15 CFR 904.108 - Factors considered in assessing civil penalties.

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§ 904.108 Factors considered in assessing civil penalties.
(a) Factors to be taken into account in assessing a civil penalty, depending upon the statute in question, may include the nature, circumstances, extent, and gravity of the alleged violation; the respondent's degree of culpability, any history of prior violations, and ability to pay; and such other matters as justice may require.
(b) NOAA may, in consideration of a respondent's ability to pay, increase or decrease a civil penalty from an amount that would otherwise be warranted by the other relevant factors. A civil penalty may be increased if a respondent's ability to pay is such that a higher civil penalty is necessary to deter future violations, or for commercial violators, to make a civil penalty more than a cost of doing business. A civil penalty may be decreased if the respondent establishes that he or she is unable to pay an otherwise appropriate civil penalty amount.
(c) Except as provided in paragraph (g) of this section, if a respondent asserts that a civil penalty should be reduced because of an inability to pay, the respondent has the burden of proving such inability by providing verifiable, complete, and accurate financial information to NOAA. NOAA will not consider a respondent's inability to pay unless the respondent, upon request, submits such financial information as Agency counsel determines is adequate to evaluate the respondent's financial condition. Depending on the circumstances of the case, Agency counsel may require the respondent to complete a financial information request form, answer written interrogatories, or submit independent verification of his or her financial information. If the respondent does not submit the requested financial information, he or she will be presumed to have the ability to pay the civil penalty.
(d) Financial information relevant to a respondent's ability to pay includes but is not limited to, the value of respondent's cash and liquid assets; ability to borrow; net worth; liabilities; income tax returns; past, present, and future income; prior and anticipated profits; expected cash flow; and the respondent's ability to pay in installments over time. A respondent will be considered able to pay a civil penalty even if he or she must take such actions as pay in installments over time, borrow money, liquidate assets, or reorganize his or her business. NOAA's consideration of a respondent's ability to pay does not preclude an assessment of a civil penalty in an amount that would cause or contribute to the bankruptcy or other discontinuation of the respondent's business.
(e) Financial information regarding respondent's ability to pay should be submitted to Agency counsel as soon as possible after the receipt of the NOVA. If a respondent has requested a hearing on the violation alleged in the NOVA and wants the initial decision of the Judge to consider his or her inability to pay, verifiable, complete, and accurate financial information must be submitted to Agency counsel at least 30 days in advance of the hearing, except where the applicable statute expressly provides for a different time period. No information regarding the respondent's ability to pay submitted by the respondent less than 30 days in advance of the hearing will be admitted at the hearing or considered in the initial decision of the Judge, unless the Judge rules otherwise. If the Judge decides to admit any information related to the respondent's ability to pay submitted less than 30 days in advance of the hearing, Agency Counsel will have 30 days to respond to the submission from the date of admission. In deciding whether to submit such information, the respondent should keep in mind that the Judge may assess de novo a civil penalty either greater or smaller than that assessed in the NOVA.
(f) Issues regarding ability to pay will not be considered in an administrative review of an initial decision if the financial information was not previously presented by the respondent to the Judge prior to or at the hearing.
(g) Whenever a statute requires NOAA to take into consideration a respondent's ability to pay when assessing a civil penalty, NOAA will take into consideration information available to it concerning a respondent's ability to pay. In all cases, the NOVA will advise, in accordance with § 904.102, that the respondent may seek to have the civil penalty amount modified by Agency counsel on the basis that he or she does not have the ability to pay the civil penalty assessed. A request to have the civil penalty amount modified on this basis must be made in accordance with § 904.102 and should be accompanied by supporting financial information. Agency counsel may request that the respondent submit such additional verifiable, complete and accurate financial information as Agency counsel determines is necessary to evaluate the respondent's financial condition (such as by responding to a financial information request form or written interrogatories, or by authorizing independent verification of respondent's financial condition). A respondent's failure to provide the requested information may serve as the basis for inferring that such information would not have supported the respondent's assertion of inability to pay the civil penalty assessed in the NOVA.
(h) Whenever a statute requires NOAA to take into consideration a respondent's ability to pay when assessing a civil penalty and the respondent has requested a hearing on the violation alleged in the NOVA, the Agency must submit information on the respondent's financial condition so that the Judge may consider that information, along with any other factors required to be considered, in the Judge's de novo assessment of a civil penalty. Agency counsel may obtain such financial information through discovery procedures under § 904.240, or otherwise. A respondent's refusal or failure to respond to such discovery requests may serve as the basis for inferring that such information would have been adverse to any claim by respondent of inability to pay the assessed civil penalty, or result in respondent being barred from asserting financial hardship.

Title 15 published on 2014-01-01

no entries appear in the Federal Register after this date.

This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.

This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].

It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.


United States Code
U.S. Code: Title 15 - COMMERCE AND TRADE
U.S. Code: Title 16 - CONSERVATION

§ 773 - Definitions

§ 773a - International Pacific Halibut Commission

§ 773b - Acceptance or rejection of Commission recommendations

§ 773c - General responsibility

§ 773d - Cooperation of Federal agencies

§ 773e - Prohibited acts

§ 773f - Civil penalties

§ 773g - Crimes and criminal penalties

§ 773h - Forfeitures

§ 773i - Administration and enforcement

§ 773j - Authorization of appropriations

§ 773k - Location of office space and other facilities on or near University of Washington campus in State of Washington

§ 781 - Taking or catching, in waters of Gulf or Straits of Florida, commercial sponges of less than prescribed size, and landing or possession of same

§ 782 - Sponges of less than prescribed size; possession prima facie evidence

§ 783 - Punishment for violations of law; liability of vessels

§ 784 - Jurisdiction of prosecutions

§ 785 - Enforcement of law prohibiting taking of sponges of specified sizes; employment of Coast Guard vessels and Customs Service employees

§ 916 - Definitions

§ 916a - United States Commissioner

§ 916b - Acceptance or rejection by United States Government of regulations, etc.; acceptance of reports, recommendations, etc., of Commission

§ 916c - Unlawful acts

§ 916d - Licenses

§ 916e - Failure to keep returns, records, reports

§ 916f - Violations; fines and penalties

§ 916g - Enforcement

§ 916h - Cooperation between Federal and State and private agencies and organizations in scientific and other programs

§ 916i - Taking of whales for biological experiments

§ 916j - Allocation of responsibility for administration and enforcement

§ 916k - Regulations; submission; publication; effectiveness

16 U.S. Code § -

§ 951 - Definitions

§ 952 - Commissioners; number, appointment, and qualification

§ 953 - General Advisory Committee and Scientific Advisory Subcommittee

§ 954 - Repealed.

§ 955 - Secretary of State to act for United States

§ 956 - Inspection of returns, records, or other reports

§ 957 - Violations; fines and forfeitures; application of related laws

§ 958 - Cooperation with other agencies

§ 959 - Enforcement of chapter

§ 960 - Commissions’ functions not restrained by this chapter or State laws

§ 961 - Authorization of appropriations

§ 971 - Definitions

§ 971a - Commissioners

§ 971b - Advisory committee

16 U.S. Code § 921 to 923 - Omitted

§ 971c - Authority of Secretary of State; cooperative enforcement agreements

§ 971d - Administration

§ 971e - Violations

§ 971f - Enforcement

§ 971g - Cooperation in carrying out Convention

§ 971h - Authorization of appropriations

§ 971i - Research on Atlantic highly migratory species

§ 971j - Annual report

§ 971k - Savings clause

§ 972 - Definitions

§ 972a - United States representation on the Council

§ 972b - Secretary of State to act for United States

§ 972c - Application to other laws

§ 972d - Disposition of fees

§ 972e - Regulations

§ 972f - Prohibited acts

§ 972g - Enforcement

§ 972h - Authorization of appropriations

§ 1151 - Definitions

§ 1152 - Prohibitions

§ 1153 - Sealing permitted by Aleuts, Eskimos, and Indians

§ 1154 - Scientific research on fur seal resources; use of fur seals for educational, scientific, or exhibition purposes

§ 1155 - Authority of Secretary of Commerce

§ 1156 - Enforcement provisions

§ 1157 - North Pacific Fur Seal Commission; appointment of United States Commissioner, Deputy Commissioner, and Advisors; duties, compensation, and travel expenses

§ 1158 - Acceptance or rejection by Secretaries of State and Commerce of Commission recommendations

§ 1159 - Federal agency consultations with and technical assistance to Secretary of Commerce or Commission; reimbursement for assistance

§ 1161 - Administration of fur seal rookeries and other Federal real and personal property on Pribilof Islands

§ 1162 - Authority of Secretary to operate, maintain, and repair Government-owned property; necessary facilities, services, and equipment for Federal employees and dependents

§ 1163 - Responsibility of Alaska to meet educational needs of Pribilof Islands citizens

§ 1164 - Responsibility of Secretary of Health and Human Services to provide medical and dental care to Pribilof Islands natives

§ 1165 - Disposal of Federal property on Pribilof Islands

§ 1166 - Financial assistance

§ 1167 - Leases, permits, agreements, and contracts with public or private agencies or persons

§ 1168 - Civil service retirement benefits

§ 1169 - Regulations

§ 1169a - Annuities and survivor annuities; recomputation

§ 1169b - Use of local entities

§ 1171 - Seizure and forfeiture of vessels

§ 1172 - Practice and procedure

§ 1173 - Regulations

§ 1174 - Penalties

§ 1175 - Authorization of appropriations

§ 1361 - Congressional findings and declaration of policy

§ 1362 - Definitions

§ 1371 - Moratorium on taking and importing marine mammals and marine mammal products

§ 1372 - Prohibitions

§ 1373 - Regulations on taking of marine mammals

§ 1374 - Permits

§ 1375 - Penalties

§ 1375a - Use of fines for protection and recovery of manatees, polar bears, sea otters, and walruses

§ 1376 - Seizure and forfeiture of cargo

§ 1377 - Enforcement

§ 1378 - International program

§ 1379 - Transfer of management authority

§ 1380 - Marine mammal research grants

§ 1381 - Commercial fisheries gear development

§ 1382 - Regulations and administration

§ 1383 - Application to other treaties and conventions

§ 1383a - Interim exemption for commercial fisheries

§ 1383b - Status review; conservation plans

§ 1384 - Authorization of appropriations

§ 1385 - Dolphin protection

§ 1386 - Stock assessments

§ 1387 - Taking of marine mammals incidental to commercial fishing operations

§ 1388 - Marine mammal cooperative agreements in Alaska

§ 1389 - Pacific Coast Task Force; Gulf of Maine

§ 1401 - Establishment

§ 1402 - Duties of Commission

§ 1403 - Committee of Scientific Advisors on Marine Mammals

§ 1404 - Omitted

§ 1405 - Coordination with other Federal agencies

§ 1406 - Administration

§ 1407 - Authorization of appropriations

§ 1531 - Congressional findings and declaration of purposes and policy

§ 1532 - Definitions

§ 1533 - Determination of endangered species and threatened species

§ 1534 - Land acquisition

§ 1535 - Cooperation with States

§ 1536 - Interagency cooperation

§ 1537 - International cooperation

§ 1537a - Convention implementation

§ 1538 - Prohibited acts

§ 1539 - Exceptions

§ 1540 - Penalties and enforcement

§ 1541 - Endangered plants

§ 1542 - Authorization of appropriations

§ 1543 - Construction with Marine Mammal Protection Act of 1972

§ 1801 - Findings, purposes and policy

§ 1802 - Definitions

§ 1803 - Authorization of appropriations

§ 1811 - United States sovereign rights to fish and fishery management authority

§ 1812 - Highly migratory species

§ 1813 - Omitted

§ 1821 - Foreign fishing

§ 1822 - International fishery agreements

§ 1823 - Congressional oversight of international fishery agreements

§ 1824 - Permits for foreign fishing

§ 1825 - Import prohibitions

§ 1826 - Large-scale driftnet fishing

§ 1826a - Denial of port privileges and sanctions for high seas large-scale driftnet fishing

§ 1826b - Duration of denial of port privileges and sanctions

§ 1826c - Definitions

§ 1826d - Prohibition

§ 1826e - Negotiations

§ 1826f - Certification

§ 1826g - Enforcement

§ 1826h - Biennial report on international compliance

§ 1826i - Action to strengthen international fishery management organizations

§ 1826j - Illegal, unreported, or unregulated fishing

§ 1826k - Equivalent conservation measures

§ 1827 - Observer program regarding certain foreign fishing

§ 1827a - Prohibition on sale of billfish

§ 1828 - Foreign fishing incursions

§ 1829 - International monitoring and compliance

§ 1851 - National standards for fishery conservation and management

§ 1851 note - National standards for fishery conservation and management

§ 1852 - Regional Fishery Management Councils

§ 1853 - Contents of fishery management plans

§ 1853a - Limited access privilege programs

§ 1854 - Action by Secretary

§ 1855 - Other requirements and authority

§ 1856 - State jurisdiction

§ 1857 - Prohibited acts

§ 1858 - Civil penalties and permit sanctions

§ 1859 - Criminal offenses

§ 1860 - Civil forfeitures

§ 1861 - Enforcement

§ 1861a - Transition to sustainable fisheries

§ 1861b - Fisheries enforcement plans and reporting

§ 1862 - North Pacific fisheries conservation

§ 1863 - Northwest Atlantic Ocean Fisheries Reinvestment Program

§ 1864 - Regional coastal disaster assistance, transition, and recovery program

§ 1865 - Bycatch reduction engineering program

§ 1866 - Shark feeding

§ 1867 - Cooperative research and management program

§ 1868 - Herring study

§ 1869 - Restoration study

§ 1881 - Registration and information management

§ 1881a - Information collection

§ 1881b - Observers

§ 1881c - Fisheries research

§ 1881d - Incidental harvest research

§ 1882 - Fisheries systems research

§ 2401 - Congressional findings and declaration of purpose

§ 2402 - Definitions

§ 2403 - Prohibited acts

§ 2403a - Environmental impact assessment

§ 2404 - Permits

§ 2405 - Regulations

§ 2406 - Notification of travel to Antarctica

§ 2407 - Civil penalties

§ 2408 - Criminal offenses

§ 2409 - Enforcement

§ 2410 - Jurisdiction of district courts

§ 2411 - Federal agency cooperation

§ 2412 - Relationship to existing treaties

§ 2413 - Saving provisions

§ 2431 - Findings and purpose

§ 2432 - Definitions

§ 2433 - Representatives

§ 2434 - Conservation measures; system of observation and inspection

§ 2435 - Unlawful activities

§ 2436 - Regulations

§ 2437 - Civil penalties

§ 2438 - Criminal offenses

§ 2439 - Enforcement

§ 2440 - Jurisdiction of courts

§ 2441 - Federal agency cooperation

§ 2442 - Relationship to existing treaties and statutes

§ 2443 - Authorization of appropriations

§ 2444 - Severability

§ 2465 - Enforcement

§ 3371 - Definitions

§ 3372 - Prohibited acts

§ 3373 - Penalties and sanctions

§ 3374 - Forfeiture

§ 3375 - Enforcement

§ 3376 - Administration

§ 3377 - Exceptions

§ 3378 - Miscellaneous provisions

§ 3601 - Definitions

§ 3602 - United States representation on Council and Commissions

§ 3603 - Receipt of Organization communications by Secretary of State

§ 3604 - Regulations and reports

§ 3605 - Cooperation with other agencies and institutions

§ 3606 - Violations and penalties

§ 3607 - Enforcement

§ 3608 - Authorization of appropriations

§ 3631 - Definitions

§ 3632 - United States Section

§ 3633 - Authority and responsibility

§ 3634 - Interagency cooperation

§ 3635 - Preemption

§ 3636 - Rulemaking

§ 3637 - Prohibited acts and penalties

§ 3638 - General standard

§ 3639 - Advisory committee

§ 3640 - Administrative matters

§ 3641 - Authorization of appropriations

§ 3642 - Disposition of property of International Pacific Salmon Fisheries Commission

§ 3643 - Savings provision

§ 3644 - Restriction on spending authority

§ 4001 - Congressional findings

§ 4002 - Congressional statement of purpose

§ 4003 - Definitions

§ 4004 - Establishment of National Council

§ 4005 - Functions and duties of National Council

§ 4006 - Duties of Secretary with regard to National Council

§ 4007 - Voluntary payments

§ 4008 - Establishment of Fisheries Promotional Fund

§ 4009 - Establishment of seafood marketing councils

§ 4010 - Functions and powers of councils

§ 4011 - Functions and powers of Secretary

§ 4012 - Assessments

§ 4013 - Petitions

§ 4014 - Refunds

§ 4015 - Termination of a council

§ 4016 - Enforcement

§ 4017 - Investigations

§ 5001 - Purpose

§ 5002 - Definitions

§ 5003 - United States Commissioners

§ 5004 - Advisory Panel

§ 5005 - Commission recommendations

§ 5006 - Administration and enforcement of Convention

§ 5007 - Cooperation with other agencies

§ 5008 - Enforcement provisions

§ 5009 - Unlawful activities

§ 5010 - Penalties

§ 5011 - Funding requirements

§ 5012 - Disposition of property

§ 5103 - State-Federal cooperation in Atlantic coastal fishery management

§ 5601 - Representation of United States under Convention

§ 5602 - Requests for scientific advice

§ 5603 - Authorities of Secretary of State with respect to Convention

§ 5604 - Interagency cooperation

§ 5605 - Rulemaking

§ 5606 - Prohibited acts and penalties

§ 5607 - Consultative committee

§ 5608 - Administrative matters

§ 5609 - Definitions

§ 5610 - Authorization of appropriations

§ 5611 - Annual report

§ 5612 - Quota allocation practice

U.S. Code: Title 22 - FOREIGN RELATIONS AND INTERCOURSE
U.S. Code: Title 30 - MINERAL LANDS AND MINING
U.S. Code: Title 42 - THE PUBLIC HEALTH AND WELFARE
Public Laws