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U.S. Code as of:
01/19/04
Section 1414b. Ocean dumping of sewage sludge and industrial waste
(a) Termination of dumping
(1) Prohibitions on dumping
Notwithstanding any other provision of law -
(A) on and after the 270th day after November 18, 1988, no
person (including a person described in section 1414a(a)(1)(C)
of this title) shall dump into ocean waters, or transport for
the purpose of dumping into ocean waters, sewage sludge or
industrial waste, unless such person -
(i) has entered into a compliance agreement or enforcement
agreement which meets the requirements of subsection (c)(2)
or (3) of this section, as applicable; and
(ii) has obtained a permit issued under section 1412 of
this title which authorizes such transportation and dumping;
and
(B) after December 31, 1991, it shall be unlawful for any
person to dump into ocean waters, or to transport for the
purposes of dumping into ocean waters, sewage sludge or
industrial waste.
(2) Prohibition on new entrants
The Administrator shall not issue any permit under this Act
which authorizes a person to dump into ocean waters, or to
transport for the purposes of dumping into ocean waters, sewage
sludge or industrial waste, unless that person was authorized by
a permit issued under section 1412 of this title or by a court
order to dump into ocean waters, or to transport for the purpose
of dumping into ocean waters, sewage sludge or industrial waste
on September 1, 1988.
(b) Special dumping fees
(1) In general
Subject to paragraph (4), any person who dumps into ocean
waters, or transports for the purpose of dumping into ocean
waters, sewage sludge or industrial waste shall be liable for a
fee equal to -
(A) $100 for each dry ton (or equivalent) of sewage sludge or
industrial waste transported or dumped by the person on or
after the 270th day after November 18, 1988, and before January
1, 1990;
(B) $150 for each dry ton (or equivalent) of sewage sludge or
industrial waste transported or dumped by the person on or
after January 1, 1990, and before January 1, 1991; and
(C) $200 for each dry ton (or equivalent) of sewage sludge or
industrial waste transported or dumped by the person on or
after January 1, 1991, and before January 1, 1992.
(2) Payment of fees
Of the amount of fees under paragraph (1) for which a person is
liable, such person -
(A) shall pay into a trust account established by the person
in accordance with subsection (e) of this section a sum equal
to 85 percent of such amount;
(B) shall pay to the Administrator a sum equal to $15 per dry
ton (or equivalent) of sewage sludge and industrial waste
transported or dumped by such person, for use for agency
activities as provided in subsection (f)(1) of this section;
(C) subject to paragraph (5), shall pay into the Clean Oceans
Fund established by the State in which the person is located a
sum equal to 50 percent of the balance of such amount after
application of subparagraphs (A) and (B); and
(D) subject to paragraph (5), shall pay to the State in which
the person is located a sum equal to the balance of such amount
after application of subparagraphs (A), (B), and (C), for
deposit into the water pollution control revolving fund
established by the State under title VI of the Federal Water
Pollution Control Act [33 U.S.C. 1381 et seq.], as provided in
subsection (f)(2) of this section.
(3) Schedule for payment
Fees under this subsection shall be paid on a quarterly basis.
(4) Waiver of fees
(A) The Administrator shall waive all fees under this
subsection, other than the portion of fees required to be paid to
the Administrator under paragraph (2)(B) for agency activities,
for any person who has entered into a compliance agreement which
meets the requirements of subsection (c)(2) of this section.
(B) The Administrator shall reimpose fees under this subsection
for a person for whom such fees are waived under subparagraph (A)
if the Administrator determines that -
(i) the person has failed to comply with the terms of a
compliance agreement which the person entered into under
subsection (c)(2) of this section; and
(ii) such failure is likely to result in the person not being
able to terminate by December 31, 1991, dumping of sewage
sludge or industrial waste into ocean waters.
(C) The Administrator may waive fees reimposed for a person
under subparagraph (B) if the Administrator determines that the
person has returned to compliance with a compliance agreement
which the person entered into under subsection (c)(2) of this
section.
(5) Payments prior to establishment of account
(A) In any case in which a State has not established a Clean
Oceans Fund or a water pollution control revolving fund under
title VI of the Federal Water Pollution Control Act [33 U.S.C.
1381 et seq.], fees required to be paid by a person in that State
under paragraph (2)(C) or (D), as applicable, shall be paid to
the Administrator.
(B) Amounts paid to the Administrator pursuant to this
paragraph shall be held by the Administrator in escrow until the
establishment of the fund into which such amounts are required to
be paid under paragraph (2), or until the last day of the 1-year
period beginning on the date of such payment, whichever is
earlier, and thereafter -
(i) if such fund has been established, shall be paid by the
Administrator into the fund; or
(ii) if such fund has not been established, shall revert to
the general fund of the Treasury.
(c) Compliance agreements and enforcement agreements
(1) In general
As a condition of issuing a permit under section 1412 of this
title which authorizes a person to transport or dump sewage
sludge or industrial waste, the Administrator shall require that,
before the issuance of such permit, the person and the State in
which the person is located enter into with the Administrator -
(A) a compliance agreement which meets the requirements of
paragraph (2); or
(B) an enforcement agreement which meets the requirements of
paragraph (3).
(2) Compliance agreements
An agreement shall be a compliance agreement for purposes of
this section only if -
(A) it includes a plan negotiated by the person, the State in
which the person is located, and the Administrator that will,
in the opinion of the Administrator, if adhered to by the
person in good faith, result in the phasing out and termination
of ocean dumping, and transportation for the purpose of ocean
dumping, of sewage sludge and industrial waste by such person
by not later than December 31, 1991, through the design,
construction, and full implementation of an alternative system
for the management of sewage sludge and industrial waste
transported or dumped by the person;
(B) it includes a schedule which -
(i) in the opinion of the Administrator, specifies
reasonable dates by which the person shall complete the
various activities that are necessary for the timely
implementation of the alternative system referred to in
subparagraph (A); and
(ii) meets the requirements of paragraph (4);
(C) it requires the person to notify in a timely manner the
Administrator and the Governor of the State of any problems the
person has in complying with the schedule referred to in
subparagraph (B);
(D) it requires the Administrator and the Governor of the
State to evaluate on an ongoing basis the compliance of the
person with the schedule referred to in subparagraph (B);
(E) it requires the person to pay in accordance with this
section all fees and penalties the person is liable for under
this section; and
(F) it authorizes the person to use interim measures before
completion of the alternative system referred to in
subparagraph (A).
(3) Enforcement agreements
An agreement shall be an enforcement agreement for purposes of
this section only if -
(A) it includes a plan negotiated by the person, the State in
which the person is located, and the Administrator that will,
in the opinion of the Administrator, if adhered to by the
person in good faith, result in the phasing out and termination
of ocean dumping, and transportation for the purpose of ocean
dumping, of sewage sludge and industrial waste by such person
through the design, construction, and full implementation of an
alternative system for the management of sewage sludge and
industrial waste transported or dumped by the person;
(B) it includes a schedule which -
(i) in the opinion of the Administrator, specifies
reasonable dates by which the person shall complete the
various activities that are necessary for the timely
implementation of the alternative system referred to in
subparagraph (A); and
(ii) meets the requirements of paragraph (4);
(C) it requires the person to notify in a timely manner the
Administrator and the Governor of the State of any problems the
person has in complying with the schedule referred to in
subparagraph (B);
(D) it requires the Administrator and the Governor of the
State to evaluate on an ongoing basis the compliance of the
person with the schedule referred to in subparagraph (B);
(E) it requires the person to pay in accordance with this
section all fees and penalties the person is liable for under
this section; and
(F) it authorizes the person to use interim measures before
completion of the alternative system referred to in
subparagraph (A).
(4) Schedules
A schedule included in a compliance agreement pursuant to
paragraph (2)(B) or an enforcement agreement pursuant to
paragraph (3)(B) shall establish deadlines for -
(A) preparation of engineering designs and related
specifications for the alternative system referred to in
paragraph (2)(A) or paragraph (3)(A), as applicable;
(B) compliance with appropriate Federal, State, and local
statutes, regulations, and ordinances;
(C) site and equipment acquisitions for such alternative
system;
(D) construction and testing of such alternative system;
(E) operation of such alternative system at full capacity;
and
(F) any other activities, including interim measures, that
the Administrator considers necessary or appropriate.
(5) Clean oceans funds
(A) Each State that is a party to a compliance agreement or an
enforcement agreement under this subsection shall establish an
interest bearing account, to be known as a Clean Oceans Fund,
into which a person shall pay fees and penalties in accordance
with subsections (b)(2)(C) and (d)(2)(C)(i) of this section,
respectively.
(B) A State which establishes a Clean Oceans Fund pursuant to
this paragraph shall allocate and pay from the fund each year, to
each person in the State which has entered into a compliance
agreement or enforcement agreement under this subsection, a
portion of amounts in the fund on the last day of that year which
is equal to the sum of -
(i) amounts paid by the person into the fund in that year as
fees pursuant to subsection (b)(2)(C) of this section and as
penalties pursuant to subsection (d)(2)(C)(i) of this section;
(ii) amounts paid by the Administrator into the fund in that
year as fees held in escrow for the person pursuant to
subsection (b)(5)(B) of this section; and
(iii) interest on such amounts.
(C) Amounts allocated and paid to a person pursuant to
subparagraph (B) -
(i) shall be used for the purposes described in subsection
(e)(2)(B) of this section; and
(ii) may be used for matching Federal grants.
(D) A Clean Oceans Fund established by a State pursuant to this
paragraph shall be subject to such accounting, reporting, and
other requirements as may be established by the Administrator to
assure accountability of payments into and out of the fund.
(6) Public participation
The Administrator shall provide an opportunity for public
comment regarding the establishment and implementation of
compliance agreements and enforcement agreements entered into
pursuant to this section.
(d) Penalties
(1) In general
In lieu of any other civil penalty under this Act, any person
who has entered into a compliance agreement or enforcement
agreement under subsection (c) of this section and who dumps or
transports sewage sludge or industrial waste in violation of
subsection (a)(1)(B) of this section shall be liable for a civil
penalty, to be assessed by the Administrator, as follows:
(A) For each dry ton (or equivalent) of sewage sludge or
industrial waste dumped or transported by the person in
violation of this subsection in calendar year 1992, $600.
(B) For each dry ton (or equivalent) of sewage sludge or
industrial waste dumped or transported by the person in
violation of this subsection in any year after calendar year
1992, a sum equal to -
(i) the amount of penalty per dry ton (or equivalent) for a
violation occurring in the preceding calendar year, plus
(ii) a percentage of such amount equal to 10 percent of
such amount, plus an additional 1 percent of such amount for
each full calendar year since December 31, 1991.
(2) Payment of penalty
Of the amount of penalties under paragraph (1) for which a
person is liable, such person -
(A) shall pay into a trust account established by the person
in accordance with subsection (e) of this section a sum which
is a percentage of such amount equal to -
(i) 90 percent of such amount, reduced by
(ii) 5 percent of such amount for each full calendar year
since December 31, 1991;
(B) shall pay to the Administrator a sum equal to $15 per dry
ton (or equivalent) of sewage sludge and industrial waste
transported or dumped by such person in that year, for use for
agency activities as provided in subsection (f)(1) of this
section;
(C) for violations in any year before calendar year 1995 -
(i) subject to paragraph (4), shall pay into the Clean
Oceans Fund established by the State in which the person is
located a sum equal to 50 percent of the balance of such
amount; and
(ii) subject to paragraph (4), shall pay to the State in
which the person is located a sum equal to the portion of
such amount which is not paid as provided in subparagraphs
(A), (B), and (C), for deposit into the water pollution
control revolving fund established by the State under title
VI of the Federal Water Pollution Control Act [33 U.S.C. 1381
et seq.], as provided in subsection (f)(2) of this section;
and
(D) for violations in any year after calendar year 1994,
shall pay to the State in which the person is located a sum
equal to the balance of such amount, for use by the State for
providing assistance under subsection (f)(3) of this section.
(3) Schedule for payment
Penalties under this subsection shall be paid on a quarterly
basis.
(4) Payments prior to establishment of account
In any case in which a State has not established a Clean Oceans
Fund or a water pollution control revolving fund under title VI
of the Federal Water Pollution Control Act, penalties required to
be paid by a person in that State under paragraph (2)(C)(i) or
(ii), as applicable, shall be paid to the Administrator for
holding and payment or reversion, as applicable, in the same
manner as fees are held and paid or revert under subsection
(b)(5) of this section.
(e) Trust account
(1) In general
A person who enters into a compliance agreement or an
enforcement agreement under subsection (c) of this section shall
establish a trust account for the payment and use of fees and
penalties under this section.
(2) Trust account requirements
An account shall be a trust account for purposes of this
subsection only if it meets, to the satisfaction of the
Administrator, the following requirements:
(A) Amounts in the account may be used only with the
concurrence of the person who establishes the account and the
Administrator; except that the person may use amounts in the
account for a purpose authorized by subparagraph (B) after 60
days after notification of the Administrator if the
Administrator does not disapprove such use before the end of
such 60-day period.
(B) Amounts in the account may be used only for projects
which will identify, develop, and implement -
(i) an alternative system, and any interim measures, for
the management of sewage sludge and industrial waste,
including but not limited to any such system or measures
utilizing resource recovery, recycling, thermal reduction, or
composting techniques; or
(ii) improvements in pretreatment, treatment, and storage
techniques for sewage sludge and industrial waste to
facilitate the implementation of such alternative system or
interim measures.
(C) Upon a finding by the Administrator that a person did not
pay fees or penalties into an account as required by this
section, or did not use amounts in the account in accordance
with this subsection, the balance of the amounts in the account
shall be paid to the State in which the person is located, for
deposit into the water pollution control revolving fund
established by the State under title VI of the Federal Water
Pollution Control Act [33 U.S.C. 1381 et seq.], as provided in
subsection (f)(2) of this section.
(3) Use of unexpended amounts
Upon a determination by the Administrator that a person has
terminated ocean dumping of sewage sludge or industrial waste,
the balance of amounts in an account established by the person
under this subsection shall be paid to the person for use -
(A) for debts incurred by the person in complying with this
Act or the Federal Water Pollution Control Act [33 U.S.C. 1251
et seq.];
(B) in meeting the requirements of the Federal Water
Pollution Control Act (33 U.S.C. 1251 et seq.) which apply to
the person, including operations and maintenance; and
(C) for matching Federal grants.
(4) Use for matching Federal grants
Amounts in a trust account under this subsection may be used
for matching Federal grants.
(f) Use of fees and penalties
(1) Agency activities
Of the total amount of fees and penalties paid to the
Administrator in a fiscal year pursuant to subsections (b)(2)(B)
and (d)(2)(B) of this section, respectively -
(A) not to exceed one-third of such total amount shall be
used by the Administrator for -
(i) costs incurred or expected to be incurred in
undertaking activities directly associated with the issuance
under this Act of permits for the transportation or dumping
of sewage sludge and industrial waste, including the costs of
any environmental assessment of the direct effects of dumping
under the permits;
(ii) preparation of reports under subsection (i) of this
section; and
(iii) such other research, studies, and projects the
Administrator considers necessary for, and consistent with,
the development and implementation of alternative systems for
the management of sewage sludge and industrial waste;
(B) not to exceed one-third of such total amount shall be
transferred to the Secretary of the department in which the
Coast Guard is operating for use for -
(i) Coast Guard surveillance of transportation and dumping
of sewage sludge and industrial waste subject to this Act;
and
(ii) such enforcement activities conducted by the Coast
Guard with respect to such transportation and dumping as may
be necessary to ensure to the maximum extent practicable
complete compliance with the requirements of this Act; and
(C) not to exceed one-third of such total amount shall be
transferred to the Under Secretary of Commerce for Oceans and
Atmosphere for use for -
(i) monitoring, research, and related activities consistent
with the program developed pursuant to subsection (j)(1) of
this section; and
(ii) preparing annual reports to the Congress pursuant to
subsection (j)(4) (!1) of this section which describe the
results of such monitoring, research, and activities.
(2) Deposits into State water pollution control revolving fund
(A) Amounts paid to a State pursuant to subsection (b)(2)(D),
(d)(2)(C)(ii), or (e)(2)(C) of this section shall be deposited
into the water pollution control revolving fund established by
the State pursuant to title VI of the Federal Water Pollution
Control Act [33 U.S.C. 1381 et seq.].
(B) Amounts deposited into a State water pollution control
revolving fund pursuant to this paragraph -
(i) shall not be used by the State to provide assistance to
the person who paid such amounts for development or
implementation of any alternative system;
(ii) shall not be considered to be State matching amounts
under title VI of the Federal Water Pollution Control Act; and
(iii) shall not be subject to State matching requirements
under such title.
(3) Penalty payments to States after 1994
(A) Amounts paid to a State as penalties pursuant to subsection
(d)(2)(D) of this section may be used by the State -
(i) for providing assistance to any person in the State -
(I) for implementing a management program under section 319
of the Federal Water Pollution Control Act [33 U.S.C. 1329];
(II) for developing and implementing a conservation and
management plan under section 320 of such Act [33 U.S.C.
1330]; or
(III) for implementing technologies and management
practices necessary for controlling pollutant inputs
adversely affecting the New York Bight, as such inputs are
identified in the New York Bight Restoration Plan prepared
under section 2301 of the Marine Plastic Pollution Research
and Control Act of 1987; and
(ii) for providing assistance to any person in the State who
was not required to pay such penalties for construction of
treatment works (as defined in section 212 of the Federal Water
Pollution Control Act [33 U.S.C. 1292]) which are publicly
owned.
(B) Amounts paid to a State as penalties pursuant to subsection
(d)(2)(D) of this section which are not used in accordance with
subparagraph (A) shall be deposited into the water pollution
control revolving fund established by the State under title VI of
the Federal Water Pollution Control Act. Amounts deposited into
such a fund pursuant to this subparagraph -
(i) shall not be used by the State to provide assistance to
the person who paid such amounts;
(ii) shall not be considered to be State matching amounts
under title VI of the Federal Water Pollution Control Act; and
(iii) shall not be subject to State matching requirements
under such title.
(4) Deposits into Treasury as offsetting collections
Amounts of fees and penalties paid to the Administrator
pursuant to subsection (b)(2)(B) or (d)(2)(B) of this section
which are used by an agency in accordance with paragraph (1)
shall be deposited into the Treasury as offsetting collections of
the agency.
(g) Enforcement
(1) In general
Whenever, on the basis of any information available, the
Administrator finds that a person is dumping or transporting
sewage sludge or industrial waste in violation of subsection
(a)(1) of this section, the Administrator shall issue an order
requiring such person to terminate such dumping or transporting
(as applicable) until such person -
(A) enters into a compliance agreement or an enforcement
agreement under subsection (c) of this section; and
(B) obtains a permit under section 1412 of this title which
authorizes such dumping or transporting.
(2) Requirements of order
Any order issued by the Administrator under this subsection -
(A) shall be delivered by personal service to the person
named in the order;
(B) shall state with reasonable specificity the nature of the
violation for which the order is issued; and
(C) shall require that the person named in the order, as a
condition of dumping into ocean waters, or transporting for the
purpose of dumping into ocean waters, sewage sludge or
industrial waste -
(i) shall enter into a compliance agreement or an
enforcement agreement under subsection (c) of this section;
and
(ii) shall obtain a permit under section 1412 of this title
which authorizes such dumping or transporting.
(3) Actions
The Administrator may request the Attorney General to commence
a civil action for appropriate relief, including a temporary or
permanent injunction and the imposition of civil penalties
authorized by subsection (d)(1) of this section, for any
violation of subsection (a)(1) of this section or of an order
issued by the Administrator under this section. Such an action
may be brought in the district court of the United States for the
district in which the defendant is located, resides, or is doing
business, and such court shall have jurisdiction to restrain such
violation and require compliance with subsection (a)(1) of this
section and any such order.
(h) State progress reports
(1) In general
The Governor of each State that is a party to a compliance
agreement or an enforcement agreement under subsection (c) of
this section shall submit to the Administrator on September 30 of
1989 and of every year thereafter until the Administrator
determines that ocean dumping of sewage sludge and industrial
waste by persons located in that State has terminated, a report
which describes -
(A) the efforts of each person located in the State to comply
with a compliance agreement or enforcement agreement entered
into by the person pursuant to subsection (c) of this section,
including the extent to which such person has complied with
deadlines established by the schedule included in such
agreement;
(B) activity of the State regarding permits for the
construction and operation of each alternative system; and
(C) an accounting of amounts paid into and withdrawn from a
Clean Oceans Fund established by the State.
(2) Failure to submit report
If a State fails to submit a report in accordance with this
subsection, the Administrator shall withhold funds reserved for
such State under section 205(g) of the Federal Water Pollution
Control Act (33 U.S.C. 1285(g)). Funds withheld pursuant to this
paragraph may, at the discretion of the Administrator, be
restored to a State upon compliance with this subsection.
(i) EPA progress reports
(1) In general
Not later than December 31 of 1989 and of each year thereafter
until the Administrator determines that ocean dumping of sewage
sludge and industrial waste has terminated, the Administrator
shall prepare and submit to the Congress a report on -
(A) progress being made by persons issued permits under
section 1412 of this title for transportation or dumping of
sewage sludge or industrial waste in developing alternative
systems for managing sewage sludge and industrial waste;
(B) the efforts of each such person to comply with a
compliance agreement or enforcement agreement entered into by
the person pursuant to subsection (c) of this section,
including the extent to which such person has complied with
deadlines established by the schedule included in such
agreement;
(C) progress being made by the Administrator and others in
identifying and implementing alternative systems for the
management of sewage sludge and industrial waste; and
(D) progress being made toward the termination of ocean
dumping of sewage sludge and industrial waste.
(2) Referral to Congressional committees
Each report submitted to the Congress under this subsection
shall be referred to each standing committee of the House of
Representatives and of the Senate having jurisdiction over any
part of the subject matter of the report.
(j) Environmental monitoring
(1) In general
The Administrator, in cooperation with the Under Secretary of
Commerce for Oceans and Atmosphere, shall design a program for
monitoring environmental conditions -
(A) at the Apex site (as that term is defined in section
1414a of this title);
(B) at the site designated by the Administrator under section
1412(c) of this title and known as the "106-Mile Ocean Waste
Dump Site" (as described in 49 F.R. 19005);
(C) at the site at which industrial waste is dumped; and
(D) within the potential area of influence of the sewage
sludge and industrial waste dumped at those sites.
(2) Program requirements
The program designed under paragraph (1) shall include, but is
not limited to -
(A) sampling of an appropriate number of fish and shellfish
species and other organisms to assess the effects of
environmental conditions on living marine organisms in these
areas; and
(B) use of satellite and other advanced technologies in
conducting the program.
(3) Monitoring activities
The Administrator and the Under Secretary of Commerce for
Oceans and Atmosphere shall each conduct monitoring activities
consistent with the program designed under paragraph (1).
(4) Omitted
(k) Definitions
For purposes of this section -
(1) the term "alternative system" means any method for the
management of sewage sludge or industrial waste which does not
require a permit under this Act;
(2) the term "Clean Oceans Fund" means such a fund established
by a State in accordance with subsection (c)(5) of this section;
(3) the term "excluded material" means -
(A) any dredged material discharged by the United States Army
Corps of Engineers or discharged pursuant to a permit issued by
the Secretary in accordance with section 1413 of this title;
and
(B) any waste from a tuna cannery operation located in
American Samoa or Puerto Rico discharged pursuant to a permit
issued by the Administrator under section 1412 of this title;
(4) the term "industrial waste" means any solid, semisolid, or
liquid waste generated by a manufacturing or processing plant,
other than an excluded material;
(5) the term "interim measure" means any short-term method for
the management of sewage sludge or industrial waste, which -
(A) is used before implementation of an alternative system;
and
(B) does not require a permit under this Act; and
(6) the term "sewage sludge" means any solid, semisolid, or
liquid waste generated by a wastewater treatment plant, other
than an excluded material.
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