Inflation Adjustment of Civil Monetary Penalties, 96349-96353 [2016-31035]
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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 ......................................................................................
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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.
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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.
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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.
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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
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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
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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,
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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. * * *
*
*
*
*
*
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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.
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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.
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§ 218.42
Sanctions.
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(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.
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(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
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a civil penalty of not more than $8,523
for each violation.
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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.
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*
*
*
(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.
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*
*
determined by the agency head or his or
her designee.
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■ 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:
■
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§ 601.400
Penalties.
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§ 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
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*
*
*
*
*
*
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(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
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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.
*
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*
*
*
*
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:
https://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
