[Federal Register Volume 68, Number 128 (Thursday, July 3, 2003)]
[Proposed Rules]
[Pages 39882-39887]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-16925]


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ENVIRONMENTAL PROTECTION AGENCY

40 CFR Parts 19 and 27

[FRL-7522-4]


Civil Monetary Penalty Inflation Adjustment Rule

AGENCY: Environmental Protection Agency (EPA).

ACTION: Proposed rule.

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SUMMARY: The Environmental Protection Agency is proposing to amend the 
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. The 
Agency is required to review its penalties at least once every four 
years and to adjust them as necessary for inflation according to a 
formula specified in the statute. A complete version of Table 1 from 
the proposed regulatory text, which lists all of the EPA's civil 
monetary penalty authorities, appears near the end of this document.

DATES: Written comments should be submitted on or before August 4, 
2003.

ADDRESSES: Mail written comments to the Docket Office, Enforcement & 
Compliance Docket and Information Center (2201AT), Docket Number EC-
2001-008, U.S. Environmental Protection Agency, EPA West, 1200 
Pennsylvania Avenue, NW., Room B133, Washington, DC 20460 (in 
triplicate, if possible). Please use a font size no smaller than 12. 
Written comments may be delivered in person to: U.S. Environmental 
Protection Agency, EPA West, 1301 Constitution Avenue, NW., Room B133, 
Washington, DC 20460. Comments may also be submitted electronically to 
[email protected] or faxed to (202) 566-1511. Attach electronic 
comments as an ASCii (text) file, and avoid the use of special 
characters and any form of encryption. Be sure to include the docket 
number, EC-2001-008 on your document. Public comments, if any, may be 
reviewed at the Enforcement and Compliance Docket Information Center, 
U.S. Environmental Protection Agency, EPA West, 1301 Constitution 
Avenue, NW., Room B133, Washington, DC 20460. Persons interested in 
reviewing this docket may do so by calling (202) 566-1512.

FOR FURTHER INFORMATION CONTACT: David Abdalla, Office of Regulatory 
Enforcement, Multimedia Enforcement Division, Mail Code 2248A, 1200 
Pennsylvania Avenue, NW., Washington, DC 20460, (202) 564-2413.

SUPPLEMENTARY INFORMATION:

Background

    Pursuant to section 4 of the Federal Civil Penalties Inflation 
Adjustment Act of 1990, 28 U.S.C. 2461 note, as amended by the Debt 
Collection Improvement Act of 1996, 31 U.S.C. 3701 note, (``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. The purpose of these adjustments is 
to maintain the deterrent effect of CMPs and to further the policy 
goals of the laws. The DCIA requires adjustments to be made at least 
once every four years following the initial adjustment. The EPA's 
initial adjustment to each CMP was published in the Federal Register on 
December 31, 1996, at 61 FR 69360 and became effective on January 30, 
1997.
    The proposed rule adjusts the amount for each type of CMP that EPA 
has jurisdiction to impose in accordance with these statutory 
requirements. It does so by revising the table contained in 40 CFR 
19.4. The table identifies the statutes that provide EPA with CMP 
authority and sets out the inflation-adjusted maximum penalty that EPA 
may impose pursuant to each statutory provision. The proposed rule also 
revises the effective date provisions of 40 CFR 19.2 to make the 
penalty amounts set forth in 40 CFR 19.4 apply to all applicable 
violations that occur after the effective date of the final rule.
    The DCIA requires that the adjustment reflect the percentage 
increase in the Consumer Price Index between June of the calendar year 
preceding the adjustment and June of the calendar year in which the 
amount was last set or adjusted. The DCIA defines the Consumer Price 
Index as the Consumer Price Index for all urban consumers published by 
the Department of Labor (``CPI-U''). As the initial adjustment was made 
and published on December 31, 1996, the inflation adjustment for the 
CMPs set forth in the proposed rule was calculated by comparing the 
CPI-U for June 1996 (156.7) with the CPI-U for June 2002 (179.9), 
resulting in an inflation adjustment of 14.8 percent. In addition, the 
DCIA's rounding rules require that an increase be rounded to the 
nearest multiple of: $10 in the case of penalties less than or equal to 
$100; $100 in the case of penalties greater than $100 but less than or 
equal to $1,000; $1,000 in the case of penalties greater than $1,000 
but less than or equal to $10,000; $5,000 in the case of penalties 
greater than $10,000 but less than or equal to $100,000; $10,000 in the 
case of penalties greater than $100,000 but less than or equal to 
$200,000; and $25,000 in the case of penalties greater than $200,000.
    The amount of each CMP was multiplied by 14.8 percent (the 
inflation adjustment) and the resulting increase amount was rounded up 
or down according to the rounding requirements of the statute. The 
table below shows the inflation-adjusted CMPs and includes only the 
CMPs as of the effective date of the final rule. EPA intends to 
readjust these amounts in the year 2007 and every four years 
thereafter, assuming there are no further changes to the mandate 
imposed by the DCIA.
    On June 18, 2002, the EPA published a direct final rule and a 
parallel proposed rule in the Federal Register (67 FR 41343). The 
direct final rule would have amended the Civil Monetary Penalty 
Inflation Adjustment Rule, as mandated by the DCIA, to adjust EPA's 
civil monetary penalties for inflation. EPA stated in the direct final 
rule that if we received adverse comment by July 18, 2002, EPA would 
publish a timely notice of withdrawal on or before the August 19, 2002 
effective date, and then address that comment in a subsequent final 
action based on the parallel proposal published at (67 FR 41363). EPA

[[Page 39883]]

subsequently received one adverse comment on the direct final rule from 
the Government Accounting Office (``GAO''), which stated that EPA had 
misinterpreted the rounding formula provided in the DCIA. Accordingly, 
EPA withdrew the direct final rule on August 19, 2002 (67 FR 53743).
    The formula for the amount of the penalty adjustment is prescribed 
by Congress in the DCIA and these changes are not subject to the 
exercise of discretion by EPA. However the rounding requirement of the 
statute is subject to different interpretations. Some agencies rounded 
the increase based on the amount of the current penalty before 
adjustment, while other agencies have rounded the increase based on the 
amount of the increase resulting from the CPI percentage calculation. 
Still other agencies first added the CPI increase to the amount of the 
current penalty and then rounded the total based on the amount of the 
increased penalty. The penalties in EPA's direct final rule were 
rounded based on the amount of the increase resulting from the CPI 
percentage increase because this approach appears to achieve the intent 
of the DCIA by steadily tracking the CPI over time. However, the GAO's 
adverse comment asserts that a strict reading of the DCIA requires 
rounding the CPI increase based on the amount of the current penalty 
before adjustment. EPA proposes to adopt GAO's interpretation of the 
DCIA rounding rules and round the CPI increases based on the amount of 
the current penalty before adjustment. EPA intends to use this formula 
for calculating future adjustments to the CMPs and will not provide 
additional comment periods at the time future adjustments are made.

Administrative Requirements

    Although EPA is publishing this rule with proposal, we view this as 
a noncontroversial amendment and anticipate no further adverse comment. 
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. These technical changes, required 
by law, do not substantively alter the existing regulatory framework or 
in any way affect the terms under which civil penalties are assessed by 
EPA. In addition, EPA has made minor conforming changes to the 
regulations to reflect the effective date of the new penalties 
prescribed by Congress. We will address all public comments in a 
subsequent final rule based on this proposed rule. We will not 
institute a second comment period on this action. Any parties 
interested in commenting must do so at this time.

Statutory and Executive Order Review

Executive Order 12866: Regulatory Planning and 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 OMB review and the requirements of the 
Executive Order. The 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.
    It has been determined that the proposed rule is not a 
``significant regulatory action'' under the terms of Executive Order 
12866, and is therefore not subject to review by the Office of 
Management and Budget.

Paperwork Reduction Act

    This action does not impose an information collection burden under 
the provisions of the Paperwork Reduction Act (44 U.S.C. 3501 et seq.). 
Burden means the total time, effort, financial resources expended by 
persons to generate, maintain, retain, or disclose or provide 
information to or for a Federal agency. This includes the time needed 
to review instructions; develop, acquire, install, and utilize 
technology and systems for purposes of collecting, validating, and 
verifying information, processing and maintaining information, and 
disclosing and providing information; adjust the existing ways to 
comply with any previously applicable instructions and requirements; 
train personnel to be able to respond to a collection of information; 
search data sources; complete and review the collection of information; 
and transmit or otherwise disclose the information.
    An Agency may not conduct or sponsor, and a person is not required 
to respond to a collection of information unless it displays a 
currently valid OMB control number. The OMB control numbers for EPA's 
regulations are listed in 40 CFR part 9 and 48 CFR chapter 15.

Regulatory Flexibility Act

    The Regulatory Flexibility Act, as amended by the Small Business 
Regulatory Enforcement Fairness Act of 1996 (SBREFA), 5 U.S.C. 601 et 
seq., generally requires an agency to prepare a regulatory flexibility 
analysis of any rule subject to notice and comment rulemaking 
requirements unless the agency certifies that the rule will not have a 
significant economic impact on a substantial number of small entities. 
Small entities include small businesses, small organizations, and small 
governmental jurisdictions. For purposes of assessing the impacts of 
today's rule on small entities, small entity is defined as (1) a small 
business as defined in the Small Business Administration regulations at 
13 CFR part 121; (2) a small governmental jurisdiction that is a 
government of a city, county, town school district or special district 
with a population of less than 50,000; and (3) a small organization 
that is any not-for-profit enterprise which is independently owned and 
operated and is not dominant in its field.
    After considering the economic impacts of today's rule on small 
entities, I certify that this action will not have a significant 
economic impact on a substantial number of small entities. EPA is 
required by the DCIA to adjust civil monetary penalties for inflation. 
The formula for the amount of the penalty adjustment is prescribed by 
Congress and is not subject to the exercise of discretion by EPA. EPA's 
action implements this statutory mandate and does not substantively 
alter the existing regulatory framework. This rule does not affect 
mechanisms already in place, including statutory provisions and EPA 
policies, that address the special circumstances of small entities when 
assessing penalties in enforcement actions.
    Although this proposed rule will not have a significant economic 
impact on a substantial number of small entities, EPA nonetheless has 
tried to reduce the impact of this rule on small entities. Small 
entities may be affected by this rule only if the federal government 
finds them in violation and seeks monetary penalties. EPA's media 
penalty policies generally take into account an entity's ``ability to 
pay'' in determining the amount of a penalty. Additionally, the final 
amount of any civil penalty assessed against a violator remains

[[Page 39884]]

committed to the discretion of the Federal Judge or Administrative Law 
Judge hearing a particular case. We continue to be interested in the 
potential impacts of the proposed rule on small entities and welcome 
comments on issues related to such impacts.

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 their regulatory actions on State, local, and tribal 
governments and the private sector. Under section 202 of the UMRA, EPA 
generally must prepare a written statement, including a cost-benefit 
analysis, for proposed and final rules with ``Federal mandates'' 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. Before promulgating an EPA rule for which a written statement 
is needed, section 205 of the UMRA generally requires EPA to identify 
and consider a reasonable number of regulatory alternatives and adopt 
the least costly, most cost-effective or least burdensome alternative 
that achieves the objectives of the rule. The provisions of section 205 
do not apply when they are inconsistent with applicable law. Moreover, 
section 205 allows EPA to adopt an alternative other than the least 
costly, most cost-effective or least burdensome alternative if the 
Administrator publishes with the final rule an explanation why that 
alternative was not adopted. Before EPA establishes any regulatory 
requirements that may significantly or uniquely affect small 
governments, including tribal governments, it must have developed under 
section 203 of the UMRA a small government agency plan. The plan must 
provide for notifying potentially affected small governments, enabling 
officials of affected small governments to have meaningful and timely 
input in the development of EPA regulatory proposals with significant 
Federal intergovernmental mandates, and informing, educating, and 
advising small governments on compliance with the regulatory 
requirements.
    The proposed rule contains no Federal mandates (under the 
regulatory provisions of Title II of the UMRA) for State, local, or 
tribal governments or the private sector because the rule implements 
mandate(s) specifically and explicitly set forth by the Congress 
without the exercise of any policy discretion by EPA. Thus, the 
proposed rule is not subject to the requirements of sections 202 and 
205 of the UMRA. EPA has determined that the proposed rule contains no 
regulatory requirements that might significantly or uniquely affect 
small governments.

Executive Order 13132: Federalism

    Executive Order 13132, entitled Federalism (64 FR 43255, August 10, 
1999), requires EPA to develop an accountable process to ensure 
``meaningful and timely input by State and local officials in the 
development of regulatory policies that have federalism implications.'' 
``Policies that have federalism implications'' is defined in the 
Executive Order to include regulations that have ``substantial direct 
effects on the States, on the relationship between the national 
government and the States, or on the distribution of power and 
responsibilities among the various levels of government.'' The proposed 
rule does not have federalism implications. It will not have 
substantial direct effects on the States, on the relationship between 
the national government and the States, or on the distribution of power 
and responsibilities among the various levels of government, as 
specified in Executive Order 13132. Thus, Executive Order 13132 does 
not apply to this rule.

Executive Order 13175: Consultation and Coordination With Indian Tribal 
Governments

    Executive Order 13175, entitled Consultation and Coordination with 
Indian Tribal Governments (65 FR 67249, November 9, 2000), requires EPA 
to develop an accountable process to ensure ``meaningful and timely 
input by tribal officials in the development of regulatory policies 
that have tribal implications.'' As the proposed rule will not have 
substantial direct effects on tribal governments, on the relationship 
between the Federal government and Indian tribes, or on the 
distribution of power and responsibilities between the Federal 
government and Indian tribes, Executive Order 13175 does not apply to 
this rule.

Executive Order 13045: Protection of Children From Environmental Health 
& Safety Risks

    Executive Order 13045, Protection of Children from Environmental 
Health Risks and Safety Risks (62 FR 19885, April 23, 1997), applies to 
any rule that: (1) Is determined to be ``economically significant'' as 
defined under Executive Order 12866, and (2) concerns an environmental 
health or safety risk that EPA has reason to believe may have a 
disproportionate effect on children. If the regulatory action meets 
both criteria, the Agency must evaluate the environmental health or 
safety effects of the planned rule on children, and explain why the 
planned regulation is preferable to other potentially effective and 
reasonably feasible alternatives considered by the Agency. EPA 
interprets Executive Order 13045 as applying only to those regulatory 
actions that are based on health or safety risks, such that the 
analysis required under section 5-501 of the Order has the potential to 
influence the regulation. This rule is not subject to Executive Order 
13045 because it does not establish an environmental standard intended 
to mitigate health or safety risks. Because this action does not 
involve technical standards, EPA did not consider the use of any 
voluntary consensus standards under the National Technology Transfer 
and Advancement Act of 1995 (15 U.S.C. 272 note).

Executive Order 13211: Actions That Significantly Affect Energy Supply, 
Distribution, or Use

    This rule is not subject to Executive Order 13211, ``Actions 
Concerning Regulations That Significantly Affect Energy Supply, 
Distribution, or Use'' (66 FR 28355 (May 22, 2001)) because it is not a 
significant regulatory action under Executive Order 12866.

National Technology Transfer Advancement Act

    Section 12(d) of the National Technology Transfer Advancement Act 
of 1995 (``NTTAA''), Public Law 104-113, section 12(d) (15 U.S.C. 272 
note) directs EPA to use voluntary consensus standards in its 
regulatory activities unless to do so would be inconsistent with 
applicable law or otherwise impractical. Voluntary consensus standards 
are technical standards (e.g., materials specifications, test methods, 
sampling procedures, and business practices) that are developed or 
adopted by voluntary consensus standards bodies. The NTTAA directs EPA 
to provide Congress, through OMB, explanations when the Agency decides 
not to use available and applicable voluntary consensus standards. This 
proposed rulemaking does not involve technical standards. Therefore, 
EPA is not considering the use of any voluntary consensus standards.
    Because this action does not involve technical standards, EPA did 
not consider the use of any voluntary consensus standards under the 
National Technology Transfer and Advancement Act of 1995 (15 U.S.C. 272 
note).

[[Page 39885]]

Executive Order 12898: Federal Actions To Address Environmental Justice 
in Minority Populations and Low-Income Populations

    Nor does it require any special considerations under Executive 
Order 12898, entitled Federal Actions to Address Environmental Justice 
in Minority Populations and Low-Income Populations (59 FR 7629, 
February 16, 1994).

Congressional Review Act

    The Congressional Review Act, 5 U.S.C. 801 et seq., as added by the 
Small Business Regulatory Enforcement Fairness Act of 1996, generally 
provides that before a rule may take effect, the agency promulgating 
the rule must submit a rule report, which includes a copy of the rule, 
to each House of the Congress and to the Comptroller General of the 
United States. EPA will submit 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 the Federal Register. A major rule cannot 
take effect until 60 days after it is published in the Federal 
Register. This action is not a ``major rule'' as defined by 5 U.S.C. 
804(2).

List of Subjects

40 CFR Part 19

    Environmental protection, Administrative practice and procedure, 
Penalties.

40 CFR Part 27

    Administrative practice and procedure, Assessments, Claims, Fraud, 
Penalties.

    Dated: June 27, 2003.
Christine Todd Whitman,
Administrator.

    For the reasons set out in the preamble, title 40, chapter I of the 
Code of Federal Regulations is amended as follows:
    1. Revise 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, 28 U.S.C. 2461 note; Pub. L. 104-
134, 31 U.S.C. 3701 note.


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 July 3, 2003. [The regulatory penalty provisions of this part 
effective on January 30, 1997 remain in effect for any violation of law 
occurring between January 30, 1997 and July 3, 2003.


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 Sec.   19.4.--Civil Monetary Penalty Inflation Adjustments
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                  Civil monetary penalty
                     U.S. Code citation                                description                      New maximum penalty amount in dollars
--------------------------------------------------------------------------------------------------------------------------------------------------------
7 U.S.C. 1361.(a)(1)........................................  FEDERAL INSECTICIDE,           $6,500
                                                               FUNGICIDE, & RODENTICIDE ACT
                                                               CIVIL PENALTY--GENERAL--
                                                               COMMERCIAL APPLICATORS, ETC..
7 U.S.C. 1361.(a)(2)........................................  FEDERAL INSECTICIDE,           $650/$1,100
                                                               FUNGICIDE, & RODENTICIDE ACT
                                                               CIVIL PENALTY--PRIVATE
                                                               APPLICATORS--FIRST AND
                                                               SUBSEQUENT OFFENSES OR
                                                               VIOLATIONS.
15 U.S.C. 2615(a)...........................................  TOXIC SUBSTANCES CONTROL ACT   $32,500
                                                               CIVIL PENALTY.
15 U.S.C. 2647(a)...........................................  ASBESTOS HAZARD EMERGENCY      $6,500
                                                               RESPONSE ACT CIVIL PENALTY.
31 U.S.C. 3802(a)(1)........................................  PROGRAM FRAUD CIVIL REMEDIES   $6,500
                                                               ACT/VIOLATION INVOLVING
                                                               FALSE CLAIM.
31 U.S.C. 3802(a)(2)........................................  PROGRAM FRAUD CIVIL REMEDIES   $6,500
                                                               ACT/VIOLATION INVOLVING
                                                               FALSE STATEMENT.
33 U.S.C. 1319(d)...........................................  CLEAN WATER ACT VIOLATION/     $32,500
                                                               CIVIL JUDICIAL PENALTY.
33 U.S.C. 1319(g)(2)(A).....................................  CLEAN WATER ACT VIOLATION/     $11,000/$32,500
                                                               ADMINISTRATIVE PENALTY PER
                                                               VIOLATION AND MAXIMUM.
33 U.S.C. 1319(g)(2)(B).....................................  CLEAN WATER ACT VIOLATION/     $11,000/$157,500
                                                               ADMINISTRATIVE PENALTY PER
                                                               VIOLATION and MAXIMUM.
33 U.S.C. 1321(b)(6)(B)(I)..................................  CLEAN WATER ACT VIOLATION/     $11,000/$32,500
                                                               ADMIN PENALTY OF SEC
                                                               311(b)(3)&(j) PER VIOLATION
                                                               AND MAXIMUM.
33 U.S.C. 1321(b)(6)(B)(ii).................................  CLEAN WATER ACT VIOLATION/     $11,000/$157,500
                                                               ADMIN PENALTY OF SEC
                                                               311(b)(3)&(j) PER VIOLATION
                                                               AND MAXIMUM.
33 U.S.C. 1321(b)(7)(A).....................................  CLEAN WATER ACT VIOLATION/     $32,500 or $1,100 per barrel or unit.
                                                               CIVIL JUDICIAL PENALTY OF
                                                               SEC 311(b)(3)--PER VIOLATION
                                                               PER DAY OR PER BARREL OR
                                                               UNIT.
33 U.S.C. 1321(b)(7)(B).....................................  CLEAN WATER ACT VIOLATION/     $32,500
                                                               CIVIL JUDICIAL PENALTY OF
                                                               SEC 311(c)&(e)(1)(B).
33 U.S.C. 1321(b)(7)(C).....................................  CLEAN WATER ACT VIOLATION/     $32,500
                                                               CIVIL JUDICIAL PENALTY OF
                                                               SEC 311(j).

[[Page 39886]]

 
33 U.S.C. 1321(b)(7)(D).....................................  CLEAN WATER ACT VIOLATION/     $120,000 or $3,300 per barrel or unit.
                                                               MINIMUM CIVIL JUDICIAL
                                                               PENALTY OF SEC 311(b)(3)--
                                                               PER VIOLATION OR PER BARREL/
                                                               UNIT.
33 U.S.C. 1414b(d)..........................................  MARINE PROTECTION, RESEARCH &  $760
                                                               SANCTUARIES ACT VIOL SEC
                                                               104b(d).
33 U.S.C. 1415(a)...........................................  MARINE PROTECTION RESEARCH     $60,000/$157,500
                                                               AND SANCTUARIES ACT
                                                               VIOLATIONS--FIRST &
                                                               SUBSEQUENT VIOLATIONS.
42 U.S.C. 300g-3(b).........................................  SAFE DRINKING WATER ACT/CIVIL  $32,500
                                                               JUDICIAL PENALTY OF SEC
                                                               1414(b).
42 U.S.C. 300g-3(c).........................................  SAFE DRINKING WATER ACT/CIVIL  $32,500
                                                               JUDICIAL PENALTY OF SEC
                                                               1414(c).
42 U.S.C. 300g-3(g)(3)(A)...................................  SAFE DRINKING WATER ACT/CIVIL  $32,500
                                                               JUDICIAL PENALTY OF SEC
                                                               1414(g)(3)(a).
42 U.S.C. 300g-3(g)(3)(B)...................................  SAFE DRINKING WATER ACT/       $6,000/$30,000
                                                               MAXIMUM ADMINISTRATIVE
                                                               PENALTIES PER SEC
                                                               1414(g)(3)(B).
42 U.S.C. 300g-3(g)(3)(C)...................................  SAFE DRINKING WATER ACT/       $30,000
                                                               THRESHOLD REQUIRING CIVIL
                                                               JUDICIAL ACTION PER SEC
                                                               1414(g)(3)(C).
42 U.S.C. 300h-2(b)(1)......................................  SDWA/CIVIL JUDICIAL PENALTY/   $32,500
                                                               VIOLATIONS OF REQS--
                                                               UNDERGROUND INJECTION
                                                               CONTROL (UIC).
42 U.S.C. 300h-2(c)(1)......................................  SDWA/CIVIL ADMIN PENALTY/      $11,000/$157,500
                                                               VIOLATIONS OF UIC REQS--PER
                                                               VIOLATION AND MAXIMUM.
42 U.S.C.300h-2(c)(2).......................................  SDWA/CIVIL ADMIN PENALTY/      $6,500/$157,500
                                                               VIOLATIONS OF UIC REQS--PER
                                                               VIOLATION AND MAXIMUM.
42 U.S.C. 300h-3(c)(1)......................................  SDWA/VIOLATION/OPERATION OF    $6,500
                                                               NEW UNDERGROUND INJECTION
                                                               WELL.
42 U.S.C. 300h-3(c)(2)......................................  SDWA/WILLFUL VIOLATION/        $11,000
                                                               OPERATION OF NEW UNDERGROUND
                                                               INJECTION WELL.
42 U.S.C. 300i(b)...........................................  SDWA/FAILURE TO COMPLY WITH    $15,000
                                                               IMMINENT AND SUBSTANTIAL
                                                               ENDANGERMENT ORDER.
42 U.S.C. 300i-1(c).........................................  SDWA/ATTEMPTING TO OR          $100,000/$1,000,000
                                                               TAMPERING WITH PUBLIC WATER
                                                               SYSTEM/CIVIL JUDICIAL
                                                               PENALTY.
42 U.S.C. 300j(e)(2)........................................  SDWA/FAILURE TO COMPLY W/      $2,750
                                                               ORDER ISSUED UNDER SEC.
                                                               1441(c)(1).
42 U.S.C. 300j-4(c).........................................  SDWA/REFUSAL TO COMPLY WITH    $32,500
                                                               REQS. OF SEC. 1445(a) OR (b).
42 U.S.C. 300j-6(b)(2)......................................  SDWA/FAILURE TO COMPLY WITH    $30,000
                                                               ADMIN. ORDER ISSUED TO
                                                               FEDERAL FACILITY.
42 U.S.C. 300j-23(d)........................................  SDWA/VIOLATIONS/SECTION        $6,500/$60,000
                                                               1463(b)--FIRST OFFENSE/
                                                               REPEAT OFFENSE.
42 U.S.C. 4852d(b)(5).......................................  RESIDENTIAL LEAD-BASED PAINT   $11,000
                                                               HAZARD REDUCTION ACT OF
                                                               1992, SEC 1018--CIVIL
                                                               PENALTY.
42 U.S.C. 4910(a)(2)........................................  NOISE CONTROL ACT OF 1972--    $11,000
                                                               CIVIL PENALTY.
42 U.S.C. 6928(a)(3)........................................  RESOURCE CONSERVATION &        $32,500
                                                               RECOVERY ACT/VIOLATION
                                                               SUBTITLE C ASSESSED PER
                                                               ORDER.
42 U.S.C. 6928(c)...........................................  RES. CONS. & REC. ACT/         $32,500
                                                               CONTINUED NONCOMPLIANCE OF
                                                               COMPLIANCE ORDER.
42 U.S.C. 6928(g)...........................................  RESOURCE CONSERVATION &        $32,500
                                                               RECOVERY ACT/VIOLATION
                                                               SUBTITLE C.
42 U.S.C. 6928(h)(2)........................................  RES. CONS. & REC. ACT/         $32,500
                                                               NONCOMPLIANCE OF CORRECTIVE
                                                               ACTION ORDER.
42 U.S.C. 6934(e)...........................................  RES. CONS. & REC. ACT/         $6,500
                                                               NONCOMPLIANCE WITH SECTION
                                                               3013 ORDER.
42 U.S.C. 6973(b)...........................................  RES. CONS. & REC. ACT/         $6,500
                                                               VIOLATIONS OF ADMINISTRATIVE
                                                               ORDER.
42 U.S.C. 6991e(a)(3).......................................  RES. CONS. & REC. ACT/         $32,500
                                                               NONCOMPLIANCE WITH UST
                                                               ADMINISTRATIVE ORDER.
42 U.S.C. 6991e(d)(1).......................................  RES. CONS. & REC. ACT/FAILURE  $11,000
                                                               TO NOTIFY OR FOR SUBMITTING
                                                               FALSE INFORMATION.
42 U.S.C. 6991e(d)(2).......................................  RCRA/VIOLATIONS OF SPECIFIED   $11,000
                                                               UST REGULATORY REQUIREMENTS.
42 U.S.C. 14304(a)(1).......................................  BATTERY ACT VIOLATIONS.......  $11,000
42 U.S.C. 14304(g)..........................................  BATTERY ACT/VIOLATIONS OF      $11,000
                                                               CORRECTIVE ACTION ORDERS.
42 U.S.C. 7413(b)...........................................  CLEAN AIR ACT/VIOLATION/       $32,500
                                                               OWNERS & OPERATORS OF
                                                               STATIONARY AIR POLLUTION
                                                               SOURCES--JUDICIAL PENALTIES.

[[Page 39887]]

 
42 U.S.C. 7413(d)(1)........................................  CLEAN AIR ACT/VIOLATION/       $32,500/$245,000
                                                               OWNERS & OPERATORS OF
                                                               STATIONARY AIR POLLUTION
                                                               SOURCES--ADMINISTRATIVE
                                                               PENALTIES PER VIOLATION &
                                                               MAX.
42 U.S.C. 7413(d)(3)........................................  CLEAN AIR ACT/MINOR            $6,500
                                                               VIOLATIONS/STATIONARY AIR
                                                               POLLUTION SOURCES--FIELD
                                                               CITATIONS.
42 U.S.C. 7524(a)...........................................  TAMPERING OR MANUFACTURE/SALE  $2,750
                                                               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(a)(3)(A) OR  $32,500
                                                               (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 PENALTIES AS    $245,000
                                                               SET IN 7524(a) & 7545(d)
                                                               WITH A MAXIMUM
                                                               ADMINISTRATIVE PENALTY.
42 U.S.C. 7545(d)...........................................  VIOLATIONS OF FUELS            $32,500
                                                               REGULATIONS.
42 U.S.C. 9604(e)(5)(B).....................................  SUPERFUND AMEND. &             $32,500
                                                               REAUTHORIZATION ACT/
                                                               NONCOMPLIANCE W/REQUEST FOR
                                                               INFO OR ACCESS.
42 U.S.C. 9606(b)(1)........................................  SUPERFUND/WORK NOT PERFORMED   $32,500
                                                               W/IMMINENT, SUBSTANTIAL
                                                               ENDANGERMENT.
42 U.S.C. 9609(a)&(b).......................................  SUPERFUND/ADMIN. PENALTY       $32,500
                                                               VIOLATIONS UNDER 42 U.S.C.
                                                               SECT. 9603, 9608, OR 9622.
42 U.S.C. 9609(b)...........................................  SUPERFUND/ADMIN. PENALTY       $92,500
                                                               VIOLATIONS--SUBSEQUENT.
42 U.S.C. 9609(c)...........................................  SUPERFUND/CIVIL JUDICIAL       $32,500
                                                               PENALTY/VIOLATIONS OF SECT.
                                                               9603, 9608, 9622.
42 U.S.C. 9609(c)...........................................  SUPERFUND/CIVIL JUDICIAL       $92,500
                                                               PENALTY/SUBSEQUENT
                                                               VIOLATIONS OF SECT. 9603,
                                                               9608, 9622.
42 U.S.C. 11045(a)&(b)(1), (2) & (3)........................  EMERGENCY PLANNING AND         $32,500
                                                               COMMUNITY RIGHT-TO-KNOW ACT
                                                               CLASS I & II ADMINISTRATIVE
                                                               AND CIVIL PENALTIES.
42 U.S.C. 11045(b)(2) & (3).................................  EPCRA CLASS I & II             $92,500
                                                               ADMINISTRATIVE AND CIVIL
                                                               PENALTIES--SUBSEQUENT
                                                               VIOLATIONS.
42 U.S.C. 11045(c)(1).......................................  EPCRA CIVIL AND                $32,500
                                                               ADMINISTRATIVE REPORTING
                                                               PENALTIES FOR VIOLATIONS OF
                                                               SECTIONS 11022 OR 11023.
42 U.S.C. 11045(c)(2).......................................  EPCRA CIVIL AND                $11,000
                                                               ADMINISTRATIVE REPORTING
                                                               PENALTIES FOR VIOLATIONS OF
                                                               SECTIONS 11021 OR 11043(b).
42 U.S.C. 11045(d)(1).......................................  EPCRA--FRIVOLOUS TRADE SECRET  $32,500 per barrel or unit.
                                                               CLAIMS--CIVIL AND
                                                               ADMINISTRATIVE PENALTIES.
--------------------------------------------------------------------------------------------------------------------------------------------------------

PART 27--[AMENDED]

    2. The authority citation for Part 27 continues 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.

    3. Section 27.3 is amended by revising paragraphs (a)(1)(iv) and 
(b)(1)(ii) to read as follows:


Sec.  27.3  Basis for civil penalties and assessments.

    (a) * * *
    (1) * * *
    (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 $6,500 \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). [The regulatory penalty provisions of this 
part effective on January 30, 1997 remain in effect for any 
violation of law occurring between January 30, 1997 and July 3, 
2003.
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* * * * *
    (b) * * *
    (1) * * *
    (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 $6,500 \2\ 
for each such statement.
---------------------------------------------------------------------------

    \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. 03-16925 Filed 7-2-03; 8:45 am]
BILLING CODE 6560-50-P