Interim Guidance on Use of Administrative Penalty ...€¦ · SARA also created che Emergency...
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j__ . .. ... .. . .. . . . MEMOWDUM SUBJECT: Interim Guidance on Use of Adminiscrative Penalty Provisions of Section 109 of CERCU and Seccion 325 of SARA FROH: Thckas L. Adams, Jr. ly a .f Ass is t ant Adminiscracor TO: Regional Administrators Hegional Counsels Direccors. Regional waste 3anagernent Divisions This memorandum ?rovides interim guidance on che use of che new adminiscracive penalty provisions of rhe Comprehensive .. Environmencai Response. Compensacion. and Liabilicy Act (CE~C-LA). 42 U.S.C. 96Ol'et se . and the Superfund Amendmencs and Reaurhori- zation Act (SARAd1986.. Pub. L. No. 99-499. Section 109 of SZ.U amended CERCU by. adding civil penalties for violations of certain provisions of CERCLA or agreements entered into pursuant to cne Act. The penalties may be.assessed in an adminiscrarive accion 3r in a judicial accion. . SARA also created che Emergency Planning and Community Right-co-Know Act of 1986. Seccion.325 of Title 111 2rovides for civil and criminal penalties, for violations of che ., notification and planning requiremenrs of chat Ticle. Background Section 109 and Section 325(b) established cwo, classes. of administrative penalties. Those classes differ rrom each ocher wirh respect to procedures for assessing and collecting penalties . and the maximum penalty available. EPA may assess Class I administrative penalties of nor more chan $25,000 er violation for violations of the provisions specified in Section b ( a ) ana Section 325(b). In determining the amounc of the Class I penalty, EP! . must ~ consider che faccors specified in Section 109(a)(3) or Secci,on 325(b)(l)(C). EPA may assess Class I1 adminiscracive penalties of not more than S25,OOO p'er dav_ for each day the violation concinues for violations of provisions specified in Section.l09(b) or Seccion 325(b). For subsequent Class 11 violations, the penalty nay be no: sore chan S75.000 for each day of violation.
Transcript of Interim Guidance on Use of Administrative Penalty ...€¦ · SARA also created che Emergency...
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M E M O W D U M
SUBJECT: I n t e r i m Guidance on Use of A d m i n i s c r a t i v e P e n a l t yP r o v i s i o n s o f S e c t i o n 109 o f C E R C U and S e c c i o n 3 2 5 of SARA
FROH: Thckas L. Adams, J r . l y a .f A s s is t a n t A d m i n i s c r a c o r
TO: Regiona l A d m i n i s t r a t o r s Heg iona l Counse l s D i r e c c o r s . R e g i o n a l w a s t e 3anagernent D i v i s i o n s
T h i s memorandum ? r o v i d e s i n t e r i m g u i d a n c e on che u s e of che new a d m i n i s c r a c i v e p e n a l t y p r o v i s i o n s of r h e Comprehensive . . Environmencai Response . Compensacion. and L i a b i l i c y Act ( C E ~ C - L A ) . 4 2 U.S .C . 9 6 O l ' e t s e . and t h e Supe r fund Amendmencs and R e a u r h o r i z a t i o n Act ( S A R A d 1 9 8 6 . . Pub. L. No. 99-499. S e c t i o n 109 of S Z . U amended C E R C U by. a d d i n g c i v i l p e n a l t i e s f o r v i o l a t i o n s of c e r t a i n p r o v i s i o n s o f C E R C L A o r a g r e e m e n t s e n t e r e d i n t o p u r s u a n t t o cne A c t . The p e n a l t i e s may b e . a s s e s s e d i n a n a d m i n i s c r a r i v e a c c i o n 3r i n a j u d i c i a l a c c i o n . . SARA a l s o c r e a t e d che Emergency P lann ing and Community Right-co-Know A c t o f 1986. S e c c i o n . 3 2 5 o f T i t l e 111 2 r o v i d e s f o r c i v i l and c r i m i n a l p e n a l t i e s , f o r v i o l a t i o n s of che
., n o t i f i c a t i o n and p l a n n i n g r e q u i r e m e n r s o f c h a t T i c l e .
Background
S e c t i o n 109 and S e c t i o n 3 2 5 ( b ) e s t a b l i s h e d cwo, c l a s s e s . of a d m i n i s t r a t i v e p e n a l t i e s . Those c l a s s e s d i f f e r rrom each o c h e r w i r h r e s p e c t t o p r o c e d u r e s f o r a s s e s s i n g a n d c o l l e c t i n g p e n a l t i e s . and t h e maximum p e n a l t y a v a i l a b l e . EPA may assess C l a s s I a d m i n i s t r a t i v e p e n a l t i e s of n o r more chan $ 2 5 , 0 0 0 e r v i o l a t i o n f o r v i o l a t i o n s of t h e p r o v i s i o n s s p e c i f i e d i n S e c t i o n b ( a ) ana S e c t i o n 3 2 5 ( b ) . I n d e t e r m i n i n g t h e amounc o f t h e Class I p e n a l t y , EP!. m u s t
~ c o n s i d e r che f a c c o r s s p e c i f i e d i n S e c t i o n 1 0 9 ( a ) ( 3 ) o r Secci ,on 3 2 5 ( b ) ( l ) ( C ) . EPA may a s s e s s Class I 1 a d m i n i s c r a c i v e p e n a l t i e s o f n o t more t h a n S25,OOO p ' e r dav_ f o r e a c h day t h e v i o l a t i o n c o n c i n u e s f o r v i o l a t i o n s o f p r o v i s i o n s s p e c i f i e d i n S e c t i o n . l 0 9 ( b ) o r Secc ion 3 2 5 ( b ) . For s u b s e q u e n t C l a s s 11 v i o l a t i o n s , t h e p e n a l t y nay be no: s o r e chan S75.000 f o r e a c h d a y o f v i o l a t i o n .
-- S e c t i o n 109 and S e c t i o n 3 2 5 ( b ) a l s o e s t a b l i s h e d d i f f e r e n t
p r o c e d u r e s f o r t h e two c l a s s e s Of p e n a l t i e s . For Class I p e n a l t i e s u n d e r - S e c t i o n 109 o r S e c t i o n 325 EPA must p r o v i d e n o t i c e a n d o p p o r t u n i t y f o r a h e a r i n g b u t t h e p r o c e e d i n g s a r e no t s u b j e c t t o t h e A d m i n i s t r a t i v e P r o c e d u r e Act ( A P A ) . EPA may s u b p o e n a l , ' -w i t n e s s e s and docunen t s f o r C l a s s I p r o c e e d i n g s . The p e r s o na g g r i e v e d by t h e p e n a l t y a c t i o n may s e e k j u d i c i a l r ev iew i n a . . ' U n i t e d S c a r e s D i s r r i c t ' C o u r t . ' I n s u c h a cgse, EPA must f i l e i n che c o u r r a c e r r i f i e d . c o p y o f t h e r e c o r d on which t h e p e n a l t y vas based . OECM-Waste D i v i s i o n is. d e v e l o p i n g C l a s s I p e n a l t y
p r o c e d u r e s s h o r t l y . .. , -1p r o c e d u r e s , and e x p e c t t o i s sye t h e s e - .
-. . . . . . I .- . . .
For Class 11 p e n a l t i e s u n d e r S e c c i o n 1 0 9 and S e c t i o n 3 2 5 , . -E P A must p r o v i d e n o t i c e and o p p o r r u n i t y , f o r . a h e a r i n g i n . . compl i ance w i t h S e c c i o n 554 o f t h e A P A . 5 U.SrC. 554; F o r S e c t i o n 109 p e n a l t i e s , t h e . p e r s o n a g g r i e v e d by t h e p e n a l r y . a c t i o n may s e e k j u d i c i a l r e v i e w ' i n a l in ized S t a t e s Cour t o f Appeals . For C l a s s 11 p e n a l c i e s u n d e r S e c t i o n 3 2 5 , t h e p e r s o n a g g r i e v e d by t h e pena . l tya c c i o n may . .s e e k j u d i c i a l r e v i e w i n . a UniFed States .Distr i ,c t : -Courf .~.
.., , . . , ... , - , . - . .
C l a r s - I I . ' p r o c e e d i . ~ g s;are.s'imilar'.co:formal ad ;ud ica . io r i .. . .~' *F e n a i t y p roceed ing ; conduc ted"by t h e .Agency u n d e r . o t h e r .
e n v i r o n m e n f a l s t a t u t e s , ; . T h e - C o n s o l i d a t e d Rul5s .of. P r a c t i c e , , .. .: ~. : .' p r o m u l g a t e d bv ~ E P Aa t GO 'CFR Par t ' 22'. . g o v e r n ~ h . ea d m i n i s . c r a r i v e :
a s s e s s m e n t u n d e r t h e APA' o f ' p e n a l t i e s . a v a i l a b l e under . o t h e r s r a t u t e s . To make t h e s e rule.s.-app.licable':t:o.Class I1 , :proceedings--under S e c t i o n 0 109'and Sec t ' i on 325,; DECH-Waste D i v i s i o n w i l l p-romulgare. a r u l e -:.* p r o v i d , i n g ~char. th.e , C o n s p l i d a r e d Ru les .$hal l govern p r o c e e d i n g s f o r t h e a s s e s s m e n t o f - Class; 11- a d m i n i s t r a t i v e p e n a l t i e s . u n d e r t h o s e ' .
p r o v i s i o n s . , . -
, . . ~
-',. . i.' . . . -~. . . . . . .~ . The Uni t ed S t a t e s may a l s o b r i n g a c i v i l a c t i o n i n a . d ~ i s t r i c t :
c o u r t t o c o l l e c t p e n a l t i e s of n o r more t h a n S25.000 p e r day. f o r e a c h day of v i o l a t i , o n f o r v i o l a t i o n s o f , . t h o s e p r o v i s i o n s s p e c i f i e di n S e c t i o n 1U9(c) and i n S e c t i o n . 3 2 5 ( b ) . ' F o r ' subsequen t v i o l a t i o n s , ; EPA may s e e k p e n a l t i e s o f up to $75,0)00 f o r ~ ' e a c h . d a yo,f~y i q l a t i o n .I n a d d i t i o n to . t h e Class, I and Class I1 p e n a l - t i e s ,f o r v i o l a c i o n s . :
s p e c i f i e d i n S e c t i o n 3 2 5 ( b ) ;S e c t i o n s . ' 3 2 5 ( a ) , ( c ) , and ( d ) p r o v i d e- f o r c i v i l and a d m i n i s t r a t i v e p e n a l t i e s f o r v i o l a t i n g c h e , r e q u i r e - men t s s p e c i f f e d i n t h o s e provis ' ions . . The Un i t ed ' S t a t e s may a l s o . . : s e e k c r imina l s anc t ions u n d e r S e c t i o n 103 of CERCL+ f o r v i o l a t i o n s . of t h e re lease , n o t i f i c a t i o n r eq 'u i r emen t . SAP.A..amended Sec.cion 1 0 3 of C E R C L A by i n c r e a s i n g t h e maximum p e n a l t i e s ' f ,or... s u c h cr iminal v i o l a t i o n s : . S e c t i o n s - 325(b ) and ( d ) . a l so :provide f o r c r i m i n a l .
, .p e n a l t i e s . ' ' . . . _ ,
. . . , . . , . . .. .C u r r e n t P r o c e d u r e s
P r i o r t o c o m p l e t i o n of t h e p r o c e d u r e s f o r Class I p e n a l t i e s , .' a n d t h e p r o m u l g a r i o n o f t h e r u l e amending t h e C o n s o l i d a t e d R u l e s ,
-. n
I
- 3 -
EPA may seek civiypenalcies under Section 1 0 9 or Section 325 under one of t w o approaches. First. che Regions may file adminiscrative actions assessing the Class I or Class XI penalties.of Sections 109 or 325(b) or the administrative penaltiesin Sections 325(c) and 325(d). In filing such actions, the hegion on an interim basis should comply with the Consolidaced Rules, LO CFR Part 2 2 . Afcer the Class I penalty procedures are completed.Class I administrative penalties should be assessed in compliancewith those procedures. The Regions may .also prepare a judicialreferral f o r civil action or a judicial referral for criminal action. Orders under Section 325(a) may be enforced after a judicial referral.
In the near term, EPA will be using Section 139 most frequently to seek administrative penalties for violations of the notice requirements of.Section 103(a) and (b). Until further guidance is available, we have actached for your use a charc showing cie eleaents needed to prove a violation of Section lO?(aj or ( b ) , background infornacion in the reportable quanci:ies 3r;vlsions, an2 a saa2le cettification by a person at the National Response Center that no notice was received. More detailed guidance on the assessment of adninistracive penalties under . Sections 109 and 325 is now being developed by OECX-Waste Division and the Office of ;iaste Programs Enforcement. For further infor~rnationcontact Frances YcChesney af FTTS 4 7 5 - 9 4 3 7 . .. .
Attachments
cc:. Lisa K. Friedman Gene A . Lucero Regio3al Counsel Hazardous Waste Branch Chiefs
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