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Rules and Regulations
Federal Register Vol. 86, No. 19
Monday, February 1, 2021

This section of the FEDERAL REGISTER
contains regulatory documents having general applicability and legal effect, most of which are keyed to and codified in the Code of Federal Regulations, which is published under 50 titles pursuant to 44 U.S.C. 1510.
The Code of Federal Regulations is sold by the Superintendent of Documents.

OFFICE OF GOVERNMENT ETHICS
5 CFR Parts 2634 and 2636
RIN 3209AA55

2021 Civil Monetary Penalties Inflation Adjustments for Ethics in Government Act Violations Office of Government Ethics.
Final rule.

AGENCY:
ACTION:

In accordance with the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, the U.S. Office of Government Ethics is issuing this final rule to make the 2021 annual adjustments to the Ethics in Government Act civil monetary penalties.
DATES:
Effective date: This final rule is effective February 1, 2021.
Applicability date: This final rule is applicable beginning January 15, 2021.
FOR FURTHER INFORMATION CONTACT:
Margaret Dylus-Yukins, Assistant Counsel, General Counsel and Legal Policy Division, Office of Government Ethics, Telephone: 2024829300; TTY:
8008778339; FAX: 2024829237.
SUPPLEMENTARY INFORMATION:
SUMMARY:

I. Background In November 2015, Congress passed the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015 Sec. 701 of Pub. L. 11474 the 2015 Act, which further amended the Federal Civil Penalties Inflation Adjustment Act of 1990 Pub. L. 101
410. The 2015 Act required Federal agencies to make inflationary adjustments to the civil monetary penalties CMPs within their jurisdiction with an initial catch-up adjustment through an interim final rule effective no later than August 1, 2016, and further mandates that Federal agencies make subsequent annual inflationary adjustments of their CMPs, to be effective no later than January 15
of each year.

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The Ethics in Government Act of 1978
as amended, 5 U.S.C. appendix the Ethics Act provides for five CMPs.1
Specifically, the Ethics Act provides for penalties that can be assessed by an appropriate United States district court, based upon a civil action brought by the Department of Justice, for the following five types of violations:
1 Knowing and willful failure to file, report required information on, or falsification of a public financial disclosure report, 5 U.S.C. appendix 104a, 5 CFR 2634.701b;
2 Knowing and willful breach of a qualified trust by trustees and interested parties, 5 U.S.C. appendix 102f6Ci, 5 CFR 2634.702a;
3 Negligent breach of a qualified trust by trustees and interested parties, 5 U.S.C. appendix 102f6Cii, 5 CFR
2634.702b;
4 Misuse of a public report, 5 U.S.C.
appendix 105c2, 5 CFR 2634.703;
and 5 Violation of outside employment/
activities provisions, 5 U.S.C. appendix 504a, 5 CFR 2636.104a.
In compliance with the 2015 Act and guidance issued by the Office of Management and Budget OMB, the U.S. Office of Government Ethics OGE
made previous inflationary adjustments to the five Ethics Act CMPs, and is issuing this rulemaking to effectuate the 2021 annual inflationary adjustments to those CMPs. In accordance with the 2015 Act, these adjustments are based on the percent change between the Consumer Price Index for all Urban Consumers CPIU for the month of October preceding the date of the adjustment, and the prior years October CPIU. Pursuant to OMB guidance, the cost-of-living adjustment multiplier for 2021, based on the CPIU for October 2020, not seasonally adjusted, is 1.01182. To calculate the 2021 annual adjustment, agencies must multiply the most recent penalty by the 1.01182
multiplier, and round to the nearest dollar.
1 OGE has previously determined, after consultation with the Department of Justice, that the $200 late filing fee for public financial disclosure reports that are more than 30 days overdue see section 104d of the Ethics Act, 5
U.S.C. appendix, 104d, and 5 CFR 2634.704 of OGEs regulations thereunder is not a CMP as defined under the Federal Civil Penalties Inflation Adjustment Act, as amended. Therefore, that fee is not being adjusted in this rulemaking nor was it adjusted by OGE in previous CMP rulemakings, and will remain at its current amount of $200.

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Applying the formula established by the 2015 Act and OMB guidance, OGE
is amending the Ethics Act CMPs through this rulemaking to:
1 Increase the three penalties reflected in 5 CFR 2634.702a, 5 CFR
2634.703, and 5 CFR 2636.104a which were previously adjusted to a maximum of $20,489to a maximum of $20,731;
2 Increase the penalty reflected in 5
CFR 2634.702bwhich was previously adjusted to a maximum of $10,245to a maximum of $10,366; and 3 Increase the penalty reflected in 5
CFR 2634.701bwhich was previously adjusted to a maximum of $61,585to a maximum of $62,313.
These adjusted penalty amounts will apply to penalties assessed after January 15, 2021 the applicability date of this final rule whose associated violations occurred after November 2, 2015.
OGE will continue to make future annual inflationary adjustments to the Ethics Act CMPs in accordance with the statutory formula set forth in the 2015
Act and OMB guidance.
II. Matters of Regulatory Procedure Administrative Procedure Act Pursuant to 5 U.S.C. 553b, as Director of the Office of Government Ethics, I find that good cause exists for waiving the general notice of proposed rulemaking and public comment procedures as to these technical amendments. The notice and comment procedures are being waived because these amendments, which concern matters of agency organization, procedure and practice, are being adopted in accordance with statutorily mandated inflation adjustment procedures of the 2015 Act, which specifies that agencies shall adjust civil monetary penalties notwithstanding Section 553 of the Administrative Procedure Act. It is also in the public interest that the adjusted rates for civil monetary penalties under the Ethics in Government Act become effective as soon as possible in order to maintain their deterrent effect.
Regulatory Flexibility Act As the Director of the Office of Government Ethics, I certify under the Regulatory Flexibility Act 5 U.S.C.
chapter 6 that this final rule would not have a significant economic impact on a substantial number of small entities
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