1764 Federal Register / Vol. 86, No. 6 / Monday, January 11, 2021 / Rules and Regulations 

in question within the regulatory 

averaging set. 

Issued in Washington, DC, on November 

10, 2020. 

Elaine L. Chao, 

Secretary of Transportation. 

[FR Doc. 2020–25236 Filed 1–8–21; 8:45 am] 

BILLING CODE P 

DEPARTMENT OF COMMERCE 

Office of the Secretary 

15 CFR Part 6 

[Docket No. 201209–0333] 

RIN 0605–AA58 

Civil Monetary Penalty Adjustments for 

Inflation 

AGENCY: Office of the Chief Financial 

Officer and Assistant Secretary for 

Administration, Department of 

Commerce. 

ACTION: Final rule. 

SUMMARY: This final rule is being issued 

to adjust for inflation each civil 

monetary penalty (CMP) provided by 

law within the jurisdiction of the United 

States Department of Commerce 

(Department of Commerce). The 

Department of Commerce’s 2021 

adjustments for inflation to CMPs apply 

only to CMPs with a dollar amount, and 

will not apply to CMPs written as 

functions of violations. The Department 

of Commerce’s 2021 adjustments for 

inflation to CMPs apply only to those 

CMPs, including those whose associated 

violation predated such adjustment, 

which are assessed by the Department of 

Commerce after the effective date of the 

new CMP level. 

DATES: This rule is effective January 15, 

2021. 

FOR FURTHER INFORMATION CONTACT: 

Stephen M. Kunze, Deputy Chief 

Financial Officer and Director for 

Financial Management, Office of 

Financial Management, at (202) 482– 

1207, Department of Commerce, 1401 

Constitution Avenue NW, Room D200, 

Washington, DC 20230. The Department 

of Commerce’s Civil Monetary Penalty 

Adjustments for Inflation are available 

for downloading from the Department of 

Commerce, Office of Financial 

Management’s website at the following 

address: http://www.osec.doc.gov/ofm/ 

OFM_Publications.html. 

SUPPLEMENTARY INFORMATION: 

Background 

The Federal Civil Penalties Inflation 

Adjustment Act of 1990 (Pub. L. 101– 

410; 28 U.S.C. 2461), as amended by the 

Debt Collection Improvement Act of 

1996 (Pub. L. 104–134), provided for 

agencies’ adjustments for inflation to 

CMPs to ensure that CMPs continue to 

maintain their deterrent value and that 

CMPs due to the Federal Government 

were properly accounted for and 

collected. 

A CMP is defined as any penalty, fine, 

or other sanction that: 

1. Is for a specific monetary amount 

as provided by Federal law, or has a 

maximum amount provided for by 

Federal law; and, 

2. Is assessed or enforced by an 

agency pursuant to Federal law; and, 

3. Is assessed or enforced pursuant to 

an administrative proceeding or a civil 

action in the Federal courts. 

On November 2, 2015, the Federal 

Civil Penalties Inflation Adjustment Act 

Improvements Act of 2015 (Section 701 

of Pub. L. 114–74) further amended the 

Federal Civil Penalties Inflation 

Adjustment Act of 1990 to improve the 

effectiveness of CMPs and to maintain 

their deterrent effect. This amendment 

(1) required agencies to adjust the CMP 

levels in effect as of November 2, 2015, 

with initial catch up adjustments for 

inflation through a final rulemaking to 

take effect no later than August 1, 2016; 

and (2) requires agencies to make 

subsequent annual adjustments for 

inflation to CMPs that shall take effect 

not later than January 15. The 

Department of Commerce’s 2020 

adjustments for inflation to CMPs were 

published in the Federal Register on 

January 3, 2020, and the new CMP 

levels became effective January 15, 

2020. 

The Department of Commerce’s 2021 

adjustments for inflation to CMPs apply 

only to CMPs with a dollar amount, and 

will not apply to CMPs written as 

functions of violations. These 2021 

adjustments for inflation apply only to 

those CMPs, including those whose 

associated violation predated such 

adjustment, which are assessed by the 

Department of Commerce after the 

effective date of the new CMP level. 

This regulation adjusts for inflation 

CMPs that are provided by law within 

the jurisdiction of the Department of 

Commerce. The actual CMP assessed for 

a particular violation is dependent upon 

a variety of factors. For example, the 

National Oceanic and Atmospheric 

Administration’s (NOAA) Policy for the 

Assessment of Civil Administrative 

Penalties and Permit Sanctions (Penalty 

Policy), a compilation of NOAA internal 

guidelines that are used when assessing 

CMPs for violations for most of the 

statutes NOAA enforces, will be 

interpreted in a manner consistent with 

this regulation to maintain the deterrent 

effect of the CMPs. The CMP ranges in 

the Penalty Policy are intended to aid 

enforcement attorneys in determining 

the appropriate CMP to assess for a 

particular violation. The Penalty Policy 

is maintained and made available to the 

public on NOAA’s Office of the General 

Counsel, Enforcement Section website 

at: http://www.gc.noaa.gov/enforceoffice.html. 

The Department of Commerce’s 2021 

adjustments for inflation to CMPs set 

forth in this regulation were determined 

pursuant to the methodology prescribed 

by the Federal Civil Penalties Inflation 

Adjustment Act Improvements Act of 

2015, which requires the maximum 

CMP, or the minimum and maximum 

CMP, as applicable, to be increased by 

the cost-of-living adjustment. The term 

‘‘cost-of-living adjustment’’ is defined 

by the Federal Civil Penalties Inflation 

Adjustment Act Improvements Act of 

2015. For the 2021 adjustments for 

inflation to CMPs, the cost-of-living 

adjustment is the percentage for each 

CMP by which the Consumer Price 

Index for the month of October 2020 

exceeds the Consumer Price Index for 

the month of October 2019. 

Classification 

Pursuant to 5 U.S.C. 553(b)(3)(B), 

there is good cause to issue this rule 

without prior public notice or 

opportunity for public comment 

because it would be impracticable and 

unnecessary. The Federal Civil Penalties 

Inflation Adjustment Act Improvements 

Act of 2015 (Section 701(b)) requires 

agencies to make annual adjustments for 

inflation to CMPs notwithstanding 

section 553 of title 5, United States 

Code. Additionally, the methodology 

used for adjusting CMPs for inflation is 

given by statute, with no discretion 

provided to agencies regarding the 

substance of the adjustments for 

inflation to CMPs. The Department of 

Commerce is charged only with 

performing ministerial computations to 

determine the dollar amounts of 

adjustments for inflation to CMPs. 

Accordingly, prior public notice and an 

opportunity for public comment are not 

required for this rule. For the same 

reasons, there is good cause under 5 

U.S.C. 553(d)(3) to waive the 30-day 

delay in effective date. 

Paperwork Reduction Act 

The provisions of the Paperwork 

Reduction Act of 1995, Public Law 104– 

13, 44 U.S.C. Chapter 35, and its 

implementing regulations, 5 CFR part 

1320, do not apply to this rule because 

there are no new or revised 


jbell on DSKJLSW7X2PROD with RULES
Federal Register / Vol. 86, No. 6 / Monday, January 11, 2021 / Rules and Regulations 1765 

1This National Oceanic and Atmospheric 

Administration maximum civil monetary penalty, 

as prescribed by law, is the maximum civil penalty 

per 16 U.S.C. 1858(a), Magnuson-Stevens Fishery 

Conservation and Management Act civil monetary 

penalty (paragraph (f)(15) of this section). 

2See footnote 1. 

recordkeeping or reporting 

requirements. 

Regulatory Analysis 

E.O. 12866, Regulatory Review 

This rule is not a significant 

regulatory action as that term is defined 

in Executive Order 12866. 

Regulatory Flexibility Act 

Because notice of proposed 

rulemaking and opportunity for 

comment are not required pursuant to 5 

U.S.C. 553, or any other law, the 

analytical requirements of the 

Regulatory Flexibility Act (5 U.S.C. 601, 

et seq.) are inapplicable. Therefore, a 

regulatory flexibility analysis is not 

required and has not been prepared. 

List of Subjects in 15 CFR Part 6 

Civil monetary penalties, Law 

enforcement. 

Dated: December 28, 2020. 

Stephen M. Kunze, 

Deputy Chief Financial Officer and Director 

for Financial Management, Department of 

Commerce. 

Authority and Issuance 

■ For the reasons stated in the preamble, 

the Department of Commerce revises 15 

CFR part 6 to read as follows: 

PART 6—CIVIL MONETARY PENALTY 

ADJUSTMENTS FOR INFLATION 

Sec. 

6.1 Definitions. 

6.2 Purpose and scope. 

6.3 Adjustments for inflation to civil 

monetary penalties. 

6.4 Effective date of adjustments for 

inflation to civil monetary penalties. 

6.5 Subsequent annual adjustments for 

inflation to civil monetary penalties. 

Authority: Pub. L. 101–410, 104 Stat. 890 

(28 U.S.C. 2461 note); Pub. L. 104–134, 110 

Stat. 1321 (31 U.S.C. 3701 note); Sec. 701 of 

Pub. L. 114–74, 129 Stat. 599 (28 U.S.C. 1 

note; 28 U.S.C. 2461 note). 

§ 6.1 Definitions. 

(a) The Department of Commerce 

means the United States Department of 

Commerce. 

(b) Civil monetary penalty means any 

penalty, fine, or other sanction that: 

(1) Is for a specific monetary amount 

as provided by Federal law, or has a 

maximum amount provided for by 

Federal law; and 

(2) Is assessed or enforced by an 

agency pursuant to Federal law; and 

(3) Is assessed or enforced pursuant to 

an administrative proceeding or a civil 

action in the Federal courts. 

§ 6.2 Purpose and scope. 

The purpose of this part is to make 

adjustments for inflation to civil 

monetary penalties, as required by the 

Federal Civil Penalties Inflation 

Adjustment Act of 1990 (Pub. L. 101– 

410; 28 U.S.C. 2461), as amended by the 

Debt Collection Improvement Act of 

1996 (Pub. L. 104–134) and the Federal 

Civil Penalties Inflation Adjustment Act 

Improvements Act of 2015 (Section 701 

of Pub. L. 114–74), of each civil 

monetary penalty provided by law 

within the jurisdiction of the United 

States Department of Commerce 

(Department of Commerce). 

§ 6.3 Adjustments for inflation to civil 

monetary penalties. 

The civil monetary penalties provided 

by law within the jurisdiction of the 

Department of Commerce, as set forth in 

paragraphs (a) through (f) of this section, 

are hereby adjusted for inflation in 2020 

in accordance with the Federal Civil 

Penalties Inflation Adjustment Act of 

1990, as amended, from the amounts of 

such civil monetary penalties that were 

in effect as of January 15, 2020, to the 

amounts of such civil monetary 

penalties, as thus adjusted. The year 

stated in parenthesis represents the year 

that the civil monetary penalty was last 

set by law or adjusted by law (excluding 

adjustments for inflation). 

(a) United States Department of 

Commerce. (1) 31 U.S.C. 3802(a)(1), 

Program Fraud Civil Remedies Act of 

1986 (1986), violation, maximum from 

$11,665 to $11,803. 

(2) 31 U.S.C. 3802(a)(2), Program 

Fraud Civil Remedies Act of 1986 

(1986), violation, maximum from 

$11,665 to $11,803. 

(3) 31 U.S.C. 3729(a)(1)(G), False 

Claims Act (1986); violation, minimum 

from $11,665 to $11,803; maximum 

from $23,331 to $23,607. 

(b) Bureau of Economic Analysis. 22 

U.S.C. 3105(a), International Investment 

and Trade in Services Act (1990); failure 

to furnish information, minimum from 

$4,819 to $4,876; maximum from 

$48,192 to $48,762. 

(c) Bureau of Industry and Security. 

(1) 15 U.S.C. 5408(b)(1), Fastener 

Quality Act (1990), violation, maximum 

from $48,192 to $48,762. 

(2) 22 U.S.C. 6761(a)(1)(A), Chemical 

Weapons Convention Implementation 

Act (1998), violation, maximum from 

$39,229 to $39,693. 

(3) 22 U.S.C. 6761(a)(l)(B), Chemical 

Weapons Convention Implementation 

Act (1998), violation, maximum from 

$7,846 to $7,939. 

(4) 50 U.S.C. 1705(b), International 

Emergency Economic Powers Act 

(2007), violation, maximum from 

$307,922 to $311,562. 

(5) 22 U.S.C. 8142(a), United States 

Additional Protocol Implementation Act 

(2006), violation, maximum from 

$31,881 to $32,258. 

(6) 50 U.S.C. 4819, Export Control 

Reform Act of 2018 (2018), violation, 

maximum from $305,292 to $308,901. 

(d) Census Bureau. (1) 13 U.S.C. 304, 

Collection of Foreign Trade Statistics 

(2002), each day’s delinquency of a 

violation; total of not to exceed 

maximum per violation, from $1,419 to 

$1,436; maximum per violation, from 

$14,194 to $14,362. 

(2) 13 U.S.C. 305(b), Collection of 

Foreign Trade Statistics (2002), 

violation, maximum from $14,194 to 

$14,362. 

(e) International Trade 

Administration. (1) 19 U.S.C. 81s, 

Foreign Trade Zone (1934), violation, 

maximum from $2,976 to $3,011. 

(2) 19 U.S.C. 1677f(f)(4), U.S.-Canada 

Free Trade Agreement Protective Order 

(1988), violation, maximum from 

$214,097 to $216,628. 

(f) National Oceanic and Atmospheric 

Administration. (1) 51 U.S.C. 60123(a), 

Land Remote Sensing Policy Act of 2010 

(2010), violation, maximum from 

$11,766 to $11,905. 

(2) 51 U.S.C. 60148(c), Land Remote 

Sensing Policy Act of 2010 (2010), 

violation, maximum from $11,766 to 

$11,905. 

(3) 16 U.S.C. 773f(a), Northern Pacific 

Halibut Act of 1982 (2007), violation, 

maximum from $246,339 to $249,251. 

(4) 16 U.S.C. 783, Sponge Act (1914), 

violation, maximum from $1,759 to 

$1,780. 

(5) 16 U.S.C. 957(d), (e), and (f), Tuna 

Conventions Act of 1950 (1962): 

(i) Violation of 16 U.S.C. 957(a), 

maximum from $87,913 to $88,952. 

(ii) Subsequent violation of 16 U.S.C. 

957(a), maximum from $189,352 to 

$191,590. 

(iii) Violation of 16 U.S.C. 957(b), 

maximum from $2,976 to $3,011. 

(iv) Subsequent violation of 16 U.S.C. 

957(b), maximum from $17,583 to 

$17,791. 

(v) Violation of 16 U.S.C. 957(c), 

maximum from $378,706 to $383,182. 

(6) 16 U.S.C. 957(i), Tuna 

Conventions Act of 1950,1 violation, 

maximum from $192,768 to $195,047. 

(7) 16 U.S.C. 959, Tuna Conventions 

Act of 1950,2 violation, maximum from 

$192,768 to $195,047. 


jbell on DSKJLSW7X2PROD with RULES
1766 Federal Register / Vol. 86, No. 6 / Monday, January 11, 2021 / Rules and Regulations 

3See footnote 1. 

4See footnote 1. 

5See footnote 1. 

6See footnote 1. 

7See footnote 1. 

8See footnote 1. 

9See footnote 1. 

10See footnote 1. 

11See footnote 1. 

12See footnote 1. 

13See footnote 1. 

14See footnote 1. 

15See footnote 1. 

16See footnote 1. 

17See footnote 1. 

18See footnote 1. 

19See footnote 1. 

(8) 16 U.S.C. 971f(a), Atlantic Tunas 

Convention Act of 1975,3 violation, 

maximum from $192,768 to $195,047. 

(9) 16 U.S.C. 973f(a), South Pacific 

Tuna Act of 1988 (1988), violation, 

maximum from $535,243 to $541,570. 

(10) 16 U.S.C. 1174(b), Fur Seal Act 

Amendments of 1983 (1983), violation, 

maximum from $25,479 to $25,780. 

(11) 16 U.S.C. 1375(a)(1), Marine 

Mammal Protection Act of 1972 (1972), 

violation, maximum from $29,755 to 

$30,107. 

(12) 16 U.S.C. 1385(e), Dolphin 

Protection Consumer Information Act,4

violation, maximum from $192,768 to 

$195,047. 

(13) 16 U.S.C. 1437(d)(1), National 

Marine Sanctuaries Act (1992), 

violation, maximum from $181,484 to 

$183,629. 

(14) 16 U.S.C. 1540(a)(1), Endangered 

Species Act of 1973: 

(i) Violation as specified (1988), 

maximum from $53,524 to $54,157. 

(ii) Violation as specified (1988), 

maximum from $25,691 to $25,995. 

(iii) Otherwise violation (1978), 

maximum from $1,759 to $1,780. 

(15) 16 U.S.C. 1858(a), MagnusonStevens Fishery Conservation and 

Management Act (1990), violation, 

maximum from $192,768 to $195,047. 

(16) 16 U.S.C. 2437(a), Antarctic 

Marine Living Resources Convention 

Act of 1984,5 violation, maximum from 

$192,768 to $195,047. 

(17) 16 U.S.C. 2465(a), Antarctic 

Protection Act of 1990,6 violation, 

maximum from $192,768 to $195,047. 

(18) 16 U.S.C. 3373(a), Lacey Act 

Amendments of 1981 (1981): 

(i) 16 U.S.C. 3373(a)(1), violation, 

maximum from $27,553 to $27,879. 

(ii) 16 U.S.C. 3373(a)(2), violation, 

maximum from $689 to $697. 

(19) 16 U.S.C. 3606(b)(1), Atlantic 

Salmon Convention Act of 1982,7

violation, maximum from $192,768 to 

$194,047. 

(20) 16 U.S.C. 3637(b), Pacific Salmon 

Treaty Act of 1985,8 violation, 

maximum from $192,768 to $195,047. 

(21) 16 U.S.C. 4016(b)(1)(B), Fish and 

Seafood Promotion Act of 1986 (1986); 

violation, minimum from $1,166 to 

$1,180; maximum from $11,665 to 

$11,803. 

(22) 16 U.S.C. 5010, North Pacific 

Anadromous Stocks Act of 1992,9

violation, maximum from $192,768 to 

$195,047. 

(23) 16 U.S.C. 5103(b)(2), Atlantic 

Coastal Fisheries Cooperative 

Management Act,10 violation, maximum 

from $192,768 to $195,047. 

(24) 16 U.S.C. 5154(c)(1), Atlantic 

Striped Bass Conservation Act,11

violation, maximum from $192,768 to 

$195,047. 

(25) 16 U.S.C. 5507(a), High Seas 

Fishing Compliance Act of 1995 (1995), 

violation, maximum from $167,433 to 

$169,412. 

(26) 16 U.S.C. 5606(b), Northwest 

Atlantic Fisheries Convention Act of 

1995,12 violation, maximum from 

$192,768 to $195,047. 

(27) 16 U.S.C. 6905(c), Western and 

Central Pacific Fisheries Convention 

Implementation Act,13 violation, 

maximum from $192,768 to $195,047. 

(28) 16 U.S.C. 7009(c) and (d), Pacific 

Whiting Act of 2006,14 violation, 

maximum from $192,768 to $195,047. 

(29) 22 U.S.C. 1978(e), Fishermen’s 

Protective Act of 1967 (1971): 

(i) Violation, maximum from $29,755 

to $30,107. 

(ii) Subsequent violation, maximum 

from $87,913 to $88,952. 

(30) 30 U.S.C. 1462(a), Deep Seabed 

Hard Mineral Resources Act (1980), 

violation, maximum, from $75,867 to 

$76,764. 

(31) 42 U.S.C. 9152(c), Ocean Thermal 

Energy Conversion Act of 1980 (1980), 

violation, maximum from $75,867 to 

$76,764. 

(32) 16 U.S.C. 1827a, Billfish 

Conservation Act of 2012,15 violation, 

maximum from $192,768 to $195,047. 

(33) 16 U.S.C. 7407(b), Port State 

Measures Agreement Act of 2015,16

violation, maximum from $192,768 to 

$195,047. 

(34) 16 U.S.C. 1826g(f), High Seas 

Driftnet Fishing Moratorium Protection 

Act,17 violation, maximum from 

$192,768 to $195,047. 

(35) 16 U.S.C. 7705, Ensuring Access 

to Pacific Fisheries Act,18 violation, 

maximum from $192,768 to $195,047. 

(36) 16 U.S.C. 7805, Ensuring Access 

to Pacific Fisheries Act,19 violation, 

maximum from $192,768 to $195,047. 

(g) National Technical Information 

Service. 42 U.S.C. 1306c(c), Bipartisan 

Budget Act of 2013 (2013), violation, 

minimum from $1,000 to $1,012; 

maximum total penalty on any person 

for any calendar year, excluding willful 

or intentional violations from $250,000 

to $252,955. 

§ 6.4 Effective date of adjustments for 

inflation to civil monetary penalties. 

The Department of Commerce’s 2021 

adjustments for inflation made by § 6.3, 

of the civil monetary penalties there 

specified, are effective on January 15, 

2021, and said civil monetary penalties, 

as thus adjusted by the adjustments for 

inflation made by § 6.3, apply only to 

those civil monetary penalties, 

including those whose associated 

violation predated such adjustment, 

which are assessed by the Department of 

Commerce after the effective date of the 

new civil monetary penalty level, and 

before the effective date of any future 

adjustments for inflation to civil 

monetary penalties thereto made 

subsequent to January 15, 2021 as 

provided in § 6.5. 

§ 6.5 Subsequent annual adjustments for 

inflation to civil monetary penalties. 

The Secretary of Commerce or his or 

her designee by regulation shall make 

subsequent adjustments for inflation to 

the Department of Commerce’s civil 

monetary penalties annually, which 

shall take effect not later than January 

15, notwithstanding section 553 of title 

5, United States Code. 

[FR Doc. 2020–29024 Filed 1–8–21; 8:45 am] 

BILLING CODE 3510–DP–P 

DEPARTMENT OF COMMERCE 

Bureau of Industry and Security 

15 CFR Part 744 

[Docket No. 201214–0340] 

RIN 0694–AI39 

Revisions to the Unverified List (UVL) 

AGENCY: Bureau of Industry and 

Security, Commerce. 

ACTION: Final rule. 

SUMMARY: The Bureau of Industry and 

Security (BIS) is amending the Export 

Administration Regulations (EAR) by 

removing three (3) persons from the 

Unverified List (UVL). The three 

persons are removed from the UVL on 

the basis that BIS was able to verify 

their bona fides (i.e., legitimacy and 

reliability relating to the end use and 

end user of items subject to the EAR) 

through successful end-use checks. 

DATES: This rule is effective January 11, 

2021. 


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