82 FR 17584 - Federal Civil Penalties Inflation Adjustment of 2015
DEPARTMENT OF TRANSPORTATION
Federal Motor Carrier Safety Administration Federal Register Volume 82, Issue 69 (April 12, 2017)
Federal Motor Carrier Safety Administration
Federal Register Volume 82, Issue 69 (April 12, 2017)
| Page Range | 17584-17593 | |
| FR Document | 2017-07316 |
[Federal Register Volume 82, Number 69 (Wednesday, April 12, 2017)] [Rules and Regulations] [Pages 17584-17593] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2017-07316] ======================================================================= ----------------------------------------------------------------------- DEPARTMENT OF TRANSPORTATION Federal Motor Carrier Safety Administration 49 CFR Part 386 [Docket Number: FMCSA-2016-0128] RIN 2126-AB93 Federal Civil Penalties Inflation Adjustment of 2015 AGENCY: Federal Motor Carrier Safety Administration (FMCSA), DOT. ACTION: Final rule. ----------------------------------------------------------------------- SUMMARY: FMCSA amends the civil penalties listed in its regulations to ensure that the civil penalties assessed or enforced by the Agency reflect the statutorily mandated ranges as adjusted for inflation. Pursuant to the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015 (2015 Act), FMCSA is required to promulgate annual adjustments each year by January 15th. Pursuant to the Administrative Procedure Act, FMCSA finds that good cause exists for immediate implementation of this final rule because prior notice and comment are unnecessary, per the specific provisions of the 2015 Act. DATES: This rule is effective April 24, 2017. FOR FURTHER INFORMATION CONTACT: Ms. LaTonya Mimms, Enforcement Division, by email at [email protected] or phone at 202-366-0991. Office hours are from 8:00 a.m. to 4:30 p.m. Monday through Friday, except Federal holidays. If you have questions on viewing or submitting material to the docket, contact Docket Services, telephone (202) 366- 9826. SUPPLEMENTARY INFORMATION: I. Executive Summary A. Purpose and Summary of the Major Provisions This final rule adjusts the amount of FMCSA's civil penalties to account for inflation as directed by the 2015 Act. The final rule implements the 2017 annual adjustments, which will update the adjustments made by interim final rule on June 27, 2016 (81 FR 41453). The specific inflation adjustment methodology is described later in this document. B. Benefits and Costs The changes imposed by this final rule affect civil penalty amounts, which are considered by the Office of Management and Budget (OMB) Circular A-4, Regulatory Analysis,\1\ as transfer payments, not costs. Transfer payments are payments from one group to another that do not affect total resources available to society. By definition they are not considered in the monetization of societal costs and benefits of rulemakings. --------------------------------------------------------------------------- \1\ Office of Management and Budget (OMB). Circular A-4. Regulatory Analysis. September 17, 2003. Available at: https://www.whitehouse.gov/sites/default/files/omb/assets/omb/circulars/a004/a-4.pdf (accessed January 5, 2017). --------------------------------------------------------------------------- Congress stated in the Federal Civil Penalties Inflation Adjustment Act of 1990 (1990 Act) that increasing penalties over time will ``maintain the deterrent effect of civil monetary penalties and promote compliance with the law.'' \2\ Therefore, with this continued deterrence, FMCSA infers that there may be some safety benefits that occur due to this final rule. The deterrence effect of increasing penalties, which Congress has recognized, cannot be reliably quantified into safety benefits. --------------------------------------------------------------------------- \2\ 28 U.S.C. 2461 note (Pub. L. 101-410, Oct. 5, 1990, 104 Stat. 890.). --------------------------------------------------------------------------- II. Legal Basis for the Rulemaking A. Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015 This rulemaking is based primarily on the 2015 Act, Public Law 114- 74, title VII, sec. 701, 129 Stat. 599, 28 U.S.C. 2461 note (Nov. 2, 2015). The 2015 Act amended the Federal Civil Penalties Inflation Adjustment Act of 1990 (1990 Act) (28 U.S.C. 2461 note). The basic findings and purpose of the amended 1990 Act remain unchanged and include supporting the role civil penalties play in Federal law and regulations in deterring violations by allowing for regulatory adjustments to account for inflation. OMB must provide annual guidance by December of each year on implementing the 2015 Act. In response to this provision, OMB has provided guidance to agencies regarding the methodology to implement the 2017 annual adjustment required under the 2015 Act,\3\ as further discussed in the Background section, below. --------------------------------------------------------------------------- \3\ OMB Memorandum for the Heads of Executive Departments and Agencies; Implementation of the 2017 annual adjustment pursuant to the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015: https://www.whitehouse.gov/sites/default/files/omb/memoranda/2017/m-17-11_0.pdf. --------------------------------------------------------------------------- B. Administrative Procedure Act (APA) Generally, agencies may promulgate final rules only after issuing a notice of proposed rulemaking and providing an opportunity for public comment under [[Page 17585]] procedures required by the APA, as provided in 5 U.S.C. 553(b) and (c). The APA, in 5 U.S.C. 553(b)(3)(B), provides an exception from these requirements when notice and public comment procedures are ``impracticable, unnecessary, or contrary to the public interest.'' FMCSA finds that prior notice and comment is unnecessary because section 4 of the 2015 Act specifically requires the annual adjustments to be accomplished through final rule without notice and comment. Also pursuant to the APA (5 U.S.C. 553 (d)(3)), the rule will be effective April 24, 2017. Delaying the effective date for 30 days after publication would be contrary to the direction provided in the 2015 Act, which states that annual adjustments be made by January 15th of each year. As this final rule is already past that deadline, further delay would be contrary to the public interest. III. Background A. Regulatory History On June 27, 2016, FMCSA published an interim final rule using an initial ``catch up'' adjustment, as required by section 4 of the 2015 Act (81 FR 41453). That interim final rule included an explanation of how FMCSA would apply adjusted civil penalty amounts to ongoing enforcement cases. As stated in that rule: FMCSA has concluded that, for those open enforcement matters in which a penalty was proposed before the date of the ``catch-up'' adjustment or an annual adjustment but in which a Final Agency Action has not been issued, recalculating the amount of the proposed penalty would not induce further compliance, and would thus be contrary to the goal of 49 U.S.C. 521(b)(2)(D). Moreover, the length of time between the date that a person is notified of the amount of the proposed penalty and the issuance of the Final Agency Action can vary, but is sometimes several years, depending on litigation schedules and other factors. Applying an inflation adjustment to proposed penalties in cases long awaiting administrative review could raise questions of equity. FMCSA therefore will not retroactively adjust the proposed penalty amounts in notices of claim issued prior to the effective date. Otherwise, the 2015 Act applies prospectively, and does not retroactively change previously assessed or enforced penalties an agency is actively collecting or has collected.\4\ --------------------------------------------------------------------------- \4\ 81 FR 41453, 41454, June 27, 2016. --------------------------------------------------------------------------- B. Method of Calculation OMB published a memorandum on December 16, 2016 (see footnote 3), providing guidance to the Agencies for implementation of the 2017 annual adjustment under the 2015 Act (OMB implementation guidance). The OMB implementation guidance detailed a cost-of-living adjustment multiplier of 1.01636 for 2017. This adjustment applies to all civil monetary penalties covered by the Inflation Adjustment Act. OMB guidance requires the multiplier to be applied to the most recent penalty amount, i.e., the catch-up adjustment that the 2015 Act required agencies to issue not later than July 1, 2016. FMCSA, therefore, bases these adjustments on the changes contained in the interim final rule published June 27, 2016 (81 FR 41453). IV. Discussion of Comments and Responses On June 27, 2016, FMCSA published an interim final rule using an initial ``catch up'' adjustment. While that interim final rule was issued without notice and comment, FMCSA did request comments on any errors or discrepancies that the public might find. No comments were received on the interim final rule. V. International Impacts The FMCSRs, and any exceptions to the FMCSRs, apply to foreign entities operating within the United States (and, in some cases, United States territories). Motor carriers and drivers are subject to the laws and regulations of the countries in which they operate, unless an international agreement states otherwise. Drivers and carriers should be aware of the regulatory differences among nations. VI. Section-by-Section Analysis Today's amendments to part 386 finalize the changes made to the introductory text of the Appendices A and B to Part 386 in the interim final rule published on June 27, 2016 (81 FR 41453). The amendments also revise the penalty amounts found within Appendices A and B. Below are two tables describing the changes to the civil penalty amounts in Appendices A and B. The first and second columns show the location of the change in the appendices and the legal authority. Column three shows the current penalty as adjusted by the interim final rule. The fourth column presents the ``Annually Adjusted Penalty,'' which is the current penalty adjusted using the OMB-prescribed multiplier of 1.01636. As noted in the regulatory text (Part 386, Appendices A and B) in today's rule, the adjusted civil penalties identified in the appendices supersede, where a discrepancy exists, the corresponding civil penalty amounts identified in title 49, United States Code. A. Appendix A to Part 386--Penalty Schedule: Violations of Notices and Orders The introduction to Appendix A is republished, but is unchanged from the interim final rule. Table 1, below, describes the changes in the penalties in Appendix A made by today's final rule. Table 1--Inflation Adjustments for Appendix A to Part 386 ---------------------------------------------------------------------------------------------------------------- Annually adjusted Current penalty Civil penalty location Legal authority penalty (current penalty x 1.01636) (1) (2)............................. (3) (4) ---------------------------------------------------------------------------------------------------------------- Appendix A II Subpoena........................ MAP-21 Public Law 112-141, 32110 $1,028 $1,045 126 Stat. 405, 782, (2012) (49 U.S.C. 525). Appendix A II Subpoena........................ MAP-21 Public Law 112-141, 10,282 10,450 32110, 126 Stat. 405, 782 (2012) (49 U.S.C. 525). Appendix A IV (a) Out-of-service order Public Law 98-554, 213(b), 98 1,782 1,811 (operation of CMV by driver). Stat. 2829, 2841-2843 (1984) (49 U.S.C. 521(b)(7)), 55 FR 11224 (March 27, 1990). Appendix A IV (b) Out-of-service order Public Law 98-554, 213(a), 98 17,816 18,107 (requiring or permitting operation of CMV by Stat. 2829 (1984) (49 U.S.C. driver). 521(b)(7)), 55 FR 11224 (March 27, 1990). [[Page 17586]] Appendix A IV (c) Out-of-service order Public Law 98-554, 213(a), 98 1,782 1,811 (operation by driver of CMV or intermodal Stat 2829 (1984) (49 U.S.C. equipment that was placed out of service). 521(b)(7)), FR 11224 (March 27, 1990). Appendix A IV (d) Out-of-service order Public Law 98-554, 213(a), 98 17,816 18,107 (requiring or permitting operation of CMV or Stat 2829 (1984) (49 U.S.C. intermodal equipment that was placed out of 521(b)(7)); 55 FR 11224 (March service). 27, 1990). Appendix A IV (e) Out-of-service order 49 U.S.C. 521(b)(2)(B), 49 CFR 891 906 (failure to return written certification of 396.9(d)(3). correction). Appendix A IV (g) Out-of-service order MAP-21, Public Law 112-141, 25,705 26,126 (failure to cease operations as ordered). 32503, 126 Stat. 405, 803 (2012) (49 U.S.C. 521(b)(2)(F)). Appendix A IV (h) Out-of-service order Public Law 98-554, 213(a), 98 22,587 22,957 (operating in violation of order). Stat, 2829, 2841-2843 (1984) (49 U.S.C. 521(b)(7)). Appendix A IV (i) Out-of-service order TEA-21, Public Law 105-178, 14,502 14,739 (conducting operations during suspension or 4015(b), 112 Stat. 411-12 revocation for failure to pay penalties). (1998) (49 U.S.C. Sec. 521(b)(2)(A)), 521(b)(7)); 65 FR 56521, 56530 (September 19, 2000). Appendix A IV (j) (conducting operations Public Law 98-554, 213(a), 98 22,587 22,957 during suspension or revocation). Stat, 2829, 2841-2843 (1984) (49 U.S.C. 521(b)(7)). ---------------------------------------------------------------------------------------------------------------- B. Appendix B to Part 386--Penalty Schedule: Violations and Monetary Penalties The introduction to Appendix B is republished, but is unchanged from the interim final rule. Table 2, below, describes the changes in the penalties in Appendix B made by today's final rule. Table 2--Inflation Adjustments for Appendix B to Part 386 ---------------------------------------------------------------------------------------------------------------- Annually adjusted Current penalty Civil penalty location Legal authority penalty (current penalty x 1.01636) (1) (2)............................. (3) (4) ---------------------------------------------------------------------------------------------------------------- Appendix B (a)(1) Recordkeeping--maximum SAFETEA-LU, Public Law 109-59, $1,194 $1,214 penalty per day. 4102(a), 119 Stat. 1144, 1715 (2005) (49 U.S.C. 521(b)(2)(B)(i)). Appendix B (a)(1) Recordkeeping--maximum total SAFETEA-LU, Public Law 109-59, 11,940 12,135 penalty. 4102(a), 119 Stat. 1144, 1715 (2005) (49 U.S.C. 521(b)(2)(B)(i)). Appendix B (a)(2) Knowing falsification of SAFETEA-LU, Public Law 109-59, 11,940 12,135 records. 4102(a), 119 Stat. 1144, 1715 (2005) (49 U.S.C. 521(b)(2)(B)(ii)). Appendix B (a)(3) Non-recordkeeping violations TEA-21, Public Law 105-178, 14,502 14,739 4015(b), 112 Stat. 107, 411-12 (1998) (49 U.S.C. 521(b)(2)(A)). Appendix B (a)(4) Non-recordkeeping violations TEA-21, Public Law 105-178, 3,626 3,685 by drivers. 4015(b), 112 Stat. 107, 411-12 (1998) (49 U.S.C. 521(b)(2)(A)). Appendix B (a)(5) Violation of 49 CFR 392.5 SAFETEA-LU, Public Law 109-59, 2,985 3,034 (first offense). 119 Stat. 1144, 1715; 4102(b), 119 Stat. 1715-16 (2005) (49 U.S.C. 31310(i)(2)(A)). Appendix B (a)(5) Violation of 49 CFR 392.5 SAFETEA-LU, Public Law 109-59, 5,970 6,068 (second or subsequent conviction). 119 Stat. 1144, 1715; 4102(b), 119 Stat. 1715-16 (2005) (49 U.S.C. 31310(i)(2)(A)). Appendix B (b) Commercial driver's license Public Law 99-570, 12012(b), 100 5,391 5,479 (CDL) violations. Stat. 3207-184-85 (1986) (49 U.S.C. 521(b)(2)(C)). Appendix B (b)(1): Special penalties SAFETEA-LU, Public Law 109-59, 2,985 3,034 pertaining to violation of out-of-service 4102(b), 119 Stat. 1144, 1715 orders (first conviction). (2005) (49 U.S.C. 31310(i)(2)(A)). Appendix B (b)(1) Special penalties pertaining SAFETEA-LU, Public Law 109-59, 5,970 6,068 to violation of out-of-service orders (second 119, 4102(b), Stat. 1144, 1715 or subsequent conviction). (2005) (49 U.S.C. 31310(i)(2)(A)). Appendix B (b)(2) Employer violations Public Law 99-570, 12012(b), 100 5,391 5,479 pertaining to knowingly allowing, authorizing Stat. 3207-184-85 (1986) (49 employee violations of out-of-service order U.S.C. 521(b)(2)(C)). (minimum penalty). [[Page 17587]] Appendix B (b)(2) Employer violations SAFETEA-LU, Public Law 109-59, 29,849 30,337 pertaining to knowingly allowing, authorizing 4102(b), 119 Stat. 1144, 1715 employee violations of out-of-service order (2005) (49 U.S.C. 31310 (maximum penalty). (i)(2)(C)). Appendix B (b)(3) Special penalties pertaining ICC Termination Act of 1995, 15,474 15,727 to railroad-highway grade crossing violations. Public Law 104-88, 403(a), 109 Stat. 956 (1995) (49 U.S.C. 31310(j)(2)(B)). Appendix B (d) Financial responsibility Public Law 103-272, 31139(f), 15,909 16,169 violations. 108 Stat. 745, 1006-1008 (1994) (49 U.S.C. 31139(g)(1)). Appendix B (e)(1) Violations of Hazardous MAP-21 Public Law 112-141, 77,114 78,376 Materials Regulations (HMRs) and Safety 33010, 126 Stat. 405, 837-838 Permitting Regulations (transportation or (2012) (49 U.S.C. 5123(a)(1)). shipment of hazardous materials). Appendix B (e)(2) Violations of Hazardous MAP-21 Public Law 112-141, 463 471 Materials Regulations (HMRs) and Safety 33010, 126 Stat. 405, 837 Permitting Regulations (training)--minimum (2012) (49 U.S.C. 5123(a)(3)). penalty. Appendix B (e)(2): Violations of Hazardous MAP-21 Public Law 112-141, 33010 77,114 78,376 Materials Regulations (HMRs) and Safety 126 Stat. 405, 837 (2012) (49 Permitting Regulations (training)--maximum U.S.C. 5123(a)(1)). penalty. Appendix B (e)(3) Violations of Hazardous MAP-21 Public Law 112-141, 77,114 78,376 Materials Regulations (HMRs) and Safety 33010, 126 Stat. 405, 837, Permitting Regulations (packaging or (2012) 49 U.S.C. 5123(a)(1)). container). Appendix B (e)(4): Violations of Hazardous MAP-21 Public Law 112-141, 77,114 78,376 Materials Regulations (HMRs) and Safety 33010, 126 Stat. 405, 837 Permitting Regulations (compliance with (2012) (49 U.S.C. 5123(a)(1)). FMCSRs). Appendix B (e)(5) Violations of Hazardous MAP-21 Public Law 112-141, 179,933 182,877 Materials Regulations (HMRs) and Safety 33010, 126 Stat. 405, 837 Permitting Regulations (death, serious (2012) (49 U.S.C. 5123(a)(2)). illness, severe injury to persons; destruction of property). Appendix B (f)(1) Operating after being MAP-21, Public Law 112-141, 25,705 26,126 declared unfit by assignment of a final 32503, 126 Stat. 405, 803 ``unsatisfactory'' safety rating (generally). (2012) (49 U.S.C. 521(b)(2)(F)). Appendix B (f)(2) Operating after being MAP-21, Public Law 112-141, 77,114 78,376 declared unfit by assignment of a final 33010, 126 Stat. 405, 837 (49 ``unsatisfactory'' safety rating (hazardous U.S.C. 5123(a)(1)). materials)--maximum penalty. Appendix B (f)(2): Operating after being MAP-21, Public Law 112-141, 179,933 182,877 declared unfit by assignment of a final 33010, 126 Stat. 405, 837 ``unsatisfactory'' safety rating (hazardous (2012) (49 U.S.C. 5123(a)(2)). materials)--maximum penalty if death, serious illness, severe injury to persons; destruction of property. Appendix B (g)(1) New Appendix B (g)(1): MAP-21, Public Law 112-141, 10,282 10,450 Violations of the commercial regulations (CR) 32108(a), 126 Stat. 405, 782 (property carriers). (2012) (49 U.S.C. 14901(a)). Appendix B (g)(2) Violations of the CRs MAP-21 Public Law 112-141, 10,282 10,450 (brokers). 32919(a), 126 Stat. 405, 827 (2012) (49 U.S.C. 14916(c)). Appendix B (g)(3) Violations of the CRs MAP-21, Public Law 112-141, 25,705 26,126 (passenger carriers). 32108(a), 126 Stat. 405, 782 (2012) (49 U.S.C. 14901(a)). Appendix B (g)(4) Violations of the CRs MAP-21, Public Law 112-141, 10,282 10,450 (foreign motor carriers, foreign motor 32108(a), 126 Stat. 405, 782 private carriers). (2012) (49 U.S.C. 14901(a)). Appendix B (g)(5) Violations of the CRs MCSIA of 1999, Public Law 106- 14,140 14,371 (foreign motor carriers, foreign motor 59, 219(b), 113 Stat. 1748, private carriers before implementation of 1768 (1999) (49 U.S.C. 14901 North American Free Trade Agreement land note). transportation provisions)--maximum penalty for intentional violation. Appendix B (g)(5) Violations of the CRs MCSIA of 1999, Public Law 106- 35,351 35,929 (foreign motor carriers, foreign motor 59, 219(c), 113 Stat. 1748, private carriers before implementation of 1768 (1999) (49 U.S.C. 14901 North American Free Trade Agreement land note). transportation provisions)--maximum penalty for a pattern of intentional violations. Appendix B (g)(6) Violations of the CRs (motor MAP-21, Public Law 112-141, 20,564 20,900 carrier or broker for transportation of 32108, 126 Stat. 405, 782 hazardous wastes)--minimum penalty. (2012) (49 U.S.C. 14901(b)). Appendix B (g)(6) Violations of the CRs (motor MAP-21 Public Law 112-141, 41,128 41,801 carrier or broker for transportation of 32108, 126 Stat. 405,782 (2012) hazardous wastes)--maximum penalty. (49 U.S.C. 14901(b)). [[Page 17588]] Appendix B (g)(7): Violations of the CRs (HHG ICC Termination Act of 1995, 1,547 1,572 carrier or freight forwarder, or their Public Law 104-88, 103, 100 receiver or trustee). Stat. 803, 914 (1995) (49 U.S.C. 14901(d)(1)). Appendix B (g)(8) Violation of the CRs (weight ICC Termination Act of 1995, 3,095 3,146 of HHG shipment, charging for services)-- Public Law 104-88, 103, 100 minimum penalty for first violation. Stat. 803, 914 (1995) (49 U.S.C. 14901(e)). Appendix B (g)(8) Violation of the CRs (weight ICC Termination Act of 1995, 7,737 7,864 of HHG shipment, charging for services) Public Law 104-88, 103, 100 subsequent violation. Stat. 803, 914 (1995) (49 U.S.C. 14901(e)). Appendix B (g)(10) Tariff violations.......... ICC Termination Act of 1995, 154,742 157,274 Public Law 104-88, 103, 100 Stat. 803, 868-869, 915 (1995) (49 U.S.C. Sec. 13702, 14903). Appendix B (g)(11) Additional tariff ICC Termination Act of 1995, 309 314 violations (rebates or concessions)--first Public Law 104-88, 103, 100 violation. Stat. 803, 915-916 (1995) (49 U.S.C. 14904(a)). Appendix B (g)(11) Additional tariff ICC Termination Act of 1995, 387 393 violations (rebates or concessions)-- Public Law 104-88, 103, 100 subsequent violations. Stat. 803, 915-916 (1995) (49 U.S.C. 14904(a)). Appendix B (g)(12): Tariff violations (freight ICC Termination Act of 1995, 774 787 forwarders)--maximum penalty for first Public Law 104-88, 103, 100 violation. Stat. 803, 916 (49 U.S.C. 14904(b)(1)). Appendix B (g)(12): Tariff violations (freight ICC Termination Act of 1995, 3,095 3,146 forwarders)--maximum penalty for subsequent Public Law 104-88, 103, 100 violations. Stat. 803, 916 (1995) (49 U.S.C. 14904(b)(1)). Appendix B (g)(13): Service from freight ICC Termination Act of 1995, 774 787 forwarder at less than rate in effect-- Public Law 104-88, 103, 100 maximum penalty for first violation. Stat. 803, 916 (1995) (49 U.S.C. 14904(b)(2)). Appendix B (g)(13): Service from freight ICC Termination Act of 1995, 3,095 3,146 forwarder at less than rate in effect-- Public Law 104-88, 103, 100 maximum penalty for subsequent violation(s). Stat. 803, 916 (1995) (49 U.S.C. 14904(b)(2)). Appendix B (g)(14): Violations related to ICC Termination Act of 1995, 15,474 15,727 loading and unloading motor vehicles. Public Law 104-88, 103, 100 Stat. 803, 916 (1995) (49 U.S.C. 14905). Appendix B (g)(16): Reporting and MAP-21, Public Law 112-141, 1,028 1,045 recordkeeping under 49 U.S.C. subtitle IV, 32108, 126 Stat. 405, 782 part B (except 13901 and 13902(c)--minimum (2012) (49 U.S.C. 14901). penalty. Appendix B (g)(16): Reporting and ICC Termination Act of 1995, 7,737 7,864 recordkeeping under 49 U.S.C. subtitle IV, Public Law 104-88, 103, 100 part B--maximum penalty. Stat. 803, 916-917 (1995) (49 U.S.C. 14907). Appendix B (g)(17): Unauthorized disclosure of ICC Termination Act of 1995, 3,095 3,146 information. Public Law 104-88, 103, 100 Stat. 803, 917 (1995) (49 U.S.C. 14908). Appendix B (g)(18): Violation of 49 U.S.C. ICC Termination Act of 1995, 774 787 subtitle IV, part B, or condition of Public Law 104-88, 103, 100 registration. Stat. 803, 917 (1995) (49 U.S.C. 14910). Appendix B (g)(21)(i): Knowingly and willfully ICC Termination Act of 1995, 15,474 15,727 fails to deliver or unload HHG at destination. Public Law 104-88, 103, 100 Stat. 803, 916 (1995) (49 U.S.C. 14905). Appendix B (g)(22): HHG broker estimate before SAFETEA-LU, Public Law 109-59, 11,940 12,135 entering into an agreement with a motor 4209(2), 119 Stat. 1144, 1758, carrier. (2005) (49 U.S.C. 14901(d)(2)). Appendix B (g)(23): HHG transportation or SAFETEA-LU, Public Law 109-59, 29,849 30,337 broker services--registration requirement. 4209(d)(3), 119 Stat. 1144, 1758 (2005) (49 U.S.C. 14901 (d)(3)). Appendix B (h): Copying of records and access SAFETEA-LU, Public Law 109-59, 1,194 1,214 to equipment, lands, and buildings--maximum 4103(2), 119 Stat. 1144, 1716 penalty per day. (2005) (49 U.S.C. 521(b)(2)(E)). Appendix B (h): Copying of records and access SAFETEA-LU, Public Law 109-59, 11,940 12,135 to equipment, lands, and buildings--maximum 4103(2), 119 Stat. 1716 (2005) total penalty. (49 U.S.C. 521(b)(2)(E)). Appendix B (i)(1): Evasion of regulations MAP-21 Public Law 112-141, 2,056 2,090 under 49 U.S.C. ch. 5, 51, subchapter III of 32505, 126 Stat. 405, 804 311 (except 31138 and 31139), 31302-31304, (2012) (49 U.S.C. 524). 31305(b), 31310(g)(1)(A), 31502--minimum penalty for first violation. Appendix B (i)(1): Evasion of regulations MAP-21 Public Law 112-141, 5,141 5,225 under 49 U.S.C. ch. 5, 51, subchapter III of 32505, 126 Stat. 405, 804 311 (except 31138 and 31139), 31302-31304, (2012) (49 U.S.C. 524). 31305(b), 31310(g)(1)(A), 31502--maximum penalty for first violation. [[Page 17589]] Appendix B (i)(1): Evasion of regulations MAP-21 Public Law 112-141, 2,570 2,612 under 49 U.S.C. ch. 5, 51, subchapter III of 32505, 126 Stat. 405, 804 311 (except 31138 and 31139), 31302-31304, (2012) (49 U.S.C. 524). MAP-21 31305(b), 31310(g)(1)(A), 31502--minimum Public Law 112-141, 32505, 126 penalty for subsequent violation(s). Stat. 405, 804 (2012) (49 U.S.C. 524). Appendix B (i)(1): Evasion of regulations MAP-21 Public Law 112-141, 7,711 7,837 under 49 U.S.C. ch. 5, 51, subchapter III of 32505, 126 Stat. 405, 804 311 (except 31138 and 31139), 31302-31304, (2012) (49 U.S.C. 524). 31305(b), 31310(g)(1)(A), 31502--maximum penalty for subsequent violation(s). Appendix B (i)(2): Evasion of regulations MAP-21 Public Law 112-141, 2,056 2,090 under 49 U.S.C. subtitle IV, part B--minimum 32505, 126 Stat. 405, 804 penalty for first violation. (2012) (49 U.S.C. 14906). Appendix B (i)(2): Evasion of regulations MAP-21 Public Law 112-141, 5,141 5,225 under 49 U.S.C. subtitle IV, part B--minimum 32505, 126 Stat. 405, 804 penalty for subsequent violation(s). (2012) (49 U.S.C. 14906). ---------------------------------------------------------------------------------------------------------------- VII. Regulatory Analyses A. Executive Order (E.O.) 12866 (Regulatory Planning and Review and DOT Regulatory Policies and Procedures as Supplemented by E.O. 13563) This final rule is not a significant regulatory action under section 3(f) of Executive Order (E.O.) 12866, Regulatory Planning and Review, as supplemented by E.O. 13563 (76 FR 3821, January 21, 2011), and is also not significant within the meaning of DOT regulatory policies and procedures (DOT Order 2100.5 dated May 22, 1980; 44 FR 11034, February 26, 1979) and does not require an assessment of potential costs and benefits under section 6(a)(3) of that Order. The Office of Management and Budget has not reviewed it under that Order. This final rule would not have an annual effect on the economy of $100 million or more because transfer payments, by definition, do not affect total resources available to society. Historically, the Agency has never assessed civil penalties that approach $100 million in any given year. B. Regulatory Flexibility Act Under the Regulatory Flexibility Act of 1980 (5 U.S.C. 601-612), FMCSA is not required to complete a regulatory flexibility analysis, because, as discussed earlier in the legal basis section, this action is not subject to prior notice and comment under section 553(b) of the Administrative Procedure Act. C. Assistance for Small Entities In accordance with section 213(a) of the Small Business Regulatory Enforcement Fairness Act of 1996, FMCSA wants to assist small entities in understanding this final rule so that they can better evaluate its effects on themselves and participate in the rulemaking initiative. If the final rule would affect your small business, organization, or governmental jurisdiction and you have questions concerning its provisions or options for compliance, please consult the FMCSA point of contact, Ms. LaTonya Mimms, listed in the FOR FURTHER INFORMATION CONTACT section of this final rule. Small businesses may send comments on the actions of Federal employees who enforce or otherwise determine compliance with Federal regulations to the Small Business Administration's Small Business and Agriculture Regulatory Enforcement Ombudsman and the Regional Small Business Regulatory Fairness Boards. The Ombudsman evaluates these actions annually and rates each agency's responsiveness to small business. If you wish to comment on actions by employees of FMCSA, call 1-888-REG-FAIR (1-888-734-3247). DOT has a policy regarding the rights of small entities to regulatory enforcement fairness and an explicit policy against retaliation for exercising these rights. D. Unfunded Mandates Reform Act of 1995 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 $156 million (which is the value equivalent of $100,000,000 in 1995, adjusted for inflation to 2015 levels) or more in any 1 year. This final rule will not result in such an expenditure. E. Paperwork Reduction Act This final rule calls for no new collection of information under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520). F. Federalism (E.O. 13132) A rule has implications for Federalism under Section 1(a) of Executive Order 13132 if it has ``substantial direct effects on the States, on the relationship between the national government and the States, or on the distribution of power and responsibilities among the various levels of government.'' FMCSA has determined that this rule would not have substantial direct costs on or for States, nor would it limit the policymaking discretion of States. Nothing in this rule preempts any State law or regulation. Therefore, this rule does not have sufficient Federalism implications to warrant the preparation of a Federalism Impact Statement. G. Civil Justice Reform (E.O. 12988) This final rule meets applicable standards in sections 3(a) and 3(b)(2) of E.O. 12988, Civil Justice Reform, to [[Page 17590]] minimize litigation, eliminate ambiguity, and reduce burden. H. Protection of Children (E.O. 13045) E.O. 13045, Protection of Children from Environmental Health Risks and Safety Risks (62 FR 19885, Apr. 23, 1997), requires agencies issuing ``economically significant'' rules to include an evaluation of the regulation's environmental health and safety effects on children if an agency has reason to believe the rule may disproportionately affect children. The Agency determined that this final rule is not economically significant. Therefore, no analysis of the impacts on children is required. In any event, the Agency does not anticipate that this regulatory action could in any respect present an environmental or safety risk that could disproportionately affect children. I. Taking of Private Property (E.O. 12630) FMCSA reviewed this final rule in accordance with E.O. 12630, Governmental Actions and Interference with Constitutionally Protected Property Rights, and has determined it will not effect a taking of private property or otherwise have taking implications. J. Privacy Impact Assessment Section 522 of title I of division H of the Consolidated Appropriations Act, 2005, enacted December 8, 2004 (Pub. L. 108-447, 118 Stat. 2809, 3268, 5 U.S.C. 552a note), requires the Agency to conduct a privacy impact assessment (PIA) of a regulation that will affect the privacy of individuals. This rule does not require the collection of personally identifiable information (PII). The E-Government Act of 2002, Public Law 107-347, 208, 116 Stat. 2899, 2921 (Dec. 17, 2002), requires Federal agencies to conduct a privacy impact assessment for new or substantially changed technology that collects, maintains, or disseminates information in an identifiable form. No new or substantially changed technology would collect, maintain, or disseminate information as a result of this rule. Accordingly, FMCSA has not conducted a privacy impact assessment. K. Intergovernmental Review (E.O. 12372) The regulations implementing E.O. 12372 regarding intergovernmental consultation on Federal programs and activities do not apply to this program. L. Energy Supply, Distribution, or Use (E.O. 13211) FMCSA has analyzed this rule under E.O. 13211, Actions Concerning Regulations That Significantly Affect Energy Supply, Distribution, or Use. The Agency has determined that it is not a ``significant energy action'' under that order because it is not a ``significant regulatory action'' likely to have a significant adverse effect on the supply, distribution, or use of energy. Therefore, it does not require a Statement of Energy Effects under E.O. 13211. M. Indian Tribal Governments (E.O. 13175) This rule does not have tribal implications under E.O. 13175, Consultation and Coordination with Indian Tribal Governments, because it does not have a substantial direct effect on one or more Indian tribes, on the relationship between the Federal Government and Indian tribes, or on the distribution of power and responsibilities between the Federal Government and Indian tribes. N. National Technology Transfer and Advancement Act (Technical Standards) The National Technology Transfer and Advancement Act (NTTAA) (15 U.S.C. 272 note) directs agencies to use voluntary consensus standards in their regulatory activities unless the agency provides Congress, through OMB, with an explanation of why using these standards would be inconsistent with applicable law or otherwise impractical. Voluntary consensus standards (e.g., specifications of materials, performance, design, or operation; test methods; sampling procedures; and related management systems practices) are standards that are developed or adopted by voluntary consensus standards bodies. This rule does not use technical standards. Therefore, we did not consider the use of voluntary consensus standards. O. Environmental Review (National Environmental Policy Act, Clean Air Act, Environmental Justice) FMCSA analyzed this rule in accordance with the National Environmental Policy Act of 1969 (NEPA) (42 U.S.C. 4321, et seq.) and FMCSA's NEPA Implementing Procedures and Policy for Considering Environmental Impacts, Order 5610.1 (FMCSA Order), March 1, 2004 (69 FR 9680). FMCSA's Order states that ``[w]here FMCSA has no discretion to withhold or condition an action if the action is taken in accordance with specific statutory criteria and FMCSA lacks control and responsibility over the effects of an action, that action is not subject to this Order.'' Id. at chapter 1.D. Because Congress specifies the Agency's precise action here, thus leaving the Agency no discretion over such action, and since the Agency lacks control and responsibility over the effects of this action, this rulemaking falls under chapter 1.D. Therefore, no further analysis is considered. FMCSA also analyzed this rule under the Clean Air Act, as amended (CAA), section 176(c) (42 U.S.C. 7401 et seq.), and implementing regulations promulgated by the Environmental Protection Agency. Approval of this action is exempt from the CAA's general conformity requirement since it does not affect direct or indirect emissions of criteria pollutants. Under E.O. 12898 (Actions to Address Environmental Justice in Minority Populations and Low-Income Populations), each Federal agency must identify and address, as appropriate, ``disproportionately high and adverse human health or environmental effects of its programs, policies, and activities on minority populations and low-income populations'' in the United States, its possessions, and territories. FMCSA has determined that this final rule would have no environmental justice effects, nor would its promulgation have any collective environmental impact. List of Subjects in 49 CFR Part 386 Administrative procedures, Commercial motor vehicle safety, Highways and roads, Motor carriers, Penalties. For the reasons stated in the preamble, FMCSA is amending title 49 CFR part 386 to read as follows: PART 386--RULES OF PRACTICE FOR FMCSA PROCEEDINGS 0 1. The authority citation for part 386 continues to read as follows: Authority: 49 U.S.C. 113, chapters 5, 51, 59, 131-141, 145-149, 311, 313, and 315; 49 U.S.C. 5123; Sec. 204, Pub. L. 104-88, 109 Stat. 803, 941 (49 U.S.C. 701 note); Sec. 217, Pub. L. 105-159, 113 Stat. 1748, 1767; Sec. 206, Pub. L. 106-159, 113 Stat. 1763; subtitle B, title IV of Pub. L. 109-59; Sec. 701 of Pub. L. 114-74, 129 Stat. 584, 599; and 49 CFR 1.81 and 1.87. 0 2. Amend Appendix A to part 386 by revising the introductory text and sections II, IV. a. through e., and IV. g. through j. to read as follows: Appendix A to Part 386--Penalty Schedule: Violations of Notices and Orders The Civil Penalties Inflation Adjustment Act Improvements Act of 2015 [Pub. L. 114-74, sec. 701, 129 Stat. 584, 599] amended the Federal Civil Penalties Inflation Adjustment [[Page 17591]] Act of 1990 to require agencies to adjust civil penalties for inflation. Pursuant to that authority, the inflation adjusted civil penalties identified in this appendix supersede the corresponding civil penalty amounts identified in title 49, United States Code. * * * * * II. Subpoena Violation--Failure to respond to Agency subpoena to appear and testify or produce records. Penalty--minimum of $1,045 but not more than $10,450 per violation. * * * * * IV. Out-of-Service Order a. Violation--Operation of a commercial vehicle by a driver during the period the driver was placed out of service. Penalty--Up to $1,811 per violation. (For purposes of this violation, the term ``driver'' means an operator of a commercial motor vehicle, including an independent contractor who, while in the course of operating a commercial motor vehicle, is employed or used by another person.) b. Violation--Requiring or permitting a driver to operate a commercial vehicle during the period the driver was placed out of service. Penalty--Up to $18,107 per violation. (This violation applies to motor carriers including an independent contractor who is not a ``driver,'' as defined under paragraph IV(a) above.) c. Violation--Operation of a commercial motor vehicle or intermodal equipment by a driver after the vehicle or intermodal equipment was placed out-of-service and before the required repairs are made. Penalty--$1,811 each time the vehicle or intermodal equipment is so operated. (This violation applies to drivers as defined in IV(a) above.) d. Violation--Requiring or permitting the operation of a commercial motor vehicle or intermodal equipment placed out-of- service before the required repairs are made. Penalty--Up to $18,107 each time the vehicle or intermodal equipment is so operated after notice of the defect is received. (This violation applies to intermodal equipment providers and motor carriers, including an independent owner operator who is not a ``driver,'' as defined in IV(a) above.) e. Violation--Failure to return written certification of correction as required by the out-of-service order. Penalty--Up to $906 per violation. * * * * * g. Violation--Operating in violation of an order issued under Sec. 386.72(b) to cease all or part of the employer's commercial motor vehicle operations or to cease part of an intermodal equipment provider's operations, i.e., failure to cease operations as ordered. Penalty--Up to $26,126 per day the operation continues after the effective date and time of the order to cease. h. Violation--Operating in violation of an order issued under Sec. 386.73. Penalty--Up to $22,957 per day the operation continues after the effective date and time of the out-of-service order. i. Violation--Conducting operations during a period of suspension under Sec. 386.83 or Sec. 386.84 for failure to pay penalties. Penalty--Up to $14,739 for each day that operations are conducted during the suspension or revocation period. j. Violation--Conducting operations during a period of suspension or revocation under Sec. Sec. 385.911, 385.913, 385.1009 or 385.1011. Penalty--Up to $22,957 for each day that operations are conducted during the suspension or revocation period. 0 3. Amend Appendix B to part 386 by revising the introductory text and paragraphs (a)(1) through (5), (b), (c), (d), (e), (f), (g) introductory text, (g)(1) through (8), (g)(10) through (18), (g)(21)(i), (g)(22) and (23), (h), and (i) to read as follows: Appendix B to Part 386--Penalty Schedule: Violations and Monetary Penalties The Civil Penalties Inflation Adjustment Act Improvements Act of 2015 [Public Law 114-74, sec. 701, 129 Stat. 584, 599] amended the Federal Civil Penalties Inflation Adjustment Act of 1990 to require agencies to adjust civil penalties for inflation. Pursuant to that authority, the inflation adjusted civil penalties identified in this appendix supersede the corresponding civil penalty amounts identified in title 49, United States Code. What are the types of violations and maximum monetary penalties? (a) Violations of the Federal Motor Carrier Safety Regulations (FMCSRs): (1) Recordkeeping. A person or entity that fails to prepare or maintain a record required by parts 40, 382, 385, and 390-99 of this subchapter, or prepares or maintains a required record that is incomplete, inaccurate, or false, is subject to a maximum civil penalty of $1,214 for each day the violation continues, up to $12,135. (2) Knowing falsification of records. A person or entity that knowingly falsifies, destroys, mutilates, or changes a report or record required by parts 382, 385, and 390-99 of this subchapter, knowingly makes or causes to be made a false or incomplete record about an operation or business fact or transaction, or knowingly makes, prepares, or preserves a record in violation of a regulation order of the Secretary is subject to a maximum civil penalty of $12,135 if such action misrepresents a fact that constitutes a violation other than a reporting or recordkeeping violation. (3) Non-recordkeeping violations. A person or entity that violates parts 382, 385, or 390-99 of this subchapter, except a recordkeeping requirement, is subject to a civil penalty not to exceed $14,739 for each violation. (4) Non-recordkeeping violations by drivers. A driver who violates parts 382, 385, and 390-99 of this subchapter, except a recordkeeping violation, is subject to a civil penalty not to exceed $3,685. (5) Violation of 49 CFR 392.5. A driver placed out of service for 24 hours for violating the alcohol prohibitions of 49 CFR 392.5(a) or (b) who drives during that period is subject to a civil penalty not to exceed $3,034 for a first conviction and not less than $6,068 for a second or subsequent conviction. * * * * * (b) Commercial driver's license (CDL) violations. Any person who violates 49 CFR part 383, subparts B, C, E, F, G, or H, is subject to a civil penalty not to exceed $5,479; except: (1) A CDL-holder who is convicted of violating an out-of-service order shall be subject to a civil penalty of not less than $3,034 for a first conviction and not less than $6,068 for a second or subsequent conviction; (2) An employer of a CDL-holder who knowingly allows, requires, permits, or authorizes an employee to operate a CMV during any period in which the CDL-holder is subject to an out-of-service order, is subject to a civil penalty of not less than $5,479 or more than $30,337; and (3) An employer of a CDL-holder who knowingly allows, requires, permits, or authorizes that CDL-holder to operate a CMV in violation of a Federal, State, or local law or regulation pertaining to railroad-highway grade crossings is subject to a civil penalty of not more than $15,727. (c) [Reserved]. (d) Financial responsibility violations. A motor carrier that fails to maintain the levels of financial responsibility prescribed by Part 387 of this subchapter or any person (except an employee who acts without knowledge) who knowingly violates the rules of Part 387 subparts A and B is subject to a maximum penalty of $16,169. Each day of a continuing violation constitutes a separate offense. (e) Violations of the Hazardous Materials Regulations (HMRs) and Safety Permitting Regulations found in Subpart E of Part 385. This paragraph applies to violations by motor carriers, drivers, shippers and other persons who transport hazardous materials on the highway in commercial motor vehicles or cause hazardous materials to be so transported. (1) All knowing violations of 49 U.S.C. chapter 51 or orders or regulations issued under the authority of that chapter applicable to the transportation or shipment of hazardous materials by commercial motor vehicle on the highways are subject to a civil penalty of not more than $78,376 for each violation. Each day of a continuing violation constitutes a separate offense. (2) All knowing violations of 49 U.S.C. chapter 51 or orders or regulations issued under the authority of that chapter applicable to training related to the transportation or shipment of hazardous materials by commercial motor vehicle on the highways are subject to a civil penalty of not less than $471 and not more than $78,376 for each violation. (3) All knowing violations of 49 U.S.C. chapter 51 or orders, regulations or exemptions under the authority of that chapter applicable to the manufacture, fabrication, marking, maintenance, reconditioning, repair, or testing of a packaging or container that is represented, marked, certified, or sold as being qualified for use in the transportation or shipment of [[Page 17592]] hazardous materials by commercial motor vehicle on the highways are subject to a civil penalty of not more than $78,376 for each violation. (4) Whenever regulations issued under the authority of 49 U.S.C. chapter 51 require compliance with the FMCSRs while transporting hazardous materials, any violations of the FMCSRs will be considered a violation of the HMRs and subject to a civil penalty of not more than $78,376. (5) If any violation subject to the civil penalties set out in paragraphs (e)(1) through (4) of this appendix results in death, serious illness, or severe injury to any person or in substantial destruction of property, the civil penalty may be increased to not more than $182,877 for each offense. (f) Operating after being declared unfit by assignment of a final ``unsatisfactory'' safety rating. (1) A motor carrier operating a commercial motor vehicle in interstate commerce (except owners or operators of commercial motor vehicles designed or used to transport hazardous materials for which placarding of a motor vehicle is required under regulations prescribed under 49 U.S.C. chapter 51) is subject, after being placed out of service because of receiving a final ``unsatisfactory'' safety rating, to a civil penalty of not more than $26,126 (49 CFR 385.13). Each day the transportation continues in violation of a final ``unsatisfactory'' safety rating constitutes a separate offense. (2) A motor carrier operating a commercial motor vehicle designed or used to transport hazardous materials for which placarding of a motor vehicle is required under regulations prescribed under 49 U.S.C. chapter 51 is subject, after being placed out of service because of receiving a final ``unsatisfactory'' safety rating, to a civil penalty of not more than $78,376 for each offense. If the violation results in death, serious illness, or severe injury to any person or in substantial destruction of property, the civil penalty may be increased to not more than $182,877 for each offense. Each day the transportation continues in violation of a final ``unsatisfactory'' safety rating constitutes a separate offense. (g) Violations of the commercial regulations (CRs). Penalties for violations of the CRs are specified in 49 U.S.C. chapter 149. These penalties relate to transportation subject to the Secretary's jurisdiction under 49 U.S.C. chapter 135. Unless otherwise noted, a separate violation occurs for each day the violation continues. (1) A person who operates as a motor carrier for the transportation of property in violation of the registration requirements of 49 U.S.C. 13901 is liable for a minimum penalty of $10,450 per violation. (2) A person who knowingly operates as a broker in violation of registration requirements of 49 U.S.C 13904 or financial security requirements of 49 U.S.C 13906 is liable for a penalty not to exceed $10,450 for each violation. (3) A person who operates as a motor carrier of passengers in violation of the registration requirements of 49 U.S.C. 13901 is liable for a minimum penalty of $26,126 per violation. (4) A person who operates as a foreign motor carrier or foreign motor private carrier of property in violation of the provisions of 49 U.S.C. 13902(c) is liable for a minimum penalty of $10,450 per violation. (5) A person who operates as a foreign motor carrier or foreign motor private carrier without authority, before the implementation of the land transportation provisions of the North American Free Trade Agreement, outside the boundaries of a commercial zone along the United States-Mexico border, is liable for a maximum penalty of $14,371 for an intentional violation and a maximum penalty of $35,929 for a pattern of intentional violations. (6) A person who operates as a motor carrier or broker for the transportation of hazardous wastes in violation of the registration provisions of 49 U.S.C. 13901 is liable for a minimum penalty of $20,900 and a maximum penalty of $41,801 per violation. (7) A motor carrier or freight forwarder of household goods, or their receiver or trustee, that does not comply with any regulation relating to the protection of individual shippers, is liable for a minimum penalty of $1,572 per violation. (8) A person-- (i) Who falsifies, or authorizes an agent or other person to falsify, documents used in the transportation of household goods by motor carrier or freight forwarder to evidence the weight of a shipment or (ii) Who charges for services which are not performed or are not reasonably necessary in the safe and adequate movement of the shipment is liable for a minimum penalty of $3,146 for the first violation and $7,864 for each subsequent violation. * * * * * (10) A person who offers, gives, solicits, or receives transportation of property by a carrier at a different rate than the rate in effect under 49 U.S.C. 13702 is liable for a maximum penalty of $157,274 per violation. When acting in the scope of his/her employment, the acts or omissions of a person acting for or employed by a carrier or shipper are considered to be the acts or omissions of that carrier or shipper, as well as that person. (11) Any person who offers, gives, solicits, or receives a rebate or concession related to motor carrier transportation subject to jurisdiction under subchapter I of 49 U.S.C. chapter 135, or who assists or permits another person to get that transportation at less than the rate in effect under 49 U.S.C. 13702, commits a violation for which the penalty is $314 for the first violation and $393 for each subsequent violation. (12) A freight forwarder, its officer, agent, or employee, that assists or willingly permits a person to get service under 49 U.S.C. 13531 at less than the rate in effect under 49 U.S.C. 13702 commits a violation for which the penalty is up to $787 for the first violation and up to $3,146 for each subsequent violation. (13) A person who gets or attempts to get service from a freight forwarder under 49 U.S.C. 13531 at less than the rate in effect under 49 U.S.C. 13702 commits a violation for which the penalty is up to $787 for the first violation and up to $3,146 for each subsequent violation. (14) A person who knowingly authorizes, consents to, or permits a violation of 49 U.S.C. 14103 relating to loading and unloading motor vehicles or who knowingly violates subsection (a) of 49 U.S.C. 14103 is liable for a penalty of not more than $15,727 per violation. (15) [Reserved]. (16) A person required to make a report to the Secretary, answer a question, or make, prepare, or preserve a record under part B of subtitle IV, title 49, U.S.C., or an officer, agent, or employee of that person, is liable for a minimum penalty of $1,045 and for a maximum penalty of $7,864 per violation if it does not make the report, does not completely and truthfully answer the question within 30 days from the date the Secretary requires the answer, does not make or preserve the record in the form and manner prescribed, falsifies, destroys, or changes the report or record, files a false report or record, makes a false or incomplete entry in the record about a business-related fact, or prepares or preserves a record in violation of a regulation or order of the Secretary. (17) A motor carrier, water carrier, freight forwarder, or broker, or their officer, receiver, trustee, lessee, employee, or other person authorized to receive information from them, who discloses information identified in 49 U.S.C. 14908 without the permission of the shipper or consignee is liable for a maximum penalty of $3,146. (18) A person who violates a provision of part B, subtitle IV, title 49, U.S.C., or a regulation or order under Part B, or who violates a condition of registration related to transportation that is subject to jurisdiction under subchapter I or III of chapter 135, or who violates a condition of registration of a foreign motor carrier or foreign motor private carrier under section 13902, is liable for a penalty of $787 for each violation if another penalty is not provided in 49 U.S.C. chapter 149. * * * * * (21) A person-- (i) Who knowingly and willfully fails, in violation of a contract, to deliver to, or unload at, the destination of a shipment of household goods in interstate commerce for which charges have been estimated by the motor carrier transporting such goods, and for which the shipper has tendered a payment in accordance with part 375, subpart G of this chapter, is liable for a civil penalty of not less than $15,727 for each violation. Each day of a continuing violation constitutes a separate offense. * * * * * (22) A broker for transportation of household goods who makes an estimate of the cost of transporting any such goods before entering into an agreement with a motor carrier to provide transportation of household goods subject to FMCSA jurisdiction is liable to the United States for a civil penalty of not less than $12,135 for each violation. (23) A person who provides transportation of household goods subject to jurisdiction under 49 U.S.C. chapter 135, subchapter I, or provides broker services for such transportation, without being registered [[Page 17593]] under 49 U.S.C. chapter 139 to provide such transportation or services as a motor carrier or broker, as the case may be, is liable to the United States for a civil penalty of not less than $30,337 for each violation. (h) Copying of records and access to equipment, lands, and buildings. A person subject to 49 U.S.C. chapter 51 or a motor carrier, broker, freight forwarder, or owner or operator of a commercial motor vehicle subject to part B of subtitle VI of title 49 U.S.C. who fails to allow promptly, upon demand in person or in writing, the Federal Motor Carrier Safety Administration, an employee designated by the Federal Motor Carrier Safety Administration, or an employee of a MCSAP grant recipient to inspect and copy any record or inspect and examine equipment, lands, buildings, and other property, in accordance with 49 U.S.C. 504(c), 5121(c), and 14122(b), is subject to a civil penalty of not more than $1,214 for each offense. Each day of a continuing violation constitutes a separate offense, except that the total of all civil penalties against any violator for all offenses related to a single violation shall not exceed $12,135. (i) Evasion. A person, or an officer, employee, or agent of that person: (1) Who by any means tries to evade regulation of motor carriers under title 49, United States Code, chapter 5, chapter 51, subchapter III of chapter 311 (except sections 31138 and 31139) or sections 31302, 31303, 31304, 31305(b), 31310(g)(1)(A), or 31502, or a regulation issued under any of those provisions, shall be fined at least $2,090 but not more than $5,225 for the first violation and at least $2,612 but not more than $7,837 for a subsequent violation. (2) Who tries to evade regulation under part B of subtitle IV, title 49, U.S.C., for carriers or brokers is liable for a penalty of at least $2,090 for the first violation or at least $5,225 for a subsequent violation. Issued under the authority of delegation in 49 CFR 1.87 on: April 5, 2017. Daphne Y. Jefferson, Deputy Administrator. [FR Doc. 2017-07316 Filed 4-11-17; 8:45 am] BILLING CODE 4910-EX-P
![17584 Federal Register / Vol. 82, No. 69 / Wednesday, April 12, 2017 / Rules and Regulations
automatically terminate, without DEPARTMENT OF TRANSPORTATION Circular A–4, Regulatory Analysis,1 as
specific Commission action, if the transfer payments, not costs. Transfer
licensee permanently discontinues Federal Motor Carrier Safety payments are payments from one group
service after meeting its interim Administration to another that do not affect total
construction requirement as specified in resources available to society. By
§ 22.961(b)(1). 49 CFR Part 386 definition they are not considered in the
monetization of societal costs and
(b) Permanent discontinuance. [Docket Number: FMCSA–2016–0128] benefits of rulemakings.
Permanent discontinuance of service is Congress stated in the Federal Civil
defined as 180 consecutive days during RIN 2126–AB93 Penalties Inflation Adjustment Act of
which a Cellular licensee does not 1990 (1990 Act) that increasing
operate or, in the case of a commercial Federal Civil Penalties Inflation penalties over time will ‘‘maintain the
mobile radio service provider, does not Adjustment of 2015 deterrent effect of civil monetary
provide service to at least one subscriber AGENCY: Federal Motor Carrier Safety penalties and promote compliance with
that is not affiliated with, controlled by, Administration (FMCSA), DOT. the law.’’ 2 Therefore, with this
or related to the providing carrier. ACTION: Final rule.
continued deterrence, FMCSA infers
(c) Filing requirements. A licensee that there may be some safety benefits
that permanently discontinues service SUMMARY: FMCSA amends the civil that occur due to this final rule. The
penalties listed in its regulations to deterrence effect of increasing penalties,
as defined in this section must notify
ensure that the civil penalties assessed which Congress has recognized, cannot
the Commission of the discontinuance
or enforced by the Agency reflect the be reliably quantified into safety
within 10 days by filing, via the ULS, benefits.
statutorily mandated ranges as adjusted
FCC Form 601 requesting license
for inflation. Pursuant to the Federal II. Legal Basis for the Rulemaking
cancellation. An authorization will
Civil Penalties Inflation Adjustment Act
automatically terminate, without A. Federal Civil Penalties Inflation
Improvements Act of 2015 (2015 Act),
specific Commission action, if service is FMCSA is required to promulgate Adjustment Act Improvements Act of
permanently discontinued as defined in annual adjustments each year by 2015
this section, even if a licensee fails to January 15th. Pursuant to the This rulemaking is based primarily on
file the required form requesting license Administrative Procedure Act, FMCSA the 2015 Act, Public Law 114–74, title
cancellation. finds that good cause exists for VII, sec. 701, 129 Stat. 599, 28 U.S.C.
■ 11. Section 22.953 is amended by immediate implementation of this final 2461 note (Nov. 2, 2015). The 2015 Act
revising paragraph (c) to read as follows: rule because prior notice and comment amended the Federal Civil Penalties
are unnecessary, per the specific Inflation Adjustment Act of 1990 (1990
§ 22.953 Content and form of applications provisions of the 2015 Act. Act) (28 U.S.C. 2461 note). The basic
for Cellular Unserved Area authorizations. DATES: This rule is effective April 24, findings and purpose of the amended
* * * * * 2017. 1990 Act remain unchanged and
include supporting the role civil
(c) Existing systems—minor FOR FURTHER INFORMATION CONTACT: Ms. penalties play in Federal law and
modifications. Licensees making minor LaTonya Mimms, Enforcement Division, regulations in deterring violations by
modifications pursuant to § 1.929(k) of by email at civilpenalty@dot.gov or allowing for regulatory adjustments to
this chapter must file FCC Form 601 or phone at 202–366–0991. Office hours account for inflation.
FCC Form 603, provided, however, that are from 8:00 a.m. to 4:30 p.m. Monday OMB must provide annual guidance
a resulting reduction in coverage within through Friday, except Federal holidays. by December of each year on
the CGSA is not subject to this If you have questions on viewing or implementing the 2015 Act. In response
requirement. See § 1.947(b). See also submitting material to the docket, to this provision, OMB has provided
§ 22.169. If the modification involves a contact Docket Services, telephone (202) guidance to agencies regarding the
contract SAB extension into or from the 366–9826. methodology to implement the 2017
Gulf of Mexico Exclusive Zone, it must SUPPLEMENTARY INFORMATION: annual adjustment required under the
include a certification that the required I. Executive Summary 2015 Act,3 as further discussed in the
written consent has been obtained. See Background section, below.
§§ 22.912(c) and 22.950. A. Purpose and Summary of the Major
Provisions B. Administrative Procedure Act (APA)
§§ 22.955 and 22.957 [Removed and Generally, agencies may promulgate
This final rule adjusts the amount of
Reserved] final rules only after issuing a notice of
FMCSA’s civil penalties to account for
proposed rulemaking and providing an
■ 12. Sections 22.955 and 22.957 are inflation as directed by the 2015 Act.
opportunity for public comment under
removed and reserved. The final rule implements the 2017
[FR Doc. 2017–07154 Filed 4–11–17; 8:45 am]
annual adjustments, which will update 1 Office of Management and Budget (OMB).
the adjustments made by interim final Circular A–4. Regulatory Analysis. September 17,
BILLING CODE 6712–01–P
rule on June 27, 2016 (81 FR 41453). 2003. Available at: https://www.whitehouse.gov/
The specific inflation adjustment sites/default/files/omb/assets/omb/circulars/a004/
methodology is described later in this a-4.pdf (accessed January 5, 2017).
pmangrum on DSK3GDR082PROD with RULES
2 28 U.S.C. 2461 note (Pub. L. 101–410, Oct. 5,
document. 1990, 104 Stat. 890.).
3 OMB Memorandum for the Heads of Executive
B. Benefits and Costs
Departments and Agencies; Implementation of the
The changes imposed by this final 2017 annual adjustment pursuant to the Federal
rule affect civil penalty amounts, which Civil Penalties Inflation Adjustment Act
Improvements Act of 2015: https://
are considered by the Office of www.whitehouse.gov/sites/default/files/omb/
Management and Budget (OMB) memoranda/2017/m-17-11_0.pdf.
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minimize litigation, eliminate Regulations That Significantly Affect precise action here, thus leaving the
ambiguity, and reduce burden. Energy Supply, Distribution, or Use. Agency no discretion over such action,
The Agency has determined that it is and since the Agency lacks control and
H. Protection of Children (E.O. 13045)
not a ‘‘significant energy action’’ under responsibility over the effects of this
E.O. 13045, Protection of Children that order because it is not a ‘‘significant action, this rulemaking falls under
from Environmental Health Risks and regulatory action’’ likely to have a chapter 1.D. Therefore, no further
Safety Risks (62 FR 19885, Apr. 23, significant adverse effect on the supply, analysis is considered.
1997), requires agencies issuing distribution, or use of energy. Therefore, FMCSA also analyzed this rule under
‘‘economically significant’’ rules to it does not require a Statement of Energy the Clean Air Act, as amended (CAA),
include an evaluation of the regulation’s Effects under E.O. 13211. section 176(c) (42 U.S.C. 7401 et seq.),
environmental health and safety effects and implementing regulations
M. Indian Tribal Governments (E.O.
on children if an agency has reason to promulgated by the Environmental
13175)
believe the rule may disproportionately Protection Agency. Approval of this
affect children. The Agency determined This rule does not have tribal action is exempt from the CAA’s general
that this final rule is not economically implications under E.O. 13175, conformity requirement since it does
significant. Therefore, no analysis of the Consultation and Coordination with not affect direct or indirect emissions of
impacts on children is required. In any Indian Tribal Governments, because it criteria pollutants.
event, the Agency does not anticipate does not have a substantial direct effect Under E.O. 12898 (Actions to Address
that this regulatory action could in any on one or more Indian tribes, on the Environmental Justice in Minority
respect present an environmental or relationship between the Federal Populations and Low-Income
safety risk that could disproportionately Government and Indian tribes, or on the Populations), each Federal agency must
affect children. distribution of power and identify and address, as appropriate,
responsibilities between the Federal ‘‘disproportionately high and adverse
I. Taking of Private Property (E.O. Government and Indian tribes.
12630) human health or environmental effects
N. National Technology Transfer and of its programs, policies, and activities
FMCSA reviewed this final rule in Advancement Act (Technical on minority populations and low-
accordance with E.O. 12630, Standards) income populations’’ in the United
Governmental Actions and Interference States, its possessions, and territories.
with Constitutionally Protected Property The National Technology Transfer
and Advancement Act (NTTAA) (15 FMCSA has determined that this final
Rights, and has determined it will not rule would have no environmental
effect a taking of private property or U.S.C. 272 note) directs agencies to use
voluntary consensus standards in their justice effects, nor would its
otherwise have taking implications. promulgation have any collective
regulatory activities unless the agency
J. Privacy Impact Assessment provides Congress, through OMB, with environmental impact.
Section 522 of title I of division H of an explanation of why using these List of Subjects in 49 CFR Part 386
the Consolidated Appropriations Act, standards would be inconsistent with
Administrative procedures,
2005, enacted December 8, 2004 (Pub. L. applicable law or otherwise impractical.
Commercial motor vehicle safety,
108–447, 118 Stat. 2809, 3268, 5 U.S.C. Voluntary consensus standards (e.g.,
Highways and roads, Motor carriers,
552a note), requires the Agency to specifications of materials, performance,
Penalties.
conduct a privacy impact assessment design, or operation; test methods;
sampling procedures; and related For the reasons stated in the
(PIA) of a regulation that will affect the
management systems practices) are preamble, FMCSA is amending title 49
privacy of individuals. This rule does
standards that are developed or adopted CFR part 386 to read as follows:
not require the collection of personally
identifiable information (PII). by voluntary consensus standards
PART 386—RULES OF PRACTICE FOR
The E-Government Act of 2002, bodies. This rule does not use technical
FMCSA PROCEEDINGS
Public Law 107–347, 208, 116 Stat. standards. Therefore, we did not
2899, 2921 (Dec. 17, 2002), requires consider the use of voluntary consensus ■ 1. The authority citation for part 386
Federal agencies to conduct a privacy standards. continues to read as follows:
impact assessment for new or O. Environmental Review (National Authority: 49 U.S.C. 113, chapters 5, 51,
substantially changed technology that Environmental Policy Act, Clean Air 59, 131–141, 145–149, 311, 313, and 315; 49
collects, maintains, or disseminates Act, Environmental Justice) U.S.C. 5123; Sec. 204, Pub. L. 104–88, 109
information in an identifiable form. No Stat. 803, 941 (49 U.S.C. 701 note); Sec. 217,
new or substantially changed FMCSA analyzed this rule in Pub. L. 105–159, 113 Stat. 1748, 1767; Sec.
technology would collect, maintain, or accordance with the National 206, Pub. L. 106–159, 113 Stat. 1763; subtitle
disseminate information as a result of Environmental Policy Act of 1969 B, title IV of Pub. L. 109–59; Sec. 701 of Pub.
this rule. Accordingly, FMCSA has not (NEPA) (42 U.S.C. 4321, et seq.) and L. 114–74, 129 Stat. 584, 599; and 49 CFR
conducted a privacy impact assessment. FMCSA’s NEPA Implementing 1.81 and 1.87.
Procedures and Policy for Considering ■ 2. Amend Appendix A to part 386 by
K. Intergovernmental Review (E.O. Environmental Impacts, Order 5610.1
12372) revising the introductory text and
(FMCSA Order), March 1, 2004 (69 FR sections II, IV. a. through e., and IV. g.
The regulations implementing E.O. 9680). FMCSA’s Order states that through j. to read as follows:
12372 regarding intergovernmental ‘‘[w]here FMCSA has no discretion to
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consultation on Federal programs and withhold or condition an action if the Appendix A to Part 386—Penalty
activities do not apply to this program. action is taken in accordance with Schedule: Violations of Notices and
specific statutory criteria and FMCSA Orders
L. Energy Supply, Distribution, or Use lacks control and responsibility over the
(E.O. 13211) The Civil Penalties Inflation Adjustment
effects of an action, that action is not Act Improvements Act of 2015 [Pub. L. 114–
FMCSA has analyzed this rule under subject to this Order.’’ Id. at chapter 1.D. 74, sec. 701, 129 Stat. 584, 599] amended the
E.O. 13211, Actions Concerning Because Congress specifies the Agency’s Federal Civil Penalties Inflation Adjustment
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Act of 1990 to require agencies to adjust civil Penalty—Up to $22,957 per day the violating the alcohol prohibitions of 49 CFR
penalties for inflation. Pursuant to that operation continues after the effective date 392.5(a) or (b) who drives during that period
authority, the inflation adjusted civil and time of the out-of-service order. is subject to a civil penalty not to exceed
penalties identified in this appendix i. Violation—Conducting operations during $3,034 for a first conviction and not less than
supersede the corresponding civil penalty a period of suspension under § 386.83 or $6,068 for a second or subsequent conviction.
amounts identified in title 49, United States § 386.84 for failure to pay penalties. * * * * *
Code. Penalty—Up to $14,739 for each day that (b) Commercial driver’s license (CDL)
operations are conducted during the violations. Any person who violates 49 CFR
* * * * * suspension or revocation period. part 383, subparts B, C, E, F, G, or H, is
II. Subpoena j. Violation—Conducting operations during subject to a civil penalty not to exceed
a period of suspension or revocation under $5,479; except: (1) A CDL-holder who is
Violation—Failure to respond to Agency
§§ 385.911, 385.913, 385.1009 or 385.1011. convicted of violating an out-of-service order
subpoena to appear and testify or produce Penalty—Up to $22,957 for each day that
records. shall be subject to a civil penalty of not less
operations are conducted during the than $3,034 for a first conviction and not less
Penalty—minimum of $1,045 but not more suspension or revocation period.
than $10,450 per violation. than $6,068 for a second or subsequent
■ 3. Amend Appendix B to part 386 by conviction;
* * * * * revising the introductory text and (2) An employer of a CDL-holder who
IV. Out-of-Service Order paragraphs (a)(1) through (5), (b), (c), knowingly allows, requires, permits, or
(d), (e), (f), (g) introductory text, (g)(1) authorizes an employee to operate a CMV
a. Violation—Operation of a commercial during any period in which the CDL-holder
vehicle by a driver during the period the through (8), (g)(10) through (18),
is subject to an out-of-service order, is subject
driver was placed out of service. (g)(21)(i), (g)(22) and (23), (h), and (i) to to a civil penalty of not less than $5,479 or
Penalty—Up to $1,811 per violation. read as follows: more than $30,337; and
(For purposes of this violation, the term (3) An employer of a CDL-holder who
‘‘driver’’ means an operator of a commercial
Appendix B to Part 386—Penalty
knowingly allows, requires, permits, or
motor vehicle, including an independent Schedule: Violations and Monetary
authorizes that CDL-holder to operate a CMV
contractor who, while in the course of Penalties in violation of a Federal, State, or local law
operating a commercial motor vehicle, is The Civil Penalties Inflation Adjustment or regulation pertaining to railroad-highway
employed or used by another person.) Act Improvements Act of 2015 [Public Law grade crossings is subject to a civil penalty
b. Violation—Requiring or permitting a 114–74, sec. 701, 129 Stat. 584, 599] of not more than $15,727.
driver to operate a commercial vehicle during amended the Federal Civil Penalties Inflation (c) [Reserved].
the period the driver was placed out of Adjustment Act of 1990 to require agencies (d) Financial responsibility violations. A
service. to adjust civil penalties for inflation. motor carrier that fails to maintain the levels
Penalty—Up to $18,107 per violation. Pursuant to that authority, the inflation of financial responsibility prescribed by Part
(This violation applies to motor carriers adjusted civil penalties identified in this 387 of this subchapter or any person (except
including an independent contractor who is appendix supersede the corresponding civil an employee who acts without knowledge)
not a ‘‘driver,’’ as defined under paragraph penalty amounts identified in title 49, United who knowingly violates the rules of Part 387
IV(a) above.) States Code. subparts A and B is subject to a maximum
c. Violation—Operation of a commercial What are the types of violations and penalty of $16,169. Each day of a continuing
motor vehicle or intermodal equipment by a maximum monetary penalties? violation constitutes a separate offense.
driver after the vehicle or intermodal (a) Violations of the Federal Motor Carrier (e) Violations of the Hazardous Materials
equipment was placed out-of-service and Safety Regulations (FMCSRs): Regulations (HMRs) and Safety Permitting
before the required repairs are made. (1) Recordkeeping. A person or entity that Regulations found in Subpart E of Part 385.
Penalty—$1,811 each time the vehicle or fails to prepare or maintain a record required This paragraph applies to violations by motor
intermodal equipment is so operated. by parts 40, 382, 385, and 390–99 of this carriers, drivers, shippers and other persons
(This violation applies to drivers as subchapter, or prepares or maintains a who transport hazardous materials on the
defined in IV(a) above.) required record that is incomplete, highway in commercial motor vehicles or
d. Violation—Requiring or permitting the inaccurate, or false, is subject to a maximum cause hazardous materials to be so
operation of a commercial motor vehicle or civil penalty of $1,214 for each day the transported.
intermodal equipment placed out-of-service violation continues, up to $12,135. (1) All knowing violations of 49 U.S.C.
before the required repairs are made. (2) Knowing falsification of records. A chapter 51 or orders or regulations issued
Penalty—Up to $18,107 each time the person or entity that knowingly falsifies, under the authority of that chapter applicable
vehicle or intermodal equipment is so destroys, mutilates, or changes a report or to the transportation or shipment of
operated after notice of the defect is received. record required by parts 382, 385, and 390– hazardous materials by commercial motor
99 of this subchapter, knowingly makes or vehicle on the highways are subject to a civil
(This violation applies to intermodal
causes to be made a false or incomplete penalty of not more than $78,376 for each
equipment providers and motor carriers,
record about an operation or business fact or violation. Each day of a continuing violation
including an independent owner operator
transaction, or knowingly makes, prepares, or constitutes a separate offense.
who is not a ‘‘driver,’’ as defined in IV(a)
preserves a record in violation of a regulation (2) All knowing violations of 49 U.S.C.
above.)
order of the Secretary is subject to a chapter 51 or orders or regulations issued
e. Violation—Failure to return written
maximum civil penalty of $12,135 if such under the authority of that chapter applicable
certification of correction as required by the
action misrepresents a fact that constitutes a to training related to the transportation or
out-of-service order.
violation other than a reporting or shipment of hazardous materials by
Penalty—Up to $906 per violation.
recordkeeping violation. commercial motor vehicle on the highways
* * * * * (3) Non-recordkeeping violations. A person are subject to a civil penalty of not less than
g. Violation—Operating in violation of an or entity that violates parts 382, 385, or 390– $471 and not more than $78,376 for each
order issued under § 386.72(b) to cease all or 99 of this subchapter, except a recordkeeping violation.
part of the employer’s commercial motor requirement, is subject to a civil penalty not (3) All knowing violations of 49 U.S.C.
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vehicle operations or to cease part of an to exceed $14,739 for each violation. chapter 51 or orders, regulations or
intermodal equipment provider’s operations, (4) Non-recordkeeping violations by exemptions under the authority of that
i.e., failure to cease operations as ordered. drivers. A driver who violates parts 382, 385, chapter applicable to the manufacture,
Penalty—Up to $26,126 per day the and 390–99 of this subchapter, except a fabrication, marking, maintenance,
operation continues after the effective date recordkeeping violation, is subject to a civil reconditioning, repair, or testing of a
and time of the order to cease. penalty not to exceed $3,685. packaging or container that is represented,
h. Violation—Operating in violation of an (5) Violation of 49 CFR 392.5. A driver marked, certified, or sold as being qualified
order issued under § 386.73. placed out of service for 24 hours for for use in the transportation or shipment of
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![17592 Federal Register / Vol. 82, No. 69 / Wednesday, April 12, 2017 / Rules and Regulations
hazardous materials by commercial motor (4) A person who operates as a foreign (14) A person who knowingly authorizes,
vehicle on the highways are subject to a civil motor carrier or foreign motor private carrier consents to, or permits a violation of 49
penalty of not more than $78,376 for each of property in violation of the provisions of U.S.C. 14103 relating to loading and
violation. 49 U.S.C. 13902(c) is liable for a minimum unloading motor vehicles or who knowingly
(4) Whenever regulations issued under the penalty of $10,450 per violation. violates subsection (a) of 49 U.S.C. 14103 is
authority of 49 U.S.C. chapter 51 require (5) A person who operates as a foreign liable for a penalty of not more than $15,727
compliance with the FMCSRs while motor carrier or foreign motor private carrier per violation.
transporting hazardous materials, any without authority, before the implementation (15) [Reserved].
violations of the FMCSRs will be considered of the land transportation provisions of the (16) A person required to make a report to
a violation of the HMRs and subject to a civil North American Free Trade Agreement, the Secretary, answer a question, or make,
penalty of not more than $78,376. outside the boundaries of a commercial zone prepare, or preserve a record under part B of
(5) If any violation subject to the civil along the United States-Mexico border, is subtitle IV, title 49, U.S.C., or an officer,
penalties set out in paragraphs (e)(1) through liable for a maximum penalty of $14,371 for agent, or employee of that person, is liable for
(4) of this appendix results in death, serious an intentional violation and a maximum a minimum penalty of $1,045 and for a
illness, or severe injury to any person or in penalty of $35,929 for a pattern of intentional maximum penalty of $7,864 per violation if
substantial destruction of property, the civil violations. it does not make the report, does not
penalty may be increased to not more than (6) A person who operates as a motor completely and truthfully answer the
$182,877 for each offense. carrier or broker for the transportation of question within 30 days from the date the
(f) Operating after being declared unfit by hazardous wastes in violation of the Secretary requires the answer, does not make
assignment of a final ‘‘unsatisfactory’’ safety registration provisions of 49 U.S.C. 13901 is or preserve the record in the form and
rating. (1) A motor carrier operating a liable for a minimum penalty of $20,900 and manner prescribed, falsifies, destroys, or
commercial motor vehicle in interstate a maximum penalty of $41,801 per violation. changes the report or record, files a false
commerce (except owners or operators of (7) A motor carrier or freight forwarder of report or record, makes a false or incomplete
commercial motor vehicles designed or used household goods, or their receiver or trustee, entry in the record about a business-related
to transport hazardous materials for which that does not comply with any regulation fact, or prepares or preserves a record in
placarding of a motor vehicle is required relating to the protection of individual violation of a regulation or order of the
under regulations prescribed under 49 U.S.C. shippers, is liable for a minimum penalty of Secretary.
chapter 51) is subject, after being placed out $1,572 per violation. (17) A motor carrier, water carrier, freight
of service because of receiving a final (8) A person— forwarder, or broker, or their officer, receiver,
‘‘unsatisfactory’’ safety rating, to a civil (i) Who falsifies, or authorizes an agent or trustee, lessee, employee, or other person
penalty of not more than $26,126 (49 CFR other person to falsify, documents used in authorized to receive information from them,
the transportation of household goods by who discloses information identified in 49
385.13). Each day the transportation
motor carrier or freight forwarder to evidence U.S.C. 14908 without the permission of the
continues in violation of a final
the weight of a shipment or shipper or consignee is liable for a maximum
‘‘unsatisfactory’’ safety rating constitutes a
(ii) Who charges for services which are not penalty of $3,146.
separate offense.
performed or are not reasonably necessary in (18) A person who violates a provision of
(2) A motor carrier operating a commercial the safe and adequate movement of the
motor vehicle designed or used to transport part B, subtitle IV, title 49, U.S.C., or a
shipment is liable for a minimum penalty of regulation or order under Part B, or who
hazardous materials for which placarding of $3,146 for the first violation and $7,864 for
a motor vehicle is required under regulations violates a condition of registration related to
each subsequent violation. transportation that is subject to jurisdiction
prescribed under 49 U.S.C. chapter 51 is
subject, after being placed out of service * * * * * under subchapter I or III of chapter 135, or
because of receiving a final ‘‘unsatisfactory’’ (10) A person who offers, gives, solicits, or who violates a condition of registration of a
safety rating, to a civil penalty of not more receives transportation of property by a foreign motor carrier or foreign motor private
than $78,376 for each offense. If the violation carrier at a different rate than the rate in carrier under section 13902, is liable for a
results in death, serious illness, or severe effect under 49 U.S.C. 13702 is liable for a penalty of $787 for each violation if another
injury to any person or in substantial maximum penalty of $157,274 per violation. penalty is not provided in 49 U.S.C. chapter
When acting in the scope of his/her 149.
destruction of property, the civil penalty may
employment, the acts or omissions of a
be increased to not more than $182,877 for * * * * *
person acting for or employed by a carrier or
each offense. Each day the transportation (21) A person—
shipper are considered to be the acts or
continues in violation of a final (i) Who knowingly and willfully fails, in
omissions of that carrier or shipper, as well
‘‘unsatisfactory’’ safety rating constitutes a violation of a contract, to deliver to, or
as that person.
separate offense. unload at, the destination of a shipment of
(11) Any person who offers, gives, solicits,
(g) Violations of the commercial household goods in interstate commerce for
or receives a rebate or concession related to
regulations (CRs). Penalties for violations of which charges have been estimated by the
motor carrier transportation subject to
the CRs are specified in 49 U.S.C. chapter jurisdiction under subchapter I of 49 U.S.C. motor carrier transporting such goods, and
149. These penalties relate to transportation chapter 135, or who assists or permits for which the shipper has tendered a
subject to the Secretary’s jurisdiction under another person to get that transportation at payment in accordance with part 375,
49 U.S.C. chapter 135. Unless otherwise less than the rate in effect under 49 U.S.C. subpart G of this chapter, is liable for a civil
noted, a separate violation occurs for each 13702, commits a violation for which the penalty of not less than $15,727 for each
day the violation continues. penalty is $314 for the first violation and violation. Each day of a continuing violation
(1) A person who operates as a motor $393 for each subsequent violation. constitutes a separate offense.
carrier for the transportation of property in (12) A freight forwarder, its officer, agent, * * * * *
violation of the registration requirements of or employee, that assists or willingly permits (22) A broker for transportation of
49 U.S.C. 13901 is liable for a minimum a person to get service under 49 U.S.C. 13531 household goods who makes an estimate of
penalty of $10,450 per violation. at less than the rate in effect under 49 U.S.C. the cost of transporting any such goods
(2) A person who knowingly operates as a 13702 commits a violation for which the before entering into an agreement with a
broker in violation of registration penalty is up to $787 for the first violation motor carrier to provide transportation of
requirements of 49 U.S.C 13904 or financial and up to $3,146 for each subsequent household goods subject to FMCSA
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security requirements of 49 U.S.C 13906 is violation. jurisdiction is liable to the United States for
liable for a penalty not to exceed $10,450 for (13) A person who gets or attempts to get a civil penalty of not less than $12,135 for
each violation. service from a freight forwarder under 49 each violation.
(3) A person who operates as a motor U.S.C. 13531 at less than the rate in effect (23) A person who provides transportation
carrier of passengers in violation of the under 49 U.S.C. 13702 commits a violation of household goods subject to jurisdiction
registration requirements of 49 U.S.C. 13901 for which the penalty is up to $787 for the under 49 U.S.C. chapter 135, subchapter I, or
is liable for a minimum penalty of $26,126 first violation and up to $3,146 for each provides broker services for such
per violation. subsequent violation. transportation, without being registered
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![Federal Register / Vol. 82, No. 69 / Wednesday, April 12, 2017 / Rules and Regulations 17593
under 49 U.S.C. chapter 139 to provide such examine equipment, lands, buildings, and provisions, shall be fined at least $2,090 but
transportation or services as a motor carrier other property, in accordance with 49 U.S.C. not more than $5,225 for the first violation
or broker, as the case may be, is liable to the 504(c), 5121(c), and 14122(b), is subject to a and at least $2,612 but not more than $7,837
United States for a civil penalty of not less civil penalty of not more than $1,214 for each for a subsequent violation.
than $30,337 for each violation. offense. Each day of a continuing violation (2) Who tries to evade regulation under
(h) Copying of records and access to constitutes a separate offense, except that the
equipment, lands, and buildings. A person total of all civil penalties against any violator part B of subtitle IV, title 49, U.S.C., for
subject to 49 U.S.C. chapter 51 or a motor for all offenses related to a single violation carriers or brokers is liable for a penalty of
carrier, broker, freight forwarder, or owner or shall not exceed $12,135. at least $2,090 for the first violation or at
operator of a commercial motor vehicle (i) Evasion. A person, or an officer, least $5,225 for a subsequent violation.
subject to part B of subtitle VI of title 49 employee, or agent of that person:
Issued under the authority of delegation in
U.S.C. who fails to allow promptly, upon (1) Who by any means tries to evade
demand in person or in writing, the Federal regulation of motor carriers under title 49, 49 CFR 1.87 on: April 5, 2017.
Motor Carrier Safety Administration, an United States Code, chapter 5, chapter 51, Daphne Y. Jefferson,
employee designated by the Federal Motor subchapter III of chapter 311 (except sections Deputy Administrator.
Carrier Safety Administration, or an 31138 and 31139) or sections 31302, 31303,
[FR Doc. 2017–07316 Filed 4–11–17; 8:45 am]
employee of a MCSAP grant recipient to 31304, 31305(b), 31310(g)(1)(A), or 31502, or
inspect and copy any record or inspect and a regulation issued under any of those BILLING CODE 4910–EX–P
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Document Created: 2017-04-12 00:23:17
Document Modified: 2017-04-12 00:23:17
| 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 | Final rule. | |
| Dates | This rule is effective April 24, 2017. | |
| Contact | Ms. LaTonya Mimms, Enforcement Division, by email at [email protected] or phone at 202-366-0991. Office hours are from 8:00 a.m. to 4:30 p.m. Monday through Friday, except Federal holidays. If you have questions on viewing or submitting material to the docket, contact Docket Services, telephone (202) 366- 9826. | |
| FR Citation | 82 FR 17584 | |
| RIN Number | 2126-AB93 | |
| CFR Associated | Administrative Procedures; Commercial Motor Vehicle Safety; Highways and Roads; Motor Carriers and Penalties |
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