81 FR 42987 - Civil Monetary Penalty Adjustments for Inflation
DEPARTMENT OF HOMELAND SECURITY
Coast Guard
Transportation Security Administration Federal Register Volume 81, Issue 127 (July 1, 2016)
Coast Guard
Transportation Security Administration
Federal Register Volume 81, Issue 127 (July 1, 2016)
| Page Range | 42987-43006 | |
| FR Document | 2016-15673 |
[Federal Register Volume 81, Number 127 (Friday, July 1, 2016)] [Rules and Regulations] [Pages 42987-43006] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2016-15673] [[Page 42987]] ======================================================================= ----------------------------------------------------------------------- DEPARTMENT OF HOMELAND SECURITY 6 CFR Part 27 8 CFR Parts 270, 274a, and 280 Coast Guard 33 CFR Part 27 Transportation Security Administration 49 CFR Part 1503 RIN 1601-AA80 [Docket No. DHS-2016-0034] Civil Monetary Penalty Adjustments for Inflation AGENCY: Department of Homeland Security. ACTION: Interim final rule with request for comments. ----------------------------------------------------------------------- SUMMARY: This rule amends Department of Homeland Security (DHS or Department) regulations to adjust DHS and component civil monetary penalties for inflation. DHS calculated the adjusted penalties according to the statutory formula in the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, which was signed into law on November 2, 2015. The adjusted penalties will be effective for civil penalties assessed after August 1, 2016 whose associated violations occurred after November 2, 2015. DATES: Effective Date. This rule is effective on August 1, 2016. Comment Date: Comments must be received on or before August 1, 2016. ADDRESSES: You may submit comments, identified by docket number DHS- 2016-0034, by one of the following methods:Federal eRulemaking Portal: http://www.regulations.gov. Follow the instructions for submitting comments. Mail: Megan Westmoreland, Office of the General Counsel, U.S. Department of Homeland Security, 245 Murray Lane SW., Mail Stop 0485, Washington, DC 20528-0485. FOR FURTHER INFORMATION CONTACT: Megan Westmoreland, Attorney-Advisor, Office of the General Counsel, U.S. Department of Homeland Security. Phone: 202-447-4384. SUPPLEMENTARY INFORMATION: Table of Contents I. Background II. Adjustments by Component A. National Protection and Programs Directorate B. U.S. Customs and Border Protection C. Immigration and Customs Enforcement D. U.S. Coast Guard E. Transportation Security Administration III. Administrative Procedure Act IV. Regulatory Analyses A. Executive Orders 12866 and 13563 B. Regulatory Flexibility Act C. Unfunded Mandates Reform Act D. Paperwork Reduction Act I. Background On November 2, 2015, the President signed into law the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015 (Pub. L. 114-74 section 701 (Nov. 2, 2105)) (the 2015 Act),\1\ which further amended the Federal Civil Penalties Inflation Adjustment Act of 1990 (28 U.S.C. 2461 note) (the Inflation Adjustment Act), to improve the effectiveness of civil monetary penalties and to maintain their deterrent effect. The 2015 Act requires agencies to: (1) adjust the level of civil monetary penalties with an initial ``catch-up'' adjustment through issuance of an interim final rule (IFR) and (2) make subsequent annual adjustments for inflation. --------------------------------------------------------------------------- \1\ The 2015 Act was enacted as part of the Bipartisan Budget Act of 2015, Public Law 114-74 (Nov. 2, 2015). --------------------------------------------------------------------------- The 2015 Act applies to all agency civil penalties except for any penalty (including any addition to tax and additional amount) under the Internal Revenue Code of 1986 (26 U.S.C. 1 et seq.) and the Tariff Act of 1930 (19 U.S.C. 1202 et seq.). See sec. 4(a)(1) of the 2015 Act. In the case of DHS, several civil penalties that are collected by U.S. Customs and Border Protection (CBP) and the U.S. Coast Guard fall under the Tariff Act of 1930, and thus DHS is not adjusting those civil penalties in this rulemaking. The 2015 Act applies the new penalty amounts to all penalties that DHS assesses after August 1, 2016, the effective date of this rule. Additionally, pursuant to 28 U.S.C. 2461 note sec. 6, as amended by the 2015 Act, DHS will apply the adjusted penalty amounts for any violations that occurred after November 2, 2015 (i.e., the date the 2015 Act was signed into law) as long as the penalty is assessed after the effective date of this interim final rule. The 2015 Act provides a new method for calculating inflation adjustments. The new method differs substantially from the methods that agencies used in the past when conducting inflation adjustments pursuant to the 1990 Inflation Adjustment Act. The new method is intended to more accurately reflect inflation. Previously, when agencies conducted adjustments to civil penalties, they did so under rules that required significant rounding of figures. For example, an agency would round a penalty increase that was greater than $1,000, but less than or equal to $10,000, to the nearest multiple of $1,000. While this allowed penalties to be kept at round numbers, it meant that agencies would often not increase penalties at all if the inflation factor was not large enough. Furthermore, increases to penalties were capped at 10 percent, which meant that longer periods without an inflation adjustment could cause a penalty to rapidly lose value in real terms. Over time, the formula used in the 1990 Inflation Adjustment Act calculations frequently caused penalties to lose value relative to actual inflation. The 2015 Act removed these rounding rules, and instead instructs agencies to round penalties to the nearest $1. While this creates penalty values that are no longer round numbers, it does ensure that agencies will increase penalties each year to a figure commensurate with the actual calculated inflation. To better reflect the original impact of civil penalties, the 2015 Act ``resets'' the inflation calculations by excluding prior inflationary adjustments under the Inflation Adjustment Act. To do this, the 2015 Act requires agencies to identify, for each penalty, the year that Congress originally enacted the maximum penalty level/range of minimum and maximum penalty levels or the year that the agency last adjusted the penalty amount other than to pursuant to the Inflation Adjustment Act, and the corresponding penalty amount(s). The 2015 Act then requires agencies to perform an initial ``catch-up'' adjustment, using the original amounts of civil penalties as a baseline, so that the 2016 penalty levels are equal, in real terms, to the penalty amounts as they were originally established. Pursuant to the 2015 Act, DHS undertook a review of the civil penalties that DHS and its components administer. This rule sets forth the initial ``catch-up'' adjustment for all civil penalties that DHS and its components administer. For each component, we have provided a table showing how DHS is increasing the penalties pursuant to the 2015 Act. The table contains the following information: In the first column (penalty name), we provide a description of the penalty. In the second column (citation), we provide the statutory cite from the United States Code (U.S.C.) and the regulatory cite from the Code of Federal Regulations (CFR). [[Page 42988]] In the third column (current penalty), we list the existing penalty in effect on November 2, 2015. In the fourth column (baseline penalty (year)), we provide the amount and year of the penalty as enacted by Congress or as last changed through a mechanism other than pursuant to the Inflation Adjustment Act, whichever is later. In the fifth column (multiplier), we list the multiplier used to adjust the penalty. The multiplier is determined by the year of enactment or last adjustment of the penalty. The multiplier is based upon the Consumer Price Index (CPI-U) for the month of October 2015, not seasonally adjusted.\2\ --------------------------------------------------------------------------- \2\ OMB, Implementation of the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, Table A, 24 February 2016. https://www.whitehouse.gov/sites/default/files/omb/memoranda/2016/m-16-06.pdf. --------------------------------------------------------------------------- In the sixth column (preliminary new penalty), we list the amount obtained by multiplying the Baseline Penalty from column 4 with the Multiplier from column 5. This amount will be the final penalty, if, in accordance with the 2015 Act, this level does not increase penalty levels by more than 150 percent of the corresponding levels in effect on November 2, 2015.\3\ --------------------------------------------------------------------------- \3\ The 150 percent limitation is on the amount of the increase; therefore, the adjusted penalty levels are up to 250 percent of the levels in effect on November 2, 2015. --------------------------------------------------------------------------- In the seventh column, (adjusted new penalty), we provide the final number for the penalty. To derive this number, we compare the preliminary new penalty with the current penalty from column 3. The adjusted new penalty is the lesser of either the preliminary new penalty or an amount equal to 150 percent more than the current penalty. Additionally, where applicable, we have also made conforming edits to regulatory text. II. Adjustments by Component In the following sections, we briefly describe the civil penalties that DHS and its components assess. We describe the nature of the penalties and discuss relevant authorities. We include tables at the end of each section, which list the individual adjustments for each penalty. We also include discussions where we believe further explanation is helpful. A. National Protection and Programs Directorate The National Protection and Programs Directorate (NPPD) administers only one civil penalty that the 2015 Act affects. This penalty assesses fines for violations of the Chemical Facility Anti-Terrorism Standards (CFATS), a program which regulates the security of chemical facilities that, in the discretion of the Secretary, present high levels of security risk. The CFATS program was originally established in 2007, pursuant to section 550 of the Department of Homeland Security Appropriations Act of 2007 (Pub. L. 109-295),\4\ and is currently located in part 27 of Title 6 of the CFR. --------------------------------------------------------------------------- \4\ Section 550 has since been superseded by the Protecting and Securing Chemical Facilities from Terrorist Attacks Act of 2014 (Pub. L. 113-254). The new legislation codified the statutory authority for the CFATS program within Title XXI of the Homeland Security Act of 2002, as amended. See 6 U.S.C. 621 et seq. --------------------------------------------------------------------------- One question that arose is how to calculate the baseline date of the CFATS penalty, which is $25,000 per day. The question arose because the 2007 legislation, which established CFATS, did not create a new penalty provision, but rather referenced an older one: \5\ Section 70119(a) of Title 46. The Maritime Transportation Security Act (MTSA) (Pub. L. 107-295) was enacted in 2002 and established this penalty provision. For that reason, arguments could be made that we should index the $25,000 penalty by the 2002 CPI value (the date the MTSA penalty was established) or the 2007 CPI value (the date the CFATS program was enacted). The difference between these numbers is material--indexing the $25,000 penalty by the 2002 CPI value would yield a current penalty of $32,796 per day, while indexing the penalty by the 2007 CPI value would yield a current penalty of only $28,458 per day. --------------------------------------------------------------------------- \5\ Section 550(d) of the Department of Homeland Security Appropriations Act of 2007 set forth the CFATS penalty, providing that ``[a]ny person who violates an order issued under this section shall be liable for a civil penalty under section 70119(a) of title 46, United States Code. After promulgation of the Protecting and Securing Chemical Facilities from Terrorist Attacks Act of 2014, the relevant U.S.C. citation is 6 U.S.C. 624(b)(1), which still refers to the civil penalty section in 46 U.S.C. 70119(a). --------------------------------------------------------------------------- Because the CFATS legislation did not create a new civil penalty, but rather simply referenced the existing MTSA penalty, we believe the intent of Congress was that violators of either MTSA or CFATS would face identical penalties. For this reason, we have considered the ``baseline'' year for the CFATS penalty to be 2002 rather than 2007, and have increased the penalty by the multiplier appropriate for that year, as shown in Table 1 below. Table 1--CFATS Civil Penalty Adjustment ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ Adjusted new penalty Preliminary new [increase capped at Penalty name Citation Current penalty Baseline penalty * (year) Multiplier ** penalty [multiplier 150% more than x baseline penalty] current penalty] ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ Penalty for non-compliance with 6 U.S.C. 624(b)(1);............ $25,000 per day................ $25,000 (2002)................ 1.31185 $32,796............. $32,796 CFATS regulations. 6 CFR 27.300(b)(3)............. ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ * The amount of the penalty and the year of when the penalty was established or last adjusted in statute or regulation other than pursuant to the Inflation Adjustment Act of 1990. ** OMB, Implementation of the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, Table A: 2016 Civil Monetary Penalty Catch-Up Adjustment Multiplier by Calendar Year, February 24, 2016. B. U.S. Customs and Border Protection U.S. Customs and Border Protection (CBP) assesses civil monetary penalties for certain violations of title 8 of the CFR regarding the Immigration and Nationality Act of 1952 (Pub. L. 82-414, as amended) (INA). The INA contains provisions that impose penalties on persons, including carriers and aliens, who violate specified provisions of the INA. For example, section 231(g) of the INA, codified at 8 U.S.C. 1221(g), requires that a carrier shall be fined $1,000 for each person for whom manifest information is not provided. CBP's relevant penalty provisions are located in numerous sections of the INA (see list below), however CBP has [[Page 42989]] enumerated these penalties in regulation in one location--in 8 CFR 280.53. Below is the list of penalty provisions in the INA: Section 231(g), Penalties for non-compliance with arrival and departure manifest requirements for passengers, crewmembers, or occupants transported on commercial vessels or aircraft arriving to or departing from the United States. Section 234, Penalties for non-compliance with landing requirements at designated ports of entry for aircraft transporting aliens. Section 240B(d), Penalties for failure to depart voluntarily. Section 243(c)(1)(A), Penalties for violations of removal orders relating to aliens transported on vessels or aircraft under section 241(d) or for costs associated with removal under section 241(e). Section 243(c)(1)(B), Penalties for failure to remove alien stowaways under section 241(d)(2). Section 251(d), Penalties for failure to report an illegal landing or desertion of alien crewmen, and for each alien not reported on arrival or departure manifest or lists required in accordance with section 251 and penalties for use of alien crewmen for longshore work in violation of section 251(d). Section 254(a), Penalties for failure to control, detain, or remove alien crewmen. Section 255, Penalties for employment on passenger vessels of aliens afflicted with certain disabilities. Section 256, Penalties for discharge of alien crewmen. Section 257, Penalties for bringing into the United States alien crewmen with intent to evade immigration laws. Section 271(a), Penalties for failure to prevent the unauthorized landing of aliens. Section 272(a), Penalties for bringing to the United States aliens subject to denial of admission on a health-related ground. Section 273(b), Penalties for bringing to the United States aliens without required documentation. Section 274D, Penalties for failure to depart. Section 275(b), Penalties for improper entry. We note, for reference, that CBP also assesses certain civil monetary penalties for customs violations under title 19 of the CFR. CBP assesses those penalties under the Tariff Act of 1930, as amended, but as we discussed above, the 2015 Act specifically exempts Tariff Act penalties from the inflation adjustment requirements in the 2015 Act. For that reason, we have not listed those title 19 penalties in the below table of CBP penalty adjustments. Under this rule, the current penalties continue to be applicable with regard to violations that occurred on or before November 2, 2015, the date of enactment of the 2015 Act. In Table 2 below, we provide the penalties that we are adjusting in accordance with the 2015 Act, where the associated violations occurred after November 2, 2015. Table 2--U.S. Customs and Border Protection Civil Penalties Adjustments ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ Adjusted new penalty Preliminary new [increase capped at Penalty name Citation Current penalty Baseline penalty * (year) Multiplier ** penalty [multiplier 150% more than x baseline penalty] current penalty] ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ Penalties for non-compliance with 8 U.S.C. 1221(g)............... $1,100......................... $1,000 (2002).................. 1.31185 $1,312.............. $1,312 arrival and departure manifest 8 CFR 280.53(c)(1) (INA section requirements for passengers, 231(g)). crewmembers, or occupants transported on commercial vessels or aircraft arriving to or departing from the United States. Penalties for non-compliance with 8 U.S.C. 1224.................. $3,200......................... $2,000 (1990).................. 1.78156 $3,563.............. $3,563 landing requirements at 8 CFR 280.53(c)(2) (INA section designated ports of entry for 234). aircraft transporting aliens. Penalties for failure to depart 8 U.S.C. 1229c(d).............. $1,100-$5,500.................. $1,000-$5,000 (1996)........... 1.50245 $1,502-$7,512....... $1,502-$7,512 voluntarily. 8 CFR 280.53(c)(3) (INA section 240B(d)). Penalties for violations of 8 U.S.C. 1253(c)(1)(A)......... $2,200......................... $2,000 (1996).................. 1.50245 $3,005.............. $3,005 removal orders relating to 8 CFR 280.53(c)(4) (INA section aliens transported on vessels or 243(c)(1)(A)). aircraft under section 241(d) of the INA, or for costs associated with removal under section 241(e) of the INA. [[Page 42990]] Penalties for failure to remove 8 U.S.C. 1253(c)(1)(B)......... $5,500......................... $5,000 (1996).................. 1.50245 $7,512.............. $7,512 alien stowaways under section 8 CFR 280.53(c)(4) (INA section 241(d)(2) of the INA. 243(c)(1)(B)). Penalties for failure to report 8 U.S.C. 1281(d)............... $320 for each alien............ $200 for each alien (1990)..... 1.78156 $356 for each alien. $356 for each alien an illegal landing or desertion 8 CFR 280.53(c)(5) (INA section of alien crewmen, and for each 251(d)). alien not reported on arrival or departure manifest or lists required in accordance with section 251 of the INA. Penalties for use of alien 8 U.S.C. 1281(d)............... $7,500......................... $5,000 (1990).................. 1.78156 $8,908.............. $8,908 crewmen for longshore work in 8 CFR 280.53(c)(5) (INA section violation of section 251(d) of 251(d)). the INA. Penalties for failure to control, 8 U.S.C. 1284(a)............... $750-$4,300.................... $500-$3000 (1990).............. 1.78156 $891-$5,345......... $891-$5,345 detain, or remove alien crewmen. 8 CFR 280.53(c)(6) (INA section 254(a)). Penalties for employment on 8 U.S.C. 1285.................. $1,100......................... $1,000 (1990).................. 1.78156 $1,782.............. $1,782 passenger vessels of aliens 8 CFR 280.53(c)(7) (INA section afflicted with certain 255). disabilities. Penalties for discharge of alien 8 U.S.C. 1286.................. $1,500-$4,300.................. $1,500-$3,000 (1990)........... 1.78156 $2,672-$5,345....... $2,672-$5,345 crewmen. 8 CFR 280.53(c)(8) (INA section 256). Penalties for bringing into the 8 U.S.C. 1287.................. $16,000........................ $10,000 (1990)................. 1.78156 $17,816............. $17,816 United States alien crewmen with 8 CFR 280.53(c)(9) (INA section intent to evade immigration laws. 257). Penalties for failure to prevent 8 U.S.C. Sec. 1321(a)........ $4,300......................... $3,000 (1990).................. 1.78156 $5,345.............. $5,345 the unauthorized landing of 8 CFR 280.53(c)(10) (INA aliens. section 271(a)). Penalties for bringing to the 8 U.S.C. Sec. 1322(a)........ $4,300......................... $3,000 (1990).................. 1.78156 $5,345.............. $5,345 United States aliens subject to 8 CFR 280.53(c)(11) (INA denial of admission on a health- section 272(a)). related ground. Penalties for bringing to the 8 U.S.C. Sec. 1323(b)........ $4,300......................... $3,000 (1990).................. 1.78156 $5,345.............. $5,345 United States aliens without 8 CFR 280.53(c)(12) (INA required documentation. section 273(b)). Penalties for failure to depart.. 8 U.S.C. 1324d................. $550........................... $500 (1996).................... 1.50245 $751................ $751 8 CFR 280.53(c)(13) (INA section 274D). Penalties for improper entry..... 8 U.S.C. Sec. 1325(b)........ $55-275........................ $50-$250 (1996)................ 1.50245 $75-$376............ $75-$376 8 CFR 280.53(c)(14) (INA section 275(b)). ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ * The amount of the penalty and the year of when the penalty was established or last adjusted in statute or regulation other than pursuant to the Inflation Adjustment Act of 1990. ** OMB, Implementation of the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, Table A: 2016 Civil Monetary Penalty Catch-Up Adjustment Multiplier by Calendar Year, February 24, 2016. [[Page 42991]] C. Immigration and Customs Enforcement Immigration and Customs Enforcement (ICE) assesses civil monetary penalties for certain employment-related violations arising from the INA. ICE's civil penalties are located in title 8 of the CFR. There are three different sections in the INA that impose civil monetary penalties for violations of the laws that relate to employment actions (sections 274A, 274B, and 274C). ICE has primary enforcement responsibilities for two of these civil penalty provisions (sections 274A and 274C), and the Department of Justice (DOJ) has enforcement responsibilities for one of these civil penalty provisions (section 274B). The INA, in sections 274A and 274C, provides for imposition of civil penalties for various specified unlawful acts pertaining to the employment eligibility verification process (Form I-9, Employment Eligibility Verification) and the employment of unauthorized aliens. These penalties cover, among other things, the knowing employment of unauthorized aliens and the failure to comply with the employment verification requirements relating to completion of the Form I-9. ICE assesses and imposes civil monetary penalties with respect to employer sanctions under section 274A of the INA and 8 CFR part 274a. Similarly, ICE imposes civil penalties for specified actions relating to immigration-related document fraud under section 274C of the INA and 8 CFR part 270. We note that while ICE is updating the penalty amounts in 8 CFR part 270, ICE has not assessed these penalties in recent years. Because both DHS and DOJ implement the three employment-related penalty sections in the INA, both Departments are codifying the civil penalty amounts in their implementing regulations. Pursuant to the authority of the Inflation Adjustment Act and before the creation of DHS, DOJ previously adjusted the civil monetary penalties for inflation, increasing the specific amounts stated in sections 274A, 274B, and 274C of the INA. See 64 FR 7066 (Feb. 12, 1999) and 64 FR 47099 (Aug. 30, 1999). Both agencies issued a joint rulemaking to update the penalties in 2008. See 73 FR 10130 (Feb. 26, 2008). Today, as in 2008, the division of responsibilities between the Secretary of Homeland Security and the Attorney General requires action by both Departments in order to effectuate a further adjustment of the civil penalties. The minimum and maximum civil penalty amounts for each violation will necessarily be the same whether DHS or DOJ imposes the penalty. See 8 CFR 274a.10 and 270.3; 28 CFR 68.52(c) and (e). In this rule, DHS is amending 8 CFR parts 270 and 274a of the DHS regulations to incorporate the revised schedule of civil penalties, as adjusted for inflation according to the statutory formula described above. We note that DOJ is similarly revising regulations in 28 CFR part 68 (which correspond to the penalties in 8 CFR part 270) in a separate civil penalty adjustment rulemaking. Under this rule, the current penalties continue to be applicable with regard to violations that occurred on or before November 2, 2015, the date of enactment of the 2015 Act. Table 3 below lays out the changes to the penalties, where the associated violations occurred after November 2, 2015. Table 3--Immigration and Customs Enforcement Civil Penalties Adjustments -------------------------------------------------------------------------------------------------------------------------------------------------------- Adjusted new Preliminary new penalty [increase Penalty name Citation Current penalty Baseline penalty Multiplier penalty capped at 150% * (year) ** [multiplier x more than current baseline penalty] penalty] -------------------------------------------------------------------------------------------------------------------------------------------------------- Civil penalties for violation 8 CFR 270.3(b)(1)(ii)(A).... $375-$3,200....... $250-$2,000 (1990) 1.78156 $445-$3,563....... $445-$3,563 of Immigration and Naturalization Act (INA) sections 274C(a)(1)-(a)(4), penalty for first offense. Civil penalties for violation 8 CFR 270.3(b)(1)(ii)(B).... $275-$2,200....... $250-$2,000 (1996) 1.50245 $376-$3,005....... $376-$3,005 of Immigration and Naturalization Act (INA) sections 274C(a)(5)-(a)(6), penalty for first offense. Civil penalties for violation 8 CFR 270.3(b)(1)(ii)(C).... $3,200-$6,500..... $2,000-$5,000 1.78156 $3,563-$8,908..... $3,563-$8,908 of Immigration and (1990) Naturalization Act (INA) sections 274C(a)(1)-(a)(4), penalty for subsequent offenses. Civil penalties for violation 8 CFR 270.3(b)(1)(ii)(D).... $2,200-$5,500..... $2,000-$5,000 1.50245 $3,005-$7,512..... $3,005-$7,512 of Immigration and (1996) Naturalization Act (INA) sections 274C(a)(5)-(a)(6), penalty for subsequent offenses. Violation/prohibition of 8 CFR 274a.8(b)............. $1,100............ $1,000 (1986) 2.15628 $2,156............ $2,156 indemnity bonds. Civil penalties for knowingly 8 CFR 274a.10(b)(1)(ii)(A).. $375-$3,200....... $250-$2,000 (1986) 2.15628 $539-$4,313....... $539-$4,313 hiring, recruiting, referral, or retention of unauthorized aliens--Penalty for first offense (per unauthorized alien). Penalty for second offense 8 CFR 274a.10(b)(1)(ii)(B).. $3,200-$6,500..... $2,000-$5,000 2.15628 $4,313-$10,781.... $4,313-$10,781 (per unauthorized alien). (1986) Penalty for third or 8 CFR 274a.10(b)(1)(ii)(C).. $4,300-$16,000.... $3,000-$10,000 2.15628 $6,469-$21,563.... $6,469-$21,563 subsequent offense (per (1986) unauthorized alien). Civil penalties for I-9 8 CFR 274a.10(b)(2)......... $110-$1,100....... $100-$1,000 (1986) 2.15628 $216-$2,156....... $216-$2,156 paperwork violations. -------------------------------------------------------------------------------------------------------------------------------------------------------- * The amount of the penalty and the year of when the penalty was established or last adjusted in statute or regulation other than pursuant to the Inflation Adjustment Act of 1990. ** OMB, Implementation of the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, Table A: 2016 Civil Monetary Penalty Catch-Up Adjustment Multiplier by Calendar Year, February 24, 2016. [[Page 42992]] D. U.S. Coast Guard The Coast Guard is adjusting for inflation the penalties in the table in part 27 of title 33 of the CFR. That table identifies the statutes that provide the Coast Guard with civil monetary penalty authority and sets out the inflation-adjusted maximum penalty that the Coast Guard may impose pursuant to each statutory provision. The new table in this regulation provides the current maximum penalty for violations that occurred after November 2, 2015. The penalties in effect for violations on or prior to November 2, 2015 can be found in prior CFR versions that pertain to the date in which the violation occurred. Since the Coast Guard had adjusted the table in part 27 for inflation on several occasions, not just one table can be used for all violations on or before November 2, 2015. The Coast Guard is authorized to assess close to 150 penalties involving maritime safety and security and environmental stewardship that are critical to the continued success of Coast Guard missions. Various statutes in Title 14, 16, 19, 33, 42, 46, and 49 of the U.S.C. authorize these penalties. Titles 33 and 46 authorize the vast majority of these penalties as these statutes deal with navigation, navigable waters, and shipping. Under title 33 of the U.S.C., the Coast Guard assesses penalties with respect to bridges, marine events, pollution prevention, oil discharges, sanitation, international navigation, and other environmental stewardship responsibilities. Most notably, the Coast Guard has express joint authority with the Environmental Protection Agency (EPA) to assess penalties in order to enforce the Federal Water Pollution Control Act (Clean Water Act) (CWA), as amended by the Oil Pollution Act of 1990 (OPA 90) (33 U.S.C. 1321 et seq.), and MARPOL Protocol, Annex VI (33 U.S.C. 1908). Penalties under the CWA and OPA 90 relate to the discharge of oil or a hazardous substance from a vessel or facility into or upon the navigable waters of the United States, adjoining shoreline, or into or upon the waters of the contiguous zone. Both agencies may assess penalties for discharges of oil or hazardous substances in connection with activities under the Outer Continental Shelf Lands Act or the Deepwater Port Act. Further, both agencies may assess penalties if a person fails to take mitigation or removal action, or fails to comply with an order of the Federal On-Scene Coordinator. The Coast Guard and EPA delineate enforcement boundaries within each region. Under the Act to Prevent Pollution from Ships (APPS) (33 U.S.C. 1901 et seq.), both of these agencies may assess penalties for any violation of Annex VI, including but not limited to the carriage and use of low-sulfur fuel oil, and vessel engine and emission requirements. While the EPA focuses primarily on engine permit requirements and shoreside facility compliance, the Coast Guard may refer other matters to the EPA for enforcement in accordance with established protocol. Under title 46 of the U.S.C., the Coast Guard assesses penalties with respect to vessel inspections, vessel operations, manning and training on vessels, marine casualty reporting, drug testing, pilotage, vessel identification, and other aspects of personnel and operations involved in the shipping industry. The majority of civil penalties under this title relate to vessel compliance, which includes general inspection requirements, crew requirements and limitations, and operational requirements of the vessel to engage in a commercial enterprise. Beyond title 33 and title 46 of the U.S.C., the Coast Guard assesses penalties related to the organization and management of the Coast Guard, aquatic species conservation, obstruction of revenue, and hazardous substances and materials. Most notably, the Coast Guard has joint authority with EPA under title 42 of the U.S.C. to assess penalties for hazardous substances. Under the Comprehensive Environmental Response, Compensation and Liability Act of 1980 (CERCLA) (42 U.S.C. 9601 et seq.), the Coast Guard may assess penalties for the failure to meet the notification requirements, failure to provide evidence of financial responsibility, or failure to follow an administrative order, among other violations. The Coast Guard has the primary responsibility to enforce the laws on navigational waterways. As evidenced by the table below, the current inflation adjustment imposes a substantial change in many of the civil penalties administered by the Coast Guard. Part of the reason for the changes are that the enactment dates for penalties assessed by the Coast Guard vary widely, spanning from 1935 to 2014. Furthermore, the penalty amounts vary widely, spanning up to $250,000. Under the 2015 Act, and as mentioned elsewhere in this preamble, Congress has created a straightforward method for calculating the amount of the inflation allowable for each penalty. While the increases due to inflation are, for some penalties, substantial, not all penalties will be equivalent to their original value in real terms. Pursuant to the 2015 Act, the Coast Guard cannot increase any penalty by more than 150% of the previously adjusted penalty. As the Coast Guard last adjusted penalties for inflation on June 2, 2011 (76 FR 31831), it cannot adjust any penalty by more than 150% of the amount set by the final rule of June 2, 2011. After the Coast Guard used the new method and applied the 150% cap, they increased the penalties by an amount of 3% to 150% above the last adjustment. Of those penalties that the Coast Guard is increasing in this rulemaking, approximately 23 of the penalties are increasing more than 100% from their 2011 value, and the 2015 Act limits the amount that they can increase to 150% of the 2011 value. All of the penalties that Congress or the Coast Guard enacted prior to 1980 are increasing more than 100%. This is due to the great difference between the CPI-U level from the years enacted and the CPI-U from October 2015. There were three penalties that decreased in value from their previous amounts. These penalties (codified in 46 U.S.C. App. 1505(a)(2), 46 U.S.C. App. 1805(c)(2), and 42 U.S.C. 12151(c)) showed significant decreases. These changes occurred because Congress recodified these penalties in 2006 after the Coast Guard adjusted them for inflation. Using the 2006 recodification as the new statutory baseline, the penalty amounts declined significantly in this rulemaking from their current values. Finally, we are adding several penalties to the existing table in 33 CFR 27.3 that had been inadvertently omitted from regulatory text. These penalties include a penalty for intentional interference with a broadcast (codified at 14 U.S.C. 88(e)), a clean hulls penalty for recreational and commercial vessels (33 U.S.C. 3852(c)), vessel documentation relating to mobile offshore drilling units (46 U.S.C. 12151(a)(2), and hazardous material training penalties (49 U.S.C. 5123(a)(3)). [[Page 42993]] Table 4--U.S. Coast Guard Civil Penalties Adjustments -------------------------------------------------------------------------------------------------------------------------------------------------------- Adjusted new Baseline penalty Preliminary new penalty [increase Penalty name Citation Current penalty * (year) Multiplier penalty capped at 150% (statutory ** [multiplier x more than current citation) baseline penalty] penalty] -------------------------------------------------------------------------------------------------------------------------------------------------------- Saving Life and Property..... 14 U.S.C. 88(c)............. $10,000........... $10,000........... 1.00171 $10,017........... $10,017 (2014)............ (Pub. L. 113-281). Saving Life and Property; 14 U.S.C. 88(e)............. 1,000............. $1,000............ 1.02819 1,028............. 1,028 Intentional Interference (2012)............ with Broadcast. (Pub. L. 112-213). Confidentiality of Medical 14 U.S.C. 645(i); 33 CFR 4,000............. $3,000............ 1.67728 5,032............. 5,032 Quality Assurance Records 27.3. (1992)............ (first offense). (Pub. L. 102-587). Confidentiality of Medical 14 U.S.C. 645(i); 33 CFR 30,000............ $20,000........... 1.67728 33,546............ 33,546 Quality Assurance Records 27.3. (1992)............ (subsequent offenses). (Pub. L. 102-587). Aquatic Nuisance Species in 16 U.S.C. 4711(g)(1); 33 CFR 35,000............ $25,000........... 1.50245 37,561............ 37,561 Waters of the United States. 27.3. (1996)............ (Pub. L. 104-332). Obstruction of Revenue 19 U.S.C. 70; 33 CFR 27.3... 3,000............. $2,000............ 17.36044 34,721............ 7,500 Officers by Masters of (1935)............ Vessels. Obstruction of Revenue 19 U.S.C. 70; 33 CFR 27.3... 700............... $500.............. 17.36044 8,680............. 1,750 Officers by Masters of (1935)............ Vessels--Minimum Penalty. Failure to Stop Vessel When 19 U.S.C. 1581(d)........... 5,000............. $5,000............ N/A N/A............... *** 5,000 Directed; Master, Owner, (1930)............ Operator or Person in Charge. Failure to Stop Vessel When 19 U.S.C. 1581(d)........... 1,000............. $1,000............ N/A N/A............... *** 1,000 Directed; Master, Owner, (1930)............ Operator or Person in Charge--Minimum Penalty. Anchorage Ground/Harbor 33 U.S.C. 471; 33 CFR 27.3.. 110............... $10,000........... 1.08745 10,875............ 10,875 Regulations General. (2010)............ (Pub. L. 111-281). Anchorage Ground/Harbor 33 U.S.C. 474; 33 CFR 27.3.. 300............... $200.............. 11.43452 2,287............. 750 Regulations St. Mary's river. (1946)............ (11 FR 7875)...... Bridges/Failure to Comply 33 U.S.C. 495(b); 33 CFR 25,000............ $25,000........... 1.09819 27,455............ 27,455 with Regulations. 27.3. (2008)............ (Pub. L. 108-293). Bridges/Drawbridges.......... 33 U.S.C. 499(c); 33 CFR 25,000............ $25,000........... 1.09819 27,455............ 27,455 27.3. (2008)............ (Pub. L. 108-293). Bridges/Failure to Alter 33 U.S.C. 502(c); 33 CFR 25,000............ $25,000........... 1.09819 27,455............ 27,455 Bridge Obstructing 27.3. (2008)............ Navigation. (Pub. L. 108-293). Bridges/Maintenance and 33 U.S.C. 533(b); 33 CFR 25,000............ $25,000........... 1.09819 27,455............ 27,455 Operation. 27.3. (2008)............ (Pub. L. 108-293). Bridge to Bridge 33 U.S.C. 1208(a); 33 CFR 800............... $500.............. 5.81511 2,908............. 2,000 Communication; Master, 27.3. (1971)............ Person in Charge or Pilot. (Pub. L. 92-63)... Bridge to Bridge 33 U.S.C. 1208(b); 33 CFR 800............... $500.............. 5.81511 2,908............. 2,000 Communication; Vessel. 27.3. (1971)............ (Pub. L. 92-63)... PWSA Regulations............. 33 U.S.C. 1232(a); 33 CFR 40,000............ $25,000........... 3.54453 88,613............ 88,613 27.3. (1978)............ (Pub. L. 95-474).. Vessel Navigation: Regattas 33 U.S.C. 1236(b); 33 CFR 8,000............. $5,000............ 1.78156 8,908............. 8,908 or Marine Parades; 27.3. (1990)............ Unlicensed Person in Charge. (Pub. L. 101-380). Vessel Navigation: Regattas 33 U.S.C. 1236(c); 33 CFR 8,000............. $5,000............ 1.78156 8,908............. 8,908 or Marine Parades; Owner 27.3. (1990)............ Onboard Vessel. (Pub. L. 101-380). Vessel Navigation: Regattas 33 U.S.C. 1236(d); 33 CFR 3,000............. $2,500............ 1.78156 4,454............. 4,454 or Marine Parades; Other 27.3. (1990)............ Persons. (Pub. L. 101-380). [[Page 42994]] Oil/Hazardous Substances: 33 U.S.C. 1321(b)(6)(B)(i); 15,000............ $10,000........... 1.78156 17,816............ 17,816 Discharges (Class I per 33 CFR 27.3. (1990)............ violation). (Pub. L. 101-380). Oil/Hazardous Substances: 33 U.S.C. 1321(b)(6)(B)(i); 40,000............ $25,000........... 1.78156 44,539............ 44,539 Discharges (Class I total 33 CFR 27.3. (1990)............ under paragraph). (Pub. L. 101-380). Oil/Hazardous Substances: 33 U.S.C. 1321(b)(6)(B)(ii); 15,000............ $10,000........... 1.78156 17,816............ 17,816 Discharges (Class II per day 33 CFR 27.3. (1990)............ of violation). (Pub. L. 101-380). Oil/Hazardous Substances: 33 U.S.C. 1321(b)(6)(B)(ii); 190,000........... $125,000.......... 1.78156 222,695........... 222,695 Discharges (Class II total 33 CFR 27.3. (1990)............ under paragraph). (Pub. L. 101-380). Oil/Hazardous Substances: 33 U.S.C. 1321(b)(7)(A); 33 40,000............ $25,000........... 1.78156 44,539............ 44,539 Discharges (per day of CFR 27.3. (1990)............ violation) Judicial (Pub. L. 101-380). Assessment. Oil/Hazardous Substances: 33 U.S.C. 1321(b)(7)(A); 33 1,100............. $1,000............ 1.78156 1,782............. 1,782 Discharges (per barrel of CFR 27.3. (1990)............ oil or unit discharged) (Pub. L. 101-380). Judicial Assessment. Oil/Hazardous Substances: 33 U.S.C. 1321(b)(7)(B); 33 40,000............ $25,000........... 1.78156 44,539............ 44,539 Failure to Carry Out Removal/ CFR 27.3. (1990)............ Comply With Order (Judicial (Pub. L. 101-380). Assessment). Oil/Hazardous Substances: 33 U.S.C. 1321(b)(7)(C); 33 40,000............ $25,000........... 1.78156 44,539............ 44,539 Failure to Comply with CFR 27.3. (1990)............ Regulation Issued Under (Pub. L. 101-380). 1321(j) (Judicial Assessment). Oil/Hazardous Substances: 33 U.S.C. 1321(b)(7)(D); 33 4,000............. $3,000............ 1.78156 5,345............. 5,345 Discharges, Gross Negligence CFR 27.3. (1990)............ (per barrel of oil or unit (Pub. L. 101-380). discharged) Judicial Assessment. Oil/Hazardous Substances: 33 U.S.C. 1321(b)(7)(D); 33 130,000........... $100,000.......... 1.78156 178,156........... 178,156 Discharges, Gross CFR 27.3. (1990)............ Negligence--Minimum Penalty (Pub. L. 101-380). (Judicial Assessment). Marine Sanitation Devices; 33 U.S.C. 1322(j); 33 CFR 3,000............. $2,000............ 5.62265 11,245............ 7,500 Operating. 27.3. (1972)............ (Pub. L. 92-500).. Marine Sanitation Devices; 33 U.S.C. 1322(j); 33 CFR 8,000............. $5,000............ 5.62265 28,113............ 20,000 Sale or Manufacture. 27.3. (1972)............ (Pub. L. 92-500).. International Navigation 33 U.S.C. 1608(a); 33 CFR 8,000............. $5,000............ 2.80469 14,023............ 14,023 Rules; Operator. 27.3. (1980)............ (Pub. L. 96-591).. International Navigation 33 U.S.C. 1608(b); 33 CFR 8,000............. $5,000............ 2.80469 14,023............ 14,023 Rules; Vessel. 27.3. (1980)............ (Pub. L. 96-591).. Pollution from Ships; General 33 U.S.C. 1908(b)(1); 33 CFR 40,000............ $25,000........... 2.80469 70,117............ 70,117 27.3. (1980)............ (Pub. L. 96-478).. Pollution from Ships; False 33 U.S.C. 1908(b)(1); 33 CFR 8,000............. $5,000............ 2.80469 14,023............ 14,023 Statement. 27.3. (1980)............ (Pub. L. 96-478).. Inland Navigation Rules; 33 U.S.C. 2072(a); 33 CFR 8,000............. $5,000............ 2.80469 14,023............ 14,023 Operator. 27.3. (1980)............ (Pub. L. 96-591).. Inland Navigation Rules; 33 U.S.C. 2072(b); 33 CFR 8,000............. $5,000............ 2.80469 14,023............ 14,023 Vessel. 27.3. (1980)............ (Pub. L. 96-591).. Shore Protection; General.... 33 U.S.C. 2609(a); 33 CFR 40,000............ $25,000........... 1.97869 49,467............ 49,467 27.3. (1988)............ (Pub. L. 100-688). Shore Protection; Operating 33 U.S.C. 2609(b); 33 CFR 15,000............ $10,000........... 1.97869 19,787............ 19,787 Without Permit. 27.3. (1988)............ (Pub. L. 100-688). Oil Pollution Liability and 33 U.S.C. 2716a(a); 33 CFR 40,000............ $25,000........... 1.78156 44,539............ 44,539 Compensation. 27.3. (1990)............ (Pub. L. 101-380). [[Page 42995]] Clean Hulls.................. 33 U.S.C. 3852(a)(1)(A); 33 37,500............ $37,500........... 1.08745 40,779............ 40,779 CFR 27.3. (2010)............ (Pub. L. 111-281). Clean Hulls--related to false 33 U.S.C. 3852(a)(1)(A); 33 50,000............ $50,000........... 1.08745 54,373............ 54,373 statements. CFR 27.3. (2010)............ (Pub. L. 111-281). Clean Hulls--Recreational 33 U.S.C. 3852(c); 33 CFR 5,000............. $5,000............ 1.08745 5,437............. 5,437 Vessel. 27.3. (2010)............ (Pub. L. 111-281). Hazardous Substances, 42 U.S.C. 9609(a); 33 CFR 35,000............ $25,000........... 2.15628 53,907............ 53,907 Releases, Liability, 27.3. (1986)............ Compensation (Class I). (Pub. L. 99-499).. Hazardous Substances, 42 U.S.C. 9609(b); 33 CFR 35,000............ $25,000........... 2.15628 53,907............ 53,907 Releases, Liability, 27.3. (1986)............ Compensation (Class II). (Pub. L. 99-499).. Hazardous Substances, 42 U.S.C. 9609(b); 33 CFR 100,000........... $75,000........... 2.15628 161,721........... 161,721 Releases, Liability, 27.3. (1986)............ Compensation (Class II (Pub. L. 99-499).. subsequent offense). Hazardous Substances, 42 U.S.C. 9609(c); 33 CFR 35,000............ $25,000........... 2.15628 53,907............ 53,907 Releases, Liability, 27.3. (1986)............ Compensation (Judicial (Pub. L. 99-499).. Assessment). Hazardous Substances, 42 U.S.C. 9609(c); 33 CFR 100,000........... $75,000........... 2.15628 161,721........... 161,721 Releases, Liability, 27.3. (1986)............ Compensation (Judicial (Pub. L. 99-499).. Assessment subsequent offense). Safe Containers for 46 U.S.C. App 1505(a)(2) 8,000............. $5,000............ 1.17858 5,893............. 5,893 International Cargo. (codified as 46 USC 80509); (2006)............ 33 CFR 27.3. (Pub. L. 109-304). Suspension of Passenger 46 U.S.C. App 1805(c)(2) 70,000............ $50,000........... 1.17858 58,929............ 58,929 Service. (codified 46 USC 70305); 33 (2006)............ CFR 27.3. (Pub. L. 109-304; 46 USC 70305). Vessel Inspection or 46 U.S.C. 2110(e); 33 CFR 8,000............. $5,000............ 1.78156 8,908............. 8,908 Examination Fees. 27.3. (1990)............ (Pub. L. 101-508). Alcohol and Dangerous Drug 46 U.S.C. 2115; 33 CFR 27.3. 7,000............. $5,000............ 1.45023 7,251............. 7,251 Testing. (1998)............ (Pub. L. 105-383). Negligent Operations: 46 U.S.C. 2302(a); 33 CFR 6,000............. $5,000............ 1.31185 6,559............. 6,559 Recreational Vessels. 27.3. (2002)............ (Pub. L. 107-295). Negligent Operations: Other 46 U.S.C. 2302(a); 33 CFR 30,000............ $25,000........... 1.31185 32,796............ 32,796 Vessels. 27.3. (2002)............ (Pub. L. 107-295). Operating a Vessel While 46 U.S.C. 2302(c)(1); 33 CFR 7,000............. $5,000............ 1.45023 7,251............. 7,251 Under the Influence of 27.3. (1998)............ Alcohol or a Dangerous Drug. (Pub. L. 105-383). Vessel Reporting 46 U.S.C. 2306(a)(4); 33 CFR 8,000............. $5,000............ 2.25867 11,293............ 11,293 Requirements: Owner, 27.3. (1984)............ Charterer, Managing (Pub. L. 98-498).. Operator, or Agent. Vessel Reporting 46 U.S.C. 2306(b)(2); 33 CFR 1,100............. $1,000............ 2.25867 2,259............. 2,259 Requirements: Master. 27.3. (1984)............ (Pub. L. 98-498).. Immersion Suits.............. 46 U.S.C. 3102(c)(1); 33 CFR 8,000............. $5,000............ 2.25867 11,293............ 11,293 27.3. (1984)............ (Pub. L. 98-623).. Inspection Permit............ 46 U.S.C. 3302(i)(5); 33 CFR 1,100............. $1,000............ 2.35483 2,355............. 2,355 27.3. (1983)............ (Pub. L. 98-89)... Vessel Inspection; General... 46 U.S.C. 3318(a); 33 CFR 8,000............. $5,000............ 2.25867 11,293............ 11,293 27.3. (1984)............ (Pub. L. 98-498).. Vessel Inspection; Nautical 46 U.S.C. 3318(g); 33 CFR 8,000............. $5,000............ 2.25867 11,293............ 11,293 School Vessel. 27.3. (1984)............ (Pub. L. 98-498).. Vessel Inspection; Failure to 46 U.S.C. 3318(h); 33 CFR 1,100............. $1,000............ 2.25867 2,259............. 2,259 Give Notice IAW 3304(b). 27.3. (1984)............ (Pub. L. 98-498).. [[Page 42996]] Vessel Inspection; Failure to 46 U.S.C. 3318(i); 33 CFR 1,100............. $1,000............ 2.25867 2,259............. 2,259 Give Notice IAW 3309(c). 27.3. (1984)............ (Pub. L. 98-498).. Vessel Inspection; Vessel 46 U.S.C. 3318(j)(1); 33 CFR 15,000............ $10,000........... 2.25867 22,587............ 22,587 >=1600 Gross Tons. 27.3. (1984)............ (Pub. L. 98-498).. Vessel Inspection; Vessel 46 U.S.C. 3318(j)(1); 33 CFR 3,000............. $2,000............ 2.25867 4,517............. 4,517 <1600 Gross Tons. 27.3. (1984)............ (Pub. L. 98-498).. Vessel Inspection; Failure to 46 U.S.C. 3318(k); 33 CFR 15,000............ $10,000........... 2.25867 22,587............ 22,587 Comply with 3311(b). 27.3. (1984)............ (Pub. L. 98-498).. Vessel Inspection; Violation 46 U.S.C. 3318(l); 33 CFR 8,000............. $5,000............ 2.25867 11,293............ 11,293 of 3318(b)-3318(f). 27.3. (1984)............ (Pub. L. 98-498).. List/count of Passengers..... 46 U.S.C. 3502(e); 33 CFR 110............... $100.............. 2.35483 235............... 235 27.3. (1983)............ (Pub. L. 98-89)... Notification to Passengers... 46 U.S.C. 3504(c); 33 CFR 15,000............ $10,000........... 2.35483 23,548............ 23,548 27.3. (1983)............ (Pub. L. 98-89)... Notification to Passengers; 46 U.S.C. 3504(c); 33 CFR 800............... $500.............. 2.35483 1,177............. 1,177 Sale of Tickets. 27.3. (1983)............ (Pub. L. 98-89)... Copies of Laws on Passenger 46 U.S.C. 3506; 33 CFR 27.3. 300............... $200.............. 2.35483 471............... 471 Vessels; Master. (1983)............ (Pub. L. 98-89)... Liquid Bulk/Dangerous Cargo.. 46 U.S.C. 3718(a)(1); 33 CFR 40,000............ $25,000........... 2.35483 58,871............ 58,871 27.3. (1983)............ (Pub. L. 98-89)... Uninspected Vessels.......... 46 U.S.C. 4106; 33 CFR 27.3. 8,000............. $5,000............ 1.97869 9,893............. 9,893 (1988)............ (Pub. L. 100-540). Recreational Vessels (maximum 46 U.S.C. 4311(b)(1); 33 CFR 300,000........... $250,000.......... 1.24588 311,470........... 311,470 for related series of 27.3. (2004)............ violations). (Pub. L. 108-293). Recreational Vessels; 46 U.S.C. 4311(b)(1); 33 CFR 6,000............. $5,000............ 1.24588 6,229............. 6,229 Violation of 4307(a). 27.3. (2004)............ (Pub. L. 108-293). Recreational vessels......... 46 U.S.C. 4311(c); 33 CFR 1,100............. $1,000............ 2.35483 2,355............. 2,355 27.3. (1983)............ (Pub. L. 98-89)... Uninspected Commercial 46 U.S.C. 4507; 33 CFR 27.3. 8,000............. $5,000............ 1.97869 9,893............. 9,893 Fishing Industry Vessels. (1988)............ (Pub. L. 100-424). Abandonment of Barges........ 46 U.S.C. 4703; 33 CFR 27.3. 1,100............. $1,000............ 1.67728 1,677............. 1,677 (1992)............ (Pub. L. 102-587). Load Lines................... 46 U.S.C. 5116(a); 33 CFR 8,000............. $5,000............ 2.15628 10,781............ 10,781 27.3. (1986)............ (Pub. L. 99-509).. Load Lines; Violation of 46 U.S.C. 5116(b); 33 CFR 15,000............ $10,000........... 2.15628 21,563............ 21,563 5112(a). 27.3. (1986)............ (Pub. L. 99-509).. Load Lines; Violation of 46 U.S.C. 5116(c); 33 CFR 8,000............. $5,000............ 2.15628 10,781............ 10,781 5112(b). 27.3. (1986)............ (Pub. L. 99-509).. Reporting Marine Casualties.. 46 U.S.C. 6103(a); 33 CFR 35,000............ $25,000........... 1.50245 37,561............ 37,561 27.3. (1996)............ (Pub. L. 104-324). Reporting Marine Casualties; 46 U.S.C. 6103(b); 33 CFR 8,000............. $5,000............ 1.97869 9,893............. 9,893 Violation of 6104. 27.3. (1988)............ (Pub. L. 100-424). Manning of Inspected Vessels; 46 U.S.C. 8101(e); 33 CFR 1,100............. $1,000............ 1.78156 1,782............. 1,782 Failure to Report Deficiency 27.3. (1990)............ in Vessel Complement. (Pub. L. 101-380). [[Page 42997]] Manning of Inspected Vessels. 46 U.S.C. 8101(f); 33 CFR 15,000............ $10,000........... 1.78156 17,816............ 17,816 27.3. (1990)............ (Pub. L. 101-380). Manning of Inspected Vessels; 46 U.S.C. 8101(g); 33 CFR 15,000............ $10,000........... 1.78156 17,816............ 17,816 Employing or Serving in 27.3. (1990)............ Capacity not Licensed by (Pub. L. 101-380). USCG. Manning of Inspected Vessels; 46 U.S.C. 8101(h); 33 CFR 1,100............. $1,000............ 2.35483 2,355............. 2,355 Freight Vessel <100 GT, 27.3. (1983)............ Small Passenger Vessel, or (Pub. L. 98-89)... Sailing School Vessel. Watchmen on Passenger Vessels 46 U.S.C. 8102(a)........... 1,100............. $1,000............ 2.35483 2,355............. 2,355 (1983)............ (Pub. L. 98-89)... Citizenship Requirements..... 46 U.S.C. 8103(f)........... 800............... $500.............. 2.35483 1,177............. 1,177 (1983)............ (Pub. L. 98-89)... Watches on Vessels; Violation 46 U.S.C. 8104(i)........... 15,000............ $10,000........... 1.78156 17,816............ 17,816 of 8104(a) or (b). (1990)............ (Pub. L. 101-380). Watches on Vessels; Violation 46 U.S.C. 8104(j)........... 15,000............ $10,000........... 1.78156 17,816............ 17,816 of 8104(c), (d), (e), or (h). (1990)............ (Pub. L. 101-380). Staff Department on Vessels.. 46 U.S.C. 8302(e)........... 110............... $100.............. 2.35483 235............... 235 (1983)............ (Pub. L. 98-89)... Officer's Competency 46 U.S.C. 8304(d)........... 110............... $100.............. 2.35483 235............... 235 Certificates. (1983)............ (Pub. L. 98-89)... Coastwise Pilotage; Owner, 46 U.S.C. 8502(e)........... 15,000............ $10,000........... 1.78156 17,816............ 17,816 Charterer, Managing (1990)............ Operator, Agent, Master or (Pub. L. 101-380). Individual in Charge. Coastwise Pilotage; 46 U.S.C. 8502(f)........... 15,000............ $10,000........... 1.78156 17,816............ 17,816 Individual. (1990)............ (Pub. L. 101-380). Federal Pilots............... 46 U.S.C. 8503.............. 40,000............ $25,000........... 2.25867 56,467............ 56,467 (1984)............ (Pub. L. 98-557).. Merchant Mariners Documents.. 46 U.S.C. 8701(d)........... 800............... $500.............. 2.35483 1,177............. 1,177 (1983)............ (Pub. L. 98-89)... Crew Requirements............ 46 U.S.C. 8702(e)........... 15,000............ $10,000........... 1.78156 17,816............ 17,816 (1990)............ (Pub. L. 101-380). Small Vessel Manning......... 46 U.S.C. 8906.............. 35,000............ $25,000........... 1.50245 37,561............ 37,561 (1996)............ (Pub. L. 104-324). Pilotage: Great Lakes; Owner, 46 U.S.C. 9308(a)........... 15,000............ $10,000........... 1.78156 17,816............ 17,816 Charterer, Managing (1990)............ Operator, Agent, Master or (Pub. L. 101-380). Individual in Charge. Pilotage: Great Lakes; 46 U.S.C. 9308(b)........... 15,000............ $10,000........... 1.78156 17,816............ 17,816 Individual. (1990)............ (Pub. L. 101-380). Pilotage: Great Lakes; 46 U.S.C. 9308(c)........... 15,000............ $10,000........... 1.78156 17,816............ 17,816 Violation of 9303. (1990)............ (Pub. L. 101-380). Failure to Report Sexual 46 U.S.C. 10104(b).......... 8,000............. $5,000............ 1.89361 9,468............. 9,468 Offense. (1989)............ (Pub. L. 101-225). Pay Advances to Seamen....... 46 U.S.C. 10314(a)(2)....... 800............... $500.............. 2.35483 1,177............. 1,177 (1983)............ (Pub. L. 98-89)... Pay Advances to Seamen; 46 U.S.C. 10314(b).......... 800............... $500.............. 2.35483 1,177............. 1,177 Remuneration for Employment. (1983)............ (Pub. L. 98-89)... [[Page 42998]] Allotment to Seamen.......... 46 U.S.C. 10315(c).......... 800............... $500.............. 2.35483 1,177............. 1,177 (1983)............ (Pub. L. 98-89)... Seamen Protection; General... 46 U.S.C. 10321............. 7,000............. $5,000............ 1.63238 8,162............. 8,162 (1993)............ (Pub. L. 103-206). Coastwise Voyages: Advances.. 46 U.S.C. 10505(a)(2)....... 7,000............. $5,000............ 1.63238 8,162............. 8,162 (1993)............ (Pub. L. 103-206). Coastwise Voyages: Advances; 46 U.S.C. 10505(b).......... 7,000............. $5,000............ 1.63238 8,162............. 8,162 Remuneration for Employment. (1993)............ (Pub. L. 103-206). Coastwise Voyages: Seamen 46 U.S.C. 10508(b).......... 7,000............. $5,000............ 1.63238 8,162............. 8,162 Protection; General. (1993)............ (Pub. L. 103-206). Effects of Deceased Seamen... 46 U.S.C. 10711............. 300............... $200.............. 2.35483 471............... 471 (1983)............ (Pub. L. 98-89)... Complaints of Unfitness...... 46 U.S.C. 10902(a)(2)....... 800............... $500.............. 2.35483 1,177............. 1,177 (1983)............ (Pub. L. 98-89)... Proceedings on Examination of 46 U.S.C. 10903(d).......... 110............... $100.............. 2.35483 235............... 235 Vessel. (1983)............ (Pub. L. 98-89)... Permission to Make Complaint. 46 U.S.C. 10907(b).......... 800............... $500.............. 2.35483 1,177............. 1,177 (1983)............ (Pub. L. 98-89)... Accommodations for Seamen.... 46 U.S.C. 11101(f).......... 800............... $500.............. 2.35483 1,177............. 1,177 (1983)............ (Pub. L. 98-89)... Medicine Chests on Vessels... 46 U.S.C. 11102(b).......... 800............... $500.............. 2.35483 1,177............. 1,177 (1983)............ (Pub. L. 98-89)... Destitute Seamen............. 46 U.S.C. 11104(b).......... 110............... $100.............. 2.35483 235............... 235 (1983)............ (Pub. L. 98-89)... Wages on Discharge........... 46 U.S.C. 11105(c).......... 800............... $500.............. 2.35483 1,177............. 1,177 (1983)............ (Pub. L. 98-89)... Log Books; Master Failing to 46 U.S.C. 11303(a).......... 300............... $200.............. 2.35483 471............... 471 Maintain. (1983)............ (Pub. L. 98-89)... Log Books; Master Failing to 46 U.S.C. 11303(b).......... 300............... $200.............. 2.35483 471............... 471 Make Entry. (1983)............ (Pub. L. 98-89)... Log Books; Late Entry........ 46 U.S.C. 11303(c).......... 200............... $150.............. 2.35483 353............... 353 (1983)............ (Pub. L. 98-89)... Carrying of Sheath Knives.... 46 U.S.C. 11506............. 80................ $50............... 2.35483 118............... 118 (1983)............ (Pub. L. 98-89)... Vessel Documentation......... 46 U.S.C. 12151(a)(1)....... 15,000............ $15,000........... 1.02819 15,423............ 15,423 (2012)............ (Pub. L. 112-213). Documentation of Vessels-- 46 U.S.C. 12151(a)(2)....... 25,000............ $25,000........... 1.02819 25,705............ 25,705 Related to Activities (2012)............ involving mobile offshore (Pub. L. 112-213). drilling units. Vessel Documentation; Fishery 46 U.S.C. 12151(c).......... 130,000........... $100,000.......... 1.17858 117,858........... 117,858 Endorsement. (2006)............ (Pub. L. 109-304). Numbering of Undocumented 46 U.S.C. 12309(a).......... 6,000............. $5,000............ 2.35483 11,774............ 11,774 Vessels--Willful violation. (1983)............ (Pub. L. 98-89)... Numbering of Undocumented 46 U.S.C. 12309(b).......... 1,100............. $1,000............ 2.35483 2,355............. 2,355 Vessels. (1983)............ (Pub. L. 98-89)... Vessel Identification System. 46 U.S.C. 12507(b).......... 15,000............ $10,000........... 1.97869 19,787............ 19,787 (1988)............ (Pub. L. 100-710). [[Page 42999]] Measurement of Vessels....... 46 U.S.C. 14701............. 30,000............ $20,000........... 2.15628 43,126............ 43,126 (1986)............ (Pub. L. 99-509).. Measurement; False Statements 46 U.S.C. 14702............. 30,000............ $20,000........... 2.15628 43,126............ 43,126 (1986)............ (Pub. L. 99-509).. Commercial Instruments and 46 U.S.C. 31309............. 15,000............ $10,000........... 1.97869 19,787............ 19,787 Maritime Liens. (1988)............ (Pub. L. 100-710). Commercial Instruments and 46 U.S.C. 31330(a)(2)....... 15,000............ $10,000........... 1.97869 19,787............ 19,787 Maritime Liens; Mortgagor. (1988)............ (Pub. L. 100-710). Commercial Instruments and 46 U.S.C. 31330(b)(2)....... 35,000............ $25,000........... 1.97869 49,467............ 49,467 Maritime Liens; Violation of (1988)............ 31329. (Pub. L. 100-710). Port Security................ 46 U.S.C. 70119(a).......... 30,000............ $25,000........... 1.31185 32,796............ 32,796 (2002)............ (Pub. L. 107-295). Port Security--Continuing 46 U.S.C. 70119(b).......... 50,000............ $50,000........... 1.17858 58,929............ 58,929 Violations. (2006)............ (Pub. L. 109-241). Maritime Drug Law Enforcement 46 U.S.C. 70506(c).......... 5,000............. $5,000............ 1.08745 5,437............. 5,437 (2010)............ (Pub. L. 111-281). Hazardous Materials: Related 49 U.S.C. 5123(a)(1)........ 75,000............ $75,000........... 1.02819 77,114............ 77,114 to Vessels. (2012)............ (Pub. L. 112-141). Hazardous Materials: Related 49 U.S.C. 5123(a)(2)........ 175,000........... $175,000.......... 1.02819 179,933........... 179,933 to Vessels--Penalty from (2012)............ Fatalities, Serious Injuries/ (Pub. L. 112-141). Illness or substantial Damage to Property. Hazardous Materials: Related 49 U.S.C. 5123(a)(3)........ 450............... $450.............. 1.02819 463............... 463 to Vessels; Training. (2012)............ (Pub. L. 112-141). -------------------------------------------------------------------------------------------------------------------------------------------------------- * The amount of the penalty and the year of when the penalty was established or last adjusted in statute or regulation other than pursuant to the Inflation Adjustment Act of 1990. ** OMB, Implementation of the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, Table A: 2016 Civil Monetary Penalty Catch-Up Adjustment Multiplier by Calendar Year, February 24, 2016. *** Exempt as under the Tariff Act. E. Transportation Security Administration The Transportation Security Administration (TSA) is updating its civil penalties regulation in accordance with the 2015 Act. Pursuant to its statutory authority in 49 U.S.C. 114(v), TSA may impose penalties for violations of any statute that TSA administers, whether an implementing regulation or order imposes the penalty.\6\ TSA assesses these penalties for a wide variety of aviation and surface security requirements, including violations of TSA's requirements applicable to Transportation Worker Identification Credentials (TWIC),\7\ as well as violations of requirements described in chapter 449 of Title 49 of the U.S. Code. These penalties can apply to a wide variety of situations, as described in the statutory and regulatory provisions, as well as in guidance that TSA publishes. --------------------------------------------------------------------------- \6\ See 49 U.S.C. 114(v), as amended by sec. 1302 of the Implementing Recommendations of the 9/11 Commission Act of 2007 (Pub. L. 110-53, 121 Stat. 266 (Aug. 3, 2007)). \7\ See, e.g., 46 U.S.C. 70105, 49 U.S.C. 46302 and 46303, and U.S.C. ch. 449. --------------------------------------------------------------------------- TSA's maximum civil penalty amounts are located in 49 CFR 1503.401. Over the years, Congress has increased the amount of those penalties to reflect the importance of maintaining aviation security. In section 1602 of the Homeland Security Act of 2002 (Pub. L. 107-296 (Nov. 25, 2002)), Congress raised the maximum civil penalty amounts per violation for certain aviation security statutes. Additionally, in section 503(b) of the Vision 100--Century of Aviation Reauthorization Act (Vision 100) (Pub. L. 108-176 (Dec. 12, 2003)), Congress raised the total civil penalty amount per case that TSA may assess. In this rulemaking, we are also making several minor adjustments to the regulatory text in section 1503.401 beyond simply updating the penalty numbers. First, we are eliminating the text in paragraph (d), ``Inflation adjustment,'' because it is no longer needed. Pursuant to the 2015 Act, TSA will carry out inflation adjustments annually in the future, so there is no need for this text. Each year, TSA will update the amounts with current figures per the latest adjustment. Additionally, TSA is correcting a minor error that appeared in section 1503.401(c). Previously, subsection [[Page 43000]] (c)(1), which prescribed penalties for certain aviation-related violations, stated that the penalty against an entity that is operating a non-aircraft operator business was limited to $50,000. However, that statement incorrectly applied the limiting provision in 49 U.S.C. 46301(d)(8)(C), which applies the $50,000 limitation (unadjusted for inflation) only to individuals and small businesses. TSA can assess the full amount of $400,000 (adjusted for inflation) against an entity that is not an individual or small business, and operating a non-aircraft operator business who is subject to this fine. We have made this correction by removing the inaccurate clause from paragraph (c)(1) and adding a new paragraph (c)(2) explicitly stating that an entity operating an on-aircraft operator business is subject to the full fine. We are redesignating existing paragraph (c)(2) as (c)(3). Under this rule, the current penalties continue to be applicable with regard to violations that occurred on or before November 2, 2015, the date of enactment of the 2015 Act. Table 5 below contains a full list of the penalties assessed by the Transportation Security Administration, where the associated violation occurred after November 2, 2015. Table 5--Transportation Security Administration Civil Penalties Adjustments -------------------------------------------------------------------------------------------------------------------------------------------------------- Adjusted new Preliminary new penalty [increase Penalty name Citation Current penalty Baseline penalty * Multiplier penalty [multiplier capped at 150% more (year) ** x baseline than current penalty] penalty] -------------------------------------------------------------------------------------------------------------------------------------------------------- Violation of 49 U.S.C. ch. 449 49 U.S.C. $27,500 (up to a $25,000 (2003) (up 1.28561 $32,140 (up to a $32,140 (up to a (except secs. 44902, 44903(d), 46301(a)(1), (4); total of $400,000 to a total of total of $514,244 total of $514,244 44907(a)-(d)(1)(A), 49 CFR per civil penalty $400,000 per civil per civil penalty per civil penalty 44907(d)(1)(C)-(f), 44908, and 1503.401(c)(2). action). penalty action). action). action). 44909), or 49 U.S.C. 46302 or 46303, a regulation prescribed, or order issued thereunder by a person operating an aircraft for the transportation of passengers or property for compensation. Violation of 49 U.S.C. ch. 449 49 U.S.C. $11,000 (up to a $10,000 (2003) (up 1.28561 $12,856 (up to a $12,856 (up to a (except secs. 44902, 44903(d), 46301(a)(1), (4); total of $50,000 to a total of total of $64,281 total of $64,281 44907(a)-(d)(1)(A), 49 CFR total for small $50,000 total for total for small total for small 44907(d)(1)(C)-(f), 44908, and 1503.401(c)(1). businesses, small businesses, businesses, businesses, 44909), or 49 U.S.C. 46302 or $400,000 for $400,000 for $514,244 for $514,244 for 46303, a regulation prescribed, others). others). others). others). or order issued thereunder by an individual (except an airman serving as an airman), any person not operating an aircraft for the transportation of passengers or property for compensation, or a small business concern. Violation of any other provision 49 U.S.C. 114(v); 49 $10,000 (up to a $10,000 (2009) (up 1.10020 $11,002 (up to a $11,002 (up to a of title 49 U.S.C. or of 46 CFR 1503.401(b). total of $50,000 to a total of total of $55,010 total of $55,010 U.S.C. ch. 701, a regulation total for small $50,000 total for total for small total for small prescribed, or order issued businesses, small businesses, businesses, businesses, thereunder. $400,000 for $400,000 for $440,080 for $440,080 for others). others). others). others). -------------------------------------------------------------------------------------------------------------------------------------------------------- * The amount of the penalty and the year of when the penalty was established or last adjusted in statute or regulation other than pursuant to the Inflation Adjustment Act of 1990. ** OMB, Implementation of the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, Table A: 2016 Civil Monetary Penalty Catch-Up Adjustment Multiplier by Calendar Year, February 24, 2016. III. Administrative Procedure Act The Administrative Procedure Act (APA) generally requires agencies to publish a notice of proposed rulemaking in the Federal Register (5 U.S.C. 553(b)) and to provide interested persons with the opportunity to submit comments (5 U.S.C. 553(c)). The APA, however, provides an exception to the notice and public comment requirements where the ``agency for good cause finds . . . that notice and public procedure thereon are impracticable, unnecessary, or contrary to public interest.'' 5 U.S.C. 553(b)(B). DHS is promulgating this rule to ensure that the amount of civil penalties that DHS assesses or enforces reflects the statutorily mandated ranges as adjusted for inflation. Pursuant to 5 U.S.C. 553(b)(3)(B), there is good cause to issue this rule without prior public notice or opportunity for public comment, because it would be impracticable and unnecessary. The 2015 Act directed agencies to ``adjust civil monetary penalties through an interim final rulemaking'' and to make subsequent annual adjustments for inflation to civil monetary penalties notwithstanding section 553 of title 5 of the U.S. Code. In addition, the 2015 Act provides a clear formula for adjustment of the civil penalties, leaving DHS and its components with little room for discretion. DHS and its components have been charged only with performing ministerial computations to determine the amounts of adjustments for inflation to civil monetary penalties. Accordingly, prior public notice and comment are not required for this rule. IV. Regulatory Analyses A. Executive Orders 12866 and 13563 Executive Orders 12866 and 13563 direct agencies to assess the costs and benefits of available regulatory alternatives and, if regulation is necessary, to select regulatory approaches that maximize net benefits (including potential economic, environmental, public health and safety effects, distributive impacts, and equity). Executive Order 13563 emphasizes the importance of quantifying both costs and benefits, of reducing costs, of harmonizing rules, and of promoting flexibility. This final rule has not been designated a ``significant regulatory action,'' under section 3(f) of Executive Order 12866. Accordingly, the Office of Management [[Page 43001]] and Budget (OMB) has not reviewed this rule. This final rule makes nondiscretionary adjustments to existing civil monetary penalties in accordance with the 2015 Act and OMB guidance.\8\ DHS therefore did not consider alternatives and does not have the flexibility to alter the adjustments of the civil monetary penalty amounts as provided in this rule. To the extent this rule increases civil monetary penalties, it would result in an increase in transfers from persons or entities assessed a civil monetary penalty to the government. --------------------------------------------------------------------------- \8\ OMB, Implementation of the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, 24 February 2016. https://www.whitehouse.gov/sites/default/files/omb/memoranda/2016/m-16-06.pdf. --------------------------------------------------------------------------- B. Regulatory Flexibility Act The Regulatory Flexibility Act applies only to rules for which an agency publishes a notice of proposed rulemaking pursuant to 5 U.S.C. 553(b). See 5 U.S.C. 601-612. The Regulatory Flexibility Act does not apply to this interim final rule, because a notice of proposed rulemaking is not required for the reasons stated above. C. Unfunded Mandates Reform Act The Unfunded Mandates Reform Act of 1995, 2 U.S.C. 1531-1538, requires Federal agencies to assess the effects of their discretionary regulatory actions. In particular, the Act addresses actions that may result in the expenditure by a State, local, or Tribal government, in the aggregate, or by the private sector of $100,000,000 (adjusted for inflation) or more in any one year. This interim final rule will not result in such an expenditure. D. Paperwork Reduction Act The provisions of the Paperwork Reduction Act of 1995, 44 U.S.C. chapter 35, and its implementing regulations, 5 CFR part 1320, do not apply to this final rule, because this interim final rule does not trigger any new or revised recordkeeping or reporting. List of Subjects 6 CFR Part 27 Reporting and recordkeeping requirements, Security measures. 8 CFR Part 270 Administrative practice and procedure, Aliens, Employment, Fraud, Penalties. 8 CFR Part 274a Administrative practice and procedure, Aliens, Employment, Penalties, Reporting and recordkeeping requirements. 8 CFR Part 280 Administrative practice and procedure, Immigration, Penalties. 33 CFR Part 27 Administrative practice and procedure, Penalties. 49 CFR Part 1503 Administrative practice and procedure, Investigations, Law enforcement, Penalties. Amendments to the Regulations For the reasons stated in the preamble, the Department of Homeland Security amends 6 CFR part 27, 8 CFR parts 270, 274a, and 280, 33 CFR part 27, and 49 CFR part 1503 as follows: Title 6--Domestic Security PART 27--CHEMICAL FACILITY ANTI-TERRORISM STANDARDS 0 1. The authority citation for part 27 is revised to read as follows: Authority: 6 U.S.C. 624; Pub. L. 101-410, 104 Stat. 890, as amended by Pub. L. 114-74, 129 Stat. 599. 0 2. In Sec. 27.300, revise paragraph (b)(3) to read as follows: Sec. 27.300 Orders. * * * * * (b) * * * (3) Where the Assistant Secretary determines that a facility is in violation of an Order issued pursuant to paragraph (a) of this section and issues an Order Assessing Civil Penalty pursuant to paragraph (b)(1) of this section, a chemical facility is liable to the United States for a civil penalty of not more than $25,000 for each day during which the violation continues, if the violation of the Order occurred on or before November 2, 2015, or $32,796 for each day during which the violation of the Order continues, if the violation occurred after November 2, 2015. * * * * * Title 8--Aliens and Nationality PART 270--PENALTIES FOR DOCUMENT FRAUD 0 3. The authority citation for part 270 is revised to read as follows: Authority: 8 U.S.C. 1101, 1103, and 1324c; Pub. L. 101-410, 104 Stat. 890, as amended by Pub. L. 104-134, 110 Stat. 1321 and Pub. L. 114-74, 129 Stat. 599. 0 4. In Sec. 270.3, revise paragraphs (b)(1)(ii)(A), (B), (C), and (D) to read as follows: Sec. 270.3 Penalties. * * * * * (b) * * * (1) * * * (ii) * * * (A) First offense under section 274C(a)(1) through (a)(4). Not less than $275 and not exceeding $2,200 for each fraudulent document or each proscribed activity described in section 274C(a)(1) through (a)(4) of the Act before March 27, 2008; not less than $375 and not exceeding $3,200 for each fraudulent document or each proscribed activity described in section 274C(a)(1) through (a)(4) of the Act on or after March 27, 2008 and on or before November 2, 2015; and not less than $445 and not exceeding $3,563 for each fraudulent document or each proscribed activity described in section 274C(a)(1) through (a)(4) of the Act after November 2, 2015. (B) First offense under section 274C(a)(5) or (a)(6). Not less than $250 and not exceeding $2,000 for each fraudulent document or each proscribed activity described in section 274C(a)(5) or (a)(6) of the Act before March 27, 2008; not less than $275 and not exceeding $2,200 for each fraudulent document or each proscribed activity described in section 274C(a)(5) or (a)(6) of the Act on or after March 27, 2008 and on or before November 2, 2015; and not less than $376 and not exceeding $3,005 for each fraudulent document or each proscribed activity described in section 274C(a)(5) or (a)(6) of the Act after November 2, 2015. (C) Subsequent offenses under section 274C(a)(1) through (a)(4). Not less than $2,200 and not more than $5,500 for each fraudulent document or each proscribed activity described in section 274C(a)(1) through (a)(4) of the Act before March 27, 2008; not less than $3,200 and not exceeding $6,500 for each fraudulent document or each proscribed activity described in section 274C(a)(1) through (a)(4) of the Act occurring on or after March 27, 2008 and on or before November 2, 2015; and not less than $3,563 and not more than $8,908 for each fraudulent document or each proscribed activity described in section 274C(a)(1) through (a)(4) of the Act after November 2, 2015. (D) Subsequent offenses under section 274C(a)(5) or (a)(6). Not less than $2,000 and not more than $5,000 for each fraudulent document or each proscribed activity described in section 274C(a)(5) or (a)(6) of the Act before March 27, 2008; not less than $2,200 and not exceeding $5,500 for each fraudulent [[Page 43002]] document or each proscribed activity described in section 274C(a)(5) or (a)(6) of the Act occurring on or after March 27, 2008 and on or before November 2, 2015; and not less than $3,005 and not more than $7,512 for each fraudulent document or each proscribed activity described in section 274C(a)(5) or (a)(6) of the Act after November 2, 2015. * * * * * PART 274a--CONTROL OF EMPLOYMENT OF ALIENS 0 5. The authority citation for part 274a is revised to read as follows: Authority: 8 U.S.C. 1101, 1103, 1324a; 48 U.S.C. 1806; 8 CFR part 2; Pub. L. 101-410, 104 Stat. 890, as amended by Pub. L. 114- 74, 129 Stat. 599. 0 6. In Sec. 4a.8, revise (b) to read as follows: Sec. 274a.8 Prohibition of indemnity bonds. * * * * * (b) Penalty. Any person or other entity who requires any individual to post a bond or security as stated in this section shall, after notice and opportunity for an administrative hearing in accordance with section 274A(e)(3)(B) of the Act, be subject to a civil monetary penalty of $1,000 for each violation before September 29, 1999, of $1,100 for each violation occurring on or after September 29, 1999 but on or before November 2, 2015, and of $2,156 for each violation occurring after November 2, 2015, and to an administrative order requiring the return to the individual of any amounts received in violation of this section or, if the individual cannot be located, to the general fund of the Treasury. 0 7. In Sec. 274a.10, revise paragraphs (b)(1)(ii)(A),(B),(C), and (b)(1)(iii)(2) to read as follows: Sec. 274a.10 Penalties. * * * * * (b) * * * (1) * * * (ii) * * * (A) First offense--not less than $275 and not more than $2,200 for each unauthorized alien with respect to whom the offense occurred before March 27, 2008; not less than $375 and not exceeding $3,200, for each unauthorized alien with respect to whom the offense occurred occurring on or after March 27, 2008 and on or before November 2, 2015; and not less than $539 and not more than $4,313 for each unauthorized alien with respect to whom the offense occurred occurring after November 2, 2015. (B) Second offense--not less than $2,200 and not more than $5,500 for each unauthorized alien with respect to whom the second offense occurred before March 27, 2008; not less than $3,200 and not more than $6,500, for each unauthorized alien with respect to whom the second offense occurred on or after March 27, 2008 and on or before November 2, 2015; and not less than $4,313 and not more than $10,781 for each unauthorized alien with respect to whom the second offense occurred after November 2, 2015; or (C) More than two offenses--not less than $3,300 and not more than $11,000 for each unauthorized alien with respect to whom the third or subsequent offense occurred before March 27, 2008; not less than $4,300 and not exceeding $16,000, for each unauthorized alien with respect to whom the third or subsequent offense occurred on or after March 27, 2008 and on or before November 2, 2015; and not less than $6,469 and not more than $21,563 for each unauthorized alien with respect to whom the third or subsequent offense occurred after November 2, 2015; and (iii) * * * (2) A respondent determined by the Service (if a respondent fails to request a hearing) or by an administrative law judge, to have failed to comply with the employment verification requirements as set forth in Sec. 274a.2(b), shall be subject to a civil penalty in an amount of not less than $100 and not more than $1,000 for each individual with respect to whom such violation occurred before September 29, 1999; not less than $110 and not more than $1,100 for each individual with respect to whom such violation occurred on or after September 29, 1999 and on or before November 2, 2015; and not less than $216 and not more than $2,156 for each individual with respect to whom such violation occurred after November 2, 2015. In determining the amount of the penalty, consideration shall be given to: (i) The size of the business of the employer being charged; (ii) The good faith of the employer; (iii) The seriousness of the violation; (iv) Whether or not the individual was an unauthorized alien; and (v) The history of previous violations of the employer. * * * * * PART 280--IMPOSITION AND COLLECTION OF FINES 0 8. The authority citation for part 280 is revised to read as follows: Authority: 8 U.S.C. 1103, 1221, 1223, 1227, 1229, 1253, 1281, 1283, 1284, 1285, 1286, 1322, 1323, 1330; 66 Stat. 173, 195, 197, 201, 203, 212, 219, 221-223, 226, 227, 230; Pub. L. 101-410, 104 Stat. 890, as amended by Pub. L. 114-74, 129 Stat. 599. 0 9. Revise Sec. 280.53 to read as follows: Sec. 280.53 Civil Monetary Penalties Inflation Adjustment. (a) Statutory authority. In accordance with the requirements of the Federal Civil Penalties Inflation Adjustment Act of 1990, Public Law 101-410, 104 Stat. 890, as amended by the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, Public Law 114-74, Sec. 701, 129 Stat. 599, the civil monetary penalties listed in paragraph (b) of this section are adjusted as provided in this paragraph (b). (b) Adjustment of penalties. For violations occurring on or before November 2, 2015, the penalty amount prior to adjustment applies. For violations occurring after November 2, 2015, the listed penalties are adjusted as follows: (1) Section 231(g) of the Act, Penalties for non-compliance with arrival and departure manifest requirements for passengers, crewmembers, or occupants transported on commercial vessels or aircraft arriving to or departing from the United States: From $1,100 to $1,312. (2) Section 234 of the Act, Penalties for non-compliance with landing requirements at designated ports of entry for aircraft transporting aliens: From $3,200 to $3,563. (3) Section 240B(d) of the Act, Penalties for failure to depart voluntarily: From $1,100 minimum/$5,500 maximum to $1,502 minimum/ $7,512 maximum. (4) Section 243(c)(1)(A) of the Act, Penalties for violations of removal orders relating to aliens transported on vessels or aircraft, under section 241(d) of the Act, or for costs associated with removal under section 241(e) of the Act: From $2,200 to $3,005; (5) Penalties for failure to remove alien stowaways under section 241(d)(2): From $5,500 to $7,512. (6) Section 251(d) of the Act, Penalties for failure to report an illegal landing or desertion of alien crewmen, and for each alien not reported on arrival or departure manifest or lists required in accordance with section 251 of the Act: From $320 to $356; and penalties for use of alien crewmen for longshore work in violation of section 251(d) of the Act: From $7,500 to $8,908. (7) Section 254(a) of the Act, Penalties for failure to control, detain, or remove alien crewmen: From $750 minimum/$4,300 maximum to $891 minimum/$5,345 maximum. (8) Section 255 of the Act, Penalties for employment on passenger vessels of [[Page 43003]] aliens afflicted with certain disabilities: From $1,100 to $1,782. (9) Section 256 of the Act, Penalties for discharge of alien crewmen: From $1,500 minimum/$4,300 maximum to $2,672 minimum/$5,345 maximum. (10) Section 257 of the Act, Penalties for bringing into the United States alien crewmen with intent to evade immigration laws: From $16,000 maximum to $17,816 maximum. (11) Section 271(a) of the Act, Penalties for failure to prevent the unauthorized landing of aliens: From $4,300 to $5,345. (12) Section 272(a) of the Act, Penalties for bringing to the United States aliens subject to denial of admission on a health-related ground: From $4,300 to $5,345. (13) Section 273(b) of the Act, Penalties for bringing to the United States aliens without required documentation: From $4,300 to $5,345. (14) Section 274D of the Act, Penalties for failure to depart: From $550 to $751, for each day the alien is in violation. (15) Section 275(b) of the Act, Penalties for improper entry: From $55 minimum/$275 maximum to $75 minimum/$376 maximum, for each entry or attempted entry. Title 33--Navigation and Navigable Waters PART 27--ADJUSTMENT OF CIVIL MONETARY PENALTIES FOR INFLATION 0 10. The authority citation for part 27 continues to read as follows: Authority: Secs. 1-6, Public Law 101-410, 104 Stat. 890, as amended by Sec. 31001(s)(1), Public Law 104-134, as amended by Public Law 114-74; 110 Stat. 1321 (28 U.S.C. 2461 note); Department of Homeland Security Delegation No. 0170.1, sec. 2 (106). 0 11. Revise Sec. 27.3 to read as follows: Sec. 27.3 Penalty adjustment table. Table 1 identifies the statutes administered by the Coast Guard that authorize a civil monetary penalty. The ``adjusted maximum penalty'' is the maximum penalty authorized by the Federal Civil Penalties Inflation Adjustment Act of 1990, as amended by the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, as determined by the Coast Guard. The adjusted civil penalty amounts listed in Table 1 are applicable for penalty assessments issued after August 1, 2016, with respect to violations occurring after November 2, 2015. The applicable civil penalty amounts for violations occurring on or before November 2, 2015, are set forth in previously published regulations amending 33 CFR part 27. Table 1--Civil Monetary Penalty Inflation Adjustments ---------------------------------------------------------------------------------------------------------------- 2016 adjusted maximum U.S. Code citation Civil monetary penalty description penalty amount ($) ---------------------------------------------------------------------------------------------------------------- 14 U.S.C. 88(c)................................... Saving Life and Property.................... 10,017 14 U.S.C. 88(e)................................... Saving Life and Property; Intentional 1,028 Interference with Broadcast. 14 U.S.C. 645(i).................................. Confidentiality of Medical Quality Assurance 5,032 Records (first offense). 14 U.S.C. 645(i).................................. Confidentiality of Medical Quality Assurance 33,546 Records (subsequent offenses). 16 U.S.C. 4711(g)(1).............................. Aquatic Nuisance Species in Waters of the 37,561 United States. 19 U.S.C. 70...................................... Obstruction of Revenue Officers by Masters 7,500 of Vessels. 19 U.S.C. 70...................................... Obstruction of Revenue Officers by Masters 1,750 of Vessels--Minimum Penalty. 19 U.S.C. 1581(d)................................. Failure to Stop Vessel When Directed; 5,000 Master, Owner, Operator or Person in Charge \1\. 19 U.S.C. 1581(d)................................. Failure to Stop Vessel When Directed; 1,000 Master, Owner, Operator or Person in Charge--Minimum Penalty \1\. 33 U.S.C. 471..................................... Anchorage Ground/Harbor Regulations General. 10,875 33 U.S.C. 474..................................... Anchorage Ground/Harbor Regulations St. 750 Mary's River. 33 U.S.C. 495(b).................................. Bridges/Failure to Comply with Regulations.. 27,455 33 U.S.C. 499(c).................................. Bridges/Drawbridges......................... 27,455 33 U.S.C. 502(c).................................. Bridges/Failure to Alter Bridge Obstructing 27,455 Navigation. 33 U.S.C. 533(b).................................. Bridges/Maintenance and Operation........... 27,455 33 U.S.C. 1208(a)................................. Bridge to Bridge Communication; Master, 2,000 Person in Charge or Pilot. 33 U.S.C. 1208(b)................................. Bridge to Bridge Communication; Vessel...... 2,000 33 U.S.C. 1232(a)................................. PWSA Regulations............................ 88,613 33 U.S.C. 1236(b)................................. Vessel Navigation: Regattas or Marine 8,908 Parades; Unlicensed Person in Charge. 33 U.S.C. 1236(c)................................. Vessel Navigation: Regattas or Marine 8,908 Parades; Owner Onboard Vessel. 33 U.S.C. 1236(d)................................. Vessel Navigation: Regattas or Marine 4,454 Parades; Other Persons. 33 U.S.C. 1321(b)(6)(B)(i)........................ Oil/Hazardous Substances: Discharges (Class 17,816 I per violation). 33 U.S.C. 1321(b)(6)(B)(i)........................ Oil/Hazardous Substances: Discharges (Class 44,539 I total under paragraph). 33 U.S.C. 1321(b)(6)(B)(ii)....................... Oil/Hazardous Substances: Discharges (Class 17,816 II per day of violation). 33 U.S.C. 1321(b)(6)(B)(ii)....................... Oil/Hazardous Substances: Discharges (Class 222,695 II total under paragraph). 33 U.S.C. 1321(b)(7)(A)........................... Oil/Hazardous Substances: Discharges (per 44,539 day of violation) Judicial Assessment. 33 U.S.C. 1321(b)(7)(A)........................... Oil/Hazardous Substances: Discharges (per 1,782 barrel of oil or unit discharged) Judicial Assessment. 33 U.S.C. 1321(b)(7)(B)........................... Oil/Hazardous Substances: Failure to Carry 44,539 Out Removal/Comply With Order (Judicial Assessment). 33 U.S.C. 1321(b)(7)(C)........................... Oil/Hazardous Substances: Failure to Comply 44,539 with Regulation Issued Under 1321(j) (Judicial Assessment). 33 U.S.C. 1321(b)(7)(D)........................... Oil/Hazardous Substances: Discharges, Gross 5,345 Negligence (per barrel of oil or unit discharged) Judicial Assessment. 33 U.S.C. 1321(b)(7)(D)........................... Oil/Hazardous Substances: Discharges, Gross 178,156 Negligence--Minimum Penalty (Judicial Assessment). 33 U.S.C. 1322(j)................................. Marine Sanitation Devices; Operating........ 7,500 33 U.S.C. 1322(j)................................. Marine Sanitation Devices; Sale or 20,000 Manufacture. 33 U.S.C. 1608(a)................................. International Navigation Rules; Operator.... 14,023 33 U.S.C. 1608(b)................................. International Navigation Rules; Vessel...... 14,023 [[Page 43004]] 33 U.S.C. 1908(b)(1).............................. Pollution from Ships; General............... 70,117 33 U.S.C. 1908(b)(2).............................. Pollution from Ships; False Statement....... 14,023 33 U.S.C. 2072(a)................................. Inland Navigation Rules; Operator........... 14,023 33 U.S.C. 2072(b)................................. Inland Navigation Rules; Vessel............. 14,023 33 U.S.C. 2609(a)................................. Shore Protection; General................... 49,467 33 U.S.C. 2609(b)................................. Shore Protection; Operating Without Permit.. 19,787 33 U.S.C. 2716a(a)................................ Oil Pollution Liability and Compensation.... 44,539 33 U.S.C. 3852(a)(1)(A)........................... Clean Hulls; Civil Enforcement.............. 40,779 33 U.S.C. 3852(a)(1)(A)........................... Clean Hulls; related to false statements.... 54,373 33 U.S.C. 3852(c)................................. Clean Hulls; Recreational Vessels........... 5,437 42 U.S.C. 9609(a)................................. Hazardous Substances, Releases, Liability, 53,907 Compensation (Class I). 42 U.S.C. 9609(b)................................. Hazardous Substances, Releases, Liability, 53,907 Compensation (Class II). 42 U.S.C. 9609(b)................................. Hazardous Substances, Releases, Liability, 161,721 Compensation (Class II subsequent offense). 42 U.S.C. 9609(c)................................. Hazardous Substances, Releases, Liability, 53,907 Compensation (Judicial Assessment). 42 U.S.C. 9609(c)................................. Hazardous Substances, Releases, Liability, 161,721 Compensation (Judicial Assessment subsequent offense). 46 U.S.C. 80509(a)................................ Safe Containers for International Cargo..... 5,893 46 U.S.C. 70305(c)................................ Suspension of Passenger Service............. 58,929 46 U.S.C. 2110(e)................................. Vessel Inspection or Examination Fees....... 8,908 46 U.S.C. 2115.................................... Alcohol and Dangerous Drug Testing.......... 7,251 46 U.S.C. 2302(a)................................. Negligent Operations: Recreational Vessels.. 6,559 46 U.S.C. 2302(a)................................. Negligent Operations: Other Vessels......... 32,796 46 U.S.C. 2302(c)(1).............................. Operating a Vessel While Under the Influence 7,251 of Alcohol or a Dangerous Drug. 46 U.S.C. 2306(a)(4).............................. Vessel Reporting Requirements: Owner, 11,293 Charterer, Managing Operator, or Agent. 46 U.S.C. 2306(b)(2).............................. Vessel Reporting Requirements: Master....... 2,259 46 U.S.C. 3102(c)(1).............................. Immersion Suits............................. 11,293 46 U.S.C. 3302(i)(5).............................. Inspection Permit........................... 2,355 46 U.S.C. 3318(a)................................. Vessel Inspection; General.................. 11,293 46 U.S.C. 3318(g)................................. Vessel Inspection; Nautical School Vessel... 11,293 46 U.S.C. 3318(h)................................. Vessel Inspection; Failure to Give Notice 2,259 IAW 3304(b). 46 U.S.C. 3318(i)................................. Vessel Inspection; Failure to Give Notice 2,259 IAW 3309(c). 46 U.S.C. 3318(j)(1).............................. Vessel Inspection; Vessel >=1600 Gross Tons. 22,587 46 U.S.C. 3318(j)(1).............................. Vessel Inspection; Vessel <1600 Gross Tons.. 4,517 46 U.S.C. 3318(k)................................. Vessel Inspection; Failure to Comply with 22,587 3311(b). 46 U.S.C. 3318(l)................................. Vessel Inspection; Violation of 3318(b)- 11,293 3318(f). 46 U.S.C. 3502(e)................................. List/Count of Passengers.................... 235 46 U.S.C. 3504(c)................................. Notification to Passengers.................. 23,548 46 U.S.C. 3504(c)................................. Notification to Passengers; Sale of Tickets. 1,177 46 U.S.C. 3506.................................... Copies of Laws on Passenger Vessels; Master. 471 46 U.S.C. 3718(a)(1).............................. Liquid Bulk/Dangerous Cargo................. 58,871 46 U.S.C. 4106.................................... Uninspected Vessels......................... 9,893 46 U.S.C. 4311(b)(1).............................. Recreational Vessels (maximum for related 311,470 series of violations). 46 U.S.C. 4311(b)(1).............................. Recreational Vessels; Violation of 4307(a).. 6,229 46 U.S.C. 4311(c)................................. Recreational Vessels........................ 2,355 46 U.S.C. 4507.................................... Uninspected Commercial Fishing Industry 9,893 Vessels. 46 U.S.C. 4703.................................... Abandonment of Barges....................... 1,677 46 U.S.C. 5116(a)................................. Load Lines.................................. 10,781 46 U.S.C. 5116(b)................................. Load Lines; Violation of 5112(a)............ 21,563 46 U.S.C. 5116(c)................................. Load Lines; Violation of 5112(b)............ 10,781 46 U.S.C. 6103(a)................................. Reporting Marine Casualties................. 37,561 46 U.S.C. 6103(b)................................. Reporting Marine Casualties; Violation of 9,893 6104. 46 U.S.C. 8101(e)................................. Manning of Inspected Vessels; Failure to 1,782 Report Deficiency in Vessel Complement. 46 U.S.C. 8101(f)................................. Manning of Inspected Vessels................ 17,816 46 U.S.C. 8101(g)................................. Manning of Inspected Vessels; Employing or 17,816 Serving in Capacity not Licensed by USCG. 46 U.S.C. 8101(h)................................. Manning of Inspected Vessels; Freight Vessel 2,355 <100 GT, Small Passenger Vessel, or Sailing School Vessel. 46 U.S.C. 8102(a)................................. Watchmen on Passenger Vessels............... 2,355 46 U.S.C. 8103(f)................................. Citizenship Requirements.................... 1,177 46 U.S.C. 8104(i)................................. Watches on Vessels; Violation of 8104(a) or 17,816 (b). 46 U.S.C. 8104(j)................................. Watches on Vessels; Violation of 8104(c), 17,816 (d), (e), or (h). 46 U.S.C. 8302(e)................................. Staff Department on Vessels................. 235 46 U.S.C. 8304(d)................................. Officer's Competency Certificates........... 235 46 U.S.C. 8502(e)................................. Coastwise Pilotage; Owner, Charterer, 17,816 Managing Operator, Agent, Master or Individual in Charge. 46 U.S.C. 8502(f)................................. Coastwise Pilotage; Individual.............. 17,816 46 U.S.C. 8503.................................... Federal Pilots.............................. 56,467 46 U.S.C. 8701(d)................................. Merchant Mariners Documents................. 1,177 46 U.S.C. 8702(e)................................. Crew Requirements........................... 17,816 [[Page 43005]] 46 U.S.C. 8906.................................... Small Vessel Manning........................ 37,561 46 U.S.C. 9308(a)................................. Pilotage: Great Lakes; Owner, Charterer, 17,816 Managing Operator, Agent, Master or Individual in Charge. 46 U.S.C. 9308(b)................................. Pilotage: Great Lakes; Individual........... 17,816 46 U.S.C. 9308(c)................................. Pilotage: Great Lakes; Violation of 9303.... 17,816 46 U.S.C. 10104(b)................................ Failure to Report Sexual Offense............ 9,468 46 U.S.C. 10314(a)(2)............................. Pay Advances to Seamen...................... 1,177 46 U.S.C. 10314(b)................................ Pay Advances to Seamen; Remuneration for 1,177 Employment. 46 U.S.C. 10315(c)................................ Allotment to Seamen......................... 1,177 46 U.S.C. 10321................................... Seamen Protection; General.................. 8,162 46 U.S.C. 10505(a)(2)............................. Coastwise Voyages: Advances................. 8,162 46 U.S.C. 10505(b)................................ Coastwise Voyages: Advances; Remuneration 8,162 for Employment. 46 U.S.C. 10508(b)................................ Coastwise Voyages: Seamen Protection; 8,162 General. 46 U.S.C. 10711................................... Effects of Deceased Seamen.................. 471 46 U.S.C. 10902(a)(2)............................. Complaints of Unfitness..................... 1,177 46 U.S.C. 10903(d)................................ Proceedings on Examination of Vessel........ 235 46 U.S.C. 10907(b)................................ Permission to Make Complaint................ 1,177 46 U.S.C. 11101(f)................................ Accommodations for Seamen................... 1,177 46 U.S.C. 11102(b)................................ Medicine Chests on Vessels.................. 1,177 46 U.S.C. 11104(b)................................ Destitute Seamen............................ 235 46 U.S.C. 11105(c)................................ Wages on Discharge.......................... 1,177 46 U.S.C. 11303(a)................................ Log Books; Master Failing to Maintain....... 471 46 U.S.C. 11303(b)................................ Log Books; Master Failing to Make Entry..... 471 46 U.S.C. 11303(c)................................ Log Books; Late Entry....................... 353 46 U.S.C. 11506................................... Carrying of Sheath Knives................... 118 46 U.S.C. 12151(a)(1)............................. Vessel Documentation........................ 15,423 46 U.S.C. 12151(a)(2)............................. Documentation of Vessels--Related to 25,705 activities involving mobile offshore drilling units. 46 U.S.C. 12151(c)................................ Vessel Documentation; Fishery Endorsement... 117,858 46 U.S.C. 12309(a)................................ Numbering of Undocumented Vessels--Willful 11,774 violation. 46 U.S.C. 12309(b)................................ Numbering of Undocumented Vessels........... 2,355 46 U.S.C. 12507(b)................................ Vessel Identification System................ 19,787 46 U.S.C. 14701................................... Measurement of Vessels...................... 43,126 46 U.S.C. 14702................................... Measurement; False Statements............... 43,126 46 U.S.C. 31309................................... Commercial Instruments and Maritime Liens... 19,787 46 U.S.C. 31330(a)(2)............................. Commercial Instruments and Maritime Liens; 19,787 Mortgagor. 46 U.S.C. 31330(b)(2)............................. Commercial Instruments and Maritime Liens; 49,467 Violation of 31329. 46 U.S.C. 70119(a)................................ Port Security............................... 32,796 46 U.S.C. 70119(b)................................ Port Security--Continuing Violations........ 58,929 46 U.S.C. 70506................................... Maritime Drug Law Enforcement; Penalties.... 5,437 49 U.S.C. 5123(a)(1).............................. Hazardous Materials: Related to Vessels-- 77,114 Maximum Penalty. 49 U.S.C. 5123(a)(2).............................. Hazardous Materials: Related to Vessels-- 179,933 Penalty from Fatalities, Serious Injuries/ Illness or Substantial Damage to Property. 49 U.S.C. 5123(a)(3).............................. Hazardous Materials: Related to Vessels-- 463 Training.. ---------------------------------------------------------------------------------------------------------------- \1\ Enacted under the Tariff Act of 1930, exempt from inflation adjustments. Title 49--Transportation PART 1503--INVESTIGATIVE AND ENFORCEMENT PROCEDURES 0 12. The authority citation for part 1503 is revised to read as follows: Authority: 6 U.S.C. 1142; 18 U.S.C. 6002; 28 U.S.C. 2461 (note); 49 U.S.C. 114, 20109, 31105, 40113-40114, 40119, 44901-44907, 46101- 46107, 46109-46110, 46301, 46305, 46311, 46313-46314; Pub. L. 104- 134, as amended by Pub. L. 114-74. 0 13. Revise Sec. 1503.401 to read as follows: Sec. 1503.401 Maximum penalty amounts. (a) General. TSA may assess civil penalties not exceeding the following amounts against a person for the violation of a TSA requirement. (b) In general. Except as provided in paragraph (c) of this section, in the case of violation of title 49 U.S.C. or 46 U.S.C. chapter 701, or a regulation prescribed or order issued under any of those provisions, TSA may impose a civil penalty in the following amounts: (1) For violations that occurred on or before November 2, 2015, $10,000 per violation, up to a total of $50,000 per civil penalty action, in the case of an individual or small business concern, as defined in section 3 of the Small Business Act (15 U.S.C. 632). For violations that occurred after November 2, 2015, $11,002 per violation, up to a total of $55,010 per civil penalty action, in the case of an individual or small business concern; and (2) For violations that occurred on or before November 2, 2015, $10,000 per violation, up to a total of $400,000 per civil penalty action, in the case of any other person. For violations that occurred after November 2, 2015, $11,002 per violation, up to a total of $440,080 per civil penalty action, in the case of any other person. (c) Certain aviation related violations. In the case of a violation of 49 U.S.C. chapter 449 (except sections 44902, 44903(d), 44907(a)- (d)(1)(A), 44907(d)(1)(C)-(f), 44908, and 44909), or 49 U.S.C. 46302 or 46303, or a regulation prescribed or order issued under any of those provisions, TSA may [[Page 43006]] impose a civil penalty in the following amounts: (1) For violations that occurred on or before November 2, 2015, $10,000 per violation, up to a total of $50,000 per civil penalty action, in the case of an individual or small business concern, as defined in section 3 of the Small Business Act (15 U.S.C. 632). For violations that occurred after November 2, 2015, $12,856 per violation, up to a total of 64,281 per civil penalty action, in the case of an individual (except an airman serving as an airman), or a small business concern. (2) For violations that occurred on or before November 2, 2015, $10,000 per violation, up to a total of $400,000 per civil penalty action, in the case of any other person (except an airman serving as an airman) not operating an aircraft for the transportation of passengers or property for compensation. For violations that occurred after November 2, 2015, $12,856 per violation, up to a total of $514,244 per civil penalty action, in the case of any other person (except an airman serving as an airman) not operating an aircraft for the transportation of passengers or property for compensation. (3) For violations that occurred on or before November 2, 2015, $25,000 per violation, up to a total of $400,000 per civil penalty action, in the case of a person operating an aircraft for the transportation of passengers or property for compensation (except an individual serving as an airman). For violations that occurred after November 2, 2015, $32,140 per violation, up to a total of $514,244 per civil penalty action, in the case of a person (except an individual serving as an airman) operating an aircraft for the transportation of passengers or property for compensation. Jeh Charles Johnson, Secretary. [FR Doc. 2016-15673 Filed 6-30-16; 8:45 am] BILLING CODE 9110-09-P; 9111-14-P; 9111-28-P; 9110-04-P; 9110-05-P
![Federal Register / Vol. 81, No. 127 / Friday, July 1, 2016 / Rules and Regulations 42987
DEPARTMENT OF HOMELAND C. Immigration and Customs Enforcement required significant rounding of figures.
SECURITY D. U.S. Coast Guard For example, an agency would round a
E. Transportation Security Administration penalty increase that was greater than
6 CFR Part 27 III. Administrative Procedure Act
$1,000, but less than or equal to
IV. Regulatory Analyses
A. Executive Orders 12866 and 13563 $10,000, to the nearest multiple of
8 CFR Parts 270, 274a, and 280 B. Regulatory Flexibility Act $1,000. While this allowed penalties to
C. Unfunded Mandates Reform Act be kept at round numbers, it meant that
Coast Guard D. Paperwork Reduction Act agencies would often not increase
penalties at all if the inflation factor was
33 CFR Part 27 I. Background not large enough. Furthermore,
On November 2, 2015, the President increases to penalties were capped at 10
Transportation Security Administration signed into law the Federal Civil percent, which meant that longer
Penalties Inflation Adjustment Act periods without an inflation adjustment
49 CFR Part 1503 Improvements Act of 2015 (Pub. L. 114– could cause a penalty to rapidly lose
74 section 701 (Nov. 2, 2105)) (the 2015 value in real terms. Over time, the
RIN 1601–AA80
Act),1 which further amended the formula used in the 1990 Inflation
[Docket No. DHS–2016–0034] Federal Civil Penalties Inflation Adjustment Act calculations frequently
Adjustment Act of 1990 (28 U.S.C. 2461 caused penalties to lose value relative to
Civil Monetary Penalty Adjustments for note) (the Inflation Adjustment Act), to actual inflation. The 2015 Act removed
Inflation improve the effectiveness of civil these rounding rules, and instead
AGENCY: Department of Homeland monetary penalties and to maintain instructs agencies to round penalties to
Security. their deterrent effect. The 2015 Act the nearest $1. While this creates
ACTION: Interim final rule with request
requires agencies to: (1) adjust the level penalty values that are no longer round
for comments. of civil monetary penalties with an numbers, it does ensure that agencies
initial ‘‘catch-up’’ adjustment through will increase penalties each year to a
SUMMARY: This rule amends Department issuance of an interim final rule (IFR) figure commensurate with the actual
of Homeland Security (DHS or and (2) make subsequent annual calculated inflation.
Department) regulations to adjust DHS adjustments for inflation. To better reflect the original impact of
and component civil monetary penalties The 2015 Act applies to all agency
civil penalties, the 2015 Act ‘‘resets’’ the
for inflation. DHS calculated the civil penalties except for any penalty
inflation calculations by excluding prior
adjusted penalties according to the (including any addition to tax and
inflationary adjustments under the
statutory formula in the Federal Civil additional amount) under the Internal
Inflation Adjustment Act. To do this,
Penalties Inflation Adjustment Act Revenue Code of 1986 (26 U.S.C. 1 et
the 2015 Act requires agencies to
Improvements Act of 2015, which was seq.) and the Tariff Act of 1930 (19
identify, for each penalty, the year that
signed into law on November 2, 2015. U.S.C. 1202 et seq.). See sec. 4(a)(1) of
Congress originally enacted the
The adjusted penalties will be effective the 2015 Act. In the case of DHS, several
maximum penalty level/range of
for civil penalties assessed after August civil penalties that are collected by U.S.
minimum and maximum penalty levels
1, 2016 whose associated violations Customs and Border Protection (CBP)
or the year that the agency last adjusted
occurred after November 2, 2015. and the U.S. Coast Guard fall under the
the penalty amount other than to
DATES: Effective Date. This rule is
Tariff Act of 1930, and thus DHS is not
pursuant to the Inflation Adjustment
effective on August 1, 2016. adjusting those civil penalties in this
Act, and the corresponding penalty
Comment Date: Comments must be rulemaking.
The 2015 Act applies the new penalty amount(s). The 2015 Act then requires
received on or before August 1, 2016. agencies to perform an initial ‘‘catch-
amounts to all penalties that DHS
ADDRESSES: You may submit comments, assesses after August 1, 2016, the up’’ adjustment, using the original
identified by docket number DHS– effective date of this rule. Additionally, amounts of civil penalties as a baseline,
2016–0034, by one of the following pursuant to 28 U.S.C. 2461 note sec. 6, so that the 2016 penalty levels are equal,
methods: as amended by the 2015 Act, DHS will in real terms, to the penalty amounts as
• Federal eRulemaking Portal: http:// apply the adjusted penalty amounts for they were originally established.
www.regulations.gov. Follow the any violations that occurred after Pursuant to the 2015 Act, DHS
instructions for submitting comments. November 2, 2015 (i.e., the date the undertook a review of the civil penalties
• Mail: Megan Westmoreland, Office 2015 Act was signed into law) as long that DHS and its components
of the General Counsel, U.S. Department as the penalty is assessed after the administer. This rule sets forth the
of Homeland Security, 245 Murray Lane effective date of this interim final rule. initial ‘‘catch-up’’ adjustment for all
SW., Mail Stop 0485, Washington, DC The 2015 Act provides a new method civil penalties that DHS and its
20528–0485. for calculating inflation adjustments. components administer. For each
FOR FURTHER INFORMATION CONTACT: The new method differs substantially component, we have provided a table
Megan Westmoreland, Attorney- from the methods that agencies used in showing how DHS is increasing the
Advisor, Office of the General Counsel, the past when conducting inflation penalties pursuant to the 2015 Act. The
U.S. Department of Homeland Security. adjustments pursuant to the 1990 table contains the following
Phone: 202–447–4384. Inflation Adjustment Act. The new information:
asabaliauskas on DSK3SPTVN1PROD with RULES
SUPPLEMENTARY INFORMATION: method is intended to more accurately • In the first column (penalty name),
reflect inflation. Previously, when we provide a description of the penalty.
Table of Contents agencies conducted adjustments to civil
• In the second column (citation), we
I. Background penalties, they did so under rules that
II. Adjustments by Component provide the statutory cite from the
A. National Protection and Programs 1 The 2015 Act was enacted as part of the United States Code (U.S.C.) and the
Directorate Bipartisan Budget Act of 2015, Public Law 114–74 regulatory cite from the Code of Federal
B. U.S. Customs and Border Protection (Nov. 2, 2015). Regulations (CFR).
VerDate Sep<11>2014 16:44 Jun 30, 2016 Jkt 238001 PO 00000 Frm 00005 Fmt 4700 Sfmt 4700 E:\FR\FM\01JYR1.SGM 01JYR1](https://thefederalregister.org/doc/81_FR_43114/page/1.svg)
![42988 Federal Register / Vol. 81, No. 127 / Friday, July 1, 2016 / Rules and Regulations
• In the third column (current equal to 150 percent more than the penalty, which is $25,000 per day. The
penalty), we list the existing penalty in current penalty. question arose because the 2007
effect on November 2, 2015. Additionally, where applicable, we legislation, which established CFATS,
• In the fourth column (baseline have also made conforming edits to did not create a new penalty provision,
penalty (year)), we provide the amount regulatory text. but rather referenced an older one: 5
and year of the penalty as enacted by Section 70119(a) of Title 46. The
II. Adjustments by Component
Congress or as last changed through a Maritime Transportation Security Act
mechanism other than pursuant to the In the following sections, we briefly
describe the civil penalties that DHS (MTSA) (Pub. L. 107–295) was enacted
Inflation Adjustment Act, whichever is
and its components assess. We describe in 2002 and established this penalty
later.
• In the fifth column (multiplier), we the nature of the penalties and discuss provision. For that reason, arguments
list the multiplier used to adjust the relevant authorities. We include tables could be made that we should index the
penalty. The multiplier is determined at the end of each section, which list the $25,000 penalty by the 2002 CPI value
by the year of enactment or last individual adjustments for each penalty. (the date the MTSA penalty was
adjustment of the penalty. The We also include discussions where we established) or the 2007 CPI value (the
multiplier is based upon the Consumer believe further explanation is helpful. date the CFATS program was enacted).
Price Index (CPI–U) for the month of The difference between these numbers
A. National Protection and Programs is material—indexing the $25,000
October 2015, not seasonally adjusted.2
Directorate
• In the sixth column (preliminary penalty by the 2002 CPI value would
new penalty), we list the amount The National Protection and Programs yield a current penalty of $32,796 per
obtained by multiplying the Baseline Directorate (NPPD) administers only one day, while indexing the penalty by the
Penalty from column 4 with the civil penalty that the 2015 Act affects. 2007 CPI value would yield a current
Multiplier from column 5. This amount This penalty assesses fines for violations penalty of only $28,458 per day.
will be the final penalty, if, in of the Chemical Facility Anti-Terrorism
Standards (CFATS), a program which Because the CFATS legislation did
accordance with the 2015 Act, this level
does not increase penalty levels by more regulates the security of chemical not create a new civil penalty, but rather
than 150 percent of the corresponding facilities that, in the discretion of the simply referenced the existing MTSA
levels in effect on November 2, 2015.3 Secretary, present high levels of security penalty, we believe the intent of
• In the seventh column, (adjusted risk. The CFATS program was originally Congress was that violators of either
new penalty), we provide the final established in 2007, pursuant to section MTSA or CFATS would face identical
number for the penalty. To derive this 550 of the Department of Homeland penalties. For this reason, we have
number, we compare the preliminary Security Appropriations Act of 2007 considered the ‘‘baseline’’ year for the
new penalty with the current penalty (Pub. L. 109–295),4 and is currently CFATS penalty to be 2002 rather than
from column 3. The adjusted new located in part 27 of Title 6 of the CFR. 2007, and have increased the penalty by
penalty is the lesser of either the One question that arose is how to the multiplier appropriate for that year,
preliminary new penalty or an amount calculate the baseline date of the CFATS as shown in Table 1 below.
TABLE 1—CFATS CIVIL PENALTY ADJUSTMENT
Adjusted new
Preliminary penalty
new penalty [increase
Baseline penalty *
Penalty name Citation Current penalty Multiplier ** [multiplier × capped at
(year) baseline 150% more
penalty] than current
penalty]
Penalty for non-com- 6 U.S.C. 624(b)(1); .... $25,000 per day ........ $25,000 (2002) .......... 1.31185 $32,796 ....... $32,796
pliance with CFATS 6 CFR 27.300(b)(3) ...
regulations.
* The amount of the penalty and the year of when the penalty was established or last adjusted in statute or regulation other than pursuant to
the Inflation Adjustment Act of 1990.
** OMB, Implementation of the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, Table A: 2016 Civil Monetary Pen-
alty Catch-Up Adjustment Multiplier by Calendar Year, February 24, 2016.
B. U.S. Customs and Border Protection as amended) (INA). The INA contains requires that a carrier shall be fined
provisions that impose penalties on $1,000 for each person for whom
U.S. Customs and Border Protection persons, including carriers and aliens, manifest information is not provided.
(CBP) assesses civil monetary penalties who violate specified provisions of the
for certain violations of title 8 of the CBP’s relevant penalty provisions are
INA. For example, section 231(g) of the located in numerous sections of the INA
CFR regarding the Immigration and
INA, codified at 8 U.S.C. 1221(g), (see list below), however CBP has
Nationality Act of 1952 (Pub. L. 82–414,
asabaliauskas on DSK3SPTVN1PROD with RULES
2 OMB, Implementation of the Federal Civil 4 Section 550 has since been superseded by the CFATS penalty, providing that ‘‘[a]ny person who
Penalties Inflation Adjustment Act Improvements Protecting and Securing Chemical Facilities from violates an order issued under this section shall be
Act of 2015, Table A, 24 February 2016. https:// Terrorist Attacks Act of 2014 (Pub. L. 113–254). The liable for a civil penalty under section 70119(a) of
www.whitehouse.gov/sites/default/files/omb/ new legislation codified the statutory authority for title 46, United States Code. After promulgation of
memoranda/2016/m-16-06.pdf. the CFATS program within Title XXI of the the Protecting and Securing Chemical Facilities
3 The 150 percent limitation is on the amount of Homeland Security Act of 2002, as amended. See from Terrorist Attacks Act of 2014, the relevant
the increase; therefore, the adjusted penalty levels 6 U.S.C. 621 et seq. U.S.C. citation is 6 U.S.C. 624(b)(1), which still
are up to 250 percent of the levels in effect on 5 Section 550(d) of the Department of Homeland refers to the civil penalty section in 46 U.S.C.
November 2, 2015. Security Appropriations Act of 2007 set forth the 70119(a).
VerDate Sep<11>2014 16:44 Jun 30, 2016 Jkt 238001 PO 00000 Frm 00006 Fmt 4700 Sfmt 4700 E:\FR\FM\01JYR1.SGM 01JYR1](https://thefederalregister.org/doc/81_FR_43114/page/2.svg)
![Federal Register / Vol. 81, No. 127 / Friday, July 1, 2016 / Rules and Regulations 42989
enumerated these penalties in of alien crewmen, and for each alien not • Section 274D, Penalties for failure
regulation in one location—in 8 CFR reported on arrival or departure to depart.
280.53. Below is the list of penalty manifest or lists required in accordance • Section 275(b), Penalties for
provisions in the INA: with section 251 and penalties for use improper entry.
• Section 231(g), Penalties for non- of alien crewmen for longshore work in
compliance with arrival and departure violation of section 251(d). We note, for reference, that CBP also
manifest requirements for passengers, • Section 254(a), Penalties for failure assesses certain civil monetary penalties
crewmembers, or occupants transported to control, detain, or remove alien for customs violations under title 19 of
on commercial vessels or aircraft crewmen. the CFR. CBP assesses those penalties
arriving to or departing from the United • Section 255, Penalties for under the Tariff Act of 1930, as
States. employment on passenger vessels of amended, but as we discussed above,
• Section 234, Penalties for non- aliens afflicted with certain disabilities. the 2015 Act specifically exempts Tariff
compliance with landing requirements • Section 256, Penalties for discharge Act penalties from the inflation
at designated ports of entry for aircraft of alien crewmen. adjustment requirements in the 2015
transporting aliens. Act. For that reason, we have not listed
• Section 240B(d), Penalties for • Section 257, Penalties for bringing
into the United States alien crewmen those title 19 penalties in the below
failure to depart voluntarily. table of CBP penalty adjustments.
• Section 243(c)(1)(A), Penalties for with intent to evade immigration laws.
violations of removal orders relating to • Section 271(a), Penalties for failure Under this rule, the current penalties
aliens transported on vessels or aircraft to prevent the unauthorized landing of continue to be applicable with regard to
under section 241(d) or for costs aliens. violations that occurred on or before
associated with removal under section • Section 272(a), Penalties for November 2, 2015, the date of
241(e). bringing to the United States aliens enactment of the 2015 Act. In Table 2
• Section 243(c)(1)(B), Penalties for subject to denial of admission on a below, we provide the penalties that we
failure to remove alien stowaways under health-related ground. are adjusting in accordance with the
section 241(d)(2). • Section 273(b), Penalties for 2015 Act, where the associated
• Section 251(d), Penalties for failure bringing to the United States aliens violations occurred after November 2,
to report an illegal landing or desertion without required documentation. 2015.
TABLE 2—U.S. CUSTOMS AND BORDER PROTECTION CIVIL PENALTIES ADJUSTMENTS
Adjusted new
Preliminary penalty
new penalty [increase
Baseline penalty *
Penalty name Citation Current penalty Multiplier ** [multiplier × capped at
(year) baseline 150% more
penalty] than current
penalty]
Penalties for non- 8 U.S.C. 1221(g) ....... $1,100 ....................... $1,000 (2002) ............ 1.31185 $1,312 ......... $1,312
compliance with ar- 8 CFR 280.53(c)(1)
rival and departure (INA section 231(g)).
manifest require-
ments for pas-
sengers, crew-
members, or occu-
pants transported
on commercial ves-
sels or aircraft ar-
riving to or depart-
ing from the United
States.
Penalties for non- 8 U.S.C. 1224 ........... $3,200 ....................... $2,000 (1990) ............ 1.78156 $3,563 ......... $3,563
compliance with 8 CFR 280.53(c)(2)
landing require- (INA section 234).
ments at des-
ignated ports of
entry for aircraft
transporting aliens.
Penalties for failure to 8 U.S.C. 1229c(d) ..... $1,100–$5,500 .......... $1,000–$5,000 (1996) 1.50245 $1,502– $1,502–
depart voluntarily. 8 CFR 280.53(c)(3) $7,512. $7,512
(INA section
240B(d)).
Penalties for viola- 8 U.S.C. $2,200 ....................... $2,000 (1996) ............ 1.50245 $3,005 ......... $3,005
tions of removal or- 1253(c)(1)(A).
asabaliauskas on DSK3SPTVN1PROD with RULES
ders relating to 8 CFR 280.53(c)(4)
aliens transported (INA section
on vessels or air- 243(c)(1)(A)).
craft under section
241(d) of the INA,
or for costs associ-
ated with removal
under section
241(e) of the INA.
VerDate Sep<11>2014 16:44 Jun 30, 2016 Jkt 238001 PO 00000 Frm 00007 Fmt 4700 Sfmt 4700 E:\FR\FM\01JYR1.SGM 01JYR1](https://thefederalregister.org/doc/81_FR_43114/page/3.svg)
![42990 Federal Register / Vol. 81, No. 127 / Friday, July 1, 2016 / Rules and Regulations
TABLE 2—U.S. CUSTOMS AND BORDER PROTECTION CIVIL PENALTIES ADJUSTMENTS—Continued
Adjusted new
Preliminary penalty
new penalty [increase
Baseline penalty *
Penalty name Citation Current penalty Multiplier ** [multiplier × capped at
(year) baseline 150% more
penalty] than current
penalty]
Penalties for failure to 8 U.S.C. $5,500 ....................... $5,000 (1996) ............ 1.50245 $7,512 ......... $7,512
remove alien stow- 1253(c)(1)(B).
aways under sec- 8 CFR 280.53(c)(4)
tion 241(d)(2) of the (INA section
INA. 243(c)(1)(B)).
Penalties for failure to 8 U.S.C. 1281(d) ....... $320 for each alien ... $200 for each alien 1.78156 $356 for $356 for
report an illegal 8 CFR 280.53(c)(5) (1990). each alien. each alien
landing or desertion (INA section 251(d)).
of alien crewmen,
and for each alien
not reported on ar-
rival or departure
manifest or lists re-
quired in accord-
ance with section
251 of the INA.
Penalties for use of 8 U.S.C. 1281(d) ....... $7,500 ....................... $5,000 (1990) ............ 1.78156 $8,908 ......... $8,908
alien crewmen for 8 CFR 280.53(c)(5)
longshore work in (INA section 251(d)).
violation of section
251(d) of the INA.
Penalties for failure to 8 U.S.C. 1284(a) ....... $750–$4,300 ............. $500–$3000 (1990) ... 1.78156 $891–$5,345 $891–$5,345
control, detain, or 8 CFR 280.53(c)(6)
remove alien crew- (INA section 254(a)).
men.
Penalties for employ- 8 U.S.C. 1285 ........... $1,100 ....................... $1,000 (1990) ............ 1.78156 $1,782 ......... $1,782
ment on passenger 8 CFR 280.53(c)(7)
vessels of aliens af- (INA section 255).
flicted with certain
disabilities.
Penalties for dis- 8 U.S.C. 1286 ........... $1,500–$4,300 .......... $1,500–$3,000 (1990) 1.78156 $2,672– $2,672–
charge of alien 8 CFR 280.53(c)(8) $5,345. $5,345
crewmen. (INA section 256).
Penalties for bringing 8 U.S.C. 1287 ........... $16,000 ..................... $10,000 (1990) .......... 1.78156 $17,816 ....... $17,816
into the United 8 CFR 280.53(c)(9)
States alien crew- (INA section 257).
men with intent to
evade immigration
laws.
Penalties for failure to 8 U.S.C. § 1321(a) .... $4,300 ....................... $3,000 (1990) ............ 1.78156 $5,345 ......... $5,345
prevent the unau- 8 CFR 280.53(c)(10)
thorized landing of (INA section 271(a)).
aliens.
Penalties for bringing 8 U.S.C. § 1322(a) .... $4,300 ....................... $3,000 (1990) ............ 1.78156 $5,345 ......... $5,345
to the United 8 CFR 280.53(c)(11)
States aliens sub- (INA section 272(a)).
ject to denial of ad-
mission on a
health-related
ground.
Penalties for bringing 8 U.S.C. § 1323(b) ..... $4,300 ....................... $3,000 (1990) ............ 1.78156 $5,345 ......... $5,345
to the United 8 CFR 280.53(c)(12)
States aliens with- (INA section 273(b)).
out required docu-
mentation.
Penalties for failure to 8 U.S.C. 1324d ......... $550 .......................... $500 (1996) ............... 1.50245 $751 ............ $751
depart. 8 CFR 280.53(c)(13)
asabaliauskas on DSK3SPTVN1PROD with RULES
(INA section 274D).
Penalties for improper 8 U.S.C. § 1325(b) .... $55–275 .................... $50–$250 (1996) ....... 1.50245 $75–$376 .... $75–$376
entry. 8 CFR 280.53(c)(14)
(INA section 275(b)).
* The amount of the penalty and the year of when the penalty was established or last adjusted in statute or regulation other than pursuant to
the Inflation Adjustment Act of 1990.
** OMB, Implementation of the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, Table A: 2016 Civil Monetary Pen-
alty Catch-Up Adjustment Multiplier by Calendar Year, February 24, 2016.
VerDate Sep<11>2014 16:44 Jun 30, 2016 Jkt 238001 PO 00000 Frm 00008 Fmt 4700 Sfmt 4700 E:\FR\FM\01JYR1.SGM 01JYR1](https://thefederalregister.org/doc/81_FR_43114/page/4.svg)
![Federal Register / Vol. 81, No. 127 / Friday, July 1, 2016 / Rules and Regulations 42991
C. Immigration and Customs employment verification requirements Homeland Security and the Attorney
Enforcement relating to completion of the Form I–9. General requires action by both
ICE assesses and imposes civil monetary Departments in order to effectuate a
Immigration and Customs penalties with respect to employer further adjustment of the civil penalties.
Enforcement (ICE) assesses civil sanctions under section 274A of the INA The minimum and maximum civil
monetary penalties for certain and 8 CFR part 274a. Similarly, ICE penalty amounts for each violation will
employment-related violations arising imposes civil penalties for specified necessarily be the same whether DHS or
from the INA. ICE’s civil penalties are actions relating to immigration-related DOJ imposes the penalty. See 8 CFR
located in title 8 of the CFR. document fraud under section 274C of 274a.10 and 270.3; 28 CFR 68.52(c) and
There are three different sections in the INA and 8 CFR part 270. We note (e).
the INA that impose civil monetary that while ICE is updating the penalty
penalties for violations of the laws that In this rule, DHS is amending 8 CFR
amounts in 8 CFR part 270, ICE has not
relate to employment actions (sections parts 270 and 274a of the DHS
assessed these penalties in recent years.
274A, 274B, and 274C). ICE has primary Because both DHS and DOJ regulations to incorporate the revised
enforcement responsibilities for two of implement the three employment- schedule of civil penalties, as adjusted
these civil penalty provisions (sections related penalty sections in the INA, both for inflation according to the statutory
274A and 274C), and the Department of Departments are codifying the civil formula described above. We note that
Justice (DOJ) has enforcement penalty amounts in their implementing DOJ is similarly revising regulations in
responsibilities for one of these civil regulations. Pursuant to the authority of 28 CFR part 68 (which correspond to the
penalty provisions (section 274B). The the Inflation Adjustment Act and before penalties in 8 CFR part 270) in a
INA, in sections 274A and 274C, the creation of DHS, DOJ previously separate civil penalty adjustment
provides for imposition of civil adjusted the civil monetary penalties for rulemaking.
penalties for various specified unlawful inflation, increasing the specific Under this rule, the current penalties
acts pertaining to the employment amounts stated in sections 274A, 274B, continue to be applicable with regard to
eligibility verification process (Form and 274C of the INA. See 64 FR 7066 violations that occurred on or before
I–9, Employment Eligibility (Feb. 12, 1999) and 64 FR 47099 (Aug. November 2, 2015, the date of
Verification) and the employment of 30, 1999). Both agencies issued a joint enactment of the 2015 Act. Table 3
unauthorized aliens. These penalties rulemaking to update the penalties in below lays out the changes to the
cover, among other things, the knowing 2008. See 73 FR 10130 (Feb. 26, 2008). penalties, where the associated
employment of unauthorized aliens and Today, as in 2008, the division of violations occurred after November 2,
the failure to comply with the responsibilities between the Secretary of 2015.
TABLE 3—IMMIGRATION AND CUSTOMS ENFORCEMENT CIVIL PENALTIES ADJUSTMENTS
Adjusted new
Preliminary new penalty
Baseline penalty
Current [increase capped
Penalty name Citation penalty * Multiplier ** [multiplier ×
penalty at 150% more
(year) baseline than current
penalty] penalty]
Civil penalties for violation of Immigration 8 CFR 270.3(b)(1)(ii)(A) ... $375–$3,200 ..... $250–$2,000 1.78156 $445–$3,563 ..... $445–$3,563
and Naturalization Act (INA) sections (1990)
274C(a)(1)–(a)(4), penalty for first of-
fense.
Civil penalties for violation of Immigration 8 CFR 270.3(b)(1)(ii)(B) ... $275–$2,200 ..... $250–$2,000 1.50245 $376–$3,005 ..... $376–$3,005
and Naturalization Act (INA) sections (1996)
274C(a)(5)–(a)(6), penalty for first of-
fense.
Civil penalties for violation of Immigration 8 CFR 270.3(b)(1)(ii)(C) ... $3,200–$6,500 .. $2,000–$5,000 1.78156 $3,563–$8,908 .. $3,563–$8,908
and Naturalization Act (INA) sections (1990)
274C(a)(1)–(a)(4), penalty for subse-
quent offenses.
Civil penalties for violation of Immigration 8 CFR 270.3(b)(1)(ii)(D) ... $2,200–$5,500 .. $2,000–$5,000 1.50245 $3,005–$7,512 .. $3,005–$7,512
and Naturalization Act (INA) sections (1996)
274C(a)(5)–(a)(6), penalty for subse-
quent offenses.
Violation/prohibition of indemnity bonds ..... 8 CFR 274a.8(b) ............... $1,100 ............... $1,000 (1986) 2.15628 $2,156 ............... $2,156
Civil penalties for knowingly hiring, recruit- 8 CFR 274a.10(b)(1)(ii)(A) $375–$3,200 ..... $250–$2,000 2.15628 $539–$4,313 ..... $539–$4,313
ing, referral, or retention of unauthorized (1986)
aliens—Penalty for first offense (per un-
authorized alien).
Penalty for second offense (per unauthor- 8 CFR 274a.10(b)(1)(ii)(B) $3,200–$6,500 .. $2,000–$5,000 2.15628 $4,313–$10,781 $4,313–$10,781
ized alien). (1986)
Penalty for third or subsequent offense 8 CFR 274a.10(b)(1)(ii)(C) $4,300–$16,000 $3,000–$10,000 2.15628 $6,469–$21,563 $6,469–$21,563
(per unauthorized alien). (1986)
Civil penalties for I–9 paperwork violations 8 CFR 274a.10(b)(2) ........ $110–$1,100 ..... $100–$1,000 2.15628 $216–$2,156 ..... $216–$2,156
(1986)
asabaliauskas on DSK3SPTVN1PROD with RULES
* The amount of the penalty and the year of when the penalty was established or last adjusted in statute or regulation other than pursuant to the Inflation Adjust-
ment Act of 1990.
** OMB, Implementation of the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, Table A: 2016 Civil Monetary Penalty Catch-Up Adjust-
ment Multiplier by Calendar Year, February 24, 2016.
VerDate Sep<11>2014 16:44 Jun 30, 2016 Jkt 238001 PO 00000 Frm 00009 Fmt 4700 Sfmt 4700 E:\FR\FM\01JYR1.SGM 01JYR1](https://thefederalregister.org/doc/81_FR_43114/page/5.svg)
![Federal Register / Vol. 81, No. 127 / Friday, July 1, 2016 / Rules and Regulations 42993
TABLE 4—U.S. COAST GUARD CIVIL PENALTIES ADJUSTMENTS
Adjusted new
Baseline Preliminary new penalty
penalty * penalty
Current [increase capped
Penalty name Citation (year) Multiplier ** [multiplier ×
penalty at 150% more
(statutory cita- baseline than current
tion) penalty] penalty]
Saving Life and Property ............................ 14 U.S.C. 88(c) ................. $10,000 ............. $10,000 ............. 1.00171 $10,017 ............. $10,017
(2014)
(Pub. L. 113–
281)
Saving Life and Property; Intentional Inter- 14 U.S.C. 88(e) ................ 1,000 ................. $1,000 ............... 1.02819 1,028 ................. 1,028
ference with Broadcast. (2012)
(Pub. L. 112–
213)
Confidentiality of Medical Quality Assur- 14 U.S.C. 645(i); 33 CFR 4,000 ................. $3,000 ............... 1.67728 5,032 ................. 5,032
ance Records (first offense). 27.3. (1992)
(Pub. L. 102–
587)
Confidentiality of Medical Quality Assur- 14 U.S.C. 645(i); 33 CFR 30,000 ............... $20,000 ............. 1.67728 33,546 ............... 33,546
ance Records (subsequent offenses). 27.3. (1992)
(Pub. L. 102–
587)
Aquatic Nuisance Species in Waters of the 16 U.S.C. 4711(g)(1); 33 35,000 ............... $25,000 ............. 1.50245 37,561 ............... 37,561
United States. CFR 27.3. (1996)
(Pub. L. 104–
332)
Obstruction of Revenue Officers by Mas- 19 U.S.C. 70; 33 CFR 3,000 ................. $2,000 ............... 17.36044 34,721 ............... 7,500
ters of Vessels. 27.3. (1935)
Obstruction of Revenue Officers by Mas- 19 U.S.C. 70; 33 CFR 700 .................... $500 .................. 17.36044 8,680 ................. 1,750
ters of Vessels—Minimum Penalty. 27.3. (1935)
Failure to Stop Vessel When Directed; 19 U.S.C. 1581(d) ............ 5,000 ................. $5,000 ............... N/A N/A .................... *** 5,000
Master, Owner, Operator or Person in (1930)
Charge.
Failure to Stop Vessel When Directed; 19 U.S.C. 1581(d) ............ 1,000 ................. $1,000 ............... N/A N/A .................... *** 1,000
Master, Owner, Operator or Person in (1930)
Charge—Minimum Penalty.
Anchorage Ground/Harbor Regulations 33 U.S.C. 471; 33 CFR 110 .................... $10,000 ............. 1.08745 10,875 ............... 10,875
General. 27.3. (2010)
(Pub. L. 111–
281)
Anchorage Ground/Harbor Regulations St. 33 U.S.C. 474; 33 CFR 300 .................... $200 .................. 11.43452 2,287 ................. 750
Mary’s river. 27.3. (1946)
(11 FR 7875)
Bridges/Failure to Comply with Regulations 33 U.S.C. 495(b); 33 CFR 25,000 ............... $25,000 ............. 1.09819 27,455 ............... 27,455
27.3. (2008)
(Pub. L. 108–
293)
Bridges/Drawbridges ................................... 33 U.S.C. 499(c); 33 CFR 25,000 ............... $25,000 ............. 1.09819 27,455 ............... 27,455
27.3. (2008)
(Pub. L. 108–
293)
Bridges/Failure to Alter Bridge Obstructing 33 U.S.C. 502(c); 33 CFR 25,000 ............... $25,000 ............. 1.09819 27,455 ............... 27,455
Navigation. 27.3. (2008)
(Pub. L. 108–
293)
Bridges/Maintenance and Operation .......... 33 U.S.C. 533(b); 33 CFR 25,000 ............... $25,000 ............. 1.09819 27,455 ............... 27,455
27.3. (2008)
(Pub. L. 108–
293)
Bridge to Bridge Communication; Master, 33 U.S.C. 1208(a); 33 800 .................... $500 .................. 5.81511 2,908 ................. 2,000
Person in Charge or Pilot. CFR 27.3. (1971)
(Pub. L. 92–63)
Bridge to Bridge Communication; Vessel ... 33 U.S.C. 1208(b); 33 800 .................... $500 .................. 5.81511 2,908 ................. 2,000
CFR 27.3. (1971)
(Pub. L. 92–63)
PWSA Regulations ..................................... 33 U.S.C. 1232(a); 33 40,000 ............... $25,000 ............. 3.54453 88,613 ............... 88,613
CFR 27.3. (1978)
(Pub. L. 95–474)
Vessel Navigation: Regattas or Marine Pa- 33 U.S.C. 1236(b); 33 8,000 ................. $5,000 ............... 1.78156 8,908 ................. 8,908
rades; Unlicensed Person in Charge. CFR 27.3. (1990)
(Pub. L. 101–
asabaliauskas on DSK3SPTVN1PROD with RULES
380)
Vessel Navigation: Regattas or Marine Pa- 33 U.S.C. 1236(c); 33 8,000 ................. $5,000 ............... 1.78156 8,908 ................. 8,908
rades; Owner Onboard Vessel. CFR 27.3. (1990)
(Pub. L. 101–
380)
Vessel Navigation: Regattas or Marine Pa- 33 U.S.C. 1236(d); 33 3,000 ................. $2,500 ............... 1.78156 4,454 ................. 4,454
rades; Other Persons. CFR 27.3. (1990)
(Pub. L. 101–
380)
VerDate Sep<11>2014 19:31 Jun 30, 2016 Jkt 238001 PO 00000 Frm 00011 Fmt 4700 Sfmt 4700 E:\FR\FM\01JYR1.SGM 01JYR1](https://thefederalregister.org/doc/81_FR_43114/page/7.svg)
![42994 Federal Register / Vol. 81, No. 127 / Friday, July 1, 2016 / Rules and Regulations
TABLE 4—U.S. COAST GUARD CIVIL PENALTIES ADJUSTMENTS—Continued
Adjusted new
Baseline Preliminary new penalty
penalty * penalty
Current [increase capped
Penalty name Citation (year) Multiplier ** [multiplier ×
penalty at 150% more
(statutory cita- baseline than current
tion) penalty] penalty]
Oil/Hazardous Substances: Discharges 33 U.S.C. 1321(b)(6)(B)(i); 15,000 ............... $10,000 ............. 1.78156 17,816 ............... 17,816
(Class I per violation). 33 CFR 27.3. (1990)
(Pub. L. 101–
380)
Oil/Hazardous Substances: Discharges 33 U.S.C. 1321(b)(6)(B)(i); 40,000 ............... $25,000 ............. 1.78156 44,539 ............... 44,539
(Class I total under paragraph). 33 CFR 27.3. (1990)
(Pub. L. 101–
380)
Oil/Hazardous Substances: Discharges 33 U.S.C. 15,000 ............... $10,000 ............. 1.78156 17,816 ............... 17,816
(Class II per day of violation). 1321(b)(6)(B)(ii); 33 (1990)
CFR 27.3. (Pub. L. 101–
380)
Oil/Hazardous Substances: Discharges 33 U.S.C. 190,000 ............. $125,000 ........... 1.78156 222,695 ............. 222,695
(Class II total under paragraph). 1321(b)(6)(B)(ii); 33 (1990)
CFR 27.3. (Pub. L. 101–
380)
Oil/Hazardous Substances: Discharges 33 U.S.C. 1321(b)(7)(A); 40,000 ............... $25,000 ............. 1.78156 44,539 ............... 44,539
(per day of violation) Judicial Assess- 33 CFR 27.3. (1990)
ment. (Pub. L. 101–
380)
Oil/Hazardous Substances: Discharges 33 U.S.C. 1321(b)(7)(A); 1,100 ................. $1,000 ............... 1.78156 1,782 ................. 1,782
(per barrel of oil or unit discharged) Judi- 33 CFR 27.3. (1990)
cial Assessment. (Pub. L. 101–
380)
Oil/Hazardous Substances: Failure to 33 U.S.C. 1321(b)(7)(B); 40,000 ............... $25,000 ............. 1.78156 44,539 ............... 44,539
Carry Out Removal/Comply With Order 33 CFR 27.3. (1990)
(Judicial Assessment). (Pub. L. 101–
380)
Oil/Hazardous Substances: Failure to 33 U.S.C. 1321(b)(7)(C); 40,000 ............... $25,000 ............. 1.78156 44,539 ............... 44,539
Comply with Regulation Issued Under 33 CFR 27.3. (1990)
1321(j) (Judicial Assessment). (Pub. L. 101–
380)
Oil/Hazardous Substances: Discharges, 33 U.S.C. 1321(b)(7)(D); 4,000 ................. $3,000 ............... 1.78156 5,345 ................. 5,345
Gross Negligence (per barrel of oil or 33 CFR 27.3. (1990)
unit discharged) Judicial Assessment. (Pub. L. 101–
380)
Oil/Hazardous Substances: Discharges, 33 U.S.C. 1321(b)(7)(D); 130,000 ............. $100,000 ........... 1.78156 178,156 ............. 178,156
Gross Negligence—Minimum Penalty 33 CFR 27.3. (1990)
(Judicial Assessment). (Pub. L. 101–
380)
Marine Sanitation Devices; Operating ........ 33 U.S.C. 1322(j); 33 CFR 3,000 ................. $2,000 ............... 5.62265 11,245 ............... 7,500
27.3. (1972)
(Pub. L. 92–500)
Marine Sanitation Devices; Sale or Manu- 33 U.S.C. 1322(j); 33 CFR 8,000 ................. $5,000 ............... 5.62265 28,113 ............... 20,000
facture. 27.3. (1972)
(Pub. L. 92–500)
International Navigation Rules; Operator ... 33 U.S.C. 1608(a); 33 8,000 ................. $5,000 ............... 2.80469 14,023 ............... 14,023
CFR 27.3. (1980)
(Pub. L. 96–591)
International Navigation Rules; Vessel ....... 33 U.S.C. 1608(b); 33 8,000 ................. $5,000 ............... 2.80469 14,023 ............... 14,023
CFR 27.3. (1980)
(Pub. L. 96–591)
Pollution from Ships; General ..................... 33 U.S.C. 1908(b)(1); 33 40,000 ............... $25,000 ............. 2.80469 70,117 ............... 70,117
CFR 27.3. (1980)
(Pub. L. 96–478)
Pollution from Ships; False Statement ....... 33 U.S.C. 1908(b)(1); 33 8,000 ................. $5,000 ............... 2.80469 14,023 ............... 14,023
CFR 27.3. (1980)
(Pub. L. 96–478)
Inland Navigation Rules; Operator ............. 33 U.S.C. 2072(a); 33 8,000 ................. $5,000 ............... 2.80469 14,023 ............... 14,023
CFR 27.3. (1980)
(Pub. L. 96–591)
Inland Navigation Rules; Vessel ................. 33 U.S.C. 2072(b); 33 8,000 ................. $5,000 ............... 2.80469 14,023 ............... 14,023
CFR 27.3. (1980)
(Pub. L. 96–591)
Shore Protection; General .......................... 33 U.S.C. 2609(a); 33 40,000 ............... $25,000 ............. 1.97869 49,467 ............... 49,467
CFR 27.3. (1988)
asabaliauskas on DSK3SPTVN1PROD with RULES
(Pub. L. 100–
688)
Shore Protection; Operating Without Per- 33 U.S.C. 2609(b); 33 15,000 ............... $10,000 ............. 1.97869 19,787 ............... 19,787
mit. CFR 27.3. (1988)
(Pub. L. 100–
688)
Oil Pollution Liability and Compensation .... 33 U.S.C. 2716a(a); 33 40,000 ............... $25,000 ............. 1.78156 44,539 ............... 44,539
CFR 27.3. (1990)
(Pub. L. 101–
380)
VerDate Sep<11>2014 19:31 Jun 30, 2016 Jkt 238001 PO 00000 Frm 00012 Fmt 4700 Sfmt 4700 E:\FR\FM\01JYR1.SGM 01JYR1](https://thefederalregister.org/doc/81_FR_43114/page/8.svg)
![Federal Register / Vol. 81, No. 127 / Friday, July 1, 2016 / Rules and Regulations 42995
TABLE 4—U.S. COAST GUARD CIVIL PENALTIES ADJUSTMENTS—Continued
Adjusted new
Baseline Preliminary new penalty
penalty * penalty
Current [increase capped
Penalty name Citation (year) Multiplier ** [multiplier ×
penalty at 150% more
(statutory cita- baseline than current
tion) penalty] penalty]
Clean Hulls .................................................. 33 U.S.C. 3852(a)(1)(A); 37,500 ............... $37,500 ............. 1.08745 40,779 ............... 40,779
33 CFR 27.3. (2010)
(Pub. L. 111–
281)
Clean Hulls—related to false statements ... 33 U.S.C. 3852(a)(1)(A); 50,000 ............... $50,000 ............. 1.08745 54,373 ............... 54,373
33 CFR 27.3. (2010)
(Pub. L. 111–
281)
Clean Hulls—Recreational Vessel .............. 33 U.S.C. 3852(c); 33 5,000 ................. $5,000 ............... 1.08745 5,437 ................. 5,437
CFR 27.3. (2010)
(Pub. L. 111–
281)
Hazardous Substances, Releases, Liability, 42 U.S.C. 9609(a); 33 35,000 ............... $25,000 ............. 2.15628 53,907 ............... 53,907
Compensation (Class I). CFR 27.3. (1986)
(Pub. L. 99–499)
Hazardous Substances, Releases, Liability, 42 U.S.C. 9609(b); 33 35,000 ............... $25,000 ............. 2.15628 53,907 ............... 53,907
Compensation (Class II). CFR 27.3. (1986)
(Pub. L. 99–499)
Hazardous Substances, Releases, Liability, 42 U.S.C. 9609(b); 33 100,000 ............. $75,000 ............. 2.15628 161,721 ............. 161,721
Compensation (Class II subsequent of- CFR 27.3. (1986)
fense). (Pub. L. 99–499)
Hazardous Substances, Releases, Liability, 42 U.S.C. 9609(c); 33 35,000 ............... $25,000 ............. 2.15628 53,907 ............... 53,907
Compensation (Judicial Assessment). CFR 27.3. (1986)
(Pub. L. 99–499)
Hazardous Substances, Releases, Liability, 42 U.S.C. 9609(c); 33 100,000 ............. $75,000 ............. 2.15628 161,721 ............. 161,721
Compensation (Judicial Assessment CFR 27.3. (1986)
subsequent offense). (Pub. L. 99–499)
Safe Containers for International Cargo ..... 46 U.S.C. App 1505(a)(2) 8,000 ................. $5,000 ............... 1.17858 5,893 ................. 5,893
(codified as 46 USC (2006)
80509); 33 CFR 27.3. (Pub. L. 109–
304)
Suspension of Passenger Service .............. 46 U.S.C. App 1805(c)(2) 70,000 ............... $50,000 ............. 1.17858 58,929 ............... 58,929
(codified 46 USC (2006)
70305); 33 CFR 27.3. (Pub. L. 109–
304; 46 USC
70305)
Vessel Inspection or Examination Fees ..... 46 U.S.C. 2110(e); 33 8,000 ................. $5,000 ............... 1.78156 8,908 ................. 8,908
CFR 27.3. (1990)
(Pub. L. 101–
508)
Alcohol and Dangerous Drug Testing ........ 46 U.S.C. 2115; 33 CFR 7,000 ................. $5,000 ............... 1.45023 7,251 ................. 7,251
27.3. (1998)
(Pub. L. 105–
383)
Negligent Operations: Recreational Ves- 46 U.S.C. 2302(a); 33 6,000 ................. $5,000 ............... 1.31185 6,559 ................. 6,559
sels. CFR 27.3. (2002)
(Pub. L. 107–
295)
Negligent Operations: Other Vessels ......... 46 U.S.C. 2302(a); 33 30,000 ............... $25,000 ............. 1.31185 32,796 ............... 32,796
CFR 27.3. (2002)
(Pub. L. 107–
295)
Operating a Vessel While Under the Influ- 46 U.S.C. 2302(c)(1); 33 7,000 ................. $5,000 ............... 1.45023 7,251 ................. 7,251
ence of Alcohol or a Dangerous Drug. CFR 27.3. (1998)
(Pub. L. 105–
383)
Vessel Reporting Requirements: Owner, 46 U.S.C. 2306(a)(4); 33 8,000 ................. $5,000 ............... 2.25867 11,293 ............... 11,293
Charterer, Managing Operator, or Agent. CFR 27.3. (1984)
(Pub. L. 98–498)
Vessel Reporting Requirements: Master .... 46 U.S.C. 2306(b)(2); 33 1,100 ................. $1,000 ............... 2.25867 2,259 ................. 2,259
CFR 27.3. (1984)
(Pub. L. 98–498)
Immersion Suits .......................................... 46 U.S.C. 3102(c)(1); 33 8,000 ................. $5,000 ............... 2.25867 11,293 ............... 11,293
CFR 27.3. (1984)
(Pub. L. 98–623)
Inspection Permit ........................................ 46 U.S.C. 3302(i)(5); 33 1,100 ................. $1,000 ............... 2.35483 2,355 ................. 2,355
CFR 27.3. (1983)
asabaliauskas on DSK3SPTVN1PROD with RULES
(Pub. L. 98–89)
Vessel Inspection; General ......................... 46 U.S.C. 3318(a); 33 8,000 ................. $5,000 ............... 2.25867 11,293 ............... 11,293
CFR 27.3. (1984)
(Pub. L. 98–498)
Vessel Inspection; Nautical School Vessel 46 U.S.C. 3318(g); 33 8,000 ................. $5,000 ............... 2.25867 11,293 ............... 11,293
CFR 27.3. (1984)
(Pub. L. 98–498)
Vessel Inspection; Failure to Give Notice 46 U.S.C. 3318(h); 33 1,100 ................. $1,000 ............... 2.25867 2,259 ................. 2,259
IAW 3304(b). CFR 27.3. (1984)
(Pub. L. 98–498)
VerDate Sep<11>2014 19:31 Jun 30, 2016 Jkt 238001 PO 00000 Frm 00013 Fmt 4700 Sfmt 4700 E:\FR\FM\01JYR1.SGM 01JYR1](https://thefederalregister.org/doc/81_FR_43114/page/9.svg)
![42996 Federal Register / Vol. 81, No. 127 / Friday, July 1, 2016 / Rules and Regulations
TABLE 4—U.S. COAST GUARD CIVIL PENALTIES ADJUSTMENTS—Continued
Adjusted new
Baseline Preliminary new penalty
penalty * penalty
Current [increase capped
Penalty name Citation (year) Multiplier ** [multiplier ×
penalty at 150% more
(statutory cita- baseline than current
tion) penalty] penalty]
Vessel Inspection; Failure to Give Notice 46 U.S.C. 3318(i); 33 CFR 1,100 ................. $1,000 ............... 2.25867 2,259 ................. 2,259
IAW 3309(c). 27.3. (1984)
(Pub. L. 98–498)
Vessel Inspection; Vessel ≥1600 Gross 46 U.S.C. 3318(j)(1); 33 15,000 ............... $10,000 ............. 2.25867 22,587 ............... 22,587
Tons. CFR 27.3. (1984)
(Pub. L. 98–498)
Vessel Inspection; Vessel <1600 Gross 46 U.S.C. 3318(j)(1); 33 3,000 ................. $2,000 ............... 2.25867 4,517 ................. 4,517
Tons. CFR 27.3. (1984)
(Pub. L. 98–498)
Vessel Inspection; Failure to Comply with 46 U.S.C. 3318(k); 33 15,000 ............... $10,000 ............. 2.25867 22,587 ............... 22,587
3311(b). CFR 27.3. (1984)
(Pub. L. 98–498)
Vessel Inspection; Violation of 3318(b)– 46 U.S.C. 3318(l); 33 CFR 8,000 ................. $5,000 ............... 2.25867 11,293 ............... 11,293
3318(f). 27.3. (1984)
(Pub. L. 98–498)
List/count of Passengers ............................ 46 U.S.C. 3502(e); 33 110 .................... $100 .................. 2.35483 235 .................... 235
CFR 27.3. (1983)
(Pub. L. 98–89)
Notification to Passengers .......................... 46 U.S.C. 3504(c); 33 15,000 ............... $10,000 ............. 2.35483 23,548 ............... 23,548
CFR 27.3. (1983)
(Pub. L. 98–89)
Notification to Passengers; Sale of Tickets 46 U.S.C. 3504(c); 33 800 .................... $500 .................. 2.35483 1,177 ................. 1,177
CFR 27.3. (1983)
(Pub. L. 98–89)
Copies of Laws on Passenger Vessels; 46 U.S.C. 3506; 33 CFR 300 .................... $200 .................. 2.35483 471 .................... 471
Master. 27.3. (1983)
(Pub. L. 98–89)
Liquid Bulk/Dangerous Cargo ..................... 46 U.S.C. 3718(a)(1); 33 40,000 ............... $25,000 ............. 2.35483 58,871 ............... 58,871
CFR 27.3. (1983)
(Pub. L. 98–89)
Uninspected Vessels .................................. 46 U.S.C. 4106; 33 CFR 8,000 ................. $5,000 ............... 1.97869 9,893 ................. 9,893
27.3. (1988)
(Pub. L. 100–
540)
Recreational Vessels (maximum for related 46 U.S.C. 4311(b)(1); 33 300,000 ............. $250,000 ........... 1.24588 311,470 ............. 311,470
series of violations). CFR 27.3. (2004)
(Pub. L. 108–
293)
Recreational Vessels; Violation of 4307(a) 46 U.S.C. 4311(b)(1); 33 6,000 ................. $5,000 ............... 1.24588 6,229 ................. 6,229
CFR 27.3. (2004)
(Pub. L. 108–
293)
Recreational vessels ................................... 46 U.S.C. 4311(c); 33 1,100 ................. $1,000 ............... 2.35483 2,355 ................. 2,355
CFR 27.3. (1983)
(Pub. L. 98–89)
Uninspected Commercial Fishing Industry 46 U.S.C. 4507; 33 CFR 8,000 ................. $5,000 ............... 1.97869 9,893 ................. 9,893
Vessels. 27.3. (1988)
(Pub. L. 100–
424)
Abandonment of Barges ............................. 46 U.S.C. 4703; 33 CFR 1,100 ................. $1,000 ............... 1.67728 1,677 ................. 1,677
27.3. (1992)
(Pub. L. 102–
587)
Load Lines .................................................. 46 U.S.C. 5116(a); 33 8,000 ................. $5,000 ............... 2.15628 10,781 ............... 10,781
CFR 27.3. (1986)
(Pub. L. 99–509)
Load Lines; Violation of 5112(a) ................. 46 U.S.C. 5116(b); 33 15,000 ............... $10,000 ............. 2.15628 21,563 ............... 21,563
CFR 27.3. (1986)
(Pub. L. 99–509)
Load Lines; Violation of 5112(b) ................. 46 U.S.C. 5116(c); 33 8,000 ................. $5,000 ............... 2.15628 10,781 ............... 10,781
CFR 27.3. (1986)
(Pub. L. 99–509)
Reporting Marine Casualties ...................... 46 U.S.C. 6103(a); 33 35,000 ............... $25,000 ............. 1.50245 37,561 ............... 37,561
CFR 27.3. (1996)
(Pub. L. 104–
asabaliauskas on DSK3SPTVN1PROD with RULES
324)
Reporting Marine Casualties; Violation of 46 U.S.C. 6103(b); 33 8,000 ................. $5,000 ............... 1.97869 9,893 ................. 9,893
6104. CFR 27.3. (1988)
(Pub. L. 100–
424)
Manning of Inspected Vessels; Failure to 46 U.S.C. 8101(e); 33 1,100 ................. $1,000 ............... 1.78156 1,782 ................. 1,782
Report Deficiency in Vessel Complement. CFR 27.3. (1990)
(Pub. L. 101–
380)
VerDate Sep<11>2014 19:31 Jun 30, 2016 Jkt 238001 PO 00000 Frm 00014 Fmt 4700 Sfmt 4700 E:\FR\FM\01JYR1.SGM 01JYR1](https://thefederalregister.org/doc/81_FR_43114/page/10.svg)
![Federal Register / Vol. 81, No. 127 / Friday, July 1, 2016 / Rules and Regulations 42997
TABLE 4—U.S. COAST GUARD CIVIL PENALTIES ADJUSTMENTS—Continued
Adjusted new
Baseline Preliminary new penalty
penalty * penalty
Current [increase capped
Penalty name Citation (year) Multiplier ** [multiplier ×
penalty at 150% more
(statutory cita- baseline than current
tion) penalty] penalty]
Manning of Inspected Vessels .................... 46 U.S.C. 8101(f); 33 CFR 15,000 ............... $10,000 ............. 1.78156 17,816 ............... 17,816
27.3. (1990)
(Pub. L. 101–
380)
Manning of Inspected Vessels; Employing 46 U.S.C. 8101(g); 33 15,000 ............... $10,000 ............. 1.78156 17,816 ............... 17,816
or Serving in Capacity not Licensed by CFR 27.3. (1990)
USCG. (Pub. L. 101–
380)
Manning of Inspected Vessels; Freight 46 U.S.C. 8101(h); 33 1,100 ................. $1,000 ............... 2.35483 2,355 ................. 2,355
Vessel <100 GT, Small Passenger Ves- CFR 27.3. (1983)
sel, or Sailing School Vessel. (Pub. L. 98–89)
Watchmen on Passenger Vessels .............. 46 U.S.C. 8102(a) ............ 1,100 ................. $1,000 ............... 2.35483 2,355 ................. 2,355
(1983)
(Pub. L. 98–89)
Citizenship Requirements ........................... 46 U.S.C. 8103(f) ............. 800 .................... $500 .................. 2.35483 1,177 ................. 1,177
(1983)
(Pub. L. 98–89)
Watches on Vessels; Violation of 8104(a) 46 U.S.C. 8104(i) .............. 15,000 ............... $10,000 ............. 1.78156 17,816 ............... 17,816
or (b). (1990)
(Pub. L. 101–
380)
Watches on Vessels; Violation of 8104(c), 46 U.S.C. 8104(j) .............. 15,000 ............... $10,000 ............. 1.78156 17,816 ............... 17,816
(d), (e), or (h). (1990)
(Pub. L. 101–
380)
Staff Department on Vessels ...................... 46 U.S.C. 8302(e) ............ 110 .................... $100 .................. 2.35483 235 .................... 235
(1983)
(Pub. L. 98–89)
Officer’s Competency Certificates .............. 46 U.S.C. 8304(d) ............ 110 .................... $100 .................. 2.35483 235 .................... 235
(1983)
(Pub. L. 98–89)
Coastwise Pilotage; Owner, Charterer, 46 U.S.C. 8502(e) ............ 15,000 ............... $10,000 ............. 1.78156 17,816 ............... 17,816
Managing Operator, Agent, Master or In- (1990)
dividual in Charge. (Pub. L. 101–
380)
Coastwise Pilotage; Individual .................... 46 U.S.C. 8502(f) ............. 15,000 ............... $10,000 ............. 1.78156 17,816 ............... 17,816
(1990)
(Pub. L. 101–
380)
Federal Pilots .............................................. 46 U.S.C. 8503 ................. 40,000 ............... $25,000 ............. 2.25867 56,467 ............... 56,467
(1984)
(Pub. L. 98–557)
Merchant Mariners Documents ................... 46 U.S.C. 8701(d) ............ 800 .................... $500 .................. 2.35483 1,177 ................. 1,177
(1983)
(Pub. L. 98–89)
Crew Requirements .................................... 46 U.S.C. 8702(e) ............ 15,000 ............... $10,000 ............. 1.78156 17,816 ............... 17,816
(1990)
(Pub. L. 101–
380)
Small Vessel Manning ................................ 46 U.S.C. 8906 ................. 35,000 ............... $25,000 ............. 1.50245 37,561 ............... 37,561
(1996)
(Pub. L. 104–
324)
Pilotage: Great Lakes; Owner, Charterer, 46 U.S.C. 9308(a) ............ 15,000 ............... $10,000 ............. 1.78156 17,816 ............... 17,816
Managing Operator, Agent, Master or In- (1990)
dividual in Charge. (Pub. L. 101–
380)
Pilotage: Great Lakes; Individual ................ 46 U.S.C. 9308(b) ............ 15,000 ............... $10,000 ............. 1.78156 17,816 ............... 17,816
(1990)
(Pub. L. 101–
380)
Pilotage: Great Lakes; Violation of 9303 .... 46 U.S.C. 9308(c) ............. 15,000 ............... $10,000 ............. 1.78156 17,816 ............... 17,816
(1990)
(Pub. L. 101–
380)
asabaliauskas on DSK3SPTVN1PROD with RULES
Failure to Report Sexual Offense ............... 46 U.S.C. 10104(b) .......... 8,000 ................. $5,000 ............... 1.89361 9,468 ................. 9,468
(1989)
(Pub. L. 101–
225)
Pay Advances to Seamen .......................... 46 U.S.C. 10314(a)(2) ...... 800 .................... $500 .................. 2.35483 1,177 ................. 1,177
(1983)
(Pub. L. 98–89)
Pay Advances to Seamen; Remuneration 46 U.S.C. 10314(b) .......... 800 .................... $500 .................. 2.35483 1,177 ................. 1,177
for Employment. (1983)
(Pub. L. 98–89)
VerDate Sep<11>2014 19:31 Jun 30, 2016 Jkt 238001 PO 00000 Frm 00015 Fmt 4700 Sfmt 4700 E:\FR\FM\01JYR1.SGM 01JYR1](https://thefederalregister.org/doc/81_FR_43114/page/11.svg)
![42998 Federal Register / Vol. 81, No. 127 / Friday, July 1, 2016 / Rules and Regulations
TABLE 4—U.S. COAST GUARD CIVIL PENALTIES ADJUSTMENTS—Continued
Adjusted new
Baseline Preliminary new penalty
penalty * penalty
Current [increase capped
Penalty name Citation (year) Multiplier ** [multiplier ×
penalty at 150% more
(statutory cita- baseline than current
tion) penalty] penalty]
Allotment to Seamen .................................. 46 U.S.C. 10315(c) ........... 800 .................... $500 .................. 2.35483 1,177 ................. 1,177
(1983)
(Pub. L. 98–89)
Seamen Protection; General ...................... 46 U.S.C. 10321 ............... 7,000 ................. $5,000 ............... 1.63238 8,162 ................. 8,162
(1993)
(Pub. L. 103–
206)
Coastwise Voyages: Advances .................. 46 U.S.C. 10505(a)(2) ...... 7,000 ................. $5,000 ............... 1.63238 8,162 ................. 8,162
(1993)
(Pub. L. 103–
206)
Coastwise Voyages: Advances; Remu- 46 U.S.C. 10505(b) .......... 7,000 ................. $5,000 ............... 1.63238 8,162 ................. 8,162
neration for Employment. (1993)
(Pub. L. 103–
206)
Coastwise Voyages: Seamen Protection; 46 U.S.C. 10508(b) .......... 7,000 ................. $5,000 ............... 1.63238 8,162 ................. 8,162
General. (1993)
(Pub. L. 103–
206)
Effects of Deceased Seamen ..................... 46 U.S.C. 10711 ............... 300 .................... $200 .................. 2.35483 471 .................... 471
(1983)
(Pub. L. 98–89)
Complaints of Unfitness .............................. 46 U.S.C. 10902(a)(2) ...... 800 .................... $500 .................. 2.35483 1,177 ................. 1,177
(1983)
(Pub. L. 98–89)
Proceedings on Examination of Vessel ...... 46 U.S.C. 10903(d) .......... 110 .................... $100 .................. 2.35483 235 .................... 235
(1983)
(Pub. L. 98–89)
Permission to Make Complaint ................... 46 U.S.C. 10907(b) .......... 800 .................... $500 .................. 2.35483 1,177 ................. 1,177
(1983)
(Pub. L. 98–89)
Accommodations for Seamen ..................... 46 U.S.C. 11101(f) ........... 800 .................... $500 .................. 2.35483 1,177 ................. 1,177
(1983)
(Pub. L. 98–89)
Medicine Chests on Vessels ...................... 46 U.S.C. 11102(b) .......... 800 .................... $500 .................. 2.35483 1,177 ................. 1,177
(1983)
(Pub. L. 98–89)
Destitute Seamen ....................................... 46 U.S.C. 11104(b) .......... 110 .................... $100 .................. 2.35483 235 .................... 235
(1983)
(Pub. L. 98–89)
Wages on Discharge .................................. 46 U.S.C. 11105(c) ........... 800 .................... $500 .................. 2.35483 1,177 ................. 1,177
(1983)
(Pub. L. 98–89)
Log Books; Master Failing to Maintain ....... 46 U.S.C. 11303(a) .......... 300 .................... $200 .................. 2.35483 471 .................... 471
(1983)
(Pub. L. 98–89)
Log Books; Master Failing to Make Entry .. 46 U.S.C. 11303(b) .......... 300 .................... $200 .................. 2.35483 471 .................... 471
(1983)
(Pub. L. 98–89)
Log Books; Late Entry ................................ 46 U.S.C. 11303(c) ........... 200 .................... $150 .................. 2.35483 353 .................... 353
(1983)
(Pub. L. 98–89)
Carrying of Sheath Knives .......................... 46 U.S.C. 11506 ............... 80 ...................... $50 .................... 2.35483 118 .................... 118
(1983)
(Pub. L. 98–89)
Vessel Documentation ................................ 46 U.S.C. 12151(a)(1) ...... 15,000 ............... $15,000 ............. 1.02819 15,423 ............... 15,423
(2012)
(Pub. L. 112–
213)
Documentation of Vessels—Related to Ac- 46 U.S.C. 12151(a)(2) ...... 25,000 ............... $25,000 ............. 1.02819 25,705 ............... 25,705
tivities involving mobile offshore drilling (2012)
units. (Pub. L. 112–
213)
Vessel Documentation; Fishery Endorse- 46 U.S.C. 12151(c) ........... 130,000 ............. $100,000 ........... 1.17858 117,858 ............. 117,858
ment. (2006)
(Pub. L. 109–
304)
asabaliauskas on DSK3SPTVN1PROD with RULES
Numbering of Undocumented Vessels— 46 U.S.C. 12309(a) .......... 6,000 ................. $5,000 ............... 2.35483 11,774 ............... 11,774
Willful violation. (1983)
(Pub. L. 98–89)
Numbering of Undocumented Vessels ....... 46 U.S.C. 12309(b) .......... 1,100 ................. $1,000 ............... 2.35483 2,355 ................. 2,355
(1983)
(Pub. L. 98–89)
Vessel Identification System ....................... 46 U.S.C. 12507(b) .......... 15,000 ............... $10,000 ............. 1.97869 19,787 ............... 19,787
(1988)
(Pub. L. 100–
710)
VerDate Sep<11>2014 19:31 Jun 30, 2016 Jkt 238001 PO 00000 Frm 00016 Fmt 4700 Sfmt 4700 E:\FR\FM\01JYR1.SGM 01JYR1](https://thefederalregister.org/doc/81_FR_43114/page/12.svg)
![Federal Register / Vol. 81, No. 127 / Friday, July 1, 2016 / Rules and Regulations 42999
TABLE 4—U.S. COAST GUARD CIVIL PENALTIES ADJUSTMENTS—Continued
Adjusted new
Baseline pen- Preliminary new penalty
alty * penalty
Current [increase capped
Penalty name Citation (year) Multiplier ** [multiplier ×
penalty at 150% more
(statutory cita- baseline than current
tion) penalty] penalty]
Measurement of Vessels ............................ 46 U.S.C. 14701 ............... 30,000 ............... $20,000 ............. 2.15628 43,126 ............... 43,126
(1986)
(Pub. L. 99–509)
Measurement; False Statements ................ 46 U.S.C. 14702 ............... 30,000 ............... $20,000 ............. 2.15628 43,126 ............... 43,126
(1986)
(Pub. L. 99–509)
Commercial Instruments and Maritime 46 U.S.C. 31309 ............... 15,000 ............... $10,000 ............. 1.97869 19,787 ............... 19,787
Liens. (1988)
(Pub. L. 100–
710)
Commercial Instruments and Maritime 46 U.S.C. 31330(a)(2) ...... 15,000 ............... $10,000 ............. 1.97869 19,787 ............... 19,787
Liens; Mortgagor. (1988)
(Pub. L. 100–
710)
Commercial Instruments and Maritime 46 U.S.C. 31330(b)(2) ...... 35,000 ............... $25,000 ............. 1.97869 49,467 ............... 49,467
Liens; Violation of 31329. (1988)
(Pub. L. 100–
710)
Port Security ............................................... 46 U.S.C. 70119(a) .......... 30,000 ............... $25,000 ............. 1.31185 32,796 ............... 32,796
(2002)
(Pub. L. 107–
295)
Port Security—Continuing Violations .......... 46 U.S.C. 70119(b) .......... 50,000 ............... $50,000 ............. 1.17858 58,929 ............... 58,929
(2006)
(Pub. L. 109–
241)
Maritime Drug Law Enforcement ................ 46 U.S.C. 70506(c) ........... 5,000 ................. $5,000 ............... 1.08745 5,437 ................. 5,437
(2010)
(Pub. L. 111–
281)
Hazardous Materials: Related to Vessels .. 49 U.S.C. 5123(a)(1) ........ 75,000 ............... $75,000 ............. 1.02819 77,114 ............... 77,114
(2012)
(Pub. L. 112–
141)
Hazardous Materials: Related to Vessels— 49 U.S.C. 5123(a)(2) ........ 175,000 ............. $175,000 ........... 1.02819 179,933 ............. 179,933
Penalty from Fatalities, Serious Injuries/ (2012)
Illness or substantial Damage to Prop- (Pub. L. 112–
erty. 141)
Hazardous Materials: Related to Vessels; 49 U.S.C. 5123(a)(3) ........ 450 .................... $450 .................. 1.02819 463 .................... 463
Training. (2012)
(Pub. L. 112–
141)
* The amount of the penalty and the year of when the penalty was established or last adjusted in statute or regulation other than pursuant to the Inflation Adjust-
ment Act of 1990.
** OMB, Implementation of the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, Table A: 2016 Civil Monetary Penalty Catch-Up Adjust-
ment Multiplier by Calendar Year, February 24, 2016.
*** Exempt as under the Tariff Act.
E. Transportation Security Identification Credentials (TWIC),7 as in section 503(b) of the Vision 100—
Administration well as violations of requirements Century of Aviation Reauthorization Act
described in chapter 449 of Title 49 of (Vision 100) (Pub. L. 108–176 (Dec. 12,
The Transportation Security the U.S. Code. These penalties can 2003)), Congress raised the total civil
Administration (TSA) is updating its apply to a wide variety of situations, as penalty amount per case that TSA may
civil penalties regulation in accordance described in the statutory and regulatory assess.
with the 2015 Act. Pursuant to its provisions, as well as in guidance that In this rulemaking, we are also
statutory authority in 49 U.S.C. 114(v), TSA publishes. making several minor adjustments to the
TSA may impose penalties for TSA’s maximum civil penalty regulatory text in section 1503.401
violations of any statute that TSA amounts are located in 49 CFR beyond simply updating the penalty
administers, whether an implementing 1503.401. Over the years, Congress has numbers. First, we are eliminating the
regulation or order imposes the increased the amount of those penalties text in paragraph (d), ‘‘Inflation
penalty.6 TSA assesses these penalties to reflect the importance of maintaining adjustment,’’ because it is no longer
for a wide variety of aviation and aviation security. In section 1602 of the needed. Pursuant to the 2015 Act, TSA
asabaliauskas on DSK3SPTVN1PROD with RULES
surface security requirements, including Homeland Security Act of 2002 (Pub. L. will carry out inflation adjustments
violations of TSA’s requirements 107–296 (Nov. 25, 2002)), Congress annually in the future, so there is no
applicable to Transportation Worker raised the maximum civil penalty need for this text. Each year, TSA will
amounts per violation for certain update the amounts with current figures
6 See 49 U.S.C. 114(v), as amended by sec. 1302 aviation security statutes. Additionally, per the latest adjustment.
of the Implementing Recommendations of the 9/11
Additionally, TSA is correcting a
Commission Act of 2007 (Pub. L. 110–53, 121 Stat. 7 See, e.g., 46 U.S.C. 70105, 49 U.S.C. 46302 and minor error that appeared in section
266 (Aug. 3, 2007)). 46303, and U.S.C. ch. 449. 1503.401(c). Previously, subsection
VerDate Sep<11>2014 16:44 Jun 30, 2016 Jkt 238001 PO 00000 Frm 00017 Fmt 4700 Sfmt 4700 E:\FR\FM\01JYR1.SGM 01JYR1](https://thefederalregister.org/doc/81_FR_43114/page/13.svg)
![43000 Federal Register / Vol. 81, No. 127 / Friday, July 1, 2016 / Rules and Regulations
(c)(1), which prescribed penalties for inflation) against an entity that is not an Under this rule, the current penalties
certain aviation-related violations, individual or small business, and continue to be applicable with regard to
stated that the penalty against an entity operating a non-aircraft operator violations that occurred on or before
that is operating a non-aircraft operator business who is subject to this fine. We November 2, 2015, the date of
business was limited to $50,000. have made this correction by removing enactment of the 2015 Act. Table 5
However, that statement incorrectly the inaccurate clause from paragraph below contains a full list of the penalties
applied the limiting provision in 49 (c)(1) and adding a new paragraph (c)(2) assessed by the Transportation Security
U.S.C. 46301(d)(8)(C), which applies the explicitly stating that an entity Administration, where the associated
$50,000 limitation (unadjusted for operating an on-aircraft operator violation occurred after November 2,
inflation) only to individuals and small business is subject to the full fine. We
2015.
businesses. TSA can assess the full are redesignating existing paragraph
amount of $400,000 (adjusted for (c)(2) as (c)(3).
TABLE 5—TRANSPORTATION SECURITY ADMINISTRATION CIVIL PENALTIES ADJUSTMENTS
Preliminary new Adjusted new
penalty penalty
Baseline penalty *
Penalty name Citation Current penalty Multiplier ** [multiplier × [increase capped at
(year) baseline 150% more than
penalty] current penalty]
Violation of 49 U.S.C. ch. 449 (except 49 U.S.C. $27,500 (up to a $25,000 (2003) (up 1.28561 $32,140 (up to a $32,140 (up to a
secs. 44902, 44903(d), 44907(a)– 46301(a)(1), (4); total of $400,000 to a total of total of $514,244 total of $514,244
(d)(1)(A), 44907(d)(1)(C)–(f), 44908, 49 CFR per civil penalty $400,000 per per civil penalty per civil penalty
and 44909), or 49 U.S.C. 46302 or 1503.401(c)(2). action). civil penalty ac- action). action).
46303, a regulation prescribed, or tion).
order issued thereunder by a person
operating an aircraft for the transpor-
tation of passengers or property for
compensation.
Violation of 49 U.S.C. ch. 449 (except 49 U.S.C. $11,000 (up to a $10,000 (2003) (up 1.28561 $12,856 (up to a $12,856 (up to a
secs. 44902, 44903(d), 44907(a)– 46301(a)(1), (4); total of $50,000 to a total of total of $64,281 total of $64,281
(d)(1)(A), 44907(d)(1)(C)–(f), 44908, 49 CFR total for small $50,000 total for total for small total for small
and 44909), or 49 U.S.C. 46302 or 1503.401(c)(1). businesses, small busi- businesses, businesses,
46303, a regulation prescribed, or $400,000 for oth- nesses, $514,244 for oth- $514,244 for oth-
order issued thereunder by an indi- ers). $400,000 for oth- ers). ers).
vidual (except an airman serving as ers).
an airman), any person not operating
an aircraft for the transportation of
passengers or property for com-
pensation, or a small business con-
cern.
Violation of any other provision of title 49 U.S.C. 114(v); $10,000 (up to a $10,000 (2009) (up 1.10020 $11,002 (up to a $11,002 (up to a
49 U.S.C. or of 46 U.S.C. ch. 701, a 49 CFR total of $50,000 to a total of total of $55,010 total of $55,010
regulation prescribed, or order issued 1503.401(b). total for small $50,000 total for total for small total for small
thereunder. businesses, small busi- businesses, businesses,
$400,000 for oth- nesses, $440,080 for oth- $440,080 for oth-
ers). $400,000 for oth- ers). ers).
ers).
* The amount of the penalty and the year of when the penalty was established or last adjusted in statute or regulation other than pursuant to the Inflation Adjust-
ment Act of 1990.
** OMB, Implementation of the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, Table A: 2016 Civil Monetary Penalty Catch-Up Adjust-
ment Multiplier by Calendar Year, February 24, 2016.
III. Administrative Procedure Act notice or opportunity for public IV. Regulatory Analyses
comment, because it would be
The Administrative Procedure Act A. Executive Orders 12866 and 13563
impracticable and unnecessary. The
(APA) generally requires agencies to
2015 Act directed agencies to ‘‘adjust Executive Orders 12866 and 13563
publish a notice of proposed rulemaking
civil monetary penalties through an direct agencies to assess the costs and
in the Federal Register (5 U.S.C. 553(b))
and to provide interested persons with interim final rulemaking’’ and to make benefits of available regulatory
the opportunity to submit comments (5 subsequent annual adjustments for alternatives and, if regulation is
U.S.C. 553(c)). The APA, however, inflation to civil monetary penalties necessary, to select regulatory
provides an exception to the notice and notwithstanding section 553 of title 5 of approaches that maximize net benefits
public comment requirements where the the U.S. Code. In addition, the 2015 Act (including potential economic,
‘‘agency for good cause finds . . . that provides a clear formula for adjustment environmental, public health and safety
notice and public procedure thereon are of the civil penalties, leaving DHS and effects, distributive impacts, and
impracticable, unnecessary, or contrary its components with little room for equity). Executive Order 13563
asabaliauskas on DSK3SPTVN1PROD with RULES
to public interest.’’ 5 U.S.C. 553(b)(B). discretion. DHS and its components emphasizes the importance of
DHS is promulgating this rule to have been charged only with performing quantifying both costs and benefits, of
ensure that the amount of civil penalties ministerial computations to determine reducing costs, of harmonizing rules,
that DHS assesses or enforces reflects the amounts of adjustments for inflation and of promoting flexibility. This final
the statutorily mandated ranges as to civil monetary penalties. rule has not been designated a
adjusted for inflation. Pursuant to 5 Accordingly, prior public notice and ‘‘significant regulatory action,’’ under
U.S.C. 553(b)(3)(B), there is good cause comment are not required for this rule. section 3(f) of Executive Order 12866.
to issue this rule without prior public Accordingly, the Office of Management
VerDate Sep<11>2014 19:31 Jun 30, 2016 Jkt 238001 PO 00000 Frm 00018 Fmt 4700 Sfmt 4700 E:\FR\FM\01JYR1.SGM 01JYR1](https://thefederalregister.org/doc/81_FR_43114/page/14.svg)
![43006 Federal Register / Vol. 81, No. 127 / Friday, July 1, 2016 / Rules and Regulations
impose a civil penalty in the following SUMMARY: This document establishes the World Food Program (WFP), have
amounts: rules to govern the award of funds by successfully utilized local and regional
(1) For violations that occurred on or the Foreign Agricultural Service (FAS) procurement over the last decade. Local
before November 2, 2015, $10,000 per to recipients under the USDA Local and and regional procurement, which has
violation, up to a total of $50,000 per Regional Food Aid Procurement increasingly become a key element in
civil penalty action, in the case of an Program (USDA LRP Program). Section the multilateral food aid response, is
individual or small business concern, as 3206 of the Food, Conservation, and used to purchase food in countries
defined in section 3 of the Small Energy Act of 2008, as amended by the affected by disasters and food crises or
Business Act (15 U.S.C. 632). For Agricultural Act of 2014, provides that in a different country within the same
violations that occurred after November the Secretary of Agriculture will provide region.
2, 2015, $12,856 per violation, up to a grants to, or enter into cooperative Currently many bilateral food
total of 64,281 per civil penalty action, agreements with, eligible organizations assistance donors have shifted from
in the case of an individual (except an to implement field-based projects that commodity-based in-kind food aid to a
airman serving as an airman), or a small consist of local or regional cash-based food assistance program. The
business concern. procurements of eligible commodities in World Food Program has cited that the
(2) For violations that occurred on or developing countries to provide use of cash-based programs enables
before November 2, 2015, $10,000 per development assistance and respond to NGOs and intergovernmental
violation, up to a total of $400,000 per food crises and disasters. The intended organizations to purchase food locally
civil penalty action, in the case of any effects of the USDA LRP Program are to or regionally in order to deliver
other person (except an airman serving support development activities aimed at assistance to beneficiaries quickly and
as an airman) not operating an aircraft strengthening the trade capacity of food- cost-effectively, while also providing
for the transportation of passengers or insecure developing countries and to development benefits to local
property for compensation. For address the cause of chronic food communities by strengthening
violations that occurred after November insecurity. The regulation also agricultural markets where the food is
2, 2015, $12,856 per violation, up to a addresses how emergency programming purchased.
total of $514,244 per civil penalty will be addressed. Several academic and other studies
action, in the case of any other person have cited significant cost and time
DATES: Effective July 1, 2016.
(except an airman serving as an airman) savings for certain commodities and in
Comment Dates: Written comments certain areas.1 For example, GAO found
not operating an aircraft for the
must be received by FAS or carry a that in Sub-Saharan Africa, local
transportation of passengers or property
postmark or equivalent no later than procurement cost about 34 percent less
for compensation.
(3) For violations that occurred on or August 30, 2016. than similar in-kind U.S. food aid
before November 2, 2015, $25,000 per ADDRESSES: Submit comments to: shipments. Some studies cited by the
violation, up to a total of $400,000 per • Federal Rulemaking Portal: Go to Government Accountability Office
civil penalty action, in the case of a http://www.regulations.gov. Follow the noted that large cash purchases in some
person operating an aircraft for the instructions for submitting comments. developing countries could have
transportation of passengers or property • Director, Food Assistance Division, detrimental effects on local market
for compensation (except an individual Office of Capacity Building and conditions if not carefully done. In cases
serving as an airman). For violations Development, Foreign Agricultural where local purchases might
that occurred after November 2, 2015, Service, 1400 Independence Ave. SW., substantially raise local market prices,
$32,140 per violation, up to a total of STOP 1034, Washington, DC 20250. in-kind donations of commodities may
$514,244 per civil penalty action, in the FOR FURTHER INFORMATION CONTACT: be more beneficial. Similarly, GAO and
case of a person (except an individual Director, Food Assistance Division, others have noted that in-kind
serving as an airman) operating an Office of Capacity Building and donations can also have detrimental
aircraft for the transportation of Development, Foreign Agricultural effects depending on local market
passengers or property for Service, 1400 Independence Ave. SW., conditions, depressing local farmers’
compensation. STOP 1034, Washington, DC 20250. prices if not carefully done. As the
Telephone: (202) 720–4221; Fax: (202) largest international food aid donor,
Jeh Charles Johnson, 690–0251; Email: FAD_Contact@ contributing over half of all global food
Secretary. fas.usda.gov. aid supplies to alleviate hunger and
[FR Doc. 2016–15673 Filed 6–30–16; 8:45 am] support development, the United States
SUPPLEMENTARY INFORMATION:
BILLING CODE 9110–09–P; 9111–14–P; 9111–28–P; plays an important role in responding to
9110–04–P; 9110–05–P
Background
1 See, for example, Erin C. Lentz, Simone
Overview Passarelli, Christopher B. Barrett, ‘‘The Timeliness
DEPARTMENT OF AGRICULTURE and Cost-Effectiveness of the Local and Regional
Section 3206 of the Food, Procurement of Food Aid,’’ World Development,
Conservation, and Energy Act of 2008 Available online 1 March 2013, ISSN 0305–750X,
Foreign Agricultural Service (the ‘‘2008 Farm Bill’’), as amended by 10.1016/j.worlddev.2013.01.017; Barrett,
the Agricultural Act of 2014 (the ‘‘2014 Christopher B., Samuel D. Bell, Teevrat Garg,
7 CFR Part 1590 Farm Bill’’), provides that the Secretary
Miguel I. Gomez, Aurélie P. Harou, Erin C. Lentz,
Simone Passarelli, Joanna B. Upton and William J.
RIN 0551–AA87 of Agriculture will establish a program Violette. ‘‘Final Report: A Multidimensional
asabaliauskas on DSK3SPTVN1PROD with RULES
to provide grants to, or enter into Analysis of Local and Regional Procurement of US
Local and Regional Food Aid cooperative agreements with, eligible Food Aid,’’ January 2012. Cornell University; and
General Accountability Office, Local and Regional
Procurement Program organizations to procure locally or Procurement Can Enhance the Efficiency of U.S.
AGENCY: Foreign Agricultural Service, regionally produced commodities to Food Aid, but Challenges May Constrain Its
respond to food crises and disasters. Implementation, GAO–09–570: Published: May 29,
USDA. 2009. Publicly Released: Jun 4, 2009, http://
International nongovernmental
ACTION: Final rule with request for www.gao.gov/products/GAO-09-570. Appendix VI
organizations (NGOs) and of the GAO report includes a review of literature
comments.
intergovernmental organizations, like on local and regional procurement.
VerDate Sep<11>2014 16:44 Jun 30, 2016 Jkt 238001 PO 00000 Frm 00024 Fmt 4700 Sfmt 4700 E:\FR\FM\01JYR1.SGM 01JYR1](https://thefederalregister.org/doc/81_FR_43114/page/20.svg)
Document Created: 2016-07-14 11:38:11
Document Modified: 2016-07-14 11:38:11
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
| Publisher | Office of the Federal Register, National Archives and Records Administration | |
| Section | Rules and Regulations | |
| Action | Interim final rule with request for comments. | |
| Dates | Effective Date. This rule is effective on August 1, 2016. | |
| Contact | Megan Westmoreland, Attorney-Advisor, Office of the General Counsel, U.S. Department of Homeland Security. Phone: 202-447-4384. | |
| FR Citation | 81 FR 42987 | |
| RIN Number | 1601-AA80 | |
| CFR Citation | 33
CFR
27 49 CFR 1503 6 CFR 27 8 CFR 270 8 CFR 274 | |
| CFR Associated | Investigations; Law Enforcement; Reporting and Recordkeeping Requirements; Security Measures; Administrative Practice and Procedure; Aliens; Employment; Fraud and Penalties |
2025 Federal Register | Disclaimer | Privacy Policy
USC | CFR | eCFR