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.

Rules and Regulations Federal Register

2953 

Vol. 86, No. 9 

Thursday, January 14, 2021 

1OMB’s annual guidance memorandum was 

issued on December 23, 2020, providing the 2021 

adjustment multiplier and addressing how to apply 

it. 

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 on January 

14, 2021. 

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, 

preeti.chaudhari@hq.doe.gov. 

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 

required 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 2021 is issued in 

accordance with applicable law and 

OMB’s guidance memorandum on 

implementation of the 2021 annual 

adjustment.1

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 2021 is 1.01182. In order 

to complete the 2021 annual 

adjustment, each CMP is multiplied by 

the 2021 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 ......................................................................................................................... $10,821 .......................... $10,949. 

10 CFR 218.42 ....................................................................................................................... $23,437 .......................... $23,714. 

10 CFR 429.120 ..................................................................................................................... $468 ............................... $474. 

10 CFR 431.382 ..................................................................................................................... $468 ............................... $474. 

10 CFR 490.604 ..................................................................................................................... $9,073 ............................ $9,180. 

10 CFR 501.181 ..................................................................................................................... —$95,881 ......................

—$8/mcf .........................

—$39/bbl ........................

—$97,014. 

—$8/mcf. 

—$39/bbl. 

10 CFR 601.400 and appendix A ........................................................................................... —minimum $20,489 .......

—maximum $204,892 ....

—minimum $20,731. 

—maximum $207,314. 

10 CFR 820.81 ....................................................................................................................... $214,097 ........................ $216,628. 

10 CFR 824.1 and appendix A ............................................................................................... $152,998 ........................ $154,806. 

10 CFR 824.4 and appendix A ............................................................................................... $152,998 ........................ $154,806. 

10 CFR 851.5 and appendix B ............................................................................................... $99,361 .......................... $100,535. 

10 CFR 1013.3 ....................................................................................................................... $11,665 .......................... $11,803. 

10 CFR 1017.29 ..................................................................................................................... $275,529 ........................ $278,786. 

10 CFR 1050.303 ................................................................................................................... $20,888 .......................... $21,135. 

42 U.S.C. 2282(a) 2 ................................................................................................................ $104,330 ........................ $105,563. 

50 U.S.C. 2731 3 ..................................................................................................................... $9,365 ............................ $9,476. 


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2Adjustment applies only to violations of 42 

U.S.C. 2077(b), consistent with Public Law 115–232 

(August 13, 2018). 

3 Implemented by 10 CFR 820.81, 10 CFR 851.5, 

and appendix B to 10 CFR part 851. 

IV. Final Rulemaking 

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 

the Office of Information and Regulatory 


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Affairs (OIRA) as a significant energy 

action. For any proposed significant 

energy action, the agency must give a 

detailed statement of any adverse effects 

on 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. 

Signing Authority 

This document of the Department of 

Energy was signed on January 7, 2021, 

by William S. Cooper III, General 

Counsel, pursuant to delegated 

authority from the Secretary of Energy. 

That document with the original 

signature and date is maintained by 

DOE. For administrative purposes only, 

and in compliance with requirements of 

the Office of the Federal Register, the 

undersigned DOE Federal Register 

Liaison Officer has been authorized to 

sign and submit the document in 

electronic format for publication, as an 

official document of the Department of 

Energy. This administrative process in 

no way alters the legal effect of this 

document upon publication in the 

Federal Register. 

Signed in Washington, DC, on January 7, 

2021. 

Treena V. Garrett, 

Federal Register Liaison Officer, U.S. 

Department of Energy. 

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 

■ 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. 

■ 2. Section 207.7 is amended by 

revising the first sentence of paragraph 

(c)(1) to read as follows: 

§ 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 

$10,949 for each violation. * * * 

* * * * * 

PART 218—STANDBY MANDATORY 

INTERNATIONAL OIL ALLOCATION 

■ 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. 

■ 4. Section 218.42 is amended by 

revising paragraph (b)(1) to read as 

follows: 

§ 218.42 Sanctions. 

* * * * * 

(b) * * * 

(1) Any person who violates any 

provision of this part or any order 

issued pursuant thereto shall be subject 

to a civil penalty of not more than 

$23,714 for each violation. 

* * * * * 

PART 429—CERTIFICATION, 

COMPLIANCE, AND ENFORCEMENT 

FOR CONSUMER PRODUCTS AND 

COMMERCIAL AND INDUSTRIAL 

EQUIPMENT 

■ 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. 

■ 6. Section 429.120 is amended by 

revising the first sentence to read as 

follows: 

§ 429.120 Maximum civil penalty. 

Any person who knowingly violates 

any provision of § 429.102(a) may be 

subject to assessment of a civil penalty 

of no more than $474 for each violation. 

* * * 

PART 431—ENERGY EFFICIENCY 

PROGRAM FOR CERTAIN 

COMMERCIAL AND INDUSTRIAL 

EQUIPMENT 

■ 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. 

■ 8. Section 431.382 is amended by 

revising paragraph (b) to read as follows: 


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§ 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 $474 for each violation. 

* * * * * 

PART 490—ALTERNATIVE FUEL 

TRANSPORTATION PROGRAM 

■ 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. 

■ 10. Section 490.604 is amended by 

revising paragraph (a) to read as follows: 

§ 490.604 Penalties and Fines. 

(a) Civil penalties. Whoever violates 

§ 490.603 shall be subject to a civil 

penalty of not more than $9,180 for each 

violation. 

* * * * * 

PART 501—ADMINISTRATIVE 

PROCEDURES AND SANCTIONS 

■ 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. 

■ 12. Section 501.181 is amended by 

revising paragraph (c)(1) to read as 

follows: 

§ 501.181 Sanctions. 

* * * * * 

(c) * * * 

(1) Any person who violates any 

provisions of the Act (other than section 

402) or any rule in this subchapter or 

order under this subchapter or the Act 

will be subject to the following civil 

penalty, which may not exceed $97,014 

for each violation: Any person who 

operates a powerplant or major fuel 

burning installation under an 

exemption, during any 12-calendarmonth 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 $39 for 

each barrel of oil used in excess of that 

authorized in the exemption. 

* * * * * 

PART 601—NEW RESTRICTIONS ON 

LOBBYING 

■ 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. 

■ 14. Section 601.400 is amended by 

revising paragraphs (a), (b), and (e) to 

read as follows: 

§ 601.400 Penalties. 

(a) Any person who makes an 

expenditure prohibited by this part shall 

be subject to a civil penalty of not less 

than $20,731 and not more than 

$207,314 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 by this part, shall 

be subject to a civil penalty of not less 

than $20,731 and not more than 

$207,314 for each such failure. 

* * * * * 

(e) First offenders under paragraph (a) 

or (b) of this section shall be subject to 

a civil penalty of $20,731, absent 

aggravating circumstances. Second and 

subsequent offenses by persons shall be 

subject to an appropriate civil penalty 

between $20,731 and $207,314, as 

determined by the agency head or his or 

her designee. 

* * * * * 

Appendix A to Part 601 [Amended] 

■ 15. Appendix A to part 601 is 

amended by: 

■ a. Removing ‘‘$20,489’’ wherever it 

appears and adding in its place 

‘‘$20,731’’; and 

■ b. Removing ‘‘$204,892’’ wherever it 

appears and adding in its place 

‘‘$207,314’’. 

PART 820—PROCEDURAL RULES 

FOR DOE NUCLEAR ACTIVITIES 

■ 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. 

■ 17. Section 820.81 is amended by 

revising the first sentence to read as 

follows: 

§ 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 

$216,628 for each such violation. * * * 

PART 824—PROCEDURAL RULES 

FOR THE ASSESSMENT OF CIVIL 

PENALTIES FOR CLASSIFIED 

INFORMATION SECURITY 

VIOLATIONS 

■ 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. 

■ 19. Section 824.1 is amended by 

revising the second sentence to read as 

follows: 

§ 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 $154,806 

for each violation. * * * 

■ 20. Section 824.4 is amended by 

revising paragraph (c) to read as follows: 

§ 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 $154,806 for each 

violation. 

* * * * * 

PART 851—WORKER SAFETY AND 

HEALTH PROGRAM 

■ 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. 

■ 22. Section 851.5 is amended by 

revising the first sentence of paragraph 

(a) to read as follows: 

§ 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 $100,535 for each such violation. 

* * * 

* * * * * 

■ 23. Appendix B to part 851 is 

amended by: 

■ a. Revising the last sentences of 

paragraphs (b)(1) and (2) in section VI; 

and 

■ b. Revising paragraph 1.(e)(1) in 

section IX. 

The revisions read as follows: 

Appendix B to Part 851—General 

Statement of Enforcement Policy 

* * * * * 


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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 $100,535. 

(2) * * * A Severity Level II violation 

would be subject to a base civil penalty up 

to 50% of the maximum base civil penalty 

($50,267). 

* * * * * 

IX. Enforcement Actions 

* * * * * 

Notice of Violation 

* * * * * 

(e) * * * 

(1) DOE may assess civil penalties of up to 

$100,535 per violation per day on contractors 

(and their subcontractors 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 

■ 24. The authority citation for part 

1013 continues to reads as follows: 

Authority: 31 U.S.C. 3801–3812; 28 U.S.C. 

2461 note. 

■ 25. Section 1013.3 is amended by 

revising paragraphs (a)(1)(iv) and 

(b)(1)(ii) to read as follows: 

§ 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 $11,803 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 $11,803 for 

each such statement. 

* * * * * 

PART 1017—IDENTIFICATION AND 

PROTECTION OF UNCLASSIFIED 

CONTROLLED NUCLEAR 

INFORMATION 

■ 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. 

■ 27. Section 1017.29 is amended by 

revising paragraph (c) to read as follows: 

§ 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 $278,786 for each violation. 

* * * * * 

PART 1050—FOREIGN GIFTS AND 

DECORATIONS 

■ 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. 

■ 29. Section 1050.303 is amended by 

revising the last sentence in paragraph 

(d) to read as follows: 

§ 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 $21,135. 

[FR Doc. 2021–00439 Filed 1–13–21; 8:45 am] 

BILLING CODE 6450–01–P 

SMALL BUSINESS ADMINISTRATION 

13 CFR Part 121, 124, 125, 126, and 127 

RIN 3245–AG94 

Consolidation of Mentor-Prote ́ge ́

Programs and Other Government 

Contracting Amendments; Correction 

AGENCY: U.S. Small Business 

Administration. 

ACTION: Correcting amendments. 

SUMMARY: The U.S. Small Business 

Administration (SBA) is correcting 

regulations that published in the 

Federal Register on October 16, 2020. 

The rule merged the 8(a) Business 

Development (BD) Mentor-Prote ́ge ́

Program and the All Small MentorProte ́ge ́ Program to eliminate confusion 

and remove unnecessary duplication of 

functions within SBA. This document is 

making several technical corrections to 

the regulations. 

DATES: Effective January 14, 2021. 

FOR FURTHER INFORMATION CONTACT: 

Mark Hagedorn, U.S. Small Business 

Administration, Office of General 

Counsel, 409 Third Street SW, 

Washington, DC 20416; (202) 205–7625; 

mark.hagedorn@sba.gov. 

SUPPLEMENTARY INFORMATION: In 

response to the President’s directive to 

simplify regulations, on October 16, 

2020, SBA published a final rule 

revising the regulations pertaining to the 

8(a) BD and size programs in order to 

further reduce unnecessary or excessive 

burdens on small businesses and to 

eliminate confusion or more clearly 

delineate SBA’s intent in certain 

regulations. (85 FR 66146). This is the 

second set of corrections. The first set of 

corrections was published in the 

Federal Register on November 16, 2020. 

(85 FR 72916). This document augments 

those corrections. 

First, in amending § 121.404(a) to 

provide clarification as to the time at 

which size is determined for multiple 

award contracts, SBA inadvertently 

deleted the general rule that size is 

determined as of the date of the concern 

submits a written self-certification that 

it is small to the procuring activity as 

part of its initial offer or response which 

includes price. In other words, in 

amending the exception to the general 

rule for multiple award contracts, the 

final rule inadvertently deleted the 

general rule itself. That was not SBA’s 

intent and SBA did not intend to make 

any substantive changes to the general 

rule itself. This rule adds back the 

general rule language to § 121.404(a). 

Second, the final rule eliminated the 

requirement that 8(a) Participants 

seeking to be awarded a competitive 8(a) 

contract as a joint venture submit the 

joint venture agreement to SBA for 

review and approval prior to contract 

award. The preamble to the final rule 

explained that such approval is no 

longer necessary because the size 

protest process has worked well to 

ensure that small business joint venture 

partners control performance on non8(a) contracts with their large business 

mentors and could work similarly to 

monitor a joint venturing activity on 

competitive 8(a) contracts. To this end, 

where another offeror believes that a 

joint venture between a prote ́ge ́ and its 

large business mentor has not complied 

with the applicable control regulations, 

it may protest the size of the joint 

venture. The appropriate Area Office of 

SBA’s Office of Government Contracting 

would then review the joint venture 

agreement to determine whether it 

meets the requirements of SBA’s 

regulations. If that Office determines 

that the applicable regulations were not 

followed, the joint venture would lose 

its exclusion from affiliation, be found 

to be other than small, and, thus, 


khammond on DSKJM1Z7X2PROD with RULES