Title 14: Aeronautics and Space
PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES
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Subpart H—Civil Monetary Penalty Inflation Adjustment
Source: Docket No. 28762, 61 FR 67445, Dec. 20, 1996, unless otherwise noted.
§ 13.301 Scope and purpose.
(a) This subpart provides a mechanism for the regular adjustment for inflation of civil monetary penalties in conformity with the Federal Civil Penalties Inflation Adjustment Act of 1990, 28 U.S.C. 2461 (note), as amended by the Debt Collection Improvement Act of 1996, Public Law 104–134, April 26, 1996, in order to maintain the deterrent effect of civil monetary penalties and to promote compliance with the law. This subpart also sets out the current adjusted maximum civil monetary penalties or range of minimum and maximum civil monetary penalties for each statutory civil penalty subject to the FAA's jurisdiction.
(b) Each adjustment to the maximum civil monetary penalty or the range of minimum and maximum civil monetary penalties, as applicable, made in accordance with this subpart applies prospectively from the date it becomes effective to actions initiated under this part, notwithstanding references to a specific maximum civil monetary penalty or range of minimum and maximum civil monetary penalties contained elsewhere in this part.
§ 13.303 Definitions.
(a) Civil Monetary Penalty means any penalty, fine, or other sanction that:
(1) Is for a specific monetary amount as provided by Federal law or has a maximum amount provided by Federal law;
(2) Is assessed or enforced by the FAA pursuant to Federal law; and
(3) Is assessed or enforced pursuant to an administrative proceeding or a civil action in the Federal courts.
(b) Consumer Price Index means the Consumer Price Index for all urban consumers published by the Department of Labor.
§ 13.305 Cost of living adjustments of civil monetary penalties.
(a) Except for the limitation to the initial adjustment to statutory maximum civil monetary penalties or range of minimum and maximum civil monetary penalties set forth in paragraph (c) of this section, the inflation adjustment under this subpart is determined by increasing the maximum civil monetary penalty or range of minimum and maximum civil monetary penalty for each civil monetary penalty by the cost-of-living adjustment. Any increase determined under paragraph (a) of this section is rounded to the nearest:
(1) Multiple of $10 in the case of penalties less than or equal to $100;
(2) Multiple of $100 in the case of penalties greater than $100 but less than or equal to $1,000;
(3) Multiple of $1,000 in the case of penalties greater than $1,000 but less than or equal to $10,000;
(4) Multiple of $5,000 in the case of penalties greater than $10,000 but less than or equal to $100,000;
(5) Multiple of $10,000 in the case of penalties greater than $100,000 but less than or equal to $200,000; and
(6) Multiple of $25,000 in the case of penalties greater than $200,000.
(b) For purposes of paragraph (a) of this section, the term “cost-of-living adjustment” means the percentage (if any) for each civil monetary penalty by which the Consumer Price Index for the month of June of the calendar year preceding the adjustment exceeds the Consumer Price Index for the month of June of the calendar year in which the amount of such civil monetary penalty was last set or adjusted pursuant to law.
(c) Limitation on initial adjustment. The initial adjustment of a civil monetary penalty under this subpart does not exceed 10 percent of the civil penalty amount.
(d) Inflation adjustment. Minimum and maximum civil monetary penalties within the jurisdiction of the FAA are adjusted for inflation as follows: Minimum and Maximum Civil Penalties-Adjusted for Inflation.
Table 1._Table of Mimimum and Maximum Civil Monetary Penalty Amounts for Certain Violations Before December 12, 2003, and for Hazardous Materials Violations Before August 10, 2005-------------------------------------------------------------------------------------------------------------------------------------------------------- Maximum penalty Civil monetary New adjusted mimimum amount when last set New or adjusted United States Code citation penalty description Mimimum penalty amount penalty amount or adjusted pursuant maximum penalty to law amount--------------------------------------------------------------------------------------------------------------------------------------------------------49 U.S.C. 5123(a).................. Violation of hazardous $250 per violation, Same................. $30,000 per Same. materials last set 1990. violation, adjusted transportation law, 3/13/02. regulation, or order.49 U.S.C. 46301(a)(1).............. Violation under 49 N/A................... N/A.................. $1,100 per violation, Same. U.S.C. 46301(a)(1). adjusted 1/21/1997.49 U.S.C. 46301(a)(2).............. Violations under 49 N/A................... N/A.................. $11,000 per Same. U.S.C. (a)(2)(A) or violation, adjusted (B) by a person 1/21/1997. operating an aircraft for the transportation of passengers or property for compensation (except an airman serving as an airman).49 U.S.C. 46301(a)(3)(A)........... Violation under 498 N/A................... N/A.................. $11,000 per Same. U.S.C. 46301(a)(1) violation, adjusted related to the 1/21/1997. transportation of hazardous materials.49 U.S.C. 46301(a)(3)(B)........... Violation related to N/A................... N/A.................. $11,000 per Same. the registration or violation, adjusted recordation under 49 1/21/1997. U.S.C. chapter 441 of an aircraft not used to provide air transportation.49 U.S.C. 46301(a)(3)(C)........... Violation of 49 U.S.C. N/A................... N/A.................. $10,000 per Same. 44718(d) relating to violation, set 10/9/ limiting construction 1996. or establishment of landfills.49 U.S.C. 46301(a)(3)(D)........... Violation of 49 U.S.C. N/A................... N/A.................. $10,000, set 4/5/2000 Same. 44725 relating to the safe disposal of life- limited aircraft parts.49 U.S.C. 46301(a)(5).............. Violation of 49 U.S.C. N/A................... N/A.................. Increase above Same. 47107(b) (or any otherwise applicable assurance made under maximum amount not such section) or 49 to exceed 3 times U.S.C. 47133. the amount of revenues that are used in violation of such section.49 U.S.C. 46301(b)................. Tampering with a smoke N/A................... N/A.................. $2,200, adjusted 1/21/ Same. alarm device. 1997.49 U.S.C. 46302(a)................. Knowingly providing N/A................... N/A.................. $11,000, adjusted 1/ Same. false information 21/1997. about alleged violation involving the special aircraft jurisdiction of the United States.49 U.S.C. 46303.................... Carrying a concealed N/A................... N/A.................. $11,000, adjusted 1/ Same. dangerous weapon. 21/1997.49 U.S.C. 46318.................... Interference with N/A................... N/A.................. $25,000, set 4/5/2000 Same. cabin or flight crew.49 U.S.C. 47531.................... Violation of 49 U.S.C. N/A................... N/A.................. See 49 U.S.C. Same. 47528-47530 relating 46301(a)(1) and to the prohibition of (a)(2), above. operating certain aircraft not complying with stage 3 noise levels.--------------------------------------------------------------------------------------------------------------------------------------------------------\1\ FAA prosecutes violations under this section that occurred before February 17, 2002.
Table 2._Table of Minimum and Maximum Civil Monetary Penalty Amounts for Certain Violations Occurring on or After December 12, 2003---------------------------------------------------------------------------------------------------------------- Maximum penalty Civil monetary Minimum penalty amount when last set New or maximum United States Code citation penalty description amount or adjusted pursuant penalty amount to law----------------------------------------------------------------------------------------------------------------49 U.S.C. 46301(a)(1)......... Violation by person N/A............. $25,000 per No change. other than violation, reset 12/ individual or small 12/2003. business concern under 49 U.S.C. 46301(a)(1)(A) or (B).49 U.S.C. 46301(a)(1)......... Violation by airman N/A............. $1,100 per violation, No change. serving as airman reset 12/12/2003. under 49 U.S.C. 46301(a)(1)(A) or (B) (but not covered by 46301(a)(5)(A) or (B)).49 U.S.C. 46301(a)(1)......... Violation by N/A............. $1,100 per violation, No change. individual or small reset 12/12/2003. business concern under 49 U.S.C. 46301(a)(1)(A) or (B) (but not covered in 46301(a)(5)).49 U.S.C. 46301(a)(3)......... Violation of 49 N/A............. Increase above No change. U.S.C. 47107(b) (or otherwise applicable any assurance made maximum amount not under such section) to exceed 3 times or 49 U.S.C. 47133. the amount of revenues that are used in violation of such section.49 U.S.C. 46301(a)(5)(A)...... Violation by an N/A............. $10,000 per $11,000 per individual or small violation, reset 12/ violation.\1\ business concern 12/2003. (except an airman serving as an airman) under 49 U.S.C. 46301(a)(5)(A)(i) or (ii).49 U.S.C. 46301(a)(5)(B)(i)... Violation by an N/A............. $10,000 per $11,000 per individual or small violation, reset 12/ violation.\1\ business concern 12/2003. under 49 U.S.C. 46301(a)(1) related to the transportation of hazardous materials.49 U.S.C. 46301(a)(5)(B)(ii).. Violation by an N/A............. $10,000 per $11,000 per individual or small violation, reset 12/ violation.\1\ business concern 12/2003. related to the registration or recordation under 49 U.S.C. chapter 441, of an aircraft not used to provide air transportation.49 U.S.C. 46301(a)(5)(B)(iii). Violation by an N/A............. $10,000 per $11,000 per individual or small violation, reset 12/ violation.\1\ business concern of 12/2003. 49 U.S.C. 44718(d) relating to limitation on construction or establishment of landfills.49 U.S.C. 46301(a)(5)(B)(iv).. Violation by an N/A............. $10,000 per $11,000 per individual or small violation, reset 12/ violation.\1\ business concern of 12/2003. 49 U.S.C. 44725 relating to the safe disposal of life- limited aircraft parts.49 U.S.C. 46301(b)............ Tampering with a N/A............. $2,200 per violation, No change. smoke alarm device. adjusted 1/21/1997.49 U.S.C. 46302............... Knowingly providing N/A............. $11,000 per No change. false information violation, adjusted about alleged 1/21/1997. violation involving the special aircraft jurisdiction of the United States.49 U.S.C. 46318............... Interference with N/A............. $25,000 per $27,500 per cabin or flight crew. violation, set 4/5/ violation.\2\ 2000.49 U.S.C. 46319............... Permanent closure of N/A............. $10,000 per day, set $11,000 per an airport without 12/12/2003. day.\1\ providing sufficient notice.49 U.S.C. 47531............... Violation of 49 N/A............. See 49 U.S.C. No change. U.S.C. 47528-47530, 46301(a)(1) and or regulation (a)(5)(A), above. prescribed or order issued under those sections, relating to the prohibition of operating certain aircraft not complying with stage 3 noise levels.----------------------------------------------------------------------------------------------------------------\1\ The maximum penalty for a violation from 12/12/2003 until 6/15/2006 is $10,000.\2\ The maximum penalty for a violation from 4/5/2000 until 6/15/2006 is $25,000.
Table 3._Table of Minimum and Maximum Civil Monetary Penalty Amounts for Hazardous Materials Violations Occurring on or After August 10, 2005---------------------------------------------------------------------------------------------------------------- Civil monetary penalty United States Code citation description Minimum penalty amount Maximum penalty amount----------------------------------------------------------------------------------------------------------------49 U.S.C. 5123(a): Subparagraph (1)............... Violation of hazardous $250 per violation, $50,000 per violation, materials transportation reset 8/10/2005. set 8/10/2005. law, regulation, order, special permit or approval_general. Subparagraph (2)............... Violation of hazardous $250 per violation, $100,000 per materials transportation reset 8/10/2005. violation, set 8/10/ law, regulation, order, 2005. special permit or approval_results in death, serious illness, severe injury, or substantial property destruction. Subparagraph (3)............... Violation of hazardous $450 per violation, $50,000 per violation, materials transportation set 8/10/2005. set 8/10/2005. law, regulation, order, special permit or approval_training violation.----------------------------------------------------------------------------------------------------------------
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[61 FR 67445, Dec. 20, 1996, as amended by Amdt. 13–28, 62 FR 4134, Jan. 29, 1997; 67 FR 6366, Feb. 11, 2002; 71 FR 28522, May 16, 2006; 71 FR 47077, Aug. 16, 2006]
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