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(continued)
100 Stat. 2095; Pub. L. 103-429, Sec. 7(e)(2), Oct. 31, 1994, 108
Stat. 4390; Pub. L. 104-208, div. A, title II, Sec. 2502(a), Sept.
30, 1996, 110 Stat. 3009-462; Pub. L. 104-287, Sec. 6(j)(2), Oct.
11, 1996, 110 Stat. 3400; Pub. L. 107-118, title I, Sec. 102(a),
title II, Secs. 221, 222(b), Jan. 11, 2002, 115 Stat. 2356, 2368,
2371.)

-REFTEXT-
REFERENCES IN TEXT
Such amendments, referred to in the last sentence of subsec. (a),
probably means the amendments made by Pub. L. 99-499, Oct. 17,
1986, 100 Stat. 1613, known as the "Superfund Amendments and
Reauthorization Act of 1986". For complete classification of this
Act to the Code, see Short Title of 1986 Amendment note set out
under section 9601 of this title and Tables.
Act of March 3, 1851 (46 U.S.C. 183ff), referred to in subsec.
(h), is act Mar. 3, 1851, ch. 43, 9 Stat. 635, which was
incorporated into the Revised Statutes as R.S. Secs. 4282 to 4287
and 4289, and is classified to sections 182, 183, and 184 to 188 of
Title 46, Appendix, Shipping.
The Federal Insecticide, Fungicide, and Rodenticide Act, referred
to in subsec. (i), is act June 25, 1947, ch. 125, as amended
generally by Pub. L. 92-516, Oct. 21, 1972, 86 Stat. 973, which is
classified generally to subchapter II (Sec. 136 et seq.) of chapter
6 of Title 7, Agriculture. For complete classification of this Act
to the Code, see Short Title note set out under section 136 of
Title 7 and Tables.
The Solid Waste Disposal Act, referred to in subsec. (k)(1), (3),
(6)(E)(i), is title II of Pub. L. 89-272, Oct. 20, 1965, 79 Stat.
997, as amended generally by Pub. L. 94-580, Sec. 2, Oct. 21, 1976,
90 Stat. 2795. Subtitles C and I of the Solid Waste Disposal Act
are classified generally to subchapters III (Sec. 6921 et seq.) and
IX (Sec. 6991 et seq.), respectively, of chapter 82 of this title.
For complete classification of this Act to the Code, see Short
Title note set out under section 6901 of this title and Tables.
Section 9641 of this title, referred to in subsec. (k), was
repealed by Pub. L. 99-499, title V, Sec. 514(b), Oct. 17, 1986,
100 Stat. 1767.
Subchapter II of this chapter, referred to in subsec. (k)(4)(A)
and (C), was in the original "title II of this Act", meaning title
II of Pub. L. 96-510, Dec. 11, 1980, 94 Stat. 2796, known as the
Hazardous Substance Response Revenue Act of 1980, which enacted
subchapter II of this chapter and sections 4611, 4612, 4661, 4662,
4681, and 4682 of Title 26, Internal Revenue Code. Sections 221 to
223 and 232 of Pub. L. 96-510, which were classified to sections
9631 to 9633 and 9641 of this title, comprising subchapter II of
this chapter, were repealed by Pub. L. 99-499, title V, Secs.
514(b), 517(c)(1), Oct. 17, 1986, 100 Stat. 1767, 1774. For
complete classification of title II to the Code, see Short Title of
1980 Amendment note set out under section 1 of Title 26 and Tables.
The Hazardous and Solid Waste Amendments of 1984, referred to in
subsec. (k)(6)(A), (E), is Pub. L. 98-616, Nov. 8, 1984, 98 Stat.
3221. For complete classification of this Act to the Code, see
Short Title of 1984 Amendment note set out under section 6901 of
this title and Tables.
The Small Business Act, referred to in subsec. (p)(1), is Pub. L.
85-536, July 18, 1958, 72 Stat. 384, as amended, which is
classified generally to chapter 14A (Sec. 631 et seq.) of Title 15,
Commerce and Trade. For complete classification of this Act to the
Code, see Short Title note set out under section 631 of Title 15
and Tables.


-MISC1-
AMENDMENTS
2002 - Subsecs. (o), (p). Pub. L. 107-118, Sec. 102(a), added
subsecs. (o) and (p).
Subsec. (q). Pub. L. 107-118, Sec. 221, added subsec. (q).
Subsec. (r). Pub. L. 107-118, Sec. 222(b), added subsec. (r).
1996 - Subsec. (c)(1)(C). Pub. L. 104-287 substituted "section
60101(a) of title 49" for "the Hazardous Liquid Pipeline Safety Act
of 1979".
Subsec. (n). Pub. L. 104-208 added subsec. (n).
1994 - Subsec. (c)(1)(C). Pub. L. 103-429 substituted "hazardous
liquid pipeline facility" for "pipeline".
1986 - Subsec. (a). Pub. L. 99-514, in penultimate sentence,
substituted "Internal Revenue Code of 1986" for "Internal Revenue
Code of 1954", which for purposes of codification was translated as
"title 26" thus requiring no change in text.
Pub. L. 99-499, Sec. 107(b), inserted concluding provisions
relating to accrual and rate of interest on amounts recoverable
under this section.
Subsec. (a)(1). Pub. L. 99-499, Sec. 107(a), struck out
"(otherwise subject to the jurisdiction of the United States)"
after "vessel".
Subsec. (a)(3). Pub. L. 99-499, Sec. 127(b)(1), inserted "or
incineration vessel" after "facility".
Subsec. (a)(4). Pub. L. 99-499, Secs. 107(b), 127(b)(2),
207(c)(1), in introductory provisions, inserted ", incineration
vessels" after "vessels", in subpar. (A), inserted "or an Indian
tribe" after "State", and added subpar. (D).
Subsec. (c)(1)(A). Pub. L. 99-499, Sec. 127(b)(3), inserted ",
other than an incineration vessel," after "vessel".
Subsec. (c)(1)(B). Pub. L. 99-499, Sec. 127(b)(4), inserted
"other than an incineration vessel," after "other vessel,".
Subsec. (c)(1)(D). Pub. L. 99-499, Sec. 127(b)(5), inserted "any
incineration vessel or" before "any facility".
Subsec. (d). Pub. L. 99-499, Sec. 107(c), amended subsec. (d)
generally. Prior to amendment, subsec. (d) read as follows: "No
person shall be liable under this subchapter for damages as a
result of actions taken or omitted in the course of rendering care,
assistance, or advice in accordance with the national contingency
plan or at the direction of an onscene coordinator appointed under
such plan, with respect to an incident creating a danger to public
health or welfare or the environment as a result of any release of
a hazardous substance or the threat thereof. This subsection shall
not preclude liability for damages as the result of gross
negligence or intentional misconduct on the part of such person.
For the purposes of the preceding sentence, reckless, willful, or
wanton misconduct shall constitute gross negligence."
Subsec. (f)(1). Pub. L. 99-499, Sec. 107(d)(1), designated
existing provisions as par. (1) and added heading.
Pub. L. 99-499, Sec. 207(c)(2)(A), inserted "and to any Indian
tribe for natural resources belonging to, managed by, controlled
by, or appertaining to such tribe, or held in trust for the benefit
of such tribe, or belonging to a member of such tribe if such
resources are subject to a trust restriction on alienation" after
third reference to "State".
Pub. L. 99-499, Sec. 207(c)(2)(B), inserted "or Indian tribe"
after fourth reference to "State".
Pub. L. 99-499, Sec. 207(c)(2)(C), inserted in first sentence ",
so long as, in the case of damages to an Indian tribe occurring
pursuant to a Federal permit or license, the issuance of that
permit or license was not inconsistent with the fiduciary duty of
the United States with respect to such Indian tribe".
Pub. L. 99-499, Sec. 107(d)(2), substituted "Sums recovered by
the United States Government as trustee under this subsection shall
be retained by the trustee, without further appropriation, for use
only to restore, replace, or acquire the equivalent of such natural
resources. Sums recovered by a State as trustee under this
subsection shall be available for use only to restore, replace, or
acquire the equivalent of such natural resources by the State. The
measure of damages in any action under subparagraph (C) of
subsection (a) of this section shall not be limited by the sums
which can be used to restore or replace such resources. There shall
be no double recovery under this chapter for natural resource
damages, including the costs of damage assessment or restoration,
rehabilitation, or acquisition for the same release and natural
resource" for "Sums recovered shall be available for use to
restore, rehabilitate, or acquire the equivalent of such natural
resources by the appropriate agencies of the Federal Government or
the State government, but the measure of such damages shall not be
limited by the sums which can be used to restore or replace such
resources".
Pub. L. 99-499, Sec. 207(c)(2)(D), which directed the insertion
of "or the Indian tribe" after "State government", could not be
executed because the prior amendment by section 107(d)(2) of Pub.
L. 99-499, struck out third sentence referring to "State
government".
Subsec. (f)(2). Pub. L. 99-499, Sec. 107(d)(1), added par. (2).
Subsec. (g). Pub. L. 99-499, Sec. 107(e), amended subsec. (g)
generally. Prior to amendment, subsec. (g) read as follows: "Each
department, agency, or instrumentality of the executive,
legislative, and judicial branches of the Federal Government shall
be subject to, and comply with, this chapter in the same manner and
to the same extent, both procedurally and substantively, as any
nongovernmental entity, including liability under this section."
Subsec. (h). Pub. L. 99-499, Sec. 127(e), inserted ", under
maritime tort law," after "with this section" and inserted "or the
absence of any physical damage to the proprietary interest of the
claimant" before the period at end.
Subsec. (i). Pub. L. 99-499, Sec. 207(c)(3), inserted "or Indian
tribe" after "State".
Subsec. (j). Pub. L. 99-499, Sec. 207(c)(4), inserted "or Indian
tribe" after first reference to "State".
Subsec. (k)(5), (6). Pub. L. 99-499, Sec. 201, added pars. (5)
and (6).
Subsec. (l), Pub. L. 99-499, Sec. 107(f), added subsec. (l).
Subsec. (l)(3). Pub. L. 99-514 substituted "Internal Revenue Code
of 1986" for "Internal Revenue Code of 1954", which for purposes of
codification was translated as "title 26" thus requiring no change
in text.
Subsec. (m). Pub. L. 99-499, Sec. 107(f), added subsec. (m).

EFFECTIVE DATE OF 1996 AMENDMENT
Amendment by Pub. L. 104-208 applicable with respect to any claim
that has not been finally adjudicated as of Sept. 30, 1996, see
section 2505 of Pub. L. 104-208, set out as a note under section
6991b of this title.

EFFECT ON CONCLUDED ACTIONS
Pub. L. 107-118, title I, Sec. 103, Jan. 11, 2002, 115 Stat.
2360, provided that: "The amendments made by this title [amending
this section and section 9622 of this title] shall not apply to or
in any way affect any settlement lodged in, or judgment issued by,
a United States District Court, or any administrative settlement or
order entered into or issued by the United States or any State,
before the date of the enactment of this Act [Jan. 11, 2002]."

RECOVERY OF COSTS
Pub. L. 104-303, title II, Sec. 209, Oct. 12, 1996, 110 Stat.
3681, provided that: "Amounts recovered under section 107 of the
Comprehensive Environmental Response, Compensation, and Liability
Act of 1980 (42 U.S.C. 9607) for any response action taken by the
Secretary in support of the civil works program of the Department
of the Army and any other amounts recovered by the Secretary from a
contractor, insurer, surety, or other person to reimburse the
Department of the Army for any expenditure for environmental
response activities in support of the Army civil works program
shall be credited to the appropriate trust fund account from which
the cost of such response action has been paid or will be charged."

COORDINATION OF TITLES I TO IV OF PUB. L. 99-499
Any provision of titles I to IV of Pub. L. 99-499, imposing any
tax, premium, or fee; establishing any trust fund; or authorizing
expenditures from any trust fund, to have no force or effect, see
section 531 of Pub. L. 99-499, set out as a note under section 1 of
Title 26, Internal Revenue Code.

-SECREF-
SECTION REFERRED TO IN OTHER SECTIONS
This section is referred to in sections 6924, 6939a, 6991b,
6991c, 9601, 9603, 9604, 9606, 9608, 9611, 9612, 9613, 9614, 9619,
9620, 9622, 9624, 9627, 9628, 9651, 9656, 9658 of this title; title
14 section 692; title 16 sections 1437, 1443; title 26 section
9507.

-FOOTNOTE-
)1(!See References in Text note below.

)2(! See References in Text note below.


-End-



-CITE-
42 USC Sec. 9608 01/19/04

-EXPCITE-
TITLE 42 - THE PUBLIC HEALTH AND WELFARE
CHAPTER 103 - COMPREHENSIVE ENVIRONMENTAL RESPONSE, COMPENSATION,
AND LIABILITY
SUBCHAPTER I - HAZARDOUS SUBSTANCES RELEASES, LIABILITY,
COMPENSATION

-HEAD-
Sec. 9608. Financial responsibility

-STATUTE-
(a) Establishment and maintenance by owner or operator of vessel;
amount; failure to obtain certification of compliance
(1) The owner or operator of each vessel (except a
nonself-propelled barge that does not carry hazardous substances as
cargo) over three hundred gross tons that uses any port or place in
the United States or the navigable waters or any offshore facility,
shall establish and maintain, in accordance with regulations
promulgated by the President, evidence of financial responsibility
of $300 per gross ton (or for a vessel carrying hazardous
substances as cargo, or $5,000,000, whichever is greater) to cover
the liability prescribed under paragraph (1) of section 9607(a) of
this title. Financial responsibility may be established by any one,
or any combination, of the following: insurance, guarantee, surety
bond, or qualification as a self-insurer. Any bond filed shall be
issued by a bonding company authorized to do business in the United
States. In cases where an owner or operator owns, operates, or
charters more than one vessel subject to this subsection, evidence
of financial responsibility need be established only to meet the
maximum liability applicable to the largest of such vessels.
(2) The Secretary of the Treasury shall withhold or revoke the
clearance required by section 91 of title 46, Appendix, of any
vessel subject to this subsection that does not have certification
furnished by the President that the financial responsibility
provisions of paragraph (1) of this subsection have been complied
with.
(3) The Secretary of Transportation, in accordance with
regulations issued by him, shall (A) deny entry to any port or
place in the United States or navigable waters to, and (B) detain
at the port or place in the United States from which it is about to
depart for any other port or place in the United States, any vessel
subject to this subsection that, upon request, does not produce
certification furnished by the President that the financial
responsibility provisions of paragraph (1) of this subsection have
been complied with.
(4) In addition to the financial responsibility provisions of
paragraph (1) of this subsection, the President shall require
additional evidence of financial responsibility for incineration
vessels in such amounts, and to cover such liabilities recognized
by law, as the President deems appropriate, taking into account the
potential risks posed by incineration and transport for
incineration, and any other factors deemed relevant.
(b) Establishment and maintenance by owner or operator of
production, etc., facilities; amount; adjustment; consolidated
form of responsibility; coverage of motor carriers
(1) Beginning not earlier than five years after December 11,
1980, the President shall promulgate requirements (for facilities
in addition to those under subtitle C of the Solid Waste Disposal
Act [42 U.S.C. 6921 et seq.] and other Federal law) that classes of
facilities establish and maintain evidence of financial
responsibility consistent with the degree and duration of risk
associated with the production, transportation, treatment, storage,
or disposal of hazardous substances. Not later than three years
after December 11, 1980, the President shall identify those classes
for which requirements will be first developed and publish notice
of such identification in the Federal Register. Priority in the
development of such requirements shall be accorded to those classes
of facilities, owners, and operators which the President determines
present the highest level of risk of injury.
(2) The level of financial responsibility shall be initially
established, and, when necessary, adjusted to protect against the
level of risk which the President in his discretion believes is
appropriate based on the payment experience of the Fund, commercial
insurers, courts settlements and judgments, and voluntary claims
satisfaction. To the maximum extent practicable, the President
shall cooperate with and seek the advice of the commercial
insurance industry in developing financial responsibility
requirements. Financial responsibility may be established by any
one, or any combination, of the following: insurance, guarantee,
surety bond, letter of credit, or qualification as a self-insurer.
In promulgating requirements under this section, the President is
authorized to specify policy or other contractual terms,
conditions, or defenses which are necessary, or which are
unacceptable, in establishing such evidence of financial
responsibility in order to effectuate the purposes of this chapter.
(3) Regulations promulgated under this subsection shall
incrementally impose financial responsibility requirements as
quickly as can reasonably be achieved but in no event more than 4
years after the date of promulgation. Where possible, the level of
financial responsibility which the President believes appropriate
as a final requirement shall be achieved through incremental,
annual increases in the requirements.
(4) Where a facility is owned or operated by more than one
person, evidence of financial responsibility covering the facility
may be established and maintained by one of the owners or
operators, or, in consolidated form, by or on behalf of two or more
owners or operators. When evidence of financial responsibility is
established in a consolidated form, the proportional share of each
participant shall be shown. The evidence shall be accompanied by a
statement authorizing the applicant to act for and in behalf of
each participant in submitting and maintaining the evidence of
financial responsibility.
(5) The requirements for evidence of financial responsibility for
motor carriers covered by this chapter shall be determined under
section 31139 of title 49.
(c) Direct action
(1) Releases from vessels
In the case of a release or threatened release from a vessel,
any claim authorized by section 9607 or 9611 of this title may be
asserted directly against any guarantor providing evidence of
financial responsibility for such vessel under subsection (a) of
this section. In defending such a claim, the guarantor may invoke
all rights and defenses which would be available to the owner or
operator under this subchapter. The guarantor may also invoke the
defense that the incident was caused by the willful misconduct of
the owner or operator, but the guarantor may not invoke any other
defense that the guarantor might have been entitled to invoke in
a proceeding brought by the owner or operator against him.
(2) Releases from facilities
In the case of a release or threatened release from a facility,
any claim authorized by section 9607 or 9611 of this title may be
asserted directly against any guarantor providing evidence of
financial responsibility for such facility under subsection (b)
of this section, if the person liable under section 9607 of this
title is in bankruptcy, reorganization, or arrangement pursuant
to the Federal Bankruptcy Code, or if, with reasonable diligence,
jurisdiction in the Federal courts cannot be obtained over a
person liable under section 9607 of this title who is likely to
be solvent at the time of judgment. In the case of any action
pursuant to this paragraph, the guarantor shall be entitled to
invoke all rights and defenses which would have been available to
the person liable under section 9607 of this title if any action
had been brought against such person by the claimant and all
rights and defenses which would have been available to the
guarantor if an action had been brought against the guarantor by
such person.
(d) Limitation of guarantor liability
(1) Total liability
The total liability of any guarantor in a direct action suit
brought under this section shall be limited to the aggregate
amount of the monetary limits of the policy of insurance,
guarantee, surety bond, letter of credit, or similar instrument
obtained from the guarantor by the person subject to liability
under section 9607 of this title for the purpose of satisfying
the requirement for evidence of financial responsibility.
(2) Other liability
Nothing in this subsection shall be construed to limit any
other State or Federal statutory, contractual, or common law
liability of a guarantor, including, but not limited to, the
liability of such guarantor for bad faith either in negotiating
or in failing to negotiate the settlement of any claim. Nothing
in this subsection shall be construed, interpreted, or applied to
diminish the liability of any person under section 9607 of this
title or other applicable law.

-SOURCE-
(Pub. L. 96-510, title I, Sec. 108, Dec. 11, 1980, 94 Stat. 2785;
Pub. L. 99-499, title I, Secs. 108, 127(c), Oct. 17, 1986, 100
Stat. 1631, 1692.)

-REFTEXT-
REFERENCES IN TEXT
The Solid Waste Disposal Act, referred to in subsec. (b)(1), is
title II of Pub. L. 89-272, Oct. 20, 1965, 79 Stat. 997, as amended
generally by Pub. L. 94-580, Sec. 2, Oct. 21, 1976, 90 Stat. 2795.
Subtitle C of the Solid Waste Disposal Act is classified generally
to subchapter III (Sec. 6921 et seq.) of chapter 82 of this title.
For complete classification of this Act to the Code, see Short
Title note set out under section 6901 of this title and Tables.
The Federal Bankruptcy Code, referred to in subsec. (c)(2),
probably means a reference to Title 11, Bankruptcy.

-COD-
CODIFICATION
In subsec. (b)(5), "section 31139 of title 49" substituted for
"section 30 of the Motor Carrier Act of 1980, Public Law 96-296" on
authority of Pub. L. 103-272, Sec. 6(b), July 5, 1994, 108 Stat.
1378, the first section of which enacted subtitles II, III, and V
to X of Title 49, Transportation.


-MISC1-
AMENDMENTS
1986 - Subsec. (a)(1). Pub. L. 99-499, Sec. 127(c)(1), inserted
"to cover the liability prescribed under paragraph (1) of section
9607(a) of this title" after "whichever is greater)".
Subsec. (a)(4). Pub. L. 99-499, Sec. 127(c)(2), added par. (4).
Subsec. (b)(2). Pub. L. 99-499, Sec. 108(a), inserted provisions
relating to evidence of financial responsibility and authority of
the President regarding establishment of that evidence.
Subsec. (b)(3). Pub. L. 99-499, Sec. 108(b), substituted "as
quickly as can reasonably be achieved but in no event more than 4
years" for "over a period of not less than three and no more than
six years".
Subsec. (c). Pub. L. 99-499, Sec. 108(c), amended subsec. (c)
generally. Prior to amendment, subsec. (c) read as follows: "Any
claim authorized by section 9607 or 9611 of this title may be
asserted directly against any guarantor providing evidence of
financial responsibility as required under this section. In
defending such a claim, the guarantor may invoke all rights and
defenses which would be available to the owner or operator under
this subchapter. The guarantor may also invoke the defense that the
incident was caused by the willful misconduct of the owner or
operator, but such guarantor may not invoke any other defense that
such guarantor might have been entitled to invoke in a proceeding
brought by the owner or operator against him."
Subsec. (d). Pub. L. 99-499, Sec. 108(c), amended subsec. (d)
generally. Prior to amendment, subsec. (d) read as follows: "Any
guarantor acting in good faith against which claims under this
chapter are asserted as a guarantor shall be liable under section
9607 of this title or section 9612(c) of this title only up to the
monetary limits of the policy of insurance or indemnity contract
such guarantor has undertaken or of the guaranty of other evidence
of financial responsibility furnished under this section, and only
to the extent that liability is not excluded by restrictive
endorsement: Provided, That this subsection shall not alter the
liability of any person under section 9607 of this title."

-SECREF-
SECTION REFERRED TO IN OTHER SECTIONS
This section is referred to in section 9609 of this title.

-End-



-CITE-
42 USC Sec. 9609 01/19/04

-EXPCITE-
TITLE 42 - THE PUBLIC HEALTH AND WELFARE
CHAPTER 103 - COMPREHENSIVE ENVIRONMENTAL RESPONSE, COMPENSATION,
AND LIABILITY
SUBCHAPTER I - HAZARDOUS SUBSTANCES RELEASES, LIABILITY,
COMPENSATION

-HEAD-
Sec. 9609. Civil penalties and awards

-STATUTE-
(a) Class I administrative penalty
(1) Violations
A civil penalty of not more than $25,000 per violation may be
assessed by the President in the case of any of the following -
(A) A violation of the requirements of section 9603(a) or (b)
of this title (relating to notice).
(B) A violation of the requirements of section 9603(d)(2) of
this title (relating to destruction of records, etc.).
(C) A violation of the requirements of section 9608 of this
title (relating to financial responsibility, etc.), the
regulations issued under section 9608 of this title, or with
any denial or detention order under section 9608 of this title.
(D) A violation of an order under section 9622(d)(3) of this
title (relating to settlement agreements for action under
section 9604(b) of this title).
(E) Any failure or refusal referred to in section 9622(l) of
this title (relating to violations of administrative orders,
consent decrees, or agreements under section 9620 of this
title).
(2) Notice and hearings
No civil penalty may be assessed under this subsection unless
the person accused of the violation is given notice and
opportunity for a hearing with respect to the violation.
(3) Determining amount
In determining the amount of any penalty assessed pursuant to
this subsection, the President 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.
(4) Review
Any person against whom a civil penalty is assessed under this
subsection may obtain review thereof in the appropriate district
court of the United States by filing a notice of appeal in such
court within 30 days from the date of such order and by
simultaneously sending a copy of such notice by certified mail to
the President. The President shall promptly file in such court a
certified copy of the record upon which such violation was found
or such penalty imposed. If any person fails to pay an assessment
of a civil penalty after it has become a final and unappealable
order or after the appropriate court has entered final judgment
in favor of the United States, the President may request the
Attorney General of the United States to institute a civil action
in an appropriate district court of the United States to collect
the penalty, and such court shall have jurisdiction to hear and
decide any such action. In hearing such action, the court shall
have authority to review the violation and the assessment of the
civil penalty on the record.
(5) Subpoenas
The President 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.
(b) Class II administrative penalty
A civil penalty of not more than $25,000 per day for each day
during which the violation continues may be assessed by the
President in the case of any of the following -
(1) A violation of the notice requirements of section 9603(a)
or (b) of this title.
(2) A violation of section 9603(d)(2) of this title (relating
to destruction of records, etc.).
(3) A violation of the requirements of section 9608 of this
title (relating to financial responsibility, etc.), the
regulations issued under section 9608 of this title, or with any
denial or detention order under section 9608 of this title.
(4) A violation of an order under section 9622(d)(3) of this
title (relating to settlement agreements for action under section
9604(b) of this title).
(5) Any failure or refusal referred to in section 9622(l) of
this title (relating to violations of administrative orders,
consent decrees, or agreements under section 9620 of this title).

In the case of a second or subsequent violation the amount of such
penalty may be not more than $75,000 for each day during which the
violation continues. Any civil penalty under this subsection 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 hearing on the record in
accordance with section 554 of title 5. In any proceeding for the
assessment of a civil penalty under this subsection the President
may issue subpoenas for the attendance and testimony of witnesses
and the production of relevant papers, books, and documents and may
promulgate rules for discovery procedures. Any person who requested
a hearing with respect to a civil penalty under this subsection and
who is aggrieved by an order assessing the civil penalty may file a
petition for judicial review of such order with the United States
Court of Appeals for the District of Columbia Circuit or for any
other circuit in which such person resides or transacts business.
Such a petition may only be filed within the 30-day period
beginning on the date the order making such assessment was issued.
(c) Judicial assessment
The President may bring an action in the United States district
court for the appropriate district to assess and collect a penalty
of not more than $25,000 per day for each day during which the
violation (or failure or refusal) continues in the case of any of
the following -
(1) A violation of the notice requirements of section 9603(a)
or (b) of this title.
(2) A violation of section 9603(d)(2) of this title (relating
to destruction of records, etc.).
(3) A violation of the requirements of section 9608 of this
title (relating to financial responsibility, etc.), the
regulations issued under section 9608 of this title, or with any
denial or detention order under section 9608 of this title.
(4) A violation of an order under section 9622(d)(3) of this
title (relating to settlement agreements for action under section
9604(b) of this title).
(5) Any failure or refusal referred to in section 9622(l) of
this title (relating to violations of administrative orders,
consent decrees, or agreements under section 9620 of this title).

In the case of a second or subsequent violation (or failure or
refusal), the amount of such penalty may be not more than $75,000
for each day during which the violation (or failure or refusal)
continues. For additional provisions providing for judicial
assessment of civil penalties for failure to comply with a request
or order under section 9604(e) of this title (relating to
information gathering and access authorities), see section 9604(e)
of this title.
(d) Awards
The President may pay an award of up to $10,000 to any individual
who provides information leading to the arrest and conviction of
any person for a violation subject to a criminal penalty under this
chapter, including any violation of section 9603 of this title and
any other violation referred to in this section. The President
shall, by regulation, prescribe criteria for such an award and may
pay any award under this subsection from the Fund, as provided in
section 9611 of this title.
(e) Procurement procedures
Notwithstanding any other provision of law, any executive agency
may use competitive procedures or procedures other than competitive
procedures to procure the services of experts for use in preparing
or prosecuting a civil or criminal action under this chapter,
whether or not the expert is expected to testify at trial. The
executive agency need not provide any written justification for the
use of procedures other than competitive procedures when procuring
such expert services under this chapter and need not furnish for
publication in the Commerce Business Daily or otherwise any notice
of solicitation or synopsis with respect to such procurement.
(f) Savings clause
Action taken by the President pursuant to this section shall not
affect or limit the President's authority to enforce any provisions
of this chapter.

-SOURCE-
(Pub. L. 96-510, title I, Sec. 109, Dec. 11, 1980, 94 Stat. 2787;
Pub. L. 99-499, title I, Sec. 109(c), Oct. 17, 1986, 100 Stat.
1633.)


-MISC1-
AMENDMENTS
1986 - Pub. L. 99-499 amended section generally. Prior to
amendment, section read as follows: "Any person who, after notice
and an opportunity for a hearing, is found to have failed to comply
with the requirements of section 9608 of this title, the
regulations issued thereunder, or with any denial or detention
order shall be liable to the United States for a civil penalty, not
to exceed $10,000 for each day of violation."

COORDINATION OF TITLES I TO IV OF PUB. L. 99-499
Any provision of titles I to IV of Pub. L. 99-499, imposing any
tax, premium, or fee; establishing any trust fund; or authorizing
expenditures from any trust fund, to have no force or effect, see
section 531 of Pub. L. 99-499, set out as a note under section 1 of
Title 26, Internal Revenue Code.

-SECREF-
SECTION REFERRED TO IN OTHER SECTIONS
This section is referred to in sections 9611, 9622 of this title.

-End-



-CITE-
42 USC Sec. 9610 01/19/04

-EXPCITE-
TITLE 42 - THE PUBLIC HEALTH AND WELFARE
CHAPTER 103 - COMPREHENSIVE ENVIRONMENTAL RESPONSE, COMPENSATION,
AND LIABILITY
SUBCHAPTER I - HAZARDOUS SUBSTANCES RELEASES, LIABILITY,
COMPENSATION

-HEAD-
Sec. 9610. Employee protection

-STATUTE-
(a) Activities of employee subject to protection
No person shall fire or in any other way discriminate against, or
cause to be fired or discriminated against, any employee or any
authorized representative of employees by reason of the fact that
such employee or representative has provided information to a State
or to the Federal Government, filed, instituted, or caused to be
filed or instituted any proceeding under this chapter, or has
testified or is about to testify in any proceeding resulting from
the administration or enforcement of the provisions of this
chapter.
(b) Administrative grievance procedure in cases of alleged
violations
Any employee or a representative of employees who believes that
he has been fired or otherwise discriminated against by any person
in violation of subsection (a) of this section may, within thirty
days after such alleged violation occurs, apply to the Secretary of
Labor for a review of such firing or alleged discrimination. A copy
of the application shall be sent to such person, who shall be the
respondent. Upon receipt of such application, the Secretary of
Labor shall cause such investigation to be made as he deems
appropriate. Such investigation shall provide an opportunity for a
public hearing at the request of any party to such review to enable
the parties to present information relating to such alleged
violation. The parties shall be given written notice of the time
and place of the hearing at least five days prior to the hearing.
Any such hearing shall be of record and shall be subject to section
554 of title 5. Upon receiving the report of such investigation,
the Secretary of Labor shall make findings of fact. If he finds
that such violation did occur, he shall issue a decision,
incorporating an order therein and his findings, requiring the
party committing such violation to take such affirmative action to
abate the violation as the Secretary of Labor deems appropriate,
including, but not limited to, the rehiring or reinstatement of the
employee or representative of employees to his former position with
compensation. If he finds that there was no such violation, he
shall issue an order denying the application. Such order issued by
the Secretary of Labor under this subparagraph shall be subject to
judicial review in the same manner as orders and decisions are
subject to judicial review under this chapter.
(c) Assessment of costs and expenses against violator subsequent to
issuance of order of abatement
Whenever an order is issued under this section to abate such
violation, at the request of the applicant a sum equal to the
aggregate amount of all costs and expenses (including the
attorney's fees) determined by the Secretary of Labor to have been
reasonably incurred by the applicant for, or in connection with,
the institution and prosecution of such proceedings, shall be
assessed against the person committing such violation.
(d) Defenses
This section shall have no application to any employee who acting
without discretion from his employer (or his agent) deliberately
violates any requirement of this chapter.
(e) Presidential evaluations of potential loss of shifts of
employment resulting from administration or enforcement of
provisions; investigations; procedures applicable, etc.
The President shall conduct continuing evaluations of potential
loss of shifts of employment which may result from the
administration or enforcement of the provisions of this chapter,
including, where appropriate, investigating threatened plant
closures or reductions in employment allegedly resulting from such
administration or enforcement. Any employee who is discharged, or
laid off, threatened with discharge or layoff, or otherwise
discriminated against by any person because of the alleged results
of such administration or enforcement, or any representative of
such employee, may request the President to conduct a full
investigation of the matter and, at the request of any party, shall
hold public hearings, require the parties, including the employer
involved, to present information relating to the actual or
potential effect of such administration or enforcement on
employment and any alleged discharge, layoff, or other
discrimination, and the detailed reasons or justification
therefore.)1(! Any such hearing shall be of record and shall be
subject to section 554 of title 5. Upon receiving the report of
such investigation, the President shall make findings of fact as to
the effect of such administration or enforcement on employment and
on the alleged discharge, layoff, or discrimination and shall make
such recommendations as he deems appropriate. Such report,
findings, and recommendations shall be available to the public.
Nothing in this subsection shall be construed to require or
authorize the President or any State to modify or withdraw any
action, standard, limitation, or any other requirement of this
chapter.


-SOURCE-
(Pub. L. 96-510, title I, Sec. 110, Dec. 11, 1980, 94 Stat. 2787.)

-FOOTNOTE-
)1(! So in original.


-End-



-CITE-
42 USC Sec. 9611 01/19/04

-EXPCITE-
TITLE 42 - THE PUBLIC HEALTH AND WELFARE
CHAPTER 103 - COMPREHENSIVE ENVIRONMENTAL RESPONSE, COMPENSATION,
AND LIABILITY
SUBCHAPTER I - HAZARDOUS SUBSTANCES RELEASES, LIABILITY,
COMPENSATION

-HEAD-
Sec. 9611. Uses of Fund

-STATUTE-
(a) In general
For the purposes specified in this section there is authorized to
be appropriated from the Hazardous Substance Superfund established
under subchapter A of chapter 98 of title 26 not more than
$8,500,000,000 for the 5-year period beginning on October 17, 1986,
and not more than $5,100,000,000 for the period commencing October
1, 1991, and ending September 30, 1994, and such sums shall remain
available until expended. The preceding sentence constitutes a
specific authorization for the funds appropriated under title II of
Public Law 99-160 (relating to payment to the Hazardous Substances
Trust Fund). The President shall use the money in the Fund for the
following purposes:
(1) Payment of governmental response costs incurred pursuant to
section 9604 of this title, including costs incurred pursuant to
the Intervention on the High Seas Act [33 U.S.C. 1471 et seq.].
(2) Payment of any claim for necessary response costs incurred
by any other person as a result of carrying out the national
contingency plan established under section 1321(c) )1(! of title
33 and amended by section 9605 of this title: Provided, however,
That such costs must be approved under said plan and certified by
the responsible Federal official.

(3) Payment of any claim authorized by subsection (b) of this
section and finally decided pursuant to section 9612 of this
title, including those costs set out in subsection 9612(c)(3) of
this title.
(4) Payment of costs specified under subsection (c) of this
section.
(5) Grants for technical assistance. - The cost of grants under
section 9617(e) of this title (relating to public participation
grants for technical assistance).
(6) Lead contaminated soil. - Payment of not to exceed
$15,000,000 for the costs of a pilot program for removal,
decontamination, or other action with respect to
lead-contaminated soil in one to three different metropolitan
areas.

The President shall not pay for any administrative costs or
expenses out of the Fund unless such costs and expenses are
reasonably necessary for and incidental to the implementation of
this subchapter.
(b) Additional authorized purposes
(1) In general
Claims asserted and compensable but unsatisfied under
provisions of section 1321 of title 33, which are modified by
section 304 of this Act may be asserted against the Fund under
this subchapter; and other claims resulting from a release or
threat of release of a hazardous substance from a vessel or a
facility may be asserted against the Fund under this subchapter
for injury to, or destruction or loss of, natural resources,
including cost for damage assessment: Provided, however, That any
such claim may be asserted only by the President, as trustee, for
natural resources over which the United States has sovereign
rights, or natural resources within the territory or the fishery
conservation zone of the United States to the extent they are
managed or protected by the United States, or by any State for
natural resources within the boundary of that State belonging to,
managed by, controlled by, or appertaining to the State, or by
any Indian tribe or by the United States acting on behalf of any
Indian tribe for natural resources belonging to, managed by,
controlled by, or appertaining to such tribe, or held in trust
for the benefit of such tribe, or belonging to a member of such
tribe if such resources are subject to a trust restriction on
alienation.
(2) Limitation on payment of natural resource claims
(A) General requirements
No natural resource claim may be paid from the Fund unless
the President determines that the claimant has exhausted all
administrative and judicial remedies to recover the amount of
such claim from persons who may be liable under section 9607 of
this title.
(B) Definition
As used in this paragraph, the term "natural resource claim"
means any claim for injury to, or destruction or loss of,
natural resources. The term does not include any claim for the
costs of natural resource damage assessment.
(c) Peripheral matters and limitations
Uses of the Fund under subsection (a) of this section include -
(1) The costs of assessing both short-term and long-term injury
to, destruction of, or loss of any natural resources resulting
from a release of a hazardous substance.
(2) The costs of Federal or State or Indian tribe efforts in
the restoration, rehabilitation, or replacement or acquiring the
equivalent of any natural resources injured, destroyed, or lost
as a result of a release of a hazardous substance.
(3) Subject to such amounts as are provided in appropriation
Acts, the costs of a program to identify, investigate, and take
enforcement and abatement action against releases of hazardous
substances.
(4) Any costs incurred in accordance with subsection (m) of
this section (relating to ATSDR) and section 9604(i) of this
title, including the costs of epidemiologic and laboratory
studies, health assessments, preparation of toxicologic profiles,
development and maintenance of a registry of persons exposed to
hazardous substances to allow long-term health effect studies,
and diagnostic services not otherwise available to determine
whether persons in populations exposed to hazardous substances in
connection with a release or a suspected release are suffering
from long-latency diseases.
(5) Subject to such amounts as are provided in appropriation
Acts, the costs of providing equipment and similar overhead,
related to the purposes of this chapter and section 1321 of title
33, and needed to supplement equipment and services available (continued)