[Federal Register Volume 87, Number 10 (Friday, January 14, 2022)]
[Rules and Regulations]
[Pages 2310-2312]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-00010]
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NUCLEAR REGULATORY COMMISSION
10 CFR Parts 2 and 13
[NRC-2020-0032]
RIN 3150-AK45
Adjustment of Civil Penalties for Inflation for Fiscal Year 2022
AGENCY: Nuclear Regulatory Commission.
ACTION: Final rule.
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SUMMARY: The U.S. Nuclear Regulatory Commission (NRC) is amending its
regulations to adjust the maximum civil monetary penalties it can
assess under statutes enforced by the agency. These changes are
mandated by the Federal Civil Penalties Inflation Adjustment Act of
1990, as amended by the Federal Civil Penalties Inflation Adjustment
Act Improvements Act of 2015. The NRC is amending its regulations to
adjust the maximum civil monetary penalty for a violation of the Atomic
Energy Act of 1954, as amended, or any regulation or order issued under
the Atomic Energy Act from $307,058 to $326,163 per violation, per day.
Additionally, the NRC is amending provisions concerning program fraud
civil penalties by adjusting the maximum civil monetary penalty under
the Program Fraud Civil Remedies Act from $11,803 to $12,537 for each
false claim or statement.
DATES: This final rule is effective on January 14, 2022.
ADDRESSES: Please refer to Docket ID NRC-2020-0032 when contacting the
NRC about the availability of information for this action. You may
obtain publicly available information related to this action by any of
the following methods:
Federal Rulemaking website: Go to https://www.regulations.gov and search for Docket ID NRC-2020-0032. Address
questions about NRC dockets to Dawn Forder; telephone: 301-415-3407;
email: [email protected]. For technical questions, contact the
individual listed in the FOR FURTHER INFORMATION CONTACT section of
this document.
NRC's Agencywide Documents Access and Management System
(ADAMS): You may obtain publicly available documents online in the
ADAMS Public Documents collection at https://www.nrc.gov/reading-rm/adams.html. To begin the search, select ``Begin Web-based ADAMS
Search.'' For problems with ADAMS, please contact the NRC's Public
Document Room (PDR) reference staff at 1-800-397-4209, 301-415-4737, or
by email to [email protected]. The ADAMS accession number for each
document referenced (if it is available in ADAMS) is provided the first
time that it is mentioned in the SUPPLEMENTARY INFORMATION section.
NRC's PDR: You may examine and purchase copies of public
documents, by appointment, at the NRC's PDR, Room P1 B35, One White
Flint North, 11555 Rockville Pike, Rockville, Maryland 20852. To make
an appointment to visit the PDR, please send an email to
[email protected] or call 1-800-397-4209 or 301-415-4737, between
8:00 a.m. and 4:00 p.m. (ET), Monday through Friday, except Federal
holidays.
FOR FURTHER INFORMATION CONTACT: Eric Michel, Office of the General
Counsel, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001,
telephone: 301-415-0932; email: [email protected].
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Background
II. Discussion
III. Rulemaking Procedure
IV. Section-by-Section Analysis
V. Regulatory Analysis
VI. Regulatory Flexibility Act
VII. Backfitting and Issue Finality
VIII. Plain Writing
IX. National Environmental Policy Act
X. Paperwork Reduction Act
XI. Congressional Review Act
I. Background
Congress passed the Federal Civil Penalties Inflation Adjustment
Act of 1990 (FCPIAA) to allow for regular adjustment for inflation of
civil monetary penalties (CMPs), maintain the deterrent effect of such
penalties and promote compliance with the law, and improve the
collection of CMPs by the Federal government (Pub. L. 101-410, 104
Stat. 890; 28 U.S.C. 2461 note). Pursuant to this authority, and as
amended by the Debt Collection Improvement Act of 1996 (Pub. L. 104-34,
110 Stat. 1321-373), the NRC increased via rulemaking the CMP amounts
for violations of the Atomic Energy Act of 1954, as amended (AEA)
(codified at Sec. 2.205 of title 10 of the Code of Federal Regulations
(10 CFR), ``Civil penalties'') and Program Fraud Civil Remedies Act
(codified at Sec. 13.3, ``Civil penalties and assessments'') on four
occasions between 1996 and 2008.\1\
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\1\ Adjustment of Civil Penalties for Inflation (73 FR 54671;
Sept. 23, 2008); Adjustment of Civil Penalties for Inflation (69 FR
62393; Oct. 26, 2004); Adjustment of Civil Penalties for Inflation;
Miscellaneous Administrative Changes (65 FR 59270; Oct. 4, 2000);
Adjustment of Civil Monetary Penalties for Inflation (61 FR 53554;
Oct. 11, 1996). An adjustment was not performed in 2012 because the
FCPIAA at the time required agencies to round their CMP amounts to
the nearest multiple of $1,000 or $10,000, depending on the size of
the CMP amount, and the 2012 percentages based on the statutory
formula were small enough that no adjustment resulted.
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On November 2, 2015, Congress amended the FCPIAA through the
Federal Civil Penalties Inflation Adjustment Act Improvements Act of
2015 (2015 Improvements Act) (Sec. 701, Pub. L. 114-74, 129 Stat. 599).
The 2015 Improvements Act required that the head of each agency perform
an initial ``catch-up'' adjustment via
[[Page 2311]]
rulemaking, adjusting the CMPs enforced by that agency according to the
percentage change in the Consumer Price Index (CPI) between the month
of October 2015 and the month of October of the calendar year when the
CMP amount was last established by Congress. The NRC published this
catch-up rulemaking on July 1, 2016 (81 FR 43019).
The 2015 Improvements Act also requires that the head of each
agency continue to adjust CMP amounts, rounded to the nearest dollar,
on an annual basis. Specifically, each CMP is to be adjusted based on
the percentage change between the CPI for the month of October, and the
CPI for the month of October for the previous year. The NRC most
recently adjusted its civil penalties for inflation according to this
statutory formula on January 15, 2021 (86 FR 3745). This year's
adjustment is based on the increase in the CPI from October 2020 to
October 2021.
II. Discussion
Section 234 of the AEA limits civil penalties for violations of the
AEA to $100,000 per day, per violation (42 U.S.C. 2282). However, as
discussed in Section I, ``Background,'' of this document, the NRC has
increased this amount several times since 1996 per the FCPIAA, as
amended. Using the formula in the 2015 Improvements Act, the $307,058
amount last established in January 2021 will increase by 6.222 percent,
resulting in a new CMP amount of $326,163. This is based on the
increase in the CPI from October 2020 (260.388) to October 2021
(276.589). Therefore, the NRC is amending Sec. 2.205 to reflect a new
maximum CMP under the AEA in the amount of $326,163 per day, per
violation. This represents an increase of $19,105.
Monetary penalties under the Program Fraud Civil Remedies Act were
established in 1986 at $5,000 per claim (Pub. L. 99-509, 100 Stat.
1938; 31 U.S.C. 3802). The NRC also has adjusted this amount (currently
set at $11,803) multiple times pursuant to the FCPIAA, as amended,
since 1996. Using the formula in the 2015 Improvements Act, the $11,803
amount last established in January 2021 will also increase by 6.222
percent, resulting in a new CMP amount of $12,537. Therefore, the NRC
is amending Sec. 13.3 to reflect a new maximum CMP amount of $12,537
per claim or statement. This represents an increase of $734.
As permitted by the 2015 Improvements Act, the NRC may apply these
increased CMP amounts to any penalties assessed by the agency after the
effective date of this final rule (January 14, 2022), regardless of
whether the associated violation occurred before or after this date
(Pub. L. 114-74, 129 Stat. 600; 28 U.S.C. 2461 note). The NRC assesses
civil penalty amounts for violations of the AEA based on the class of
licensee and severity of the violation, in accordance with the NRC
Enforcement Policy, which is available under ADAMS Accession No.
ML21323A042. A corresponding update to the NRC Enforcement Policy is
being published today in the Rules section of the Federal Register to
reflect the updated CMP amount in Sec. 2.205.
III. Rulemaking Procedure
The 2015 Improvements Act expressly exempts this final rule from
the notice and comment requirements of the Administrative Procedure Act
by directing agencies to adjust CMPs for inflation ``notwithstanding
section 553 of title 5, United States Code'' (Pub. L. 114-74, 129 Stat.
599; 28 U.S.C. 2461 note). As such, this final rule is being issued
without prior public notice or opportunity for public comment, with an
effective date of January 14, 2022.
IV. Section-by-Section Analysis
Sec. 2.205 Civil penalties.
This final rule revises paragraph (j) by replacing ``$307,058''
with ``$326,163.''
Sec. 13.3 Basis for civil penalties and assessments.
This final rule revises paragraphs (a)(1)(iv) and (b)(1)(ii) by
replacing ``$11,803'' with ``$12,537.''
V. Regulatory Analysis
This final rule adjusts for inflation the maximum CMPs the NRC may
assess under the AEA and under the Program Fraud Civil Remedies Act of
1986. The formula for determining the amount of the adjustment is
mandated by Congress in the FCPIAA, as amended by the 2015 Improvements
Act (codified at 28 U.S.C. 2461 note). Congress passed this legislation
on the basis of its findings that the power to impose monetary civil
penalties is important to deterring violations of Federal law and
furthering the policy goals of Federal laws and regulations. Congress
has also found that inflation diminishes the impact of these penalties
and their effect. The principal purposes of this legislation are to
provide for adjustment of civil monetary penalties for inflation,
maintain the deterrent effect of civil monetary penalties, and promote
compliance with the law. Therefore, these are the anticipated impacts
of this rulemaking. Direct monetary impacts fall only upon licensees or
other persons subjected to NRC enforcement for violations of the AEA
and regulations and orders issued under the AEA (Sec. 2.205), or those
licensees or persons subjected to liability pursuant to the provisions
of the Program Fraud Civil Remedies Act of 1986 (31 U.S.C. 3801-3812)
and the NRC's implementing regulations (10 CFR part 13).
VI. Regulatory Flexibility Act
The Regulatory Flexibility Act does not apply to regulations for
which a Federal agency is not required by law, including the rulemaking
provisions of the Administrative Procedure Act, 5 U.S.C 553(b), to
publish a general notice of proposed rulemaking (5 U.S.C. 604). As
discussed under Section III, ``Rulemaking Procedure,'' of this
document, this final rule is exempt from the requirements of 5 U.S.C.
553(b) and notice and comment need not be provided. Accordingly, the
NRC also determines that the requirements of the Regulatory Flexibility
Act do not apply to this final rule.
VII. Backfit and Issue Finality
The NRC has not prepared a backfit analysis for this final rule.
This final rule does not involve any provision that would impose a
backfit, nor is it inconsistent with any issue finality provision, as
those terms are defined in 10 CFR chapter I. As mandated by Congress,
this final rule increases CMP amounts for violations of already-
existing NRC regulations and requirements. This final rule does not
modify any licensee systems, structures, components, designs,
approvals, or procedures required for the construction or operation of
any facility.
VIII. Plain Writing
The Plain Writing Act of 2010 (Pub. L. 111-274) requires Federal
agencies to write documents in a clear, concise, and well-organized
manner. The NRC has written this document to be consistent with the
Plain Writing Act as well as the Presidential Memorandum, ``Plain
Language in Government Writing,'' published June 10, 1998 (63 FR
31885).
IX. National Environmental Policy Act
The NRC has determined that this final rule is the type of action
described as a categorical exclusion in Sec. 51.22(c)(1). Therefore,
neither an environmental impact statement nor an environmental
assessment has been prepared for this final rule.
X. Paperwork Reduction Act
This final rule does not contain a collection of information as
defined in the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.)
and, therefore,
[[Page 2312]]
is not subject to the requirements of the Paperwork Reduction Act of
1995.
XI. Congressional Review Act
This final rule is a rule as defined in the Congressional Review
Act (5 U.S.C. 801-808). However, the Office of Management and Budget
has not found it to be a major rule as defined in the Congressional
Review Act.
List of Subjects
10 CFR Part 2
Administrative practice and procedure, Antitrust, Byproduct
material, Classified information, Confidential business information,
Freedom of information, Environmental protection, Hazardous waste,
Nuclear energy, Nuclear materials, Nuclear power plants and reactors,
Penalties, Reporting and recordkeeping requirements, Sex
discrimination, Source material, Special nuclear material, Waste
treatment and disposal.
10 CFR Part 13
Administrative practice and procedure, Claims, Fraud, Organization
and function (Government agencies), Penalties.
For the reasons set out in the preamble and under the authority of
the Atomic Energy Act of 1954, as amended; the Energy Reorganization
Act of 1974, as amended; 28 U.S.C. 2461 note; and 5 U.S.C. 552 and 553,
the NRC is adopting the following amendments to 10 CFR parts 2 and 13:
PART 2--AGENCY RULES OF PRACTICE AND PROCEDURE
0
1. The authority citation for part 2 continues to read as follows:
Authority: Atomic Energy Act of 1954, secs. 29, 53, 62, 63, 81,
102, 103, 104, 105, 161, 181, 182, 183, 184, 186, 189, 191, 234 (42
U.S.C. 2039, 2073, 2092, 2093, 2111, 2132, 2133, 2134, 2135, 2201,
2231, 2232, 2233, 2234, 2236, 2239, 2241, 2282); Energy
Reorganization Act of 1974, secs. 201, 206 (42 U.S.C. 5841, 5846);
Nuclear Waste Policy Act of 1982, secs. 114(f), 134, 135, 141 (42
U.S.C. 10134(f), 10154, 10155, 10161); Administrative Procedure Act
(5 U.S.C. 552, 553, 554, 557, 558); National Environmental Policy
Act of 1969 (42 U.S.C. 4332); 44 U.S.C. 3504 note.
Section 2.205(j) also issued under 28 U.S.C. 2461 note.
Sec. 2.205 [Amended]
0
2. In Sec. 2.205, amend paragraph (j) by removing the amount
``$307,058'' and adding in its place the amount ``$326,163''.
PART 13--PROGRAM FRAUD CIVIL REMEDIES
0
3. The authority citation for part 13 continues to read as follows:
Authority: 31 U.S.C. 3801 through 3812; 44 U.S.C. 3504 note.
Section 13.3 also issued under 28 U.S.C. 2461 note.
Section 13.13 also issued under 31 U.S.C. 3730.
Sec. 13.3 [Amended]
0
4. In Sec. 13.3, amend paragraphs (a)(1)(iv) and (b)(1)(ii) by
removing the amount ``$11,803'' and adding in its place the amount
``$12,537''.
Dated: December 22, 2021.
For the Nuclear Regulatory Commission.
Daniel H. Dorman,
Executive Director for Operations.
[FR Doc. 2022-00010 Filed 1-13-22; 8:45 am]
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