---
kind: "section"
citation: "22 C.F.R. § 1104.14"
title: "22"
number: "1104.14"
heading: "Assessment of civil penalties."
url: "https://uscodex.org/cfr/22/1104.14"
---

# §1104.14. Assessment of civil penalties.

- (a) The Commissioner may assess a civil penalty against any person who has violated any prohibition contained in [§ 1104.3](/cfr/22/1104.3.md) or who has violated any term or condition included in a permit issued in accordance with the Act and this part.
- (b) **Notice of violation.** The Commissioner shall serve a notice of violation upon any person believed to be subject to a civil penalty, either in person or by registered or certified mail (return receipt requested). The Commissioner shall include in the notice:
  - (1) A concise statement of the facts believed to show a violation;
  - (2) A specific reference to the provision(s) of this part or to a permit issued pursuant to this part allegedly violated;
  - (3) The amount of penalty proposed to be assessed, including any initial proposal to mitigate or remit where appropriate, or a statement that notice of a proposed penalty amount will be served after the damages associated with the alleged violation have been ascertained;
  - (4) Notification of the right to file a petition for relief pursuant to [paragraph (d)](#d) of this section, or to await the Commissioner's notice of assessment, and to request a hearing in accordance with [paragraph (g)](#g) of this section. The notice shall also inform the person of the right to seek judicial review of any final administrative decision assessing a civil penalty.
- (c) The person served with a notice of violation shall have 45 calendar days from the date of its service (or the date of service of a proposed penalty amount, if later) in which to respond. During this time the person may:
  - (1) Seek informal discussions with the Commissioner;
  - (2) File a petition for relief in accordance with [paragraph (d)](#d) of this section;
  - (3) Take no action and await the Commissioner's notice of assessment;
  - (4) Accept in writing or by payment the proposed penalty, or any mitigation or remission offered in the notice. Acceptance of the proposed penalty or mitigation or remission shall be deemed a waiver of the notice of assessment and of the right to request a hearing under [paragraph (g)](#g) of this section.
- (d) **Petition for relief.** The person served with a notice of violation may request that no penalty be assessed or that the amount be reduced, by filing a petition for relief with the Commissioner within 45 calendar days of the date of service of the notice of violation (or of a proposed penalty amount, if later). The petition shall be in writing and signed by the person served with the notice of violation. If the person is a corporation, the petition must be signed by an officer authorized to sign such documents. The petition shall set forth in full the legal or factual basis for the requested relief.
- (e) **Assessment of penalty.**
  - (1) The Commissioner shall assess a civil penalty upon expiration of the period for filing a petition for relief, upon completion of review of any petition filed, or upon completion of informal discussions, whichever is later.
  - (2) The Commissioner shall take into consideration all available information, including information provided pursuant to paragraphs [(c)](#c) and [(d)](#d) of this section or furnished upon further request by the Commissioner.
  - (3) If the facts warrant a conclusion that no violation has occurred, the Commissioner shall so notify the person served with a notice of violation, and no penalty shall be assessed.
  - (4) Where the facts warrant a conclusion that a violation has occurred, the Commissioner shall determine a penalty amount in accordance with [§ 1104.15](/cfr/22/1104.15.md).
- (f) **Notice of assessment.** The Commissioner shall notify the person served with a notice of violation of the penalty amount assessed by serving a written notice of assessment, either in person or by registered or certified mail (return receipt requested). The Commissioner shall include in the notice of assessment:
  - (1) The facts and conclusions from which it was determined that a violation did occur;
  - (2) The basis in [§ 1104.15](/cfr/22/1104.15.md) for determining the penalty amount assessed and/or any offer to mitigate or remit the penalty; and
  - (3) Notification of the right to request a hearing, including the procedures to be followed, and to seek judicial review of any final administrative decision assessing a civil penalty.
- (g) **Hearings.**
  - (1) Except where the right to request a hearing is deemed to have been waived as provided in [paragraph (c)(4)](#c-4) of this section, the person served with a notice of assessment may file a written request for a hearing with the adjudicatory body specified in the notice. The person shall enclose with the request for hearing a copy of the notice of assessment, and shall deliver the request as specified in the notice of assessment, personally or by registered or certified mail (return receipt requested).
  - (2) Failure to deliver a written request for a hearing within 45 days of the date of service of the notice of assessment shall be deemed a waiver of the right to a hearing.
  - (3) Any hearing conducted pursuant to this section shall be held in accordance with [5 U.S.C. 554](/usc/5/554.md). In any such hearing, the amount of civil penalty assessed shall be determined in accordance with this part, and shall not be limited by the amount assessed by the Commissioner under [paragraph (f)](#f) of this section or any offer of mitigation or remission made by the Commissioner.
- (h) **Final administrative decision.**
  - (1) Where the person served with a notice of violation has accepted the penalty pursuant to [paragraph (c)(4)](#c-4) of this section, the notice of violation shall constitute the final administrative decision;
  - (2) Where the person served with a notice of assessment has not filed a timely request for a hearing pursuant to [paragraph (g)(1)](#g-1) of this section, the notice of assessment shall constitute the final administrative decision;
  - (3) Where the person served with a notice of assessment has filed a timely request for a hearing pursuant to [paragraph (g)(1)](#g-1) of this section, the decision resulting from the hearing or any applicable administrative appeal therefrom shall constitute the final administrative decision.
- (i) **Payment of penalty.**
  - (1) The person assessed a civil penalty shall have 45 calendar days from the date of issuance of the final administrative decision in which to make full payment of the penalty assessed, unless a timely request for appeal has been filed with a United States District Court as provided in [section 7(b)(1)](/cfr/22/7.md?p=b-1) of the Act.
  - (2) Upon failure to pay the penalty, the Commissioner may request the Attorney General to institute a civil action to collect the penalty in a United States District Court for any district in which the person assessed a civil penalty is found, resides, or transacts business. Where the Commissioner is not represented by the Attorney General, a civil action may be initiated directly by the Commissioner.
- (j) **Other remedies not waived.** Assessment of a penalty under this section shall not be deemed a waiver of the right to pursue other available legal or administrative remedies.

## Notes

### Authority

Authority: Pub. L. 96-95, 93 Stat. 721 (16 U.S.C. 470aa-11) (Sec. 10(a).) Related Authority: Pub. L. 59-209, 34 Stat. 225 (16 U.S.C. 432, 433); Pub. L. 86-523, 74 Stat. 220, 221 (16 U.S.C. 469), as amended, 88 Stat. 174 (1974); Pub. L. 89-665, 80 Stat. 915 (16 U.S.C. 470a-t), as amended, 84 Stat. 204 (1970), 87 Stat. 139 (1973), 90 Stat. 1320 (1976), 92 Stat. 3467 (1978), 94 Stat. 2987 (1980); Pub. L. 95-341, 92 Stat. 469 (42 U.S.C. 1996).

### Source

Source: 56 FR 21590, May 10, 1991, unless otherwise noted.