State enforcement; compliance orders
Civil actions
The Administrator is authorized to commence a civil action for appropriate relief, including a permanent or temporary injunction, for any violation for which he is authorized to issue a compliance order under subsection (a) of this section. Any action under this subsection may be brought in the district court of the United States for the district in which the defendant is located or resides or is doing business, and such court shall have jurisdiction to restrain such violation and to require compliance. Notice of the commencement of such action shall be given immediately to the appropriate State.
Criminal penalties
Negligent violations
Knowing violations
Knowing endangerment
General rule
section 1342 of this titlesection 1344 of this titleAny person who knowingly violates section 1311, 1312, 1313, 1316, 1317, 1318, 1321(b)(3), 1322(p), 1328, or 1345 of this title, or any permit condition or limitation implementing any of such sections in a permit issued under by the Administrator or by a State, or in a permit issued under by the Secretary of the Army or by a State, and who knows at that time that he thereby places another person in imminent danger of death or serious bodily injury, shall, upon conviction, be subject to a fine of not more than $250,000 or imprisonment of not more than 15 years, or both. A person which is an organization shall, upon conviction of violating this subparagraph, be subject to a fine of not more than $1,000,000. If a conviction of a person is for a violation committed after a first conviction of such person under this paragraph, the maximum punishment shall be doubled with respect to both fine and imprisonment.
Additional provisions
False statements
Any person who knowingly makes any false material statement, representation, or certification in any application, record, report, plan, or other document filed or required to be maintained under this chapter or who knowingly falsifies, tampers with, or renders inaccurate any monitoring device or method required to be maintained under this chapter, shall upon conviction, be punished by a fine of not more than $10,000, or by imprisonment for not more than 2 years, or by both. If a conviction of a person is for a violation committed after a first conviction of such person under this paragraph, punishment shall be by a fine of not more than $20,000 per day of violation, or by imprisonment of not more than 4 years, or by both.
Treatment of single operational upset
For purposes of this subsection, a single operational upset which leads to simultaneous violations of more than one pollutant parameter shall be treated as a single violation.
Responsible corporate officer as “person”
section 1362(5) of this titleFor the purpose of this subsection, the term “person” means, in addition to the definition contained in , any responsible corporate officer.
Hazardous substance defined
section 1321(b)(2)(A) of this titlesection 9602 of title 4242 U.S.C. 692142 U.S.C. 6901section 1317(a) of this titlesection 2606 of title 15For the purpose of this subsection, the term “hazardous substance” means (A) any substance designated pursuant to , (B) any element, compound, mixture, solution, or substance designated pursuant to , (C) any hazardous waste having the characteristics identified under or listed pursuant to section 3001 of the Solid Waste Disposal Act [] (but not including any waste the regulation of which under the Solid Waste Disposal Act [ et seq.] has been suspended by Act of Congress), (D) any toxic pollutant listed under , and (E) any imminently hazardous chemical substance or mixture with respect to which the Administrator has taken action pursuant to .
Civil penalties; factors considered in determining amount
1
State liability for judgments and expenses
Whenever a municipality is a party to a civil action brought by the United States under this section, the State in which such municipality is located shall be joined as a party. Such State shall be liable for payment of any judgment, or any expenses incurred as a result of complying with any judgment, entered against the municipality in such action to the extent that the laws of that State prevent the municipality from raising revenues needed to comply with such judgment.
Wrongful introduction of pollutant into treatment works
section 1317 of this titleWhenever, on the basis of any information available to him, the Administrator finds that an owner or operator of any source is introducing a pollutant into a treatment works in violation of subsection (d) of , the Administrator may notify the owner or operator of such treatment works and the State of such violation. If the owner or operator of the treatment works does not commence appropriate enforcement action within 30 days of the date of such notification, the Administrator may commence a civil action for appropriate relief, including but not limited to, a permanent or temporary injunction, against the owner or operator of such treatment works. In any such civil action the Administrator shall join the owner or operator of such source as a party to the action. Such action shall be brought in the district court of the United States in the district in which the treatment works is located. Such court shall have jurisdiction to restrain such violation and to require the owner or operator of the treatment works and the owner or operator of the source to take such action as may be necessary to come into compliance with this chapter. Notice of commencement of any such action shall be given to the State. Nothing in this subsection shall be construed to limit or prohibit any other authority the Administrator may have under this chapter.
Administrative penalties
Violations
Classes of penalties
Class I
The amount of a class I civil penalty under paragraph (1) may not exceed $10,000 per violation, except that the maximum amount of any class I civil penalty under this subparagraph shall not exceed $25,000. Before issuing an order assessing a civil penalty under this subparagraph, the Administrator or the Secretary, as the case may be, shall give to the person to be assessed such penalty written notice of the Administrator’s or Secretary’s proposal to issue such order and the opportunity to request, within 30 days of the date the notice is received by such person, a hearing on the proposed order. Such hearing shall not be subject to section 554 or 556 of title 5, but shall provide a reasonable opportunity to be heard and to present evidence.
Class II
section 554 of title 5The amount of a class II civil penalty under paragraph (1) may not exceed $10,000 per day for each day during which the violation continues; except that the maximum amount of any class II civil penalty under this subparagraph shall not exceed $125,000. Except as otherwise provided in this subsection, a class II civil penalty shall be assessed and collected in the same manner, and subject to the same provisions, as in the case of civil penalties assessed and collected after notice and opportunity for a hearing on the record in accordance with . The Administrator and the Secretary may issue rules for discovery procedures for hearings under this subparagraph.
Determining amount
In determining the amount of any penalty assessed under this subsection, the Administrator or the Secretary, as the case may be, shall take into account the nature, circumstances, extent and gravity of the violation, or violations, and, with respect to the violator, ability to pay, any prior history of such violations, the degree of culpability, economic benefit or savings (if any) resulting from the violation, and such other matters as justice may require. For purposes of this subsection, a single operational upset which leads to simultaneous violations of more than one pollutant parameter shall be treated as a single violation.
Rights of interested persons
Public notice
Before issuing an order assessing a civil penalty under this subsection the Administrator or Secretary, as the case may be, shall provide public notice of and reasonable opportunity to comment on the proposed issuance of such order.
Presentation of evidence
Any person who comments on a proposed assessment of a penalty under this subsection shall be given notice of any hearing held under this subsection and of the order assessing such penalty. In any hearing held under this subsection, such person shall have a reasonable opportunity to be heard and to present evidence.
Rights of interested persons to a hearing
If no hearing is held under paragraph (2) before issuance of an order assessing a penalty under this subsection, any person who commented on the proposed assessment may petition, within 30 days after the issuance of such order, the Administrator or Secretary, as the case may be, to set aside such order and to provide a hearing on the penalty. If the evidence presented by the petitioner in support of the petition is material and was not considered in the issuance of the order, the Administrator or Secretary shall immediately set aside such order and provide a hearing in accordance with paragraph (2)(A) in the case of a class I civil penalty and paragraph (2)(B) in the case of a class II civil penalty. If the Administrator or Secretary denies a hearing under this subparagraph, the Administrator or Secretary shall provide to the petitioner, and publish in the Federal Register, notice of and the reasons for such denial.
Finality of order
An order issued under this subsection shall become final 30 days after its issuance unless a petition for judicial review is filed under paragraph (8) or a hearing is requested under paragraph (4)(C). If such a hearing is denied, such order shall become final 30 days after such denial.
Effect of order
Limitation on actions under other sections
Applicability of limitation with respect to citizen suits
Effect of action on compliance
No action by the Administrator or the Secretary under this subsection shall affect any person’s obligation to comply with any section of this chapter or with the terms and conditions of any permit issued pursuant to section 1342 or 1344 of this title.
Judicial review
Collection
Subpoenas
The Administrator or Secretary, as the case may be, may issue subpoenas for the attendance and testimony of witnesses and the production of relevant papers, books, or documents in connection with hearings under this subsection. In case of contumacy or refusal to obey a subpoena issued pursuant to this paragraph and served upon any person, the district court of the United States for any district in which such person is found, resides, or transacts business, upon application by the United States and after notice to such person, shall have jurisdiction to issue an order requiring such person to appear and give testimony before the administrative law judge or to appear and produce documents before the administrative law judge, or both, and any failure to obey such order of the court may be punished by such court as a contempt thereof.
Protection of existing procedures
Nothing in this subsection shall change the procedures existing on the day before , under other subsections of this section for issuance and enforcement of orders by the Administrator.
Implementation of integrated plans
In general
section 1342(s) of this titleIn conjunction with an enforcement action under subsection (a) or (b) relating to municipal discharges, the Administrator shall inform a municipality of the opportunity to develop an integrated plan, as defined in .
Modification
section 1342(s) of this titleAny municipality under an administrative order under subsection (a) or settlement agreement (including a judicial consent decree) under subsection (b) that has developed an integrated plan consistent with may request a modification of the administrative order or settlement agreement based on that integrated plan.
June 30, 1948, ch. 758Pub. L. 92–500, § 286 Stat. 859Pub. L. 95–21791 Stat. 1591Pub. L. 100–4, title III101 Stat. 42Pub. L. 101–380, title IV, § 4301(c)104 Stat. 537Pub. L. 115–282, title IX, § 903(c)(2)132 Stat. 4356Pub. L. 115–436, § 3(b)132 Stat. 5560(, title III, § 309, as added , , ; amended , §§ 54(b), 55, 56, 67(c)(2), , , 1592, 1606; , §§ 312, 313(a)(1), (b)(1), (c), 314(a), , , 45, 46; , , ; , , ; , , .)
Editorial Notes
References in Text
Pub. L. 89–27279 Stat. 997Pub. L. 94–580, § 290 Stat. 2795section 6901 of Title 42The Solid Waste Disposal Act, referred to in subsec. (c)(7), is title II of , , , as amended generally by , , , which is classified generally to chapter 82 (§ 6901 et seq.) of Title 42, The Public Health and Welfare. For complete classification of this Act to the Code, see Short Title note set out under and Tables.
Amendments
Pub. L. 115–4362019—Subsec. (h). added subsec. (h).
Pub. L. 115–282, § 903(c)(2)(A)2018—Subsec. (a)(3). , substituted “1322(p), 1328” for “1328”.
Pub. L. 115–282, § 903(c)(2)(B)Subsec. (c)(1)(A), (2)(A), (3)(A). , substituted “1322(p), 1328” for “1328”.
Pub. L. 115–282, § 903(c)(2)(C)Subsec. (d). , substituted “1322(p), 1328,” for “1328” and “State,” for “State,,”.
Pub. L. 115–282, § 903(c)(2)(D)Subsec. (g)(1)(A). , substituted “1322(p), 1328” for “1328”.
Pub. L. 101–3801990—Subsec. (c)(1)(A), (2)(A), (3)(A). inserted “1321(b)(3),” after “1318,”.
Pub. L. 100–4, § 3121987—Subsec. (c). , amended subsec. (c) generally, revising provisions of par. (1), adding pars. (2), (3), (5), and (7), redesignating former pars. (2) and (4) as (3) and (6), respectively, and revising provisions of redesignated par. (4).
Pub. L. 100–4, § 313(a)(1)Subsec. (d). , inserted “, or any requirement imposed in a pretreatment program approved under section 1342(a)(3) or 1342(b)(8) of this title,” after second reference to “State,”.
Pub. L. 100–4, § 313(b)(1), substituted “$25,000 per day for each violation” for “$10,000 per day of such violation”.
Pub. L. 100–4, § 313(c), inserted at end “In determining the amount of a civil penalty the court shall consider the seriousness of the violation or violations, the economic benefit (if any) resulting from the violation, any history of such violations, any good-faith efforts to comply with the applicable requirements, the economic impact of the penalty on the violator, and such other matters as justice may require. For purposes of this subsection, a single operational upset which leads to simultaneous violations of more than one pollutant parameter shall be treated as a single violation.”
Pub. L. 100–4, § 314(a)Subsec. (g). , added subsec. (g).
Pub. L. 95–2171977—Subsec. (a)(1). , §§ 55(a), 67(c)(2)(A), substituted “1318, 1328, or 1345 of this title” for “or 1318 of this title” and “1342 or 1344 of this title” for “1342 of this title”.
Pub. L. 95–217, § 56(a)Subsec. (a)(2). , substituted “except where an extension has been granted under paragraph (5)(B) of this subsection, the Administrator shall enforce any permit condition or limitation” for “the Administrator shall enforce any permit condition or limitation”.
Pub. L. 95–217section 1344 of this titlesection 1342 of this titleSubsec. (a)(3). , §§ 55(b), 67(c)(2)(B), substituted “1318, 1328, or 1345 of this title” for “or 1318 of this title” and inserted “or in a permit issued under by a State” after “in a permit issued under by him or by a State”.
Pub. L. 95–217, § 56(b)Subsec. (a)(4). , struck out provision that any order issued under this subsection had to be by personal service and had to state with reasonable specificity the nature of the violation and a time for compliance, not to exceed thirty days, which the Administrator determined to be reasonable, taking into account the seriousness of the violation and any good faith efforts to comply with applicable requirements. See section subsec. (a)(5) of this section.
Pub. L. 95–217, § 56(c)Subsec. (a)(5), (6). , added pars. (5) and (6).
Pub. L. 95–217, § 67(c)(2)(C)section 1344 of this titleSubsec. (c)(1). , substituted “by a State or in a permit issued under by a State, shall be punished” for “by a State, shall be punished”.
Pub. L. 95–217section 1344 of this titlesection 1342 of this titleSubsec. (d). , §§ 55(c), 67(c)(2)(D), substituted “1318, 1328, or 1345 of this title” for “or 1318 of this title” and inserted “or in a permit issued under by a State,” after “permit issued under by the Administrator, or by a State,”.
Pub. L. 95–217, § 54(b)Subsec. (f). , added subsec. (f).
Statutory Notes and Related Subsidiaries
Effective Date of 1990 Amendment
Pub. L. 101–380section 1020 of Pub. L. 101–380section 2701 of this titleAmendment by applicable to incidents occurring after , see , set out as an Effective Date note under .
Savings Provision
Pub. L. 100–4, title III, § 313(a)(2)101 Stat. 45
Deposit of Certain Penalties Into Oil Spill Liability Trust Fund
section 9509 of Title 26section 4304 of Pub. L. 101–380section 9509 of Title 26Penalties paid pursuant to subsection (c) of this section and sections 1321 and 1501 et seq. of this title to be deposited in the Oil Spill Liability Trust Fund created under , Internal Revenue Code, see , set out as a note under .
Increased Penalties Not Required Under State Programs
Pub. L. 100–4, title III, § 313(b)(2)101 Stat. 45
Actions by Surgeon General Relating to Interstate Pollution
Act July 9, 1956, ch. 518, § 570 Stat. 507act June 30, 1948, ch. 75862 Stat. 1155, , provided that actions by the Surgeon General with respect to water pollutants under section 2(d) of , , as in effect prior to , which had been completed prior to such date, would still be subject to the terms of section 2(d) of act , in effect prior to the amendment, but that actions with respect to such pollutants would nevertheless subsequently be possible in accordance with the terms of act , as amended by act .