Federal Register / Vol. 62, No. 169 / Tuesday, September 2, 1997 / Rules and Regulations 46181

g. In paragraph (a)(3)(v), the words ‘‘or

part of a country’’ are added after the

word ‘‘country’’.

h. In paragraph (c), the words ‘‘or part

of a country’’ are added after the word

‘‘country’’.

§ 94.9 [Amended]

5. In § 94.9, paragraph (a), footnote 1

and its reference in the text are

redesignated as footnote 9, and in

paragraph (b)(3) footnote 2 and its

reference in the text are redesignated as

footnote 10.

§ 94.12 [Amended]

6. In § 94.12, paragraph (b)(1)(iii)(B),

footnote 1 and its reference in the text

are redesignated as footnote 11, and in

paragraph (b)(3) footnote 2 and its

reference in the text are redesignated as

footnote 12.

§ 94.16 [Amended]

7. In § 94.16, paragraph (b)(2),

footnote 1 and its eight references in the

text are redesignated as footnote 13.

§ 94.17 [Amended]

8. In § 94.17, in paragraph (a), the

word ‘‘subpart’’ is removed and the

word ‘‘section’’ is added in its place,

and in paragraph (e), footnote 1 and its

reference in the text are redesignated as

footnote 14.

§ 94.18 [Amended]

9. In § 94.18, in paragraph (c)(2),

footnote 1 and its reference in the text

are redesignated as footnote 15, and in

paragraph (d)(1), footnote 2 and its

reference in the text are redesignated as

footnote 16.

PART 96—RESTRICTION OF

IMPORTATIONS OF FOREIGN ANIMAL

CASINGS OFFERED FOR ENTRY INTO

THE UNITED STATES

10. The authority citation for part 96

continues to read as follows:

Authority: 21 U.S.C. 111, 136, and 136a; 7

CFR 2.22, 2.80, and 371.2(d).

§ 96.2 [Amended]

11. In § 96.2, paragraph (a) is

amended by adding the words ‘‘or part

of a country’’ after the word ‘‘country’’

each time it appears.

Done in Washington, DC, this 26th day of

August 1997.

Craig A. Reed,

Acting Administrator, Animal and Plant

Health Inspection Service.

[FR Doc. 97–23213 Filed 8–29–97; 8:45 am]

BILLING CODE 3410–34–P

DEPARTMENT OF ENERGY

10 CFR Parts 207, 218, 430, 490, 501,

601, 820, 1013, 1017, and 1050

RIN 1901–AA76

Office of General Counsel; Inflation

Adjustment of Civil Monetary Penalties

AGENCY: Office of General Counsel,

Department of Energy.

ACTION: Final rule.

SUMMARY: The Department of Energy

(‘‘DOE’’) is issuing this final nondiscretionary rule to adjust DOE’s civil

monetary penalties (‘‘CMPs’’) for

inflation as mandated by the Debt

Collection Improvement Act of 1996.

This rule adjusts CMPs within the

jurisdiction of the DOE to the maximum

extent allowed by the Federal Civil

Penalties Inflation Adjustment Act of

1990, as amended by the Debt

Collection Improvement Act of 1996.

EFFECTIVE DATE: October 2, 1997.

FOR FURTHER INFORMATION CONTACT:

Stephen Duarte, U.S. Department of

Energy, Office of General Counsel, GC–

74, 1000 Independence Avenue, SW,

Washington, DC 20585, (202) 586–9507.

SUPPLEMENTARY INFORMATION:

I. Background

In order to preserve the deterrent

effect of civil penalties and foster

compliance with the law, the Federal

Civil Penalties Inflation Adjustment Act

of 1990, 28 U.S.C. 2461 note, as

amended by the Debt Collection

Improvement Act of 1996 (Pub. L. 104–

134) (‘‘the Act’’), requires Federal

agencies to regularly adjust each CMP

provided by law within the jurisdiction

of the agency. The Act requires each

agency to make an initial inflationary

adjustment for all applicable civil

penalties within 180 days of the

enactment of the statute, and to make

further adjustments at least once every

four years.

The Act provides that any increase in

a CMP due to the calculated inflation

adjustments shall apply only to

violations that occur after the date the

increase takes effect and states that the

initial inflation adjustment may not

exceed 10 percent of the existing

penalty.

II. Method of Calculation

Under the Act, the inflation

adjustment for each applicable CMP is

determined by increasing the maximum

civil penalty amount per violation by

the cost-of-living adjustment. The ‘‘costof-living’’ adjustment is defined as the

amount by which the Consumer Price

Index (CPI) for the month of June of the

calendar year preceding the adjustment

exceeds the CPI for the month of June

of the year in which the amount of such

civil penalty was last set or adjusted

pursuant to law. Any calculated

increase under this adjustment is

rounded to the nearest—

(1) Multiple of $10 in the case of

penalties less than or equal to $100;

(2) Multiple of $100 in the case of

penalties greater than $100 but less than

or equal to $1,000;

(3) Multiple of $1000 in the case of

penalties greater than $1000 but less

than or equal to $10,000;

(4) Multiple of $5000 in the case of

penalties greater than $10,000 but less

than or equal to $100,000;

(5) Multiple of $10,000 in the case of

penalties greater than $100,000 but less

than or equal to $200,000; and

(6) Multiple of $25,000 in the case of

penalties greater than $200,000.

28 U.S.C. 2461 note, sec. 5.

For example, pursuant to section

13262 of Title 42 of the United States

Code, the DOE may impose a civil

penalty of up to $5,000 per violation

against any person who violates certain

sections of the Energy Policy Act of

1992 or any regulation issued under

such sections. This civil penalty was set

in 1992 and has not been adjusted. The

CPI for June 1996 is 156.7 and 140.2 for

June 1992. The inflation factor is 156.7/

140.2, or 1.117689. The maximum

penalty amount after the increase would

be $ 5588.45 and after rounding would

be $ 6,000. After applying the 10

percent limit on an initial increase,

however, the new maximum penalty

amount per violation is $5,500. DOE

made a similar calculation for each CMP

adjusted in this rulemaking.

III. Explanation of Final Rule

The following list summarizes the

existing DOE regulations containing

civil monetary penalties, and the

penalties before and after adjustment.

10 CFR 207.7 ............................................................................................................... ................................... $2,500 ....................... 2,750

10 CFR 218.42 ............................................................................................................. ................................... 5,000 ......................... 5,500

10 CFR 430.61 ............................................................................................................. ................................... 100 ............................ 110

10 CFR 490.604 ........................................................................................................... ................................... 5,000 ......................... 5,500
46182 Federal Register / Vol. 62, No. 169 / Tuesday, September 2, 1997 / Rules and Regulations

10 CFR 501.181(c) ....................................................................................................... ................................... 25,000 ....................... 27,500

................................... 3/mcf ......................... 3.3/mcf

................................... 10/bbl ........................ 11/bbl

10 CFR 601.400 and App A ........................................................................................ minimum .................. 10,000 ....................... 11,000

maximum ................. 100,000 ..................... 110,000

10 CFR 1013.3 ............................................................................................................. ................................... 5,000 ......................... 5,500

10 CFR 1017.18 ........................................................................................................... ................................... 100,000 ..................... 110,000

10 CFR 1050.303 ......................................................................................................... ................................... 5,000 ......................... 5,500

In addition, Section 18 of the PriceAnderson Amendments Act of 1988, 42

U.S.C. 2282a, authorizes DOE to impose

civil monetary penalties of up to

$100,000 on certain persons for

violation of DOE nuclear safety

requirements in any applicable rule,

regulation or order. The maximum

penalty amount was enacted in 1988

and has not been adjusted. Since section

18 is perfectly clear, the implementing

regulations at 10 CFR part 820 do not

include a section on the maximum

penalty amount. However, the $100,000

limit is reflected in the DOE’s General

Statement of Enforcement Policy

published as Appendix A to 10 CFR

820. In this rule, DOE is adding a new

subpart G to 10 CFR Part 820 to set the

maximum penalty as adjusted using the

methodology described above.

Finally, the National Defense

Authorization Act for Fiscal Years 1992

and 1993 authorizes civil penalties

against any contractor of DOE who fails

to provide for the training of individuals

involved in hazardous substance

response or emergency response at DOE

nuclear weapons facilities or who fails

to certify such training. 42 U.S.C. 7274d

Section 7274d(b)(2) establishes the

maximum civil penalty as $5000 per

day for each violation. DOE is

developing a rule to implement 42

U.S.C. 7274d and will adjust the penalty

authorized by that statute when it

promulgates that rule.

IV. Regulatory Review

A. Administrative Procedure Act

In accordance with 5 U.S.C. 553(b),

the Administrative Procedure Act, DOE

generally publishes a rule in a proposed

form and solicits public comment on it

before issuing the rule in final.

However, 5 U.S.C. 553(b)(3)(B) provides

an exception to the public comment

requirement if the agency finds good

cause to omit advance notice and public

participation. Good cause is shown

when public comment is

‘‘impracticable, unnecessary, or contrary

to the public interest.’’

DOE finds that providing an

opportunity for public comment prior to

publication of this rule is not necessary

because DOE is carrying out a

ministerial, non-discretionary duty

specified in an Act of Congress. This

rule incorporates requirements

specifically set forth in 28 U.S.C. 2461

note requiring DOE to issue a regulation

implementing inflation adjustments for

all its civil penalty provisions. The

formula for the amount of the penalty

adjustment is prescribed by Congress.

Prior notice and opportunity to

comment are therefore unnecessary in

this case because these changes are not

subject to the exercise of discretion by

DOE. These technical changes, required

by law, do not substantively alter the

existing regulatory framework nor in

any way affect the terms under which

DOE assesses civil penalties.

B. Review Under Executive Order 12866

Today’s action does not constitute a

‘‘significant regulatory action’’ as

defined in section 3(f) of Executive

Order 12866, ‘‘Regulatory Planning and

Review’’ (58 FR 51735), and has not

been reviewed by the Office of

Information and Regulatory Affairs of

the Office of Management and Budget.

C. Review Under the Paperwork

Reduction Act.

No new information collection

requirements subject to the Paperwork

Reduction Act, 44 U.S.C. 501 et seq. are

imposed by today’s regulatory action.

D. Federalism

The Department has analyzed this

rulemaking in accordance with the

principles and criteria contained in

Executive Order 12612, and has

determined that there are no federalism

implications that would warrant the

preparation of a Federalism Assessment.

E. National Environmental Policy Act

This rule amends Title 10 of the Code

of Federal Regulations to adjust civil

monetary penalties within the

jurisdiction of the DOE. The regulations

being amended have no current

environmental effect and this

rulemaking will not change that status

quo. The Department has therefore

determined that this rule is covered

under the Categorical Exclusion found

at paragraph A.5 of Appendix A to

subpart D, 10 CFR part 1021, which

applies to a rulemaking amending an

existing regulation that does not change

the environmental effect of the

regulation being amended. Accordingly,

neither an environmental assessment

nor an environmental impact statement

is required.

F. Review Under the Unfunded

Mandates Reform Act of 1995

Title II of the Unfunded Mandates

Reform Act of 1995 requires each

agency to assess the effects of Federal

regulatory action on State, local, and

tribal governments and the private

sector. 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. Since this

rule incorporates requirements

specifically set forth in 28 U.S.C. 2461

note, the DOE is not required to assess

its regulatory effects under Section 201.

Unfunded Mandates Reform Act

sections 202 and 205 do not apply to

today’s action because they apply only

to rules for which a general notice of

proposed rulemaking is published.

Nevertheless, the Department has

determined that today’s regulatory

action does not impose a Federal

mandate on State, local, or tribal

governments or on the public sector.

G. Regulatory Flexibility Act

The Regulatory Flexibility Act, 5

U.S.C. 601 et seq., directs agencies to

prepare a regulatory flexibility analysis

whenever an agency is required to

publish a general notice of proposed

rulemaking for a rule. As discussed

above, the Department has determined,

that prior notice and opportunity for

public comment is unnecessary and

contrary to the public interest. In

accordance with 5 U.S.C. 604(a), no

regulatory flexibility analysis has been

prepared for today’s rule.

H. Small Business Regulatory

Enforcement Fairness Act

In accordance with section 801 of the

Small Business Regulatory Enforcement

Act of 1996, 5 U.S.C. 801, DOE will

report to Congress the promulgation of

this rule prior to its effective date. This

rule is a not a ‘‘major rule’’ as defined

by 5 U.S.C. 804(a).

List of Subjects

10 CFR Part 207

Administrative practice and

procedure, Energy, Penalties.
Federal Register / Vol. 62, No. 169 / Tuesday, September 2, 1997 / Rules and Regulations 46183

10 CFR Part 218

Administrative practice and

procedure, Penalties, Petroleum

allocation.

10 CFR Part 430

Administrative practice and

procedure, Energy conservation.

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

Government contracts, DOE contracts,

Nuclear safety, Civil penalty.

10 CFR Part 1013

Administrative practice and

procedure, Claims, Fraud, Penalties.

10 CFR Part 1017

Administrative practice and

procedure, National Defense, Nuclear

Energy, Penalties.

10 CFR Part 1050

Decorations, medals, awards,

Government employees.

Issued in Washington, D.C. on July 18,

1997.

Mary Anne Sullivan,

Acting General Counsel.

For the reasons set forth in the

preamble, 10 CFR chapters II, III, and X

are amended to read as follows:

PART 207—COLLECTION OF

INFORMATION

1. The authority citation for part 207

is revised 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) Civil Penalties. (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 $2,750 for each

violation. * * *

* * * * *

PART 218—STANDBY MANDATORY

INTERNATIONAL OIL ALLOCATION

3. The authority citation for part 218

is revised 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 paragraphs (b)(1) (b)(2) and

(b)(3) to read as follows:

§ 218.42 Sanctions.

* * * * *

(b) Penalties. (1) Any person who

violates any provision of part 218 of this

chapter or any order issued pursuant

thereto shall be subject to a civil penalty

of not more than $5,500 for each

violation.

(2) Any person who willfully violates

any provision of this part 218 or any

order issued pursuant thereto shall be

subject to a fine of not more than

$10,000 for each violation.

(3) Any person who knowingly and

willfully violates any provision of this

part 218 or any order issued pursuant

thereto with respect to the sale, offer of

sale, or distribution in commerce of oil

in commerce after having been subject

to a sanction under paragraph (b)(1) or

(2) of this section for a prior violation

of the provisions of this part 218 or any

order issued pursuant thereto with

respect to the sale, offer of sale, or

distribution in commerce of oil shall be

subject to a fine of not more than

$50,000 or imprisonment for not more

than six months, or both, for each

violation.

* * * * *

PART 430—ENERGY CONSERVATION

PROGRAM FOR CONSUMER

PRODUCTS

5. The authority citation for part 430

is revised to read as follows:

Authority: 42 U.S.C. 6291–6309; 28 U.S.C.

2461 note.

6. Section 430.61 is amended by

revising the first sentence of paragraph

(b) to read as follows:

§ 430.61 Prohibited acts.

* * * * *

(b) In accordance with section 333 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 $110 for each violation. * * *

PART 490—ALTERNATIVE FUEL

TRANSPORTATION PROGRAM

7. The authority citation for part 490

is revised to read as follows:

Authority: 42 U.S.C. 7191, 13211, 13235,

13251, 13257, 13258, 13260–3; 28 U.S.C.

2461 note.

8. 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 of this part shall be subject to

a civil penalty of not more than $5,500

for each violation.

* * * * *

PART 501—ADMINISTRATIVE

PROCEDURES AND SANCTIONS

9. The authority citation for part 501

is revised 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.

10. Section 501.181 is amended by

revising paragraph (c)(1) to read as

follows:

§ 501.181 Sanctions.

* * * * *

(c) Civil Penalties. (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 $27,500 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 $3.30

for each MCF of natural gas or up to $11

for each barrel of oil used in excess of

that authorized in the exemption.

* * * * *

PART 601—NEW RESTRICTIONS ON

LOBBYING

11. The authority citation for part 601

is revised 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.

12. 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 herein shall be

subject to a civil penalty of not less than

$11,000 and not more than $110,000 for

each such expenditure.

(b) Any person who fails to file or

amend the disclosure form (see

appendix B) to be filed or amended if

required herein, shall be subject to a

civil penalty of not less than $11,000
46184 Federal Register / Vol. 62, No. 169 / Tuesday, September 2, 1997 / Rules and Regulations

and not more than $110,000 for each

such failure.

* * * * *

(e) First offenders under paragraphs

(a) or (b) of this section shall be subject

to a civil penalty of $11,000, absent

aggravating circumstances. Second and

subsequent offenses by persons shall be

subject to an appropriate civil penalty

between $11,000 and $110,000, as

determined by the agency head or his or

her designee.

* * * * *

13. Appendix A to part 601-

Certification Regarding Lobbying, is

amended as follows:

a. In the section titled ‘‘Certification

for Contracts, Grants, Loans, and

Cooperative Agreements’’, paragraph

(3), the last sentence of the second

undesignated paragraph is revised; and

b. In the section titled ‘‘Statement for

Loan Guarantees and Loan Insurance’’,

the last sentence in the third

undesignated paragraph is revised to

read as follows:

Appendix A to Part 601—Certification

Regarding Lobbying

Certification for Contracts, Grants, Loans,

and Cooperative Agreements

* * * * *

(3) * * * Any person who fails to file the

required certification shall be subject to a

civil penalty of not less than $11,000 and not

more than $110,000 for each such failure.

Statement for Loan Guarantees and Loan

Insurance

* * * * *

* * * Any person who fails to file the

required statement shall be subject to a civil

penalty of not less than $11,000 and not more

than $110,000 for each such failure.

PART 820—PROCEDURAL RULES

FOR DOE NUCLEAR ACTIVITIES

14. The authority citation for part 820

is revised to read as follows:

Authority: 42 U.S.C. 2201, 2282(a), 7191;

28 U.S.C. 2461 note.

15. A new subpart G is added to part

820 to read as follows:

Subpart G—Civil Penalties

820.80 Basis and purpose.

820.81 Amount of penalty.

Subpart G—Civil Penalties

§ 820.80 Basis and purpose.

This subpart implements the Federal

Civil Penalties Inflation Adjustment Act

of 1990 (the Act) (Pub. L. 101–410), as

amended by the Debt Collection

Improvement Act of 1996 (Pub. L. 104–

134, section 31001). 28 U.S.C. 2461

note. As amended, the Act requires each

agency head to adjust by regulation each

civil monetary penalty provided by law

within the jurisdiction of the Federal

agency by the inflation adjustment

specified in 28 U.S.C. 2461 note. This

subpart increases the civil penalty

amount specified in 42 U.S.C. 2282a.

§ 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

$110,000 for each such violation. If any

violation under 42 U.S.C. 2282a is a

continuing one, each day of such

violation shall constitute a separate

violation for the purpose of computing

the applicable civil penalty.

PART 1013—PROGRAM FRAUD CIVIL

REMEDIES AND PROCEDURES

16. The authority citation for part

1013 is revised to read as follows:

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

2461 note.

17. 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 $5,500 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 $5,500 for each

such statement.

* * * * *

PART 1017—IDENTIFICATION AND

PROTECTION OF UNCLASSIFIED

CONTROLLED NUCLEAR

INFORMATION

18. The authority citation for part

1017 is revised to read as follows:

Authority: 42 U.S.C. 2168; 28 U.S.C. 2461

note.

19. Section 1017.18 is amended by

revising the last sentence of the

introductory text to paragraph (a) to

read as follows:

§ 1017.18 Violations.

(a) Civil Penalty. * * * The Assistant

Secretary for Defense Programs may

recommend to the Secretary imposition

of this civil penalty, which shall not

exceed $110,000 for each violation.

* * * * *

PART 1050—FOREIGN GIFTS AND

DECORATIONS

20. The authority citation for part

1050 is revised 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.

21. 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 $5,500.

[FR Doc. 97–23212 Filed 8–29–97; 8:45 am]

BILLING CODE 6450–01–P

DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. 97–NM–181–AD; Amendment

39–10118; AD 97–18–08]

RIN 2120–AA64

Airworthiness Directives; British

Aerospace (Jetstream) Model 4101

Airplanes

AGENCY: Federal Aviation

Administration, DOT.

ACTION: Final rule; request for

comments.

SUMMARY: This amendment adopts a

new airworthiness directive (AD) that is

applicable to certain British Aerospace

(Jetstream) Model 4101 airplanes. This

action requires a visual inspection to

detect wear damage of the drag brace of

the main landing gear (MLG), and

replacement of any worn parts with new

or serviceable parts. This action also

requires an inspection to determine

whether there is movement in the

spherical bearing of the lower link of the

drag brace, certain measurements of the

drag brace, and repetitive inspections, if

necessary. This amendment is prompted

by reports of loose spherical bearings in

the links of the drag brace of the MLG.

The actions specified in this AD are

intended to prevent reduced structural

integrity and potential collapse of the