation in this chapter is liable to a civil penalty of not more 
than $97,014.
* * * * *

Title 46--Shipping

PART 221--REGULATED TRANSACTIONS INVOLVING DOCUMENTED VESSELS AND 
OTHER MARITIME INTERESTS

0
9. The authority citation for part 221 continues to read as follows:

    Authority:  46 U.S.C. chs. 301, 313, and 561; Pub. L. 114-74; 49 
CFR 1.93.


0
10. Section 221.61(b) is revised to read as follows:


Sec.  221.61  Compliance.

* * * * *
    (b) Pursuant to 46 U.S.C. 31309, a general penalty of not more than 
$21,662 may be assessed for each violation of chapter 313 or 46 U.S.C. 
subtitle III administered by the Maritime Administration, and pursuant 
to the regulations in this part a person violating 46 U.S.C. 31329 is 
liable for a civil penalty of not more than $54,157 for each violation. 
A person who charters, sells, transfers or mortgages a vessel, or an 
interest therein, in violation of 46 U.S.C. 56101(e) is liable for a 
civil penalty of not more than $21,761 for each violation.

PART 307--ESTABLISHMENT OF MANDATORY POSITION REPORTING SYSTEM FOR 
VESSELS

0
11. The authority citation for part 307 continues to read as follows:

    Authority: Pub. L. 109-304; 46 U.S.C. 50113; Pub. L. 114-74; 49 
CFR 1.93.


0
12. Section 307.19 is revised to read as follows:


Sec.  307.19  Penalties.

    The owner or operator of a vessel in the waterborne foreign 
commerce of the United States is subject to a penalty of $137.00 for 
each day of failure to file an AMVER report required by this part. Such 
penalty shall constitute a lien upon the vessel, and such vessel may be 
libeled in the district court of the United States in which the vessel 
may be found.

PART 340--PRIORITY USE AND ALLOCATION OF SHIPPING SERVICES, 
CONTAINERS AND CHASSIS, AND PORT FACILITIES AND SERVICES FOR 
NATIONAL SECURITY AND NATIONAL DEFENSE RELATED OPERATIONS

0
13. The authority citation for part 340 continues to read as follows:

    Authority: 50 U.S.C. 4501 et seq. (``The Defense Production 
Act''); Executive Order 13603 (77 FR 16651); Executive Order 12656 
(53 FR 47491); Pub. L. 114-74; 49 CFR 1.45; 49 CFR 1.93(l).


0
14. Section 340.9 is revised to read as follows:


Sec.  340.9  Compliance.

    Pursuant 50 U.S.C. 4513 any person who willfully performs any act 
prohibited, or willfully fails to perform any act required, by the 
provisions of this part shall, upon conviction, be fined not more than 
$27,371 or imprisoned for not more than one year, or both.

PART 356--REQUIREMENTS FOR VESSELS OF 100 FEET OR GREATER IN 
REGISTERED LENGTH TO OBTAIN A FISHERY ENDORSEMENT TO THE VESSEL'S 
DOCUMENTATION

0
15. The authority citation for part 356 continues to read as follows:

    Authority: 46 U.S.C. 12102; 46 U.S.C. 12151; 46 U.S.C. 31322; 
Pub. L. 105-277, division C, title II, subtitle I, section 203 (46 
U.S.C. 12102 note), section 210(e), and section 213(g), 112 Stat. 
2681; Pub. L. 107-20, section 2202, 115 Stat. 168-170; Pub. L. 114-
74; 49 CFR 1.93.


0
16. Amend Sec.  356.49 by revising paragraph (b) to read as follows:


Sec.  356.49  Penalties.

* * * * *
    (b) A fine of up to $158,772 may be assessed against the vessel 
owner for each day in which such vessel has engaged in fishing (as such 
term is defined in section 3 of the Magnuson-Stevens Fishery 
Conservation and Management Act (16 U.S.C. 1802)) within the exclusive 
economic zone of the United States; and
* * * * *

[[Page 23252]]

Title 49--Transportation

PART 107--HAZARDOUS MATERIALS PROGRAM PROCEDURES

0
17. The authority citation for part 107 continues to read as follows:

    Authority: 49 U.S.C. 5101-5128, 44701; Pub. L. 101-410 Section 
4; Pub. L. 104-121 Sections 212-213; Pub. L. 104-134 Section 31001; 
Pub. L. 114-74 Section 4 (28 U.S.C. 2461 note); 49 CFR 1.81 and 
1.97; 33 U.S.C. 1321.


0
18. Revise Sec.  107.329 to read as follows:


Sec.  107.329  Maximum penalties.

    (a) A person who knowingly violates a requirement of the Federal 
hazardous material transportation law, an order issued thereunder, this 
subchapter, subchapter C of the chapter, or a special permit or 
approval issued under this subchapter applicable to the transportation 
of hazardous materials or the causing of them to be transported or 
shipped is liable for a civil penalty of not more than $84,425 for each 
violation, except the maximum civil penalty is $196,992 if the 
violation results in death, serious illness, or severe injury to any 
person or substantial destruction of property. There is no minimum 
civil penalty, except for a minimum civil penalty of $508 for 
violations relating to training. When the violation is a continuing 
one, each day of the violation constitutes a separate offense.
    (b) A person who knowingly violates a requirement of the Federal 
hazardous material transportation law, an order issued thereunder, this 
subchapter, subchapter C of the chapter, or a special permit or 
approval issued under this subchapter applicable to the design, 
manufacture, fabrication, inspection, marking, maintenance, 
reconditioning, repair or testing of a package, container, or packaging 
component which is represented, marked, certified, or sold by that 
person as qualified for use in the transportation of hazardous 
materials in commerce is liable for a civil penalty of not more than 
$84,425 for each violation, except the maximum civil penalty is 
$196,992 if the violation results in death, serious illness, or severe 
injury to any person or substantial destruction of property. There is 
no minimum civil penalty, except for a minimum civil penalty of $508 
for violations relating to training.

Appendix A to Subpart D of Part 107 [Amended]

0
19. In appendix A to subpart D of part 107, remove ``$83,439 or 
$194,691'' and ``July 31, 2019'' and add in their places ``$84,425 or 
$196,992'' and ``May 3, 2021,'' respectively.

PART 171--GENERAL INFORMATION, REGULATIONS, AND DEFINITIONS

0
20. The authority citation for part 171 continues to read as follows:

    Authority: 49 U.S.C. 5101-5128, 44701; Pub. L. 101-410 section 
4; Pub. L. 104-134, section 31001; Pub. L. 114-74 section 4 (28 
U.S.C. 2461 note); 49 CFR 1.81 and 1.97.


0
21. Amend Sec.  171.1 by revising paragraph (g) to read as follows:


Sec.  171.1  Applicability of Hazardous Materials Regulations (HMR) to 
persons and functions.

* * * * *
    (g) Penalties for noncompliance. Each person who knowingly violates 
a requirement of the Federal hazardous material transportation law, an 
order issued under Federal hazardous material transportation law, 
subchapter A of this chapter, or a special permit or approval issued 
under subchapter A or C of this chapter is liable for a civil penalty 
of not more than $84,425 for each violation, except the maximum civil 
penalty is $196,992 if the violation results in death, serious illness, 
or severe injury to any person or substantial destruction of property. 
There is no minimum civil penalty, except for a minimum civil penalty 
of $508 for a violation relating to training.

PART 190--PIPELINE SAFETY ENFORCEMENT AND REGULATORY PROCEDURES

0
22. The authority citation for part 190 continues to read as follows:

    Authority: 33 U.S.C. 1321(b); 49 U.S.C. 60101 et seq.


0
23. Amend Sec.  190.223 by revising paragraphs (a), (c), and (d) to 
read as follows:


Sec.  190.223  Maximum penalties.

    (a) Any person found to have violated a provision of 49 U.S.C. 
60101, et seq., or any regulation in 49 CFR parts 190 through 199, or 
order issued pursuant to 49 U.S.C. 60101, et seq. or 49 CFR part 190, 
is subject to an administrative civil penalty not to exceed $225,134 
for each violation for each day the violation continues, with a maximum 
administrative civil penalty not to exceed $2,251,334 for any related 
series of violations.
* * * * *
    (c) Any person found to have violated any standard or order under 
49 U.S.C. 60103 is subject to an administrative civil penalty not to 
exceed $82,245, which may be in addition to other penalties to which 
such person may be subject under paragraph (a) of this section.
    (d) Any person who is determined to have violated any standard or 
order under 49 U.S.C. 60129 is subject to an administrative civil 
penalty not to exceed $1,307, which may be in addition to other 
penalties to which such person may be subject under paragraph (a) of 
this section.
* * * * *

PART 209--RAILROAD SAFETY ENFORCEMENT PROCEDURES

0
24. The authority citation for part 209 continues to read as follows:

    Authority: 49 U.S.C. 5123, 5124, 20103, 20107, 20111, 20112, 
20114; 28 U.S.C. 2461, note; and 49 CFR 1.89.


0
25. Amend Sec.  209.103 by revising paragraphs (a) and (c) to read as 
follows:


Sec.  209.103  Minimum and maximum penalties.

    (a) A person who knowingly violates a requirement of the Federal 
hazardous materials transportation laws, an order issued thereunder, 
subchapter A or C of chapter I, subtitle B, of this title, or a special 
permit or approval issued under subchapter A or C of chapter I, 
subtitle B, of this title is liable for a civil penalty of not more 
than $84,425 for each violation, except that--
    (1) The maximum civil penalty for a violation is $196,992 if the 
violation results in death, serious illness, or severe injury to any 
person, or substantial destruction of property; and
    (2) A minimum $508 civil penalty applies to a violation related to 
training.
* * * * *
    (c) The maximum and minimum civil penalties described in paragraph 
(a) of this section apply to violations occurring on or after May 3, 
2021.

0
26. Amend Sec.  209.105 by revising the last sentence of paragraph (c) 
to read as follows:


Sec.  209.105  Notice of probable violation.

* * * * *
    (c) * * * In an amended notice, FRA may change the civil penalty 
amount proposed to be assessed up to and including the maximum penalty 
amount of $84,425 for each violation, except that if the violation 
results in death, serious illness or severe injury to any person, or 
substantial destruction of property, FRA may change the penalty amount 
proposed to be assessed up to and including the maximum penalty amount 
of $196,992.


Sec.  209.409  [Amended]

0
27. Amend Sec.  209.409 as follows:

[[Page 23253]]

0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place 
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place 
``$120,231''.

0
28. In appendix A to part 209, amend the section ``Penalty Schedules; 
Assessment of Maximum Penalties'' by:
0
a. Adding a sentence to the end of the sixth paragraph;
0
b. Revising the fourth sentence in the seventh paragraph; and
0
c. Revising the first sentence of the tenth paragraph.
    The addition and revisions read as follows:

Appendix A to Part 209--Statement of Agency Policy Concerning 
Enforcement of the Federal Railroad Safety Laws

* * * * *
    Penalty Schedules; Assessment of Maximum Penalties
* * * * *
    * * * Effective May 3, 2021, the minimum civil monetary penalty was 
raised from $908 to $919, the ordinary maximum civil monetary penalty 
was raised from $29,707 to $30,058, and the aggravated maximum civil 
monetary penalty was raised from $118,826 to $120,231.
    * * * For each regulation in this part or order, the schedule shows 
two amounts within the $919 to $30,058 range in separate columns, the 
first for ordinary violations, the second for willful violations 
(whether committed by railroads or individuals). * * *
* * * * *
    Accordingly, under each of the schedules (ordinarily in a 
footnote), and regardless of the fact that a lesser amount might be 
shown in both columns of the schedule, FRA reserves the right to assess 
the statutory maximum penalty of up to $120,231 per violation where a 
pattern of repeated violations or a grossly negligent violation has 
created an imminent hazard of death or injury or has caused death or 
injury. * * *
* * * * *

Appendix B to Part 209 [Amended]

0
29. Amend appendix B to part 209 as follows:
0
a. Remove the dollar amount ``$83,439'' everywhere it appears and add 
in its place ``$84,425'';
0
b. Remove the dollar amount ``$194,691'' everywhere it appears and add 
in its place ``$196,992''; and
0
c. Remove the dollar amount ``$502'' and add in its place ``$508''.

PART 213--TRACK SAFETY STANDARDS

0
30. The authority citation for part 213 continues to read as follows:

    Authority: 49 U.S.C. 20102-20114 and 20142; Sec. 403, Div. A, 
Public Law 110-432, 122 Stat. 4885; 28 U.S.C. 2461, note; and 49 CFR 
1.89.


Sec.  213.15  [Amended]

0
31. In Sec.  213.15, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place 
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place 
``$120,231''.

PART 214--RAILROAD WORKPLACE SAFETY

0
32. The authority citation for part 214 continues to read as follows:

    Authority: 49 U.S.C. 20102-20103, 20107, 21301-21302, 31304, 28 
U.S.C. 2461, note; and 49 CFR 1.89.


Sec.  214.5  [Amended]

0
33. Amend Sec.  214.5 as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place 
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place 
``$120,231''.

PART 215--RAILROAD FREIGHT CAR SAFETY STANDARDS

0
34. The authority citation for part 215 continues to read as follows:

    Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49 
CFR 1.89.


Sec.  215.7  [Amended]

0
35. Amend Sec.  215.7 as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place 
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place 
``$120,231''.

PART 216--SPECIAL NOTICE AND EMERGENCY ORDER PROCEDURES: RAILROAD 
TRACK, LOCOMOTIVE AND EQUIPMENT

0
36. The authority citation for part 216 continues to read as follows:

    Authority: 49 U.S.C. 20102-20104, 20107, 20111, 20133, 20701-
20702, 21301-21302, 21304; 28 U.S.C. 2461, note; and 49 CFR 1.89.


Sec.  216.7  [Amended]

0
37. Amend Sec.  216.7 as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place 
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place 
``$120,231''.

PART 217--RAILROAD OPERATING RULES

0
38. The authority citation for part 217 continues to read as follows:

    Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49 
CFR 1.89.


Sec.  217.5  [Amended]

0
39. Amend Sec.  217.5 as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place 
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place 
``$120,231''.

PART 218--RAILROAD OPERATING PRACTICES

0
40. The authority citation for part 218 continues to read as follows:

    Authority: 49 U.S.C. 20103, 20107; 20131, 20138, 20144, 20168, 
28 U.S.C. 2461, note; and 49 CFR 1.89.


Sec.  218.9  [Amended]

0
41. Amend Sec.  218.9 as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place 
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place 
``$120,231''.

PART 219--CONTROL OF ALCOHOL AND DRUG USE

0
42. The authority citation for part 219 continues to read as follows:

    Authority: 49 U.S.C. 20103, 20107, 20140, 21301, 21304, 21311; 
28 U.S.C. 2461, note; Sec. 412, Div. A, Pub. L. 110-432, 122 Stat. 
4889 (49 U.S.C. 20140, note); and 49 CFR 1.89.


Sec.  219.10  [Amended]

0
43. Amend Sec.  219.10 as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place 
``$30,058''; and

[[Page 23254]]

0
c. Remove the dollar amount ``$118,826'' and add in its place 
``$120,231''.

PART 220--RAILROAD COMMUNICATIONS

0
44. The authority citation for part 220 continues to read as follows:

    Authority: 49 U.S.C. 20102-20103, 20103, note, 20107, 21301-
21302, 20701-20703, 21304, 21311; 28 U.S.C. 2461, note; and 49 CFR 
1.89.


Sec.  220.7  [Amended]

0
45. Amend Sec.  220.7 as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place 
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place 
``$120,231''.

PART 221--REAR END MARKING DEVICE--PASSENGER, COMMUTER AND FREIGHT 
TRAINS

0
46. The authority citation for part 221 continues to read as follows:

    Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49 
CFR 1.89.


Sec.  221.7  [Amended]

0
47. Amend Sec.  221.7 as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place 
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place 
``$120,231''.

PART 222--USE OF LOCOMOTIVE HORNS AT PUBLIC HIGHWAY-RAIL GRADE 
CROSSINGS

0
48. The authority citation for part 222 continues to read as follows:

    Authority: 49 U.S.C. 20103, 20107, 20153, 21301, 21304; 28 
U.S.C. 2461, note; and 49 CFR 1.89.


Sec.  222.11  [Amended]

0
49. Amend Sec.  222.11 as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place 
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place 
``$120,231''.

PART 223--SAFETY GLAZING STANDARDS--LOCOMOTIVES, PASSENGER CARS AND 
CABOOSES

0
50. The authority citation for part 223 continues to read as follows:

    Authority: 49 U.S.C. 20102-20103, 20133, 20701-20702, 21301-
21302, 21304; 28 U.S.C. 2461, note; and 49 CFR 1.89.


Sec.  223.7  [Amended]

0
51. Amend Sec.  223.7 as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place 
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place 
``$120,231''.

PART 224--REFLECTORIZATION OF RAIL FREIGHT ROLLING STOCK

0
52. The authority citation for part 224 continues to read as follows:

    Authority: 49 U.S.C. 20103, 20107, 20148 and 21301; 28 U.S.C. 
2461, note; and 49 CFR 1.89.


Sec.  224.11  [Amended]

0
53. In Sec.  224.11, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place 
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place 
``$120,231''.

PART 225--RAILROAD ACCIDENTS/INCIDENTS: REPORTS CLASSIFICATION, AND 
INVESTIGATIONS

0
54. The authority citation for part 225 continues to read as follows:

    Authority:  49 U.S.C. 103, 322(a), 20103, 20107, 20901-20902, 
21301, 21302, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.


Sec.  225.29  [Amended]

0
55. Amend Sec.  225.29 as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place 
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place 
``$120,231''.

PART 227--OCCUPATIONAL NOISE EXPOSURE

0
56. The authority citation for part 227 continues to read as follows:

    Authority:  49 U.S.C. 20103, 20103, note, 20701-20702; 28 U.S.C. 
2461, note; and 49 CFR 1.89.


Sec.  227.9  [Amended]

0
57. In Sec.  227.9, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place 
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place 
``$120,231''.

PART 228--PASSENGER TRAIN EMPLOYEE HOURS OF SERVICE; RECORDKEEPING 
AND REPORTING; SLEEPING QUARTERS

0
58. The authority citation for part 228 continues to read as follows:

    Authority: 49 U.S.C. 103, 20103, 20107, 21101-21109; Sec. 108, 
Div. A, Pub. L. 110-432, 122 Stat. 4860-4866, 4893-4894; 49 U.S.C. 
21301, 21303, 21304, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.


Sec.  228.6   [Amended]

0
59. In Sec.  228.6, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place 
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place 
``$120,231''.

0
60. In appendix A to part 228, under the heading ``General 
Provisions,'' amend the ``Penalty'' paragraph by adding a sentence at 
the end of the first paragraph to read as follows:

Appendix A to Part 228--Requirements of the Hours of Service Act: 
Statement of Agency Policy and Interpretation

* * * * *

General Provisions

* * * * *
    Penalty. * * * Effective May 3, 2021, the minimum civil monetary 
penalty was raised from $908 to $919, the ordinary maximum civil 
monetary penalty was raised from $29,707 to $30,058, and the aggravated 
maximum civil monetary penalty was raised from $118,826 to $120,231.
* * * * *

PART 229--RAILROAD LOCOMOTIVE SAFETY STANDARDS

0
61. The authority citation for part 229 continues to read as follows:


[[Page 23255]]


    Authority: 49 U.S.C. 103, 322(a), 20103, 20107, 20901-02, 21301, 
21302, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.


Sec.  229.7   [Amended]

0
62. In Sec.  229.7, amend paragraph (b) as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place 
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place 
``$120,231''.

PART 230--STEAM LOCOMOTIVE INSPECTION AND MAINTENANCE STANDARDS

0
63. The authority citation for part 230 continues to read as follows:

    Authority: 49 U.S.C. 20103, 20107, 20702; 28 U.S.C. 2461, note; 
and 49 CFR 1.89.


Sec.  230.4   [Amended]

0
64. In Sec.  230.4, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place 
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place 
``$120,231''.

PART 231--RAILROAD SAFETY APPLIANCE STANDARDS

0
65. The authority citation for part 231 continues to read as follows:

    Authority: 49 U.S.C. 20102-20103, 20107, 20131, 20301-20303, 
21301-21302, 21304; 28 U.S.C. 2461, note; and 49 CFR 1.89.


Sec.  231.0  [Amended]

0
66. In Sec.  231.0, amend paragraph (f) as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place 
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place 
``$120,231''.

PART 233--SIGNAL SYSTEMS REPORTING REQUIREMENTS

0
67. The authority citation for part 233 continues to read as follows:

    Authority: 49 U.S.C. 504, 522, 20103, 20107, 20501-20505, 21301, 
21302, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.


Sec.  233.11  [Amended]

0
68. Amend Sec.  233.11 as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place 
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place 
``$120,231''.

PART 234--GRADE CROSSING SAFETY

0
69. Revise the authority citation for part 234 to read as follows:

    Authority:  49 U.S.C. 20103, 20107, 20152, 20160, 21301, 21304, 
21311, 22501 note; Public Law 110-432, Div. A., Sec. 202, 28 U.S.C. 
2461, note; and 49 CFR 1.89.


Sec.  234.6  [Amended]

0
70. In Sec.  234.6, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place 
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place 
``$120,231''.

PART 235--INSTRUCTIONS GOVERNING APPLICATIONS FOR APPROVAL OF A 
DISCONTINUANCE OR MATERIAL MODIFICATION OF A SIGNAL SYSTEM OR 
RELIEF FROM THE REQUIREMENTS OF PART 236

0
71. The authority citation for part 235 continues to read as follows:

    Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49 
CFR 1.89.


Sec.  235.9  [Amended]

0
72. Amend Sec.  235.9 as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place 
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place 
``$120,231''.

PART 236--RULES, STANDARDS, AND INSTRUCTIONS GOVERNING THE 
INSTALLATION, INSPECTION, MAINTENANCE, AND REPAIR OF SIGNAL AND 
TRAIN CONTROL SYSTEMS, DEVICES, AND APPLIANCES

0
73. The authority citation for part 236 continues to read as follows:

    Authority: 49 U.S.C. 20102-20103, 20107, 20133, 20141, 20157, 
20301-20303, 20306, 20501-20505, 20701-20703, 21301-21302, 21304; 28 
U.S.C. 2461, note; and 49 CFR 1.89.


Sec.  236.0  [Amended]

0
74. In Sec.  236.0, amend paragraph (f) as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place 
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place 
``$120,231''.

PART 237--BRIDGE SAFETY STANDARDS

0
75. The authority citation for part 237 continues to read as follows:

    Authority: 49 U.S.C. 20102-20114; Public Law 110-432, Div. A, 
Sec. 417; 28 U.S.C. 2461, note; and 49 CFR 1.89.


Sec.  237.7  [Amended]

0
76. In Sec.  237.7, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place 
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place 
``$120,231''.

PART 238--PASSENGER EQUIPMENT SAFETY STANDARDS

0
77. The authority citation for part 238 continues to read as follows:

    Authority: 49 U.S.C. 20103, 20107, 20133, 20141, 20302-20303, 
20306, 20701-20702, 21301-21302, 21304; 28 U.S.C. 2461, note; and 49 
CFR 1.89.


Sec.  238.11  [Amended]

0
78. In Sec.  238.11, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place 
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place 
``$120,231''.

PART 239--PASSENGER TRAIN EMERGENCY PREPAREDNESS

0
79. The authority citation for part 239 continues to read as follows:

    Authority: 49 U.S.C. 20102-20103, 20105-20114, 20133, 21301, 
21304, and 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.


Sec.  239.11   [Amended]

0
80. Amend Sec.  239.11 as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';

[[Page 23256]]

0
b. Remove the dollar amount ``$29,707'' and add in its place 
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place 
``$120,231''.

PART 240--QUALIFICATION AND CERTIFICATION OF LOCOMOTIVE ENGINEERS

0
81. The authority citation for part 240 is revised to read as follows:

    Authority: 49 U.S.C. 20103, 20107, 20135, 21301, 21304, 21311; 
28 U.S.C. 2461, note; and 49 CFR 1.89.


Sec.  240.11  [Amended]

0
82. In Sec.  240.11, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place 
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place 
``$120,231''.

PART 241--UNITED STATES LOCATIONAL REQUIREMENT FOR DISPATCHING OF 
UNITED STATES RAIL OPERATIONS

0
83. The authority citation for part 241 continues to read as follows:

    Authority: 49 U.S.C. 20103, 20107, 21301, 21304, 21311; 28 
U.S.C. 2461, note; 49 CFR 1.89.


Sec.  241.15  [Amended]

0
84. In Sec.  241.15, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place 
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place 
``$120,231''.

PART 242--QUALIFICATION AND CERTIFICATION OF CONDUCTORS

0
85. The authority citation for part 242 continues to read as follows:

    Authority:  49 U.S.C. 20103, 20107, 20135, 20138, 20162, 20163, 
21301, 21304, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.


Sec.  242.11  [Amended]

0
86. In Sec.  242.11, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place 
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place 
``$120,231''.

PART 243--TRAINING, QUALIFICATION, AND OVERSIGHT FOR SAFETY-RELATED 
RAILROAD EMPLOYEES

0
87. The authority citation for part 243 continues to read as follows:

    Authority:  49 U.S.C. 20103, 20107, 20131-20155, 20162, 20301-
20306, 20701-20702, 21301-21304, 21311; 28 U.S.C. 2461, note; and 49 
CFR 1.89.


Sec.  243.7  [Amended]

0
88. In Sec.  243.7, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place 
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place 
``$120,231''.

PART 244--REGULATIONS ON SAFETY INTEGRATION PLANS GOVERNING 
RAILROAD CONSOLIDATIONS, MERGERS, AND ACQUISITIONS OF CONTROL

0
89. The authority citation for part 244 continues to read as follows:

    Authority: 49 U.S.C. 20103, 20107, 21301; 5 U.S.C. 553 and 559; 
28 U.S.C. 2461, note; and 49 CFR 1.89.


Sec.  244.5  [Amended]

0
90. In Sec.  244.5, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place 
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place 
``$120,231''.

PART 272--CRITICAL INCIDENT STRESS PLANS

0
91. The authority citation for part 272 continues to read as follows:

    Authority: 49 U.S.C. 20103, 20107, 20109, note; 28 U.S.C. 2461, 
note; 49 CFR 1.89; and sec. 410, Div. A, Pub. L. 110-432, 122 Stat. 
4888.


Sec.  272.11  [Amended]

0
92. In Sec.  272.11, amend paragraph (a) as follows:
0
a. Remove the dollar amount ``$908'' and add in its place ``$919'';
0
b. Remove the dollar amount ``$29,707'' and add in its place 
``$30,058''; and
0
c. Remove the dollar amount ``$118,826'' and add in its place 
``$120,231''.

PART 386--RULES OF PRACTICE FOR FMCSA PROCEEDINGS

0
93. The authority citation for part 386 is revised to read as follows:

    Authority: 49 U.S.C. 113; chapters 5, 51, 131-141, 145-149, 311, 
313, and 315; Sec. 204, Pub. L. 104-88, 109 Stat. 803, 941 (49 
U.S.C. 701 note); Sec. 32402, Pub. L. 112-141, 126 Stat. 405, 795 
(49 U.S.C. 31306a); Sec. 701 Pub. L. 114-74, 129 Stat. 599 (28 
U.S.C. 2461 note); 49 CFR 1.81 and 1.87.


0
94. Amend appendix A to part 386 by revising the introductory text, 
section II, and section IV.a. through e. and g. through j. to read as 
follows:

Appendix A to Part 386--Penalty Schedule: Violations of Notices and 
Orders

    The Civil Penalties Inflation Adjustment Act Improvements Act of 
2015 [Public Law 114-74, sec. 701, 129 Stat. 599] amended the Federal 
Civil Penalties Inflation Adjustment Act of 1990 to require agencies to 
adjust civil penalties for inflation. Pursuant to that authority, the 
inflation adjusted civil penalties identified in this appendix 
supersede the corresponding civil penalty amounts identified in title 
49, United States Code.
* * * * *

II. Subpoena

    Violation--Failure to respond to Agency subpoena to appear and 
testify or produce records.
    Penalty--minimum of $1,125 but not more than $11,256 per violation.
* * * * *

IV. Out-of-Service Order

    a. Violation--Operation of a commercial vehicle by a driver during 
the period the driver was placed out of service.
    Penalty--Up to $1,951 per violation.
    (For purposes of this violation, the term ``driver'' means an 
operator of a commercial motor vehicle, including an independent 
contractor who, while in the course of operating a commercial motor 
vehicle, is employed or used by another person.)
    b. Violation--Requiring or permitting a driver to operate a 
commercial vehicle during the period the driver was placed out of 
service.
    Penalty--Up to $19,505 per violation.
    (This violation applies to motor carriers including an independent 
contractor who is not a ``driver,'' as defined under paragraph IV(a) 
above.)
    c. Violation--Operation of a commercial motor vehicle or intermodal

[[Page 23257]]

equipment by a driver after the vehicle or intermodal equipment was 
placed out-of-service and before the required repairs are made.
    Penalty--$1,951 each time the vehicle or intermodal equipment is so 
operated.
    (This violation applies to drivers as defined in IV(a) above.)
    d. Violation--Requiring or permitting the operation of a commercial 
motor vehicle or intermodal equipment placed out-of-service before the 
required repairs are made.
    Penalty--Up to $19,505 each time the vehicle or intermodal 
equipment is so operated after notice of the defect is received.
    (This violation applies to intermodal equipment providers and motor 
carriers, including an independent owner operator who is not a 
``driver,'' as defined in IV(a) above.)
    e. Violation--Failure to return written certification of correction 
as required by the out-of-service order.
    Penalty--Up to $975 per violation.
* * * * *
    g. Violation--Operating in violation of an order issued under Sec.  
386.72(b) to cease all or part of the employer's commercial motor 
vehicle operations or to cease part of an intermodal equipment 
provider's operations, i.e., failure to cease operations as ordered.
    Penalty--Up to $28,142 per day the operation continues after the 
effective date and time of the order to cease.
    h. Violation--Operating in violation of an order issued under Sec.  
386.73.
    Penalty--Up to $24,730 per day the operation continues after the 
effective date and time of the out-of-service order.
    i. Violation--Conducting operations during a period of suspension 
under Sec.  386.83 or Sec.  386.84 for failure to pay penalties.
    Penalty--Up to $15,876 for each day that operations are conducted 
during the suspension or revocation period.
    j. Violation--Conducting operations during a period of suspension 
or revocation under Sec.  385.911, Sec.  385.913, Sec.  385.1009, or 
Sec.  385.1011 of this subchapter.
    Penalty--Up to $24,730 for each day that operations are conducted 
during the suspension or revocation period.

0
95. Amend appendix B to part 386 by revising the introductory text and 
paragraphs (a)(1) through (5), (b), (d) through (f), (g)(1) through 
(8), (10) through (14), and (16) through (18), (g)(21)(i), (g)(22) and 
(23), (h), and (i) to read as follows:

Appendix B to Part 386--Penalty Schedule: Violations and Monetary 
Penalties

    The Civil Penalties Inflation Adjustment Act Improvements Act of 
2015 [Pub. L. 114-74, sec. 701, 129 Stat. 599] amended the Federal 
Civil Penalties Inflation Adjustment Act of 1990 to require agencies to 
adjust civil penalties for inflation. Pursuant to that authority, the 
inflation adjusted civil penalties identified in this appendix 
supersede the corresponding civil penalty amounts identified in title 
49, United States Code.
    What are the types of violations and maximum monetary penalties?
    (a) * * *
    (1) Recordkeeping. A person or entity that fails to prepare or 
maintain a record required by part 40 of this title and parts 382, 
subpart A, B, C, D, E, or F, 385, and 390 through 399 of this 
subchapter, or prepares or maintains a required record that is 
incomplete, inaccurate, or false, is subject to a maximum civil penalty 
of $1,307 for each day the violation continues, up to $13,072.
    (2) Knowing falsification of records. A person or entity that 
knowingly falsifies, destroys, mutilates, or changes a report or record 
required by parts 382, subpart A, B, C, D, E, or F, 385, and 390 
through 399 of this subchapter, knowingly makes or causes to be made a 
false or incomplete record about an operation or business fact or 
transaction, or knowingly makes, prepares, or preserves a record in 
violation of a regulation order of the Secretary is subject to a 
maximum civil penalty of $13,072 if such action misrepresents a fact 
that constitutes a violation other than a reporting or recordkeeping 
violation.
    (3) Non-recordkeeping violations. A person or entity that violates 
part 382, subpart A, B, C, D, E, or F, part 385, or parts 390 through 
399 of this subchapter, except a recordkeeping requirement, is subject 
to a civil penalty not to exceed $15,876 for each violation.
    (4) Non-recordkeeping violations by drivers. A driver who violates 
parts 382, subpart A, B, C, D, E, or F, 385, and 390 through 399 of 
this subchapter, except a recordkeeping violation, is subject to a 
civil penalty not to exceed $3,969.
    (5) Violation of 49 CFR 392.5. A driver placed out of service for 
24 hours for violating the alcohol prohibitions of 49 CFR 392.5(a) or 
(b) who drives during that period is subject to a civil penalty not to 
exceed $3,268 for a first conviction and not less than $6,536 for a 
second or subsequent conviction.
* * * * *
    (b) Commercial driver's license (CDL) violations. Any employer, 
employee, medical review officer, or service agent who violates any 
provision of 49 CFR part 382, subpart G, or any person who violates 49 
CFR part 383, subpart B, C, E, F, G, or H, is subject to a civil 
penalty not to exceed $5,902; except:
    (1) A CDL-holder who is convicted of violating an out-of-service 
order shall be subject to a civil penalty of not less than $3,268 for a 
first conviction and not less than $6,536 for a second or subsequent 
conviction;
    (2) An employer of a CDL-holder who knowingly allows, requires, 
permits, or authorizes an employee to operate a CMV during any period 
in which the CDL-holder is subject to an out-of-service order, is 
subject to a civil penalty of not less than $5,902 or more than 
$32,679; and
    (3) An employer of a CDL-holder who knowingly allows, requires, 
permits, or authorizes that CDL-holder to operate a CMV in violation of 
a Federal, State, or local law or regulation pertaining to railroad-
highway grade crossings is subject to a civil penalty of not more than 
$16,941.
* * * * *
    (d) Financial responsibility violations. A motor carrier that fails 
to maintain the levels of financial responsibility prescribed by part 
387 of this subchapter or any person (except an employee who acts 
without knowledge) who knowingly violates the rules of part 387, 
subparts A and B, is subject to a maximum penalty of $17,416. Each day 
of a continuing violation constitutes a separate offense.
    (e) Violations of the Hazardous Materials Regulations (HMRs) and 
safety permitting regulations found in subpart E of part 385 of this 
subchapter. This paragraph (e) applies to violations by motor carriers, 
drivers, shippers and other persons who transport hazardous materials 
on the highway in commercial motor vehicles or cause hazardous 
materials to be so transported.
    (1) All knowing violations of 49 U.S.C. chapter 51 or orders or 
regulations issued under the authority of that chapter applicable to 
the transportation or shipment of hazardous materials by commercial 
motor vehicle on the highways are subject to a civil penalty of not 
more than $84,425 for each violation. Each day of a continuing 
violation constitutes a separate offense.
    (2) All knowing violations of 49 U.S.C. chapter 51 or orders or 
regulations issued under the authority of that chapter applicable to 
training related to the transportation or shipment of hazardous 
materials by commercial motor vehicle on the highways are subject to a 
civil penalty of not less than

[[Page 23258]]

$508 and not more than $84,425 for each violation.
    (3) All knowing violations of 49 U.S.C. chapter 51 or orders, 
regulations, or exemptions under the authority of that chapter 
applicable to the manufacture, fabrication, marking, maintenance, 
reconditioning, repair, or testing of a packaging or container that is 
represented, marked, certified, or sold as being qualified for use in 
the transportation or shipment of hazardous materials by commercial 
motor vehicle on the highways are subject to a civil penalty of not 
more than $84,425 for each violation.
    (4) Whenever regulations issued under the authority of 49 U.S.C. 
chapter 51 require compliance with the FMCSRs while transporting 
hazardous materials, any violations of the FMCSRs will be considered a 
violation of the HMRs and subject to a civil penalty of not more than 
$84,425.
    (5) If any violation subject to the civil penalties set out in 
paragraphs (e)(1) through (4) of this appendix results in death, 
serious illness, or severe injury to any person or in substantial 
destruction of property, the civil penalty may be increased to not more 
than $196,992 for each offense.
    (f) Operating after being declared unfit by assignment of a final 
``unsatisfactory'' safety rating. (1) A motor carrier operating a 
commercial motor vehicle in interstate commerce (except owners or 
operators of commercial motor vehicles designed or used to transport 
hazardous materials for which placarding of a motor vehicle is required 
under regulations prescribed under 49 U.S.C. chapter 51) is subject, 
after being placed out of service because of receiving a final 
``unsatisfactory'' safety rating, to a civil penalty of not more than 
$28,142 (49 CFR 385.13). Each day the transportation continues in 
violation of a final ``unsatisfactory'' safety rating constitutes a 
separate offense.
    (2) A motor carrier operating a commercial motor vehicle designed 
or used to transport hazardous materials for which placarding of a 
motor vehicle is required under regulations prescribed under 49 U.S.C. 
chapter 51 is subject, after being placed out of service because of 
receiving a final ``unsatisfactory'' safety rating, to a civil penalty 
of not more than $84,425 for each offense. If the violation results in 
death, serious illness, or severe injury to any person or in 
substantial destruction of property, the civil penalty may be increased 
to not more than $196,992 for each offense. Each day the transportation 
continues in violation of a final ``unsatisfactory'' safety rating 
constitutes a separate offense.
    (g) * * *
    (1) A person who operates as a motor carrier for the transportation 
of property in violation of the registration requirements of 49 U.S.C. 
13901 is liable for a minimum penalty of $11,256 per violation.
    (2) A person who knowingly operates as a broker in violation of 
registration requirements of 49 U.S.C 13904 or financial security 
requirements of 49 U.S.C 13906 is liable for a penalty not to exceed 
$11,256 for each violation.
    (3) A person who operates as a motor carrier of passengers in 
violation of the registration requirements of 49 U.S.C. 13901 is liable 
for a minimum penalty of $28,142 per violation.
    (4) A person who operates as a foreign motor carrier or foreign 
motor private carrier of property in violation of the provisions of 49 
U.S.C. 13902(c) is liable for a minimum penalty of $11,256 per 
violation.
    (5) A person who operates as a foreign motor carrier or foreign 
motor private carrier without authority, outside the boundaries of a 
commercial zone along the United States-Mexico border, is liable for a 
maximum penalty of $15,480 for an intentional violation and a maximum 
penalty of $38,702 for a pattern of intentional violations.
    (6) A person who operates as a motor carrier or broker for the 
transportation of hazardous wastes in violation of the registration 
provisions of 49 U.S.C. 13901 is liable for a minimum penalty of 
$22,514 and a maximum penalty of $45,027 per violation.
    (7) A motor carrier or freight forwarder of household goods, or 
their receiver or trustee, that does not comply with any regulation 
relating to the protection of individual shippers, is liable for a 
minimum penalty of $1,693 per violation.
    (8) A person--
    (i) Who falsifies, or authorizes an agent or other person to 
falsify, documents used in the transportation of household goods by 
motor carrier or freight forwarder to evidence the weight of a 
shipment; or
    (ii) Who charges for services which are not performed or are not 
reasonably necessary in the safe and adequate movement of the shipment 
is liable for a minimum penalty of $3,389 for the first violation and 
$8,471 for each subsequent violation.
* * * * *
    (10) A person who offers, gives, solicits, or receives 
transportation of property by a carrier at a different rate than the 
rate in effect under 49 U.S.C. 13702 is liable for a maximum penalty of 
$169,412 per violation. When acting in the scope of his/her employment, 
the acts or omissions of a person acting for or employed by a carrier 
or shipper are considered to be the acts or omissions of that carrier 
or shipper, as well as that person.
    (11) Any person who offers, gives, solicits, or receives a rebate 
or concession related to motor carrier transportation subject to 
jurisdiction under subchapter I of 49 U.S.C. chapter 135, or who 
assists or permits another person to get that transportation at less 
than the rate in effect under 49 U.S.C. 13702, commits a violation for 
which the penalty is $338 for the first violation and $423 for each 
subsequent violation.
    (12) A freight forwarder, its officer, agent, or employee, that 
assists or willingly permits a person to get service under 49 U.S.C. 
13531 at less than the rate in effect under 49 U.S.C. 13702 commits a 
violation for which the penalty is up to $848 for the first violation 
and up to $3,389 for each subsequent violation.
    (13) A person who gets or attempts to get service from a freight 
forwarder under 49 U.S.C. 13531 at less than the rate in effect under 
49 U.S.C. 13702 commits a violation for which the penalty is up to $848 
for the first violation and up to $3,389 for each subsequent violation.
    (14) A person who knowingly authorizes, consents to, or permits a 
violation of 49 U.S.C. 14103 relating to loading and unloading motor 
vehicles or who knowingly violates subsection (a) of 49 U.S.C. 14103 is 
liable for a penalty of not more than $16,941 per violation.
* * * * *
    (16) A person required to make a report to the Secretary, answer a 
question, or make, prepare, or preserve a record under part B of 
subtitle IV, title 49, U.S.C., or an officer, agent, or employee of 
that person, is liable for a minimum penalty of $1,125 and for a 
maximum penalty of $8,471 per violation if it does not make the report, 
does not completely and truthfully answer the question within 30 days 
from the date the Secretary requires the answer, does not make or 
preserve the record in the form and manner prescribed, falsifies, 
destroys, or changes the report or record, files a false report or 
record, makes a false or incomplete entry in the record about a 
business-related fact, or prepares or preserves a record in violation 
of a regulation or order of the Secretary.
    (17) A motor carrier, water carrier, freight forwarder, or broker, 
or their officer, receiver, trustee, lessee,

[[Page 23259]]

employee, or other person authorized to receive information from them, 
who discloses information identified in 49 U.S.C. 14908 without the 
permission of the shipper or consignee is liable for a maximum penalty 
of $3,389.
    (18) A person who violates a provision of part B, subtitle IV, 
title 49, U.S.C., or a regulation or order under part B, or who 
violates a condition of registration related to transportation that is 
subject to jurisdiction under subchapter I or III of chapter 135, or 
who violates a condition of registration of a foreign motor carrier or 
foreign motor private carrier under section 13902, is liable for a 
penalty of $848 for each violation if another penalty is not provided 
in 49 U.S.C. chapter 149.
* * * * *
    (21) * * *
    (i) Who knowingly and willfully fails, in violation of a contract, 
to deliver to, or unload at, the destination of a shipment of household 
goods in interstate commerce for which charges have been estimated by 
the motor carrier transporting such goods, and for which the shipper 
has tendered a payment in accordance with part 375, subpart G, of this 
subchapter, is liable for a civil penalty of not less than $16,941 for 
each violation. Each day of a continuing violation constitutes a 
separate offense.
* * * * *
    (22) A broker for transportation of household goods who makes an 
estimate of the cost of transporting any such goods before entering 
into an agreement with a motor carrier to provide transportation of 
household goods subject to FMCSA jurisdiction is liable to the United 
States for a civil penalty of not less than $13,072 for each violation.
    (23) A person who provides transportation of household goods 
subject to jurisdiction under 49 U.S.C. chapter 135, subchapter I, or 
provides broker services for such transportation, without being 
registered under 49 U.S.C. chapter 139 to provide such transportation 
or services as a motor carrier or broker, as the case may be, is liable 
to the United States for a civil penalty of not less than $32,679 for 
each violation.
    (h) Copying of records and access to equipment, lands, and 
buildings. A person subject to 49 U.S.C. chapter 51 or a motor carrier, 
broker, freight forwarder, or owner or operator of a commercial motor 
vehicle subject to part B of subtitle VI of title 49 U.S.C. who fails 
to allow promptly, upon demand in person or in writing, the Federal 
Motor Carrier Safety Administration, an employee designated by the 
Federal Motor Carrier Safety Administration, or an employee of a MCSAP 
grant recipient to inspect and copy any record or inspect and examine 
equipment, lands, buildings, and other property, in accordance with 49 
U.S.C. 504(c), 5121(c), and 14122(b), is subject to a civil penalty of 
not more than $1,307 for each offense. Each day of a continuing 
violation constitutes a separate offense, except that the total of all 
civil penalties against any violator for all offenses related to a 
single violation shall not exceed $13,072.
    (i) Evasion. A person, or an officer, employee, or agent of that 
person:
    (1) Who by any means tries to evade regulation of motor carriers 
under title 49, United States Code, chapter 5, chapter 51, subchapter 
III of chapter 311 (except sections 31138 and 31139) or section 31302, 
31303, 31304, 31305(b), 31310(g)(1)(A), or 31502, or a regulation in 
subtitle B, chapter I, subchapter C of this title, or this subchapter, 
issued under any of those provisions, shall be fined at least $2,252 
but not more than $5,628 for the first violation and at least $2,813 
but not more than $8,433 for a subsequent violation.
    (2) Who tries to evade regulation under part B of subtitle IV, 
title 49, U.S.C., for carriers or brokers is liable for a penalty of at 
least $2,252 for the first violation or at least $5,628 for a 
subsequent violation.

PART 578--CIVIL AND CRIMINAL PENALTIES

0
96. The authority citation for part 578 is revised to read as follows:

    Authority: Pub. L. 92-513, Pub. L. 94-163, Pub. L. 98-547, Pub. 
L. 101-410, Pub. L. 102-388, Pub. L. 102-519, Pub. L. 104-134, Pub. 
L. 109-59, Pub. L. 110-140, Pub. L. 112-141, Pub. L. 114-74, Pub. L. 
114-94 (49 U.S.C. 30165, 30170, 30505, 32308, 32309, 32507, 32709, 
32710, 32902, 32912, 33114, and 33115); delegation of authority at 
49 CFR 1.81, 1.95.


0
97. In Sec.  578.6, revise paragraphs (a)(1), (a)(2)(i)(B), (a)(3) and 
(4), (b) through (g), (h)(1), and (i) to read as follows:


Sec.  578.6   Civil penalties for violations of specified provisions of 
Title 49 of the United States Code.

    (a) * * *
    (1) In general. A person who violates any of sections 30112, 30115, 
30117 through 30122, 30123(a), 30125(c), 30127, or 30141 through 30147 
of Title 49 of the United States Code or a regulation in this chapter 
prescribed under any of those sections is liable to the United States 
Government for a civil penalty of not more than $22,992 for each 
violation. A separate violation occurs for each motor vehicle or item 
of motor vehicle equipment and for each failure or refusal to allow or 
perform an act required by any of those sections. The maximum civil 
penalty under this paragraph (a)(1) for a related series of violations 
is $114,954,525.
    (2) * * *
    (i) * * *
    (B) Violates section 30112(a)(2) of Title 49 United States Code, 
shall be subject to a civil penalty of not more than $13,072 for each 
violation. A separate violation occurs for each motor vehicle or item 
of motor vehicle equipment and for each failure or refusal to allow or 
perform an act required by this section. The maximum penalty under this 
paragraph (a)(2)(i)(B) for a related series of violations is 
$19,607,465.
    (3) Section 30166. A person who violates Section 30166 of Title 49 
of the United States Code or a regulation in this chapter prescribed 
under that section is liable to the United States Government for a 
civil penalty for failing or refusing to allow or perform an act 
required under that section or regulation. The maximum penalty under 
this paragraph (a)(3) is $22,992 per violation per day. The maximum 
penalty under this paragraph (a)(3) for a related series of daily 
violations is $114,954,525.
    (4) False and misleading reports. A person who knowingly and 
willfully submits materially false or misleading information to the 
Secretary, after certifying the same information as accurate under the 
certification process established pursuant to Section 30166(o) of Title 
49 of the United States Code, shall be subject to a civil penalty of 
not more than $5,628 per day. The maximum penalty under this paragraph 
(a)(4) for a related series of daily violations is $1,125,668.
    (b) National Automobile Title Information System. An individual or 
entity violating 49 U.S.C. Chapter 305 is liable to the United States 
Government for a civil penalty of not more than $1,814 for each 
violation.
    (c) Bumper standards. (1) A person that violates 49 U.S.C. 32506(a) 
is liable to the United States Government for a civil penalty of not 
more than $3,011 for each violation. A separate violation occurs for 
each passenger motor vehicle or item of passenger motor vehicle 
equipment involved in a violation of 49 U.S.C. 32506(a)(1) or (4)--
    (i) That does not comply with a standard prescribed under 49 U.S.C. 
32502; or
    (ii) For which a certificate is not provided, or for which a false 
or

[[Page 23260]]

misleading certificate is provided, under 49 U.S.C. 32504.
    (2) The maximum civil penalty under this paragraph (c) for a 
related series of violations is $3,352,932.
    (d) Consumer information--(1) Crash-worthiness and damage 
susceptibility. A person who violates 49 U.S.C. 32308(a), regarding 
crashworthiness and damage susceptibility, is liable to the United 
States Government for a civil penalty of not more than $3,011 for each 
violation. Each failure to provide information or comply with a 
regulation in violation of 49 U.S.C. 32308(a) is a separate violation. 
The maximum penalty under this paragraph (d)(1) for a related series of 
violations is $1,642,208.
    (2) Consumer tire information. Any person who fails to comply with 
the national tire fuel efficiency program under 49 U.S.C. 32304A is 
liable to the United States Government for a civil penalty of not more 
than $62,314 for each violation.
    (e) Country of origin content labeling. A manufacturer of a 
passenger motor vehicle distributed in commerce for sale in the United 
States that willfully fails to attach the label required under 49 
U.S.C. 32304 to a new passenger motor vehicle that the manufacturer 
manufactures or imports, or a dealer that fails to maintain that label 
as required under 49 U.S.C. 32304, is liable to the United States 
Government for a civil penalty of not more than $1,835 for each 
violation. Each failure to attach or maintain that label for each 
vehicle is a separate violation.
    (f) Odometer tampering and disclosure. (1) A person that violates 
49 U.S.C. Chapter 327 or a regulation in this chapter prescribed or 
order issued thereunder is liable to the United States Government for a 
civil penalty of not more than $11,256 for each violation. A separate 
violation occurs for each motor vehicle or device involved in the 
violation. The maximum civil penalty under this paragraph (f)(1) for a 
related series of violations is $1,125,668.
    (2) A person that violates 49 U.S.C. Chapter 327 or a regulation in 
this chapter prescribed or order issued thereunder, with intent to 
defraud, is liable for three times the actual damages or $11,256, 
whichever is greater.
    (g) Vehicle theft protection. (1) A person that violates 49 U.S.C. 
33114(a)(1)-(4) is liable to the United States Government for a civil 
penalty of not more than $2,473 for each violation. The failure of more 
than one part of a single motor vehicle to conform to an applicable 
standard under 49 U.S.C. 33102 or 33103 is only a single violation. The 
maximum penalty under this paragraph (g)(1) for a related series of 
violations is $618,201.
    (2) A person that violates 49 U.S.C. 33114(a)(5) is liable to the 
United States Government for a civil penalty of not more than $183,629 
a day for each violation.
    (h) * * *
    (1) A person that violates 49 U.S.C. 32911(a) is liable to the 
United States Government for a civil penalty of not more than $43,280 
for each violation. A separate violation occurs for each day the 
violation continues.
* * * * *
    (i) Medium- and heavy-duty vehicle fuel efficiency. The maximum 
civil penalty for a violation of the fuel consumption standards of 49 
CFR part 535 is not more than $42,621 per vehicle or engine. The 
maximum civil penalty for a related series of violations shall be 
determined by multiplying $42,621 times the vehicle or engine 
production volume for the model year in question within the regulatory 
averaging set.

    Signed in Washington, DC, on April 16, 2021:
Peter Paul Montgomery Buttigieg,
Secretary of Transportation.
[FR Doc. 2021-08224 Filed 4-30-21; 8:45 am]
BILLING CODE P


