Rule2021-22564
Civil Monetary Penalty Adjustments for Inflation
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
October 18, 2021
Effective
October 18, 2021
Issuing agencies
Homeland Security DepartmentU.S. Customs and Border ProtectionCoast GuardTransportation Security Administration
Abstract
In this final rule, the Department of Homeland Security (DHS) makes the 2021 annual inflation adjustment to its civil monetary penalties. On November 2, 2015, the President signed into law The Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015 (The 2015 Act). Pursuant to the 2015 Act, all agencies must adjust their civil monetary penalties annually and publish the adjustment in the Federal Register. Accordingly, this final rule adjusts the Department's civil monetary penalties for 2021 pursuant to the 2015 Act and Executive Office of the President (EOP) Office of Management and Budget (OMB) guidance. The new penalties will be effective for penalties assessed after October 18, 2021 whose associated violations occurred after November 2, 2015.
Full Text
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<title>Federal Register, Volume 86 Issue 198 (Monday, October 18, 2021)</title>
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[Federal Register Volume 86, Number 198 (Monday, October 18, 2021)]
[Rules and Regulations]
[Pages 57532-57544]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2021-22564]
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DEPARTMENT OF HOMELAND SECURITY
6 CFR Part 27
8 CFR Parts 270, 274a, and 280
U.S. Customs and Border Protection
19 CFR Part 4
Coast Guard
33 CFR Part 27
Transportation Security Administration
49 CFR Part 1503
RIN 1601-AA99
Civil Monetary Penalty Adjustments for Inflation
AGENCY: Department of Homeland Security.
ACTION: Final rule.
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SUMMARY: In this final rule, the Department of Homeland Security (DHS)
makes the 2021 annual inflation adjustment to its civil monetary
penalties. On November 2, 2015, the President signed into law The
Federal Civil Penalties Inflation Adjustment Act Improvements Act of
2015 (The 2015 Act). Pursuant to the 2015 Act, all agencies must adjust
their civil monetary penalties annually and publish the adjustment in
the Federal Register. Accordingly, this final rule adjusts the
Department's civil monetary penalties for 2021 pursuant to the 2015 Act
and Executive Office of the President (EOP) Office of Management and
Budget (OMB) guidance. The new penalties will be effective for
penalties assessed after October 18, 2021 whose associated violations
occurred after November 2, 2015.
DATES: This rule is effective on October 18, 2021.
FOR FURTHER INFORMATION CONTACT: Hillary Hunnings, 202-282-9043,
<a href="/cdn-cgi/l/email-protection#a0c8c9ccccc1d2d98ec8d5cecec9cec7d3e0c8d18ec4c8d38ec7cfd6"><span class="__cf_email__" data-cfemail="d4bcbdb8b8b5a6adfabca1bababdbab3a794bca5fab0bca7fab3bba2">[email protected]</span></a>.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Statutory and Regulatory Background
II. Overview of Final Rule
III. Adjustments by Component
A. Cybersecurity and Infrastructure Security Agency
B. U.S. Customs and Border Protection
C. U.S. Immigration and Customs Enforcement
D. U.S. Coast Guard
E. Transportation Security Administration
IV. Administrative Procedure Act
V. Regulatory Analyses
A. Executive Orders 12866 and 13563
B. Regulatory Flexibility Act
C. Unfunded Mandates Reform Act
D. Paperwork Reduction Act
VI. Signing Authority
I. Statutory and Regulatory Background
On November 2, 2015, the President signed into law the Federal
Civil Penalties Inflation Adjustment Act Improvements Act of 2015 (Pub.
L. 114-74 section 701 (Nov. 2, 2015)) (2015 Act).\1\ The 2015 Act
amended the Federal Civil Penalties Inflation Adjustment Act of 1990
(28 U.S.C. 2461 note) to improve the effectiveness of civil monetary
penalties and to maintain their deterrent effect. The 2015 Act required
agencies to: (1) Adjust the level of civil monetary penalties with an
initial ``catch-up'' adjustment through issuance of an interim final
rule (IFR) and (2) make subsequent annual adjustments for inflation.
Through the ``catch-up'' adjustment, agencies were required to adjust
the maximum amounts of civil monetary penalties to more accurately
reflect inflation rates.
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\1\ The 2015 Act was part of the Bipartisan Budget Act of 2015,
Public Law 114-74 (Nov. 2, 2015).
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For the subsequent annual adjustments, the 2015 Act requires
agencies to increase the penalty amounts by a cost-of-living
adjustment. The 2015 Act directs OMB to provide guidance to agencies
each year to assist agencies in making the annual adjustments. The 2015
Act requires agencies to make the annual adjustments no later than
January 15 of each year and to publish the adjustments in the Federal
Register.
Pursuant to the 2015 Act, DHS undertook a review of the civil
penalties that DHS and its components administer.\2\ On July 1, 2016,
DHS published an IFR adjusting the maximum civil monetary penalties
with an initial ``catch-up'' adjustment, as required by the 2015
Act.\3\ DHS calculated the adjusted penalties based upon
nondiscretionary provisions in the 2015 Act and upon guidance that OMB
issued to agencies on February 24, 2016.\4\ The adjusted penalties were
effective for civil penalties assessed after August 1, 2016 (the
effective date of the IFR), whose associated violations occurred after
November 2, 2015 (the date of enactment of the 2015 Act). On January
27, 2017, DHS published a final rule making the annual adjustment for
2017.\5\ On April 2, 2018, DHS made the 2018 annual inflation
adjustment.\6\ On April 5, 2019, DHS made the 2019 annual inflation
adjustment.\7\ On June 17, 2020, DHS made the 2020 annual inflation
adjustment.\8\
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\2\ The 2015 Act applies to all agency civil penalties except
for any penalty (including any addition to tax and additional
amount) under the Internal Revenue Code of 1986 (26 U.S.C. 1 et
seq.) and the Tariff Act of 1930 (19 U.S.C. 1202 et seq.). See sec.
4(a)(1) of the 2015 Act. In the case of DHS, several civil penalties
that are assessed by U.S. Customs and Border Protection (CBP) and
the U.S. Coast Guard (USCG) fall under the Tariff Act of 1930, and
therefore DHS did not adjust those civil penalties in this
rulemaking.
\3\ See 81 FR 42987.
\4\ Office of Mgmt. & Budget, Exec. Office of The President, M-
16-06, Implementation of the Federal Civil Penalties Inflation
Adjustment Act Improvements Act of 2015, Table A: 2016 Civil
Monetary Penalty Catch-Up Adjustment Multiplier by Calendar Year,
(Feb. 24, 2016) (<a href="https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/2016/m-16-06.pdf">https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/2016/m-16-06.pdf</a>).
\5\ See 82 FR 8571.
\6\ See 83 FR 13826.
\7\ See 84 FR 13499.
\8\ See 85 FR 36469.
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II. Overview of the Final Rule
This final rule makes the 2021 annual inflation adjustments to
civil monetary penalties pursuant to the 2015 Act and pursuant to
guidance OMB issued to agencies on December 23, 2020.\9\ The penalty
amounts in this final rule will be effective for penalties assessed
after October 18, 2021 where the associated violation occurred after
November 2, 2015. Consistent with OMB guidance, the 2015 Act does not
change previously assessed penalties that the agency is actively
collecting or has collected.
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\9\ Office of Mgmt. and Budget, Exec. Office of the President,
M-21-10, Implementation of Penalty Inflation Adjustments for 2021,
Pursuant to the Federal Civil Penalties Inflation Adjustment Act
Improvements Act of 2015 (Dec. 23, 2020) (<a href="https://www.whitehouse.gov/wp-content/uploads/2020/12/M-21-10.pdf">https://www.whitehouse.gov/wp-content/uploads/2020/12/M-21-10.pdf</a>).
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The adjusted penalty amounts will apply to penalties assessed after
the effective date of this final rule. We discuss civil penalties by
DHS component in Section III below. For each component identified in
Section III, below, we briefly describe the
[[Page 57533]]
relevant civil penalty (or penalties), and we provide a table showing
the increase in the penalties for 2021. In the table for each
component, we show (1) the penalty name, (2) the penalty statutory and
or regulatory citation, (3) the penalty amount as adjusted in the 2020
final rule, (4) the cost-of-living adjustment multiplier for 2021 that
OMB provided in its December 23, 2020, guidance, and (5) the new 2021
adjusted penalty. The 2015 Act instructs agencies to round penalties to
the nearest $1. For a more complete discussion of the method used for
calculating the initial ``catch-up'' inflation adjustments and a
component-by-component breakdown to the nature of the civil penalties
and relevant legal authorities, please see the IFR preamble at 81 FR
42987-43000.
III. Adjustments by Component
In the following sections, we briefly describe the civil penalties
that DHS and its components, the Cybersecurity and Infrastructure
Security Agency (CISA), the U.S. Customs and Border Protection (CBP),
the U.S. Immigration and Customs Enforcement (ICE), the U.S. Coast
Guard (USCG), and the Transportation Security Administration (TSA),
assess. Other components not mentioned do not impose any civil monetary
penalties. We include tables at the end of each section, which list the
individual adjustments for each penalty.
A. Cybersecurity and Infrastructure Security Agency
The Cybersecurity and Infrastructure Security Agency (CISA)
administers only one civil penalty that the 2015 Act affects. That
penalty assesses fines for violations of the Chemical Facility Anti-
Terrorism Standards (CFATS). CFATS is a program that regulates the
security of chemical facilities that, in the discretion of the
Secretary, present high levels of security risk. DHS established the
CFATS program in 2007 pursuant to section 550 of the Department of
Homeland Security Appropriations Act of 2007 (Pub. L. 109-295).\10\ The
CFATS regulation is located in part 27 of title 6 of the Code of
Federal Regulations (CFR). Below is a table showing the 2021 adjustment
for the CFATS penalty that CISA administers.
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\10\ Section 550 has since been superseded by the Protecting and
Securing Chemical Facilities from Terrorist Attacks Act of 2014
(Pub. L. 113-254). The new legislation codified the statutory
authority for the CFATS program within Title XXI of the Homeland
Security Act of 2002, as amended. See 6 U.S.C. 621 et seq. Public
Law 113-254 authorized the CFATS program from January 18, 2015 to
January 17, 2019. Public Law 116-150 extends the CFATS program
authorization to July 27, 2023.
Table 1--CFATS Civil Penalty Adjustment
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Penalty amount as New penalty as
Penalty name Citation adjusted in the 2020 Multiplier * adjusted by this
FR (per day) final rule (per day)
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Penalty for non-compliance 6 U.S.C. $35,486............... 1.01182 $35,905
with CFATS regulations. 624(b)(1); 6
CFR
27.300(b)(3).
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* Office of Mgmt. and Budget, Exec. Office of the President, M-21-10, Implementation of Penalty Inflation
Adjustments for 2021, Pursuant to the Federal Civil Penalties Inflation Adjustment Act Improvements Act of
2015 (Dec. 23, 2020) (<a href="https://www.whitehouse.gov/wp-content/uploads/2020/12/M-21-10.pdf">https://www.whitehouse.gov/wp-content/uploads/2020/12/M-21-10.pdf</a>).
B. U.S. Customs and Border Protection
The U.S. Customs and Border Protection (CBP) assesses civil
monetary penalties under various titles of the United States Code
(U.S.C.) and the CFR. These include penalties for certain violations of
title 8 of the CFR regarding the Immigration and Nationality Act of
1952 (Pub. L. 82-414, as amended) (INA). The INA contains provisions
that impose penalties on persons, including carriers and aliens, who
violate specified provisions of the INA. The relevant penalty
provisions appear in numerous sections of the INA; however, CBP has
enumerated these penalties in regulation in one location--8 CFR 280.53.
For a complete list of the INA sections for which penalties are
assessed, in addition to a brief description of each violation, see the
2016 IFR preamble at 81 FR 42989-42990. For a complete list and brief
description of the non-INA civil monetary penalties assessed by CBP
subject to adjustment and a discussion of the history of the DHS and
CBP adjustments to the non-INA penalties, see the 2019 annual inflation
adjustment final rule preamble at 84 FR 13499, 13500 (April 5, 2019).
Below is a table showing the 2021 adjustment for the penalties that
CBP administers.
Table 2--U.S. Customs and Border Protection Civil Penalties Adjustments
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Penalty amount as New penalty as
Penalty name Citation adjusted in the 2020 Multiplier * adjusted by this
FR final rule
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Penalties for non-compliance 8 U.S.C. $1,419................ 1.01182 $1,436
with arrival and departure 1221(g); 8 CFR
manifest requirements for 280.53(b)(1)
passengers, crewmembers, or (INA section
occupants transported on 231(g)).
commercial vessels or
aircraft arriving to or
departing from the United
States.
Penalties for non-compliance 8 U.S.C. 1224; 8 3,855................. 1.01182 3,901
with landing requirements at CFR
designated ports of entry for 280.53(b)(2)
aircraft transporting aliens. (INA section
234).
Penalties for failure to 8 U.S.C. 1,625-8,128........... 1.01182 1,644-8,224
depart voluntarily. 1229c(d); 8 CFR
280.53(b)(3)
(INA section
240B(d)).
Penalties for violations of 8 U.S.C. 3,251................. 1.01182 3,289
removal orders relating to 1253(c)(1)(A);
aliens transported on vessels 8 CFR
or aircraft under section 280.53(b)(4)
241(d) of the INA, or for (INA section
costs associated with removal 243(c)(1)(A)).
under section 241(e) of the
INA.
Penalties for failure to 8 U.S.C. 8,128................. 1.01182 8,224
remove alien stowaways under 1253(c)(1)(B);
section 241(d)(2) of the INA. 8 CFR
280.53(b)(5)
(INA section
243(c)(1)(B)).
[[Page 57534]]
Penalties for failure to 8 U.S.C. \a\ 385............... 1.01182 \a\ 390
report an illegal landing or 1281(d); 8 CFR
desertion of alien crewmen, 280.53(b)(6)
and for each alien not (INA section
reported on arrival or 251(d)).
departure manifest or lists
required in accordance with
section 251 of the INA.
Penalties for use of alien 8 U.S.C. 9,639................. 1.01182 9,753
crewmen for longshore work in 1281(d); 8 CFR
violation of section 251(d) 280.53(b)(6)
of the INA. (INA section
251(d)).
Penalties for failure to 8 U.S.C. 964-5,783............. 1.01182 975-5,851
control, detain, or remove 1284(a); 8 CFR
alien crewmen. 280.53(b)(7)
(INA section
254(a)).
Penalties for employment on 8 U.S.C. 1285; 8 1,928................. 1.01182 1,951
passenger vessels of aliens CFR
afflicted with certain 280.53(b)(8)
disabilities. (INA section
255).
Penalties for discharge of 8 U.S.C. 1286; 8 2,891-5,783........... 1.01182 2,925-5,851
alien crewmen. CFR
280.53(b)(9)
(INA section
256).
Penalties for bringing into 8 U.S.C. 1287; 8 19,277................ 1.01182 19,505
the United States alien CFR
crewmen with intent to evade 280.53(b)(10)
immigration laws. (INA section
257).
Penalties for failure to 8 U.S.C. 5,783................. 1.01182 5,851
prevent the unauthorized 1321(a); 8 CFR
landing of aliens. 280.53(b)(11)
(INA section
271(a)).
Penalties for bringing to the 8 U.S.C. 5,783................. 1.01182 5,851
United States aliens subject 1322(a); 8 CFR
to denial of admission on a 280.53(b)(12)
health-related ground. (INA section
272(a)).
Penalties for bringing to the 8 U.S.C. 5,783................. 1.01182 5,851
United States aliens without 1323(b); 8 CFR
required documentation. 280.53(b)(13)
(INA section
273(b)).
Penalties for failure to 8 U.S.C. 1324d; 813................... 1.01182 823
depart. 8 CFR
280.53(b)(14)
(INA section
274D).
Penalties for improper entry.. 8 U.S.C. 81-407................ 1.01182 82-412
1325(b); 8 CFR
280.53(b)(15)
(INA section
275(b)).
Penalty for dealing in or 19 U.S.C. 469... 540................... 1.01182 ** 546
using empty stamped imported
liquor containers.
Penalty for employing a vessel 19 U.S.C. 1706a; 1,352................. 1.01182 1,368
in a trade without a required 19 CFR 4.80(i).
Certificate of Documentation.
Penalty for transporting 46 U.S.C. 540................... 1.01182 ** 546
passengers coastwise for hire 12118(f)(3).
by certain vessels (known as
Bowaters vessels) that do not
meet specified conditions.
Penalty for transporting 46 U.S.C. 812................... 1.01182 822
passengers between coastwise 55103(b); 19
points in the United States CFR 4.80(b)(2).
by a non-coastwise qualified
vessel.
Penalty for towing a vessel 46 U.S.C. \b\ 946-2,976......... 1.01182 \c\ 957-3,011
between coastwise points in 55111(c); 19
the United States by a non- CFR 4.92.
coastwise qualified vessel.
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* Office of Mgmt. and Budget, Exec. Office of the President, M-21-10, Implementation of Penalty Inflation
Adjustments for 2021, Pursuant to the Federal Civil Penalties Inflation Adjustment Act Improvements Act of
2015 (Dec. 23, 2020) (<a href="https://www.whitehouse.gov/wp-content/uploads/2020/12/M-21-10.pdf">https://www.whitehouse.gov/wp-content/uploads/2020/12/M-21-10.pdf</a>).
** No applicable conforming edit to regulatory text.
\a\ for each alien.
\b\ plus $162 per ton.
\c\ $164 per ton.
C. U.S. Immigration and Customs Enforcement
U.S. Immigration and Customs Enforcement (ICE) assesses civil
monetary penalties for certain employment-related violations arising
from the INA. ICE's civil penalties are located in title 8 of the CFR.
There are three different sections in the INA that impose civil
monetary penalties for violations of the laws that relate to employment
actions: sections 274A, 274B, and 274C. ICE has primary enforcement
responsibilities for two of these civil penalty provisions (sections
274A and 274C), and the Department of Justice (DOJ) has enforcement
responsibilities for one of these civil penalty provisions (section
274B). The INA, in sections 274A and 274C, provides for imposition of
civil penalties for various specified unlawful acts pertaining to the
employment eligibility verification process (Form I-9, Employment
Eligibility Verification), the employment of unauthorized aliens, and
document fraud.
Because both DHS and DOJ implement the three employment-related
penalty sections in the INA, both Departments' implementing regulations
reflect the civil penalty amounts. For a complete description of the
civil money penalties assessed and a discussion of DHS's and DOJ's
efforts to update the penalties in years past, see the IFR preamble at
81 FR 42991. Below is a table showing the 2021 adjustment for the
penalties that ICE administers.\11\
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\11\ Table 3 also includes two civil penalties that are also
listed as penalties administered by CBP. These are penalties for
failure to depart voluntarily, INA section 240B(d), and failure to
depart after a final order of removal, INA section 274D. Both CBP
and ICE may administer these penalties, but as ICE is the DHS
component primarily responsible for assessing and collecting them,
they are also listed among the penalties ICE administers.
[[Page 57535]]
Table 3--U.S. Immigration and Customs Enforcement Civil Penalties Adjustments
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Penalty amount as New penalty as
Penalty name Citation adjusted in the 2020 Multiplier * adjusted by this
FR final rule
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Civil penalties for failure to 8 U.S.C. $1,625-$8,128......... 1.01182 $1,644-$8,224
depart voluntarily, INA 1229c(d); 8 CFR
section 240B(d). 280.53(b)(3).
Civil penalties for violation 8 CFR 481-3,855............. 1.01182 487-3,901
of INA sections 274C(a)(1)- 270.3(b)(1)(ii)
(a)(4), penalty for first (A).
offense.
Civil penalties for violation 8 CFR 407-3,251............. 1.01182 412-3,289
of INA sections 274C(a)(5)- 270.3(b)(1)(ii)
(a)(6), penalty for first (B).
offense.
Civil penalties for violation 8 CFR 3,855-9,639........... 1.01182 3,901-9,753
of INA sections 274C(a)(1)- 270.3(b)(1)(ii)
(a)(4), penalty for (C).
subsequent offenses.
Civil penalties for violation 8 CFR ** 3,251-8,128........ 1.01182 3,289-8,224
of INA sections 274C(a)(5)- 270.3(b)(1)(ii)
(a)(6), penalty for (D).
subsequent offenses.
Violation/prohibition of 8 CFR 274a.8(b). 2,332................. 1.01182 2,360
indemnity bonds.
Civil penalties for knowingly 8 CFR 583-4,667............. 1.01182 590-4,722
hiring, recruiting, referral, 274a.10(b)(1)(i
or retention of unauthorized i)(A).
aliens--Penalty for first
offense (per unauthorized
alien).
Penalty for second offense 8 CFR 4,667-11,665.......... 1.01182 4,722-11,803
(per unauthorized alien). 274a.10(b)(1)(i
i)(B).
Penalty for third or 8 CFR 6,999-23,331.......... 1.01182 7,082-23,607
subsequent offense (per 274a.10(b)(1)(i
unauthorized alien). i)(C).
Civil penalties for I-9 8 CFR 234-2,332............. 1.01182 237-2,360
paperwork violations. 274a.10(b)(2).
Civil penalties for failure to 8 U.S.C. 1324d; 813................... 1.01182 823
depart, INA section 274D. 8 CFR
280.53(b)(14).
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* Office of Mgmt. and Budget, Exec. Office of the President, M-21-10, Implementation of Penalty Inflation
Adjustments for 2021, Pursuant to the Federal Civil Penalties Inflation Adjustment Act Improvements Act of
2015 (Dec. 23, 2020) (<a href="https://www.whitehouse.gov/wp-content/uploads/2020/12/M-21-10.pdf">https://www.whitehouse.gov/wp-content/uploads/2020/12/M-21-10.pdf</a>).
** The $3,251 penalty minimum amount was erroneously listed as $3,351 in the regulatory text of the 2020 final
rule. It was correctly listed as $3,251 in the preamble of the 2020 final rule. DHS calculated the new penalty
minimum amount as adjusted by this final rule based on $3,251.
D. U.S. Coast Guard
The Coast Guard is authorized to assess close to 150 penalties
involving maritime safety and security and environmental stewardship
that are critical to the continued success of Coast Guard missions.
Various statutes in titles 14, 16, 19, 33, 42, 46, and 49 of the U.S.C.
authorize these penalties. Titles 33 and 46 authorize the vast majority
of these penalties as these statutes deal with navigation, navigable
waters, and shipping. For a complete discussion of the civil monetary
penalties assessed by the Coast Guard, see the 2016 IFR preamble at 81
FR 42992.
The Coast Guard has identified the penalties it administers,
adjusted those penalties for inflation, and is listing those new
penalties in a table located in the CFR--specifically, Table 1 in 33
CFR 27.3. Table 1 in 33 CFR 27.3 identifies the statutes that provide
the Coast Guard with civil monetary penalty authority and sets out the
inflation-adjusted maximum penalty that the Coast Guard may impose
pursuant to each statutory provision. Table 1 in 33 CFR 27.3 provides
the current maximum penalty for violations that occurred after November
2, 2015.\12\
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\12\ The Frank LoBiondo Coast Guard Authorization Act of 2018
re-designated certain existing sections of the U.S.C., including 14
U.S.C. 88 (now 14 U.S.C. 521) and 33 U.S.C. 1232 and 1236 (now 46
U.S.C. 70036 and 70041). The table reflects those changes to the
statutory citations.
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The applicable civil penalty amounts for violations occurring on or
before November 2, 2015, are set forth in previously published
regulations amending 33 CFR part 27. To find the applicable penalty
amount for a violation that occurred on or before November 2, 2015,
look to the prior versions of the CFR that pertain to the date on which
the violation occurred.
Table 4 below shows the 2021 adjustment for the penalties that the
Coast Guard administers.
Table 4--U.S. Coast Guard Civil Penalties Adjustments
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Penalty amount as New penalty as
Penalty name Citation adjusted in the Multiplier * adjusted by this
2020 FR final rule
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Saving Life and Property.......... 14 U.S.C. 521(c).... $10,839 1.01182 $10,967
Saving Life and Property; 14 U.S.C. 521(e).... 1,112 1.01182 1,125
Intentional Interference with
Broadcast.
Confidentiality of Medical Quality 14 U.S.C. 936(i); 33 5,444 1.01182 5,508
Assurance Records (first offense). CFR 27.3.
Confidentiality of Medical Quality 14 U.S.C. 936(i); 33 36,297 1.01182 36,726
Assurance Records (subsequent CFR 27.3.
offenses).
Obstruction of Revenue Officers by 19 U.S.C. 70; 33 CFR 8,116 1.01182 8,212
Masters of Vessels. 27.3.
Obstruction of Revenue Officers by 19 U.S.C. 70; 33 CFR 1,894 1.01182 1,916
Masters of Vessels--Minimum 27.3.
Penalty.
Failure to Stop Vessel When 19 U.S.C. 1581(d)... ** 5,000 N/A ** 5,000
Directed; Master, Owner, Operator
or Person in Charge.
Failure to Stop Vessel When 19 U.S.C. 1581(d)... ** 1,000 N/A ** 1,000
Directed; Master, Owner, Operator
or Person in Charge--Minimum
Penalty.
Anchorage Ground/Harbor 33 U.S.C. 471; 33 11,767 1.01182 11,906
Regulations General. CFR 27.3.
Anchorage Ground/Harbor 33 U.S.C. 474; 33 812 1.01182 822
Regulations St. Mary's river. CFR 27.3.
Bridges/Failure to Comply with 33 U.S.C. 495(b); 33 29,707 1.01182 30,058
Regulations. CFR 27.3.
Bridges/Drawbridges............... 33 U.S.C. 499(c); 33 29,707 1.01182 30,058
CFR 27.3.
Bridges/Failure to Alter Bridge 33 U.S.C. 502(c); 33 29,707 1.01182 30,058
Obstructing Navigation. CFR 27.3.
Bridges/Maintenance and Operation. 33 U.S.C. 533(b); 33 29,707 1.01182 30,058
CFR 27.3.
Bridge to Bridge Communication; 33 U.S.C. 1208(a); 2,164 1.01182 2,190
Master, Person in Charge or Pilot. 33 CFR 27.3.
Bridge to Bridge Communication; 33 U.S.C. 1208(b); 2,164 1.01182 2,190
Vessel. 33 CFR 27.3.
Oil/Hazardous Substances: 33 U.S.C. 19,277 1.01182 19,505
Discharges (Class I per 1321(b)(6)(B)(i);
violation). 33 CFR 27.3.
Oil/Hazardous Substances: 33 U.S.C. 48,192 1.01182 48,762
Discharges (Class I total under 1321(b)(6)(B)(i);
paragraph). 33 CFR 27.3.
[[Page 57536]]
Oil/Hazardous Substances: 33 U.S.C. 19,277 1.01182 19,505
Discharges (Class II per day of 1321(b)(6)(B)(ii);
violation). 33 CFR 27.3.
Oil/Hazardous Substances: 33 U.S.C. 240,960 1.01182 243,808
Discharges (Class II total under 1321(b)(6)(B)(ii);
paragraph). 33 CFR 27.3.
Oil/Hazardous Substances: 33 U.S.C. 48,192 1.01182 48,762
Discharges (per day of violation) 1321(b)(7)(A); 33
Judicial Assessment. CFR 27.3.
Oil/Hazardous Substances: 33 U.S.C. 1,928 1.01182 1,951
Discharges (per barrel of oil or 1321(b)(7)(A); 33
unit discharged) Judicial CFR 27.3.
Assessment.
Oil/Hazardous Substances: Failure 33 U.S.C. 48,192 1.01182 48,762
to Carry Out Removal/Comply With 1321(b)(7)(B); 33
Order (Judicial Assessment). CFR 27.3.
Oil/Hazardous Substances: Failure 33 U.S.C. 48,192 1.01182 48,762
to Comply with Regulation Issued 1321(b)(7)(C); 33
Under 1321(j) (Judicial CFR 27.3.
Assessment).
Oil/Hazardous Substances: 33 U.S.C. 5,783 1.01182 5,851
Discharges, Gross Negligence (per 1321(b)(7)(D); 33
barrel of oil or unit discharged) CFR 27.3.
Judicial Assessment.
Oil/Hazardous Substances: 33 U.S.C. 192,768 1.01182 195,047
Discharges, Gross Negligence-- 1321(b)(7)(D); 33
Minimum Penalty (Judicial CFR 27.3.
Assessment).
Marine Sanitation Devices; 33 U.S.C. 1322(j); 8,116 1.01182 8,212
Operating. 33 CFR 27.3.
Marine Sanitation Devices; Sale or 33 U.S.C. 1322(j); 21,640 1.01182 21,896
Manufacture. 33 CFR 27.3.
International Navigation Rules; 33 U.S.C. 1608(a); 15,173 1.01182 15,352
Operator. 33 CFR 27.3.
International Navigation Rules; 33 U.S.C. 1608(b); 15,173 1.01182 15,352
Vessel. 33 CFR 27.3.
Pollution from Ships; General..... 33 U.S.C. 75,867 1.01182 76,764
1908(b)(1); 33 CFR
27.3.
Pollution from Ships; False 33 U.S.C. 15,173 1.01182 15,352
Statement. 1908(b)(2); 33 CFR
27.3.
Inland Navigation Rules; Operator. 33 U.S.C. 2072(a); 15,173 1.01182 15,352
33 CFR 27.3.
Inland Navigation Rules; Vessel... 33 U.S.C. 2072(b); 15,173 1.01182 15,352
33 CFR 27.3.
Shore Protection; General......... 33 U.S.C. 2609(a); 53,524 1.01182 54,157
33 CFR 27.3.
Shore Protection; Operating 33 U.S.C. 2609(b); 21,410 1.01182 21,663
Without Permit. 33 CFR 27.3.
Oil Pollution Liability and 33 U.S.C. 2716a(a); 48,192 1.01182 48,762
Compensation. 33 CFR 27.3.
Clean Hulls....................... 33 U.S.C. 44,124 1.01182 44,646
3852(a)(1)(A); 33
CFR 27.3.
Clean Hulls--related to false 33 U.S.C. 58,833 1.01182 59,528
statements. 3852(a)(1)(A); 33
CFR 27.3.
Clean Hulls--Recreational Vessel.. 33 U.S.C. 3852(c); 5,883 1.01182 5,953
33 CFR 27.3.
Hazardous Substances, Releases, 42 U.S.C. 9609(a); 58,328 1.01182 59,017
Liability, Compensation (Class I). 33 CFR 27.3.
Hazardous Substances, Releases, 42 U.S.C. 9609(b); 58,328 1.01182 59,017
Liability, Compensation (Class 33 CFR 27.3.
II).
Hazardous Substances, Releases, 42 U.S.C. 9609(b); 174,985 1.01182 177,053
Liability, Compensation (Class II 33 CFR 27.3.
subsequent offense).
Hazardous Substances, Releases, 42 U.S.C. 9609(c); 58,328 1.01182 59,017
Liability, Compensation (Judicial 33 CFR 27.3.
Assessment).
Hazardous Substances, Releases, 42 U.S.C. 9609(c); 174,985 1.01182 177,053
Liability, Compensation (Judicial 33 CFR 27.3.
Assessment subsequent offense).
Safe Containers for International 46 U.S.C. 80509; 33 6,376 1.01182 6,451
Cargo. CFR 27.3.
Suspension of Passenger Service... 46 U.S.C. 70305; 33 63,761 1.01182 64,515
CFR 27.3.
Vessel Inspection or Examination 46 U.S.C. 2110(e); 9,639 1.01182 9,753
Fees. 33 CFR 27.3.
Alcohol and Dangerous Drug Testing 46 U.S.C. 2115; 33 7,846 1.01182 7,939
CFR 27.3.
Negligent Operations: Recreational 46 U.S.C. 2302(a); 7,097 1.01182 7,181
Vessels. 33 CFR 27.3.
Negligent Operations: Other 46 U.S.C. 2302(a); 35,486 1.01182 35,905
Vessels. 33 CFR 27.3.
Operating a Vessel While Under the 46 U.S.C. 7,846 1.01182 7,939
Influence of Alcohol or a 2302(c)(1); 33 CFR
Dangerous Drug. 27.3.
Vessel Reporting Requirements: 46 U.S.C. 12,219 1.01182 12,363
Owner, Charterer, Managing 2306(a)(4); 33 CFR
Operator, or Agent. 27.3.
Vessel Reporting Requirements: 46 U.S.C. 2,444 1.01182 2,473
Master. 2306(b)(2); 33 CFR
27.3.
Immersion Suits................... 46 U.S.C. 12,219 1.01182 12,363
3102(c)(1); 33 CFR
27.3.
Inspection Permit................. 46 U.S.C. 2,549 1.01182 2,579
3302(i)(5); 33 CFR
27.3.
Vessel Inspection; General........ 46 U.S.C. 3318(a); 12,219 1.01182 12,363
33 CFR 27.3.
Vessel Inspection; Nautical School 46 U.S.C. 3318(g); 12,219 1.01182 12,363
Vessel. 33 CFR 27.3.
Vessel Inspection; Failure to Give 46 U.S.C. 3318(h); 2,444 1.01182 2,473
Notice IAW 3304(b). 33 CFR 27.3.
Vessel Inspection; Failure to Give 46 U.S.C. 3318(i); 2,444 1.01182 2,473
Notice IAW 3309(c). 33 CFR 27.3.
Vessel Inspection; Vessel >= 1,600 46 U.S.C. 24,441 1.01182 24,730
Gross Tons. 3318(j)(1); 33 CFR
27.3.
Vessel Inspection; Vessel < 1,600 46 U.S.C. 4,888 1.01182 4,946
Gross Tons. 3318(j)(1); 33 CFR
27.3.
Vessel Inspection; Failure to 46 U.S.C. 3318(k); 24,441 1.01182 24,730
Comply with 3311(b). 33 CFR 27.3.
Vessel Inspection; Violation of 46 U.S.C. 3318(l); 12,219 1.01182 12,363
3318(b)-3318(f). 33 CFR 27.3.
List/count of Passengers.......... 46 U.S.C. 3502(e); 254 1.01182 257
33 CFR 27.3.
Notification to Passengers........ 46 U.S.C. 3504(c); 25,479 1.01182 25,780
33 CFR 27.3.
Notification to Passengers; Sale 46 U.S.C. 3504(c); 1,273 1.01182 1,288
of Tickets. 33 CFR 27.3.
Copies of Laws on Passenger 46 U.S.C. 3506; 33 510 1.01182 516
Vessels; Master. CFR 27.3.
Liquid Bulk/Dangerous Cargo....... 46 U.S.C. 63,699 1.01182 64,452
3718(a)(1); 33 CFR
27.3.
Uninspected Vessels............... 46 U.S.C. 4106; 33 10,705 1.01182 10,832
CFR 27.3.
Recreational Vessels (maximum for 46 U.S.C. 337,016 1.01182 341,000
related series of violations). 4311(b)(1); 33 CFR
27.3.
Recreational Vessels; Violation of 46 U.S.C. 6,740 1.01182 6,820
4307(a). 4311(b)(1); 33 CFR
27.3.
[[Page 57537]]
Recreational vessels.............. 46 U.S.C. 4311(c); 2,549 1.01182 2,579
33 CFR 27.3.
Uninspected Commercial Fishing 46 U.S.C. 4507; 33 10,705 1.01182 10,832
Industry Vessels. CFR 27.3.
Abandonment of Barges............. 46 U.S.C. 4703; 33 1,814 1.01182 1,835
CFR 27.3.
Load Lines........................ 46 U.S.C. 5116(a); 11,665 1.01182 11,803
33 CFR 27.3.
Load Lines; Violation of 5112(a).. 46 U.S.C. 5116(b); 23,331 1.01182 23,607
33 CFR 27.3.
Load Lines; Violation of 5112(b).. 46 U.S.C. 5116(c); 11,665 1.01182 11,803
33 CFR 27.3.
Reporting Marine Casualties....... 46 U.S.C. 6103(a); 40,640 1.01182 41,120
33 CFR 27.3.
Reporting Marine Casualties; 46 U.S.C. 6103(b); 10,705 1.01182 10,832
Violation of 6104. 33 CFR 27.3.
Manning of Inspected Vessels; 46 U.S.C. 8101(e); 1,928 1.01182 1,951
Failure to Report Deficiency in 33 CFR 27.3.
Vessel Complement.
Manning of Inspected Vessels...... 46 U.S.C. 8101(f); 19,277 1.01182 19,505
33 CFR 27.3.
Manning of Inspected Vessels; 46 U.S.C. 8101(g); 19,277 1.01182 19,505
Employing or Serving in Capacity 33 CFR 27.3.
not Licensed by USCG.
Manning of Inspected Vessels; 46 U.S.C. 8101(h); 2,549 1.01182 2,579
Freight Vessel < 100 GT, Small 33 CFR 27.3.
Passenger Vessel, or Sailing
School Vessel.
Watchmen on Passenger Vessels..... 46 U.S.C. 8102(a)... 2,549 1.01182 2,579
Citizenship Requirements.......... 46 U.S.C. 8103(f)... 1,273 1.01182 1,288
Watches on Vessels; Violation of 46 U.S.C. 8104(i)... 19,277 1.01182 19,505
8104(a) or (b).
Watches on Vessels; Violation of 46 U.S.C. 8104(j)... 19,277 1.01182 19,505
8104(c), (d), (e), or (h).
Staff Department on Vessels....... 46 U.S.C. 8302(e)... 254 1.01182 257
Officer's Competency Certificates. 46 U.S.C. 8304(d)... 254 1.01182 257
Coastwise Pilotage; Owner, 46 U.S.C. 8502(e)... 19,277 1.01182 19,505
Charterer, Managing Operator,
Agent, Master or Individual in
Charge.
Coastwise Pilotage; Individual.... 46 U.S.C. 8502(f)... 19,277 1.01182 19,505
Federal Pilots.................... 46 U.S.C. 8503...... 61,098 1.01182 61,820
Merchant Mariners Documents....... 46 U.S.C. 8701(d)... 1,273 1.01182 1,288
Crew Requirements................. 46 U.S.C. 8702(e)... 19,277 1.01182 19,505
Small Vessel Manning.............. 46 U.S.C. 8906...... 40,640 1.01182 41,120
Pilotage: Great Lakes; Owner, 46 U.S.C. 9308(a)... 19,277 1.01182 19,505
Charterer, Managing Operator,
Agent, Master or Individual in
Charge.
Pilotage: Great Lakes; Individual. 46 U.S.C. 9308(b)... 19,277 1.01182 19,505
Pilotage: Great Lakes; Violation 46 U.S.C. 9308(c)... 19,277 1.01182 19,505
of 9303.
Failure to Report Sexual Offense.. 46 U.S.C. 10104(b).. 10,245 1.01182 10,366
Pay Advances to Seamen............ 46 U.S.C. 1,273 1.01182 1,288
10314(a)(2).
Pay Advances to Seamen; 46 U.S.C. 10314(b).. 1,273 1.01182 1,288
Remuneration for Employment.
Allotment to Seamen............... 46 U.S.C. 10315(c).. 1,273 1.01182 1,288
Seamen Protection; General........ 46 U.S.C. 10321..... 8,831 1.01182 8,935
Coastwise Voyages: Advances....... 46 U.S.C. 8,831 1.01182 8,935
10505(a)(2).
Coastwise Voyages: Advances; 46 U.S.C. 10505(b).. 8,831 1.01182 8,935
Remuneration for Employment.
Coastwise Voyages: Seamen 46 U.S.C. 10508(b).. 8,831 1.01182 8,935
Protection; General.
Effects of Deceased Seamen........ 46 U.S.C. 10711..... 510 1.01182 516
Complaints of Unfitness........... 46 U.S.C. 1,273 1.01182 1,288
10902(a)(2).
Proceedings on Examination of 46 U.S.C. 10903(d).. 254 1.01182 257
Vessel.
Permission to Make Complaint...... 46 U.S.C. 10907(b).. 1,273 1.01182 1,288
Accommodations for Seamen......... 46 U.S.C. 11101(f).. 1,273 1.01182 1,288
Medicine Chests on Vessels........ 46 U.S.C. 11102(b).. 1,273 1.01182 1,288
Destitute Seamen.................. 46 U.S.C. 11104(b).. 254 1.01182 257
Wages on Discharge................ 46 U.S.C. 11105(c).. 1,273 1.01182 1,288
Log Books; Master Failing to 46 U.S.C. 11303(a).. 510 1.01182 516
Maintain.
Log Books; Master Failing to Make 46 U.S.C. 11303(b).. 510 1.01182 516
Entry.
Log Books; Late Entry............. 46 U.S.C. 11303(c).. 382 1.01182 387
Carrying of Sheath Knives......... 46 U.S.C. 11506..... 127 1.01182 129
Vessel Documentation.............. 46 U.S.C. 16,687 1.01182 16,884
12151(a)(1).
Documentation of Vessels--Related 46 U.S.C. 27,813 1.01182 28,142
to Activities involving mobile 12151(a)(2).
offshore drilling units.
Vessel Documentation; Fishery 46 U.S.C. 12151(c).. 127,525 1.01182 129,032
Endorsement.
Numbering of Undocumented Vessels-- 46 U.S.C. 12309(a).. 12,740 1.01182 12,891
Willful violation.
Numbering of Undocumented Vessels. 46 U.S.C. 12309(b).. 2,549 1.01182 2,579
Vessel Identification System...... 46 U.S.C. 12507(b).. 21,410 1.01182 21,663
Measurement of Vessels............ 46 U.S.C. 14701..... 46,664 1.01182 47,216
Measurement; False Statements..... 46 U.S.C. 14702..... 46,664 1.01182 47,216
Commercial Instruments and 46 U.S.C. 31309..... 21,410 1.01182 21,663
Maritime Liens.
Commercial Instruments and 46 U.S.C. 21,410 1.01182 21,663
Maritime Liens; Mortgagor. 31330(a)(2).
Commercial Instruments and 46 U.S.C. 53,524 1.01182 54,157
Maritime Liens; Violation of 31330(b)(2).
31329.
Ports and Waterway Safety 46 U.S.C. 70036(a); 95,881 1.01182 97,014
Regulations. 33 CFR 27.3.
Vessel Navigation: Regattas or 46 U.S.C. 9,639 1.01182 9,753
Marine Parades; Unlicensed Person 70041(d)(1)(B); 33
in Charge. CFR 27.3.
Vessel Navigation: Regattas or 46 U.S.C. 9,639 1.01182 9,753
Marine Parades; Owner Onboard 70041(d)(1)(C); 33
Vessel. CFR 27.3.
Vessel Navigation: Regattas or 46 U.S.C. 4,819 1.01182 4,876
Marine Parades; Other Persons. 70041(d)(1)(D); 33
CFR 27.3.
Port Security..................... 46 U.S.C. 70119(a).. 35,486 1.01182 35,905
Port Security--Continuing 46 U.S.C. 70119(b).. 63,761 1.01182 64,515
Violations.
Maritime Drug Law Enforcement..... 46 U.S.C. 70506(c).. 5,883 1.01182 5,953
Hazardous Materials: Related to 49 U.S.C. 5123(a)(1) 83,439 1.01182 84,425
Vessels.
Hazardous Materials: Related to 49 U.S.C. 5123(a)(2) 194,691 1.01182 196,992
Vessels--Penalty from Fatalities,
Serious Injuries/Illness or
substantial Damage to Property.
Hazardous Materials: Related to 49 U.S.C. 5123(a)(3) 502 1.01182 508
Vessels; Training.
----------------------------------------------------------------------------------------------------------------
* Office of Mgmt. and Budget, Exec. Office of the President, M-21-10, Implementation of Penalty Inflation
Adjustments for 2021, Pursuant to the Federal Civil Penalties Inflation Adjustment Act Improvements Act of
2015 (Dec. 23, 2020) (<a href="https://www.whitehouse.gov/wp-content/uploads/2020/12/M-21-10.pdf">https://www.whitehouse.gov/wp-content/uploads/2020/12/M-21-10.pdf</a>).
[[Page 57538]]
** Enacted under the Tariff Act; exempt from inflation adjustments.
E. Transportation Security Administration
The Transportation Security Administration (TSA) is updating its
civil penalties regulation in accordance with the 2015 Act. Pursuant to
its statutory authority in 49 U.S.C. 46301(a)(1), (4), (5), (6), 49
U.S.C. 46301(d)(2), (8), and 49 U.S.C. 114(u), TSA may impose penalties
for violations of statutes that TSA administers, including penalties
for violations of implementing regulations or orders. Note that
pursuant to division K, title I, sec. 1904(b)(1)(I), of Public Law 115-
254, 132 Stat. 3186, 3545 (Oct. 5, 2018), the TSA Modernization Act--
part of the FAA Reauthorization Act of 2018--the former 49 U.S.C.
114(v), which relates to penalties, was re-designated as 49 U.S.C.
114(u).
TSA assesses these penalties for a wide variety of aviation and
surface security requirements, including violations of TSA's
requirements applicable to Transportation Worker Identification
Credentials (TWIC),\13\ as well as violations of requirements described
in chapter 449 of title 49 of the U.S.C. These penalties can apply to a
wide variety of situations, as described in the statutory and
regulatory provisions, as well as in guidance that TSA publishes. Below
is a table showing the 2021 adjustment for the penalties that TSA
administers.
---------------------------------------------------------------------------
\13\ See, e.g., 46 U.S.C. 70105, 49 U.S.C. 46302 and 46303, and
49 U.S.C. chapter 449.
Table 5--Transportation Security Administration Civil Penalties Adjustments
----------------------------------------------------------------------------------------------------------------
Penalty amount as New penalty as
Penalty name Citation adjusted in the 2020 Multiplier * adjusted by this
FR final rule
----------------------------------------------------------------------------------------------------------------
Violation of 49 U.S.C. ch. 449 49 U.S.C. $34,777 (up to a total 1.01182 $35,188 (up to a total
(except secs. 44902, 46301(a)(1), of $556,419 per civil of $562,996 per civil
44903(d), 44907(a)-(d)(1)(A), (4), (5), (6); penalty action). penalty action).
44907(d)(1)(C)-(f), 44908, 49 U.S.C.
and 44909), or 49 U.S.C. 46301(d)(2),
46302 or 46303, a regulation (8); 49 CFR
prescribed, or order issued 1503.401(c)(3).
thereunder by a person
operating an aircraft for the
transportation of passengers
or property for compensation.
Violation of 49 U.S.C. ch. 449 49 U.S.C. $13,910 (up to a total 1.01182 $14,074 (up to a total
(except secs. 44902, 46301(a)(1), of $69,553 total for of $70,375 for small
44903(d), 44907(a)-(d)(1)(A), (4), (5); 49 small businesses, businesses, $562,996
44907(d)(1)(C)-(f), 44908, U.S.C. $556,419 for others). for others).
and 44909), or 49 U.S.C. 46301(d)(8); 49
46302 or 46303, a regulation CFR
prescribed, or order issued 1503.401(c)(1)
thereunder by an individual and (2).
(except an airman serving as
an airman), any person not
operating an aircraft for the
transportation of passengers
or property for compensation,
or a small business concern.
Violation of any other 49 U.S.C. $11,904 (up to a total 1.01182 $12,045 (up to a total
provision of title 49 U.S.C. 114(u); 49 CFR of $59,522 total for of $60,226 total for
or of 46 U.S.C. ch. 701, a 1503.401(b). small businesses, small businesses,
regulation prescribed, or $476,174 for others) $481,802 for others).
order issued thereunder. **.
----------------------------------------------------------------------------------------------------------------
* Office of Mgmt. and Budget, Exec. Office of the President, M-21-10, Implementation of Penalty Inflation
Adjustments for 2021, Pursuant to the Federal Civil Penalties Inflation Adjustment Act Improvements Act of
2015 (Dec. 23, 2020) (<a href="https://www.whitehouse.gov/wp-content/uploads/2020/12/M-21-10.pdf">https://www.whitehouse.gov/wp-content/uploads/2020/12/M-21-10.pdf</a>).
** The $476,174 penalty amount was erroneously listed as $76,174 in the preamble of the 2020 final rule. It was
correctly listed as $476,174 in the regulatory text of the 2020 final rule. DHS calculated the new penalty
amount as adjusted by this final rule based on $476,174.
IV. Administrative Procedure Act
DHS is promulgating this final rule to ensure that the amount of
civil penalties that DHS assesses or enforces reflects the statutorily
mandated ranges as adjusted for inflation. The 2015 Act provides a
clear formula for adjustment of the civil penalties, leaving DHS and
its components with little room for discretion. DHS and its components
have been charged only with performing ministerial computations to
determine the amounts of adjustments for inflation to civil monetary
penalties. In these annual adjustments DHS is merely updating the
penalty amounts by applying the cost-of-living adjustment multiplier
that OMB has provided to agencies. Furthermore, the 2015 Act
specifically instructed that agencies make the required annual
adjustments notwithstanding section 553 of title 5 of the U.S.C. Thus,
as specified in the 2015 Act, the prior public notice-and-comment
procedures and delayed effective date requirements of the
Administrative Procedure Act (APA) do not apply to this rule. Further,
as described above, this rule makes minor amendments to the regulations
to reflect changes required by clear statutory authority, and DHS finds
that prior notice and comment procedures and a delayed effective date
for these amendments are unnecessary.
V. Regulatory Analyses
A. Executive Orders 12866 and 13563
Executive Orders 12866 (``Regulatory Planning and Review'') and
13563 (``Improving Regulation and Regulatory Review'') direct agencies
to assess the costs and benefits of available regulatory alternatives
and, if regulation is necessary, to select regulatory approaches that
maximize net benefits (including potential economic, environmental,
public health and safety effects, distributive impacts, and equity).
Executive Order 13563 emphasizes the importance of quantifying both
costs and benefits, of reducing costs, of harmonizing rules, and of
promoting flexibility.
OMB has not designated this final rule a ``significant regulatory
action'' under section 3(f) of Executive Order 12866. Accordingly, OMB
has not reviewed this rule.
This final rule makes nondiscretionary adjustments to existing
civil monetary penalties in accordance with the 2015 Act and OMB
guidance.\14\ DHS therefore did not consider alternatives and does not
have the flexibility to alter the adjustments of the civil monetary
penalty amounts as provided in this rule. To the extent this final rule
increases civil monetary penalties, it would result in an increase in
transfers from persons or entities
[[Page 57539]]
assessed a civil monetary penalty to the government.
---------------------------------------------------------------------------
\14\ Office of Mgmt. and Budget, Exec. Office of the President,
M-21-10, Implementation of Penalty Inflation Adjustments for 2021,
Pursuant to the Federal Civil Penalties Inflation Adjustment Act
Improvements Act of 2015 (Dec. 23, 2020) (<a href="https://www.whitehouse.gov/wp-content/uploads/2020/12/M-21-10.pdf">https://www.whitehouse.gov/wp-content/uploads/2020/12/M-21-10.pdf</a>).
---------------------------------------------------------------------------
B. Regulatory Flexibility Act
The Regulatory Flexibility Act applies only to rules for which an
agency publishes a notice of proposed rulemaking pursuant to 5 U.S.C.
553(b). See 5 U.S.C. 601-612. The Regulatory Flexibility Act does not
apply to this final rule because a notice of proposed rulemaking was
not required for the reasons stated above.
C. Unfunded Mandates Reform Act
The Unfunded Mandates Reform Act of 1995, 2 U.S.C. 1531-1538,
requires Federal agencies to assess the effects of their discretionary
regulatory actions. In particular, the Act addresses actions that may
result in the expenditure by a State, local, or Tribal government, in
the aggregate, or by the private sector of $100,000,000 (adjusted for
inflation) or more in any one year. This final rule will not result in
such an expenditure.
D. Paperwork Reduction Act
The provisions of the Paperwork Reduction Act of 1995, 44 U.S.C.
chapter 35, and its implementing regulations, 5 CFR part 1320, do not
apply to this final rule, because this final rule does not trigger any
new or revised recordkeeping or reporting.
VI. Signing Authorities
The amendments to 19 CFR part 4 in this document are issued in
accordance with 19 CFR 0.2(a), which provides that the authority of the
Secretary of the Treasury with respect to CBP regulations that are not
related to customs revenue functions was transferred to the Secretary
of Homeland Security pursuant to Section 403(l) of the Homeland
Security Act of 2002. Accordingly, this final rule to amend such
regulations may be signed by the Secretary of Homeland Security (or his
or her delegate).
List of Subjects
6 CFR Part 27
Reporting and recordkeeping requirements, Security measures.
8 CFR Part 270
Administrative practice and procedure, Aliens, Employment, Fraud,
Penalties.
8 CFR Part 274a
Administrative practice and procedure, Aliens, Employment,
Penalties, Reporting and recordkeeping requirements.
8 CFR Part 280
Administrative practice and procedure, Immigration, Penalties.
19 CFR Part 4
Exports, Freight, Harbors, Maritime carriers, Oil pollution,
Reporting and recordkeeping requirements, Vessels.
33 CFR Part 27
Administrative practice and procedure, Penalties.
49 CFR Part 1503
Administrative practice and procedure, Investigations, Law
enforcement, Penalties.
Amendments to the Regulations
Accordingly, for the reasons stated in the preamble, DHS is
amending 6 CFR part 27, 8 CFR parts 270, 274a, and 280, 19 CFR part 4,
33 CFR part 27, and 49 CFR part 1503 as follows:
Title 6--Domestic Security
PART 27--CHEMICAL FACILITY ANTI-TERRORISM STANDARDS
0
1. The authority citation for part 27 continues to read as follows:
Authority: 6 U.S.C. 624; Pub. L. 101-410, 104 Stat. 890, as
amended by Pub. L. 114-74, 129 Stat. 599; Pub. L. 113-254, 128 Stat.
2898, as amended by Pub. L. 116-150, 134 Stat. 679.
0
2. In Sec. 27.300, revise paragraph (b)(3) to read as follows:
Sec. 27.300 Orders.
* * * * *
(b) * * *
(3) Where the Assistant Secretary determines that a facility is in
violation of an Order issued pursuant to paragraph (a) of this section
and issues an Order Assessing Civil Penalty pursuant to paragraph
(b)(1) of this section, a chemical facility is liable to the United
States for a civil penalty of not more than $25,000 for each day during
which the violation continues, if the violation of the Order occurred
on or before November 2, 2015, or $35,905 for each day during which the
violation of the Order continues, if the violation occurred after
November 2, 2015.
* * * * *
Title 8--Aliens and Nationality
PART 270--PENALTIES FOR DOCUMENT FRAUD
0
3. The authority citation for part 270 continues to read as follows:
Authority: 8 U.S.C. 1101, 1103, and 1324c; Pub. L. 101-410, 104
Stat. 890, as amended by Pub. L. 104-134, 110 Stat. 1321 and Pub. L.
114-74, 129 Stat. 599.
0
4. In Sec. 270.3, revise paragraphs (b)(1)(ii)(A) through (D) to read
as follows:
Sec. 270.3 Penalties.
* * * * *
(b) * * *
(1) * * *
(ii) * * *
(A) First offense under section 274C(a)(1) through (a)(4). Not less
than $275 and not exceeding $2,200 for each fraudulent document or each
proscribed activity described in section 274C(a)(1) through (a)(4) of
the Act before March 27, 2008; not less than $375 and not exceeding
$3,200 for each fraudulent document or each proscribed activity
described in section 274C(a)(1) through (a)(4) of the Act on or after
March 27, 2008, and on or before November 2, 2015; and not less than
$487 and not exceeding $3,901 for each fraudulent document or each
proscribed activity described in section 274C(a)(1) through (a)(4) of
the Act after November 2, 2015.
(B) First offense under section 274C(a)(5) or (a)(6). Not less than
$250 and not exceeding $2,000 for each fraudulent document or each
proscribed activity described in section 274C(a)(5) or (a)(6) of the
Act before March 27, 2008; not less than $275 and not exceeding $2,200
for each fraudulent document or each proscribed activity described in
section 274C(a)(5) or (a)(6) of the Act on or after March 27, 2008, and
on or before November 2, 2015; and not less than $412 and not exceeding
$3,289 for each fraudulent document or each proscribed activity
described in section 274C(a)(5) or (a)(6) of the Act after November 2,
2015.
(C) Subsequent offenses under section 274C(a)(1) through (a)(4).
Not less than $2,200 and not more than $5,500 for each fraudulent
document or each proscribed activity described in section 274C(a)(1)
through (a)(4) of the Act before March 27, 2008; not less than $3,200
and not exceeding $6,500 for each fraudulent document or each
proscribed activity described in section 274C(a)(1) through (a)(4) of
the Act occurring on or after March 27, 2008 and on or before November
2, 2015; and not less than $3,901 and not more than $9,753 for each
fraudulent document or each proscribed activity described in section
274C(a)(1) through (a)(4) of the Act after November 2, 2015.
(D) Subsequent offenses under section 274C(a)(5) or (a)(6). Not
less than $2,000 and not more than $5,000 for each fraudulent document
or each proscribed activity described in section 274C(a)(5) or (a)(6)
of the Act before March 27, 2008; not less than $2,200 and not
exceeding $5,500 for each fraudulent
[[Page 57540]]
document or each proscribed activity described in section 274C(a)(5) or
(a)(6) of the Act occurring on or after March 27, 2008 and on or before
November 2, 2015; and not less than $3,289 and not more than $8,224 for
each fraudulent document or each proscribed activity described in
section 274C(a)(5) or (a)(6) of the Act after November 2, 2015.
* * * * *
PART 274a--CONTROL OF EMPLOYMENT OF ALIENS
0
5. The authority citation for part 274a continues to read as follows:
Authority: 8 U.S.C. 1101, 1103, 1105a, 1324a; 48 U.S.C. 1806; 8
CFR part 2; Pub. L. 101-410, 104 Stat. 890, as amended by Pub. L.
114-74, 129 Stat. 599.
0
6. In Sec. 274a.8, revise paragraph (b) to read as follows:
Sec. 274a.8 Prohibition of indemnity bonds.
* * * * *
(b) Penalty. Any person or other entity who requires any individual
to post a bond or security as stated in this section shall, after
notice and opportunity for an administrative hearing in accordance with
section 274A(e)(3)(B) of the Act, be subject to a civil monetary
penalty of $1,000 for each violation before September 29, 1999, of
$1,100 for each violation occurring on or after September 29, 1999, but
on or before November 2, 2015, and of $2,360 for each violation
occurring after November 2, 2015, and to an administrative order
requiring the return to the individual of any amounts received in
violation of this section or, if the individual cannot be located, to
the general fund of the Treasury.
0
7. In Sec. 274a.10, revise paragraphs (b)(1)(ii)(A) through (C) and
the first sentence of paragraph (b)(2) introductory text to read as
follows:
Sec. 274a.10 Penalties.
* * * * *
(b) * * *
(1) * * *
(ii) * * *
(A) First offense--not less than $275 and not more than $2,200 for
each unauthorized alien with respect to whom the offense occurred
before March 27, 2008; not less than $375 and not exceeding $3,200, for
each unauthorized alien with respect to whom the offense occurred
occurring on or after March 27, 2008, and on or before November 2,
2015; and not less than $590 and not more than $4,722 for each
unauthorized alien with respect to whom the offense occurred occurring
after November 2, 2015;
(B) Second offense--not less than $2,200 and not more than $5,500
for each unauthorized alien with respect to whom the second offense
occurred before March 27, 2008; not less than $3,200 and not more than
$6,500, for each unauthorized alien with respect to whom the second
offense occurred on or after March 27, 2008, and on or before November
2, 2015; and not less than $4,722 and not more than $11,803 for each
unauthorized alien with respect to whom the second offense occurred
after November 2, 2015; or
(C) More than two offenses--not less than $3,300 and not more than
$11,000 for each unauthorized alien with respect to whom the third or
subsequent offense occurred before March 27, 2008; not less than $4,300
and not exceeding $16,000, for each unauthorized alien with respect to
whom the third or subsequent offense occurred on or after March 27,
2008, and on or before November 2, 2015; and not less than $7,082 and
not more than $23,607 for each unauthorized alien with respect to whom
the third or subsequent offense occurred after November 2, 2015; and
* * * * *
(2) A respondent determined by the Service (if a respondent fails
to request a hearing) or by an administrative law judge, to have failed
to comply with the employment verification requirements as set forth in
Sec. 274a.2(b), shall be subject to a civil penalty in an amount of
not less than $100 and not more than $1,000 for each individual with
respect to whom such violation occurred before September 29, 1999; not
less than $110 and not more than $1,100 for each individual with
respect to whom such violation occurred on or after September 29, 1999,
and on or before November 2, 2015; and not less than $237 and not more
than $2,360 for each individual with respect to whom such violation
occurred after November 2, 2015. * * *
* * * * *
PART 280--IMPOSITION AND COLLECTION OF FINES
0
8. The authority citation for part 280 continues to read as follows:
Authority: 8 U.S.C. 1103, 1221, 1223, 1227, 1229, 1253, 1281,
1283, 1284, 1285, 1286, 1322, 1323, 1330; 66 Stat. 173, 195, 197,
201, 203, 212, 219, 221-223, 226, 227, 230; Pub. L. 101-410, 104
Stat. 890, as amended by Pub. L. 114-74, 129 Stat. 599.
0
9. In Sec. 280.53, revise paragraphs (b)(1) through (15) to read as
follows:
Sec. 280.53 Civil monetary penalties inflation adjustment.
* * * * *
(b) * * *
(1) Section 231(g) of the Act, penalties for non-compliance with
arrival and departure manifest requirements for passengers,
crewmembers, or occupants transported on commercial vessels or aircraft
arriving to or departing from the United States: From $1,419 to $1,436.
(2) Section 234 of the Act, penalties for non-compliance with
landing requirements at designated ports of entry for aircraft
transporting aliens: From $3,855 to $3,901.
(3) Section 240B(d) of the Act, penalties for failure to depart
voluntarily: From $1,625 minimum/$8,128 maximum to $1,644 minimum/
$8,224 maximum.
(4) Section 243(c)(1)(A) of the Act, penalties for violations of
removal orders relating to aliens transported on vessels or aircraft,
under section 241(d) of the Act, or for costs associated with removal
under section 241(e) of the Act: From $3,251 to $3,289.
(5) Penalties for failure to remove alien stowaways under section
241(d)(2) of the Act: From $8,128 to $8,224.
(6) Section 251(d) of the Act, penalties for failure to report an
illegal landing or desertion of alien crewmen, and for each alien not
reported on arrival or departure manifest or lists required in
accordance with section 251 of the Act: From $385 to $390; and
penalties for use of alien crewmen for longshore work in violation of
section 251(d) of the Act: From $9,639 to $9,753.
(7) Section 254(a) of the Act, penalties for failure to control,
detain, or remove alien crewmen: From $964 minimum/$5,783 maximum to
$975 minimum/$5,851 maximum.
(8) Section 255 of the Act, penalties for employment on passenger
vessels of aliens afflicted with certain disabilities: From $1,928 to
$1,951.
(9) Section 256 of the Act, penalties for discharge of alien
crewmen: From $2,891 minimum/$5,783 maximum to $2,925 minimum/$5,851
maximum.
(10) Section 257 of the Act, penalties for bringing into the United
States alien crewmen with intent to evade immigration laws: From
$19,277 maximum to $19,505 maximum.
(11) Section 271(a) of the Act, penalties for failure to prevent
the unauthorized landing of aliens: From $5,783 to $5,851.
(12) Section 272(a) of the Act, penalties for bringing to the
United States aliens subject to denial of admission on a health-related
ground: From $5,783 to $5,851.
(13) Section 273(b) of the Act, penalties for bringing to the
United States aliens without required documentation: From $5,783 to
$5,851.
[[Page 57541]]
(14) Section 274D of the Act, penalties for failure to depart: From
$813 maximum to $823 maximum, for each day the alien is in violation.
(15) Section 275(b) of the Act, penalties for improper entry: From
$81 minimum/$407 maximum to $82 minimum/$412 maximum, for each entry or
attempted entry.
Title 19--Customs Duties
PART 4--VESSELS IN FOREIGN AND DOMESTIC TRADES
0
10. The authority citation for part 4 continues to read in part as
follows:
Authority: 5 U.S.C. 301; 19 U.S.C. 66, 1415, 1431, 1433, 1434,
1624, 2071 note; 46 U.S.C. 501, 60105.
* * * * *
Sections 4.80, 4.80a, and 4.80b also issued under 19 U.S.C.
1706a; 28 U.S.C. 2461 note; 46 U.S.C. 12112, 12117, 12118, 50501-
55106, 55107, 55108, 55110, 55114, 55115, 55116, 55117, 55119,
56101, 55121, 56101, 57109; Pub. L. 108-7, Division B, Title II,
Sec. 211;
* * * * *
Section 4.92 also issued under 28 U.S.C. 2461 note; 46 U.S.C.
55111;
* * * * *
0
11. In Sec. 4.80, revise paragraphs (b)(2) and (i) to read as follows:
Sec. 4.80 Vessels entitled to engage in coastwise trade.
* * * * *
(b) * * *
(2) The penalty imposed for the unlawful transportation of
passengers between coastwise points is $300 for each passenger so
transported and landed on or before November 2, 2015, and $822 for each
passenger so transported and landed after November 2, 2015 (46 U.S.C.
55103, as adjusted by the Federal Civil Penalties Inflation Adjustment
Act Improvements Act of 2015).
* * * * *
(i) Any vessel, entitled to be documented and not so documented,
employed in a trade for which a Certificate of Documentation is issued
under the vessel documentation laws (see Sec. 4.0(c)), other than a
trade covered by a registry, is liable to a civil penalty of $500 for
each port at which it arrives without the proper Certificate of
Documentation on or before November 2, 2015, and $1,368 for each port
at which it arrives without the proper Certificate of Documentation
after November 2, 2015 (19 U.S.C. 1706a, as adjusted by the Federal
Civil Penalties Inflation Adjustment Act Improvements Act of 2015). If
such a vessel has on board any foreign merchandise (sea stores
excepted), or any domestic taxable alcoholic beverages, on which the
duty and taxes have not been paid or secured to be paid, the vessel and
its cargo are subject to seizure and forfeiture.
0
12. In Sec. 4.92, revise the third sentence to read as follows:
Sec. 4.92 Towing.
* * * The penalties for violation of this section occurring after
November 2, 2015, are a fine of from $957 to $3,011 against the owner
or master of the towing vessel and a further penalty against the towing
vessel of $164 per ton of the towed vessel (46 U.S.C. 55111, as
adjusted by the Federal Civil Penalties Inflation Adjustment Act
Improvements Act of 2015).
Title 33--Navigation and Navigable Waters
PART 27--ADJUSTMENT OF CIVIL MONETARY PENALTIES FOR INFLATION
0
13. The authority citation for part 27 continues to read as follows:
Authority: Secs. 1-6, Pub. L. 101-410, 104 Stat. 890, as
amended by Sec. 31001(s)(1), Pub. L. 104-134, 110 Stat. 1321 (28
U.S.C. 2461 note); Department of Homeland Security Delegation No.
0170.1, sec. 2 (106).
0
14. In Sec. 27.3, revise the third sentence of the introductory text
and table 1 to read as follows:
Sec. 27.3 Penalty adjustment table.
* * * The adjusted civil penalty amounts listed in Table 1 to this
section are applicable for penalty assessments issued after October 18,
2021, with respect to violations occurring after November 2, 2015. * *
*
Table 1 to Sec. 27.3--Civil Monetary Penalty Inflation Adjustments
----------------------------------------------------------------------------------------------------------------
2021 Adjusted
U.S. Code citation Civil monetary penalty description maximum penalty
amount ($)
----------------------------------------------------------------------------------------------------------------
14 U.S.C. 521(c)........................................ Saving Life and Property........... $10,967
14 U.S.C. 521(e)........................................ Saving Life and Property; 1,125
Intentional Interference with
Broadcast.
14 U.S.C. 936(i)........................................ Confidentiality of Medical Quality 5,508
Assurance Records (first offense).
14 U.S.C. 936(i)........................................ Confidentiality of Medical Quality 36,726
Assurance Records (subsequent
offenses).
19 U.S.C. 70............................................ Obstruction of Revenue Officers by 8,212
Masters of Vessels.
19 U.S.C. 70............................................ Obstruction of Revenue Officers by 1,916
Masters of Vessels--Minimum
Penalty.
19 U.S.C. 1581(d)....................................... Failure to Stop Vessel When 5,000
Directed; Master, Owner, Operator
or Person in Charge \1\.
19 U.S.C. 1581(d)....................................... Failure to Stop Vessel When 1,000
Directed; Master, Owner, Operator
or Person in Charge--Minimum
Penalty\1\.
33 U.S.C. 471........................................... Anchorage Ground/Harbor Regulations 11,906
General.
33 U.S.C. 474........................................... Anchorage Ground/Harbor Regulations 822
St. Mary's River.
33 U.S.C. 495(b)........................................ Bridges/Failure to Comply with 30,058
Regulations.
33 U.S.C. 499(c)........................................ Bridges/Drawbridges................ 30,058
33 U.S.C. 502(c)........................................ Bridges/Failure to Alter Bridge 30,058
Obstructing Navigation.
33 U.S.C. 533(b)........................................ Bridges/Maintenance and Operation.. 30,058
33 U.S.C. 1208(a)....................................... Bridge to Bridge Communication; 2,190
Master, Person in Charge or Pilot.
33 U.S.C. 1208(b)....................................... Bridge to Bridge Communication; 2,190
Vessel.
33 U.S.C. 1321(b)(6)(B)(i).............................. Oil/Hazardous Substances: 19,505
Discharges (Class I per violation).
33 U.S.C. 1321(b)(6)(B)(i).............................. Oil/Hazardous Substances: 48,762
Discharges (Class I total under
paragraph).
33 U.S.C. 1321(b)(6)(B)(ii)............................. Oil/Hazardous Substances: 19,505
Discharges (Class II per day of
violation).
33 U.S.C. 1321(b)(6)(B)(ii)............................. Oil/Hazardous Substances: 243,808
Discharges (Class II total under
paragraph).
33 U.S.C. 1321(b)(7)(A)................................. Oil/Hazardous Substances: 48,762
Discharges (per day of violation)
Judicial Assessment.
33 U.S.C. 1321(b)(7)(A)................................. Oil/Hazardous Substances: 1,951
Discharges (per barrel of oil or
unit discharged) Judicial
Assessment.
33 U.S.C. 1321(b)(7)(B)................................. Oil/Hazardous Substances: Failure 48,762
to Carry Out Removal/Comply With
Order (Judicial Assessment).
[[Page 57542]]
33 U.S.C. 1321(b)(7)(C)................................. Oil/Hazardous Substances: Failure 48,762
to Comply with Regulation Issued
Under 1321(j) (Judicial
Assessment).
33 U.S.C. 1321(b)(7)(D)................................. Oil/Hazardous Substances: 5,851
Discharges, Gross Negligence (per
barrel of oil or unit discharged)
Judicial Assessment.
33 U.S.C. 1321(b)(7)(D)................................. Oil/Hazardous Substances: 195,047
Discharges, Gross Negligence--
Minimum Penalty (Judicial
Assessment).
33 U.S.C. 1322(j)....................................... Marine Sanitation Devices; 8,212
Operating.
33 U.S.C. 1322(j)....................................... Marine Sanitation Devices; Sale or 21,896
Manufacture.
33 U.S.C. 1608(a)....................................... International Navigation Rules; 15,352
Operator.
33 U.S.C. 1608(b)....................................... International Navigation Rules; 15,352
Vessel.
33 U.S.C. 1908(b)(1).................................... Pollution from Ships; General...... 76,764
33 U.S.C. 1908(b)(2).................................... Pollution from Ships; False 15,352
Statement.
33 U.S.C. 2072(a)....................................... Inland Navigation Rules; Operator.. 15,352
33 U.S.C. 2072(b)....................................... Inland Navigation Rules; Vessel.... 15,352
33 U.S.C. 2609(a)....................................... Shore Protection; General.......... 54,157
33 U.S.C. 2609(b)....................................... Shore Protection; Operating Without 21,663
Permit.
33 U.S.C. 2716a(a)...................................... Oil Pollution Liability and 48,762
Compensation.
33 U.S.C. 3852(a)(1)(A)................................. Clean Hulls; Civil Enforcement..... 44,646
33 U.S.C. 3852(a)(1)(A)................................. Clean Hulls; related to false 59,528
statements.
33 U.S.C. 3852(c)....................................... Clean Hulls; Recreational Vessels.. 5,953
42 U.S.C. 9609(a)....................................... Hazardous Substances, Releases, 59,017
Liability, Compensation (Class I).
42 U.S.C. 9609(b)....................................... Hazardous Substances, Releases, 59,017
Liability, Compensation (Class II).
42 U.S.C. 9609(b)....................................... Hazardous Substances, Releases, 177,053
Liability, Compensation (Class II
subsequent offense).
42 U.S.C. 9609(c)....................................... Hazardous Substances, Releases, 59,017
Liability, Compensation (Judicial
Assessment).
42 U.S.C. 9609(c)....................................... Hazardous Substances, Releases, 177,053
Liability, Compensation (Judicial
Assessment subsequent offense).
46 U.S.C. 80509(a)...................................... Safe Containers for International 6,451
Cargo.
46 U.S.C. 70305(c)...................................... Suspension of Passenger Service.... 64,515
46 U.S.C. 2110(e)....................................... Vessel Inspection or Examination 9,753
Fees.
46 U.S.C. 2115.......................................... Alcohol and Dangerous Drug Testing. 7,939
46 U.S.C. 2302(a)....................................... Negligent Operations: Recreational 7,181
Vessels.
46 U.S.C. 2302(a)....................................... Negligent Operations: Other Vessels 35,905
46 U.S.C. 2302(c)(1).................................... Operating a Vessel While Under the 7,939
Influence of Alcohol or a
Dangerous Drug.
46 U.S.C. 2306(a)(4).................................... Vessel Reporting Requirements: 12,363
Owner, Charterer, Managing
Operator, or Agent.
46 U.S.C. 2306(b)(2).................................... Vessel Reporting Requirements: 2,473
Master.
46 U.S.C. 3102(c)(1).................................... Immersion Suits.................... 12,363
46 U.S.C. 3302(i)(5).................................... Inspection Permit.................. 2,579
46 U.S.C. 3318(a)....................................... Vessel Inspection; General......... 12,363
46 U.S.C. 3318(g)....................................... Vessel Inspection; Nautical School 12,363
Vessel.
46 U.S.C. 3318(h)....................................... Vessel Inspection; Failure to Give 2,473
Notice IAW 3304(b).
46 U.S.C. 3318(i)....................................... Vessel Inspection; Failure to Give 2,473
Notice IAW 3309(c).
46 U.S.C. 3318(j)(1).................................... Vessel Inspection; Vessel >=1600 24,730
Gross Tons.
46 U.S.C. 3318(j)(1).................................... Vessel Inspection; Vessel <1600 4,946
Gross Tons.
46 U.S.C. 3318(k)....................................... Vessel Inspection; Failure to 24,730
Comply with 3311(b).
46 U.S.C. 3318(l)....................................... Vessel Inspection; Violation of 12,363
3318(b)-3318(f).
46 U.S.C. 3502(e)....................................... List/count of Passengers........... 257
46 U.S.C. 3504(c)....................................... Notification to Passengers......... 25,780
46 U.S.C. 3504(c)....................................... Notification to Passengers; Sale of 1,288
Tickets.
46 U.S.C. 3506.......................................... Copies of Laws on Passenger 516
Vessels; Master.
46 U.S.C. 3718(a)(1).................................... Liquid Bulk/Dangerous Cargo........ 64,452
46 U.S.C. 4106.......................................... Uninspected Vessels................ 10,832
46 U.S.C. 4311(b)(1).................................... Recreational Vessels (maximum for 341,000
related series of violations).
46 U.S.C. 4311(b)(1).................................... Recreational Vessels; Violation of 6,820
4307(a).
46 U.S.C. 4311(c)....................................... Recreational Vessels............... 2,579
46 U.S.C. 4507.......................................... Uninspected Commercial Fishing 10,832
Industry Vessels.
46 U.S.C. 4703.......................................... Abandonment of Barges.............. 1,835
46 U.S.C. 5116(a)....................................... Load Lines......................... 11,803
46 U.S.C. 5116(b)....................................... Load Lines; Violation of 5112(a)... 23,607
46 U.S.C. 5116(c)....................................... Load Lines; Violation of 5112(b)... 11,803
46 U.S.C. 6103(a)....................................... Reporting Marine Casualties........ 41,120
46 U.S.C. 6103(b)....................................... Reporting Marine Casualties;....... 10,832
Violation of 6104..................
46 U.S.C. 8101(e)....................................... Manning of Inspected Vessels; 1,951
Failure to Report Deficiency in
Vessel Complement.
46 U.S.C. 8101(f)....................................... Manning of Inspected Vessels....... 19,505
46 U.S.C. 8101(g)....................................... Manning of Inspected Vessels; 19,505
Employing or Serving in Capacity
not Licensed by USCG.
46 U.S.C. 8101(h)....................................... Manning of Inspected Vessels; 2,579
Freight Vessel <100 GT, Small
Passenger Vessel, or Sailing
School Vessel.
[[Page 57543]]
46 U.S.C. 8102(a)....................................... Watchmen on Passenger Vessels...... 2,579
46 U.S.C. 8103(f)....................................... Citizenship Requirements........... 1,288
46 U.S.C. 8104(i)....................................... Watches on Vessels; Violation of 19,505
8104(a) or (b).
46 U.S.C. 8104(j)....................................... Watches on Vessels; Violation of 19,505
8104(c), (d), (e), or (h).
46 U.S.C. 8302(e)....................................... Staff Department on Vessels........ 257
46 U.S.C. 8304(d)....................................... Officer's Competency Certificates.. 257
46 U.S.C. 8502(e)....................................... Coastwise Pilotage; Owner, 19,505
Charterer, Managing Operator,
Agent, Master or Individual in
Charge.
46 U.S.C. 8502(f)....................................... Coastwise Pilotage; Individual..... 19,505
46 U.S.C. 8503.......................................... Federal Pilots..................... 61,820
46 U.S.C. 8701(d)....................................... Merchant Mariners Documents........ 1,288
46 U.S.C. 8702(e)....................................... Crew Requirements.................. 19,505
46 U.S.C. 8906.......................................... Small Vessel Manning............... 41,120
46 U.S.C. 9308(a)....................................... Pilotage: Great Lakes; Owner, 19,505
Charterer, Managing Operator,
Agent, Master or Individual in
Charge.
46 U.S.C. 9308(b)....................................... Pilotage: Great Lakes; Individual.. 19,505
46 U.S.C. 9308(c)....................................... Pilotage: Great Lakes; Violation of 19,505
9303.
46 U.S.C. 10104(b)...................................... Failure to Report Sexual Offense... 10,366
46 U.S.C. 10314(a)(2)................................... Pay Advances to Seamen............. 1,288
46 U.S.C. 10314(b)...................................... Pay Advances to Seamen; 1,288
Remuneration for Employment.
46 U.S.C. 10315(c)...................................... Allotment to Seamen................ 1,288
46 U.S.C. 10321......................................... Seamen Protection; General......... 8,935
46 U.S.C. 10505(a)(2)................................... Coastwise Voyages: Advances........ 8,935
46 U.S.C. 10505(b)...................................... Coastwise Voyages: Advances; 8,935
Remuneration for Employment.
46 U.S.C. 10508(b)...................................... Coastwise Voyages: Seamen 8,935
Protection; General.
46 U.S.C. 10711......................................... Effects of Deceased Seamen......... 516
46 U.S.C. 10902(a)(2)................................... Complaints of Unfitness............ 1,288
46 U.S.C. 10903(d)...................................... Proceedings on Examination of 257
Vessel.
46 U.S.C. 10907(b)...................................... Permission to Make Complaint....... 1,288
46 U.S.C. 11101(f)...................................... Accommodations for Seamen.......... 1,288
46 U.S.C. 11102(b)...................................... Medicine Chests on Vessels......... 1,288
46 U.S.C. 11104(b)...................................... Destitute Seamen................... 257
46 U.S.C. 11105(c)...................................... Wages on Discharge................. 1,288
46 U.S.C. 11303(a)...................................... Log Books; Master Failing to 516
Maintain.
46 U.S.C. 11303(b)...................................... Log Books; Master Failing to Make 516
Entry.
46 U.S.C. 11303(c)...................................... Log Books; Late Entry.............. 387
46 U.S.C. 11506......................................... Carrying of Sheath Knives.......... 129
46 U.S.C. 12151(a)(1)................................... Vessel Documentation............... 16,884
46 U.S.C. 12151(a)(2)................................... Documentation of Vessels--Related 28,142
to activities involving mobile
offshore drilling units.
46 U.S.C. 12151(c)...................................... Vessel Documentation; Fishery 129,032
Endorsement.
46 U.S.C. 12309(a)...................................... Numbering of Undocumented Vessels-- 12,891
Willful violation.
46 U.S.C. 12309(b)...................................... Numbering of Undocumented Vessels.. 2,579
46 U.S.C. 12507(b)...................................... Vessel Identification System....... 21,663
46 U.S.C. 14701......................................... Measurement of Vessels............. 47,216
46 U.S.C. 14702......................................... Measurement; False Statements...... 47,216
46 U.S.C. 31309......................................... Commercial Instruments and Maritime 21,663
Liens.
46 U.S.C. 31330(a)(2)................................... Commercial Instruments and Maritime 21,663
Liens; Mortgagor.
46 U.S.C. 31330(b)(2)................................... Commercial Instruments and Maritime 54,157
Liens; Violation of 31329.
46 U.S.C. 70036(a)...................................... Ports and Waterways Safety 97,014
Regulations.
46 U.S.C. 70041(d)(1)(B)................................ Vessel Navigation: Regattas or 9,753
Marine Parades; Unlicensed Person
in Charge.
46 U.S.C. 70041(d)(1)(C)................................ Vessel Navigation: Regattas or 9,753
Marine Parades; Owner Onboard
Vessel.
46 U.S.C. 70041(d)(1)(D)................................ Vessel Navigation: Regattas or 4,876
Marine Parades; Other Persons.
46 U.S.C. 70119(a)...................................... Port Security...................... 35,905
46 U.S.C. 70119(b)...................................... Port Security--Continuing 64,515
Violations.
46 U.S.C. 70506......................................... Maritime Drug Law Enforcement; 5,953
Penalties.
49 U.S.C. 5123(a)(1).................................... Hazardous Materials: Related to 84,425
Vessels--Maximum Penalty.
49 U.S.C. 5123(a)(2).................................... Hazardous Materials: Related to 196,992
Vessels--Penalty from Fatalities,
Serious Injuries/Illness or
Substantial Damage to Property.
49 U.S.C. 5123(a)(3).................................... Hazardous Materials: Related to 508
Vessels--Training.
----------------------------------------------------------------------------------------------------------------
\1\ Enacted under the Tariff Act of 1930 exempt from inflation adjustments.
[[Page 57544]]
Title 49--Transportation
PART 1503--INVESTIGATIVE AND ENFORCEMENT PROCEDURES
0
15. The authority citation for part 1503 continues to read as follows:
Authority: 6 U.S.C. 1142; 18 U.S.C. 6002; 28 U.S.C. 2461
(note); 49 U.S.C. 114, 20109, 31105, 40113-40114, 40119, 44901-
44907, 46101-46107, 46109-46110, 46301, 46305, 46311, 46313-46314;
Pub. L. 104-134, as amended by Pub. L. 114-74.
0
16. In Sec. 1503.401, revise paragraphs (b)(1) and (2) and (c)(1),
(2), and (3) to read as follows:
Sec. 1503.401 Maximum penalty amounts.
* * * * *
(b) * * *
(1) For violations that occurred on or before November 2, 2015,
$10,000 per violation, up to a total of $50,000 per civil penalty
action, in the case of an individual or small business concern, as
defined in section 3 of the Small Business Act (15 U.S.C. 632). For
violations that occurred after November 2, 2015, $12,045 per violation,
up to a total of $60,226 per civil penalty action, in the case of an
individual or small business concern; and
(2) For violations that occurred on or before November 2, 2015,
$10,000 per violation, up to a total of $400,000 per civil penalty
action, in the case of any other person. For violations that occurred
after November 2, 2015, $12,045 per violation, up to a total of
$481,802 per civil penalty action, in the case of any other person.
(c) * * *
(1) For violations that occurred on or before November 2, 2015,
$10,000 per violation, up to a total of $50,000 per civil penalty
action, in the case of an individual or small business concern, as
defined in section 3 of the Small Business Act (15 U.S.C. 632). For
violations that occurred after November 2, 2015, $14,074 per violation,
up to a total of $70,375 per civil penalty action, in the case of an
individual (except an airman serving as an airman), or a small business
concern.
(2) For violations that occurred on or before November 2, 2015,
$10,000 per violation, up to a total of $400,000 per civil penalty
action, in the case of any other person (except an airman serving as an
airman) not operating an aircraft for the transportation of passengers
or property for compensation. For violations that occurred after
November 2, 2015, $14,074 per violation, up to a total of $562,996 per
civil penalty action, in the case of any other person (except an airman
serving as an airman) not operating an aircraft for the transportation
of passengers or property for compensation.
(3) For violations that occurred on or before November 2, 2015,
$25,000 per violation, up to a total of $400,000 per civil penalty
action, in the case of a person operating an aircraft for the
transportation of passengers or property for compensation (except an
individual serving as an airman). For violations that occurred after
November 2, 2015, $35,188 per violation, up to a total of $562,996 per
civil penalty action, in the case of a person (except an individual
serving as an airman) operating an aircraft for the transportation of
passengers or property for compensation.
Jonathan E. Meyer,
General Counsel, U.S. Department of Homeland Security.
[FR Doc. 2021-22564 Filed 10-15-21; 8:45 am]
BILLING CODE 9110-04-P, 9110-05-P, 9110-9-P, 9111-14-P, 9111-28-P
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