Inflation Adjustment of Civil Monetary Penalties, 96349-96353 [2016-31035]

Download as PDF Federal Register / Vol. 81, No. 251 / Friday, December 30, 2016 / Rules and Regulations capacity of not more than 1,300,000 electrical kilowatts, each such combination of reactors shall be considered to be a single nuclear reactor for the sole purpose of assessing the applicable financial protection required under this section. * * * * * Dated at Rockville, Maryland, this 15th day of December 2016. For the Nuclear Regulatory Commission. Michael R. Johnson, Acting Executive Director for Operations. [FR Doc. 2016–31368 Filed 12–29–16; 8:45 am] BILLING CODE 7590–01–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: Final rule. AGENCY: The Department of Energy (‘‘DOE’’) publishes this 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 SUMMARY: CMPs within the jurisdiction of DOE to the maximum amount required by the Act. DATES: This rule is effective December 30, 2016. 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 Final Rule IV. Final Rulemaking V. Regulatory Review 10 10 10 10 10 10 CFR CFR CFR CFR CFR CFR 207.7 .......................................................................................... 218.42 ........................................................................................ 429.120 ...................................................................................... 431.382 ...................................................................................... 490.604 ...................................................................................... 501.181 ...................................................................................... srobinson on DSK5SPTVN1PROD with RULES 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 ..................................................................................... 1 The guidance memorandum was issued on December 16, 2016, provides the 2017 adjustment multiplier, and addresses how to apply it. VerDate Sep<11>2014 18:39 Dec 29, 2016 Jkt 241001 The method of calculating CMP adjustments applied in this final rule is required by the 2015 Act. Under the 2015 Act, annual inflation adjustments subsequent to the initial catch-up adjustment are to be based on the percent change between the October Consumer Price Index for all Urban Consumers (CPI–U) preceding the date of the adjustment, and the prior year’s October CPI–U. Pursuant to the aforementioned OMB guidance memorandum, the adjustment multiplier for 2017 is 1.01636. In order to complete the 2017 annual adjustment, each CMP is multiplied by the 2017 adjustment multiplier. Under the 2015 Act, any increase in CMP must be rounded to the nearest multiple of $1. III. Summary of the Final Rule The following list summarizes DOE authorities containing CMPs, and the penalties before and after adjustment. Before adjustment 10 CFR 601.400 and App A ................................................................... 10 10 10 10 10 10 10 50 adopted as final without amendment. 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. In accordance with the 2015 Act, OMB issued a guidance memorandum on the implementation of the 2017 annual adjustment pursuant to the 2015 Act.1 This final rule is issued in 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 (Pub. L. 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. DOE’s initial catch-up adjustment interim final rule was published June 28, 2016 (81 FR 41790). DOE received no public comments in response to the interim final rule. The interim final rule is today DOE Authority containing civil monetary penalty After adjustment $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 .............................................. $10,164. 22,015. 440. 440. 8,523. —90,063. —8/mcf. —36/bbl. —minimum 19,246 —maximum 192,459. 201,106. 143,715. 143,715. 93,332. 10,957. 258,811. 19,621. 8,797. 2 Implemented by 10 CFR 820.81, 10 CFR 851.5, and appendix B to 10 CFR part 851. PO 00000 Frm 00011 Fmt 4700 96349 Sfmt 4700 E:\FR\FM\30DER1.SGM 30DER1 96350 Federal Register / Vol. 81, No. 251 / Friday, December 30, 2016 / Rules and Regulations IV. Final Rulemaking The 2015 Act requires that annual adjustments for inflation subsequent to the initial ‘‘catch-up’’ adjustment be made notwithstanding 5 U.S.C. 553. 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 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 annual inflation adjustments subsequent to the initial catch-up adjustment be made notwithstanding 5 U.S.C. 553. 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 this final rule. D. Paperwork Reduction Act This final rule imposes no new information collection requirements subject to the Paperwork Reduction Act. srobinson on DSK5SPTVN1PROD with RULES 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 VerDate Sep<11>2014 18:39 Dec 29, 2016 Jkt 241001 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 this 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 PO 00000 Frm 00012 Fmt 4700 Sfmt 4700 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 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, E:\FR\FM\30DER1.SGM 30DER1 Federal Register / Vol. 81, No. 251 / Friday, December 30, 2016 / Rules and Regulations 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 this final rule prior to the effective date set forth at the outset of this rulemaking. 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 final rule. List of Subjects Administrative practice and procedure, Energy, Penalties. ■ 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. 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. 10 CFR Part 218 Administrative practice and procedure, Penalties, Petroleum allocation. PART 207—COLLECTION OF INFORMATION 10 CFR Part 429 Confidential business information, Energy conservation, Household appliances, Imports, Incorporation by reference, Reporting and recordkeeping requirements. 10 CFR Part 431 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: ■ Administrative practices and procedure, Confidential business information, Energy conservation, Incorporation by reference, Reporting and recordkeeping requirements. 10 CFR Part 490 Administrative practice and procedure, Energy conservation, Penalties. § 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 $10,164 for each violation. * * * * * * * * srobinson on DSK5SPTVN1PROD with RULES 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. VerDate Sep<11>2014 18:11 Dec 29, 2016 Jkt 241001 4. Section 218.42 is amended by revising paragraph (b)(1) to read as follows: 10 CFR Part 820 Administrative practice and procedure, Government contracts, Penalties, Radiation protection. Issued in Washington, DC, on December 20, 2016. Steven Croley, General Counsel. 10 CFR Part 207 96351 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. PO 00000 Frm 00013 Fmt 4700 Sfmt 4700 § 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 $22,015 for each violation. * * * * * PART 429—CERTIFICATION, COMPLIANCE, AND ENFORCEMENT FOR CONSUMER PRODUCTS AND COMMERCIAL AND INDUSTRIAL EQUIPMENT 5. The authority citation for part 429 continues 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 $440 for each violation. * * * PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT 7. The authority citation for part 431 continues to read as follows: ■ Authority: 42 U.S.C. 6291–6317; 28 U.S.C. 2461 note. 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 $440 for each violation. * * * * * PART 490—ALTERNATIVE FUEL TRANSPORTATION PROGRAM 9. 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; 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 E:\FR\FM\30DER1.SGM 30DER1 96352 Federal Register / Vol. 81, No. 251 / Friday, December 30, 2016 / Rules and Regulations a civil penalty of not more than $8,523 for each violation. * * * * * 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 $90,063 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 $36 for each barrel of oil used in excess of that authorized in the exemption. * * * * * determined by the agency head or his or her designee. * * * * * ■ 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 $19,246 and not more than $192,459 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 $19,246 and not more than $192,459 for each such failure. PART 820—PROCEDURAL RULES FOR DOE NUCLEAR ACTIVITIES PART 601—NEW RESTRICTIONS ON LOBBYING 16. The authority citation for part 820 continues to read as follows: ■ 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. 14. Section 601.400 is amended by revising paragraphs (a), (b) and (e) to read as follows: ■ srobinson on DSK5SPTVN1PROD with RULES § 601.400 Penalties. VerDate Sep<11>2014 18:11 Dec 29, 2016 Jkt 241001 § 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 $143,715 for each violation. * * * * * PART 851—WORKER SAFETY AND HEALTH PROGRAM 21. 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.; 28 U.S.C. 2461 note. 22. Section 851.5 is amended by revising the first sentence of paragraph (a) to read as follows: ■ § 851.5 Enforcement. PART 824—PROCEDURAL RULES FOR THE ASSESSMENT OF CIVIL PENALTIES FOR CLASSIFIED INFORMATION SECURITY VIOLATIONS (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 $93,332 for each such violation. * * * * * * * * ■ 23. Appendix B to part 851 is amended by: ■ a. Revising the last sentences of paragraphs (b)(1) and (2) in section VI; and ■ b. Revising paragraph 1.(e)(1) in section IX. The revisions read as follows: ■ 18. The authority citation for part 824 continues to read as follows: Appendix B to Part 851—General Statement of Enforcement Policy Authority: 42 U.S.C. 2201, 2282b, 7101 et seq., 50 U.S.C. 2401 et seq.; 28 U.S.C. 2461 note. VI. Severity of Violations Authority: 42 U.S.C. 2201; 2282(a); 7191; 28 U.S.C. 2461 note; 50 U.S.C. 2410. 17. Section 820.81 is amended by revising the first sentence to read as follows: ■ § 820.81 (a) Any person who makes an expenditure prohibited herein shall be subject to a civil penalty of not less than $19,246 and not more than $192,459 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 $19,246 and not more than $192,459 for each such failure. * * * * * (e) First offenders under paragraphs (a) or (b) of this section shall be subject to a civil penalty of $19,246, absent aggravating circumstances. Second and subsequent offenses by persons shall be subject to an appropriate civil penalty between $19,246 and $192,459, as 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 $143,715 for each violation. * * * ■ 20. Section 824.4 is amended by revising paragraph (c) to read as follows: 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 $201,106 for each such violation. * * * 19. Section 824.1 is amended by revising the second sentence to read as follows: ■ § 824.1 Purpose and scope. * * * Subsection a. provides that any person who has entered into a contract PO 00000 Frm 00014 Fmt 4700 Sfmt 4700 * * * * * * * * * * (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 $93,332. (2) * * * A Severity Level II violation would be subject to a base civil penalty up E:\FR\FM\30DER1.SGM 30DER1 Federal Register / Vol. 81, No. 251 / Friday, December 30, 2016 / Rules and Regulations to 50% of the maximum base civil penalty ($46,666). * * * * * a regulation under paragraph (a) of this section or a compliance order issued under paragraph (b) of this section, not to exceed $258,811 for each violation. * * * * * * PART 1050—FOREIGN GIFTS AND DECORATIONS * IX. Enforcement Actions * * * * 1. Notice of Violation * * * * (e) * * * (1) DOE may assess civil penalties of up to $93,332 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). * * * * * PART 1013—PROGRAM FRAUD CIVIL REMEDIES AND PROCEDURES 24. The authority citation for part 1013 continues to reads as follows: ■ 25. Section 1013.3 is amended by revising paragraphs (a)(1)(iv) and (b)(1)(ii) to read as follows: ■ § 1013.3 Basis for civil penalties and assessments. PART 1017—IDENTIFICATION AND PROTECTION OF UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION 26. The authority citation for part 1017 continues to read as follows: srobinson on DSK5SPTVN1PROD with RULES 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. 27. 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 18:11 Dec 29, 2016 Jkt 241001 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 $19,621. BILLING CODE 6450–01–P DEPARTMENT OF THE TREASURY Office of the Comptroller of the Currency 12 CFR Part 7 [Docket ID OCC–2016–0022] RIN 1557–AD93 Industrial and Commercial Metals Office of the Comptroller of the Currency (OCC), Treasury. ACTION: Final rule. AGENCY: The OCC is finalizing a rule to prohibit national banks and federal savings associations from dealing or investing in industrial or commercial metals. SUMMARY: This final rule is effective April 1, 2017. FOR FURTHER INFORMATION CONTACT: Casey Scott Laxton, Counsel, or Margo Dey, Counsel, Securities and Corporate Practices Division, (202) 649–5510; Carl Kaminski, Special Counsel, Legislative and Regulatory Activities Division, (202) 649–5490; or, for persons who are deaf or hard of hearing, TTY, (202) 649– 5597, 400 7th Street SW., Washington, DC 22019. SUPPLEMENTARY INFORMATION: DATES: ■ VerDate Sep<11>2014 29. Section 1050.303 is amended by revising the last sentence in paragraph (d) to read as follows: ■ [FR Doc. 2016–31035 Filed 12–29–16; 8:45 am] (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 $10,957 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 $10,957 for each such statement. * * * * * * 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. § 1050.303 Authority: 31 U.S.C. 3801–3812; 28 U.S.C. 2461 note. § 1017.29 28. The authority citation for part 1050 continues to read as follows: ■ I. Background In September 2016, the OCC issued a Notice of Proposed Rulemaking (NPRM) PO 00000 Frm 00015 Fmt 4700 Sfmt 4700 96353 to prohibit national banks from dealing or investing in industrial or commercial metals.1 The OCC proposed to: (i) Exclude industrial and commercial metals from the terms ‘‘exchange,’’ ‘‘coin,’’ and ‘‘bullion’’ in the ‘‘powers clause’’ of the National Bank Act at 12 U.S.C. 24(Seventh); and (ii) provide that dealing or investing in industrial or commercial metal is not part of, or incidental to, the business of banking. The proposed prohibitions were generally consistent with recommendations made by the U.S. Senate Permanent Subcommittee on Investigations in 2014,2 as well as recommendations described in a September 2016 report to the U.S. Congress and the Financial Stability Oversight Council (FSOC) prepared by the OCC, the Board of Governors of the Federal Reserve System (‘‘Board’’), and the Federal Deposit Insurance Corporation pursuant to section 620 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (‘‘Dodd-Frank Act’’).3 A national bank may engage in activities that are part of, or incidental to, the business of banking under 12 U.S.C. 24(Seventh). Section 24(Seventh) lists several activities that are part of the business of banking; for example, it expressly provides that national banks may buy and sell exchange, coin, and bullion. In addition to these enumerated powers, section 24(Seventh) authorizes national banks to exercise all such incidental powers as shall be necessary to carry on the business of banking. National banks also are authorized to engage in any other activities not expressly enumerated in the statute that the Comptroller of the Currency 1 81 FR 63428 (Sept. 15, 2016). Street Bank Involvement with Physical Commodities,’’ U.S. Senate Permanent Subcommittee on Investigations, available at: http://www.hsgac.senate.gov/download/report-wallstreet-involvement-with-physical-commodities (‘‘PSI Report’’). 3 ‘‘Report to Congress and the Financial Stability Oversight Council Pursuant to Section 620 of the Dodd-Frank Act,’’ at 86–90 (September 2016), available at: https://www.occ.gov/news-issuances/ news-releases/2016/nr-ia-2016–107a.pdf (‘‘620 Study’’). Section 620 of the Dodd-Frank Act required the federal banking agencies to conduct a study and prepare a report, including recommendations, on the types of activities and investments permissible for banking entities, the associated risks, and how banking entities mitigate those risks. In a parallel action, the Board also issued a proposed rule in September 2016. The proposed Board rule addressed the physical commodities activities and investments of banking holding companies and financial holding companies, including copper. Risk-Based Capital and Other Regulatory Requirements for Activities of Financial Holding Companies Related to Physical Commodities and Risk-Based Capital Requirements for Merchant Banking Investments, 81 FR 67220 (Sept. 30, 2016). 2 ‘‘Wall E:\FR\FM\30DER1.SGM 30DER1

Agencies

[Federal Register Volume 81, Number 251 (Friday, December 30, 2016)]
[Rules and Regulations]
[Pages 96349-96353]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-31035]


=======================================================================
-----------------------------------------------------------------------

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: Final rule.

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

SUMMARY: The Department of Energy (``DOE'') publishes this 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.

DATES: This rule is effective December 30, 2016.

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 Final Rule
IV. 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 (Pub. L. 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. DOE's initial catch-up 
adjustment interim final rule was published June 28, 2016 (81 FR 
41790). DOE received no public comments in response to the interim 
final rule. The interim final rule is today adopted as final without 
amendment. 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.
    In accordance with the 2015 Act, OMB issued a guidance memorandum 
on the implementation of the 2017 annual adjustment pursuant to the 
2015 Act.\1\ This final rule is issued in accordance with applicable 
law and the OMB guidance memorandum.
---------------------------------------------------------------------------

    \1\ The guidance memorandum was issued on December 16, 2016, 
provides the 2017 adjustment multiplier, and addresses how to apply 
it.
---------------------------------------------------------------------------

II. Method of Calculation

    The method of calculating CMP adjustments applied in this final 
rule is required by the 2015 Act. Under the 2015 Act, annual inflation 
adjustments subsequent to the initial catch-up adjustment are to be 
based on the percent change between the October Consumer Price Index 
for all Urban Consumers (CPI-U) preceding the date of the adjustment, 
and the prior year's October CPI-U. Pursuant to the aforementioned OMB 
guidance memorandum, the adjustment multiplier for 2017 is 1.01636. In 
order to complete the 2017 annual adjustment, each CMP is multiplied by 
the 2017 adjustment multiplier. Under the 2015 Act, any increase in CMP 
must be rounded to the nearest multiple of $1.

III. Summary of the Final Rule

    The following list summarizes DOE authorities containing CMPs, and 
the penalties before and after adjustment.
---------------------------------------------------------------------------

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

------------------------------------------------------------------------
 DOE Authority containing civil
        monetary penalty           Before adjustment   After adjustment
------------------------------------------------------------------------
10 CFR 207.7....................  $10,000...........  $10,164.
10 CFR 218.42...................  21,661............  22,015.
10 CFR 429.120..................  433...............  440.
10 CFR 431.382..................  433...............  440.
10 CFR 490.604..................  8,386.............  8,523.
10 CFR 501.181..................  --88,613..........  --90,063.
                                  --8/mcf...........  --8/mcf.
                                  --35/bbl..........  --36/bbl.
10 CFR 601.400 and App A........  --minimum 18,936..  --minimum 19,246
                                  --maximum 189,361.  --maximum 192,459.
10 CFR 820.81...................  197,869...........  201,106.
10 CFR 824.1 and App A..........  141,402...........  143,715.
10 CFR 824.4 and App A..........  141,402...........  143,715.
10 CFR 851.5 and App B..........  91,830............  93,332.
10 CFR 1013.3...................  10,781............  10,957.
10 CFR 1017.29..................  254,645...........  258,811.
10 CFR 1050.303.................  19,305............  19,621.
50 U.S.C. 2731 \2\..............  8,655.............  8,797.
------------------------------------------------------------------------


[[Page 96350]]

IV. Final Rulemaking

    The 2015 Act requires that annual adjustments for inflation 
subsequent to the initial ``catch-up'' adjustment be made 
notwithstanding 5 U.S.C. 553.

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 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 annual inflation adjustments subsequent to 
the initial catch-up adjustment be made notwithstanding 5 U.S.C. 553. 
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 this final 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 proposed 
rulemaking is published. Nevertheless, DOE has determined that this 
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 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 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,

[[Page 96351]]

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 this final rule prior to the effective date 
set forth at the outset of this rulemaking. 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 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, Incorporation by reference, 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 December 20, 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 $10,164 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) * * * (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 $22,015 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 continues 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 $440 
for each violation. * * *

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

0
7. The authority citation for part 431 continues 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 $440 
for each violation.
* * * * *

PART 490--ALTERNATIVE FUEL TRANSPORTATION PROGRAM

0
9. 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; 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

[[Page 96352]]

a civil penalty of not more than $8,523 for each violation.
* * * * *

PART 501--ADMINISTRATIVE PROCEDURES AND SANCTIONS

0
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 $90,063 
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 $36 
for each barrel of oil used in excess of that authorized in the 
exemption.
* * * * *

PART 601--NEW RESTRICTIONS ON LOBBYING

0
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 $19,246 and not more than 
$192,459 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 $19,246 and not 
more than $192,459 for each such failure.
* * * * *
    (e) First offenders under paragraphs (a) or (b) of this section 
shall be subject to a civil penalty of $19,246, absent aggravating 
circumstances. Second and subsequent offenses by persons shall be 
subject to an appropriate civil penalty between $19,246 and $192,459, 
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 $19,246 and not 
more than $192,459 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 $19,246 and not more 
than $192,459 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 820.81 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 $201,106 for each 
such violation. * * *

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

0
18. 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.; 28 U.S.C. 2461 note.

0
19. 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 $143,715 
for each violation. * * *

0
20. 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 $143,715 for each violation.
* * * * *

PART 851--WORKER SAFETY AND HEALTH PROGRAM

0
21. 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.; 28 
U.S.C. 2461 note.

0
22. 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 $93,332 for each such violation. * * *
* * * * *

0
23. Appendix B to part 851 is amended by:
0
a. Revising the last sentences of paragraphs (b)(1) and (2) in section 
VI; and
0
b. Revising paragraph 1.(e)(1) 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 $93,332.
    (2) * * * A Severity Level II violation would be subject to a 
base civil penalty up

[[Page 96353]]

to 50% of the maximum base civil penalty ($46,666).
* * * * *

IX. Enforcement Actions

* * * * *

1. Notice of Violation

* * * * *
    (e) * * *
    (1) DOE may assess civil penalties of up to $93,332 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).
* * * * *

PART 1013--PROGRAM FRAUD CIVIL REMEDIES AND PROCEDURES

0
24. 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
25. 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 $10,957 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 $10,957 for 
each such statement.
* * * * *

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

0
26. 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 note.

0
27. 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 $258,811 for each 
violation.
* * * * *

PART 1050--FOREIGN GIFTS AND DECORATIONS

0
28. 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
29. 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 $19,621.
[FR Doc. 2016-31035 Filed 12-29-16; 8:45 am]
BILLING CODE 6450-01-P