This Policy provides guidance for the assessment of civil administrative penalties and permit sanctions under the statutes and regulations enforced by NOAA.
The purpose of this 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 particular violators and the regulated community from committing violations; (4) economic incentives for noncompliance are eliminated; and (5) compliance is expeditiously achieved and maintained to protect natural resources. Under this 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.
This Policy supersedes all previous guidance regarding assessment of penalties or permit sanctions and all previous penalty and permit sanction schedules issued by the NOAA Office of the General Counsel.
To assist in the interpretation of this Policy, attached to this Policy are three Appendixes: (1) Appendix 1 is a preliminary penalty assessment worksheet; (2) Appendix 2 consists of seven penalty matrixes, one for each of the seven statutes most commonly enforced by NOAA; and (3) Appendix 3 consists of seven offense level schedules, corresponding to each of the seven matrixes listed in Appendix 2. A more detailed explanation for the use of the Appendixes is described herein.
This Policy provides guidance for the NOAA Office of the 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.
Read the complete policy statement from NOAA [.pdf]