7804 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Rules and Regulations 

PART 143—COLLECTION OF CLAIMS 

OWED THE UNITED STATES ARISING 

FROM ACTIVITIES UNDER THE 

COMMISSION’S JURISDICTION 

■ 1. The authority citation for part 143 

continues to read as follows: 

Authority: 7 U.S.C. 9, 15, 9a, 12a(5), 13a, 

13a–1(d), 13(a), 13b; 31 U.S.C. 3701–3720E; 

28 U.S.C. 2461 note. 

■ 2. Revise § 143.8(b) to read as follows: 

§ 143.8 Inflation-adjusted civil monetary 

penalties. 

* * * * * 

(b) 2021 Inflation adjustment. The 

maximum amount of each civil 

monetary penalty in the following 

charts applies to penalties assessed after 

January 15, 2021: 

(1) For non-manipulation or 

attempted manipulation violations: 

TABLE 1 TO PARAGRAPH (b)(1) 

U.S. Code citation Civil monetary penalty description 

Date of violation and corresponding penalty 

10/23/2004 

through 

10/22/2008 

10/23/2008 

through 

10/22/2012 

10/23/2012 

through 

11/01/2015 

11/02/2015 

to 

present 

Civil Monetary Penalty Imposed By The Commission In An Administrative Action 

7 U.S.C. 9 (Section 6(c) of the Commodity Exchange Act).For any person other than a registered entity 1.$130,000 $130,000 $140,000 $170,129 

7 U.S.C. 13a (Section 6b of the 

Commodity Exchange Act).

For a registered entity 1 or any of its 

directors, officers or employees.

625,000 675,000 700,000 937,161 

Civil Monetary Penalty Imposed By A Federal District Court In A Civil Injunctive Action 

7 U.S.C. 13a–1 (Section 6c of the 

Commodity Exchange Act).

Any Person ....................................... 130,000 140,000 140,000 187,432 

1The term ‘‘Registered Entity’’ is defined in 7 U.S.C. 1a (Section 1a of the Commodity Exchange Act). 

(2) For manipulation or attempted 

manipulation violations: 

TABLE 2 TO PARAGRAPH (b)(2) 

U.S. Code citation Civil monetary penalty description 

Date of violation and corresponding penalty 

10/23/2004 

through 

05/21/2008 

05/22/2008 

through 

08/14/2011 

08/15/2011 

through 

11/01/2015 

11/02/2015 

to 

present 

Civil Monetary Penalty Imposed By The Commission In An Administrative Action 

7 U.S.C. 9 (Section 6(c) of the Commodity Exchange Act).For any person other than a registered entity 1.$130,000 $1,000,000 $1,025,000 $1,227,202 

7 U.S.C. 13a (Section 6b of the 

Commodity Exchange Act).

For a registered entity 1 or any of its 

directors, officers or employees.

625,000 1,000,000 1,025,000 1,227,202 

Civil Monetary Penalty Imposed By A Federal District Court In A Civil Injunctive Action 

7 U.S.C. 13a–1 (Section 6c of the 

Commodity Exchange Act).

Any Person ....................................... 130,000 1,000,000 1,025,000 1,227,202 

1The term ‘‘Registered Entity’’ is defined in 7 U.S.C. 1a (Section 1a of the Commodity Exchange Act). 

Issued in Washington, DC, on January 12, 

2021, by the Commission. 

Robert Sidman, 

Deputy Secretary of the Commission, 

Commodity Futures Trading Commission. 

Note: The following appendix will not 

appear in the Code of Federal 

Regulations. 

Appendix to Adjustment of Civil 

Monetary Penalties for Inflation— 

2021—Commission Voting Summary 

On this matter, Chairman Tarbert and 

Commissioners Quintenz, Behnam, Stump, 

and Berkovitz voted in the affirmative. No 

Commissioner voted in the negative. 

[FR Doc. 2021–00897 Filed 2–1–21; 8:45 am] 

BILLING CODE 6351–01–P 

DEPARTMENT OF STATE 

22 CFR Parts 35, 103, 127, and 138 

[Public Notice 11298] 

RIN 1400–AF16 

Department of State 2021 Civil 

Monetary Penalties Inflationary 

Adjustment 

AGENCY: Department of State. 

ACTION: Final rule. 

SUMMARY: This final rule is issued to 

adjust the civil monetary penalties 

(CMP) for regulatory provisions 

maintained and enforced by the 

Department of State. The revised CMP 

adjusts the amount of civil monetary 

penalties assessed by the Department of 

State based on the December 2020 

guidance from the Office of 

Management and Budget. The new 

amounts will apply only to those 

penalties assessed on or after the 

effective date of this rule, regardless of 

the date on which the underlying facts 

or violations occurred. 


jbell on DSKJLSW7X2PROD with RULES
Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Rules and Regulations 7805 

1 81 FR 36771 (Jun. 8, 2016). 

2 82 FR 3168 (Jan. 11, 2017). 

3 83 FR 234 (Jan. 3, 2018). 

4 84 FR 9957 (Mar. 19, 2019). 

5 85 FR 2020 (Jan. 14, 2020). 

DATES: This final rule is effective on 

February 2, 2021. 

FOR FURTHER INFORMATION CONTACT: 

Alice Kottmyer, Attorney-Adviser, 

Office of Management, kottmyeram@

state.gov. ATTN: Regulatory Change, 

CMP Adjustments, (202) 647–2318. 

SUPPLEMENTARY INFORMATION: The 

Federal Civil Penalties Inflation 

Adjustment Act of 1990, Public Law 

101–410, as amended by the Debt 

Collection Improvement Act of 1996, 

Public Law 104–134, required the head 

of each agency to adjust its CMPs for 

inflation no later than October 23, 1996 

and required agencies to make 

adjustments at least once every four 

years thereafter. The Federal Civil 

Penalties Inflation Adjustment Act 

Improvements Act of 2015, Section 701 

of Public Law 114–74 (the 2015 Act) 

further amended the 1990 Act by 

requiring agencies to adjust CMPs, if 

necessary, pursuant to a ‘‘catch-up’’ 

adjustment methodology prescribed by 

the 2015 Act, which mandated that the 

catch-up adjustment take effect no later 

than August 1, 2016. Additionally, the 

2015 Act required agencies to make 

annual adjustments to their respective 

CMPs in accordance with guidance 

issued by the Office of Management and 

Budget (OMB). 

Based on these statutes, the 

Department of State (the Department) 

published a final rule in June 2016 1 to 

implement the ‘‘catch-up’’ provisions; 

and annual updates to its CMPs in 

January 2017,2 January 2018,3 March 

2019 (delayed due to the Government 

shutdown),4 and January 2020.5

On December 29, 2020, OMB notified 

agencies that the annual cost-of-living 

adjustment multiplier for 2021, based 

on the Consumer Price Index, is 

1.01182. Additional information may be 

found in OMB Memorandum M–21–10, 

at: https://www.whitehouse.gov/wpcontent/uploads/2020/12/M-21-10.pdf. 

This final rule amends Department 

CMPs for fiscal year 2021. 

Overview of the Areas Affected by This 

Rule 

Within the Department of State (title 

22, Code of Federal Regulations), this 

rule affects four areas: 

(1) Part 35, which implements the 

Program Fraud Civil Remedies Act of 

1986 (PFCRA), codified at 31 U.S.C. 

3801–3812; 

(2) Part 103, which implements the 

Chemical Weapons Convention 

Implementation Act of 1998 (CWC Act); 

(3) Part 127, which implements the 

penalty provisions of sections 38(e), 

39A(c), and 40(k) of the Arms Export 

Control Act (AECA) (22 U.S.C. 2778(e), 

2779a(c), and 2780(k)); and 

(4) Part 138, which implements 

Section 319 of Public Law 101–121, 

codified at 31 U.S.C. 1352, prohibits 

recipients of Federal contracts, grants, 

and loans from using appropriated 

funds for lobbying the executive or 

legislative branches of the Federal 

Government in connection with a 

specific contract. 

Specific Changes to 22 CFR Made by 

This Rule 

I. Part 35 

The PFCRA, enacted in 1986, 

authorizes agencies, with approval from 

the Department of Justice, to pursue 

individuals or firms for false claims. 

Applying the 2021 multiplier, the new 

maximum liabilities are as follows: 

$11,803 up to $348,035. 

II. Part 103 

The CWC Act provided domestic 

implementation of the Convention on 

the Prohibition of the Development, 

Production, Stockpiling, and Use of 

Chemical Weapons and on Their 

Destruction. The penalty provisions of 

the CWC Act are codified at 22 U.S.C. 

6761. Applying the 2021 multiplier, the 

new maximum amounts are as follows: 

Prohibited acts related to inspections, 

$39,693; for Recordkeeping violations, 

$7,939. 

III. Part 127 

The Assistant Secretary of State for 

Political-Military Affairs is responsible 

for the imposition of CMPs under the 

International Traffic in Arms 

Regulations (ITAR), which is 

administered by the Directorate of 

Defense Trade Controls (DDTC). 

(1) AECA Section 38(e) 

Applying the 2021 multiplier, the 

new maximum penalty under 22 U.S.C. 

2778 (22 CFR 127.10(a)(1)(i)) is 

$1,197,728. 

(2) AECA Section 39A(c) 

Applying the multiplier, the new 

maximum penalty under 22 U.S.C. 

2779a (22 CFR 127.10(a)(1)(ii)) is 

$870,856, or five times the amount of 

the prohibited payment, whichever is 

greater. 

(3) AECA Section 40(k) 

Applying the multiplier, the new 

maximum penalty under 22 U.S.C. 2780 

(22 CFR 127.10(a)(1)(iii)) is $1,036,566. 

IV. Part 138 

Section 319 of Public Law 101–121, 

codified at 31 U.S.C. 1352, provides 

penalties for recipients of Federal 

contracts, grants, and loans who use 

appropriated funds to lobby the 

executive or legislative branches of the 

Federal Government in connection with 

a specific contract, grant, or loan. Any 

person who violates that prohibition is 

subject to a civil penalty. The statute 

also requires each person who requests 

or receives a Federal contract, grant, 

cooperative agreement, loan, or a 

Federal commitment to insure or 

guarantee a loan, to disclose any 

lobbying; there is a penalty for failure to 

disclose. 

Applying the 2021 multiplier, the 

maximum penalties for both improper 

expenditures and failure to disclose, is: 

For first offenders, $20,396; for others, 

not less than $20,731, and not more 

than $207,314. 

Summary 

Citation in 22 CFR 2020 Max penalties New (FY 21) max penalties 

§ 35.3 .................................................................. $11,665 up to $343,969 ................................... $11,803 up to $348,035. 

§ 103.6(a)(1) .......................................................

Prohibited Acts ...................................................

$39,229 ............................................................ $39,693. 

§ 103.6(a)(2) .......................................................

Recordkeeping Violations ...................................

$7,846 .............................................................. $7,939. 

§ 127.10(a)(1)(i) .................................................. $1,183,736 ....................................................... $1,197,728. 

§ 127.10(a)(1)(ii) ................................................. $860,683 ..........................................................

or 5 times the amount of the prohibited payment, whichever is greater.

$870,856. 

or 5 times the amount of the prohibited payment, whichever is greater. 

§ 127.10(a)(1)(iii) ................................................ $1,024,457 ....................................................... $1,036,566. 


jbell on DSKJLSW7X2PROD with RULES
7806 Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Rules and Regulations 

Citation in 22 CFR 2020 Max penalties New (FY 21) max penalties 

§ 138.400 ............................................................

First Offenders ....................................................

$20,158 ............................................................ $20,396. 

§ 138.400 ............................................................ $20,489 up to $204,892 ................................... $20,731 up to $207,314. 

Effective Date of Penalties 

The revised CMP amounts will go into 

effect on the date this rule is published. 

All violations for which CMPs are 

assessed on or after the effective date of 

this rule, regardless of whether the 

violation occurred before the effective 

date, will be assessed at the adjusted 

penalty level. 

Future Adjustments and Reporting 

The 2015 Act directed agencies to 

undertake an annual review of CMPs 

using a formula prescribed by the 

statute. Annual adjustments to CMPs are 

made in accordance with the guidance 

issued by OMB. As in this rulemaking, 

the Department of State will publish 

notification of annual inflation 

adjustments to CMPs in the Federal 

Register no later than January 15 of each 

year, with the adjusted amount taking 

effect immediately upon publication. 

Regulatory Analysis and Notices 

Administrative Procedure Act 

The Department of State is publishing 

this rule using the ‘‘good cause’’ 

exception to the Administrative 

Procedure Act (5 U.S.C. 553(b)), as the 

Department has determined that public 

comment on this rulemaking would be 

impractical, unnecessary, or contrary to 

the public interest. This rulemaking is 

mandatory and entirely without agency 

discretion; it implements Public Law 

114–74. See 5 U.S.C. 553(d)(3). 

Regulatory Flexibility Act 

Because this rulemaking is exempt 

from 5 U.S.C. 553, a Regulatory 

Flexibility Analysis is not required. 

Unfunded Mandates Reform Act of 1995 

This rule does not involve a mandate 

that will result in the expenditure by 

State, local, and Tribal governments, in 

the aggregate, or by the private sector, of 

$100 million or more in any year and it 

will not significantly or uniquely affect 

small governments. Therefore, no 

actions were deemed necessary under 

the provisions of the Unfunded 

Mandates Reform Act of 1995. 

Small Business Regulatory Enforcement 

Fairness Act of 1996 

This rule is not a major rule within 

the meaning of the Small Business 

Regulatory Enforcement Fairness Act of 

1996. 

Executive Orders 12372 and 13132 

This amendment will not have 

substantial direct effects on the States, 

on the relationship between the 

National Government and the States, or 

on the distribution of power and 

responsibilities among the various 

levels of government. Therefore, in 

accordance with Executive Order 13132, 

it is determined that this amendment 

does not have sufficient federalism 

implications to require consultations or 

warrant the preparation of a federalism 

summary impact statement. 

Executive Orders 12866 and 13563 

The Department believes that benefits 

of the rulemaking outweigh any costs, 

and there are no feasible alternatives to 

this rulemaking. Pursuant to M–20–05, 

OIRA has determined that agency 

regulations that (1) exclusively 

implement the annual adjustment, (2) 

are consistent with this guidance, and 

(3) have an annual impact of less than 

$100 million, are generally not 

significant regulatory actions under E.O. 

12866. Therefore, agencies are generally 

not required to submit regulations 

satisfying those criteria to OIRA for 

review. This regulation satisfies all of 

those criteria. 

Executive Order 12988 

The Department of State has reviewed 

the proposed amendment in light of 

Executive Order 12988 to eliminate 

ambiguity, minimize litigation, establish 

clear legal standards, and reduce 

burden. 

Executive Order 13175 

The Department of State has 

determined that this rulemaking will 

not have tribal implications, will not 

impose substantial direct compliance 

costs on Indian Tribal governments, and 

will not preempt Tribal law. 

Accordingly, Executive Order 13175 

does not apply to this rulemaking. 

Paperwork Reduction Act 

This rulemaking does not impose or 

revise any information collections 

subject to 44 U.S.C. Chapter 35. 

List of Subjects 

22 CFR Part 35 

Administrative practice and 

procedure, Claims, Fraud, Penalties. 

22 CFR Part 103 

Administrative practice and 

procedure, Chemicals, Classified 

information, Foreign relations, Freedom 

of information, International 

organization, Investigations, Penalties, 

Reporting and recordkeeping 

requirements. 

22 CFR Part 127 

Arms and munitions, Exports. 

22 CFR Part 138 

Government contracts, Grant 

programs, Loan programs, Lobbying, 

Penalties, Reporting and recordkeeping 

requirements. 

For the reasons set forth above, 22 

CFR parts 35, 103, 127, and 138 are 

amended as follows: 

PART 35—PROGRAM FRAUD CIVIL 

REMEDIES 

■ 1. The authority citation for part 35 

continues to read as follows: 

Authority: 22 U.S.C. 2651a; 31 U.S.C. 3801 

et seq.; Pub. L. 114–74, 129 Stat. 584. 

§ 35.3 [Amended] 

■ 2. In § 35.3: 

■ a. Remove ‘‘$11,665’’ and add in its 

place ‘‘$11,803’’, wherever it occurs. 

■ b. In paragraph (f), remove ‘‘$343,969’’ 

and add in its place ‘‘$348,035’’. 

PART 103—REGULATIONS FOR 

IMPLEMENTATION OF THE CHEMICAL 

WEAPONS CONVENTION AND THE 

CHEMICAL WEAPONS CONVENTION 

IMPLEMENTATION ACT OF 1998 ON 

THE TAKING OF SAMPLES AND ON 

ENFORCEMENT OF REQUIREMENTS 

CONCERNING RECORDKEEPING AND 

INSPECTIONS 

■ 3. The authority citation for part 103 

continues to read as follows: 

Authority: 22 U.S.C. 2651a; 22 U.S.C. 6701 

et seq.; Pub. L. 114–74, 129 Stat. 584. 

§ 103.6 [Amended] 

■ 4. In § 103.6: 

■ a. In paragraph (a)(1), remove 

‘‘$39,229’’ and add in its place 

‘‘$39,693’’; and 

■ b. In paragraph (a)(2), remove 

‘‘$7,846’’ and add in its place ‘‘$7,939’’. 


jbell on DSKJLSW7X2PROD with RULES
Federal Register / Vol. 86, No. 20 / Tuesday, February 2, 2021 / Rules and Regulations 7807 

PART 127—VIOLATIONS AND 

PENALTIES 

■ 5. The authority citation for part 127 

continues to read as follows: 

Authority: Sections 2, 38, and 42, Pub. L. 

90–629, 90 Stat. 744 (22 U.S.C. 2752, 2778, 

2791); 22 U.S.C. 401; 22 U.S.C. 2651a; 22 

U.S.C. 2779a; 22 U.S.C. 2780; E.O. 13637, 78 

FR 16129; Pub. L. 114–74, 129 Stat. 584. 

§ 127.10 [Amended] 

■ 6. In § 127.10: 

■ a. In paragraph (a)(1)(i), remove 

‘‘$1,183,736’’ and add in its place 

‘‘$1,197,728’’; 

■ b. In paragraph (a)(1)(ii), remove 

‘‘$860,683’’ and add in its place 

‘‘$870,856’’; and 

■ c. In paragraph (a)(1)(iii), remove 

‘‘$1,024,457’’ and add in its place 

‘‘$1,036,566’’. 

PART 138—RESTRICTIONS ON 

LOBBYING 

■ 7. The authority citation for part 138 

continues to read as follows: 

Authority: 22 U.S.C. 2651a; 31 U.S.C. 

1352; Pub. L. 114–74, 129 Stat. 584. 

§ 138.400 [Amended] 

■ 8. In § 138.400: 

■ a. Remove ‘‘$20,489’’ and ‘‘$204,892’’ 

and add in their place ‘‘$20,731’’ and 

‘‘$207,314’’, respectively, wherever they 

occur. 

■ b. In paragraph (e), remove ‘‘$20,158’’ 

and add in its place ‘‘$20,396’’. 

Zachary A. Parker, 

Director, Office of Directives Management. 

Editorial note: This document was 

received for publication by the Office of the 

Federal Register on January 11, 2021. 

[FR Doc. 2021–00668 Filed 2–1–21; 8:45 am] 

BILLING CODE 4710–10–P 

DEPARTMENT OF LABOR 

Office of the Secretary of Labor 

29 CFR Part 22 

Occupational Safety and Health 

Administration 

29 CFR Part 1986 

RIN 1290–AA28 

Rules of Practice and Procedure 

Concerning Filing and Service and 

Amended Rules Concerning Filing and 

Service; Correction 

AGENCY: Employment and Training 

Administration, Office of Workers’ 

Compensation Programs, Office of the 

Secretary, Office of Labor-Management 

Standards, Wage and Hour Division, 

Occupational Safety and Health 

Administration, Office of Federal 

Contract Compliance Programs. 

ACTION: Direct final rule; correction. 

SUMMARY: The Department of Labor 

(Department or DOL) is correcting a 

direct final rule that appeared in the 

Federal Register on January 11, 2021, 

‘‘Rules of Practice and Procedure 

Concerning Filing and Service and 

Amended Rules Concerning Filing and 

Service.’’ The companion proposed rule 

to the final rule was published in the 

same issue of the Federal Register. The 

final rule required electronic filing (efiling) and made acceptance of 

electronic service (e-service) automatic 

for attorneys and non-attorney 

representatives representing parties in 

proceedings before the Administrative 

Review Board, unless the Board 

authorized non-electronic filing and 

service for good cause. Among other 

changes, the final rule was intended to 

revise several sections of the Code of 

Federal Regulations. However, the final 

rule as published inadvertently omitted 

amendatory instructions to revise two 

section headings, despite providing 

revised language for those headings. 

This document provides the omitted 

amendatory instructions to ensure that 

these two section headings are revised 

as written in the final rule. 

DATES: This correction is effective on 

February 25, 2021, unless the 

Department receives a significant 

adverse comment to the underlying 

direct final rule or its companion 

proposed rule by February 10, 2021 that 

explains why the rule is inappropriate. 

FOR FURTHER INFORMATION CONTACT: Mr. 

Thomas Shepherd, Clerk of the 

Appellate Boards, at 202–693–6319 or 

Shepherd.Thomas@dol.gov. 

SUPPLEMENTARY INFORMATION: DOL is 

making the following corrections to the 

final rule, as published in the Federal 

Register on Monday, January 11, 2021 

(86 FR 1772). 

DOL is adding amendatory 

instructions to change the section 

headings of two sections of the Code of 

Federal Regulations. 

At 86 FR 1781, third column, 29 CFR 

part 22, amendatory instruction 43 

revised § 22.39, paragraphs (a), (b)(3), 

(c), (f), and (h) through (l). The text of 

§ 22.39 as written in the final rule also 

included a revised section heading; 

however, amendatory instruction 43 did 

not specify that the section heading 

should be revised in addition to the text 

of the above-listed paragraphs. In this 

action, amendatory instruction 43 is 

corrected to clarify that the section 

heading of § 22.39 should be revised as 

well. Amendatory instruction 43 is 

corrected to read: ‘‘43. In § 22.39, revise 

the section heading and paragraphs (a), 

(b)(3), (c), (f), and (h) through (l) to read 

as follows:’’. The section heading is 

being revised to read ‘‘Appeal to ARB’’ 

instead of ‘‘Appeal to authority head.’’ 

This change is in keeping with the 

Department’s clearly expressed intent in 

the preamble of the final rule to revise 

references in the regulations to an 

‘‘authority head’’ to references to the 

‘‘ARB’’ in order to clarify the 

responsibilities of the Administrative 

Review Board. 

At 86 FR 1793, third column, 29 CFR 

part 1986, amendatory instruction 133 

revised § 1986.110, paragraph (c). The 

text of § 1986.110 as written in the final 

rule also included a revised section 

heading; however, amendatory 

instruction 133 did not specify that the 

section heading should be revised in 

addition to the text of paragraph (c). In 

this action, amendatory instruction 133 

is corrected to clarify that the section 

heading of § 1986.110 should be revised, 

as well. Amendatory instruction 133 is 

corrected to read: ‘‘133. In § 1986.110, 

revise the section heading and 

paragraph (c) to read as follows:’’. The 

section heading is being revised to read 

‘‘Decision and orders of the 

Administrative Review Board’’ instead 

of ‘‘Decisions and order of the 

Administrative Review Board.’’ The 

change to § 1986.110 is intended to 

make the section heading consistent 

with other similar section headings in 

the chapter of Title 29 that are titled 

‘‘Decision and orders of the 

Administrative Review Board.’’ 

Federal Register Correction 

In FR Rule Doc. No. 2020–28055, 

published in the issue of January 11, 

2021, beginning on page 1772, the 

following corrections are made: 

PART 22—PROGRAM FRAUD CIVIL 

REMEDIES ACT OF 1986 

§ 22.39 [Corrected] 

■ 1. On page 1781, in the third column, 

correct amendatory instruction 43 to 

read: ‘‘43. In § 22.39, revise the section 

heading and paragraphs (a), (b)(3), (c), 

(f), and (h) through (l) to read as 

follows:’’. 


jbell on DSKJLSW7X2PROD with RULES