§ 202.1302. Process for pre-penalty notice.
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/us/cfr/t28/s§ 202.1302·A research copy — for the controlling text, always check the official state or federal source. Not legal advice.
(a)When and how issued.
(1)If the Department of Justice has reason to believe that there has occurred a violation of any provision of this part or a violation of the provisions of any license, ruling, regulation, order, directive, or instruction issued by or pursuant to the direction or authorization of the Attorney General pursuant to this part or otherwise under IEEPA and determines that a civil monetary penalty is warranted, the Department of Justice will issue a pre-penalty notice informing the alleged violator of the agency's intent to impose a monetary penalty.
(2)The pre-penalty notice shall be in writing.
(3)The pre-penalty notice may be issued whether or not another agency has taken any action with respect to the matter.
(4)The Department shall provide the alleged violator with the relevant information that is not privileged, classified, or otherwise protected, and that forms the basis for the pre-penalty notice, including a description of the alleged violation and proposed penalty amount.
(b)Opportunity to respond. An alleged violator has the right to respond to a pre-penalty notice in accordance with § 202.1306.
(c)Settlement. Settlement discussion may be initiated by the Department of Justice, the alleged violator, or the alleged violator's authorized representative.
(d)Representation. A representative of the alleged violator may act on behalf of the alleged violator, but any oral communication with the Department of Justice prior to a written submission regarding the specific allegations contained in the pre-penalty notice must be preceded by a written letter of representation, unless the pre-penalty notice was served upon the alleged violator in care of the representative.