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Penalty Policy

These documents describe our policy on computing and assessing administrative penalties. They do not address when an enforcement action is initiated, but rather how we evaluate violations for the purpose of calculating administrative penalties.

application/pdf Penalty Policy, Jan. 28, 2021 (English)
Política de Sanciones, 28 de enero de 2021 (Spanish)
Chính sách Xử phạt, Tháng 1 năm (Vietnamese)

The Fifth Revision of the Penalty Policy (effective Jan. 28, 2021) applies to all investigations conducted on or after Jan. 28, 2021, documenting violations that occurred or began on or after Sept. 1, 2011.

application/pdf Penalty Policy, April 1, 2014

The Fourth Revision of the Penalty Policy (effective April 1, 2014) applies to violations that occurred on or after Sept. 1, 2011, and that are included in Enforcement Action Referrals (EARs) assigned on or after April 1, 2014.

application/pdf Penalty Policy, Sept. 1, 2011

The Third Revision of the Penalty Policy (effective Sept. 1, 2011) applies to violations that occurred on or after Sept. 1, 2011, and that are included in EARs assigned before April 1, 2014.

application/pdf Penalty Policy, Sept. 1, 2002

The Second Revision of the Penalty Policy (effective Sept. 1, 2002) applies to violations that occurred before Sept. 1, 2011.