97-8172. Statement of Policy on the Rights of Small Entities in OST Enforcement Cases

[Federal Register Volume 62, Number 62 (Tuesday, April 1, 1997)]
[Notices]
[Pages 15560-15561]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-8172]


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DEPARTMENT OF TRANSPORTATION

Office of the Secretary


Statement of Policy on the Rights of Small Entities in OST 
Enforcement Cases

AGENCY: Office of the Secretary (OST), DOT.

ACTION: Statement of policy on the rights of small entities in OST 
enforcement cases.

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SUMMARY: This is the Office of the Secretary's statement of policy with 
respect to the reduction and waiver of civil penalties for small 
entities in OST enforcement cases.

DATES: This policy is effective on March 29, 1997.

FOR FURTHER INFORMATION CONTACT: Mark Holmstrup, Office of the General 
Counsel, Department of Transportation, [phone], 400 7th Street 
SW., Washington, DC 20590.

SUPPLEMENTARY INFORMATION: Section 223 of the Small Business Regulatory 
Enforcement Fairness Act of 1996 (SBREFA) requires agencies to 
establish a policy with respect to the reduction and waiver of civil 
penalties for small entities in OST enforcement cases. This policy 
statement closely tracks the requirements of Section 223, and will 
apply to the Office of the Secretary's (OST) enforcement of (a) the 
Department's aviation economic requirements contained in 49 U.S.C. 
Subtitle VII and 14 CFR Parts 200-399, as well as the orders, 
certificates, and permits issued thereunder; and (b) the Program Fraud 
Civil Remedies Act (31 U.S.C. 3801-3812) and the Department's 
implementing regulations (49 CFR Part 31).

The Policy

    The following shall apply in assessing the need for and the amount 
of any civil

[[Page 15561]]

penalties imposed on small entities in OST enforcement cases:
    1. In determining penalty assessments, the ability of the small 
entity to pay shall be considered.
    2. The amount of each civil penalty assessed against a small entity 
shall be reduced, and under appropriate circumstances shall be waived, 
provided that the following conditions are met:
    a. The small entity corrects the violation within a reasonable 
period of time;
    b. The violation was discovered through participation by the small 
entity in a compliance assistance or audit program operated or 
supported by the Office of the Secretary (OST) or a State;
    c. The small entity has not been subject to multiple enforcement 
actions by OST;
    d. The violation did not involve willful or criminal conduct;
    e. The violation posed no serious health, safety or environmental 
threats; and
    f. The small entity shows a continuing good faith effort to comply 
with the law.
    3. The Assistant General Counsel for Aviation Enforcement and 
Proceedings shall keep records of the number of enforcement actions 
against small entities that qualified or failed to qualify for civil 
penalty reductions or waivers under this policy and the total amount of 
penalty reductions and waivers. To the extent that civil penalty 
reductions or waivers are effectuated by an Administrative Law Judge 
within the Office of Hearings or by the Office of an Assistant 
Secretary, that office shall report the relevant information to the 
Assistant General Counsel for Aviation Enforcement and Proceedings 
promptly after the action is taken.
    4. The term ``small entity'' is defined in 5 U.S.C. 601.
    5. Any questions regarding this policy shall be addressed to the 
Assistant General Counsel for Regulations and Enforcement.

    Issued in Washington, DC, on March 25, 1997.
Rodney E. Slater,
Secretary of Transportation.
[FR Doc. 97-8172 Filed 3-31-97; 8:45 am]
BILLING CODE 4910-62-P