Adjustment of Civil Monetary Penalties for Inflation, 7974-7977 [2021-02231]
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7974
Federal Register / Vol. 86, No. 21 / Wednesday, February 3, 2021 / Rules and Regulations
State, local, or tribal government, in the
aggregate, or by the private sector of
$100,000,000 (adjusted for inflation) or
more in any one year. Though this rule
will not result in such an expenditure,
we do discuss the effects of this rule
elsewhere in this preamble.
F. Environment
We have analyzed this rule under
Department of Homeland Security
Directive 023–01, Rev. 1, associated
implementing instructions, and
Environmental Planning COMDTINST
5090.1 (series), which guide the Coast
Guard in complying with the National
Environmental Policy Act of 1969 (42
U.S.C. 4321–4370f), and have
determined that this action is one of a
category of actions that do not
individually or cumulatively have a
significant effect on the human
environment. This rule involves a safety
zone during ship-to-ship liquefied
transfer operations lasting
approximately 24 hours that would
prohibit entry within 100 yards of the
location of the transfer operations. It is
categorically excluded from further
review under paragraph L60(a) of
Appendix A, Table 1 of DHS Instruction
Manual 023–01–001–01, Rev. 1. A
Record of Environmental Consideration
supporting this determination is
available in the docket. For instructions
on locating the docket, see the
ADDRESSES section of this preamble.
G. Protest Activities
The Coast Guard respects the First
Amendment rights of protesters.
Protesters are asked to call or email the
person listed in the FOR FURTHER
INFORMATION CONTACT section to
coordinate protest activities so that your
message can be received without
jeopardizing the safety or security of
people, places or vessels.
List of Subjects in 33 CFR Part 165
Harbors, Marine safety, Navigation
(water), Reporting and recordkeeping
requirements, Security measures,
Waterways.
For the reasons discussed in the
preamble, the Coast Guard amends 33
CFR part 165 as follows:
PART 165—REGULATED NAVIGATION
AREAS AND LIMITED ACCESS AREAS
1. The authority citation for part 165
continues to read as follows:
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■
Authority: 46 U.S.C. 70034, 70051; 33 CFR
1.05–1, 6.04–1, 6.04–6, and 160.5;
Department of Homeland Security Delegation
No. 0170.1.
■
2. Add § 165.788 to read as follows:
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§ 165.788 Safety Zone; Bahia de San Juan,
Ponce, Puerto Rico.
(a) Regulated area. A safety zone is
established in the following area:
The waters around liquefied gas
carriers conducting ship-to-ship
liquefied gas transfer operations in an
area 100-yards around each vessel in the
approximate position 17°54′20″ N,
066°35′6″ W. All coordinates are North
American Datum 1983.
(b) Regulations. (1) No person or
vessel may enter, transit or remain in
the safety zone unless authorized by the
Captain of the Port, San Juan, Puerto
Rico, or a designated Coast Guard
commissioned, warrant, or petty officer.
Those in the safety zone must comply
with all lawful orders or directions
given to them by the Captain of the Port
or the designated Coast Guard
commissioned, warrant, or petty officer.
(2) Vessels encountering emergencies,
which require transit through the safety
zone, should contact the Coast Guard
patrol craft or Duty Officer on VHF
Channel 16. In the event of an
emergency, the Coast Guard patrol craft
may authorize a vessel to transit through
the safety zone with a Coast Guard
designated escort.
(3) The Captain of the Port and the
Duty Officer at Sector San Juan, Puerto
Rico, can be contacted at telephone
number 787–289–2041. The Coast
Guard Patrol Commander enforcing the
safety zone can be contacted on VHF–
FM channels 16 and 22A.
(4) Coast Guard Sector San Juan will,
when necessary and practicable, notify
the maritime community of periods
during which the safety zones will be in
effect by providing advance notice of
scheduled ship-to-ship liquefied gas
transfer operations of liquefied gas
carriers via a Marine Broadcast Notice to
Mariners.
(5) All persons and vessels must
comply with the instructions of onscene patrol personnel. On-scene patrol
personnel include commissioned,
warrant, or petty officers of the U.S.
Coast Guard. Coast Guard Auxiliary and
local or state officials may be present to
inform vessel operators of the
requirements of this section, and other
applicable laws.
Dated: January 25, 2021.
G.H. Magee,
Captain, U.S. Coast Guard, Captain of the
Port San Juan.
[FR Doc. 2021–02104 Filed 2–2–21; 8:45 am]
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DEPARTMENT OF EDUCATION
34 CFR Parts 36 and 668
RIN 1801–AA21
Adjustment of Civil Monetary Penalties
for Inflation
Department of Education.
Final regulations.
AGENCY:
ACTION:
The Department of Education
(Department) issues these final
regulations to adjust the Department’s
civil monetary penalties (CMPs) for
inflation. This adjustment is required by
the Federal Civil Penalties Inflation
Adjustment Act Improvements Act of
2015 (2015 Act), which amended the
Federal Civil Penalties Inflation
Adjustment Act of 1990 (Inflation
Adjustment Act). These final regulations
provide the 2021 annual inflation
adjustments being made to the penalty
amounts in the Department’s final
regulations published in the Federal
Register on January 14, 2020 (2020 final
rule).
DATES: These regulations are effective
February 3, 2021. The adjusted CMPs
established by these regulations are
applicable only to civil penalties
assessed after February 3, 2021 whose
associated violations occurred after
November 2, 2015.
FOR FURTHER INFORMATION CONTACT:
Levon Schlichter, U.S. Department of
Education, Office of the General
Counsel, 400 Maryland Avenue SW,
Room 6E235, Washington, DC 20202–
2241. Telephone: (202) 453–6387.
Email: levon.schlichter@ed.gov.
If you use a telecommunications
device for the deaf (TDD) or a text
telephone (TTY), call the Federal Relay
Service, toll free, at 1–800–877–8339.
On request to the contact person
listed in this section, individuals with
disabilities can obtain this document in
an accessible format. The Department
will provide the requestor with an
accessible format that may include Rich
Text Format (RTF) or text format (txt),
a thumb drive, an MP3 file, braille, large
print, audiotape, or compact disc, or
other accessible format.
SUPPLEMENTARY INFORMATION:
SUMMARY:
Background
A CMP is defined in the Inflation
Adjustment Act (28 U.S.C. 2461 note) as
any penalty, fine, or other sanction that
is (1) for a specific monetary amount as
provided by Federal law, or has a
maximum amount provided for by
Federal law; (2) assessed or enforced by
an agency pursuant to Federal law; and
(3) assessed or enforced pursuant to an
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administrative proceeding or a civil
action in the Federal courts.
The Inflation Adjustment Act
provides for the regular evaluation of
CMPs to ensure that they continue to
maintain their deterrent value. The
Inflation Adjustment Act required that
each agency issue regulations to adjust
its CMPs beginning in 1996 and at least
every four years thereafter. The
Department published its most recent
cost adjustment to its CMPs in the
Federal Register on January 14, 2020
(85 FR 2033), and those adjustments
became effective on the date of
publication.
The 2015 Act (section 701 of Pub. L.
114–74) amended the Inflation
Adjustment Act to improve the
effectiveness of CMPs and to maintain
their deterrent effect.
The 2015 Act requires agencies to: (1)
Adjust the level of CMPs with an initial
‘‘catch-up’’ adjustment through an
interim final rule (IFR); and (2) make
subsequent annual adjustments for
inflation. Catch-up adjustments are
based on the percentage change between
the Consumer Price Index for all Urban
Consumers (CPI–U) for the month of
October in the year the penalty was last
adjusted by a statute other than the
Inflation Adjustment Act, and the
October 2015 CPI–U. Annual inflation
adjustments are based on the percentage
change between the October CPI–U
preceding the date of each statutory
adjustment, and the prior year’s October
CPI–U.1 The Department published an
IFR with the initial ‘‘catch-up’’ penalty
adjustment amounts on August 1, 2016
(81 FR 50321).
In these final regulations, based on
the CPI–U for the month of October
2020, not seasonally adjusted, we are
annually adjusting each CMP amount by
a multiplier for 2021 of 1.01182, as
directed by the Office of Management
and Budget (OMB) Memorandum No.
M–21–10 issued on December 23, 2020.
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The Department’s Civil Monetary
Penalties
The following analysis calculates new
CMPs for penalty statutes in the order
in which they appear in 34 CFR 36.2.
The penalty amounts are being adjusted
up based on the multiplier of 1.01182
provided in OMB Memorandum No. M–
21–10.
Statute: 20 U.S.C. 1015(c)(5).
Current Regulations: The CMP for 20
U.S.C. 1015(c)(5) (Section 131(c)(5) of
the Higher Education Act of 1965, as
1 If a statute that created a penalty is amended to
change the penalty amount, the Department does
not adjust the penalty in the year following the
adjustment.
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amended (HEA)), as last set out in
statute in 1998 (Pub. L. 105–244, title I,
section 101(a), October 7, 1998, 112
Stat. 1602), is a fine of up to $25,000 for
failure by an institution of higher
education (IHE) to provide information
on the cost of higher education to the
Commissioner of Education Statistics. In
the 2020 final rule, we increased this
amount to $39,229.
New Regulations: The new penalty for
this section is $39,693.
Reason: Using the multiplier of
1.01182 from OMB Memorandum No.
M–21–10, the new penalty is calculated
as follows: $39,229 × 1.01182 =
$39,692.69, which makes the adjusted
penalty $39,693, when rounded to the
nearest dollar.
Statute: 20 U.S.C. 1022d(a)(3).
Current Regulations: The CMP for 20
U.S.C. 1022d(a)(3) (Section 205(a)(3) of
the HEA), as last set out in statute in
2008 (Pub. L. 110–315, title II, section
201(2), August 14, 2008, 122 Stat. 3147),
is a fine of up to $27,500 for failure by
an IHE to provide information to the
State and the public regarding its
teacher-preparation programs. In the
2020 final rule, we increased this
amount to $32,676.
New Regulations: The new penalty for
this section is $33,062.
Reason: Using the multiplier of
1.01182 from OMB Memorandum No.
M–21–10, the new penalty is calculated
as follows: $$32,676 × 1.01182 =
$33,062.23, which makes the adjusted
penalty $33,062, when rounded to the
nearest dollar.
Statute: 20 U.S.C. 1082(g).
Current Regulations: The CMP for 20
U.S.C. 1082(g) (Section 432(g) of the
HEA), as last set out in statute in 1986
(Pub. L. 99–498, title IV, § 402(a),
October 17, 1986, 100 Stat. 1401), is a
fine of up to $25,000 for violations by
lenders and guaranty agencies of Title
IV of the HEA, which authorizes the
Federal Family Education Loan
Program. In the 2020 final rule, we
increased this amount to $58,328.
New Regulations: The new penalty for
this section is $59,017.
Reason: Using the multiplier of
1.01182 from OMB Memorandum No.
M–21–10, the new penalty is calculated
as follows: $58,328 × 1.01182 =
$59,017.44, which makes the adjusted
penalty $59,017, when rounded to the
nearest dollar.
Statute: 20 U.S.C. 1094(c)(3)(B).
Current Regulations: The CMP for 20
U.S.C. 1094(c)(3)(B) (Section
487(c)(3)(B) of the HEA), as set out in
statute in 1986 (Pub. L. 99–498, title IV,
§ 407(a), October 17, 1986, 100 Stat.
1488), is a fine of up to $25,000 for an
IHE’s violation of Title IV of the HEA or
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7975
its implementing regulations. Title IV
authorizes various programs of student
financial assistance. In the 2020 final
rule, we increased this amount to
$58,328.
New Regulations: The new penalty for
this section is $59,017.
Reason: Using the multiplier of
1.01182 from OMB Memorandum No.
M–21–10, the new penalty is calculated
as follows: $58,328 × 1.01182 =
$59,017.44, which makes the adjusted
penalty $59,017, when rounded to the
nearest dollar.
Statute: 20 U.S.C. 1228c(c)(2)(E).
Current Regulations: The CMP for 20
U.S.C. 1228c(c)(2)(E) (Section 429 of the
General Education Provisions Act), as
set out in statute in 1994 (Pub. L. 103–
382, title II, § 238, October 20, 1994, 108
Stat. 3918), is a fine of up to $1,000 for
an educational organization’s failure to
disclose certain information to minor
students and their parents. In the 2020
final rule, we increased this amount to
$1,722.
New Regulations: The new penalty for
this section is $1,742.
Reason: Using the multiplier of
1.01182 from OMB Memorandum No.
M–21–10, the new penalty is calculated
as follows: $1,722 × 1.01182 =
$1,742.35, which makes the adjusted
penalty $1,742, when rounded to the
nearest dollar.
Statute: 31 U.S.C. 1352(c)(1) and
(c)(2)(A).
Current Regulations: The CMPs for 31
U.S.C. 1352(c)(1) and (c)(2)(A), as set
out in statute in 1989 (Pub. L. 101–121,
title III, § 319(a)(1), October 23, 1989,
103 Stat. 750), are a fine of $10,000 to
$100,000 for recipients of Government
grants, contracts, etc. that improperly
lobby Congress or the Executive Branch
with respect to the award of
Government grants and contracts. In the
2020 final rule, we increased these
amounts to $20,489 to $204,892.
New Regulations: The new penalties
for these sections are $20,731 to
$207,314.
Reason: Using the multiplier of
1.01182 from OMB Memorandum No.
M–21–10, the new minimum penalty is
calculated as follows: $20,489 × 1.01182
= $20,731.18, which makes the adjusted
penalty $20,731, when rounded to the
nearest dollar. The new maximum
penalty is calculated as follows:
$204,892 × 1.01182 = $207,313.82,
which makes the adjusted penalty
$207,314, when rounded to the nearest
dollar.
Statute: 31 U.S.C. 3802(a)(1) and
(a)(2).
Current Regulations: The CMPs for 31
U.S.C. 3802(a)(1) and (a)(2), as set out in
statute in 1986 (Pub. L. 99–509, title VI,
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Federal Register / Vol. 86, No. 21 / Wednesday, February 3, 2021 / Rules and Regulations
§ 6103(a), Oct. 21, 1986, 100 Stat. 1937),
are a fine of up to $5,000 for false claims
and statements made to the
Government. In the 2020 final rule, we
increased this amount to $11,665.
New Regulations: The new penalty for
this section is $11,803.
Reason: Using the multiplier of
1.01182 from OMB Memorandum No.
M–21–10, the new penalty is calculated
as follows: $11,665 × 1.01182 =
$11,802.88, which makes the adjusted
penalty $11,803, when rounded to the
nearest dollar.
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Executive Orders 12866, 13563, and
13771
Regulatory Impact Analysis
Under Executive Order 12866, the
Office of Management and Budget
(OMB) determines whether this
regulatory action is ‘‘significant’’ and,
therefore, subject to the requirements of
the Executive order and subject to
review by OMB. Section 3(f) of
Executive Order 12866 defines a
significant regulatory action as an action
likely to result in a rule that may—
(1) Have an annual effect on the
economy of $100 million or more, or
adversely affect a sector of the economy;
productivity; competition; jobs; the
environment; public health or safety; or
State, local, or Tribal governments or
communities in a material way (also
referred to as ‘‘economically significant’’
regulations);
(2) Create serious inconsistency or
otherwise interfere with an action taken
or planned by another agency;
(3) Materially alter the budgetary
impacts of entitlement grants, user fees,
or loan programs or the rights and
obligations of recipients thereof; or
(4) Raise novel legal or policy issues
arising out of legal mandates, the
President’s priorities, or the principles
stated in the Executive order.
We have determined that these final
regulations: (1) Exclusively implement
the annual adjustment; (2) are consistent
with OMB Memorandum No. M–21–10;
and (3) have an annual impact of less
than $100 million. Therefore, based on
OMB Memorandum No. M–21–10, this
is not a significant regulatory action
subject to review by OMB under section
3(f) of Executive Order 12866.
We have also reviewed these
regulations under Executive Order
13563, which supplements and
explicitly reaffirms the principles,
structures, and definitions governing
regulatory review established in
Executive Order 12866. To the extent
permitted by law, Executive Order
13563 requires that an agency—
(1) Propose or adopt regulations only
upon a reasoned determination that
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their benefits justify their costs
(recognizing that some benefits and
costs are difficult to quantify);
(2) Tailor its regulations to impose the
least burden on society, consistent with
obtaining regulatory objectives and
taking into account, among other things,
and to the extent practicable, the costs
of cumulative regulations;
(3) In choosing among alternative
regulatory approaches, select those
approaches that maximize net benefits
(including potential economic,
environmental, public health and safety,
and other advantages; distributive
impacts; and equity);
(4) To the extent feasible, specify
performance objectives, rather than the
behavior or manner of compliance a
regulated entity must adopt; and
(5) Identify and assess available
alternatives to direct regulation,
including economic incentives—such as
user fees or marketable permits—to
encourage the desired behavior, or
providing information that enables the
public to make choices.
Executive Order 13563 also requires
an agency ‘‘to use the best available
techniques to quantify anticipated
present and future benefits and costs as
accurately as possible.’’ The Office of
Information and Regulatory Affairs of
OMB has emphasized that these
techniques may include ‘‘identifying
changing future compliance costs that
might result from technological
innovation or anticipated behavioral
changes.’’
We are issuing these final regulations
as required by statute and in accordance
with OMB Memorandum No. M–21–10.
The Secretary has no discretion to
consider alternative approaches as
delineated in the Executive order. Based
on this analysis and the reasons stated
in the preamble, the Department
believes that these final regulations are
consistent with the principles in
Executive Order 13563.
Under Executive Order 13771, for
each new regulation that the
Department proposes for notice and
comment or otherwise promulgates that
is a significant regulatory action under
Executive Order 12866 and that imposes
total costs greater than zero, it must
identify two deregulatory actions. For
fiscal year 2021, any new incremental
costs associated with a new regulation
must be fully offset by the elimination
of existing costs through deregulatory
actions. These final regulations are not
a significant regulatory action.
Therefore, the requirements of
Executive Order 13771 do not apply.
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Waiver of Rulemaking and Delayed
Effective Date
Under the Administrative Procedure
Act (APA) (5 U.S.C. 553), the
Department generally offers interested
parties the opportunity to comment on
proposed regulations. However, section
4(b)(2) of the 2015 Act (28 U.S.C. 2461
note) provides that the Secretary can
adjust these 2021 penalty amounts
notwithstanding the requirements of 5
U.S.C. 553. Therefore, the requirements
of 5 U.S.C. 553 for notice and comment
and delaying the effective date of a final
rule do not apply here.
Regulatory Flexibility Act Certification
Pursuant to 5 U.S.C. 601(2), the
Regulatory Flexibility Act applies only
to rules for which an agency publishes
a general notice of proposed
rulemaking. The Regulatory Flexibility
Act does not apply to this rulemaking
because section 4(b)(2) of the 2015 Act
(28 U.S.C. 2461 note) provides that the
Secretary can adjust these 2021 penalty
amounts without publishing a general
notice of proposed rulemaking.
Paperwork Reduction Act of 1995
These regulations do not contain any
information collection requirements.
Intergovernmental Review
This program is not subject to
Executive Order 12372 and the
regulations in 34 CFR part 79.
Assessment of Educational Impact
Based on our own review, we have
determined that these regulations do not
require transmission of information that
any other agency or authority of the
United States gathers or makes
available.
Electronic Access to This Document:
The official version of this document is
the document published in the Federal
Register. You may access the official
edition of the Federal Register and the
Code of Federal Regulations at
www.govinfo.gov. At this site you can
view this document, as well as all other
documents of this Department
published in the Federal Register, in
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You may also access documents of the
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Specifically, through the advanced
search feature at this site, you can limit
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List of Subjects
requirements, Selective Service System,
Student aid, Vocational education.
34 CFR Part 36
Phil Rosenfelt,
Acting Secretary of Education.
Claims, Fraud, Penalties.
34 CFR Part 668
Administrative practice and
procedure, Colleges and universities,
Consumer protection, Grant programseducation, Loan programs-education,
Reporting and recordkeeping
7977
PART 36—ADJUSTMENT OF CIVIL
MONETARY PENALTIES FOR
INFLATION
1. The authority citation for part 36
continues to read as follows:
■
For the reasons discussed in the
preamble, the Secretary amends parts 36
and 668 of title 34 of the Code of
Federal Regulations as follows:
Authority: 20 U.S.C. 1221e–3 and 3474; 28
U.S.C. 2461 note, as amended by section 701
of Pub. Law 114–74, unless otherwise noted.
2. Section 36.2 is amended by revising
Table 1 to read as follows:
■
§ 36.236
*
*
Penalty adjustment.
*
*
*
TABLE 1 TO § 36.2—CIVIL MONETARY PENALTY INFLATION ADJUSTMENTS
Statute
New
maximum
(and
minimum, if
applicable)
penalty
amount
Description
20 U.S.C. 1015(c)(5) (Section 131(c)(5) of Provides for a fine, as set by Congress in 1998, of up to $25,000 for failure by an inthe Higher Education Act of 1965 (HEA)).
stitution of higher education (IHE) to provide information on the cost of higher education to the Commissioner of Education Statistics.
20 U.S.C. 1022d(a)(3) (Section 205(a)(3) Provides for a fine, as set by Congress in 2008, of up to $27,500 for failure by an
of the HEA).
IHE to provide information to the State and the public regarding its teacher-preparation programs.
20 U.S.C. 1082(g) (Section 432(g) of the Provides for a civil penalty, as set by Congress in 1986, of up to $25,000 for violaHEA).
tions by lenders and guaranty agencies of Title IV of the HEA, which authorizes
the Federal Family Education Loan Program.
20
U.S.C.
1094(c)(3)(B)
(Section Provides for a civil penalty, as set by Congress in 1986, of up to $25,000 for an
487(c)(3)(B) of the HEA).
IHE’s violation of Title IV of the HEA, which authorizes various programs of student financial assistance.
20 U.S.C. 1228c(c)(2)(E) (Section 429 of Provides for a civil penalty, as set by Congress in 1994, of up to $1,000 for an eduthe General Education Provisions Act).
cational organization’s failure to disclose certain information to minor students and
their parents.
31 U.S.C. 1352(c)(1) and (c)(2)(A) ............. Provides for a civil penalty, as set by Congress in 1989, of $10,000 to $100,000 for
recipients of Government grants, contracts, etc. that improperly lobby Congress or
the Executive Branch with respect to the award of Government grants and contracts.
31 U.S.C. 3802(a)(1) and (a)(2) ................. Provides for a civil penalty, as set by Congress in 1986, of up to $5,000 for false
claims and statements made to the Government.
*
*
*
*
*
DEPARTMENT OF COMMERCE
PART 668—STUDENT ASSISTANCE
GENERAL PROVISIONS
National Oceanic and Atmospheric
Administration
3. The authority citation for part 668
continues to read in part as follows:
50 CFR Part 622
■
[Docket No. 140819687–5583–02]
Authority: 20 U.S.C. 1001–1003, 1070a,
1070g, 1085, 1087b, 1087d, 1087e, 1088,
1091, 1092, 1094, 1099c, 1099c–1, 1221e–3,
and 3474; Pub. L. 111–256, 124 Stat. 2643;
unless otherwise noted.
*
*
§ 668.84
*
*
*
Amended]
4. In § 668.84 amend paragraph (a)(1)
introductory text by removing the
number ‘‘$58,328’’ and adding, in its
place, the number ‘‘$59,017’’.
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■
[FR Doc. 2021–02231 Filed 2–2–21; 8:45 am]
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Coastal Migratory Pelagic Resources
of the Gulf of Mexico and Atlantic
Region; 2020–2021 Commercial
Closure for Spanish Mackerel in the
Atlantic Southern Zone
National Marine Fisheries
Service (NMFS), National Oceanic and
Atmospheric Administration (NOAA),
Commerce.
ACTION: Temporary rule; closure.
AGENCY:
NMFS closes the Atlantic
southern zone for commercial Spanish
SUMMARY:
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$39,693
33,062
59,017
59,017
1,742
20,731 to
207,314
11,803
mackerel in or from the Atlantic
exclusive economic zone. NMFS has
determined that the commercial quota
for Spanish mackerel in the Atlantic
southern zone will be reached by
February 3, 2021. Therefore, NMFS
closes the Atlantic southern zone to
commercial harvest of Spanish mackerel
on February 3, 2021. This closure is
necessary to protect the Spanish
mackerel resource in the Atlantic.
DATES: This temporary rule is effective
from 6 a.m. eastern time on February 3,
2021, until 12:01 a.m. eastern time on
March 1, 2021.
FOR FURTHER INFORMATION CONTACT:
Mary Vara, NMFS Southeast Regional
Office, telephone: 727–824–5305, or
email: mary.vara@noaa.gov.
SUPPLEMENTARY INFORMATION: The
fishery for coastal migratory pelagic fish
in the Atlantic includes king mackerel,
Spanish mackerel, and cobia on the east
E:\FR\FM\03FER1.SGM
03FER1
]]>Agencies
[Federal Register Volume 86, Number 21 (Wednesday, February 3, 2021)]
[Rules and Regulations]
[Pages 7974-7977]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-02231]
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DEPARTMENT OF EDUCATION
34 CFR Parts 36 and 668
RIN 1801-AA21
Adjustment of Civil Monetary Penalties for Inflation
AGENCY: Department of Education.
ACTION: Final regulations.
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SUMMARY: The Department of Education (Department) issues these final
regulations to adjust the Department's civil monetary penalties (CMPs)
for inflation. This adjustment is required by the Federal Civil
Penalties Inflation Adjustment Act Improvements Act of 2015 (2015 Act),
which amended the Federal Civil Penalties Inflation Adjustment Act of
1990 (Inflation Adjustment Act). These final regulations provide the
2021 annual inflation adjustments being made to the penalty amounts in
the Department's final regulations published in the Federal Register on
January 14, 2020 (2020 final rule).
DATES: These regulations are effective February 3, 2021. The adjusted
CMPs established by these regulations are applicable only to civil
penalties assessed after February 3, 2021 whose associated violations
occurred after November 2, 2015.
FOR FURTHER INFORMATION CONTACT: Levon Schlichter, U.S. Department of
Education, Office of the General Counsel, 400 Maryland Avenue SW, Room
6E235, Washington, DC 20202-2241. Telephone: (202) 453-6387. Email:
[email protected].
If you use a telecommunications device for the deaf (TDD) or a text
telephone (TTY), call the Federal Relay Service, toll free, at 1-800-
877-8339.
On request to the contact person listed in this section,
individuals with disabilities can obtain this document in an accessible
format. The Department will provide the requestor with an accessible
format that may include Rich Text Format (RTF) or text format (txt), a
thumb drive, an MP3 file, braille, large print, audiotape, or compact
disc, or other accessible format.
SUPPLEMENTARY INFORMATION:
Background
A CMP is defined in the Inflation Adjustment Act (28 U.S.C. 2461
note) as any penalty, fine, or other sanction that is (1) for a
specific monetary amount as provided by Federal law, or has a maximum
amount provided for by Federal law; (2) assessed or enforced by an
agency pursuant to Federal law; and (3) assessed or enforced pursuant
to an
[[Page 7975]]
administrative proceeding or a civil action in the Federal courts.
The Inflation Adjustment Act provides for the regular evaluation of
CMPs to ensure that they continue to maintain their deterrent value.
The Inflation Adjustment Act required that each agency issue
regulations to adjust its CMPs beginning in 1996 and at least every
four years thereafter. The Department published its most recent cost
adjustment to its CMPs in the Federal Register on January 14, 2020 (85
FR 2033), and those adjustments became effective on the date of
publication.
The 2015 Act (section 701 of Pub. L. 114-74) amended the Inflation
Adjustment Act to improve the effectiveness of CMPs and to maintain
their deterrent effect.
The 2015 Act requires agencies to: (1) Adjust the level of CMPs
with an initial ``catch-up'' adjustment through an interim final rule
(IFR); and (2) make subsequent annual adjustments for inflation. Catch-
up adjustments are based on the percentage change between the Consumer
Price Index for all Urban Consumers (CPI-U) for the month of October in
the year the penalty was last adjusted by a statute other than the
Inflation Adjustment Act, and the October 2015 CPI-U. Annual inflation
adjustments are based on the percentage change between the October CPI-
U preceding the date of each statutory adjustment, and the prior year's
October CPI-U.\1\ The Department published an IFR with the initial
``catch-up'' penalty adjustment amounts on August 1, 2016 (81 FR
50321).
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\1\ If a statute that created a penalty is amended to change the
penalty amount, the Department does not adjust the penalty in the
year following the adjustment.
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In these final regulations, based on the CPI-U for the month of
October 2020, not seasonally adjusted, we are annually adjusting each
CMP amount by a multiplier for 2021 of 1.01182, as directed by the
Office of Management and Budget (OMB) Memorandum No. M-21-10 issued on
December 23, 2020.
The Department's Civil Monetary Penalties
The following analysis calculates new CMPs for penalty statutes in
the order in which they appear in 34 CFR 36.2. The penalty amounts are
being adjusted up based on the multiplier of 1.01182 provided in OMB
Memorandum No. M-21-10.
Statute: 20 U.S.C. 1015(c)(5).
Current Regulations: The CMP for 20 U.S.C. 1015(c)(5) (Section
131(c)(5) of the Higher Education Act of 1965, as amended (HEA)), as
last set out in statute in 1998 (Pub. L. 105-244, title I, section
101(a), October 7, 1998, 112 Stat. 1602), is a fine of up to $25,000
for failure by an institution of higher education (IHE) to provide
information on the cost of higher education to the Commissioner of
Education Statistics. In the 2020 final rule, we increased this amount
to $39,229.
New Regulations: The new penalty for this section is $39,693.
Reason: Using the multiplier of 1.01182 from OMB Memorandum No. M-
21-10, the new penalty is calculated as follows: $39,229 x 1.01182 =
$39,692.69, which makes the adjusted penalty $39,693, when rounded to
the nearest dollar.
Statute: 20 U.S.C. 1022d(a)(3).
Current Regulations: The CMP for 20 U.S.C. 1022d(a)(3) (Section
205(a)(3) of the HEA), as last set out in statute in 2008 (Pub. L. 110-
315, title II, section 201(2), August 14, 2008, 122 Stat. 3147), is a
fine of up to $27,500 for failure by an IHE to provide information to
the State and the public regarding its teacher-preparation programs. In
the 2020 final rule, we increased this amount to $32,676.
New Regulations: The new penalty for this section is $33,062.
Reason: Using the multiplier of 1.01182 from OMB Memorandum No. M-
21-10, the new penalty is calculated as follows: $$32,676 x 1.01182 =
$33,062.23, which makes the adjusted penalty $33,062, when rounded to
the nearest dollar.
Statute: 20 U.S.C. 1082(g).
Current Regulations: The CMP for 20 U.S.C. 1082(g) (Section 432(g)
of the HEA), as last set out in statute in 1986 (Pub. L. 99-498, title
IV, Sec. 402(a), October 17, 1986, 100 Stat. 1401), is a fine of up to
$25,000 for violations by lenders and guaranty agencies of Title IV of
the HEA, which authorizes the Federal Family Education Loan Program. In
the 2020 final rule, we increased this amount to $58,328.
New Regulations: The new penalty for this section is $59,017.
Reason: Using the multiplier of 1.01182 from OMB Memorandum No. M-
21-10, the new penalty is calculated as follows: $58,328 x 1.01182 =
$59,017.44, which makes the adjusted penalty $59,017, when rounded to
the nearest dollar.
Statute: 20 U.S.C. 1094(c)(3)(B).
Current Regulations: The CMP for 20 U.S.C. 1094(c)(3)(B) (Section
487(c)(3)(B) of the HEA), as set out in statute in 1986 (Pub. L. 99-
498, title IV, Sec. 407(a), October 17, 1986, 100 Stat. 1488), is a
fine of up to $25,000 for an IHE's violation of Title IV of the HEA or
its implementing regulations. Title IV authorizes various programs of
student financial assistance. In the 2020 final rule, we increased this
amount to $58,328.
New Regulations: The new penalty for this section is $59,017.
Reason: Using the multiplier of 1.01182 from OMB Memorandum No. M-
21-10, the new penalty is calculated as follows: $58,328 x 1.01182 =
$59,017.44, which makes the adjusted penalty $59,017, when rounded to
the nearest dollar.
Statute: 20 U.S.C. 1228c(c)(2)(E).
Current Regulations: The CMP for 20 U.S.C. 1228c(c)(2)(E) (Section
429 of the General Education Provisions Act), as set out in statute in
1994 (Pub. L. 103-382, title II, Sec. 238, October 20, 1994, 108 Stat.
3918), is a fine of up to $1,000 for an educational organization's
failure to disclose certain information to minor students and their
parents. In the 2020 final rule, we increased this amount to $1,722.
New Regulations: The new penalty for this section is $1,742.
Reason: Using the multiplier of 1.01182 from OMB Memorandum No. M-
21-10, the new penalty is calculated as follows: $1,722 x 1.01182 =
$1,742.35, which makes the adjusted penalty $1,742, when rounded to the
nearest dollar.
Statute: 31 U.S.C. 1352(c)(1) and (c)(2)(A).
Current Regulations: The CMPs for 31 U.S.C. 1352(c)(1) and
(c)(2)(A), as set out in statute in 1989 (Pub. L. 101-121, title III,
Sec. 319(a)(1), October 23, 1989, 103 Stat. 750), are a fine of
$10,000 to $100,000 for recipients of Government grants, contracts,
etc. that improperly lobby Congress or the Executive Branch with
respect to the award of Government grants and contracts. In the 2020
final rule, we increased these amounts to $20,489 to $204,892.
New Regulations: The new penalties for these sections are $20,731
to $207,314.
Reason: Using the multiplier of 1.01182 from OMB Memorandum No. M-
21-10, the new minimum penalty is calculated as follows: $20,489 x
1.01182 = $20,731.18, which makes the adjusted penalty $20,731, when
rounded to the nearest dollar. The new maximum penalty is calculated as
follows: $204,892 x 1.01182 = $207,313.82, which makes the adjusted
penalty $207,314, when rounded to the nearest dollar.
Statute: 31 U.S.C. 3802(a)(1) and (a)(2).
Current Regulations: The CMPs for 31 U.S.C. 3802(a)(1) and (a)(2),
as set out in statute in 1986 (Pub. L. 99-509, title VI,
[[Page 7976]]
Sec. 6103(a), Oct. 21, 1986, 100 Stat. 1937), are a fine of up to
$5,000 for false claims and statements made to the Government. In the
2020 final rule, we increased this amount to $11,665.
New Regulations: The new penalty for this section is $11,803.
Reason: Using the multiplier of 1.01182 from OMB Memorandum No. M-
21-10, the new penalty is calculated as follows: $11,665 x 1.01182 =
$11,802.88, which makes the adjusted penalty $11,803, when rounded to
the nearest dollar.
Executive Orders 12866, 13563, and 13771
Regulatory Impact Analysis
Under Executive Order 12866, the Office of Management and Budget
(OMB) determines whether this regulatory action is ``significant'' and,
therefore, subject to the requirements of the Executive order and
subject to review by OMB. Section 3(f) of Executive Order 12866 defines
a significant regulatory action as an action likely to result in a rule
that may--
(1) Have an annual effect on the economy of $100 million or more,
or adversely affect a sector of the economy; productivity; competition;
jobs; the environment; public health or safety; or State, local, or
Tribal governments or communities in a material way (also referred to
as ``economically significant'' regulations);
(2) Create serious inconsistency or otherwise interfere with an
action taken or planned by another agency;
(3) Materially alter the budgetary impacts of entitlement grants,
user fees, or loan programs or the rights and obligations of recipients
thereof; or
(4) Raise novel legal or policy issues arising out of legal
mandates, the President's priorities, or the principles stated in the
Executive order.
We have determined that these final regulations: (1) Exclusively
implement the annual adjustment; (2) are consistent with OMB Memorandum
No. M-21-10; and (3) have an annual impact of less than $100 million.
Therefore, based on OMB Memorandum No. M-21-10, this is not a
significant regulatory action subject to review by OMB under section
3(f) of Executive Order 12866.
We have also reviewed these regulations under Executive Order
13563, which supplements and explicitly reaffirms the principles,
structures, and definitions governing regulatory review established in
Executive Order 12866. To the extent permitted by law, Executive Order
13563 requires that an agency--
(1) Propose or adopt regulations only upon a reasoned determination
that their benefits justify their costs (recognizing that some benefits
and costs are difficult to quantify);
(2) Tailor its regulations to impose the least burden on society,
consistent with obtaining regulatory objectives and taking into
account, among other things, and to the extent practicable, the costs
of cumulative regulations;
(3) In choosing among alternative regulatory approaches, select
those approaches that maximize net benefits (including potential
economic, environmental, public health and safety, and other
advantages; distributive impacts; and equity);
(4) To the extent feasible, specify performance objectives, rather
than the behavior or manner of compliance a regulated entity must
adopt; and
(5) Identify and assess available alternatives to direct
regulation, including economic incentives--such as user fees or
marketable permits--to encourage the desired behavior, or providing
information that enables the public to make choices.
Executive Order 13563 also requires an agency ``to use the best
available techniques to quantify anticipated present and future
benefits and costs as accurately as possible.'' The Office of
Information and Regulatory Affairs of OMB has emphasized that these
techniques may include ``identifying changing future compliance costs
that might result from technological innovation or anticipated
behavioral changes.''
We are issuing these final regulations as required by statute and
in accordance with OMB Memorandum No. M-21-10. The Secretary has no
discretion to consider alternative approaches as delineated in the
Executive order. Based on this analysis and the reasons stated in the
preamble, the Department believes that these final regulations are
consistent with the principles in Executive Order 13563.
Under Executive Order 13771, for each new regulation that the
Department proposes for notice and comment or otherwise promulgates
that is a significant regulatory action under Executive Order 12866 and
that imposes total costs greater than zero, it must identify two
deregulatory actions. For fiscal year 2021, any new incremental costs
associated with a new regulation must be fully offset by the
elimination of existing costs through deregulatory actions. These final
regulations are not a significant regulatory action. Therefore, the
requirements of Executive Order 13771 do not apply.
Waiver of Rulemaking and Delayed Effective Date
Under the Administrative Procedure Act (APA) (5 U.S.C. 553), the
Department generally offers interested parties the opportunity to
comment on proposed regulations. However, section 4(b)(2) of the 2015
Act (28 U.S.C. 2461 note) provides that the Secretary can adjust these
2021 penalty amounts notwithstanding the requirements of 5 U.S.C. 553.
Therefore, the requirements of 5 U.S.C. 553 for notice and comment and
delaying the effective date of a final rule do not apply here.
Regulatory Flexibility Act Certification
Pursuant to 5 U.S.C. 601(2), the Regulatory Flexibility Act applies
only to rules for which an agency publishes a general notice of
proposed rulemaking. The Regulatory Flexibility Act does not apply to
this rulemaking because section 4(b)(2) of the 2015 Act (28 U.S.C. 2461
note) provides that the Secretary can adjust these 2021 penalty amounts
without publishing a general notice of proposed rulemaking.
Paperwork Reduction Act of 1995
These regulations do not contain any information collection
requirements.
Intergovernmental Review
This program is not subject to Executive Order 12372 and the
regulations in 34 CFR part 79.
Assessment of Educational Impact
Based on our own review, we have determined that these regulations
do not require transmission of information that any other agency or
authority of the United States gathers or makes available.
Electronic Access to This Document: The official version of this
document is the document published in the Federal Register. You may
access the official edition of the Federal Register and the Code of
Federal Regulations at www.govinfo.gov. At this site you can view this
document, as well as all other documents of this Department published
in the Federal Register, in text or Portable Document Format (PDF). To
use PDF you must have Adobe Acrobat Reader, which is available free at
the site.
You may also access documents of the Department published in the
Federal Register by using the article search feature at:
www.federalregister.gov. Specifically, through the advanced search
feature at this site, you can limit your search to documents published
by the Department.
[[Page 7977]]
List of Subjects
34 CFR Part 36
Claims, Fraud, Penalties.
34 CFR Part 668
Administrative practice and procedure, Colleges and universities,
Consumer protection, Grant programs-education, Loan programs-education,
Reporting and recordkeeping requirements, Selective Service System,
Student aid, Vocational education.
Phil Rosenfelt,
Acting Secretary of Education.
For the reasons discussed in the preamble, the Secretary amends
parts 36 and 668 of title 34 of the Code of Federal Regulations as
follows:
PART 36--ADJUSTMENT OF CIVIL MONETARY PENALTIES FOR INFLATION
0
1. The authority citation for part 36 continues to read as follows:
Authority: 20 U.S.C. 1221e-3 and 3474; 28 U.S.C. 2461 note, as
amended by section 701 of Pub. Law 114-74, unless otherwise noted.
0
2. Section 36.2 is amended by revising Table 1 to read as follows:
Sec. 36.236 Penalty adjustment.
* * * * *
Table 1 to Sec. 36.2--Civil Monetary Penalty Inflation Adjustments
----------------------------------------------------------------------------------------------------------------
New
maximum
(and
minimum, if
Statute Description
applicable)
penalty
amount
----------------------------------------------------------------------------------------------------------------
20 U.S.C. 1015(c)(5) (Section 131(c)(5) of Provides for a fine, as set by Congress in 1998, of up $39,693
the Higher Education Act of 1965 (HEA)). to $25,000 for failure by an institution of higher
education (IHE) to provide information on the cost of
higher education to the Commissioner of Education
Statistics.
20 U.S.C. 1022d(a)(3) (Section 205(a)(3) of Provides for a fine, as set by Congress in 2008, of up 33,062
the HEA). to $27,500 for failure by an IHE to provide
information to the State and the public regarding its
teacher-preparation programs.
20 U.S.C. 1082(g) (Section 432(g) of the Provides for a civil penalty, as set by Congress in 59,017
HEA). 1986, of up to $25,000 for violations by lenders and
guaranty agencies of Title IV of the HEA, which
authorizes the Federal Family Education Loan Program.
20 U.S.C. 1094(c)(3)(B) (Section Provides for a civil penalty, as set by Congress in 59,017
487(c)(3)(B) of the HEA). 1986, of up to $25,000 for an IHE's violation of
Title IV of the HEA, which authorizes various
programs of student financial assistance.
20 U.S.C. 1228c(c)(2)(E) (Section 429 of Provides for a civil penalty, as set by Congress in 1,742
the General Education Provisions Act). 1994, of up to $1,000 for an educational
organization's failure to disclose certain
information to minor students and their parents.
31 U.S.C. 1352(c)(1) and (c)(2)(A)......... Provides for a civil penalty, as set by Congress in 20,731 to
1989, of $10,000 to $100,000 for recipients of 207,314
Government grants, contracts, etc. that improperly
lobby Congress or the Executive Branch with respect
to the award of Government grants and contracts.
31 U.S.C. 3802(a)(1) and (a)(2)............ Provides for a civil penalty, as set by Congress in 11,803
1986, of up to $5,000 for false claims and statements
made to the Government.
----------------------------------------------------------------------------------------------------------------
* * * * *
PART 668--STUDENT ASSISTANCE GENERAL PROVISIONS
0
3. The authority citation for part 668 continues to read in part as
follows:
Authority: 20 U.S.C. 1001-1003, 1070a, 1070g, 1085, 1087b,
1087d, 1087e, 1088, 1091, 1092, 1094, 1099c, 1099c-1, 1221e-3, and
3474; Pub. L. 111-256, 124 Stat. 2643; unless otherwise noted.
* * * * *
Sec. 668.84 Amended]
0
4. In Sec. 668.84 amend paragraph (a)(1) introductory text by removing
the number ``$58,328'' and adding, in its place, the number
``$59,017''.
[FR Doc. 2021-02231 Filed 2-2-21; 8:45 am]
BILLING CODE 4000-01-P
