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8501.142 Modification or rescission.

(a) A ruling may be modified or rescinded by

(1) Publication of the modification or rescission by DOE in the FEDERAL REGISTER and in 10 CFR part 518; or

(2) Adoption of a rule that supersedes or modifies a prior ruling.

(b) A person shall not be subject to the sanctions or penalties stated in these regulations for actions taken in reliance upon a ruling, notwithstanding that the ruling is subsequently declared to be invalid or no longer applicable. A person affected by a ruling may not rely upon it for more than 30 days after it has been rendered invalid pursuant to issuance of a superseding rule by OFE, or after it has been rescinded or modified by DOE.

all persons involved (if reasonably ascertainable), a description of the events that led to the complaint, and a statement describing the statutory provision, regulation, ruling, order, rule, or interpretation that allegedly has been violated. 8501.163 OFE evaluation.

(a) The record shall consist of the complaint and any supporting documents and all other relevant information developed in the course of any investigations or proceedings related to that complaint. OFE may investigate and corroborate any statement in the complaint or related documents submitted, and may utilize in its evaluation any relevant facts obtained by such investigation or from any other source of information. OFE may solicit or accept submissions from third persons relevant to the complaint or other related documents.

(b) Confidentiality of information. OFE will treat as confidential information received in any investigation of a complaint, including the identity of the complainant and the identity of any other persons who provide information to the extent such information is exempt from public disclosure under the Freedom of Information Act, 5 U.S.C. 552. OFE reserves the right to make disclosures that would be in the public interest.

8 501.143 Comments.

Any interested person may file a written comment on or objection to a published ruling at any time with the Assistant General Counsel for Interpretations and Rulings at the address provided in 8501.11.

Subpart K-Enforcement 8501.160 Purpose and scope.

This subpart provides the procedures by which OFE may initiate enforcement proceedings on its own behalf and by which complaints concerning a violation of the Act or any rule or order thereunder may be filed.

$ 501.161 Filing a complaint.

(a) A complaint under this subpart must be submitted in writing over the signature of the person making the complaint in accordance with the general filing requirements stated in $501.7. OFE will accept oral complaints that otherwise satisfy the requirements of this subpart, but OFE may request written verification.

(b) A complaint shall be filed at the address provided in 8501.11.

$501.164 Decision to initiate enforce

ment proceedings. After investigation of a specific complaint or based on any relevant information received or obtained during an investigation, OFE may issue a notice of violation, determine that no viola tion has occurred, or take such other actions as it deems appropriate. Prio to issuance of a notice of violation, and before commencement of an enforce ment proceeding, OFE may transmit a draft of the notice of violation to the potentially affected person in order t promote an informal resolution of thi violation.

$ 501.162 Contents of a complaint.

A complaint must contain a complete statement of all relevant facts pertaining to the act or transaction that is the subject of the complaint. It must also include the names and addresses of

8501.165 Commencement of enforce

ment proceedings. (a) Whenever, on the basis of any in formation available, OFE determine that a person is in violation or abou

to be in violation of any provision of these regulations, OFE may issue a notice of violation stating, in writing and with reasonable specificity, the nature of the violation. An enforcement proceeding commences with the issuance of a notice of violation.

(b) Contents of the notice of violation. OFE will set forth in the notice of violation the nature of the violation, the relevant facts that OFE believes establish the violation and the legal basis for the conclusions reached therein. OFE may also include with the notice of violation a copy of a proposed order. The notice of violation will also state whether or not OFE proposes to assess civil penalties.

(1) If OFE proposes to assess a civil penalty, a notice of violation will be issued to the violator with an opportunity for a hearing before an Administrative Law Judge, as set forth in $501.166(a)(1) of this part, before any final determination on the violation and penalty are made by OFE. The recipient of the notice will also be informed of his right to elect to have the procedures of $501.166(a)(2) apply, in lieu of the hearing, with respect to a final determination on the assessment of any civil penalty.

(2) If OFE does not propose to assess a civil penalty, the violator will be provided the opportunity for a conference, as set forth in 8501.166(b), before a final determination on the violation is made by OFE. OFE may, in its discretion, also provide the violator an opportunity for a hearing pursuant to $501.166(a)(1).

(c) Service. OFE will serve the notice of violation in accordance with provisions set forth in 8501.6.

(d) Rescission. If, after issuance of a notice of violation and any related investigation, OFE finds no basis for the belief that a violation has occurred, is continuing to occur, or is about to occur, OFE may rescind the notice of violation by giving written notice to that effect to the recipient. $501.166 Hearings and conferences.

(a) When a civil penalty is proposed. (1) Hearing alternative in civil penalty assessment proceedings. Unless the recipient of a notice of violation elects in writing to have the provisions of para

graph (a)(2) of this section apply, OFE will commence a proceeding to assess a penalty and, prior to a final determination on the violation and assessment of a penalty, provide an opportunity for a hearing pursuant to 5 U.S.C. 554 before an Administrative Law Judge.

(2) Election alternative in civil penalty assessment proceedings. The recipient of a notice of violation in which a civil penalty assessment has been proposed may elect, in writing, within thirty (30) days of receipt of the notice, to waive the administrative proceedings described in paragraph (a)(1) of this section. OFE will make a determination on the proposed civil penalty assessment and issue a final order to that effect within forty-five (45) days after receiving notice of the exercise of this election.

(b) When a civil penalty is not proposed-opportunity to request a conference. If a person has received a notice of violation in which a civil penalty has not been proposed, he may, within thirty (30) days after receipt of the notice, request a conference with OFE to discuss the notice. In order to request a conference he must comply with the instructions set forth in the notice. $ 501.167 Fuel use order.

(a) General. OFE will issue a Fuel Use Order if, after considering all the information received during the proceeding, OFE determines that a person has committed, is committing, or is about to commit a violation of FUA or of an order or rule thereunder.

(b) Contents. Any Fuel Use Order issued under this section shall set forth the relevant facts and legal basis for the order and where appropriate, the final penalty assessment and the basis therefor. When an administrative hearing is requested under $501.166(a) of this part, the Fuel Use Order will include the recommended findings and conclusions of the Administrative Law Judge (ALJ) and the basis for the penalty assessment. OFE will make a final determination as to any penalty assessment or other appropriate remedy based upon the recommended findings and conclusions of the ALJ and other information in the record of the enforcement proceeding. The order will

an investigation under this section, including the identities of the person investigated and any other person who provides information, to the extent it is exempt from public disclosure pursuant to 5 U.S.C. 552 and 10 CFR part 1004.

be effective upon service, unless otherwise provided therein, or stayed pursuant to 8501.120.

(c) Service. OFE will serve a copy of the Fuel Use Order upon any person who was served a copy of the notice of violation and upon all parties to any public proceeding on the notice of violation. OFE will place a copy of each final order on file in the Public Information Office described in $ 501.12.

(d) Judicial review. Any person against whom a penalty is assessed pursuant to 8501.167(b) after a hearing before an ALJ may, within sixty (60) calendar days after the date of issuance of the order assessing such penalty, institute an action in the United States Court of Appeals for the appropriate judicial circuit for judicial review of such order in accordance with the provisions of section 723 of FUA.

Subpart - Investigations, Viola

tions, Sanctions and Judicial Actions

$501.180 Investigations.

(a) General. Pursuant to section 711 of FUA, the DEOA, and in accordance with the provisions of 10 CFR 205.201, OFE may initiate and conduct investigations relating to the scope, nature, and extent of compliance by any person with the rules, regulations, and orders issued by OFE under the authority of the Act, or any order or decree of court relating thereto, or any other agency action. When the circumstances warrant, OFE may issue subpoenas as provided in subpart D of this part. OFE may also conduct investigative conferences in conjunction with any investigation.

(b) Any duly authorized representative of OFE has the authority to conduct an investigation and to take such action as he deems necessary and appropriate to the conduct of the investigation.

(c) Notification. If any person is required to furnish information or documentary evidence pursuant to a subpoena or special report order, OFE will, upon written request, inform that person as to the general purposes of the investigation.

(d) Confidentiality. OFE shall not disclose any information received during

$ 501.181 Sanctions.

(a) General. (1) A violation of any provision of the Act (other than section 402 of FUA), or any rule or order thereunder shall be subject to the penalties and sanctions provided in subtitle C of title VII of FUA.

(2) Each day that any provision of the Act (other than section 402), or any rule or order thereunder is violated constitutes a separate violation within the meaning of the provisions of this section relating to civil penalties.

(b) Criminal penalties. Any person who willfully violates any provision of the Act (other than section 402), or any rule or order thereunder will be subject to a fine of not more than $50,000, or to imprisonment for not more than 1 year, or both, for each violation.

(c) Civil penalties. (1) Any person who violates any provisions of the Act (other than section 402) or any rule or order thereunder will be subject to the following civil penalty, which may not exceed $27,500 for each violation: Any person who operates a powerplant or major fuel burning installation under an exemption, during any 12-calendarmonth period, in excess of that authorized in such exemption will be assessed a civil penalty of up to $3.30 for each MCF of natural gas or up to $11 for each barrel of oil used in excess of that authorized in the exemption.

(2) OFE may compromise and settle, and collect civil penalties whenever it considers it to be appropriate or advisable.

(d) Corporate personnel. (1) If a director, officer, or agent of a corporation willfully authorizes, orders, or performs any act or practice constituting in whole or in part a violation of the Act, or any rule or order thereunder, he will be subject to the penalties specified in paragraphs (b) and (c) of this section without regard to any penalties to which the corporation may be subject. He will not, however, be subject to imprisonment under paragraph (b) of

this section unless he knew of non Subpart M-Use of Natural Gas or compliance by the corporation, or had Petroleum for Emergency and received from OFE notice of non

Unanticipated Equipment compliance by the corporation. (2) Purposes of this paragraph:

Outage Purposes (i) Agent includes any employee or

$ 501.190 Purpose and scope. other person acting on behalf of the corporation on either a temporary or (a) If a person operates a powerplant permanent basis; and

covered by any of the prohibitions of (ii) Notice of noncompliance is a final titles II, III, or IV of FUA, 8501.191 of Fuel Use Order issued under $501.167 of this subpart establishes procedures to this part.

be followed for the use of minimum

amounts of natural gas or petroleum [46 FR 59889, Dec. 7, 1981, as amended at 62

under FUA section 103(a)(15)(B) in FR 46183, Sept. 2, 1997)

order to alleviate or prevent unantici$ 501.182 Injunctions.

pated equipment outages and emerWhenever it appears to OFE that any

gencies directly affecting the public

health, safety, or welfare that would person has committed, is committing,

result from electric power outages. or is about to commit a violation of any provision of the Act, or any rule or

(b) Explanatory note: If a person operorder thereunder, OFE may, in accord

ates a rental boiler as a powerplant ance with section 724 of FUA, bring a

covered by any of the prohibitions of civil action in the appropriate United

titles II, III, or IV of FUA, he may be States District Court to enjoin such

able to use the provisions of this subacts or practices. The relief sought

part for the emergency use of natural may include a mandatory injunction

gas or petroleum. commanding any person to comply (54 FR 52893, Dec. 22, 1989) with any provision of such provision, order or rule, the violation of which is $501.191 Use of natural gas or petroprohibited by section 724 of FUA and leum for certain inanticipated may also include interim equitable re equipment outages and emerlief.

gencies defined in section

103(a)(15)(B) of the act. $501.183 Citizen suits.

(a) In the event of the occurrence or (a) General. A person who believes he imminent occurrence of an emergency, is aggrieved by the failure of OFE to or of the occurrence or imminent ocperform any nondiscretionary act of currence of an unanticipated equipduty under the Act may file a Petition ment outage in the unit, an owner or for Action for OFE to take such action operator of a powerplant is automatias he may feel to be proper. This peti cally permitted to use minimum tion must be filed at the address pro amounts of natural gas or petroleum in vided in 8501.11. The petition must the unit or in a substitute unit to prespecify the action requested and set vent or alleviate the outage or to preforth the facts and legal arguments vent or alleviate the emergency if he that constitute the basis for the re complies with procedures contained in quest. The filing of a Petition for Ac paragraph (b) of this section. tion will serve as notice to OFE under (b) If the use of minimum amounts of FUA section 725(b) for purposes of any petroleum or natural gas is required citizens suit that may be subsequently for purposes specified in this section, filed.

the owner or operator must notify OFE (b) OFE decision. Within sixty (60) of such use by telegram or telephone days of receiving the Petition for Ac within 24 hours after the commencetion, OFE will notify the person giving ment of such use. Immediately therenotice under this section that it has in after a written confirmation must be stituted the action requested or that submitted to OFE, describing, to the other described action is being taken, best estimate of the owner or operator, or that other described action is being (1) the nature of the emergency and (2) taken, or that no action is being taken how long petroleum or natural gas use and the reasons therefor.

is likely to be required.

503.10 Use of fluidized bed combustion not

feasible--general requirement for perma

nent exemptions. 503.11 Alternative sites-general require

ment for permanent exemptions for new

powerplants. 503.12 Terms and conditions; compliance

plans. 503.13 Environmental impact analysis. 503.14 Fuels search.

Subpart C-Temporary Exemptions for New


(c) For purposes of this section only:

(1) An emergency is the occurrence or threat of imminent occurrence of a condition which results or would result from an electric power outage and directly effects or would directly effect the public health, safety or welfare;

(2) Unanticipated equipment outage shall mean an unexpected outage due to equipment failure.

(3) Minimum amounts required to alleviate or prevent shall mean:

(i) For powerplants, the amounts of natural gas or petroleum required to prevent curtailment of electric supply where the operating utility has, to the maximum extent possible, utilized alternate fuel-fired capacity to prevent such curtailment. Note-A utility operating hydroelectric facilities may take into account seasonal fluctuations in storage capacity and shall be permitted to prevent depletion of stored powerproducing capacity as deemed necessary by the utility; and

(ii) For installations, the amounts of natural gas or petroleum required to meet plant protection or human health and safety needs, including services to hospitals, public transportation facilities, sanitation, or water supply and pumping. (46 FR 59889, Dec. 7, 1981, as amended at 54 FR 52893, Dec. 22, 1989)

503.20 Purpose and scope. 503.21 Lack of alternate fuel supply. 503.22 Site limitations. 503.23 Inability to comply with applicable

environmental requirements. 503.24 Future use of synthetic fuels. 503.25 Public interest.

Subpart D-Permanent Exemptions for New

Facilities 503.30 Purpose and scope. 503.31 Lack of alternate fuel supply for the

first 10 years of useful life. 503.32 Lack of alternate fuel supply at a

cost which does not substantially exceed

the cost of using imported petroleum. 503,33 Site limitations. 503.34 Inability to comply with applicable

environmental requirements. 503.35 Inability to obtain adequate capital. 503.36 State or local requirements. 503.37 Cogeneration. 503.38 Permanent exemption for certain fuel

mixtures containing natural gas or pe

troleum. 503.39-503.44 [Reserved]

AUTHORITY: Department of Energy Organization Act, Pub. L. 95–91, 91 Stat. 565 (42 U.S.C. $7101 et seq.); Powerplant and Industrial Fuel Use Act of 1978, Pub. L. 95-620, 92 Stat. 3289 (42 U.S.C, 8301 et seq.); Energy Security Act, Pub. L. 96-294, 94 Stat. 611 (42 U.S.C. 8701 et seq.); E.O. 1209, 42 FR 46267, September 15, 1977.

SOURCE: 46 FR 59903, Dec. 7, 1981, unless otherwise noted. OMB Control No.: 1903-0075. See 46 FR 63209, Dec. 31, 1981.

$ 501.192 (Reserved]


Subpart A-General Prohibition

Sec. 503.1 Purpose and scope. 503.2 Prohibition. 503.3 [Reserved]

Subpart A-General Prohibition

Subpart B-General Requirements for

Exemptions 503.4 Purpose and scope. 503.5 Contents of petition. 503.6 Cost calculations for new powerplants

and installations. 503.7 State approval-general requirement

for new powerplants. 503.8 No alternate power supply-general re

quirement for certain exemptions for

new powerplants. 503.9 Use of mixtures--general requirement

for certain permanent exemptions.

8503.1 Purpose and scope.

This subpart sets forth the statutory prohibition imposed by the Act upon new powerplants. The prohibition in the subpart applies to all new baseload electric powerplants unless an exemption has been granted by OFE under

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