[Federal Register Volume 61, Number 252 (Tuesday, December 31, 1996)]
[Rules and Regulations]
[Pages 69360-69366]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-32972]
[[Page 69359]]
_______________________________________________________________________
Part V
Environmental Protection Agency
_______________________________________________________________________
40 CFR Parts 19 and 27
Civil Monetary Penalty Inflation Adjustment Rule; Final Rule
Federal Register / Vol. 61, No. 252 / Tuesday, December 31, 1996 /
Rules and Regulations
[[Page 69360]]
ENVIRONMENTAL PROTECTION AGENCY
40 CFR Parts 19 and 27
[FRL-5671-1]
Civil Monetary Penalty Inflation Adjustment Rule
AGENCY: Environmental Protection Agency (EPA).
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: The Environmental Protection Agency (``EPA'') is issuing this
final Civil Monetary Penalty Inflation Adjustment Rule as mandated by
the Debt Collection Improvement Act of 1996 to adjust EPA's civil
monetary penalties (``CMPs'') for inflation on a periodic basis. Prior
to this new law, EPA's penalties had never been adjusted for inflation.
This rule will allow EPA's penalties to keep pace with inflation and
thereby maintain the deterrent effect Congress intended when it
originally specified penalties.
This first mandatory adjustment increases almost all of EPA's
penalty provisions by ten percent (except for new penalty provisions
enacted into law in 1996, which are not being increased). The Agency is
required to review its penalties again at least once every four years
thereafter and to adjust them as necessary for inflation according to a
specified formula.
EFFECTIVE DATE: January 30, 1997.
FOR FURTHER INFORMATION CONTACT: Steven M. Spiegel, Office of
Regulatory Enforcement, Multimedia Enforcement Division, Mail Code
2248W, 401 M Street, SW, Washington, D.C. 20460, or at (703) 308-8507.
Further information may also be requested by electronic mail (e-mail)
to: [email protected].
SUPPLEMENTARY INFORMATION: Pursuant to the Federal Civil Penalties
Inflation Adjustment Act of 1990 (28 U.S.C. 2461 note; Pub. L. 101-410,
enacted October 5, 1990; 104 Stat. 890), as amended by the Debt
Collection Improvement Act of 1996 (31 U.S.C. 3701 note; Public Law
104-134, enacted April 26, 1996; 110 Stat. 1321), (``DCIA''), each
Federal agency is required to issue regulations adjusting for inflation
the maximum civil monetary penalties that can be imposed pursuant to
such agency's statutes. With the adoption of this rule implementing
these statutes, all violations which take place after January 30, 1997
will be subject to the new statutory maximum civil penalty amounts.
With the exception of the new penalty provisions added by the 1996
amendments to the Safe Drinking Water Act, all of the statutory penalty
provisions administered by EPA are being increased. All of these
increases are for the maximum allowed, ten percent. The affected
penalty provisions and their statutory maximum amounts are set out in
Table 1 of the new 40 CFR 19.4.
Section 5 of the DCIA sets forth the formula for adjusting the
penalties for inflation:
The inflation adjustment described under section 4 shall be
determined by increasing the maximum CMP or the range of minimum and
maximum CMPs, as applicable, for each CMP by the cost-of-living
adjustment. * * * The term ``cost-of-living'' adjustment is the
percentage for each CMP by which the Consumer Price Index (CPI) for
the month of June of the calendar year preceding the adjustment,
exceeds the Consumer Price Index for the month of June of the
calendar year in which the amount of such CMP was last set or
adjusted pursuant to law. Any increase determined under this
amendment shall be rounded * * *.
However, the DCIA also sets a ten percent cap on the first
adjustment for inflation. Since EPA's penalties have never previously
been adjusted for inflation, this first statutorily required adjustment
will be limited to ten percent. Table A below sets forth each CMP
provision which is being increased pursuant to the DCIA and the
intermediate calculations performed to arrive at the adjusted final
maximum penalty contained in the last column and in today's rule.
Table A.--Summary of Civil Monetary Penalty Inflation Adjustment Calculations
--------------------------------------------------------------------------------------------------------------------------------------------------------
Year
penalty Maximum penalty Maximum penalty Maximum penalty
Civil monetary amount Maximum penalty Inflation factor increase amount amount after amount after P.L.
U.S. Code citation penalty description was last amount set by law calculation \1\ after P.L. 101- increase and P.L. 101-410 rounding
set by as of 10/23/96 410 rounding \2\ 101-410 rounding and 10% limit
law
--------------------------------------------------------------------------------------------------------------------------------------------------------
7 U.S.C. 1361 (1)..... FEDERAL INSECTICIDE, 1978 $5,000........... 456.7/195.3 $7,000........... $12,000.......... $5,500
FUNGICIDE, &
RODENTICIDE ACT
CIVIL PENALTY--
GENERAL--COMMERCIAL
APPLICATORS, ETC.
7 U.S.C. 1361 (2)..... FEDERAL INSECTICIDE, 1978 500/1,000........ 456.7/195.3 700/1,000........ 1,200/2,000...... 550/1,100
FUNGICIDE, &
RODENTICIDE ACT
CIVIL PENALTY--
PRIVATE APPLICATORS--
1ST & SUBSEQUENT
OFFENSES OR
VIOLATIONS.
15 U.S.C. 2615........ TOXIC SUBSTANCES 1976 25,000........... 456.7/170.1 40,000........... 65,000........... 27,500
CONTROL ACT CIVIL
PENALTY.
15 U.S.C. 2647(a)..... ASBESTOS HAZARD 1986 5,000............ 456.7/327.9 2,000............ 7,000............ 5,500
EMERGENCY RESPONSE
ACT CIVIL PENALTY.
31 U.S.C. 3802(a)(1).. PROGRAM FRAUD CIVIL 1986 5,000............ 456.7/327.9 2,000............ 7,000............ 5,500
REMEDIES ACT/
VIOLATION INVOLVING
FALSE CLAIM.
31 U.S.C. 3802(a)(2).. PROGRAM FRAUD CIVIL 1986 5,000............ 456.7/327.9 2,000............ 7,000............ 5,500
REMEDIES ACT/
VIOLATION INVOLVING
FALSE STATEMENT.
33 U.S.C. 1319(d)..... CLEAN WATER ACT 1987 25,000........... 456.7/340.1 10,000........... 35,000........... 27,500
VIOLATION/CIVIL
JUDICIAL PENALTY.
33 U.S.C. CLEAN WATER ACT 1987 10,000/25,000.... 456.7/340.1 3,000/10,000..... 13,000/35,000.... 11,000/27,500
1319(g)(2)(A). VIOLATION/
ADMINISTRATIVE
PENALTY PER
VIOLATION AND
MAXIMUM.
[[Page 69361]]
33 U.S.C. CLEAN WATER ACT 1987 10,000/125,000... 456.7/340.1 3,000/40,000..... 13,000/165,000... 11,000/137,500
1319(g)(2)(B). VIOLATION/
ADMINISTRATIVE
PENALTY PER
VIOLATION AND
MAXIMUM.
33 U.S.C. CLEAN WATER ACT 1990 10,000/25,000.... 456.7/389.1 2,000/5,000...... 12,000/30,000... 11,000 /27,500
1321(b)(6)(B)(I). VIOLATION/ADMIN
PENALTY OF SEC
311(b)(3) & (j) PER
VIOLATION AND
MAXIMUM.
33 U.S.C. CLEAN WATER ACT 1990 10,000/125,000... 456.7/389.1 2,000/20,000..... 12,000/145,000... 11,000/137,500
1321(b)(6)(B)(ii). VIOLATION/ADMIN
PENALTY OF SEC
311(b)(3) & (j) PER
VIOLATION AND
MAXIMUM.
33 U.S.C. CLEAN WATER ACT 1990 10,000 or........ 456.7/389.1 5,000 or 200..... 15,000 or 1,200.. 11,000 or 1,100
1321(b)(7)(A). VIOLATION/CIVIL 1,000 per b/u.... per barrel/unit.. per barrel/unit.. per
JUDICIAL PENALTY OF barrel or unit
SEC 311(b)(3)--PER
VIOLATION PER DAY OR
PER BARREL OR UNIT.
33 U.S.C. CLEAN WATER ACT 1990 25,000........... 456.7/389.1 5,000............ 30,000........... 27,500
1321(b)(7)(B). VIOLATION/CIVIL
JUDICIAL PENALTY OF
SEC 311 (c) &
(e)(1)(B).
33 U.S.C. 1321(b)(7) CLEAN WATER ACT 1990 25,000........... 456.7/389.1 5,000............ 30,000........... 27,500
C). VIOLATION/CIVIL
JUDICIAL PENALTY OF
SEC 311(j).
33 U.S.C. CLEAN WATER ACT 1990 100,000 or 3,000 456.7/389.1 15,000 or 1,000 115,000 or 4,000 11,000 or
1321(b)(7)(D). VIOLATION/MINIMUM per b/u. per b/u. per barrel/unit. 3,300
CIVIL JUDICIAL per barrel/unit
PENALTY OF SEC
311(b)(3)--PER
VIOLATION OR PER
BARREL/UNIT.
33 U.S.C. 1414b(d).... MARINE PROTECTION, 1988 600.............. 456.7/353.5 200.............. 800.............. 660
RESEARCH AND
SANCTUARIES ACT VIOL
SEC 104b(d).
33 U.S.C. 1415(a)..... MARINE PROTECTION, 1988 50,000/125,000... 456.7/353.5 15,000/40,000.... 65,000/165,000... 55,000/137,500
RESEARCH AND
SANCTUARIES ACT
VIOLATIONS--FIRST &
SUBSEQUENT
VIOLATIONS.
42 U.S.C. 300g-3(b)... SAFE DRINKING WATER 1986 25,000........... 456.7/327.9 10,000........... 35,000........... 27,500
ACT/CIVIL JUDICIAL
PENALTY OF SEC
1414(b).
42 U.S.C. 300g-3(c)... SAFE DRINKING WATER 1986 25,000........... 456.7/327.9 10,000........... 35,000........... 27,500
ACT/CIVIL JUDICIAL
PENALTY OF SEC
1414(c).
42 U.S.C. 300g- SAFE DRINKING WATER 1986 25,000........... 456.7/327.9 10,000........... 35,000........... 27,500
3(g)(3)(A). ACT/CIVIL JUDICIAL
PENALTY OF SEC.
1414(g)(3)(A).
42 U.S.C. 300g- SAFE DRINKING WATER 1986 5,000............ 456.7/327.9 2,000............ 7,000............ 5,500
3(g)(3)(B). ACT/MAXIMUM
ADMINISTRATIVE
PENALTY PER SEC.
1414(g)(3)(B).
42 U.S.C. 300h-2(b)(1) CIVIL JUDICIAL 1986 25,000........... 456.7/327.9 10,000........... 35,000........... 27,500
PENALTY/VIOLATIONS
OF REQS--UNDERGROUND
INJECTION CONTROL.
42 U.S.C. 300h-2(c)(1) CIVIL ADMINISTRATIVE 1986 10,000/125,000... 456.7/327.9 4,000/50,000..... 14,000/175,000... 11,000/137,500
PENALTY--VIOLATIONS
OF REQS--UNDERGROUND
INJECTION CONTROL--
PER VIOLATION AND
MAXIMUM.
42 U.S.C. 300h-2(c)(2) CIVIL ADMINISTRATIVE 1986 5,000/125,000.... 456.7/327.9 2,000/50,000..... 7,000/175,000.... 5,500/137,500
PENALTY--VIOLATIONS
OF REQS--UNDERGROUND
INJECTION CONTROL
PER VIOLATION &
MAXIMUM.
42 U.S.C. 300h-3(c)(1) VIOLATION/OPERATION 1974 5,000............ 456.7/146.9 11,000........... 16,000........... 5,500
OF NEW UNDERGROUND
INJECTION WELL.
42 U.S.C. 300h-3(c)(2) WILLFUL VIOLATION/ 1974 10,000........... 456.7/146.9 21,000........... 31,000........... 11,000
OPERATION OF NEW
UNDERGROUND
INJECTION WELL.
42 U.S.C. 300i-1(b)... ATTEMPTING TO OR 1986 20,000/50,000.... 456.7/327.9 10,000/20,000.... 30,000/70,000.... 22,000/55,000
TAMPERING WITH
PUBLIC WATER SYSTEM/
CIVIL JUDICIAL
PENALTY.
42 U.S.C. 300j(e)(2).. FAILURE TO COMPLY W/ 1974 2,500............ 456.7/146.9 5,000............ 7,500............ 2,750
ORDER ISSUED UNDER
SEC. 1`441(c)(1).
42 U.S.C. 300j-4(c)... REFUSAL TO COMPLY 1986 25,000........... 456.7/327.9 10,000........... 35,000........... 27,500
WITH REQS OF SEC.
1445(a) OR (b).
[[Page 69362]]
42 U.S.C. 300j-23(d).. VIOLATIONS/SECTION 1988 5,000/50,000..... 456.7/353.5 1,000/15,000..... 6,000/65,000..... 5,500/55,000
1463(b)--FIRST
OFFENSE/REPEAT
OFFENSE.
42 U.S.C. 6928(a)(3).. RESOURCE CONSERVATION 1984 25,000........... 456.7/310.7 10,000........... 35,000........... 27,500
& RECOVERY ACT/
VIOLATION SUBTITLE C
ASSESSED PER ORDER.
42 U.S.C. 6928(c)..... RES. CONS. & REC. ACT/ 1984 25,000........... 456.7/310.7 10,000........... 35,000........... 27,500
CONTINUED
NONCOMPLIANCE OF
COMPLIANCE ORDER.
42 U.S.C. 6928(g)..... RESOURCE CONSERVATION 1976 25,000........... 456.7/170.1 40,000........... 65,000........... 27,500
& RECOVERY ACT/
VIOLATION SUBTITLE C.
42 U.S.C. 6928(h)(2).. RES. CONS. & REC. ACT/ 1984 25,000........... 456.7/310.7 10,000........... 35,000........... 27,500
NONCOMPLIANCE OF
CORRECTIVE ACTION
ORDER.
42 U.S.C. 6934(e)..... RES. CONS. & REC. ACT/ 1976 25,000........... 456.7/170.1 8,000............ 13,000........... 5,500
NONCOMPLIANCE WITH
SECTION 3013 ORDER.
42 U.S.C. 6973(b)..... RES. CONS. & REC. ACT/ 1976 5,000............ 456.7/170.1 8,000............ 13,000........... 5,500
VIOLATIONS OF
ADMINISTRATIVE ORDER.
42 U.S.C. 6991e(a)(3). RES. CONS. & REC. ACT/ 1984 25,000........... 456.7/310.7 10,000........... 35,000........... 27,500
NONCOMPLIANCE WITH
UST ADMIN. ORDER.
42 U.S.C. 6991e(d)(1). RES. CONS. & REC. ACT/ 1984 10,000........... 456.7/310.7 5,000............ 15,000........... 11,000
FAILURE TO NOTIFY OR
SUBMIT FALSE INFO.
42 U.S.C. 6991e(d) (2) VIOLATIONS OF 1984 10,000........... 456.7/310.7 5,000............ 15,000........... 11,000
SPECIFIED UST
REGULATORY
REQUIREMENTS.
42 U.S.C. 6992(d) (2). NONCOMPLIANCE W/ 1988 25,000........... 456.7/353.5 5,000............ 30,000........... 27,500
MEDICAL WASTE
TRACKING ACT
ASSESSED THRU ADMIN
ORDER.
42 U.S.C. 6992d(a) (4) NONCOMPLIANCE W/ 1988 25,000........... 456.7/353.5 5,000............ 30,000........... 27,500
MEDICAL WASTE
TRACKING ACT ADMIN
ORDER.
42 U.S.C. 6992d(d).... MEDICAL WASTE 1988 25,000........... 456.7/353.5 5,000............ 30,000........... 27,500
TRACKING ACT
VIOLATIONS--JUDICIAL
PENALTY.
42 U.S.C. 7413(b)..... CLEAN AIR ACT/ 1977 25,000........... 456.7/181.8 40,000........... 65,000........... 27,500
VIOLATIONS/OWNERS &
OPS OF STATIONARY
AIR POLLUTION
SOURCES--JUDICIAL
PENALTIES.
42 U.S.C. 7413(d)(1).. CLEAN AIR ACT/ 1977 25,000/200,000... 456.7/181.8 40,000/300,000... 65,000/300,000... 27,500/220,000
STATIONARY AIR
POLLUTION SOURCES--
ADMINISTRATIVE
PENALTIES PER
VIOLATION AND
MAXIMUM.
42 U.S.C. 7413(d)(3).. CLEAN AIR ACT/MINOR 1990 5,000............ 456.7/389.1 1,000............ 6,000............ 5,500
VIOLATIONS/
STATIONARY AIR
POLLUTION SOURCES--
FIELD CITATIONS.
42 U.S.C. 7524(a)..... TAMPERING OR 1977 2,500............ 456.7/181.8 2,000............ 6,500............ 2,750
MANUFACTURE/SALE OF
DEFEAT DEVICES IN
VIOLATION OF
7522(a)(3)(A) OR
(a)(3)(B)--BY
PERSONS.
42 U.S.C. 7524(a)..... VIOLATION OF 7522 1990 25,000........... 456.7/389.1 5,000............ 30,000........... 27,500
(a)(3)(A) OR
(a)(3)(B)--BY
MANUFACTURERS OR
DEALERS; ALL
VIOLATIONS OF
7522(a) (1), (2),
(4), & (5) BY ANYONE.
42 U.S.C. 7524(c)..... ADMINISTRATIVE 1990 200,000.......... 456.7/389.1 30,000........... 230,000.......... 220,000
PENALTIES AS SET IN
7524(a) & 7545(d)
WITH A MAXIMUM
ADMINISTRATIVE
PENALTY.
42 U.S.C. 7545(d)..... VIOLATIONS OF FUELS 1990 25,000........... 456.7/389.1 5,000............ 30,000........... 27,500
REGULATIONS.
42 U.S.C. SUPERFUND AMEND. & 1986 25,000........... 456.7/389.1 10,000........... 35,000........... 27,500
9604(e)(5)(B). REAUTHORIZATION ACT/
NONCOMPLIANCE W/
REQUEST FOR INFO OR
ACCESS.
42 U.S.C. 9606(b)..... SUPERFUND/WORK NOT 1986 25,000........... 456.7/389.1 10,000........... 35,000........... 27,500
PERFORMED W/
IMMINENT,
SUBSTANTIAL
ENDANGERMENT.
[[Page 69363]]
42 U.S.C. 9609(a) & SUPERFUND/ADMIN. 1986 25,000........... 456.7/327.9 10,000........... 35,000........... 27,500
(b). PENALTY VIOLATIONS
UNDER 42 U.S.C.
SECT. 9603, 9608, OR
9622+.
42 U.S.C. 9609(b)..... SUPERFUND/ADMIN. 1986 75,000........... 456.7/327.9 30,000........... 105,000.......... 82,500
PENALTY VIOLATIONS--
SUBSEQUENT.
42 U.S.C. 9609(c)..... SUPERFUND/CIVIL 1986 25,000........... 456.7/327.9 10,000........... 35,000........... 27,500
JUDICIAL PENALTY/
VIOLATIONS OF SECT.
9603, 9608, 9622.
42 U.S.C. 9609(c)..... SUPERFUND/CIVIL 1986 75,000........... 456.7/327.9 30,000........... 105,000.......... 82,500
JUDICIAL PENALTY/
SUBSEQUENT
VIOLATIONS OF SECT.
9603, 9608, 9622.
42 U.S.C. 11045(a) & EMERGENCY PLANNING 1986 25,000........... 456.7/327.9 10,000........... 35,000........... 27,500
(b) (1), (2) & (3). AND COMMUNITY RIGHT-
T0-KNOW ACT CLASS I
& II ADMINISTRATIVE
AND CIVIL PENALTIES.
42 U.S.C. 11045(b) (2) EPCRA CLASS I & II 1986 75,000........... 456.7/327.9 30,000........... 105,000.......... 82,500
& (3). ADMINISTRATIVE AND
CIVIL PENALTIES--
SUBSEQUENT
VIOLATIONS.
42 U.S.C. 11045(c)(1). EPCRA CIVIL AND 1986 25,000........... 456.7/327.9 10,000........... 35,000........... 27,500
ADMINISTRATIVE
REPORTING PENALTIES
FOR VIOLATIONS OF
SECTIONS 11022 OR
11023.
42 U.S.C. 11045(c)(2). EPCRA CIVIL AND 1986 10,000........... 456.7/327.9 4,000............ 14,000........... 11,000
ADMINISTRATIVE
REPORTING PENALTIES
FOR VIOLATIONS OF
SECTIONS 11021 OR
11043(b).
42 U.S.C. 11045(d) (2) EPCRA--FRIVOLOUS 1986 25,000........... 456.7/327.9 10,000........... 35,000........... 27,500
& (3). TRADE SECRET CLAIMS--
CIVIL AND
ADMINISTRATIVE
PENALTIES.
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\1\ The ``inflation factor'' is the result of dividing the June 1995 CPI by the CPI for June of the year the penalty was last set or adjusted.
\2\ The penalties must be rounded after the inflation adjustment pursuant to Public Law 101-410 Sec. 5A.
Future adjustments also be made in accordance with the statutory
formula. Since today's inflation adjustments are being made in December
1996, the next scheduled adjustment will cover inflation from June 1996
to June of the year in which the next adjustment is made. The DCIA
requires that penalties be adjusted for inflation at least once every
four years.
Procedural Requirements
I. Administrative Procedure Act
In accordance with 5 U.S.C. 553(b), the Administrative Procedure
Act (``APA''), EPA generally publishes a rule in a proposed form and
solicits public comment on it before issuing the rule in final.
However, 5 U.S.C. 553(b)(3)(B), of the APA provides an exception to the
public comment requirement if the agency finds good cause to omit
advance notice and public participation. Good cause is shown when
public comment is ``impracticable, unnecessary, or contrary to the
public interest''.
Accordingly, EPA finds that providing an opportunity for public
comment prior to publication of this rule is not necessary because EPA
is carrying out a ministerial, non-discretionary duty specified in an
Act of Congress. This rule incorporates requirements specifically set
forth in the DCIA requiring EPA to issue a regulation implementing
inflation adjustments for all its civil penalty provisions by October
23, 1996. The formula for the amount of the penalty adjustment is
prescribed by Congress in the DCIA as well. Prior notice and
opportunity to comment are therefore unnecessary in this case because
these changes are not subject to the exercise of discretion by EPA.
These technical changes, required by law, do not substantively alter
the existing regulatory framework nor in any way affect the terms under
which civil penalties are assessed by EPA.
II. Small Business Regulatory Enforcement Fairness Act
Under 5 U.S.C. 801(a)(1)(A), as added by the Small Business
Regulatory Enforcement Fairness Act of 1996 (``SBREFA''), EPA submitted
a report containing this rule and other required information to the
U.S. Senate, the U.S. House of Representatives and the Comptroller
General of the United States prior to publication of the rule in
today's Federal Register. This rule is a not a ``major rule'' as
defined by 5 U.S.C. 804(a).
III. Executive Order 12866-Regulatory Review
Under Executive Order 12866, (58 FR 51735 (October 4, 1993)), the
Agency must determine whether the regulatory action is ``significant''
and therefore subject to Office of Management and Budget (``OMB'')
review and the requirements of the Executive Order. The Executive Order
defines ``significant regulatory action'' as one that is likely to
result in a rule that may:
(1) have an annual effect on the economy of $100 million or more
or adversely affect in a material way the economy, a sector of the
economy, productivity, competition, jobs, the environment, public
health or safety, or State, local, or tribal governments or
communities;
(2) create a serious inconsistency or otherwise interfere with
an action taken or planned by another agency;
(3) materially alter the budgetary impact of entitlements,
grants, user fees, or loan programs or the rights and obligations of
recipients thereof; or
(4) raise novel legal or policy issues arising out of legal
mandates, the President's priorities, or the principles set forth in
the Executive Order.
[[Page 69364]]
EPA has determined that this rule is not a ``significant regulatory
action'' under the terms of Executive Order 12866 and is therefore not
subject to OMB review.
IV. Unfunded Mandates Reform Act
Title II of the Unfunded Mandates Reform Act of 1995 (``UMRA''),
Public Law 104-4, establishes requirements for Federal agencies to
assess the effects of certain regulatory actions on State, local, and
tribal governments and the private sector. Under sections 201, 202 and
205 of the UMRA, EPA generally must assess effects and prepare a
written statement of economic and regulatory alternatives analyses for
proposed and final rules with Federal mandates, as defined by the UMRA,
that may result in expenditures to State, local, and tribal
governments, in the aggregate, or to the private sector, of $100
million or more in any one year.
UMRA Section 201 excepts agencies from assessing effects on State,
local or tribal governments or the private sector of rules that
incorporate requirements specifically set forth in law. Since this rule
incorporates requirements specifically set forth in the DCIA, EPA is
not required to assess its regulatory effects under Section 201.
Further, the section 202 and 205 requirements do not apply to today's
action because they apply only to rules for which a general notice of
proposed rulemaking is published, and such notice was not published for
this rule since it was not required based on the finding of good cause
contained in Section I above. Additionally, today's action contains no
Federal mandates for State, local or tribal governments or for the
private sector because it does not impose any enforceable duties on
these entities.
In addition, even if the assessment requirements of UMRA Title II
otherwise applied to this rule, the requirements of section 203 of UMRA
(requiring EPA to develop a small government agency plan before EPA
establishes any regulatory requirements that may significantly or
uniquely affect small governments, including tribal governments) would
not apply here. This rule contains no regulatory requirements that
might significantly or uniquely affect small governments because the
prescribed inflation adjustments do not change a small government's
regulatory obligations. Additionally, this rule will have a similar
effect on all individuals and entities subject to civil monetary
penalties.
V. Regulatory Flexibility Act
In accordance with 5 U.S.C. 603, the Agency has determined that the
regulation being issued today is not subject to the Regulatory
Flexibility Act (``RFA''), which generally requires an agency to
conduct a regulatory flexibility analysis of any significant impact the
rule will have on a substantial number of small entities. By its terms,
the RFA applies only to rules subject to notice-and-comment rulemaking
requirements under the APA or any other statute. Today's rule is not
subject to notice and comment requirements under the APA or any other
statute because it is exempted. As discussed in Section I, while the
rule is subject to the APA, the Agency has invoked the ``good cause''
exemption from the APA notice and comment requirements.
The Agency nonetheless has assessed the potential of this rule to
adversely impact small entities. This rule contains no regulatory
requirements that might significantly or uniquely affect small entities
because the prescribed inflation adjustments have similar effect on all
entities subject to civil monetary penalties and does not substantively
alter the existing regulatory framework.
VI. Paperwork Reduction Act
This action contains no reporting or record keeping requirements
for any non-federal persons or entities and consequently is not subject
to the Paperwork Reduction Act, 44 U.S.C. 3501 et seq.
List of Subjects
40 CFR Part 19
Environmental protection, Administrative practice and procedure,
Penalties.
40 CFR Part 27
Administrative practice and procedure, Assessments, False claims,
False statements, Penalties.
Dated: December 20, 1996.
Carol M. Browner,
Administrator.
For the reasons set out in the preamble, title 40, chapter I of
the Code of Federal Regulations is amended by adding a new part 19
as follows:
1. By adding a new part 19 to read as follows:
PART 19--ADJUSTMENT OF CIVIL MONETARY PENALTIES FOR INFLATION
Sec.
19.1 Applicability.
19.2 Effective Date.
19.3 [Reserved].
19.4 Penalty Adjustment and Table.
Authority: Pub. L. 101-410, 104 Stat. 890, 28 U.S.C. 2461 note;
Pub. L. 104-134, 110 Stat. 1321, 31 U.S.C. 3701 note.
PART 19--ADJUSTMENT OF CIVIL MONETARY PENALTIES FOR INFLATION
Sec. 19.1 Applicability.
This part applies to each statutory provision under the laws
administered by the Environmental Protection Agency concerning the
maximum civil monetary penalty which may be assessed in either civil
judicial or administrative proceedings.
Sec. 19.2 Effective Date.
The increased penalty amounts set forth in this rule apply to all
violations under the applicable statutes and regulations which occur
after January 30, 1997.
Sec. 19.3 [Reserved].
Sec. 19.4 Penalty Adjustment and Table.
The adjusted statutory penalty provisions and their maximum
applicable amounts are set out in Table 1. The last column in the table
provides the newly effective maximum penalty amounts.
Table 1 of Section 19.4.--Civil Monetary Penalty Inflation Adjustments
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U.S. Code citation Civil monetary penalty description New maximum penalty amount
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7 U.S.C. 136(1).................. FEDERAL INSECTICIDE, FUNGICIDE, & RODENTICIDE $5,500
ACT CIVIL PENALTY--GENERAL--COMMERCIAL
APPLICATORS, ETC.
7 U.S.C. 136(2).................. FEDERAL INSECTICIDE, FUNGICIDE, & RODENTICIDE 550/1,000
ACT CIVIL PENALTY--PRIVATE APPLICATORS--
FIRST AND SUBSEQUENT OFFENSES OR VIOLATIONS.
15 U.S.C. 2615................... TOXIC SUBSTANCES CONTROL ACT CIVIL PENALTY... 27,500
15 U.S.C. 2647(a)................ ASBESTOS HAZARD EMERGENCY RESPONSE ACT CIVIL 5,500
PENALTY.
31 U.S.C. 3802(a)(1)............. PROGRAM FRAUD CIVIL REMEDIES ACT/VIOLATION 5,500
INVOLVING FALSE CLAIM.
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31 U.S.C. 3802(a)(2)............. PROGRAM FRAUD CIVIL REMEDIES ACT/VIOLATION 5,500
INVOLVING FALSE STATEMENT.
33 U.S.C. 1319(d)................ CLEAN WATER ACT VIOLATION/CIVIL JUDICIAL 27,500
PENALTY.
33 U.S.C. 1319(g)(2)(A).......... CLEAN WATER ACT VIOLATION/ADMINISTRATIVE 11,000/27,500
PENALTY PER VIOLATION AND MAXIMUM.
33 U.S.C. 1319(g)(2)(B).......... CLEAN WATER ACT VIOLATION/ADMINISTRATIVE 11,000/137,500
PENALTY PER VIOLATION AND MAXIMUM.
33 U.S.C. 1321(b)(6)(B)(I)....... CLEAN WATER ACT VIOLATION/ADMIN PENALTY OF 11,000/27,500
SEC 311(B)(3)&(J) PER VIOLATION AND MAXIMUM.
33 U.S.C. 1321(b)(6)(B)(ii)...... CLEAN WATER ACT VIOLATION/ADMIN PENALTY OF 11,000/137,500
SEC 311(B)(3)&(J) PER VIOLATION AND MAXIMUM.
33 U.S.C. 1321(b)(7)(A).......... CLEAN WATER ACT VIOLATION/CIVIL JUDICIAL 11,000 or 1,100 per barrel or
PENALTY OF SEC 311(b)(3)--PER VIOLATION PER unit
DAY OR PER BARREL OR UNIT.
33 U.S.C. 1321(b)(7)(B).......... CLEAN WATER ACT VIOLATION/CIVIL JUDICIAL 27,500
PENALTY OF SEC 311(c)&(e)(1)(B).
33 U.S.C. 1321(b)(7)(C).......... CLEAN WATER ACT VIOLATION/CIVIL JUDICIAL 27,500
PENALTY OF SEC 311(j).
33 U.S.C. 1321(b)(7)(D).......... CLEAN WATER ACT VIOLATION/MINIMUM CIVIL 11,000 or 3,300
JUDICIAL PENALTY OF SEC 311(b)(3)--PER per barrel or unit
VIOLATION OR PER BARREL/UNIT.
33 U.S.C. 1414b(d)............... MARINE PROTECTION, RESEARCH & SANCTUARIES ACT 660
VIOL SEC 104b(d).
33 U.S.C. 1415(a)................ MARINE PROTECTION RESEARCH AND SANCTUARIES 55,000/137,500
ACT VIOLATIONS--FIRST AND SUBSEQUENT
VIOLATIONS.
42 U.S.C. 300g-3(b).............. SAFE DRINKING WATER ACT/CIVIL JUDICIAL 27,500
PENALTY OF SEC 1414(b).
42 U.S.C. 300g-3(c).............. SAFE DRINKING WATER ACT/CIVIL JUDICIAL 27,500
PENALTY OF SEC 1414(c).
42 U.S.C. 300g-3(g)(3)(A)........ SAFE DRINKING WATER ACT/CIVIL JUDICIAL 27,500
PENALTY OF SEC. 1414(g)(3)(a).
42 U.S.C. 300g-3(g)(3)(B)........ SAFE DRINKING WATER ACT/MAXIMUM 5,500
ADMINISTRATIVE PENALTY PER SEC.
1414(g)(3)(B).
42 U.S.C. 300h-2(b)(1)........... CIVIL JUDICIAL PENALTY/VIOLATIONS OF REQS-- 27,500
UNDERGROUND INJECTION CONTROL (UIC).
42 U.S.C. 300h-2(c)(1)........... CIVIL ADMIN PENALTY/VIOLATIONS OF UIC REQS-- 11,000 / 137,500
PER VIOLATION AND MAXIMUM.
42 U.S.C. 300h-2(c)(2)........... CIVIL ADMIN PENALTY/VIOLATIONS OF UIC REQS-- 11,000
PER VIOLATION AND MAXIMUM.
42 U.S.C. 300h-3(c)(1)........... VIOLATION/OPERATION OF NEW UNDERGROUND 5,500
INJECTION WELL.
42 U.S.C. 300h-3(c)(2)........... WILLFUL VIOLATION/OPERATION OF NEW 11,000
UNDERGROUND INJECTION WELL.
42 U.S.C. 300i-1(b).............. ATTEMPTING TO OR TAMPERING WITH PUBLIC WATER 22,000 / 55,000
SYSTEM/CIVIL JUDICIAL PENALTY.
42 U.S.C. 300j(e)(2)............. FAILURE TO COMPLY W/ORDER ISSUED UNDER SEC. 2,750
1441(c)(1).
42 U.S.C. 300j-4(c).............. REFUSAL TO COMPLY WITH REQS. OF SEC. 1445(a) 27,500
OR (b).
42 U.S.C. 300j-23(d)............. VIOLATIONS/SECTION 1463(b)--FIRST OFFENSE/ 5,500 / 55,000
REPEAT OFFENSE.
42 U.S.C. 6928(a)(3)............. RESOURCE CONSERVATION & RECOVERY ACT/ 27,500
VIOLATION SUBTITLE C ASSESSED PER ORDER.
42 U.S.C. 6928(c)................ RES. CONS. & REC. ACT/CONTINUED NONCOMPLIANCE 27,500
OF COMPLIANCE ORDER.
42 U.S.C. 6928(g)................ RESOURCE CONSERVATION & RECOVERY ACT/ 27,500
VIOLATION SUBTITLE C.
42 U.S.C. 6928(h)(2)............. RES. CONS. & REC. ACT/NONCOMPLIANCE OF 27,500
CORRECTIVE ACTION ORDER.
42 U.S.C. 6934(e)................ RES. CONS. & REC. ACT/NONCOMPLIANCE WITH 5,500
SECTION 3013 ORDER.
42 U.S.C. 6973(b)................ RES. CONS. & REC. ACT/VIOLATIONS OF 5,500
ADMINISTRATIVE ORDER.
42 U.S.C. 6991e(a)(3)............ RES. CONS. & REC. ACT/NONCOMPLIANCE WITH UST 27,500
ADMINISTRATIVE ORDER.
42 U.S.C. 6991e(d)(1)............ RES. CONS. & REC. ACT/FAILURE TO NOTIFY OR 11,000
SUBMIT FALSE INFO.
42 U.S.C. 6991e(d)(2)............ VIOLATIONS OF SPECIFIED UST REGULATORY 11,000
REQUIREMENTS.
42 U.S.C. 6992d(a)(2)............ NONCOMPLIANCE W/MEDICAL WASTE TRACKING ACT 27,500
ASSESSED THRU ADMIN ORDER.
42 U.S.C. 6992d(a)(4)............ NONCOMPLIANCE W/MEDICAL WASTE TRACKING ACT 27,500
ADMINISTRATIVE ORDER.
42 U.S.C. 6992d(d)............... VIOLATIONS OF MEDICAL WASTE TRACKING ACT-- 27,500
JUDICIAL PENALTIES.
42 U.S.C. 7413(b)................ CLEAN AIR ACT/VIOLATION/OWNERS & OPS OF 27,500
STATIONARY AIR POLLUTION SOURCES--JUDICIAL
PENALTIES.
42 U.S.C. 7413(d)(1)............. CLEAN AIR ACT/VIOLATION/OWNERS & OPS OF 27,500/220,000
STATIONARY AIR POLLUTION SOURCES--
ADMINISTRATIVE PENALTIES PER VIOLATION & MAX.
42 U.S.C. 7413(d)(3)............. CLEAN AIR ACT/MINOR VIOLATIONS/STATIONARY AIR 5,500
POLLUTION SOURCES--FIELD CITATIONS.
42 U.S.C. 7524(a)................ TAMPERING OR MANUFACTURE/SALE OF DEFEAT 2,750
DEVICES IN VIOLATION OF 7522(a)(3)(A) OR
(a)(3)(B)--BY PERSONS.
42 U.S.C. 7524(a)................ VIOLATION OF 7522(a)(3)(A) OR (a)(3)(B)--BY 27,500
MANUFACTURERS OR DEALERS; ALL VIOLATIONS OF
7522(a)(1), (2), (4), & (5) BY ANYONE.
42 U.S.C. 7524(c)................ ADMINISTRATIVE PENALTIES AS SET IN 7524(a) & 220,000
(7545(d) WITH A MAXIMUM ADMINISTRATIVE
PENALTY.
42 U.S.C. 7545(d)................ VIOLATIONS OF FUELS REGULATIONS.............. 27,500
42 U.S.C. 9604(e)(5)(B).......... SUPERFUND AMEND. & REAUTHORIZATION ACT/ 27,500
NONCOMPLIANCE W/REQUEST FOR INFO OR ACCESS.
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42 U.S.C. 9606(b)................ SUPERFUND/WORK NOT PERFORMED W/IMMINENT, 27,500
SUBSTANTIAL ENDANGERMENT.
42 U.S.C. 9609(a) & (b).......... SUPERFUND/ADMIN. PENALTY VIOLATIONS UNDER 42 27,500
U.S.C. SECT. 9603, 9608, OR 9622.
42 U.S.C. 9609(b)................ SUPERFUND/ADMIN. PENALTY VIOLATIONS-- 82,500
SUBSEQUENT.
42 U.S.C. 9609(c)................ SUPERFUND/CIVIL JUDICIAL PENALTY/VIOLATIONS 27,500
OF SECT. 9603, 9608, 9622.
42 U.S.C. 9609(c)................ SUPERFUND/CIVIL JUDICIAL PENALTY/SUBSEQUENT 82,500
VIOLATIONS OF SECT. 9603, 9608, 9622.
42 U.S.C. 11045(a) & (b)(1), (2) EMERGENCY PLANNING AND COMMUNITY RIGHT-TO- 27,500
& (3). KNOW ACT CLASS I & II ADMINISTRATIVE AND
CIVIL PENALTIES.
42 U.S.C. 11045(b) & (2)(3)...... EPCRA CLASS I & II ADMINISTRATIVE AND CIVIL 82,500
PENALTIES--SUBSEQUENT VIOLATIONS.
42 U.S.C. 11045(c)(1)............ EPCRA CIVIL AND ADMINISTRATIVE REPORTING 27,500
PENALTIES FOR VIOLATIONS OF SECTIONS 11022
OR 11023.
42 U.S.C. 11045(c)(2)............ EPCRA CIVIL AND ADMINISTRATIVE REPORTING 11,000
PENALTIES FOR VIOLATIONS OF SECTIONS 11021
OR 11043(b).
42 U.S.C. 11045(d) & (2)(3)...... EPCRA--FRIVOLOUS TRADE SECRET CLAIMS--CIVIL 27,500
AND ADMINISTRATIVE PENALTIES.
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PART 27--[AMENDED]
2. The authority citation for part 27 is revised to read as
follows:
Authority: 31 U.S.C. 3801-3812; Pub. L. 101-410, 104 Stat. 890,
28 U.S.C. 2461 note; Pub. L. 104-134, 110 Stat. 1321, 31 U.S.C. 3701
note.
4. Section 27.3 is amended by revising paragraphs (a)(1) and (b)(1)
to read as follows:
Sec. 27.3 Basis for civil penalties and assessments.
(a) Claims. (1) Except as provided in paragraph (c) of this
section, any person who makes a claim that the person knows or has
reason to know--
(i) Is false, fictitious, or fraudulent;
(ii) Includes or is supported by any written statement which
asserts a material fact which is false, fictitious, or fraudulent;
(iii) Includes, or is supported by, any written statement that--
(A) Omits a material fact;
(B) Is false, fictitious, or fraudulent as a result of such
omission; and
(C) Is a statement in which the person making such statement has a
duty to include such material fact; or
(iv) Is for payment for the provision of property or services which
the person has not provided as claimed, shall be subject, in addition
to any other remedy that may be prescribed by law, to a civil penalty
of not more than $5,500 1 for each such claim.
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\1\ As adjusted in accordance with the Federal Civil Penalties
Inflation Adjustment Act of 1990 (Pub. L. 101-410, 104 Stat. 890),
as amended by the Debt Collection Improvement Act of 1996 (Pub. L.
104-134, 110 Stat. 1321).
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(b) Statements. (1) Except as provided in paragraph (c) of this
section, any person who makes a written statement that--
(i) The person knows or has reason to know--
(A) Asserts a material fact which is false, factitious, or
fraudulent; or
(B) Is false, factitious, or fraudulent because it omits a material
fact that the person making the statement has a duty to include in such
statement; and
(ii) Contains, or is accompanied by, an express certification or
affirmation of the truthfulness and accuracy of the contents of the
statement, shall be subject, in addition to any other remedy that may
be prescribed by law, to a civil penalty of not more than $5,500 2
for each such statement.
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\2\ As adjusted in accordance with the Federal Civil Penalties
Inflation Adjustment Act of 1990 (Pub. L. 101-410, 104 Stat. 890),
as amended by the Debt Collection Improvement Act of 1996 (Pub. L.
104-134, 110 Stat. 1321).
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[FR Doc. 96-32972 Filed 12-30-96; 8:45 am]
BILLING CODE 6560-50-P