Inflation Adjustment of Civil Monetary Penalties, 2953-2957 [2021-00439]
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Rules and Regulations
Federal Register
Vol. 86, No. 9
Thursday, January 14, 2021
This section of the FEDERAL REGISTER
contains regulatory documents having general
applicability and legal effect, most of which
are keyed to and codified in the Code of
Federal Regulations, which is published under
50 titles pursuant to 44 U.S.C. 1510.
Energy, Office of the General Counsel,
GC–33, 1000 Independence Avenue SW,
Washington, DC 20585, (202) 586–8078,
preeti.chaudhari@hq.doe.gov.
SUPPLEMENTARY INFORMATION:
I. Background
II. Method of Calculation
III. Summary of the Final Rule
IV. Final Rulemaking
V. Regulatory Review
The Code of Federal Regulations is sold by
the Superintendent of Documents.
DEPARTMENT OF ENERGY
10 CFR Parts 207, 218, 429, 431, 490,
501, 601, 820, 824, 851, 1013, 1017, and
1050
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
CMPs within the jurisdiction of DOE to
the maximum amount required by the
Act.
DATES: This rule is effective on January
14, 2021.
FOR FURTHER INFORMATION CONTACT:
Preeti Chaudhari, U.S. Department of
SUMMARY:
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
required 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) and adopted as final without
amendment on December 30, 2016 (81
FR 96349). The 2015 Act also provides
that any increase in a CMP shall apply
only to CMPs, including those whose
associated violation predated such
DOE authority containing civil monetary penalty
10
10
10
10
10
10
CFR
CFR
CFR
CFR
CFR
CFR
207.7 .........................................................................................................................
218.42 .......................................................................................................................
429.120 .....................................................................................................................
431.382 .....................................................................................................................
490.604 .....................................................................................................................
501.181 .....................................................................................................................
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CFR 820.81 .......................................................................................................................
CFR 824.1 and appendix A ...............................................................................................
CFR 824.4 and appendix A ...............................................................................................
CFR 851.5 and appendix B ...............................................................................................
CFR 1013.3 .......................................................................................................................
CFR 1017.29 .....................................................................................................................
CFR 1050.303 ...................................................................................................................
U.S.C. 2282(a) 2 ................................................................................................................
U.S.C. 2731 3 .....................................................................................................................
1 OMB’s annual guidance memorandum was
issued on December 23, 2020, providing the 2021
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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 2021 is 1.01182. In order
to complete the 2021 annual
adjustment, each CMP is multiplied by
the 2021 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 appendix A ...........................................................................................
10
10
10
10
10
10
10
42
50
increase, which are assessed after the
date the increase takes effect.
In accordance with the 2015 Act, the
Office of Management and Budget
(OMB) must issue annually guidance on
adjustments to civil monetary penalties.
This final rule to adjust civil monetary
penalties for 2021 is issued in
accordance with applicable law and
OMB’s guidance memorandum on
implementation of the 2021 annual
adjustment.1
$10,821 ..........................
$23,437 ..........................
$468 ...............................
$468 ...............................
$9,073 ............................
—$95,881 ......................
—$8/mcf .........................
—$39/bbl ........................
—minimum $20,489 .......
—maximum $204,892 ....
$214,097 ........................
$152,998 ........................
$152,998 ........................
$99,361 ..........................
$11,665 ..........................
$275,529 ........................
$20,888 ..........................
$104,330 ........................
$9,365 ............................
adjustment multiplier and addressing how to apply
it.
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After adjustment
$10,949.
$23,714.
$474.
$474.
$9,180.
—$97,014.
—$8/mcf.
—$39/bbl.
—minimum $20,731.
—maximum $207,314.
$216,628.
$154,806.
$154,806.
$100,535.
$11,803.
$278,786.
$21,135.
$105,563.
$9,476.
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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.
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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
2 Adjustment applies only to violations of 42
U.S.C. 2077(b), consistent with Public Law 115–232
(August 13, 2018).
3 Implemented by 10 CFR 820.81, 10 CFR 851.5,
and appendix B to 10 CFR part 851.
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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
this 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
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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
the Office of Information and Regulatory
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Affairs (OIRA) as a significant energy
action. For any proposed significant
energy action, the agency must give a
detailed statement of any adverse effects
on energy supply, distribution, or use
should the proposal be implemented,
and of reasonable alternatives to the
action and their expected benefits on
energy supply, distribution, and use.
This regulatory action would not have a
significant adverse effect on the supply,
distribution, or use of energy and is
therefore not a significant energy action.
Accordingly, DOE has not prepared a
Statement of Energy Effects.
K. Congressional Notification
As required by 5 U.S.C. 801, DOE will
submit to Congress a report regarding
the issuance of 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.
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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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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.
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2. Section 207.7 is amended by
revising the first sentence of paragraph
(c)(1) to read as follows:
§ 207.7
Sanctions.
*
*
*
*
(c) * * *
(1) Any person who violates any
provision of this subpart or any order
issued pursuant thereto shall be subject
to a civil penalty of not more than
$10,949 for each violation. * * *
*
*
*
*
*
PART 218—STANDBY MANDATORY
INTERNATIONAL OIL ALLOCATION
3. The authority citation for part 218
continues to read as follows:
■
10 CFR Part 1017
Administrative practice and
procedure, Government contracts,
National defense, Nuclear energy,
Penalties, Security measures.
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.
10 CFR Part 1050
Decorations, medals, awards, Foreign
relations, Government employees,
Government property, Reporting and
recordkeeping requirements.
§ 218.42
Signing Authority
This document of the Department of
Energy was signed on January 7, 2021,
by William S. Cooper III, General
Counsel, pursuant to delegated
authority from the Secretary of Energy.
That document with the original
signature and date is maintained by
DOE. For administrative purposes only,
and in compliance with requirements of
the Office of the Federal Register, the
undersigned DOE Federal Register
Liaison Officer has been authorized to
sign and submit the document in
electronic format for publication, as an
official document of the Department of
Energy. This administrative process in
no way alters the legal effect of this
document upon publication in the
Federal Register.
Signed in Washington, DC, on January 7,
2021.
Treena V. Garrett,
Federal Register Liaison Officer, U.S.
Department of Energy.
For the reasons set forth in the
preamble, DOE amends chapters II, III,
and X of title 10 of the Code of Federal
Regulations as set forth below.
PART 207—COLLECTION OF
INFORMATION
1. The authority citation for part 207
continues to read as follows:
Authority: 15 U.S.C. 787 et seq.; 15 U.S.C.
791 et seq.; E.O. 11790, 39 FR 23185; 28
U.S.C. 2461 note.
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Sanctions.
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*
*
*
*
(b) * * *
(1) Any person who violates any
provision of this part or any order
issued pursuant thereto shall be subject
to a civil penalty of not more than
$23,714 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 $474 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:
■
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4. Section 218.42 is amended by
revising paragraph (b)(1) 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:
■
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§ 431.382
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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 $474 for each violation.
*
*
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*
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 shall be subject to a civil
penalty of not more than $9,180 for each
violation.
*
*
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*
*
PART 501—ADMINISTRATIVE
PROCEDURES AND SANCTIONS
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:
■
Sanctions.
*
*
*
*
*
(c) * * *
(1) Any person who violates any
provisions of the Act (other than section
402) or any rule in this subchapter or
order under this subchapter or the Act
will be subject to the following civil
penalty, which may not exceed $97,014
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 $39 for
each barrel of oil used in excess of that
authorized in the exemption.
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§ 601.400
§ 824.1
Penalties.
(a) Any person who makes an
expenditure prohibited by this part shall
be subject to a civil penalty of not less
than $20,731 and not more than
$207,314 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 by this part, shall
be subject to a civil penalty of not less
than $20,731 and not more than
$207,314 for each such failure.
*
*
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*
*
(e) First offenders under paragraph (a)
or (b) of this section shall be subject to
a civil penalty of $20,731, absent
aggravating circumstances. Second and
subsequent offenses by persons shall be
subject to an appropriate civil penalty
between $20,731 and $207,314, as
determined by the agency head or his or
her designee.
*
*
*
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*
Appendix A to Part 601 [Amended]
11. The authority citation for part 501
continues to read as follows:
■
§ 501.181
14. Section 601.400 is amended by
revising paragraphs (a), (b), and (e) to
read as follows:
■
*
PART 601—NEW RESTRICTIONS ON
LOBBYING
15. Appendix A to part 601 is
amended by:
■ a. Removing ‘‘$20,489’’ wherever it
appears and adding in its place
‘‘$20,731’’; and
■ b. Removing ‘‘$204,892’’ wherever it
appears and adding in its place
‘‘$207,314’’.
■
PART 820—PROCEDURAL RULES
FOR DOE NUCLEAR ACTIVITIES
§ 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 $154,806 for each
violation.
*
*
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*
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.
Authority: 42 U.S.C. 2201; 2282(a); 7191;
28 U.S.C. 2461 note; 50 U.S.C. 2410.
§ 851.5
17. Section 820.81 is amended by
revising the first sentence to read as
follows:
■
§ 820.81
Amount of penalty.
Any person subject to a penalty under
42 U.S.C. 2282a shall be subject to a
civil penalty in an amount not to exceed
$216,628 for each such violation. * * *
PART 824—PROCEDURAL RULES
FOR THE ASSESSMENT OF CIVIL
PENALTIES FOR CLASSIFIED
INFORMATION SECURITY
VIOLATIONS
18. The authority citation for part 824
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.
Authority: 42 U.S.C. 2201, 2282b, 7101 et
seq., 50 U.S.C. 2401 et seq.; 28 U.S.C. 2461
note.
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* * * 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 $154,806
for each violation. * * *
■ 20. Section 824.4 is amended by
revising paragraph (c) to read as follows:
22. Section 851.5 is amended by
revising the first sentence of paragraph
(a) to read as follows:
16. The authority citation for part 820
continues to read as follows:
13. The authority citation for part 601
continues to read as follows:
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Purpose and scope.
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19. Section 824.1 is amended by
revising the second sentence to read as
follows:
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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 $100,535 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:
Appendix B to Part 851—General
Statement of Enforcement Policy
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VI. Severity of Violations
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*
27. Section 1017.29 is amended by
revising paragraph (c) to read as follows:
■
*
(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 $100,535.
(2) * * * A Severity Level II violation
would be subject to a base civil penalty up
to 50% of the maximum base civil penalty
($50,267).
*
*
*
*
*
IX. Enforcement Actions
*
*
*
*
*
*
*
*
*
(e) * * *
(1) DOE may assess civil penalties of up to
$100,535 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).
*
*
*
*
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 $278,786 for each violation.
*
*
*
*
*
PART 1050—FOREIGN GIFTS AND
DECORATIONS
Notice of Violation
*
§ 1017.29
*
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.
PART 1013—PROGRAM FRAUD CIVIL
REMEDIES AND PROCEDURES
29. Section 1050.303 is amended by
revising the last sentence in paragraph
(d) to read as follows:
24. The authority citation for part
1013 continues to reads as follows:
§ 1050.303
■
■
Authority: 31 U.S.C. 3801–3812; 28 U.S.C.
2461 note.
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.
khammond on DSKJM1Z7X2PROD with RULES
PART 1017—IDENTIFICATION AND
PROTECTION OF UNCLASSIFIED
CONTROLLED NUCLEAR
INFORMATION
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.
18:22 Jan 13, 2021
Jkt 253001
*
*
*
*
(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 $21,135.
[FR Doc. 2021–00439 Filed 1–13–21; 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 $11,803 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 $11,803 for
each such statement.
*
*
*
*
*
VerDate Sep<11>2014
Enforcement.
*
BILLING CODE 6450–01–P
SMALL BUSINESS ADMINISTRATION
13 CFR Part 121, 124, 125, 126, and 127
RIN 3245–AG94
Consolidation of Mentor-Prote´ge´
Programs and Other Government
Contracting Amendments; Correction
U.S. Small Business
Administration.
ACTION: Correcting amendments.
AGENCY:
The U.S. Small Business
Administration (SBA) is correcting
regulations that published in the
Federal Register on October 16, 2020.
The rule merged the 8(a) Business
Development (BD) Mentor-Prote´ge´
Program and the All Small MentorProte´ge´ Program to eliminate confusion
and remove unnecessary duplication of
functions within SBA. This document is
making several technical corrections to
the regulations.
DATES: Effective January 14, 2021.
FOR FURTHER INFORMATION CONTACT:
Mark Hagedorn, U.S. Small Business
Administration, Office of General
SUMMARY:
PO 00000
Frm 00005
Fmt 4700
Sfmt 4700
2957
Counsel, 409 Third Street SW,
Washington, DC 20416; (202) 205–7625;
mark.hagedorn@sba.gov.
SUPPLEMENTARY INFORMATION: In
response to the President’s directive to
simplify regulations, on October 16,
2020, SBA published a final rule
revising the regulations pertaining to the
8(a) BD and size programs in order to
further reduce unnecessary or excessive
burdens on small businesses and to
eliminate confusion or more clearly
delineate SBA’s intent in certain
regulations. (85 FR 66146). This is the
second set of corrections. The first set of
corrections was published in the
Federal Register on November 16, 2020.
(85 FR 72916). This document augments
those corrections.
First, in amending § 121.404(a) to
provide clarification as to the time at
which size is determined for multiple
award contracts, SBA inadvertently
deleted the general rule that size is
determined as of the date of the concern
submits a written self-certification that
it is small to the procuring activity as
part of its initial offer or response which
includes price. In other words, in
amending the exception to the general
rule for multiple award contracts, the
final rule inadvertently deleted the
general rule itself. That was not SBA’s
intent and SBA did not intend to make
any substantive changes to the general
rule itself. This rule adds back the
general rule language to § 121.404(a).
Second, the final rule eliminated the
requirement that 8(a) Participants
seeking to be awarded a competitive 8(a)
contract as a joint venture submit the
joint venture agreement to SBA for
review and approval prior to contract
award. The preamble to the final rule
explained that such approval is no
longer necessary because the size
protest process has worked well to
ensure that small business joint venture
partners control performance on non8(a) contracts with their large business
mentors and could work similarly to
monitor a joint venturing activity on
competitive 8(a) contracts. To this end,
where another offeror believes that a
joint venture between a prote´ge´ and its
large business mentor has not complied
with the applicable control regulations,
it may protest the size of the joint
venture. The appropriate Area Office of
SBA’s Office of Government Contracting
would then review the joint venture
agreement to determine whether it
meets the requirements of SBA’s
regulations. If that Office determines
that the applicable regulations were not
followed, the joint venture would lose
its exclusion from affiliation, be found
to be other than small, and, thus,
E:\FR\FM\14JAR1.SGM
14JAR1
]]>Agencies
[Federal Register Volume 86, Number 9 (Thursday, January 14, 2021)]
[Rules and Regulations]
[Pages 2953-2957]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-00439]
========================================================================
Rules and Regulations
Federal Register
________________________________________________________________________
This section of the FEDERAL REGISTER contains regulatory documents
having general applicability and legal effect, most of which are keyed
to and codified in the Code of Federal Regulations, which is published
under 50 titles pursuant to 44 U.S.C. 1510.
The Code of Federal Regulations is sold by the Superintendent of Documents.
========================================================================
Federal Register / Vol. 86, No. 9 / Thursday, January 14, 2021 /
Rules and Regulations
[[Page 2953]]
DEPARTMENT OF ENERGY
10 CFR Parts 207, 218, 429, 431, 490, 501, 601, 820, 824, 851,
1013, 1017, and 1050
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 on January 14, 2021.
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, [email protected].
SUPPLEMENTARY INFORMATION:
I. Background
II. Method of Calculation
III. Summary of the 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 required 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)
and adopted as final without amendment on December 30, 2016 (81 FR
96349). 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, the Office of Management and
Budget (OMB) must issue annually guidance on adjustments to civil
monetary penalties. This final rule to adjust civil monetary penalties
for 2021 is issued in accordance with applicable law and OMB's guidance
memorandum on implementation of the 2021 annual adjustment.\1\
---------------------------------------------------------------------------
\1\ OMB's annual guidance memorandum was issued on December 23,
2020, providing the 2021 adjustment multiplier and addressing 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 2021 is 1.01182. In
order to complete the 2021 annual adjustment, each CMP is multiplied by
the 2021 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.
----------------------------------------------------------------------------------------------------------------
DOE authority containing civil
monetary penalty Before adjustment After adjustment
----------------------------------------------------------------------------------------------------------------
10 CFR 207.7....................... $10,821.............................. $10,949.
10 CFR 218.42...................... $23,437.............................. $23,714.
10 CFR 429.120..................... $468................................. $474.
10 CFR 431.382..................... $468................................. $474.
10 CFR 490.604..................... $9,073............................... $9,180.
10 CFR 501.181..................... --$95,881............................ --$97,014.
--$8/mcf............................. --$8/mcf.
--$39/bbl............................ --$39/bbl.
10 CFR 601.400 and appendix A...... --minimum $20,489.................... --minimum $20,731.
--maximum $204,892................... --maximum $207,314.
10 CFR 820.81...................... $214,097............................. $216,628.
10 CFR 824.1 and appendix A........ $152,998............................. $154,806.
10 CFR 824.4 and appendix A........ $152,998............................. $154,806.
10 CFR 851.5 and appendix B........ $99,361.............................. $100,535.
10 CFR 1013.3...................... $11,665.............................. $11,803.
10 CFR 1017.29..................... $275,529............................. $278,786.
10 CFR 1050.303.................... $20,888.............................. $21,135.
42 U.S.C. 2282(a) \2\.............. $104,330............................. $105,563.
50 U.S.C. 2731 \3\................. $9,365............................... $9,476.
----------------------------------------------------------------------------------------------------------------
[[Page 2954]]
IV. Final Rulemaking
---------------------------------------------------------------------------
\2\ Adjustment applies only to violations of 42 U.S.C. 2077(b),
consistent with Public Law 115-232 (August 13, 2018).
\3\ Implemented by 10 CFR 820.81, 10 CFR 851.5, and appendix B
to 10 CFR part 851.
---------------------------------------------------------------------------
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 this 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 the Office of
Information and Regulatory
[[Page 2955]]
Affairs (OIRA) as a significant energy action. For any proposed
significant energy action, the agency must give a detailed statement of
any adverse effects on energy supply, distribution, or use should the
proposal be implemented, and of reasonable alternatives to the action
and their expected benefits on energy supply, distribution, and use.
This regulatory action would not have a significant adverse effect on
the supply, distribution, or use of energy and is therefore not a
significant energy action. Accordingly, DOE has not prepared a
Statement of Energy Effects.
K. Congressional Notification
As required by 5 U.S.C. 801, DOE will submit to Congress a report
regarding the issuance of 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.
Signing Authority
This document of the Department of Energy was signed on January 7,
2021, by William S. Cooper III, General Counsel, pursuant to delegated
authority from the Secretary of Energy. That document with the original
signature and date is maintained by DOE. For administrative purposes
only, and in compliance with requirements of the Office of the Federal
Register, the undersigned DOE Federal Register Liaison Officer has been
authorized to sign and submit the document in electronic format for
publication, as an official document of the Department of Energy. This
administrative process in no way alters the legal effect of this
document upon publication in the Federal Register.
Signed in Washington, DC, on January 7, 2021.
Treena V. Garrett,
Federal Register Liaison Officer, U.S. Department of Energy.
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 $10,949 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 or any order
issued pursuant thereto shall be subject to a civil penalty of not more
than $23,714 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 $474
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:
[[Page 2956]]
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 $474
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 shall be
subject to a civil penalty of not more than $9,180 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 in this subchapter or order under this
subchapter or the Act will be subject to the following civil penalty,
which may not exceed $97,014 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 $39 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 by this part
shall be subject to a civil penalty of not less than $20,731 and not
more than $207,314 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 by this
part, shall be subject to a civil penalty of not less than $20,731 and
not more than $207,314 for each such failure.
* * * * *
(e) First offenders under paragraph (a) or (b) of this section
shall be subject to a civil penalty of $20,731, absent aggravating
circumstances. Second and subsequent offenses by persons shall be
subject to an appropriate civil penalty between $20,731 and $207,314,
as determined by the agency head or his or her designee.
* * * * *
Appendix A to Part 601 [Amended]
0
15. Appendix A to part 601 is amended by:
0
a. Removing ``$20,489'' wherever it appears and adding in its place
``$20,731''; and
0
b. Removing ``$204,892'' wherever it appears and adding in its place
``$207,314''.
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 $216,628 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 $154,806
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 $154,806 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 $100,535 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
* * * * *
[[Page 2957]]
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 $100,535.
(2) * * * A Severity Level II violation would be subject to a
base civil penalty up to 50% of the maximum base civil penalty
($50,267).
* * * * *
IX. Enforcement Actions
* * * * *
Notice of Violation
* * * * *
(e) * * *
(1) DOE may assess civil penalties of up to $100,535 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 $11,803 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 $11,803 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.
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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 $278,786 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.
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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 $21,135.
[FR Doc. 2021-00439 Filed 1-13-21; 8:45 am]
BILLING CODE 6450-01-P
