15100 Federal Register / Vol. 87, No. 52 / Thursday, March 17, 2022 / Rules and Regulations 

1The Department recently proposed a technical 

correction to 45 CFR 155.206(i) to add language that 

would cross-reference to the authority to implement 

annual inflation-related increases to CMPs pursuant 

to the 2015 Act. See Patient Protection and 

Affordable Care Act; HHS Notice of Benefit and 

Payment Parameters for 2023; Proposed Rule, 87 FR 

584 at 640–641, 721 (Jan. 5, 2022). To date, no 

CMPs have been imposed under this authority, but 

any that are would reflect the current inflationary 

adjusted amount as required by the 2015 Act and 

would be calculated in accordance with applicable 

OMB guidance to all Executive Departments on the 

implementation of the 2015 Act. 

2See, e.g., the Patient Protection and Affordable 

Care Act; Exchange and Insurance Market 

Standards for 2015 and Beyond; Final Rule, 79 FR 

30239 at 30262–30270 (May 27, 2014). 

Dated: March 10, 2022. 

Charles Smith, 

Director, Biopesticides and Pollution 

Prevention Division, Office of Pesticide 

Programs. 

Therefore, for the reasons stated in the 

preamble, EPA is amending 40 CFR 

chapter I as follows: 

PART 180—TOLERANCES AND 

EXEMPTIONS FOR PESTICIDE 

CHEMICAL RESIDUES IN FOOD 

■ 1. The authority citation for part 180 

continues to read as follows: 

Authority: 21 U.S.C. 321(q), 346a and 371. 

■ 2. Revise § 180.1327 to read as 

follows: 

§ 180.1327 Tetraacetylethylenediamine 

(TAED) and its metabolite 

Diacetylethylenediamine (DAED); 

Exemption from the Requirement of a 

Tolerance. 

An exemption from the requirement 

of a tolerance is established for residues 

of the pesticide, 

tetraacetylethylenediamine (TAED), and 

its metabolite diacetylethylenediamine 

(DAED), in or on all food commodities, 

when used as a fungicide and 

bactericide in accordance with label 

directions and good agricultural 

practices. 

[FR Doc. 2022–05530 Filed 3–16–22; 8:45 am] 

BILLING CODE 6560–50–P 

DEPARTMENT OF HEALTH AND 

HUMAN SERVICES 

45 CFR Part 102 

RIN 0991–AC33 

Annual Civil Monetary Penalties 

Inflation Adjustment 

AGENCY: Office of the Assistant 

Secretary for Financial Resources, 

Department of Health and Human 

Services (HHS). 

ACTION: Final rule. 

SUMMARY: The Department of Health and 

Human Services is updating its 

regulations to reflect required annual 

inflation-related increases to the civil 

monetary penalty amounts in its 

regulations, under the Federal Civil 

Penalties Inflation Adjustment Act 

Improvements Act of 2015; adding 

references to new penalty authorities; 

and making technical changes to correct 

errors in the regulation. 

DATES: 

Effective date: This final rule is 

effective March 17, 2022. 

Applicability date: The adjusted civil 

monetary penalty amounts apply to 

penalties assessed on March 17, 2022, r 

if the violation occurred on or after 

November 2, 2015. 

FOR FURTHER INFORMATION CONTACT: 

Katrina Brisbon, Acting Deputy 

Assistant Secretary, Office of 

Acquisitions, Office of the Assistant 

Secretary for Financial Resources, Room 

536–H, Hubert Humphrey Building, 200 

Independence Avenue SW, Washington, 

DC 20201; (202) 260–6677. 

SUPPLEMENTARY INFORMATION: 

I. Background 

The Federal Civil Penalties Inflation 

Adjustment Act Improvements Act of 

2015 (section 701 of Pub. L. 114–74) 

(the ‘‘2015 Act’’) amended the Federal 

Civil Penalties Inflation Adjustment Act 

of 1990 (Pub. L. 101–410, 104 Stat. 890 

(1990)), which is intended to improve 

the effectiveness of civil monetary 

penalties (CMPs) and to maintain the 

deterrent effect of such penalties, 

requires agencies to adjust the CMPs for 

inflation annually. 

The Department of Health and Human 

Services (HHS) lists the CMP authorities 

and the amounts administered by all of 

its agencies in tabular form in 45 CFR 

102.3, which was issued in an interim 

final rule published in the September 6, 

2016, Federal Register (81 FR 61538). 

Annual adjustments were subsequently 

published on February 3, 2017 (82 FR 

9175), October 11, 2018 (83 FR 51369), 

November 5, 2019 (84 FR 59549), 

January 17, 2020 (85 FR 2869), and 

November 15, 2021 (86 FR 62928). 

II. Calculation of Annual Inflation 

Adjustment 

The annual inflation adjustment for 

each applicable CMP is determined 

using the percent increase in the 

Consumer Price Index for all Urban 

Consumers (CPI–U) for the month of 

October of the year in which the amount 

of each CMP was most recently 

established or modified. In the 

December 15, 2021, Office of 

Management and Budget (OMB) 

Memorandum for the Heads of 

Executive Agencies and Departments, 

M–22–07, ‘‘Implementation of Penalty 

Inflation Adjustments for 2022, 

Pursuant to the Federal Civil Penalties 

Inflation Adjustment Act Improvements 

Act of 2015,’’ OMB published the 

multiplier for the required annual 

adjustment. The cost-of-living 

adjustment multiplier for 2022, based 

on the CPI–U for the month of October 

2021, not seasonally adjusted, is 

1.06222. The multiplier is applied to 

each applicable penalty amount that 

was updated and published for fiscal 

year (FY) 2021 and is rounded to the 

nearest dollar. 

III. Other Revisions 

In addition to the inflation 

adjustments for 2022, this final rule 

updates the table in 45 CFR 102.3 to add 

references to new, applicable civil 

money penalty authorities that were 

established or implemented since the 

publication of the November 15, 2021 

update and that are being updated in 

this rule. The rule also corrects several 

technical errors to regulatory citations 

in the table and updates descriptions for 

clarification and accuracy. The 

following technical errors were 

identified and are corrected in the table 

at 45 CFR 102.3: 

• The citation to, and description of, 

42 U.S.C. 299c–3(d) are revised for 

accuracy. 

• The regulatory reference of 42 CFR 

1003.210(a)(5) implementing 42 U.S.C. 

1395cc(g) which was inadvertently 

omitted from the regulation and is 

added. 

• The description of the CMP at 42 

U.S.C. 1320a–7a(o) is revised for 

accuracy. 

• The regulatory reference to 45 CFR 

155.206(i) 1 implementing 42 U.S.C. 

18041(c)(2) 2 which was inadvertently 

omitted from the regulation is added. 

Additionally, the amount for this CMP 

was not included in the 2021 inflation 

adjustment rule. 86 FR 62928, 62943 

(Nov. 15, 2021). Thus, we are updating 

the inflation amount at this time. 

• The first description tied to 42 

U.S.C. 1395mm(i)(6)(B)(i) is revised 

from ‘‘is such plan’’ to ‘‘if such plan’’. 

• The regulatory reference to 85 FR 

71142 (Nov. 6, 2020) implementing 

CARES Act, Pub. L. 116–136, section 

3202(b)(2), is revised to read 45 CFR 

182.70. 

++ The 2022 adjusted amount is 

calculated by applying the 2021 

multiplier to 1.06222 percent and this 

adjusted amount is reflected in the table 

of the regulation at 45 CFR 102.3. 


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Federal Register / Vol. 87, No. 52 / Thursday, March 17, 2022 / Rules and Regulations 15101 

IV. Statutory and Executive Order 

Reviews and Waiver of Proposed 

Rulemaking 

The 2015 Act requires Federal 

agencies to publish annual penalty 

inflation adjustments notwithstanding 

section 553 of the Administrative 

Procedure Act (APA). Section 4(a) of the 

2015 Act directs Federal agencies to 

publish annual adjustments no later 

than January 15th of each year 

thereafter. In accordance with section 

553 of the APA, most rules are subject 

to notice and comment and are effective 

no earlier than 30 days after publication 

in the Federal Register. However, 

section 4(b)(2) of the 2015 Act provides 

that each agency shall make the annual 

inflation adjustments ‘‘notwithstanding 

section 553’’ of the APA. According to 

OMB’s Memorandum M–21–10, the 

phrase ‘‘notwithstanding section 553’’ 

in section 4(b)(2) of the 2015 Act means 

that ‘‘the public procedure the APA 

generally requires (that is, notice, an 

opportunity for comment, and a delay in 

effective date) is not required for 

agencies to issue regulations 

implementing the annual adjustment.’’ 

Consistent with the language of the 

2015 Act and OMB’s implementation 

guidance, the inflation adjustments set 

out in this rule are not subject to notice 

and an opportunity for public comment 

and will be effective immediately upon 

publication. Additionally, HHS finds 

that notice and comment procedures 

would be impracticable and 

unnecessary under the APA for making 

the statutorily required inflation 

updates to newly established penalty 

amounts and for the ministerial and 

technical changes in this rule. In 

addition, HHS is waiving notice and 

comment for the non-substantive 

technical corrections set out in this final 

rule. HHS finds good cause for issuing 

these changes as a final rule without 

prior notice and comment because these 

changes only update the regulation to 

add the new CMP authorities that will 

be adjusted in accordance with the 2015 

Act which were implemented since the 

last update. 

Pursuant to OMB Memorandum M– 

21–10, HHS has determined that the 

annual inflation adjustment to the civil 

monetary penalties in its regulations 

does not trigger any requirements under 

procedural statutes and Executive 

Orders that govern rulemaking 

procedures. 

V. Effective and Applicability Dates 

This rule is effective on the date 

specified in the DATES section of this 

final rule. The adjusted civil monetary 

penalty amounts apply to penalties 

assessed on or after date specified in the 

DATES section of this final rule, if the 

violation occurred on or after November 

2, 2015. If the violation occurred before 

November 2, 2015, or a penalty was 

assessed before September 6, 2016, the 

pre-adjustment civil penalty amounts in 

effect before September 6, 2016, will 

apply. 

List of Subjects in 45 CFR Part 102 

Administrative practice and 

procedure, Penalties. 

Accordingly, the Department of 

Health and Human Services amends 45 

CFR part 102 as follows: 

PART 102—ADJUSTMENT OF CIVIL 

MONETARY PENALTIES FOR 

INFLATION 

■ 1. The authority citation for part 102 

is revised to read as follows: 

Authority: Pub. L. 101–410, Sec. 701 of 

Pub. L. 114–74, 31 U.S.C. 3801–3812. 

■ 2. Amend § 102.3 by revising table 1 

to read as follows: 

§ 102.3 Penalty adjustment and table. 

* * * * * 

BILLING CODE 4150–24–P 


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TABLE 1 TO §102.3 -- CIVIL MONETARY PENALTY AUTHORITIES ADMINISTERED BY HHS 

Date of Last 2021 2022 

HHS Penalty Maximum Maximum U.S.C. Section(s) CFR1 

Agency Description2 Figure or adjusted adjusted 

Adjustment3 penalty penalty ($)4 ($) 

21 U.S.C.: 

Penalty for violations related to drug samples resulting 

333(b)(2)(A) FDA in a conviction of any representative of manufacturer or 2021 108,315 115,054 

distributor in anv 10-vear oeriod 

Penalty for violation related to drug samples resulting in 

333(b)(2)(B) FDA a conviction of any representative of manufacturer or 2021 2,166,279 2,301,065 distributor after the second conviction in any 10-yr 

period 

333(b)(3) FDA Penalty for failure to make a report required by 21 2021 216,628 230,107 U.S.C. 353(d)(3)(E) relating to drug samples 

333(f)(1)(A) FDA Penalty for any person who violates a requirement 2021 29,256 31,076 related to devices for each such violation 

FDA Penalty for aggregate of all violations related to devices 2021 1,950,461 2,071,819 in a single proceeding 

Penalty for any individual who introduces or delivers for 

introduction into interstate commerce food that is 

FDA adulterated per 21 U.S.C. 342(a)(2)(B) or any individual 2021 82,245 87,362 

who does not comply with a recall order under 21 

U.S.C. 3501 

333(f)(2)(A) Penalty in the case of any other person (other than an 

FDA individual) for such introduction or delivery of 2021 411,223 436,809 

adulterated food 

FDA Penalty for aggregate of all such violations related to 2021 822,445 873,618 adulterated food adjudicated in a single proceeding 

Penalty for all violations adjudicated in a single 

proceeding for any person who violates 21 U.S.C. 

331@ by failing to submit the certification required by 

42 U.S.C. 2820)(5)(B) or knowingly submitting a false 

333(f)(3)(A) FDA certification; by failing to submit clinical trial information 2021 12,462 13,237 

under 42 U.S.C. 2820); or by submitting clinical trial 

information under 42 U.S.C. 2820) that is false or 

misleading in any particular under 42 U.S.C. 

282(i)(5)(D) 

Penalty for each day any above violation is not 

333(f)(3)(B) FDA corrected after a 30-day period following notification 2021 12,462 13,237 

until the violation is corrected 

Penalty for any responsible person that violates a 

requirement of 21 U.S.C. 355(0) (post-marketing 

FDA studies, clinical trials, labeling), 21 U.S.C. 355(p) (risk 2021 311,563 330,948 

333(f)(4)(A)(i) evaluation and mitigation (REMS)), or 21 U.S.C. 355-1 

(REMS) 

FDA Penalty for aggregate of all such above violations in a 2021 1,246,249 1,323,791 sinale proceedina 
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Penalty for REMS violation that continues after written 

FDA notice to the responsible person for the first 30-day 2021 311,563 330,948 period (or any portion thereof) the responsible person 

333(f)(4)(A)(ii) continues to be in violation 

Penalty for REMS violation that continues after written 

FDA notice to responsible person doubles for every 30-day 2021 1,246,249 1,323,791 period thereafter the violation continues, but may not 

exceed penalty amount for any 30-day period 

FDA Penalty for aggregate of all such above violations 2021 12,462,49 13,237,910 adjudicated in a single proceeding 4 

Penalty for any person who violates a requirement 

FDA which relates to tobacco products for each such 2021 18,068 19,192 

333(f)(9)(A) violation 

Penalty for aggregate of all such violations of tobacco 

FDA product requirement adjudicated in a single 2021 1,204,504 1,279,448 

proceedinq. 

FDA Penalty per violation related to violations of tobacco 2021 301,127 319,863 requirements 

333(f)(9)(B)(i)(I) Penalty for aggregate of all such violations of tobacco 

FDA product requirements adjudicated in a single 2021 1,204,504 1,279,448 

proceeding. 

Penalty in the case of a violation of tobacco product 

FDA requirements that continues after written notice to such 2021 301,127 319,863 person, for the first 30-day period (or any portion 

thereof) the person continues to be in violation 

Penalty for violation of tobacco product requirements 

333(f)(9)(B)(i)(I I) that continues after written notice to such person shall 

FDA double for every 30-day period thereafter the violation 2021 1,204,504 1,279,448 

continues, but may not exceed penalty amount for any 

30-day period. 

Penalty for aggregate of all such violations related to 12,045,04 FDA tobacco product requirements adjudicated in a single 2021 4 12,794,487 

proceedinq. 

Penalty for any person who either does not conduct 

post-market surveillance and studies to determine 

impact of a modified risk tobacco product for which the 

333(f)(9)(B)(ii)(I) FDA HHS Secretary has provided them an order to sell, or 2021 301,127 319,863 

who does not submit a protocol to the HHS Secretary 

after being notified of a requirement to conduct postmarket surveillance of such tobacco products 

FDA Penalty for aggregate of for all such above violations 2021 1,204,504 1,279,448 adiudicated in a sinale oroceedina. 

Penalty for violation of modified risk tobacco product 

post-market surveillance that continues after written 

FDA notice to such person for the first 30-day period (or any 2021 301,127 319,863 

portion thereof) that the person continues to be in 

violation 

Penalty for post-notice violation of modified risk 

333(f)(9)(B)(ii)(II) tobacco product post-market surveillance shall double 

FDA for every 30-day period thereafter that the tobacco 2021 1,204,504 1,279,448 product requirement violation continues for any 30-day 

period, but may not exceed penalty amount for any 30-

dav oeriod. 

Penalty for aggregate above tobacco product 12,045,04 requirement violations adjudicated in a single 2021 4 12,794,487 

proceedinq. 

Penalty for any person who disseminates or causes 

333(g)(1) FDA another party to disseminate a direct-to-consumer 2021 311,563 330,948 advertisement that is false or misleading for the first 

such violation in anv 3-vear oeriod 

Penalty for each subsequent above violation in any 3- 2021 623,125 661,896 year period. 

Penalty to be applied for violations of 21 U.S.C. 

§ 387f(d)(5) or of violations of restrictions on the sale or 

333 note FDA distribution of tobacco products promulgated under 21 2021 301 320 

U.S.C. 387f(d) (e.g., violations of regulations in 21 CFR 

part 1140) with respect to a retailer with an approved 
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training program in the case of a second regulation 

violation within a 12-month period. 

Penalty in the case of a third violation of 21 U.S.C. 

FDA § 387f(d)(5) or of the tobacco product regulations within 2021 601 638 

a 24-month period. 

Penalty in the case of a fourth violation of 21 U.S.C. 

FDA § 387f(d)(5) or of the tobacco product regulations within 2021 2,409 2,559 

a 24-month period. 

Penalty in the case of a fifth violation of 21 U.S.C. 

FDA § 387f(d)(5) or of the tobacco product regulations within 2021 6,022 6,397 

a 36-month period. 

Penalty in the case of a sixth or subsequent violation of 

FDA 21 U.S.C. § 387f(d)(5) or of the tobacco product 2021 12,045 12,794 regulations within a 48-month period as determined on 

a case-bv-case basis. 

Penalty to be applied for violations of 21 U.S.C. 

§ 387f(d)(5) or of violations of restrictions on the sale or 

distribution of tobacco products promulgated under 21 

FDA U.S.C. 387f(d) (e.g., violations of regulations in 21 CFR 2021 301 320 

part 1140) with respect to a retailer that does not have 

an approved training program in the case of the first 

regulation violation. 

Penalty in the case of a second violation of 21 U.S.C. 

FDA § 387f(d)(5) or of the tobacco product regulations within 2021 601 638 

a 12-month period. 

Penalty in the case of a third violation of 21 U.S.C. 

FDA § 387f(d)(5) or of the tobacco product regulations within 2021 1,205 1,280 

a 24-month period. 

Penalty in the case of a fourth violation of 21 U.S.C. 

FDA § 387f(d)(5) or of the tobacco product regulations within 2021 2,409 2,559 

a 24-month period. 

Penalty in the case of a fifth violation of 21 U.S.C. 

FDA § 387f(d)(5) or of the tobacco product regulations within 2021 6,022 6,397 

a 36-month period. 

Penalty in the case of a sixth or subsequent violation of 

FDA 21 U.S.C. § 387f(d)(5) or of the tobacco product 2021 12,045 12,794 regulations within a 48-month period as determined on 

a case-by-case basis. 

Penalty for each violation for any individual who made 

a false statement or misrepresentation of a material 

fact, bribed, destroyed, altered, removed, or secreted, 

335b(a) FDA or procured the destruction, alteration, removal, or 2021 459,074 487,638 secretion of, any material document, failed to disclose 

a material fact, obstructed an investigation, employed a 

consultant who was debarred, debarred individual 

provided consultant services 

FDA Penalty in the case of any other person ( other than an 2021 1,836,294 1,950,548 individual) oer above violation. 

Penalty for any person who violates any such 

360pp(b )( 1) FDA requirements for electronic products, with each 2021 3,011 3,198 unlawful act or omission constituting a separate 

violation 

FDA Penalty imposed for any related series of violations of 2021 1,026,380 1,090,241 requirements relating to electronic products. 

42 U.S.C. 2021 -

Penalty per day for violation of order of recall of 

262(d) FDA biological product presenting imminent or substantial 2021 236,071 250,759 

hazard 

263b(h)(3) FDA Penalty for failure to obtain a mammography certificate 2021 18,364 19,507 as required 

Penalty per occurrence for any vaccine manufacturer 

300aa-28(b )( 1) FDA that intentionally destroys, alters, falsifies, or conceals 2021 236,071 250,759 

any record or report required 
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256b(d)(1 )(B)(vi) HRSA Penalty for each instance of overcharging a 340B 2021 5,953 6,323 covered entity 

Penalty for using or disclosing identifiable information 

obtained in the course of activities undertaken pursuant 

299c-3(d) AHRQ to Title IX of the Public Health Service Act, for a 2021 15,480 16,443 

purpose other than that for which the information was 

supplied, without consent to do so. 

45CFR Penalty for Misuse of Information in the National 653(1)(2) 303.21(f ACF 2021 1,588 1,687 

) Directory of New Hires 

42 CFR Penalty for each individual who violates safety and 

262a(i)(1) 1003.91 OIG security procedures related to handling dangerous 2021 359,053 381,393 

0 biological agents and toxins 

Penalty for any other person who violates safety and 

OIG security procedures related to handling dangerous 2021 718,109 762,790 

biological agents and toxins. 

300jj-51 OIG Penalty per violation for committing information 2021 1,094,805 1,162,924 blocking 

42 CFR Penalty for knowingly presenting or causing to be 

1003.21 OIG presented to an officer, employee, or agent of the 2021 21,113 22,427 

0(a)(1) United States a false claim 

Penalty for knowingly presenting or causing to be 

OIG presented a request for payment which violates the 2021 21,113 22,427 

terms of an assignment, agreement, or PPS agreement 

42 CFR Penalty for knowingly giving or causing to be presented 

1003.21 OIG to a participating provider or supplier false or 2021 31,670 33,641 

0(a)(2) misleading information that could reasonably be 

expected to influence a discharae decision. 

42 CFR Penalty for an excluded party retaining ownership or 1003.21 OIG 2021 21,113 22,427 

0(a\(3\ control interest in a participating entity. 

42 CFR Penalty for remuneration offered to induce program 

1003.10 OIG beneficiaries to use particular providers, practitioners, 2021 21,113 22,427 

10 or suppliers. 

42 CFR Penalty for employing or contracting with an excluded 1003.21 OIG 2021 21,113 22,427 

0(a)(4) individual. 

1320a-7a(a) Penalty for knowing and willful solicitation, receipt, 

42 CFR offer, or payment of remuneration for referring an 

1003.31 OIG individual for a service or for purchasing, leasing, or 2021 105,563 112,131 

0(a)(3) ordering an item to be paid for by a Federal health care 

proaram. 

42 CFR Penalty for ordering or prescribing medical or other 

1003.21 OIG item or service during a period in which the person was 2021 21,113 22,427 

0(a)(1) excluded. 

42 CFR Penalty for knowingly making or causing to be made a 

1003.21 OIG false statement, omission or misrepresentation of a 2021 105,563 112,131 

0(a)(6) material fact in any application, bid, or contract to 

participate or enroll as a provider or supplier. 

42 CFR Penalty for knowing of an overpayment and failing to 1003.21 OIG 2021 21,113 22,427 

0(a\(81 report and return. 

42 CFR Penalty for making or using a false record or statement 1003.21 OIG 2021 59,527 63,231 

0(a\(71 that is material to a false or fraudulent claim. 

42 CFR Penalty for failure to grant timely access to HHS OIG 

1003.21 OIG for audits, investigations, evaluations, and other 2021 31,670 33,641 

0(a)(9) statutory functions of HHS OIG. 

Penalty for payments by a hospital or critical access 

OIG hospital to induce a physician to reduce or limit 2021 5,278 5,606 services to individuals under direct care of physician or 

who are entitled to certain medical assistance benefits 

1320a-7 a(b) Penalty for physicians who knowingly receive 

payments from a hospital or critical access hospital to 

OIG induce such physician to reduce or limit services to 2021 5,278 5,606 

individuals under direct care of physician or who are 

entitled to certain medical assistance benefits. 
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42 CFR Penalty for a physician who executes a document that 

1003.21 OIG falsely certifies home health needs for Medicare 2021 10,556 11,213 

O(a)(10) beneficiaries. 

Penalty for knowingly presenting or causing to be 

OIG presented a false or fraudulent specified claim under a 2021 10,296 10,937 grant, contract, or other agreement for which the 

Secretarv orovides fundina. 

Penalty for knowingly making, using, or causing to be 

made or used any false statement, omission, or 

misrepresentation of a material fact in any application, 

OIG proposal, bid, progress report, or other document 2021 51,483 54,686 

required to directly or indirectly receive or retain funds 

provided pursuant to grant, contract, or other 

agreement. 

Penalty for Knowingly making, using, or causing to be 

1320a-7a(o) OIG made or used, a false record or statement material to a 2021 51,483 54,686 false or fraudulent specified claim under grant, 

contract, or other aareement. 

Penalty for knowingly making, using, or causing to be 53,772 

made or used, a false record or statement material to each false 53,772 each 

OIG an obligation to pay or transmit funds or property with 2021 record or false record 

respect to grant, contract, or other agreement, or statement, or statement, 

knowingly conceals or improperly avoids or decreases 10,754 per 10,754 per 

any such obligation. day day 

Penalty for failure to grant timely access, upon 

reasonable request, to the I.G. for purposes of audits, 

OIG investigations, evaluations, or other statutory functions 2021 15,445 16,406 

of I.G. in matters involving grants, contracts, or other 

aareements. 

42 CFR Penalty for failure to report any final adverse action 

1320a-7e(b)(6)(A) 1003.81 OIG taken against a health care provider, supplier, or 2021 40,282 42,788 

0 practitioner 

42 CFR Penalty for the misuse of words, symbols, or emblems 

1320b-1 O(b)(1) 1003.61 OIG in communications in a manner in which a person could 2021 10,832 11,506 falsely construe that such item is approved, endorsed, O(a) or authorized bv HHS 

42 CFR Penalty for the misuse of words, symbols, or emblems 

1320b-10(b )(2) 1003.61 OIG in a broadcast or telecast in a manner in which a 2021 54,157 57,527 person could falsely construe that such item is O(a) annroved, endorsed, or authorized bv HHS 

1395i- 42 CFR Penalty for certification of a false statement in 

3(b)(3)(B)(ii)(1) 1003.21 OIG assessment of functional capacity of a Skilled Nursing 2021 2,259 2,400 

O(a)(11) Facility resident assessment 

1395i- 42 CFR Penalty for causing another to certify or make a false 

3(b)(3)(B)(ii)(2) 1003.21 OIG statement in assessment of functional capacity of a 2021 11,292 11,995 

O(a)(11) Skilled Nursing Facility resident assessment 

42 CFR Penalty for any individual who notifies or causes to be 

1395i-3(g)(2)(A) 1003.13 OIG notified a Skilled Nursing Facility of the time or date on 2021 4,518 4,799 

10 which a survey is to be conducted 

Penalty for a Medicare Advantage organization that 

OIG substantially fails to provide medically necessary, 2021 41,120 43,678 

required items and services 

OIG Penalty for a Medicare Advantage organization that 2021 40,282 42,788 charges excessive premiums. 

OIG Penalty for a Medicare Advantage organization that 2021 40,282 42,788 improperly expels or refuses to reenroll a beneficiary. 

1395w- 42 CFR Penalty for a Medicare Advantage organization that 

27(g)(2)(A) 1003.41 OIG engages in practice that would reasonably be expected 2021 161,130 171,156 0 to have the effect of denying or discouraging 

enrollment. 

Penalty per individual who does not enroll as a result of 

OIG a Medicare Advantage organization's practice that 2021 24,169 25,673 would reasonably be expected to have the effect of 

denvina or discouraaina enrollment. 

OIG Penalty for a Medicare Advantage organization 2021 161,130 171,156 misrepresenting or falsifying information to Secretary. 
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Penalty for a Medicare Advantage organization 

OIG misrepresenting or falsifying information to individual or 2021 40,282 42,788 

other entity. 

Penalty for Medicare Advantage organization 

OIG interfering with provider's advice to enrollee and non- 2021 40,282 42,788 

MCO affiliated oroviders that balance bill enrollees. 

OIG Penalty for a Medicare Advantage organization that 2021 40,282 42,788 employs or contracts with excluded individual or entity. 

OIG Penalty for a Medicare Advantage organization 2021 40,282 42,788 enrolling an individual in without prior written consent. 

Penalty for a Medicare Advantage organization 

OIG transferring an enrollee to another plan without consent 2021 40,282 42,788 

or solely for the ouroose of earning a commission. 

Penalty for a Medicare Advantage organization failing 

OIG to comply with marketing restrictions or applicable 2021 40,282 42,788 

imolementing regulations or guidance. 

Penalty for a Medicare Advantage organization 

OIG employing or contracting with an individual or entity 2021 40,282 42,788 

who violates 1395w-27(a)(1)(A)-(J). 

Penalty for a prescription drug card sponsor that 

1395w-141 (i)(3) OIG falsifies or misrepresents marketing materials, 2021 14,074 14,950 overcharges program enrollees, or misuse transitional 

assistance funds 

42 CFR Penalty for improper billing by Hospitals, Critical 1395cc(g) 1003.21 OIG 2021 5,475 5,816 

0(a)(5) Access Hospitals, or Skilled Nursing Facilities 

42 CFR Penalty for a hospital with 100 beds or more or 

1395dd(d)(1) 1003.51 OIG responsible physician dumping patients needing 2021 112,916 119,942 

0 emergency medical care. 

Penalty for a hospital with less than 100 beds dumping 2021 56,460 59,973 patients needing emergency medical care. 

Penalty for a HMO or competitive medical plan if such 

OIG plan substantially fails to provide medically necessary, 2021 56,460 59,973 

required items or services 

OIG Penalty for HMOs/compelitive medical plans that 2021 56,460 59,973 charge premiums in excess of permitted amounts. 

Penalty for a HMO or competitive medical plan that 

OIG expels or refuses to reenroll an individual per 2021 56,460 59,973 

orescribed conditions. 

Penalty for a HMO or competitive medical plan that 

OIG implements practices to discourage enrollment of 2021 225,834 239,885 

individuals needing services in future. 

1395mm(i)(6)(B)(i 42 CFR Penalty per individual not enrolled in a plan as a result 

1003.41 of a HMO or competitive medical plan that implements ) 0 OIG practices to discourage enrollment of individuals 2021 32,495 34,517 

needing services in the future. 

OIG Penalty for a HMO or competitive medical plan that 2021 225,834 239,885 misrepresents or falsifies information to the Secretary. 

Penalty for a HMO or competitive medical plan that 

OIG misrepresents or falsifies information to an individual or 2021 56,460 59,973 

any other entitY. 

Penalty for failure by HMO or competitive medical plan 

OIG to assure prompt payment of Medicare risk sharing 2021 56,460 59,973 

contracts or incentive clan orovisions. 

OIG Penalty for HMO that employs or contracts with 2021 51,827 55,052 excluded individual or entitY. 

42 CFR Penalty for submitting or causing to be submitted 

1395nn(g)(3) 1003.31 OIG claims in violation of the Stark Law's restrictions on 2021 26,125 27,750 

0 ohysician self-referrals 

42 CFR Penalty for circumvention schemes in violation of the 1395nn(g)(4) 1003.31 OIG 2021 174,172 185,009 

0 Stark Law's restrictions on physician self-referrals 

42 CFR Penalty for a material misrepresentation regarding 1395ss( d)( 1) 1003.11 OIG 2021 10,832 11,506 

10 Medigap compliance policies 
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42 CFR 

1395ss(d)(2) 1003.11 OIG Penalty for selling Medigap policy under false pretense 2021 10,832 11,506 

10 

42 CFR Penalty for an issuer that sells health insurance policy 1395ss(d)(3)(A)(ii) 1003.11 OIG 2021 48,762 51,796 

10 that duplicates benefits 

OIG Penalty for someone other than issuer that sells health 2021 29,256 31,076 insurance that duplicates benefits. 

42 CFR Penalty for using mail to sell a non-approved Medigap 1395ss( d)( 4 )(A) 1003.11 OIG 2021 10,832 11,506 

10 insurance policy 

OIG Penalty for a Medicaid MCO that substantially fails to 2021 54,157 57,527 provide medically necessary, required items or services 

OIG Penalty for a Medicaid MCO that charges excessive 2021 54,157 57,527 premiums. 

OIG Penalty for a Medicaid MCO that improperly expels or 2021 216,628 230,107 refuses to reenroll a beneficiary. 

Penalty per individual who does not enroll as a result of 

42 CFR OIG a Medicaid MCO's practice that would reasonably be 2021 32,495 34,517 1396b(m)(5)(B)(i) 1003.41 expected to have the effect of denying or discouraging 

0 enrollment. 

OIG Penalty for a Medicaid MCO misrepresenting or 2021 216,628 230,107 falsifvinQ information to the Secretary. 

OIG Penalty for a Medicaid MCO misrepresenting or 2021 54,157 57,527 falsifying information to an individual or another entity. 

Penalty for a Medicaid MCO that fails to comply with 

OIG contract requirements with respect to physician 2021 48,762 51,796 

incentive olans. 

1396r(b)(3)(B)(ii)(I 42 CFR Penalty for willfully and knowingly certifying a material 

1003.21 OIG and false statement in a Skilled Nursing Facility 2021 2,259 2,400 ) 0(a)(11) resident assessment 

1396r(b)(3)(B)(ii)(I 42 CFR Penalty for willfully and knowingly causing another 

1003.21 OIG individual to certify a material and false statement in a 2021 11,292 11,995 I) 0(a)(11) Skilled Nursing Facility resident assessment 

42 CFR Penalty for notifying or causing to be notified a Skilled 

1396r(g)(2)(A)(i) 1003.13 OIG Nursing Facility of the time or date on which a survey is 2021 4,518 4,799 

10 to be conducted 

42 CFR Penalty for the knowing provision of false information or 

1396r-8(b)(3)(B) 1003.12 OIG refusing to provide information about charges or prices 2021 195,047 207,183 

10 of a covered outpatient druQ 

1396r- 42 CFR Penalty per day for failure to timely provide information 1003.12 OIG 2021 19,505 20,719 8(b)(3)(C)(i) 10 by drug manufacturer with rebate agreement 

1396r- 42 CFR Penalty for knowing provision of false information by 1003.12 OIG 2021 195,047 207,183 8(b)(3)(C)(ii) 10 drug manufacturer with rebate agreement 

42 CFR Penalty for notifying home and community-based 1396t(i)(3)(A) 1003.13 OIG 2021 3,901 4,144 

10 providers or settings of survey 

42 CFR Penalty for failing to report a medical malpractice claim 11131(c) 1003.81 OIG 2021 23,607 25,076 

0 to National Practitioner Data Bank 

42 CFR Penalty for breaching confidentiality of information 11137(b)(2) 1003.81 OIG 2021 23,607 25,076 

0 reported to National Practitioner Data Bank 

299b-22(f)( 1) 42 CFR OCR Penalty for violation of confidentiality provision of the 2021 13,072 13,885 3.404 Patient Safety and Quality Improvement Act 

45CFR 

160.404 OCR Penalty for each pre-February 18, 2009 violation of the 2021 164 174 (b)(1)(i), HIPAA administrative simplification provisions 

(ii) 

Calendar Year Cap 2021 41,120 43,678 
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Penalty for each February 18, 2009 or later violation of 

a HIPAA administrative simplification provision in which 

it is established that the covered entity or business 2021 0 

45CFR associate did not know and by exercising reasonable 

diligence, would not have known that the covered entity 160.404 OCR or business associate violated such a provision: (b)(2)(i)( 

A), (B) Minimum 2021 120 127 

Maximum 2021 60,226 63,973 

Calendar Year Cap 2021 1,806,757 1,919,173 

Penalty for each February 18, 2009 or later violation of 

a HIPAA administrative simplification provision in which 2021 0 it is established that the violation was due to 45CFR reasonable cause and not to willful neglect: 160.404 

(b)(2)(ii) OCR 

(A), (B) 

Minimum 2021 1,205 1,280 

Maximum 2021 60,226 63,973 

Calendar Year Cap 2021 1,806,757 1,919,173 

1320(d)-5(a) Penalty for each February 18, 2009 or later violation of 

a HIPAA administrative simplification provision in which 

it is established that the violation was due to willful 

neglect and was corrected during the 30-day period 2021 

45CFR beginning on the first dale the covered entity or 

business associate knew, or, by exercising reasonable 

160.404 OCR diligence, would have known that the violation (b)(2)(iii occurred: )(A), (B) 

Minimum 2021 12,045 12,794 

Maximum 2021 60,226 63,973 

Calendar Year Cap 2021 1,806,757 1,919,173 

Penalty for each February 18, 2009 or later violation of 

a HIPAA administrative simplification provision in which 

ii is established that the violation was due to willful 

neglect and was not corrected during the 30-day period 2021 

45CFR beginning on the first date the covered entity or 

business associate knew, or by exercising reasonable 

160.404 OCR diligence, would have known that the violation (b)(2)(iv occurred: )(A), (B) 

Minimum 2021 60,226 63,973 

Maximum 2021 1,806,757 1,919,173 

Calendar Year Cap 2021 1,806,757 1,919,173 

42 U.S.C. 300gg- Penalty for a hospital's non-compliance with making 

18, 42 U.S.C. 

45 CFR 

180.90 CMS public standard charges for hospital items and services 2021 304 300 per day 

1302 

Per Day (Maximum) 2021 304 5500 per day 

CARES Act, P.L. 45CFR Penalty for a provider's non-compliance with price 

116-136, section 182.70 CMS transparency requirements regarding diagnostic tests 2021 - 3202(b)(2) for COVID-19 

Per Day (Maximum) 2021 $300 per day 
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Penalty for a clinical laboratory's failure to meet 

42 CFR participation and certification requirements and poses 2021 

493.183 CMS 

immediate jeopardy: 

4(d)(2)(i 

). 

263a(h)(2)(B) & Minimum 2021 6,607 7,018 

1395w- Maximum 2021 21,663 23,011 2(b)(2)(A)(ii) 42 CFR 

493.183 Penalty for a clinical laboratory's failure to meet 

4(d)(2)(i participation and certification requirements and the 2021 

i). CMS 

failure does not pose immediate jeopardy: 

Minimum 2021 109 116 

Maximum 2021 6,498 6,902 

42 CFR Penalty for a clinical laboratory's failure to meet SARS- 2021 CoV-2 test reporting requirements: 493.183 CMS 4(d)(2)(i First day of noncompliance 2021 

ii) Each additional day of noncompliance 2021 

45CFR Failure to provide the Summary of Benefits and 300gg-15(f) 147.200 CMS 2021 1,190 1,264 

(e) Coverage 

300gg-18 45CFR CMS Penalty for violations of regulations related to the 2021 119 126 158.606 medical loss ratio reoortina and rebatina 

Price against hospital identified by CMS as 

45CFR noncompliant according to §182.50 with respect to 

180.90 CMS price transparency requirements regarding diagnostic 2021 

tests for COVID-19. 

42 USC 300gg- Penalties for failure to comply with No Surprises 

118 note, CMS Act requirements on providers, facilities, 2021 10,000 10,622 

300qq-134 providers of air ambulance services. 

Penalty for manufacturer or group purchasing 

42 CFR organization failing to report information required under 2021 42 U.S.C. 1320a-7h(a), relating to physician ownership 402.105 or investment interests: (d)(5), 1320a-7h(b)(1) 42 CFR CMS 

Minimum 2021 1,190 1,264 

403.912 

(a) & (c) Maximum 2021 11,905 12,646 

Calendar Year Cap 2021 178,581 189,692 

42 CFR 

402.105 Penalty for manufacturer or group purchasing 

1320a-7h(b )(2) (h), 42 CMS organization knowingly failing to report information 2021 CFR required under 42 U.S.C. 1320a-7h(a), relating to 

403.912 physician ownership or investment interests: 

(b) & (c) 

Minimum 2021 11,905 12,646 

Maximum 2021 119,055 126,463 

Calendar Year Cap 2021 1,190,546 1,264,622 

Penalty for an administrator of a facility that fails to 

CMS comply with notice requirements for the closure of a 2021 119,055 126,463 

facility 

42 CFR 

488.446 Minimum penalty for the first offense of an 

1320a-7j(h)(3)(A) (a)(1), CMS administrator who fails to provide notice of facility 2021 595 632 

(2), & closure 

(3) 
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Minimum penalty for the second offense of an 

administrator who fails to provide notice of facility 2021 1,787 1,898 

closure. 

Minimum penalty for the third and subsequent offenses 

of an administrator who fails to provide notice of facility 2021 3,571 3,793 

closure. 

Penalty for an entity knowingly making a false 

statement or representation of material fact in the 

determination of the amount of benefits or payments 

1320a-8(a)(1) CMS related to old-age, survivors, and disability insurance 2021 8,708 9,250 

benefits, special benefits for certain World War II 

veterans, or supplemental security income for the 

aaed, blind, and disabled 

Penalty for violation of 42 U.S.C. 1320a-8(a)(1) if the 

violator is a person who receives a fee or other income 

for services performed in connection with determination 2021 8,212 8,723 of the benefit amount or the person is a physician or 

other health care provider who submits evidence in 

connection with such a determination. 

Penalty for a representative payee (under 42 U.S.C. 

405(j), 1007, or 1383(a)(2)) converting any part of a 

1320a-8(a)(3) CMS received payment from the benefit programs described 2021 6,820 7,244 

in the previous civil monetary penalty to a use other 

than for the benefit of the beneficiarv 

Penalty for failure of covered individuals to report to the 

1320b-25(c)(1)(A) CMS Secretary and 1 or more law enforcement officials any 2021 238,110 252,925 reasonable suspicion of a crime against a resident, or 

individual receiving care, from a long-term care facility 

Penalty for failure of covered individuals to report to the 

Secretary and 1 or more law enforcement officials any 

1320b-25(c)(2)(A) CMS reasonable suspicion of a crime against a resident, or 2021 357,163 379,386 individual receiving care, from a long-term care facility 

if such failure exacerbates the harm to the victim of the 

crime or results in the harm to another individual 

Penalty for a long-term care facility that retaliates 

against any employee because of lawful acts done by 

1320b-25( d)(2) CMS the employee, or files a complaint or report with the 2021 238,110 252,925 State professional disciplinary agency against an 

employee or nurse for lawful acts done by the 

emolovee or nurse 

42 CFR Penalty for any person who knowingly and willfully fails 

1395b-7(b)(2)(B) 402.105 CMS to furnish a beneficiary with an itemized statement of 2021 161 171 

(g) items or services within 30 days of the beneficiary's 

reauest 

42 CFR 

1395i- 488.408 CMS Penalty per day for a Skilled Nursing Facility that has a 2021 3(h)(2)(B)(ii)(I) (d)(1 )(iii Category 2 violation of certification requirements: 

) 

Minimum 2021 113 120 

Maximum 2021 6,774 7,195 

42 CFR 

488.408 CMS Penalty per instance of Category 2 noncompliance by a 2021 (d)(1 )(iv Skilled Nursing Facility: 

) 

Minimum 2021 2,259 2,400 

Maximum 2021 22,584 23,989 

42 CFR 

488.408 CMS Penalty per day for a Skilled Nursing Facility that has a 2021 (e)(1 )(iii Category 3 violation of certification requirements: 

) 

Minimum 2021 6,888 7,317 

Maximum 2021 22,584 23,989 

42 CFR CMS Penalty per instance of Category 3 noncompliance by a 2021 488.408 Skilled Nursing Facility: 
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(e)(1 )(iv 

) 

Minimum 2021 2,259 2,400 

Maximum 2021 22,584 23,989 

Penalty per day and per instance for a Skilled Nursing 

Facility that has Category 3 noncompliance with 2021 

Immediate Jeopardy: 

42 CFR Per Day (Minimum) 2021 6,888 7,317 

488.408 CMS 

(e)(2)(ii) Per Day (Maximum) 2021 22,584 23,989 

Per Instance (Minimum) 2021 2,259 2,400 

Per Instance (Maximum) 2021 22,584 23,989 

Penalty per day of a Skilled Nursing Facility that fails to 

meet certification requirements. These amounts 2021 

42 CFR represent the upper ranQe per day: 488.438 CMS 

(a)(1 )(i) Minimum 2021 6,888 7,317 

Maximum 2021 22,584 23,989 

Penalty per day of a Skilled Nursing Facility that fails to 

meet certification requirements. These amounts 2021 

42 CFR represent the lower ranQe per day: 488.438 CMS 

(a)(1 )(ii) Minimum 2021 113 120 

Maximum 2021 6,774 7,195 

Penalty per instance of a Skilled Nursing Facility that 2021 

42 CFR fails to meet certification reQuirements: 

488.438 CMS Minimum 2021 2,259 2,400 

(a)(2) 

Maximum 2021 22,584 23,989 

Penalty imposed for failure to comply with infection 

control weekly reporting requirements at 42 CFR 2021 

42 CFR 483.80(a)(1) and (2) 

488.447 CMS First occurrence 2021 1,012 1,075 

Incremental increases for each subsequent 

occurrences 2021 506 537 

Penalty for knowingly, willfully, and repeatedly billing 

42 CFR for a clinical diagnostic laboratory test other than on an 

1395I(h)(5)(D) 402.105 CMS assignment-related basis. (Penalties are assessed in 2021 16,449 17,472 

(d)(2)(i) the same manner as 42 U.S.C. 1395uG)(2)(B), which is 

assessed according to 1320a-7a(a)) 

Penalty for knowingly and willfully presenting or 

causing to be presented a bill or request for payment 

1395I(i)(6) CMS for an intraocular lens inserted during or after cataract 2021 4,333 4,603 

surgery for which the Medicare payment rate includes 

the cost of acauirina the class of lens involved 

42 CFR Penalty for knowingly and willfully failing to provide 

1395I(q)(2)(B)(i) 402.105 CMS information about a referring physician when seeking 2021 4,146 4,404 

(a) payment on an unassigned basis 

Penalty for any durable medical equipment supplier 

42 CFR that knowingly and willfully charges for a covered 

402.1 (c) service that is furnished on a rental basis after the 

1395m ( a)( 11 )(A) (4), CMS rental payments may no longer be made. (Penalties 2021 16,449 17,472 

402.105 are assessed in the same manner as 42 U.S.C. 

(d)(2)(ii) 1395u0)(2)(B), which is assessed according to 1320a7a(all 

42 CFR Penalty for any nonparticipating durable medical 

402.1 (c) equipment supplier that knowingly and willfully fails to 

1395m(a)(18)(B) (5), CMS make a refund to Medicare beneficiaries for a covered 2021 16,449 17,472 

402.105 service for which payment is precluded due to an 

unsolicited telephone contact from the supplier. 
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(d)(2)(iii (Penalties are assessed in the same manner as 42 

) U.S.C. 1395uU)(2)(B), which is assessed according to 

1320a-7a(a)) 

42 CFR Penalty for any nonparticipating physician or supplier 

402.1 (c) that knowingly and willfully charges a Medicare 

1395m(b)(5)(C) (6), CMS beneficiary more than the limiting charge for radiologist 2021 16,449 17,472 402.105 services. (Penalties are assessed in the same manner 

(d)(2)(iv as 42 U.S.C. 1395uU)(2)(B), which is assessed 

) according to 1320a-7a(a)) 

Penalty for any supplier of prosthetic devices, orthotics, 

42 CFR and prosthetics that knowing and willfully charges for a 

402.1 (c) covered prosthetic device, orthotic, or prosthetic that is 

1395m(h)(3) (8), CMS furnished on a rental basis after the rental payment 2021 16,449 17,472 402.105 may no longer be made. (Penalties are assessed in the 

(d)(2)(vi same manner as 42 U.S.C. 1395m(a)(11 )(A), that is in 

) the same manner as 1395uU)(2)(B), which is assessed 

according to 1320a-7a(a)) 

Penalty for any supplier of durable medical equipment 

including a supplier of prosthetic devices, prosthetics, 

orthotics, or supplies that knowingly and willfully 

1395mU)(2)(A)(iii) CMS distributes a certificate of medical necessity in violation 2021 1,742 1,850 

of Section 1834U)(2)(A)(i) of the Act or fails to provide 

the information required under Section 1834U)(2)(A)(ii) 

of the Act 

Penalty for any supplier of durable medical equipment, 

42 CFR including a supplier of prosthetic devices, prosthetics, 

402.1 (c) orthotics, or supplies that knowingly and willfully fails to 

make refunds in a timely manner to Medicare 

1395mU)(4) (10), CMS beneficiaries for series billed other than on as 2021 16,449 17,472 402.105 

(d)(2)(vi assignment-related basis under certain conditions. 

(Penalties are assessed in the same manner as 42 i) U.S.C. 1395mU)(4) and 1395uU)(2)(B), which is 

assessed according to 1320a-7a(a)) 

42 C.F.R. 

§ Penalty for an applicable entity that has failed to report or made a 

1395m-1(a) 414.504(e CMS misrepresentation or omission in reporting applicable information 2021 10,967 11,649 

) 

with respect to a clinical diagnostic laboratory test. 
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Penalty for any person or entity who knowingly and 

42 CFR willfully bills or collects for any outpatient therapy 

402.1 (c) services or comprehensive outpatient rehabilitation 

(31), CMS services on other than an assignment-related basis. 2021 16,449 17,472 

402.105 (Penalties are assessed in the same manner as 42 

(d)(3) U.S.C. 1395m(k)(6) and 1395uU)(2)(B), which is 

assessed according to 1320a-7a(a)) 

42 CFR Penalty for any supplier of ambulance services who 

402.1 (c) knowingly and willfully fills or collects for any services 

1395m(l)(6) (32), CMS on other than an assignment-related basis. (Penalties 2021 16,449 17,472 are assessed in the same manner as 42 U.S.C. 402.105 1395u(b)(18)(B), which is assessed according to (d)(4) 1320a-7a(a)) 

42 CFR Penalty for any practitioner specified in Section 

402.1 (c) 1842(b)(18)(C) of the Act or other person that 

(11), knowingly and willfully bills or collects for any services 

1395u(b)(18)(B) 402.105 CMS by the practitioners on other than an assignment- 2021 16,449 17,472 

(d)(2)(vi related basis. (Penalties are assessed in the same 

manner as 42 U.S.C. 1395uU)(2)(B), which is assessed ii) accordinq to 1320a-7a(a)) 

Penalty for any physician who charges more than 

1395uU)(2)(B) 42 CFR CMS 125% for a non-participating referral. (Penalties are 2021 16,449 17,472 402.1 (c) assessed in the same manner as 42 U.S.C. 1320a7a(a)) 

42 CFR 

402.1 (c) 

(12), Penalty for any physician who knowingly and willfully 402.105 

(d)(2)(ix presents or causes to be presented a claim for bill for 

) an assistant at a cataract surgery performed on or after 

1395u(k) 1834A( CMS March 1, 1987, for which payment may not be made 2021 16,449 17,472 because of section 1862(a)(15). (Penalties are a)(9) assessed in the same manner as 42 U.S.C. and 42 1395uU)(2)(B), which is assessed according to 1320a- C.F.R. 

§ 7a(a)) 

414.504 

€ 

Penalty for any nonparticipating physician who does 

42 CFR not accept payment on an assignment-related basis 

402.1 (c) and who knowingly and willfully fails to refund on a 

1395u(l)(3) (13), CMS timely basis any amounts collected for services that are 2021 16,449 17,472 

402.105 not reasonable or medically necessary or are of poor 

(d)(2)(x) quality under 1842(I)(1)(A). (Penalties are assessed in 

the same manner as 42 U.S.C. 1395uU)(2)(B), which is 

assessed accordinq to 1320a-7a(a)) 

Penalty for any nonparticipating physician charging 

more than $500 who does not accept payment for an 

42 CFR elective surgical procedure on an assignment related 

402.1 (c) basis and who knowingly and willfully fails to disclose 

(14), the required information regarding charges and 

1395u(m)(3) 402.105 CMS coinsurance amounts and fails to refund on a timely 2021 16,449 17,472 

(d)(2)(xi basis any amount collected for the procedure in excess 

) of the charges recognized and approved by the 

Medicare program. (Penalties are assessed in the 

same manner as 42 U.S.C. 1395uU)(2)(B), which is 

assessed accordinq to 1320a-7a(a)) 

42 CFR Penalty for any physician who knowingly, willfully, and 402.1 (c) 

(15), repeatedly bills one or more beneficiaries for 

1395u(n)(3) 402.105 CMS purchased diagnostic tests any amount other than the 2021 16,449 17,472 

(d)(2)(xi payment amount specified by the Act. (Penalties are 

i) assessed in the same manner as 42 U.S.C. 
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1395u0)(2)(B), which is assessed according to 1320a7a(a)) 

Penalty for any practitioner specified in Section 

1842(b)(18)(C) of the Act or other person that 

42 CFR knowingly and willfully bills or collects for any services 

1395u(o)(3)(B) 414.707 CMS pertaining to drugs or biologics by the practitioners on 2021 16,449 17,472 

(b) other than an assignment-related basis. (Penalties are 

assessed in the same manner as 42 U.S.C. 

1395u(b)(18)(B) and 1395uU)(2)(B), which is assessed 

according to 1320a-7a(a)) 

Penalty for any physician or practitioner who knowingly 

and willfully fails promptly to provide the appropriate 

1395u(p)(3)(A) CMS diagnosis codes upon CMS or Medicare administrative 2021 4,333 4,603 

contractor request for payment or bill not submitted on 

an assignment-related basis 

1395w- 42 CFR Penalty for a pharmaceutical manufacturer's 

3a(d)(4)(A) 414.806 CMS misrepresentation of average sales price of a drug, or 2021 14,074 14,950 

biologic 

Penalty for any nonparticipating physician, supplier, or 

42CFR other person that furnishes physician services not on 

402.1 (c) an assignment-related basis who either knowingly and 

1395w-4(g)(1)(B) (17), CMS willfully bills or collects in excess of the statutorily- 2021 16,449 17,472 402.105 defined limiting charge or fails to make a timely refund 

(d)(2)(xi or adjustment. (Penalties are assessed in the same 

ii) manner as 42 U.S.C. 1395uU)(2)(B), which is assessed 

according to 1320a-7a(a)) 

42 CFR Penalty for any person that knowingly and willfully bills 

402.1 (c) for statutorily defined State-plan approved physicians' 

(18), services on any other basis than an assignment-related 

1395w-4(g)(3)(B) 402.105 CMS basis for a Medicare/Medicaid dual eligible beneficiary. 2021 16,449 17,472 

(d)(2)(xi (Penalties are assessed in the same manner as 42 

v) U.S.C. 1395uU)(2)(B), which is assessed according to 

1320a-7a(a)) 

1395w- 42 CFR Penalty for each termination determination the 422.760 27(g)(3)(A); (b); 42 Secretary makes that is the result of actions by a 

1857(g)(3); CFR CMS Medicare Advantage organization or Part D sponsor 2021 40,282 42,788 

1860D- 423.760 that has adversely affected (or has the substantial 

12(b)(3)(E) (b) likelihood of adversely affecting) an individual covered 

under the organization's contract 
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1395w- Penalty for each week beginning after the initiation of 

27(g)(3)(B); civil money penalty procedures by the Secretary 

1857(g)(3); CMS because a Medicare Advantage organization or Part D 2021 16,113 17,116 

1860D- sponsor has failed to carry out a contract, or has 

12(b)(3)(E) carried out a contract inconsistently with regulations 

1395w27(g)(3)(D); Penalty for a Medicare Advantage organization's or 1857(g)(3): CMS 2021 149,637 158,947 

1860D- Part D sponsor's early termination of its contract 

12(b)(3)(E) 

42 CFR Penalty for an employer or other entity to offer any 

1395y(b)(3)(C) 411.103 CMS financial or other incentive for an individual entitled to 2021 9,753 10,360 benefits not to enroll under a group health plan or large (b) group health plan which would be a primary plan 

42 CFR Penalty for any non-governmental employer that, 402.1 (c) 

(20), 42 before October 1, 1998, willfully or repeatedly failed to 

1395y(b)(5)(C)(ii) CFR CMS provide timely and accurate information requested 2021 1,588 1,687 

402.105 relating to an employee's group health insurance 

(b)(2) coverage 

42 CFR Penalty for any entity that knowingly, willfully, and 

402.1 (c) repeatedly fails to complete a claim form relating to the 

1395y(b)(6)(B) (21), CMS availability of other health benefits in accordance with 2021 3,484 3,701 

402.105 statute or provides inaccurate information relating to 

(a) such on the claim form 

Penalty for any entity serving as insurer, third party 

administrator, or fiduciary for a group health plan that 

1395y(b)(7)(B)(i) CMS fails to provide information that identifies situations 2021 1,247 1,325 

where the group health plan is or was a primary plan to 

Medicare to the HHS Secretary 

Penalty for any non-group health plan that fails to 

1395y(b)(8)(E) CMS identify claimants who are Medicare beneficiaries and 2021 1,247 1,325 provide information to the HHS Secretary to coordinate 

benefits and pursue any applicable recovery claim 

Penalty for any person that fails to report information 

1395nn(g)(5) 42 CFR CMS required by HHS under Section 1877(1) concerning 2021 20,731 22,021 411.361 ownership, investment, and compensation 

arrangements 

42 CFR Penalty for any durable medical equipment supplier, 

402.1 (c) including a supplier of prosthetic devices, prosthetics, 

(23), orthotics, or supplies, that knowingly and willfully fails 

1395pp(h) 402.105 CMS to make refunds in a timely manner to Medicare 2021 16,449 17,472 

(d)(2)(x beneficiaries under certain conditions. (42 U.S.C. 

1395(m)(18) sanctions apply here in the same manner, v) which is under 1395u/il(2) and 1320a-7a(a)) 

Penalty for any person that issues a Medicare 

1395ss(a)(2) 402.102 CMS supplemental policy that has not been approved by the 2021 56,459 59,972 (1)(1) State regulatory program or does not meet Federal 

standards after a statutorily defined effective date 

42 CFR 

402.1 (c) 

1395ss(d)(3)(A)(vi (25), Penalty for someone other than issuer that sells or 

402.105 CMS issues a Medicare supplemental policy to beneficiary 2021 29,256 31,076 ) (II) (e),402. without a disclosure statement 

105(1)(2 

) 
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CMS Penalty for an issuer that sells or issues a Medicare 2021 48,762 51,796 supplemental policy without disclosure statement. 

1395ss(d)(3)(B)(iv Penalty for someone other than issuer that sells or 

) CMS issues a Medicare supplemental policy without 2021 29,256 31,076 

acknowledaement form 

CMS Penalty for issuer that sells or issues a Medicare 2021 48,762 51,796 supplemental policy without an acknowledgement form. 

42 CFR Penalty for someone other than issuer that sells or 402.1 (c) 

1395ss(p)(8) (25), CMS issues Medicare supplemental polices after a given 2021 29,256 31,076 date that fail to conform to the NAIC or Federal 402.105 standards established by statute (e) 

42 CFR 

402.1 (c) Penalty for an issuer that sells or issues Medicare 

(25), CMS supplemental polices after a given date that fail to 2021 48,762 51,796 405402. conform to the NAIC or Federal standards established 

105(f)(2 by statute 

) 

42CFR Penalty for someone other than issuer that sells a 402.1 (c) 

(26), Medicare supplemental policy and fails to make 

402.105 available for sale the core group of basic benefits when 

1395ss(p)(9)(C) (e), CMS selling other Medicare supplemental policies with 2021 29,256 31,076 

402.105 additional benefits or fails to provide the individual, 

(f)(3), before selling the policy, an outline of coverage 

(4) describing benefits 

Penalty for an issuer that sells a Medicare 

supplemental policy and fails to make available for sale 

402.105 CMS the core group of basic benefits when selling other 2021 48,762 51,796 (f)(3),(4) Medicare supplemental policies with additional benefits 

or fails to provide the individual, before selling the 

policy, an outline of coverage describing benefits 

Penalty for any person that fails to suspend the policy 

402.105 of a policyholder made eligible for medical assistance 

1395ss(q)(5)(C) (f)(5) CMS or automatically reinstates the policy of a policyholder 2021 48,762 51,796 

who has lost eligibility for medical assistance, under 

certain circumstances 

1395ss(r)(6)(A) 402.105 CMS Penalty for any person that fails to provide refunds or 2021 48,762 51,796 (f)(6) credits as required by section 1882(r)(1 )(B) 

Penalty for any issuer of a Medicare supplemental 

42 CFR policy that does not waive listed time periods if they 

402.1 (c) were already satisfied under a proceeding Medicare 

1395ss(s)(4) (29), CMS supplemental policy, or denies a policy, or conditions 2021 20,701 21,989 

402.105 the issuances or effectiveness of the policy, or 

(c) discriminates in the pricing of the policy base on health 

status or other specified criteria 

42 CFR 

402.1 (c) Penalty for any issuer of a Medicare supplemental 1395ss(t)(2) (30), CMS 2021 48,762 51,796 

402.105 policy that fails to fulfill listed responsibilities 

(f)(?) 

Penalty someone other than issuer who sells, issues, 

1395ss(v)(4)(A) CMS or renews a medigap Rx policy to an individual who is a 2021 21,112 22,426 

Part D enrollee 
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CMS Penalty for an issuer who sells, issues, or renews a 2021 35,188 37,377 Medigap Rx policy who is a Part D enrollee. 

42 CFR Penalty for any individual who notifies or causes to be 

1395bbb(c)(1) 488.725 CMS notified a home health agency of the time or date on 2021 4,518 4,799 

(c) which a survey of such agency is to be conducted 

42 CFR 

488.845 

(b)(2)(iii 

) 42 

1395bbb(f)(2)(A)(i CFR Maximum daily penalty amount for each day a home 

) 488.845 CMS health agency is not in compliance with statutory 2021 21,663 23,011 

(b)(3)- requirements 

(6); and 

42CFR 

488.845 

(d)(1 )(ii) 

42 CFR Penalty per day for home health agency's 488.845 CMS 2021 

(b)(3) noncompliance (Upper Range): 

Minimum 2021 18,413 19,559 

Maximum 2021 21,663 23,011 

42 CFR Penalty for a home health agency's deficiency or 

488.845 CMS deficiencies that cause immediate jeopardy and result 2021 21,663 23,011 

(b)(3)(i) in actual harm 

42 CFR Penalty for a home health agency's deficiency or 

488.845 CMS deficiencies that cause immediate jeopardy and result 2021 19,496 20,709 

(b)(3)(ii) in potential for harm 

42 CFR 

488.845 CMS Penalty for an isolated incident of noncompliance in 2021 18,413 19,559 (b)(3)(iii violation of established HHA policy 

) 

Penalty for a repeat and/or condition-level deficiency 

that does not constitute immediate jeopardy, but is 2021 

42 CFR directly related to poor quality patient care outcomes 

488.845 CMS (Lower Range): 

(b)(4) 

Minimum 2021 3,251 3,453 

Maximum 2021 18,413 19,559 

Penalty for a repeat and/or condition-level deficiency 

that does not constitute immediate jeopardy and that is 2021 

42 CFR related predominately to structure or process-oriented 

488.845 CMS conditions (Lower Range): 

(b)(5) 

Minimum 2021 1,084 1,151 

Maximum 2021 2,166 2,301 

Penalty imposed for instance of noncompliance that 

42 CFR may be assessed for one or more singular events of 

488.845 condition-level noncompliance that are identified and 2021 

(b)(6) CMS where the noncompliance was corrected during the 

onsite survey: 

Penalty for each day of noncompliance (Minimum). 2021 2,166 2,301 

Penalty for each day of noncompliance (Maximum). 2021 21,663 23,011 

42 CFR 

488.845 CMS Penalty for each day of noncompliance (Maximum) 2021 21,663 23,011 

(d)(1 )(ii) 
Federal Register / Vol. 87, No. 52 / Thursday, March 17, 2022 / Rules and Regulations 15119 


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Penalty for PACE organization that discriminates in 

1395eee(e)(6)(B); 42 CFR enrollment or disenrollment, or engages in any practice 

1396u-4(e)(6)(B) 460.46 CMS that would reasonably be expected to have the effect of 2021 40,282 42,788 

denying or discouraging enrollment, on the basis of 

health status or the need for services: 

For each individual not enrolled as a result of the PACE 

organization's discrimination in enrollment or 2021 disenrollment or practice that would deny or discourage 

CMS enrollment. 

Minimum 2021 15,177 16,121 

Maximum 2021 101,182 107,478 

CMS Penalty for a PACE organization that charges 2021 40,282 42,788 excessive premiums. 

CMS Penalty for a PACE organization misrepresenting or 2021 161,130 171,156 falsifying information to CMS or the State. 

CMS Penalty for any other violation specified in 42 C.F.R. 2021 40,282 42,788 460.40. 

42 CFR Penalty per day for a nursing facility's failure to meet a 2021 Cateoorv 2 Certification: 

488.408 CMS (d)(1 )(iii Minimum 2021 113 120 

) Maximum 2021 6,774 7,195 

42 CFR Penalty per instance for a nursing facility's failure to 2021 meet Cateoorv 2 certification: 

488.408 CMS (d)(1 )(iv Minimum 2021 2,259 2,400 

) Maximum 2021 22,584 23,989 

42 CFR Penalty per day for a nursing facility's failure to meet 2021 Category 3 certification: 

488.408 CMS (e)(1 )(iii Minimum 2021 6,888 7,317 

1396r(h)(3)(C)(ii)(I ) Maximum 2021 22,584 23,989 

) Penalty per instance for a nursing facility's failure to 2021 42 CFR meet Cateoorv 3 certification: 

488.408 CMS Minimum 2021 2,259 2,400 (e)(1 )(iv 

) Maximum 2021 22,584 23,989 

Penalty per instance for a nursing facility's failure to 

meet Category 3 certification, which results in 2021 

42 CFR immediate jeopardy: 

488.408 CMS 

(e)(2)(ii) Minimum 2021 2,259 2,400 

Maximum 2021 22,584 23,989 

42 CFR Penalty per day for nursing facility's failure to meet 488.438 CMS 2021 

(a)(1 )(i) certification (Upper Range): 
15120 Federal Register / Vol. 87, No. 52 / Thursday, March 17, 2022 / Rules and Regulations 


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Minimum 2021 6,888 7,317 

Maximum 2021 22,584 23,989 

Penalty per day for nursing facility's failure to meet 2021 certification (Lower Range): 

42 CFR 

488.438 CMS Minimum 2021 113 120 (a)(1 )(ii) 

Maximum 2021 6,774 7,195 

Penalty per instance for nursing facility's failure to meet 2021 

42 CFR certification: 

488.438 CMS 

(a)(2) Minimum 2021 2,259 2,400 

Maximum 2021 22,584 23,989 

Penalty imposed for failure to comply with infection 

control weekly reporting requirements at 42 CFR 2021 

483.80(g)(1) and (2) 

42 CFR CMS First occurrence (Minimum) 2021 1,012 1,075 488.447 

Incremental increases for each subsequent occurrence 2021 506 537 

42 CFR Grounds to prohibit approval of Nurse Aide Training 483.151 

1396r(f)(2)(B)(iii)(I (b)(2)(iv Program-if assessed a penalty in 1819(h)(2)(B)(i) or 

)(c) ) and CMS 1919(h)(2)(A)(ii) of "not less than $5,000" [Not CMP 2021 11,292 11,995 

(b)(3)(iii authority, but a specific CMP amount (CMP at this 

) level) that is the triggering condition for disapproval] 

Grounds to waive disapproval of nurse aide training 

42 CFR program-reference to disapproval based on 

1396r(h)(3)(C)(ii)(I 483.151 CMS imposition of CMP "not less than $5,000" [Not CMP 2021 11,292 11,995 ) (c)(2) authority but CMP imposition at this level determines 

eligibility to seek waiver of disapproval of nurse aide 

training program] 

Penalty for each day of noncompliance for a home or 

community care provider that no longer meets the 2021 

minimum reQuirements for home and community care: 

1396tU)(2)(C) CMS Minimum 2021 2 2 

Maximum 2021 19,505 20,719 

Penalty for a Medicaid managed care organization that 

CMS fails substantially to provide medically necessary items 2021 40,282 42,788 

and services 

1396u- 42 CFR 

2(e)(2)(A)(i) 438.704 

Penalty for Medicaid managed care organization that 

CMS imposes premiums or charges on enrollees in excess 2021 40,282 42,788 

of the premiums or charges permitted. 
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Penalty for a Medicaid managed care organization that 

CMS misrepresents or falsifies information to another 2021 40,282 42,788 

individual or entity. 

Penalty for a Medicaid managed care organization that 

CMS fails to comply with the applicable statutory 2021 40,282 42,788 

requirements for such organizations. 

Penalty for a Medicaid managed care organization that 

CMS misrepresents or falsifies information to the HHS 2021 161,130 171,156 

1396u- 42 CFR Secretary 

2(e)(2)(A)(ii) 438.704 

Penalty for Medicaid managed care organization that 

CMS acts to discriminate among enrollees on the basis of 2021 161,130 171,156 

their health status. 

Penalty for each individual that does not enroll as a 

1396u- 42 CFR CMS result of a Medicaid managed care organization that 2021 24,169 25,673 2(e)(2)(A)(iv) 438.704 acts to discriminate among enrollees on the basis of 

their health status 

42 CFR Penalty for a provider not meeting one of the 

1396u(h)(2) Part CMS requirements relating to the protection of the health, 2021 22,584 23,989 safety, and welfare of individuals receiving community 441, suooorted livinq arranqements services 

Subpart Penalty for disclosing information related to eligibility 1396w-2(c)(1) I CMS determinations for medical assistance programs 

2021 12,045 12,794 

Failure to comply with ACA requirements related to risk 

adjustment, reinsurance, risk corridors, Exchanges 

45CFR (including QHP standards) and other ACA Subtitle D 

18041(c)(2) 156.805 CMS standards; Penalty for violations of rules or standards 2021 164 174 

(c) of behavior associated with issuer compliance with risk 

adjustment, reinsurance, risk corridors, Exchanges 

(including QHP standards) and other ACA Subtitle D 

standards. 

18081 (h)(1 )(A)(i)(I 45CFR CMS Penalty for providing false information on Exchange 2021 29,764 31,616 I) 155.285 application 

18081 (h)(1 )(B) 45CFR CMS Penalty for knowingly or willfully providing false 2021 297,636 316,155 155.285 information on Exchange application 

CMS Penalty for knowingly or willfully disclosing protected 2021 information from Exchange 

18081 (h )(2) 45CFR CMS Minimum 2021 29,764 31,616 155.260 

CMS Maximum 2021 304 323 

45CFR Penalties for violation of applicable Exchange 

18041(c)(2) 155.206 CMS standards by consumer assistance entities in 2021 36,500 38,771 

(i) Federally-facilitated Exchanges 

Maximum (Per Day) 2021 101 107 

31 U.S.C. 2021 304 323 
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Penalty for the first lime an individual makes an 

expenditure prohibited by regulations regarding 2021 20,731 22,021 

lobbvina disclosure, absent aaaravatina circumstances 

Penalty for second and subsequent offenses by 

individuals who make an expenditure prohibited by 2021 

reaulations reaardina lobbvina disclosure: 

HHS 

Minimum 2021 20,731 22,021 

Maximum 2021 207,314 220,213 45CFR 

93.400( Penalty for the first lime an individual fails to file or e) amend a lobbying disclosure form, absent aggravating 2021 20,731 22,021 

circumstances 

Penalty for second and subsequent offenses by 

individuals who fail to file or amend a lobbying 2021 

disclosure form, absent aggravating circumstances: 

HHS 

Minimum 2021 20,731 22,021 

1352 

Maximum 2021 207,314 220,213 

Penalty for failure to provide certification regarding 

HHS lobbying in the award documents for all sub-awards of 2021 

all tiers: 

Minimum 2021 20,731 22,021 

45CFR Maximum 2021 207,314 220,213 

Part 93, 

Appendi Penalty for failure to provide statement regarding 

xA HHS lobbying for loan guarantee and loan insurance 2021 

transactions: 

Minimum 2021 20,731 22,021 

Maximum 2021 207,314 220,213 

45CFR Penalty against any individual who-with knowledge or 

3801-3812 79.3(a)( HHS reason to know-makes, presents or submits a false, 2021 10,833 11,507 

1 )(iv) fictitious or fraudulent claim to the Deoartment 

45CFR Penalty against any individual who-with knowledge or 

79.3(b)( HHS reason to know-makes, presents or submits a false, 2021 10,833 11,507 

1)(ii) fictitious or fraudulent claim to the Deoartment 

1 Some HHS components have not promulgated regulations regarding their civil monetary penalty-specific statutory authorities. 

2 The description is not intended to be a comprehensive explanation of the underlying violation; the statute and corresponding regulation, if applicable, should be 

consulted. 

3 Statutory or Inflation Act Adjustment. 

4 0MB Memorandum M-16-06, Implementation of the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, published February 24, 2016, guided 

agencies on initial "catch-up" adjustment requirements, and M-17-11, Implementation of the 2017 annual adjustment pursuant to the Federal Civil Penalties Inflation 

Adjustment Act Improvements Act of 2015, published December 16, 2016; M-18-03, Implementation of Penalty Inflation Adjustments for 2018 pursuant to the Federal 

Civil Penalties Inflation Adjustment Act Improvements Act of 2015, published December 15, 2017; M-19-04, Implementation of Penalty Inflation Adjustments for 2019 

pursuant to the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, published December 14, 2018; M-20-05, Implementation of Penalty Inflation 

Adjustments for 2020 pursuant to the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, published December 16, 2019; M-21-10, 

Implementation of Penalty Inflation Adjustments for 2021 pursuant to the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, published 

December 23, 2020; M-22-07, Implementation of Penalty Inflation Adjustments for 2022, Pursuant to the Federal Civil Penalties Inflation Adjustment Act Improvements 

Act of 2015, published December 15, 2021, guided agencies on annual adjustment requirements. 

5 0MB Circular A-136, Financial Reporting Requirements, Section 11.4.9, directs that agencies must make annual inflation adjustments to civil monetary penalties and 

report on the adjustments in the Agency Financial Report (AFR) or Performance and Accountability Report (PAR). 

6 Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, § 701 (b)(1)(A) (codified as amended at 28 U.S.C. § 2461 note). 

7 Annual inflation adjustments are based on the percent change between each published October's CPI-U. In this case, October 2021 CPI-U (276.589) /October 2020 

CPI-U (260.388) = 1.06222. 
Federal Register / Vol. 87, No. 52 / Thursday, March 17, 2022 / Rules and Regulations 15123 

Xavier Becerra, 

Secretary, Department of Health and Human 

Services. 

[FR Doc. 2022–05648 Filed 3–16–22; 8:45 am] 

BILLING CODE 4150–24–C 

FEDERAL MARITIME COMMISSION 

46 CFR Part 525 

[Docket No. 21–06] 

RIN 3072–AC87 

Marine Terminal Operator Schedules 

AGENCY: Federal Maritime Commission. 

ACTION: Final rule. 

SUMMARY: This final rule adopts without 

substantive change the proposed rule. 

The Federal Maritime Commission 

(FMC or Commission) seeks to update 

outdated references to Commission 

offices, modernize references to 

technology, and clarify existing 

requirements associated with the filing 

of marine terminal operator (MTO) 

schedules. 

DATES: This final rule is effective: April 

18, 2022. 

FOR FURTHER INFORMATION CONTACT: For 

technical questions, contact Kristen 

Monaco, Director, Bureau of Trade 

Analysis, Federal Maritime 

Commission, 800 North Capitol Street 

NW, Washington, DC 20573–0001. 

Phone: (202) 523–5796. Email: 

tradeanalysis@fmc.gov. For legal 

questions, contact Steven Andersen, 

General Counsel, Federal Maritime 

Commission, 800 North Capitol Street 

NW, Washington, DC 20573–0001. 

Phone: (202) 523–5738. Email: 

GeneralCounsel@fmc.gov. 

SUPPLEMENTARY INFORMATION: 

I. Introduction 

Pursuant to 46 U.S.C. 40501(f), MTOs 

may make public a schedule of rates, 

regulations, and practice. Additionally, 

Congress directs the Commission to 

prescribe the form and manner in which 

MTO schedules shall be published. 46 

U.S.C. 40501(g)(3). The Commission’s 

regulations regarding MTO schedules 

are outlined in 46 CFR part 525. 

Consistent with the language in 46 

U.S.C. 40501(f), part 525 states that an 

MTO, at its discretion, may make 

available to the public a schedule of its 

rates, regulations, and practices. Part 

525 also discusses the requirements 

when an MTO decides to make terminal 

schedules available to the public. 

II. Summary of Proposed Changes 

In Fiscal Year 2021, the Commission 

reviewed its regulations regarding MTO 

schedules found in 46 CFR part 525. On 

September 22, 2021, the Commission 

issued a notice of proposed rulemaking 

that proposed several changes to part 

525 that are neither substantive nor 

policy related. 86 FR 52627. The 

proposed revisions updated references 

to a Commission bureau and deleted 

references to outdated technology. 

Additionally, the FMC clarified 

definitions or revised them to be 

consistent with other parts of the 

Commission’s regulations. The 

Commission requested comments on 

these proposed amendments. 

III. Summary of Comments 

One shipper filed comments in this 

docket. However, these comments, 

which relate to per diem charges, 

detention and demurrage fees, and dual 

transaction requirements at specific 

terminals, do not address the proposed 

revisions to part 525. The commenter 

neither expressed support nor 

opposition to the proposed part 525 

revisions. Because the issues raised by 

the commenter are outside the scope of 

the proposed amendments and the 

rulemaking, the FMC is not making 

changes to the final rule based on these 

comments. The FMC now adopts all of 

the proposed amendments without 

substantive change in this final rule. 

IV. Final Rule 

The proposed rule contained 

revisions that were not policy related 

and the Commission’s intent was 

limited to modernizing outdated 

requirements, clarifying existing 

requirements and definitions, and 

making the existing requirements and 

definitions consistent with other parts 

of the Commission’s regulations. For the 

reasons stated in the NPRM and 

described below, the Commission is 

adopting the revisions in the proposed 

rule with non-substantive changes. 

1. Section 525.1. 

The proposed rule revises references 

to the Shipping Act of 1984 (the Act) to 

remove specific cites to the Ocean 

Shipping Reform Act of 1998 and the 

Coast Guard Authorization Act of 1998 

because several other laws also amend 

the Shipping Act of 1984. See An Act 

to Complete the Codification of Title 46, 

United States Code, ‘‘Shipping,’’ as 

Positive Law, Public Law 109–304, 120 

Stat. 1485 (2006); Frank LoBiondo Coast 

Guard Authorization Act of 2018, Public 

Law 115–282, 132 Stat. 4192 (2018). 

These revisions affect section 525.1(a) 

and (c)(1). The proposed rule added 

clarifying language to the definition of 

‘‘bulk cargo’’ to explain that bulk 

‘‘containerized cargo tendered by the 

shipper’’ is subject to mark and count 

and is, therefore, subject to the 

requirements of this part. The proposed 

rule amended the definition of ‘‘forest 

products’’ to correct a typographical 

error. 

In addition, the proposed rule revised 

the definition of ‘‘marine terminal 

operator’’ to mean ‘‘a person engaged in 

the United States in the business of 

providing wharfage, dock, warehouse, 

or other terminal facilities in connection 

with a common carrier[.]’’ This language 

is consistent with the statutory 

definition of an MTO. See 46 U.S.C. 

40102(15). The proposed rule also 

added language to clarify that shippers 

or consignees who exclusively provide 

their own marine terminal facilities in 

connection with providing marine 

terminal services are not MTOs. 

The proposed rule amended the 

definition of ‘‘terminal facilities’’ by 

adding ‘‘docks, berths, piers, [and] 

aprons’’ to the list of structures 

comprising a terminal unit. In addition, 

the proposed language replaces the term 

‘‘water carriers’’ with ‘‘ocean common 

carriers.’’ As a result of these revisions, 

the definition of ‘‘terminal facilities’’ is 

consistent with the definition of 

‘‘marine terminal facilities’’ in 46 CFR 

part 535. 

The proposed rule also introduced a 

definition for the ‘‘United States’’ that is 

consistent with the definition found in 

46 U.S.C. 114. To accommodate the new 

paragraph, the proposed rule 

renumbered paragraphs 525.1(c)(21) to 

(23) to be paragraphs 525.1(c)(22) to 

(24). Additionally, the proposed rule 

revised the definition of an MTO to 

delete ‘‘or a commonwealth, territory, or 

possession thereof,’’ because those 

entities are now included in the 

definition of ‘‘United States.’’ 

The comments received do not 

address these proposed revisions. 

The final rule adopts the revisions 

described above without change. 

A. Section 525.2 

The proposed rule did not propose 

revisions to section 525.2. The 

comments do not address section 525.2. 

Thus, the final rule does not revise 

section 525.2. 

B. Section 525.3 

With respect to section 525.3, 

Availability of marine terminal operator 

schedules, the proposed rule removed 

outdated and unnecessary language 

relating to accessing electronically 

published MTO schedules. The 

proposed rule deleted the terms 

‘‘personal computer (PC),’’ ‘‘dial-up 

connection,’’ ‘‘the internet,’’ ‘‘Web 

browser,’’ ‘‘Telnet session,’’ ‘‘modem,’’ 


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