Inflation Adjustment of Civil Monetary Penalties, 66029-66034 [E9-29667]
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66029
Rules and Regulations
Federal Register
Vol. 74, No. 238
Monday, December 14, 2009
This section of the FEDERAL REGISTER
contains regulatory documents having general
applicability and legal effect, most of which
are keyed to and codified in the Code of
Federal Regulations, which is published under
50 titles pursuant to 44 U.S.C. 1510.
The Code of Federal Regulations is sold by
the Superintendent of Documents. Prices of
new books are listed in the first FEDERAL
REGISTER issue of each week.
2. Amend § 400.767 as follows:
a. Revise paragraphs (a)(1)(ii) and
(a)(1)(iii).
■ b. Add a new section (a)(1)(iv) to read
as follows:
§ 400.767
7 CFR Part 400
General Administrative Regulations;
Subpart X—Interpretations of Statutory
and Regulatory Provisions
AGENCY: Federal Crop Insurance
Corporation, USDA.
Final rule; technical correction.
SUMMARY: This document contains a
correction to the e-mail address and fax
number that is currently displayed in
the CFR.
Effective Date: December 14,
2009.
FOR FURTHER INFORMATION CONTACT:
Heyward Baker, Director, Risk
Management Services Division, Federal
Crop Insurance Corporation, telephone
(202) 720–4232.
SUPPLEMENTARY INFORMATION:
This correction is being published to
correct the facsimile and electronic mail
address, and add an overnight delivery
address option for requestor
submissions for final agency
determinations as discussed in
Subpart X.
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List of Subjects in 7 CFR Part 400
Administrative practice and
procedure, crop insurance, reporting
and recordkeeping requirements.
Need for Correction
As currently published, 7 CFR
400.767 contains outdated contact
information. Accordingly, 7 CFR part
400 is corrected by making the
following amendments:
16:24 Dec 11, 2009
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Requester obligations.
(a) * * *
(1) * * *
(ii) By facsimile at (202) 690–9911;
(iii) By electronic mail at
RMA.CCO@rma.usda.gov; or
(iv) By overnight delivery to the
Associate Administrator, Risk
Management Agency, United States
Department of Agriculture, Stop 0801,
Room 6092–S, 1400 Independence
Avenue, SW., Washington DC 20250.
*
*
*
*
*
Signed in Washington, DC, on December 7,
2009.
William J. Murphy,
Manager, Federal Crop Insurance
Corporation.
[FR Doc. E9–29676 Filed 12–11–09; 8:45 am]
BILLING CODE 3410–08–P
DEPARTMENT OF ENERGY
10 CFR Parts 207, 218, 430, 490, 501,
601, 820, 824, 851, 1013, 1017, and
1050
Background
VerDate Nov<24>2008
Authority: 7 U.S.C. 1506(l) and 1506(p).
■
■
Federal Crop Insurance Corporation
DATES:
1. The authority citation for 7 CFR
part 400 continues to read as follows:
■
Subpart X—Interpretations of Statutory
and Regulatory Provisions
DEPARTMENT OF AGRICULTURE
ACTION:
PART 400—GENERAL
ADMINISTRATIVE REGULATIONS
RIN 1990–AA32
Inflation Adjustment of Civil Monetary
Penalties
AGENCY: Office of the General Counsel,
U.S. Department of Energy.
ACTION: Final rule.
SUMMARY: The Department of Energy
(‘‘DOE’’) today publishes this final rule
to adjust DOE’s civil monetary penalties
(‘‘CMPs’’) for inflation as mandated by
the Debt Collection Improvement Act of
1996. This rule adjusts CMPs within the
jurisdiction of DOE to the maximum
extent allowed by the Federal Civil
Penalties Inflation Adjustment Act of
1990, as amended by the Debt
Collection Improvement Act of 1996.
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DATES:
This rule is effective January 13,
2010.
FOR FURTHER INFORMATION CONTACT:
Preeti Chaudhari, U.S. Department of
Energy, Office of the General Counsel,
GC–71, 1000 Independence Avenue,
SW., Washington, DC 20585, (202) 586–
8078.
SUPPLEMENTARY INFORMATION:
I. Background
II. Method of Calculation
III. Summary of Final Rule
IV. Final Rulemaking
V. Regulatory Review
I. Background
In order to preserve the deterrent
effect of civil penalties and foster
compliance with the law, 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 (Pub. L. 104–
134) (‘‘the Act’’), requires Federal
agencies to regularly adjust each CMP
provided by law within the jurisdiction
of the agency. Also, the Act in part
requires each agency to make further
adjustments at least once every four
years.
The Act provides that any increase in
a CMP due to the calculated inflation
adjustments shall apply only to
violations that occur after the date the
increase takes effect and states that the
initial inflation adjustment may not
exceed 10 percent of the existing
penalty.
II. Method of Calculation
Under the Act, the inflation
adjustment for each applicable CMP is
determined by increasing the maximum
civil penalty amount per violation by
the cost-of-living adjustment. The ‘‘costof-living’’ adjustment is defined as the
amount by which the Consumer Price
Index (CPI) for the month of June of the
calendar year preceding the adjustment
exceeds the CPI for the month of June
of the year in which the amount of such
civil penalty was last set or adjusted
pursuant to law. Any calculated
increase under this adjustment 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 $1000 in the case of
penalties greater than $1000 but less
than or equal to $10,000;
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(4) Multiple of $5000 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.
28 U.S.C. 2461 note, sec. 5.
DOE regulation containing civil monetary
penalty
10
10
10
10
10
CFR
CFR
CFR
CFR
CFR
207.7 ....................................................
218.42 ..................................................
430.61 ..................................................
490.604 ................................................
501.181(c) ............................................
10 CFR 601.400 and App A ..............................
10
10
10
10
10
10
10
CFR
CFR
CFR
CFR
CFR
CFR
CFR
820.81 1 ................................................
824.1 and App A ..................................
824.4 and App A ..................................
851.5 and App B 2 ...............................
1013.3 ..................................................
1017.29 (formerly 10 CFR 1017.18) ...
1050.303 ..............................................
III. Summary of Final Rule
The following list summarizes the
existing DOE regulations containing
civil monetary penalties, and the
penalties before and after adjustment.
Before adjustment
After adjustment
$2,750 ...............................................................
$5,500 ...............................................................
$110 ..................................................................
$5,500 ...............................................................
—$27,500 .........................................................
—3.3/mcf ..........................................................
—11/bbl ............................................................
—minimum $11,000 .........................................
—maximum $110,000 ......................................
$110,000 ...........................................................
$100,000 ...........................................................
$100,000 ...........................................................
$70,000 .............................................................
$5,500 ...............................................................
$110,000 ...........................................................
$5,500 ...............................................................
$4,000.
$8,000.
$200.
$8,000.
—$40,000.
—3.3/mcf.
—20/bbl.
—minimum $15,000.
—maximum $150,000.
$150,000.
$110,000.
$110,000.
$75,000.
$8,000.
$150,000.
$8,000.
1 The civil penalties under this section and 10 CFR 851.5 encompass the civil penalty authorized by 50 U.S.C. 2731 (formerly 42 U.S.C.
7274d). Title 50 U.S.C. 2731 establishes a maximum civil penalty of $5,000 per day for failure of any DOE contractor to provide specified training
to individuals it employs who are engaged in hazardous substance response or emergency response at DOE nuclear weapons facilities or for
failure to certify to DOE that such employees are adequately trained pursuant to orders issued by DOE relating to employee safety training. In
corresponding guidance, DOE is today adjusting the civil penalty to a maximum of $5,500 for each day a violation occurs. The adjusted civil penalty is well under the maximum civil penalty provided under 10 CFR 820.81 and 10 CFR 851.5. This footnote shall not be construed as limiting
DOE’s discretion to impose civil penalties for violations of training requirements contained in DOE’s Nuclear Safety Requirements or 10 CFR Part
851, including training requirements relating to hazardous substance response or emergency response at DOE’s nuclear weapons facilities.
2 See footnote 1.
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IV. Final Rulemaking
In accordance with 5 U.S.C. 553(b),
the Administrative Procedure Act, DOE
generally publishes a rule in a proposed
form and solicits public comment on it
before issuing the rule in final.
However, 5 U.S.C. 553(b)(B) provides an
exception to the public comment
requirement if the agency finds good
cause to omit advance notice and public
participation. Good cause is shown
when public comment is
‘‘impracticable, unnecessary, or contrary
to the public interest.’’
DOE finds that providing an
opportunity for public comment prior to
publication of this rule is not necessary
because DOE is carrying out a
ministerial, non-discretionary duty
specified in an Act of Congress. This
rule incorporates requirements
specifically set forth in 28 U.S.C. 2461
note requiring DOE to issue a regulation
implementing inflation adjustments for
all its civil penalty provisions. The
formula for the amount of the penalty
adjustment is prescribed by Congress.
Prior notice and opportunity to
comment are therefore unnecessary in
this case because these changes are not
subject to the exercise of discretion by
DOE. These technical changes, required
by law, do not substantively alter the
existing regulatory framework nor in
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any way affect the terms under which
DOE assesses civil penalties.
V. Regulatory Review
A. Executive Order 12866
Today’s rule has been determined not
to be a significant regulatory action
under Executive Order 12866,
‘‘Regulatory Planning and Review,’’ 58
FR 51735 (October 4, 1993).
Accordingly, this action was not subject
to review under that Executive Order by
the Office of Information and Regulatory
Affairs of the Office of Management and
Budget.
B. National Environmental Policy Act
DOE has determined that this final
rule is covered under the Categorical
Exclusion found in DOE’s National
Environmental Policy Act regulations at
paragraph A.5 of Appendix A to Subpart
D, 10 CFR part 1021, which applies to
rulemaking that amends an existing rule
or regulation which does not change the
environmental effect of the rule or
regulation being amended. Accordingly,
neither an environmental assessment
nor an environmental impact statement
is required.
C. Regulatory Flexibility Act
The Regulatory Flexibility Act (5
U.S.C. 601 et seq.) requires preparation
of an initial regulatory flexibility
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analysis for any rule that by law must
be proposed for public comment. As
discussed above, DOE has determined
that prior notice and opportunity for
public comment is unnecessary and
contrary to the public interest. In
accordance with 5 U.S.C. 604(a), no
regulatory flexibility analysis has been
prepared for today’s rule.
D. Paperwork Reduction Act
This final rule imposes no new
information collection requirements
subject to the Paperwork Reduction Act.
E. Unfunded Mandates Reform Act of
1995
The Unfunded Mandates Reform Act
of 1995 (Pub. L. 104–4) generally
requires Federal agencies to examine
closely the impacts of regulatory actions
on State, local, and tribal governments.
Section 201 excepts agencies from
assessing effects on State, local or tribal
governments or the private sector of
rules that incorporate requirements
specifically set forth in law. Because
this rule incorporates requirements
specifically set forth in 28 U.S.C. 2461
note, DOE is not required to assess its
regulatory effects under Section 201.
Unfunded Mandates Reform Act
sections 202 and 205 do not apply to
today’s action because they apply only
to rules for which a general notice of
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proposed rulemaking is published.
Nevertheless, DOE has determined that
today’s regulatory action does not
impose a Federal mandate on State,
local, or tribal governments or on the
public sector.
F. Treasury and General Government
Appropriations Act, 1999
Section 654 of the Treasury and
General Government Appropriations
Act, 1999 (Pub. L. 105–277) requires
Federal agencies to issue a Family
Policymaking Assessment for any
proposed rule that may affect family
well being. This rule would not have
any impact on the autonomy or integrity
of the family as an institution.
Accordingly, DOE has concluded that it
is not necessary to prepare a Family
Policymaking Assessment.
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G. Executive Order 13132
Executive Order 13132, ‘‘Federalism,’’
64 FR 43255 (August 4, 1999) imposes
certain requirements on agencies
formulating and implementing policies
or regulations that preempt State law or
that have federalism implications.
Agencies are required to examine the
constitutional and statutory authority
supporting any action that would limit
the policymaking discretion of the
States and carefully assess the necessity
for such actions. DOE has examined this
rule and has determined that it would
not preempt State law and would not
have a substantial direct effect on the
States, on the relationship between the
national government and the States, or
on the distribution of power and
responsibilities among the various
levels of government. No further action
is required by Executive Order 13132.
H. Executive Order 12988
With respect to the review of existing
regulations and the promulgation of
new regulations, section 3(a) of
Executive Order 12988, ‘‘Civil Justice
Reform,’’ 61 FR 4729 (February 7, 1996),
imposes on Executive agencies the
general duty to adhere to the following
requirements: (1) Eliminate drafting
errors and ambiguity; (2) write
regulations to minimize litigation; and
(3) provide a clear legal standard for
affected conduct rather than a general
standard and promote simplification
and burden reduction. With regard to
the review required by section 3(a),
section 3(b) of Executive Order 12988
specifically requires that Executive
agencies make every reasonable effort to
ensure that the regulation: (1) Clearly
specifies the preemptive effect, if any;
(2) clearly specifies any effect on
existing Federal law or regulation; (3)
provides a clear legal standard for
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66031
affected conduct while promoting
simplification and burden reduction; (4)
specifies the retroactive effect, if any; (5)
adequately defines key terms; and (6)
addresses other important issues
affecting clarity and general
draftsmanship under any guidelines
issued by the Attorney General. Section
3(c) of Executive Order 12988 requires
Executive agencies to review regulations
in light of applicable standards in
section 3(a) and section 3(b) to
determine whether they are met or it is
unreasonable to meet one or more of
them. DOE has completed the required
review and determined that, to the
extent permitted by law, this rule meets
the relevant standards of Executive
Order 12988.
and is therefore not a significant energy
action. Accordingly, DOE has not
prepared a Statement of Energy Effects.
I. Treasury and General Government
Appropriations Act, 2001
The Treasury and General
Government Appropriations Act, 2001
(44 U.S.C. 3516 note) provides for
agencies to review most disseminations
of information to the public under
guidelines established by each agency
pursuant to general guidelines issued by
OMB. OMB’s guidelines were published
at 67 FR 8452 (February 22, 2002), and
DOE’s guidelines were published at 67
FR 62446 (October 7, 2002). DOE has
reviewed today’s rule under the OMB
and DOE guidelines and has concluded
that it is consistent with applicable
policies in those guidelines.
10 CFR Part 218
J. Executive Order 13211
Executive Order 13211, ‘‘Actions
Concerning Regulations That
Significantly Affect Energy Supply,
Distribution, or Use,’’ 66 FR 28355 (May
22, 2001) requires Federal agencies to
prepare and submit to the OMB, a
Statement of Energy Effects for any
proposed significant energy action. A
‘‘significant energy action’’ is defined as
any action by an agency that
promulgated or is expected to lead to
promulgation of a final rule, and that:
(1) Is a significant regulatory action
under Executive Order 12866, or any
successor order; and (2) is likely to have
a significant adverse effect on the
supply, distribution, or use of energy; or
(3) is designated by the Administrator of
OIRA as a significant energy action. For
any proposed significant energy action,
the agency must give a detailed
statement of any adverse effects on
energy supply, distribution, or use
should the proposal be implemented,
and of reasonable alternatives to the
action and their expected benefits on
energy supply, distribution, and use.
Today’s regulatory action would not
have a significant adverse effect on the
supply, distribution, or use of energy
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K. Congressional Notification
As required by 5 U.S.C. 801, DOE will
submit to Congress a report regarding
the issuance of today’s final rule prior
to the effective date set forth at the
outset of this notice. The report will
state that it has been determined that
the rule is not a ‘‘major rule’’ as defined
by 5 U.S.C. 801(2).
List of Subjects
10 CFR Part 207
Administrative practice and
procedure, Energy, Penalties.
Administrative practice and
procedure, Penalties, Petroleum
allocation.
10 CFR Part 430
Administrative practice and
procedure, Energy conservation.
10 CFR Part 490
Administrative practice and
procedure, Energy conservation,
Penalties.
10 CFR Part 501
Administrative practice and
procedure, Electric power plants,
Energy conservation, Natural gas,
Petroleum.
10 CFR Part 601
Government contracts, Grant
programs, Loan programs, Penalties.
10 CFR Part 820
Administrative practice and
procedure, Government contracts,
Penalties, Radiation protection.
10 CFR Part 824
Government contracts, Nuclear
materials, Penalties, Security measures.
10 CFR Part 851
Civil penalty, Hazardous substances,
Occupational safety and health, Safety,
Reporting and recordkeeping
requirements.
10 CFR Part 1013
Administrative practice and
procedure, Claims, Fraud, Penalties.
10 CFR Part 1017
Administrative practice and
procedure, Government contracts,
National Defense, Nuclear Energy,
Penalties, Security measures.
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Federal Register / Vol. 74, No. 238 / Monday, December 14, 2009 / Rules and Regulations
10 CFR Part 1050
6. Section 430.61 is amended by
revising the first sentence of paragraph
(b) to read as follows:
Authority: 31 U.S.C. 1352; 42 U.S.C. 7254
and 7256; 31 U.S.C. 6301–6308; 28 U.S.C.
2461 note.
§ 430.61
■
■
Decorations, medals, awards, Foreign
relations, Government employees,
Government property, Reporting and
recordkeeping requirements.
Issued in Washington, DC, on December 8,
2009.
Scott Blake Harris,
General Counsel.
For the reasons set forth in the
preamble, DOE amends chapters II, III,
and X of Chapter 10 of the Code of
Federal Regulations as set forth below.
■
Prohibited acts.
*
*
*
*
*
(b) In accordance with section 333 of
the Act, any person who knowingly
violates any provision of paragraph (a)
of this section may be subject to
assessment of a civil penalty of no more
than $200 for each violation. * * *
PART 490—ALTERNATIVE FUEL
TRANSPORTATION PROGRAM
PART 207—COLLECTION OF
INFORMATION
■
1. The authority citation for part 207
continues to read as follows:
Authority: 42 U.S.C. 7191 et seq.; 42
U.S.C. 13201, 13211, 13220, 13251 et seq.
Authority: 15 U.S.C. 787 et seq.; 15 U.S.C.
791 et seq.; E.O. 11790, 39 FR 23185; 28
U.S.C. 2461 note.
■
7. The authority citation for part 490
continues to read as follows:
■
8. Section 490.604 is amended by
revising paragraph (a) to read as follows:
■
§ 490.604
§ 207.7
(a) Civil Penalties. Whoever violates
§ 490.603 of this part shall be subject to
a civil penalty of not more than $8,000
for each violation.
*
*
*
*
*
2. Section 207.7 is amended by
revising the first sentence of paragraph
(c)(1) to read as follows:
Sanctions.
*
*
*
*
*
(c) Civil Penalties. (1) Any person
who violates any provision of this
subpart or any order issued pursuant
thereto shall be subject to a civil penalty
of not more than $4,000 for each
violation. * * *
*
*
*
*
*
Penalties and fines.
PART 501—ADMINISTRATIVE
PROCEDURES AND SANCTIONS
9. The authority citation for part 501
continues to read as follows:
■
PART 218—STANDBY MANDATORY
INTERNATIONAL OIL ALLOCATION
Authority: 42 U.S.C. 7101 et seq.; 42
U.S.C. 8301 et seq.; 42 U.S.C. 8701 et seq.;
E.O. 12009, 42 FR 46267; 28 U.S.C. 2461
note.
3. The authority citation for part 218
continues to read as follows:
■
Authority: 15 U.S.C. 751 et seq.; 15 U.S.C.
787 et seq.; 42 U.S.C. 6201 et seq.; 42 U.S.C.
7101 et seq.; E.O. 11790, 39 FR 23185; E.O.
12009, 42 FR 46267; 28 U.S.C. 2461 note.
§ 501.181
■
Sanctions.
*
*
*
*
(b) Penalties. (1) Any person who
violates any provision of part 218 of this
chapter or any order issued pursuant
thereto shall be subject to a civil penalty
of not more than $8,000 for each
violation.
*
*
*
*
*
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*
PART 430—ENERGY CONSERVATION
PROGRAM FOR CONSUMER
PRODUCTS
5. The authority citation for part 430
continues to read as follows:
■
Authority: 42 U.S.C. 6291–6309; 28 U.S.C.
2461 note.
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Sanctions.
*
§ 601.400
Penalties.
(a) Any person who makes an
expenditure prohibited herein shall be
subject to a civil penalty of not less than
$15,000 and not more than $150,000 for
each such expenditure.
(b) Any person who fails to file or
amend the disclosure form (see
appendix B) to be filed or amended if
required herein, shall be subject to a
civil penalty of not less than $15,000
and not more than $150,000 for each
such failure.
*
*
*
*
*
(e) First offenders under paragraphs
(a) or (b) of this section shall be subject
to a civil penalty of $15,000, absent
aggravating circumstances. Second and
subsequent offenses by persons shall be
subject to an appropriate civil penalty
between $15,000 and $150,000, as
determined by the agency head or his or
her designee.
*
*
*
*
*
■ 13. Appendix A to part 601, is
amended by:
■ a. Revising the last sentence, second
undesignated paragraph, in paragraph
(3) of the section entitled, ‘‘Certification
for Contracts, Grants, Loans, and
Cooperative Agreements’’; and
■ b. Revising the last sentence, second
undesignated paragraph, in the section
entitled, ‘‘Statement for Loan
Guarantees and Loan Insurance.’’
Appendix A to Part 601—Certification
Regarding Lobbying
*
*
*
*
(c) Civil Penalties. (1) Any person
who violates any provisions of the Act
(other than section 402) or any rule or
order thereunder will be subject to the
following civil penalty, which may not
exceed $40,000 for each violation: Any
person who operates a powerplant or
major fuel burning installation under an
exemption, during any 12-calendarmonth period, in excess of that
authorized in such exemption will be
assessed a civil penalty of up to $3.30
for each MCF of natural gas or up to $20
for each barrel of oil used in excess of
that authorized in the exemption.
*
*
*
*
*
Certification for Contracts, Grants, Loans,
and Cooperative Agreements
PART 601—NEW RESTRICTIONS ON
LOBBYING
4. Section 218.42 is amended by
revising paragraph (b)(1) to read as
follows:
■
§ 218.42
10. Section 501.181 is amended by
revising paragraph (c)(1) to read as
follows:
12. Section 601.400 is amended by
revising paragraphs (a), (b) and (e) to
read as follows:
■
11. The authority citation for part 601
continues to read as follows:
Authority: 42 U.S.C. 2201; 2282(a); 7191;
28 U.S.C. 2461 note; 50 U.S.C. 2410.
■
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*
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*
*
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(3) * * *
* * * Any person who fails to file the
required certification shall be subject to a
civil penalty of not less than $15,000 and not
more than $150,000 for each such failure.
Statement for Loan Guarantees and Loan
Insurance
*
*
*
*
*
* * * Any person who fails to file the
required statement shall be subject to a civil
penalty of not less than $15,000 and not more
than $150,000 for each such failure.
PART 820—PROCEDURAL RULES
FOR DOE NUCLEAR ACTIVITIES
14. The authority citation for part 820
continues to read as follows:
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2. Civil Penalty
15. Section 820.81 is amended by
revising the first sentence to read as
follows:
■
§ 820.81
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IX. Enforcement Actions
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PART 824—PROCEDURAL RULES
FOR THE ASSESSMENT OF CIVIL
PENALTIES FOR CLASSIFIED
INFORMATION SECURITY
VIOLATIONS
e. * * * In no instance will a civil penalty
for any one violation exceed the $110,000
statutory limit per violation. * * * Thus, the
per violation cap will not shield a DOE
contractor that is or should have been aware
of an ongoing violation and has not reported
it to DOE and taken corrective action despite
an opportunity to do so from liability
significantly exceeding $110,000. * * *
*
*
*
*
*
*
16. The authority citation for part 824
continues to read as follows:
Authority: 42 U.S.C. 2201, 2282b, 7101 et
seq., 50 U.S.C. 2401 et seq.
*
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*
*
*
*
*
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*
(e) * * *
(1) DOE may assess civil penalties of up to
$75,000 per violation per day on contractors
(and their subcontractors and suppliers) that
are indemnified by the Price-Anderson Act,
42 U.S.C. 2210(d). See 10 CFR 851.5(a).
*
*
d. * * * Based on the degree of such
factors, DOE may escalate the amount of civil
penalties up to the statutory maximum of
$110,000 per violation per day for continuing
violations.
*
*
*
*
*
*
*
*
2. Civil Penalty
3. Adjustment Factors
■
*
1. Notice of Violation
*
Amount of penalty.
Any person subject to a penalty under
42 U.S.C. 2282a shall be subject to a
civil penalty in an amount not to exceed
$150,000 for each such violation. * * *
66033
*
*
*
(f) * * * In no instance will a civil penalty
for any one violation exceed the statutory
limit of $75,000 per day. * * *
*
*
*
*
*
PART 1013—PROGRAM FRAUD CIVIL
REMEDIES AND PROCEDURES
17. Section 824.1 is amended by
revising the second sentence to read as
follows:
PART 851—WORKER SAFETY AND
HEALTH PROGRAM
■
§ 824.1
■
20. The authority citation for part 851
continues to read as follows:
Authority: 31 U.S.C. 3801–3812; 28 U.S.C.
2461 note.
Authority: 42 U.S.C. 2201(i)(3), (p); 42
U.S.C. 2282c; 42 U.S.C. 5801 et seq.; 42
U.S.C. 7101 et seq.; 50 U.S.C. 2401 et seq.
■
21. Section 851.5 is amended by
revising the first sentence of paragraph
(a) to read as follows:
§ 1013.3 Basis for civil penalties and
assessments.
■
Purpose and scope.
* * * Subsection a. provides that any
person who has entered into a contract
or agreement with the Department of
Energy, or a subcontract or
subagreement thereto, and who violates
(or whose employee violates) any
applicable rule, regulation or order
under the Act relating to the security or
safeguarding of Restricted Data or other
classified information, shall be subject
to a civil penalty not to exceed $110,000
for each violation. * * *
■ 18. Section 824.4 is amended by
revising paragraph (c) to read as follows:
§ 824.4
Civil penalties.
srobinson on DSKHWCL6B1PROD with RULES
*
*
*
*
*
(c) The Director may propose
imposition of a civil penalty for
violation of a requirement of a
regulation or rule under paragraph (a) of
this section or a compliance order
issued under paragraph (b) of this
section, not to exceed $110,000 for each
violation.
*
*
*
*
*
■ 19. Appendix A to part 824 is
amended by:
■ a. Revising the fourth and sixth
sentences of paragraph 2.e., ‘‘Civil
Penalty,’’ in section VIII ‘‘Enforcement
Actions’’; and
■ b. Revising the last sentence of
paragraph 3.d., ‘‘Adjustment Factors,’’
in section VIII titled ‘‘Enforcement
Actions’’.
The revisions read as follows:
■
§ 851.5
Enforcement.
(a) A contractor that is indemnified
under section 170d. of the AEA (or any
subcontractor or supplier thereto) and
that violates (or whose employee
violates) any requirement of this part
shall be subject to a civil penalty of up
to $75,000 for each such violation.
* * *
*
*
*
*
*
22. Appendix B to part 851 is
amended by:
■ a. Revising the last sentences of
paragraphs (b)(1) and (b)(2) in section
VI;
■ b. Revising paragraph 1.(e)(1) in
section IX ; and
■ c. Revising the fourth sentence in
paragraph 2.(f) in section IX.
The revisions read as follows:
■
Appendix B to Part 851—General
Statement of Enforcement Policy
*
*
*
*
*
VIII. Enforcement Actions
VI. Severity of Violations
(b) * * *
(1) * * * A Severity Level I violation
would be subject to a base civil penalty of up
to 100% of the maximum base civil penalty
of $75,000.
(2) * * * A Severity Level II violation
would be subject to a base civil penalty up
to 50% of the maximum base civil penalty
($37,500).
*
*
Appendix A to Part 824—General
Statement of Enforcement Policy
*
*
*
*
*
VerDate Nov<24>2008
*
*
*
*
16:24 Dec 11, 2009
Jkt 220001
PO 00000
*
*
Frm 00005
*
Fmt 4700
*
Sfmt 4700
23. The authority citation for part
1013 continues to reads as follows:
24. Section 1013.3 is amended by
revising paragraphs (a)(1)(iv) and
(b)(1)(ii) to read as follows:
(a) * * *
(1) * * *
(iv) Is for payment for the provision
of property or services which the person
has not provided as claimed, shall be
subject, in addition to any other remedy
that may be prescribed by law, to a civil
penalty of not more than $8,000 for each
such claim.
*
*
*
*
*
(b) * * *
(1) * * *
(ii) Contains or is accompanied by an
express certification or affirmation of
the truthfulness and accuracy of the
contents of the statement, shall be
subject, in addition to any other remedy
that may be prescribed by law, to a civil
penalty of not more than $8,000 for each
such statement.
*
*
*
*
*
PART 1017—IDENTIFICATION AND
PROTECTION OF UNCLASSIFIED
CONTROLLED NUCLEAR
INFORMATION
25. The authority citation for part
1017 continues to read as follows:
■
Authority: 42 U.S.C. 7101 et seq.; 50
U.S.C. 2401 et seq.; 42 U.S.C. 2168; 28 U.S.C.
2461.
26. Section 1017.29 is amended by
revising paragraph (c) to read as follows:
■
§ 1017.29
Civil penalty.
*
*
E:\FR\FM\14DER1.SGM
*
14DER1
*
*
66034
Federal Register / Vol. 74, No. 238 / Monday, December 14, 2009 / Rules and Regulations
(c) Amount of penalty. The Director
may propose imposition of a civil
penalty for violation of a requirement of
a regulation under paragraph (a) of this
section or a compliance order issued
under paragraph (b) of this section, not
to exceed $150,000 for each violation.
*
*
*
*
*
PART 1050—FOREIGN GIFTS AND
DECORATIONS
27. The authority citation for part
1050 continues to read as follows:
■
Authority: The Constitution of the United
States, Article I, Section 9; 5 U.S.C. 7342; 22
U.S.C. 2694; 42 U.S.C. 7254 and 7262; 28
U.S.C. 2461 note.
28. Section 1050.303 is amended by
revising the last sentence in paragraph
(d) to read as follows:
■
§ 1050.303
Enforcement.
*
*
*
*
*
(d) * * * The court in which such
action is brought may assess a civil
penalty against such employee in any
amount not to exceed the retail value of
the gift improperly solicited or received
plus $8,000.
[FR Doc. E9–29667 Filed 12–11–09; 8:45 am]
BILLING CODE 6450–01–P
DEPARTMENT OF TRANSPORTATION
14 CFR Part 39
[Docket No. FAA–2007–0083; Directorate
Identifier 2006–NM–266–AD; Amendment
39–16137; AD 2009–26–02]
RIN 2120–AA64
Airworthiness Directives; Empresa
Brasileira de Aeronautica S.A.
(EMBRAER) Model EMB–135BJ,
–135ER, –135KE, –135KL, –135LR,
–145, –145ER, –145MR, –145LR,
–145XR, –145MP, and –145EP
Airplanes
srobinson on DSKHWCL6B1PROD with RULES
AGENCY: Federal Aviation
Administration (FAA), Department of
Transportation (DOT).
ACTION: Final rule.
SUMMARY: We are adopting a new
airworthiness directive (AD) for the
products listed above. This AD results
from mandatory continuing
airworthiness information (MCAI)
originated by an aviation authority of
another country to identify and correct
an unsafe condition on an aviation
product. The MCAI describes the unsafe
condition as:
16:24 Dec 11, 2009
Jkt 220001
We are issuing this AD to require
actions to correct the unsafe condition
on these products.
DATES: This AD becomes effective
January 19, 2010.
The Director of the Federal Register
approved the incorporation by reference
of certain publications listed in this AD
as of January 19, 2010.
ADDRESSES: You may examine the AD
docket on the Internet at https://
www.regulations.gov or in person at the
U.S. Department of Transportation,
Docket Operations, M–30, West
Building Ground Floor, Room W12–140,
1200 New Jersey Avenue, SE.,
Washington, DC.
FOR FURTHER INFORMATION CONTACT:
Sanjay Ralhan, Aerospace Engineer,
International Branch, ANM–116,
Transport Airplane Directorate, FAA,
1601 Lind Avenue, SW., Renton,
Washington 98057–3356; telephone
(425) 227–1405; fax (425) 227–1149.
SUPPLEMENTARY INFORMATION:
Discussion
We issued a second supplemental
notice of proposed rulemaking (NPRM)
to amend 14 CFR part 39 to include an
AD that would apply to the specified
products. That second supplemental
NPRM was published in the Federal
Register on September 25, 2009 (74 FR
48877). That second supplemental
NPRM proposed to correct an unsafe
condition for the specified products.
The MCAI states:
Federal Aviation Administration
VerDate Nov<24>2008
It has been found the occurrence of engine
anti-ice system valve failure, where the valve
spring seat has broken and obstructed the
anti-ice system venturi tube. * * *
Therefore, should the aircraft encounter icing
conditions, ice may accrete in the engine
inlet lip and be ingested through the air inlet,
resulting in possible engine damage and
flame-out.
It has been found the occurrence of engine
anti-ice system valve failure, where the valve
spring seat has broken and obstructed the
anti-ice system venturi tube. Aircraft
dispatch with that failure may be allowed by
the operator Minimum Equipment List
(MEL), [if] the engine anti-ice system valve
[is] locked in the OPEN position. However,
there is no readily available means to make
sure the anti-ice system tubing is free of
debris, allowing unrestricted hot airflow to
the piccolo tube on the engine inlet lip.
Therefore, should the aircraft encounter icing
conditions, ice may accrete in the engine
inlet lip and be ingested through the air inlet,
resulting in possible engine damage and
flame-out.
The required actions include an
inspection to determine the part number
of the engine anti-icing system valves;
repetitive inspections of certain engine
anti-icing system valves and tubes to
PO 00000
Frm 00006
Fmt 4700
Sfmt 4700
detect damage, and replacement of the
valves if damage is found; and eventual
replacement of certain anti-icing system
valves. You may obtain further
information by examining the MCAI in
the AD docket.
Comments
We gave the public the opportunity to
participate in developing this AD. We
received no comments on the second
supplemental NPRM or on the
determination of the cost to the public.
Conclusion
We reviewed the available data and
determined that air safety and the
public interest require adopting the AD
as proposed.
Differences Between This AD and the
MCAI or Service Information
We have reviewed the MCAI and
related service information and, in
general, agree with their substance. But
we might have found it necessary to use
different words from those in the MCAI
to ensure the AD is clear for U.S.
operators and is enforceable. In making
these changes, we do not intend to differ
substantively from the information
provided in the MCAI and related
service information.
We might also have required different
actions in this AD from those in the
MCAI in order to follow our FAA
policies. Any such differences are
highlighted in a Note within the AD.
Costs of Compliance
We estimate that this AD will affect
697 products of U.S. registry. We also
estimate that it will take about 2 workhours per product to comply with the
basic requirements of this AD. The
average labor rate is $80 per work-hour.
Based on these figures, we estimate the
cost of this AD to the U.S. operators to
be $111,520, or $160 per product.
We also estimate that the replacement
specified in this AD will affect up to 306
parts. We estimate that it will take about
5 work-hours per part to comply with
the replacement requirements of this
AD. (Some airplanes have no affected
parts and other airplanes have either
one or two affected parts.) The cost of
each required part is $27,507. Where the
service information lists required parts
costs that are covered under warranty,
we have assumed that there will be no
charge for these costs. As we do not
control warranty coverage for affected
parties, some parties may incur costs
higher than estimated here. Based on
these figures, we estimate the cost of the
replacement specified in the AD on U.S.
operators to be $8,539,542, or $27,907
per part.
E:\FR\FM\14DER1.SGM
14DER1
]]>Agencies
[Federal Register Volume 74, Number 238 (Monday, December 14, 2009)]
[Rules and Regulations]
[Pages 66029-66034]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-29667]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF ENERGY
10 CFR Parts 207, 218, 430, 490, 501, 601, 820, 824, 851, 1013,
1017, and 1050
RIN 1990-AA32
Inflation Adjustment of Civil Monetary Penalties
AGENCY: Office of the General Counsel, U.S. Department of Energy.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: The Department of Energy (``DOE'') today publishes this final
rule to adjust DOE's civil monetary penalties (``CMPs'') for inflation
as mandated by the Debt Collection Improvement Act of 1996. This rule
adjusts CMPs within the jurisdiction of DOE to the maximum extent
allowed by the Federal Civil Penalties Inflation Adjustment Act of
1990, as amended by the Debt Collection Improvement Act of 1996.
DATES: This rule is effective January 13, 2010.
FOR FURTHER INFORMATION CONTACT: Preeti Chaudhari, U.S. Department of
Energy, Office of the General Counsel, GC-71, 1000 Independence Avenue,
SW., Washington, DC 20585, (202) 586-8078.
SUPPLEMENTARY INFORMATION:
I. Background
II. Method of Calculation
III. Summary of Final Rule
IV. Final Rulemaking
V. Regulatory Review
I. Background
In order to preserve the deterrent effect of civil penalties and
foster compliance with the law, 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 (Pub. L. 104-134) (``the Act''),
requires Federal agencies to regularly adjust each CMP provided by law
within the jurisdiction of the agency. Also, the Act in part requires
each agency to make further adjustments at least once every four years.
The Act provides that any increase in a CMP due to the calculated
inflation adjustments shall apply only to violations that occur after
the date the increase takes effect and states that the initial
inflation adjustment may not exceed 10 percent of the existing penalty.
II. Method of Calculation
Under the Act, the inflation adjustment for each applicable CMP is
determined by increasing the maximum civil penalty amount per violation
by the cost-of-living adjustment. The ``cost-of-living'' adjustment is
defined as the amount by which the Consumer Price Index (CPI) for the
month of June of the calendar year preceding the adjustment exceeds the
CPI for the month of June of the year in which the amount of such civil
penalty was last set or adjusted pursuant to law. Any calculated
increase under this adjustment 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 $1000 in the case of penalties greater than $1000
but less than or equal to $10,000;
[[Page 66030]]
(4) Multiple of $5000 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.
28 U.S.C. 2461 note, sec. 5.
III. Summary of Final Rule
The following list summarizes the existing DOE regulations
containing civil monetary penalties, and the penalties before and after
adjustment.
------------------------------------------------------------------------
DOE regulation containing civil
monetary penalty Before adjustment After adjustment
------------------------------------------------------------------------
10 CFR 207.7.................... $2,750............ $4,000.
10 CFR 218.42................... $5,500............ $8,000.
10 CFR 430.61................... $110.............. $200.
10 CFR 490.604.................. $5,500............ $8,000.
10 CFR 501.181(c)............... --$27,500......... --$40,000.
--3.3/mcf......... --3.3/mcf.
--11/bbl.......... --20/bbl.
10 CFR 601.400 and App A........ --minimum $11,000. --minimum $15,000.
--maximum $110,000 --maximum
$150,000.
10 CFR 820.81 \1\............... $110,000.......... $150,000.
10 CFR 824.1 and App A.......... $100,000.......... $110,000.
10 CFR 824.4 and App A.......... $100,000.......... $110,000.
10 CFR 851.5 and App B \2\...... $70,000........... $75,000.
10 CFR 1013.3................... $5,500............ $8,000.
10 CFR 1017.29 (formerly 10 CFR $110,000.......... $150,000.
1017.18).
10 CFR 1050.303................. $5,500............ $8,000.
------------------------------------------------------------------------
\1\ The civil penalties under this section and 10 CFR 851.5 encompass
the civil penalty authorized by 50 U.S.C. 2731 (formerly 42 U.S.C.
7274d). Title 50 U.S.C. 2731 establishes a maximum civil penalty of
$5,000 per day for failure of any DOE contractor to provide specified
training to individuals it employs who are engaged in hazardous
substance response or emergency response at DOE nuclear weapons
facilities or for failure to certify to DOE that such employees are
adequately trained pursuant to orders issued by DOE relating to
employee safety training. In corresponding guidance, DOE is today
adjusting the civil penalty to a maximum of $5,500 for each day a
violation occurs. The adjusted civil penalty is well under the maximum
civil penalty provided under 10 CFR 820.81 and 10 CFR 851.5. This
footnote shall not be construed as limiting DOE's discretion to impose
civil penalties for violations of training requirements contained in
DOE's Nuclear Safety Requirements or 10 CFR Part 851, including
training requirements relating to hazardous substance response or
emergency response at DOE's nuclear weapons facilities.
\2\ See footnote 1.
IV. Final Rulemaking
In accordance with 5 U.S.C. 553(b), the Administrative Procedure
Act, DOE generally publishes a rule in a proposed form and solicits
public comment on it before issuing the rule in final. However, 5
U.S.C. 553(b)(B) provides an exception to the public comment
requirement if the agency finds good cause to omit advance notice and
public participation. Good cause is shown when public comment is
``impracticable, unnecessary, or contrary to the public interest.''
DOE finds that providing an opportunity for public comment prior to
publication of this rule is not necessary because DOE is carrying out a
ministerial, non-discretionary duty specified in an Act of Congress.
This rule incorporates requirements specifically set forth in 28 U.S.C.
2461 note requiring DOE to issue a regulation implementing inflation
adjustments for all its civil penalty provisions. The formula for the
amount of the penalty adjustment is prescribed by Congress. Prior
notice and opportunity to comment are therefore unnecessary in this
case because these changes are not subject to the exercise of
discretion by DOE. These technical changes, required by law, do not
substantively alter the existing regulatory framework nor in any way
affect the terms under which DOE assesses civil penalties.
V. Regulatory Review
A. Executive Order 12866
Today's rule has been determined not to be a significant regulatory
action under Executive Order 12866, ``Regulatory Planning and Review,''
58 FR 51735 (October 4, 1993). Accordingly, this action was not subject
to review under that Executive Order by the Office of Information and
Regulatory Affairs of the Office of Management and Budget.
B. National Environmental Policy Act
DOE has determined that this final rule is covered under the
Categorical Exclusion found in DOE's National Environmental Policy Act
regulations at paragraph A.5 of Appendix A to Subpart D, 10 CFR part
1021, which applies to rulemaking that amends an existing rule or
regulation which does not change the environmental effect of the rule
or regulation being amended. Accordingly, neither an environmental
assessment nor an environmental impact statement is required.
C. Regulatory Flexibility Act
The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires
preparation of an initial regulatory flexibility analysis for any rule
that by law must be proposed for public comment. As discussed above,
DOE has determined that prior notice and opportunity for public comment
is unnecessary and contrary to the public interest. In accordance with
5 U.S.C. 604(a), no regulatory flexibility analysis has been prepared
for today's rule.
D. Paperwork Reduction Act
This final rule imposes no new information collection requirements
subject to the Paperwork Reduction Act.
E. Unfunded Mandates Reform Act of 1995
The Unfunded Mandates Reform Act of 1995 (Pub. L. 104-4) generally
requires Federal agencies to examine closely the impacts of regulatory
actions on State, local, and tribal governments. Section 201 excepts
agencies from assessing effects on State, local or tribal governments
or the private sector of rules that incorporate requirements
specifically set forth in law. Because this rule incorporates
requirements specifically set forth in 28 U.S.C. 2461 note, DOE is not
required to assess its regulatory effects under Section 201. Unfunded
Mandates Reform Act sections 202 and 205 do not apply to today's action
because they apply only to rules for which a general notice of
[[Page 66031]]
proposed rulemaking is published. Nevertheless, DOE has determined that
today's regulatory action does not impose a Federal mandate on State,
local, or tribal governments or on the public sector.
F. Treasury and General Government Appropriations Act, 1999
Section 654 of the Treasury and General Government Appropriations
Act, 1999 (Pub. L. 105-277) requires Federal agencies to issue a Family
Policymaking Assessment for any proposed rule that may affect family
well being. This rule would not have any impact on the autonomy or
integrity of the family as an institution. Accordingly, DOE has
concluded that it is not necessary to prepare a Family Policymaking
Assessment.
G. Executive Order 13132
Executive Order 13132, ``Federalism,'' 64 FR 43255 (August 4, 1999)
imposes certain requirements on agencies formulating and implementing
policies or regulations that preempt State law or that have federalism
implications. Agencies are required to examine the constitutional and
statutory authority supporting any action that would limit the
policymaking discretion of the States and carefully assess the
necessity for such actions. DOE has examined this rule and has
determined that it would not preempt State law and would not have a
substantial direct effect on the States, on the relationship between
the national government and the States, or on the distribution of power
and responsibilities among the various levels of government. No further
action is required by Executive Order 13132.
H. Executive Order 12988
With respect to the review of existing regulations and the
promulgation of new regulations, section 3(a) of Executive Order 12988,
``Civil Justice Reform,'' 61 FR 4729 (February 7, 1996), imposes on
Executive agencies the general duty to adhere to the following
requirements: (1) Eliminate drafting errors and ambiguity; (2) write
regulations to minimize litigation; and (3) provide a clear legal
standard for affected conduct rather than a general standard and
promote simplification and burden reduction. With regard to the review
required by section 3(a), section 3(b) of Executive Order 12988
specifically requires that Executive agencies make every reasonable
effort to ensure that the regulation: (1) Clearly specifies the
preemptive effect, if any; (2) clearly specifies any effect on existing
Federal law or regulation; (3) provides a clear legal standard for
affected conduct while promoting simplification and burden reduction;
(4) specifies the retroactive effect, if any; (5) adequately defines
key terms; and (6) addresses other important issues affecting clarity
and general draftsmanship under any guidelines issued by the Attorney
General. Section 3(c) of Executive Order 12988 requires Executive
agencies to review regulations in light of applicable standards in
section 3(a) and section 3(b) to determine whether they are met or it
is unreasonable to meet one or more of them. DOE has completed the
required review and determined that, to the extent permitted by law,
this rule meets the relevant standards of Executive Order 12988.
I. Treasury and General Government Appropriations Act, 2001
The Treasury and General Government Appropriations Act, 2001 (44
U.S.C. 3516 note) provides for agencies to review most disseminations
of information to the public under guidelines established by each
agency pursuant to general guidelines issued by OMB. OMB's guidelines
were published at 67 FR 8452 (February 22, 2002), and DOE's guidelines
were published at 67 FR 62446 (October 7, 2002). DOE has reviewed
today's rule under the OMB and DOE guidelines and has concluded that it
is consistent with applicable policies in those guidelines.
J. Executive Order 13211
Executive Order 13211, ``Actions Concerning Regulations That
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355
(May 22, 2001) requires Federal agencies to prepare and submit to the
OMB, a Statement of Energy Effects for any proposed significant energy
action. A ``significant energy action'' is defined as any action by an
agency that promulgated or is expected to lead to promulgation of a
final rule, and that: (1) Is a significant regulatory action under
Executive Order 12866, or any successor order; and (2) is likely to
have a significant adverse effect on the supply, distribution, or use
of energy; or (3) is designated by the Administrator of OIRA as a
significant energy action. For any proposed significant energy action,
the agency must give a detailed statement of any adverse effects on
energy supply, distribution, or use should the proposal be implemented,
and of reasonable alternatives to the action and their expected
benefits on energy supply, distribution, and use. Today's regulatory
action would not have a significant adverse effect on the supply,
distribution, or use of energy and is therefore not a significant
energy action. Accordingly, DOE has not prepared a Statement of Energy
Effects.
K. Congressional Notification
As required by 5 U.S.C. 801, DOE will submit to Congress a report
regarding the issuance of today's final rule prior to the effective
date set forth at the outset of this notice. The report will state that
it has been determined that the rule is not a ``major rule'' as defined
by 5 U.S.C. 801(2).
List of Subjects
10 CFR Part 207
Administrative practice and procedure, Energy, Penalties.
10 CFR Part 218
Administrative practice and procedure, Penalties, Petroleum
allocation.
10 CFR Part 430
Administrative practice and procedure, Energy conservation.
10 CFR Part 490
Administrative practice and procedure, Energy conservation,
Penalties.
10 CFR Part 501
Administrative practice and procedure, Electric power plants,
Energy conservation, Natural gas, Petroleum.
10 CFR Part 601
Government contracts, Grant programs, Loan programs, Penalties.
10 CFR Part 820
Administrative practice and procedure, Government contracts,
Penalties, Radiation protection.
10 CFR Part 824
Government contracts, Nuclear materials, Penalties, Security
measures.
10 CFR Part 851
Civil penalty, Hazardous substances, Occupational safety and
health, Safety, Reporting and recordkeeping requirements.
10 CFR Part 1013
Administrative practice and procedure, Claims, Fraud, Penalties.
10 CFR Part 1017
Administrative practice and procedure, Government contracts,
National Defense, Nuclear Energy, Penalties, Security measures.
[[Page 66032]]
10 CFR Part 1050
Decorations, medals, awards, Foreign relations, Government
employees, Government property, Reporting and recordkeeping
requirements.
Issued in Washington, DC, on December 8, 2009.
Scott Blake Harris,
General Counsel.
0
For the reasons set forth in the preamble, DOE amends chapters II, III,
and X of Chapter 10 of the Code of Federal Regulations as set forth
below.
PART 207--COLLECTION OF INFORMATION
0
1. The authority citation for part 207 continues to read as follows:
Authority: 15 U.S.C. 787 et seq.; 15 U.S.C. 791 et seq.; E.O.
11790, 39 FR 23185; 28 U.S.C. 2461 note.
0
2. Section 207.7 is amended by revising the first sentence of paragraph
(c)(1) to read as follows:
Sec. 207.7 Sanctions.
* * * * *
(c) Civil Penalties. (1) Any person who violates any provision of
this subpart or any order issued pursuant thereto shall be subject to a
civil penalty of not more than $4,000 for each violation. * * *
* * * * *
PART 218--STANDBY MANDATORY INTERNATIONAL OIL ALLOCATION
0
3. The authority citation for part 218 continues to read as follows:
Authority: 15 U.S.C. 751 et seq.; 15 U.S.C. 787 et seq.; 42
U.S.C. 6201 et seq.; 42 U.S.C. 7101 et seq.; E.O. 11790, 39 FR
23185; E.O. 12009, 42 FR 46267; 28 U.S.C. 2461 note.
0
4. Section 218.42 is amended by revising paragraph (b)(1) to read as
follows:
Sec. 218.42 Sanctions.
* * * * *
(b) Penalties. (1) Any person who violates any provision of part
218 of this chapter or any order issued pursuant thereto shall be
subject to a civil penalty of not more than $8,000 for each violation.
* * * * *
PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS
0
5. The authority citation for part 430 continues to read as follows:
Authority: 42 U.S.C. 6291-6309; 28 U.S.C. 2461 note.
0
6. Section 430.61 is amended by revising the first sentence of
paragraph (b) to read as follows:
Sec. 430.61 Prohibited acts.
* * * * *
(b) In accordance with section 333 of the Act, any person who
knowingly violates any provision of paragraph (a) of this section may
be subject to assessment of a civil penalty of no more than $200 for
each violation. * * *
PART 490--ALTERNATIVE FUEL TRANSPORTATION PROGRAM
0
7. The authority citation for part 490 continues to read as follows:
Authority: 42 U.S.C. 7191 et seq.; 42 U.S.C. 13201, 13211,
13220, 13251 et seq.
0
8. Section 490.604 is amended by revising paragraph (a) to read as
follows:
Sec. 490.604 Penalties and fines.
(a) Civil Penalties. Whoever violates Sec. 490.603 of this part
shall be subject to a civil penalty of not more than $8,000 for each
violation.
* * * * *
PART 501--ADMINISTRATIVE PROCEDURES AND SANCTIONS
0
9. The authority citation for part 501 continues to read as follows:
Authority: 42 U.S.C. 7101 et seq.; 42 U.S.C. 8301 et seq.; 42
U.S.C. 8701 et seq.; E.O. 12009, 42 FR 46267; 28 U.S.C. 2461 note.
0
10. Section 501.181 is amended by revising paragraph (c)(1) to read as
follows:
Sec. 501.181 Sanctions.
* * * * *
(c) Civil Penalties. (1) Any person who violates any provisions of
the Act (other than section 402) or any rule or order thereunder will
be subject to the following civil penalty, which may not exceed $40,000
for each violation: Any person who operates a powerplant or major fuel
burning installation under an exemption, during any 12-calendar-month
period, in excess of that authorized in such exemption will be assessed
a civil penalty of up to $3.30 for each MCF of natural gas or up to $20
for each barrel of oil used in excess of that authorized in the
exemption.
* * * * *
PART 601--NEW RESTRICTIONS ON LOBBYING
0
11. The authority citation for part 601 continues to read as follows:
Authority: 31 U.S.C. 1352; 42 U.S.C. 7254 and 7256; 31 U.S.C.
6301-6308; 28 U.S.C. 2461 note.
0
12. Section 601.400 is amended by revising paragraphs (a), (b) and (e)
to read as follows:
Sec. 601.400 Penalties.
(a) Any person who makes an expenditure prohibited herein shall be
subject to a civil penalty of not less than $15,000 and not more than
$150,000 for each such expenditure.
(b) Any person who fails to file or amend the disclosure form (see
appendix B) to be filed or amended if required herein, shall be subject
to a civil penalty of not less than $15,000 and not more than $150,000
for each such failure.
* * * * *
(e) First offenders under paragraphs (a) or (b) of this section
shall be subject to a civil penalty of $15,000, absent aggravating
circumstances. Second and subsequent offenses by persons shall be
subject to an appropriate civil penalty between $15,000 and $150,000,
as determined by the agency head or his or her designee.
* * * * *
0
13. Appendix A to part 601, is amended by:
0
a. Revising the last sentence, second undesignated paragraph, in
paragraph (3) of the section entitled, ``Certification for Contracts,
Grants, Loans, and Cooperative Agreements''; and
0
b. Revising the last sentence, second undesignated paragraph, in the
section entitled, ``Statement for Loan Guarantees and Loan Insurance.''
Appendix A to Part 601--Certification Regarding Lobbying
Certification for Contracts, Grants, Loans, and Cooperative
Agreements
* * * * *
(3) * * *
* * * Any person who fails to file the required certification
shall be subject to a civil penalty of not less than $15,000 and not
more than $150,000 for each such failure.
Statement for Loan Guarantees and Loan Insurance
* * * * *
* * * Any person who fails to file the required statement shall
be subject to a civil penalty of not less than $15,000 and not more
than $150,000 for each such failure.
PART 820--PROCEDURAL RULES FOR DOE NUCLEAR ACTIVITIES
0
14. The authority citation for part 820 continues to read as follows:
Authority: 42 U.S.C. 2201; 2282(a); 7191; 28 U.S.C. 2461 note;
50 U.S.C. 2410.
[[Page 66033]]
0
15. Section 820.81 is amended by revising the first sentence to read as
follows:
Sec. 820.81 Amount of penalty.
Any person subject to a penalty under 42 U.S.C. 2282a shall be
subject to a civil penalty in an amount not to exceed $150,000 for each
such violation. * * *
PART 824--PROCEDURAL RULES FOR THE ASSESSMENT OF CIVIL PENALTIES
FOR CLASSIFIED INFORMATION SECURITY VIOLATIONS
0
16. The authority citation for part 824 continues to read as follows:
Authority: 42 U.S.C. 2201, 2282b, 7101 et seq., 50 U.S.C. 2401
et seq.
0
17. Section 824.1 is amended by revising the second sentence to read as
follows:
Sec. 824.1 Purpose and scope.
* * * Subsection a. provides that any person who has entered into a
contract or agreement with the Department of Energy, or a subcontract
or subagreement thereto, and who violates (or whose employee violates)
any applicable rule, regulation or order under the Act relating to the
security or safeguarding of Restricted Data or other classified
information, shall be subject to a civil penalty not to exceed $110,000
for each violation. * * *
0
18. Section 824.4 is amended by revising paragraph (c) to read as
follows:
Sec. 824.4 Civil penalties.
* * * * *
(c) The Director may propose imposition of a civil penalty for
violation of a requirement of a regulation or rule under paragraph (a)
of this section or a compliance order issued under paragraph (b) of
this section, not to exceed $110,000 for each violation.
* * * * *
0
19. Appendix A to part 824 is amended by:
0
a. Revising the fourth and sixth sentences of paragraph 2.e., ``Civil
Penalty,'' in section VIII ``Enforcement Actions''; and
0
b. Revising the last sentence of paragraph 3.d., ``Adjustment
Factors,'' in section VIII titled ``Enforcement Actions''.
The revisions read as follows:
Appendix A to Part 824--General Statement of Enforcement Policy
* * * * *
VIII. Enforcement Actions
* * * * *
2. Civil Penalty
* * * * *
e. * * * In no instance will a civil penalty for any one
violation exceed the $110,000 statutory limit per violation. * * *
Thus, the per violation cap will not shield a DOE contractor that is
or should have been aware of an ongoing violation and has not
reported it to DOE and taken corrective action despite an
opportunity to do so from liability significantly exceeding
$110,000. * * *
* * * * *
3. Adjustment Factors
* * * * *
d. * * * Based on the degree of such factors, DOE may escalate
the amount of civil penalties up to the statutory maximum of
$110,000 per violation per day for continuing violations.
* * * * *
PART 851--WORKER SAFETY AND HEALTH PROGRAM
0
20. The authority citation for part 851 continues to read as follows:
Authority: 42 U.S.C. 2201(i)(3), (p); 42 U.S.C. 2282c; 42
U.S.C. 5801 et seq.; 42 U.S.C. 7101 et seq.; 50 U.S.C. 2401 et seq.
0
21. Section 851.5 is amended by revising the first sentence of
paragraph (a) to read as follows:
Sec. 851.5 Enforcement.
(a) A contractor that is indemnified under section 170d. of the AEA
(or any subcontractor or supplier thereto) and that violates (or whose
employee violates) any requirement of this part shall be subject to a
civil penalty of up to $75,000 for each such violation. * * *
* * * * *
0
22. Appendix B to part 851 is amended by:
0
a. Revising the last sentences of paragraphs (b)(1) and (b)(2) in
section VI;
0
b. Revising paragraph 1.(e)(1) in section IX ; and
0
c. Revising the fourth sentence in paragraph 2.(f) in section IX.
The revisions read as follows:
Appendix B to Part 851--General Statement of Enforcement Policy
* * * * *
VI. Severity of Violations
(b) * * *
(1) * * * A Severity Level I violation would be subject to a
base civil penalty of up to 100% of the maximum base civil penalty
of $75,000.
(2) * * * A Severity Level II violation would be subject to a
base civil penalty up to 50% of the maximum base civil penalty
($37,500).
* * * * *
IX. Enforcement Actions
* * * * *
1. Notice of Violation
* * * * *
(e) * * *
(1) DOE may assess civil penalties of up to $75,000 per
violation per day on contractors (and their subcontractors and
suppliers) that are indemnified by the Price-Anderson Act, 42 U.S.C.
2210(d). See 10 CFR 851.5(a).
* * * * *
2. Civil Penalty
* * * * *
(f) * * * In no instance will a civil penalty for any one
violation exceed the statutory limit of $75,000 per day. * * *
* * * * *
PART 1013--PROGRAM FRAUD CIVIL REMEDIES AND PROCEDURES
0
23. The authority citation for part 1013 continues to reads as follows:
Authority: 31 U.S.C. 3801-3812; 28 U.S.C. 2461 note.
0
24. Section 1013.3 is amended by revising paragraphs (a)(1)(iv) and
(b)(1)(ii) to read as follows:
Sec. 1013.3 Basis for civil penalties and assessments.
(a) * * *
(1) * * *
(iv) Is for payment for the provision of property or services which
the person has not provided as claimed, shall be subject, in addition
to any other remedy that may be prescribed by law, to a civil penalty
of not more than $8,000 for each such claim.
* * * * *
(b) * * *
(1) * * *
(ii) Contains or is accompanied by an express certification or
affirmation of the truthfulness and accuracy of the contents of the
statement, shall be subject, in addition to any other remedy that may
be prescribed by law, to a civil penalty of not more than $8,000 for
each such statement.
* * * * *
PART 1017--IDENTIFICATION AND PROTECTION OF UNCLASSIFIED CONTROLLED
NUCLEAR INFORMATION
0
25. The authority citation for part 1017 continues to read as follows:
Authority: 42 U.S.C. 7101 et seq.; 50 U.S.C. 2401 et seq.; 42
U.S.C. 2168; 28 U.S.C. 2461.
0
26. Section 1017.29 is amended by revising paragraph (c) to read as
follows:
Sec. 1017.29 Civil penalty.
* * * * *
[[Page 66034]]
(c) Amount of penalty. The Director may propose imposition of a
civil penalty for violation of a requirement of a regulation under
paragraph (a) of this section or a compliance order issued under
paragraph (b) of this section, not to exceed $150,000 for each
violation.
* * * * *
PART 1050--FOREIGN GIFTS AND DECORATIONS
0
27. The authority citation for part 1050 continues to read as follows:
Authority: The Constitution of the United States, Article I,
Section 9; 5 U.S.C. 7342; 22 U.S.C. 2694; 42 U.S.C. 7254 and 7262;
28 U.S.C. 2461 note.
0
28. Section 1050.303 is amended by revising the last sentence in
paragraph (d) to read as follows:
Sec. 1050.303 Enforcement.
* * * * *
(d) * * * The court in which such action is brought may assess a
civil penalty against such employee in any amount not to exceed the
retail value of the gift improperly solicited or received plus $8,000.
[FR Doc. E9-29667 Filed 12-11-09; 8:45 am]
BILLING CODE 6450-01-P
