[Federal Register: December 16, 2003 (Volume 68, Number 241)]
[Rules and Regulations]               
[Page 69958]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr16de03-9]                         

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 1

[USCG-2003-16628]

 
Notice of Violation Program

AGENCY: Coast Guard, DHS.

ACTION: Notice of revised agency policy.

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SUMMARY: The Coast Guard is expanding the scope of its Notice of 
Violation (NOV) program for resolving civil penalty cases as provided 
for in 33 CFR part 1, subpart 1.07. The Coast Guard will issue a 
revised policy expanding use of the NOV program to all statutory 
penalty provisions that the Coast Guard is authorized to enforce, and 
raising the maximum for proposed penalties under the NOV program to 
$10,000.

DATES: This revised policy is effective on January 5, 2004.

FOR FURTHER INFORMATION CONTACT: For further information on the use of 
the NOV program contact one of the persons listed below. For general 
questions, contact LCDR Scott Budka (G-MOA) U.S. Coast Guard by 
telephone at (202) 267-2026 or by electronic mail at sbudka@comdt.uscg.mil. For questions on application of the NOV program 
to U.S. vessels, contact LCDR Martin Walker (G-MOC) U.S. Coast Guard by 
telephone at (202) 267-1047 or by electronic mail at mwalker@comdt.uscg.mil. For questions on application of the NOV program 
to facilities, contact LCDR Phil Perry (G-MOC) U.S. Coast Guard by 
telephone at (202) 267-6700 or by electronic mail at pperry@comdt.uscg.mil. For questions on the application of the NOV 
program to outer continental shelf facilities, contact LCDR Eric 
Walters (G-MOC) U.S. Coast Guard by telephone at (202) 267-0499 or by electronic mail at ewalters@comdt.uscg.mil.

SUPPLEMENTARY INFORMATION: The Notice of Violation (NOV) program was 
implemented in 1995 to address the Coast Guard's concern that the civil 
penalty assessment process was too lengthy when applied to small (under 
100 gallons) oil discharges and minor pollution prevention regulation 
violations (33 CFR parts 154, 155 and 156). The lengthy process time 
meant that a party frequently would have additional violations before 
being notified by a Hearing Officer of the initiation of action for the 
first violation. Early resolution of these minor violations saved time 
and reduced costs of internal reviews, improved deterrence, and 
facilitated corrective action by providing a party with earlier notice 
of violations.
    In the Final Rule implementing the NOV program (59 FR 66482, Dec 
27, 1994) we stated, ``The NOV option can be used by other Coast Guard 
programs that use the civil penalty process. Any program that 
implements use of the NOV option will do so by internal policy with 
prior notification to the public in the Federal Register.'' We are now 
publishing this notice to inform the public that we are expanding the 
NOV program by internal policy.
    Since the NOV program's implementation, the Coast Guard has issued 
on average 2,300 NOVs annually for small oil spills and minor pollution 
prevention regulation violations. 95 percent of those NOVs were 
accepted by the responsible party, paid and the case closed. Because of 
the success of the initial limited NOV program, it is being expanded to 
include oil spills of 1,000 gallons or less and to include violations 
of other laws and regulations that the Coast Guard enforces.
    An NOV may not be issued when the total proposed penalty for a 
violation exceeds $10,000. All laws and regulations that the Coast 
Guard enforces which contain a civil penalty provision are eligible for 
inclusion in the NOV program. Coast Guard issuing officers will issue a 
Notice of Violation with a proposed penalty only in clear-cut cases as 
determined by applying specific written guidance contained in a 
Commandant Directive, an internal Coast Guard policy document. A 
penalty schedule based on objective criteria will form an enclosure to 
the above Commandant Directive. Any case in which aggravating or 
extenuating circumstances are evidenced, or which concern violations 
not included in specific guidance documents, may be referred to the 
Hearing Officer for processing under the Coast Guard's current 
procedures as detailed in 33 CFR part 1, subpart 1.07.
    This expansion will not change the alleged violator's options 
concerning the NOV as detailed in 33 CFR 1.07-11. The party has the 
option of paying the proposed penalty and closing the case or declining 
the NOV. If the NOV is declined, the case is processed as a Class I 
Administrative Civil Penalty and adjudicated by the Coast Guard Hearing 
Office. If the party fails to pay or decline the NOV within 45 days of 
receipt, the NOV is considered in default, the proposed penalty is 
considered assessed, and the case is forwarded to Commander, 
Maintenance & Logistics Command Pacific, Claims and Litigations 
(Collections) for collection of the penalty.
    The NOV process does not preclude the Coast Guard from exercising 
its authority to utilize any other penalty, enforcement, control, or 
compliance measures authorized by law.

    Dated: December 9, 2003.
T.H. Gilmour,
Rear Admiral, U.S. Coast Guard, Assistant Commandant for Marine Safety, 
Security and Environmental Protection.
[FR Doc. 03-30916 Filed 12-15-03; 8:45 am]

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