Inflation Adjustment of Civil Monetary Penalties, 41790-41796 [2016-15148]

Download as PDF 41790 Federal Register / Vol. 81, No. 124 / Tuesday, June 28, 2016 / Rules and Regulations Date of violation or assessment Violation occurring after Nov. 2, 2015 and penalty assessed after Aug. 1, 2016 ............................... Penalty DEPARTMENT OF AGRICULTURE Grain Inspection, Packers and Stockyards Administration 18,936 7 CFR Part 800 (b) This remedy shall be in addition to any other remedy available under statutory or common law. PART 2636—LIMITATIONS ON OUTSIDE EARNED INCOME, EMPLOYMENT AND AFFILIATIONS FOR CERTAIN NONCAREER EMPLOYEES Grain Inspection Packers and Stockyards Administration, USDA. ACTION: Notification of suspension of supervision fee assessment. AGENCY: The Department of Agriculture (USDA), Grain Inspection, Packers and Stockyards Administration (GIPSA) is suspending the assessment of Authority: 5 U.S.C. App. (Ethics in Government Act of 1978); Pub. L. 101–410, fees for supervision of official 104 Stat. 890, 28 U.S.C. 2461 note (Federal inspection and weighing services Civil Penalties Inflation Adjustment Act of performed by delegated States and/or 1990), as amended by Sec. 31001, Pub. L. designated agencies under the United 104–134, 110 Stat. 1321 (Debt Collection States Grain Standards Act (USGSA). Improvement Act of 1996) and Sec. 701, Pub. DATES: This document is effective L. 114–74 (Federal Civil Penalties Inflation beginning July 1, 2016, and remains in Adjustment Act Improvements Act of 2015); E.O. 12674, 54 FR 15159, 3 CFR, 1989 Comp., effect through June 30, 2017. p. 215, as modified by E.O. 12731, 55 FR FOR FURTHER INFORMATION CONTACT: 42547, 3 CFR, 1990 Comp., p. 306. Barry Gomoll by phone at 202–720– 8286 or by email at Barry.L.Gomoll@ ■ 7. Section 2636.104 is amended by revising paragraph (a) to read as follows: usda.gov. Persons with disabilities who require alternative means for communication (Braille, large print, § 2636.104 Civil, disciplinary and other action. audio tape, etc.) should contact the USDA Target Center at (202) 720–2600 (a) Civil action. Except when the (voice and TDD). employee engages in conduct in good faith reliance upon an advisory opinion SUPPLEMENTARY INFORMATION: The Agriculture Reauthorizations Act of issued under § 2636.103, an employee who engages in any conduct in violation 2015, Public Law 114–54, amended the USGSA (7 U.S.C. 71–87k) to require of the prohibitions, limitations and GIPSA to adjust fees for the supervision restrictions contained in this part may of official grain inspection and weighing be subject to civil action under 5 U.S.C. app. 504(a) and a civil monetary penalty in order to maintain an operating reserve of not less than 3 and not more of not more than the amounts set forth than 6 months (7 U.S.C. 79(j)(4)). below, as adjusted in accordance with GIPSA’s reorganization efforts over the inflation adjustment procedures prescribed in the Federal Civil Penalties the past 10 years have resulted in the centralization of supervision of Inflation Adjustment Act of 1990, as delegated states and designated amended, or the amount of the agencies. Due to this and other GIPSA compensation the individual received for the prohibited conduct, whichever is cost reduction measures, the operating reserve of GIPSA’s account for greater. supervision of official inspection and Date of violation or assessment Penalty weighing currently exceeds 6 months by a significant margin. Accordingly, Violation occurring before Sept. 29, GIPSA is issuing this document to 1999 ............................................ $10,000 announce the suspension of the fee for Violation occurring between Sept. supervision of official inspection and 29, 1999 and Nov. 2, 2015 ......... 11,000 weighing services of domestic grain and Violation occurring after Nov. 2, land carriers to Canada and Mexico 2015 and penalty assessed on or before Aug. 1, 2016 ................ 11,000 performed by delegated States and/or designated agencies. According to the Violation occurring after Nov. 2, regulations under the USGSA, GIPSA 2015 and penalty assessed after Aug. 1, 2016 ............................... 18,936 may suspend any provision of the regulations in emergencies or other * * * * * circumstances which would not impair [FR Doc. 2016–15193 Filed 6–27–16; 8:45 am] the objectives of the USGSA (7 CFR BILLING CODE 6345–03–P 800.2). GIPSA has determined that 6. The authority citation for part 2636 is revised to read as follows: ■ asabaliauskas on DSK3SPTVN1PROD with RULES Suspension of Supervision Fee Assessment Under the United States Grain Standards Act VerDate Sep<11>2014 16:05 Jun 27, 2016 Jkt 238001 SUMMARY: PO 00000 Frm 00004 Fmt 4700 Sfmt 4700 suspending supervision fees will not impair the objectives of the USGSA because the operating reserve for supervision services is sufficient to maintain the service without additional funds. GIPSA will no longer assess the fee of $0.011 per metric ton of domestic shipments officially inspected and/or weighed, including land carrier shipments to Canada and Mexico, performed by delegated States and/or designated agencies on or after July 1, 2016 (7 CFR 800.71 Schedule B). These fees will remain suspended for one year, at which time GIPSA will reassess the operating reserve for supervision of official agency inspection and weighing. Official inspection agencies may no longer pass the suspended supervision fee on to their customers. Agencies which list GIPSA supervision fees as a line item on their fee schedules must eliminate the fee. Agencies which include supervision fees as a part of fees that they charge to their customers must either reduce fees by the amount of the suspended fee or provide justification and detailed cost information for retaining current fees. All agencies must submit revised fee schedules for GIPSA approval (7 CFR 800.70). Larry Mitchell, Administrator, Grain Inspection, Packers and Stockyards Administration. [FR Doc. 2016–15152 Filed 6–27–16; 8:45 am] BILLING CODE 3410–KD–P DEPARTMENT OF ENERGY 10 CFR Parts 207, 218, 429, 431, 490, 501, 601, 820, 824, 851, 1013, 1017, and 1050 RIN 1990–AA46 Inflation Adjustment of Civil Monetary Penalties Office of the General Counsel, U.S. Department of Energy. ACTION: Interim final rule. AGENCY: The Department of Energy (‘‘DOE’’) publishes this interim final rule to adjust DOE’s civil monetary penalties (‘‘CMPs’’) for inflation as mandated by the Federal Civil Penalties Inflation Adjustment Act of 1990, as further amended by the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015 (collectively referred to herein as ‘‘the Act’’). This rule adjusts CMPs within the jurisdiction of DOE to the maximum amount required by the Act. SUMMARY: E:\FR\FM\28JNR1.SGM 28JNR1 Federal Register / Vol. 81, No. 124 / Tuesday, June 28, 2016 / Rules and Regulations This rule is effective July 28, 2016. Written comments must be received by July 28, 2016. ADDRESSES: You may submit comments, identified by RIN 1990–AA46, by any of the following methods: 1. Federal eRulemaking Portal: https://www.regulations.gov/. Follow the instructions for submitting comments. 2. Email to GC–33EnergyRegs@ hq.doe.gov. Include RIN 1990–AA46 in the subject line of the email. Please include the full body of your comments in the text of the message or as an attachment. 3. Mail: Address written comments to U.S. Department of Energy, Office of the General Counsel, Room 6A–179, 1000 Independence Avenue SW., Washington, DC 20585. Due to potential delays in DOE’s receipt and processing of mail sent through the U.S. Postal Service, we encourage respondents to submit comments electronically to ensure timely receipt. FOR FURTHER INFORMATION CONTACT: Preeti Chaudhari, U.S. Department of Energy, Office of the General Counsel, GC–33, 1000 Independence Avenue SW., Washington, DC 20585, (202) 586– 8078. SUPPLEMENTARY INFORMATION: DATES: DOE Authority containing civil monetary penalty 10 10 10 10 10 10 CFR CFR CFR CFR CFR CFR 207.7 ................................. 218.42 ............................... 429.120 ............................. 431.382 ............................. 490.604 ............................. 501.181 ............................. asabaliauskas on DSK3SPTVN1PROD with RULES 10 CFR 601.400 and App A ........... 10 10 10 10 10 10 10 50 CFR 820.81 ............................... CFR 824.1 and App A ............... CFR 824.4 and App A ............... CFR 851.5 and App B ............... CFR 1013.3 ............................... CFR 1017.29 ............................. CFR 1050.303 ........................... U.S.C. 2731 2 ............................. 16:05 Jun 27, 2016 accordance with applicable law and the OMB guidance memorandum. II. Method of Calculation I. Background In order to improve the effectiveness of CMPs and to maintain their deterrent effect, the Federal Civil Penalties Inflation Adjustment Act of 1990, 28 U.S.C. 2461 note (‘‘the Inflation Adjustment Act’’), as further amended by the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015 (Public Law 114–74) (‘‘the 2015 Act’’), requires Federal agencies to adjust each CMP provided by law within the jurisdiction of the agency. The 2015 Act requires agencies to adjust the level of CMPs with an initial ‘‘catchup’’ adjustment through an interim final rulemaking and to make subsequent annual adjustments for inflation notwithstanding 5 U.S.C. 553. The 2015 Act also provides that any increase in a CMP shall apply only to CMPs, including those whose associated violation predated such increase, which are assessed after the date the increase takes effect. Pursuant to the 2015 Act, OMB issued a guidance memorandum on the implementation of the 2015 Act.1 This interim final rule is issued in The method of calculating CMP adjustments applied in this interim final rule is required by the 2015 Act. Under the 2015 Act, catch-up adjustments are based on the percent change between the Consumer Price Index for all Urban Consumers (CPI–U) for the month of October in the year of the previous adjustment, and the October 2015 CPI– U. Subsequent annual inflation adjustments are to be based on the percent change between the October CPI–U preceding the date of the adjustment, and the prior year’s October CPI–U. Under the 2015 Act, any increase in CMP shall be rounded to the nearest multiple of $1. III. Summary of the Interim Final Rule The following list summarizes DOE authorities containing CMPs, and the penalties before and after adjustment. The list also identifies the year the original maximum and/or minimum penalty level was established or last adjusted, excluding any previous adjustments made under the Inflation Adjustment Act. Finally, the list provides the CPI–U adjustment multiplier. Year original maximum and/or minimum penalty level was established or last adjusted Before adjustment After adjustment $4,000 ............................................ 9,000 .............................................. 200 ................................................. 200 ................................................. 9,000 .............................................. —40,000 ......................................... —3.30/mcf ...................................... —20/bbl .......................................... —minimum $15,000 ....................... —maximum $160,000 .................... 160,000 .......................................... 120,000 .......................................... 120,000 .......................................... 80,000 ............................................ 9,000 .............................................. 160,000 .......................................... 9,000 .............................................. 6,000 .............................................. $10,000 .......................................... 21,661 ............................................ 433 ................................................. 433 ................................................. 8,386 .............................................. —88,613 ......................................... —8/mcf —35/bbl —minimum $18,936 ....................... —maximum $189,361 197,869 .......................................... 141,402 .......................................... 141,402 .......................................... 91,830 ............................................ 10,781 ............................................ 254,645 .......................................... 19,305 ............................................ 8,655 .............................................. 1 The guidance memorandum was issued on February 24, 2016, and references the adjustment multipliers and how to apply them. VerDate Sep<11>2014 I. Background II. Method of Calculation III. Summary of Interim Final Rule IV. Interim Final Rulemaking V. Regulatory Review Jkt 238001 2 Implemented by 10 CFR 820.81, 10 CFR 851.5, and appendix B to 10 CFR part 851. PO 00000 Frm 00005 Fmt 4700 Sfmt 4700 41791 E:\FR\FM\28JNR1.SGM 28JNR1 CPI–U Adjustment multiplier 1974 1975 1975 1975 1992 1978 4.65436 4.33220 4.33220 4.33220 1.67728 3.54453 1989 1.89361 1988 1999 1999 2002 1986 1981 1977 1991 1.97869 1.41402 1.41402 1.31185 2.15628 2.54645 3.86101 1.73099 41792 Federal Register / Vol. 81, No. 124 / Tuesday, June 28, 2016 / Rules and Regulations In addition to the above, 10 CFR 820.80 was updated to indicate that subpart G of part 820 implements the Inflation Adjustment Act as further amended by the 2015 Act. In Appendix A to part 820, Appendix A to part 824, and Appendix B to part 851, references to the statutory CMP limit were clarified to refer to the statutory CMP limit, as periodically adjusted for inflation. The authority citations for some CFR parts included in this CMP adjustment were also updated to include the statutory citation for the Act, as amended, 28 U.S.C. 2461 note. asabaliauskas on DSK3SPTVN1PROD with RULES IV. Interim Final Rulemaking Section 4(b)(1)(A) of the Act states that, for the for the first adjustment made under the Act after the date of enactment of the 2015 Act [Nov. 2, 2015] the head of an agency shall adjust CMPs through an interim final rulemaking and the adjustment shall take effect not later than August 1, 2016. As this rulemaking is the first adjustment made under the 2015 Act after its enactment, DOE must issue it as an interim final rule with a specified effective date without regard to the procedural requirements applicable to rulemaking under the Administrative Procedure Act, 5 U.S.C. 553. In addition, 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 interim final rule incorporates requirements specifically set forth in 28 U.S.C. 2461 note requiring DOE to issue a regulation implementing catch-up 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 VerDate Sep<11>2014 16:05 Jun 27, 2016 Jkt 238001 affect the terms under which DOE assesses civil penalties. V. Regulatory Review A. Executive Order 12866 This 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 interim final rule is covered under the Categorical Exclusion found in DOE’s National Environmental Policy Act regulations at paragraph A5 of Appendix A to Subpart D, 10 CFR part 1021, which applies to a rulemaking that amends an existing rule or regulation and that 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, the 2015 Act requires that the catch-up adjustment be done through an interim final rule, and DOE has determined that prior notice and opportunity for public comment is unnecessary. Because a notice of proposed rulemaking is not required for this action pursuant to 5 U.S.C. 553, or any other law, no regulatory flexibility analysis has been prepared for today’s interim final rule. D. Paperwork Reduction Act This interim 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 PO 00000 Frm 00006 Fmt 4700 Sfmt 4700 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 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 E:\FR\FM\28JNR1.SGM 28JNR1 Federal Register / Vol. 81, No. 124 / Tuesday, June 28, 2016 / Rules and Regulations 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. asabaliauskas on DSK3SPTVN1PROD with RULES 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 this 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, VerDate Sep<11>2014 16:05 Jun 27, 2016 Jkt 238001 41793 and of reasonable alternatives to the action and their expected benefits on energy supply, distribution, and use. This 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. 10 CFR Part 824 K. Congressional Notification 10 CFR Part 1013 As required by 5 U.S.C. 801, DOE will submit to Congress a report regarding the issuance of today’s interim 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). Administrative practice and procedure, Claims, Fraud, Penalties. L. Approval of the Office of the Secretary 10 CFR Part 1050 The Secretary of Energy has approved publication of this interim final rule. List of Subjects Administrative practice and procedure, Energy, Penalties. 10 CFR Part 218 Administrative practice and procedure, Penalties, Petroleum allocation. 10 CFR Part 429 Confidential business information, Energy conservation, Household appliances, Imports, Incorporation by reference, Reporting and recordkeeping requirements. 10 CFR Part 431 Administrative practices and procedure, Confidential business information, Energy conservation, Reporting and recordkeeping requirements. 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. Frm 00007 Fmt 4700 Sfmt 4700 10 CFR Part 851 Civil penalty, Hazardous substances, Occupational safety and health, Safety, Reporting and recordkeeping requirements. 10 CFR Part 1017 Administrative practice and procedure, Government contracts, National Defense, Nuclear Energy, Penalties, Security measures. Decorations, medals, awards, Foreign relations, Government employees, Government property, Reporting and recordkeeping requirements. Issued in Washington, DC, on June 21, 2016. Steven Croley, General Counsel. 10 CFR Part 207 PO 00000 Government contracts, Nuclear materials, Penalties, Security measures. For the reasons set forth in the preamble, DOE amends chapters II, III, and X of title 10 of the Code of Federal Regulations as set forth below. PART 207—COLLECTION OF INFORMATION 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. 2. Section 207.7 is amended by revising the first sentence of paragraph (c)(1) to read as follows: ■ § 207.7 Sanctions. * * * * * (c) * * * (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 $10,000 for each violation. * * * * * * * * PART 218—STANDBY MANDATORY INTERNATIONAL OIL ALLOCATION 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. 4. Section 218.42 is amended by revising paragraph (b)(1) to read as follows: ■ E:\FR\FM\28JNR1.SGM 28JNR1 41794 § 218.42 Federal Register / Vol. 81, No. 124 / Tuesday, June 28, 2016 / Rules and Regulations Sanctions. * * * * * (b) * * * (1) Any person who violates any provision of this part 218 or any order issued pursuant thereto shall be subject to a civil penalty of not more than $21,661 for each violation. * * * * * PART 429—CERTIFICATION, COMPLIANCE, AND ENFORCEMENT FOR CONSUMER PRODUCTS AND COMMERCIAL AND INDUSTRIAL EQUIPMENT 5. The authority citation for part 429 is revised to read as follows: ■ Authority: 42 U.S.C. 6291–6317; 28 U.S.C. 2461 note. 6. Section 429.120 is amended by revising the first sentence to read as follows: ■ § 429.120 Maximum civil penalty. Any person who knowingly violates any provision of § 429.102(a) may be subject to assessment of a civil penalty of no more than $433 for each violation. * * * PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT PART 501—ADMINISTRATIVE PROCEDURES AND SANCTIONS 11. 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. 12. Section 501.181 is amended by revising paragraph (c)(1) to read as follows: ■ § 501.181 Sanctions. * * * * * (c) * * * (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 $88,613 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 $8 for each MCF of natural gas or up to $35 for each barrel of oil used in excess of that authorized in the exemption. * * * * * PART 601—NEW RESTRICTIONS ON LOBBYING ■ 7. The authority citation for part 431 is revised to read as follows: ■ Authority: 42 U.S.C. 6291–6317; 28 U.S.C. 2461 note. 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. 13. The authority citation for part 601 continues to read as follows: 8. Section 431.382 is amended by revising paragraph (b) to read as follows: ■ § 431.382 Prohibited acts. * * * * * (b) In accordance with sections 333 and 345 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 $433 for each violation. * * * * * PART 490—ALTERNATIVE FUEL TRANSPORTATION PROGRAM 9. The authority citation for part 490 is revised to read as follows: ■ asabaliauskas on DSK3SPTVN1PROD with RULES Authority: 42 U.S.C. 7191 et seq.; 42 U.S.C. 13201, 13211, 13220, 13251 et seq; 28 U.S.C. 2461 note. 10. Section 490.604 is amended by revising paragraph (a) to read as follows: ■ § 490.604 Penalties and Fines. (a) Civil Penalties. Whoever violates § 490.603 of this part shall be subject to a civil penalty of not more than $8,386 for each violation. * * * * * VerDate Sep<11>2014 16:05 Jun 27, 2016 Jkt 238001 14. Section 601.400 is amended by revising paragraphs (a), (b) and (e) to read as follows: ■ § 601.400 Penalties. (a) Any person who makes an expenditure prohibited herein shall be subject to a civil penalty of not less than $18,936 and not more than $189,361 for each such expenditure. (b) Any person who fails to file or amend the disclosure form (see appendix B to this part) to be filed or amended if required herein, shall be subject to a civil penalty of not less than $18,936 and not more than $189,361 for each such failure. * * * * * (e) First offenders under paragraphs (a) or (b) of this section shall be subject to a civil penalty of $18,936, absent aggravating circumstances. Second and subsequent offenses by persons shall be subject to an appropriate civil penalty between $18,936 and $189,361, as determined by the agency head or his or her designee. * * * * * PO 00000 Frm 00008 Fmt 4700 Sfmt 4700 15. Appendix A to part 601 is amended by: ■ a. Revising the last sentence of the second undesignated paragraph, in paragraph (3) of the section entitled, ‘‘Certification for Contracts, Grants, Loans, and Cooperative Agreements’’; and ■ b. Revising the last sentence of the third undesignated paragraph, in the section entitled, ‘‘Statement for Loan Guarantees and Loan Insurance’’. The revisions read as follows: ■ 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 $18,936 and not more than $189,361 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 $18,936 and not more than $189,361 for each such failure. PART 820—PROCEDURAL RULES FOR DOE NUCLEAR ACTIVITIES 16. 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. 17. Section 820.80 is amended by revising the first sentence to read as follows: ■ § 820.80 Basis and purpose. This subpart implements the Federal Civil Penalties Inflation Adjustment Act of 1990 (the Act) (Pub. L. 101–410), as amended by the Debt Collection Improvement Act of 1996 (Pub. L. 104– 134, section 31001) and the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015 (Pub. L. 114– 74, section 701). 28 U.S.C. 2461 note. * * * ■ 18. Section 820.81 is amended by revising the first sentence to read as follows: § 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 $197,869 for each such violation. * * * ■ 19. Appendix A to part 820 is amended by: ■ a. Revising the fourth sentence of paragraph 2.e., ‘‘Civil Penalty,’’ in section IX entitled ‘‘Enforcement Actions’’; and E:\FR\FM\28JNR1.SGM 28JNR1 Federal Register / Vol. 81, No. 124 / Tuesday, June 28, 2016 / Rules and Regulations b. Revising paragraph a. in section XII entitled ‘‘Secretarial Notification and Consultation’’. The revisions read as follows: * * 23. Appendix A to part 824 is amended by: ■ a. Revising the fourth and sixth sentences of paragraph 2.e., in section VIII entitled ‘‘Enforcement Actions’’; and ■ b. Revising the last sentence of paragraph 3.d., ‘‘Adjustment Factors,’’ in section VIII entitled ‘‘Enforcement Actions’’. The revisions read as follows: * * Appendix A to Part 824—General Statement of Enforcement Policy ■ Appendix A to Part 820—General Statement of Enforcement Policy * * * * * IX. Enforcement Actions * * * 2. Civil Penalty * * * e. * * * In no instance will a civil penalty for any one violation exceed the statutory limit, as periodically adjusted for inflation as required by law. * * * * * * * * XII. Secretarial Notification and Consultation * * * * * * * * * PART 824—PROCEDURAL RULES FOR THE ASSESSMENT OF CIVIL PENALTIES FOR CLASSIFIED INFORMATION SECURITY VIOLATIONS 20. The authority citation for part 824 is revised to read as follows: Authority: 42 U.S.C. 2201, 2282b, 7101 et seq., 50 U.S.C. 2401 et seq.; 28 U.S.C. 2461 note. 21. Section 824.1 is amended by revising the second sentence to read as follows: ■ 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 $141,402 for each violation. * * * ■ 22. Section 824.4 is amended by revising paragraph (c) to read as follows: § 824.4 Civil penalties. asabaliauskas on DSK3SPTVN1PROD 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 $141,402 for each violation. * * * * * VerDate Sep<11>2014 16:05 Jun 27, 2016 Jkt 238001 * * * * VIII. Enforcement Actions * * * * * * * * * * Appendix B to Part 851—General Statement of Enforcement Policy * * * * * * * * * * * * * * * * IX. Enforcement Actions e. * * * In no instance will a civil penalty for any one violation exceed the statutory limit, as periodically adjusted for inflation as required by law, 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 the limit. * * * * * 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 $91,830. (2) * * * A Severity Level II violation would be subject to a base civil penalty up to 50% of the maximum base civil penalty ($45,915). * 2. Civil Penalty * * * * * 1. Notice of Violation * * * * * (e) * * * (1) DOE may assess civil penalties of up to $91,830 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 3. Adjustment Factors ■ § 824.1 * c. Revising the fourth sentence in paragraph 2.(f) in section IX. The revisions read as follows: ■ * a. Proposals to impose civil penalties in an amount equal to or greater than the statutory limit, as periodically adjusted for inflation as required by law; * ■ 41795 * * * * d. * * * Based on the degree of such factors, DOE may escalate the amount of civil penalties up to the statutory maximum, as periodically adjusted for inflation as required by law, per violation per day for continuing violations. (f) * * * In no instance will a civil penalty for any one violation exceed the statutory limit, as periodically adjusted for inflation as required by law, per day. * * * * PART 1013—PROGRAM FRAUD CIVIL REMEDIES AND PROCEDURES * * * * * * * * * PART 851—WORKER SAFETY AND HEALTH PROGRAM ■ 24. The authority citation for part 851 is revised to read as follows: Authority: 31 U.S.C. 3801–3812; 28 U.S.C. 2461 note. ■ 27. The authority citation for part 1013 continues to reads 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.; 28 U.S.C. 2461 note. ■ 25. 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. ■ § 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 $91,830 for each such violation. * * * * * * * * ■ 26. Appendix B to part 851 is amended by: ■ a. Revising the last sentences of paragraphs (b)(1) and (2) in section VI; ■ b. Revising paragraph 1.(e)(1) in section IX ; and PO 00000 Frm 00009 Fmt 4700 Sfmt 4700 28. 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 $10,781 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 E:\FR\FM\28JNR1.SGM 28JNR1 41796 Federal Register / Vol. 81, No. 124 / Tuesday, June 28, 2016 / Rules and Regulations penalty of not more than $10,781 for each such statement. * * * * * ACTION: 29. The authority citation for part 1017 is revised 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 note. 30. Section 1017.29 is amended by revising paragraph (c) to read as follows: ■ Civil penalty. * * * * * (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 $254,645 for each violation. * * * * * PART 1050—FOREIGN GIFTS AND DECORATIONS 31. 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. 32. 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 $19,305. [FR Doc. 2016–15148 Filed 6–27–16; 8:45 am] BILLING CODE 6450–01–P DEPARTMENT OF TRANSPORTATION Federal Aviation Administration asabaliauskas on DSK3SPTVN1PROD with RULES 14 CFR Part 39 [Docket No. FAA–2015–6033; Directorate Identifier 2015–SW–019–AD; Amendment 39–18571; AD 2016–13–07] RIN 2120–AA64 Airworthiness Directives; Airbus Helicopters Federal Aviation Administration (FAA), DOT. AGENCY: VerDate Sep<11>2014 16:05 Jun 27, 2016 Jkt 238001 We are adopting a new airworthiness directive (AD) for Airbus Helicopters Model AS 365 N3 helicopters. This AD requires inspecting the cabin and cockpit for labels, placards, or markings that provide jettison procedure instructions for cabin doors, removing any labels, placards, or markings that are in an incorrect location, and installing placards where they are missing. This AD is prompted by the determination that placards had not been installed according to specifications on newly manufactured helicopters. The actions are intended to provide exit procedures during an emergency. SUMMARY: PART 1017—IDENTIFICATION AND PROTECTION OF UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION § 1017.29 Final rule. This AD is effective August 2, 2016. The Director of the Federal Register approved the incorporation by reference of a certain document listed in this AD as of August 2, 2016. ADDRESSES: For service information identified in this final rule, contact Airbus Helicopters, 2701 N. Forum Drive, Grand Prairie, TX 75052; telephone (972) 641–0000 or (800) 232– 0323; fax (972) 641–3775; or at http:// www.airbushelicopters.com/techpub. You may review the referenced service information at the FAA, Office of the Regional Counsel, Southwest Region, 10101 Hillwood Pkwy., Room 6N–321, Fort Worth, TX 76177. It is also available on the Internet at http:// www.regulations.gov by searching for and locating Docket No. FAA–2015– 6033. DATES: Examining the AD Docket You may examine the AD docket on the Internet at http:// www.regulations.gov by searching for and locating Docket No. FAA–2015– 6033; or in person at the Docket Operations Office between 9 a.m. and 5 p.m., Monday through Friday, except Federal holidays. The AD docket contains this AD, the European Aviation Safety Agency (EASA) AD, any incorporated-by-reference service information, the economic evaluation, any comments received, and other information. The street address for the Docket Operations Office (phone: 800– 647–5527) is U.S. Department of Transportation, Docket Operations Office, M–30, West Building Ground Floor, Room W12–140, 1200 New Jersey Avenue SE., Washington, DC 20590. FOR FURTHER INFORMATION CONTACT: David Hatfield, Aviation Safety Engineer, Safety Management Group, Rotorcraft Directorate, FAA, 10101 Hillwood Pkwy., Fort Worth, TX 76177; PO 00000 Frm 00010 Fmt 4700 Sfmt 4700 telephone (817) 222–5110; email david.hatfield@faa.gov. SUPPLEMENTARY INFORMATION: Discussion On March 11, 2016, at 81 FR 12836, the Federal Register published our notice of proposed rulemaking (NPRM), which proposed to amend 14 CFR part 39 by adding an AD that would apply to Airbus Helicopters Model AS 365 N3 helicopters. The NPRM proposed to require inspecting the cabin and cockpit for labels, placards, or markings that provide jettison procedure instructions for cabin doors, removing any labels, placards, or markings that are in an incorrect location, and installing placards in the correct locations. The proposed requirements were intended to provide exit procedures during an emergency. The NPRM was prompted by AD No. 2015–0068–E, dated April 29, 2015, issued by EASA, which is the Technical Agent for the Member States of the European Union, to correct an unsafe condition for the Airbus Helicopters Model AS 365 N3 helicopters without external life rafts installed, except those helicopters modified in accordance with Airbus Helicopters modification (MOD) 0711B68, and Model AS 365 N3 helicopters with external life rafts installed, except those helicopters modified in accordance Airbus Helicopters MOD 0711B67 and MOD 0711B68. EASA advises that during helicopter delivery after manufacturing, Airbus Helicopters identified that placards providing jettison procedure instructions for the cabin doors were not systematically installed or not installed in a proper location. This condition, if not corrected, could prevent the timely evacuation of the helicopter during an emergency. The EASA AD consequently requires determining whether any placards are missing or incorrectly located, installing any missing placards, and replacing any incorrectly located placards. Comments We gave the public the opportunity to participate in developing this AD, but we received no comments on the NPRM (81 FR 12836, March 11, 2016). FAA’s Determination These helicopters have been approved by the aviation authority of France and are approved for operation in the United States. Pursuant to our bilateral agreement with France, EASA, its technical representative, has notified us of the unsafe condition described in the EASA AD. We are issuing this AD because we evaluated all information E:\FR\FM\28JNR1.SGM 28JNR1

Agencies

[Federal Register Volume 81, Number 124 (Tuesday, June 28, 2016)]
[Rules and Regulations]
[Pages 41790-41796]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-15148]


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DEPARTMENT OF ENERGY

10 CFR Parts 207, 218, 429, 431, 490, 501, 601, 820, 824, 851, 
1013, 1017, and 1050

RIN 1990-AA46


Inflation Adjustment of Civil Monetary Penalties

AGENCY: Office of the General Counsel, U.S. Department of Energy.

ACTION: Interim final rule.

-----------------------------------------------------------------------

SUMMARY: The Department of Energy (``DOE'') publishes this interim 
final rule to adjust DOE's civil monetary penalties (``CMPs'') for 
inflation as mandated by the Federal Civil Penalties Inflation 
Adjustment Act of 1990, as further amended by the Federal Civil 
Penalties Inflation Adjustment Act Improvements Act of 2015 
(collectively referred to herein as ``the Act''). This rule adjusts 
CMPs within the jurisdiction of DOE to the maximum amount required by 
the Act.

[[Page 41791]]


DATES: This rule is effective July 28, 2016. Written comments must be 
received by July 28, 2016.

ADDRESSES: You may submit comments, identified by RIN 1990-AA46, by any 
of the following methods:
    1. Federal eRulemaking Portal: https://www.regulations.gov/. Follow 
the instructions for submitting comments.
    2. Email to GC-33EnergyRegs@hq.doe.gov. Include RIN 1990-AA46 in 
the subject line of the email. Please include the full body of your 
comments in the text of the message or as an attachment.
    3. Mail: Address written comments to U.S. Department of Energy, 
Office of the General Counsel, Room 6A-179, 1000 Independence Avenue 
SW., Washington, DC 20585.
    Due to potential delays in DOE's receipt and processing of mail 
sent through the U.S. Postal Service, we encourage respondents to 
submit comments electronically to ensure timely receipt.

FOR FURTHER INFORMATION CONTACT: Preeti Chaudhari, U.S. Department of 
Energy, Office of the General Counsel, GC-33, 1000 Independence Avenue 
SW., Washington, DC 20585, (202) 586-8078.

SUPPLEMENTARY INFORMATION:

I. Background
II. Method of Calculation
III. Summary of Interim Final Rule
IV. Interim Final Rulemaking
V. Regulatory Review

I. Background

    In order to improve the effectiveness of CMPs and to maintain their 
deterrent effect, the Federal Civil Penalties Inflation Adjustment Act 
of 1990, 28 U.S.C. 2461 note (``the Inflation Adjustment Act''), as 
further amended by the Federal Civil Penalties Inflation Adjustment Act 
Improvements Act of 2015 (Public Law 114-74) (``the 2015 Act''), 
requires Federal agencies to adjust each CMP provided by law within the 
jurisdiction of the agency. The 2015 Act requires agencies to adjust 
the level of CMPs with an initial ``catch-up'' adjustment through an 
interim final rulemaking and to make subsequent annual adjustments for 
inflation notwithstanding 5 U.S.C. 553. The 2015 Act also provides that 
any increase in a CMP shall apply only to CMPs, including those whose 
associated violation predated such increase, which are assessed after 
the date the increase takes effect.
    Pursuant to the 2015 Act, OMB issued a guidance memorandum on the 
implementation of the 2015 Act.\1\ This interim final rule is issued in 
accordance with applicable law and the OMB guidance memorandum.
---------------------------------------------------------------------------

    \1\ The guidance memorandum was issued on February 24, 2016, and 
references the adjustment multipliers and how to apply them.
---------------------------------------------------------------------------

II. Method of Calculation

    The method of calculating CMP adjustments applied in this interim 
final rule is required by the 2015 Act. Under the 2015 Act, catch-up 
adjustments are based on the percent change between the Consumer Price 
Index for all Urban Consumers (CPI-U) for the month of October in the 
year of the previous adjustment, and the October 2015 CPI-U. Subsequent 
annual inflation adjustments are to be based on the percent change 
between the October CPI-U preceding the date of the adjustment, and the 
prior year's October CPI-U. Under the 2015 Act, any increase in CMP 
shall be rounded to the nearest multiple of $1.

III. Summary of the Interim Final Rule

    The following list summarizes DOE authorities containing CMPs, and 
the penalties before and after adjustment. The list also identifies the 
year the original maximum and/or minimum penalty level was established 
or last adjusted, excluding any previous adjustments made under the 
Inflation Adjustment Act. Finally, the list provides the CPI-U 
adjustment multiplier.
---------------------------------------------------------------------------

    \2\ Implemented by 10 CFR 820.81, 10 CFR 851.5, and appendix B 
to 10 CFR part 851.

----------------------------------------------------------------------------------------------------------------
                                                                                   Year original
                                                                                  maximum and/or
                                                                                      minimum          CPI-U
  DOE Authority containing civil      Before adjustment       After adjustment     penalty level    Adjustment
         monetary penalty                                                               was         multiplier
                                                                                  established or
                                                                                   last adjusted
----------------------------------------------------------------------------------------------------------------
10 CFR 207.7......................  $4,000...............  $10,000..............            1974         4.65436
10 CFR 218.42.....................  9,000................  21,661...............            1975         4.33220
10 CFR 429.120....................  200..................  433..................            1975         4.33220
10 CFR 431.382....................  200..................  433..................            1975         4.33220
10 CFR 490.604....................  9,000................  8,386................            1992         1.67728
10 CFR 501.181....................  --40,000.............  --88,613.............            1978         3.54453
                                    --3.30/mcf...........  --8/mcf..............
                                    --20/bbl.............  --35/bbl.............
10 CFR 601.400 and App A..........  --minimum $15,000....  --minimum $18,936....            1989         1.89361
                                    --maximum $160,000...  --maximum $189,361...
10 CFR 820.81.....................  160,000..............  197,869..............            1988         1.97869
10 CFR 824.1 and App A............  120,000..............  141,402..............            1999         1.41402
10 CFR 824.4 and App A............  120,000..............  141,402..............            1999         1.41402
10 CFR 851.5 and App B............  80,000...............   91,830..............            2002         1.31185
10 CFR 1013.3.....................  9,000................  10,781...............            1986         2.15628
10 CFR 1017.29....................  160,000..............  254,645..............            1981         2.54645
10 CFR 1050.303...................  9,000................  19,305...............            1977         3.86101
50 U.S.C. 2731 \2\................  6,000................  8,655................            1991         1.73099
----------------------------------------------------------------------------------------------------------------


[[Page 41792]]

    In addition to the above, 10 CFR 820.80 was updated to indicate 
that subpart G of part 820 implements the Inflation Adjustment Act as 
further amended by the 2015 Act. In Appendix A to part 820, Appendix A 
to part 824, and Appendix B to part 851, references to the statutory 
CMP limit were clarified to refer to the statutory CMP limit, as 
periodically adjusted for inflation. The authority citations for some 
CFR parts included in this CMP adjustment were also updated to include 
the statutory citation for the Act, as amended, 28 U.S.C. 2461 note.

IV. Interim Final Rulemaking

    Section 4(b)(1)(A) of the Act states that, for the for the first 
adjustment made under the Act after the date of enactment of the 2015 
Act [Nov. 2, 2015] the head of an agency shall adjust CMPs through an 
interim final rulemaking and the adjustment shall take effect not later 
than August 1, 2016. As this rulemaking is the first adjustment made 
under the 2015 Act after its enactment, DOE must issue it as an interim 
final rule with a specified effective date without regard to the 
procedural requirements applicable to rulemaking under the 
Administrative Procedure Act, 5 U.S.C. 553.
    In addition, 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 interim final rule incorporates requirements specifically set 
forth in 28 U.S.C. 2461 note requiring DOE to issue a regulation 
implementing catch-up 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

    This 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 interim final rule is covered under 
the Categorical Exclusion found in DOE's National Environmental Policy 
Act regulations at paragraph A5 of Appendix A to Subpart D, 10 CFR part 
1021, which applies to a rulemaking that amends an existing rule or 
regulation and that 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, 
the 2015 Act requires that the catch-up adjustment be done through an 
interim final rule, and DOE has determined that prior notice and 
opportunity for public comment is unnecessary. Because a notice of 
proposed rulemaking is not required for this action pursuant to 5 
U.S.C. 553, or any other law, no regulatory flexibility analysis has 
been prepared for today's interim final rule.

D. Paperwork Reduction Act

    This interim 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 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

[[Page 41793]]

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 this 
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. This 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 interim 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).

L. Approval of the Office of the Secretary

    The Secretary of Energy has approved publication of this interim 
final rule.

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 429

    Confidential business information, Energy conservation, Household 
appliances, Imports, Incorporation by reference, Reporting and 
recordkeeping requirements.

10 CFR Part 431

    Administrative practices and procedure, Confidential business 
information, Energy conservation, Reporting and recordkeeping 
requirements.

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.

10 CFR Part 1050

    Decorations, medals, awards, Foreign relations, Government 
employees, Government property, Reporting and recordkeeping 
requirements.

    Issued in Washington, DC, on June 21, 2016.
Steven Croley,
General Counsel.

    For the reasons set forth in the preamble, DOE amends chapters II, 
III, and X of title 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) * * * (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 $10,000 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:

[[Page 41794]]

Sec.  218.42  Sanctions.

* * * * *
    (b) * * * (1) Any person who violates any provision of this part 
218 or any order issued pursuant thereto shall be subject to a civil 
penalty of not more than $21,661 for each violation.
* * * * *

PART 429--CERTIFICATION, COMPLIANCE, AND ENFORCEMENT FOR CONSUMER 
PRODUCTS AND COMMERCIAL AND INDUSTRIAL EQUIPMENT

0
5. The authority citation for part 429 is revised to read as follows:

    Authority: 42 U.S.C. 6291-6317; 28 U.S.C. 2461 note.


0
6. Section 429.120 is amended by revising the first sentence to read as 
follows:


Sec.  429.120  Maximum civil penalty.

    Any person who knowingly violates any provision of Sec.  429.102(a) 
may be subject to assessment of a civil penalty of no more than $433 
for each violation. * * *

PART 431--ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND 
INDUSTRIAL EQUIPMENT

0
7. The authority citation for part 431 is revised to read as follows:

    Authority: 42 U.S.C. 6291-6317; 28 U.S.C. 2461 note.


0
8. Section 431.382 is amended by revising paragraph (b) to read as 
follows:


Sec.  431.382  Prohibited acts.

* * * * *
    (b) In accordance with sections 333 and 345 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 $433 
for each violation.
* * * * *

PART 490--ALTERNATIVE FUEL TRANSPORTATION PROGRAM

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9. The authority citation for part 490 is revised to read as follows:

    Authority: 42 U.S.C. 7191 et seq.; 42 U.S.C. 13201, 13211, 
13220, 13251 et seq; 28 U.S.C. 2461 note.


0
10. 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 $8,386 for each 
violation.
* * * * *

PART 501--ADMINISTRATIVE PROCEDURES AND SANCTIONS

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11. 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
12. Section 501.181 is amended by revising paragraph (c)(1) to read as 
follows:


Sec.  501.181  Sanctions.

* * * * *
    (c) * * * (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 $88,613 
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 $8 for each MCF of natural gas or up to $35 
for each barrel of oil used in excess of that authorized in the 
exemption.
* * * * *

PART 601--NEW RESTRICTIONS ON LOBBYING

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13. 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
14. 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 $18,936 and not more than 
$189,361 for each such expenditure.
    (b) Any person who fails to file or amend the disclosure form (see 
appendix B to this part) to be filed or amended if required herein, 
shall be subject to a civil penalty of not less than $18,936 and not 
more than $189,361 for each such failure.
* * * * *
    (e) First offenders under paragraphs (a) or (b) of this section 
shall be subject to a civil penalty of $18,936, absent aggravating 
circumstances. Second and subsequent offenses by persons shall be 
subject to an appropriate civil penalty between $18,936 and $189,361, 
as determined by the agency head or his or her designee.
* * * * *

0
15. Appendix A to part 601 is amended by:
0
a. Revising the last sentence of the 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 of the third undesignated paragraph, in 
the section entitled, ``Statement for Loan Guarantees and Loan 
Insurance''.
    The revisions read as follows:

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 $18,936 and not 
more than $189,361 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 $18,936 and not more 
than $189,361 for each such failure.

PART 820--PROCEDURAL RULES FOR DOE NUCLEAR ACTIVITIES

0
16. 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.


0
17. Section 820.80 is amended by revising the first sentence to read as 
follows:


Sec.  820.80  Basis and purpose.

    This subpart implements the Federal Civil Penalties Inflation 
Adjustment Act of 1990 (the Act) (Pub. L. 101-410), as amended by the 
Debt Collection Improvement Act of 1996 (Pub. L. 104-134, section 
31001) and the Federal Civil Penalties Inflation Adjustment Act 
Improvements Act of 2015 (Pub. L. 114-74, section 701). 28 U.S.C. 2461 
note. * * *


0
18. 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 $197,869 for each 
such violation. * * *


0
19. Appendix A to part 820 is amended by:
0
a. Revising the fourth sentence of paragraph 2.e., ``Civil Penalty,'' 
in section IX entitled ``Enforcement Actions''; and

[[Page 41795]]

0
b. Revising paragraph a. in section XII entitled ``Secretarial 
Notification and Consultation''.
    The revisions read as follows:

Appendix A to Part 820--General Statement of Enforcement Policy

* * * * *

IX. Enforcement Actions

* * * * *

2. Civil Penalty

* * * * *
    e. * * * In no instance will a civil penalty for any one 
violation exceed the statutory limit, as periodically adjusted for 
inflation as required by law. * * *
* * * * *

XII. Secretarial Notification and Consultation

* * * * *
    a. Proposals to impose civil penalties in an amount equal to or 
greater than the statutory limit, as periodically adjusted for 
inflation as required by law;
* * * * *

PART 824--PROCEDURAL RULES FOR THE ASSESSMENT OF CIVIL PENALTIES 
FOR CLASSIFIED INFORMATION SECURITY VIOLATIONS

0
20. The authority citation for part 824 is revised to read as follows:

    Authority: 42 U.S.C. 2201, 2282b, 7101 et seq., 50 U.S.C. 2401 
et seq.; 28 U.S.C. 2461 note.


0
21. 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 $141,402 
for each violation. * * *

0
22. 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 $141,402 for each violation.
* * * * *

0
23. Appendix A to part 824 is amended by:
0
a. Revising the fourth and sixth sentences of paragraph 2.e., in 
section VIII entitled ``Enforcement Actions''; and
0
b. Revising the last sentence of paragraph 3.d., ``Adjustment 
Factors,'' in section VIII entitled ``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 statutory limit, as periodically adjusted for 
inflation as required by law, 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 the limit. * * *
* * * * *

3. Adjustment Factors

* * * * *
    d. * * * Based on the degree of such factors, DOE may escalate 
the amount of civil penalties up to the statutory maximum, as 
periodically adjusted for inflation as required by law, per 
violation per day for continuing violations.
* * * * *

PART 851--WORKER SAFETY AND HEALTH PROGRAM

0
24. The authority citation for part 851 is revised 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.; 28 
U.S.C. 2461 note.


0
25. 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 $91,830 for each such violation. * * *
* * * * *

0
26. Appendix B to part 851 is amended by:
0
a. Revising the last sentences of paragraphs (b)(1) and (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 $91,830.
    (2) * * * A Severity Level II violation would be subject to a 
base civil penalty up to 50% of the maximum base civil penalty 
($45,915).
* * * * *

IX. Enforcement Actions

* * * * *

1. Notice of Violation

* * * * *
    (e) * * *
    (1) DOE may assess civil penalties of up to $91,830 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, as periodically adjusted for 
inflation as required by law, per day. * * *
* * * * *

PART 1013--PROGRAM FRAUD CIVIL REMEDIES AND PROCEDURES

0
27. 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
28. 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 $10,781 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

[[Page 41796]]

penalty of not more than $10,781 for each such statement.
* * * * *

PART 1017--IDENTIFICATION AND PROTECTION OF UNCLASSIFIED CONTROLLED 
NUCLEAR INFORMATION

0
29. The authority citation for part 1017 is revised 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 note.


0
30. Section 1017.29 is amended by revising paragraph (c) to read as 
follows:


Sec.  1017.29  Civil penalty.

* * * * *
    (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 $254,645 for each 
violation.
* * * * *

PART 1050--FOREIGN GIFTS AND DECORATIONS

0
31. 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
32. 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 $19,305.

[FR Doc. 2016-15148 Filed 6-27-16; 8:45 am]
 BILLING CODE 6450-01-P