Unknown. Final rule

6,498 words·~30 min read·/register/2021/01/14/2021-00439

A research copy — for the controlling text, always check the official state or federal source. Not legal advice.

--- schema: federal-register doc_type: fedreg source_file: FR-2021-01-14.xml --- 86 9 Thursday, January 14, 2021 Contents Agency Agency for International Development NOTICES Privacy Act; System of Records, 3109-3112 2021-00450 Agriculture Agriculture Department See Food and Nutrition Service See Forest Service Alcohol Tobacco Firearms Alcohol, Tobacco, Firearms, and Explosives Bureau NOTICES Agency Information Collection Activities; Proposals, Submissions, and Approvals: Records and Supporting Data:

Importation, Receipt, Storage, and Disposition by Explosives Importers, Manufacturers, Dealers, and Users Licensed Under Title 18 U.S.C. Chapter 40 Explosives, 3196-3197 2021-00743 Centers Disease Centers for Disease Control and Prevention NOTICES Agency Information Collection Activities; Proposals, Submissions, and Approvals, 3153-3157 2021-00690 2021-00691 Meetings, 3157-3158 2021-00572 Meetings: Healthcare Infection Control Practices Advisory Committee, 3155-3156 2021-00603 Centers Medicare Centers for Medicare & Medicaid Services RULES Medicare Program;

Medicare Coverage of Innovative Technology and Definition of Reasonable and Necessary, 2987-3010 2021-00707 NOTICES Agency Information Collection Activities; Proposals, Submissions, and Approvals, 3158-3159 2021-00587 2021-00762 Commerce Commerce Department See Foreign-Trade Zones Board See Industry and Security Bureau See International Trade Administration See National Institute of Standards and Technology See National Oceanic and Atmospheric Administration Commodity Futures Commodity Futures Trading Commission RULES Position Limits for Derivatives, 3236-3493 2020-25332 Copyright Office Copyright Office, Library of Congress NOTICES Compendium of Practices, 3205-3212 2021-00604 Defense Department Defense Department See Engineers Corps RULES Federal Acquisition Regulation:

Federal Acquisition Circular 2021-03; Introduction, 3676 2020-29085 Federal Acquisition Circular 2021-03; Small Entity Compliance Guide, 3689-3690 2020-29090 Individual Sureties, 3682-3687 2020-29088 Lowest Price Technically Acceptable Source Selection Process, 3679-3682 2020-29087 Technical Amendments, 3687-3689 2020-29089 Violations of Arms Control Treaties or Agreements with the United States, 3677-3679 2020-29086 NOTICES Arms Sales, 3124-3140 2021-00621 2021-00624 2021-00625 2021-00626 2021-00630 2021-00631 2021-00634 Drug Drug Enforcement Administration NOTICES Bulk Manufacturer of Controlled Substances Application:

IsoSciences, LLC, 3197-3198 2021-00647 Siemens Healthcare Diagnostics Inc., 3197 2021-00648 Education Department Education Department NOTICES Agency Information Collection Activities; Proposals, Submissions, and Approvals: Higher Education Emergency Relief Fund Improper Payments Information Form, 3141-3142 2021-00571 Applications for New Awards: Fulbright-Hays Group Projects Abroad Program, 3142-3146 2021-00757 Employment and Training Employment and Training Administration RULES Department of Labor Federal Civil Penalties Inflation Adjustment Act Annual Adjustments for 2021, 2964-2973 2021-00018 Strengthening Wage Protections for the Temporary and Permanent Employment of Certain Aliens in the United States, 3608-3674 2021-00218 Energy Department Energy Department See Federal Energy Regulatory Commission RULES Inflation Adjustment of Civil Monetary Penalties, 2953-2957 2021-00439 Engineers Engineers Corps NOTICES Meetings:

Inland Waterways Users Board, 3140-3141 2021-00736 Environmental Protection Environmental Protection Agency PROPOSED RULES National Emission Standards for Hazardous Air Pollutants: Carbon Black Production Residual Risk and Technology Review and Carbon Black Production Area Sources Technology Review, 3054-3079 2021-00233 Refractory Products Manufacturing Residual Risk and Technology Review, 3079-3108 2021-00137 NOTICES Proposed Administrative Settlement: CERCLA, 3151-3152 2021-00751 Equal Equal Employment Opportunity Commission RULES Update of Commission's Conciliation Procedures, 2974-2986 2021-00701 Federal Aviation Federal Aviation Administration RULES Airworthiness Directives:

Airbus SAS Airplanes, 2961-2964 2021-00807 NOTICES Las Vegas Metroplex Project Written Re-evaluation/Record of Decision for Changes to the Final Environmental Assessment Designs, 3229-3230 2021-00369 Federal Communications Federal Communications Commission RULES Television Broadcasting Services: Minneapolis, MN, 3015-3016 2020-27277 NOTICES Pleading Cycle Established: Petitions for Reconsideration of Portions of the Call Authentication Trust Anchor Second Report and Order, 3152-3153 2021-00578 Federal Energy Federal Energy Regulatory Commission NOTICES Application:

Brown Bear II Hydro, Inc., 3150-3151 2021-00681 Combined Filings, 3147-3150 2021-00684 2021-00687 Filing: City of Pasadena, CA, 3146-3147 2021-00686 License Application: Moon Lake Electric Association, Inc.; Withdrawal, 3150 2021-00680 Meetings: Technical Conference on Reassessment of the Electric Quarterly Report Requirements, 3150 2021-00685 Petition for Declaratory Order: City of Azusa, CA, 3149 2021-00682 Federal Highway Federal Highway Administration NOTICES Environmental Impact Statements;

Availability, etc.: Lafourche Parish, LA; Rescission, 3230 2021-00683 Federal Railroad Federal Railroad Administration NOTICES Application: Approval of Discontinuance or Modification of a Railroad Signal System, 3230-3231 2021-00763 Federal Reserve Federal Reserve System NOTICES Change in Bank Control: Acquisitions of Shares of a Bank or Bank Holding Company, 3153 2021-00759 Formations of, Acquisitions by, and Mergers of Bank Holding Companies, 3153 2021-00758 Food and Nutrition Food and Nutrition Service NOTICES Request of Proposals:

Food Distribution Program on Indian Reservations 2018 Farm Bill Demonstration Project for Tribal Organizations, 3112-3115 2021-00529 Foreign Assets Foreign Assets Control Office NOTICES Blocking or Unblocking of Persons and Properties, 3232 2021-00590 Foreign Trade Foreign-Trade Zones Board NOTICES Application for Reorganization under Alternative Site Framework: Foreign-Trade Zone 114; Peoria, IL, 3117 2021-00713 Forest Forest Service NOTICES Newspapers Used for Publication of Legal Notices:

Pacific Northwest Region; Oregon, Washington, and Parts of California, 3115-3117 2021-00724 General Services General Services Administration RULES Federal Acquisition Regulation: Federal Acquisition Circular 2021-03; Introduction, 3676 2020-29085 Federal Acquisition Circular 2021-03; Small Entity Compliance Guide, 3689-3690 2020-29090 Individual Sureties, 3682-3687 2020-29088 Lowest Price Technically Acceptable Source Selection Process, 3679-3682 2020-29087 Technical Amendments, 3687-3689 2020-29089 Violations of Arms Control Treaties or Agreements with the United States, 3677-3679 2020-29086 Health and Human Health and Human Services Department See Centers for Disease Control and Prevention See Centers for Medicare & Medicaid Services See National Institutes of Health RULES Transparency and Fairness in Civil Administrative Enforcement Actions, 3010-3015 2021-00592 NOTICES Meetings:

Advisory Committee on Minority Health, 3159-3160 2021-00660 Homeland Homeland Security Department See U.S. Citizenship and Immigration Services Housing Housing and Urban Development Department NOTICES Agency Information Collection Activities; Proposals, Submissions, and Approvals: Grant Drawdown Payment Request/Line of Credit Control System, 3175-3176 2021-00670 Office of Lead Hazard Control and Healthy Homes Grant Programs Assessment of the HUD Grants to Promote Coordination between Grantees of HUD's Lead Hazard Control Program and DOE's Weatherization Assistance Program, 3173-3174 2021-00673 Consolidated Delegation of Authority:

Government National Mortgage Association (Ginnie Mae), 3174-3175 2021-00692 Order of Succession: Government National Mortgage Association (Ginnie Mae), 3173 2021-00693 Industry Industry and Security Bureau NOTICES Agency Information Collection Activities; Proposals, Submissions, and Approvals: Request for Appointment of a Technical Advisory Committee, 3117-3118 2021-00596 Institute of Museum and Library Services Institute of Museum and Library Services NOTICES Agency Information Collection Activities;

Proposals, Submissions, and Approvals: 2022-2024 IMLS Native Hawaiian Library Services Grant Program Notice of Funding Opportunity, 3213-3214 2021-00742 Request for Advance or Reimbursement Web Form, 3214-3215 2021-00586 Interior Interior Department See Land Management Bureau See National Park Service NOTICES Agency Information Collection Activities; Proposals, Submissions, and Approvals: Documenting, Managing and Preserving Department of the Interior Museum Collections Housed in Non-Federal Repositories, 3176-3177 2021-00639 Internal Revenue Internal Revenue Service RULES Taxable Year of Income Inclusion under an Accrual Method of Accounting and Advance Payments for Goods, Services, and Other Items, 2974 C2-2020-28653 NOTICES Request for Nominations:

Electronic Tax Administration Advisory Committee, 3232-3233 2021-00744 International Trade Adm International Trade Administration NOTICES Antidumping or Countervailing Duty Investigations, Orders, or Reviews: Welded Line Pipe from the Republic of Korea, 3118-3120 2021-00723 International Trade Com International Trade Commission NOTICES Antidumping or Countervailing Duty Investigations, Orders, or Reviews: Chassis from China, 3193-3195 2021-00622 Investigations; Determinations, Modifications, and Rulings, etc.:

Fresh, Chilled, or Frozen Blueberries, 3195 2021-00623 Judicial Conference Judicial Conference of the United States NOTICES Meetings: Advisory Committee on Appellate Rules, 3196 2021-00674 Advisory Committee on Bankruptcy Rules, 3195-3196 2021-00675 Advisory Committee on Criminal Rules, 3195 2021-00676 Advisory Committee on Evidence Rules, 3196 2021-00677 Justice Department Justice Department See Alcohol, Tobacco, Firearms, and Explosives Bureau See Drug Enforcement Administration NOTICES Agency Information Collection Activities;

Proposals, Submissions, and Approvals: 2020 Census of Publicly Funded Forensic Crime Laboratories, 3198-3199 2021-00746 Address Verification/Change Request Form, 3201 2021-00749 Biographic Verification Form, 3200-3201 2021-00747 Residency and Citizenship Questionnaire, 3200 2021-00756 Proposed Consent Decree: CERCLA, 3199-3200 2021-00589 2021-00689 Labor Department Labor Department See Employment and Training Administration See Mine Safety and Health Administration See Occupational Safety and Health Administration See Wage and Hour Division See Workers Compensation Programs Office NOTICES Agency Information Collection Activities;

Proposals, Submissions, and Approvals: Certification and Qualification To Examine, Test, Operate Hoists and Perform Other Duties, 3202-3203 2021-00698 Delinquent Filer Voluntary Compliance Program, 3203-3204 2021-00696 Honoring Investments in Recruiting and Employing American Veterans Medallion Program, 3202 2021-00700 Nondiscrimination Compliance Information Reporting, 3205 2021-00699 Request for Assistance from the Department of Labor, Employee Benefits Security Administration, 3204 2021-00697 Land Land Management Bureau NOTICES Environmental Impact Statements;

Availability, etc.: Draft Desert Plan Amendment, California, 3181-3184 2021-00579 Record of Decision: Greater Sage-Grouse Management, Colorado, 3179-3180 2021-00661 Greater Sage-Grouse Management, Idaho, 3180-3181 2021-00662 Greater Sage-Grouse Management, Nevada and Northeastern California, 3177-3179 2021-00663 Greater Sage-Grouse Management, Oregon, 3186-3187 2021-00664 Greater Sage-Grouse Management, Utah, 3187-3188 2021-00665 Greater Sage-Grouse Management, Wyoming, 3184-3186 2021-00666 Library Library of Congress See Copyright Office, Library of Congress Maritime Maritime Administration NOTICES Requests for Administrative Waivers of the Coastwise Trade Laws:

Vessel NEVER ENOUGH II (Power Convertible), 3231 2021-00669 Mine Mine Safety and Health Administration RULES Department of Labor Federal Civil Penalties Inflation Adjustment Act Annual Adjustments for 2021, 2964-2973 2021-00018 NASA National Aeronautics and Space Administration RULES Federal Acquisition Regulation: Federal Acquisition Circular 2021-03; Introduction, 3676 2020-29085 Federal Acquisition Circular 2021-03; Small Entity Compliance Guide, 3689-3690 2020-29090 Individual Sureties, 3682-3687 2020-29088 Lowest Price Technically Acceptable Source Selection Process, 3679-3682 2020-29087 Technical Amendments, 3687-3689 2020-29089 Violations of Arms Control Treaties or Agreements with the United States, 3677-3679 2020-29086 NOTICES Intent to Grant a Partially Exclusive License, 3212-3213 2021-00611 Intent to Grant a Partially Exclusive Patent License, 3212 2021-00610 National Endowment for the Humanities National Endowment for the Humanities NOTICES Civil Penalty Adjustments for 2021, 3215-3216 2021-00582 National Foundation National Foundation on the Arts and the Humanities See Institute of Museum and Library Services See National Endowment for the Humanities National Highway National Highway Traffic Safety Administration RULES Civil Penalties, 3016-3026 2021-00278 National Institute National Institute of Standards and Technology NOTICES Agency Information Collection Activities;

Proposals, Submissions, and Approvals: Organization of Scientific Area Committees for Forensic Science Membership Application, 3120 2021-00583 National Institute National Institutes of Health NOTICES Agency Information Collection Activities; Proposals, Submissions, and Approvals: Data and Specimen Hub (Eunice Kennedy Shriver National Institute of Child Health and Human Development), 3160-3162 2021-00636 Meetings: National Institute of Allergy and Infectious Diseases, 3162, 3164-3165 2021-00573 2021-00577 2021-00649 National Institute of Neurological Disorders and Stroke, 3163-3165 2021-00650 2021-00653 National Institute of Nursing Research, 3162-3163 2021-00651 National Institute on Drug Abuse, 3160, 3162, 3165-3166 2021-00574 2021-00575 2021-00576 Prospective Grant of an Exclusive Patent License:

Development and Commercialization of CD33-Specific Chimeric Antigen Receptor Therapies for CD33-Expressing Malignancies Using Natural Killer Cells Transduced with Retroviral or Lentiviral Vectors, 3163-3164 2021-00637 National Oceanic National Oceanic and Atmospheric Administration RULES List of Fisheries for 2021, 3028-3053 2021-00570 NOTICES Meetings: Mid-Atlantic Fishery Management Council, 3121, 3123-3124 2021-00715 2021-00722 New England Fishery Management Council, 3121-3122, 3124 2021-00569 2021-00718 2021-00720 North Pacific Fishery Management Council, 3120-3123 2021-00716 2021-00717 2021-00719 Pacific Fishery Management Council, 3123 2021-00721 National Park National Park Service NOTICES Charter Renewal:

National Park System Advisory Board, 3188 2021-00750 Meetings: Alaska Region Subsistence Resource Commission Program, 3189-3190 2021-00726 Written Determination: Bicycle Use at Chickamauga and Chattanooga National Military Park, 3190-3193 2021-00595 Occupational Safety Health Adm Occupational Safety and Health Administration RULES Department of Labor Federal Civil Penalties Inflation Adjustment Act Annual Adjustments for 2021, 2964-2973 2021-00018 Postal Service Postal Service RULES Inspection Service Authority;

Civil Monetary Penalty Inflation Adjustment, 2986-2987 2021-00447 Presidential Documents Presidential Documents EXECUTIVE ORDERS Small Modular Reactors; Effort To Promote for National Defense and Space Exploration (EO 13972), 3725-3731 2021-01013 Securities Securities and Exchange Commission RULES Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets, 3496-3605 2020-24749 NOTICES Agency Information Collection Activities;

Proposals, Submissions, and Approvals, 3216-3217, 3225 2021-00728 2021-00732 2021-00733 Meetings: Small Business Capital Formation Advisory Committee, 3216-3217 2021-00764 Self-Regulatory Organizations; Proposed Rule Changes: Nasdaq PHLX, LLC, 3217-3225 2021-00591 Small Business Small Business Administration RULES Business Loan Program Temporary Changes; Paycheck Protection Program as Amended by Economic Aid Act, 3692-3712 2021-00451 Business Loan Program Temporary Changes; Paycheck Protection Program Second Draw Loans, 3712-3723 2021-00452 Consolidation of Mentor-Protege Programs and Other Government Contracting Amendments;

Correction, 2957-2960 2021-00270 Women-Owned Small Business and Economically Disadvantaged Women-Owned Small Business Certification; Correction, 2960-2961 2021-00476 State Department State Department NOTICES Culturally Significant Object Being Imported for Exhibition: Americans in Spain: Painting and Travel, 1820-1920, 3228 2021-00656 Facing America: Mario Schifano 1960-1965, 3227 2021-00658 Picasso, Figures, 3226 2021-00659 Designation as a Foreign Terrorist Organization: Harakat Sawa'd Misr (and other Aliases), 3228 2021-00608 ISIL-Sinai Province (and Other Aliases), 3227 2021-00600 Lashkar i Jhangvi (and Other Aliases), 3228 2021-00601 Designation as a Foreign Terrorist Organizations:

Lashkar-e-Tayyiba (and Other Aliases); Jaysh Rijal al-Tariq al Naqshabandi (and Other Aliases); Jama'atu Ansarul Muslimina Fi Biladis-Sudan (Ansaru and Other Aliases); Harakat ul-Mujahidin (and Other Aliases); al-Nusrah Front (and Other Aliases); Popular Front for the Liberation of Palestine (and Other Aliases); Continuity Irish Republican Army (and Other Aliases); and the National Liberation Army (and Other Aliases), 3226 2021-00619 Designation as a Specially Designated Global Terrorist:

Fuad Ahmad Nuri Ali al-Shakhan, 3226 2021-00629 ISIL Sinai Province (and other Aliases), 3226 2021-00607 Isma'il Fu'ad Rasul Ahmed, 3226-3227 2021-00628 Lashkar i Jhangvi (and other Aliases), 3228-3229 2021-00606 Muhammad Abbatay, 3229 2021-00633 Palestinian Islamic Jihad (and other Aliases), 3227 2021-00618 Sultan Yusuf Hasan al-'Arif, 3227-3228 2021-00632 Meetings: International Maritime Organization, 3229 2021-00657 Surface Transportation Surface Transportation Board RULES Civil Monetary Penalties—2021 Adjustment, 3026-3028 2021-00755 Transportation Department Transportation Department See Federal Aviation Administration See Federal Highway Administration See Federal Railroad Administration See Maritime Administration See National Highway Traffic Safety Administration Treasury Treasury Department See Foreign Assets Control Office See Internal Revenue Service See United States Mint U.S.

Citizenship U.S. Citizenship and Immigration Services NOTICES Agency Information Collection Activities; Proposals, Submissions, and Approvals: Application to Extend/Change Nonimmigrant Status, 3170-3171 2021-00643 Citizenship and Integration Direct Services Grant Program, 3169-3170 2021-00640 Consideration of Deferred Action for Childhood Arrivals, 3166-3167 2021-00641 H-1B Registration Tool, 3168-3169 2021-00646 Monthly Report on Naturalization Papers, 3167-3168 2021-00638 Petition for U Nonimmigrant Status, 3172-3173 2021-00642 Request for Reduced Fee, 3171-3172 2021-00644 U.S.

Institute United States Institute of Peace NOTICES Meetings: Board Meeting, 3233 2021-00599 U.S. Mint United States Mint NOTICES Meetings: Citizens Coinage Advisory Committee, 3233 2021-00730 Veteran Affairs Veterans Affairs Department NOTICES Meetings: National Research Advisory Council, 3233-3234 2021-00598 Wage Wage and Hour Division RULES Department of Labor Federal Civil Penalties Inflation Adjustment Act Annual Adjustments for 2021, 2964-2973 2021-00018 Workers' Workers Compensation Programs Office RULES Department of Labor Federal Civil Penalties Inflation Adjustment Act Annual Adjustments for 2021, 2964-2973 2021-00018 Separate Parts In This Issue Part II Commodity Futures Trading Commission, 3236-3493 2020-25332 Part III Securities and Exchange Commission, 3496-3605 2020-24749 Part IV Labor Department, Employment and Training Administration, 3608-3674 2021-00218 Part V Defense Department, 3676-3690 2020-29085 2020-29090 2020-29088 2020-29087 2020-29089 2020-29086 General Services Administration, 3676-3690 2020-29085 2020-29090 2020-29088 2020-29087 2020-29089 2020-29086 National Aeronautics and Space Administration, 3676-3690 2020-29085 2020-29090 2020-29088 2020-29087 2020-29089 2020-29086 Part VI Small Business Administration, 3692-3723 2021-00451 2021-00452 Part VII Presidential Documents, 3725-3731 2021-01013 Reader Aids Consult the Reader Aids section at the end of this issue for phone numbers, online resources, finding aids, and notice of recently enacted public laws.

To subscribe to the Federal Register Table of Contents electronic mailing list, go to https://public.govdelivery.com/accounts/USGPOOFR/subscriber/new, enter your e-mail address, then follow the instructions to join, leave, or manage your subscription. 86 9 Thursday, January 14, 2021 Rules and Regulations DEPARTMENT OF ENERGY 10 CFR Parts 207, 218, 429, 431, 490, 501, 601, 820, 824, 851, 1013, 1017, and 1050 Inflation Adjustment of Civil Monetary Penalties AGENCY: Office of the General Counsel, U.S.

Department of Energy. ACTION: Final rule. SUMMARY: The Department of Energy (“DOE”) publishes this final rule to adjust DOE's civil monetary penalties (“CMPs”) for inflation as mandated by the Federal Civil Penalties Inflation Adjustment Act of 1990, as further amended by the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015 (collectively referred to herein as “the Act”). This rule adjusts CMPs within the jurisdiction of DOE to the maximum amount required by the Act.

DATES: This rule is effective on January 14, 2021. FOR FURTHER INFORMATION CONTACT: Preeti Chaudhari, U.S. Department of Energy, Office of the General Counsel, GC-33, 1000 Independence Avenue SW, Washington, DC 20585,

(202)586-8078, *preeti.chaudhari@hq.doe.gov.* SUPPLEMENTARY INFORMATION: I. Background II. Method of Calculation III. Summary of the Final Rule IV. Final Rulemaking V. Regulatory Review I. Background In order to improve the effectiveness of CMPs and to maintain their deterrent effect, the Federal Civil Penalties Inflation Adjustment Act of 1990, 28 U.S.C. 2461 note (“the Inflation Adjustment Act”), as further amended by the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015 (Pub. L. 114-74) (“the 2015 Act”), requires Federal agencies to adjust each CMP provided by law within the jurisdiction of the agency. The 2015 Act required agencies to adjust the level of CMPs with an initial “catch-up” adjustment through an interim final rulemaking and to make subsequent annual adjustments for inflation, notwithstanding 5 U.S.C. 553. DOE's initial catch-up adjustment interim final rule was published June 28, 2016 (81 FR 41790) and adopted as final without amendment on December 30, 2016 (81 FR 96349). The 2015 Act also provides that any increase in a CMP shall apply only to CMPs, including those whose associated violation predated such increase, which are assessed after the date the increase takes effect. In accordance with the 2015 Act, the Office of Management and Budget

(OMB)must issue annually guidance on adjustments to civil monetary penalties. This final rule to adjust civil monetary penalties for 2021 is issued in accordance with applicable law and OMB's guidance memorandum on implementation of the 2021 annual adjustment. 1 1 OMB's annual guidance memorandum was issued on December 23, 2020, providing the 2021 adjustment multiplier and addressing how to apply it. II. Method of Calculation The method of calculating CMP adjustments applied in this final rule is required by the 2015 Act. Under the 2015 Act, annual inflation adjustments subsequent to the initial catch-up adjustment are to be based on the percent change between the October Consumer Price Index for all Urban Consumers (CPI-U) preceding the date of the adjustment, and the prior year's October CPI-U. Pursuant to the aforementioned OMB guidance memorandum, the adjustment multiplier for 2021 is 1.01182. In order to complete the 2021 annual adjustment, each CMP is multiplied by the 2021 adjustment multiplier. Under the 2015 Act, any increase in CMP must be rounded to the nearest multiple of $1. III. Summary of the Final Rule The following list summarizes DOE authorities containing CMPs, and the penalties before and after adjustment. DOE authority containing civil monetary penalty Before adjustment After adjustment 10 CFR 207.7 $10,821 $10,949. 10 CFR 218.42 $23,437 $23,714. 10 CFR 429.120 $468 $474. 10 CFR 431.382 $468 $474. 10 CFR 490.604 $9,073 $9,180. 10 CFR 501.181 —$95,881 —$8/mcf —$39/bbl —$97,014. —$8/mcf. —$39/bbl. 10 CFR 601.400 and appendix A —minimum $20,489 —maximum $204,892 —minimum $20,731. —maximum $207,314. 10 CFR 820.81 $214,097 $216,628. 10 CFR 824.1 and appendix A $152,998 $154,806. 10 CFR 824.4 and appendix A $152,998 $154,806. 10 CFR 851.5 and appendix B $99,361 $100,535. 10 CFR 1013.3 $11,665 $11,803. 10 CFR 1017.29 $275,529 $278,786. 10 CFR 1050.303 $20,888 $21,135. 42 U.S.C. 2282(a) 2 $104,330 $105,563. 50 U.S.C. 2731 3 $9,365 $9,476. IV. Final Rulemaking 2 Adjustment applies only to violations of 42 U.S.C. 2077(b), consistent with Public Law 115-232 (August 13, 2018). 3 Implemented by 10 CFR 820.81, 10 CFR 851.5, and appendix B to 10 CFR part 851. The 2015 Act requires that annual adjustments for inflation subsequent to the initial “catch-up” adjustment be made notwithstanding 5 U.S.C. 553. V. Regulatory Review A. Executive Order 12866 This rule has been determined not to be a significant regulatory action under Executive Order 12866, “Regulatory Planning and Review,” 58 FR 51735 (October 4, 1993). Accordingly, this action was not subject to review under that Executive order by the Office of Information and Regulatory Affairs of the Office of Management and Budget. B. National Environmental Policy Act DOE has determined that this final rule is covered under the Categorical Exclusion found in DOE's National Environmental Policy Act regulations at paragraph A5 of appendix A to subpart D, 10 CFR part 1021, which applies to a rulemaking that amends an existing rule or regulation and that does not change the environmental effect of the rule or regulation being amended. Accordingly, neither an environmental assessment nor an environmental impact statement is required. C. Regulatory Flexibility Act The Regulatory Flexibility Act (5 U.S.C. 601 *et seq.* ) requires preparation of an initial regulatory flexibility analysis for any rule that by law must be proposed for public comment. As discussed above, the 2015 Act requires that annual inflation adjustments subsequent to the initial catch-up adjustment be made notwithstanding 5 U.S.C. 553. Because a notice of proposed rulemaking is not required for this action pursuant to 5 U.S.C. 553, or any other law, no regulatory flexibility analysis has been prepared for this final rule. D. Paperwork Reduction Act This final rule imposes no new information collection requirements subject to the Paperwork Reduction Act. E. Unfunded Mandates Reform Act of 1995 The Unfunded Mandates Reform Act of 1995 (Pub. L. 104-4) generally requires Federal agencies to examine closely the impacts of regulatory actions on State, local, and tribal governments. Section 201 excepts agencies from assessing effects on State, local or tribal governments or the private sector of rules that incorporate requirements specifically set forth in law. Because this rule incorporates requirements specifically set forth in 28 U.S.C. 2461 note, DOE is not required to assess its regulatory effects under section 201. Unfunded Mandates Reform Act sections 202 and 205 do not apply to this action because they apply only to rules for which a general notice of proposed rulemaking is published. Nevertheless, DOE has determined that this regulatory action does not impose a Federal mandate on State, local, or tribal governments or on the public sector. F. Treasury and General Government Appropriations Act, 1999 Section 654 of the Treasury and General Government Appropriations Act, 1999 (Pub. L. 105-277) requires Federal agencies to issue a Family Policymaking Assessment for any proposed rule that may affect family well-being. This rule would not have any impact on the autonomy or integrity of the family as an institution. Accordingly, DOE has concluded that it is not necessary to prepare a Family Policymaking Assessment. G. Executive Order 13132 Executive Order 13132, “Federalism,” 64 FR 43255 (August 4, 1999) imposes certain requirements on agencies formulating and implementing policies or regulations that preempt State law or that have federalism implications. Agencies are required to examine the constitutional and statutory authority supporting any action that would limit the policymaking discretion of the States and carefully assess the necessity for such actions. DOE has examined this rule and has determined that it would not preempt State law and would not have a substantial direct effect on the States, on the relationship between the National Government and the States, or on the distribution of power and responsibilities among the various levels of government. No further action is required by Executive Order 13132. H. Executive Order 12988 With respect to the review of existing regulations and the promulgation of new regulations, section 3(a) of Executive Order 12988, “Civil Justice Reform,” 61 FR 4729 (February 7, 1996), imposes on Executive agencies the general duty to adhere to the following requirements:

(1)Eliminate drafting errors and ambiguity;

(2)write regulations to minimize litigation; and

(3)provide a clear legal standard for affected conduct rather than a general standard and promote simplification and burden reduction. With regard to the review required by section 3(a), section 3(b) of Executive Order 12988 specifically requires that Executive agencies make every reasonable effort to ensure that the regulation:

(1)Clearly specifies the preemptive effect, if any;

(2)clearly specifies any effect on existing Federal law or regulation;

(3)provides a clear legal standard for affected conduct while promoting simplification and burden reduction;

(4)specifies the retroactive effect, if any;

(5)adequately defines key terms; and

(6)addresses other important issues affecting clarity and general draftsmanship under any guidelines issued by the Attorney General. Section 3(c) of Executive Order 12988 requires Executive agencies to review regulations in light of applicable standards in section 3(a) and section 3(b) to determine whether they are met or it is unreasonable to meet one or more of them. DOE has completed the required review and determined that, to the extent permitted by law, this rule meets the relevant standards of Executive Order 12988. I. Treasury and General Government Appropriations Act, 2001 The Treasury and General Government Appropriations Act, 2001 (44 U.S.C. 3516 note) provides for agencies to review most disseminations of information to the public under guidelines established by each agency pursuant to general guidelines issued by OMB. OMB's guidelines were published at 67 FR 8452 (February 22, 2002), and DOE's guidelines were published at 67 FR 62446 (October 7, 2002). DOE has reviewed this rule under the OMB and DOE guidelines and has concluded that it is consistent with applicable policies in those guidelines. J. Executive Order 13211 Executive Order 13211, “Actions Concerning Regulations That Significantly Affect Energy Supply, Distribution, or Use,” 66 FR 28355 (May 22, 2001) requires Federal agencies to prepare and submit to OMB, a Statement of Energy Effects for any proposed significant energy action. A “significant energy action” is defined as any action by an agency that promulgated or is expected to lead to promulgation of a final rule, and that:

(1)Is a significant regulatory action under Executive Order 12866, or any successor order; and

(2)is likely to have a significant adverse effect on the supply, distribution, or use of energy, or

(3)is designated by the Administrator of the Office of Information and Regulatory Affairs

(OIRA)as a significant energy action. For any proposed significant energy action, the agency must give a detailed statement of any adverse effects on energy supply, distribution, or use should the proposal be implemented, and of reasonable alternatives to the action and their expected benefits on energy supply, distribution, and use. This regulatory action would not have a significant adverse effect on the supply, distribution, or use of energy and is therefore not a significant energy action. Accordingly, DOE has not prepared a Statement of Energy Effects. K. Congressional Notification As required by 5 U.S.C. 801, DOE will submit to Congress a report regarding the issuance of this final rule prior to the effective date set forth at the outset of this rulemaking. The report will state that it has been determined that the rule is not a “major rule” as defined by 5 U.S.C. 801(2). L. Approval of the Office of the Secretary The Secretary of Energy has approved publication of this final rule. List of Subjects 10 CFR Part 207 Administrative practice and procedure, Energy, Penalties. 10 CFR Part 218 Administrative practice and procedure, Penalties, Petroleum allocation. 10 CFR Part 429 Confidential business information, Energy conservation, Household appliances, Imports, Incorporation by reference, Reporting and recordkeeping requirements. 10 CFR Part 431 Administrative practices and procedure, Confidential business information, Energy conservation, Incorporation by reference, Reporting and recordkeeping requirements. 10 CFR Part 490 Administrative practice and procedure, Energy conservation, Penalties. 10 CFR Part 501 Administrative practice and procedure, Electric power plants, Energy conservation, Natural gas, Petroleum. 10 CFR Part 601 Government contracts, Grant programs, Loan programs, Penalties. 10 CFR Part 820 Administrative practice and procedure, Government contracts, Penalties, Radiation protection. 10 CFR Part 824 Government contracts, Nuclear materials, Penalties, Security measures. 10 CFR Part 851 Civil penalty, Hazardous substances, Occupational safety and health, Safety, Reporting and recordkeeping requirements. 10 CFR Part 1013 Administrative practice and procedure, Claims, Fraud, Penalties. 10 CFR Part 1017 Administrative practice and procedure, Government contracts, National defense, Nuclear energy, Penalties, Security measures. 10 CFR Part 1050 Decorations, medals, awards, Foreign relations, Government employees, Government property, Reporting and recordkeeping requirements. Signing Authority This document of the Department of Energy was signed on January 7, 2021, by William S. Cooper III, General Counsel, pursuant to delegated authority from the Secretary of Energy. That document with the original signature and date is maintained by DOE. For administrative purposes only, and in compliance with requirements of the Office of the Federal Register, the undersigned DOE Federal Register Liaison Officer has been authorized to sign and submit the document in electronic format for publication, as an official document of the Department of Energy. This administrative process in no way alters the legal effect of this document upon publication in the **Federal Register** . Signed in Washington, DC, on January 7, 2021. Treena V. Garrett, Federal Register Liaison Officer, U.S. Department of Energy. For the reasons set forth in the preamble, DOE amends chapters II, III, and X of title 10 of the Code of Federal Regulations as set forth below. PART 207—COLLECTION OF INFORMATION 1. The authority citation for part 207 continues to read as follows: Authority: 15 U.S.C. 787 *et seq.;* 15 U.S.C. 791 *et seq.;* E.O. 11790, 39 FR 23185; 28 U.S.C. 2461 note. 2. Section 207.7 is amended by revising the first sentence of paragraph (c)(1) to read as follows: § 207.7 Sanctions.

(c)* * *

(1)Any person who violates any provision of this subpart or any order issued pursuant thereto shall be subject to a civil penalty of not more than $10,949 for each violation. * * * PART 218—STANDBY MANDATORY INTERNATIONAL OIL ALLOCATION 3. The authority citation for part 218 continues to read as follows: Authority: 15 U.S.C. 751 *et seq.;* 15 U.S.C. 787 *et seq.;* 42 U.S.C. 6201 *et seq.;* 42 U.S.C. 7101 *et seq.;* E.O. 11790, 39 FR 23185; E.O. 12009, 42 FR 46267; 28 U.S.C. 2461 note. 4. Section 218.42 is amended by revising paragraph (b)(1) to read as follows: § 218.42 Sanctions.

(b)* * *

(1)Any person who violates any provision of this part or any order issued pursuant thereto shall be subject to a civil penalty of not more than $23,714 for each violation. PART 429—CERTIFICATION, COMPLIANCE, AND ENFORCEMENT FOR CONSUMER PRODUCTS AND COMMERCIAL AND INDUSTRIAL EQUIPMENT 5. The authority citation for part 429 continues to read as follows: Authority: 42 U.S.C. 6291-6317; 28 U.S.C. 2461 note. 6. Section 429.120 is amended by revising the first sentence to read as follows: § 429.120 Maximum civil penalty. Any person who knowingly violates any provision of § 429.102(a) may be subject to assessment of a civil penalty of no more than $474 for each violation. * * * PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT 7. The authority citation for part 431 continues to read as follows: Authority: 42 U.S.C. 6291-6317; 28 U.S.C. 2461 note. 8. Section 431.382 is amended by revising paragraph

(b)to read as follows: § 431.382 Prohibited acts.

(b)In accordance with sections 333 and 345 of the Act, any person who knowingly violates any provision of paragraph

(a)of this section may be subject to assessment of a civil penalty of no more than $474 for each violation. PART 490—ALTERNATIVE FUEL TRANSPORTATION PROGRAM 9. The authority citation for part 490 continues to read as follows: Authority: 42 U.S.C. 7191 *et seq.;* 42 U.S.C. 13201, 13211, 13220, 13251 *et seq.;* 28 U.S.C. 2461 note. 10. Section 490.604 is amended by revising paragraph

(a)to read as follows: § 490.604 Penalties and Fines.

(a)*Civil penalties.* Whoever violates § 490.603 shall be subject to a civil penalty of not more than $9,180 for each violation. PART 501—ADMINISTRATIVE PROCEDURES AND SANCTIONS 11. The authority citation for part 501 continues to read as follows: Authority: 42 U.S.C. 7101 *et seq.;* 42 U.S.C. 8301 *et seq.;* 42 U.S.C. 8701 *et seq.;* E.O. 12009, 42 FR 46267; 28 U.S.C. 2461 note. 12. Section 501.181 is amended by revising paragraph (c)(1) to read as follows: § 501.181 Sanctions.

(c)* * *

(1)Any person who violates any provisions of the Act (other than section 402) or any rule in this subchapter or order under this subchapter or the Act will be subject to the following civil penalty, which may not exceed $97,014 for each violation: Any person who operates a powerplant or major fuel burning installation under an exemption, during any 12-calendar-month period, in excess of that authorized in such exemption will be assessed a civil penalty of up to $8 for each MCF of natural gas or up to $39 for each barrel of oil used in excess of that authorized in the exemption. PART 601—NEW RESTRICTIONS ON LOBBYING 13. The authority citation for part 601 continues to read as follows: Authority: 31 U.S.C. 1352; 42 U.S.C. 7254 and 7256; 31 U.S.C. 6301-6308; 28 U.S.C. 2461 note. 14. Section 601.400 is amended by revising paragraphs (a), (b), and

(e)to read as follows: § 601.400 Penalties.

(a)Any person who makes an expenditure prohibited by this part shall be subject to a civil penalty of not less than $20,731 and not more than $207,314 for each such expenditure.

(b)Any person who fails to file or amend the disclosure form (see appendix B to this part) to be filed or amended if required by this part, shall be subject to a civil penalty of not less than $20,731 and not more than $207,314 for each such failure.

(e)First offenders under paragraph

(a)or

(b)of this section shall be subject to a civil penalty of $20,731, absent aggravating circumstances. Second and subsequent offenses by persons shall be subject to an appropriate civil penalty between $20,731 and $207,314, as determined by the agency head or his or her designee. Appendix A to Part 601 [Amended] 15. Appendix A to part 601 is amended by: a. Removing “$20,489” wherever it appears and adding in its place “$20,731”; and b. Removing “$204,892” wherever it appears and adding in its place “$207,314”. PART 820—PROCEDURAL RULES FOR DOE NUCLEAR ACTIVITIES 16. The authority citation for part 820 continues to read as follows: Authority: 42 U.S.C. 2201; 2282(a); 7191; 28 U.S.C. 2461 note; 50 U.S.C. 2410. 17. Section 820.81 is amended by revising the first sentence to read as follows: § 820.81 Amount of penalty. Any person subject to a penalty under 42 U.S.C. 2282a shall be subject to a civil penalty in an amount not to exceed $216,628 for each such violation. * * * PART 824—PROCEDURAL RULES FOR THE ASSESSMENT OF CIVIL PENALTIES FOR CLASSIFIED INFORMATION SECURITY VIOLATIONS 18. The authority citation for part 824 continues to read as follows: Authority: 42 U.S.C. 2201, 2282b, 7101 *et seq.,* 50 U.S.C. 2401 *et seq.;* 28 U.S.C. 2461 note. 19. Section 824.1 is amended by revising the second sentence to read as follows: § 824.1 Purpose and scope. * * * Subsection a. provides that any person who has entered into a contract or agreement with the Department of Energy, or a subcontract or subagreement thereto, and who violates (or whose employee violates) any applicable rule, regulation, or order under the Act relating to the security or safeguarding of Restricted Data or other classified information, shall be subject to a civil penalty not to exceed $154,806 for each violation. * * * 20. Section 824.4 is amended by revising paragraph

(c)to read as follows: § 824.4 Civil penalties.

(c)The Director may propose imposition of a civil penalty for violation of a requirement of a regulation or rule under paragraph

(a)of this section or a compliance order issued under paragraph

(b)of this section, not to exceed $154,806 for each violation. PART 851—WORKER SAFETY AND HEALTH PROGRAM 21. The authority citation for part 851 continues to read as follows: Authority: 42 U.S.C. 2201(i)(3), (p); 42 U.S.C. 2282c; 42 U.S.C. 5801 *et seq.;* 42 U.S.C. 7101 *et seq.;* 50 U.S.C. 2401 *et seq.;* 28 U.S.C. 2461 note. 22. Section 851.5 is amended by revising the first sentence of paragraph

(a)to read as follows: § 851.5 Enforcement.

(a)A contractor that is indemnified under section 170d. of the AEA (or any subcontractor or supplier thereto) and that violates (or whose employee violates) any requirement of this part shall be subject to a civil penalty of up to $100,535 for each such violation. * * * 23. Appendix B to part 851 is amended by: a. Revising the last sentences of paragraphs (b)(1) and

(2)in section VI; and b. Revising paragraph 1.(e)(1) in section IX. The revisions read as follows: Appendix B to Part 851—General Statement of Enforcement Policy VI. Severity of Violations

(b)* * *

(1)* * * A Severity Level I violation would be subject to a base civil penalty of up to 100% of the maximum base civil penalty of $100,535.

(2)* * * A Severity Level II violation would be subject to a base civil penalty up to 50% of the maximum base civil penalty ($50,267). IX. Enforcement Actions Notice of Violation

(e)* * *

(1)DOE may assess civil penalties of up to $100,535 per violation per day on contractors (and their subcontractors and suppliers) that are indemnified by the Price-Anderson Act, 42 U.S.C. 2210(d). *See* 10 CFR 851.5(a). PART 1013—PROGRAM FRAUD CIVIL REMEDIES AND PROCEDURES 24. The authority citation for part 1013 continues to reads as follows: Authority: 31 U.S.C. 3801-3812; 28 U.S.C. 2461 note. 25. Section 1013.3 is amended by revising paragraphs (a)(1)(iv) and (b)(1)(ii) to read as follows: § 1013.3 Basis for civil penalties and assessments.

(a)* * *

(1)* * *

(iv)Is for payment for the provision of property or services which the person has not provided as claimed, shall be subject, in addition to any other remedy that may be prescribed by law, to a civil penalty of not more than $11,803 for each such claim.

(b)* * *

(1)* * *

(ii)Contains or is accompanied by an express certification or affirmation of the truthfulness and accuracy of the contents of the statement, shall be subject, in addition to any other remedy that may be prescribed by law, to a civil penalty of not more than $11,803 for each such statement. PART 1017—IDENTIFICATION AND PROTECTION OF UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION 26. The authority citation for part 1017 continues to read as follows: Authority: 42 U.S.C. 7101 *et seq.;* 50 U.S.C. 2401 *et seq.;* 42 U.S.C. 2168; 28 U.S.C. 2461 note. 27. Section 1017.29 is amended by revising paragraph

(c)to read as follows: § 1017.29 Civil penalty.

(c)*Amount of penalty.* The Director may propose imposition of a civil penalty for violation of a requirement of a regulation under paragraph

(a)of this section or a compliance order issued under paragraph

(b)of this section, not to exceed $278,786 for each violation. PART 1050—FOREIGN GIFTS AND DECORATIONS 28. The authority citation for part 1050 continues to read as follows: Authority: The Constitution of the United States, Article I, Section 9; 5 U.S.C. 7342; 22 U.S.C. 2694; 42 U.S.C. 7254 and 7262; 28 U.S.C. 2461 note. 29. Section 1050.303 is amended by revising the last sentence in paragraph

(d)to read as follows: § 1050.303 Enforcement.

(d)* * * The court in which such action is brought may assess a civil penalty against such employee in any amount not to exceed the retail value of the gift improperly solicited or received plus $21,135. [FR Doc. 2021-00439 Filed 1-13-21; 8:45 am]

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