[Federal Register Volume 69, Number 30 (Friday, February 13, 2004)]
[Rules and Regulations]
[Pages 7121-7127]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-3231]


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ENVIRONMENTAL PROTECTION AGENCY

40 CFR Parts 19 and 27

[FRL-7623-5]


Civil Monetary Penalty Inflation Adjustment Rule

AGENCY: Environmental Protection Agency (EPA)

ACTION: Final rule.

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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. 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 regulatory text, which lists all of the EPA's civil monetary 
penalty authorities, appears near the end of this rule.

EFFECTIVE DATE: March 15, 2004.

FOR FURTHER INFORMATION CONTACT: David Abdalla, Office of Regulatory 
Enforcement, Special Litigation and Projects 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.
    This 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. This 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 this 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 this rule was calculated by comparing the CPI-U for 
June 1996 (156.7) with the CPI-U for June 2003 (183.7), resulting in an 
inflation adjustment of 17.23 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 17.23 percent (the 
inflation adjustment) and the resulting increase amount was rounded up 
or down according to the rounding requirements of the statute. Certain 
CMPs were adjusted for the first time and were increased by only 10 
percent without being subject to the rounding procedures as required by 
the DCIA. The table below shows the inflation-adjusted CMPs and 
includes only the CMPs as of the effective date of this rule. EPA 
intends to readjust these amounts in the year 2008 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 
subsequently received one adverse comment on the direct final rule from 
the General Accounting Office (``GAO''), which asserted 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

[[Page 7122]]

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.
    On July 3, 2003, EPA published a proposed rule that appeared in the 
Federal Register at (68 FR 39882), entitled ``Civil Monetary Penalty 
Inflation Adjustment Rule,'' as mandated by the Debt Collection 
Improvement Act of 1996, to adjust EPA's civil monetary penalties for 
inflation on a periodic basis. EPA subsequently published a technical 
correction in the Federal Register on August 4, 2003 at (68 FR 45788) 
to correct errors in the language of the proposal that mistakenly 
referred to the proposed effective date as July 3, 2003. EPA proposed 
to adopt GAO's interpretation of the DCIA rounding rules and, thus, 
proposed to round the CPI increases in the proposed rule based on the 
amount of the current penalty before adjustment.
    In accordance with the DCIA, EPA's proposed rule used the CPI-U 
from June 2002 to calculate the penalty adjustments. EPA also stated in 
the proposal that it 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. EPA received comments on the 
proposed rule from two commenters.
    One commenter supported the ``greatest legal increase possible'' to 
discourage polluters from treating the fines as just a ``cost of doing 
business.'' This final rule enables EPA to impose the maximum fines 
provided under the law, but is not intended to address when a maximum 
fine is appropriate. Instead, EPA makes that decision on a case-by-case 
basis, and considers numerous factors in determining the appropriate 
penalty in each case, including the gravity of the violation and the 
extent to which the violator gained an economic benefit as a result of 
violating the law.
    Another commenter argued that any ambiguity in the rounding 
requirement of the statute was due to a ``scrivener's error.'' This 
commenter supported an interpretation that penalties be rounded based 
on the amount of the increase resulting from the CPI adjustment, rather 
than the amount of the penalty. However, we determined after carefully 
considering GAO's comment and examining the practices of other 
agencies, that following the plain meaning of the statutory language is 
appropriate. As GAO's adverse comment states ``[n]othing in the plain 
language of the statute, nor the legislative history, permits an agency 
to use the size of the increase to determine the appropriate category 
of rounding.'' This commenter also noted that EPA had not published 
this second round of adjustments within four years of the initial 
adjustments as set forth in the statute. EPA's earlier direct final 
rulemaking was delayed due to EPA's need to analyze and reconcile the 
potential ambiguities arising from the statutory language including 
review of other agencies rulemakings under DCIA and discussions with 
other agencies regarding their approaches to interpreting the DCIA. 
Prior to GAO's involvement in the process, no federal agency had 
assumed a leadership in providing guidance on how the DCIA rounding 
rule should be implemented. Since the time that GAO became involved in 
the process, including the submission of its adverse comment on EPA's 
direct final rule, EPA has worked with GAO and other agencies to 
resolve the appropriate interpretation of the statutory language. 
Finally, the commenter also suggested that all of the penalties should 
be adjusted from their original base and not their adjusted base. The 
statute does not provide for a return to the original base penalty in 
calculating the adjustment but provides that the adjustment ``shall be 
determined by increasing the maximum civil penalty * * * by the cost-
of-living adjustment.''
    As discussed above, EPA's proposed rule used the CPI-U from June 
2002 because EPA proposed the rule in 2003. However, since EPA is 
issuing the final rule in 2004 and DCIA requires EPA to use the CPI-U 
for June of the calendar year preceding the adjustment, the penalty 
adjustments in this final rule use the CPI-U for June 2003 which result 
in an inflation adjustment of 17.23 percent rather than the 14.8 
percent adjustment in the proposed rule. Thus, to derive the CMPs for 
this final rule, the amount of each CMP was multiplied by 17.23 percent 
and the resulting increase was rounded according to the rounding rules 
of DCIA as EPA proposed and is adopting in this final rule. As a result 
of using the June 2003 CPI-U, some of the adjusted CMPs in this final 
rule are different than those in the July 2003 proposed rule. However, 
this difference results solely from the requirement in DCIA to use the 
June 2003 CPI-U and application of the same rounding rules that EPA 
proposed in July 2003.
    Under 5 U.S.C. 553(b)(B), EPA finds that there is good cause to 
promulgate this rule without providing for further public comment even 
though the rule uses a CPI-U value different than the CPI-U value used 
in the proposal. EPA already provided an opportunity for public comment 
on the rounding rules that EPA has used in this final rule and the DCIA 
requires that an agency use the CPI-U from June of the year prior to 
the adjustment. Therefore, further public comment is unnecessary 
because EPA has no discretion to do other than to use the June 2003 
CPI-U.

Statutory and Executive Order Review

Executive Order 12866: Regulatory Planning and Review

    Under Executive Order 12866, [58 FR 51,735 (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 this 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.

[[Page 7123]]

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 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 committed to the 
discretion of the federal judge or administrative law judge hearing a 
particular case.

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 a 
small government agency plan under section 203 of the UMRA. 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.
    This 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, this rule 
is not subject to the requirements of sections 202 and 205 of the UMRA. 
EPA has determined that this 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.'' This 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 this rule will not have substantial 
direct effects on tribal

[[Page 7124]]

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 E.O. 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 E.O. 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 E.O. 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, 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 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).

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

    This action does not 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. Sec. 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, False claims, 
False statements, Penalties.

    Dated: February 8, 2004.
Michael O. Leavitt,
Administrator, Environmental Protection Agency.

0
For the reasons set out in the preamble, title 40, chapter I of the 
Code of Federal Regulations is amended as follows:
0
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 part apply to all 
violations under the applicable statutes and regulations which occur 
after March 15, 2004.


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.

[[Page 7125]]



                     Table 1 of Section 19.4.--Civil Monetary Penalty Inflation Adjustments
----------------------------------------------------------------------------------------------------------------
                                                                  Penalties effective
          U.S. code citation            Civil monetary penalty    between January 30,      New maximum penalty
                                             description        1997 and March 15, 2004           amount
----------------------------------------------------------------------------------------------------------------
7 U.S.C. 136l.(a)(1).................  FEDERAL INSECTICIDE,     $5,500.................  $6,500
                                        FUNGICIDE, &
                                        RODENTICIDE ACT CIVIL
                                        PENALTY--GENERAL--
                                        COMMERCIAL
                                        APPLICATORS, ETC.
7 U.S.C. 136l.(a)(2).................  FEDERAL INSECTICIDE,     $550/$1000.............  $650/$1,200
                                        FUNGICIDE, &
                                        RODENTICIDE ACT CIVIL
                                        PENALTY--PRIVATE
                                        APPLICATORS--FIRST AND
                                        SUBSEQUENT OFFENSES OR
                                        VIOLATIONS.
15 U.S.C. 2615(a)....................  TOXIC SUBSTANCES         $27,500................  $32,500
                                        CONTROL ACT CIVIL
                                        PENALTY.
15 U.S.C. 2647(a)....................  ASBESTOS HAZARD          $5,500.................  $6,500
                                        EMERGENCY RESPONSE ACT
                                        CIVIL PENALTY.
15 U.S.C. 2647(g)....................  ASBESTOS HAZARD          $5000..................  $5,500
                                        EMERGENCY RESPONSE ACT-
                                        -CONTRACTOR VIOLATIONS.
31 U.S.C. 3802(a)(1).................  PROGRAM FRAUD CIVIL      $5,500.................  $6,500
                                        REMEDIES ACT/VIOLATION
                                        INVOLVING FALSE CLAIM.
31 U.S.C. 3802(a)(2).................  PROGRAM FRAUD CIVIL      $5,500.................  $6,500
                                        REMEDIES ACT/VIOLATION
                                        INVOLVING FALSE
                                        STATEMENT.
33 U.S.C. 1319(d)....................  CLEAN WATER ACT          $27,500................  $32,500
                                        VIOLATION/CIVIL
                                        JUDICIAL PENALTY.
33 U.S.C. 1319(g)(2)(A)..............  CLEAN WATER ACT          $11,000/$27,500........  $11,000/$32,500
                                        VIOLATION/
                                        ADMINISTRATIVE PENALTY
                                        PER VIOLATION AND
                                        MAXIMUM.
33 U.S.C. 1319(g)(2)(B)..............  CLEAN WATER ACT          $11,000/$137,500.......  $11,000/$157,500
                                        VIOLATION/
                                        ADMINISTRATIVE PENALTY
                                        PER VIOLATION AND
                                        MAXIMUM.
33 U.S.C. 1321(b)(6)(B)(I)...........  CLEAN WATER ACT          $11,000/$27,500........  $11,000/$32,500
                                        VIOLATION/ADMIN
                                        PENALTY OF SEC
                                        311(b)(3)&(j) PER
                                        VIOLATION AND MAXIMUM.
33 U.S.C. 1321(b)(6)(B)(ii)..........  CLEAN WATER ACT          $11,000/$137,500.......  $11,000/$157,500
                                        VIOLATION/ADMIN
                                        PENALTY OF SEC
                                        311(b)(3)&(j) PER
                                        VIOLATION AND MAXIMUM.
33 U.S.C. 1321(b)(7)(A)..............  CLEAN WATER ACT          $27,500 or $1,100 per    $32,500 or $1,100 per
                                        VIOLATION/CIVIL          barrel or unit.          barrell or unit
                                        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          $27,500................  $32,500
                                        VIOLATION/CIVIL
                                        JUDICIAL PENALTY OF
                                        SEC 311(c)&(e)(1)(B).
33 U.S.C. 1321(b)(7)(C)..............  CLEAN WATER ACT          $27,500................  $32,500
                                        VIOLATION/CIVIL
                                        JUDICIAL PENALTY OF
                                        SEC 311(j).
33 U.S.C. 1321(b)(7)(D)..............  CLEAN WATER ACT          $110,000 or $3,300 per   $130,000 or $4,300 per
                                        VIOLATION/MINIMUM        barrel or unit.          barrel or unit.
                                        CIVIL JUDICIAL PENALTY
                                        OF SEC 311(b)(3)--PER
                                        VIOLATION OR PER
                                        BARREL/UNIT.
33 U.S.C. 1414b(d)...................  MARINE PROTECTION,       $660...................  $760
                                        RESEARCH & SANCTUARIES
                                        ACT VIOL SEC 104b(d).
33 U.S.C. 1415(a)....................  MARINE PROTECTION        $55,000/$137,500.......  $65,000/$157,500
                                        RESEARCH AND
                                        SANCTUARIES ACT
                                        VIOLATIONS--FIRST &
                                        SUBSEQUENT VIOLATIONS.
42 U.S.C. 300g-3(b)..................  SAFE DRINKING WATER ACT/ $27,500................  $32,500
                                        CIVIL JUDICIAL PENALTY
                                        OF SEC 1414(b).
42 U.S.C. 300g-3(c)..................  SAFE DRINKING WATER ACT/ $27,500................  $32,500
                                        CIVIL JUDICIAL PENALTY
                                        OF SEC 1414(c).
42 U.S.C. 300g-3(g)(3)(A)............  SAFE DRINKING WATER ACT/ $27,500................  $32,500
                                        CIVIL JUDICIAL PENALTY
                                        OF SEC 1414(g)(3)(a).
42 U.S.C. 300g-3(g)(3)(B)............  SAFE DRINKING WATER ACT/ $5,000/$25,000.........  $6,000/$27,500
                                         MAXIMUM
                                        ADMINISTRATIVE
                                        PENALTIES PER SEC
                                        1414(g)(3)(B).
42 U.S.C. 300g-3(g)(3)(C)............  SAFE DRINKING WATER ACT/ $25,000................  $27,500
                                        THRESHOLD REQUIRING
                                        CIVIL JUDICIAL ACTION
                                        PER SEC 1414(g)(3)(C).
42 U.S.C. 300h-2(b)(1)...............  SDWA/CIVIL JUDICIAL      $27,500................  $32,500
                                        PENALTY/VIOLATIONS OF
                                        REQS--UNDERGROUND
                                        INJECTION CONTROL
                                        (UIC).
42 U.S.C. 300h-2(c)(1)...............  SDWA/CIVIL ADMIN         $11,000/$137,500.......  $11,000/$157,500
                                        PENALTY/VIOLATIONS OF
                                        UIC REQS--PER
                                        VIOLATION AND MAXIMUM.
42 U.S.C.300h-2(c)(2)................  SDWA/CIVIL ADMIN         $5,500/$137,500........  $6,500/$157,500
                                        PENALTY/VIOLATIONS OF
                                        UIC REQS--PER
                                        VIOLATION AND MAXIMUM.
42 U.S.C. 300h-3(c)(1)...............  SDWA/VIOLATION/          $5,500.................  $6,500
                                        OPERATION OF NEW
                                        UNDERGROUND INJECTION
                                        WELL.
42 U.S.C. 300h-3(c)(2)...............  SDWA/WILLFUL VIOLATION/  $11,000................  $11,000
                                        OPERATION OF NEW
                                        UNDERGROUND INJECTION
                                        WELL.
42 U.S.C. 300i(b)....................  SDWA/FAILURE TO COMPLY   $15,000................  $16,500
                                        WITH IMMINENT AND
                                        SUBSTANTIAL
                                        ENDANGERMENT ORDER.
42 U.S.C. 300i-1(c)..................  SDWA/ATTEMPTING TO OR    $22,000/$55,000........  $100,000/$1,000,000
                                        TAMPERING WITH PUBLIC
                                        WATER SYSTEM/CIVIL
                                        JUDICIAL PENALTY.
42 U.S.C. 300j(e)(2).................  SDWA/FAILURE TO COMPLY   $2,750.................  $2,750
                                        W/ORDER ISSUED UNDER
                                        SEC. 1441(c)(1).
42 U.S.C. 300j-4(c)..................  SDWA/REFUSAL TO COMPLY   $27,500................  $32,500
                                        WITH REQS. OF SEC.
                                        1445(a) OR (b).
42 U.S.C. 300j-6(b)(2)...............  SDWA/FAILURE TO COMPLY   $25,000................  $27,500
                                        WITH ADMIN. ORDER
                                        ISSUED TO FEDERAL
                                        FACILITY.
42 U.S.C. 300j-23(d).................  SDWA/VIOLATIONS/SECTION  $5,500/$55,000.........  $6,500/$65,000
                                        1463(b)--FIRST OFFENSE/
                                        REPEAT OFFENSE.

[[Page 7126]]

 
42 U.S.C. 4852d(b)(5)................  RESIDENTIAL LEAD-BASED   $11,000................  $11,000
                                        PAINT HAZARD REDUCTION
                                        ACT OF 1992, SEC 1018--
                                        CIVIL PENALTY.
42 U.S.C. 4910(a)(2).................  NOISE CONTROL ACT OF     $11,000................  $11,000
                                        1972--CIVIL PENALTY.
42 U.S.C. 6928(a)(3).................  RESOURCE CONSERVATION &  $27,500................  $32,500
                                        RECOVERY ACT/VIOLATION
                                        SUBTITLE C ASSESSED
                                        PER ORDER.
42 U.S.C. 6928(c)....................  RES. CONS. & REC. ACT/   $27,500................  $32,500
                                        CONTINUED
                                        NONCOMPLIANCE OF
                                        COMPLIANCE ORDER.
42 U.S.C. 6928(g)....................  RESOURCE CONSERVATION &  $27,500................  $32,500
                                        RECOVERY ACT/VIOLATION
                                        SUBTITLE C.
42 U.S.C. 6928(h)(2).................  RES. CONS. & REC. ACT/   $27,500................  $32,500
                                        NONCOMPLIANCE OF
                                        CORRECTIVE ACTION
                                        ORDER.
42 U.S.C. 6934(e)....................  RES. CONS. & REC. ACT/   $5,500.................  $6,500
                                        NONCOMPLIANCE WITH
                                        SECTION 3013 ORDER.
42 U.S.C. 6973(b)....................  RES. CONS. & REC. ACT/   $5,500.................  $6,500
                                        VIOLATIONS OF
                                        ADMINISTRATIVE ORDER.
42 U.S.C. 6991e(a)(3)................  RES. CONS. & REC. ACT/   $27,500................  $32,500
                                        NONCOMPLIANCE WITH UST
                                        ADMINISTRATIVE ORDER.
42 U.S.C. 6991e(d)(1)................  RES. CONS. & REC. ACT/   $11,000................  $11,000
                                        FAILURE TO NOTIFY OR
                                        FOR SUBMITTING FALSE
                                        INFORMATION.
42 U.S.C. 6991e(d)(2)................  RCRA/VIOLATIONS OF       $11,000................  $11,000
                                        SPECIFIED UST
                                        REGULATORY
                                        REQUIREMENTS.
42 U.S.C. 14304(a)(1)................  BATTERY ACT VIOLATIONS.  $10,000................  $11,000
42 U.S.C. 14304(g)...................  BATTERY ACT/VIOLATIONS   $10,000................  $11,000
                                        OF CORRECTIVE ACTION
                                        ORDERS.
42 U.S.C. 7413(b)....................  CLEAN AIR ACT/VIOLATION/ $27,500................  $32,500
                                        OWNERS & OPERATORS OF
                                        STATIONARY AIR
                                        POLLUTION SOURCES-
                                        JUDICIAL PENALTIES.
42 U.S.C. 7413 (d)(1)................  CLEAN AIR ACT/VIOLATION/ $27,500/$220,000.......  $32,500/$270,000
                                        OWNERS & OPERATORS OF
                                        STATIONARY AIR
                                        POLLUTION SOURCES-
                                        ADMINISTRATIVE
                                        PENALTIES PER
                                        VIOLATION & MAX.
42 U.S.C. 7413(d)(3).................  CLEAN AIR ACT/MINOR      $5,500.................  $6,500
                                        VIOLATIONS/STATIONARY
                                        AIR POLLUTION SOURCES--
                                        FIELD CITATIONS.
42 U.S.C. 7524(a)....................  TAMPERING OR             $2,750.................  $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             $27,500................  $32,500
                                        7522(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           $220,000...............  $270,000
                                        PENALTIES AS SET IN
                                        7524(a) & 7545(d) WITH
                                        A MAXIMUM
                                        ADMINISTRATIVE PENALTY.
42 U.S.C. 7545(d)....................  VIOLATIONS OF FUELS      $27,500................  $32,500
                                        REGULATIONS.
42 U.S.C. 9604(e)(5)(B)..............  SUPERFUND AMEND. &       $27,500................  $32,500
                                        REAUTHORIZATION ACT/
                                        NONCOMPLIANCE W/
                                        REQUEST FOR INFO OR
                                        ACCESS.
42 U.S.C. 9606(b)(1).................  SUPERFUND/WORK NOT       $27,500................  $32,500
                                        PERFORMED W/IMMINENT,
                                        SUBSTANTIAL
                                        ENDANGERMENT.
42 U.S.C. 9609(a)&(b)................  SUPERFUND/ADMIN.         $27,500................  $32,500
                                        PENALTY VIOLATIONS
                                        UNDER 42 U.S.C. SECT.
                                        9603, 9608, OR 9622.
42 U.S.C. 9609(b)....................  SUPERFUND/ADMIN.         $82,500................  $97,500
                                        PENALTY VIOLATIONS--
                                        SUBSEQUENT.
42 U.S.C. 9609(c)....................  SUPERFUND/CIVIL          $27,500................  $32,500
                                        JUDICIAL PENALTY/
                                        VIOLATIONS OF SECT.
                                        9603, 9608, 9622.
42 U.S.C. 9609(c)....................  SUPERFUND/CIVIL          $82,500................  $97,500
                                        JUDICIAL PENALTY/
                                        SUBSEQUENT VIOLATIONS
                                        OF SECT. 9603, 9608,
                                        9622.
42 U.S.C. 11045(a)&(b) (1),(2)&(3)...  EMERGENCY PLANNING AND   $27,500................  $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       $82,500................  $97,500
                                        ADMINISTRATIVE AND
                                        CIVIL PENALTIES--
                                        SUBSEQUENT VIOLATIONS.
42 U.S.C. 11045(c)(1)................  EPCRA CIVIL AND          $27,500................  $32,500
                                        ADMINISTRATIVE
                                        REPORTING PENALTIES
                                        FOR VIOLATIONS OF
                                        SECTIONS 11022 OR
                                        11023.
42 U.S.C. 11045(c)(2)................  EPCRA CIVIL AND          $11,000................  $11,000
                                        ADMINISTRATIVE
                                        REPORTING PENALTIES
                                        FOR VIOLATIONS OF
                                        SECTIONS 11021 OR
                                        11043(b).
42 U.S.C. 11045(d)(1)................  EPCRA--FRIVOLOUS TRADE   $27,500................  $32,500
                                        SECRET CLAIMS--CIVIL
                                        AND ADMINISTRATIVE
                                        PENALTIES.
----------------------------------------------------------------------------------------------------------------

PART 27--[AMENDED]

0
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.


0
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

[[Page 7127]]

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 [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 March 15, 2004.
---------------------------------------------------------------------------

    \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).
---------------------------------------------------------------------------

* * * * *
    (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).
---------------------------------------------------------------------------

* * * * *
[FR Doc. 04-3231 Filed 2-12-04; 8:45 am]
BILLING CODE 6560-50-P