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Enforcement

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Criminal Provisions of Water Pollution

Official Seal for the Office of Criminal Enforcement, Forensics and TrainingGeneral descriptions of the criminal provisions related to water pollution: 

Discharges of Oil or Hazardous Substances
Failure to Report Discharges of Oil & Hazardous Substances
Discharge to a POTW in Violation of Pre-Treatment Standards
Discharge to a POTW Causing Harm to the System
Discharge to a POTW Causing the Plant to Violate Its Own Permit/Limitation
CWA Knowing Endangerment
CWA False Statements
Tampering with Monitoring Equipment or Method
Rivers and Harbors Act of 1899
Marine Protection, Research, and Sanctuaries Act (MPRSA) or "Ocean Dumping Act"
Act to prevent Pollution from Ships

Direct Discharge (to waters of United States including wetlands)

Elements:

  • A person
    • Negligently or Knowingly
      • Discharges a pollutant from a point source into a water of the United States without a NPDES or 404 Permit or in violation of a permit


Negligent Violations: 1 year and/or $2,500 - 25,000 per day; Statute: 33 U.S.C. 1319(c)(1) & (2)

Penalty:

    • Subsequent convictions 2 years and/or $50,000 per day.
  • Knowing Violations: 3 years and/or $5,000 - 50,000 per day;
    • Subsequent convictions 6 years and/or $100,000 per day.

Relevant Regulations: 40 C.F.R. 122

*Note that the Discharge of fill material into a wetland may be permitted under 33 U.S.C. 1344

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Discharges of Oil or Hazardous Substances

Elements:

  • A Person
    • Negligently or Knowingly
      • Discharges Oil or a Hazardous Substance Into a water of the United States/upon adjoining shorelines/into the contiguous Zone In a Harmful Quantity

Statute: 33 U.S.C. 1319(c)(1) & (2) & 1321 (b)(3)


Penalty:

  • Negligent Violations: 1 year and/or $2,500 - 25,000 per day;
    • Subsequent convictions 2 years and/or $50,000 per day.
  • Knowing Violations: 3 years and/or $5,000 - 50,000 per day;
    • Subsequent convictions 6 years and/or $100,000 per day.

Relevant Regulations: 40 C.F.R. 110, 116 & 117

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Failure to Report Discharges of Oil & Hazardous Substances

Elements:

 
  • A Person
    • In charge of a Vessel, onshore or offshore facility from which oil or hazardous substance is discharged in a reportable (harmful) quantity into or upon waters of the United States/upon adjoining shorelines/into the Contiguous Zone fails to immediately notify the appropriate Federal Agency as soon as he/she has knowledge of the discharge

Statute: 33 U.S.C. 1321(b)(5)

Penalty:

  • 5 years and/or fines under 18 U.S.C. 3571

Relevant Regulations: 40 C.F.R. 110, 116 & 117

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Discharge to a POTW in Violation of Pre-Treatment Standards and Prohibitions

Elements:

 
  • A Person
    • Negligently or Knowingly
      • Operates a source in violation of any effluent standard, prohibition, or applicable pretreatment standard *

Statute: 33 U.S.C. 1319(c)(1)(A) & (2)(A) and 1317

Penalty:

  • Negligent Violations: 1 year and/or $2,500 - 25,000 per day;
    • Subsequent convictions 2 years and/or $50,000 per day.
  • Knowing Violations: 3 years and/or $5,000 - 50,000 per day;
    • Subsequent convictions 6 years and/or $100,000 per day.

Relevant Regulations: 40 C.F.R. 403

*General Pretreatment Prohibitions found at 40 C.F.R. 403.5(a) ("Pass Through" & "Interference"); Specific Pretreatment Prohibitions found at 40 C.F.R. 403.5(b){excessive heat, oil, toxic gases, trucked pollutants, etc.}; Local Limit Provision found at 40 C.F.R. 403.5(d); Categorical Standards found at 40 C.F.R. 403.6-424

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Discharge to a POTW Causing the Plant to Violate its Own Permit/Limitation

Elements:

 
  • A Person who Owns or Operates a Source
    • Negligently or Knowingly
      • Discharges a pollutant or hazardous substance into a POTW other than in compliance with all federal, state, and local requirements and permits, which such person knew or reasonably should have known could causes personal injury or property damage and causes the POTW to violate its permit or effluent limitation.

Statute: 33 U.S.C. 1319(c)(1)(B) & (c)(2)(B)

Penalty:

  • Negligent Violations: 1 year and/or $2,500 - 25,000 per day;
    • Subsequent convictions 2 years and/or $50,000 per day.
  • Knowing Violations: 3 years and/or $5,000 - 50,000 per day;
    • Subsequent convictions 6 years and/or $100,000 per day.

Relevant Regulations: 40 C.F.R. 403

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CWA Knowing Endangerment

Elements:

 
  • A Person
    • Knowingly Committed Specified Offense (33 U.S.C. 1311, 1312, 1313, 1316, 1317, 1318, 1321(b)(3), 1328, 1345, or permits issued under 1342 or 1344)
      • Knew at the time that such acts put another person in imminent danger of death or serious bodily injury

Statute: 33 U.S.C. 1319(c)(3)

Penalty:

  • 15 years and/or $250,000 ($1,000,000 for corps.); subsequent convictions doubled.

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CWA False Statements

Elements:

 
  • A Person
    • Knowingly
      • Makes a false statement, representation, or certification statement/representation/certification was material in any document filed or required to be maintained under the CWA

Statute: 33 U.S.C. 1319(c)(4)

Penalty:

  • 2 years and/or $10,000; subsequent convictions 4 years and/or $20,000 per day

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Tampering with Monitoring Equipment or Method

Elements:

 
  • A Person
    • Knowingly
      • Falsifies, tampers with, or renders inaccurate monitoring device or method required to be maintained under CWA

Statute: 33 U.S.C. 1319(c)(4)

Penalty:

  • 2 years and/or $10,000; subsequent convictions 4 years and/or $20,000 per day

Rivers and Harbors Act of 1899

Elements:

 
  • A Person or corporation
    • Obstructs, builds, excavates, fills, alters the course, condition, or capacity of any navigable water of the United States without a permit

Statute: 33 U.S.C. 401

Penalty:

  • Misdemeanor level offenses with maximum 1 year imprisonment and/or fines of up $100,000 for individuals and $200,000 for corporations (see alternative Fines Act 18 U.S.C. 3571). Violations of section 407/408/409/414 and 415 (see 411) shall have mandatory minimum imprisonment of 30 days. Violations of section 401/403 and 404 (see 406) have mandatory minimum fine of $500 and persons may be fined, imprisoned, or both.

Relevant Regulations:  33 U.S.C. 401

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Marine Protection, Research, and Sanctuaries Act (MPRSA) or "Ocean Dumping Act"

Elements:

 
  • A Person
    • Knowingly
      • Transports material from the United States For the purpose of dumping Into ocean waters Without a permit or in violation of a permit or in violation of regulations

or

  • A Person
    • Operated or was employed by a United States vessel, aircraft, department, agency, etc. and Knowingly
      • Transported material from any location for the purpose of dumping into ocean waters without a permit or in violation of a permit or in violation of regulations

Statute: 33 U.S.C. 1411

Penalty:

  • Maximum fine $250,000 and/or maximum imprisonment 5 years under 18 USC 3571. [see USC 1415 (b)] Forfeiture to the U.S., any proceeds from violation and any property used in violation.

Act to Prevent Pollution from Ships

Elements:

 
  • Knowing violation of the MARPOL Protocol, the Act, or regulations (relating to wastes from ships, including garbage, oil, and hazardous substances.

Statute: 33 U.S.C. 1908(a)

Penalty:

  • Imprisonment of not more than 10 years and/or fines as set forth in 18 U.S.C. 3571

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Enforcement