[Federal Register: December 23, 2003 (Volume 68, Number 246)]
[Rules and Regulations]
[Page 74189-74196]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr23de03-14]
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DEPARTMENT OF HOMELAND SECURITY
Coast Guard
33 CFR PART 27
[USCG-2003-15486]
RIN 1625-AA73
Civil Monetary Penalties--Adjustments for Inflation
AGENCY: Coast Guard, DHS.
ACTION: Final rule.
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SUMMARY: The Coast Guard is adjusting fines and other civil monetary
penalties to reflect the impact of inflation. These adjustments are
made in accordance with the Federal Civil Penalties Inflation
Adjustment Act of 1990, as amended by the Debt Collection Improvement
Act of 1996.
DATES: This final rule is effective January 22, 2004.
ADDRESSES: Material received from the public, as well as documents
mentioned in this preamble as being available in the docket, are part
of docket USCG-2003-15486 and are available for
[[Page 74190]]
inspection or copying at the Docket Management Facility, U.S.
Department of Transportation, room PL-401, 400 Seventh Street, SW.,
Washington, DC, between 9 a.m. and 5 p.m., Monday through Friday,
except Federal holidays. You may also find this docket on the Internet
at http://dms.dot.gov.
FOR FURTHER INFORMATION CONTACT: If you have questions on this rule,
call Mr. Robert Spears of the Office of Standards Evaluation and
Development, Coast Guard, telephone 202-267-1099 or 202-267-6826. If
you have questions on viewing the docket, call Andrea M. Jenkins,
Program Manager, Docket Operations, Department of Transportation,
telephone 202-366-0271.
SUPPLEMENTARY INFORMATION:
Background and Purpose
Many fines or other civil monetary penalties (CMPs) for violating
Federal laws and regulations were set by Congress long ago, and their
deterrent value has weakened with time due to inflation. Congress
recognizes this problem and has devised a mechanism to address it. It
provides mandatory inflation adjustment formulas and requires Federal
agencies to adjust their CMPs using those formulas at least once every
four years, making further direct involvement by Congress unnecessary.
This mechanism derives from the Federal Civil Penalties Inflation
Adjustment Act of 1990, Pub. L. 101-410, 104 Stat. 890, Sec. Sec. 1-6,
as amended by the Debt Collection Improvement Act of 1996, Pub. L. 104-
134, 110 Stat. 1321, Sec. 31001(s)(1); see 28 U.S.C. 2461 note
(collectively, ``the statute'').
The Coast Guard is amending 33 CFR 27.3 to update CMP adjustments
first made in 1997. We expect to repeat the adjustment process in 2007
and quadrennially thereafter. We are also making two non-substantive
changes, amending 33 CFR 27.1 to make the legislative authority for CMP
adjustments clearer, and removing 33 CFR 27.2 which applied
specifically to the 1997 adjustments and is no longer necessary.
Regulatory Procedure
This final rule is published without prior notice of proposed
rulemaking or public comment. Pursuant to the Administrative Procedure
Act, 5 U.S.C. 553(b)(3)(B), the Coast Guard finds that good cause
exists for dispensing with notice and comment in this rulemaking. This
rulemaking implements the Federal Civil Penalties Inflation Adjustment
Act of 1990, as amended by the Debt Collection Improvement Act of 1996,
and with the exception of the non-substantive changes described above,
that legislation mandates all our actions and allows us no discretion
in implementation, so that prior notice and comment is unnecessary and
contrary to the public interest.
Method of Calculation
The statute (see ``Background and Purpose'') requires inflation
adjustments to be based on changes in the Consumer Price Index (CPI)
from June of the calendar year in which the penalties were last set or
adjusted, through June of the year prior to the adjustment. The statute
also includes precise rules for rounding penalty increases. It limits
the first adjustments of an agency's penalties to 10 percent of the
penalty amounts. Our method of calculation takes into account the
General Accounting Office (GAO) report ``United States Coast Guard
Implementation of the Inflation Adjustment Act,'' (GAO-03-221R, Nov. 1,
2002) and subsequent discussions with the GAO. Table A below sets forth
each CMP provision which is being increased in 2003 and shows the
intermediate calculations performed to arrive at the adjusted final
maximum penalty contained in the last column.
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Regulatory Evaluation
This rule is not a ``significant regulatory action'' under section
3(f) of Executive Order 12866, Regulatory Planning and Review, 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. It is not ``significant'' under the
regulatory policies and procedures of the Department of Homeland
Security (DHS).
We expect the economic impact of this rule to be so minimal that a
full Regulatory Evaluation under the regulatory policies and procedures
of DHS is unnecessary. This rule concerns civil monetary penalties
imposed for violating Federal law and regulations. It has no impact on
law-abiding persons.
Small Entities
Under the Regulatory Flexibility Act (5 U.S.C. 601-612), we have
considered whether this rule would have a significant economic impact
on a substantial number of small entities. The term ``small entities''
comprises small businesses, not-for-profit organizations that are
independently owned and operated and are not dominant in their fields,
and governmental jurisdictions with populations of less than 50,000.
This rule concerns civil monetary penalties imposed for violating
Federal law and regulations. It has no impact on law-abiding persons.
Therefore, the Coast Guard certifies under 5 U.S.C. 605(b) that
this final rule will not have a significant economic impact on a
substantial number of small entities.
Assistance for Small Entities
In accordance with section 213(a) of the Small Business Regulatory
Enforcement Fairness Act of 1996 (Pub. L. 104-121), we will assist
small entities in understanding this rule. If you are a small entity
and the Coast Guard has assessed a civil monetary penalty against you,
let your hearing officer know if you need help understanding the
provisions of this rule or how it applies to you.
Small businesses may send comments on the actions of Federal
employees who enforce, or otherwise determine compliance with, Federal
regulations to the 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 the Coast Guard, call 1-888-REG-FAIR
(1-888-734-3247).
Collection of Information
This rule calls for no new collection of information under the
Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520).
Federalism
A rule has implications for federalism under Executive Order 13132,
Federalism, if it has a substantial direct effect on State or local
governments and would either preempt State law or impose a substantial
direct cost of compliance on them. We have analyzed this rule under
that Order and have determined that it does not have implications for
federalism.
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 or more in any
one year. This rule affects only those persons who violate Federal law
or regulations, and involves no discretion on the part of the Coast
Guard.
Taking of Private Property
This rule will not effect a taking of private property or otherwise
have taking implications under Executive Order 12630, Governmental
Actions and
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Interference with Constitutionally Protected Property Rights.
Civil Justice Reform
This rule meets applicable standards in sections 3(a) and 3(b)(2)
of Executive Order 12988, Civil Justice Reform, to minimize litigation,
eliminate ambiguity, and reduce burden.
Protection of Children
We have analyzed this rule under Executive Order 13045, Protection
of Children from Environmental Health Risks and Safety Risks. This rule
is not an economically significant rule and does not create an
environmental risk to health or risk to safety that may
disproportionately affect children.
Indian Tribal Governments
This rule does not have tribal implications under Executive Order
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.
Energy Effects
We have analyzed this rule under Executive Order 13211, Actions
Concerning Regulations That Significantly Affect Energy Supply,
Distribution, or Use. We have determined that it is not a ``significant
energy action'' under that order because it is not a ``significant
regulatory action'' under Executive Order 12866 and is not likely to
have a significant adverse effect on the supply, distribution, or use
of energy. The Administrator of the Office of Information and
Regulatory Affairs has not designated it as a significant energy
action. Therefore, it does not require a Statement of Energy Effects
under Executive Order 13211.
Environment
We have analyzed this rule under Commandant Instruction M16475.lD,
which guides the Coast Guard in complying with the National
Environmental Policy Act of 1969 (NEPA)(42 U.S.C. 4321-4370f), and have
concluded that there are no factors in this case that would limit the
use of a categorical exclusion under section 2.B.2 of the Instruction.
Therefore, figure 2-1, paragraph (34)(a) of the Instruction
categorically excludes this rule from further environmental
documentation. An ``Environmental Analysis Check List'' and a
``Categorical Exclusion Determination'' are available in the docket
where indicated under ADDRESSES.
List of Subjects in 33 CFR Part 27
Marine safety, Oil pollution, Penalties, Vessels, Waterways.
0
For the reasons discussed in the preamble, the Coast Guard amends 33
CFR part 27 as follows:
PART 27--ADJUSTMENT OF CIVIL MONETARY PENALTIES FOR INFLATION
0
1. Revise the authority citation for part 27 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
2. Revise Sec. 27.1 to read as follows:
Sec. 27.1 Applicability.
This part implements the Federal Civil Penalties Inflation
Adjustment Act of 1990, as amended, by periodically adjusting the
maximum civil monetary penalty provided by statute for laws
administered by the Coast Guard and assessable in either civil judicial
or administrative proceedings.
Sec. 27.2 [Removed]
0
3. Remove Sec. 27.2.
0
4. Revise Sec. 27.3 to read as follows:
Sec. 27.3 Penalty Adjustment Table.
Table 1 identifies statutes administered by the Coast Guard that
authorize a civil monetary penalty. The ``adjusted maximum penalty'' is
the maximum penalty authorized by the Federal Civil Penalties Inflation
Adjustment Act of 1990, as amended, as determined by the Coast Guard.
Table 1.--Civil Monetary Penalty Inflation Adjustments
------------------------------------------------------------------------
Adjusted
Civil monetary penalty maximum
U.S. Code citation description penalty amount
($)*
------------------------------------------------------------------------
14 U.S.C. 88(c)................ Saving Life and 6,500
Property.
14 U.S.C. 645(i)............... Confidentiality of 3,300
Medical Quality
Assurance Records
(first offense).
14 U.S.C. 645(i)............... Confidentiality of 27,000
Medical Quality
Assurance Records
(subsequent offenses).
33 U.S.C. 471.................. Anchorage Ground/Harbor 110
Regulations General.
33 U.S.C. 474.................. Anchorage Ground/Harbor 220
Regulations St. Mary's
river.
33 U.S.C. 495.................. Bridges/Failure to 1,100
Comply with
Regulations.
33 U.S.C. 499.................. Bridges/Drawbridges.... 1,100
33 U.S.C. 502.................. Bridges/Failure to 1,100
Alter Bridge
Obstructing Navigation.
33 U.S.C. 533.................. Bridges/Maintenance and 1,100
Operation.
33 U.S.C. 1208(a).............. Bridge to Bridge 650
Communication.
33 U.S.C. 1208(b).............. Bridge to Bridge 650
Communication.
33 U.S.C. 1232................. PWSA Regulations....... 32,500
33 U.S.C. 1236(b).............. Vessel Navigation: 6,500
Regattas or Marine
Parades.
33 U.S.C. 1236(c).............. Vessel Navigation: 6,500
Regattas or Marine
Parades.
33 U.S.C. 1236(d).............. Vessel Navigation: 2,750
Regattas or Marine
Parades.
33 U.S.C. 1319(d).............. Pollution Prevention... 32,500
33 U.S.C. 1319(g)(2)(A)........ Pollution Prevention 11,000
(per violation).
33 U.S.C. 1319(g)(2)(A)........ Pollution Prevention 32,500
(total under
subparagraph).
33 U.S.C. 1319(g)(2)(B)........ Pollution Prevention 11,000
(per day of violation).
33 U.S.C. 1319(g)(2)(B)........ Pollution Prevention 157,500
(total under
subparagraph).
33 U.S.C. 1321(b)(6)(B)(i)..... Oil/Hazardous 11,000
Substances: Discharges
(per violation).
33 U.S.C. 1321(b)(6)(B)(i)..... Oil/Hazardous 32,500
Substances: Discharges
(total under
paragraph).
33 U.S.C. 1321(b)(6)(B)(ii).... Oil/Hazardous 11,000
Substances: Discharges
(per day of violation).
33 U.S.C. 1321(b)(6)(B)(ii).... Oil/Hazardous 157,500
Substances: Discharges
(total under
paragraph).
33 U.S.C. 1321(b)(7)(A)........ Oil/Hazardous 32,500
Substances: Discharges
(per day of violation).
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33 U.S.C. 1321(b)(7)(A)........ Oil/Hazardous 1,100
Substances: Discharges
(per barrel of oil or
unit of hazsub
discharged).
33 U.S.C. 1321(b)(7)(B)........ Oil/Hazardous 32,500
Substances: Discharges.
33 U.S.C. 1321(b)(7)(C)........ Oil/Hazardous 32,500
Substances: Discharges.
33 U.S.C. 1321(b)(7)(D)........ Oil/Hazardous 3,300
Substances: Discharges
(per barrel of oil or
unit of hazsub
discharged)..
33 U.S.C. 1321(j).............. Oil/Hazardous 32,500
Substances: Prevention
Regulations.
33 U.S.C. 1322(j).............. Marine Sanitation 2,200
Devices.
33 U.S.C. 1322(j).............. Marine Sanitation 6,500
Devices.
33 U.S.C. 1517(a).............. Deepwater Ports 11,000
Regulations.
33 U.S.C. 1608(a).............. International 6,500
Regulations.
33 U.S.C. 1608(b).............. International 6,500
Regulations.
33 U.S.C. 1908(b)(1)........... Pollution from Ships... 32,500
33 U.S.C. 1908(b)(2)........... Pollution from Ships... 6,500
33 U.S.C. 2072(a).............. Inland Navigation Rules 6,500
33 U.S.C. 2072(b).............. Inland Navigation Rules 6,500
33 U.S.C. 2609(a).............. Shore Protection....... 32,500
33 U.S.C. 2609(b).............. Shore Protection....... 11,000
33 U.S.C. 2716a(a)............. Oil Pollution Liability 32,500
and Compensation.
46 U.S.C. 1505(a).............. Safe Containers for 6,500
International Cargo.
46 U.S.C. App 1805(c)(2)....... Suspension of passenger 60,000
service.
46 U.S.C. 2110(e).............. Vessel inspection or 6,500
examination fees.
46 U.S.C. 2115................. Alcohol and dangerous 5,500
drug testing.
46 U.S.C. 2302(a).............. Negligent operations: 5,000
recreational vessels.
46 U.S.C. 2302(a).............. Negligent operations: 25,000
other vessels.
46 U.S.C. 2302(c)(1)........... Negligent operations... 5,500
46 U.S.C. 2306(a)(2)(B)(4)..... Vessel Reporting 6,500
Requirements: Owner.
46 U.S.C. 2306(b)(2)........... Vessel Reporting 1,100
Requirements: Master.
46 U.S.C. 3102(c)(1)........... Immersion suits........ 6,500
46 U.S.C. 3302(i)(5)........... Inspection Permit...... 1,100
46 U.S.C. 3318(a).............. Vessel inspection...... 6,500
46 U.S.C. 3318(g).............. Vessel inspection...... 6,500
46 U.S.C. 3318(h).............. Vessel inspection...... 1,100
46 U.S.C. 3318(i).............. Vessel inspection...... 1,100
46 U.S.C. 3318(j)(1)........... Vessel inspection...... 11,000
46 U.S.C. 3318(j)(1)........... Vessel inspection...... 2,200
46 U.S.C. 3318(k).............. Vessel inspection...... 11,000
46 U.S.C. 3318(l).............. Vessel inspection...... 6,500
46 U.S.C. 3502(e).............. List/count of 110
passengers.
46 U.S.C. 3504(c).............. Notification to 11,000
passengers.
46 U.S.C. 3504(c).............. Notification to 650
passengers.
46 U.S.C. 3506................. Copies of laws on 220
passenger vessels.
46 U.S.C. 3718(a)(1)........... Dangerous cargo 32,500
carriage.
46 U.S.C. 4106................. Uninspected vessels.... 6,500
46 U.S.C. 4311(b).............. Recreational vessels 120,000
(maximum for related
series of violations).
46 U.S.C. 4311(b).............. Recreational vessels... 2,200
46 U.S.C. 4311(c).............. Recreational vessels... 1,100
46 U.S.C. 4507................. Vessel inspection...... 6,500
46 U.S.C. 4703................. Abandonment of barges.. 1,100
46 U.S.C. 5116(a).............. Load lines............. 6,500
46 U.S.C. 5116(b).............. Load lines............. 11,000
46 U.S.C. 5116(c).............. Load lines............. 6,500
46 U.S.C. 6103(a).............. Reporting marine 27,500
casualties.
46 U.S.C. 6103(b).............. Reporting marine 6,500
casualties.
46 U.S.C. 8101(e).............. Manning of inspected 1,100
vessels.
46 U.S.C. 8101(f).............. Manning of inspected 11,000
vessels.
46 U.S.C. 8101(g).............. Manning of inspected 11,000
vessels.
46 U.S.C. 8101(h).............. Manning of inspected 1,100
vessels.
46 U.S.C. 8102(a).............. Watchmen on passenger 1,100
vessels.
46 U.S.C. 8103(f).............. Citizenship 650
requirements.
46 U.S.C. 8104(i).............. Watches on vessels..... 11,000
46 U.S.C. 8104(j).............. Watches on vessels..... 11,000
46 U.S.C. 8302(e).............. Staff department on 110
vessels.
46 U.S.C. 8304(d).............. Officer's competency 110
certificates.
46 U.S.C. 8502(e).............. Coastwise Pilotage..... 11,000
46 U.S.C. 8502(f).............. Coastwise Pilotage..... 11,000
46 U.S.C. 8503................. Federal Pilots......... 32,500
46 U.S.C. 8701(d).............. Merchant mariners 650
documents.
46 U.S.C. 8702(e).............. Crew requirements...... 11,000
46 U.S.C. 8906................. Small vessel manning... 27,500
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46 U.S.C. 9308(a).............. Pilotage: Great Lakes.. 11,000
46 U.S.C. 9308(b).............. Pilotage: Great Lakes.. 11,000
46 U.S.C. 9308(c).............. Pilotage: Great Lakes.. 11,000
46 U.S.C. 10104(b)............. Failure to report 6,500
sexual offense.
46 U.S.C. 10307................ Posting of agreements.. 110
46 U.S.C. 10308(b)............. Foreign engagements by 110
seamen.
46 U.S.C. 10309(b)............. Replacement of lost/ 220
deserted seamen.
46 U.S.C. 10310................ Discharge of seamen.... 65
46 U.S.C. 10312(c)............. Foreign/intercoastal 110
voyages.
46 U.S.C. 10314(a)(2).......... Pay advances to seamen. 650
46 U.S.C. 10314(b)............. Pay advances to seamen. 650
46 U.S.C. 10315(c)............. Allotment to seamen.... 650
46 U.S.C. 10321................ Seamen protection: 220
general.
46 U.S.C. 10505(b)............. Advances............... 650
46 U.S.C. 10508(b)............. Seamen protection: 22
general.
46 U.S.C. 10711................ Effects of deceased 220
seamen.
46 U.S.C. 10902(a)(2).......... Complaints of unfitness 650
46 U.S.C. 10903(d)............. Proceedings on 110
examination of vessel.
46 U.S.C. 10907(b)............. Permission to make 650
complaint.
46 U.S.C. 11101(f)............. Accommodations for 650
seamen.
46 U.S.C. 11102(b)............. Medicine chests on 650
vessels.
46 U.S.C. 11104(b)............. Destitute seamen....... 110
46 U.S.C. 11105(c)............. Wages on discharge..... 650
46 U.S.C. 11303(a)............. Log books.............. 220
46 U.S.C. 11303(b)............. Log books.............. 220
46 U.S.C. 11303(c)............. Log books.............. 165
46 U.S.C. 11506................ Carrying of sheath 65
knives.
46 U.S.C. 12122(a)............. Identification of 11,000
vessels.
46 U.S.C. 12122(c)............. Vessel Documentation... 110,000
46 U.S.C. 12309(b)............. Numbering of 1,100
undocumented vessels.
46 U.S.C. 12507(b)............. Vessel identification 11,000
system.
46 U.S.C. 14701................ Measurement of vessels. 27,000
46 U.S.C. 14701................ Registry/recording: 27,000
tonnage.
46 U.S.C. 14702................ Measurement/false 27,000
statements.
46 U.S.C. 31309................ Instruments and liens.. 11,000
49 U.S.C. 5123(a)(1)**......... Hazardous materials-- 32,500
related to vessels.
------------------------------------------------------------------------
* The penalty amounts listed in this column include penalties that were
adjusted in 1997 and 2003; some penalties that were adjusted in 1997
did not qualify for an adjustment this year according to the rounding
rules. However, we decided to include the adjusted 1997 penalties that
were not adjusted in 2003 to show the comprehensive list of civil
penalties.
** 49 U.S.C. 5123(a)(1) was formerly 49 U.S.C. 1809(a)(1).
Dated: December 5, 2003.
L.L. Hereth,
Rear Admiral, Coast Guard, Acting Assistant Commandant for Marine
Safety, Security and Environmental Protection.
[FR Doc. 03-31491 Filed 12-22-03; 8:45 am]
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