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| section_id ▼ | title_number | title_name | chapter | subchapter | part_number | part_name | subpart | subpart_name | section_number | section_heading | agency | authority | source_citation | amendment_citations | full_text |
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| 10:10:2.0.1.1.16.1.127.1 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | A | Subpart A—General Provisions | § 76.1 Purpose. | NRC | [59 FR 48960, Sept. 23, 1994, as amended at 90 FR 55633, Dec. 3, 2025] | (a) This part establishes requirements that will govern the operation of those portions of the Portsmouth and Paducah Gaseous Diffusion Plants located in Piketon, Ohio, and Paducah, Kentucky, respectively, that are leased by the United States Enrichment Corporation. These requirements are promulgated to protect the public health and safety from radiological hazards and provide for the common defense and security. This part also establishes the certification process that will be used to ensure compliance with the established requirements. (b) The regulations contained in this part are issued pursuant to the Atomic Energy Act of 1954, as amended (68 Stat. 919); Title II of the Energy Reorganization Act of 1974, as amended (88 Stat. 1242); and Titles IX and XI of the Energy Policy Act of 1992 (106 Stat. 2923, 2951). (c) The regulations contained in this part shall cease to have effect on January 8, 2027, unless the NRC determines that the cessation deadline should be extended to a date not more than 5 years in the future after offering the public an opportunity to provide input on the costs and benefits of this part and considering that input. The NRC will publish a document in the Federal Register announcing its determination and revising or removing this part accordingly. | ||||
| 10:10:2.0.1.1.16.1.127.10 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | A | Subpart A—General Provisions | § 76.21 Certificate required. | NRC | [59 FR 48960, Sept. 23, 1994, as amended at 62 FR 6669, Feb. 12, 1997; 64 FR 44649, Aug. 17, 1999] | (a) The Corporation or its contractors may not operate the gaseous diffusion plants at Piketon, Ohio, and Paducah, Kentucky, unless an appropriate certificate of compliance, and/or an approved compliance plan is in effect under this part. Unless authorized by the NRC under other provisions of this chapter, a person other than the Corporation or its contractors may not acquire, deliver, receive, possess, use, or transfer radioactive material at the gaseous diffusion plants at Piketon, Ohio, and Paducah, Kentucky. (b) For the purposes of §§ 30.41, 40.51, and 70.42 of this chapter, the Corporation shall be authorized to receive, and licensees shall be authorized to transfer to the Corporation, byproduct material, source material, or special nuclear material to the extent permitted under the certificate of compliance issued, and/or the compliance plan approved, pursuant to this part. | ||||
| 10:10:2.0.1.1.16.1.127.11 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | A | Subpart A—General Provisions | § 76.22 Ineligibility of certain applicants. | NRC | [62 FR 6670, Feb. 12, 1997] | A certificate of compliance may not be issued to the Corporation if the Commission determines that: (a) The Corporation is owned, controlled, or dominated by an alien, a foreign corporation, or a foreign government; or (b) The issuance of such a certificate of compliance would be inimical to— (1) The common defense and security of the United States; or (2) The maintenance of a reliable and economical domestic source of enrichment services. | ||||
| 10:10:2.0.1.1.16.1.127.12 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | A | Subpart A—General Provisions | § 76.23 Specific exemptions. | NRC | The Commission may, upon its own initiative or upon application of the Corporation, grant such exemptions from the requirements of the certification regulations as it determines are authorized by law and will not endanger life, or property, or the common defense and security, and are otherwise in the public interest. | |||||
| 10:10:2.0.1.1.16.1.127.2 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | A | Subpart A—General Provisions | § 76.2 Scope. | NRC | The regulations in this part apply only to those portions of the Portsmouth and Paducah Gaseous Diffusion Plants leased by the Corporation, per the Lease Agreement between the Department of Energy and the United States Enrichment Corporation. This part also gives notice to all persons who knowingly provide to the Corporation or any contractor, or subcontractor any components, equipment, materials, or other goods or services that relate to the activities subject to this part that they may be individually subject to NRC enforcement action for violation of § 76.10. | |||||
| 10:10:2.0.1.1.16.1.127.3 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | A | Subpart A—General Provisions | § 76.4 Definitions. | NRC | [59 FR 48960, Sept. 23, 1994, as amended at 62 FR 6669, Feb. 12, 1997] | As used in this part: Act means the Atomic Energy Act of 1954 (68 Stat 919), and includes any amendments to the Act. Administrative controls means the provisions relating to organization and management, procedures, recordkeeping, review and audit, and reporting necessary to ensure operation of the plant in a safe manner. Agreement State means any State with which the Commission has entered into an effective agreement under subsection 274b. of the Act. Non-Agreement State means any other State. Alert means events may occur, are in progress, or have occurred that could lead to a release of radioactive material[s] but that the release is not expected to require a response by an offsite response organization to protect persons offsite. Atomic energy means all forms of energy released in the course of nuclear fission or nuclear transformation. Certificate of compliance or certificate means a certificate of compliance issued pursuant to this part. Classified matter means documents or material revealing classified information. Commission means the Nuclear Regulatory Commission or its duly authorized representatives. Common defense and security means the common defense and security of the United States. Compliance plan means a plan for achieving compliance approved pursuant to this part. Corporation means the United States Enrichment Corporation (USEC), or its successor, a Corporation that is authorized by statute to lease the gaseous diffusion enrichment plants in Paducah, Kentucky, and Piketon, Ohio, from the department of Energy, or any person authorized to operate one or both of the gaseous diffusion plants, or other facilities, pursuant to a plan for the privatization of USEC that is approved by the President. Department and Department of Energy (DOE) means the Department of Energy established by the Department of Energy Organization Act (Pub. L. 95-91, 91 Stat. 565, 42 U.S.C. 7101 et seq. ), to the extent that the Department, or its duly authorized representatives, exercises functions for… | ||||
| 10:10:2.0.1.1.16.1.127.4 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | A | Subpart A—General Provisions | § 76.5 Communications. | NRC | [68 FR 58822, Oct. 10, 2003, as amended at 74 FR 62685, Dec. 1, 2009; 80 FR 74981 Dec. 1, 2015; 83 FR 58723, Nov. 21, 2018] | Except where otherwise specified, all communications and reports concerning the regulations in this part and applications filed under them should be sent as follows: (a) By mail addressed to: ATTN: Document Control Desk, Director, Office of Nuclear Security and Incident Response, U.S Nuclear Regulatory Commission, Washington, DC 20555-0001; (b) By hand delivery to the NRC's offices at 11555 Rockville Pike, Rockville, Maryland; or (c) Where practicable, by electronic submission, for example, Electronic Information Exchange, or CD-ROM. Electronic submissions must be made in a manner that enables the NRC to receive, read, authenticate, distribute, and archive the submission, and process and retrieve it a single page at a time. Detailed guidance on making electronic submissions can be obtained by visiting the NRC's Web site at http://www.nrc.gov/site-help/e-submittals.html; by e-mail to MSHD.Resource@nrc.gov; or by writing the Office of the Chief Information Officer, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. The guidance discusses, among other topics, the formats the NRC can accept, the use of electronic signatures, and the treatment of nonpublic information. (d) Classified communications shall be transmitted in accordance with § 95.39 of this chapter to the NRC Headquarters' classified mailing address listed in appendix A to part 73 of this chapter or delivered by hand in accordance with § 95.39 of this chapter to the NRC Headquarters' street address listed in appendix A to part 73 of this chapter. | ||||
| 10:10:2.0.1.1.16.1.127.5 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | A | Subpart A—General Provisions | § 76.6 Interpretations. | NRC | Except as specifically authorized by the Commission in writing, no interpretation of the meaning of the regulations in this part by any officer or employee of the Commission other than a written interpretation by the General Counsel will be recognized to be binding upon the Commission. | |||||
| 10:10:2.0.1.1.16.1.127.6 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | A | Subpart A—General Provisions | § 76.7 Employee protection. | NRC | [59 FR 48960, Sept. 23, 1994, as amended at 60 FR 24553, May 9, 1995; 63 FR 15744, Apr. 1, 1998; 64 FR 44649, Aug. 17, 1999; 68 FR 58822, Oct. 10, 2003; 72 FR 63975, Nov. 14, 2007; 73 FR 30460, May 28, 2008; 79 FR 66606, Nov. 10, 2014] | (a) Discrimination by the Corporation, a contractor, or a subcontractor of the Corporation against an employee for engaging in certain protected activities is prohibited. Discrimination includes discharge and other actions that relate to compensation, terms, conditions, or privileges of employment. The protected activities are established in Section 211 of the Energy Reorganization Act of 1974, as amended, and in general are related to the administration or enforcement of a requirement imposed under the Atomic Energy Act or the Energy Reorganization Act. (1) The protected activities include but are not limited to: (i) Providing the Commission or his or her employer information about alleged violations of either of the above statutes or possible violations of requirements imposed under either of the above statutes; (ii) Refusing to engage in any practice made unlawful under either of the above statutes or under these requirements if the employee has identified the alleged illegality to the employer; (iii) Requesting the Commission to institute action against his or her employer for the administration or enforcement of these requirements; (iv) Testifying in any Commission proceeding, or before Congress, or at any Federal or State proceeding regarding any provision (or proposed provision) of either of the above statutes; and (v) Assisting or participating in, or attempting to assist or participate in, the protected activities. (2) These activities are protected even if no formal proceeding is actually initiated as a result of the employee assistance or participation. (3) This section has no application to any employee alleging discrimination prohibited by this section who, acting without direction from his or her employer (or the employer's agent), deliberately causes a violation of any requirement of the Energy Reorganization Act of 1974, as amended, or the Atomic Energy Act of 1954, as amended. (b) Any employee who believes that he or she has been discharged or otherwise discriminated against by any perso… | ||||
| 10:10:2.0.1.1.16.1.127.7 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | A | Subpart A—General Provisions | § 76.8 Information collection requirements: OMB approval not required. | NRC | [62 FR 52190, Oct. 6, 1997] | The information collection requirements contained in this part of limited applicability apply to a wholly-owned instrumentality of the United States and affect fewer than ten respondents. Therefore, Office of Management and Budget clearance is not required pursuant to the Paperwork Reduction Act (44 U.S.C. 3501 et seq. ). | ||||
| 10:10:2.0.1.1.16.1.127.8 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | A | Subpart A—General Provisions | § 76.9 Completeness and accuracy of information. | NRC | [59 FR 48960, Sept. 23, 1994, as amended at 64 FR 44649, Aug. 17, 1999] | (a) Information provided to the Commission or information required by statute or by the Commission's rules, regulations, standards, orders, or other conditions to be maintained by the Corporation must be complete and accurate in all material respects. (b) The Corporation shall notify the Commission of information identified as having for the regulated activity a significant implication for public health and safety or common defense and security. The Corporation violates this paragraph only if the Corporation fails to notify the Commission of information that the Corporation has identified as having a significant implication for public health and safety or common defense and security. Notification must be provided to the Administrator of NRC's Region III Office within 2 working days of identifying the information. This requirement is not applicable to information which is already required to be provided to the Commission by other reporting or updating requirements. | ||||
| 10:10:2.0.1.1.16.1.127.9 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | A | Subpart A—General Provisions | § 76.10 Deliberate misconduct. | NRC | [59 FR 48960, Sept. 23, 1994, as amended at 62 FR 6669, Feb. 12, 1997] | (a) The Corporation or any employee of the Corporation and any contractor (including a supplier or consultant), subcontractor, or any employee of a contractor or subcontractor, who knowingly provides to the Corporation, or any contractor or subcontractor, components, equipment, materials, or other goods or services, that relate to the Corporation's activities subject to this part; may not: (1) Engage in deliberate misconduct that causes or, but for detection, would have caused, the Corporation to be in violation of any rule, regulation, or order, or any term, condition, or limitation of a certificate or approval issued by the Commission; or (2) Deliberately submit to the NRC, the Corporation, or its contractor or subcontractor, information that the person submitting the information knows to be incomplete or inaccurate in some respect material to the NRC. (b) A person who violates paragraph (a)(1) or (a)(2) of this section may be subject to enforcement action in accordance with the procedures in 10 CFR part 2, subpart B. (c) For purposes of paragraph (a)(1) of this section, deliberate misconduct by a person means an intentional act or omission that the person knows: (1) Would cause the Corporation to be in violation of any rule, regulation, or order, or any term, condition, or limitation of a certificate or approved compliance plan issued by the Director; or (2) Constitutes a violation of a requirement, procedure, instruction, contract, purchase order or policy of the Corporation, contractor, or subcontractor. | ||||
| 10:10:2.0.1.1.16.2.127.1 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | B | Subpart B—Application | § 76.31 Periodic application requirement. | NRC | [62 FR 6670, Feb. 12, 1997] | The Corporation shall periodically apply to the Commission for a certificate of compliance, in accordance with § 76.36, on or before April 15 of the year specified in an existing certificate of compliance as determined by the Commission, but not less frequently than every 5 years. | ||||
| 10:10:2.0.1.1.16.2.127.2 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | B | Subpart B—Application | § 76.33 Application procedures. | NRC | [64 FR 44649, Aug. 17, 1999, as amended at 68 FR 58822, Oct. 10, 2003; 74 FR 62685, Dec. 1, 2009] | (a) Filing requirements. (1) An application for a certificate of compliance must be tendered by filing the application with the Director of the NRC's Office of Nuclear Material Safety and Safeguards, with copies sent to the NRC Region III Office and appropriate resident inspector, in accordance with § 76.5. If the application is to be submitted electronically, see Guidance for Electronic Submissions to the Commission at http://www.nrc.gov/site-help/e-submittals.html. (2) The application must include the full name, address, age (if an individual), and citizenship of the applicant. If the applicant is a corporation or other entity, the application must indicate the State where it was incorporated or organized; the location of the principal office; and the names, addresses, and citizenship of its principal officers. The applicant shall include any known information concerning the control or ownership, if any, exercised over the applicant by any alien, foreign corporation, or foreign government. (b) Oath or affirmation. An application for a certificate of compliance must be executed in a signed original by a duly authorized officer of the Corporation under oath or affirmation. (c) Pre-filing consultation. The Corporation may confer with the Commission's staff before filing an application. (d) Additional information. At any time during the review of an application, the Corporation may be required to supply additional information to the Commission's staff to enable the Commission or the Director, as appropriate, to determine whether the certificate should be issued or denied, or to determine whether a compliance plan should be approved. (e) Withholdable information. If an application contains Restricted Data, National Security Information, Safeguards Information, Unclassified Controlled Nuclear Information, proprietary data, or other withholdable information, the applicant shall ensure that the withholdable information is separate from the information to be made publicly available. | ||||
| 10:10:2.0.1.1.16.2.127.3 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | B | Subpart B—Application | § 76.35 Contents of application. | NRC | [59 FR 48960, Sept. 23, 1994, as amended at 62 FR 6670, Feb. 12, 1997; 64 FR 44649, Aug. 17, 1999; 73 FR 78614, Dec. 23, 2008; 85 FR 65664, Oct. 16, 2020] | The application for a certificate of compliance must include the information identified in this section. (a) A safety analysis report which must include the following information: (1) The activities and locations involving special nuclear material and the general plan for carrying out these activities; (2) The name, amount, and specifications (including the chemical and physical form and, where applicable, isotopic content) of the special nuclear material, source and byproduct material the Corporation proposes to use, possess or produce, including any material held up in equipment from previous operations; (3) The qualifications requirements, including training and experience, of the Corporation's management organization and key individuals responsible for safety in accordance with the regulations in this chapter; (4) An assessment of accidents based on the requirements of § 76.85; (5) A training program that meets the requirements of § 76.95; (6) A description of equipment and facilities which will be used by the Corporation to protect health and minimize danger to life or property (such as handling devices, working areas, shields, measuring and monitoring instruments, devices for the treatment and disposal of radioactive effluent and wastes, storage facilities, provisions for protection against natural phenomena, fire protection systems, criticality accident alarm systems, etc.); (7) A description of the management controls and oversight program to ensure that activities directly relevant to nuclear safety and safeguards and security are conducted in an appropriately controlled manner that ensures protection of employee and public health and safety and protection of the national security interests; and (8) A description of the plant site, and a description of the principal structures, systems, and components of the plant. (b) A plan prepared and approved by DOE for achieving compliance with respect to any areas of noncompliance with the NRC's regulations that are identified by the Corporation as of th… | ||||
| 10:10:2.0.1.1.16.2.127.4 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | B | Subpart B—Application | § 76.36 Renewals. | NRC | [59 FR 48960, Sept. 23, 1994, as amended at 62 FR 6670, Feb. 12, 1997; 64 FR 44649, Aug. 17, 1999] | (a) The Corporation shall file periodic applications for renewal, as required by § 76.31. (b) Information contained in previous applications, statements, or reports filed with the Commission may be referenced as part of the application, provided that the reference is clear and specific. (c) An application for renewal is subject to the requirements in § 76.33 and must contain the following information: (1) The information specified in § 76.35; or, (2) A statement by the Corporation that the NRC may rely upon the information provided in the previous application(s) upon which the existing certificate is based, except for: (i) Any proposed changes in the existing certificate of compliance conditions or technical safety requirements; (ii) Any proposed changes to the documents submitted with the previous application in accordance with § 76.35; (iii) Any changes which the Corporation has made without prior NRC approval pursuant to § 76.68; and, (iv) Any changes to certificate conditions or technical safety requirements for which the Corporation has sought and received Commission approval pursuant to § 76.45. (d) The changes which are submitted as part of an application for renewal in accordance with paragraph (c)(2) of this section, must be in the form of specific changes to the documentation specified in § 76.35. The changes must be marked and dated for easy identification. | ||||
| 10:10:2.0.1.1.16.2.127.5 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | B | Subpart B—Application | § 76.37 Federal Register notice. | NRC | [64 FR 44649, Aug. 17, 1999, as amended at 64 FR 48955, Sept. 9, 1999] | The Director may, at his or her discretion, publish in the Federal Register : (a) A notice of the filing of an application specifying that copies of the application, except for Restricted Data, Unclassified Controlled Nuclear Information, Classified National Security Information, Safeguards Information, Proprietary Data, or other withholdable information will be made available for the public inspection at the NRC Web site, http://www.nrc.gov; (b) A notice of opportunity for written public comment on the application for renewal; and (c) The date of any scheduled public meeting regarding the application for renewal. | ||||
| 10:10:2.0.1.1.16.2.127.6 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | B | Subpart B—Application | § 76.39 Public meeting. | NRC | [59 FR 48960, Sept. 23, 1994, as amended at 64 FR 44649, Aug. 17, 1999] | (a) A public meeting will be held on an application for renewal if the Director, in his or her discretion, determines that a meeting is in the public interest with respect to a decision on the application for renewal. (b) Conduct of public meeting. (1) The Director shall conduct any public meeting held on the application for renewal. (2) Public meetings will take place near the locale of the subject plant, unless otherwise specified by the Director. (3) A public meeting will be open to all interested members of the public and be conducted as deemed appropriate by the Director. (4) Members of the public will be given an opportunity during a public meeting to make their views regarding the application for renewal known to the Director. (5) A transcript will be kept of each public meeting. (6) No Restricted Data, Classified National Security Information, Unclassified Controlled Nuclear Information, Safeguards Information, Proprietary Data, or other withholdable information may be introduced at the meeting. | ||||
| 10:10:2.0.1.1.16.2.127.7 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | B | Subpart B—Application | § 76.41 Record underlying decisions. | NRC | [59 FR 48960, Sept. 23, 1994, as amended at 69 FR 2281, Jan. 14, 2004] | (a) Any decision of the Commission or its designee under this part in any proceeding regarding an application for a certificate must be based on information in the record and facts officially noticed in the proceeding. (b) All public comments and correspondence in any proceeding regarding an application for a certificate must be made a part of the public docket of the proceeding, except as provided under 10 CFR 2.390. | ||||
| 10:10:2.0.1.1.16.2.127.8 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | B | Subpart B—Application | § 76.43 Date for decision. | NRC | [62 FR 6670, Feb. 12, 1997] | The Director will render a decision on an application within 6 months of the receipt of the application unless the Director alters the date for decisions and publishes notice of the new date in the Federal Register. | ||||
| 10:10:2.0.1.1.16.2.127.9 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | B | Subpart B—Application | § 76.45 Application for amendment of certificate. | NRC | [64 FR 44649, Aug. 17, 1999] | (a) Contents of an amendment application. In addition to the application for certification submitted under § 76.31, the Corporation may at any time apply for an amendment of the certificate to cover proposed new or modified activities. The amendment application should contain sufficient information for the NRC to make findings of compliance or acceptability for the proposed activities in the same manner as was required for the original certificate. (b) Oath or affirmation. An application for an amendment of the certificate of compliance must be executed in a signed original by the Corporation under oath or affirmation. (c) Amendment application determinations. If the NRC staff approves an application for a certificate amendment, it will be effective on a date specified by the NRC staff. If an application for a certificate amendment is not approved by the NRC staff, the Corporation will be informed in writing. The NRC staff may, at its discretion, publish notice of its determination on an amendment application in the Federal Register. (d) Request for review of staff's determination on an amendment application. The Corporation, or any person whose interest may be affected, may file a petition requesting the Director's review of an NRC staff determination on an amendment application. A petition requesting the Director's review may not exceed 30 pages and must be filed within 30 days after the date of the NRC staff's determination. Any person described in this paragraph may file a written response to a petition requesting the Director's review. This response may not exceed 30 pages and must be filed within 15 days after the filing date of the petition requesting the Director's review. The Director may adopt, modify, or set aside the findings, conclusions, conditions, or terms in the NRC staff's amendment determination by providing a written basis for the action. If the Director does not issue a decision or take other appropriate action within 60 days after receiving the petition for review, the NRC staff'… | ||||
| 10:10:2.0.1.1.16.3.127.1 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | C | Subpart C—Certification | § 76.51 Conditions of certification. | NRC | The Corporation shall comply with the certificate of compliance, any approved compliance plan, and the requirements set forth and referenced in this part, except as may be modified by the certificate or approved compliance plan. | |||||
| 10:10:2.0.1.1.16.3.127.10 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | C | Subpart C—Certification | § 76.70 Post issuance. | NRC | [59 FR 48960, Sept. 23, 1994, as amended at 69 FR 2281, Jan. 14, 2004] | (a) Amendment of certificate terms and conditions. The terms and conditions of a certificate of compliance or an approved compliance plan are subject to modification by reason of amendments to the Act, or by reason of rules, regulations, or orders issued in accordance with the Act. (b) Revocation, suspension, or amendments for cause. A certificate of compliance or a compliance plan may be revoked, suspended, or amended, in whole or in part for: (1) Any material false statement in the application or statement of fact required by the Commission in connection with the application; (2) Conditions revealed by the application, or any report, record, inspection, or other means which would warrant the Commission to refuse to grant a certificate or approve a compliance plan on an original application; and (3) Violation of, or failure to observe any of, the applicable terms and conditions of the Act, or the certificate of compliance, the compliance plan, or any rule, regulation, or order of the Commission. (c) Procedures governing amendment, revocation, suspension, or imposing requirements by order. (1) Except in cases of willfulness or those in which the public health interest, common defense and security, or safety requires otherwise, no certificate of compliance or compliance plan may be amended, suspended, or revoked unless before the institution of proceedings therefore, facts or conduct which may warrant the action must have been called to the attention of the Corporation in writing and the Corporation shall have been accorded an opportunity to demonstrate or achieve compliance with the lawful requirements related to such action. (2) The Commission may institute a proceeding to modify, suspend, or revoke a certificate or take such other action as may be proper by serving on the Corporation or other person subject to the jurisdiction of the Commission an order that will: (i) Allege the violations with which the Corporation or other person subject to the Commission's jurisdiction is charged, or the potenti… | ||||
| 10:10:2.0.1.1.16.3.127.11 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | C | Subpart C—Certification | § 76.72 Miscellaneous procedural matters. | NRC | [59 FR 48960, Sept. 23, 1994, as amended at 62 FR 6670, Feb. 12, 1997; 69 FR 2281, Jan. 14, 2004] | (a) The filing of any petitions for review or any responses to these petitions are governed by the procedural requirements set forth in 10 CFR 2.302(a) and (c), 2.304, 2.305, 2.306, and 2.307. Additional guidance regarding the filing and service of petitions for review of the Director's decision and responses to these petitions may be provided in the Director's decision or by order of the Commission. (b) The Secretary of the Commission has the authority to rule on procedural matters set forth in 10 CFR 2.346. (c) There are no restrictions on ex parte communications or on the ability of the NRC staff and the Commission to communicate with one another at any stage of the regulatory process, with the exception that the rules on ex parte communications and separation of functions set forth in 10 CFR 2.347 and 2.348 apply to proceedings under 10 CFR Part 2 for imposition of a civil penalty. (d) The procedures set forth in 10 CFR 2.205, and in 10 CFR part 2, subparts C, G, L and N will be applied in connection with NRC action to impose a civil penalty pursuant to Section 234 of the Atomic Energy Act of 1954, as amended, or Section 206 of the Energy Reorganization Act of 1974 and the implementing regulations in 10 CFR part 21 (Reporting of Defects and Noncompliance), as authorized by section 1312(e) of the Atomic Energy Act of 1954, as amended. (e) The procedures set forth in 10 CFR 2.206 apply to a request by any person to institute a proceeding pursuant to § 76.70 to amend, revoke, or suspend a certificate of compliance or approved compliance plan, or for such other action as may be proper. | ||||
| 10:10:2.0.1.1.16.3.127.12 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | C | Subpart C—Certification | § 76.74 Computation and extension of time. | NRC | (a) In computing any period of time, the day of the act, event or default after which the designated period of time begins to run is not included. The last day of the period so computed is included unless it is a Saturday, Sunday, or legal holiday at the place where the action or event is to occur, in which event the period runs until the end of the next day which is neither a Saturday, Sunday, nor holiday. (b) Except as otherwise provided by law, whenever an act is required or allowed to be done at or within a specified time, the time fixed or the period of time prescribed may for good cause be extended or shortened by the Commission. | |||||
| 10:10:2.0.1.1.16.3.127.13 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | C | Subpart C—Certification | § 76.76 Backfitting. | NRC | [59 FR 48960, Sept. 23, 1994, as amended at 62 FR 6671, Feb. 12, 1997] | (a)(1) Backfitting is defined as the modification of, or addition to, systems, structures, or components of a plant; or to the procedures or organization required to operate a plant; any of which may result from a new or amended provision in the Commission rules or the imposition of a regulatory staff position interpreting the Commission rules that is either new or different from a previous NRC staff position. (2) Except as provided in paragraph (a)(4) of this section, the Commission shall require a systematic and documented analysis pursuant to paragraph (b) of this section for backfits which it seeks to impose. (3) Except as provided in paragraph (a)(4) of this section, the Commission shall require the backfitting of a plant only when it determines, based on the analysis described in paragraph (b) of this section, that there is a substantial increase in the overall protection of the public health and safety or the common defense and security to be derived from the backfit and that the direct and indirect costs of implementation for that plant are justified in view of this increased protection. (4) The provisions of paragraphs (a)(2) and (a)(3) of this section are inapplicable and, therefore, backfit analysis is not required and the standards in paragraph (a)(3) of this section do not apply where the Commission or staff, as appropriate, finds and declares, with appropriately documented evaluation for its finding, any of the following: (i) That a modification is necessary to bring a plant into compliance with a certificate or the rules or orders of the Commission, or into conformance with written commitments by the Corporation; or (ii) That regulatory action is necessary to ensure that the plant provides adequate protection to the health and safety of the public and is in accord with the common defense and security; or (iii) That the regulatory action involves defining or redefining what level of protection to the public health and safety or common defense and security should be regarded as adequate. (5) T… | ||||
| 10:10:2.0.1.1.16.3.127.2 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | C | Subpart C—Certification | § 76.53 Consultation with Environmental Protection Agency. | NRC | In reviewing an application for a certificate, including the provisions of any compliance plan, the Director shall consult with the Environmental Protection Agency and solicit the Environmental Protection Agency's written comments on the application. | |||||
| 10:10:2.0.1.1.16.3.127.3 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | C | Subpart C—Certification | § 76.55 Timely renewal. | NRC | [62 FR 6670, Feb. 12, 1997] | In any case in which the Corporation has timely filed a sufficient application for a certificate of compliance, the existing certificate of compliance or approved compliance plan does not expire until the application for a certificate of compliance has been finally determined by the NRC. For purposes of this rule, a sufficient application is one that addresses all elements of § 76.36. | ||||
| 10:10:2.0.1.1.16.3.127.4 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | C | Subpart C—Certification | § 76.60 Regulatory requirements which apply. | NRC | [59 FR 48960, Sept. 23, 1994, as amended at 62 FR 6670, Feb. 12, 1997; 64 FR 44650, Aug. 17, 1999; 74 FR 45545, Sept. 3, 2009] | The Nuclear Regulatory Commission will use the following requirements for certification of the Corporation for operation of the gaseous diffusion plants: (a) The Corporation shall provide for adequate protection of the public health and safety and common defense and security. (b) The Corporation shall comply with the provisions of this part. (c) The Corporation shall comply with the applicable provisions of 10 CFR part 19, “Notices, Instructions and Reports to Workers: Inspection and Investigations,” with the following modifications: (1) [Reserved] (2) The Corporation shall post NRC Form 3 during the term of the certificate and for 30 days following certificate termination. (d) The Corporation shall comply with the applicable provisions of 10 CFR part 20, “Standards for Protection Against Radiation,” with the following modifications: (1) [Reserved] (2) The Corporation shall comply with the requirements in this part or as specified in an approved plan for achieving compliance. (e) The Corporation shall comply with the applicable provisions of 10 CFR part 21, “Reporting of Defects and Noncompliance,” with the following modifications: (1) The Corporation shall comply with the requirements in §§ 21.6 and 21.21. (2) Under § 21.31, procurement documents issued by the Corporation must specify that the provisions of 10 CFR Part 21 apply. (f) The Corporation shall comply with the applicable provisions of 10 CFR Part 26, “Fitness-for-Duty Programs.” The requirements of this section apply only if the Corporation elects to engage in activities involving formula quantities of strategic special nuclear material. When applicable, the requirements apply only to the Corporation and personnel carrying out the activities specified in § 26.4(d)(1) through (5), of this chapter. (g) The Corporation shall comply with the applicable provisions of 10 CFR part 71, “Packaging and Transportation of Radioactive Material.” (h) The Corporation shall comply with the applicable provisions for physical security and material control … | ||||
| 10:10:2.0.1.1.16.3.127.5 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | C | Subpart C—Certification | § 76.62 Issuance of certificate and/or approval of compliance plan. | NRC | [59 FR 48960, Sept. 23, 1994, as amended at 64 FR 44650, Aug. 17, 1999] | (a) Upon a finding of compliance with the Commission's regulations for issuance of a certificate and/or approval of a compliance plan, the Director shall issue a written decision explaining the decision. The Director may issue a certificate of compliance covering those areas where the Corporation is in compliance with applicable Commission requirements and approve a compliance plan for the remaining areas, if any, of noncompliance. The Director may impose any appropriate terms and conditions. (b) The Director shall publish notice of the decision in the Federal Register. (c) The Corporation, or any person whose interest may be affected, may file a petition, not to exceed 30 pages, requesting review of the Director's decision. This petition must be filed with the Commission not later than 30 days after publication of the Federal Register notice. Any person described in this paragraph may file a response to any petition for review, not to exceed 30 pages, within 15 days after the filing of the petition. If the Commission does not issue a decision or take other appropriate action within 90 days after the publication of the Federal Register notice, the Director's decision remains in effect. The Commission may adopt, by order, further procedures that, in its judgment, would serve the purpose of review of the Director's decision. (d) The Commission may adopt, modify, or set aside the findings, conclusions, conditions, or terms in the Director's decision and will state the basis of its action in writing. | ||||
| 10:10:2.0.1.1.16.3.127.6 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | C | Subpart C—Certification | § 76.64 Denial of certificate or compliance plan. | NRC | [59 FR 48960, Sept. 23, 1994, as amended at 64 FR 44650, Aug. 17, 1999] | (a) The Director may deny an application for a certificate of compliance or not approve a compliance plan upon a written finding that the application is in noncompliance with one or more of the Commission's requirements for the plant, or that the compliance plan is inadequate to protect the public health and safety or the common defense and security. (b) The Director shall publish notice of the decision in the Federal Register. (c) Before a denial of an application for a certificate of compliance, the Director shall advise the Corporation and the Department in writing of any areas of noncompliance with the Commission's regulations and offer the Department or the Corporation an opportunity to submit a proposed compliance plan prepared by the Department regarding the identified areas of noncompliance. The Director shall take this action even if the Department or the Corporation has previously submitted a proposed compliance plan addressing in whole or in part the identified areas of noncompliance. (d) The Corporation, or any person whose interest may be affected, may file a petition for review, not to exceed 30 pages, requesting review of the Director's decision. This petition for review must be filed with the Commission not later than 30 days after publication of the Federal Register notice. Any person described in this paragraph may file a response to any petition for review, not to exceed 30 pages, within 15 days after the filing of the petition for review. If the Commission does not issue a decision or take other appropriate action within 90 days after the publication of the Federal Register notice, the Director's decision remains in effect. The Commission may adopt, by order, further procedures that, in its judgment, would serve the purpose of review of the Director's decision. (e) The Commission may adopt, modify, or set aside the findings, conclusions, conditions, or terms in the Director's decision and will state the basis of its action in writing. | ||||
| 10:10:2.0.1.1.16.3.127.7 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | C | Subpart C—Certification | § 76.65 Inalienability of certificates. | NRC | The certificate granted under the regulations in this part may not be transferred, assigned, or in any manner disposed of, either voluntarily or involuntarily, directly or indirectly, through transfer of control of any certificate to any person unless the Commission, after securing full information, finds that the transfer is in accordance with the provisions of the Act, and consents in writing. | |||||
| 10:10:2.0.1.1.16.3.127.8 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | C | Subpart C—Certification | § 76.66 Expiration and termination of certificates. | NRC | [59 FR 48960, Sept. 23, 1994, as amended at 62 FR 6670, Feb. 12, 1997] | (a) Except as provided in § 76.55, each certificate or approval issued pursuant to this part expires at the end of the day, in the month and year stated in the certificate or approval. (b) The Corporation shall notify the Commission promptly, in writing under § 76.5, when the Corporation decides to terminate operation at either of the gaseous diffusion plants and other activities authorized under the certificate. (c) If the Corporation does not submit a renewal application under § 76.36, the Corporation shall, on or before the expiration date specified in the existing certificate, terminate operation of the gaseous diffusion plants. | ||||
| 10:10:2.0.1.1.16.3.127.9 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | C | Subpart C—Certification | § 76.68 Plant changes. | NRC | [59 FR 48960, Sept. 23, 1994, as amended at 62 FR 6670, Feb. 12, 1997] | (a) The Corporation may make changes to the plant or to the plant's operations as described in the safety analysis report without prior Commission approval provided all the provisions of this section are met: (1) The Corporation shall conduct a written safety analysis which demonstrates that the changes would not result in undue risk to public health and safety, the common defense and security, or to the environment. (2) The changes must be authorized by responsible management and approved by a safety review committee. (3) The changes may not decrease effectiveness of the plant's safety, safeguards, and security programs. (4) The changes may not involve a change in any condition to the certificate of compliance. (5) The changes may not involve a change to any condition to the approved compliance plan. (6) The changes may not involve an unreviewed safety question. (b) To ensure that the approved application remains current with respect to the actual site description and that the plant's programs, plans, policies, and operations are in place, the Corporation shall submit revised pages to the approved application and safety analysis report, marked and dated to indicate each change. The Corporation shall evaluate any as-found conditions that do not agree with the plant's programs, plans, policies, and operations in accordance with paragraph (a) of this section. These revisions must be submitted before April 15 of each calendar year, or at a shorter interval as may be specified in the certificate. If a renewal application for a certificate is filed in accordance with § 76.36 of this part, the revisions shall be incorporated into the application. (c) The Corporation shall maintain records of changes in the plant and of changes in the programs, plans, policies, procedures and operations described in the approved application, and copies of the safety analyses on which the changes were based. The records of plant changes must be retained until the end of the duration of the lease. The records of changes in program… | ||||
| 10:10:2.0.1.1.16.4.127.1 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | D | Subpart D—Safety | § 76.81 Authorized use of radioactive material. | NRC | Unless otherwise authorized by law, the Corporation shall confine its possession and use of radioactive material to the locations and purposes covered by the certificate and/or approved compliance plan. Except as otherwise provided, the certificate or approved compliance plan issued pursuant to the requirements in this part entitles the Corporation to receive title to, own, acquire, receive, possess, and use radioactive material in accordance with the certificate. | |||||
| 10:10:2.0.1.1.16.4.127.2 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | D | Subpart D—Safety | § 76.83 Transfer of radioactive material. | NRC | (a) The Corporation may not transfer radioactive material except as authorized pursuant to this section. (b) Except as otherwise provided and subject to the provisions of paragraphs (c) and (d) of this section, the Corporation may transfer radioactive material: (1) From one component of the Corporation to another; (2) To the Department; (3) To the agency in any Agreement State which regulates radioactive materials pursuant to an agreement with the Commission under Section 274 of the Act, if the quantity transferred is not sufficient to form a critical mass; (4) To any person exempt from the licensing requirements of the Act and requirements in this part, to the extent permitted under the exemption; (5) To any person in an Agreement State, subject to the jurisdiction of that State, who has been exempted from the licensing requirements and regulations of that State, to the extent permitted under the exemption; (6) To any person authorized to receive the radioactive material under terms of a specific license or a general license or their equivalents issued by the Commission or an Agreement State; (7) To any person abroad pursuant to an export license issued under part 110 of this chapter; or (8) As otherwise authorized by the Commission in writing. (c) Before transferring radioactive material to any party specified in paragraph (b) of this section, the Corporation shall verify that the transferee is authorized to receive the type, form, and quantity of radioactive material to be transferred. (d) The following methods for the verification required by paragraph (c) of this section are acceptable: (1) The Corporation may have in its possession and read a current copy of the transferee's specific license or confirmation of registration. The Corporation shall retain a copy of each license or confirmation for 3 years from the date that it was obtained. (2) The Corporation may have in its possession a written confirmation by the transferee that the transferee is authorized by license or registration confirmati… | |||||
| 10:10:2.0.1.1.16.4.127.3 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | D | Subpart D—Safety | § 76.85 Assessment of accidents. | NRC | The Corporation shall perform an analysis of potential accidents and consequences to establish the basis for limiting conditions for operation of the plant with respect to the potential for releases of radioactive material. Special attention must be directed to assurance that plant operation will be conducted in a manner to prevent or to mitigate the consequences from a reasonable spectrum of postulated accidents which include internal and external events and natural phenomena in order to ensure adequate protection of the public health and safety. Plant operating history relevant to the assessment should be included. In performing this assessment, the full range of operations should be considered including, but not necessarily limited to, operation at the maximum capacity contemplated. The assessment must be performed using an expected release rate resulting from anticipated operational occurrences and accidents with existing systems and procedures intended to mitigate the release consequences, along with site characteristics, including meteorology, to evaluate the offsite radiological consequences. | |||||
| 10:10:2.0.1.1.16.4.127.4 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | D | Subpart D—Safety | § 76.87 Technical safety requirements. | NRC | (a) The Corporation shall establish technical safety requirements. In establishing the requirements, the Corporation shall consider the analyses and results of the safety analysis report submitted pursuant to § 76.35. (b) The format for the technical safety requirements must be appropriate for each individual requirement. (c) Appropriate references to established procedures and/or equipment to address each of the following safety topics must be included in technical safety requirements: (1) Effects of natural phenomena; (2) Building and process ventilation and offgas; (3) Criticality prevention; (4) Fire prevention; (5) Radiation protection; (6) Radioactive waste management; (7) Maintenance; (8) Environmental protection; (9) Packaging and transporting nuclear materials; (10) Accident analysis; (11) Chemical safety; (12) Sharing of facilities, structures, systems and components; (13) Utilities essential to radiological safety; and (14) Operations. (d) Technical safety requirements must include items in the following categories: (1) Safety limits. (i) If any safety limit is exceeded, corrective action must be taken as stated in the response procedures associated with the technical safety requirements or the affected part of the process must be shut down unless this action would increase the risk to the health and safety of the public or plant personnel. (ii) If any safety limit is exceeded, the Corporation shall notify the Commission if required by § 76.120, review the matter, and record the results of the review, including the cause of the condition and the basis for corrective action taken to preclude recurrence. (iii) The Corporation shall retain the record of the results of each review until the Commission no longer has certification authority. (2) Limiting control settings. (i) Where a limiting control setting is specified for a variable on which a safety limit has been placed, the setting must be so chosen that protective action, either automatic or manual, will correct the abnormal s… | |||||
| 10:10:2.0.1.1.16.4.127.5 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | D | Subpart D—Safety | § 76.89 Criticality accident requirements. | NRC | (a) The Corporation must maintain and operate a criticality monitoring and audible alarm system meeting the requirements of paragraph (b) of this section in all areas of the facility. The Corporation may describe for the approval of the Commission defined areas to be excluded from the monitoring requirement. This submittal must describe the measures that will be used to ensure against criticality, including kinds and quantities of material that will be permitted and measures that will be used to control those kinds and quantities of material. (b) The system must detect and annunciate a criticality that produces an absorbed dose in soft tissue of 20 rads of combined neutron and gamma radiation at an unshielded distance of 2 meters from the reacting material within 1 minute. Coverage of all monitored areas must be provided by two detectors. | |||||
| 10:10:2.0.1.1.16.4.127.6 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | D | Subpart D—Safety | § 76.91 Emergency planning. | NRC | [59 FR 48960, Sept. 23, 1994, as amended at 64 FR 44650, Aug. 17, 1999] | The Corporation shall establish, maintain, and be prepared to follow a written emergency plan. The emergency plan submitted under § 76.35(f) must include the following information: (a) Plant description. A brief description of the plant and area near the plant site. (b) Types of accidents. An identification of each type of radioactive materials accident for which protective actions may be needed. (c) Classification of accidents. A system for classifying accidents as alerts or site area emergencies. (d) Detection of accidents. Identification of the means of detecting each type of accident in a timely manner. (e) Mitigation of consequences. A brief description of the means and equipment for mitigating the consequences of each type of accident, including those provided to protect workers onsite, and a description of the program for maintaining the equipment. (f) Assessment of releases. A brief description of the methods and equipment to assess releases of radioactive materials. (g) Responsibilities. A brief description of the responsibilities of all individuals supporting emergency response should an accident occur, including identification of personnel responsible for promptly notifying offsite response organizations and the NRC, as well as a brief description of responsibilities for developing, maintaining, and updating the plan. (h) Notification and coordination. A commitment to and a brief description of the means to promptly notify offsite response organizations, including the request for offsite assistance and medical assistance for the treatment of contaminated injured onsite workers when appropriate. A control point must be established. The notification and coordination must be planned so that unavailability of some personnel, parts of the plant, and some equipment does not prevent the notification and coordination. The Corporation shall also commit to notify the NRC Operations Center immediately after notification of the appropriate offsite response organizations and not later than 1… | ||||
| 10:10:2.0.1.1.16.4.127.7 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | D | Subpart D—Safety | § 76.93 Quality assurance. | NRC | The Corporation shall establish, maintain, and execute a quality assurance program satisfying each of the applicable requirements of ASME NQA-1-1989, “Quality Assurance Program Requirements for Nuclear Facilities,” or satisfying acceptable alternatives to the applicable requirements. The Corporation shall execute the criteria in a graded approach to an extent that is commensurate with the importance to safety. | |||||
| 10:10:2.0.1.1.16.4.127.8 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | D | Subpart D—Safety | § 76.95 Training. | NRC | A training program must be established, implemented, and maintained for individuals relied upon to operate, maintain, or modify the GDPs in a safe manner. The training program shall be based on a systems approach to training that includes the following: (a) Systematic analysis of the jobs to be performed. (b) Learning objectives derived from the analysis which describe desired performance after training. (c) Training design and implementation based on the learning objectives. (d) Evaluation of trainee mastery of the objectives during training. (e) Evaluation and revision of the training based on the performance of trained personnel in the job setting. | |||||
| 10:10:2.0.1.1.16.5.127.1 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | E | Subpart E—Safeguards and Security | § 76.111 Physical security, material control and accounting, and protection of certain information. | NRC | [62 FR 6671, Feb. 12, 1997, as amended at 85 FR 65664, Oct. 16, 2020] | Nuclear Regulatory Commission regulations that will be used for certification of the Corporation 1 for physical security and material control and accounting are contained in title 10 of the Code of Federal Regulations as described in this subpart. The regulations referenced in this subpart contain requirements for physical security and material control and accounting for formula quantities of strategic special nuclear material (Category I), special nuclear material of moderate strategic significance (Category II), and special nuclear material of low strategic significance (Category III), and for protection of Restricted Data, National Security Information, Safeguards Information, and information designated by the U.S. Department of Energy as Unclassified Controlled Nuclear Information. 1 For the purpose of this subpart, the terms “licensee” or “license” used in parts 70, 73, and 74 of this chapter, mean, respectively, the Corporation, or the certificate of compliance or approved compliance plan. | ||||
| 10:10:2.0.1.1.16.5.127.2 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | E | Subpart E—Safeguards and Security | § 76.113 Formula quantities of strategic special nuclear material—Category I. | NRC | [59 FR 48960, Sept. 23, 1994, as amended at 62 FR 6671, Feb. 12, 1997; 67 FR 78149, Dec. 23, 2002; 73 FR 63581, Oct. 24, 2008; 88 FR 15899, Mar. 14, 2023] | (a) The requirements for material control and accounting for formula quantities of strategic special nuclear material (Category I) are contained in §§ 74.11, 74.13, 74.15, 74.17, 74.19, 74.51, 74.53, 74.55, 74.57, 74.59, 74.81, and 74.82 of this chapter. (b) The requirements for physical security for formula quantities of strategic special nuclear material (Category I) are contained in §§ 70.22(h), 73.20, 73.40, 73.45, 73.46, 73.70, and 73.1200. (c) The requirements for the protection of Safeguards Information pertaining to formula quantities of strategic special nuclear material (Category I) are contained in §§ 73.21 and 73.22 of this chapter. Information designated by the U.S. Department of Energy (DOE) as Unclassified Controlled Nuclear Information must be protected in accordance with DOE requirements. (d) The Corporation may neither transport Category I material offsite nor deliver Category I material to a carrier for transport offsite. | ||||
| 10:10:2.0.1.1.16.5.127.3 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | E | Subpart E—Safeguards and Security | § 76.115 Special nuclear material of moderate strategic significance—Category II. | NRC | [59 FR 48960, Sept. 23, 1994, as amended at 67 FR 78149, Dec. 23, 2002; 73 FR 63581, Oct. 24, 2008; 88 FR 15899, Mar. 14, 2023] | (a) The requirements for material control and accounting for special nuclear material of moderate strategic significance (Category II) are contained in §§ 74.11. 74.13, 74.15, 74.17, 74.19, 74.41, 74.43, 74.45, 74.81, and 74.82 of this chapter. (b) The requirements for physical security for special nuclear material of moderate strategic significance (Category II) are contained in §§ 73.67, and 73.1200 of this chapter. (c) The Corporation may neither transport Category II material offsite nor deliver Category II material to a carrier for transport offsite. (d) The requirements for the protection of Safeguards Information pertaining to special nuclear material of moderate strategic significance—Category II are contained in §§ 73.21 and 73.22 of this chapter. Information designated by the U.S. Department of Energy (DOE) as Unclassified Controlled Nuclear Information must be protected in accordance with DOE requirements. | ||||
| 10:10:2.0.1.1.16.5.127.4 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | E | Subpart E—Safeguards and Security | § 76.117 Special nuclear material of low strategic significance—Category III. | NRC | [59 FR 48960, Sept. 23, 1994, as amended at 67 FR 78149, Dec. 23, 2002; 73 FR 63581, Oct. 24, 2008; 88 FR 15899, Mar. 14, 2023] | (a) The requirements for material control and accounting for special nuclear material of low strategic significance (Category III) are contained in §§ 74.11, 74.13, 74.15, 74.17, 74.19, 74.33, 74.81, and 74.82 of this chapter. However, inventories of uranium outside of the enrichment processing equipment conducted at least every 370 days are deemed to satisfy the requirements of § 74.19(c). (b) The requirements for physical security for special nuclear material of low strategic significance (Category III) are contained in §§ 73.67, 73.74, and 73.1200 of this chapter. (c) The requirements for the protection of Safeguards Information pertaining to special nuclear material of low strategic significance—Category III are contained in §§ 73.21 and 73.22 of this chapter. Information designated by the U.S. Department of Energy (DOE) as Unclassified Controlled Nuclear Information must be protected in accordance with DOE requirements. | ||||
| 10:10:2.0.1.1.16.5.127.5 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | E | Subpart E—Safeguards and Security | § 76.119 Security facility approval and safeguarding of National Security Information and Restricted Data. | NRC | The requirements for security facility approval and for safeguarding of classified matter are contained in part 95 of this chapter. For the purpose of this subpart, the term “licensee” or “license” used in part 95 of this chapter means, respectively, the corporation, or the certificate of compliance or approved compliance plan. | |||||
| 10:10:2.0.1.1.16.6.127.1 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | F | Subpart F—Reports and Inspections | § 76.120 Reporting requirements. | NRC | [59 FR 48960, Sept. 23, 1994, as amended at 68 FR 58822, Oct. 10, 2003; 85 FR 65664, Oct. 16, 2020] | (a) Immediate report. The Corporation shall notify the NRC Headquarters Operations Center by telephone at the numbers specified in appendix A to part 73 of this chapter within 1 hour after discovery of: (1) A criticality event; (2) Any loss, other than normal operating loss, of special nuclear material; (3) Any theft or unlawful diversion of special nuclear material which the Corporation is authorized to possess or any incident in which an attempt has been made or is believed to have been made to commit a theft or unlawful diversion of special nuclear material; or (4) An emergency condition that has been declared an alert or site area emergency. (b) Four-hour report. The Corporation shall notify the NRC Operations Center as soon as possible but not later than 4 hours after discovery of an event 1 that prevents immediate protective actions necessary to avoid releases or exposures to radiation or radioactive materials that could exceed regulatory limits. 1 Events may include fires, explosions, radiological releases, etc. (c) Twenty-four hour report. The Corporation shall notify the NRC Operations Center within 24 hours after the discovery of any of the following events involving radioactive material: (1) An unplanned contamination event that: (i) Requires access to the contaminated area, by workers or the public, to be restricted for more than 24 hours by imposing additional radiological controls or by prohibiting entry into the area; (ii) Involves a quantity of material greater than five times the lowest annual limit on intake specified in appendix B to §§ 20.1001 through 20.2402 of 10 CFR part 20 for the material; and (iii) Causes access to the contaminated area to be restricted for any reason other than to allow isotopes with a half-life of less than 24 hours to decay prior to decontamination. (2) An event in which equipment is disabled or fails to function as designed when: (i) The equipment is required by a Technical Safety Requirement to prevent releases, prevent exposures to radiati… | ||||
| 10:10:2.0.1.1.16.6.127.2 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | F | Subpart F—Reports and Inspections | § 76.121 Inspections. | NRC | (a) The Corporation shall afford to the Commission opportunity to inspect the premises and plants under the Corporation's control where radioactive material is used, produced, or stored. (b) The Corporation shall make available to the Commission for inspection records kept pertaining to receipt, possession, use, acquisition, import, export, or transfer of radioactive material. (c)(1) The Corporation shall provide rent-free office space for the exclusive use of Commission inspection personnel upon request by the Director, Office of Nuclear Material Safety and Safeguards, or the NRC Region III Administrator. Heat, air conditioning, light, electrical outlets, and janitorial services must be furnished by the Corporation. The office must be convenient to and have full access to the plant, and must provide the inspector both visual and acoustic privacy. (2) The space provided must be adequate to accommodate the NRC resident inspection staff, a part-time secretary, and transient NRC personnel. Space must be generally commensurate with other office facilities at the site. The office space that is provided must be subject to the approval of the Director, Office of Nuclear Material Safety and Safeguards, or the NRC Region III Office. All furniture, supplies, and communication equipment will be furnished by the Commission. (3) The Corporation shall afford any NRC resident inspector assigned to that site or other NRC inspectors identified by the Director, Office of Nuclear Material Safety and Safeguards, or the NRC Region III Administrator, as likely to inspect the plant, immediate, unfettered access equivalent to access provided regular plant employees, following proper identification and compliance with applicable access control measures for security, radiological protection, and personal safety. | |||||
| 10:10:2.0.1.1.16.6.127.3 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | F | Subpart F—Reports and Inspections | § 76.123 Tests. | NRC | The Corporation shall perform, or permit the Commission to perform, any tests the Commission deems appropriate or necessary for administration of the requirements in this part. These tests include tests of: (a) Radioactive material; (b) Facilities where radioactive material is utilized, produced or stored; (c) Radiation detection and monitoring instruments; and (d) Other equipment and devices used in connection with the production, utilization, or storage of radioactive material. | |||||
| 10:10:2.0.1.1.16.7.127.1 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | G | Subpart G—Enforcement | § 76.131 Violations. | NRC | [62 FR 6671, Feb. 12, 1997] | (a) The Commission may obtain an injunction or other court order to prevent a violation of the provisions of: (1) The Atomic Energy Act of 1954, as amended; (2) Title II of the Energy Reorganization Act of 1974, as amended; (3) A regulation or order issued pursuant to those Acts. (b) The Commission may obtain a court order for the payment of a civil penalty imposed under Section 234 of the Atomic Energy Act of 1954, as amended, or under Section 1312(e) of the Atomic Energy Act of 1954, as amended, and Section 206 of the Energy Reorganization Act of 1974, as amended, for violations of: (1) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, 109, or 1701 of the Atomic Energy Act of 1954, as amended; (2) Section 206 of the Energy Reorganization Act; (3) Any rule, regulation, or order issued pursuant to the sections specified in paragraph (b)(1) of this section; (4) Any term, condition, or limitation of any certificate of compliance or approved compliance plan issued under the sections specified in paragraph (b)(1) of this section. | ||||
| 10:10:2.0.1.1.16.7.127.2 | 10 | Energy | I | 76 | PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS | G | Subpart G—Enforcement | § 76.133 Criminal penalties. | NRC | (a) Section 223 of the Atomic Energy Act of 1954, as amended, provides for criminal sanctions for willful violation of, attempted violation of, or conspiracy to violate, any regulation issued under Section 161b or 161i of the Act. For purposes of Section 223, all the regulations in part 76 are issued under Section 161b or 161i except for the sections listed in paragraph (b) of this section. (b) The regulations in part 76 that are not issued under Section 161b or 161i for the purposes of Section 223 are as follows: §§ 76.1, 76.2, 76.4, 76.5, 76.6, 76.23, 76.33, 76.35, 76.37, 76.39, 76.41, 76.43, 76.45, 76.53, 76.55, 76.60, 76.62, 76.64, 76.70, 76.72, 76.131, and 76.133. | |||||
| 28:28:2.0.1.1.29.0.1.1 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.1 Purpose. | DOJ | This part implements section 6486 of the Anti-Drug Abuse Act of 1988 (the Act), 21 U.S.C. 844a. This part establishes procedures for imposing civil penalties against persons who knowingly possess a controlled substance for personal use that is listed in 21 CFR 1316.91(j)(2) in violation of 21 U.S.C. 844a and specifies the appeal rights of persons subject to a civil penalty pursuant to section 6486 of the Act. | |||||||
| 28:28:2.0.1.1.29.0.1.10 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.10 Motions and requests. | DOJ | (a) Generally. Any application for an order or any other request shall: be made by motion which shall be in writing (unless the Judge in the course of an oral hearing or appearance consents to accept such motion orally), state with particularity the grounds therefor, and set forth the relief or order sought. Motions or requests made during the course of any oral hearing or appearance before a Judge may be stated orally or in writing and made part of the transcript. All parties shall be given reasonable opportunity to respond or object to the motion or request. (b) Responses to motions. Within ten (10) days after a written motion is served, or within such other period as the Judge may fix, the other party to the proceeding may file a response to the motion, accompanied by such affidavits or other evidence as the party desires to rely upon. Unless the Judge provides otherwise, no reply to a response shall be filed. (c) Oral arguments or briefs. No oral argument will be heard on motions unless the Judge otherwise directs. Written memoranda or briefs may be filed with motions or responses to motions, stating the points and authorities relied upon in support of the position taken. | |||||||
| 28:28:2.0.1.1.29.0.1.11 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.11 Notice of hearing. | DOJ | (a) When the Judge receives the complaint and answer, the Judge shall cause to be served a Notice of Hearing upon the parties in the manner prescribed by 28 CFR 76.6(d). (b) Such notice shall include: (1) The time and place and nature of the hearing. In fixing the time and place of the hearing, the Judge will attempt to minimize the costs to the parties; (2) The legal authority and jurisdiction under which the hearing is to be held; (3) The description of the procedures for the conduct of the hearing; (4) A notice that the respondent party may waive the right to an oral hearing and request that the matter be determined on written motions and written submission of the evidence; and (5) Such other matters as the Judge deems appropriate. | |||||||
| 28:28:2.0.1.1.29.0.1.12 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.12 Prehearing statements. | DOJ | (a) At any time prior to the commencement of the hearing, the Judge may order any party to file a prehearing statement of position. (b) A prehearing statement shall state the name of the party on whose behalf it is presented and shall briefly set forth the following matters, unless otherwise ordered by the Judge: (1) Issues involved in the proceedings and whether the respondent requests an oral hearing; (2) Facts stipulated; (3) Facts in dispute; (4) Witnesses, except to the extent that disclosure would be privileged, and exhibits by which disputed facts will be litigated; (5) A brief statement of applicable law; (6) The conclusions to be drawn; (7) The estimated time required for presentation of the party's case; and (8) Any appropriate comments, suggestions, or information which might assist the parties or the Judge in preparing for the hearing or otherwise aid in the disposition of the proceeding. | |||||||
| 28:28:2.0.1.1.29.0.1.13 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.13 Parties to the hearing. | DOJ | The parties to the hearing shall be the United States of America and the respondent. | |||||||
| 28:28:2.0.1.1.29.0.1.14 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.14 Separation of functions. | DOJ | An employee or an agent of the Department who is or was engaged in investigative or prosecutive functions for or on behalf of the United States in a case may not participate in the decision of that case. | |||||||
| 28:28:2.0.1.1.29.0.1.15 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.15 | DOJ | (a) Generally. The Judge shall not consult with any party, attorney or person (except persons in the office of the Judge) on any legal or factual issue unless upon notice and opportunity for all parties to participate. No party or attorney representing a party shall communicate in any instance with the Judge on any matter at issue in a case, unless notice and opportunity has been afforded for the other party to participate. This provision does not prohibit a party or attorney from inquiring about the status of a case or asking questions concerning administrative functions or procedures. (b) Sanctions. A party or participant who makes a prohibited ex parte communication, or who encourages or solicits another to make any such communication, may be subject to any appropriate sanctions. An attorney who makes a prohibited ex parte communication, or who encourages or solicits another to make any such communication, may be subject to sanctions, including, but not limited to, exclusion from the proceedings. | |||||||
| 28:28:2.0.1.1.29.0.1.16 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.16 Disqualification of a Judge. | DOJ | (a) When a Judge deems himself or herself disqualified to preside in a particular proceeding, such Judge shall withdraw therefrom by notice on the record directed to the Chief Administrative Hearing Officer for the district in which the case is brought or, if there is no Chief Administrative Hearing Officer, to the Attorney General. (b) Whenever any party shall deem the Judge for any reason to be disqualified to preside, or to continue to preside, in a particular proceeding, that party shall file with the Judge a motion to recuse. The motion shall be supported by an affidavit setting forth the alleged grounds for disqualification. The Judge shall rule upon the motion. (c) In the event of disqualification or recusal of a Judge as provided in paragraph (a) or (b) of this section, the Chief Administrative Hearing Officer or the Attorney General shall refer the matter to another Judge for further proceedings. (d) If the Judge denies a motion to disqualify, the Attorney General may determine the matter only as part of the Attorney General's review of the initial decision on appeal, if any. | |||||||
| 28:28:2.0.1.1.29.0.1.17 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.17 Rights of parties. | DOJ | Except as otherwise limited by this part, all parties may: (a) Be represented, advised and accompanied by an attorney at law who is a member in good standing of the bar of the District of Columbia or of any state, territory or commonwealth of the United States; (b) Participate in any conference held by the Judge; (c) Conduct discovery in accordance with 28 CFR 76.18 and 76.21; (d) Agree to stipulations of fact or law, which shall be made part of the record; (e) Present evidence relevant to the issues at the hearing; (f) Present and cross-examine witnesses; (g) Present oral argument at the adjudicatory proceeding as permitted by the Judge; and (h) Submit a written brief and a proposed final order after the hearing. | |||||||
| 28:28:2.0.1.1.29.0.1.18 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.18 Authority of the Judge. | DOJ | (a) The Judge shall conduct a fair and impartial hearing, avoid delay, maintain order, and assure that a record of the proceeding is made. (b) The Judge has the authority to: (1) Set and change the date, time and place of the hearing upon reasonable notice to the parties; (2) Continue or recess the hearing in whole or in part for a reasonable period of time; (3) Hold conferences to identify or simplify the issues, or to consider other matters that may aid in the expeditious disposition of the proceeding; (4) Administer oaths and affirmations; (5) Issue subpoenas in accordance with 21 U.S.C. 875 and 876 requiring the attendance of witnesses and the production of documents at dispositions or at hearings; (6) Rule on motions and other procedural matters; (7) Regulate the scope and timing of discovery; (8) Regulate the course of the hearing and the conduct of representatives and parties; (9) Examine witnesses; (10) Receive, rule on, exclude, or limit evidence; (11) Upon motion of a party, take official notice of facts; (12) Upon motion of a party, decide cases, in whole or in part, by summary judgment where there is no disputed issue of material fact; (13) Conduct any conference, argument, or hearing on motions in person or by telephone; and (14) Exercise such other authority as necessary to carry out the responsibilities of the Judge under this part. (c) The Judge does not have the authority to rule upon the validity of federal statutes or regulations. | |||||||
| 28:28:2.0.1.1.29.0.1.19 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.19 Prehearing conferences. | DOJ | (a) Purpose and scope. Upon motion of a party or in the Judge's discretion, the Judge may direct the parties or their counsel to participate in a prehearing conference at any reasonable time prior to a hearing, or during the course of a hearing, when the Judge finds that the proceeding would be expedited by such a conference. Prehearing conferences normally shall be conducted by telephone unless, in the opinion of the Judge, such method would be impractical, or when such conferences can be conducted in a more expeditious or effective manner by correspondence or personal appearance. Reasonable notice of the time, place, and manner of the prehearing conference shall be given. At the conference, the following matters may be considered: (1) The simplification of issues; (2) The necessity of amendments to pleadings; (3) The possibility of obtaining stipulations of facts and of the authenticity, accuracy, and admissibility of documents, which will avoid unnecessary proof; (4) The limitations on the number of expert or other witnesses; (5) Negotiation, compromise, or settlement of issues; (6) The exchange of copies of proposed exhibits; (7) The identification of documents or matters of which official notice may be required; (8) A schedule to be followed by the parties for completion of the actions decided at the conference; and (9) Such other matters, including the disposition of pending motions and resolution of issues regarding the admissibility of evidence, as may expedite and aid in the disposition of the proceeding. (b) Reporting. A verbatim record of the conference shall not be kept unless directed by the Judge. (c) Order. Actions taken as a result of a prehearing conference shall be reduced to a written order unless the Judge concludes that a stenographic report shall suffice or, if the conference takes place within seven (7) days of the beginning of a hearing, and the Judge elects to make a statement on the record at the hearing summarizing the actions taken. | |||||||
| 28:28:2.0.1.1.29.0.1.2 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.2 Definitions. | DOJ | (a) Act means the Anti-Drug Abuse Act of 1988, Public Law 100-690. (b) Adjudicatory proceeding means a judicial-type proceeding leading to the formulation of a final order. (c) Administrative Procedure Act means those provisions of the Administrative Procedure Act, as codified, which are contained in 5 U.S.C. 551 through 559. (d) Attorney General means the Attorney General of the United States or his or her designee. (e) Department means the United States Department of Justice. (f) Judge means an Administrative Law Judge appointed pursuant to the provisions of 5 U.S.C. 3105. (g) Penalty means the amount described in 28 CFR 76.3 and includes the plural of that term. (h) The term Personal Use Amount means possession of controlled substances in circumstances where there is no other evidence of an intent to distribute, or to facilitate the manufacturing, compounding, processing, delivering, importing or exporting of any controlled substance. Evidence of personal use amounts shall not include sweepings or other evidence of possession of amounts of a controlled substance for other than personal use. The following criteria shall be used to determine whether an amount of controlled substance in a particular case is in fact a personal use amount. The absence of any of the factors listed in paragraphs (h)(1) through (h)(5) of this section and the existence of the factor in paragraph (h)(6) of this section shall be relevant, although not necessarily conclusive, to establish that the possession was for personal use, and amounts in excess of those listed in paragraph (h)(6) of this section may be determined to be personal use amounts where circumstances indicate possession of the substance without an intent to distribute or to facilitate the manufacturing, compounding, processing, delivering, importing or exporting of the controlled substance. (1) Evidence, such as drug scales, drug distribution paraphernalia, drug records, drug packaging material, method of drug packaging, drug “cutting” agents and ot… | |||||||
| 28:28:2.0.1.1.29.0.1.20 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.20 Consent Order or settlement prior to hearing. | DOJ | (a) Generally. At any time after the commencement of a proceeding, the parties jointly may move to defer the hearing for a reasonable time to permit negotiation of a settlement or an agreement containing findings and an order disposing of the whole or any part of the proceeding. The allowance of such deferment and the duration thereof shall be at the discretion of the Judge, after consideration of such factors as the nature of the proceeding, the requirements of the public interest, the representations of the parties, and the probability of reaching an agreement which will result in a just disposition of the issue involved. The Judge may require the parties to submit progress reports on a regular basis as to the status of negotiations. (b) Consent orders. Any agreement containing consent findings and an order disposing of a proceeding or any part thereof shall also provide: (1) That the order shall have the same force and effect as an order made after full hearing; (2) That the entire record on which any order may be based shall consist solely of the complaint or notice of administrative determination (or amended notice, if one is filed), as appropriate, and the agreement; (3) A waiver of any further procedural steps before the Judge; and (4) A waiver of any right to challenge or contest the validity of the order entered into in accordance with the agreement. (c) Submission. On or before the expiration of the time granted for negotiations, the parties or their counsel may: (1) Submit the proposed agreement containing consent findings and an order for consideration by the Judge; or (2) Notify the Judge that the parties have reached a full settlement and have agreed to dismissal of the action; or (3) Inform the Judge that agreement cannot be reached. (d) Disposition. In the event that an agreement containing consent findings and an order is submitted, the Judge, within thirty (30) days or as soon as practicable thereafter may, if satisfied with its timeliness, form, and substance, accept such agre… | |||||||
| 28:28:2.0.1.1.29.0.1.21 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.21 Discovery. | DOJ | (a) Scope. Discovery under this part covers any matter not otherwise privileged or protected by law, which is directly relevant to the issues involved in the case, including the existence, description, nature, custody, condition, and location of documents or other tangible things, and the identity and location of persons having knowledge of relevant facts. To the extent not inconsistent with this part, the Federal Rules of Civil Procedure may be used as a general guide for discovery practices in proceedings before the Judge. However, unless otherwise stated in this part, the Federal Rules shall be deemed to be instructive rather than controlling. (b) Methods. Discovery may be obtained by one or more of the methods provided under the Federal Rules of Civil Procedure, including: written interrogatories, depositions, requests for production of documents or things for inspection or copying, and requests for admission addressed to parties. (c) Procedures governing discovery —(1) Discovery from a party. A party seeking discovery from another party shall initiate the process by serving a request for discovery on the other party. The request for discovery shall: (i) State the time limit for responding, as prescribed in 28 CFR 76.21(c)(4); (ii) In the case of a request for a deposition of a party or an employee of a party shall (A) Specify the time and place of the taking of the deposition, and (B) Be served on the person to be deposed. (2) Discovery from a nonparty. Whenever possible, a party seeking a deposition and/or production of documents from a nonparty shall attempt to obtain the nonparty's voluntary cooperation. A party seeking such discovery from a nonparty may initiate such discovery by serving a request for discovery on the nonparty directly and by serving the other party. Upon failure to obtain voluntary cooperation, discovery from a nonparty may be sought by a written motion directed to the Judge in accordance with paragraph (c)(3) of this section. (3) Discovery motions. (i) A party shall … | |||||||
| 28:28:2.0.1.1.29.0.1.22 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.22 Exchange of witness lists, statements and exhibits. | DOJ | (a) At least twenty-one (21) days before the hearing or at such other time as may be ordered by the Judge, the parties shall exchange witness lists, copies of prior statements of proposed witnesses, and copies of proposed hearing exhibits, including copies of any written statements that the respondent intends to offer in lieu of live testimony in accordance with 28 CFR 76.29. At the time these documents are exchanged, any party that intends to rely on the transcript of deposition testimony in lieu of live testimony at the hearing, if permitted by the Judge, shall provide each party with a copy of the specific pages of the transcript it intends to introduce into evidence. (b) If a party objects to admission, the Judge may not admit into evidence the testimony of any witness whose name does not appear on the witness list or any exhibit not provided to the opposing party as provided above unless the Judge finds good cause for the failure and that there is no prejudice to the objecting party. (c) Unless a party objects within the times set by the Judge, documents exchanged in accordance with paragraph (a) of this section shall be deemed to be authentic for the purpose of admissibility at the hearing. | |||||||
| 28:28:2.0.1.1.29.0.1.23 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.23 Subpoenas. | DOJ | (a) Requests for the issuance of subpoenas requiring the attendance and testimony of witnesses or the production of documents or other evidence under 21 U.S.C. 875 and 876 shall be filed with the Judge. Subpoenas are not ordinarily required to obtain the attendance of federal employees as witnesses, but such testimony shall be sought first by filing a request with the United States Attorney. (b) Requests for subpoenas shall be filed with the Judge in writing and shall specify with particularity the books, papers, or testimony desired, supported by a showing of general relevance and reasonable scope, and a statement of the facts expected to be proven thereby. Such request shall specify any documents to be produced and shall designate the witnesses and describe the address and location thereof with sufficient particularity to permit such witnesses or documents to be found. (c) A party seeking a subpoena for the attendance of a witness at a hearing shall file a written request therefor not less than fifteen (15) days before the date fixed for the hearing unless otherwise allowed by the Judge upon a showing of good cause. (d) The subpoena shall specify the time and place at which the witness is to appear and any documents the witness is to produce. (e) Unless otherwise ordered by the Judge, the party seeking the subpoena is responsible for service of the subpoena. A subpoena may be served by any person at least eighteen (18) years of age who is not a party, including a private process server or other person authorized to serve process in actions brought in state courts of general jurisdiction or in Federal courts. Service shall be by personal delivery. Proof of service shall be made by affidavit of the person serving a subpoena entered on a true copy of the subpoena. (f) A party or the individual to whom the subpoena is directed may file with the Judge a motion to quash the subpoena within ten (10) days after service of the subpoena, or on or before the time specified in the subpoena for compliance if it is less… | |||||||
| 28:28:2.0.1.1.29.0.1.24 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.24 Protective order. | DOJ | (a) A party or a prospective witness or deponent may seek to limit the availability or disclosure of evidence by filing a motion for a protective order with respect to discovery sought by an opposing party or with respect to the hearing. (b) In issuing a protective order, the Judge may make any order which justice requires to protect a party or person from annoyance, embarrassment, oppression, or undue burden or expense, or to protect privileged information including one or more of the following orders: (1) That the discovery not be had; (2) That the discovery may be had only on specified terms and conditions, including a designation of the time or place; (3) That the discovery may be had only through a method of discovery other than that requested; (4) That certain matters not be the subject of inquiry, or that the scope of discovery be limited to certain matters; (5) That discovery be conducted with no one present except persons designated by the Judge; (6) That the contents of discovery or evidence be sealed; (7) That a sealed deposition be opened only by order of the Judge; (8) That the parties simultaneously file specified documents or information enclosed in sealed envelopes to be opened as directed by the Judge. | |||||||
| 28:28:2.0.1.1.29.0.1.25 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.25 Fees. | DOJ | Unless otherwise ordered by the Judge, the party requesting a subpoena shall pay the cost of the fees and mileage of any witness subpoenaed. Such costs shall be in the amounts that would be payable to a witness in a proceeding in United States district court. A check for witness fees and mileage shall accompany the subpoena when served, except that when a subpoena is issued on behalf of the complainant, a check for witness fees and mileage need not accompany the subpoena. | |||||||
| 28:28:2.0.1.1.29.0.1.26 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.26 Sanctions. | DOJ | (a) As necessary to meet the ends of justice, the Judge may impose sanctions upon any party or a party's counsel, including, but not limited to sanctions based upon the following reasons: (1) Failure to comply with an order, rule, or procedure governing the proceeding; (2) Failure to prosecute an action; or (3) Engaging in other misconduct that interferes with the speedy, orderly, or fair conduct of the proceeding. (b) Any such sanction, including but not limited to those listed in paragraphs (c), (d), and (e) of this section, shall reasonably relate to the severity and nature of the failure or misconduct. (c) When a party fails to comply with an order, including an order for taking a deposition, the production of evidence within the party's control, or a request for admission the Judge may, as appropriate under law: (1) Draw an inference in favor of the requesting party with regard to the information sought; (2) In the case of requests for admission as to unprivileged matters, deem admitted each matter of which an admission is requested; (3) Prohibit the party failing to comply with such order from introducing evidence concerning, or otherwise relying upon, testimony relating to the information sought; (4) Strike any appropriate part of the pleadings or other submissions of the party failing to comply with such order; and (5) Permit the requesting party to introduce secondary evidence concerning the information sought. (d) If a party fails to prosecute an action under this part commenced by service of a notice of hearing, the Judge may dismiss the action. (e) If a respondent who has requested a hearing pursuant to 28 CFR 76.4, and who has been served with a Notice of a Hearing under 28 CFR 76.6, fails to appear at the hearing, absent good cause shown by the respondent, the Judge may issue an initial decision imposing a penalty. (f) The Judge may refuse to consider any motion, request, response, brief or other document which is not filed in a timely fashion. | |||||||
| 28:28:2.0.1.1.29.0.1.27 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.27 The hearing and burden of proof. | DOJ | (a) The Judge shall conduct a hearing on the record in order to determine whether the respondent is liable for a civil penalty under 28 CFR 76.3 and, if so, the appropriate amount of any such civil penalty, considering the income and net assets of the respondent. (b) The United States Attorney shall prove respondent's liability and appropriateness of the amount of the penalty by a preponderance of the evidence. (c) The respondent shall prove any affirmative defenses by a preponderance of the evidence. (d) The hearing shall be open to the public unless otherwise closed by the Judge for good cause shown. | |||||||
| 28:28:2.0.1.1.29.0.1.28 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.28 Location of hearing. | DOJ | The hearing shall be held in the judicial district of the United States Attorney's Office having jurisdiction over the matter. | |||||||
| 28:28:2.0.1.1.29.0.1.29 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.29 Witnesses. | DOJ | (a) Except as provided in paragraph (b) of this section, testimony at the hearing shall be given orally by witnesses under oath or affirmation. (b) At the discretion of the Judge and to the extent otherwise permitted by law, testimony may be admitted in the form of a written statement or deposition. Any such written statement must be provided to all other parties, along with the last known address of such witness, in a manner which allows sufficient time for other parties to subpoena, if necessary, such witness for cross-examination at the hearing. Prior written statements of witnesses proposed to testify at the hearing and deposition transcripts shall be exchanged as provided in 28 CFR 76.22. (c) The Judge shall exercise reasonable control over the mode and order of interrogating witnesses and presenting evidence so as to: (1) Make the interrogation and presentation effective for the ascertainment of the truth; (2) Avoid needless consumption of time; and (3) Protect witnesses from harassment or undue embarrassment. (d) The Judge shall permit the parties to conduct such cross-examination as may be required for a full and true disclosure of the facts. (e) At the discretion of the Judge, a witness may be cross-examined on matters relevant to the proceeding without regard to the scope of his or her direct examination. (f) Upon motion of any party, the Judge shall order witnesses excluded so that they cannot hear the testimony of other witnesses. This part does not authorize exclusion of the following: (1) The respondent; (2) An individual whose presence is shown by a party to be essential to the presentation of its case. | |||||||
| 28:28:2.0.1.1.29.0.1.3 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.3 Basis for civil penalty. | DOJ | [Order No. 1462-90, 56 FR 1089, Jan. 11, 1991, as amended by Order No. 2249-99, 64 FR 47103, Aug. 30, 1999; AG Order 3690-2016, 81 FR 42500, June 30, 2016] | (a) Any individual who knowingly possesses a controlled substance that is listed in § 76.2(h) in violation of 21 U.S.C. 844a shall be liable to the United States for a civil penalty in an amount of not to exceed $10,000 for each such violation occurring before September 29, 1999, and not to exceed $11,000 for each such violation occurring on or after September 29, 1999. For civil penalties assessed after August 1, 2016, whose associated violations occurred after November 2, 2015, see the civil penalty amount as provided in 28 CFR 85.5. (b) The income and net assets of an individual shall not be relevant to the determination whether to assess a civil penalty under this part or to prosecute the individual criminally. However, if a decision is made to assess a civil penalty, the income and net assets of an individual shall be considered in determining the amount of a penalty under this part. (c) A civil penalty may not be assessed under this part if the individual previously was convicted of a federal or state offense relating to a controlled substance as defined in section 102 of the Controlled Substances Act (21 U.S.C. 802). (d) A civil penalty may not be assessed on an individual under this part on more than two separate occasions. (e) A civil penalty under this part may be assessed by the Attorney General only after an order has been issued on the record and after an opportunity for a hearing has been given in accordance with 5 U.S.C. 554. The Attorney General by and through the United States Attorney having jurisdiction over the matter shall provide written notice to the individual who is the subject of the proposed order informing the individual of the opportunity to receive such a hearing with respect to the proposed order. The hearing may be held only if the individual makes a request for the hearing before the expiration of the thirty (30) day period beginning on the date such notice is served. | ||||||
| 28:28:2.0.1.1.29.0.1.30 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.30 Evidence. | DOJ | (a) The Judge shall determine the admissibility of evidence. (b) Except as provided in this part, the Judge shall not be bound by the Federal Rules of Evidence. However, the Judge may apply the Federal Rules of Evidence where appropriate, e.g., to exclude unreliable evidence. (c) The Judge shall exclude irrelevant and immaterial evidence. (d) Although relevant, evidence may be excluded if its probative value is substantially outweighed by the danger of unfair prejudice, confusion of the issues, or by considerations of undue delay or needless presentation of cumulative evidence. (e) Relevant evidence may be excluded if it is privileged under federal law. (f) Evidence concerning offers of compromise or settlement shall be inadmissible to the extent provided in Rule 408 of the Federal Rules of Evidence. (g) The Judge shall permit the parties to introduce rebuttal witnesses and evidence. (h) All documents and other evidence offered or taken for the record shall be open to examination by all parties, unless otherwise ordered by the Judge pursuant to 28 CFR 76.27. | |||||||
| 28:28:2.0.1.1.29.0.1.31 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.31 Standards of conduct. | DOJ | (a) All persons appearing in proceedings before a Judge are expected to act with integrity and in an ethical manner. (b) The Judge may exclude parties, witnesses, and their attorneys for refusal to comply with directions, continued use of dilatory tactics, refusal to adhere to reasonable standards of orderly and ethical conduct, failure to act in good faith, or violation of the prohibition against ex parte communications. The Judge shall state in the record the cause for suspending or barring an attorney from participation in a proceeding. Any attorney so suspended or barred may appeal to the Chief Administrative Hearing Officer for the District, or if there is no Chief Administrative Hearing Officer, to the Attorney General but no proceeding shall be delayed or suspended pending disposition of the appeal; provided, however, that the Judge shall suspend the proceeding for a reasonable time for the purpose of enabling the party to obtain another attorney. | |||||||
| 28:28:2.0.1.1.29.0.1.32 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.32 Hearing room conduct. | DOJ | Proceedings shall be conducted in an orderly manner. The consumption of food or beverage, smoking, or rearranging of courtroom furniture, unless specifically authorized by the Judge, is prohibited. | |||||||
| 28:28:2.0.1.1.29.0.1.33 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.33 Legal assistance. | DOJ | The Judge does not have authority to appoint counsel, nor can it refer a party to an attorney. | |||||||
| 28:28:2.0.1.1.29.0.1.34 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.34 Record of hearings. | DOJ | (a) General. Unless otherwise agreed by the parties, a verbatim written record of all hearings shall be kept. All evidence upon which the Judge relies for decision shall be contained in the transcript of testimony, either directly or by appropriate reference. All exhibits introduced as evidence shall be marked for identification and incorporated into the record. Upon completion of the transcript, the transcript shall be filed by the official court reporter with the Judge, who will notify the parties. Transcripts may be obtained by the parties and the public from the official court reporter of record. Unless otherwise ordered by the Judge, any fees in connection therewith shall be the responsibility of the parties. (b) Corrections. Corrections to the official transcript will be permitted upon motion. Motions for corrections must be submitted within ten (10) days of the service by the Judge of the notice of the filing of the transcript, or such other time as may be permitted by the Judge. Corrections of the official transcript will be permitted only when errors of substance are involved and only upon approval of the Judge. (c) The record of the proceedings shall consist of the notices, pleadings, motions, rulings, exhibits, orders, the findings, decisions or opinions of the Judge, the stipulations and briefs, and the transcript(s) of the hearing(s). | |||||||
| 28:28:2.0.1.1.29.0.1.35 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.35 Decision and Order of the Judge. | DOJ | (a) Proposed decision and order. Within twenty (20) days of the filing of the transcript of the testimony, or such additional time as the Judge may allow, a party, if authorized by the Judge, may file proposed Findings of Fact, Conclusions of Law, and Order together with a supporting brief expressing the reasons for such proposals. Such proposals and briefs shall be served on all parties, and shall refer to all portions of the record and to all authorities relied upon in support of each proposal. (b) Decision. Within a reasonable time, but not later than forty-five (45) days after the filing of the hearing transcript, and the time allowed for the filing of the post-hearing briefs, proposed Findings of Fact, Conclusions of Law, and Order, if any, or within thirty (30) days after receipt of an agreement containing Consent Findings and Order disposing of the disputed matter in whole, the Judge shall make a decision. The decision of the Judge shall include Findings of Fact and Conclusions of Law upon each material issue of fact or law presented on the record. The decision of the Judge shall be based upon the whole record. It shall be supported by reliable and probative evidence. The standard of proof shall be a preponderance of the evidence. Such decision shall be in accordance with the regulations and the statutes conferring jurisdiction. If the Judge fails to meet the deadline contained in this paragraph, he or she shall notify the parties and the Attorney General of the reason for the delay and shall set a new deadline. (c) Order. If the Judge determines, by a preponderance of the evidence, that the respondent knowingly possessed a controlled substance that is listed in section 401(b)(1)(A) of the Controlled Substances Act (21 U.S.C. 841(b)) in violation of 21 U.S.C. 844, in an amount that, as specified by this part, is a personal use amount, the order shall require the respondent to pay a civil penalty of not more than $10,000 for each violation. If the Judge determines that a preponderance of the evidenc… | |||||||
| 28:28:2.0.1.1.29.0.1.36 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.36 Administrative and judicial review. | DOJ | (a) Upon entry of an order by a Judge, any party may file with the Attorney General, within ten (10) days of the date of the Judge's decision and order, a written request for review of the decision and order together with supporting arguments. Within thirty (30) days from the date of the filing of the request for review, the Attorney General may enter an order which adopts, affirms, modifies or vacates the Judge's order. (b) If a party does not seek review of the Judge's decision, or if the Attorney General enters no order within thirty (30) days from the date of the filing of the request for review, the order of the Judge becomes the final order of the Attorney General. If the Attorney General modifies or vacates the order, the order of the Attorney General becomes the final order. (c) An individual subject to an order assessing a penalty after a hearing may, before the expiration of the thirty (30) day period beginning on the date the final order is entered, either by the Judge or the Attorney General, whichever is applicable, bring a civil action in the appropriate District Court of the United States pursuant to the provisions of 21 U.S.C. 844a(g) and obtain de novo judicial review of the final order. | |||||||
| 28:28:2.0.1.1.29.0.1.37 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.37 Collection of civil penalties. | DOJ | (a) Collection of any penalty shall be the responsibility of the United States Attorney having jurisdiction over the matter. (b) The United States Attorney having jurisdiction over the matter may commence a civil action in any appropriate district court of the United States for the purpose of recovering the amount assessed and an amount representing interest at a rate computed in accordance with 28 U.S.C. 1961. | |||||||
| 28:28:2.0.1.1.29.0.1.38 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.38 Deposit in the United States Treasury. | DOJ | All amounts collected pursuant to this part shall be deposited as miscellaneous receipts in the United States Treasury. | |||||||
| 28:28:2.0.1.1.29.0.1.39 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.39 Compromise or settlement after Decision and Order of a Judge. | DOJ | (a) The United States Attorney having jurisdiction over the case may, at any time before the Attorney General issues an order, compromise, modify, or remit, with or without conditions, any civil penalty imposed under this section. (b) Any compromise or settlement must be in writing. | |||||||
| 28:28:2.0.1.1.29.0.1.4 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.4 Enforcement procedures. | DOJ | (a) Commencement of proceedings. If the United States Attorney's office having jurisdiction over the matter determines that a person has violated section 6486 of the Act, the proceeding to assess a civil penalty under section 6486 of the Act shall be commenced by the United States Attorney issuing a Notice of Intent to Assess Civil Penalty. Service of this Notice shall be accomplished pursuant to 28 CFR 76.6. (b) Notice of intent to assess a civil penalty. The Notice of Intent to Assess Civil Penalty (Notice) will contain a concise statement of factual allegations informing the respondent of the act or conduct alleged to be in violation of law, the statutory and regulatory provisions alleged to have been violated, and the amount of penalty for which the respondent could be liable. The Notice will advise the respondent of the following, in addition to any other specific information determined by the United States Attorney to be necessary: (1) That the respondent has the right to representation by counsel, but not at government expense; (2) That any statement given during the course of the proceeding may be used against the person in this or any other proceeding, including any criminal prosecution; (3) That a respondent may be able to assert a privilege, such as the privilege against self-incrimination; (4) That failure to file a response to the allegations listed in the Notice within thirty (30) days of the date of service may result in the entry of a non-appealable final order assessing a penalty in an amount to be determined by the Attorney General; (5) That the respondent has the right to request an adjudicatory proceeding, including a hearing, before a Judge pursuant to 5 U.S.C. 554-557 and this part, and that such request, in accordance with paragraph (c) of this section, must be made within thirty (30) days from the date the notice is served; (6) That a respondent may waive an adjudicatory proceeding at any time and agree to pay a penalty in an amount to be determined by the Attorney General; and … | |||||||
| 28:28:2.0.1.1.29.0.1.40 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.40 Records to be public. | DOJ | All documents contained in the records of formal proceedings for imposing a penalty under this part may be inspected and copied, unless ordered sealed by the Judge. | |||||||
| 28:28:2.0.1.1.29.0.1.41 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.41 Expungement of records. | DOJ | (a) The Attorney General shall expunge all official Department records created pursuant to this part upon application of a respondent at any time after the expiration of three (3) years from the date of the final order of assessment if: (1) The respondent has not previously been assessed a civil penalty under this section; (2) The respondent has paid the penalty; (3) The respondent has complied with any conditions imposed by the Attorney General; (4) The respondent has not been convicted of a federal or state offense relating to a controlled substance as defined in section 102 of the Controlled Substances Act (21 U.S.C. 802); and (5) The respondent agrees to submit to a drug test, and such test shows the individual to be drug free. (b) A non-public record of a disposition under this part shall be retained by the Department solely for the purpose of determining in any subsequent proceeding whether the person qualifies for a civil penalty or expungement under this part. (c) If a record is expunged under this part, the individual for whom such an expungement was made shall not be held guilty of perjury, false swearing, or making a false statement by reason of his failure to recite or acknowledge a proceeding under this part or the results thereof in response to an inquiry made of him for any purpose. | |||||||
| 28:28:2.0.1.1.29.0.1.42 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.42 Limitations. | DOJ | No action under this part shall be entertained unless commenced within five (5) years from the date on which the violation occurred. | |||||||
| 28:28:2.0.1.1.29.0.1.5 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.5 Complaint. | DOJ | (a) If the respondent requests an adjudicatory proceeding, the United States Attorney, within fifteen (15) days after receipt of the request, shall file a complaint against the respondent with a Judge who has been assigned to hear and decide the case and shall serve a copy of the complaint on the respondent as provided in 28 CFR 76.6(b). (b) The complaint shall contain a concise statement of factual allegations informing the respondent of the act or conduct alleged to be in violation of law, the approximate date, place and location of the alleged violation including the federal district, the statutory provisions alleged to have been violated, the amount of penalty for which the respondent could be held liable, and the amount of the proposed penalty. It shall also indicate the date upon which the Notice of Intent to Assess Civil Penalty was served and shall be accompanied by a copy of that notice. | |||||||
| 28:28:2.0.1.1.29.0.1.6 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.6 Service and filing of documents. | DOJ | (a) Generally. Unless ordered otherwise, an original and one copy of the complaint and all other pleadings shall be filed with the Judge who has been assigned to the case. Each party shall deliver or mail, in accordance with paragraph (b) of this section, a copy of all pleadings, including any attachments to the other party. Each pleading filed shall be clear and legible. (b) By and on parties. The Notice of Intent to Assess Civil Penalty and the Complaint shall be served by personal delivery or by certified or registered mail, return receipt requested, to the respondent. When it is known that a party is represented by an attorney, service of any other pleading, paper or document subsequent to the Notice and Complaint shall be made upon the party's attorney. Service of such other pleadings, papers, or documents may be made by personal delivery or by mailing, by first class mail, a copy to the party or attorney at the party's or attorney's last known address. The party serving the document shall certify the manner and date of service. (c) By the judge. Except as provided in paragraph (d) of this section, service of Notices, Orders and Decisions shall be made by first class mail to the last known address of a party or, if the party is known to be represented by an attorney, to the attorney. (d) Service of notice of hearing. Service of Notice of the Date Set for Hearing shall be made by the Judge with whom the complaint has been filed either by delivering a copy to the individual party or, if known, to the attorney of record of a party; or by mailing, by certified or registered mail, return receipt requested, a copy to the last known address of a party or a party's attorney. (e) Service is complete upon delivery to the addressee or, in the case of service by mail, upon mailing. (f) Filing of pleadings, papers or other documents shall be deemed completed upon delivery to the Judge assigned to the case or the Judge's designee. | |||||||
| 28:28:2.0.1.1.29.0.1.7 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.7 Content of pleadings. | DOJ | (a) Every pleading shall contain a caption setting forth the statutory provision under which the proceeding is instituted, the title of the proceeding, the docket number assigned by the Judge, the names of all parties, and a designation of the type of pleading or paper (e.g., complaint, motion to dismiss). The pleading shall be signed and shall contain the address and telephone number of the party or person representing the party. The pleadings should be typewritten when possible on standard-size (8 1/2 × 11) paper. Legal size (8 1/2 × 14) paper will not be accepted, except upon approval by the Judge. (b) Illegible documents, whether handwritten, typewritten, photocopied, or otherwise, will not be accepted. Papers may be reproduced by any duplicating process, provided all copies are clear and legible. (c) All documents presented by a party in a proceeding must be in English or, if in a foreign language, accompanied by a certified translation. | |||||||
| 28:28:2.0.1.1.29.0.1.8 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.8 Time computations. | DOJ | (a) Generally. In computing any period of time under this part or in an order issued hereunder, the time begins with the day following the act, event, or default requiring service, and includes the last day of the period unless it is a Saturday, Sunday, or legal holiday observed by the federal government, in which case the time period includes the next business day. When the period of time prescribed is eleven (11) days or less, intermediate Saturdays, Sundays, and holidays shall be excluded in the computation. (b) Date of entry of orders. In computing any period of time involving the date of the entry of an order, the date of entry shall be the date the order is signed by the Judge. (c) Computation of time for service by mail. Whenever a party has a right or is required to do some act or take some action within a prescribed period after service of a pleading, paper, or notice and the pleading, paper, or notice is served upon the party by mail, three (3) days shall be added to the prescribed period. | |||||||
| 28:28:2.0.1.1.29.0.1.9 | 28 | Judicial Administration | I | 76 | PART 76—RULES OF PROCEDURE FOR ASSESSMENT OF CIVIL PENALTIES FOR POSSESSION OF CERTAIN CONTROLLED SUBSTANCES | § 76.9 Responsive pleading—answer. | DOJ | (a) Time for answer. A respondent shall file and serve on the United States Attorney having jurisdiction over the matter an answer within thirty (30) days after the service of a complaint. (b) Default. Failure of the respondent to file and serve an answer within the time provided shall be deemed to constitute a waiver of his or her right to appear and contest the allegations of the complaint. In such cases, the Judge may enter a judgment by default. (c) Answer. Any respondent contesting any material fact alleged in a complaint, or contending that he or she is entitled to judgment as a matter of law, shall file an answer in writing. (1) The answer shall include a statement of the facts supporting each affirmative defense. (2) The answer shall include a statement that the respondent admits, denies, does not have and is unable to obtain sufficient information to admit or deny each allegation, or that an answer to the allegation is protected by a privilege, including the privilege against self-incrimination. (3) A statement of lack of information or a statement that the answer to the allegation is privileged shall have the effect of a denial. (4) Any allegation not denied shall be deemed to be admitted. (d) Reply. A complainant may file a reply responding to each affirmative defense arrested if the Judge, pursuant to 28 CFR 76.10, so provides. (e) Amendments and supplemental pleadings. If it will facilitate resolution of the controversy, the Judge may, upon such conditions as are necessary to avoid prejudicing the public interest and the rights of the parties, allow appropriate amendments to complaints and other pleadings at any time prior to the issuance of the Judge's order based on the complaint. When issues not raised by the pleadings are reasonably within the scope of the original complaint and are tried by express or implied consent of the parties, they shall be treated in all respects as if they had been raised in the pleadings, and such amendments may be made as necessary to make the pleadin… | |||||||
| 33:33:1.0.1.3.33.1.1.1 | 33 | Navigation and Navigable Waters | I | C | 76 | PART 76—SALE AND TRANSFER OF AIDS TO NAVIGATION EQUIPMENT | 76.01 | Subpart 76.01—Sale of Equipment | § 76.01-1 Sale of equipment not readily procurable. | USCG | The Commandant is authorized to sell aids to navigation apparatus or equipment to foreign, state, or municipal governments or departments thereof; parties required to maintain private aids to navigation to mark wrecks, piers, or other obstructions; contractors engaged on public works; and in other cases in which in the judgment of the Commandant the public interest may be served: Provided: (a) Such equipment has not been reported by the Coast Guard to the General Services Administration as excess (if the equipment has been reported to the General Services Administration as excess, the Commandant will submit the request to that administration for further action); and (b) Such equipment is not readily procurable in the open market. Requests to purchase such apparatus or equipment shall give sufficient reasons why the article or articles cannot be readily procured in the open market. If the Commandant considers that an article can be readily procured in the open market the prospective purchaser will be so informed, and given the names of dealers or manufacturers. Sales shall be invoiced at cost plus 25 percent for overhead. Proceeds of such sales shall be deposited in the Treasury to the credit of the current appropriation for operating expenses, Coast Guard. | ||||
| 33:33:1.0.1.3.33.1.1.2 | 33 | Navigation and Navigable Waters | I | C | 76 | PART 76—SALE AND TRANSFER OF AIDS TO NAVIGATION EQUIPMENT | 76.01 | Subpart 76.01—Sale of Equipment | § 76.01-5 Sale of condemned equipment. | USCG | When any condemned supplies, materials, or equipment cannot be profitably used in work of the Coast Guard, they will be disposed of under appropriate regulations of the General Services Administration. Applications for purchase of such materials may be submitted to the Commandant who will process them for further action under the applicable regulations. | ||||
| 33:33:1.0.1.3.33.2.1.1 | 33 | Navigation and Navigable Waters | I | C | 76 | PART 76—SALE AND TRANSFER OF AIDS TO NAVIGATION EQUIPMENT | 76.10 | Subpart 76.10—Federal Agencies | § 76.10-1 Exemption. | USCG | Nothing in this part shall be construed to affect the regulations concerning the transfer of supplies, materials, equipment, or land between other Federal agencies. | ||||
| 34:34:1.1.1.1.22.1.88.1 | 34 | Education | 76 | PART 76—STATE-ADMINISTERED FORMULA GRANT PROGRAMS | A | Subpart A—General | § 76.1 Programs to which this part applies. | ED | [89 FR 70334, Aug. 29, 2024] | (a) The regulations in this part apply to each State-administered formula grant program of the Department. (b) If a State-administered formula grant program does not have implementing regulations, the Secretary implements the program under the applicable statutes and, to the extent consistent with the authorizing statute, under the GEPA and the regulations in this part. For the purposes of this part, the term State-administered formula grant program means a program whose applicable statutes or implementing regulations provide a formula for allocating program funds among eligible States. | |||||
| 34:34:1.1.1.1.22.1.88.2 | 34 | Education | 76 | PART 76—STATE-ADMINISTERED FORMULA GRANT PROGRAMS | A | Subpart A—General | § 76.2 Exceptions in program regulations to part 76. | ED | [45 FR 22517, Apr. 3, 1980. Redesignated at 45 FR 77368, Nov. 21, 1980, as amended at 54 FR 21776, May 19, 1989; 89 FR 70335, Aug. 29, 2024] | If a program has regulations that are not consistent with part 76, the implementing regulations for that program identify the sections of part 76 that do not apply. | |||||
| 34:34:1.1.1.1.22.1.89.3 | 34 | Education | 76 | PART 76—STATE-ADMINISTERED FORMULA GRANT PROGRAMS | A | Subpart A—General | § 76.50 Basic requirements for subgrants. | ED | [89 FR 70335, Aug. 29, 2024] | (a) Under a program covered by this part, the Secretary makes a grant— (1) To the State agency designated by applicable statutes and regulations for the program; or (2) To the State agency designated by the State in accordance with applicable statutes and regulations. (b) Unless prohibited by applicable statutes or regulations or by the terms and conditions of the grant award, a State may use State-administered formula grant funds— (1) Directly; (2) To make subgrants to eligible applicants, as determined by applicable statutes or regulations, or if applicable statutes and regulations do not address eligible subgrantees, as determined by the State; or (3) To authorize a subgrantee to make subgrants. (c) Grantees are responsible for monitoring subgrantees consistent with 2 CFR 200.332. (d) Grantees, in cases where subgrants are prohibited by applicable statutes or regulations or the terms and conditions of a grant award, are authorized to contract, as needed, for supplies, equipment, and other services, in accordance with 2 CFR part 200, subpart D (2 CFR 200.317 through 200.326). (e) No subgrant that a State chooses to make in accordance with paragraph (b) may change the amount of Federal funds for which an entity is eligible through a formula in the applicable Federal statute or regulation. |
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title_number INTEGER,
title_name TEXT,
chapter TEXT,
subchapter TEXT,
part_number TEXT,
part_name TEXT,
subpart TEXT,
subpart_name TEXT,
section_number TEXT,
section_heading TEXT,
agency TEXT,
authority TEXT,
source_citation TEXT,
amendment_citations TEXT,
full_text TEXT
);
CREATE INDEX idx_cfr_title ON cfr_sections(title_number);
CREATE INDEX idx_cfr_part ON cfr_sections(part_number);
CREATE INDEX idx_cfr_agency ON cfr_sections(agency);