[Federal Register Volume 62, Number 67 (Tuesday, April 8, 1997)]
[Rules and Regulations]
[Pages 16695-16703]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-8781]
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DEPARTMENT OF TRANSPORTATION
Coast Guard
33 CFR Parts 5, 26, 27, 95, 100,110, 130, 136, 138, 140, 151, 153,
177
46 CFR Part 2
[CGD 96-052]
RIN 2105-AC63
Civil Money Penalties Inflation Adjustments
AGENCY: Coast Guard, DOT.
ACTION: Final rule.
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SUMMARY: In accordance with the Federal Civil Monetary Penalty
Inflation Adjustment Act of 1990, as amended by the Debt Collection
Improvement Act of 1996, this final rule incorporates inflation
adjustments for civil money penalties.
[[Page 16696]]
DATES: This rule is effective on May 7, 1997.
ADDRESSES: Unless otherwise indicated, documents referred to in this
preamble are available for inspection or copying at the office of the
Executive Secretary, Marine Safety Council (G-LRA/3406), U.S. Coast
Guard Headquarters, 2100 Second Street SW., room 3406, Washington, DC
20593-0001 between 9:30 a.m. and 2 p.m., Monday through Friday, except
Federal holidays. The telephone number is (202) 267-1477.
FOR FURTHER INFORMATION CONTACT:
Mr. Greg Parks, Office of Regulations and Administrative Law, at (202)
267-2830.
SUPPLEMENTARY INFORMATION:
The Debt Collection Improvement Act of 1996
In an effort to maintain the remedial impact of civil money
penalties (CMPs) and promote compliance with the law, Congress amended
the Federal Civil Monetary Penalty Inflation Adjustment Act of 1990
(Pub. L. 101-410) with the Debt Collection Improvement Act of 1996
(DCIA) (Pub. L. 104-134). The DCIA requires Federal agencies to adjust
certain CMPs to account for inflation. As amended, the law requires
each agency to make an initial inflationary adjustment for each
applicable CMP, and to make further adjustments at least once every 4
years thereafter for these penalty amounts.
The Debt Collection Improvement Act of 1996 further stipulates that
any resulting increase in a CMP due to the calculated inflation
adjustment (i) should apply only to a violation that occurs after
October 23, 1996--the Act's effective date--and (ii) should not exceed
10 percent of the penalty indicated. CMPs that fall under the Internal
Revenue Code of 1986; the Tariff Act of 1930; the Occupational Safety
and Health Act of 1970; and the Social Security Act; are exempt from
the requirements of the Act.
Method of Calculation
Under the Act, the inflation adjustment for each applicable CMP is
determined by increasing the maximum CMP amount per violation by a
cost-of-living adjustment. The cost-of-living adjustment equals the
percentage difference between the Consumer Price Index (CPI) for the
calendar year preceding the adjustment, and the CPI for the calendar
year in which the amount of the CMP was last set in accordance with the
law. Any increase calculated under this adjustment is subject to a
specific rounding formula set forth in the Act. Since the Coast Guard's
penalties have never previously been adjusted for inflation, this first
statutorily required adjustment will be limited to ten percent for
every penalty. Table A below sets forth each CMP provision which is
being increased and shows the intermediate calculations performed to
arrive at the adjusted final maximum penalty contained in the last
column.
Table A.--Summary of Civil Monetary Penalty Inflation Adjustment Calculations
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Maximun Maximun
Maximum penalty penalty
Year Maximum penalty amount amount
Civil monetary penalty penalty penalty Inflation increase after after P.L.
U.S. Code citation description amount was amount set factor after P.L. increase 101-410
last set by by law as calculation 101-410 and P.L. rounding
law of 10/23/96 rounding 101-410 and 10%
rounding limit
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14 U.S.C. 88(c)............................ Saving Life and Property..... 1990 $5,000 458.7/389.1 $1,000 $6,000 $5,500
14 U.S.C. 645(h)........................... Confidentiality of Medical 1992 3,000 458.7/419.9 0 3,000 3,000
Quality Assurance Records
(first offense).
14 U.S.C. 645(h)........................... Confidentiality of Medical 1992 20,000 458.7/419.9 2,000 22,000 22,000
Quality Assurance Records
(subsequent offense).
33 U.S.C. 471.............................. Anchorage Ground/Harbor 1983 100 458.7/298.1 50 150 110
Regulations General.
33 U.S.C. 474.............................. Anchorage Ground/Harbor 1968 200 458.7/97.1 700 900 220
Regulations St. Mary's River.
33 U.S.C. 495.............................. Bridges/Failure to Comply 1983 1,000 458.7/298.1 500 1,500 1,100
with Regulations.
33 U.S.C. 499.............................. Bridges/Drawbridges.......... 1988 1,000 458.7/353.5 300 1,300 1,100
33 U.S.C. 502.............................. Bridges/Failure to Alter 1982 1,000 458.7/290.6 600 1,600 1,100
Bridge Obstructing
Navigation.
33 U.S.C. 533.............................. Bridges/Maintenance & 1983 1,000 458.7/298.1 500 1,500 1,100
Operation.
33 U.S.C. 1208(a).......................... Bridge to Bridge 1971 500 458.7/121.5 1,400 1,900 550
Communication.
33 U.S.C. 1208(b).......................... Bridge to Bridge 1971 500 458.7/121.5 1,400 1,900 550
Communication.
33 U.S.C. 1232............................. PWSA Regulations............. 1990 25,000 458.7/389.1 5,000 30,000 27,500
33 U.S.C. 1236(b).......................... Vessel Navigation: Regattas 1990 5,000 458.7/389.1 1,000 6,000 5,500
or Marine Parades.
33 U.S.C. 1236(c).......................... Vessel Navigation: Regattas 1990 5,000 458.7/389.1 1,000 6,000 5,500
or Marine Parades.
33 U.S.C. 1236(d).......................... Vessel Navigation: Regattas 1990 2,500 458.7/389.1 0 2,500 2,500
or Marine Parades.
33 U.S.C. 1319(d).......................... Pollution Prevention......... 1987 25,000 458.7/340.1 10,000 35,000 27,500
33 U.S.C. 1319(a)(2)(A).................... Pollution Prevention (per 1987 10,000 458.7/340.1 3,000 13,000 11,000
violation).
[[Page 16697]]
33 U.S.C. 1319(g)(2)(A).................... Pollution Prevention (total 1987 25,000 458.7/340.1 10,000 35,000 27,500
under subparagraph).
33 U.S.C. 1319(g)(2)(B).................... Pollution Prevention (per day 1987 10,000 458.7/340.1 3,000 13,000 11,000
of violation).
33 U.S.C. 1319(g)(2)(B).................... Pollution Prevention (total 1987 125,000 458.7/340.1 40,000 165,000 137,500
under subparagraph).
33 U.S.C. 1321(b)(6)(B)(i)................. Oil/Hazardous Substances: 1990 10,000 458.7/389.1 2,000 12,000 11,000
Discharges (per violation).
33 U.S.C. 3121(b)(6)(B)(i)................. Oil/Hazardous Substances: 1990 25,000 458.7/389.1 5,000 30,000 27,500
Discharges (total under
paragraph).
33 U.S.C. 1321(b)(6)(B)(ii)................ Oil/Hazardous Substances: 1990 10,000 458.7/389.1 2,000 12,000 11,000
Discharges (per day of
violation.
33 U.S.C. 1321(b)(6)(B)(ii)................ Oil/Hazardous Substances: 1990 125,000 458.7/389.1 20,000 145,000 137,500
Discharges (total under
paragraph).
33 U.S.C. 1321(b)(7)(A).................... Oil/Hazardous Substances: 1990 25,000 458.7/389.1 5,000 30,000 27,500
Discharges (per day of
violation.
33 U.S.C. 1321(b)(7)(A).................... Oil/Hazardous Substances: 1990 1,000 458.7/389.1 200 1,200 1,100
Discharges (per barrel of
oil or unit of hazsub
discharged).
33 U.S.C. 1321(b)(7)(B).................... Oil/Hazardous Substances: 1990 25,000 458.7/389.1 5,000 30,000 27,500
Discharges.
33 U.S.C. 1321(b)(7)(C).................... Oil/Hazardous Substances: 1990 25,000 458.7/389.1 5,000 30,000 27,500
Discharges.
33 U.S.C. 1321(b)(7)(D).................... Oil/Hazardous Substances: 1990 3,000 458.7/389.1 1,000 4,000 3,300
Discharges (per barrel of
oil or unit of hazsub
discharged).
33 U.S.C. 1321(j).......................... Oil/Hazardous Substances 1990 25,000 458.7/389.1 5,000 30,000 27,500
Prevention Regulations.
33 U.S.C. 1322(j).......................... Marine Sanitation Devices.... 1987 2,000 458.7/340.1 1,000 3,000 2,200
33 U.S.C. 1322(j).......................... Marine Sanitation Devices.... 1987 5,000 458.7/340.1 2,000 7,000 5,500
33 U.S.C. 1517(a).......................... Deepwater Ports Regulations.. 1989 10,000 458.7/371.7 2,000 12,000 11,000
33 U.S.C. 1608(a).......................... International Regulations.... 1980 5,000 458.7/247.6 4,000 9,000 5,500
33 U.S.C. 1608(b).......................... International Regulations.... 1980 5,000 458.7/247.6 4,000 9,000 5,500
33 U.S.C. 1908(b)(1)....................... Pollution from Ships......... 1980 25,000 458.7/247.6 20,000 45,000 27,500
33 U.S.C. 1908(b)(2)....................... Pollution from Ships......... 1980 5,000 458.7/247.6 4,000 9,000 5,500
33 U.S.C. 2072(a).......................... Inland Navigation Rules...... 1980 5,000 458.7/247.6 4,000 9,000 5,500
33 U.S.C. 2072(b).......................... Inland Navigation Rules...... 1980 5,000 458.7/247.6 4,000 9,000 5,500
33 U.S.C. 2609(a).......................... Shore Protection............. 1988 25,000 458.7/353.6 5,000 30,000 27,500
33 U.S.C. 2609(b).......................... Shore Protection............. 1988 10,000 458.7/353.6 3,000 13,000 11,000
33 U.S.C. 2716a(a)......................... Oil Pollution Liability and 1990 25,000 458.7/389.1 5,000 30,000 27,500
Compensation.
46 U.S.C. App 1805(c)(2)................... Suspension of Passenger 1986 50,000 458.7/327.9 20,000 70,000 55,000
Service.
46 U.S.C. 2302(a).......................... Negligent Operations......... 1990 1,000 458.7/389.1 200 1,200 1,100
46 U.S.C. 2302(c)(1)....................... Negligent Operations......... 1990 1,000 458.7/389.1 200 1,200 1,100
46 U.S.C. 2306(a)(2)(B)(4)................. Vessel Reporting 1984 5,000 458.7/310.7 2,000 7,000 5,500
Requirements: Owner.
46 U.S.C. 2306(b)(2)....................... Vessel Reporting 1984 1,000 458.7/310.7 500 1,500 1,100
Requirements: Master.
46 U.S.C. 3102(c)(1)....................... Immersion Suits.............. 1988 5,000 458.7/353.6 1,000 6,000 5,500
46 U.S.C. 3302(j)(5)....................... Inspection Permit............ 1986 1,000 458.7/327.9 400 1,400 1,100
46 U.S.C. 3318(a).......................... Vessel Inspection............ 1990 5,000 458.7/389.1 1,000 6,000 5,500
46 U.S.C. 3318(g).......................... Vessel Inspection............ 1990 5,000 458.7/389.1 1,000 6,000 5,500
46 U.S.C. 3318(h).......................... Vessel Inspection............ 1990 1,000 458.7/389.1 200 1,200 1,100
46 U.S.C. 3318(i).......................... Vessel Inspection............ 1990 1,000 458.7/389.1 200 1,200 1,100
46 U.S.C. 3318(j)(1)....................... Vessel Inspection............ 1990 10,000 458.7/389.1 2,000 12,000 11,000
46 U.S.C. 3318(j)(1)....................... Vessel Inspection............ 1990 2,000 458.7/389.1 0 2,000 2,000
46 U.S.C. 3318(k).......................... Vessel Inspection............ 1990 10,000 458.7/389.1 2,000 12,000 11,000
[[Page 16698]]
46 U.S.C. 3318(l).......................... Vessel Inspection............ 1990 5,000 458.7/389.1 1,000 6,000 5,500
46 U.S.C. 3502(e).......................... List/Count of Passengers..... 1983 100 458.7/298.1 50 150 110
46 U.S.C. 3504(c).......................... Notification to Passengers... 1983 10,000 458.7/298.1 5,000 15,000 11,000
46 U.S.C. 3504(c).......................... Notification to Passengers... 1983 500 458.7/298.1 300 800 550
46 U.S.C. 3506............................. Copies of Laws on Passenger 1983 200 458.7/298.1 100 300 220
Vessels.
46 U.S.C. 3718(a)(1)....................... Dangerous Cargo Carriage..... 1990 25,000 458.7/389.1 5,000 30,000 27,500
46 U.S.C. 4106............................. Uninspected Vessels.......... 1988 5,000 458.7/353.6 1,000 6,000 5,500
46 U.S.C. 4311(b).......................... Recreational Vessels......... 1984 100,000 458.7/310.7 45,000 145,000 110,000
46 U.S.C. 4311(b).......................... Recreational Vessels......... 1984 2,000 458.7/310.7 1,000 3,000 2,200
46 U.S.C. 4311(c).......................... Recreational Vessels......... 1984 1,000 458.7/310.7 500 1,500 1,100
46 U.S.C. 4507............................. Vessel Inspection............ 1988 5,000 458.7/353.6 1,000 6,000 5,500
46 U.S.C. 5116(a).......................... Load Lines................... 1990 5,000 458.7/389.1 1,000 6,000 5,500
46 U.S.C. 5116(b).......................... Load Lines................... 1990 10,000 458.7/389.1 2,000 12,000 11,000
46 U.S.C. 5116(c).......................... Load Lines................... 1990 5,000 458.7/389.1 1,000 6,000 5,500
46 U.S.C. 6103(a).......................... Reporting Marine Casualties.. 1988 1,000 458.7/353.6 300 1,300 1,100
46 U.S.C. 6103(b).......................... Reporting Marine Casualties.. 1988 5,000 458.7/353.6 1,000 6,000 5,500
46 U.S.C. 8101(e).......................... Manning of Inspected Vessels. 1990 1,000 458.7/389.1 200 1,200 1,100
46 U.S.C. 8101(f).......................... Manning of Inspected Vessels. 1990 10,000 458.7/389.1 2,000 12,000 11,000
46 U.S.C. 8101(g).......................... Manning of Inspected Vessels. 1990 10,000 458.7/389.1 2,000 12,000 11,000
46 U.S.C. 8102(a).......................... Watchmen on Passenger Vessels 1984 1,000 458.7/310.7 500 1,500 1,100
46 U.S.C. 8103(f).......................... Citizenship Requirements..... 1988 500 458.7/353.6 100 600 550
46 U.S.C. 8104(i).......................... Watches on Vessels........... 1990 10,000 458.7/389.1 2,000 12,000 11,000
46 U.S.C. 8104(j).......................... Watches on Vessels........... 1990 10,000 458.7/389.1 2,000 12,000 11,000
46 U.S.C. 8302(e).......................... Staff Department on Vessels.. 1985 100 458.7/322.3 40 140 110
46 U.S.C. 8304(d).......................... Officer's Competency 1983 100 458.7/298.1 50 150 110
Certificates.
46 U.S.C. 8502(e).......................... Coastwise Pilotage........... 1990 10,000 458.7/389.1 2,000 12,000 11,000
46 U.S.C. 8502(f).......................... Coastwise Pilotage........... 1990 10,000 458.7/389.1 2,000 12,000 11,000
46 U.S.C. 8503............................. Federal Pilots............... 1990 25,000 458.7/389.1 5,000 30,000 27,500
46 U.S.C. 8701(d).......................... Merchant Mariners Documents.. 1986 500 458.7/327.9 200 700 550
46 U.S.C. 8702(e).......................... Crew Requirements............ 1990 10,000 458.7/389.1 2,000 12,000 11,000
46 U.S.C. 8906............................. Small Vessel Manning......... 1983 1,000 458.7/298.1 500 1,500 1,100
46 U.S.C. 9308(a).......................... Pilotage: Great Lakes........ 1990 10,000 458.7/389.1 2,000 12,000 11,000
46 U.S.C. 9308(b).......................... Pilotage: Great Lakes........ 1990 10,000 458.7/389.1 2,000 12,000 11,000
46 U.S.C. 9308(c).......................... Pilotage: Great Lakes........ 1990 10,000 458.7/389.1 2,000 12,000 11,000
46 U.S.C. 10104(b)......................... Failure to Report Sexual 1989 5,000 458.7/371.7 1,000 6,000 5,500
Offense.
46 U.S.C. 10307............................ Posting of Agreements........ 1983 100 458.7/298.1 50 150 110
46 U.S.C. 10308(b)......................... Foreign Engagements by Seamen 1983 100 458.7/298.1 50 150 110
46 U.S.C. 10309(b)......................... Replacement of Lost/Deserted 1983 200 458.7/298.1 100 300 220
Seamen.
46 U.S.C. 10310............................ Discharge of Seamen.......... 1983 50 458.7/298.1 30 80 55
46 U.S.C. 10312(c)......................... Foreign/Intercoastal Voyages. 1983 100 458.7/298.1 50 150 110
46 U.S.C. 10314(a)(2)...................... Pay Advances to Seamen....... 1983 500 458.7/298.1 300 800 550
46 U.S.C. 10314(b)......................... Pay Advances to Seamen....... 1983 500 458.7/298.1 300 800 550
46 U.S.C. 10315(c)......................... Allotments to Seamen......... 1983 500 458.7/298.1 300 800 550
46 U.S.C. 10321............................ Seamen Protection: General... 1983 200 458.7/298.1 100 300 220
46 U.S.C. 10505(b)......................... Advances..................... 1983 500 458.7/298.1 300 800 550
46 U.S.C. 10508(b)......................... Seamen Protection: General... 1983 20 458.7/298.1 10 30 22
46 U.S.C. 10711............................ Effects of Deceased Seamen... 1983 200 458.7/298.1 100 300 220
46 U.S.C. 10902(a)(2)...................... Complaints of Unfitness...... 1983 500 458.7/298.1 300 800 550
[[Page 16699]]
46 U.S.C. 10903(d)......................... Proceedings on Examination of 1983 100 458.7/298.1 50 150 110
Vessel.
46 U.S.C. 10907(b)......................... Permission to Make Complaint. 1983 500 458.7/298.1 300 800 550
46 U.S.C. 11101(f)......................... Accommodations for Seamen.... 1985 500 458.7/322.3 200 700 550
46 U.S.C. 11102(b)......................... Medicine Chests on Vessels... 1983 500 458.7/298.1 300 800 550
46 U.S.C. 11104(b)......................... Destitute Seamen............. 1983 100 458.7/298.1 50 150 110
46 U.S.C. 11105(c)......................... Wages on Discharge........... 1983 500 458.7/298.1 300 800 550
46 U.S.C. 11303(a)......................... Log Books.................... 1983 200 458.7/298.1 100 300 220
46 U.S.C. 11303(b)......................... Log Books.................... 1983 200 458.7/298.1 100 300 220
46 U.S.C. 11303(c)......................... Log Books.................... 1983 150 458.7/298.1 100 250 185
46 U.S.C. 11506............................ Carrying of Sheath Knives.... 1983 50 458.7/298.1 30 80 55
46 U.S.C. 12122(a)......................... Identification of Vessels.... 1986 500 458.7/327.9 200 700 550
46 U.S.C. 12309(b)......................... Numbering of Undocumented 1983 1,000 458.7/298.1 500 1,500 1,100
Vessels.
46 U.S.C. 12507(b)......................... Vessel Identification System. 1988 10,000 458.7/353.6 3,000 13,000 11,000
46 U.S.C. 14701............................ Measurement of Vessels....... 1986 20,000 458.7/327.9 10,000 30,000 22,000
46 U.S.C. 14701............................ Registry/Recording: Tonnage.. 1986 20,000 458.7/327.9 10,000 30,000 22,000
46 U.S.C. 14702............................ Measurement/False Statements. 1986 20,000 458.7/327.9 10,000 30,000 22,000
46 U.S.C. 31309............................ Instruments and Liens........ 1988 10,000 458.7/353.6 3,000 13,000 11,000
49 U.S.C. 1809(a)(1)....................... Hazardous Materials--Relating 1975 10,000 458.7/160.6 18,000 28,000 11,000
to Vessels.
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Future adjustments will also be made in accordance with the
statutory formula. Since today's inflation adjustments are being made
in March 1997, the next scheduled adjustment will cover inflation from
June 1996 to June of the year in which the next adjustment is made. The
Debt Collection Improvement Act requires that penalties be adjusted for
inflation at least once every four years.
This rule also eliminates or revises existing sections of the Code
of Federal Regulations (CFR) which contain civil penalty amounts. These
sections are now obsolete as they contain penalty amounts which have
not been adjusted for inflation in accordance with the Debt Collection
Improvement Act of 1996. The Coast Guard has incorporated all penalty
amounts into a single table for ease of use by the public. Because the
volume of the CFR which contains Title 33 is widely disseminated, the
Coast Guard is placing the table, including all applicable Coast Guard
administered penalties from Titles 33, 46 and 49, in a new part 27
within 33 CFR. The Coast Guard has attempted to include in the table
all penalties covered by the Act. However, due to factors such as
subsequent statutory changes, some penalties may not be included in the
table. If a penalty amount is not included in the table its statutorily
set amount will control.
Waiver of Proposed Rulemaking
In developing this final rule, the Coast Guard is waiving the usual
notice of proposed rulemaking and public comment procedures set forth
in the Administrative Procedure Act (APA) (5 U.S.C. 553). The APA
provides an exception to the notice and comment procedures when an
agency finds there is good cause for dispensing with such procedures on
the bases that they are impracticable, unnecessary or contrary to the
public interest. The Coast Guard has determined that, under 5 U.S.C.
553(b)(3)(B), good cause exists for dispensing with the notice of
proposed rulemaking and public comment procedures for this rule.
Specifically, this rulemaking implements the Debt Collection
Improvement Act of 1996, which leaves the agency no discretion.
Accordingly, the Coast Guard believes that opportunity for prior
comment is unnecessary and is issuing these revised regulations as a
final rule that will apply to all future cases under this authority.
Other administrations with the Department of Transportation have also
followed this procedure.
Assessment
This final rule is exempt from review under Executive Order 12866
because it is limited to the adoption of statutory language without
interpretation.
Small Entities
Under the Regulatory Flexibility Act (5 U.S.C. 601-612) the Coast
Guard is required to assess the impact of regulations on small business
entities. While some penalties may have an impact on small entities, it
is the nature of the violation and not the size of the entity that will
result in an action by the Coast Guard. Moreover, although this rule
increases the maximum penalty that could be assessed, it does not
change the Coast Guard's existing enforcement policies which provide
for consideration of the size of an entity and the economic impact of
the penalty on that entity. The aggregate economic impact of this
rulemaking on small business entities should be minimal. Therefore, the
Coast Guard certifies that this final rule will not have a significant
economic impact on a substantial number of small business entities.
[[Page 16700]]
Assistance for Small Entities
In accordance with section 213(a) of the Small Business Regulatory
Enforcement Fairness Act of 1996 (Pub. L. 104-121), the Coast Guard
will provide assistance to small entities to determine how this rule
applies to them. If you are a small entity against which a civil
penalty has been assessed by the Coast Guard and you need assistance
understanding the provisions of this rule or how it applies to your
circumstances, please bring this issue to the attention of the hearing
officer in your case.
Collection of Information
This rule contains no collection-of-information requirements under
the Paperwork Reduction Act (44 U.S.C. 3501 et seq.).
Federalism
The Coast Guard has analyzed this rule under the principles and
criteria contained in Executive Order 12612 and has determined that
this rule does not have sufficient federalism implications to warrant
the preparation of a Federalism Assessment.
Environment
The Coast Guard considered the environmental impact of this rule
and concluded that, under paragraph 2.B.2 of Commandant Instruction
M16475.1B, (as revised by 59 FR 38654, July 29, 1994), this rule is
categorically excluded from further environmental documentation because
it contains only regulations which are editorial or procedural in
nature. A ``Categorical Exclusion Determination'' is available in the
docket for inspection or copying where indicated under ADDRESSES.
List of Subjects
33 CFR Part 5
Volunteers.
33 CFR Part 26
Communications equipment, Marine safety, Radio, Telephone, Vessels.
33 CFR Part 27
Marine safety, Oil pollution, Penalties, Vessels, Waterways.
33 CFR Part 95
Alcohol abuse, Drug abuse, Marine safety, Penalties.
33 CFR Part 100
Marine safety, Navigation (water), Reporting and recordkeeping
requirements, Waterways.
33 CFR Part 110
Anchorage grounds.
33 CFR Part 130
Hazardous materials transportation, Insurance, Oil pollution,
Reporting and recordkeeping requirements, Vessels, Water pollution
control.
33 CFR Part 136
Administrative practice and procedure, Claims, Continental shelf,
Insurance, Oil pollution.
33 CFR Part 138
Insurance, Maritime carriers, Reporting and recordkeeping
requirements, Water pollution control.
33 CFR Part 140
Continental shelf, Investigations, Marine safety, Occupational
safety and health, Penalties, Reporting and recordkeeping requirements.
33 CFR Part 151
Administrative practice and procedure, Oil pollution, Penalties,
Reporting and recordkeeping requirements, Water pollution control.
33 CFR Part 153
Hazardous substances, Oil pollution, Reporting and recordkeeping
requirements, Water pollution control.
33 CFR Part 177
Marine safety.
46 CFR Part 2
Marine safety, Reporting and recordkeeping requirements, Vessels.
For the reasons set out in the preamble, the Coast Guard amends 33
CFR parts 5, 26, 95, 100, 110, 130, 136, 138, 140, 151, 153, and 177;
and 46 CFR part 2; and adds 33 CFR part 27.
Title 33, Chapter I
PART 5--[AMENDED]
1. The authority citation for part 5 is revised to read as follows:
Authority: 14 U.S.C. 633, 892; 49 CFR 1.46.
Sec. 5.67 [Removed]
2. Section 5.67 is removed.
PART 26--[AMENDED]
3. The authority citation for part 26 continues to read as follows:
Authority: 14 U.S.C. 2; 33 U.S.C. 1201-1208; 49 CFR 1.45(b),
1.46; Rule 1, International Regulations for the Prevention of
Collisions at Sea.
Sec. 26.10 [Removed]
4. Section 26.10 is removed.
5. Add a new part 27 to read as follows:
PART 27--ADJUSTMENT OF CIVIL MONETARY PENALTIES FOR INFLATION
Sec.
27.1 Applicability.
27.2 Effective date.
27.3 Penalty Adjustment Table.
Authority: Pub. L. 101-410, 104 Stat. 890 as amended by Pub. L.
104-134; 49 CFR 1.45, 1.46.
PART 27--ADJUSTMENT OF CIVIL MONETARY PENALTIES FOR INFLATION
Sec. 27.1 Applicability.
This part applies to each statutory provision under the laws
administered by the Coast Guard concerning the maximum civil monetary
penalty which may be assessed in either civil judicial or
administrative proceedings.
Sec. 27.2 Effective date
The increased penalty amounts set forth in this rule apply to all
violations under the applicable statutes and regulations which occur
after May 7, 1997.
Sec. 27.3 Penalty Adjustment Table
The adjusted statutory penalty provisions and their maximum
applicable amounts are set out in Table 1. The last column of the table
provides the newly effective maximum penalty amounts.
Table 1.--Civil Monetary Penalty Inflation Adjustments *
----------------------------------------------------------------------------------------------------------------
New maximum
U.S. Code citation Civil monetary penalty description penalty
amount
----------------------------------------------------------------------------------------------------------------
14 U.S.C. 88(c)............................................ Saving Life and Property.............. $5,500
14 U.S.C. 645(h)........................................... Confidentiality of Medical Quality 3,000
Assurance Records (first offense).
[[Page 16701]]
14 U.S.C. 645(h)........................................... Confidentiality of Medical Quality 22,000
Assurance Records (subsequent
offense).
33 U.S.C. 471.............................................. Anchorage Ground/Harbor Regulations 110
General.
33 U.S.C. 474.............................................. Anchorage Ground/Harbor Regulations 220
St. Mary's River.
33 U.S.C. 495.............................................. Bridges/Failure to Comply with 1,100
Regulations.
33 U.S.C. 499.............................................. Bridges/Drawbridges................... 1,100
33 U.S.C. 502.............................................. Bridges/Failure to Alter Bridge 1,100
Obstructing Navigation.
33 U.S.C. 533.............................................. Bridges/Maintenance & Operation....... 1,100
33 U.S.C. 1208(a).......................................... Bridge to Bridge Communication........ 550
33 U.S.C. 1208(b).......................................... Bridge to Bridge Communication........ 550
33 U.S.C. 1232............................................. PWSA Regulations...................... 27,500
33 U.S.C. 1236(b).......................................... Vessel Navigation: Regattas or Marine 5,500
Parades.
33 U.S.C. 1236(c).......................................... Vessel Navigation: Regattas or Marine 5,500
Parades.
33 U.S.C. 1236(d).......................................... Vessel Navigation: Regattas or Marine 2,500
Parades.
33 U.S.C. 1319(d).......................................... Pollution Prevention.................. 27,500
33 U.S.C. 1319(g)(2)(A).................................... Pollution Prevention (per violation).. 11,000
33 U.S.C. 1319(g)(2)(A).................................... Pollution Prevention (total under 27,500
subparagraph).
33 U.S.C. 1319(g)(2)(B).................................... Pollution Prevention (per day of 11,000
violation).
33 U.S.C. 1319(g)(2)(B).................................... Pollution Prevention (total under 137,500
subparagraph.
33 U.S.C. 1321(b)(6)(B)(i)................................. Oil/Hazardous Substances: Discharges 11,000
(per violation).
33 U.S.C. 1321(b)(6)(B)(i)................................. Oil/Hazardous Substances: Discharges 27,500
(total under paragraph).
33 U.S.C. 1321(b)(6)(B)(ii)................................ Oil/Hazardous Substances: Discharges 11,000
(per day of violation).
33 U.S.C. 1321(b)(6)(B)(ii)................................ Oil/Hazardous Substances: Discharges 137,500
(total under paragraph).
33 U.S.C. 1321(b)(7)(A).................................... Oil/Hazardous Substances: Discharges 27,500
(per day of violation).
33 U.S.C. 1321(b)(7)(A).................................... Oil/Hazardous Substances: Discharges 1,100
(per barrel of oil or unit of hazsub
discharged).
33 U.S.C. 1321(b)(7)(B).................................... Oil/Hazardous Substances: Discharges.. 27,500
33 U.S.C. 1321(b)(7)(C).................................... Oil/Hazardous Substances: Discharges.. 27,500
33 U.S.C. 1321(b)(7)(D).................................... Oil/Hazardous Substances: Discharges 3,300
(per barrel of oil or unit of hazsub
discharged).
33 U.S.C. 1321(j).......................................... Oil/Hazardous Substances Prevention 27,500
Regulations.
33 U.S.C. 1322(j).......................................... Marine Sanitation Devices............. 2,200
33 U.S.C. 1322(j).......................................... Marine Sanitation Devices............. 5,500
33 U.S.C. 1517(a).......................................... Deepwater Ports Regulations........... 11,000
33 U.S.C. 1608(a).......................................... International Regulations............. 5,500
33 U.S.C. 1608(b).......................................... International Regulations............. 5,500
33 U.S.C. 1908(b)(1)....................................... Pollution from Ships.................. 27,500
33 U.S.C. 1908(b)(2)....................................... Pollution from Ships.................. 5,500
33 U.S.C. 2072(a).......................................... Inland Navigation Rules............... 5,500
33 U.S.C. 2072(b).......................................... Inland Navigation Rules............... 5,500
33 U.S.C. 2609(a).......................................... Shore Protection...................... 27,500
33 U.S.C. 2609(b).......................................... Shore Protection...................... 11,000
33 U.S.C. 2716a(a)......................................... Oil Pollution Liability and 27,500
Compensation.
46 U.S.C. App. 1805(c)(2).................................. Suspension of Passenger Service....... 55,000
46 U.S.C. 2302(a).......................................... Negligent Operations.................. 1,100
46 U.S.C. 2302(c)(1)....................................... Negligent Operations.................. 1,100
46 U.S.C. 2306(a)(2)(B)(4)................................. Vessel Reporting Requirements: Owner.. 5,500
46 U.S.C. 2306(b)(2)....................................... Vessel Reporting Requirements: Master. 1,100
46 U.S.C. 3102(c)(1)....................................... Immersion Suits....................... 5,500
46 U.S.C. 3302(j)(5)....................................... Inspection Permit..................... 1,100
46 U.S.C. 3318(a).......................................... Vessel Inspection..................... 5,500
46 U.S.C. 3318(g).......................................... Vessel Inspection..................... 5,500
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..................... 2,000
46 U.S.C. 3318(k).......................................... Vessel Inspection..................... 11,000
46 U.S.C. 3318(l).......................................... Vessel Inspection..................... 5,500
46 U.S.C. 3502(e).......................................... List/Count of Passengers.............. 110
46 U.S.C. 3504(c).......................................... Notification to Passengers............ 11,000
46 U.S.C. 3504(c).......................................... Notification to Passengers............ 550
46 U.S.C. 3506............................................. Copies of Laws on Passenger Vessels... 220
46 U.S.C. 3718(a)(1)....................................... Dangerous Cargo Carriage.............. 27,500
46 U.S.C. 4106............................................. Uninspected Vessels................... 5,500
46 U.S.C. 4311(b).......................................... Recreational Vessels (Maximum for 110,000
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..................... 5,500
46 U.S.C. 5116(a).......................................... Load Lines............................ 5,500
46 U.S.C. 5116(b).......................................... Load Lines............................ 11,000
46 U.S.C. 5116(c).......................................... Load Lines............................ 5,500
46 U.S.C. 6103(a).......................................... Reporting Marine Casualties........... 1,100
46 U.S.C. 6103(b).......................................... Reporting Marine Casualties........... 5,500
[[Page 16702]]
46 U.S.C. 8101(e).......................................... Manning of Inspected Vessels.......... 1,100
46 U.S.C. 8101(f).......................................... Manning of Inspected Vessels.......... 11,000
46 U.S.C. 8101(g).......................................... Manning of Inspected Vessels.......... 11,000
46 U.S.C. 8102(a).......................................... Watchmen on Passenger Vessels......... 1,100
46 U.S.C. 8103(f).......................................... Citizenship Requirements.............. 550
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 Vessels........... 110
46 U.S.C. 8304(d).......................................... Officer's Competency Certificates..... 110
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........................ 27,500
46 U.S.C. 8701(d).......................................... Merchant Mariners Documents........... 550
46 U.S.C. 8702(e).......................................... Crew Requirements..................... 11,000
46 U.S.C. 8906............................................. Small Vessel Manning.................. 1,100
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 Sexual Offense...... 5,500
46 U.S.C. 10307............................................ Posting of Agreements................. 110
46 U.S.C. 10308(b)......................................... Foreign Engagements by Seamen......... 110
46 U.S.C. 10309(b)......................................... Replacement of Lost/Deserted Seamen... 220
46 U.S.C. 10310............................................ Discharge of Seamen................... 55
46 U.S.C. 10312(c)......................................... Foreign/Intercoastal Voyages.......... 110
46 U.S.C. 10314(a)(2)...................................... Pay Advances to Seamen................ 550
46 U.S.C. 10314(b)......................................... Pay Advances to Seamen................ 550
46 U.S.C. 10315(c)......................................... Allotments to Seamen.................. 550
46 U.S.C. 10321............................................ Seamen Protection: General............ 220
46 U.S.C. 10505(b)......................................... Advances.............................. 550
46 U.S.C. 10508(b)......................................... Seamen Protection: General............ 22
46 U.S.C. 10711............................................ Effects of Deceased Seamen............ 220
46 U.S.C. 10902(a)(2)...................................... Complaints of Unfitness............... 550
46 U.S.C. 10903(d)......................................... Proceedings on Examination of Vessel.. 110
46 U.S.C. 10907(b)......................................... Permission to Make Complaint.......... 550
46 U.S.C. 11101(f)......................................... Accommodations for Seamen............. 550
46 U.S.C. 11102(b)......................................... Medicine Chests on Vessels............ 550
46 U.S.C. 11104(b)......................................... Destitute Seamen...................... 110
46 U.S.C. 11105(c)......................................... Wages on Discharge.................... 550
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............................. 185
46 U.S.C. 11506............................................ Carrying of Sheath Knives............. 55
46 U.S.C. 12122(a)......................................... Identification of Vessels............. 550
46 U.S.C. 12309(b)......................................... Numbering of Undocumented Vessels..... 1,100
46 U.S.C. 12507(b)......................................... Vessel Identification System.......... 11,000
46 U.S.C. 14701............................................ Measurement of Vessels................ 22,000
46 U.S.C. 14701............................................ Registry/Recording: Tonnage........... 22,000
46 U.S.C. 14702............................................ Measurement/False Statements.......... 22,000
46 U.S.C. 31309............................................ Instruments and Liens................. 11,000
46 U.S.C. 1809(a)(1)....................................... Hazardous Materials--Relating to 11,000
Vessels.
----------------------------------------------------------------------------------------------------------------
* Table may not include all civil monetary penalties. If penalty is not listed, check applicable statute for
penalty amount.
PART 95--[AMENDED]
6. The authority citation for part 95 is revised to read as
follows:
Authority: 33 U.S.C. 2071; 46 U.S.C. 2302; 49 CFR 1.46.
Sec. 95.055 [Removed]
7. Section 95.055 is removed.
PART 100--[AMENDED]
8. The authority citation for part 100 is revised to read as
follows:
Authority: 33 U.S.C. 1233 through 1236; 49 CFR 1.46; 33 CFR
100.35.
Sec. 100.101 [Amended]
9. In Sec. 100.101, paragraph (c)(12) is removed.
Sec. 100.102 [Amended]
10. In Sec. 100.102, paragraph (c)(5) is removed.
Sec. 100.103 [Amended]
11. In Sec. 100.103, paragraph (c)(7) is removed.
Sec. 100.104 [Amended]
12. In Sec. 100.104, paragraph (c)(9) is removed.
Sec. 100.108 [Amended]
13. In Sec. 100.108, paragraph (b)(6) is removed.
Sec. 100.504 [Amended]
14. In Sec. 100.504, paragraph (c)(5) is removed.
Sec. 100.505 [Amended]
15. In Sec. 100.505, paragraph (c)(7) is removed.
[[Page 16703]]
16. The authority citation for part 110 is revised to read as
follows:
Authority: 33 U.S.C. 471, 1221 through 1236, 2030, 2035, 2071;
49 CFR 1.46 and 33 CFR 1.05-1(g).
Sec. 110.1a [Amended]
17. In Sec. 110.1a, paragraph (b) is removed.
PART 130--[AMENDED]
18. The authority citation for part 130 is revised to read as
follows:
Authority: 33 U.S.C. 2716, 2716a; E.O. 12777, 3 CFR, 1991 Comp.,
p. 351; 49 CFR 1.46.
19. Section 130.14 is revised to read as follows:
Sec. 130.14 Enforcement.
Enforcement actions will be carried out under the provisions of 33
CFR 138.140.
PART 136--[AMENDED]
20. The authority citation for part 136 is revised to read as
follows:
Authority: 31 U.S.C. 3801 through 3812; 33 U.S.C. 2713, 2714;
E.O. 12777, 3 CFR, 1991 Comp., p. 351; 49 CFR 1.46.
Sec. 136.9 Falsification of claims. [Amended]
21. In Sec. 136.9, remove the words ``of up to $5,000''.
PART 138--[AMENDED]
22. The authority citation for part 138 is revised to read as
follows:
Authority: 33 U.S.C. 2716, 2716a; 42 U.S.C. 9608, 9609; sec.
7(b), E.O. 12580, 3 CFR, 1987 Comp., p. 198; E.O. 12777, 3 CFR 1991
Comp., p. 351; 49 CFR 1.46; Sec. 138.30 also issued under the
authority of 46 U.S.C. 2103, 14302.
23. In Sec. 138.140, paragraph (a) is revised to read as follows:
Sec. 138.140 Enforcement.
(a) Any person who fails to comply with this part with respect to
evidence of financial responsibility under section 1016 of OPA 90 (33
U.S.C. 2716) is subject to a civil penalty. In addition, under section
4303(b) of that Act (33 U.S.C. 2716a(b)), the Attorney General may
secure such relief as may be necessary to compel compliance with this
part including termination of operations. Further, any person who fails
to comply with this part with respect to evidence of financial
responsibility under section 108(a)(1) of CERCLA (42 U.S.C.
9608(a)(1)), is subject to a Class I administrative civil penalty and a
Class II administrative civil penalty or judicial penalty.
* * * * *
24. In Sec. 138.140, paragraph (b), remove ``section 4197 of the
Revised Statutes (46 U.S.C. 91)'' and add, in its place ``46 U.S.C.
App. 91''.
* * * * *
PART 140--[AMENDED]
25. The authority citation for part 140 is revised to read as
follows:
Authority: 42 U.S.C. 1333, 1348, 1350, 1356; 49 CFR 1.46.
Sec. 140.35 Sanctions
26. In Sec. 140.35, paragraph (a)(3), remove the words ``of not
more than $10,000''.
PART 151--[AMENDED]
27. The authority citation for part 151 is revised to read as
follows:
Authority: 33 U.S.C. 1321, 1903, 1908; E.O. 12777, 3 CFR, 1991
Comp., p. 351; 49 CFR 1.46.
Sec. 151.04 Penalties for violation
28. In Sec. 151.04, paragraph (a), remove the words ``not to exceed
$25,000''.
29 In Sec. 151.04, paragraph (b), remove the words ``not to exceed
$5,000''.
30. In Sec. 151.59 paragraphs (d)(6) and (e)(2)(ii) are revised to
read as follows:
Sec. 151.59 Placards.
* * * * *
(d) * * *
(6) A person who violates the above requirements is liable for a
civil penalty for each violation, and the criminal penalties of a class
D felony.
* * * * *
(e) * * *
(2) * * *
(ii) A person who violates the above requirements is liable for a
civil penalty for each violation, and the criminal penalties of a class
D felony.
* * * * *
PART 153--[AMENDED]
31. The authority citation for part 153 continues to read as
follows:
Authority: 14 U.S.C. 633; 33 U.S.C. 1321; 42 U.S.C. 9615; E.O.
12580, 3 CFR, 1987 Comp., p. 193; E.O. 12777, 3 CFR, 1991 Comp., p.
351; 49 CFR 1.45 and 1.46.
32. Section 153.307 is revised to read as follows:
Sec. 153.307 Penalties.
Section 311(b)(7)(C) of the Act, as amended, prescribes that any
person who fails or refuses to comply with the provisions of this
subpart is liable for a civil penalty per day of violation.
PART 177--[AMENDED]
33. The authority citation for part 177 is revised to read as
follows:
Authority: 46 U.S.C. 4302, 4311; 49 CFR 1.45 and 1.46.
34. Section 177.09 is revised to read as follows:
Sec. 177.09 Penalties.
An operator of a vessel who does not follow the directions of a
Coast Guard Boarding Officer prescribed in Sec. 177.05 is, in addition
to any other penalty prescribed by law, subject to--
(a) The criminal penalties of 46 U.S.C. 4311, which provides that a
person willfully operating a recreational vessel in violation of 46
U.S.C., Chapter 43 or regulations issued thereunder, shall be fined not
more than $5,000, imprisoned for not more than one year, or both.
(b)(1) The civil penalties for violating 46 U.S.C. 4307(a)(1).
(2) The civil penalties of 46 U.S.C. 4311, which provides that a
person violating any other provision of 43 U.S.C., Chapter 43 or
regulation issued thereunder is liable to the United States Government
for a civil penalty, and, if the violation involves the operation of a
vessel, the vessel is liable in rem for the penalty.
Title 46, Chapter I
PART 2--[AMENDED]
35. The authority citation for part 2 is revised to read as
follows:
Authority: 14 U.S.C. 664; 31 U.S.C. 9701; 33 U.S.C. 1903; 43
U.S.C. 1333, 1356; 46 U.S.C. 2110, 3306, 3703; E.O. 12234, 3 CFR,
1980 Comp., p. 277; E.O. 12777, 3 CFR, 1991 Comp., p. 351; 49 CFR
1.46; Subpart 2.45 also issued under the authority of 64 Stat. 1120.
Sec. 2.10-135 Penalties [Amended]
36. In Sec. 2.10-135, paragraph (a), remove the words ``of not more
than $5,000''.
37. The heading Subpart 2.50 is revised and Sec. 2.50-1 is added to
read as follows:
Subpart 2.50--Penalties
Sec. 2.50-1 Penalty procedures.
Civil and criminal penalty procedures appear in 33 CFR part 1.
Civil monetary penalty amounts are set forth in 33 CFR part 27.
Dated: March 24, 1997.
Paul M. Blayney,
Rear Admiral, U.S. Coast Guard, Chief Counsel.
[FR Doc. 97-8781 Filed 4-7-97; 8:45 am]
BILLING CODE 4910-14-M
