Annual Civil Monetary Penalties Inflation Adjustment, 15100-15123 [2022-05648]

Download as PDF 15100 Federal Register / Vol. 87, No. 52 / Thursday, March 17, 2022 / Rules and Regulations Dated: March 10, 2022. Charles Smith, Director, Biopesticides and Pollution Prevention Division, Office of Pesticide Programs. Therefore, for the reasons stated in the preamble, EPA is amending 40 CFR chapter I as follows: PART 180—TOLERANCES AND EXEMPTIONS FOR PESTICIDE CHEMICAL RESIDUES IN FOOD 1. The authority citation for part 180 continues to read as follows: ■ Authority: 21 U.S.C. 321(q), 346a and 371. 2. Revise § 180.1327 to read as follows: ■ § 180.1327 Tetraacetylethylenediamine (TAED) and its metabolite Diacetylethylenediamine (DAED); Exemption from the Requirement of a Tolerance. An exemption from the requirement of a tolerance is established for residues of the pesticide, tetraacetylethylenediamine (TAED), and its metabolite diacetylethylenediamine (DAED), in or on all food commodities, when used as a fungicide and bactericide in accordance with label directions and good agricultural practices. [FR Doc. 2022–05530 Filed 3–16–22; 8:45 am] BILLING CODE 6560–50–P DEPARTMENT OF HEALTH AND HUMAN SERVICES 45 CFR Part 102 RIN 0991–AC33 Annual Civil Monetary Penalties Inflation Adjustment Office of the Assistant Secretary for Financial Resources, Department of Health and Human Services (HHS). ACTION: Final rule. AGENCY: The Department of Health and Human Services is updating its regulations to reflect required annual inflation-related increases to the civil monetary penalty amounts in its regulations, under the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015; adding references to new penalty authorities; and making technical changes to correct errors in the regulation. DATES: Effective date: This final rule is effective March 17, 2022. Applicability date: The adjusted civil monetary penalty amounts apply to khammond on DSKJM1Z7X2PROD with RULES SUMMARY: VerDate Sep<11>2014 16:41 Mar 16, 2022 Jkt 256001 penalties assessed on March 17, 2022, r if the violation occurred on or after November 2, 2015. FOR FURTHER INFORMATION CONTACT: Katrina Brisbon, Acting Deputy Assistant Secretary, Office of Acquisitions, Office of the Assistant Secretary for Financial Resources, Room 536–H, Hubert Humphrey Building, 200 Independence Avenue SW, Washington, DC 20201; (202) 260–6677. SUPPLEMENTARY INFORMATION: I. Background The Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015 (section 701 of Pub. L. 114–74) (the ‘‘2015 Act’’) amended the Federal Civil Penalties Inflation Adjustment Act of 1990 (Pub. L. 101–410, 104 Stat. 890 (1990)), which is intended to improve the effectiveness of civil monetary penalties (CMPs) and to maintain the deterrent effect of such penalties, requires agencies to adjust the CMPs for inflation annually. The Department of Health and Human Services (HHS) lists the CMP authorities and the amounts administered by all of its agencies in tabular form in 45 CFR 102.3, which was issued in an interim final rule published in the September 6, 2016, Federal Register (81 FR 61538). Annual adjustments were subsequently published on February 3, 2017 (82 FR 9175), October 11, 2018 (83 FR 51369), November 5, 2019 (84 FR 59549), January 17, 2020 (85 FR 2869), and November 15, 2021 (86 FR 62928). II. Calculation of Annual Inflation Adjustment The annual inflation adjustment for each applicable CMP is determined using the percent increase in the Consumer Price Index for all Urban Consumers (CPI–U) for the month of October of the year in which the amount of each CMP was most recently established or modified. In the December 15, 2021, Office of Management and Budget (OMB) Memorandum for the Heads of Executive Agencies and Departments, M–22–07, ‘‘Implementation of Penalty Inflation Adjustments for 2022, Pursuant to the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015,’’ OMB published the multiplier for the required annual adjustment. The cost-of-living adjustment multiplier for 2022, based on the CPI–U for the month of October 2021, not seasonally adjusted, is 1.06222. The multiplier is applied to each applicable penalty amount that was updated and published for fiscal year (FY) 2021 and is rounded to the nearest dollar. PO 00000 Frm 00070 Fmt 4700 Sfmt 4700 III. Other Revisions In addition to the inflation adjustments for 2022, this final rule updates the table in 45 CFR 102.3 to add references to new, applicable civil money penalty authorities that were established or implemented since the publication of the November 15, 2021 update and that are being updated in this rule. The rule also corrects several technical errors to regulatory citations in the table and updates descriptions for clarification and accuracy. The following technical errors were identified and are corrected in the table at 45 CFR 102.3: • The citation to, and description of, 42 U.S.C. 299c–3(d) are revised for accuracy. • The regulatory reference of 42 CFR 1003.210(a)(5) implementing 42 U.S.C. 1395cc(g) which was inadvertently omitted from the regulation and is added. • The description of the CMP at 42 U.S.C. 1320a–7a(o) is revised for accuracy. • The regulatory reference to 45 CFR 155.206(i) 1 implementing 42 U.S.C. 18041(c)(2) 2 which was inadvertently omitted from the regulation is added. Additionally, the amount for this CMP was not included in the 2021 inflation adjustment rule. 86 FR 62928, 62943 (Nov. 15, 2021). Thus, we are updating the inflation amount at this time. • The first description tied to 42 U.S.C. 1395mm(i)(6)(B)(i) is revised from ‘‘is such plan’’ to ‘‘if such plan’’. • The regulatory reference to 85 FR 71142 (Nov. 6, 2020) implementing CARES Act, Pub. L. 116–136, section 3202(b)(2), is revised to read 45 CFR 182.70. ++ The 2022 adjusted amount is calculated by applying the 2021 multiplier to 1.06222 percent and this adjusted amount is reflected in the table of the regulation at 45 CFR 102.3. 1 The Department recently proposed a technical correction to 45 CFR 155.206(i) to add language that would cross-reference to the authority to implement annual inflation-related increases to CMPs pursuant to the 2015 Act. See Patient Protection and Affordable Care Act; HHS Notice of Benefit and Payment Parameters for 2023; Proposed Rule, 87 FR 584 at 640–641, 721 (Jan. 5, 2022). To date, no CMPs have been imposed under this authority, but any that are would reflect the current inflationary adjusted amount as required by the 2015 Act and would be calculated in accordance with applicable OMB guidance to all Executive Departments on the implementation of the 2015 Act. 2 See, e.g., the Patient Protection and Affordable Care Act; Exchange and Insurance Market Standards for 2015 and Beyond; Final Rule, 79 FR 30239 at 30262–30270 (May 27, 2014). E:\FR\FM\17MRR1.SGM 17MRR1 Federal Register / Vol. 87, No. 52 / Thursday, March 17, 2022 / Rules and Regulations IV. Statutory and Executive Order Reviews and Waiver of Proposed Rulemaking khammond on DSKJM1Z7X2PROD with RULES The 2015 Act requires Federal agencies to publish annual penalty inflation adjustments notwithstanding section 553 of the Administrative Procedure Act (APA). Section 4(a) of the 2015 Act directs Federal agencies to publish annual adjustments no later than January 15th of each year thereafter. In accordance with section 553 of the APA, most rules are subject to notice and comment and are effective no earlier than 30 days after publication in the Federal Register. However, section 4(b)(2) of the 2015 Act provides that each agency shall make the annual inflation adjustments ‘‘notwithstanding section 553’’ of the APA. According to OMB’s Memorandum M–21–10, the phrase ‘‘notwithstanding section 553’’ in section 4(b)(2) of the 2015 Act means that ‘‘the public procedure the APA generally requires (that is, notice, an opportunity for comment, and a delay in effective date) is not required for agencies to issue regulations implementing the annual adjustment.’’ Consistent with the language of the 2015 Act and OMB’s implementation guidance, the inflation adjustments set out in this rule are not subject to notice VerDate Sep<11>2014 16:41 Mar 16, 2022 Jkt 256001 and an opportunity for public comment and will be effective immediately upon publication. Additionally, HHS finds that notice and comment procedures would be impracticable and unnecessary under the APA for making the statutorily required inflation updates to newly established penalty amounts and for the ministerial and technical changes in this rule. In addition, HHS is waiving notice and comment for the non-substantive technical corrections set out in this final rule. HHS finds good cause for issuing these changes as a final rule without prior notice and comment because these changes only update the regulation to add the new CMP authorities that will be adjusted in accordance with the 2015 Act which were implemented since the last update. Pursuant to OMB Memorandum M– 21–10, HHS has determined that the annual inflation adjustment to the civil monetary penalties in its regulations does not trigger any requirements under procedural statutes and Executive Orders that govern rulemaking procedures. V. Effective and Applicability Dates This rule is effective on the date specified in the DATES section of this PO 00000 Frm 00071 Fmt 4700 Sfmt 4700 15101 final rule. The adjusted civil monetary penalty amounts apply to penalties assessed on or after date specified in the DATES section of this final rule, if the violation occurred on or after November 2, 2015. If the violation occurred before November 2, 2015, or a penalty was assessed before September 6, 2016, the pre-adjustment civil penalty amounts in effect before September 6, 2016, will apply. List of Subjects in 45 CFR Part 102 Administrative practice and procedure, Penalties. Accordingly, the Department of Health and Human Services amends 45 CFR part 102 as follows: PART 102—ADJUSTMENT OF CIVIL MONETARY PENALTIES FOR INFLATION 1. The authority citation for part 102 is revised to read as follows: ■ Authority: Pub. L. 101–410, Sec. 701 of Pub. L. 114–74, 31 U.S.C. 3801–3812. 2. Amend § 102.3 by revising table 1 to read as follows: ■ § 102.3 * * Penalty adjustment and table. * * BILLING CODE 4150–24–P E:\FR\FM\17MRR1.SGM 17MRR1 * 15102 Federal Register / Vol. 87, No. 52 / Thursday, March 17, 2022 / Rules and Regulations TABLE U.S.C. Section(s) 1 TO §102.3 -- CIVIL MONETARY PENALTY AUTHORITIES ADMINISTERED BY HHS CFR1 HHS Agency Date of Last Penalty Figure or Adjustment3 Description 2 2021 2022 Maximum adjusted penalty ($) Maximum adjusted penalty ($)4 2021 108,315 115,054 2021 2,166,279 2,301,065 2021 216,628 230,107 2021 29,256 31,076 2021 1,950,461 2,071,819 2021 82,245 87,362 2021 411,223 436,809 2021 822,445 873,618 2021 12,462 13,237 2021 12,462 13,237 2021 311,563 330,948 2021 1,246,249 1,323,791 333(b)(2)(A) FDA 333(b)(2)(B) FDA 333(b)(3) FDA 333(f)(1)(A) FDA FDA FDA 333(f)(2)(A) FDA FDA 333(f)(3)(A) FDA 333(f)(3)(B) FDA FDA 333(f)(4)(A)(i) khammond on DSKJM1Z7X2PROD with RULES FDA VerDate Sep<11>2014 16:41 Mar 16, 2022 Jkt 256001 Penalty for violations related to drug samples resulting in a conviction of any representative of manufacturer or distributor in anv 10-vear oeriod Penalty for violation related to drug samples resulting in a conviction of any representative of manufacturer or distributor after the second conviction in any 10-yr period Penalty for failure to make a report required by 21 U.S.C. 353(d)(3)(E) relating to drug samples Penalty for any person who violates a requirement related to devices for each such violation Penalty for aggregate of all violations related to devices in a single proceeding Penalty for any individual who introduces or delivers for introduction into interstate commerce food that is adulterated per 21 U.S.C. 342(a)(2)(B) or any individual who does not comply with a recall order under 21 U.S.C. 3501 Penalty in the case of any other person (other than an individual) for such introduction or delivery of adulterated food Penalty for aggregate of all such violations related to adulterated food adjudicated in a single proceeding Penalty for all violations adjudicated in a single proceeding for any person who violates 21 U.S.C. 331@ by failing to submit the certification required by 42 U.S.C. 2820)(5)(B) or knowingly submitting a false certification; by failing to submit clinical trial information under 42 U.S.C. 2820); or by submitting clinical trial information under 42 U.S.C. 2820) that is false or misleading in any particular under 42 U.S.C. 282(i)(5)(D) Penalty for each day any above violation is not corrected after a 30-day period following notification until the violation is corrected Penalty for any responsible person that violates a requirement of 21 U.S.C. 355(0) (post-marketing studies, clinical trials, labeling), 21 U.S.C. 355(p) (risk evaluation and mitigation (REMS)), or 21 U.S.C. 355-1 (REMS) Penalty for aggregate of all such above violations in a sinale proceedina PO 00000 Frm 00072 Fmt 4700 Sfmt 4725 E:\FR\FM\17MRR1.SGM 17MRR1 ER17MR22.010</GPH> 21 U.S.C.: FDA 333(f)(4)(A)(ii) FDA FDA FDA 333(f)(9)(A) FDA FDA 333(f)(9)(B)(i)(I) FDA FDA 333(f)(9)(B)(i)(I I) FDA FDA 333(f)(9)(B)(ii)(I) FDA FDA FDA 333(f)(9)(B)(ii)(II) FDA 333(g)(1) FDA khammond on DSKJM1Z7X2PROD with RULES 333 note VerDate Sep<11>2014 FDA 16:41 Mar 16, 2022 Jkt 256001 Penalty for REMS violation that continues after written notice to the responsible person for the first 30-day period (or any portion thereof) the responsible person continues to be in violation Penalty for REMS violation that continues after written notice to responsible person doubles for every 30-day period thereafter the violation continues, but may not exceed penalty amount for any 30-day period Penalty for aggregate of all such above violations adjudicated in a single proceeding Penalty for any person who violates a requirement which relates to tobacco products for each such violation Penalty for aggregate of all such violations of tobacco product requirement adjudicated in a single proceedinq. Penalty per violation related to violations of tobacco requirements Penalty for aggregate of all such violations of tobacco product requirements adjudicated in a single proceeding. Penalty in the case of a violation of tobacco product requirements that continues after written notice to such person, for the first 30-day period (or any portion thereof) the person continues to be in violation Penalty for violation of tobacco product requirements that continues after written notice to such person shall double for every 30-day period thereafter the violation continues, but may not exceed penalty amount for any 30-day period. Penalty for aggregate of all such violations related to tobacco product requirements adjudicated in a single proceedinq. Penalty for any person who either does not conduct post-market surveillance and studies to determine impact of a modified risk tobacco product for which the HHS Secretary has provided them an order to sell, or who does not submit a protocol to the HHS Secretary after being notified of a requirement to conduct postmarket surveillance of such tobacco products Penalty for aggregate of for all such above violations adiudicated in a sinale oroceedina. Penalty for violation of modified risk tobacco product post-market surveillance that continues after written notice to such person for the first 30-day period (or any portion thereof) that the person continues to be in violation Penalty for post-notice violation of modified risk tobacco product post-market surveillance shall double for every 30-day period thereafter that the tobacco product requirement violation continues for any 30-day period, but may not exceed penalty amount for any 30dav oeriod. Penalty for aggregate above tobacco product requirement violations adjudicated in a single proceedinq. Penalty for any person who disseminates or causes another party to disseminate a direct-to-consumer advertisement that is false or misleading for the first such violation in anv 3-vear oeriod Penalty for each subsequent above violation in any 3year period. Penalty to be applied for violations of 21 U.S.C. § 387f(d)(5) or of violations of restrictions on the sale or distribution of tobacco products promulgated under 21 U.S.C. 387f(d) (e.g., violations of regulations in 21 CFR part 1140) with respect to a retailer with an approved PO 00000 Frm 00073 Fmt 4700 Sfmt 4725 E:\FR\FM\17MRR1.SGM 15103 2021 311,563 330,948 2021 1,246,249 1,323,791 2021 12,462,49 4 13,237,910 2021 18,068 19,192 2021 1,204,504 1,279,448 2021 301,127 319,863 2021 1,204,504 1,279,448 2021 301,127 319,863 2021 1,204,504 1,279,448 2021 12,045,04 4 12,794,487 2021 301,127 319,863 2021 1,204,504 1,279,448 2021 301,127 319,863 2021 1,204,504 1,279,448 2021 12,045,04 4 12,794,487 2021 311,563 330,948 2021 623,125 661,896 2021 301 320 17MRR1 ER17MR22.011</GPH> Federal Register / Vol. 87, No. 52 / Thursday, March 17, 2022 / Rules and Regulations 15104 Federal Register / Vol. 87, No. 52 / Thursday, March 17, 2022 / Rules and Regulations training program in the case of a second regulation violation within a 12-month period. Penalty in the case of a third violation of 21 U.S.C. FDA FDA FDA FDA FDA FDA FDA FDA FDA 335b(a) FDA FDA 360pp(b )( 1) FDA FDA § 387f(d)(5) or of the tobacco product regulations within a 24-month period. Penalty in the case of a fourth violation of 21 U.S.C. § 387f(d)(5) or of the tobacco product regulations within a 24-month period. Penalty in the case of a fifth violation of 21 U.S.C. § 387f(d)(5) or of the tobacco product regulations within a 36-month period. Penalty in the case of a sixth or subsequent violation of 21 U.S.C. § 387f(d)(5) or of the tobacco product regulations within a 48-month period as determined on a case-bv-case basis. Penalty to be applied for violations of 21 U.S.C. § 387f(d)(5) or of violations of restrictions on the sale or distribution of tobacco products promulgated under 21 U.S.C. 387f(d) (e.g., violations of regulations in 21 CFR part 1140) with respect to a retailer that does not have an approved training program in the case of the first regulation violation. Penalty in the case of a second violation of 21 U.S.C. § 387f(d)(5) or of the tobacco product regulations within a 12-month period. Penalty in the case of a third violation of 21 U.S.C. § 387f(d)(5) or of the tobacco product regulations within a 24-month period. Penalty in the case of a fourth violation of 21 U.S.C. § 387f(d)(5) or of the tobacco product regulations within a 24-month period. Penalty in the case of a fifth violation of 21 U.S.C. § 387f(d)(5) or of the tobacco product regulations within a 36-month period. Penalty in the case of a sixth or subsequent violation of 21 U.S.C. § 387f(d)(5) or of the tobacco product regulations within a 48-month period as determined on a case-by-case basis. Penalty for each violation for any individual who made a false statement or misrepresentation of a material fact, bribed, destroyed, altered, removed, or secreted, or procured the destruction, alteration, removal, or secretion of, any material document, failed to disclose a material fact, obstructed an investigation, employed a consultant who was debarred, debarred individual provided consultant services Penalty in the case of any other person (other than an individual) oer above violation. Penalty for any person who violates any such requirements for electronic products, with each unlawful act or omission constituting a separate violation Penalty imposed for any related series of violations of requirements relating to electronic products. khammond on DSKJM1Z7X2PROD with RULES 42 U.S.C. 601 638 2021 2,409 2,559 2021 6,022 6,397 2021 12,045 12,794 2021 301 320 2021 601 638 2021 1,205 1,280 2021 2,409 2,559 2021 6,022 6,397 2021 12,045 12,794 2021 459,074 487,638 2021 1,836,294 1,950,548 2021 3,011 3,198 2021 1,026,380 1,090,241 - 2021 262(d) FDA 263b(h)(3) FDA 300aa-28(b )( 1) FDA VerDate Sep<11>2014 2021 16:41 Mar 16, 2022 Jkt 256001 Penalty per day for violation of order of recall of biological product presenting imminent or substantial hazard Penalty for failure to obtain a mammography certificate as required Penalty per occurrence for any vaccine manufacturer that intentionally destroys, alters, falsifies, or conceals any record or report required PO 00000 Frm 00074 Fmt 4700 Sfmt 4725 E:\FR\FM\17MRR1.SGM 2021 236,071 250,759 2021 18,364 19,507 2021 236,071 250,759 17MRR1 ER17MR22.012</GPH> FDA 256b(d)(1 )(B)(vi) HRSA 299c-3(d) AHRQ 45CFR 303.21(f 653(1)(2) ACF ) 42 CFR 1003.91 0 262a(i)(1) OIG OIG 300jj-51 OIG 42 CFR 1003.21 0(a)(1) OIG OIG 42 CFR 1003.21 0(a)(2) 42 CFR 1003.21 0(a\(3\ 42 CFR 1003.10 10 42 CFR 1003.21 0(a)(4) 1320a-7a(a) OIG 2021 15,480 16,443 2021 1,588 1,687 2021 359,053 381,393 2021 718,109 762,790 2021 1,094,805 1,162,924 2021 21,113 22,427 2021 21,113 22,427 2021 31,670 33,641 21,113 22,427 OIG Penalty for remuneration offered to induce program beneficiaries to use particular providers, practitioners, or suppliers. 2021 21,113 22,427 OIG Penalty for employing or contracting with an excluded individual. 2021 21,113 22,427 2021 105,563 112,131 2021 21,113 22,427 2021 105,563 112,131 42 CFR 1003.21 0(a)(1) OIG 42 CFR 1003.21 0(a)(6) OIG Penalty for knowing and willful solicitation, receipt, offer, or payment of remuneration for referring an individual for a service or for purchasing, leasing, or ordering an item to be paid for by a Federal health care proaram. Penalty for ordering or prescribing medical or other item or service during a period in which the person was excluded. Penalty for knowingly making or causing to be made a false statement, omission or misrepresentation of a material fact in any application, bid, or contract to participate or enroll as a provider or supplier. OIG Penalty for knowing of an overpayment and failing to report and return. 2021 21,113 22,427 OIG Penalty for making or using a false record or statement that is material to a false or fraudulent claim. 2021 59,527 63,231 2021 31,670 33,641 2021 5,278 5,606 2021 5,278 5,606 OIG 1320a-7a(b) OIG khammond on DSKJM1Z7X2PROD with RULES 6,323 2021 OIG 16:41 Mar 16, 2022 Penalty for each individual who violates safety and security procedures related to handling dangerous biological agents and toxins Penalty for any other person who violates safety and security procedures related to handling dangerous biological agents and toxins. Penalty per violation for committing information blocking Penalty for knowingly presenting or causing to be presented to an officer, employee, or agent of the United States a false claim Penalty for knowingly presenting or causing to be presented a request for payment which violates the terms of an assignment, agreement, or PPS agreement Penalty for knowingly giving or causing to be presented to a participating provider or supplier false or misleading information that could reasonably be expected to influence a discharae decision. 5,953 Penalty for an excluded party retaining ownership or control interest in a participating entity. OIG VerDate Sep<11>2014 Penalty for Misuse of Information in the National Directory of New Hires 2021 OIG 42 CFR 1003.31 0(a)(3) 42 CFR 1003.21 0(a\(81 42 CFR 1003.21 0(a\(71 42 CFR 1003.21 0(a)(9) Penalty for each instance of overcharging a 340B covered entity Penalty for using or disclosing identifiable information obtained in the course of activities undertaken pursuant to Title IX of the Public Health Service Act, for a purpose other than that for which the information was supplied, without consent to do so. 15105 Jkt 256001 Penalty for failure to grant timely access to HHS OIG for audits, investigations, evaluations, and other statutory functions of HHS OIG. Penalty for payments by a hospital or critical access hospital to induce a physician to reduce or limit services to individuals under direct care of physician or who are entitled to certain medical assistance benefits Penalty for physicians who knowingly receive payments from a hospital or critical access hospital to induce such physician to reduce or limit services to individuals under direct care of physician or who are entitled to certain medical assistance benefits. PO 00000 Frm 00075 Fmt 4700 Sfmt 4725 E:\FR\FM\17MRR1.SGM 17MRR1 ER17MR22.013</GPH> Federal Register / Vol. 87, No. 52 / Thursday, March 17, 2022 / Rules and Regulations 15106 42 CFR 1003.21 O(a)(10) OIG OIG OIG OIG 1320a-7a(o) OIG OIG 1320a-7e(b)(6)(A) 42 CFR 1003.81 0 OIG 1320b-1 O(b)(1) 42 CFR 1003.61 O(a) OIG 1320b-10(b)(2) 42 CFR 1003.61 O(a) OIG 1395i3(b)(3)(B)(ii)(1) 1395i3(b)(3)(B)(ii)(2) 1395i-3(g)(2)(A) 42 CFR 1003.21 O(a)(11) 42 CFR 1003.21 O(a)(11) 42 CFR 1003.13 10 OIG OIG OIG OIG OIG OIG 1395w27(g)(2)(A) 42 CFR 1003.41 0 OIG khammond on DSKJM1Z7X2PROD with RULES OIG OIG VerDate Sep<11>2014 16:41 Mar 16, 2022 Jkt 256001 Penalty for a physician who executes a document that falsely certifies home health needs for Medicare beneficiaries. Penalty for knowingly presenting or causing to be presented a false or fraudulent specified claim under a grant, contract, or other agreement for which the Secretarv orovides fundina. Penalty for knowingly making, using, or causing to be made or used any false statement, omission, or misrepresentation of a material fact in any application, proposal, bid, progress report, or other document required to directly or indirectly receive or retain funds provided pursuant to grant, contract, or other agreement. Penalty for Knowingly making, using, or causing to be made or used, a false record or statement material to a false or fraudulent specified claim under grant, contract, or other aareement. Penalty for knowingly making, using, or causing to be made or used, a false record or statement material to an obligation to pay or transmit funds or property with respect to grant, contract, or other agreement, or knowingly conceals or improperly avoids or decreases any such obligation. Penalty for failure to grant timely access, upon reasonable request, to the I.G. for purposes of audits, investigations, evaluations, or other statutory functions of I.G. in matters involving grants, contracts, or other aareements. Penalty for failure to report any final adverse action taken against a health care provider, supplier, or practitioner Penalty for the misuse of words, symbols, or emblems in communications in a manner in which a person could falsely construe that such item is approved, endorsed, or authorized bv HHS Penalty for the misuse of words, symbols, or emblems in a broadcast or telecast in a manner in which a person could falsely construe that such item is annroved, endorsed, or authorized bv HHS Penalty for certification of a false statement in assessment of functional capacity of a Skilled Nursing Facility resident assessment Penalty for causing another to certify or make a false statement in assessment of functional capacity of a Skilled Nursing Facility resident assessment Penalty for any individual who notifies or causes to be notified a Skilled Nursing Facility of the time or date on which a survey is to be conducted Penalty for a Medicare Advantage organization that substantially fails to provide medically necessary, required items and services Penalty for a Medicare Advantage organization that charges excessive premiums. Penalty for a Medicare Advantage organization that improperly expels or refuses to reenroll a beneficiary. Penalty for a Medicare Advantage organization that engages in practice that would reasonably be expected to have the effect of denying or discouraging enrollment. Penalty per individual who does not enroll as a result of a Medicare Advantage organization's practice that would reasonably be expected to have the effect of denvina or discouraaina enrollment. Penalty for a Medicare Advantage organization misrepresenting or falsifying information to Secretary. PO 00000 Frm 00076 Fmt 4700 Sfmt 4725 E:\FR\FM\17MRR1.SGM 2021 10,556 11,213 2021 10,296 10,937 2021 51,483 54,686 2021 51,483 54,686 2021 53,772 each false record or statement, 10,754 per day 53,772 each false record or statement, 10,754 per day 2021 15,445 16,406 2021 40,282 42,788 2021 10,832 11,506 2021 54,157 57,527 2021 2,259 2,400 2021 11,292 11,995 2021 4,518 4,799 2021 41,120 43,678 2021 40,282 42,788 2021 40,282 42,788 2021 161,130 171,156 2021 24,169 25,673 2021 161,130 171,156 17MRR1 ER17MR22.014</GPH> Federal Register / Vol. 87, No. 52 / Thursday, March 17, 2022 / Rules and Regulations OIG OIG 1395dd(d)(1) 42,788 OIG Penalty for a Medicare Advantage organization enrolling an individual in without prior written consent. 2021 40,282 42,788 2021 40,282 42,788 2021 40,282 42,788 2021 40,282 42,788 2021 14,074 14,950 Penalty for a Medicare Advantage organization transferring an enrollee to another plan without consent or solely for the ouroose of earning a commission. Penalty for a Medicare Advantage organization failing to comply with marketing restrictions or applicable imolementing regulations or guidance. Penalty for a Medicare Advantage organization employing or contracting with an individual or entity who violates 1395w-27(a)(1)(A)-(J). Penalty for a prescription drug card sponsor that falsifies or misrepresents marketing materials, overcharges program enrollees, or misuse transitional assistance funds OIG Penalty for improper billing by Hospitals, Critical Access Hospitals, or Skilled Nursing Facilities 2021 5,475 5,816 OIG Penalty for a hospital with 100 beds or more or responsible physician dumping patients needing emergency medical care. 2021 112,916 119,942 Penalty for a hospital with less than 100 beds dumping patients needing emergency medical care. 2021 56,460 59,973 Penalty for a HMO or competitive medical plan if such plan substantially fails to provide medically necessary, required items or services 2021 56,460 59,973 2021 56,460 59,973 2021 56,460 59,973 2021 225,834 239,885 2021 32,495 34,517 2021 225,834 239,885 2021 56,460 59,973 2021 56,460 59,973 2021 51,827 55,052 2021 26,125 27,750 OIG OIG OIG OIG OIG OIG OIG OIG khammond on DSKJM1Z7X2PROD with RULES 40,282 42,788 OIG 42 CFR 1003.41 0 2021 40,282 OIG 1395mm(i)(6)(B)(i ) 42,788 2021 OIG 42 CFR 1003.21 0(a)(5) 42 CFR 1003.51 0 40,282 Penalty for a Medicare Advantage organization that employs or contracts with excluded individual or entity. OIG 1395cc(g) 2021 OIG OIG 1395w-141 (i)(3) Penalty for a Medicare Advantage organization misrepresenting or falsifying information to individual or other entity. Penalty for Medicare Advantage organization interfering with provider's advice to enrollee and nonMCO affiliated oroviders that balance bill enrollees. 15107 Penalty for HMOs/compelitive medical plans that charge premiums in excess of permitted amounts. Penalty for a HMO or competitive medical plan that expels or refuses to reenroll an individual per orescribed conditions. Penalty for a HMO or competitive medical plan that implements practices to discourage enrollment of individuals needing services in future. Penalty per individual not enrolled in a plan as a result of a HMO or competitive medical plan that implements practices to discourage enrollment of individuals needing services in the future. Penalty for a HMO or competitive medical plan that misrepresents or falsifies information to the Secretary. Penalty for a HMO or competitive medical plan that misrepresents or falsifies information to an individual or any other entitY. Penalty for failure by HMO or competitive medical plan to assure prompt payment of Medicare risk sharing contracts or incentive clan orovisions. Penalty for HMO that employs or contracts with excluded individual or entitY. Penalty for submitting or causing to be submitted claims in violation of the Stark Law's restrictions on ohysician self-referrals 1395nn(g)(3) 42 CFR 1003.31 0 OIG 1395nn(g)(4) 42 CFR 1003.31 0 OIG Penalty for circumvention schemes in violation of the Stark Law's restrictions on physician self-referrals 2021 174,172 185,009 1395ss(d)( 1) 42 CFR 1003.11 10 OIG Penalty for a material misrepresentation regarding Medigap compliance policies 2021 10,832 11,506 VerDate Sep<11>2014 16:41 Mar 16, 2022 Jkt 256001 PO 00000 Frm 00077 Fmt 4700 Sfmt 4725 E:\FR\FM\17MRR1.SGM 17MRR1 ER17MR22.015</GPH> Federal Register / Vol. 87, No. 52 / Thursday, March 17, 2022 / Rules and Regulations 15108 1395ss(d)(2) 1395ss(d)(3)(A)(ii) 1395ss(d)(4 )(A) 42 CFR 1003.11 10 42 CFR 1003.11 10 42 CFR 1003.11 10 OIG Penalty for selling Medigap policy under false pretense 2021 10,832 11,506 OIG Penalty for an issuer that sells health insurance policy that duplicates benefits 2021 48,762 51,796 OIG Penalty for someone other than issuer that sells health insurance that duplicates benefits. 2021 29,256 31,076 OIG Penalty for using mail to sell a non-approved Medigap insurance policy 2021 10,832 11,506 OIG Penalty for a Medicaid MCO that substantially fails to provide medically necessary, required items or services 2021 54,157 57,527 2021 54,157 57,527 2021 216,628 230,107 2021 32,495 34,517 2021 216,628 230,107 2021 54,157 57,527 2021 48,762 51,796 2021 2,259 2,400 2021 11,292 11,995 2021 4,518 4,799 2021 195,047 207,183 OIG OIG 1396b(m)(5)(B)(i) 42 CFR 1003.41 0 OIG OIG OIG OIG 1396r(b)(3)(B)(ii)(I ) 1396r(b)(3)(B)(ii)(I I) 1396r(g)(2)(A)(i) 1396r-8(b)(3)(B) 1396r8(b)(3)(C)(i) 1396r8(b)(3)(C)(ii) 1396t(i)(3)(A) 11131(c) 11137(b)(2) 299b-22(f)( 1) 42 CFR 1003.21 0(a)(11) 42 CFR 1003.21 0(a)(11) 42 CFR 1003.13 10 42 CFR 1003.12 10 42 CFR 1003.12 10 42 CFR 1003.12 10 42 CFR 1003.13 10 42 CFR 1003.81 0 42 CFR 1003.81 0 42 CFR 3.404 khammond on DSKJM1Z7X2PROD with RULES 45CFR 160.404 (b)(1)(i), (ii) VerDate Sep<11>2014 16:41 Mar 16, 2022 OIG OIG OIG OIG Penalty for a Medicaid MCO that charges excessive premiums. Penalty for a Medicaid MCO that improperly expels or refuses to reenroll a beneficiary. Penalty per individual who does not enroll as a result of a Medicaid MCO's practice that would reasonably be expected to have the effect of denying or discouraging enrollment. Penalty for a Medicaid MCO misrepresenting or falsifvinQ information to the Secretary. Penalty for a Medicaid MCO misrepresenting or falsifying information to an individual or another entity. Penalty for a Medicaid MCO that fails to comply with contract requirements with respect to physician incentive olans. Penalty for willfully and knowingly certifying a material and false statement in a Skilled Nursing Facility resident assessment Penalty for willfully and knowingly causing another individual to certify a material and false statement in a Skilled Nursing Facility resident assessment Penalty for notifying or causing to be notified a Skilled Nursing Facility of the time or date on which a survey is to be conducted Penalty for the knowing provision of false information or refusing to provide information about charges or prices of a covered outpatient druQ OIG Penalty per day for failure to timely provide information by drug manufacturer with rebate agreement 2021 19,505 20,719 OIG Penalty for knowing provision of false information by drug manufacturer with rebate agreement 2021 195,047 207,183 OIG Penalty for notifying home and community-based providers or settings of survey 2021 3,901 4,144 OIG Penalty for failing to report a medical malpractice claim to National Practitioner Data Bank 2021 23,607 25,076 OIG Penalty for breaching confidentiality of information reported to National Practitioner Data Bank 2021 23,607 25,076 OCR Penalty for violation of confidentiality provision of the Patient Safety and Quality Improvement Act 2021 13,072 13,885 OCR Penalty for each pre-February 18, 2009 violation of the HIPAA administrative simplification provisions 2021 164 174 Calendar Year Cap 2021 41,120 43,678 Jkt 256001 PO 00000 Frm 00078 Fmt 4700 Sfmt 4725 E:\FR\FM\17MRR1.SGM 17MRR1 ER17MR22.016</GPH> Federal Register / Vol. 87, No. 52 / Thursday, March 17, 2022 / Rules and Regulations Federal Register / Vol. 87, No. 52 / Thursday, March 17, 2022 / Rules and Regulations 45CFR 160.404 (b)(2)(ii) (A), (B) OCR 45CFR 160.404 (b)(2)(iv )(A), (B) OCR OCR 42 U.S.C. 300gg18, 42 U.S.C. khammond on DSKJM1Z7X2PROD with RULES CARES Act, P.L. 116-136, section 3202(b)(2) VerDate Sep<11>2014 45CFR 182.70 16:41 Mar 16, 2022 2021 120 127 Maximum 2021 60,226 63,973 Calendar Year Cap 2021 1,806,757 1,919,173 Penalty for each February 18, 2009 or later violation of a HIPAA administrative simplification provision in which it is established that the violation was due to reasonable cause and not to willful neglect: 2021 Minimum 2021 1,205 1,280 Maximum 2021 60,226 63,973 Calendar Year Cap 2021 1,806,757 1,919,173 Penalty for each February 18, 2009 or later violation of a HIPAA administrative simplification provision in which it is established that the violation was due to willful neglect and was corrected during the 30-day period beginning on the first dale the covered entity or business associate knew, or, by exercising reasonable diligence, would have known that the violation occurred: 2021 Minimum 2021 12,045 12,794 0 Maximum 2021 60,226 63,973 Calendar Year Cap 2021 1,806,757 1,919,173 Penalty for each February 18, 2009 or later violation of a HIPAA administrative simplification provision in which ii is established that the violation was due to willful neglect and was not corrected during the 30-day period beginning on the first date the covered entity or business associate knew, or by exercising reasonable diligence, would have known that the violation occurred: 2021 Minimum 2021 60,226 63,973 Maximum 2021 1,806,757 1,919,173 Calendar Year Cap 2021 1,806,757 1,919,173 2021 304 300 per day Per Day (Maximum) 2021 304 5500 per day Penalty for a provider's non-compliance with price transparency requirements regarding diagnostic tests for COVID-19 2021 - Per Day (Maximum) 2021 $300 per day Penalty for a hospital's non-compliance with making 45 CFR 180.90 1302 Minimum 0 OCR 1320(d)-5(a) 45CFR 160.404 (b)(2)(iii )(A), (B) 2021 CMS CMS Jkt 256001 public standard charges for hospital items and services PO 00000 Frm 00079 Fmt 4700 Sfmt 4725 E:\FR\FM\17MRR1.SGM 17MRR1 ER17MR22.017</GPH> 45CFR 160.404 (b)(2)(i)( A), (B) Penalty for each February 18, 2009 or later violation of a HIPAA administrative simplification provision in which it is established that the covered entity or business associate did not know and by exercising reasonable diligence, would not have known that the covered entity or business associate violated such a provision: 15109 15110 Federal Register / Vol. 87, No. 52 / Thursday, March 17, 2022 / Rules and Regulations 42 CFR 493.183 4(d)(2)(i ). 263a(h)(2)(B) & 1395w2(b)(2)(A)(ii) 42 CFR 493.183 4(d)(2)(i i). 42 CFR 493.183 4(d)(2)(i ii) 300gg-15(f) CMS 45CFR 147.200 CMS CMS CMS (e) 45CFR 158.606 300gg-18 CMS 45CFR 180.90 Penalty for a clinical laboratory's failure to meet participation and certification requirements and poses immediate jeopardy: 2021 Minimum 2021 6,607 7,018 Maximum 2021 21,663 23,011 Penalty for a clinical laboratory's failure to meet participation and certification requirements and the failure does not pose immediate jeopardy: 2021 Minimum 2021 109 116 Maximum 2021 6,498 6,902 Penalty for a clinical laboratory's failure to meet SARSCoV-2 test reporting requirements: 2021 First day of noncompliance 2021 Each additional day of noncompliance 2021 Failure to provide the Summary of Benefits and Coverage 2021 1,190 1,264 2021 119 126 10,000 10,622 Penalty for violations of regulations related to the medical loss ratio reoortina and rebatina Price against hospital identified by CMS as noncompliant according to §182.50 with respect to CMS price transparency requirements regarding diagnostic 2021 tests for COVID-19. USC 300gg- Penalties for failure to comply with No Surprises 118 note, CMS 300qq-134 1320a-7h(b )(2) 1320a-7j(h)(3)(A) khammond on DSKJM1Z7X2PROD with RULES 2021 providers of air ambulance services. 1320a-7h(b)(1) VerDate Sep<11>2014 Act requirements on providers, facilities, 42 CFR 402.105 (d)(5), 42 CFR 403.912 (a) & (c) 42 CFR 402.105 (h), 42 CFR 403.912 (b) & (c) 42 CFR 488.446 (a)(1), (2), & (3) 16:41 Mar 16, 2022 Penalty for manufacturer or group purchasing organization failing to report information required under 42 U.S.C. 1320a-7h(a), relating to physician ownership or investment interests: 2021 Minimum 2021 1,190 1,264 Maximum 2021 11,905 12,646 Calendar Year Cap 2021 178,581 189,692 Penalty for manufacturer or group purchasing organization knowingly failing to report information required under 42 U.S.C. 1320a-7h(a), relating to physician ownership or investment interests: 2021 Minimum 2021 11,905 12,646 Maximum 2021 119,055 126,463 Calendar Year Cap 2021 1,190,546 1,264,622 CMS Penalty for an administrator of a facility that fails to comply with notice requirements for the closure of a facility 2021 119,055 126,463 CMS Minimum penalty for the first offense of an administrator who fails to provide notice of facility closure 2021 595 632 CMS CMS Jkt 256001 PO 00000 Frm 00080 Fmt 4700 Sfmt 4725 E:\FR\FM\17MRR1.SGM 17MRR1 ER17MR22.018</GPH> 42 Federal Register / Vol. 87, No. 52 / Thursday, March 17, 2022 / Rules and Regulations 1320a-8(a)(1) CMS 1320a-8(a)(3) CMS 1320b-25(c)(1)(A) CMS 1320b-25(c)(2)(A) CMS 1320b-25(d)(2) CMS 1395b-7(b)(2)(B) 1395i3(h)(2)(B)(ii)(I) 42 CFR 402.105 (g) 42 CFR 488.408 (d)(1 )(iii CMS CMS Minimum penalty for the second offense of an administrator who fails to provide notice of facility closure. Minimum penalty for the third and subsequent offenses of an administrator who fails to provide notice of facility closure. Penalty for an entity knowingly making a false statement or representation of material fact in the determination of the amount of benefits or payments related to old-age, survivors, and disability insurance benefits, special benefits for certain World War II veterans, or supplemental security income for the aaed, blind, and disabled Penalty for violation of 42 U.S.C. 1320a-8(a)(1) if the violator is a person who receives a fee or other income for services performed in connection with determination of the benefit amount or the person is a physician or other health care provider who submits evidence in connection with such a determination. Penalty for a representative payee (under 42 U.S.C. 405(j), 1007, or 1383(a)(2)) converting any part of a received payment from the benefit programs described in the previous civil monetary penalty to a use other than for the benefit of the beneficiarv Penalty for failure of covered individuals to report to the Secretary and 1 or more law enforcement officials any reasonable suspicion of a crime against a resident, or individual receiving care, from a long-term care facility Penalty for failure of covered individuals to report to the Secretary and 1 or more law enforcement officials any reasonable suspicion of a crime against a resident, or individual receiving care, from a long-term care facility if such failure exacerbates the harm to the victim of the crime or results in the harm to another individual Penalty for a long-term care facility that retaliates against any employee because of lawful acts done by the employee, or files a complaint or report with the State professional disciplinary agency against an employee or nurse for lawful acts done by the emolovee or nurse Penalty for any person who knowingly and willfully fails to furnish a beneficiary with an itemized statement of items or services within 30 days of the beneficiary's reauest 15111 2021 1,787 1,898 2021 3,571 3,793 2021 8,708 9,250 2021 8,212 8,723 2021 6,820 7,244 2021 238,110 252,925 2021 357,163 379,386 2021 238,110 252,925 2021 161 171 Penalty per day for a Skilled Nursing Facility that has a Category 2 violation of certification requirements: 2021 Minimum 2021 113 120 Maximum 2021 6,774 7,195 Penalty per instance of Category 2 noncompliance by a Skilled Nursing Facility: 2021 Minimum 2021 2,259 2,400 Maximum 2021 22,584 23,989 Penalty per day for a Skilled Nursing Facility that has a Category 3 violation of certification requirements: 2021 Minimum 2021 6,888 7,317 Maximum 2021 22,584 23,989 Penalty per instance of Category 3 noncompliance by a Skilled Nursing Facility: 2021 ) 42 CFR 488.408 (d)(1 )(iv CMS ) 42 CFR 488.408 (e)(1 )(iii CMS 42 CFR 488.408 VerDate Sep<11>2014 16:41 Mar 16, 2022 CMS Jkt 256001 PO 00000 Frm 00081 Fmt 4700 Sfmt 4725 E:\FR\FM\17MRR1.SGM 17MRR1 ER17MR22.019</GPH> khammond on DSKJM1Z7X2PROD with RULES ) 15112 Federal Register / Vol. 87, No. 52 / Thursday, March 17, 2022 / Rules and Regulations 42 CFR 488.408 (e)(2)(ii) 42 CFR 488.438 (a)(1 )(i) 42 CFR 488.438 (a)(1 )(ii) 42 CFR 488.438 (a)(2) 42 CFR 488.447 1395I(h)(5)(D) 42 CFR 402.105 (d)(2)(i) khammond on DSKJM1Z7X2PROD with RULES 1395I(i)(6) CMS CMS CMS CMS CMS CMS CMS 1395I(q)(2)(B)(i) 42 CFR 402.105 (a) 1395m (a)( 11 )(A) 42 CFR 402.1 (c) (4), 402.105 (d)(2)(ii) CMS 1395m(a)(18)(B) 42 CFR 402.1 (c) (5), 402.105 CMS VerDate Sep<11>2014 16:41 Mar 16, 2022 CMS Jkt 256001 Minimum 2021 2,259 2,400 22,584 23,989 Maximum 2021 Penalty per day and per instance for a Skilled Nursing Facility that has Category 3 noncompliance with Immediate Jeopardy: 2021 Per Day (Minimum) 2021 6,888 7,317 Per Day (Maximum) 2021 22,584 23,989 Per Instance (Minimum) 2021 2,259 2,400 Per Instance (Maximum) 2021 22,584 23,989 Penalty per day of a Skilled Nursing Facility that fails to meet certification requirements. These amounts represent the upper ranQe per day: 2021 Minimum 2021 6,888 7,317 Maximum 2021 22,584 23,989 Penalty per day of a Skilled Nursing Facility that fails to meet certification requirements. These amounts represent the lower ranQe per day: 2021 Minimum 2021 113 120 6,774 7,195 Maximum 2021 Penalty per instance of a Skilled Nursing Facility that fails to meet certification reQuirements: 2021 Minimum 2021 2,259 2,400 22,584 23,989 Maximum 2021 Penalty imposed for failure to comply with infection control weekly reporting requirements at 42 CFR 483.80(a)(1) and (2) 2021 First occurrence 2021 1,012 1,075 2021 506 537 2021 16,449 17,472 2021 4,333 4,603 2021 4,146 4,404 2021 16,449 17,472 2021 16,449 17,472 Incremental increases for each subsequent occurrences Penalty for knowingly, willfully, and repeatedly billing for a clinical diagnostic laboratory test other than on an assignment-related basis. (Penalties are assessed in the same manner as 42 U.S.C. 1395uG)(2)(B), which is assessed according to 1320a-7a(a)) Penalty for knowingly and willfully presenting or causing to be presented a bill or request for payment for an intraocular lens inserted during or after cataract surgery for which the Medicare payment rate includes the cost of acauirina the class of lens involved Penalty for knowingly and willfully failing to provide information about a referring physician when seeking payment on an unassigned basis Penalty for any durable medical equipment supplier that knowingly and willfully charges for a covered service that is furnished on a rental basis after the rental payments may no longer be made. (Penalties are assessed in the same manner as 42 U.S.C. 1395u0)(2)(B), which is assessed according to 1320a7a(all Penalty for any nonparticipating durable medical equipment supplier that knowingly and willfully fails to make a refund to Medicare beneficiaries for a covered service for which payment is precluded due to an unsolicited telephone contact from the supplier. PO 00000 Frm 00082 Fmt 4700 Sfmt 4725 E:\FR\FM\17MRR1.SGM 17MRR1 ER17MR22.020</GPH> (e)(1 )(iv ) Federal Register / Vol. 87, No. 52 / Thursday, March 17, 2022 / Rules and Regulations 1395m(b)(5)(C) (d)(2)(iii ) (Penalties are assessed in the same manner as 42 U.S.C. 1395uU)(2)(B), which is assessed according to 1320a-7a(a)) 42 CFR 402.1 (c) (6), 402.105 (d)(2)(iv CMS Penalty for any nonparticipating physician or supplier that knowingly and willfully charges a Medicare beneficiary more than the limiting charge for radiologist services. (Penalties are assessed in the same manner as 42 U.S.C. 1395uU)(2)(B), which is assessed according to 1320a-7a(a)) 2021 16,449 17,472 CMS Penalty for any supplier of prosthetic devices, orthotics, and prosthetics that knowing and willfully charges for a covered prosthetic device, orthotic, or prosthetic that is furnished on a rental basis after the rental payment may no longer be made. (Penalties are assessed in the same manner as 42 U.S.C. 1395m(a)(11 )(A), that is in the same manner as 1395uU)(2)(B), which is assessed according to 1320a-7a(a)) 2021 16,449 17,472 CMS Penalty for any supplier of durable medical equipment including a supplier of prosthetic devices, prosthetics, orthotics, or supplies that knowingly and willfully distributes a certificate of medical necessity in violation of Section 1834U)(2)(A)(i) of the Act or fails to provide the information required under Section 1834U)(2)(A)(ii) of the Act 2021 1,742 1,850 CMS Penalty for any supplier of durable medical equipment, including a supplier of prosthetic devices, prosthetics, orthotics, or supplies that knowingly and willfully fails to make refunds in a timely manner to Medicare beneficiaries for series billed other than on as assignment-related basis under certain conditions. (Penalties are assessed in the same manner as 42 U.S.C. 1395mU)(4) and 1395uU)(2)(B), which is assessed according to 1320a-7a(a)) 2021 16,449 17,472 2021 10,967 11,649 ) 1395m(h)(3) 42 CFR 402.1 (c) (8), 402.105 (d)(2)(vi ) 1395mU)(2)(A)(iii) 1395mU)(4) 42 CFR 402.1 (c) (10), 402.105 (d)(2)(vi i) 42 C.F.R. 1395m-1(a) 15113 Penalty for an applicable entity that has failed to report or made a § 414.504(e CMS misrepresentation or omission in reporting applicable information with respect to a clinical diagnostic laboratory test. VerDate Sep<11>2014 16:41 Mar 16, 2022 Jkt 256001 PO 00000 Frm 00083 Fmt 4700 Sfmt 4725 E:\FR\FM\17MRR1.SGM 17MRR1 ER17MR22.021</GPH> khammond on DSKJM1Z7X2PROD with RULES ) 15114 42 CFR 402.1 (c) (31), 402.105 (d)(3) CMS Penalty for any supplier of ambulance services who knowingly and willfully fills or collects for any services on other than an assignment-related basis. (Penalties are assessed in the same manner as 42 U.S.C. 1395u(b)(18)(B), which is assessed according to 1320a-7a(a)) Penalty for any practitioner specified in Section 1842(b)(18)(C) of the Act or other person that knowingly and willfully bills or collects for any services by the practitioners on other than an assignmentrelated basis. (Penalties are assessed in the same manner as 42 U.S.C. 1395uU)(2)(B), which is assessed accordinq to 1320a-7a(a)) 2021 16,449 17,472 2021 16,449 17,472 2021 16,449 17,472 1395m(l)(6) 42 CFR 402.1 (c) (32), 402.105 (d)(4) CMS 1395u(b)(18)(B) 42 CFR 402.1 (c) (11), 402.105 (d)(2)(vi ii) CMS 1395uU)(2)(B) 42 CFR 402.1 (c) CMS Penalty for any physician who charges more than 125% for a non-participating referral. (Penalties are assessed in the same manner as 42 U.S.C. 1320a7a(a)) 2021 16,449 17,472 CMS Penalty for any physician who knowingly and willfully presents or causes to be presented a claim for bill for an assistant at a cataract surgery performed on or after March 1, 1987, for which payment may not be made because of section 1862(a)(15). (Penalties are assessed in the same manner as 42 U.S.C. 1395uU)(2)(B), which is assessed according to 1320a7a(a)) 2021 16,449 17,472 2021 16,449 17,472 2021 16,449 17,472 2021 16,449 17,472 42 CFR 402.1 (c) (12), 402.105 (d)(2)(ix ) 1395u(k) 1834A( a)(9) and 42 C.F.R. § 414.504 € 1395u(l)(3) 1395u(m)(3) 42 CFR 402.1 (c) (13), 402.105 (d)(2)(x) 42 CFR 402.1 (c) (14), 402.105 (d)(2)(xi CMS CMS ) 1395u(n)(3) khammond on DSKJM1Z7X2PROD with RULES Penalty for any person or entity who knowingly and willfully bills or collects for any outpatient therapy services or comprehensive outpatient rehabilitation services on other than an assignment-related basis. (Penalties are assessed in the same manner as 42 U.S.C. 1395m(k)(6) and 1395uU)(2)(B), which is assessed according to 1320a-7a(a)) 42 CFR 402.1 (c) (15), 402.105 (d)(2)(xi CMS i) VerDate Sep<11>2014 16:41 Mar 16, 2022 Jkt 256001 Penalty for any nonparticipating physician who does not accept payment on an assignment-related basis and who knowingly and willfully fails to refund on a timely basis any amounts collected for services that are not reasonable or medically necessary or are of poor quality under 1842(I)(1)(A). (Penalties are assessed in the same manner as 42 U.S.C. 1395uU)(2)(B), which is assessed accordinq to 1320a-7a(a)) Penalty for any nonparticipating physician charging more than $500 who does not accept payment for an elective surgical procedure on an assignment related basis and who knowingly and willfully fails to disclose the required information regarding charges and coinsurance amounts and fails to refund on a timely basis any amount collected for the procedure in excess of the charges recognized and approved by the Medicare program. (Penalties are assessed in the same manner as 42 U.S.C. 1395uU)(2)(B), which is assessed accordinq to 1320a-7a(a)) Penalty for any physician who knowingly, willfully, and repeatedly bills one or more beneficiaries for purchased diagnostic tests any amount other than the payment amount specified by the Act. (Penalties are assessed in the same manner as 42 U.S.C. PO 00000 Frm 00084 Fmt 4700 Sfmt 4725 E:\FR\FM\17MRR1.SGM 17MRR1 ER17MR22.022</GPH> Federal Register / Vol. 87, No. 52 / Thursday, March 17, 2022 / Rules and Regulations Federal Register / Vol. 87, No. 52 / Thursday, March 17, 2022 / Rules and Regulations 15115 1395u(o)(3)(B) 42 CFR 414.707 (b) khammond on DSKJM1Z7X2PROD with RULES 1395u(p)(3)(A) 1395w3a(d)(4)(A) 42 CFR 414.806 1395w-4(g)(1)(B) 42CFR 402.1 (c) (17), 402.105 (d)(2)(xi ii) 1395w-4(g)(3)(B) 42 CFR 402.1 (c) (18), 402.105 (d)(2)(xi v) 1395w27(g)(3)(A); 1857(g)(3); 1860D12(b)(3)(E) 42 CFR 422.760 (b); 42 CFR 423.760 (b) VerDate Sep<11>2014 16:41 Mar 16, 2022 CMS Penalty for any practitioner specified in Section 1842(b)(18)(C) of the Act or other person that knowingly and willfully bills or collects for any services pertaining to drugs or biologics by the practitioners on other than an assignment-related basis. (Penalties are assessed in the same manner as 42 U.S.C. 1395u(b)(18)(B) and 1395uU)(2)(B), which is assessed according to 1320a-7a(a)) 2021 16,449 17,472 CMS Penalty for any physician or practitioner who knowingly and willfully fails promptly to provide the appropriate diagnosis codes upon CMS or Medicare administrative contractor request for payment or bill not submitted on an assignment-related basis 2021 4,333 4,603 CMS Penalty for a pharmaceutical manufacturer's misrepresentation of average sales price of a drug, or biologic 2021 14,074 14,950 CMS Penalty for any nonparticipating physician, supplier, or other person that furnishes physician services not on an assignment-related basis who either knowingly and willfully bills or collects in excess of the statutorilydefined limiting charge or fails to make a timely refund or adjustment. (Penalties are assessed in the same manner as 42 U.S.C. 1395uU)(2)(B), which is assessed according to 1320a-7a(a)) 2021 16,449 17,472 CMS Penalty for any person that knowingly and willfully bills for statutorily defined State-plan approved physicians' services on any other basis than an assignment-related basis for a Medicare/Medicaid dual eligible beneficiary. (Penalties are assessed in the same manner as 42 U.S.C. 1395uU)(2)(B), which is assessed according to 1320a-7a(a)) 2021 16,449 17,472 2021 40,282 42,788 CMS Jkt 256001 Penalty for each termination determination the Secretary makes that is the result of actions by a Medicare Advantage organization or Part D sponsor that has adversely affected (or has the substantial likelihood of adversely affecting) an individual covered under the organization's contract PO 00000 Frm 00085 Fmt 4700 Sfmt 4725 E:\FR\FM\17MRR1.SGM 17MRR1 ER17MR22.023</GPH> 1395u0)(2)(B), which is assessed according to 1320a7a(a)) 15116 Federal Register / Vol. 87, No. 52 / Thursday, March 17, 2022 / Rules and Regulations 1395w27(g)(3)(B); 1857(g)(3); 1860D12(b)(3)(E) 1395w27(g)(3)(D); 1857(g)(3): 1860D12(b)(3)(E) 1395y(b)(3)(C) 42 CFR 411.103 (b) 1395y(b)(5)(C)(ii) 42 CFR 402.1 (c) (20), 42 CFR 402.105 (b)(2) 1395y(b)(6)(B) 42 CFR 402.1 (c) (21), 402.105 (a) 1395y(b)(7)(B)(i) 2021 16,113 17,116 CMS Penalty for a Medicare Advantage organization's or Part D sponsor's early termination of its contract 2021 149,637 158,947 CMS Penalty for an employer or other entity to offer any financial or other incentive for an individual entitled to benefits not to enroll under a group health plan or large group health plan which would be a primary plan 2021 9,753 10,360 CMS Penalty for any non-governmental employer that, before October 1, 1998, willfully or repeatedly failed to provide timely and accurate information requested relating to an employee's group health insurance coverage 2021 1,588 1,687 CMS Penalty for any entity that knowingly, willfully, and repeatedly fails to complete a claim form relating to the availability of other health benefits in accordance with statute or provides inaccurate information relating to such on the claim form 2021 3,484 3,701 CMS Penalty for any entity serving as insurer, third party administrator, or fiduciary for a group health plan that fails to provide information that identifies situations where the group health plan is or was a primary plan to Medicare to the HHS Secretary 2021 1,247 1,325 CMS Penalty for any non-group health plan that fails to identify claimants who are Medicare beneficiaries and provide information to the HHS Secretary to coordinate benefits and pursue any applicable recovery claim 2021 1,247 1,325 1395nn(g)(5) 42 CFR 411.361 CMS 1395pp(h) 42 CFR 402.1 (c) (23), 402.105 (d)(2)(x v) CMS 1395ss(a)(2) 402.102 (1)(1) CMS 1395ss(d)(3)(A)(vi ) (II) 42 CFR 402.1 (c) (25), 402.105 (e),402. 105(1)(2 CMS Penalty for any person that fails to report information required by HHS under Section 1877(1) concerning ownership, investment, and compensation arrangements Penalty for any durable medical equipment supplier, including a supplier of prosthetic devices, prosthetics, orthotics, or supplies, that knowingly and willfully fails to make refunds in a timely manner to Medicare beneficiaries under certain conditions. (42 U.S.C. 1395(m)(18) sanctions apply here in the same manner, which is under 1395u/il(2) and 1320a-7a(a)) Penalty for any person that issues a Medicare supplemental policy that has not been approved by the State regulatory program or does not meet Federal standards after a statutorily defined effective date 2021 20,731 22,021 2021 16,449 17,472 2021 56,459 59,972 Penalty for someone other than issuer that sells or issues a Medicare supplemental policy to beneficiary without a disclosure statement 2021 29,256 31,076 ) VerDate Sep<11>2014 16:41 Mar 16, 2022 Jkt 256001 PO 00000 Frm 00086 Fmt 4700 Sfmt 4725 E:\FR\FM\17MRR1.SGM 17MRR1 ER17MR22.024</GPH> khammond on DSKJM1Z7X2PROD with RULES 1395y(b)(8)(E) CMS Penalty for each week beginning after the initiation of civil money penalty procedures by the Secretary because a Medicare Advantage organization or Part D sponsor has failed to carry out a contract, or has carried out a contract inconsistently with regulations Federal Register / Vol. 87, No. 52 / Thursday, March 17, 2022 / Rules and Regulations 15117 CMS Penalty for an issuer that sells or issues a Medicare supplemental policy without disclosure statement. 2021 48,762 51,796 CMS Penalty for someone other than issuer that sells or issues a Medicare supplemental policy without acknowledaement form 2021 29,256 31,076 CMS Penalty for issuer that sells or issues a Medicare supplemental policy without an acknowledgement form. 2021 48,762 51,796 42 CFR 402.1 (c) (25), 402.105 (e) CMS Penalty for someone other than issuer that sells or issues Medicare supplemental polices after a given date that fail to conform to the NAIC or Federal standards established by statute 2021 29,256 31,076 42 CFR 402.1 (c) (25), 405402. 105(f)(2 ) CMS Penalty for an issuer that sells or issues Medicare supplemental polices after a given date that fail to conform to the NAIC or Federal standards established by statute 2021 48,762 51,796 CMS Penalty for someone other than issuer that sells a Medicare supplemental policy and fails to make available for sale the core group of basic benefits when selling other Medicare supplemental policies with additional benefits or fails to provide the individual, before selling the policy, an outline of coverage describing benefits 2021 29,256 31,076 CMS Penalty for an issuer that sells a Medicare supplemental policy and fails to make available for sale the core group of basic benefits when selling other Medicare supplemental policies with additional benefits or fails to provide the individual, before selling the policy, an outline of coverage describing benefits 2021 48,762 51,796 1395ss(q)(5)(C) 402.105 (f)(5) CMS Penalty for any person that fails to suspend the policy of a policyholder made eligible for medical assistance or automatically reinstates the policy of a policyholder who has lost eligibility for medical assistance, under certain circumstances 2021 48,762 51,796 1395ss(r)(6)(A) 402.105 (f)(6) CMS Penalty for any person that fails to provide refunds or credits as required by section 1882(r)(1 )(B) 2021 48,762 51,796 CMS Penalty for any issuer of a Medicare supplemental policy that does not waive listed time periods if they were already satisfied under a proceeding Medicare supplemental policy, or denies a policy, or conditions the issuances or effectiveness of the policy, or discriminates in the pricing of the policy base on health status or other specified criteria 2021 20,701 21,989 CMS Penalty for any issuer of a Medicare supplemental policy that fails to fulfill listed responsibilities 2021 48,762 51,796 CMS Penalty someone other than issuer who sells, issues, or renews a medigap Rx policy to an individual who is a Part D enrollee 2021 21,112 22,426 1395ss(d)(3)(B)(iv ) 1395ss(p)(8) 1395ss(p)(9)(C) 42CFR 402.1 (c) (26), 402.105 (e), 402.105 (f)(3), (4) 402.105 (f)(3),(4) 1395ss(s)(4) 1395ss(t)(2) 42 CFR 402.1 (c) (29), 402.105 (c) 42 CFR 402.1 (c) (30), 402.105 khammond on DSKJM1Z7X2PROD with RULES 1395ss(v)(4)(A) VerDate Sep<11>2014 16:41 Mar 16, 2022 Jkt 256001 PO 00000 Frm 00087 Fmt 4700 Sfmt 4725 E:\FR\FM\17MRR1.SGM 17MRR1 ER17MR22.025</GPH> (f)(?) 15118 Federal Register / Vol. 87, No. 52 / Thursday, March 17, 2022 / Rules and Regulations 1395bbb(c)(1) 1395bbb(f)(2)(A)(i ) 42 CFR 488.725 (c) 42 CFR 488.845 (b)(2)(iii ) 42 CFR 488.845 (b)(3)(6); and 42CFR 488.845 (d)(1 )(ii) 42 CFR 488.845 (b)(3) 42 CFR 488.845 (b)(3)(i) 42 CFR 488.845 (b)(3)(ii) 42 CFR 488.845 (b)(3)(iii CMS Penalty for an issuer who sells, issues, or renews a Medigap Rx policy who is a Part D enrollee. 2021 35,188 37,377 CMS Penalty for any individual who notifies or causes to be notified a home health agency of the time or date on which a survey of such agency is to be conducted 2021 4,518 4,799 CMS Maximum daily penalty amount for each day a home health agency is not in compliance with statutory requirements 2021 21,663 23,011 CMS Penalty per day for home health agency's noncompliance (Upper Range): 2021 Minimum 2021 18,413 19,559 Maximum 2021 21,663 23,011 2021 21,663 23,011 2021 19,496 20,709 Penalty for an isolated incident of noncompliance in violation of established HHA policy 2021 18,413 19,559 Penalty for a repeat and/or condition-level deficiency that does not constitute immediate jeopardy, but is directly related to poor quality patient care outcomes (Lower Range): 2021 Minimum 2021 3,251 3,453 Maximum 2021 18,413 19,559 Penalty for a repeat and/or condition-level deficiency that does not constitute immediate jeopardy and that is related predominately to structure or process-oriented conditions (Lower Range): 2021 Minimum 2021 1,084 1,151 2,166 2,301 CMS CMS CMS Penalty for a home health agency's deficiency or deficiencies that cause immediate jeopardy and result in actual harm Penalty for a home health agency's deficiency or deficiencies that cause immediate jeopardy and result in potential for harm 42 CFR 488.845 (b)(4) 42 CFR 488.845 (b)(5) khammond on DSKJM1Z7X2PROD with RULES 42 CFR 488.845 (b)(6) 42 CFR 488.845 (d)(1 )(ii) VerDate Sep<11>2014 16:41 Mar 16, 2022 CMS CMS CMS CMS Jkt 256001 Maximum 2021 Penalty imposed for instance of noncompliance that may be assessed for one or more singular events of condition-level noncompliance that are identified and where the noncompliance was corrected during the onsite survey: 2021 Penalty for each day of noncompliance (Minimum). 2021 2,166 2,301 Penalty for each day of noncompliance (Maximum). 2021 21,663 23,011 Penalty for each day of noncompliance (Maximum) 2021 21,663 23,011 PO 00000 Frm 00088 Fmt 4700 Sfmt 4725 E:\FR\FM\17MRR1.SGM 17MRR1 ER17MR22.026</GPH> ) 1395eee(e)(6)(B); 1396u-4(e)(6)(B) 42 CFR 460.46 CMS CMS CMS CMS CMS 42 CFR 488.408 (d)(1 )(iii ) 42 CFR 488.408 (d)(1 )(iv ) 1396r(h)(3)(C)(ii)(I ) 42 CFR 488.408 (e)(1 )(iii ) 42 CFR 488.408 (e)(1 )(iv ) khammond on DSKJM1Z7X2PROD with RULES 42 CFR 488.408 (e)(2)(ii) 42 CFR 488.438 (a)(1 )(i) VerDate Sep<11>2014 16:41 Mar 16, 2022 CMS CMS CMS CMS CMS CMS Jkt 256001 Penalty for PACE organization that discriminates in enrollment or disenrollment, or engages in any practice that would reasonably be expected to have the effect of denying or discouraging enrollment, on the basis of health status or the need for services: 2021 For each individual not enrolled as a result of the PACE organization's discrimination in enrollment or disenrollment or practice that would deny or discourage enrollment. 2021 Minimum Maximum 15119 40,282 42,788 2021 15,177 16,121 2021 101,182 107,478 2021 40,282 42,788 2021 161,130 171,156 Penalty for any other violation specified in 42 C.F.R. 460.40. 2021 40,282 42,788 Penalty per day for a nursing facility's failure to meet a Cateoorv 2 Certification: 2021 Minimum 2021 113 120 6,774 7,195 Penalty for a PACE organization that charges excessive premiums. Penalty for a PACE organization misrepresenting or falsifying information to CMS or the State. Maximum 2021 Penalty per instance for a nursing facility's failure to meet Cateoorv 2 certification: 2021 Minimum 2021 2,259 2,400 22,584 23,989 Maximum 2021 Penalty per day for a nursing facility's failure to meet Category 3 certification: 2021 Minimum 2021 6,888 7,317 22,584 23,989 Maximum 2021 Penalty per instance for a nursing facility's failure to meet Cateoorv 3 certification: 2021 Minimum 2021 2,259 2,400 22,584 23,989 Maximum 2021 Penalty per instance for a nursing facility's failure to meet Category 3 certification, which results in immediate jeopardy: 2021 Minimum 2021 2,259 2,400 Maximum 2021 22,584 23,989 Penalty per day for nursing facility's failure to meet certification (Upper Range): 2021 PO 00000 Frm 00089 Fmt 4700 Sfmt 4725 E:\FR\FM\17MRR1.SGM 17MRR1 ER17MR22.027</GPH> Federal Register / Vol. 87, No. 52 / Thursday, March 17, 2022 / Rules and Regulations 15120 Federal Register / Vol. 87, No. 52 / Thursday, March 17, 2022 / Rules and Regulations 42 CFR 488.438 (a)(1 )(ii) 42 CFR 488.438 (a)(2) 42 CFR 488.447 1396r(f)(2)(B)(iii)(I )(c) 42 CFR 483.151 (b)(2)(iv ) and (b)(3)(iii ) 1396r(h)(3)(C)(ii)(I ) 42 CFR 483.151 (c)(2) 1396tU)(2)(C) VerDate Sep<11>2014 CMS CMS CMS CMS 2021 6,888 7,317 Maximum 2021 22,584 23,989 Penalty per day for nursing facility's failure to meet certification (Lower Range): 2021 Minimum 2021 113 120 Maximum 2021 6,774 7,195 Penalty per instance for nursing facility's failure to meet certification: 2021 Minimum 2021 2,259 2,400 Maximum 2021 22,584 23,989 Penalty imposed for failure to comply with infection control weekly reporting requirements at 42 CFR 483.80(g)(1) and (2) 2021 First occurrence (Minimum) 2021 1,012 1,075 Incremental increases for each subsequent occurrence 2021 506 537 Grounds to prohibit approval of Nurse Aide Training Program-if assessed a penalty in 1819(h)(2)(B)(i) or 1919(h)(2)(A)(ii) of "not less than $5,000" [Not CMP authority, but a specific CMP amount (CMP at this level) that is the triggering condition for disapproval] 2021 11,292 11,995 2021 11,292 11,995 Grounds to waive disapproval of nurse aide training program-reference to disapproval based on imposition of CMP "not less than $5,000" [Not CMP authority but CMP imposition at this level determines eligibility to seek waiver of disapproval of nurse aide training program] Penalty for each day of noncompliance for a home or community care provider that no longer meets the minimum reQuirements for home and community care: 2021 Minimum 2021 2 2 Maximum 2021 19,505 20,719 CMS Penalty for a Medicaid managed care organization that fails substantially to provide medically necessary items and services 2021 40,282 42,788 CMS Penalty for Medicaid managed care organization that imposes premiums or charges on enrollees in excess of the premiums or charges permitted. 2021 40,282 42,788 CMS 42 CFR 438.704 16:41 Mar 16, 2022 Jkt 256001 PO 00000 Frm 00090 Fmt 4700 Sfmt 4725 E:\FR\FM\17MRR1.SGM 17MRR1 ER17MR22.028</GPH> khammond on DSKJM1Z7X2PROD with RULES 1396u2(e)(2)(A)(i) CMS Minimum 1396u2(e)(2)(A)(ii) 1396u2(e)(2)(A)(iv) 1396u(h)(2) 1396w-2(c)(1) CMS Penalty for a Medicaid managed care organization that misrepresents or falsifies information to another individual or entity. 2021 40,282 42,788 CMS Penalty for a Medicaid managed care organization that fails to comply with the applicable statutory requirements for such organizations. 2021 40,282 42,788 CMS Penalty for a Medicaid managed care organization that misrepresents or falsifies information to the HHS Secretary 2021 161,130 171,156 CMS Penalty for Medicaid managed care organization that acts to discriminate among enrollees on the basis of their health status. 2021 161,130 171,156 2021 24,169 25,673 2021 22,584 23,989 42 CFR 438.704 42 CFR 438.704 42 CFR Part 441, Subpart I CMS CMS Penalty for each individual that does not enroll as a result of a Medicaid managed care organization that acts to discriminate among enrollees on the basis of their health status Penalty for a provider not meeting one of the requirements relating to the protection of the health, safety, and welfare of individuals receiving community suooorted livinq arranqements services CMS Penalty for disclosing information related to eligibility determinations for medical assistance programs 2021 12,045 12,794 2021 164 174 18041(c)(2) 45CFR 156.805 (c) CMS Failure to comply with ACA requirements related to risk adjustment, reinsurance, risk corridors, Exchanges (including QHP standards) and other ACA Subtitle D standards; Penalty for violations of rules or standards of behavior associated with issuer compliance with risk adjustment, reinsurance, risk corridors, Exchanges (including QHP standards) and other ACA Subtitle D standards. 18081 (h)(1 )(A)(i)(I I) 45CFR 155.285 CMS Penalty for providing false information on Exchange application 2021 29,764 31,616 18081 (h)(1 )(B) 45CFR 155.285 CMS Penalty for knowingly or willfully providing false information on Exchange application 2021 297,636 316,155 CMS Penalty for knowingly or willfully disclosing protected information from Exchange 2021 CMS Minimum 2021 29,764 31,616 CMS Maximum 2021 304 323 CMS Penalties for violation of applicable Exchange standards by consumer assistance entities in Federally-facilitated Exchanges 2021 36,500 38,771 Maximum (Per Day) 2021 101 107 2021 304 323 18081 (h )(2) 18041(c)(2) 45CFR 155.260 45CFR 155.206 (i) 31 U.S.C. khammond on DSKJM1Z7X2PROD with RULES 15121 VerDate Sep<11>2014 16:41 Mar 16, 2022 Jkt 256001 PO 00000 Frm 00091 Fmt 4700 Sfmt 4725 E:\FR\FM\17MRR1.SGM 17MRR1 ER17MR22.029</GPH> Federal Register / Vol. 87, No. 52 / Thursday, March 17, 2022 / Rules and Regulations 15122 Federal Register / Vol. 87, No. 52 / Thursday, March 17, 2022 / Rules and Regulations HHS 45CFR 93.400( e) HHS Penalty for the first lime an individual makes an expenditure prohibited by regulations regarding lobbvina disclosure, absent aaaravatina circumstances Penalty for second and subsequent offenses by individuals who make an expenditure prohibited by reaulations reaardina lobbvina disclosure: 2021 20,731 22,021 2021 Minimum 2021 20,731 22,021 Maximum 2021 207,314 220,213 2021 20,731 22,021 Penalty for the first lime an individual fails to file or amend a lobbying disclosure form, absent aggravating circumstances Penalty for second and subsequent offenses by individuals who fail to file or amend a lobbying disclosure form, absent aggravating circumstances: 2021 Minimum 2021 20,731 22,021 Maximum 2021 207,314 220,213 Penalty for failure to provide certification regarding lobbying in the award documents for all sub-awards of all tiers: 2021 Minimum 2021 20,731 22,021 Maximum 2021 207,314 220,213 1352 HHS 45CFR Part 93, Appendi xA 3801-3812 45CFR 79.3(a)( 1)(iv) 45CFR 79.3(b)( 1)(ii) Penalty for failure to provide statement regarding HHS HHS HHS lobbying for loan guarantee and loan insurance transactions: 2021 Minimum 2021 20,731 22,021 Maximum 2021 207,314 220,213 2021 10,833 11,507 2021 10,833 11,507 Penalty against any individual who-with knowledge or reason to know-makes, presents or submits a false, fictitious or fraudulent claim to the Deoartment Penalty against any individual who-with knowledge or reason to know-makes, presents or submits a false, fictitious or fraudulent claim to the Deoartment 1 Some HHS components have not promulgated regulations regarding their civil monetary penalty-specific statutory authorities. description is not intended to be a comprehensive explanation of the underlying violation; the statute and corresponding regulation, if applicable, should be consulted. 3 Statutory or Inflation Act Adjustment. 4 0MB Memorandum M-16-06, Implementation of the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, published February 24, 2016, guided agencies on initial "catch-up" adjustment requirements, and M-17-11, Implementation of the 2017 annual adjustment pursuant to the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, published December 16, 2016; M-18-03, Implementation of Penalty Inflation Adjustments for 2018 pursuant to the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, published December 15, 2017; M-19-04, Implementation of Penalty Inflation Adjustments for 2019 pursuant to the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, published December 14, 2018; M-20-05, Implementation of Penalty Inflation Adjustments for 2020 pursuant to the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, published December 16, 2019; M-21-10, Implementation of Penalty Inflation Adjustments for 2021 pursuant to the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, published December 23, 2020; M-22-07, Implementation of Penalty Inflation Adjustments for 2022, Pursuant to the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, published December 15, 2021, guided agencies on annual adjustment requirements. 5 0MB Circular A-136, Financial Reporting Requirements, Section 11.4.9, directs that agencies must make annual inflation adjustments to civil monetary penalties and report on the adjustments in the Agency Financial Report (AFR) or Performance and Accountability Report (PAR). 6 Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, § 701 (b)(1)(A) (codified as amended at 28 U.S.C. § 2461 note). 7 Annual inflation adjustments are based on the percent change between each published October's CPI-U. In this case, October 2021 CPI-U (276.589) /October 2020 CPI-U (260.388) = 1.06222. VerDate Sep<11>2014 16:41 Mar 16, 2022 Jkt 256001 PO 00000 Frm 00092 Fmt 4700 Sfmt 4725 E:\FR\FM\17MRR1.SGM 17MRR1 ER17MR22.031</GPH> ER17MR22.030</GPH> khammond on DSKJM1Z7X2PROD with RULES 2 The Federal Register / Vol. 87, No. 52 / Thursday, March 17, 2022 / Rules and Regulations Xavier Becerra, Secretary, Department of Health and Human Services. [FR Doc. 2022–05648 Filed 3–16–22; 8:45 am] BILLING CODE 4150–24–C FEDERAL MARITIME COMMISSION 46 CFR Part 525 [Docket No. 21–06] RIN 3072–AC87 Marine Terminal Operator Schedules Federal Maritime Commission. Final rule. AGENCY: ACTION: This final rule adopts without substantive change the proposed rule. The Federal Maritime Commission (FMC or Commission) seeks to update outdated references to Commission offices, modernize references to technology, and clarify existing requirements associated with the filing of marine terminal operator (MTO) schedules. DATES: This final rule is effective: April 18, 2022. FOR FURTHER INFORMATION CONTACT: For technical questions, contact Kristen Monaco, Director, Bureau of Trade Analysis, Federal Maritime Commission, 800 North Capitol Street NW, Washington, DC 20573–0001. Phone: (202) 523–5796. Email: tradeanalysis@fmc.gov. For legal questions, contact Steven Andersen, General Counsel, Federal Maritime Commission, 800 North Capitol Street NW, Washington, DC 20573–0001. Phone: (202) 523–5738. Email: GeneralCounsel@fmc.gov. SUPPLEMENTARY INFORMATION: khammond on DSKJM1Z7X2PROD with RULES SUMMARY: I. Introduction Pursuant to 46 U.S.C. 40501(f), MTOs may make public a schedule of rates, regulations, and practice. Additionally, Congress directs the Commission to prescribe the form and manner in which MTO schedules shall be published. 46 U.S.C. 40501(g)(3). The Commission’s regulations regarding MTO schedules are outlined in 46 CFR part 525. Consistent with the language in 46 U.S.C. 40501(f), part 525 states that an MTO, at its discretion, may make available to the public a schedule of its rates, regulations, and practices. Part 525 also discusses the requirements when an MTO decides to make terminal schedules available to the public. II. Summary of Proposed Changes In Fiscal Year 2021, the Commission reviewed its regulations regarding MTO VerDate Sep<11>2014 16:41 Mar 16, 2022 Jkt 256001 schedules found in 46 CFR part 525. On September 22, 2021, the Commission issued a notice of proposed rulemaking that proposed several changes to part 525 that are neither substantive nor policy related. 86 FR 52627. The proposed revisions updated references to a Commission bureau and deleted references to outdated technology. Additionally, the FMC clarified definitions or revised them to be consistent with other parts of the Commission’s regulations. The Commission requested comments on these proposed amendments. III. Summary of Comments One shipper filed comments in this docket. However, these comments, which relate to per diem charges, detention and demurrage fees, and dual transaction requirements at specific terminals, do not address the proposed revisions to part 525. The commenter neither expressed support nor opposition to the proposed part 525 revisions. Because the issues raised by the commenter are outside the scope of the proposed amendments and the rulemaking, the FMC is not making changes to the final rule based on these comments. The FMC now adopts all of the proposed amendments without substantive change in this final rule. IV. Final Rule The proposed rule contained revisions that were not policy related and the Commission’s intent was limited to modernizing outdated requirements, clarifying existing requirements and definitions, and making the existing requirements and definitions consistent with other parts of the Commission’s regulations. For the reasons stated in the NPRM and described below, the Commission is adopting the revisions in the proposed rule with non-substantive changes. 1. Section 525.1. The proposed rule revises references to the Shipping Act of 1984 (the Act) to remove specific cites to the Ocean Shipping Reform Act of 1998 and the Coast Guard Authorization Act of 1998 because several other laws also amend the Shipping Act of 1984. See An Act to Complete the Codification of Title 46, United States Code, ‘‘Shipping,’’ as Positive Law, Public Law 109–304, 120 Stat. 1485 (2006); Frank LoBiondo Coast Guard Authorization Act of 2018, Public Law 115–282, 132 Stat. 4192 (2018). These revisions affect section 525.1(a) and (c)(1). The proposed rule added clarifying language to the definition of ‘‘bulk cargo’’ to explain that bulk ‘‘containerized cargo tendered by the PO 00000 Frm 00093 Fmt 4700 Sfmt 4700 15123 shipper’’ is subject to mark and count and is, therefore, subject to the requirements of this part. The proposed rule amended the definition of ‘‘forest products’’ to correct a typographical error. In addition, the proposed rule revised the definition of ‘‘marine terminal operator’’ to mean ‘‘a person engaged in the United States in the business of providing wharfage, dock, warehouse, or other terminal facilities in connection with a common carrier[.]’’ This language is consistent with the statutory definition of an MTO. See 46 U.S.C. 40102(15). The proposed rule also added language to clarify that shippers or consignees who exclusively provide their own marine terminal facilities in connection with providing marine terminal services are not MTOs. The proposed rule amended the definition of ‘‘terminal facilities’’ by adding ‘‘docks, berths, piers, [and] aprons’’ to the list of structures comprising a terminal unit. In addition, the proposed language replaces the term ‘‘water carriers’’ with ‘‘ocean common carriers.’’ As a result of these revisions, the definition of ‘‘terminal facilities’’ is consistent with the definition of ‘‘marine terminal facilities’’ in 46 CFR part 535. The proposed rule also introduced a definition for the ‘‘United States’’ that is consistent with the definition found in 46 U.S.C. 114. To accommodate the new paragraph, the proposed rule renumbered paragraphs 525.1(c)(21) to (23) to be paragraphs 525.1(c)(22) to (24). Additionally, the proposed rule revised the definition of an MTO to delete ‘‘or a commonwealth, territory, or possession thereof,’’ because those entities are now included in the definition of ‘‘United States.’’ The comments received do not address these proposed revisions. The final rule adopts the revisions described above without change. A. Section 525.2 The proposed rule did not propose revisions to section 525.2. The comments do not address section 525.2. Thus, the final rule does not revise section 525.2. B. Section 525.3 With respect to section 525.3, Availability of marine terminal operator schedules, the proposed rule removed outdated and unnecessary language relating to accessing electronically published MTO schedules. The proposed rule deleted the terms ‘‘personal computer (PC),’’ ‘‘dial-up connection,’’ ‘‘the internet,’’ ‘‘Web browser,’’ ‘‘Telnet session,’’ ‘‘modem,’’ E:\FR\FM\17MRR1.SGM 17MRR1

Agencies

[Federal Register Volume 87, Number 52 (Thursday, March 17, 2022)]
[Rules and Regulations]
[Pages 15100-15123]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-05648]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

45 CFR Part 102

RIN 0991-AC33


Annual Civil Monetary Penalties Inflation Adjustment

AGENCY: Office of the Assistant Secretary for Financial Resources, 
Department of Health and Human Services (HHS).

ACTION: Final rule.

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SUMMARY: The Department of Health and Human Services is updating its 
regulations to reflect required annual inflation-related increases to 
the civil monetary penalty amounts in its regulations, under the 
Federal Civil Penalties Inflation Adjustment Act Improvements Act of 
2015; adding references to new penalty authorities; and making 
technical changes to correct errors in the regulation.

DATES: 
    Effective date: This final rule is effective March 17, 2022.
    Applicability date: The adjusted civil monetary penalty amounts 
apply to penalties assessed on March 17, 2022, r if the violation 
occurred on or after November 2, 2015.

FOR FURTHER INFORMATION CONTACT: Katrina Brisbon, Acting Deputy 
Assistant Secretary, Office of Acquisitions, Office of the Assistant 
Secretary for Financial Resources, Room 536-H, Hubert Humphrey 
Building, 200 Independence Avenue SW, Washington, DC 20201; (202) 260-
6677.

SUPPLEMENTARY INFORMATION:

I. Background

    The Federal Civil Penalties Inflation Adjustment Act Improvements 
Act of 2015 (section 701 of Pub. L. 114-74) (the ``2015 Act'') amended 
the Federal Civil Penalties Inflation Adjustment Act of 1990 (Pub. L. 
101-410, 104 Stat. 890 (1990)), which is intended to improve the 
effectiveness of civil monetary penalties (CMPs) and to maintain the 
deterrent effect of such penalties, requires agencies to adjust the 
CMPs for inflation annually.
    The Department of Health and Human Services (HHS) lists the CMP 
authorities and the amounts administered by all of its agencies in 
tabular form in 45 CFR 102.3, which was issued in an interim final rule 
published in the September 6, 2016, Federal Register (81 FR 61538). 
Annual adjustments were subsequently published on February 3, 2017 (82 
FR 9175), October 11, 2018 (83 FR 51369), November 5, 2019 (84 FR 
59549), January 17, 2020 (85 FR 2869), and November 15, 2021 (86 FR 
62928).

II. Calculation of Annual Inflation Adjustment

    The annual inflation adjustment for each applicable CMP is 
determined using the percent increase in the Consumer Price Index for 
all Urban Consumers (CPI-U) for the month of October of the year in 
which the amount of each CMP was most recently established or modified. 
In the December 15, 2021, Office of Management and Budget (OMB) 
Memorandum for the Heads of Executive Agencies and Departments, M-22-
07, ``Implementation of Penalty Inflation Adjustments for 2022, 
Pursuant to the Federal Civil Penalties Inflation Adjustment Act 
Improvements Act of 2015,'' OMB published the multiplier for the 
required annual adjustment. The cost-of-living adjustment multiplier 
for 2022, based on the CPI-U for the month of October 2021, not 
seasonally adjusted, is 1.06222. The multiplier is applied to each 
applicable penalty amount that was updated and published for fiscal 
year (FY) 2021 and is rounded to the nearest dollar.

III. Other Revisions

    In addition to the inflation adjustments for 2022, this final rule 
updates the table in 45 CFR 102.3 to add references to new, applicable 
civil money penalty authorities that were established or implemented 
since the publication of the November 15, 2021 update and that are 
being updated in this rule. The rule also corrects several technical 
errors to regulatory citations in the table and updates descriptions 
for clarification and accuracy. The following technical errors were 
identified and are corrected in the table at 45 CFR 102.3:
     The citation to, and description of, 42 U.S.C. 299c-3(d) 
are revised for accuracy.
     The regulatory reference of 42 CFR 1003.210(a)(5) 
implementing 42 U.S.C. 1395cc(g) which was inadvertently omitted from 
the regulation and is added.
     The description of the CMP at 42 U.S.C. 1320a-7a(o) is 
revised for accuracy.
     The regulatory reference to 45 CFR 155.206(i) \1\ 
implementing 42 U.S.C. 18041(c)(2) \2\ which was inadvertently omitted 
from the regulation is added. Additionally, the amount for this CMP was 
not included in the 2021 inflation adjustment rule. 86 FR 62928, 62943 
(Nov. 15, 2021). Thus, we are updating the inflation amount at this 
time.
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    \1\ The Department recently proposed a technical correction to 
45 CFR 155.206(i) to add language that would cross-reference to the 
authority to implement annual inflation-related increases to CMPs 
pursuant to the 2015 Act. See Patient Protection and Affordable Care 
Act; HHS Notice of Benefit and Payment Parameters for 2023; Proposed 
Rule, 87 FR 584 at 640-641, 721 (Jan. 5, 2022). To date, no CMPs 
have been imposed under this authority, but any that are would 
reflect the current inflationary adjusted amount as required by the 
2015 Act and would be calculated in accordance with applicable OMB 
guidance to all Executive Departments on the implementation of the 
2015 Act.
    \2\ See, e.g., the Patient Protection and Affordable Care Act; 
Exchange and Insurance Market Standards for 2015 and Beyond; Final 
Rule, 79 FR 30239 at 30262-30270 (May 27, 2014).
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     The first description tied to 42 U.S.C. 1395mm(i)(6)(B)(i) 
is revised from ``is such plan'' to ``if such plan''.
     The regulatory reference to 85 FR 71142 (Nov. 6, 2020) 
implementing CARES Act, Pub. L. 116-136, section 3202(b)(2), is revised 
to read 45 CFR 182.70.
    ++ The 2022 adjusted amount is calculated by applying the 2021 
multiplier to 1.06222 percent and this adjusted amount is reflected in 
the table of the regulation at 45 CFR 102.3.

[[Page 15101]]

IV. Statutory and Executive Order Reviews and Waiver of Proposed 
Rulemaking

    The 2015 Act requires Federal agencies to publish annual penalty 
inflation adjustments notwithstanding section 553 of the Administrative 
Procedure Act (APA). Section 4(a) of the 2015 Act directs Federal 
agencies to publish annual adjustments no later than January 15th of 
each year thereafter. In accordance with section 553 of the APA, most 
rules are subject to notice and comment and are effective no earlier 
than 30 days after publication in the Federal Register. However, 
section 4(b)(2) of the 2015 Act provides that each agency shall make 
the annual inflation adjustments ``notwithstanding section 553'' of the 
APA. According to OMB's Memorandum M-21-10, the phrase 
``notwithstanding section 553'' in section 4(b)(2) of the 2015 Act 
means that ``the public procedure the APA generally requires (that is, 
notice, an opportunity for comment, and a delay in effective date) is 
not required for agencies to issue regulations implementing the annual 
adjustment.''
    Consistent with the language of the 2015 Act and OMB's 
implementation guidance, the inflation adjustments set out in this rule 
are not subject to notice and an opportunity for public comment and 
will be effective immediately upon publication. Additionally, HHS finds 
that notice and comment procedures would be impracticable and 
unnecessary under the APA for making the statutorily required inflation 
updates to newly established penalty amounts and for the ministerial 
and technical changes in this rule. In addition, HHS is waiving notice 
and comment for the non-substantive technical corrections set out in 
this final rule. HHS finds good cause for issuing these changes as a 
final rule without prior notice and comment because these changes only 
update the regulation to add the new CMP authorities that will be 
adjusted in accordance with the 2015 Act which were implemented since 
the last update.
    Pursuant to OMB Memorandum M-21-10, HHS has determined that the 
annual inflation adjustment to the civil monetary penalties in its 
regulations does not trigger any requirements under procedural statutes 
and Executive Orders that govern rulemaking procedures.

V. Effective and Applicability Dates

    This rule is effective on the date specified in the DATES section 
of this final rule. The adjusted civil monetary penalty amounts apply 
to penalties assessed on or after date specified in the DATES section 
of this final rule, if the violation occurred on or after November 2, 
2015. If the violation occurred before November 2, 2015, or a penalty 
was assessed before September 6, 2016, the pre-adjustment civil penalty 
amounts in effect before September 6, 2016, will apply.

List of Subjects in 45 CFR Part 102

    Administrative practice and procedure, Penalties.

    Accordingly, the Department of Health and Human Services amends 45 
CFR part 102 as follows:

PART 102--ADJUSTMENT OF CIVIL MONETARY PENALTIES FOR INFLATION

0
1. The authority citation for part 102 is revised to read as follows:

    Authority:  Pub. L. 101-410, Sec. 701 of Pub. L. 114-74, 31 
U.S.C. 3801-3812.


0
2. Amend Sec.  102.3 by revising table 1 to read as follows:


Sec.  102.3   Penalty adjustment and table.

* * * * *
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Xavier Becerra,
Secretary, Department of Health and Human Services.
[FR Doc. 2022-05648 Filed 3-16-22; 8:45 am]
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