39882
Federal
Register
/
Vol.
68,
No.
128
/
Thursday,
July
3,
2003
/
Proposed
Rules
 
The
in­
mine
testing
of
the
preproduction
prototype
PDMs
at
mines
in
Pennsylvania,
West
Virginia,
Alabama,
and
Utah
is
completed;
 
NIOSH
and
MSHA
commit
$
150,000
each
for
further
testing
contingent
upon
completion
and
positive
assessment
of
the
in­
mine
testing;
and
 
Information
is
obtained
to
assist
in
controlling
and
monitoring
respirable
coal
mine
dust
and
preventing
Black
Lung
disease.
For
all
the
reasons
stated
herein,
the
comment
period
on
the
proposed
rule
is
hereby
extended
until
further
notice
is
published
in
the
Federal
Register.
A
separate
notice
reopening
the
rulemaking
record
for
the
proposed
rule
``
Determination
of
Concentration
of
Respirable
Coal
Mine
Dust,''
(
68
FR
10940,
68
FR
32005)
will
be
published
in
the
Federal
Register
shortly.

Dated:
June
30,
2003.
John
R.
Caylor,
Deputy
Assistant
Secretary
for
Mine
Safety
and
Health.
[
FR
Doc.
03
 
16979
Filed
7
 
1
 
03;
11:
28
am]

BILLING
CODE
4510
 
43
 
M
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.

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
docket.
oeca@
epa.
gov
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
inflationadjusted
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
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Federal
Register
/
Vol.
68,
No.
128
/
Thursday,
July
3,
2003
/
Proposed
Rules
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
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Federal
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/
Vol.
68,
No.
128
/
Thursday,
July
3,
2003
/
Proposed
Rules
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
costeffective
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).

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/
Vol.
68,
No.
128
/
Thursday,
July
3,
2003
/
Proposed
Rules
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.

§
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.

§
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.

§
19.3
[
Reserved].

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

33
U.
S.
C.
1321(
b)(
7)(
B)
............................
CLEAN
WATER
ACT
VIOLATION/
CIVIL
JUDICIAL
PENALTY
OF
SEC
311(
c)&(
e)(
1)(
B).
$
32,500
33
U.
S.
C.
1321(
b)(
7)(
C)
............................
CLEAN
WATER
ACT
VIOLATION/
CIVIL
JUDICIAL
PENALTY
OF
SEC
311(
j).
$
32,500
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Vol.
68,
No.
128
/
Thursday,
July
3,
2003
/
Proposed
Rules
TABLE
1
OF
§
19.4.
 
CIVIL
MONETARY
PENALTY
INFLATION
ADJUSTMENTS
 
Continued
U.
S.
Code
citation
Civil
monetary
penalty
description
New
maximum
penalty
amount
in
dollars
33
U.
S.
C.
1321(
b)(
7)(
D)
............................
CLEAN
WATER
ACT
VIOLATION/
MINIMUM
CIVIL
JUDICIAL
PENALTY
OF
SEC
311(
b)(
3)
 
PER
VIOLATION
OR
PER
BARREL/
UNIT.
$
120,000
or
$
3,300
per
barrel
or
unit.

33
U.
S.
C.
1414b(
d)
...................................
MARINE
PROTECTION,
RESEARCH
&
SANCTUARIES
ACT
VIOL
SEC
104b(
d).
$
760
33
U.
S.
C.
1415(
a)
.....................................
MARINE
PROTECTION
RESEARCH
AND
SANCTUARIES
ACT
VIOLATIONS
 
FIRST
&
SUBSEQUENT
VIOLATIONS.
$
60,000/$
157,500
42
U.
S.
C.
300g
 
3(
b)
.................................
SAFE
DRINKING
WATER
ACT/
CIVIL
JUDICIAL
PENALTY
OF
SEC
1414(
b).
$
32,500
42
U.
S.
C.
300g
 
3(
c)
.................................
SAFE
DRINKING
WATER
ACT/
CIVIL
JUDICIAL
PENALTY
OF
SEC
1414(
c).
$
32,500
42
U.
S.
C.
300g
 
3(
g)(
3)(
A)
........................
SAFE
DRINKING
WATER
ACT/
CIVIL
JUDICIAL
PENALTY
OF
SEC
1414(
g)(
3)(
a).
$
32,500
42
U.
S.
C.
300g
 
3(
g)(
3)(
B)
........................
SAFE
DRINKING
WATER
ACT/
MAXIMUM
ADMINISTRATIVE
PENALTIES
PER
SEC
1414(
g)(
3)(
B).
$
6,000/$
30,000
42
U.
S.
C.
300g
 
3(
g)(
3)(
C)
........................
SAFE
DRINKING
WATER
ACT/
THRESHOLD
REQUIRING
CIVIL
JUDICIAL
ACTION
PER
SEC
1414(
g)(
3)(
C).
$
30,000
42
U.
S.
C.
300h
 
2(
b)(
1)
.............................
SDWA/
CIVIL
JUDICIAL
PENALTY/
VIOLATIONS
OF
REQS
 
UNDERGROUND
INJECTION
CONTROL
(
UIC).
$
32,500
42
U.
S.
C.
300h
 
2(
c)(
1)
.............................
SDWA/
CIVIL
ADMIN
PENALTY/
VIOLATIONS
OF
UIC
REQS
 
PER
VIOLATION
AND
MAXIMUM.
$
11,000/$
157,500
42
U.
S.
C.
300h
 
2(
c)(
2)
..............................
SDWA/
CIVIL
ADMIN
PENALTY/
VIOLATIONS
OF
UIC
REQS
 
PER
VIOLATION
AND
MAXIMUM.
$
6,500/$
157,500
42
U.
S.
C.
300h
 
3(
c)(
1)
.............................
SDWA/
VIOLATION/
OPERATION
OF
NEW
UNDERGROUND
INJECTION
WELL.
$
6,500
42
U.
S.
C.
300h
 
3(
c)(
2)
.............................
SDWA/
WILLFUL
VIOLATION/
OPERATION
OF
NEW
UNDERGROUND
INJECTION
WELL.
$
11,000
42
U.
S.
C.
300i(
b)
......................................
SDWA/
FAILURE
TO
COMPLY
WITH
IMMINENT
AND
SUBSTANTIAL
ENDANGERMENT
ORDER.
$
15,000
42
U.
S.
C.
300i
 
1(
c)
...................................
SDWA/
ATTEMPTING
TO
OR
TAMPERING
WITH
PUBLIC
WATER
SYSTEM/
CIVIL
JUDICIAL
PENALTY.
$
100,000/$
1,000,000
42
U.
S.
C.
300j(
e)(
2)
..................................
SDWA/
FAILURE
TO
COMPLY
W/
ORDER
ISSUED
UNDER
SEC.
1441(
c)(
1).
$
2,750
42
U.
S.
C.
300j
 
4(
c)
...................................
SDWA/
REFUSAL
TO
COMPLY
WITH
REQS.
OF
SEC.
1445(
a)
OR
(
b).
$
32,500
42
U.
S.
C.
300j
 
6(
b)(
2)
..............................
SDWA/
FAILURE
TO
COMPLY
WITH
ADMIN.
ORDER
ISSUED
TO
FEDERAL
FACILITY.
$
30,000
42
U.
S.
C.
300j
 
23(
d)
................................
SDWA/
VIOLATIONS/
SECTION
1463(
b)
 
FIRST
OFFENSE
REPEAT
OFFENSE.
$
6,500/$
60,000
42
U.
S.
C.
4852d(
b)(
5)
...............................
RESIDENTIAL
LEAD­
BASED
PAINT
HAZARD
REDUCTION
ACT
OF
1992,
SEC
1018
 
CIVIL
PENALTY.
$
11,000
42
U.
S.
C.
4910(
a)(
2)
.................................
NOISE
CONTROL
ACT
OF
1972
 
CIVIL
PENALTY
.....
$
11,000
42
U.
S.
C.
6928(
a)(
3)
.................................
RESOURCE
CONSERVATION
&
RECOVERY
ACT/
VIOLATION
SUBTITLE
C
ASSESSED
PER
ORDER.
$
32,500
42
U.
S.
C.
6928(
c)
.....................................
RES.
CONS.
&
REC.
ACT/
CONTINUED
NONCOMPLIANCE
OF
COMPLIANCE
ORDER.
$
32,500
42
U.
S.
C.
6928(
g)
.....................................
RESOURCE
CONSERVATION
&
RECOVERY
ACT/
VIOLATION
SUBTITLE
C.
$
32,500
42
U.
S.
C.
6928(
h)(
2)
.................................
RES.
CONS.
&
REC.
ACT/
NONCOMPLIANCE
OF
CORRECTIVE
ACTION
ORDER.
$
32,500
42
U.
S.
C.
6934(
e)
.....................................
RES.
CONS.
&
REC.
ACT/
NONCOMPLIANCE
WITH
SECTION
3013
ORDER.
$
6,500
42
U.
S.
C.
6973(
b)
.....................................
RES.
CONS.
&
REC.
ACT/
VIOLATIONS
OF
ADMINISTRATIVE
ORDER.
$
6,500
42
U.
S.
C.
6991e(
a)(
3)
...............................
RES.
CONS.
&
REC.
ACT/
NONCOMPLIANCE
WITH
UST
ADMINISTRATIVE
ORDER.
$
32,500
42
U.
S.
C.
6991e(
d)(
1)
...............................
RES.
CONS.
&
REC.
ACT/
FAILURE
TO
NOTIFY
OR
FOR
SUBMITTING
FALSE
INFORMATION.
$
11,000
42
U.
S.
C.
6991e(
d)(
2)
...............................
RCRA/
VIOLATIONS
OF
SPECIFIED
UST
REGULATORY
REQUIREMENTS.
$
11,000
42
U.
S.
C.
14304(
a)(
1)
...............................
BATTERY
ACT
VIOLATIONS
..........................................
$
11,000
42
U.
S.
C.
14304(
g)
...................................
BATTERY
ACT/
VIOLATIONS
OF
CORRECTIVE
ACTION
ORDERS.
$
11,000
42
U.
S.
C.
7413(
b)
.....................................
CLEAN
AIR
ACT/
VIOLATION/
OWNERS
&
OPERATORS
OF
STATIONARY
AIR
POLLUTION
SOURCES
 
JUDICIAL
PENALTIES.
$
32,500
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Federal
Register
/
Vol.
68,
No.
128
/
Thursday,
July
3,
2003
/
Proposed
Rules
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.
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).
TABLE
1
OF
§
19.4.
 
CIVIL
MONETARY
PENALTY
INFLATION
ADJUSTMENTS
 
Continued
U.
S.
Code
citation
Civil
monetary
penalty
description
New
maximum
penalty
amount
in
dollars
42
U.
S.
C.
7413(
d)(
1)
.................................
CLEAN
AIR
ACT/
VIOLATION/
OWNERS
&
OPERATORS
OF
STATIONARY
AIR
POLLUTION
SOURCES
 
ADMINISTRATIVE
PENALTIES
PER
VIOLATION
&
MAX.
$
32,500/$
245,000
42
U.
S.
C.
7413(
d)(
3)
.................................
CLEAN
AIR
ACT/
MINOR
VIOLATIONS/
STATIONARY
AIR
POLLUTION
SOURCES
 
FIELD
CITATIONS.
$
6,500
42
U.
S.
C.
7524(
a)
.....................................
TAMPERING
OR
MANUFACTURE/
SALE
OF
DEFEAT
DEVICES
IN
VIOLATION
OF
7522(
a)(
3)(
A)
OR
(
a)(
3)(
B)
 
BY
PERSONS.
$
2,750
42
U.
S.
C.
7524(
a)
.....................................
VIOLATION
OF
7522(
a)(
3)(
A)
OR
(
a)(
3)(
B)
 
BY
MANUFACTURERS
OR
DEALERS;
ALL
VIOLATIONS
OF
7522(
a)(
1),
(
2),
(
4),
&
(
5)
BY
ANYONE.
$
32,500
42
U.
S.
C.
7524(
c)
.....................................
ADMINISTRATIVE
PENALTIES
AS
SET
IN
7524(
a)
&
7545(
d)
WITH
A
MAXIMUM
ADMINISTRATIVE
PENALTY
$
245,000
42
U.
S.
C.
7545(
d)
.....................................
VIOLATIONS
OF
FUELS
REGULATIONS
......................
$
32,500
42
U.
S.
C.
9604(
e)(
5)(
B)
............................
SUPERFUND
AMEND.
&
REAUTHORIZATION
ACT/
NONCOMPLIANCE
W/
REQUEST
FOR
INFO
OR
ACCESS
$
32,500
42
U.
S.
C.
9606(
b)(
1)
.................................
SUPERFUND/
WORK
NOT
PERFORMED
W/
IMMINENT
SUBSTANTIAL
ENDANGERMENT.
$
32,500
42
U.
S.
C.
9609(
a)&(
b)
...............................
SUPERFUND/
ADMIN.
PENALTY
VIOLATIONS
UNDER
42
U.
S.
C.
SECT.
9603,
9608,
OR
9622.
$
32,500
42
U.
S.
C.
9609(
b)
.....................................
SUPERFUND/
ADMIN.
PENALTY
VIOLATIONS
 
SUBSEQUENT
$
92,500
42
U.
S.
C.
9609(
c)
.....................................
SUPERFUND/
CIVIL
JUDICIAL
PENALTY/
VIOLATIONS
OF
SECT.
9603,
9608,
9622.
$
32,500
42
U.
S.
C.
9609(
c)
.....................................
SUPERFUND/
CIVIL
JUDICIAL
PENALTY/
SUBSEQUENT
VIOLATIONS
OF
SECT.
9603,
9608,
9622.
$
92,500
42
U.
S.
C.
11045(
a)&(
b)(
1),
(
2)
&
(
3)
........
EMERGENCY
PLANNING
AND
COMMUNITY
RIGHTTO
KNOW
ACT
CLASS
I
&
II
ADMINISTRATIVE
AND
CIVIL
PENALTIES.
$
32,500
42
U.
S.
C.
11045(
b)(
2)
&
(
3)
......................
EPCRA
CLASS
I
&
II
ADMINISTRATIVE
AND
CIVIL
PENALTIES
 
SUBSEQUENT
VIOLATIONS.
$
92,500
42
U.
S.
C.
11045(
c)(
1)
...............................
EPCRA
CIVIL
AND
ADMINISTRATIVE
REPORTING
PENALTIES
FOR
VIOLATIONS
OF
SECTIONS
11022
OR
11023.
$
32,500
42
U.
S.
C.
11045(
c)(
2)
...............................
EPCRA
CIVIL
AND
ADMINISTRATIVE
REPORTING
PENALTIES
FOR
VIOLATIONS
OF
SECTIONS
11021
OR
11043(
b).
$
11,000
42
U.
S.
C.
11045(
d)(
1)
...............................
EPCRA
 
FRIVOLOUS
TRADE
SECRET
CLAIMS
 
CIVIL
AND
ADMINISTRATIVE
PENALTIES.
$
32,500
per
barrel
or
unit.

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:

§
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.
*
*
*
*
*
(
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.
*
*
*
*
*
[
FR
Doc.
03
 
16925
Filed
7
 
2
 
03;
8:
45
am]

BILLING
CODE
6560
 
50
 
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