Policy for the Assessment of Civil Administrative Penalties and Permit Sanctions, 20959-20960 [2011-9021]

Agencies

• DEPARTMENT OF COMMERCE
• National Oceanic and Atmospheric Administration

[Federal Register Volume 76, Number 72 (Thursday, April 14, 2011)]
[Notices]
[Pages 20959-20960]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-9021]


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DEPARTMENT OF COMMERCE

National Oceanic and Atmospheric Administration

[Docket No. 101014509-1211-02]
RIN 0648-XZ62


Policy for the Assessment of Civil Administrative Penalties and 
Permit Sanctions

AGENCY: Office of General Counsel (OGC), National Oceanic and 
Atmospheric Administration (NOAA), Department of Commerce.

ACTION: Notice of issuance; final policy.

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SUMMARY: The National Oceanic and Atmospheric Administration (NOAA) 
announces the publication and issuance of a final Policy for the 
Assessment of Civil Administrative Penalties and Permit Sanctions 
(Penalty Policy).

DATES: The final Penalty Policy was issued on March 16, 2011, and 
became effective on that date.

ADDRESSES: The final Penalty Policy is available electronically on 
NOAA's website at https://www.gc.noaa.gov/enforce-office1.html. A paper 
copy of the Penalty Policy may be requested by sending a self-addressed 
envelope (size 8.5 x 11 inches) to the individual under the heading FOR 
FURTHER INFORMATION CONTACT.

FOR FURTHER INFORMATION CONTACT: Frank Sprtel by telephone at (301) 
496-7147; by fax at (301) 427-2210; by e-mail at frank.sprtel@noaa.gov; 
or by mail at: Office of General Counsel for Enforcement and 
Litigation, National Oceanic and Atmospheric Administration, 8484 
Georgia Avenue, Suite 400, Silver Spring, MD 20910.

SUPPLEMENTARY INFORMATION: The Penalty Policy is intended to provide 
guidance for the assessment of civil administrative penalties and 
permit sanctions under the statutes and regulations enforced by NOAA. 
As explained more fully in the text of the policy, the purpose of the 
Penalty Policy is to ensure that: (1) Civil administrative penalties 
and permit sanctions are assessed in accordance with the laws that NOAA 
enforces in a fair and consistent manner; (2) penalties and permit 
sanctions are appropriate for the gravity of the violation; (3) 
penalties and permit sanctions are sufficient to deter both individual 
violators and the regulated community as a whole from committing 
violations; (4) economic incentives for noncompliance are eliminated; 
and (5) compliance is expeditiously achieved and maintained to protect 
natural resources. Under this

[[Page 20960]]

Policy, NOAA expects to improve consistency at a national level, 
provide greater predictability for the regulated community and the 
public, improve transparency in enforcement, and more effectively 
protect natural resources.
    Under the new Penalty Policy, penalties and permit sanctions are 
based on two criteria: (1) A ``base penalty'' calculated by adding an 
initial base penalty amount and permit sanction reflective of the 
gravity of the violation and the culpability of the violator and 
adjustments to the initial base penalty and permit sanction upward or 
downward to reflect the particular circumstances of a specific 
violation; and (2) an additional amount added to the base penalty to 
recoup the proceeds of any unlawful activity and any additional 
economic benefit of noncompliance. We note that the new Penalty Policy 
is a departure from NOAA's prior practice of developing detailed 
penalty schedules by region and by specific types of violations with 
broad ranges for both penalty and permit sanctions. The new policy uses 
a simplified approach of one penalty and permit sanction matrix for 
each major statute that NOAA enforces, to be applied nationally, with 
narrower penalty and permit sanction ranges. This approach assures that 
NOAA attorneys are provided with greater guidance in recommending 
penalties, and should assure fairness and consistency of approach 
across NOAA statutes, across fisheries, and across the country.
    NOAA sought public comment on the proposed draft penalty policy 
between October 21, 2010 and December 20, 2010. NOAA received written 
input on the proposed policy from regional fishery management councils, 
industry trade groups, commercial interests, nonprofit organizations, 
academic institutions, and federal, state, and interstate agencies. A 
summary of the comments received along with NOAA's responses to these 
comments is available at the website above.
    The final Penalty Policy supersedes previous guidance regarding 
assessment of penalties or permit sanctions and previous penalty and 
permit sanction schedules issued by the NOAA Office of General Counsel, 
and goes into effect immediately for any cases charged after its 
issuance date. This Penalty Policy provides guidance for the NOAA 
Office of General Counsel, but does not, nor is it intended to, create 
a right or benefit, substantive or procedural, enforceable at law or in 
equity, in any person or company.
    The full final Penalty Policy, along with examples, matrixes, and 
schedules, may be found at https://www.gc.noaa.gov/enforce-office1.html.

    Dated: April 5, 2011.
Lois J. Schiffer,
General Counsel, National Oceanic and Atmospheric Administration.
[FR Doc. 2011-9021 Filed 4-13-11; 8:45 am]
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