Source: https://www.federalregister.gov/documents/2009/12/14/E9-29667/inflation-adjustment-of-civil-monetary-penalties
Timestamp: 2018-04-23 16:22:41
Document Index: 706742700

Matched Legal Cases: ['art 851', 'art 1021', 'art 218', '§\u2009430', 'art 490', '§\u2009490', 'art 501', 'art 601', 'art 601', 'art 820', 'art 824', 'art 824', 'art 851', 'art 851', 'art 1013', 'art 1017', 'art 1050']

A Rule by the Energy Department on 12/14/2009
66029-66034 (6 pages)
1990-AA32
https://www.federalregister.gov/d/E9-29667 https://www.federalregister.gov/d/E9-29667
Preeti Chaudhari, U.S. Department of Energy, Office of the General Counsel, GC-71, 1000 Independence Avenue, SW., Washington, DC 20585, (202) 586-8078.
(3) Multiple of $1000 in the case of penalties greater than $1000 but less than or equal to $10,000;Start Printed Page 66030
(4) Multiple of $5000 in the case of penalties greater than $10,000 but less than or equal to $100,000;
The following list summarizes the existing DOE regulations containing civil monetary penalties, and the penalties before and after adjustment.
10 CFR 207.7 $2,750 $4,000.
10 CFR 218.42 $5,500 $8,000.
10 CFR 430.61 $110 $200.
10 CFR 490.604 $5,500 $8,000.
10 CFR 501.181(c) —$27,500 —$40,000.
—3.3/mcf —3.3/mcf.
—11/bbl —20/bbl.
10 CFR 601.400 and App A —minimum $11,000 —minimum $15,000.
—maximum $110,000 —maximum $150,000.
10 CFR 820.81 1 $110,000 $150,000.
10 CFR 824.1 and App A $100,000 $110,000.
10 CFR 824.4 and App A $100,000 $110,000.
10 CFR 851.5 and App B 2 $70,000 $75,000.
10 CFR 1013.3 $5,500 $8,000.
10 CFR 1017.29 (formerly 10 CFR 1017.18) $110,000 $150,000.
10 CFR 1050.303 $5,500 $8,000.
1 The civil penalties under this section and 10 CFR 851.5 encompass the civil penalty authorized by 50 U.S.C. 2731 (formerly 42 U.S.C. 7274d). Title 50 U.S.C. 2731 establishes a maximum civil penalty of $5,000 per day for failure of any DOE contractor to provide specified training to individuals it employs who are engaged in hazardous substance response or emergency response at DOE nuclear weapons facilities or for failure to certify to DOE that such employees are adequately trained pursuant to orders issued by DOE relating to employee safety training. In corresponding guidance, DOE is today adjusting the civil penalty to a maximum of $5,500 for each day a violation occurs. The adjusted civil penalty is well under the maximum civil penalty provided under 10 CFR 820.81 and 10 CFR 851.5. This footnote shall not be construed as limiting DOE's discretion to impose civil penalties for violations of training requirements contained in DOE's Nuclear Safety Requirements or 10 CFR Part 851, including training requirements relating to hazardous substance response or emergency response at DOE's nuclear weapons facilities.
DOE has determined that this final rule is covered under the Categorical Exclusion found in DOE's National Environmental Policy Act regulations at paragraph A.5 of Appendix A to Subpart D, 10 CFR part 1021, which applies to rulemaking that amends an existing rule or regulation which does not change the environmental effect of the rule or regulation being amended. Accordingly, neither an environmental assessment nor an environmental impact statement is required.
The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires preparation of an initial regulatory flexibility analysis for any rule that by law must be proposed for public comment. As discussed above, DOE 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.
The Unfunded Mandates Reform Act of 1995 (Pub. L. 104-4) generally requires Federal agencies to examine closely the impacts of regulatory actions on State, local, and tribal governments. Section 201 excepts agencies from assessing effects on State, local or tribal governments or the private sector of rules that incorporate requirements specifically set forth in law. Because this rule incorporates requirements specifically set forth in 28 U.S.C. 2461 note, DOE is not required to assess its regulatory effects under Section 201. Unfunded Mandates Reform Act sections 202 and 205 do not apply to today's action because they apply only to rules for which a general notice of Start Printed Page 66031proposed rulemaking is published. Nevertheless, DOE has determined that today's regulatory action does not impose a Federal mandate on State, local, or tribal governments or on the public sector.
Executive Order 13211, “Actions Concerning Regulations That Significantly Affect Energy Supply, Distribution, or Use,” 66 FR 28355 (May 22, 2001) requires Federal agencies to prepare and submit to the OMB, a Statement of Energy Effects for any proposed significant energy action. A “significant energy action” is defined as any action by an agency that promulgated or is expected to lead to promulgation of a final rule, and that: (1) Is a significant regulatory action under Executive Order 12866, or any successor order; and (2) is likely to have a significant adverse effect on the supply, distribution, or use of energy; or (3) is designated by the Administrator of OIRA as a significant energy action. For any proposed significant energy action, the agency must give a detailed statement of any adverse effects on energy supply, distribution, or use should the proposal be implemented, and of reasonable alternatives to the action and their expected benefits on energy supply, distribution, and use. Today's regulatory action would not have a significant adverse effect on the supply, distribution, or use of energy and is therefore not a significant energy action. Accordingly, DOE has not prepared a Statement of Energy Effects.
For the reasons set forth in the preamble, DOE amends chapters II, III, and X of Chapter 10 of the Code of Federal Regulations as set forth below.
(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 $4,000 for each violation. * * *
(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 $8,000 for each violation.
6. Section 430.61 is amended by revising the first sentence of paragraph (b) to read as follows:
§ 430.61
(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 $200 for each violation. * * *
7. The authority citation for part 490 continues to read as follows:
8. Section 490.604 is amended by revising paragraph (a) to read as follows:
(a) Civil Penalties. Whoever violates § 490.603 of this part shall be subject to a civil penalty of not more than $8,000 for each violation.
9. The authority citation for part 501 continues to read as follows:
10. Section 501.181 is amended by revising paragraph (c)(1) to read as follows:
(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 $40,000 for each violation: Any person who operates a powerplant or major fuel burning installation under an exemption, during any 12-calendar-month 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 $20 for each barrel of oil used in excess of that authorized in the exemption.
11. The authority citation for part 601 continues to read as follows:
12. Section 601.400 is amended by revising paragraphs (a), (b) and (e) to read as follows:
(a) Any person who makes an expenditure prohibited herein shall be subject to a civil penalty of not less than $15,000 and not more than $150,000 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 $15,000 and not more than $150,000 for each such failure.
(e) First offenders under paragraphs (a) or (b) of this section shall be subject to a civil penalty of $15,000, absent aggravating circumstances. Second and subsequent offenses by persons shall be subject to an appropriate civil penalty between $15,000 and $150,000, as determined by the agency head or his or her designee.
13. Appendix A to part 601, is amended by:
a. Revising the last sentence, second undesignated paragraph, in paragraph (3) of the section entitled, “Certification for Contracts, Grants, Loans, and Cooperative Agreements”; and
b. Revising the last sentence, second undesignated paragraph, in the section entitled, “Statement for Loan Guarantees and Loan Insurance.”
* * * Any person who fails to file the required certification shall be subject to a civil penalty of not less than $15,000 and not more than $150,000 for each such failure.
* * * Any person who fails to file the required statement shall be subject to a civil penalty of not less than $15,000 and not more than $150,000 for each such failure.
14. The authority citation for part 820 continues to read as follows:
Authority: 42 U.S.C. 2201; 2282(a); 7191; 28 U.S.C. 2461 note; 50 U.S.C. 2410.Start Printed Page 66033
15. Section 820.81 is amended by revising the first sentence to read as follows:
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 $150,000 for each such violation. * * *
16. The authority citation for part 824 continues to read as follows:
17. Section 824.1 is amended by revising the second sentence to read as follows:
* * * Subsection a. provides that any person who has entered into a contract or agreement with the Department of Energy, or a subcontract or subagreement thereto, and who violates (or whose employee violates) any applicable rule, regulation or order under the Act relating to the security or safeguarding of Restricted Data or other classified information, shall be subject to a civil penalty not to exceed $110,000 for each violation. * * *
18. Section 824.4 is amended by revising paragraph (c) to read as follows:
(c) The Director may propose imposition of a civil penalty for violation of a requirement of a regulation or rule under paragraph (a) of this section or a compliance order issued under paragraph (b) of this section, not to exceed $110,000 for each violation.
19. Appendix A to part 824 is amended by:
a. Revising the fourth and sixth sentences of paragraph 2.e., “Civil Penalty,” in section VIII “Enforcement Actions”; and
b. Revising the last sentence of paragraph 3.d., “Adjustment Factors,” in section VIII titled “Enforcement Actions”.
e. * * * In no instance will a civil penalty for any one violation exceed the $110,000 statutory limit per violation. * * * Thus, the per violation cap will not shield a DOE contractor that is or should have been aware of an ongoing violation and has not reported it to DOE and taken corrective action despite an opportunity to do so from liability significantly exceeding $110,000. * * *
d. * * * Based on the degree of such factors, DOE may escalate the amount of civil penalties up to the statutory maximum of $110,000 per violation per day for continuing violations.
20. The authority citation for part 851 continues to read as follows:
21. Section 851.5 is amended by revising the first sentence of paragraph (a) to read as follows:
(a) A contractor that is indemnified under section 170d. of the AEA (or any subcontractor or supplier thereto) and that violates (or whose employee violates) any requirement of this part shall be subject to a civil penalty of up to $75,000 for each such violation. * * *
22. Appendix B to part 851 is amended by:
(1) * * * A Severity Level I violation would be subject to a base civil penalty of up to 100% of the maximum base civil penalty of $75,000.
(2) * * * A Severity Level II violation would be subject to a base civil penalty up to 50% of the maximum base civil penalty ($37,500).
(1) DOE may assess civil penalties of up to $75,000 per violation per day on contractors (and their subcontractors and suppliers) that are indemnified by the Price-Anderson Act, 42 U.S.C. 2210(d). See 10 CFR 851.5(a).
(f) * * * In no instance will a civil penalty for any one violation exceed the statutory limit of $75,000 per day. * * *
23. The authority citation for part 1013 continues to reads as follows:
24. Section 1013.3 is amended by revising paragraphs (a)(1)(iv) and (b)(1)(ii) to read as follows:
(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 $8,000 for each such claim.
(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 $8,000 for each such statement.
25. The authority citation for part 1017 continues to read as follows:
26. Section 1017.29 is amended by revising paragraph (c) to read as follows:
(c) Amount of penalty. The Director may propose imposition of a civil penalty for violation of a requirement of a regulation under paragraph (a) of this section or a compliance order issued under paragraph (b) of this section, not to exceed $150,000 for each violation.
27. The authority citation for part 1050 continues to read as follows:
28. Section 1050.303 is amended by revising the last sentence in paragraph (d) to read as follows:
(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 $8,000.
[FR Doc. E9-29667 Filed 12-11-09; 8:45 am]