83 FR 1289 - Inflation Adjustment of Civil Monetary Penalties
DEPARTMENT OF ENERGY Federal Register Volume 83, Issue 8 (January 11, 2018)
Federal Register Volume 83, Issue 8 (January 11, 2018)
| Page Range | 1289-1293 | |
| FR Document | 2018-00206 |
[Federal Register Volume 83, Number 8 (Thursday, January 11, 2018)] [Rules and Regulations] [Pages 1289-1293] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2018-00206] ======================================================================== Rules and Regulations Federal Register ________________________________________________________________________ This section of the FEDERAL REGISTER contains regulatory documents having general applicability and legal effect, most of which are keyed to and codified in the Code of Federal Regulations, which is published under 50 titles pursuant to 44 U.S.C. 1510. The Code of Federal Regulations is sold by the Superintendent of Documents. ======================================================================== Federal Register / Vol. 83, No. 8 / Thursday, January 11, 2018 / Rules and Regulations [[Page 1289]] DEPARTMENT OF ENERGY 10 CFR Parts 207, 218, 429, 431, 490, 501, 601, 820, 824, 851, 1013, 1017, and 1050 Inflation Adjustment of Civil Monetary Penalties AGENCY: Office of the General Counsel, U.S. Department of Energy. ACTION: Final rule. ----------------------------------------------------------------------- SUMMARY: The Department of Energy (``DOE'') publishes this final rule to adjust DOE's civil monetary penalties (``CMPs'') for inflation as mandated by the Federal Civil Penalties Inflation Adjustment Act of 1990, as further amended by the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015 (collectively referred to herein as ``the Act''). This rule adjusts CMPs within the jurisdiction of DOE to the maximum amount required by the Act. DATES: This rule is effective January 11, 2018. FOR FURTHER INFORMATION CONTACT: Preeti Chaudhari, U.S. Department of Energy, Office of the General Counsel, GC-33, 1000 Independence Avenue SW, Washington, DC 20585, (202) 586-8078. SUPPLEMENTARY INFORMATION: I. Background II. Method of Calculation III. Summary of the Final Rule IV. Final Rulemaking V. Regulatory Review I. Background In order to improve the effectiveness of CMPs and to maintain their deterrent effect, the Federal Civil Penalties Inflation Adjustment Act of 1990, 28 U.S.C. 2461 note (``the Inflation Adjustment Act''), as further amended by the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015 (Pub. L. 114-74) (``the 2015 Act''), requires Federal agencies to adjust each CMP provided by law within the jurisdiction of the agency. The 2015 Act requires agencies to adjust the level of CMPs with an initial ``catch-up'' adjustment through an interim final rulemaking and to make subsequent annual adjustments for inflation, notwithstanding 5 U.S.C. 553. DOE's initial catch-up adjustment interim final rule was published June 28, 2016 (81 FR 41790) and adopted as final without amendment on December 30, 2016 (81 FR 96349). The 2015 Act also provides that any increase in a CMP shall apply only to CMPs, including those whose associated violation predated such increase, which are assessed after the date the increase takes effect. In accordance with the 2015 Act, the Office of Management and Budget (OMB) must issue annually guidance on adjustments to civil monetary penalties. This final rule to adjust civil monetary penalties for 2018 is issued in accordance with applicable law and OMB's guidance memorandum on implementation of the 2018 annual adjustment.\1\ --------------------------------------------------------------------------- \1\ OMB's annual guidance memorandum was issued on December 15, 2017, providing the 2018 adjustment multiplier and addressing how to apply it. --------------------------------------------------------------------------- II. Method of Calculation The method of calculating CMP adjustments applied in this final rule is required by the 2015 Act. Under the 2015 Act, annual inflation adjustments subsequent to the initial catch-up adjustment are to be based on the percent change between the October Consumer Price Index for all Urban Consumers (CPI-U) preceding the date of the adjustment, and the prior year's October CPI-U. Pursuant to the aforementioned OMB guidance memorandum, the adjustment multiplier for 2018 is 1.02041. In order to complete the 2018 annual adjustment, each CMP is multiplied by the 2018 adjustment multiplier. Under the 2015 Act, any increase in CMP must be rounded to the nearest multiple of $1. III. Summary of the Final Rule The following list summarizes DOE authorities containing CMPs, and the penalties before and after adjustment. ---------------------------------------------------------------------------------------------------------------- DOE authority containing civil monetary penalty Before adjustment After adjustment ---------------------------------------------------------------------------------------------------------------- 10 CFR 207.7............................. $10,1641.................... $10,371. 10 CFR 218.42............................ 22,015...................... 22,464. 10 CFR 429.120........................... 440......................... 449. 10 CFR 431.382........................... 440......................... 449. 10 CFR 490.604........................... 8,523....................... 8,697. 10 CFR 501.181........................... -- 90,063................... -- 91,901 8/mcf...................... 8/mcf. -- 36/bbl................... 37/bbl. 10 CFR 601.400 and App A................. -- minimum 19,246........... -- minimum 19,639. -- maximum 192,459.......... -- maximum 196,387. 10 CFR 820.81............................ 201,106..................... 205,211. 10 CFR 824.1 and App A................... 143,715..................... 146,648. 10 CFR 824.4 and App A................... 143,715..................... 146,648. 10 CFR 851.5 and App B................... 93,332...................... 95,237. 10 CFR 1013.3............................ 10,957...................... 11,181. 10 CFR 1017.29........................... 258,811..................... 264,093. 10 CFR 1050.303.......................... 19,621...................... 20,021. 50 U.S.C. 2731 \2\....................... 8,797....................... 8,977. ---------------------------------------------------------------------------------------------------------------- [[Page 1290]] IV. Final Rulemaking --------------------------------------------------------------------------- \2\ Implemented by 10 CFR 820.81, 10 CFR 851.5, and appendix B to 10 CFR part 851. --------------------------------------------------------------------------- The 2015 Act requires that annual adjustments for inflation subsequent to the initial ``catch-up'' adjustment be made notwithstanding 5 U.S.C. 553. V. Regulatory Review A. Executive Order 12866 This rule has been determined not to be a significant regulatory action under Executive Order 12866, ``Regulatory Planning and Review,'' 58 FR 51735 (October 4, 1993). Accordingly, this action was not subject to review under that Executive Order by the Office of Information and Regulatory Affairs of the Office of Management and Budget. B. National Environmental Policy Act DOE has determined that this final rule is covered under the Categorical Exclusion found in DOE's National Environmental Policy Act regulations at paragraph A5 of appendix A to subpart D, 10 CFR part 1021, which applies to a rulemaking that amends an existing rule or regulation and that does not change the environmental effect of the rule or regulation being amended. Accordingly, neither an environmental assessment nor an environmental impact statement is required. C. Regulatory Flexibility Act The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires preparation of an initial regulatory flexibility analysis for any rule that by law must be proposed for public comment. As discussed above, the 2015 Act requires that annual inflation adjustments subsequent to the initial catch-up adjustment be made notwithstanding 5 U.S.C. 553. Because a notice of proposed rulemaking is not required for this action pursuant to 5 U.S.C. 553, or any other law, no regulatory flexibility analysis has been prepared for this final rule. D. Paperwork Reduction Act This final rule imposes no new information collection requirements subject to the Paperwork Reduction Act. E. Unfunded Mandates Reform Act of 1995 The Unfunded Mandates Reform Act of 1995 (Pub. L. 104-4) generally requires Federal agencies to examine closely the impacts of regulatory actions on State, local, and tribal governments. Section 201 excepts agencies from assessing effects on State, local or tribal governments or the private sector of rules that incorporate requirements specifically set forth in law. Because this rule incorporates requirements specifically set forth in 28 U.S.C. 2461 note, DOE is not required to assess its regulatory effects under section 201. Unfunded Mandates Reform Act sections 202 and 205 do not apply to this action because they apply only to rules for which a general notice of proposed rulemaking is published. Nevertheless, DOE has determined that this regulatory action does not impose a Federal mandate on State, local, or tribal governments or on the public sector. F. Treasury and General Government Appropriations Act, 1999 Section 654 of the Treasury and General Government Appropriations Act, 1999 (Pub. L. 105-277) requires Federal agencies to issue a Family Policymaking Assessment for any proposed rule that may affect family well-being. This rule would not have any impact on the autonomy or integrity of the family as an institution. Accordingly, DOE has concluded that it is not necessary to prepare a Family Policymaking Assessment. G. Executive Order 13132 Executive Order 13132, ``Federalism,'' 64 FR 43255 (August 4, 1999) imposes certain requirements on agencies formulating and implementing policies or regulations that preempt State law or that have federalism implications. Agencies are required to examine the constitutional and statutory authority supporting any action that would limit the policymaking discretion of the States and carefully assess the necessity for such actions. DOE has examined this rule and has determined that it would not preempt State law and would not have a substantial direct effect on the States, on the relationship between the national government and the States, or on the distribution of power and responsibilities among the various levels of government. No further action is required by Executive Order 13132. H. Executive Order 12988 With respect to the review of existing regulations and the promulgation of new regulations, section 3(a) of Executive Order 12988, ``Civil Justice Reform,'' 61 FR 4729 (February 7, 1996), imposes on Executive agencies the general duty to adhere to the following requirements: (1) Eliminate drafting errors and ambiguity; (2) write regulations to minimize litigation; and (3) provide a clear legal standard for affected conduct rather than a general standard and promote simplification and burden reduction. With regard to the review required by section 3(a), section 3(b) of Executive Order 12988 specifically requires that Executive agencies make every reasonable effort to ensure that the regulation: (1) Clearly specifies the preemptive effect, if any; (2) clearly specifies any effect on existing Federal law or regulation; (3) provides a clear legal standard for affected conduct while promoting simplification and burden reduction; (4) specifies the retroactive effect, if any; (5) adequately defines key terms; and (6) addresses other important issues affecting clarity and general draftsmanship under any guidelines issued by the Attorney General. Section 3(c) of Executive Order 12988 requires Executive agencies to review regulations in light of applicable standards in section 3(a) and section 3(b) to determine whether they are met or it is unreasonable to meet one or more of them. DOE has completed the required review and determined that, to the extent permitted by law, this rule meets the relevant standards of Executive Order 12988. I. Treasury and General Government Appropriations Act, 2001 The Treasury and General Government Appropriations Act, 2001 (44 U.S.C. 3516 note) provides for agencies to review most disseminations of information to the public under guidelines established by each agency pursuant to general guidelines issued by OMB. OMB's guidelines were published at 67 FR 8452 (February 22, 2002), and DOE's guidelines were published at 67 FR 62446 (October 7, 2002). DOE has reviewed this rule under the OMB and DOE guidelines and has concluded that it is consistent with applicable policies in those guidelines. J. Executive Order 13211 Executive Order 13211, ``Actions Concerning Regulations That Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355 (May 22, 2001) requires Federal agencies to prepare and submit to OMB, a Statement of Energy Effects for any proposed significant energy action. A ``significant energy action'' is defined as any action by an agency that promulgated or is expected to lead to promulgation of a final rule, and that: (1) Is a significant regulatory action under Executive Order 12866, or any successor order; and (2) is likely to have a significant adverse effect on the supply, distribution, or use of energy, or (3) is designated by the Administrator of OIRA as a significant energy action. For any proposed significant energy action, the agency must give a detailed statement of any adverse effects on [[Page 1291]] energy supply, distribution, or use should the proposal be implemented, and of reasonable alternatives to the action and their expected benefits on energy supply, distribution, and use. This regulatory action would not have a significant adverse effect on the supply, distribution, or use of energy and is therefore not a significant energy action. Accordingly, DOE has not prepared a Statement of Energy Effects. K. Congressional Notification As required by 5 U.S.C. 801, DOE will submit to Congress a report regarding the issuance of this final rule prior to the effective date set forth at the outset of this rulemaking. The report will state that it has been determined that the rule is not a ``major rule'' as defined by 5 U.S.C. 801(2). L. Approval of the Office of the Secretary The Secretary of Energy has approved publication of this final rule. List of Subjects 10 CFR Part 207 Administrative practice and procedure, Energy, Penalties. 10 CFR Part 218 Administrative practice and procedure, Penalties, Petroleum allocation. 10 CFR Part 429 Confidential business information, Energy conservation, Household appliances, Imports, Incorporation by reference, Reporting and recordkeeping requirements. 10 CFR Part 431 Administrative practices and procedure, Confidential business information, Energy conservation, Incorporation by reference, Reporting and recordkeeping requirements. 10 CFR Part 490 Administrative practice and procedure, Energy conservation, Penalties. 10 CFR Part 501 Administrative practice and procedure, Electric power plants, Energy conservation, Natural gas, Petroleum. 10 CFR Part 601 Government contracts, Grant programs, Loan programs, Penalties. 10 CFR Part 820 Administrative practice and procedure, Government contracts, Penalties, Radiation protection. 10 CFR Part 824 Government contracts, Nuclear materials, Penalties, Security measures. 10 CFR Part 851 Civil penalty, Hazardous substances, Occupational safety and health, Safety, Reporting and recordkeeping requirements. 10 CFR Part 1013 Administrative practice and procedure, Claims, Fraud, Penalties. 10 CFR Part 1017 Administrative practice and procedure, Government contracts, National Defense, Nuclear Energy, Penalties, Security measures. 10 CFR Part 1050 Decorations, medals, awards, Foreign relations, Government employees, Government property, Reporting and recordkeeping requirements. Issued in Washington, DC, on January 4, 2018. John T. Lucas, Acting General Counsel. For the reasons set forth in the preamble, DOE amends chapters II, III, and X of title 10 of the Code of Federal Regulations as set forth below. PART 207--COLLECTION OF INFORMATION 0 1. The authority citation for part 207 continues to read as follows: Authority: 15 U.S.C. 787 et seq.; 15 U.S.C. 791 et seq.; E.O. 11790, 39 FR 23185; 28 U.S.C. 2461 note. 0 2. Section 207.7 is amended by revising the first sentence of paragraph (c)(1) to read as follows: Sec. 207.7 Sanctions. * * * * * (c) * * * (1) Any person who violates any provision of this subpart or any order issued pursuant thereto shall be subject to a civil penalty of not more than $10,371 for each violation. * * * * * * * * PART 218--STANDBY MANDATORY INTERNATIONAL OIL ALLOCATION 0 3. The authority citation for part 218 continues to read as follows: Authority: 15 U.S.C. 751 et seq.; 15 U.S.C. 787 et seq.; 42 U.S.C. 6201 et seq.; 42 U.S.C. 7101 et seq.; E.O. 11790, 39 FR 23185; E.O. 12009, 42 FR 46267; 28 U.S.C. 2461 note. 0 4. Section 218.42 is amended by revising paragraph (b)(1) to read as follows: Sec. 218.42 Sanctions. * * * * * (b) * * * (1) Any person who violates any provision of this part 218 or any order issued pursuant thereto shall be subject to a civil penalty of not more than $22,464 for each violation. * * * * * PART 429--CERTIFICATION, COMPLIANCE, AND ENFORCEMENT FOR CONSUMER PRODUCTS AND COMMERCIAL AND INDUSTRIAL EQUIPMENT 0 5. The authority citation for part 429 continues to read as follows: Authority: 42 U.S.C. 6291-6317; 28 U.S.C. 2461 note. 0 6. Section 429.120 is amended by revising the first sentence to read as follows: Sec. 429.120 Maximum civil penalty. Any person who knowingly violates any provision of Sec. 429.102(a) may be subject to assessment of a civil penalty of no more than $449 for each violation. * * * * * PART 431--ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT 0 7. The authority citation for part 431 continues to read as follows: Authority: 42 U.S.C. 6291-6317; 28 U.S.C. 2461 note. 0 8. Section 431.382 is amended by revising paragraph (b) to read as follows: Sec. 431.382 Prohibited acts. * * * * * (b) In accordance with sections 333 and 345 of the Act, any person who knowingly violates any provision of paragraph (a) of this section may be subject to assessment of a civil penalty of no more than $449 for each violation. * * * * * PART 490--ALTERNATIVE FUEL TRANSPORTATION PROGRAM 0 9. The authority citation for part 490 continues to read as follows: Authority: 42 U.S.C. 7191 et seq.; 42 U.S.C. 13201, 13211, 13220, 13251 et seq; 28 U.S.C. 2461 note. 0 10. Section 490.604 is amended by revising paragraph (a) to read as follows: Sec. 490.604 Penalties and Fines. (a) Civil penalties. Whoever violates Sec. 490.603 shall be subject to a civil [[Page 1292]] penalty of not more than $8,697 for each violation. * * * * * PART 501--ADMINISTRATIVE PROCEDURES AND SANCTIONS 0 11. The authority citation for part 501 continues to read as follows: Authority: 42 U.S.C. 7101 et seq.; 42 U.S.C. 8301 et seq.; 42 U.S.C. 8701 et seq.; E.O. 12009, 42 FR 46267; 28 U.S.C. 2461 note. 0 12. Section 501.181 is amended by revising paragraph (c)(1) to read as follows: Sec. 501.181 Sanctions. * * * * * (c) * * * (1) Any person who violates any provisions of the Act (other than section 402) or any rule or order thereunder will be subject to the following civil penalty, which may not exceed $91,901 for each violation: Any person who operates a powerplant or major fuel burning installation under an exemption, during any 12-calendar-month period, in excess of that authorized in such exemption will be assessed a civil penalty of up to $8 for each MCF of natural gas or up to $37 for each barrel of oil used in excess of that authorized in the exemption. * * * * * PART 601--NEW RESTRICTIONS ON LOBBYING 0 13. The authority citation for part 601 continues to read as follows: Authority: 31 U.S.C. 1352; 42 U.S.C. 7254 and 7256; 31 U.S.C. 6301-6308; 28 U.S.C. 2461 note. 0 14. Section 601.400 is amended by revising paragraphs (a), (b) and (e) to read as follows: Sec. 601.400 Penalties. (a) Any person who makes an expenditure prohibited herein shall be subject to a civil penalty of not less than $19,639 and not more than $196,387 for each such expenditure. (b) Any person who fails to file or amend the disclosure form (see appendix B to this part) to be filed or amended if required herein, shall be subject to a civil penalty of not less than $19,639 and not more than $196,387 for each such failure. * * * * * (e) First offenders under paragraph (a) or (b) of this section shall be subject to a civil penalty of $19,639, absent aggravating circumstances. Second and subsequent offenses by persons shall be subject to an appropriate civil penalty between $19,639 and $196,387, as determined by the agency head or his or her designee. * * * * * Appendix A to Part 601 [Amended] 0 15. Appendix A to part 601 is amended by: 0 a. Removing ``$19,246'' wherever it appears and adding in its place ``$19,639''. 0 b. Removing ``$192,459'' wherever it appears and adding in its place ``$196,387''. 0 c. Removing the second instance of the phrase ``Any person who fails to file the required certification'' and adding in its place the phrase ``Any person who fails to file the required statement''. PART 820--PROCEDURAL RULES FOR DOE NUCLEAR ACTIVITIES 0 16. The authority citation for part 820 continues to read as follows: Authority: 42 U.S.C. 2201; 2282(a); 7191; 28 U.S.C. 2461 note; 50 U.S.C. 2410. 0 17. Section 820.81 is amended by revising the first sentence to read as follows: Sec. 820.81 Amount of penalty. Any person subject to a penalty under 42 U.S.C. 2282a shall be subject to a civil penalty in an amount not to exceed $205,211 for each such violation. * * * * * PART 824--PROCEDURAL RULES FOR THE ASSESSMENT OF CIVIL PENALTIES FOR CLASSIFIED INFORMATION SECURITY VIOLATIONS 0 18. The authority citation for part 824 continues to read as follows: Authority: 42 U.S.C. 2201, 2282b, 7101 et seq., 50 U.S.C. 2401 et seq.; 28 U.S.C. 2461 note. 0 19. Section 824.1 is amended by revising the second sentence to read as follows: Sec. 824.1 Purpose and scope. * * * Subsection a. provides that any person who has entered into a contract or agreement with the Department of Energy, or a subcontract or subagreement thereto, and who violates (or whose employee violates) any applicable rule, regulation or order under the Act relating to the security or safeguarding of Restricted Data or other classified information, shall be subject to a civil penalty not to exceed $146,648 for each violation. * * * 0 20. Section 824.4 is amended by revising paragraph (c) to read as follows: Sec. 824.4 Civil penalties. * * * * * (c) The Director may propose imposition of a civil penalty for violation of a requirement of a regulation or rule under paragraph (a) of this section or a compliance order issued under paragraph (b) of this section, not to exceed $146,648 for each violation. * * * * * PART 851--WORKER SAFETY AND HEALTH PROGRAM 0 21. The authority citation for part 851 continues to read as follows: Authority: 42 U.S.C. 2201(i)(3), (p); 42 U.S.C. 2282c; 42 U.S.C. 5801 et seq.; 42 U.S.C. 7101 et seq.; 50 U.S.C. 2401 et seq.; 28 U.S.C. 2461 note. 0 22. Section 851.5 is amended by revising the first sentence of paragraph (a) to read as follows: Sec. 851.5 Enforcement. (a) A contractor that is indemnified under section 170d. of the AEA (or any subcontractor or supplier thereto) and that violates (or whose employee violates) any requirement of this part shall be subject to a civil penalty of up to $95,237 for each such violation. * * * * * * * * 0 23. Appendix B to part 851 is amended by: 0 a. Revising the last sentences of paragraphs (b)(1) and (2) in section VI; and 0 b. Revising paragraph 1.(e)(1) in section IX. The revisions read as follows: Appendix B to Part 851--General Statement of Enforcement Policy * * * * * VI. Severity of Violations * * * * * (b) * * * (1) * * * A Severity Level I violation would be subject to a base civil penalty of up to 100% of the maximum base civil penalty of $95,237. (2) * * * A Severity Level II violation would be subject to a base civil penalty up to 50% of the maximum base civil penalty ($47,618). * * * * * IX. Enforcement Actions * * * * * 1. Notice of Violation * * * * * (e) * * * (1) DOE may assess civil penalties of up to $95,237 per violation per day on contractors (and their subcontractors [[Page 1293]] and suppliers) that are indemnified by the Price-Anderson Act, 42 U.S.C. 2210(d). See 10 CFR 851.5(a). * * * * * PART 1013--PROGRAM FRAUD CIVIL REMEDIES AND PROCEDURES 0 24. The authority citation for part 1013 continues to read as follows: Authority: 31 U.S.C. 3801-3812; 28 U.S.C. 2461 note. 0 25. Section 1013.3 is amended by revising paragraphs (a)(1)(iv) and (b)(1)(ii) to read as follows: Sec. 1013.3 Basis for civil penalties and assessments. (a) * * * (1) * * * (iv) Is for payment for the provision of property or services which the person has not provided as claimed, shall be subject, in addition to any other remedy that may be prescribed by law, to a civil penalty of not more than $11,181 for each such claim. * * * * * (b) * * * (1) * * * (ii) Contains or is accompanied by an express certification or affirmation of the truthfulness and accuracy of the contents of the statement, shall be subject, in addition to any other remedy that may be prescribed by law, to a civil penalty of not more than $11,181 for each such statement. * * * * * PART 1017--IDENTIFICATION AND PROTECTION OF UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION 0 26. The authority citation for part 1017 continues to read as follows: Authority: 42 U.S.C. 7101 et seq.; 50 U.S.C. 2401 et seq.; 42 U.S.C. 2168; 28 U.S.C. 2461 note. 0 27. Section 1017.29 is amended by revising paragraph (c) to read as follows: Sec. 1017.29 Civil penalty. * * * * * (c) Amount of penalty. The Director may propose imposition of a civil penalty for violation of a requirement of a regulation under paragraph (a) of this section or a compliance order issued under paragraph (b) of this section, not to exceed $264,093 for each violation. * * * * * PART 1050--FOREIGN GIFTS AND DECORATIONS 0 28. The authority citation for part 1050 continues to read as follows: Authority: The Constitution of the United States, Article I, Section 9; 5 U.S.C. 7342; 22 U.S.C. 2694; 42 U.S.C. 7254 and 7262; 28 U.S.C. 2461 note. 0 29. Section 1050.303 is amended by revising the last sentence in paragraph (d) to read as follows: Sec. 1050.303 Enforcement. * * * * * (d) * * * The court in which such action is brought may assess a civil penalty against such employee in any amount not to exceed the retail value of the gift improperly solicited or received plus $20,021. [FR Doc. 2018-00206 Filed 1-10-18; 8:45 am] BILLING CODE 6450-01-P
![1292 Federal Register / Vol. 83, No. 8 / Thursday, January 11, 2018 / Rules and Regulations
penalty of not more than $8,697 for each determined by the agency head or his or § 824.4 Civil penalties.
violation. her designee. * * * * *
* * * * * * * * * * (c) The Director may propose
imposition of a civil penalty for
PART 501—ADMINISTRATIVE Appendix A to Part 601 [Amended] violation of a requirement of a
PROCEDURES AND SANCTIONS ■ 15. Appendix A to part 601 is regulation or rule under paragraph (a) of
amended by: this section or a compliance order
■ 11. The authority citation for part 501 issued under paragraph (b) of this
continues to read as follows: ■ a. Removing ‘‘$19,246’’ wherever it
appears and adding in its place section, not to exceed $146,648 for each
Authority: 42 U.S.C. 7101 et seq.; 42 U.S.C. ‘‘$19,639’’. violation.
8301 et seq.; 42 U.S.C. 8701 et seq.; E.O. * * * * *
■ b. Removing ‘‘$192,459’’ wherever it
12009, 42 FR 46267; 28 U.S.C. 2461 note.
appears and adding in its place
■ 12. Section 501.181 is amended by ‘‘$196,387’’. PART 851—WORKER SAFETY AND
revising paragraph (c)(1) to read as ■ c. Removing the second instance of
HEALTH PROGRAM
follows: the phrase ‘‘Any person who fails to file ■ 21. The authority citation for part 851
§ 501.181 Sanctions. the required certification’’ and adding in continues to read as follows:
its place the phrase ‘‘Any person who
* * * * * Authority: 42 U.S.C. 2201(i)(3), (p); 42
fails to file the required statement’’.
(c) * * * (1) Any person who violates U.S.C. 2282c; 42 U.S.C. 5801 et seq.; 42
any provisions of the Act (other than PART 820—PROCEDURAL RULES U.S.C. 7101 et seq.; 50 U.S.C. 2401 et seq.;
section 402) or any rule or order 28 U.S.C. 2461 note.
FOR DOE NUCLEAR ACTIVITIES
thereunder will be subject to the ■ 22. Section 851.5 is amended by
following civil penalty, which may not ■ 16. The authority citation for part 820 revising the first sentence of paragraph
exceed $91,901 for each violation: Any continues to read as follows: (a) to read as follows:
person who operates a powerplant or
Authority: 42 U.S.C. 2201; 2282(a); 7191; § 851.5 Enforcement.
major fuel burning installation under an 28 U.S.C. 2461 note; 50 U.S.C. 2410.
exemption, during any 12-calendar- (a) A contractor that is indemnified
month period, in excess of that ■ 17. Section 820.81 is amended by under section 170d. of the AEA (or any
authorized in such exemption will be revising the first sentence to read as subcontractor or supplier thereto) and
assessed a civil penalty of up to $8 for follows: that violates (or whose employee
each MCF of natural gas or up to $37 for § 820.81 Amount of penalty. violates) any requirement of this part
each barrel of oil used in excess of that shall be subject to a civil penalty of up
authorized in the exemption. Any person subject to a penalty under to $95,237 for each such violation.
42 U.S.C. 2282a shall be subject to a * * *
* * * * *
civil penalty in an amount not to exceed
$205,211 for each such violation. * * * * *
PART 601—NEW RESTRICTIONS ON
■ 23. Appendix B to part 851 is
LOBBYING * * * * *
amended by:
■ 13. The authority citation for part 601 PART 824—PROCEDURAL RULES ■ a. Revising the last sentences of
continues to read as follows: FOR THE ASSESSMENT OF CIVIL paragraphs (b)(1) and (2) in section VI;
PENALTIES FOR CLASSIFIED and
Authority: 31 U.S.C. 1352; 42 U.S.C. 7254
INFORMATION SECURITY ■ b. Revising paragraph 1.(e)(1) in
and 7256; 31 U.S.C. 6301–6308; 28 U.S.C.
2461 note. VIOLATIONS section IX.
The revisions read as follows:
■ 14. Section 601.400 is amended by ■ 18. The authority citation for part 824
revising paragraphs (a), (b) and (e) to Appendix B to Part 851—General
continues to read as follows:
read as follows: Statement of Enforcement Policy
Authority: 42 U.S.C. 2201, 2282b, 7101 et
seq., 50 U.S.C. 2401 et seq.; 28 U.S.C. 2461 * * * * *
§ 601.400 Penalties.
note. VI. Severity of Violations
(a) Any person who makes an
expenditure prohibited herein shall be * * * * *
■ 19. Section 824.1 is amended by
subject to a civil penalty of not less than (b) * * *
revising the second sentence to read as
$19,639 and not more than $196,387 for (1) * * * A Severity Level I violation
follows:
each such expenditure. would be subject to a base civil penalty
(b) Any person who fails to file or § 824.1 Purpose and scope. of up to 100% of the maximum base
amend the disclosure form (see * * * Subsection a. provides that any civil penalty of $95,237.
appendix B to this part) to be filed or person who has entered into a contract (2) * * * A Severity Level II violation
amended if required herein, shall be or agreement with the Department of would be subject to a base civil penalty
subject to a civil penalty of not less than Energy, or a subcontract or up to 50% of the maximum base civil
$19,639 and not more than $196,387 for subagreement thereto, and who violates penalty ($47,618).
each such failure. (or whose employee violates) any * * * * *
* * * * * applicable rule, regulation or order IX. Enforcement Actions
(e) First offenders under paragraph (a) under the Act relating to the security or * * * * *
ethrower on DSK3G9T082PROD with RULES
or (b) of this section shall be subject to safeguarding of Restricted Data or other 1. Notice of Violation
a civil penalty of $19,639, absent classified information, shall be subject * * * * *
aggravating circumstances. Second and to a civil penalty not to exceed $146,648 (e) * * *
subsequent offenses by persons shall be for each violation. * * * (1) DOE may assess civil penalties of
subject to an appropriate civil penalty ■ 20. Section 824.4 is amended by up to $95,237 per violation per day on
between $19,639 and $196,387, as revising paragraph (c) to read as follows: contractors (and their subcontractors
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![Federal Register / Vol. 83, No. 8 / Thursday, January 11, 2018 / Rules and Regulations 1293
and suppliers) that are indemnified by Authority: The Constitution of the United 1996 (1996 Act) and the Federal Civil
the Price-Anderson Act, 42 U.S.C. States, Article I, Section 9; 5 U.S.C. 7342; 22 Penalties Inflation Adjustment Act
2210(d). See 10 CFR 851.5(a). U.S.C. 2694; 42 U.S.C. 7254 and 7262; 28 Improvements Act of 2015 (2015 Act)
U.S.C. 2461 note. (collectively, 1990 Act, as amended),
* * * * *
■ 29. Section 1050.303 is amended by requires all Federal agencies with the
PART 1013—PROGRAM FRAUD CIVIL revising the last sentence in paragraph authority to enforce CMPs to evaluate
REMEDIES AND PROCEDURES (d) to read as follows: and adjust, if necessary, those CMPs
each year to ensure that they continue
■ 24. The authority citation for part § 1050.303 Enforcement. to maintain their deterrent value and
1013 continues to read as follows: * * * * * promote compliance with the law.
Authority: 31 U.S.C. 3801–3812; 28 U.S.C. (d) * * * The court in which such Section 3(2) of the 1990 Act, as
2461 note. action is brought may assess a civil amended, defines a civil monetary
penalty against such employee in any penalty 1 as any penalty, fine, or other
■ 25. Section 1013.3 is amended by
amount not to exceed the retail value of sanction that: (1) Either is for a specific
revising paragraphs (a)(1)(iv) and
the gift improperly solicited or received monetary amount as provided by
(b)(1)(ii) to read as follows:
plus $20,021. Federal law or has a maximum amount
§ 1013.3 Basis for civil penalties and [FR Doc. 2018–00206 Filed 1–10–18; 8:45 am] provided for by Federal law; (2) is
assessments. BILLING CODE 6450–01–P assessed or enforced by an agency
(a) * * * pursuant to Federal law; and (3) is
(1) * * * assessed or enforced pursuant to an
(iv) Is for payment for the provision FARM CREDIT ADMINISTRATION administrative proceeding or a civil
of property or services which the person action in the Federal courts.2
has not provided as claimed, shall be 12 CFR Part 622 The FCA imposes and enforces CMPs
subject, in addition to any other remedy through the Farm Credit Act 3 and the
that may be prescribed by law, to a civil RIN 3052–AD29
Flood Disaster Protection Act of 1973, as
penalty of not more than $11,181 for amended. FCA’s regulations governing
Rules of Practice and Procedure;
each such claim. CMPs are found in 12 CFR parts 622 and
Adjusting Civil Money Penalties for
* * * * * Inflation 623. Part 622 establishes rules of
(b) * * * practice and procedure applicable to
(1) * * * AGENCY: Farm Credit Administration. formal and informal hearings held
(ii) Contains or is accompanied by an ACTION: Final rule. before the FCA, and to formal
express certification or affirmation of investigations conducted under the
the truthfulness and accuracy of the SUMMARY: This regulation implements Farm Credit Act. Part 623 prescribes
contents of the statement, shall be inflation adjustments to civil money rules regarding persons who may
subject, in addition to any other remedy penalties (CMPs) that the Farm Credit practice before the FCA and the
that may be prescribed by law, to a civil Administration (FCA) may impose or circumstances under which such
penalty of not more than $11,181 for enforce pursuant to the Farm Credit Act persons may be suspended or debarred
each such statement. of 1971, as amended (Farm Credit Act), from practice before the FCA.
* * * * * and pursuant to the Flood Disaster
Protection Act of 1973, as amended by B. CMPs Issued Under the Farm Credit
PART 1017—IDENTIFICATION AND the National Flood Insurance Reform Act
PROTECTION OF UNCLASSIFIED Act of 1994 (Reform Act), and further The Farm Credit Act provides that
CONTROLLED NUCLEAR amended by the Biggert-Waters Flood any Farm Credit System (System)
INFORMATION Insurance Reform Act of 2012 (Biggert- institution or any officer, director,
Waters Act). employee, agent, or other person
■ 26. The authority citation for part DATES: Effective date: This regulation is participating in the conduct of the
1017 continues to read as follows: effective on January 15, 2018. affairs of a System institution who
Authority: 42 U.S.C. 7101 et seq.; 50 U.S.C. FOR FURTHER INFORMATION CONTACT: violates the terms of a cease-and-desist
2401 et seq.; 42 U.S.C. 2168; 28 U.S.C. 2461 Michael T. Wilson, Policy Analyst, order that has become final pursuant to
note. Office of Regulatory Policy, (703) 883– section 5.25 or 5.26 of the Farm Credit
■ 27. Section 1017.29 is amended by 4124, TTY (703) 883–4056, wilsonm@ Act must pay up to a maximum daily
revising paragraph (c) to read as follows: fca.gov, or Autumn R. Agans, Attorney- amount of $1,000 4 during which such
Advisor, Office of General Counsel, violation continues. This CMP
§ 1017.29 Civil penalty. maximum was set by the Farm Credit
(703) 883–4082, TTY (703) 883–4056,
* * * * * agansa@fca.gov. Amendments Act of 1985, which
(c) Amount of penalty. The Director amended the Farm Credit Act. Orders
SUPPLEMENTARY INFORMATION:
may propose imposition of a civil
penalty for violation of a requirement of I. Objective 1 Note: While the 1990 Act, as amended by 1996
a regulation under paragraph (a) of this and 2015 Acts, uses the term ‘‘civil monetary
The objective of this regulation is to penalties’’ for these penalties or other sanctions, the
section or a compliance order issued adjust the maximum CMPs for inflation Farm Credit Act and the FCA Regulations use the
under paragraph (b) of this section, not through a final rulemaking to retain the term ‘‘civil money penalties.’’ Both terms have the
to exceed $264,093 for each violation. deterrent effect of such penalties. same meaning. Accordingly, this rule uses the term
ethrower on DSK3G9T082PROD with RULES
civil money penalty, and both terms may be used
* * * * * interchangeably.
II. Background
2 See 28 U.S.C. 2461 note.
PART 1050—FOREIGN GIFTS AND A. Introduction 3 Public Law 92–181, as amended.
DECORATIONS 4 The inflation-adjusted CMP in effect on January
The Federal Civil Penalties Inflation 15, 2017, for a violation of a final order is $2,224
■ 28. The authority citation for part Adjustment Act of 1990, as amended by per day, as set forth in § 622.61(a)(1) of FCA
1050 continues to read as follows: the Debt Collection Improvement Act of regulations.
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Document Created: 2018-01-11 04:54:17
Document Modified: 2018-01-11 04:54:17
| 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 | Final rule. | |
| Dates | This rule is effective January 11, 2018. | |
| Contact | Preeti Chaudhari, U.S. Department of Energy, Office of the General Counsel, GC-33, 1000 Independence Avenue SW, Washington, DC 20585, (202) 586-8078. | |
| FR Citation | 83 FR 1289 | |
| CFR Citation | 10
CFR
1013 10 CFR 1017 10 CFR 1050 10 CFR 207 10 CFR 218 10 CFR 429 10 CFR 431 10 CFR 490 10 CFR 501 10 CFR 601 10 CFR 820 10 CFR 824 10 CFR 851 | |
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