81 FR 42491 - Civil Monetary Penalties Inflation Adjustment
DEPARTMENT OF JUSTICE Federal Register Volume 81, Issue 126 (June 30, 2016)
Federal Register Volume 81, Issue 126 (June 30, 2016)
| Page Range | 42491-42503 | |
| FR Document | 2016-15528 |
[Federal Register Volume 81, Number 126 (Thursday, June 30, 2016)] [Rules and Regulations] [Pages 42491-42503] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2016-15528] ======================================================================= ----------------------------------------------------------------------- DEPARTMENT OF JUSTICE 28 CFR Parts 20, 22, 36, 68, 71, 76, and 85 [Docket No. OAG 148; AG Order No. 3690-2016] Civil Monetary Penalties Inflation Adjustment AGENCY: Department of Justice. ACTION: Interim final rule with request for comments. ----------------------------------------------------------------------- SUMMARY: In accordance with the provisions of the Bipartisan Budget Act of 2015, the Department of Justice is adjusting for inflation civil monetary penalties assessed or enforced by components of the Department. DATES: Effective date: This rule is effective August 1, 2016. Public comments: Written comments must be postmarked and electronic comments must be submitted on or before August 29, 2016. Commenters should be aware that the electronic Federal Docket Management System (FDMS) will accept comments submitted prior to Midnight Eastern Time on the last day of the comment period. ADDRESSES: To ensure proper handling of comments, please reference ``Docket No. OAG 148'' on all electronic and written correspondence. The Department encourages all comments be submitted electronically through http://www.regulations.gov using the electronic comment form provided on that site. An electronic copy of this document is also available at http:// [[Page 42492]] www.regulations.gov for easy reference. Paper comments that duplicate the electronic submission are not necessary as all comments submitted to http://www.regulations.gov will be posted for public review and are part of the official docket record. Should you, however, wish to submit written comments via regular or express mail, they should be sent to Robert Hinchman, Senior Counsel, Office of Legal Policy, U.S. Department of Justice, Room 4252 RFK Building, 950 Pennsylvania Avenue NW., Washington, DC 20530. FOR FURTHER INFORMATION CONTACT: Robert Hinchman, Senior Counsel, Office of Legal Policy, U.S. Department of Justice, Room 4252 RFK Building, 950 Pennsylvania Avenue NW., Washington, DC 20530, telephone (202) 514-8059 (not a toll-free number). SUPPLEMENTARY INFORMATION: Posting of Public Comments Please note that all comments received are considered part of the public record and made available for public inspection online at http://www.regulations.gov. Such information includes personal identifying information (such as your name and address) voluntarily submitted by the commenter. You are not required to submit personal identifying information in order to comment on this rule. Nevertheless, if you want to submit personal identifying information (such as your name and address) as part of your comment, but do not want it to be posted online, you must include the phrase ``PERSONAL IDENTIFYING INFORMATION'' in the first paragraph of your comment. If you want to submit confidential business information as part of your comment but do not want it to be posted online, you must include the phrase ``CONFIDENTIAL BUSINESS INFORMATION'' in the first paragraph of your comment. Personal identifying information and confidential business information identified as set forth above will be placed in the agency's public docket file, but not posted online. If you wish to inspect the agency's public docket file in person by appointment, please see the paragraph above entitled FOR FURTHER INFORMATION CONTACT. Background A. Prior Statutory Provisions for Inflation Adjustments The Federal Civil Monetary Penalties Inflation Adjustment Act of 1990, Public Law 101-410, 28 U.S.C. 2461 note (2014) (``Inflation Adjustment Act''), provided for the regular evaluation and adjustment for inflation of civil monetary penalties to, among other things, ensure that they continue to maintain their deterrent effect and that penalty amounts due the Federal Government are properly accounted for and collected. Section 31001(s)(1) of the Omnibus Consolidated Rescissions and Appropriations Act of 1996, Public Law 104-134, also known as the Debt Collection Improvement Act of 1996 (``Improvement Act''), amended section 4 of the Inflation Adjustment Act to require the head of each agency to adjust periodically each civil monetary penalty provided by law within the jurisdiction of the Federal agency by regulation and to publish each such regulation in the Federal Register. Subsection (s)(1) also added a new section to the Inflation Adjustment Act providing that any increase in a civil monetary penalty made under the Act shall apply only to violations that occur after the date the increase takes effect. Subsection (s)(2) of the Improvement Act provided that the first adjustment of a civil monetary penalty made pursuant to the amendment in subsection (s)(1) may not exceed 10 percent of such penalty. The amounts of the adjustments were determined according to a formula set forth in the Inflation Adjustment Act, which used applicable ``rounders'' (or increments) for calculations based on the amount of the current penalty along with the statutorily defined cost- of-living adjustment. See 28 CFR 85.2 (2015); Public Law 101-410, sec. 5. For example, the applicable ``rounder'' for a current $15,000 civil penalty amount was $5,000, which meant that there would be no inflation adjustment if the raw inflation adjustment calculation showed an increase of less than $2,500, but the civil penalty amount would be increased by the full $5,000 increment if the raw inflation adjustment was above the rounding threshold. See id. B. Past Inflation Adjustment Rules In compliance with the prior statutory requirements, the Department of Justice published a rule on February 12, 1999 (64 FR 7066-03) adjusting the immigration-related civil monetary penalties assessed or enforced by the Executive Office for Immigration Review's (EOIR) Office of the Chief Administrative Hearing Officer (OCAHO). On August 30, 1999 (64 FR 47099), the Department published a rule adjusting the other civil monetary penalties assessed or enforced by it. On February 26, 2008 (73 FR 10130-01), the Department of Homeland Security (DHS) and the Department of Justice published a rule adjusting for inflation the immigration-related civil monetary penalties assessed or enforced by those two Departments under sections 274A, 274B, and 274C of the Immigration and Nationality Act (INA).\1\ On March 28, 2014 (79 FR 17434-01), the Department published a rule adjusting for inflation the civil monetary penalties assessed or enforced by the Civil Rights Division. --------------------------------------------------------------------------- \1\ The former Immigration and Naturalization Service (INS) was part of the Department of Justice when the 1999 inflation adjustments rules for civil monetary penalties were adopted. However, Congress abolished the former INS effective March 1, 2003, and transferred its functions to DHS pursuant to the Homeland Security Act, Public Law 107-296 (Nov. 25, 2002). EOIR was a separate component at that time, and it remains within the Department of Justice under the authority of the Attorney General. --------------------------------------------------------------------------- C. Revised Statutory Process for Implementing Annual Inflation Adjustments Section 701 of the Bipartisan Budget Act of 2015, Public Law 114-74 (Nov. 2, 2015), titled the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015 (``2015 Amendments''), 28 U.S.C. 2461 note, substantially revised the prior provisions of the Inflation Adjustment Act and substituted a different statutory formula for calculating inflation adjustments on an annual basis. The 2015 Amendments set forth a different method of calculation for the initial adjustment following the 2015 Amendments than for subsequent adjustments. For the initial adjustment, the ``cost-of- living adjustment,'' which sets the amount by which the maximum civil monetary penalty or the range of minimum and maximum civil monetary penalties, as applicable, would be increased, is defined as ``the percentage (if any) for each civil monetary penalty by which the Consumer Price Index for the month of October, 2015 exceeds the Consumer Price Index for the month of October of the calendar year during which the amount of such civil monetary penalty was established or adjusted under a provision of law other than this Act.'' Public Law 114-74, sec. 701(b)(2)(B) (amending section 5(b) of the Inflation Adjustment Act). This adjustment is to be applied to ``the amount of the civil monetary penalty as it was most recently established or adjusted under a provision of law other than this Act,'' and ``shall not exceed 150 percent of the amount of that civil monetary penalty on the date of enactment of'' the 2015 Amendments. Id. For adjustments other than the initial adjustment, the ``cost-of-living adjustment'' is defined as ``the percentage (if any) for each civil monetary penalty by which--(A) the [[Page 42493]] Consumer Price Index for the month of October preceding the date of the adjustment, exceeds (B) the Consumer Price Index 1 year before the month of October referred to in subparagraph (A).'' Id. In short, the 2015 Amendments tie the inflation adjustments for the initial adjustment to an index reflecting the cost of living increases between 2015 and the year in which each civil penalty was established or adjusted by a provision of law other than the Inflation Adjustment Act. For subsequent adjustments, however, the adjustment will be determined by the difference in the Consumer Price Index between the October preceding the new adjustment and the October the year before. In addition, instead of using the larger ``rounders'' under the old formula, the resulting new civil penalty amounts adjusted under the 2015 Amendments are rounded to the nearest $1. The 2015 Amendments removed the 10 percent cap on the first-time inflation adjustment for each penalty, and, as noted above, provided that the initial adjustment following the 2015 Amendments ``shall not exceed 150 percent of the amount of that civil monetary penalty on the date of enactment of'' the 2015 Amendments. See Public Law 114-74, sec. 701(c) (repealing section 31001(s)(2) of the Improvement Act); id. sec. 701(b)(2)(B) (amending section 5(b) of the Inflation Adjustment Act). Effectively, this means that the adjusted civil penalty under this rule--which sets forth the initial inflation adjustment following the 2015 Amendments--cannot be more than 2.5 times the amount of the current penalty, including prior inflation adjustments under the Inflation Adjustment Act. As shown in Table A of this preamble indicating the calculation of inflation adjustments, this statutory cap affects only six of the civil penalties being adjusted under this rule, because of prior inflation adjustments implemented since 1999. Although the statute authorizes the Department, with the concurrence of the Director of the Office of Management and Budget, to make a determination in certain circumstances to increase a civil penalty by less than the otherwise required amount, the Department is not invoking that authority in this rule. See Public Law 114-74, sec. 701(b)(1)(D) (adding section 4(c) to Inflation Adjustment Act). The 2015 Amendments also amended section 6 of the Inflation Adjustment Act to provide that ``[a]ny increase under this Act in a civil monetary penalty shall apply only to civil monetary penalties, including those whose associated violation predated such increase, which are assessed after the date the increase takes effect.'' Adjustments Made in This Rule for Civil Monetary Penalties In accordance with the 2015 Amendments, the adjustments made by this rule are based on the Bureau of Labor Statistics' Consumer Price Index for October 2015. The inflation factors used in Table A were provided to all federal agencies in the OMB Memorandum for the Heads of Executive Departments and Agencies M-16-06 (Feb. 24, 2016). https://www.whitehouse.gov/sites/default/files/omb/memoranda/2016/m-16-06.pdf (last visited June 3, 2016). Table A provides the calculations upon which the current inflation adjustments are being made. As summarized above, the key factors for these calculations are (1) the year in which each civil penalty amount was established or adjusted under a provision of law other than the Inflation Adjustment Act; (2) the amount of each civil penalty as so established or adjusted; (3) the inflationary adjustment factor (as determined according to the chart prepared by OMB) for the year of the most recent establishment or adjustment of the amount of the penalty; and (4) the resulting amount of the new adjusted civil penalty. For example, for a civil penalty that was most recently established by law at the amount of $1,000 in the year 1996, applying the inflationary adjustment factor of 1.50245 for that year, the adjusted penalty as determined under this rule is $1,502, as rounded to the nearest $1. The only departures from this straightforward calculation are for those civil penalties whose amount was set decades ago and not previously adjusted; in those few cases, the civil penalty amount is capped at 2.5 times the civil penalty amount currently in effect, as noted by the footnotes in Table A. [[Page 42494]] Table A ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ Last year Year adjusted Penalty (Non IAA) DOJ Penalty as of New DOJ penalty U.S.C. Citation Name/Description CFR Citation enacted (Non ($) Multiplier 11/2/15 ($) \1\ \2\ IAA) ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ ATF ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ 18 U.S.C. 922(t)(5)........................ Brady Law--Nat'l ............................... 1993 1993 5,000.............. 1.63238 5,000............. 8,162 Instant Criminal Check System; Transfer of firearm without checking NICS. 18 U.S.C. 924(p)........................... Child Safety Lock ............................... 2005 2005 2,500.............. 1.19397 2,500............. 2,985 Act; Secure gun storage or safety device, violation. ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ Civil Division ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ 12 U.S.C. 1833a(b)(1)...................... Financial 28 CFR 85.3(a)(6).............. 1989 1989 1,000,000.......... 1.89361 1,100,000......... 1,893,610 Institutions Reform, Recovery, and Enforcement Act (FIRREA) Violation. 12 U.S.C. 1833a(b)(2)...................... FIRREA Violation 28 CFR 85.3(a)(7).............. 1989 1989 1,000,000.......... 1.89361 1,100,000......... 1,893,610 (continuing) (per day). 12 U.S.C. 1833a(b)(2)...................... FIRREA Violation 28 CFR 85.3(a)(7).............. 1989 1989 5,000,000.......... 1.89361 5,500,000......... 9,468,050 (continuing). 22 U.S.C. 2399b(a)(3)(A)................... Foreign Assistance 28 CFR 85.3(a)(8).............. 1968 1968 2,000.............. 6.73762 2,200............. 5,500 ** Act; Fraudulent Claim for Assistance (per act). 31 U.S.C. 3729(a).......................... False Claims Act; 28 CFR 85.3(a)(9).............. 1986 1986 Min. 5,000......... 2.15628 Min, 5,500........ Min. 10,781 \3\ Violations. Max. 10,000........ Max. 11,000....... Max. 21,563 31 U.S.C. 3802(a)(1)....................... Program Fraud 28 CFR 71.3(a)................. 1986 1986 5,000.............. 2.15628 5,500............. 10,781 Civil Remedies Act; Violations Involving False Claim (per claim). 31 U.S.C. 3802(a)(2)....................... Program Fraud 28 CFR 71.3(f)................. 1986 1986 5,000.............. 2.15628 5,500............. 10,781 Civil Remedies Act; Violation Involving False Statement (per statement). 40 U.S.C. 123(a)(1)(A)..................... Federal Property 28 CFR 85.3(a)(12)............. 1949 1949 2,000.............. 10.03536 2,200............. 5,500 ** and Administrative Services Act; Violation Involving Surplus Government Property (per act). 41 U.S.C. 8706(a)(1)(B).................... Anti-Kickback Act; 28 CFR 85.3(a)(13)............. 1986 1986 10,000............. 2.15628 11,000............ 21,563 Violation Involving Kickbacks \4\ (per occurrence). 18 U.S.C. 2723(b).......................... Driver's Privacy ............................... 1994 1994 5,000.............. 1.59089 5,000............. 7,954 Protection Act of 1994; Prohibition on Release and Use of Certain Personal Information from State Motor Vehicle Records-- Substantial Non- compliance (per day). 18 U.S.C. 216(b)........................... Ethics Reform Act 28 CFR 85.3(c)................. 1989 1989 50,000............. 1.89361 55,000............ 94,681 of 1989; Penalties for Conflict of Interest Crimes \5\ (per violation). 41 U.S.C. 2105(b)(1)....................... Office of Federal ............................... 1988 1988 50,000............. 1.97869 50,000............ 98,935 Procurement Policy Act; \6\ Violation by an individual (per violation). 41 U.S.C. 2105(b)(2)....................... Office of Federal ............................... 1988 1988 500,000............ 1.97869 500,000........... 989,345 Procurement Policy Act; \6\ Violation by an organization (per violation). 42 U.S.C. 5157(d).......................... Disaster Relief ............................... 1974 1974 5,000.............. 4.65436 5,000............. 12,500 ** Act of 1974; \7\ Violation (per violation). ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ [[Page 42495]] Civil Rights Division (excluding immigration-related penalties) ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ 18 U.S.C. 248(c)(2)(B)(i).................. Freedom of Access 28 CFR 85.3(b)(1)(i)........... 1994 1994 10,000............. 1.59089 16,000............ 15,909 to Clinic Entrances Act of 1994 (``FACE Act''); Nonviolent physical obstruction, first violation. 18 U.S.C. 248(c)(2)(B)(ii)................. FACE Act; 28 CFR 85.3(b)(1)(ii).......... 1994 1994 15,000............. 1.59089 16,500............ 23,863 Nonviolent physical obstruction, subsequent violation. 18 U.S.C. 248(c)(2)(B)(i).................. FACE Act; 28 CFR 85.3(b)(2)(i)........... 1994 1994 15,000............. 1.59089 16,500............ 23,863 Violation other than a nonviolent physical obstruction, first violation. 18 U.S.C. 248(c)(2)(B)(ii)................. FACE Act; 28 CFR 85.3(b)(2)(ii).......... 1994 1994 25,000............. 1.59089 37,500............ 39,772 Violation other than a nonviolent physical obstruction, subsequent violation. 42 U.S.C. 3614(d)(1)(C)(i)................. Fair Housing Act 28 CFR 85.3(b)(3)(i)........... 1988 1988 50,000............. 1.97869 75,000............ 98,935 of 1968; first violation. 42 U.S.C. 3614(d)(1)(C)(ii)................ Fair Housing Act 28 CFR 85.3(b)(3)(ii).......... 1988 1988 100,000............ 1.97869 150,000........... 197,869 of 1968; subsequent violation. 42 U.S.C. 12188(b)(2)(C)(i)................ Americans With 28 CFR 36.504(a)(3)(i)......... 1990 1990 50,000............. 1.78156 75,000............ 89,078 Disabilities Act; Public accommodations for individuals with disabilities, first violation. 42 U.S.C. 12188(b)(2)(C)(ii)............... Americans With 28 CFR 36.504(a)(3)(ii)........ 1990 1990 100,000............ 1.78156 150,000........... 178,156 Disabilities Act; Public accommodations for individuals with disabilities, subsequent violation. 50 U.S.C. App. 597(b)(3)................... Servicemembers 28 CFR 85.3(b)(4)(i)........... 2010 2010 55,000............. 1.08745 60,000............ 59,810 Civil Relief Act of 2003; first violation. 50 U.S.C. App. 597(b)(3)................... Servicemembers 28 CFR 85.3(b)(4)(ii).......... 2010 2010 110,000............ 1.08745 120,000........... 119,620 Civil Relief Act of 2003; subsequent violation. ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ Criminal Division ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ 18 U.S.C. 983(h)(1)........................ Civil Asset ............................... 2000 2000 Min. 250........... 1.36689 Min. 250.......... Min. 342 Forfeiture Reform Max. 5,000......... Max. 5,000........ Max. 6,834 Act of 2000; Penalty for Frivolous Assertion of Claim. 18 U.S.C. 1956(b).......................... Money Laundering ............................... 1986 1986 10,000............. 2.15628 10,000............ 21,563 Control Act of 1986; Violation \8\. ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ DEA ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ 21 U.S.C. 844a(a).......................... Anti-Drug Abuse 28 CFR 76.3(a)................. 1988 1988 10,000............. 1.97869 11,000............ 19,787 Act of 1988; Possession of small amounts of controlled substances (per violation). 21 U.S.C. 961(1)........................... Controlled 28 CFR 85.3(d)................. 1970 1970 25,000............. 6.03650 27,500............ 68,750 ** Substance Import Export Act; Drug abuse, import or export. 21 U.S.C. 842(c)(1)(A)..................... Controlled ............................... 1970 1970 25,000............. 6.03650 25,000............ 62,500 ** Substances Act (``CSA''); Violations of 842(a)--other than (5), (10) and (16)-- Prohibited acts re: controlled substances (per violation). 21 U.S.C. 842(c)(1)(B)..................... CSA; Violations of ............................... 1998 1998 10,000............. 1.45023 10,000............ 14,502 842(a)(5) and (10)--Prohibited acts re: controlled substances. 21 U.S.C. 842(c)(1)(C)..................... CSA; Violation of ............................... 2014 2014 500,000............ 1.00171 500,000........... 500,855 825(e) by importer, exporter, manufacturer, or distributor--Fals e labeling of anabolic steroids (per violation). 21 U.S.C. 842(c)(1)(D)..................... CSA; Violation of ............................... 2014 2014 1,000.............. 1.00171 1,000............. 1,002 825(e) at the retail level-- False labeling of anabolic steroids (per violation). [[Page 42496]] 21 U.S.C. 842(c)(2)(C)..................... CSA; Violation of ............................... 1996 1996 250,000............ 1.50245 250,000........... 375,613 842(a)(11) by a business--Distrib ution of laboratory supply with reckless disregard.\9\ 21 U.S.C. 856(d)........................... Illicit Drug Anti- ............................... 2003 2003 250,000............ 1.28561 250,000........... 321,403 Proliferation Act of 2003; Maintaining drug- involved premises.\10\ ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ Immigration-Related Penalties ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ 8 U.S.C. 1324a(e)(4)(A)(i)................. Immigration Reform 28 CFR 68.52(c)(1)(i).......... 1986 1986 Min. 250........... 2.15628 Min. 375.......... Min. 539 and Control Act Max. 2,000......... Max. 3,200........ Max. 4,313 of 1986 (``IRCA''); Unlawful employment of aliens, first order (per unauthorized alien). 8 U.S.C. 1324a(e)(4)(A)(ii)................ IRCA; Unlawful 28 CFR 68.52(c)(1)(ii)......... 1986 1986 Min. 2,000......... 2.15628 Min. 3,200........ Min. 4,313 employment of Max. 5,000......... Max. 6,500........ Max. 10,781 aliens, second order (per such alien). 8 U.S.C. 1324a(e)(4)(A)(iii)............... IRCA; Unlawful 28 CFR 68.52(c)(1)(iii)........ 1986 1986 Min. 3,000......... 2.15628 Min. 4,300........ Min. 6,469 employment of Max. 10,000........ Max. 16,000....... Max. 21,563 aliens, subsequent order (per such alien). 8 U.S.C. 1324a(e)(5)....................... IRCA; Paperwork 28 CFR 68.52(c)(5)............. 1986 1986 Min. 100........... 2.15628 Min. 110.......... Min. 216 violation (per Max. 1,000......... Max. 1,100........ Max. 2,156 relevant individual). 8 U.S.C. 1324a (note)...................... IRCA; Violation 28 CFR 68.52(c)(6)............. 1996 1996 Min. 500........... 1.50245 Min. 550.......... Min. 751 relating to Max. 1,000......... Max. 1,100........ Max. 1,502 participating employer's failure to notify of final nonconfirmation of employee's employment eligibility (per relevant individual). 8 U.S.C. 1324a(g)(2)....................... IRCA; Violation/ 28 CFR 68.52(c)(7)............. 1986 1986 1,000.............. 2.15628 1,100............. 2,156 prohibition of indemnity bonds (per violation). 8 U.S.C. 1324b(g)(2)(B)(iv)(I)............. IRCA; Unfair 28 CFR 68.52(d)(1)(viii)....... 1990 1990 Min. 250........... 1.78156 Min, 375.......... Min. 445 immigration- Max. 2,000......... Max. 3,200........ Max. 3,563 related employment practices, first order (per individual discriminated against). 8 U.S.C. 1324b(g)(2)(B)(iv)(II)............ IRCA; Unfair 28 CFR 68.52(d)(1)(ix)......... 1990 1990 Min. 2,000......... 1.78156 Min. 3,200........ Min. 3,563 immigration- Max. 5,000......... Max. 6,500........ Max. 8,908 related employment practices, second order (per individual discriminated against). 8 U.S.C. 1324b(g)(2)(B)(iv)(III)........... IRCA; Unfair 28 CFR 68.52(d)(1)(x).......... 1990 1990 Min. 3,000......... 1.78156 Min. 4,300........ Min. 5,345 immigration- Max. 10,000........ Max. 16,000....... Max. 17,816 related employment practices, subsequent order (per individual discriminated against). 8 U.S.C. 1324b(g)(2)(B)(iv)(IV)............ IRCA; Unfair 28 CFR 68.52(d)(1)(xii)........ 1990 1990 Min. 100........... 1.78156 Min. 110.......... Min. 178 immigration- Max. 1,000......... Max. 1,100........ Max. 1,782 related employment practices, document abuse (per individual discriminated against). 8 U.S.C. 1324c(d)(3)(A).................... IRCA; Document 28 CFR 68.52(e)(1)(i).......... 1990 1990 Min. 250........... 1.78156 Min. 375.......... Min. 445 fraud, first Max. 2,000......... Max. 3,200........ Max. 3,563 order--for violations described in U.S.C. 1324c(a)(1)-(4) (per document). 8 U.S.C. 1324c(d)(3)(B).................... IRCA; Document 28 CFR 68.52(e)(1)(iii)........ 1990 1990 Min. 2,000......... 1.78156 Min. 3,200........ Min. 3,563 fraud, subsequent Max. 5,000......... Max. 6,500........ Max. 8,908 order--for violations described in U.S.C. 1324c(a)(1)-(4) (per document). 8 U.S.C. 1324c(d)(3)(A).................... IRCA; Document 28 CFR 68.52(e)(1)(ii)......... 1996 1996 Min. 250........... 1.50245 Min. 275.......... Min. 376 fraud, first Max. 2,000......... Max. 2,200........ Max. 3,005 order--for violations described in U.S.C. 1324c(a)(5)-(6) (per document). 8 U.S.C. 1324c(d)(3)(B).................... IRCA; Document 28 CFR 68.52(e)(1)(iv)......... 1996 1996 Min. 2,000......... 1.50245 Min. 2,200........ Min. 3,005 fraud, subsequent Max. 5,000......... Max. 5,500........ Max. 7,512 order--for violations described in U.S.C. 1324c(a)(5)-(6) (per document). [[Page 42497]] FBI ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ 49 U.S.C. 30505(a)......................... National Motor ............................... 1994 1994 1,000.............. 1.59089 1,000............. 1,591 Vehicle Title Identification System; Violation (per violation). ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ Office of Justice Programs ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ 42 U.S.C. 3789g(d)......................... Confidentiality of 28 CFR 20.25................... 1979 1979 10,000............. 3.16274 11,000............ 27,500 ** information; State and Local Criminal History Record Information Systems--Right to Privacy Violation. ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ ** Adjusted penalty capped at 2.5 times the penalty amount in effect on November 2, 2015, the date of enactment of the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, Public Law 114-74, sec. 701 (``2015 Amendments''). See id. Sec. 701(b)(2) (amending section 5(b)(2)(C) of the Federal Civil Penalties Inflation Adjustment Act of 1990 (28 U.S.C. 2461 note) to provide that the amount of the first inflation adjustment after the date of enactment of the 2015 Amendments ``shall not exceed 150 percent of the amount of that civil monetary penalty on the date of enactment of the [2015 Amendments].''). \1\ The figures set forth in this column represent the penalty as last adjusted by Department of Justice regulation or statute as of November 2, 2015. \2\ All figures set forth in this table are maximum penalties, unless otherwise indicated. \3\ Section 3729(a)(1) of Title 31 states that any person who violates this section ``is liable to the United States Government for a civil penalty of not less than $5,000 and not more than $10,000, as adjusted by the Federal Civil Penalties Inflation Adjustment Act of 1990, plus 3 times the amount of damages which the Government sustains because of the act of that person.'' 31 U.S.C. 3729(a)(1) (2012) (citation omitted). Section 3729(a)(2) permits the court to reduce the damages under certain circumstances to ``not less than 2 times the amount of damages which the Government sustains because of the act of that person.'' Id. Sec. 3729(a)(2). The adjustment made by this regulation is only applicable to the specific statutory penalty amounts stated in subsection (a)(1), which is only one component of the civil penalty imposed under section 3729(a)(1). \4\ Section 8706(a)(1) of Title 41 states that ``[t]he Federal Government in a civil action may recover from a person--(1) that knowingly engages in conduct prohibited by section 8702 of this title a civil penalty equal to--(A) twice the amount of each kickback involved in the violation; and (B) not more than $10,000 for each occurrence of prohibited conduct . . . .'' 41 U.S.C. 8706(a)(1) (2012). The adjustment made by this regulation is only applicable to the specific statutory penalty amount stated in subsection (a)(1)(B), which is only one component of the civil penalty imposed under section 8706. \5\ Section 216(b) of Title 18 states the civil penalty should be no ``more than $50,000 for each violation or the amount of compensation which the person received or offered for the prohibited conduct, whichever amount is greater.'' 18 U.S.C. 216(b) (2012). Therefore, the adjustment made by this regulation is only applicable to the specific statutory penalty amount stated in subsection (b), which is only one aspect of the possible civil penalty imposed under Sec. 216(b). \6\ Section 2105(b) of Title 41 states, ``(b) Civil penalties.--The Attorney General may bring a civil action in an appropriate district court of the United States against a person that engages in conduct that violates section 2102, 2103, or 2104 of this title. On proof of that conduct by a preponderance of the evidence--(1) an individual is liable to the Federal Government for a civil penalty of not more than $50,000 for each violation plus twice the amount of compensation that the individual received or offered for the prohibited conduct; and (2) an organization is liable to the Federal Government for a civil penalty of not more than $500,000 for each violation plus twice the amount of compensation that the organization received or offered for the prohibited conduct.'' 41 U.S.C. 2105(b) (2012). The adjustments made by this regulation are only applicable to the specific statutory penalty amounts stated in subsections (b)(1) and (b)(2), which are each only one component of the civil penalties imposed under sections 2105(b)(1) and (b)(2). \7\ The Attorney General has authority to bring a civil action when a person has violated or is about to violate a provision under this statute. 42 U.S.C. 5157(b) (2012)). The Federal Emergency Management Agency has promulgated regulations regarding this statute and has adjusted the penalty in its regulation. 44 CFR 206.14(d) (2015). The Department of Health and Human Services (HHS) has also promulgated a regulation regarding the penalty under this statute. 42 CFR 38.8 (2015). \8\ Section 1956(b)(1) of Title 18 states that ``[w]hoever conducts or attempts to conduct a transaction described in subsection (a)(1) or (a)(3), or section 1957, or a transportation, transmission, or transfer described in subsection (a)(2), is liable to the United States for a civil penalty of not more than the greater of--(A) the value of the property, funds, or monetary instruments involved in the transaction; or (B) $10,000.'' 18 U.S.C. 1956(b)(1) (2012). The adjustment made by this regulation is only applicable to the specific statutory penalty amount stated in subsection (b)(1)(B), which is only one aspect of the possible civil penalty imposed under section 1956(b). \9\ Section 842(c)(2)(C) of Title 21 states that ``[i]n addition to the penalties set forth elsewhere in this subchapter or subchapter II of this chapter, any business that violates paragraph (11) of subsection (a) of this section shall, with respect to the first such violation, be subject to a civil penalty of not more than $250,000, but shall not be subject to criminal penalties under this section, and shall, for any succeeding violation, be subject to a civil fine of not more than $250,000 or double the last previously imposed penalty, whichever is greater.'' 21 U.S.C. 842(c)(2)(C) (2012). The adjustment made by this regulation regarding the penalty for a succeeding violation is only applicable to the specific statutory penalty amount stated in subsection (c)(2)(C), which is only one aspect of the possible civil penalty for a succeeding violation imposed under section 842(c)(2)(C). \10\ Section 856(d)(1) of Title 21 states that ``(1) Any person who violates subsection (a) of this section shall be subject to a civil penalty of not more than the greater of--(A) $250,000; or (B) 2 times the gross receipts, either known or estimated, that were derived from each violation that is attributable to the person.'' 21 U.S.C. 856(d)(1) (2012). The adjustment made by this regulation is only applicable to the specific statutory penalty amount stated in subsection (d)(1)(A), which is only one aspect of the possible civil penalty imposed under section 856(d)(1). [[Page 42498]] Currently, 28 CFR 85.3 provides for inflation adjustments of a number of civil penalties enforced by the Department, pursuant to the former inflation adjustment statutory provisions. This rule revises Sec. 85.3 to provide that the inflation adjustments set forth in that section will continue to apply to violations occurring on or before November 2, 2015, the date of enactment of the 2015 Amendments, as well as to assessments made before August 1, 2016, whose associated violations occurred after November 2, 2015. Other existing Department regulations provide for inflation adjustments of other civil penalties under prior law, such as the civil penalties under certain provisions of the immigration laws in 28 CFR 68.52. Those other existing regulations are also being revised to provide that the existing regulatory inflation adjustments will continue to apply to violations occurring on or before November 2, 2015, as well as to assessments made before August 1, 2016, whose associated violations occurred after November 2, 2015. A new regulatory provision, Sec. 85.5, includes a comprehensive table setting forth the penalty amounts for civil penalties assessed after August 1, 2016, whose associated violations occurred after November 2, 2015. The table in Sec. 85.5 is the same as Table A in this preamble, except that it only includes the first three descriptive columns for each civil penalty provision, and the last two columns setting forth the penalty amounts in effect on November 2, 2015 (the date of enactment of the 2015 Amendments) and the new adjusted civil penalty amounts taking effect for civil penalties assessed after August 1, 2016, whose associated violations occurred after November 2, 2015. (The other columns in Table A, which show how the adjusted civil penalty amounts are calculated, are provided for informational purposes in this preamble, but are not being codified in the Code of Federal Regulations.) Those instances where the civil penalty amount for the initial adjustment is capped at 2.5 times the civil penalty amount currently in effect, as provided in the 2015 Amendments, are noted by footnote in the table in Sec. 85.5.\2\ --------------------------------------------------------------------------- \2\ In rare instances, the adjusted civil penalty amount under this rule is less than the penalty amount currently in effect, because, in these cases, the use of rounders under the former law increased a particular penalty by an increment exceeding the actual rate of inflation. For example, in 2014, the Department published a rule increasing the $55,000 civil penalty for a first violation of the Servicemembers Civil Relief Act, 50 U.S.C. 4041(b)(3), by an increment of $5,000 to $60,000. 79 FR 17434-01 (Mar. 28, 2014). Under this rule, taking account of the actual rate of inflation since enactment, the civil penalty amount is adjusted slightly lower to $59,810. --------------------------------------------------------------------------- This rule adjusts for inflation civil monetary penalties within the jurisdiction of the Justice Department for purposes of the Inflation Adjustment Act, as amended. Other agencies are responsible for the inflation adjustments of certain other civil monetary penalties that the Department's litigating components bring suit to collect. The reader should consult the regulations of those other agencies for inflation adjustments to those penalties. Effective Date of Adjusted Civil Penalty Amounts In this rule, the adjusted civil penalty amounts are applicable only to civil penalties assessed after August 1, 2016, whose associated violations occurred after November 2, 2015, the date of enactment of the 2015 Amendments. Therefore, violations occurring on or before November 2, 2015, and assessments made prior to August 1, 2016, whose associated violations occurred after November 2, 2015, will continue to be subject to the civil monetary penalty amounts set forth in the Department's existing regulations in 28 CFR parts 20, 22, 36, 68, 71, 76 and 85 (or as set forth by statute if the amount has not yet been adjusted by regulation). Statutory and Regulatory Analyses Administrative Procedure Act, 5 U.S.C. 553 The Attorney General is publishing this rule as an interim final rule, without prior notice and comment, as authorized by the 2015 Amendments. The Department is providing a 60-day period for public comment after publication of this rule and welcomes public comment on the changes made to reflect the revised process for calculating inflation adjustments under the Inflation Adjustment Act, as amended by the 2015 Amendments. Regulatory Flexibility Act Only those entities that are determined to have violated Federal law and regulations would be affected by the increase in the civil penalty amounts made by this rule. A Regulatory Flexibility Act analysis is not required for this rule because publication of a notice of proposed rulemaking is not required. See 5 U.S.C. 603(a). Executive Orders 12866 and 13563--Regulatory Review This regulation has been drafted and reviewed in accordance with Executive Order 12866, ``Regulatory Planning and Review'' section 1(b), The Principles of Regulation, and in accordance with Executive Order 13563, ``Improving Regulation and Regulatory Review'' section 1, General Principles of Regulation. The Department of Justice has determined that this rule is not a ``significant regulatory action'' under Executive Order 12866, Regulatory Planning and Review, section 3(f), and accordingly this rule has not been reviewed by the Office of Management and Budget. Both Executive Orders 12866 and 13563 direct agencies, in certain circumstances, to assess all costs and benefits of available regulatory alternatives and, if regulation is necessary, to select regulatory approaches that maximize net benefits (including potential economic, environmental, public health and safety effects, distributive impacts, and equity). As stated above, the statute authorizes the Department, with the concurrence of the Director of the Office of Management and Budget, to make a determination in certain circumstances to increase a civil penalty by less than the otherwise required amount. However, the Department is not invoking that authority in this rule. The adjustments to existing civil monetary penalties set forth in this rule are calculated pursuant to the statutory formula. Executive Order 13132--Federalism This rule will not have substantial direct effects on the States, on the relationship between the national government and the States, or on the distribution of power and responsibilities among the various levels of government. Therefore, in accordance with Executive Order 13132, it is determined that this rule does not have sufficient federalism implications to warrant the preparation of a Federalism Assessment. Executive Order 12988--Civil Justice Reform This regulation meets the applicable standards set forth in sections 3(a) and 3(b)(2) of Executive Order 12988. Unfunded Mandates Reform Act of 1995 This rule will not result in the expenditure by State, local, and tribal governments, in the aggregate, or by the private sector, of $100 million or more in any one year, and it will not significantly or uniquely affect small governments. Therefore, no actions were deemed necessary under the provisions [[Page 42499]] of the Unfunded Mandates Reform Act of 1995. Congressional Review Act This rule is not a major rule as defined by the Congressional Review Act, 5 U.S.C. 804. It will not result in an annual effect on the economy of $100 million or more; a major increase in costs or prices for consumers, individual industries, Federal, State, or local government agencies, or geographic regions; or significant adverse effects on competition, employment, investment, productivity, innovation, or on the ability of United States-based enterprises to compete with foreign-based enterprises in domestic and export markets. List of Subjects 28 CFR Part 20 Classified information, Crime, Intergovernmental relations, Investigations, Law Enforcement, Penalties, Privacy, Research, and Statistics. 28 CFR Part 22 Crime, Juvenile delinquency, Penalties, Privacy, Research, and Statistics. 28 CFR Part 36 Administrative practice and procedure, Alcoholism, Americans with disabilities, Buildings and facilities, Business and industry, Civil rights, Consumer protection, Drug abuse, Handicapped, Historic preservation, Individuals with disabilities, Penalties, Reporting and recordkeeping requirements. 28 CFR Part 68 Administrative practice and procedure, Aliens, Citizenship and naturalization, Civil rights, Discrimination in employment, Employment, Equal employment opportunity, Immigration, Nationality, Non- discrimination. 28 CFR Part 71 Administrative practice and procedure, Claims, Fraud, Organization and function (Government agencies), Penalties. 28 CFR Part 76 Administrative practice and procedure, Drug abuse, Drug traffic control, Penalties. 28 CFR Part 85 Administrative practice and procedure, Penalties. Accordingly, for the reasons set forth in the preamble, chapter I of Title 28 of the Code of Federal Regulations is amended as follows: PART 20--CRIMINAL JUSTICE INFORMATION SYSTEMS 0 1. The authority citation for part 20 continues to read as follows: Authority: 28 U.S.C. 534; Pub. L. 92-544, 86 Stat. 1115; 42 U.S.C. 3711, et seq.; Pub. L. 99-169, 99 Stat. 1002, 1008-1011, as amended by Pub. L. 99-569, 100 Stat. 3190, 3196; Pub. L. 101-410, 104 Stat. 890, as amended by Pub. L. 104-134, 110 Stat. 1321. 0 2. In Sec. 20.25, add after the first sentence a new sentence to read as follows: Sec. 20.25 Penalties. * * * For civil penalties assessed after August 1, 2016, whose associated violations occurred after November 2, 2015, see the civil penalty amount as provided in 28 CFR 85.5. * * * PART 22--CONFIDENTIALITY OF IDENTIFIABLE RESEARCH AND STATISTICAL INFORMATION 0 3. The authority citation for part 22 continues to read as follows: Authority: Secs. 801(a), 812(a), Omnibus Crime Control and Safe Streets Act of 1968, 42 U.S.C. 3701, et seq., as amended (Pub. L. 90-351, as amended by Pub. L. 93-83, Pub. L. 93-415, Pub. L. 94-430, Pub. L. 94-503, Pub. L. 95-115, Pub. L. 96-157, and Pub. L. 98-473); secs. 262(b), 262(d), Juvenile Justice and Delinquency Prevention Act of 1974, 42 U.S.C. 5601, et seq., as amended (Pub. L. 93-415, as amended by Pub. L. 94-503, Pub. L. 95-115, Pub. L. 99-509, and Pub. L. 98-473); and secs. 1407(a) and 1407(d) of the Victims of Crime Act of 1984, 42 U.S.C. 10601, et seq., Pub. L. 98-473; Pub. L. 101- 410, 104 Stat. 890, as amended by Pub. L. 104-134, 110 Stat. 1321. 0 4. In Sec. 22.29 add a new sentence at the end to read as follows: Sec. 22.29 Sanctions. * * * For civil penalties assessed after August 1, 2016, whose associated violations occurred after November 2, 2015, see the civil penalty amount as provided in 28 CFR 85.5. PART 36--NONDISCRIMINATION ON THE BASIS OF DISABILITY BY PUBLIC ACCOMMODATIONS AND IN COMMERCIAL FACILITIES 0 5. The authority citation for part 36 continues to read as follows: Authority: 5 U.S.C. 301; 28 U.S.C. 509, 510; 42 U.S.C. 12188(b); Pub. L. 101-410, 104 Stat. 890, as amended by Pub. L. 104-134, 110 Stat. 1321. 0 6. In Sec. 36.504, revise paragraphs (a)(3)(i) and (a)(3)(ii), to read as follows: Sec. 36.504 Relief. (a) * * * (3) * * * (i) Not exceeding $50,000 for a first violation occurring before September 29, 1999, and not exceeding $55,000 for a first violation occurring on or after September 29, 1999, and before April 28, 2014, and not exceeding $75,000 for a first violation occurring on or after April 28, 2014, except that, for civil penalties assessed after August 1, 2016, for a first violation occurring after November 2, 2015, the civil penalty shall not exceed the applicable amount set forth in 28 CFR 85.5. (ii) Not exceeding $100,000 for any subsequent violation occurring before September 29, 1999, and not exceeding $110,000 for any subsequent violation occurring on or after September 29, 1999, and before April 28, 2014, and not exceeding $150,000 for any subsequent violation occurring on or after April 28, 2014, except that, for civil penalties assessed after August 1, 2016, for any subsequent violation occurring after November 2, 2015, the civil penalty shall not exceed the applicable amount set forth in 28 CFR 85.5. * * * * * PART 68--RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION- RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD 0 7. The authority citation for part 68 continues to read as follows: Authority: 5 U.S.C. 301, 554; 8 U.S.C. 1103, 1324a, 1324b, and 1324c. 0 8. In Sec. 68.52, revise paragraphs (c)(8), (d)(2), and (e)(3), to read as follows: Sec. 68.52 Final order of the Administrative Law Judge. * * * * * (c) * * * (8) Civil penalties assessed after August 1, 2016. For civil penalties assessed after August 1, 2016, whose associated violations described in paragraph (c) of this section occurred after November 2, 2015, the applicable civil penalty amounts are set forth in 28 CFR 85.5. * * * * * (d) * * * (2) Civil penalties assessed after August 1, 2016. For civil penalties assessed after August 1, 2016, whose associated violations described in paragraph (d) of this section occurred [[Page 42500]] after November 2, 2015, the applicable civil penalty amounts are set forth in 28 CFR 85.5. * * * * * (e) * * * (3) Civil penalties assessed after August 1, 2016. For civil penalties assessed after August 1, 2016, whose associated violations described in paragraph (e) of this section occurred after November 2, 2015, the applicable civil penalty amounts are set forth in 28 CFR 85.5. * * * * * PART 71--IMPLEMENTATION OF THE PROVISIONS OF THE PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986 0 9. The authority citation for part 71 continues to read as follows: Authority: 5 U.S.C. 301; 28 U.S.C. 509, 510; 31 U.S.C. 3801- 3812; Pub. L. 101-410, 104 Stat. 890, as amended by Pub. L. 104-134, 110 Stat. 1321. 0 10. In Sec. 71.3, paragraph (a) introductory text and paragraph (f) introductory text are revised, to read as follows: Sec. 71.3 Basis for civil penalties and assessments. (a) Any person shall be subject, in addition to any other remedy that may be prescribed by law, to a civil penalty of not more than $5,000 for each claim listed in paragraphs (a)(1) through (a)(4) of this section made before September 29, 1999, and not more than $5,500 for each such claim made on or after September 29, 1999, and not more than the applicable amount as provided in 28 CFR 85.5 for civil penalties assessed after August 1, 2016, for each such claim made after November 2, 2015, if that person makes a claim that the person knows or has reason to know: * * * * * (f) Any person shall be subject, in addition to any other remedy that may be prescribed by law, to a civil penalty of not more than $5,000 for each statement listed in paragraphs (f)(1) and (f)(2) of this section made before September 29, 1999, and not more than $5,500 for each such statement made on or after September 29, 1999, and not more than the applicable amount as provided in 28 CFR 85.5 for civil penalties assessed after August 1, 2016 for each such statement made after November 2, 2015, if that person makes a written statement that: * * * * * PART 76--RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES 0 11. The authority citation for part 76 continues to read as follows: Authority: 5 U.S.C. 301; 21 U.S.C. 844a, 875, 876; 28 U.S.C. 509, 510; Pub. L. 101-410, 104 Stat. 890, as amended by Pub. L. 104- 134, 110 Stat. 1321. 0 12. In Sec. 76.3 add a new sentence at the end of paragraph (a) to read as follows: Sec. 76.3 Basis for civil penalty. (a) * * * For civil penalties assessed after August 1, 2016, whose associated violations occurred after November 2, 2015, see the civil penalty amount as provided in 28 CFR 85.5. * * * * * PART 85--CIVIL MONETARY PENALTIES INFLATION ADJUSTMENT 0 13. The authority citation for part 85 is revised to read as follows: Authority: 5 U.S.C. 301, 28 U.S.C. 503; Pub. L. 101-410, 104 Stat. 890, as amended by Pub. L. 104-134, 110 Stat. 1321; Pub. L. 114-74, section 701, 28 U.S.C. 2461 note. 0 14. Revise Sec. 85.1 to read as follows: Sec. 85.1 In general. (a) For violations occurring on or before November 2, 2015, and for civil penalties assessed before August 1, 2016, whose associated violations occurred after November 2, 2015, the civil monetary penalties provided by law within the jurisdiction of the Department of Justice and listed in section 85.3 are adjusted as set forth in that section, in accordance with the requirements of the Federal Civil Penalties Inflation Adjustment Act of 1990, Public Law 104-410, 104 Stat. 890, in effect prior to November 2, 2015. (b) For civil penalties assessed after August 1, 2016, whose associated violations occurred after November 2, 2015, the civil monetary penalties provided by law within the jurisdiction of the Department of Justice are adjusted as set forth in section 85.5, in accordance with the requirements of the Bipartisan Budget Act of 2015, Public Law 114-74, section 701 (Nov. 2, 2015), 28 U.S.C. 2461 note. Sec. 85.2 [Removed and reserved] 0 15. Remove and reserve Sec. 85.2. 0 16. In Sec. 85.3, revise the heading and the introductory text to read as follows: Sec. 85.3 Adjustments to penalties for violations occurring on or before November 2, 2015. For all violations occurring on or before November 2, 2015, and for assessments made before August 1, 2016, for violations occurring after November 2, 2015, the civil monetary penalties provided by law within the jurisdiction of the respective components of the Department, as set forth in paragraphs (a) through (d) of this section, are adjusted as provided in this section in accordance with the inflation adjustment procedures prescribed in section 5 of the Federal Civil Penalties Inflation Adjustment Act of 1990, Public Law 101-410, as in effect prior to November 2, 2015. The adjusted penalties set forth in paragraphs (a), (c), and (d) of this section are effective for violations occurring on or after September 29, 1999, and on or before November 2, 2015, and for assessments made before August 1, 2016, for violations occurring after November 2, 2015. For civil penalties assessed after August 1, 2016, whose associated violations occurred after November 2, 2015, see the adjusted penalty amounts in section 85.5. * * * * * 0 17. Add Sec. 85.5 to read as follows: Sec. 85.5 Adjustments to penalties for violations occurring after November 2, 2015. For civil penalties assessed after August 1, 2016, whose associated violations occurred after November 2, 2015, the civil monetary penalties provided by law within the jurisdiction of the Department are adjusted as set forth in the following table. ---------------------------------------------------------------------------------------------------------------- DOJ Penalty as of 11/2/ New DOJ penalty U.S.C. Citation Name/Description CFR Citation 15 ($) \1\ \2\ ---------------------------------------------------------------------------------------------------------------- ATF ---------------------------------------------------------------------------------------------------------------- 18 U.S.C. 922(t)(5)........... Brady Law--Nat'l ................ 5,000................. 8,162 Instant Criminal Check System; Transfer of firearm without checking NICS. [[Page 42501]] 18 U.S.C. 924(p).............. Child Safety Lock ................ 2,500................. 2,985 Act; Secure gun storage or safety device, violation. ---------------------------------------------------------------------------------------------------------------- Civil Division ---------------------------------------------------------------------------------------------------------------- 12 U.S.C. 1833a(b)(1)......... Financial 28 CFR 1,100,000............. 1,893,610 Institutions Reform, 85.3(a)(6). Recovery, and Enforcement Act (FIRREA) Violation. 12 U.S.C. 1833a(b)(2)......... FIRREA Violation 28 CFR 1,100,000............. 1,893,610 (continuing) (per 85.3(a)(7). day). 12 U.S.C. 1833a(b)(2)......... FIRREA Violation 28 CFR 5,500,000............. 9,468,050 (continuing). 85.3(a)(7). 22 U.S.C. 2399b(a)(3)(A)...... Foreign Assistance 28 CFR 2,200................. 5,500 ** Act; Fraudulent 85.3(a)(8). Claim for Assistance (per act). 31 U.S.C. 3729(a)............. False Claims Act; \3\ 28 CFR Min, 5,500............ Min. 10,781 Violations. 85.3(a)(9). Max. 11,000........... Max. 21,563 31 U.S.C. 3802(a)(1).......... Program Fraud Civil 28 CFR 71.3(a).. 5,500................. 10,781 Remedies Act; Violations Involving False Claim (per claim). 31 U.S.C. 3802(a)(2).......... Program Fraud Civil 28 CFR 71.3(f).. 5,500................. 10,781 Remedies Act; Violation Involving False Statement (per statement). 40 U.S.C. 123(a)(1)(A)........ Federal Property and 28 CFR 2,200................. 5,500 ** Administrative 85.3(a)(12). Services Act; Violation Involving Surplus Government Property (per act). 41 U.S.C. 8706(a)(1)(B)....... Anti-Kickback Act; 28 CFR 11,000................ 21,563 Violation Involving 85.3(a)(13). Kickbacks \4\ (per occurrence). 18 U.S.C. 2723(b)............. Driver's Privacy ................ 5,000................. 7,954 Protection Act of 1994; Prohibition on Release and Use of Certain Personal Information from State Motor Vehicle Records--Substantial Non-compliance (per day). 18 U.S.C. 216(b).............. Ethics Reform Act of 28 CFR 85.3(c).. 55,000................ 94,681 1989; Penalties for Conflict of Interest Crimes \5\ (per violation). 41 U.S.C. 2105(b)(1).......... Office of Federal ................ 50,000................ 98,935 Procurement Policy Act; \6\ Violation by an individual (per violation). 41 U.S.C. 2105(b)(2).......... Office of Federal ................ 500,000............... 989,345 Procurement Policy Act; \6\ Violation by an organization (per violation). 42 U.S.C. 5157(d)............. Disaster Relief Act ................ 5,000................. 12,500 ** of 1974;\7\ Violation (per violation). ---------------------------------------------------------------------------------------------------------------- Civil Rights Division (excluding immigration-related penalties) ---------------------------------------------------------------------------------------------------------------- 18 U.S.C. 248(c)(2)(B)(i)..... Freedom of Access to 28 CFR 16,000................ 15,909 Clinic Entrances Act 85.3(b)(1)(i). of 1994 (``FACE Act''); Nonviolent physical obstruction, first violation. 18 U.S.C. 248(c)(2)(B)(ii).... FACE Act; Nonviolent 28 CFR 16,500................ 23,863 physical 85.3(b)(1)(ii). obstruction, subsequent violation. 18 U.S.C. 248(c)(2)(B)(i)..... FACE Act; Violation 28 CFR 16,500................ 23,863 other than a 85.3(b)(2)(i). nonviolent physical obstruction, first violation. 18 U.S.C. 248(c)(2)(B)(ii).... FACE Act; Violation 28 CFR 37,500................ 39,772 other than a 85.3(b)(2)(ii). nonviolent physical obstruction, subsequent violation. 42 U.S.C. 3614(d)(1)(C)(i).... Fair Housing Act of 28 CFR 75,000................ 98,935 1968; first 85.3(b)(3)(i). violation. 42 U.S.C. 3614(d)(1)(C)(ii)... Fair Housing Act of 28 CFR 150,000............... 197,869 1968; subsequent 85.3(b)(3)(ii). violation. 42 U.S.C. 12188(b)(2)(C)(i)... Americans With 28 CFR 75,000................ 89,078 Disabilities Act; 36.504(a)(3)(i). Public accommodations for individuals with disabilities, first violation. 42 U.S.C. 12188(b)(2)(C)(ii).. Americans With 28 CFR 150,000............... 178,156 Disabilities Act; 36.504(a)(3)(ii Public ). accommodations for individuals with disabilities, subsequent violation. 50 U.S.C. App. 597(b)(3)...... Servicemembers Civil 28 CFR 60,000................ 59,810 Relief Act of 2003; 85.3(b)(4)(i). first violation. 50 U.S.C. App. 597(b)(3)...... Servicemembers Civil 28 CFR 120,000............... 119,620 Relief Act of 2003; 85.3(b)(4)(ii). subsequent violation. ---------------------------------------------------------------------------------------------------------------- Criminal Division ---------------------------------------------------------------------------------------------------------------- 18 U.S.C. 983(h)(1)........... Civil Asset ................ Min. 250.............. Min. 342 Forfeiture Reform Act of 2000; Penalty for Frivolous Assertion of Claim. Max. 5,000............ Max. 6,834 18 U.S.C. 1956(b)............. Money Laundering ................ 10,000................ 21,563 Control Act of 1986; Violation \8\. ---------------------------------------------------------------------------------------------------------------- DEA ---------------------------------------------------------------------------------------------------------------- 21 U.S.C. 844a(a)............. Anti-Drug Abuse Act 28 CFR 76.3(a).. 11,000................ 19,787 of 1988; Possession of small amounts of controlled substances (per violation). 21 U.S.C. 961(1).............. Controlled Substance 28 CFR 85.3(d).. 27,500................ 68,750 ** Import Export Act; Drug abuse, import or export. [[Page 42502]] 21 U.S.C. 842(c)(1)(A)........ Controlled Substances ................ 25,000................ 62,500 ** Act (``CSA''); Violations of 842(a)--other than (5), (10) and (16)-- Prohibited acts re: controlled substances (per violation). 21 U.S.C. 842(c)(1)(B)........ CSA; Violations of ................ 10,000................ 14,502 842(a)(5) and (10)-- Prohibited acts re: controlled substances. 21 U.S.C. 842(c)(1)(C)........ CSA; Violation of ................ 500,000............... 500,855 825(e) by importer, exporter, manufacturer, or distributor--False labeling of anabolic steroids (per violation). 21 U.S.C. 842(c)(1)(D)........ CSA; Violation of ................ 1,000................. 1,002 825(e) at the retail level--False labeling of anabolic steroids (per violation). 21 U.S.C. 842(c)(2)(C)........ CSA; Violation of ................ 250,000............... 375,613 842(a)(11) by a business--Distributi on of laboratory supply with reckless disregard \9\. 21 U.S.C. 856(d).............. Illicit Drug Anti- ................ 250,000............... 321,403 Proliferation Act of 2003; Maintaining drug-involved premises \10\. ---------------------------------------------------------------------------------------------------------------- Immigration-Related Penalties ---------------------------------------------------------------------------------------------------------------- 8 U.S.C. 1324a(e)(4)(A)(i).... Immigration Reform 28 CFR Min. 375.............. Min. 539 and Control Act of 68.52(c)(1)(i). 1986 (``IRCA''); Unlawful employment of aliens, first order (per unauthorized alien). Max 3,200............. Max. 4,313 8 U.S.C. 1324a(e)(4)(A)(ii)... IRCA; Unlawful 28 CFR Min. 3,200............ Min. 4,313 employment of 68.52(c)(1)(ii). aliens, second order (per such alien). Max. 6,500............ Max. 10,781 8 U.S.C. 1324a(e)(4)(A)(iii).. IRCA; Unlawful 28 CFR Min. 4,300............ Min. 6,469 employment of 68.52(c)(1)(iii aliens, subsequent ). order (per such alien). Max. 16,000........... Max. 21,563 8 U.S.C. 1324a(e)(5).......... IRCA; Paperwork 28 CFR Min. 110.............. Min. 216 violation (per 68.52(c)(5). relevant individual). ..................... ................ Max. 1,100............ Max. 2,156 8 U.S.C. 1324a (note)......... IRCA; Violation 28 CFR Min. 550.............. Min. 751 relating to 68.52(c)(6). participating employer's failure to notify of final nonconfirmation of employee's employment eligibility (per relevant individual). Max. 1,100............ Max. 1,502 8 U.S.C. 1324a(g)(2).......... IRCA; Violation/ 28 CFR 1,100................. 2,156 prohibition of 68.52(c)(7). indemnity bonds (per violation). 8 U.S.C. 1324b(g)(2)(B)(iv)(I) IRCA; Unfair 28 CFR Min, 375.............. Min. 445 immigration-related 68.52(d)(1)(vii employment i). practices, first order (per individual discriminated against). Max. 3,200............ Max. 3,563 8 U.S.C. IRCA; Unfair 28 CFR Min. 3,200............ Min. 3,563 1324b(g)(2)(B)(iv)(II). immigration-related 68.52(d)(1)(ix). employment practices, second order (per individual discriminated against). Max. 6,500............ Max. 8,908 8 U.S.C. IRCA; Unfair 28 CFR Min. 4,300............ Min. 5,345 1324b(g)(2)(B)(iv)(III). immigration-related 68.52(d)(1)(x). employment practices, subsequent order (per individual discriminated against). Max. 16,000........... Max. 17,816 8 U.S.C. IRCA; Unfair 28 CFR Min. 110.............. Min. 178 1324b(g)(2)(B)(iv)(IV). immigration-related 68.52(d)(1)(xii employment ). practices, document abuse (per individual discriminated against). Max. 1,100............ Max. 1,782 8 U.S.C. 1324c(d)(3)(A)....... IRCA; Document fraud, 28 CFR Min. 375.............. Min. 445 first order--for 68.52(e)(1)(i). violations described in U.S.C. 1324c(a)(1)-(4) (per document). Max. 3,200............ Max. 3,563 8 U.S.C. 1324c(d)(3)(B)....... IRCA; Document fraud, 28 CFR Min. 3,200............ Min. 3,563 subsequent order-- 68.52(e)(1)(iii for violations ). described in U.S.C. 1324c(a)(1)-(4) (per document). Max. 6,500............ Max. 8,908 8 U.S.C. 1324c(d)(3)(A)....... IRCA; Document fraud, 28 CFR Min. 275.............. Min. 376 first order--for 68.52(e)(1)(ii). violations described in U.S.C. 1324c(a)(5)-(6) (per document). Max. 2,200............ Max. 3,005 8 U.S.C. 1324c(d)(3)(B)....... IRCA; Document fraud, 28 CFR Min. 2,200............ Min. 3,005 subsequent order-- 68.52(e)(1)(iv). for violations described in U.S.C. 1324c(a)(5)-(6) (per document). Max. 5,500............ Max. 7,512 ---------------------------------------------------------------------------------------------------------------- FBI ---------------------------------------------------------------------------------------------------------------- 49 U.S.C. 30505(a)............ National Motor ................ 1,000................. 1,591 Vehicle Title Identification System; Violation (per violation). ---------------------------------------------------------------------------------------------------------------- [[Page 42503]] Office of Justice Programs ---------------------------------------------------------------------------------------------------------------- 42 U.S.C. 3789g(d)............ Confidentiality of 28 CFR 20.25.... 11,000................ 27,500 ** information; State and Local Criminal History Record Information Systems-- Right to Privacy Violation. ---------------------------------------------------------------------------------------------------------------- ** Adjusted penalty capped at 2.5 times the penalty amount in effect on November 2, 2015, the date of enactment of the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, Public Law 114-74, sec. 701 (``2015 Amendments''). See id. Sec. 701(b)(2) (amending section 5(b)(2)(C) of the Federal Civil Penalties Inflation Adjustment Act of 1990 (28 U.S.C. 2461 note) to provide that the amount of the first inflation adjustment after the date of enactment of the 2015 Amendments ``shall not exceed 150 percent of the amount of that civil monetary penalty on the date of enactment of the [2015 Amendments].''). \1\ The figures set forth in this column represent the penalty as last adjusted by Department of Justice regulation or statute as of November 2, 2015. \2\ All figures set forth in this table are maximum penalties, unless otherwise indicated. \3\ Section 3729(a)(1) of Title 31 states that any person who violates this section ``is liable to the United States Government for a civil penalty of not less than $5,000 and not more than $10,000, as adjusted by the Federal Civil Penalties Inflation Adjustment Act of 1990, plus 3 times the amount of damages which the Government sustains because of the act of that person.'' 31 U.S.C. 3729(a)(1) (2012) (citation omitted). Section 3729(a)(2) permits the court to reduce the damages under certain circumstances to ``not less than 2 times the amount of damages which the Government sustains because of the act of that person.'' Id. Sec. 3729(a)(2). The adjustment made by this regulation is only applicable to the specific statutory penalty amounts stated in subsection (a)(1), which is only one component of the civil penalty imposed under section 3729(a)(1). \4\ Section 8706(a)(1) of Title 41 states that ``[t]he Federal Government in a civil action may recover from a person--(1) that knowingly engages in conduct prohibited by section 8702 of this title a civil penalty equal to--(A) twice the amount of each kickback involved in the violation; and (B) not more than $10,000 for each occurrence of prohibited conduct . . . .'' 41 U.S.C. 8706(a)(1) (2012). The adjustment made by this regulation is only applicable to the specific statutory penalty amount stated in subsection (a)(1)(B), which is only one component of the civil penalty imposed under section 8706. \5\ Section 216(b) of Title 18 states the civil penalty should be no ``more than $50,000 for each violation or the amount of compensation which the person received or offered for the prohibited conduct, whichever amount is greater.'' 18 U.S.C. 216(b) (2012). Therefore, the adjustment made by this regulation is only applicable to the specific statutory penalty amount stated in subsection (b), which is only one aspect of the possible civil penalty imposed under Sec. 216(b). \6\ Section 2105(b) of Title 41 states, ``(b) Civil penalties.--The Attorney General may bring a civil action in an appropriate district court of the United States against a person that engages in conduct that violates section 2102, 2103, or 2104 of this title. On proof of that conduct by a preponderance of the evidence--(1) an individual is liable to the Federal Government for a civil penalty of not more than $50,000 for each violation plus twice the amount of compensation that the individual received or offered for the prohibited conduct; and (2) an organization is liable to the Federal Government for a civil penalty of not more than $500,000 for each violation plus twice the amount of compensation that the organization received or offered for the prohibited conduct.'' 41 U.S.C. 2105(b) (2012). The adjustments made by this regulation are only applicable to the specific statutory penalty amounts stated in subsections (b)(1) and (b)(2), which are each only one component of the civil penalties imposed under sections 2105(b)(1) and (b)(2). \7\ The Attorney General has authority to bring a civil action when a person has violated or is about to violate a provision under this statute. 42 U.S.C. 5157(b) (2012)). The Federal Emergency Management Agency has promulgated regulations regarding this statute and has adjusted the penalty in its regulation. 44 CFR 206.14(d) (2015). The Department of Health and Human Services (HHS) has also promulgated a regulation regarding the penalty under this statute. 42 CFR 38.8 (2015). \8\ Section 1956(b)(1) of Title 18 states that ``[w]hoever conducts or attempts to conduct a transaction described in subsection (a)(1) or (a)(3), or section 1957, or a transportation, transmission, or transfer described in subsection (a)(2), is liable to the United States for a civil penalty of not more than the greater of--(A) the value of the property, funds, or monetary instruments involved in the transaction; or (B) $10,000.'' 18 U.S.C. 1956(b)(1) (2012). The adjustment made by this regulation is only applicable to the specific statutory penalty amount stated in subsection (b)(1)(B), which is only one aspect of the possible civil penalty imposed under section 1956(b). \9\ Section 842(c)(2)(C) of Title 21 states that ``[i]n addition to the penalties set forth elsewhere in this subchapter or subchapter II of this chapter, any business that violates paragraph (11) of subsection (a) of this section shall, with respect to the first such violation, be subject to a civil penalty of not more than $250,000, but shall not be subject to criminal penalties under this section, and shall, for any succeeding violation, be subject to a civil fine of not more than $250,000 or double the last previously imposed penalty, whichever is greater.'' 21 U.S.C. 842(c)(2)(C) (2012). The adjustment made by this regulation regarding the penalty for a succeeding violation is only applicable to the specific statutory penalty amount stated in subsection (c)(2)(C), which is only one aspect of the possible civil penalty for a succeeding violation imposed under section 842(c)(2)(C). \10\ Section 856(d)(1) of Title 21 states that ``(1) Any person who violates subsection (a) of this section shall be subject to a civil penalty of not more than the greater of--(A) $250,000; or (B) 2 times the gross receipts, either known or estimated, that were derived from each violation that is attributable to the person.'' 21 U.S.C. 856(d)(1) (2012). The adjustment made by this regulation is only applicable to the specific statutory penalty amount stated in subsection (d)(1)(A), which is only one aspect of the possible civil penalty imposed under section 856(d)(1). Dated: June 24, 2016. Loretta E. Lynch, Attorney General. [FR Doc. 2016-15528 Filed 6-29-16; 8:45 am] BILLING CODE 4410-19-P
![Federal Register / Vol. 81, No. 126 / Thursday, June 30, 2016 / Rules and Regulations 42491
because it is an organization described income tax convention provisions accounts with such U.S. territory
in section 501(c), 501(d), or 401(a), a allocate these taxing rights. ultimate parent entity under U.S.
state college or university described in (e) Reporting of financial amounts— generally accepted accounting
section 511(a)(2)(B), a plan described in (1) Reporting in U.S. dollars required. principles, or would be so required if
section 403(b) or 457(b), an individual All amounts furnished under paragraph equity interests in the U.S. territory
retirement plan or annuity as defined in (d)(2) of this section, other than ultimate parent entity were publicly
section 7701(a)(37), a qualified tuition paragraph (d)(2)(viii) of this section, traded on a U.S. securities exchange.
program described in section 529, a must be expressed in U.S. dollars. If an (k) Applicability dates. The rules of
qualified ABLE program described in exchange rate is used other than in this section apply to reporting periods
section 529A, or a Coverdell education accordance with U.S. generally accepted of ultimate parent entities of U.S. MNE
savings account described in section accounting principles for conversion to groups that begin on or after the first
530, the term revenue includes only U.S. dollars, the exchange rate must be day of a taxable year of the ultimate
revenue that is reflected in unrelated indicated. parent entity that begins on or after June
business taxable income as defined in (2) Sources of financial amounts. All 30, 2016.
section 512. amounts furnished under paragraph
(d)(2) of this section, other than John Dalrymple,
(iii) Number of employees. For
paragraph (d)(2)(viii) of this section, Deputy Commissioner for Services and
purposes of this section, the number of Enforcement.
employees on a full-time equivalent should be based on applicable financial
basis may be reported as of the end of statements, books and records Approved: June 20, 2016.
the accounting period, on the basis of maintained with respect to the Mark J. Mazur,
average employment levels for the constituent entity, regulatory financial Assistant Secretary of the Treasury (Tax
annual accounting period, or on any statements, or records used for tax Policy).
other reasonable basis consistently reporting or internal management [FR Doc. 2016–15482 Filed 6–29–16; 8:45 am]
applied across tax jurisdictions and control purposes for an annual period of BILLING CODE 4830–01–P
each constituent entity ending with or
from year to year. Independent
within the period described in
contractors participating in the ordinary
paragraph (c) of this section.
operating activities of a constituent (f) Time and manner for filing.
DEPARTMENT OF JUSTICE
entity may be reported as employees of Returns on Form 8975 required under
such constituent entity. Reasonable 28 CFR Parts 20, 22, 36, 68, 71, 76, and
paragraph (a) of this section for a 85
rounding or approximation of the reporting period must be filed with the
number of employees is permissible, ultimate parent entity’s income tax [Docket No. OAG 148; AG Order No. 3690–
provided that such rounding or return for the taxable year, in or with 2016]
approximation does not materially which the reporting period ends, on or
distort the relative distribution of before the due date (including Civil Monetary Penalties Inflation
employees across the various tax extensions) for filing that person’s Adjustment
jurisdictions. Consistent approaches income tax return or as otherwise
should be applied from year to year and AGENCY: Department of Justice.
prescribed by Form 8975. ACTION:Interim final rule with request
across entities. (g) Maintenance of records. The U.S.
(iv) Income tax paid and accrued tax for comments.
person filing Form 8975 as an ultimate
expense of permanent establishment. In parent entity of a U.S. MNE group must SUMMARY: In accordance with the
the case of a constituent entity that is a maintain records to support the provisions of the Bipartisan Budget Act
permanent establishment, the amount of information provided on Form 8975. of 2015, the Department of Justice is
income tax paid and the amount of However, the U.S. person is not adjusting for inflation civil monetary
accrued tax expense referred to in required to create and maintain records penalties assessed or enforced by
paragraphs (d)(2)(iv) and (v) of this that reconcile the amounts provided on components of the Department.
section should not include the income Form 8975 with the tax returns of any
tax paid or tax expense accrued by the DATES: Effective date: This rule is
tax jurisdiction or applicable financial effective August 1, 2016.
business entity of which the permanent statements.
establishment would be a part, but for Public comments: Written comments
(h) Exceptions to furnishing must be postmarked and electronic
the second sentence of paragraph (b)(2) information. An ultimate parent entity
of this section, in that business entity’s comments must be submitted on or
of a U.S. MNE group is not required to before August 29, 2016. Commenters
tax jurisdiction of residence on the report information under this section for
income derived by the permanent should be aware that the electronic
the reporting period described in Federal Docket Management System
establishment. paragraph (c) of this section if the
(v) Certain transportation income. If a (FDMS) will accept comments
annual revenue of the U.S. MNE group submitted prior to Midnight Eastern
constituent entity of a U.S. MNE group for the immediately preceding reporting
derives income from international Time on the last day of the comment
period was less than $850,000,000. period.
transportation or transportation in (i) [Reserved]
inland waterways that is covered by (j) U.S. territories and possessions of ADDRESSES: To ensure proper handling
income tax convention provisions that the United States. A U.S. territory of comments, please reference ‘‘Docket
are specific to such income and under ultimate parent entity may designate a No. OAG 148’’ on all electronic and
srobinson on DSK5SPTVN1PROD with RULES
which the taxing rights on such income U.S. business entity that it controls (as written correspondence. The
are allocated exclusively to one tax defined in section 6038(e)) to file Form Department encourages all comments be
jurisdiction, then the U.S. MNE group 8975 on the U.S. territory ultimate submitted electronically through http://
should report the information required parent entity’s behalf with respect to www.regulations.gov using the
under paragraph (d)(2) of this section such U.S. territory ultimate parent electronic comment form provided on
with respect to such income for the tax entity and the business entities that that site. An electronic copy of this
jurisdiction to which the relevant would be required to consolidate their document is also available at http://
VerDate Sep<11>2014 20:00 Jun 29, 2016 Jkt 238001 PO 00000 Frm 00039 Fmt 4700 Sfmt 4700 E:\FR\FM\30JNR1.SGM 30JNR1](https://thefederalregister.org/doc/81_FR_42617/page/1.svg)
![Federal Register / Vol. 81, No. 126 / Thursday, June 30, 2016 / Rules and Regulations 42493
Consumer Price Index for the month of inflation adjustment following the 2015 federal agencies in the OMB
October preceding the date of the Amendments—cannot be more than 2.5 Memorandum for the Heads of
adjustment, exceeds (B) the Consumer times the amount of the current penalty, Executive Departments and Agencies
Price Index 1 year before the month of including prior inflation adjustments M–16–06 (Feb. 24, 2016). https://
October referred to in subparagraph under the Inflation Adjustment Act. As www.whitehouse.gov/sites/default/files/
(A).’’ Id. shown in Table A of this preamble omb/memoranda/2016/m-16-06.pdf
In short, the 2015 Amendments tie the indicating the calculation of inflation (last visited June 3, 2016).
inflation adjustments for the initial adjustments, this statutory cap affects Table A provides the calculations
adjustment to an index reflecting the only six of the civil penalties being
upon which the current inflation
cost of living increases between 2015 adjusted under this rule, because of
adjustments are being made. As
and the year in which each civil penalty prior inflation adjustments
summarized above, the key factors for
was established or adjusted by a implemented since 1999. Although the
these calculations are (1) the year in
provision of law other than the Inflation statute authorizes the Department, with
the concurrence of the Director of the which each civil penalty amount was
Adjustment Act. For subsequent established or adjusted under a
adjustments, however, the adjustment Office of Management and Budget, to
make a determination in certain provision of law other than the Inflation
will be determined by the difference in Adjustment Act; (2) the amount of each
the Consumer Price Index between the circumstances to increase a civil penalty
by less than the otherwise required civil penalty as so established or
October preceding the new adjustment adjusted; (3) the inflationary adjustment
and the October the year before. In amount, the Department is not invoking
that authority in this rule. See Public factor (as determined according to the
addition, instead of using the larger chart prepared by OMB) for the year of
‘‘rounders’’ under the old formula, the Law 114–74, sec. 701(b)(1)(D) (adding
section 4(c) to Inflation Adjustment the most recent establishment or
resulting new civil penalty amounts adjustment of the amount of the penalty;
adjusted under the 2015 Amendments Act).
The 2015 Amendments also amended and (4) the resulting amount of the new
are rounded to the nearest $1. adjusted civil penalty. For example, for
section 6 of the Inflation Adjustment
The 2015 Amendments removed the Act to provide that ‘‘[a]ny increase a civil penalty that was most recently
10 percent cap on the first-time inflation under this Act in a civil monetary established by law at the amount of
adjustment for each penalty, and, as penalty shall apply only to civil $1,000 in the year 1996, applying the
noted above, provided that the initial monetary penalties, including those inflationary adjustment factor of
adjustment following the 2015 whose associated violation predated 1.50245 for that year, the adjusted
Amendments ‘‘shall not exceed 150 such increase, which are assessed after penalty as determined under this rule is
percent of the amount of that civil the date the increase takes effect.’’ $1,502, as rounded to the nearest $1.
monetary penalty on the date of The only departures from this
enactment of’’ the 2015 Amendments. Adjustments Made in This Rule for straightforward calculation are for those
See Public Law 114–74, sec. 701(c) Civil Monetary Penalties civil penalties whose amount was set
(repealing section 31001(s)(2) of the In accordance with the 2015 decades ago and not previously
Improvement Act); id. sec. 701(b)(2)(B) Amendments, the adjustments made by adjusted; in those few cases, the civil
(amending section 5(b) of the Inflation this rule are based on the Bureau of penalty amount is capped at 2.5 times
Adjustment Act). Effectively, this means Labor Statistics’ Consumer Price Index the civil penalty amount currently in
that the adjusted civil penalty under for October 2015. The inflation factors effect, as noted by the footnotes in Table
this rule—which sets forth the initial used in Table A were provided to all A.
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![srobinson on DSK5SPTVN1PROD with RULES
FBI
49 U.S.C. 30505(a) ..................... National Motor Vehicle Title Identifica- ..................................... 1994 1994 1,000 ........... 1.59089 1,000 ........... 1,591
tion System; Violation (per violation).
VerDate Sep<11>2014
Office of Justice Programs
42 U.S.C. 3789g(d) ..................... Confidentiality of information; State and 28 CFR 20.25 ............. 1979 1979 10,000 ......... 3.16274 11,000 ......... 27,500 **
Local Criminal History Record Infor-
mation Systems—Right to Privacy
Violation.
20:00 Jun 29, 2016
** Adjusted penalty capped at 2.5 times the penalty amount in effect on November 2, 2015, the date of enactment of the Federal Civil Penalties Inflation Adjustment Act Improvements Act
of 2015, Public Law 114–74, sec. 701 (‘‘2015 Amendments’’). See id. § 701(b)(2) (amending section 5(b)(2)(C) of the Federal Civil Penalties Inflation Adjustment Act of 1990 (28 U.S.C. 2461
note) to provide that the amount of the first inflation adjustment after the date of enactment of the 2015 Amendments ‘‘shall not exceed 150 percent of the amount of that civil monetary pen-
alty on the date of enactment of the [2015 Amendments].’’).
1 The figures set forth in this column represent the penalty as last adjusted by Department of Justice regulation or statute as of November 2, 2015.
Jkt 238001
2 All figures set forth in this table are maximum penalties, unless otherwise indicated.
3 Section 3729(a)(1) of Title 31 states that any person who violates this section ‘‘is liable to the United States Government for a civil penalty of not less than $5,000 and not more than
$10,000, as adjusted by the Federal Civil Penalties Inflation Adjustment Act of 1990, plus 3 times the amount of damages which the Government sustains because of the act of that person.’’
31 U.S.C. 3729(a)(1) (2012) (citation omitted). Section 3729(a)(2) permits the court to reduce the damages under certain circumstances to ‘‘not less than 2 times the amount of damages
PO 00000
which the Government sustains because of the act of that person.’’ Id. § 3729(a)(2). The adjustment made by this regulation is only applicable to the specific statutory penalty amounts stat-
ed in subsection (a)(1), which is only one component of the civil penalty imposed under section 3729(a)(1).
4 Section 8706(a)(1) of Title 41 states that ‘‘[t]he Federal Government in a civil action may recover from a person—(1) that knowingly engages in conduct prohibited by section 8702 of this
title a civil penalty equal to—(A) twice the amount of each kickback involved in the violation; and (B) not more than $10,000 for each occurrence of prohibited conduct . . . .’’ 41 U.S.C.
8706(a)(1) (2012). The adjustment made by this regulation is only applicable to the specific statutory penalty amount stated in subsection (a)(1)(B), which is only one component of the civil
Frm 00045
penalty imposed under section 8706.
5 Section 216(b) of Title 18 states the civil penalty should be no ‘‘more than $50,000 for each violation or the amount of compensation which the person received or offered for the prohib-
ited conduct, whichever amount is greater.’’ 18 U.S.C. 216(b) (2012). Therefore, the adjustment made by this regulation is only applicable to the specific statutory penalty amount stated in
subsection (b), which is only one aspect of the possible civil penalty imposed under § 216(b).
Fmt 4700
6 Section 2105(b) of Title 41 states, ‘‘(b) Civil penalties.—The Attorney General may bring a civil action in an appropriate district court of the United States against a person that engages in
conduct that violates section 2102, 2103, or 2104 of this title. On proof of that conduct by a preponderance of the evidence—(1) an individual is liable to the Federal Government for a civil
penalty of not more than $50,000 for each violation plus twice the amount of compensation that the individual received or offered for the prohibited conduct; and (2) an organization is liable
to the Federal Government for a civil penalty of not more than $500,000 for each violation plus twice the amount of compensation that the organization received or offered for the prohibited
Sfmt 4700
conduct.’’ 41 U.S.C. 2105(b) (2012). The adjustments made by this regulation are only applicable to the specific statutory penalty amounts stated in subsections (b)(1) and (b)(2), which are
each only one component of the civil penalties imposed under sections 2105(b)(1) and (b)(2).
7 The Attorney General has authority to bring a civil action when a person has violated or is about to violate a provision under this statute. 42 U.S.C. 5157(b) (2012)). The Federal Emer-
gency Management Agency has promulgated regulations regarding this statute and has adjusted the penalty in its regulation. 44 CFR 206.14(d) (2015). The Department of Health and
Human Services (HHS) has also promulgated a regulation regarding the penalty under this statute. 42 CFR 38.8 (2015).
8 Section 1956(b)(1) of Title 18 states that ‘‘[w]hoever conducts or attempts to conduct a transaction described in subsection (a)(1) or (a)(3), or section 1957, or a transportation, trans-
mission, or transfer described in subsection (a)(2), is liable to the United States for a civil penalty of not more than the greater of—(A) the value of the property, funds, or monetary instru-
ments involved in the transaction; or (B) $10,000.’’ 18 U.S.C. 1956(b)(1) (2012). The adjustment made by this regulation is only applicable to the specific statutory penalty amount stated in
subsection (b)(1)(B), which is only one aspect of the possible civil penalty imposed under section 1956(b).
9 Section 842(c)(2)(C) of Title 21 states that ‘‘[i]n addition to the penalties set forth elsewhere in this subchapter or subchapter II of this chapter, any business that violates paragraph (11)
E:\FR\FM\30JNR1.SGM
of subsection (a) of this section shall, with respect to the first such violation, be subject to a civil penalty of not more than $250,000, but shall not be subject to criminal penalties under this
section, and shall, for any succeeding violation, be subject to a civil fine of not more than $250,000 or double the last previously imposed penalty, whichever is greater.’’ 21 U.S.C.
842(c)(2)(C) (2012). The adjustment made by this regulation regarding the penalty for a succeeding violation is only applicable to the specific statutory penalty amount stated in subsection
30JNR1
(c)(2)(C), which is only one aspect of the possible civil penalty for a succeeding violation imposed under section 842(c)(2)(C).
10 Section 856(d)(1) of Title 21 states that ‘‘(1) Any person who violates subsection (a) of this section shall be subject to a civil penalty of not more than the greater of—(A) $250,000; or
(B) 2 times the gross receipts, either known or estimated, that were derived from each violation that is attributable to the person.’’ 21 U.S.C. 856(d)(1) (2012). The adjustment made by this
regulation is only applicable to the specific statutory penalty amount stated in subsection (d)(1)(A), which is only one aspect of the possible civil penalty imposed under section 856(d)(1).
Federal Register / Vol. 81, No. 126 / Thursday, June 30, 2016 / Rules and Regulations
42497](https://thefederalregister.org/doc/81_FR_42617/page/7.svg)
![42500 Federal Register / Vol. 81, No. 126 / Thursday, June 30, 2016 / Rules and Regulations
after November 2, 2015, the applicable penalties assessed after August 1, 2016 provided by law within the jurisdiction
civil penalty amounts are set forth in 28 for each such statement made after of the Department of Justice are adjusted
CFR 85.5. November 2, 2015, if that person makes as set forth in section 85.5, in
* * * * * a written statement that: accordance with the requirements of the
(e) * * * * * * * * Bipartisan Budget Act of 2015, Public
(3) Civil penalties assessed after Law 114–74, section 701 (Nov. 2, 2015),
August 1, 2016. For civil penalties PART 76—RULES OF PROCEDURE 28 U.S.C. 2461 note.
assessed after August 1, 2016, whose FOR ASSESSMENT OF CIVIL
associated violations described in PENALTIES FOR POSSESSION OF § 85.2 [Removed and reserved]
paragraph (e) of this section occurred CERTAIN CONTROLLED ■ 15. Remove and reserve § 85.2.
after November 2, 2015, the applicable SUBSTANCES
civil penalty amounts are set forth in 28 ■ 16. In § 85.3, revise the heading and
CFR 85.5. ■ 11. The authority citation for part 76 the introductory text to read as follows:
* * * * * continues to read as follows:
Authority: 5 U.S.C. 301; 21 U.S.C. 844a, § 85.3 Adjustments to penalties for
PART 71—IMPLEMENTATION OF THE 875, 876; 28 U.S.C. 509, 510; Pub. L. 101– violations occurring on or before
410, 104 Stat. 890, as amended by Pub. L. November 2, 2015.
PROVISIONS OF THE PROGRAM
FRAUD CIVIL REMEDIES ACT OF 1986 104–134, 110 Stat. 1321. For all violations occurring on or
■ 12. In § 76.3 add a new sentence at the before November 2, 2015, and for
■ 9. The authority citation for part 71 end of paragraph (a) to read as follows: assessments made before August 1,
continues to read as follows: 2016, for violations occurring after
Authority: 5 U.S.C. 301; 28 U.S.C. 509, § 76.3 Basis for civil penalty. November 2, 2015, the civil monetary
510; 31 U.S.C. 3801–3812; Pub. L. 101–410, (a) * * * For civil penalties assessed penalties provided by law within the
104 Stat. 890, as amended by Pub. L. 104– after August 1, 2016, whose associated jurisdiction of the respective
134, 110 Stat. 1321. violations occurred after November 2, components of the Department, as set
■ 10. In § 71.3, paragraph (a) 2015, see the civil penalty amount as forth in paragraphs (a) through (d) of
introductory text and paragraph (f) provided in 28 CFR 85.5. this section, are adjusted as provided in
introductory text are revised, to read as * * * * * this section in accordance with the
follows: inflation adjustment procedures
PART 85—CIVIL MONETARY prescribed in section 5 of the Federal
§ 71.3 Basis for civil penalties and PENALTIES INFLATION ADJUSTMENT Civil Penalties Inflation Adjustment Act
assessments.
of 1990, Public Law 101–410, as in
(a) Any person shall be subject, in ■ 13. The authority citation for part 85 effect prior to November 2, 2015. The
addition to any other remedy that may is revised to read as follows: adjusted penalties set forth in
be prescribed by law, to a civil penalty Authority: 5 U.S.C. 301, 28 U.S.C. 503; paragraphs (a), (c), and (d) of this
of not more than $5,000 for each claim Pub. L. 101–410, 104 Stat. 890, as amended section are effective for violations
listed in paragraphs (a)(1) through (a)(4) by Pub. L. 104–134, 110 Stat. 1321; Pub. L. occurring on or after September 29,
of this section made before September 114–74, section 701, 28 U.S.C. 2461 note. 1999, and on or before November 2,
29, 1999, and not more than $5,500 for 14. Revise § 85.1 to read as follows:
■ 2015, and for assessments made before
each such claim made on or after
August 1, 2016, for violations occurring
September 29, 1999, and not more than § 85.1 In general.
after November 2, 2015. For civil
the applicable amount as provided in 28 (a) For violations occurring on or penalties assessed after August 1, 2016,
CFR 85.5 for civil penalties assessed before November 2, 2015, and for civil whose associated violations occurred
after August 1, 2016, for each such penalties assessed before August 1, after November 2, 2015, see the adjusted
claim made after November 2, 2015, if 2016, whose associated violations penalty amounts in section 85.5.
that person makes a claim that the occurred after November 2, 2015, the
person knows or has reason to know: * * * * *
civil monetary penalties provided by
* * * * * law within the jurisdiction of the ■ 17. Add § 85.5 to read as follows:
(f) Any person shall be subject, in Department of Justice and listed in
addition to any other remedy that may section 85.3 are adjusted as set forth in § 85.5 Adjustments to penalties for
be prescribed by law, to a civil penalty that section, in accordance with the violations occurring after November 2,
of not more than $5,000 for each 2015.
requirements of the Federal Civil
statement listed in paragraphs (f)(1) and Penalties Inflation Adjustment Act of For civil penalties assessed after
(f)(2) of this section made before 1990, Public Law 104–410, 104 Stat. August 1, 2016, whose associated
September 29, 1999, and not more than 890, in effect prior to November 2, 2015. violations occurred after November 2,
$5,500 for each such statement made on (b) For civil penalties assessed after 2015, the civil monetary penalties
or after September 29, 1999, and not August 1, 2016, whose associated provided by law within the jurisdiction
more than the applicable amount as violations occurred after November 2, of the Department are adjusted as set
provided in 28 CFR 85.5 for civil 2015, the civil monetary penalties forth in the following table.
DOJ Penalty as New DOJ
U.S.C. Citation Name/Description CFR Citation of 11/2/15 penalty 2
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($) 1
ATF
18 U.S.C. 922(t)(5) ........... Brady Law—Nat’l Instant Criminal Check System; .......................................... 5,000 .................. 8,162
Transfer of firearm without checking NICS.
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![Federal Register / Vol. 81, No. 126 / Thursday, June 30, 2016 / Rules and Regulations 42503
DOJ Penalty as New DOJ
U.S.C. Citation Name/Description CFR Citation of 11/2/15 penalty 2
($) 1
Office of Justice Programs
42 U.S.C. 3789g(d) .......... Confidentiality of information; State and Local Crimi- 28 CFR 20.25 .................. 11,000 ................ 27,500 **
nal History Record Information Systems—Right to
Privacy Violation.
** Adjusted penalty capped at 2.5 times the penalty amount in effect on November 2, 2015, the date of enactment of the Federal Civil Pen-
alties Inflation Adjustment Act Improvements Act of 2015, Public Law 114–74, sec. 701 (‘‘2015 Amendments’’). See id. § 701(b)(2) (amending
section 5(b)(2)(C) of the Federal Civil Penalties Inflation Adjustment Act of 1990 (28 U.S.C. 2461 note) to provide that the amount of the first in-
flation adjustment after the date of enactment of the 2015 Amendments ‘‘shall not exceed 150 percent of the amount of that civil monetary pen-
alty on the date of enactment of the [2015 Amendments].’’).
1 The figures set forth in this column represent the penalty as last adjusted by Department of Justice regulation or statute as of November 2,
2015.
2 All figures set forth in this table are maximum penalties, unless otherwise indicated.
3 Section 3729(a)(1) of Title 31 states that any person who violates this section ‘‘is liable to the United States Government for a civil penalty of
not less than $5,000 and not more than $10,000, as adjusted by the Federal Civil Penalties Inflation Adjustment Act of 1990, plus 3 times the
amount of damages which the Government sustains because of the act of that person.’’ 31 U.S.C. 3729(a)(1) (2012) (citation omitted). Section
3729(a)(2) permits the court to reduce the damages under certain circumstances to ‘‘not less than 2 times the amount of damages which the
Government sustains because of the act of that person.’’ Id. § 3729(a)(2). The adjustment made by this regulation is only applicable to the spe-
cific statutory penalty amounts stated in subsection (a)(1), which is only one component of the civil penalty imposed under section 3729(a)(1).
4 Section 8706(a)(1) of Title 41 states that ‘‘[t]he Federal Government in a civil action may recover from a person—(1) that knowingly engages
in conduct prohibited by section 8702 of this title a civil penalty equal to—(A) twice the amount of each kickback involved in the violation; and (B)
not more than $10,000 for each occurrence of prohibited conduct . . . .’’ 41 U.S.C. 8706(a)(1) (2012). The adjustment made by this regulation is
only applicable to the specific statutory penalty amount stated in subsection (a)(1)(B), which is only one component of the civil penalty imposed
under section 8706.
5 Section 216(b) of Title 18 states the civil penalty should be no ‘‘more than $50,000 for each violation or the amount of compensation which
the person received or offered for the prohibited conduct, whichever amount is greater.’’ 18 U.S.C. 216(b) (2012). Therefore, the adjustment
made by this regulation is only applicable to the specific statutory penalty amount stated in subsection (b), which is only one aspect of the pos-
sible civil penalty imposed under § 216(b).
6 Section 2105(b) of Title 41 states, ‘‘(b) Civil penalties.—The Attorney General may bring a civil action in an appropriate district court of the
United States against a person that engages in conduct that violates section 2102, 2103, or 2104 of this title. On proof of that conduct by a pre-
ponderance of the evidence—(1) an individual is liable to the Federal Government for a civil penalty of not more than $50,000 for each violation
plus twice the amount of compensation that the individual received or offered for the prohibited conduct; and (2) an organization is liable to the
Federal Government for a civil penalty of not more than $500,000 for each violation plus twice the amount of compensation that the organization
received or offered for the prohibited conduct.’’ 41 U.S.C. 2105(b) (2012). The adjustments made by this regulation are only applicable to the
specific statutory penalty amounts stated in subsections (b)(1) and (b)(2), which are each only one component of the civil penalties imposed
under sections 2105(b)(1) and (b)(2).
7 The Attorney General has authority to bring a civil action when a person has violated or is about to violate a provision under this statute. 42
U.S.C. 5157(b) (2012)). The Federal Emergency Management Agency has promulgated regulations regarding this statute and has adjusted the
penalty in its regulation. 44 CFR 206.14(d) (2015). The Department of Health and Human Services (HHS) has also promulgated a regulation re-
garding the penalty under this statute. 42 CFR 38.8 (2015).
8 Section 1956(b)(1) of Title 18 states that ‘‘[w]hoever conducts or attempts to conduct a transaction described in subsection (a)(1) or (a)(3), or
section 1957, or a transportation, transmission, or transfer described in subsection (a)(2), is liable to the United States for a civil penalty of not
more than the greater of—(A) the value of the property, funds, or monetary instruments involved in the transaction; or (B) $10,000.’’ 18 U.S.C.
1956(b)(1) (2012). The adjustment made by this regulation is only applicable to the specific statutory penalty amount stated in subsection
(b)(1)(B), which is only one aspect of the possible civil penalty imposed under section 1956(b).
9 Section 842(c)(2)(C) of Title 21 states that ‘‘[i]n addition to the penalties set forth elsewhere in this subchapter or subchapter II of this chapter,
any business that violates paragraph (11) of subsection (a) of this section shall, with respect to the first such violation, be subject to a civil pen-
alty of not more than $250,000, but shall not be subject to criminal penalties under this section, and shall, for any succeeding violation, be sub-
ject to a civil fine of not more than $250,000 or double the last previously imposed penalty, whichever is greater.’’ 21 U.S.C. 842(c)(2)(C) (2012).
The adjustment made by this regulation regarding the penalty for a succeeding violation is only applicable to the specific statutory penalty
amount stated in subsection (c)(2)(C), which is only one aspect of the possible civil penalty for a succeeding violation imposed under section
842(c)(2)(C).
10 Section 856(d)(1) of Title 21 states that ‘‘(1) Any person who violates subsection (a) of this section shall be subject to a civil penalty of not
more than the greater of—(A) $250,000; or (B) 2 times the gross receipts, either known or estimated, that were derived from each violation that
is attributable to the person.’’ 21 U.S.C. 856(d)(1) (2012). The adjustment made by this regulation is only applicable to the specific statutory pen-
alty amount stated in subsection (d)(1)(A), which is only one aspect of the possible civil penalty imposed under section 856(d)(1).
Dated: June 24, 2016. DEPARTMENT OF THE TREASURY as set by statute, of certain civil
Loretta E. Lynch, monetary penalties within its
Attorney General. Financial Crimes Enforcement Network jurisdiction to account for inflation.
[FR Doc. 2016–15528 Filed 6–29–16; 8:45 am] This action is being taken to implement
31 CFR Part 1010 the requirements of the Federal Civil
BILLING CODE 4410–19–P
RIN 1506–AB33 Penalties Inflation Adjustment Act of
1990, as further amended by the Federal
Civil Monetary Penalty Adjustment and Civil Penalties Inflation Adjustment Act
Table Improvements Act of 2015.
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AGENCY: Financial Crimes Enforcement DATES: Effective Date: August 1, 2016.
Network (‘‘FinCEN’’), Treasury. Comment date: Written comments on
ACTION: Interim final rule. this Interim Final Rulemaking must be
submitted on or before August 1, 2016.
SUMMARY: FinCEN is amending the
regulations under the Bank Secrecy Act ADDRESSES: Comments may be
to adjust the maximum amount or range, submitted, identified by Regulatory
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Document Created: 2018-02-08 07:45:37
Document Modified: 2018-02-08 07:45:37
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
| Publisher | Office of the Federal Register, National Archives and Records Administration | |
| Section | Rules and Regulations | |
| Action | Interim final rule with request for comments. | |
| Dates | Effective date: This rule is effective August 1, 2016. | |
| Contact | Robert Hinchman, Senior Counsel, Office of Legal Policy, U.S. Department of Justice, Room 4252 RFK Building, 950 Pennsylvania Avenue NW., Washington, DC 20530, telephone (202) 514-8059 (not a toll-free number). | |
| FR Citation | 81 FR 42491 | |
| CFR Citation | 28
CFR
20 28 CFR 22 28 CFR 36 28 CFR 68 28 CFR 71 28 CFR 76 28 CFR 85 | |
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