NEIC
CRIMINAL PROVISIONS OF FEDFRAT
ENVIRONMENTAL AND
National Enforcement Investigations Center, Denver
CIS. Environmental Protection Agency
Office of Enforcement
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
OFFICE OF ENFORCEMENT
NATIONAL ENFORCEMENT INVESTIGATIONS CENTER
CRIMINAL PROVISIONS OF FEDERAL
ENVIRONMENTAL AND ANCILLARY LAWS
JUNE 1992
1992 Update prepared by.
Beth Anne C. Behrens, Legal Assistant
United States Environmental Protection Agency
National Enforcement Investigations Center
Telephone: (303)236-5128
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CONTENTS
INTRODUCTION
EXPLANATION OF LAW CITATIONS
PARTI
CRIMINAL PROVISIONS OF ENVTRQNTMENTAL LAWS
Clean Air Act (CAA)
a. CAA effective November 15,1990 (current version) l
b. CAA effective 1977 (previous version) 6
Clean Water Act (CWA)
a. CWA as amended 1990 (current version) 9
b. CWA as amended by the Water Quality Act of 1987
(previous version) 17
Comprehensive Environmental Response, Compensation
and Liability Act of 1980 (CERCLA) (CERCLA is also
known as SUPERFUND) as amended by SARA of 1986 23
Emergency Planning and Community Right-To-Know Act
of 1986 (EPCRA) 27
Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA)
a. FIFRA as amended 1988 (current version) 29
b. FIFRA as amended 1978 (previous version) 35
Hazardous Materials Transportation Act of 1975 (HMTA) 39
Marine Protection, Research, and Sanctuaries Act of 1972 (MPRSA)
a as amended by the Ocean Dumping Ban of 1988
(current version) 41
b. as enacted 1972 (previous version) 43
Noise Control Act of 1972 (NCA) 45
Resource Conservation and Recovery Act of 1976 (RCRA)
{RCRA initially amended the Solid Waste Disposal Act (SWDA)} 47
Rivers and Harbors Appropriation Act of 1899 (RHAA) 53
Safe Drinking Water Act (SDWA) as amended 1986 57
Tone Substances Control Act of 1976 (TSCA) 59
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18 TJ.S.C. S 3571 Sentence of fine (also known as Alternative Fines Act,
effective Dec. 11,1987 - present) (cont.)
(6) for a Class B or C misdemeanor that does not result in death, not
more than $5,000; or
(7) for an infraction, not more than $5,000.
(c) Fines for organizations - Except as provided in subsection (e) of this
section, an organization that has been found guilty of an offense may be fined
not more than the greatest of -
(1) the amount specified in the law setting forth the offense;
(2) the applicable amount under subsection (d) of this section;
(3) for a felony, not more than $500,000;
(4) for a misdemeanor resulting in death, not more than $500,000;
(5) for a Class A misdemeanor that does not result in death, not more
than $200,000;
(6) for a Class B or C misdemeanor that does not result in death, not
more than $10,000; and
(7) for an infraction, not more than $10,000.
(d) Alternative fine based on gain or loss-- If any person derives pecuniary
gain from the offense, or if the offense results in pecuniary loss to a person
other than the defendant, the defendant may be fined not more than the
greater of twice the gross gain or twice the gross loss, unless imposition of a
fine under this subsection would unduly complicate or prolong the sentencing
process.
(e) Special rule for lower fine specified in substantive provision- If a law
setting forth an offense specifies no fine or a fine that is lower than the fine
otherwise applicable under this section and such law, by specific reference,
exempts the offense from the applicability of the fine otherwise applicable
under this section, the defendant may not be fined more than the amount
specified in the law setting forth the offense.
113
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CONTENTS (cent.)
PART II
ANCILLARY LAWS
Odometer requirements [15U.S.C. 5 1990c] 61
Migratory Bird Treaty Act [16 U.S.C. ft 707] 62
Endangered Species Act [16 U.S.C. § 1540] 63
Aquatic Nuisance Prevention [16 U.S.C. § 4711] 64
Federal Food, Drug, And Cosmetic Act
[21 U.S.C. §§ 331 and 333] 65
Surface Mining Control and Reclamation
[30 U.S.C. § 1268] 66
Pollution Casualties on the High Seas:
United States Intervention [33 U.S.C. § 1481] 68
Deepwater Ports Act [33 U.S.C. 5 1509] 69
Act to Prevent Pollution From Ships [33U.S.C.§ 1908] 72
Shore Protection Act of 1988 [33 U.S.C. § 2601 et seq.] 73
Outer Continental Shelf Lands Act [43 U.S.C. § 1350] 74
PART III
SELECT PROVISIONS OF
UNITED STATES CODE TITLE 18. CRIMES AND CRIMINAL
PROCEDURE
Sec. No. Section title
2 Principals 75
3 Accessory after the fact 75
4 Misprision of felony 75
41 Hunting, fishing, trapping, disturbance, or
injury on wildlife refuge 75
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CONTENTS (cont.)
Sec. No. Section title
111 Assaulting, resisting or impeding certain
officers or employees 76
115 Influencing, impeding, or retaliating against
Federal official 76
152 Concealment of assets, false oaths and claims, bribery 78
208 Acts affecting a personal financial interest 79
241 Conspiracy against rights of citizens 80
286 Conspiracy to defraud the government with respect
to claims 81
287 False, fictitious or fraudulent claims 81
371 Conspiracy to commit offense or to defraud
United States 81
372 Conspiracy to impede or injure officer 82
401 Power of court 82
402 Contempts constituting crimes 82
494 Contractors' bonds, bids and public record 83
506 Seals of departments or agencies 83
511 Altering motor vehicle identification numbers 84
542 Entry of goods by means of false statements 84
545 Smuggling goods into the United States 85
641 Public money, property or records 85
64S Custodians, generally, misusing public funds 86
666 Theft or bribery concerning programs
receiving Federal funds 86
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CONTENTS (cont.)
No Section title
701 Official badges, identification cards, other insignia ..................... 88
873 Blackmail [[[ 88
874 Kickbacks from public works employees ..................................... 88
1001 Statements or entries generally ................................................. 88
1002 Possession of false papers to defraud United States ....................... 88
1014 Loan and credit applications [[[ 89
1073 Flight to avoid prosecution or giving testimony ............................. 89
1111 Murder [[[ 90
1112 Manslaughter [[[ 91
1114 Protection of officers and employees of the
United States [[[ 91
1117 Conspiracy to murder [[[ 91
1201 Kidnapping [[[ 92
1341 Frauds and swindles [[[ 92
1342 Fictitious name or address [[[ 93
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CONTENTS (cont.)
Sec No. Section title
1514 Civil action to restrain harassment of a victim
or witness 96
1515 Definitions for certain provisions 100
1621 Perjury generally 102
1622 Subornation of perjury 102
1623 False declarations before grand jury or court 103
1905 Disclosure of confidential information generally 104
1951 Interference with commerce by threats of violence 104
1961 Racketeer influenced and corrupt organizations
(RICO) 105
1962 Prohibited activities 106
1963 Criminal penalties 107
2071 Concealment, removal or mutilation generally 108
2231 Assault or resistance 108
2232 Destruction or removal of property to prevent
seizure 109
2236 Searches without warrant 109
2274 Destruction or misuse of vessel 110
2313 Sale of stolen vehicles 110
2314 Transportation of stolen goods Ill
3063 Powers (law enforcement) of the EPA 112
3571 Sentence of fine (current version,
effective Dec. 11, 1987-present) 112
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INTRODUCTION
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INTRODUCTION
This booklet contains the criminal provisions of Federal
environmental statutes, as they are written in the U.S. Code. It is not an
official publication of the U.S. Environmental Protection Agency and is not
intended to, does not, and may not be relied upon to create a right or benefit,
substantive or procedural, enforceable at law by a party to litigation with the
United States.
Any explanatory information in the text is contained in boldface
braces, { ), and is not part of the official language of the law, and therefore
should not be included in quotations of the codes.
The booklet is divided into three parts:
Part I: CRIMINAL PROVISIONS OF RNVTRnKVfENTAL LAWS-
contains the criminal provisions, as well as related sections of the
environmental statutes enforced by the Agency. This section is arranged in
alphabetical order according to the common name of the Act, i.e. Clean Air
Act, Clean Water Act, etc. Specific sections (in Parts I and II) of each law
that refers to the criminal penalties for violating that law appear in bokl
print. The bold print is only an editorial enhancement.
The current version of an amended statute appears first. If there is a
version of the statute that was effective within the last five years, it will
follow the current version and be identified by the bold print, PREVIOUS
VERSION at the top of each page. In addition, the entire text of the
previous version will be printed in italics.
Part II: ANCILLARY LAWS contains select ancillary statutes listed
in ascending order of the U.S. Code title number. The select statutes are
pertinent sections from other laws that were or may be charged in the
indictments or informations resulting from environmental investigations
conducted jointly by EPA Criminal Investigation Division and other law
enforcement agencies.
,.^ III: m'BCrr PROVISIONS OF THF. ITS CODE TTTT.R IS
CRIMES AND CRIMINAL PROCEnimB iHS^^J^^ j^'^n^ if
U.S. Code title 18, Crimes and Criminal Procedure. The sections are listed
in ascending order of the section numbers.
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Explanation of Law Citations:
On top of the first page for each citation is a U.S. Code title number
and the corresponding name of that title, followed by the common name
and its abbreviation or acronym. Printed below the acronym, in Part I, and
contained in boldface braces ( } are: parallel citations to the Public Law, the
Statutes-at-Large, and the effective date. The next citations that appear are
the U.S. Code citation and below that and between braces is the parallel
citation to the Act. For example:
42 U.S.C. $ 9603 Notification requirements
(CERCLA §103}
The citation above is located next to the text and it describes that Section 103
of CERCLA {CERCLA § 103) is codified at title 42 of the US. Code at section
9603 (42 UJS.C. §9603).
When using the U.S. Code citations for direct quotations of the code,
include designations for subtitles and subsections enclosed in parentheses
and found either with the section in the law citation or next to the text of the
section.
New Additions:
The following laws and amendments were added to this edition, with
their location within the publication in parenthesis:
• 1990 Clean Air Act Amendments (Part I)
• Aquatic Nuisance Prevention and Control (Part II)
• Surface Mining Control and Reclamation (Part II)
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PART I
CRIMINAL PROVISIONS OF ENVIRONMENTAL LAWS
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US. CODE TITLE 42, THE PUBLIC HEALTH AND WELFARE
CLEAN AIR ACT
(CAA)
{§ 113 as added by the Clean Air Amendments of 1970, Pub. L. No. 91-604, 84
Stat. 1686, and amended by Pub. L. No. 95-95, 91 Stat. 691, effective Aug. 7,
1977 and amended by Pub. L. No. 101-549, effective Nov. 15.1990}
42 U.S.C. $ 7413 Federal Enforcement
(CAA § 113)
(c) CRIMINAL PENALTIES
(1) Any person who knowingly -
(A) violates any requirement or prohibition of an applicable
implementation plan (during any period of federally assumed
enforcement or more than 30 days after having been notified
under subsection (aXD by the Administrator that such person
is violating such requirement or prohibition), any order under
subsection (a) of this section, requirement or prohibition of
section lll(e) of this title (relating to new source performance
standards), section 112 of this title, section 114 (relating to
recordkeeping, inspections, etc.), section 129 of this title
(relating to solid waste combustion), section 165(a) of this title
(relating to preconstruction requirements, an order under
section 167 of this title (relating to preconstruction
requirements), an order under section 303 of title III (relating
to emergency orders), section 502(a) or 503(ci of title V (relating
to permits), or any requirement or prohibition 'of title IV
(relating to acid deposition control), or tide VI (relating to
stratospheric ozone control), including a requirement of any
rule, order, waiver, or permit promulgated or approved under
such sections or titles, and including any requirement for the
payment of any fee owed the United States under this Act
(other than title II) shall, upon conviction, be punished by a
fine pursuant to title 18 of the United States Code, or by
imprisonment for not to exceed five years, or both. If a
conviction of any person under this paragraph is for a violation
committed after a first conviction of such person under this
paragraph, the maximum punishment "Hall be doubled with
respect to both the fine and imprisonment
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A2TT.S.C. 67413 Federal Enforcement
{CAA§113J
(c) Criminal penalties (cont.)
Shall be punished by a fine of not more than $25,000 per day of
not more man one year, or by
both. If the conviction is for a violation committed after the
first conviction of such person under this paragraph,
punishment shall be by a fine of not more than $50,000 per day
of violation, or by imprisonment for not more than two years,
or by both.
(2) Any person who knowingly-
"(A) makes any false material statement representation, or
certification in, or omits material information from, or
knowingly alters, conceals, or fails to file or maintain any
notice, application, record, report, plan, or other document
required pursuant to this Act to be either filed or maintained
(whether with respect to the requirements imposed by the
Administrator or by a State);
"(B) fails to notify or report as required under this Act; or
"(C) falsifies, tampers with, renders inaccurate, or fails to
install any monitoring device or method required to be
maintained or followed under this Act shall, upon conviction,
be punished by a fine pursuant to title 18 of the United States
Code, or by imprwMmmiiit for not more than two years, or both.
If a conviction of any person under this paragraph is for a
violation committed after a first conviction of such person
under this paragraph, the maximum punishment shall be
doubled with respect to both the fi"» and imprisonment.
"(3) Any person who knowingly fails to pay any fee owed the United
States under this title, title III, IV, V, or VI shall, upon conviction,
be punished \*y a fine pursuant to tide 18 of the United States Code, or
by imprisonment for not more than one year, or both. If a conviction
of any person under this paragraph is for a violation committed after
a first conviction of such person under this paragraph, the
punishment ghnfl be doubled with respect to both the fine
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42 T1S.C. 17413 Federal Enforcement
(CAA51131
(c) Criminal penalties (cont.)
"(4) Any person who negligently releases into tbe ambient air any
hazardous air pollutant listed pursuant to section 112 of this Act or
any extremely hazardous substance listed pursuant to section
302(aX2) of the Superfund Amendments and Reanthohzation Act of
1986 (42 U.S.C. 11002(aX2)) that is not listed in section 112 of this Act,
and who at the time negligently places another person in imminent
danger of death or serious bodily injury shall, upon conviction, be
punished by a fine under title 18 of the United States Code, or by
imprisonment for not more than one year, or bom. If a conviction of
any person under this paragraph is for a violation committed after a
first conviction of such person under this paragraph, the maximum
punishment shall be doubled with respect to both the fine and
imprisonment
(5) Any person who knowingly -
(A) Released into the ambient air any hazardous air
pollutant listed pursuant to section 112 of this Act or any
extremely hazardous substance listed pursuant to section
302(aX2) of the Superfund Amendments and Reauthorization
Act of 1966 [42 U.S.C. 11002(aX2)] that is not hsted in section 112
of this Act, and who knows at the time that he thereby places
another person in imminent danger of death or serious bodily
injury shall, upon conviction, be punished by a fine under title
18 of the United States Code, or by imprisonment of not more
than 15 yean, or both. Any person committing such violation
which is an organization shall, upon conviction under this
paragraph, be subject to a fine of not more than $1,000,000 for
each violation. If a conviction of any person under this
paragraph is for a violation committed after a first conviction
of such person under this paragraph, the maximum
punishment shall be doubled with respect to both the fine and
imprisonment. For any air pollutant for which the
Administrator has set an emissions standard or for any
source for which a permit has been issued under title V, a
release of such pollutant in accordance with that standard or
permit shall not constitute a violation of this paragraph or
paragraph (4).
"(B) In determining whether a defendant who is an
individual knew that the violation placed another person in
imminent danger of death or serious bodily injury-
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42 U.S.n. 6 7418 Federal Enforcement
ICAA § 113)
(c) Criminal penalties (cont.)
"(i) the defendant is responsible only for actual
awareness or actual belief possessed; and
"(ii) knowledge possessed by a person other than the
defendant, but not by the defendant, may not be
attributed to the defendant;
"(C) It is an affirmative defense to a prosecution that the
conduct charged was freely consented to by the person
endangered and that the danger and conduct charged were
reasonably foreseeable hazards of-
"(i) an occupation, a business, or a profession; or
"(ii) medical treatment or medical or scientific
experimentation conducted by professionally approved
methods and such other person had been made aware of
the risks involved prior to giving consent.
The defendant may establish an affirmative defense under this
subparagraph by a preponderance of the evidence.
"(D) All general defenses, affirmative defenses, and bars to
prosecution that may apply with respect to other Federal
criminal offenses may apply under subparagraph (A) of this
paragraph and shall be determined by the courts of the United
States according to the principles of common law as they may
be interpreted in the light of reason and experience. Concepts
of justification and excuse applicable under this section may be
developed in the light of reason and experience.
"(E) The term 'organization' means a legal entity, other than
a government, established or organized for any purpose, and
such term includes a corporation, company, association, firm,
partnership, joint stock company, foundation, institution,
trust, society, union, or any other association of persons.
"(F) The term 'serious bodily injury' means bodily injury
which involves a substantial risk of death, unconsciousness,
extreme physical pain, protracted and obvious disfigurement
or protracted loss or impairment of the function of a bodily
member, organ, or mental faculty.
4
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42ILS&12413 Federal Enforcement
(CAA § 113)
(c) Criminal penalties (cont.)
"(6) For the purpose of this subsection, the term 'person* includes,
in addition to the entities referred to in section 302(e), any responsible
corporate officer.
"(0 AWARDS * The Administrator may pay an award, not to exceed
$ 10,000, to any person who furnishes information or services which lead to
a criminal conviction or a judicial or administrative civil penalty for any
violation of this title or title III, IV, V, or VI of this Act enforced under this
section. Such payment is subject to available appropriations for such
purposes as provided in annual appropriation Acts. Any officer, or
employee of the United States or any State or local government who
furnishes information or renders service in the performance of an official
duty is ineligible for payment under this subsection. The Administrator
may, by regulation, prescribe additional criteria for eligibility for such an
award.
"(h) OPERATOR - For purposes of the provisions of this section and
section 120, the term 'operator', as used in such provisions, shall include
any person who is senior management personnel or a corporate officer.
Except in the case of knowing and willful violations, such term shall not
include any person who is a stationary engineer or technician responsible
for the operation, maintenance, repair, or monitoring of equipment and
facilities and who often has supervisory and training duties but who is not
senior management personnel or a corporate officer. Except in the case of
knowing and willful violations, for purposes of subsection (c)(4) of this
section, the term 'a person' shall not include an employee who is carrying
out his normal activities and who is not a part of senior management
personnel or a corporate officer. Except in the case of knowing and willful
violations, for purposes of paragraphs (1), (2), (3), and (5) of subsection (c) of
this section the term 'a person' shall not include an employee who is
carrying out his normal activities and who is acting under orders from the
employer."
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PREVIOUS VERSION (through Nov. 15,1990)
UJS. CODE TITLE 42, THE PUBLIC HEALTH AND WELFARE
CLEAN AIR ACT
(CAA)
(§ 113 as added by the Clean Air Amendments of 1970, Pub. L. No. 91-604, 84
Stat. 1686, and amended by Pub. L. No. 95-95, 91 Stat. 691, effective Aug. 7,
1977 effective until Nov. 15,1990)
42 US.C. $ 7413 Federal Enforcement
[CAA § 113]
fc)(l) Any person who knowingly.••
(A) violates any requirement or prohibition of an applicable
implementation plan (during any period of federally assumed
enforcement, or more than 30 days after having been notified by
the Administrator under subsection (a)(l) that such person is
violating such requirement or prohibition;
(B) violates, fails, or refuses to comply with any order under
section 7419 (Primary Nonferrous Smelter Orders) of this title
or under subsection (a) {Administrative Orders) or (d) {Final
Compliance Orders) of this section, or
(C) violates section 7411(e) (New Source Performance
Standards (NSPS)}, section 7412(c) {National Emissions
Standards for Hazardous Air Pollutants (NESHAPS)J of this
title, or
CD) violates any requirement of section 1857-10(g) of this title
(as in effect before August 7, 1977 (smelters), subsection (b)(7),
or (d)(5) of section 7420 of this title (relating to noncompliance
penalties), or any requirement of part B of this subchapter
(relating to ozone),
shall be punished by a fine of not more than $25,000per day of'violation, or
by imprisonment for not more than one year, or by bath. If the conviction is
for a violation committed after the first conviction of such person under this
paragraph, punishment shall be by a fine of not more than $50,000 per day
of violation, orby imprisonment for not more than two yean, or by both.
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PREVIOUS VERSION (through Nov. 15,1990) (cont.)
43 TJS.C. $ 7413 Federal Enforcement (cont.)
[CAA§113J
(2) Any person who knowingly makes any false statement,
representation, or certification in any application, record, report,
plan, or other document filed or required to be maintained under this
Act or who falsifies, tampers with, or knowingly renders inaccurate
any monitoring device or method required to be maintained under
this Act shall, upon conviction, be punished by a fine of not more
than $10,000 or by imprisonment for not more than »ix months, or by
both.
(3) For the purpose of this subsection, the term 'person" includes,
in addition to the entities referred to in section 7B02fe) of this title, any
responsible corporate officer.
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8
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U.S. CODE TITLE 33, NAVIGATION AND NAVIGABLE WATERS
CLEAN WATER ACT
(CWA)
(Federal Water Pollution Control Act (FWPCA), commonly known as the
Clean Water Act (CWA), as amended by Pub. L. No. 95-217, 91 Stat. 1591,
Dec. 27, 1977. by the Water Quality Act of 1987, Pub. L. No. 100-4, 101 Stat. 42,
and Pub. L. No. 100-101. Stat. 75 effective Aug. 18,1990)
an U.S.C. $ 1311 Effluent Limitations
{CWA § 301)
(a) Illegality of pollutant discharges except in compliance with law.
Except as in compliance with this section and sections 1312 (Water quality
related effluent limitations), 1316 (National standards of performance), 1317
{Toxic and pretreatment standards), 1328 (Records and reports;
inspections), 1342 (National pollutant discharge elimination system), and
1344 (Permits for dredge and fill material) of this title, the discharge of any
pollutant by any person shall be unlawful.
33 U.S.C. S 1317 Toxic and pretreatment effluent standards
(CWA§ 307)
(a) Toxic pollutant list; revision; hearing; promulgation of standards;
effective date; consultation
(1) On and after December 27, 1977, the list of toxic pollutants or
combination of pollutants subject to this chapter shall consist of
those toxic pollutants listed in table 1 of Committee Print Numbered
95-30 of the Committee on Public Works and Transportation of the
House of Representatives, and the Administrator shall publish, not
later than the thirtieth day after December 27, 1977, that list. From
time to time thereafter, the Administrator may revise such list and
the Administrator is authorized to add to or remove from such list
any pollutant. The Administrator in publishing any revised list,
including the removal or addition of any pollutant from such list,
shall take into account toxicity of the pollutant, its persistence,
degradability, the usual or potential presence of the affected
organisms in any waters, the importance of the affected organisms,
and the nature and extent of the effect of the toxic pollutant on such
organisms. A determination of the Administrator under this
paragraph shall be final except that if, on judicial review, such
determination was based on arbitrary and capricious action of the
Administrator, the Administrator shall make a ^determination.
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33 U.&C. $ 1318 Records and reports; inspections
(CWAS308)
(a) Maintenance; monitoring equipment; entry; access to information
Whenever required to carry out the objective of this chapter,
including but not limited to (1) developing or assisting in the development of
any effluent limitation, or other limitation, prohibition, or effluent
standard, pretreatment standard, or standard of performance under this
chapter; (2) determining whether any person is in violation of any such
effluent limitation, or other limitation, prohibition or effluent standard,
pretreatment standard, or standard of performance; (3) any requirement
established under this section; or (4) carrying out sections 1315, 1321, 1342,
1344 (relating to State permit programs), 1345 and 1364 of this title-
(A) the Administrator shall require the owner or operator of
any point source to (i) establish and maintain such records,
(ii) make such reports, (iii) install, use. and maintain such
monitoring equipment or methods (including where
appropriate, biological monitoring methods), (iv) sample such
effluents (in accordance with such methods, at such locations,
at such intervals, and in such manner as the Administrator
shall prescribe), and (v) provide such other information as he
may reasonably require; and
(B) the Administrator or his authorized representative
(including an authorized contractor acting as a representative
of the Administrator), upon presentation of his credentials-
(i) shall have a right of entry to. upon, or through any
premises in which an effluent source is located or in
which any records required to be maintained under
clause (A) of this subsection are located, and
(ii) may at reasonable times have access to and copy
any records, inspect any monitoring equipment or
method required under clause (A), and sample any
effluents which the owner or operator of such source is
required to sample under such clause.
10
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as f T.S.r. * 1319 Enforcement
(CWAft 309}
(c) Criminal penalties
(1) Negligent violations-
Any person who-
(A) negligently violates section 1311 (Effluent Limitations},
1312 (Water Quality Related Effluent Limitations I, 1316
(National Standards of Performance), 1317 (Toxic and
Treatment Effluent Standards), 1318 (Records and Reports;
Inspections (Monitoring and Entry)}, 1321(bX3) (Discharge of
Oil or Hazardous Substances ), 1328 (Aqnaculturel or 1345
(Disposal of Sewage Sludge) of this title, or any permit
condition or limitation implementing any of such sections in a
permit issued under section 1342 (National Pollutant
Discharge Elimination System (NPDES)J of this title by the
Administrator or by a State, or any requirement imposed in a
pretreatment program approved under section 1342(a)(3)
(Permits for Discharge of Pollutants (Certification)) or
1342(bX8) (State Permit Programs
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33 LLS.C. 8 1319 Enforcement
{CWA§ 309)
(c) Criminal penalties (cont.)
(2) Knowing viola tions--
Any person who—
(A) knowingly violates section 1311, 1312,1316, 1317, 1318,
1321(bX3), 1328, or 1345 of this title, or any permit condition or
limitation implementing any of such sections in a permit
issued under section 1342 of this title by the Administrator or
by a State, or any requirement imposed in a pretreatment
program approved under section 1342(aX3) or (bX8) of this title
or in a permit issued under section 1344 of this title by the
Secretary of the Army or by a State; or
(B) knowingly introduces into a sewer system or into a
publicly owned treatment works any pollutant or hazardous
substance which personal injury or property damage or, other
than in compliance with all applicable Federal, State, or local
requirements or permits, which causes such treatment work
to violate any effluent limitation or condition in a permit issued
to the treatment works under section 1342 of this title by the
Administrator or a State;
shall be punished by a fine of not less than $5,000 nor
more than $50,000 per day of violation or by
imprisonment for not more than three years, or by both.
If a conviction of a person is for a violation committed
after a first conviction of such person under this
paragraph, punishment shall be a fine of not more than
$100,000 per day of violation or by imprisonment of not
more than six years, or by both.
(3) Knowing endangerment.-
(A) General rule - Any person who knowingly violates
section 1311,1312, 1313, 1316,1317,1318,1328. or 1345 of this
title, or any permit condition or limitation implementing any of
such sections in a permit issued under section 1342 of this title
by the Administrator or by a State, or in a permit issued under
section 1344 of this title by the Secretary of the Army or by a
State, and who knows at that time that he thereby places
another person in imminent danger of death or serious bodily
injury, shall, upon conviction, be subject to a fine of not more
12
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33 U.S.C. S 1319 Enforce
(CWA§ 309)
(c) Criminal penalties (cont.)
than $250,000 or imprisonment of not more than 15 years, or
both. A person which is an organization shall, upon
conviction of violating this subparagraph, be subject to a fine of
not more than $1,000,000. If a conviction of a person is for a
violation committed after a first conviction of such person
under this paragraph, the maximum punishment shall be
doubled with respect to both fine and imprisonment
(B) Additional provisions •
For the purpose of subparagraph (A) of this paragraph--
CD in determining whether a defendant who is an
individual knew that his conduct placed another person
in imminent danger of death or serious bodily injury-
(I) the person is responsible only for actual
awareness or actual belief that he possessed; and
(II) knowledge possessed by a person other than
the defendant but not by the defendant himself
may not be attributed to the defendant;
except that in proving the defendant's possession of
actual knowledge, circumstantial evidence may be used
including evidence that the defendant took affirmative
steps to shield himself from relevant information;
(ii) it is an affirmative defense to prosecution that the
conduct charged was consented to by the person
endangered and that the danger and conduct charged
were reasonably foreseeable hazards of -
(I) an occupation, a business or a profession;
or
(II) medical treatment or medical or scientific
experimentation conducted by professionally
approved methods and such other person had been
made aware of the risks involved prior to giving
consent;
13
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aa TJ.S.C. 6. 1319 Enforcement
|CWA§ 309}
(c) Criminal penalties (cont.)
and such defense may be established under this
subparagraph by a preponderance of the evidence;
(iii) the term "organization" means a legal entity,
other than a government, established or organized for
any purpose, and such term includes a corporation.
company, association, firm, partnership, joint stock
company, foundation, institution, trust, society, union or
any other association of persons; and
(iv) the term "serious bodily injury" means bodily
injury which involves a substantial risk of death,
unconsciousness, extreme physical pain, protracted and
obvious disfigurement, or protracted loss or impairment
of the function of a bodily member, organ, or mental
faculty.
(4) False statements -
Any person who knowingly makes any false material
statement, representation, or certification in any application, record,
report, plan, or other document filed or required to be maintained
under this title or who knowingly falsifies, tampers with, or renders
inaccurate any monitoring device or method required to be
maintained under this title shall, upon conviction, be punished by a
fine of not more than $10,000, or by imprisonment for not more than
two years, or by both. If a conviction of a person is for a violation
committed after a first conviction of such person under this
paragraph, punishment shall be by a fine of not more than $20jOOO
per day of violation or by imprisonment of not more than four years,
or by both,
(5) Treatment of single operational upset •
For purposes of this subsection, a single operational upset
which leads to simultaneous violations of more than one pollutant
parameter shall be treated as a single violation.
14
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33 U.S.C. 8 1319 Enforcement
{CWAft 309)
(c) Criminal penalties (cont.)
(6) Responsible corporate officer as "person" -
For the purpose of this subsection, the term "person" means,
in addition to the definition contained in section 1362(5) of this title,
any responsible corporate officer.
(7) Hazardous substance defined -
For the purpose of this subsection, the term "hazardous
substance" means (A) any substance designated pursuant to section
1321(b)(2)(A) of this title, (B) any element, compound, mixture,
solution or substance designated pursuant to section 9602 of Title 42
(Comprehensive Environmental Response, Compensation and
Liability) Act of 1980 42 U.S.C. § 9602), (C) any hazardous waste
having the characteristics identified under or listed pursuant to
section 3001 of the Solid Waste Disposal Act [42 U.S.C. § 6921] (but not
including any waste the regulation of which under the Solid Waste
Disposal Act [42 U.S.C. § 6901 et seq.J has been suspended by Act of
Congress), (D) any toxic pollutant listed under section 1317(a) of the
title, and (E) any imminently hazardous chemical substance or
mixture with respect to which the Administrator has taken action
pursuant to section 2606 of Title 15 {Toxic Substances Control Act, 15
U.S.C. § 2606).
33 U.S.C. § 1321 OU and hazardous substance liability
(CWA§311)
fb) Congressional declaration of policy against discharges of oil or
hazardous substances;... penalties;...
(5) Any person in charge of a vessel or of an onshore facility or an
offshore facility shall, as soon as he has knowledge of any discharge
of oil or a hazardous substance from such vessel or facility in
violation of paragraph (3) of this subsection, immediately notify the
appropriate agency of the United States Government of such
discharge.. Any such person (A) in charge of a vessel from which oil
or hazardous substance is discharged in violation of paragraph (3Xi)
of this subsection, or (B) in charge of vessel from which oil or a
hazardous substance is discharged in violation of paragraph (3Xii) of
this subsection and who is otherwise subject to the jurisdiction of the
United States at the time of discharge, or (C) in charge of an onshore
15
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33 ILS.r. 8 1321 Oil and hazardous substance liability
{CWA fi 311) (cont.)
facility or an offshore facility, who fails to notify immediately such
agency of such discharge shall, upon conviction, be fined in
accordance with Title 18, or imprisoned for not more than five yean,
or both. Notification received pursuant to this paragraph shall not be
used against any such natural person in any criminal case, except a
prosecution for perjury or for giving a false statement.
16
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PREVTOTTH VERSION (through Ang. 1990)
CLEAN WATER ACT
(CWA)
[FEDERAL WATER POLLUTION CONTROL ACT fFWPCA) enacted by
Pub. L. No. 92-500, October 18, 2972, was amended by Pub. L. No. 95-227, 92
Stat. 2591, Dec. 27, 1977, by the CLEAN WATER ACT 'CWA), amended by
the Water Quality Act of 2987,. Pub. L. No. 100-4, 201 StaL 42, eff. Feb. 4, 1987
to Aug. 18,1990.]
Standards and Enforcement
33 U.S.C. § 1311 Effluent Limitations
[CWA § 301]
(a) Except as in compliance with this section and sections 302, 306, 307,
328, 402, and 404 of this Act, the discharge of any pollutant by any person
shall be unlawful.
33 U.S.C. § 1317 Pretreatment Standards
[CWA § 307]
(b)(l) The Administrator shall, ...publish proposed regulations establish-
ing pretreatment standards for introduction of pollutants into treatment
works (as defined by section 212 of this Act) which an publicly owned for
those pollutants which are determines not to be susceptible to treatment by
such treatment works or which would interfere with the operation of such
treatment works.
33 U.S.C. § 1319(c) Criminal Penalties
[CWA § 309(c)J
"(1) Negligent Violations - Any person who:
(A) negligently violates section 1311 [Effluent Limitations],
1312 {Water Quality Related Effluent Limitations], 1316
[National Standards of Performance], 1317 [Toxic and
Treatment Effluent Standards], 1318 /Records and Reports;
Inspections (Monitoring and Entry)], 1328 [Aquaculture] or
1345 [Disposal of Sewage Sludge] of this title, or any permit
condition or limitation implementing any of such sections in a
permit issued under section 1342 [National Pollutant
Discharge Elimination System (NPDES)] of this title by the
Administrator or by a State, or any requirement imposed in a
pretreatment program approved under section 1342(a)(3)
17
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PREVIOUS VEHSTQN {through Aug. 1990) (cent.)
33 U.S.C. § 2319(e)(l) Criminal Penalties (cont'd)
fCWA§309(c)(l)J
{Permits for Discharge of Pollutants fCertification)] or
1342(b)(8) (State Permit Programs (POTW Permit Conditions)]
of this title or in a permit issued under section 1344 [Permits of
Dredged or Fill Material] of this title by the Secretary of the
Army or by a State; or
(B) negligently introduces into a sewer system or into a
publicly owned treatment works any pollutant or hazardous
substance which such person knew or reasonably should have
known could cause personal injury or property damage or,
other than in compliance with all applicable Federal, State, or
local requirements or permits, which causes such treatment
works to violate any effluent limitation or condition in any
permit issued to the treatment works under section 1342 of this
title by the Administrator or State;
Shall be punished by a fine of not less than $2,500 nor more
than $25,000 per day of violation, or by imprisonment for not
more than 1 year or by both. If a conviction of a person is for a
violation committed after a first conviction of such person
under this paragraph, punishment shall be by a fine of not
more than $50,000 per day of violation, or by imprisonment of
not more than 2 years, or by both."
"(2) Knowing Violations • Any person who:
(A) knowingly violates section 1311, 1312, 1316, 1317, 1318,
1328 or 1345 of this title, or any permit condition or limitation
implementing any of such sections in a permit issued under
section 1342 of this title by the Administrator or by a State, or
any requirement imposed in a pretreatment program
approved under section 1342(a)(3) or 1342(b)(8) of this title or in
a permit issued under section 1344 of this title by the Secretary
of the Army or by a State; or
(B) knowingly introduces into a sewer system or into a
publicly owned treatment works any pollutant or hazardous
substance which such person knew or reasonably should have
known could cause personal injury or property damage or,
other than in compliance with all applicable Federal, State, or
local requirements or permits, which causes such treatment
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PREVIOUS VERSION (through Aug. 1990) (cont.)
33 U.S.C. § 1319(c)(l) Criminal Penalties (cont'd)
(CWA§309(c)(l)]
work to violate any effluent limitation or condition in a permit
issued to the treatment works under section 1342 of this title by
the Administrator or a State;
Shall be punished by a fine of not less than $5,000 nor more
than $50,000 per day of violation or by imprisonment for not
more than 3 years or by both. If a conviction of a person is for a
violation committed after a first conviction of such person
under this paragraph, punishment shall be a fine of not more
than $200,000 per day of violation or by imprisonment of not
more than 6years, or by both."
"(3) Knowing Endangerment:
(A) General Rule • Any person who knowingly violates
section 1311, 1312, 1313, 1316, 1317, 1318, 1328, or 1345 of this
title, or any permit condition or limitation implementing any of
such sections in a permit issued under section 1342 of this title
by the Administrator or by a State, or in a permit issued under
section 1344 of this title by the Secretary of the Army or by a
State, and who knows at that time that he thereby places
another person in imminent danger of death or serious bodily
injury, shall, upon conviction, be subject to a fine of not more
than $250,000 or imprisonment of not more than 15 years, or
both. A person which is an organization shall, upon
conviction of violating this subparagraph, be subject to a fine of
not more than $1,000,000. If a conviction of a person is for a
violation committed after a first conviction of such person
under this paragraph, the maximum punishment shall be
doubled with respect to both fine and imprisonment.
(B) Additional Provisions • For the purpose of subparagraph
(A) of this paragraph:
(i) in determining whether a defendant who is an
individual knew that his conduct placed another person
in imminent danger of death or serious bodily injury;
(I) the person is responsible only for actual
awareness or actual belief that he possessed;
19
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PREVIOUS VERSION (through Aug. 1990) (cent.)
33 U.S.C § 2319(c)(2) Criminal Penalties (cont'd)
fCWA § 309(c)(l)J
(II) knowledge possessed by a person other than
the defendant but not by the defendant himself
may not be attributed to the defendant; except that
in proving the defendant's possession of actual
knowledge, circumstantial evidence may be used
including evidence that the defendant took
affirmative steps to shield himself from relevant
information;
(ii) it is an affirmative defense to prosecution that the
conduct charged was consented to by the person
endangered and that the danger and conduct charged
were reasonably foreseeable hazards of:
(I) an occupation, a business or a profession;
or
(II) medical treatment or medical or scientific
experimentation conducted by professionally
approved methods and such other person had
been made aware of the risks involved prior to
giving consent;
and such defense may be established under this
subparagraph by a preponderance of the evidence;
(Hi) the term "organization" means a legal entity,
other than a government, established or organized for
any purpose, and such term includes a corporation,
company, association, firm, partnership, joint stock
company, foundation, institution, trust, society, union
or any other association of persons; and
(iv) the term "serious bodily injury" means bodily
injury which involves a substantial risk of death,
unconsciousness, extreme physical pain, protracted
and obvious disfigurement, or protracted loss or
impairment of the function of a bodily member, organ or
mental faculty."
20
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PREVIOUS VERSICW (through Aug. 1990) (conO
33 U.S.C. § 1319(c)(3)(B)(ii) Criminal Penalties (cont'd)
[CWA § 309(c)(3)(B)(ii)]
"(4) False Statements • Any person who knowingly makes any false
material statement, representation, or certification in any
application, record, report, plan, or other document filed or required
to be maintained under this title or who knowingly falsifies, tampers
with, or renders inaccurate any monitoring device or method
required to be maintained under this title shall, upon conviction, be
punished by a fine of not more than $10,000 or by imprisonment for
not more than 2 years, or by both. If a conviction of a person is for a
violation committed after a first conviction of such person under this
paragraph, punishment shall be by a fine of not more than $20.000
per day of violation or by imprisonment of not more than 4 years, or
by both."
"(5) Treatment of Single Operational Upset - For purposes of this
subsection, a single operational upset which leads to simultaneous
violations of more than one pollutant parameter shall be treated as a
single violation."
"(6) Responsible Corporate Officer as "Person" • For the purpose of
this subsection, the term "person" means, in addition to the
definition contained in section 1362(5) of this title, any responsible
corporate officer."
"(c)(7) Hazardous Substance Defined - For the purpose of this subsection,
the term "hazardous substance" means:
(A) any substance designated pursuant to section
1321(b)(2)(A) of this title.
(B) any element, compound, mixture, solution or substance
designated pursuant to section 102 of the Comprehensive
Environmental Response, Compensation and Liability Act of
1980 [42 US.C.§ 9602].
(C) any hazardous waste having the characteristics
identified under or listed pursuant to section 3001 of the Solid
Waste Disposal Act [42 U.S.C. § 6921] (but not including any
waste the regulation of which under the Solid Waste Disposal
Act has been suspended by Act of Congress),
(D) any toxic pollutant listed under section 1317(a) of the
title, and
21
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PREVIOUS VERSION (through Aug. 1990) (ant)
33 U.S.C. § 1319(c)(3)(B)(ii) Criminal Penalties (eont'd)
(CWA § 309(c)(3)(B)(ii))
(E) any imminently .hazardous chemical substance or
mixture with respect to which the Administrator has taken
action pursuant to section 7 of the Toxic Substances Control
Act [25 U.S.C. § 2606J.
33 U.S.C. $ 1321(T>) Oil and Hazardous Substance Liability
[CWA§311(b)J
"(5) Any person in charge of a vessel or of an onshore facility or an
offshore facility shall, as soon as he has knowledge of any discharge
of oil or a hazardous substance from such vessel or facility in
violation of paragraph (3) of this subsection, immediately notify the
appropriate agency of the United States Government of such
discharge. Any such person:
(A) in charge of a vessel from which oil or hazardous
substance is discharged in violation of paragraph (3)(i) of this
subsection, or
(B) in charge of vessel from which oil or a hazardous
substance is discharged in violation of paragraph (3)(ii) of this
subsection and who is otherwise subject to the jurisdiction of
the United States at the time of discharge, or
(C) in charge of an onshore facility or an offshore facility,
who fails to notify immediately such agency of such discharge
shall, upon conviction, be fined not more than $10,000 or
imprisoned for not more than 1 year or both. Notification
received pursuant to this paragraph or information obtained
by the exploitation of such notification shall not be used against
any such person in any criminal case, except a prosecution for
perjury or for giving a false statement."
22
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U.& CODE TITLE 42, THE PUBLIC HEALTH AND WELFARE
COMPREHENSIVE ENVIRONMENTAL RESPONSE,
COMPENSATION AND LIABILITY ACT OF 1980
(CERCIA)
(as amended by the Superfund Amendments and Reanthorization Act of
1986 (SARA), by Pub. L. No. 99-499,100 Stat. 1617, effective Oct. 17,1986}
42 U.S.C. S 9602 Designation of additional hazardous nbstances and
{CERCLA§102} establishment.
(a) The Administrator shall promulgate and revise as may be
appropriate, regulations designating as hazardous substances, in addition
to those referred to in section 9601(14) of this title, such elements,
compounds, mixtures, solutions, and substances which, when released
into the environment may present substantial danger to the public health or
welfare or the environment, and shall promulgate regulations establishing
that quantity of any hazardous substance the release of which shall be
reported pursuant to section 9603 of this title. The Administrator may
determine that one single quantity shall be the reportable quantity for any
hazardous substance, regardless of the medium into winch the hazardous
substance is released. For all hazardous substances for which proposed
regulations establishing reportable quantities were published in the federal
Register under this subsection on or before March 1, 1986, the
Administrator shall promulgate under this subsection final regulations
establishing reportable quantities not later than December 31, 1986. For all
hazardous substances for which proposed regulations establishing
reportable quantities were not published in the Federal Register under this
subsection on or before March 1, 1986, the Administrator shall publish
under this subsection proposed regulations establishing reportable
quantities not later than December 31, 19S6, and promulgate final
regulations under this subsection establishing reportable quantities not
later than April 30, 1988.
(b) Unless and until superseded by regulations establishing a reportable
quantity under subsection (a) of this section for any hazardous substance as
denned in section 9601(14) of this title, (1) a quantity of one pound, or (2) for
those hazardous substances for which reportable quantities have been
established pursuant to section 1321(bX4) of Title 33, such reportable
quantity, shall be deemed that quantity, the release of which requires
notification pursuant to section 9603(a) or (b) of this title.
23
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42TT.S.C. S9G03 Notification requirements respecting releases substa
(CERCLA&103)
(a) Notice to National Response Center upon release from vessel or
offshore facility by person in charge; conveyance of notice by Center
Any person in charge of a vessel or an offshore or an onshore facility
shall, as soon as he has knowledge of any release (other than a federally
permitted release) of a hazardous substance from such a vessel or facility in
quantities equal to or greater than those determined pursuant to section 9602
(Designation of additional substances and establishment of reportable
released quantities; regulations) of this title, immediately notify the National
Response Center established under the Clean Water Act [33 U.S.C.A. $ 1251
et seq.] of such release. The National Response Center shall convey the
notification expeditiously to all appropriate Government agencies, including
the Governor of any affected State.
(b) Penalties for failure to notify; use of notice or information pursuant to
notice in criminal case
Any person—
(1) in charge of a vessel from which a hazardous substance is
released, other than a federally permitted release, into or upon the
navigable waters of the United States, adjoining shorelines, or into
or upon the waters of the contiguous zone, or
(2) in charge of a vessel from which a hazardous substance is
released,...which may effect natural resources...
(3) in charge of a facility from which a hazardous substance is
released, other than a federally permitted release,
in a quantity equal to or greater than that determined pursuant to section
9602 of this title who fails to notify immediately the appropriate agency of
the United States Government as soon as he has knowledge of such release
or who submits in such a notification any information which he knows to
be false or misleading shall, upon conviction, be fined in accordance with
the applicable provisions of Title 18 of the United States Code or imprisoned
for not more than three yean (or not more than five years in the case of a
second or subsequent conviction), or both. Notification received pursuant
to this subsection or information obtained by the exploitation of such
notification shall not be used against any such person in any criminal case,
except a prosecution for perjury or giving a false statement.
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42IIS.C. 89603 Notification requirements (coat)
(CERCLA5 108))
(c) Notice to Administrator of EPA of existence of storage, etc., facility by
owner or operator, exceptions; penalties for failure to notify; use of notice
or information pursuant to notice in criminal case
Within 180 days after December 11, 1980 {June 10,1981), any person
who owns or operates or who at the time of disposal owned or operated, or
who accepted hazardous substances for transport and selected, a facility at
which hazardous substances (as defined in section 9601(14 XC) of this title)
are or have been stored, treated, or disposed of shall, unless such facility
has a permit issued under, or has been accorded interim status under,
subtitle C of the Solid Waste Disposal Act [42 U.S.OA. § 6921 et sea..], notiiy
the Administrator of the Environmental Protection Agency of the existence
of such facility, specifying the amount and type of any hazardous substance
to be found there, and any known, suspected, or likely releases of such
substances from such facility. (...) Any person who knowingly fails to
notify the Administrator of the existence of such facility shall, upon
conviction, be fined not more than $10,000, or imprisoned for not more than
one year, or both. (...) Notification received pursuant u this subsection or
information obtained by the exploitation of such notification shall not be
used against any such person in any criminal case, except a prosecution
for perjury or for giving a false statement.
(d) Recordkeeping requirements;...penalties for violations;...
(2) Beginning with December 11, 1980, for 50 years thereafter or
for 50 years after the date of establishment of a record (whichever is
later), or at any such earlier time as a waiver if obtained under
paragraph (3) of this subsection, it shall be unlawful for any such
person knowingly to destroy, mutilate, erase, dispose of, conceal or
otherwise render unavailable or unreadable or falsify any records
identified in paragraph (1) of this subsection. Any person who
violates this paragraph shall, upon conviction, be fined in accordance
with the applicable provisions of Title 18 or imprisoned for not more
than three yean (or not more than five yean in the case of a second
or subsequent conviction), or ******
25
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At TT.fi r. 8 flfiOS
CERCIASlOe
(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 (Notification requirements) 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 (Superrund), as provided in section
9611 {Use of fund} of this title.
42 U.&CL 8 9612 Claims Procedure
(CERCLAS112)
(b) Forms and procedures applicable
(1) Prescribing forms and procedures
The President shall prescribe appropriate forms and
procedures for claims filed hereunder, which shall include a
provision requiring the claimant to make a sworn verification of the
claim to the best of bis knowledge. Any person who knowingly elves
or causes to be given any false information as a part of ar - ich
claim shall, upon conviction, be fined in accordance w :he
applicable provisions of Title 18 or imprisoned for not m< lan
three years (or not more than five years in the case of a s* d or
subsequent conviction), or both.
26
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UJ5.CODE TITLE 42, THE PUBUC HEALTH AND WELFARE
EMERGENCY PLANNING AND COMMUNITY RIGHT-TO-KNOW ACT
OF 1986
(EPCRA)
(Enacted by Pub. L. No. 99-499,100 Stat. 1753. Tide EQ of SARA of 1986,
effective Oct. 17,1986)
42 U.S.C. 8 11045 Enforcement
(EPCRA 5 325}
(b) Civil, administrative, and criminal penalties for emergency
notification
(4) Criminal pgnAltiag
Any person who knowingly and willfully fails to provide notice
in accordance with section 11004 {Emergency notification} of this title
shall, upon conviction, be fined not more than $25,000 or imprisoned
for not more than two years, or both (or in the case of a second or
subsequent conviction, shall be fined not more than $50,000 or
imprisoned for not more than five years, or both).
(d) Civil, administrative, and criminal penalties with respect to trade
secrets
(2) Criminal penalty for disclosure of trade secret information
Any person who knowingly and willfully divulges or discloses
any information entitled to protection under section 11042 (Trade
secrets}, of this title shall, upon conviction, be subject to a fine of not
more than $20,000 or to imprisonment not to exceed one year, or both.
27
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28
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U.S. CODE TITLE 7, AGRICULTURE
FEDERAL INSECTICIDE, FUNGICIDE AND RODEMTICIDE ACT
(FIFRA)
(as amended by Pub. L. No. 100-532, Oct. 25, 1988, 102 StaL 2677, 2678, 2682,
2683 effective OcL 25, 1988)
7 UAC. S 13fih Pr
{FIFRA § 10)
(0 Penalty for disclosure by Federal employees
(1) Any officer or employee of the United States or former officer or
employee of the United States who, by virtue of such employment or
official position, has obtained possession of, or has access to,
material the disclosure of which is prohibited by subsection (b) of this
section, and who, knowing that disclosure of such material is
prohibited by such subsection, willfully discloses the material in any
manner to any person not entitled to receive it, shall be fined not
more than $10,000 or imprisoned lor not more than one year, or both.
Section 1905 of title 18 shall not apply with respect to the publishing,
divulging, disclosure, or making known of, or making available,
information reported or otherwise obtained under this subchapter.
Nothing in this subchapter shall preempt any civil remedy under
State or Federal law for wrongful disclosure of trade secrets.
(2) For the purpose of this section, any contractor with the United
states who is furnished information as authorized by subsection (e) of
this section, or any employee of any such contractor, shall be
considered to be an employee of the United States.
7 U.S.C. S 136J Unlawful acts
{FIFRA §121
(a) In general.-
(1) Except as provided by subsection (b) {exemptions] of this
section, it shall be unlawful for any person in any State to distribute,
or sell to any person-
(A) any pesticide that is not registered under section 136a
{Reregistration of registered pesticides), of this title, or whose
registration has been canceled or suspended, except to the
extent that distribution or sale otherwise has been authorized
by the Administrator under this subchapter,
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7U.S.C.S13fii Unlawful acts (cont)
(FIFRA§12)
(B) any registered pesticide if any claims made for it as a
part of its distribution or sale substantially differ from any
claims made for it as a part of the statement required in
connection with its registration under section 136a of this title;
(C) any registered pesticide the composition of which differs
at the time of its distribution or sale from its composition as
described in the statement required in connection with its
registration under section 136a of this title;
CD) any pesticide which has not been colored or discolored
pursuant to the provisions of section 136w(cX5) (Authority of
Administrator, other authority, requiring a pesticide to be
colored or discolored), of this title;
(E) any pesticide which is adulterated or misbranded; or
(F) any device which is misbranded.
(2) It shall be unlawful for any person-
(A) to detach, alter, deface, or destroy, in whole or in part,
any labeling required under this subchapter,
(B) to refuse to-
(i) prepare, maintain, or submit any records
required by or under section 136(c) (Experimental use
permits}, (e) (Registration of establishments), (0 (Books
and records), (i) (Standards applicable to pesticide
applicators), or (q) (Storage, disposal, transportation,
and recall), of this title;
(ii) submit any reports required by or under section
136(c), (d), (e). (f), (i), or (q) of this title; or
(iii) allow any entry, inspection, copying of records, or
sampling authorized, by this subchapter;
(C) to give a guaranty or undertaking provided for in
subsection (b) of this section which is false in any particular,
except that a person who receives and relies upon a guaranty
authorized under subsection (b) of this section may give a
guaranty to the same effect, which guaranty shall contain, in
30
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7 U.S.C. 3 136j Unlawful acts (cent)
{FIFRA$12}
addition to hia own name and address, the name and address
of the person residing in the United States from whom he
received the guaranty or undertaking;
(D) to use for his own advantage or to reveal, other than to
the Administrator, or officials or employees of the
Environmental Protection Agency or other Federal executive
agencies, or to the courts, or to physicians, pharmacists and
other qualified persons, needing such information for the
performance of their duties, in accordance with such
directions as the Administrator may prescribe, any
information acquired by authority of this subchapter which is
confidential under this subchapter;
(E) who is a registrant, wholesaler, dealer, retailer or other
distributor to advertise a product registered under this
subchapter for restricted use without giving the classification
of the product assigned to it under section 136a of this title;
(F) to distribute or sell, or to make available for use, or to
use, any registered pesticide classified for restricted use for
some or all purposes other than in accordance with section
136a(d) of this title and any regulations thereunder. It shall
not be unlawful to sell, under regulations issued by the
Administrator, a restricted use pesticide to a person who is not
a certified applicator for application by a certified applicator;
(G) to use any registered pesticide in a manner inconsistent
with its labeling;
(H) to use any pesticide which is under an experimental use
permit contrary to the provisions of such permit;
(I) to violate any order issued under section 136k (stop sale,
removal, and seizure) of this title;
(J) to violate any suspension order issued under section
136a (cX2XB), 136a-l, or 136d of this tide;
(K) to violate any cancellation order issued under this
subchapter or fail to submit a notice in accordance with 136(d)g
of this title;
31
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7 U.S.C. $ 136i Unlawful acts (coat)
{FIFRAS12}
(L) who is a producer to violate any of the provisions of
section 136e (registration of establishments) of this title;
CM) to knowingly falsify all or part of any application for
registration, application for experimental use permit, any
information submitted to the Administrator pursuant to
section 136e of this title, any records required to be maintained
pursuant to this subchapter, any report filed under this
subchapter, or any information marked as confidential and
submitted to the Administrator under any provision of this
subchapter;
(N) who is a registrant, wholesaler, dealer, retailer or other
distributor to fail to file reports required by this subchapter;
(O) to add any substance to, or take any substance from, any
pesticide in a manner that may defeat the purpose of this
subchapter; or
(P) to use any pesticide in tests on human beings unless
such human beings (i) are fully informed of the nature and
purposes of the test and of any physical and mental health
consequences which are reasonably foreseeable therefrom, and
(ii) freely volunteer to participate in the test
(Q) to falsify all or part of any information relating to the
testing of any pesticide (or any ingredient, metabolite, or
degradation product thereof), including the nature of any
protocol, procedure, substance, organism, or equipment used,
observation made, or conclusion or opinion formed, submitted
to the Administrator, or that the person knows will be
furnished to the Administrator or will become a part of any
records required to be maintained by this subchapter;
(R) to submit to the Administrator data known to be false in
support of a registration; or
(S) to violate any regulation issued under section 136a(a) or
136q of this title.
fb) Exemptions. - The penalties provided for a violation of paragraph (1)
of subsection (a) of this section shall not apply to-
32
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7 U.S.C. S1361 Penalties
{FIFRAS14}
(1) any person who establishes a guaranty signed by, and
containing the name and address of, the registrant or person
residing in the United States from whom he purchased or received in
good faith the pesticide in the same unbroken package, to the effect
that the pesticide was lawfully registered at the time of sale and
delivery to him, and that it complies with the other requirements of
this subchapter, and in such case the guarantor shall be subject to
the penalties which would otherwise attach to the person holding the
guaranty under the provisions of this subchapter.
(2) any carrier while lawfully shipping, transporting, or
delivering for shipment any pesticide or device, if such carrier upon
request of any officer or employee duly designated by the
Administrator shall permit such officer or employee to copy all of its
records concerning such pesticide or device;
(3) any public official while engaged in the performance of his
official duties;
(4) any person using or possessing any pesticide as provided by an
experimental use permit in effect with respect to such pesticide and
such use or possession; or
(5) any person who ships a substance or mixture of substances
being put through tests in which the purpose is only to determine its
value for pesticide purposes or to determine its toxicity or other
properties and from which the user does not expect to receive any
benefit in pest control from its use.
(b) Criminal penalties-
(1) In general-
(A) Any registrant, applicant for registration, or producer
who knowingly violates any provision of this subchapter shall
be fined not more than $50,000 or imprisoned for not more than
one year, or both.
(B) Any commercial applicator of a restricted use pesticide,
or any other person not described in subparagraph (A) who
distributes or sells pesticides or devices, who knowingly
violates any provision of this subchapter shall be fined not
more than $25,000 or imprisoned for not more than one year,
or both.
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7 TJ.S.C. S 13ffl Penalties (oont)
(FIFRAU4)
(2) Private applicator.- Any private applicator or other person not
included in paragraph (1) who knowingly violates any provision of
this subchapter shall be guilty of a misdemeanor and shall on
conviction be fined not more than $1,000, or imprisoned for not more
than 30 days, or both.
(3) Disclosure of information.-- Any person who, with intent to
defraud, uses or reveals information relative to formulas of products
acquired under the authority of section 136a of this title, shall be fined
not more than $10,000, or imprisoned for not more than three years,
or both.
(4) Acts of officers, agents, etc.- When construing and enforcing
the provisions of this subchapter, the act, omission, or failure of any
officer, agent, or other person acting for or employed by any person
shall in every case be also deemed to be the act, omission, or failure of
such person as well as that of the person employed.
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PREVIOUS VERSION (through Get 25,1988)
U.S. CODE, TITLE 7, AGRICULTURE
FEDERAL INSECTICIDE, FUNGICIDE AND RODENTICWE ACT
(FIFRA)
fas amended Sept. 30, 1978 by Pub. L No. 95-396,16, 92 Slat through Oct. 25,
19881
7 U.S.C. $ 136i Unlawful Acts
{FIFRA § 12}
(a) In general.-
(1) Except as provided by subsection (b) {exemptions} of this
section, it shall be unlawful for any person in any State to distribute,
sell, offer for sale, hold for sale, ship, deliver for shipment or receive
and (having so received) deliver or offer to deliver, to any person-
(A) any pesticide that is not registered under section 136a of
this title, except as provided by section 136d(a)(l) (canceled
registrations} of this title;
(B) any registered pesticide if any claims made for it as a
part of its distribution or sale substantially differ from any
claims made for it as a part of the statement required in
connection with its registration under section 136a of this title;
(C) any registered pesticide the composition of which differs
at the time of its distribution or sale from its composition as
described in the statement required in connection with its
registration under section 136a of this title;
(D) any pesticide which has not been colored or discolored
pursuant to the provisions of section I36w(cj(5) of this title;
(E) any pesticide which is adulterated or misbranded; or
(F) any device which is misbranded,
(2) It shall be unlawful for any person-
(A) to detach, alter, deface or destroy, in whole or in part,
any labeling required under this subchapter;
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PREVIOUS VERSION (through Oct. 25,1988) (cent.)
7 U.S.C. $ 136i Unlawful Acts (cont)
fFIFRA § 12)
(B) to refuse to keep any records required pursuant to
section 136f of this title, or to refuse to allow the inspection of
any records or establishment pursuant to section 136for 136g of
this title, or to refuse to allow an officer or employee of the
Environmental Protection Agency to take a sample of any
pesticide pursuant to section 136g of this title;
(C) to give a guaranty or undertaking provided for in
subsection (b) of this section which is false in any particular,
except that a person who receives and relies upon a guaranty
authorized under subsection (b) of this section may give a
guaranty to the same effect, which guaranty shall contain, in
addition to his own name and address, the name and address
of the person residing in the United States from whom he
received the guaranty or undertaking;
(D) to use for his own advantage or to reveal, other than to
the Administrator, or officials or employees of the
Environmental Protection Agency or other Federal executive
agencies, or to the courts, or to physicians, pharmacists and
other qualified persons, ^needing such information for the
performance of their duties, in accordance with such
directions as the Administrator may prescribe, any
information acquired by authority of this subchapter which is
confidential under this subchapter;
(E) who is a registrant, wholesaler, dealer, retailer, or other
distributor to advertise a product registered under this
subchapter for restricted use without giving the classification
of the product assigned to it under section 136a of this title;
(F) to make available for use, or to use, any registered
pesticide classified for restricted use for some or all purposes
other than in accordance with section 136afd) of this title and
any regulations thereunder: Provided, That it shall not be
unlawful to sell, under regulations issued by the
Administrator, a restricted use pesticide to a person who is not
a certified applicator for application by a certified applicator;
(G) to use any registered pesticide in a manner inconsistent
with its labeling;
36
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PREVIOUS VERSION (through Oct 25.1988) (cont.)
7U.S.C.S13Q Unlawful acts (cont.)
(FIFRAg 12)
(H) to use any pesticide which is under an experimental use
permit contrary to the provisions of such permit;
(I) to violate any order issued under section 136k (stop sale,
etc. orders] of this title;
(J) to violate any suspension order issued under section
136d of this title;
(K) to violate any cancellation order issued under this
subchapter, or fail to submit a notice in accordance with
section 136d(g) of this title;
(L) who is a producer to violate any of the provisions of
section 136e fregistration of establishments/ of this title;
(M) to knowingly falsify all or part of any application for
registration, application for experimental use permit, any
information submitted to the Administrator pursuant to
section 136e of this title, any records required to be maintained
pursuant to section 136fofthis title, any report filed under this
subchapter or any information marked as confidential and
submitted to the Administrator under any provision of this
subchapter;
(N) who is a registrant, wholesaler, dealer, retailer or other
distributor to fail to file reports required by this subchapter;
(0) to add any substance to, or take any substance from, any
pesticide in a manner that may defeat the purpose of this
subchapter; or
(P) to use any pesticide in tests on human beings unless
such human beings
(i) are fully informed of the nature and purposes of
the test and of any physical and mental health
consequences which are reasonably foreseeable
therefrom, and
(u) freely volunteer to participate in the test.
37
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PREVIOUS VERSION (through Oct. 25,1988) (cent.)
7U.S.C. €1361 Penalties
(FIFRA § 141
(b) Criminal penalties.-
(1) In general.- Any registrant, applicant for a registration, or
producer who knowingly violates any provision of this subchapter
shall be fined not more than 450,000 or imprisoned for not more than
one year, or both.
(2) Private applicator.-Any private applicator or other person not
included in paragraph (1) who knowingly violates any provision of
this subchapter shall be guilty of a misdemeanor and shall, on
conviction, be fined not more than $10,000 or imprisoned for not more
than three yean, or both.
(3) Disclosure of information.-- Any person icho, with intent to
defraud, uses or reveals information relative to formulas of products
acquired under the authority of section 136a of this title, shall be fined
not more than $10,000 or imprisoned for not more than three years,
or both,
(4) Acts of officers, agents, etc.- When construing and enforcing
the provisions of this subchapter, the act, omission or failure of any
officer, agent or other person acting for or employed by any person
shall in every case be also deemed to be the act, omission or failure of
such person as well as that of the person employed.
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UJS. CODE TTIl£ 49, TRANSPORTATION
HAZARDOUS MATERIALS TRANSPORTATION ACT
(HMTA)
{as enacted by Pub. L. No. 93-633,88 Stat 2157, Jan. 3,1975}
4ft UAC. ft IfiftA T*a»Mnfrig fTMaiaportation) of KararrWiH materiala
{HMTA§105J
(a) General
The Secretary may issue, in accordance with the provisions of
5 U.S.C. $ 533, including an opportunity for informal oral presentation,
regulations for the safe transportation in commerce of hazardous
materials. Such regulations shall be applicable to any person who
transports, or causes to be transported or shipped, a hazardous material,
or who manufactures, fabricates, marks, maintains, reconditions, repairs,
or tests a package or container which is represented, marked, certified or
sold by such person for use in the transportation in commerce of certain
hazardous materials. Such regulations may govern any safety aspects of
the transportation of hazardous materials which the Secretary deems
necessary or appropriate, including, but not limited to, the packing,
repacking, handling, labeling, marking, placarding and routing (other
than with respect to pipelines) of hazardous materials, and the
manufacture, fabrication, marking, maintenance, reconditioning,
repairing or testing of a package or container which is represented,
marked, certified or sold by such person for use in the transportation of
certain hazardous materials.
(b) Cooperation
In addition to other applicable requirements, the Secretary shall
consult and cooperate with representatives of the Interstate Commerce
Commission and shall consider any relevant suggestions made by such
Commission, before issuing any regulation with respect to the routing of
hazardous materials. Such Commission shall, to the extent of its lawful
authority, take such action as is necessary or appropriate to implement any
such regulation.
(c) Representation
in compliance with the requirements of this Act, unless it meets the
requirements of all applicable regulations issued under this Act.
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49 U.S.C. * 1809 Penalties
(HMTAftllO)
(a) Civil
(1) Any person (except an employee who acts without knowledge)
who is determined by the Secretary, after notice and an opportunity
for a hearing, to have knowingly committed an act which is a
violation of a provision of this title or of a regulation issued under this
title, shall be liable to the United States for a civil penalty. Whoever
knowingly commits an act which is a violation of any regulation,
applicable to any person who transports or causes to be transported
or shipped hazardous materials, shall be subject to a civil penalty of
not more than $10,000 for each violation, and if any such violation is a
continuing one, each day of violation constitutes a separate offense.
Whoever knowingly commits an act which is a violation of any
regulation applicable to any person who manufactures, fabricates,
marks, maintains, reconditions, repairs or tests a package or
container which is represented, marked, certified, or sold by such
person for use in the transportation in commerce of hazardous
materials shall be subject to a civil penalty of not more than $10.000
for each violation. The amount of any such penalty shall be assessed
by the Secretary by written notice. In determining the amount of
such penalty, the Secretary shall take into account the nature,
circumstances, extent, and gravity of the violation committed and,
with respect to the person found to have committed such violation,
the degree of culpability, any history of prior offenses, ability to pay,
effect on ability to continue to do business and such other matters a
justice may require.
(2) Such civil penalty may be recovered in an action brought by the
Attorney General on behalf of the United States in the appropriate
district court of the United States or, prior to referral to the Attorney
General, such civil penalty may be compromised by the Secretary.
The amount of such penalty, when finally determined (or agreed
upon in compromise), may be deducted from any sums owed by the
United States to the person charged. All penalties collected under
this subsection shall be deposited in the Treasury of the United States
as miscellaneous receipts.
(b) CriminaL-
A person is guilty of an offense if he willfully violates a provision of
this title or a regulation issued under this title. Upon conviction, such
person shall be subject, for each offense, to a fine of not more than $25,000,
imprisonment for a term not to f**r**»A five yean, or both.
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US. CODE TITLE 33, NAVIGATION AND NAVIGABLE WATERS
MARINE PROTECTION, RESEARCH AND SANCTUARIES ACT OF 1972
CMPRSA3
{as amended by Pub. L. No. 100-688,102 Stat. 4139, the Ocean Dumping Ban
Act of 1988, Nov. 18,1988 effective Aug. 18,1989}
33 U.S.C. 8 1411 Prehibitedacte
(MPRSA § 101}
(a) Except as may be authorized by a permit issued pursuant to
section 1412 (Dumping permit program) or section 1413 (Dumping permit
program for dredged material) of this title, and subject to regulations
issued pursuant to section 1418 [Regulations) of this title.
(1) no person shall transport from the United States, and
(2) in case of a vessel or aircraft registered in the United States or
flying the United States flag or in the case of a United States
department, agency, or instrumentality, no person shall transport
from any location
any material for the purpose of dumping it into ocean waters.
(b) Except as may be authorized by a permit issued pursuant to section
1412 {Dumping permit program) of this title, and subject to regulations
issued pursuant to section 1418 (Regulations) of this title, no person shall
dump any material transported from a location outside the United States
(1) into the territorial sea of the United States, or
(2) into a zone contiguous to the territorial sea of the United
States, extending to a line twelve nautical miles seaward from the
base line from which the breadth of the territorial sea is measured,
to the extent that it may affect the territorial sea or the territory of the
United States.
41
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5ta U.S.C- 6 \4\& Penalties
(MPRSA5105)
-------
PREVIOUS VERSION (through Aug. 18.1989)
U.S. CODE TITLE 33, NAVIGATION AND NAVIGABLE WATERS
MARINE PROTECTION. RESEARCH AND SANCTUARIES ACT OF 1972
(MPRSA)
fas enacted by Pub. L. No. 92-532, 86Stat. 1053. Oct. 23, 2972, effective until
Aug. 18, 1989]
33 U.S.C. § 1411 Prohibited Acts
(MPRSA § 201]
(a) Except as may be authorized by a permit issued pursuant to section
1412 or section 1413 of this title, and subject to regulations issued pursuant
to section 1418 of this title:
(1) no person shall transport from the United States, and
(2) in the case of a vessel or aircraft registered in the United States
or flying the United States flag or in the case of a United States
department, agency or instrumentality, no person shall transport
from any location any material for the purpose of dumping it into
ocean waters.
(b) Except as may be authorized by a permit issued pursuant to section
1412 of this title and subject to regulations issued pursuant to section 1418 of
this title, no person shall dump any material transported from a location
outside the United States (1) into the territorial sea of the United States, or
(2) into a zone contiguous to the territorial sea of the United States,
extending to a line 12 nautical miles seaward from the base line from
which the breadth of the territorial sea is measured, to the extent that it
may affect the territorial sea or the territory of the United States.
33US.C. $1415 Penalties
(MPRSA § 105)
(b) Criminal penalties ••
In addition to any action which may be brought under subsection (a)
(civil) of this section, a person who knowingly violates this subchapter,
regulations promulgated under this subchapter, or a permit issued under
this subchapter shall be fined not more than $50,000, or imprisoned for not
more than one year, or both.
(c) Separate offenses --
For the purpose of imposing civil penalties and criminal fines under
this section, each day of a continuing violation shall constitute a separate
offense as shall the dumping from each of several vessels, or other sources.
43
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44
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ILS. CODE TITLE 42, THE PUBLIC HEALTH AND WELFARE
NOISE CONTROL ACT OF 1972
(NCA)
(as amended by Pub. L. No. 95-609,92 Stat. 3081, the Quiet Communities
Act, effective Nov. 8,1978}
42 U.S.C. S 4909 Prohibited acts
(NCA §10}
(a) Except as otherwise provided in subsection (b) (exempted product} of
this section, the following acts or the causing thereof are prohibited:
(1) In the case of a manufacturer, to distribute in commerce any
new product manufactured after the effective date of a regulation
prescribed under section 4905 {Noise Emission Standards} of this title
which is applicable to such product, except in conformity with such
regulation. (...)
(3) In the case of a manufacturer, to distribute in commerce any
new product manufactured after the effective date of a regulation
prescribed under section 4907(b) (Manner of notice; form; etc.) of this
title (requiring information respecting noise) which is applicable to
such product, except in conformity with such regulation. (...)
(5) The importation into the United States by any person of any
new product in violation of a regulation prescribed under section 4908
(Imports) of this title which is applicable to such product.
(6) The failure or refusal by any person to comply with any
requirement of section 4910(d) (Orders issued to protect the public
health) or 4912(a) (Duties of manufacturers of products, records,
reports, etc.) of this title or regulations prescribed under section
4912(a), 4916 (Railroad noise emission standards), or 4917 (Motor
carrier noise emissions standards} of this title.
45
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42 U.S.C. ft 4910
(NCA 5 11)
(a) Criminal penalties.-
(1) Any person who willfully or knowingly violates paragraph (1),
(3). (5), or (6) of subsection (a) of section 4909 of this title shall be
punished by a fine of not more than $25,000 per day of violation, or by
imprisonment for not more than one year or by both. If the
conviction is for a violation committed after a first conviction of such
person under this subsection, punishment shall be by a fine of not
more than $50,000 per day of violation, or by imprisonment for not
more than two years, or by both.
(b) Separate violations -
For the purpose of this section, each day of violation of any paragraph
of section 4909(a) of this title shall constitute a separate violation of that
section.
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US. CODE TITLE 42, THE PUBLIC HEALTH AND WELFARE
SOLID WASTE DISPOSAL ACT AS ADDED TO AND AMENDED BY
RESOURCE CONSERVATION AND RECOVERY ACT OF 1976
(RCRA)
{RCRA was subsequently amended by the Hazardous and Solid Waste
Amendments (HSWA), Pub. L. No. 98-616, 98 Stat. 3256. Nov. 8, 1984 and
amended by the Superfund Amendment and Reauthohzation Act (SARA),
Pub. L. No. 99-499, 100 Stat. 1703, Oct. 17,1986, and SWDA as added to by
the Medical Waste Tracking Act (MWTA) of 1988, as enacted by Pub. L. No.
100 582. 102 Stat. 2953, Nov. 1.1988, effective June 1.1989}
42 U.S.C. S 6928 Federal enforcement
fRCRA§3008J
(d) Criminal penalties
Any person who—
(1) knowingly transports or causes to be transported any
hazardous waste identified or listed under this subchapter to a
facility which does not have a permit under subchapter {section 6925
(or 6926 in case of a State program)), or pursuant to title 1 of the
Marine Protection, Research and Sanctuaries Act (86 Stat. 1052}
[33 U.S.C.A. §1411 et seq.].
(2) knowingly treats, stores, or disposes of any hazardous waste
identified or listed under this subchapter-
(A) without a permit under section 6925 (or 6926 in the case
of a State program) or pursuant to title 1 of the Marine
Protection, Research and Sanctuaries Act (86 Stat. 1052)
[33 U.S.C A. §1411 et seq.]; or
(B) in knowing violation of any material condition or
requirement of such permit; or
(C) in knowing violation of any material condition or
requirement of any applicable interim status regulations or
standards;
47
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42 U.S.C. § 6928 Federal enforcement (oont)
(RCRA99008)
(3) knowingly omits material information or makes any false
material statement or representation in any application, label,
manifest, record, report, permit, or other document filed, maintained
or used for purposes of compliance with regulations promulgated by
the Administrator (or by a State in the case of an authorized State
program) under this subchapter;
(4) knowingly generates, stores, treats, transports, disposes of,
exports, or otherwise handles any hazardous waste or tiny used oil
not identified or Hated a* a hazardotu watte under this subchapter
(whether such activity took place before or takes place after the date of
the enactment of this paragraph) and who knowingly destroys,
alters, conceals, or fails to file any record, application, manifest,
report, or other document required to be maintained or filed for
purposes of compliance with regulations of an authorized State
program) under this subchapter;
(5) knowingly transports without a manifest, or causes to be
transported without a manifest, any hazardous waste or any used oil
not identified or luted at a hazardotu watte under this subchapter
required by regulations promulgated under this subchapter (or by a
State in the case of a State program authorized under this
subchapter) to be accompanied by a manifest;
(6) knowingly exports a hazardous waste identified or listed under
this subchapter
(A) without the consent of the receiving country or,
(B) where there exists an international agreement between
the United States and the government of the receiving country
establishing notice, export and enforcement procedures for the
transportation, treatment, storage, and disposal of hazardous
wastes, in a manner which is not in conformance with such
agreement; or
(7) knowingly stores, treats, transports or causa to be transported,
disposes of, or otherwise handles any used oil not identified or listed at
a hazardous waste under subchapter (subtitle C of the Solid Waste
Disposal Act} -
NOTE: Sections which appear in Bold Italics on this page reflect the
changes to this title which were part of SARA of 1986.
48
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42 IT AC. * 6928 Federal enforcement (cant)
{RCRA53008}
(A) in knowing violation of any material condition or
requirement of a permit under this subchapter {subtitle CJ; or
(B) in knowing violation of any material condition or
requirement of any applicable regulation* or standards under
this chapter;
shall, upon conviction, be subject to a fine of not more than £50,000 for each
day of violation, or imprisonment not to exceed two yean (five yean in the
case of a violation of paragraphs (1) and (2)), or both. If the conviction is for
a violation committed after a first conviction of such person under this
paragraph, the maximum punishment under the respective paragraph
shall be doubled with respect to both fine and imprisonment
(e) Knowing endangerment.--
Any person who knowingly transports, treats, stores, disposes of or
exports any hazardous waste identified or listed under this subchapter or
used oil not identified or listed a* a hazardous waste under this aubchapter
in violation of paragraph (1), (2), (3), (4), (5), (6), or (7) of subsection (d) of this
section who knows at that time that he thereby places another person in
imminent danger of death or serious bodily injury, shall, upon conviction,
be subject to a fine of not more than $250,000 or imprisonment for not more
than 15 yean, or both. A defendant that is an organization shall, upon
conviction of violating this subsection, be subject to a fine of not more than
$1,000,000.
(f) Special rules-
For the purpose of subsection (e) of this section-
(1) A person's state of mind is knowing with respect to—
(A) his conduct, if he is aware of the nature of his conduct;
(B) an existing circumstance, if he is aware or believes that
the circumstance exists; or
(C) a result of his conduct, if he is aware or believes that his
conduct is substantially certain to cause danger of death or
serious bodily injury.
NOTE: Sections which appear in Bold Italics on this page reflect the
changes to this title which were part of SARA of 1986.
49
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42 U.S.C. $ 6928 Federal enforcement (cent)
(RCRA§3008)
(2) In determining whether a defendant who it a natural person
knew that his conduct placed another person in imminent danger
of death or serious bodily injury-
(A) the person is responsible only for actual awareness or
actual belief that he possessed; and
(B) knowledge possessed by a person other than the
defendant but not by the defendant himself may not be
attributed to the defendant;
PROVIDED, That in proving the defendant's possession of actual
knowledge, circumstantial evidence may be used, including evidence that
the defendant took affirmative steps to shield himself from relevant
information.
(3) It is an affirmative defense to a prosecution that the conduct
charged was consented to by the person endangered and that the
danger and conduct charged were reasonably foreseeable hazards
of-
(A) an occupation, a business, or a profession; or
(B) medical treatment or medical or scientific
experimentation conducted by professionally approved
methods and such other person had been made aware of the
risks involved prior to giving consent
The defendant may establish an affirmative defense under this
subsection by a preponderance of the evidence.
(4) All general defenses, affirmative defenses, and bars to
prosecution that may apply with respect to other Federal criminal
offenses may apply under subsection (e) of this section and shall be
determined by the courts of the United States according to the
principles of common law as they may be interpreted in the light of
reason and experience. Concepts of justification and excuse
applicable under this section may be developed in the light of reason
and experience.
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42 U.S.C. I fiMfl Federal enforcement (coot)
(RCRA53008J
(5) The term "organization" means a legal entity, other than a
government, established or organized for any purpose, and such
term includes a corporation, company, association, firm,
partnership, joint stock company, foundation, institution, trust.
society, union, or any other association of persons.
(6) The-term "serious bodily injury" means-
(A) bodily injury which involves a substantial risk of death;
(B) unconsciousness;
(C) extreme physical pain;
(D) protracted and obvious disfigurement; or
(E) protracted loss or impairment of the function of a bodily
member, organ, or mental faculty.
42U.S.C. S6992f
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42 U.&C. S fi992fdl Enforcement (of MEDICAL WASTE TRACKING ACT)
(RCRA§ 11005)*
(b) Criminal penalties (oont)
(3) knowingly generates, stores, treats, transports, disposes of, or
otherwise handles any medical waste [whether such activity took
place before or takes place after November 1, 1988 and who knowingly
destroys, alters, conceals, or fails to file any record, report, or other
document required to be maintained or filed for the purposes of
compliance with this subchapter or regulations thereunder
shall, upon conviction, be subject to a fine of not more than $50^000 far each
day of violation, or imp»-iaftt%mptit Mfrt to CTpeed tmn jifmi j [fine years in <*y»
case of a violation of paragraph (1)] If the conviction is for a violation
committed after a first conviction of such person under this paragraph, the
maximum punishment under the respective paragraph shall be doubled
with, resect tO hft*h IJTK* anH im
(c) Knowing endangerxnent
Any person who knowingly violates any provision of subsection (b) of
this section who knows at that time that he thereby places another person
in imminent danger of death or serious bodily injury, shall upon conviction
be subject to a fine of not more than $250,000 or imprisonment for not more
than 15 years, or both. A defendant that is an organization shall, upon
conviction under this subsection, be subject to a fine of not more than
$1,000,000. The terms of this paragraph shall be interpreted in accordance
with the rules provided under section 6928(0 of this title.
(SWDA as amended by Medical Waste Tracking Act of 1988, 0 enacted by Pub. L.
No. 100-582.102 Stat. 2953, Nov. 1.1988, effective June 1.1989).
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U.S. CODE TITLE 33, NAVIGATION AND NAVIGABLE WATERS
RIVERS AND HARBORS APPROPRIATION ACT OF 1899
(RHAA)
(as enacted by Pub. L. No. 55-425,30 Stat. 1151, Mar. 3,1899*1
33U.S.C.HQ8 Obstruction of navigable waters generally; wharves; piers,
{RHAA § 10| eta; excavations and ffflingin
The creation of any obstruction not affirmatively authorized by
Congress, to navigable capacity of the waters of the United States is
prohibited; and it shall not be lawful to build or commence the building of
any wharf, pier, dolphin, boom, weir, breakwater, bulkhead, jetty or other
structures in any port, roadstead, haven, harbor, canal, navigable river or
other water of the United States, outside established harbor lines, or where
no harbor lines have been established, except on plans recommended by the
Chief of Engineers and authorized by the Secretary of the Army; and it
shall not be lawful to excavate or fill, or in any manner to alter or modify
the course, location, condition or capacity of any port, roadstead, haven,
harbor, canal, lake, harbor of refuge or inclosure within the limits of any
breakwater, or of the channel of any navigable water of the United States,
unless the work has been recommended by the Chief of Engineers and
authorized by the Secretary of the Army prior to beginning the same.
33 U.S.C. S 40fi Penalty for wrongful construction of bridges, men. etcu
[RHAA §12) removal of structures
Every person and every corporation that shall violate any of the
provisions of sections 401, 403. and 404 of this title or any rule or regulation
made by the Secretary of the Army in pursuance of the provisions of section
404 of this title shall be deemed guilty of a misdemeanor, and on conviction
thereof shall be punished by a fine not exceeding $2,500 nor less than $500,
or by imprisonment (in the case of a natural person) not exceeding one
year, or by both such punishment, in the discretion of the court. And
further, the removal of any structures or parts of structures erected in
violation of the provisions of the said sections may be enforced by the
injunction of any district court exercising jurisdiction in any district in
which such structures may exist, and proper proceedings to this end may
be instituted under the direction of the Attorney General of the United
States.
RHAA sections 13 and 16 (33 U.S.C. ftft 407 and 411), taken together, are known as the
"Refuse Act" and generally are used in cases where there has been a discharge of
pollutants into navigable water.
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33 U.S.C. * 407 Depost of refuse in navigable waters
(RHAA $ 13) generally
It shall not be lawful to throw, discharge or cause, suffer or procure
to be thrown, discharged or deposited either from or out of any ship, barge
or other floating craft of any kind or from the shore, wharf, manufacturing
establishment, or mill of any kind, any refuse matter of any kind or
description whatever other than that flowing from streets and sewers and
passing therefrom in a liquid state, into any navigable water of the United
States or into any tributary of any navigable water from which the same
shall float, or be washed into such navigable water; and it shall not be
lawful to deposit, or cause, suffer or procure to be deposited material of any
kind in any place in the bank of any tributary of any navigable water, where
the same shall be liable to be washed into such navigable water , either by
ordinary or high tides, or by storms or floods, or otherwise, whereby
navigation shall or may be impeded or obstructed: Provided, That nothing
herein contained shall extend to, apply to or prohibit the operations in
connection with the improvement of navigable water or construction of
public works, considered necessary and proper by the United States officers
supervising such improvement or public work: And provided further, That
the Secretary of the Army, whenever in the judgment of the Chief of
Engineers anchorage and navigation will not be injured thereby, may
permit the deposit of any material above mentioned in navigable waters
within limits to be defined and under conditions to be prescribed by him,
provided application is made to him prior to depositing such material; and
whenever any permit is so granted the conditions thereof shall be strictly
complied with, and any violation thereof shall be unlawful.
33 U.S.C.8 409 Obstruction of navigable w
[RHAA § 15) floating; timber, marking and removal of sunken vessels
Obstruction of navigable waters by vessels; floating timber; marking
and removal of sunken vessels. It shall not be-lawful to tie up or anchor
vessels or other craft in navigable channels in such a manner as to prevent
or obstruct the passage of other vessels or craft; or to voluntarily or
carelessly sink, or permit or cause to be sunk, vessels or other craft in
navigable channels; or to float loose timber and logs or to float what is
known as "sack rafts or timber or logs" in streams or channels actually
navigated by steamboats in such manner as to obstruct, impede or
endanger navigation. And whenever a vessel, raft or other craft is wrecked
and sunk in a navigable channel, accidentally or otherwise, it shall be the
duty of the owner of such sunken craft to immediately mark it with a buoy
or beacon during the day and a lighted lantern at night, and to maintain
such marks until the sunken craft is removed or abandoned and the
neglect or failure of the said owner so to do shall be unlawful; and it shall
be the duty of the owner of such sunken craft to commence the immediate
removal of the same and prosecute such removal diligently and failure to
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33 ILS.C.S 409 Obstruction of navigable waters by vessels, floating timber,
IRHAA 5 15} marking and removal of sunken vcnsch (oont)
do ao shall be considered as an abandonment of such craft and subject the
same to removal by the United States as provided for in sections 411 to 416,
418 and 502 of this title.
aflU.S.C. 8411 Penalty for wrongful deposit of refuse; use of injury to
(RHAAI 16) harbour improvements, and obstruction of navigable
waters, generally
Every person and every corporation that shall violate, or that shall
knowingly aid, abet, authorize or instigate a violation of the provisions of
sections 407, 408, and 409 of this title shall be guilty of a misdemeanor, and
on conviction thereof shall be punished by a fine not exceeding $2,500 nor
less than $500, or by imprisonment (in the case of a natural person) for not
less than 30 days nor more than one year, or by both such fine and
imprisonment, in the discretion of the court one-half of said fine to be paid
to the person or persons giving information which shall lead to conviction.
33 U.S.C. S 413 Duty of United States attorneys and other Federal officers
{RHAA § ) in enforcement of provisions; arrest of offenders
The Department of Justice shall conduct the legal proceedings
necessary to enforce the provisions of selections 401, 403, 404, 406, 407, 408,
409, 411, and 412 of this title; and it shall be the duty of United States
attorneys to vigorously prosecute all offenders against the same whenever
requested to do so by the Secretary of the Army or by any of the officials
hereinafter designated, and it shall furthermore be the duty of said United
States attorneys to report to the Attorney General of the United States the
action taken by him against offenders so reported, and a transcript of such
reports shall be transmitted to the Secretary of the Army by the Attorney
General; and for the better enforcement of the said provisions and to
facilitate the detection and bringing to punishment of such offenders, the
officers and agents of the United States in charge of river and harbor
improvements, and the assistant engineers and inspectors employed under
them by authority of the Secretary of the Army, and the United States
collectors of customs and other revenue officers shall have power and
authority to swear out, process and to arrest and take into custody, with or
without process, any person or persons who may commit any of the acts or
offenses prohibited by the said sections, or who may violate any of the
provisions of the same: Provided, That no person shall be arrested without
process for any offense not committed in the presence of some one of the
aforesaid officials: And provided further, That whenever any arrest is
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33 U.S.C. * 41SDutv of United States attorneys and other Federal officers
(RHAA6) m enforcement o/proviaio^arrerto/offenders (oont)
made under such sections, the person so arrested shall be brought forth-
with before a magistrate, judge or court of the United States for
examination of the offenses alleged against him; and such magistrate,
judge or court shall proceed in respect thereto as authorized by law in case
of crimes against the United States.
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U.S. CODE TITLE 42, THE PUBLIC HEALTH AND WELFARE
SAFE DRINKING WATER ACT
(SDWA)
{as amended by Pub. L. No. 99-339,100 Stat. 654, effective June 19,1986}
42 U.S.C. § 300 h-2 Enforcement of program
{SDWA § 1423} (Underground Injection Control Program)
(a) Notice to State and violator; issuance of administrative order; civil
action
(1) Whenever the Administrator finds, during a period during
which a State has primary enforcement responsibility for
underground water sources (within the meaning of section
300h-l(b)(3) of this title or section 300h-4(c) of this title) that any
person who is subject to a requirement of an applicable underground
injection control program in such State is violating such
requirement, he shall so notify the State and the person violating
such requirement. If beyond the thirtieth day after the
Administrator's notification the State has not commenced
appropriate enforcement action, the Administrator shall issue an
order under subsection (c) of this section requiring the person to
comply with such requirement or the Administrator shall commence
a civil action under subsection (b) of this section.
(2) Whenever the Administrator finds during a period during
which a State does not have primary enforcement responsibility for
underground water sources that any person subject to any
requirement of any applicable underground injection control
program in such State is violating such requirement, the
Administrator shall issue an order under subsection (c) of this
section requiring the person to comply with such requirement or the
Administrator shall commence a civil action under subsection (b) of
this section.
(b) Civil and criminal actions-
Civil actions referred to in paragraphs (1) and (2) of subsection (a) of
this section shall be brought in the appropriate United States district court.
Such court shall have jurisdiction to require compliance with any
requirement of an applicable underground injection program or with an
order issued under subsection (c) of this section. The court may enter such
judgment as protection of public health may require. Any person who
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42 U.S.C. 8 300 h-2 Enfhrrament of program
(SDWA § 1423} (Underground Injection Control Program} (cent)
violates any requirement of an applicable underground injection control
program or an order requiring compliance under subsection (c) of this
section-
(1) shall be subject to a civil penalty of not more than $25,000 for
each day of such violation, and
(2) if such violation is willful, such person may, in addition to or
in lieu of the civil penalty authorized by paragraph (1), be imprisoned
for not more than three years, or fined in accordance with Title 18, or
both.
42U.S.C. S30OJ.1 Tampering with public water systems
[PHSAH432}
(a) Tampering— Any person who tampers with a public water system
shall be imprisoned for not more than five years, or fined in accordance
with Title 18 of the United States Code or both.
(b) Attempt or threat-Any person who attempts to tamper, or makes a
threat to tamper, with a public drinking water system be imprisoned for not
more than three years, or fined in accordance with Title 18 of the United
States Code, or both.
(c) Civil penalty-The Administrator may bring a civil action in the
appropriate United States district court (as determined under the provisions
of Title 28 ) against any person who tampers, attempts to tamper, or makes
a threat to tamper with a public water system. The court may impose on
such person a civil penalty of not more than $50,000 for such tampering or
not more than $20,000 for such attempt or threat.
(d) "Tamper" defined
For purposes of this section, the term "tamper" means-
CD to introduce a contaminant into a public water system with the
intention of harming persons; or
(2) to otherwise interfere with the operation of a public water
system with the intention of harming persons.
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ILS, CODE TITLE 15, COMMERCE AND TRADE
TOXIC SUBSTANCES CONTROL ACT
(TSCA)
(as enacted by Pub. L. No. 94-469,90 Stat. 2036,2037, Oct 11,1976, effective
Jan.l, 1977}
15 U.S.C. 8 2614 Prohibited acts
{TSCA §15}
It shall be unlawful for any person to—
(1) fail or refuse to comply with (A) any rule promulgated or order
issued under section 2603 (Testing of chemical substances and
mixtures) of this title, (B) any requirement prescribed by section 2604
(Manufacturing and processing notices) or 2605 (Regulation of
hazardous chemical substances and mixtures) of this title, (C) any
rule promulgated or order issued under section 2604 or 2605 of this
title, or (D) any requirement of subchapter II of this chapter or any
rule promulgated or order issued under subchapter II of this
chapter;
(2) use for commercial purposes a chemical substance or mixture
which such person knew or had reason to know was manufactured,
processed or distributed in commerce in violation of section 2604
(Manufacturing and Processing Notices) or 2605 (Regulation of
Hazardous Chemical Substances or Mixtures) of this title, a rule or
order under section 2604 or 2605 of this title, or an order issued in
action brought under section 2604 or 2606 {Imminent Hazards) of this
title.
(3) fail or refuse to: (A) establish or maintain records, (B) submit
reports, notices or other information, or (C) permit access to or
copying of records, as required by this chapter or a rule thereunder;
or
(4) fail or refuse to permit entry or inspection as required by
section 2610 (Inspections and subpoenas) of this title.
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15U.S.C. S2615 Penalties
ITSCAS16}
(b) Criminal-
Any person who knowingly or willfully violates any provision of
section 2614 of this title, shall, in addition to or in lieu of any civil penalty
which may be imposed under subsection (a) of this section for such
violation, be subject, upon conviction, to a fine of not more than $25,000 for
each day of violation, or to imprisonment for not more than one year, or
both.
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PART II
ANCILLARY LAWS
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ILS. CODE TITLE 15, COMMERCE AND TRADE
15 U.S.C. 8 1990e Odometer requirements
Criminal penalties; liability of director, eta, of corporation
(a) Any person who knowingly and willfully commits any act or causes
to be done any act that violates any provision of this subchapter or
knowingly and willfully omits to do any act or causes to be omitted any act
that is required by any such provision shall be fined not more than $50,000
or imprisoned not more ***an three yean or both.
(b) Any individual director, officer, or agent of a corporation who
knowingly and willfully authorizes, orders, or performs any of the acts or
practices constituting in whole or in part a violation of any section of this
subchapter shall be subject to penalties under this section without regard to
any penalties to which that corporation may be subject under subsection (a)
of this section.
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U.S. CODE TITLE 16, CONSERVATION
MIGRATORY BIRD TREATY ACT
(MBTA)
16 U S.C. S 707 Violations and penalties; forfeitures
(a) Except as otherwise provided in this section, any person, association,
partnership or corporation who shall violate any provisions of said
conventions or of this subchapter, or who shall violate or fail to comply with
any regulation made pursuant to this subchapter shall be deemed guilty of
a misdemeanor and upon conviction thereof shall be fined not more than
$500 or be imprisoned, not more **»*»" «
(b) Whoever, in violation of this subchapter, shall-
(1) take by any manner whatsoever any migratory bird with intent to
sell, offer to sell, barter or offer to barter such bird, or
(2) sell, offer for sale, barter or offer to barter, any migratory bird
shall be guilty of a felony and shall be fined not more than $2,000 or
imprisoned not more than two years, or both.
(c) All guns, traps, nets and other equipment, vessels, vehicles and other
means of transportation used by any person when engaged in pursuing,
hunting, taking, trapping, ensnaring, capturing, killing, or attempting to
take, capture, or kill any migratory bird in violation of this subchapter with
the intent to offer for sale, or sell, or offer for barter, or barter such bird in
violation of this subchapter shall be forfeited to the United States and may be
seized and held pending the prosecution of any person arrested for violating
this subchapter and upon conviction for such violation, such forfeiture shall
be adjudicated as a penalty in addition to any other provided for violation of
this subchapter. Such forfeited property shall be disposed of and accounted for
by, and under the authority of, the Secretary of the Interior.
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UJS. CODE TITLE 16, CONSERVATION
ENDANGERED SPECIES ACT OF 1973
16 U.S.C S 1540 Penalties and enforcement
(ESA § 11}
(b) Criminal violations
(1) Any person who knowingly violates any provision of this chapter,
of any permit, or certificate issued hereunder, or any regulation issued
in order to implement subsection (aXD(A), (B), (C), (D), (E), or (F);
(a)(2)(A), (B), (C), (D), (c), (d) (other than a regulation relating to
recordkeeping, or filing reports), (f), or (g) of section 1538 [Prohibited
acts] of this title shall, upon conviction, be fined not more than $50,000 or
imprisoned for not more than one year, or both. Any person who
knowingly violates any provision of any other regulation issued under
this chapter shall, upon conviction, be fined not more than $25,000 or
imprisoned for not more than «*^ months, or both.
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US. CODE TITLE 16, AQUATIC NUISANCE PREVENTION
AQUATIC NUISANCE PREVENTION
AND CONTROL NONINDIGENOUS AQUATIC NUISANCE
16 U.S.C. S4711 Aquatic nuisance species in the Great Lakes
[NANPCA§ 1101]
(d) Criminal penalties
Any person who knowingly violates the regulations issued under
subsection (b) of this section is guilty of a class C felony.
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ILS. CODE TITLE 21, FOOD AND DRUGS
FEDERAL FOOD, DRUG, AND COSMETIC ACT
(FFDCA)
21 U.S.C. S 331 Prohibited acts
The following acts and the causing thereof are prohibited:
(a) The introduction or delivery for introduction into interstate commerce of
any food, drug, device or cosmetic that is adulterated or misbranded.
(...)
(k) The alteration, mutilation, destruction, obliteration, or removal of the
whole or any part of the labeling of, or the doing of any other act with respect to
a food, drug, device, or cosmetic, if such act is done while such article is held
for sale (whether or not the first sale) after shipment in interstate commerce
and results in such article being adulterated or misbranded.
21 U.S.C. $ 333 Penalties
(a) Violation of section 331 of this title--
Any person who violates a provision of section 331 of this title shall be
imprisoned for not more than one year or fined not more than $1,000, or both.
(b) Second offenses; intent to defraud or mislead
Notwithstanding the provisions of subsection (a) of this section, if any
person commits such a violation after a conviction of him under this section
has become final, or commits such a violation with the intent to defraud or
mislead, such person shall be imprisoned for not more than three years or
fined not more than $10,000, or both,
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UJS. CODE TITLE 30, SURFACE MINING CONTROL
SURFACE MINING CONTROL AND RECLAMATION
an U.S.C. 8 1268 Penalties
[SMCRA § 518]
(e) Willful violations
Any person who willfully and knowingly violates a condition of a permit
issued pursuant to a Federal program, a Federal lands program or Federal
enforcement pursuant to section 1252 of this title or during Federal
enforcement of a State program pursuant to section 1271 of this title or fails or
refuses to comply with any order issued under section 1271 or section 1276 of
this title, or any order incorporated in a final decision issued by the Secretary
under this chapter, except an order incorporated in a decision issued under
subsection (b) of this section or section 1294 of this title, shall, upon conviction,
be punished by a fine of not more than $10,000, or try imprisonment for not
more than one year or both.
(f) Corporate violations
Whenever a corporate permittee violates a condition of a permit issued
pursuant to a Federal program, a Federal lands program or federal
enforcement purusant to section 1252 of this title or Federal enforcement of a
State program purusnat to section 1271 of this title or fails or refuses to comply
with any order issued under section 1271 of this title, or any order incorporated
in a final decision issued by the Secretary under this chapter except an order
incorporated in a decision issued under subsection (b) of this section or section
1293 of this title, any director, officer, or agent of such corporation who
willfully and knowingly authorized, ordered, or carried out such violation,
failure, or refusal shall be subject to the same civil penalties, fines, and
imprisonment that may be imposed upon a person under subsections (a) and
(e) of this section.
(g) False statements, representations, or certifications
Whoever knowingly makes any false statement, representation, or
certification , or knowingly fails to make any statement, representation, or
certification in any application, record, report, plant, or other document filed
or required to be maintained pursuant to a Federal program or a Federal lands
program or any order of decision issued by the Secretary under this chapter,
shall, upon conviction, be punished by a fine or not more than $10,000, or by
imprisonment for not more than one year or both.
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3n us r 61294 Penalty
[SMCRA§704]
Any person who shall, except as permitted by law, willfully resist,
prevent, impede, or interfere with the Secretary or any of this agents in the
performance of duties purusant to this chapter shall be punished by a fine of
not more than $5,000 or by imprisonment for not more than one year, or both.
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U.S. CODE TITLE 33, NAVIGATION AND NAVIGABLE WATERS
DEEPWATER PORTS ACT
33 U.S.C. 6 1509 Marine Environmental Protection and Navigational Study
(a) Regulations and procedures
Subject to recognized principles of international law, the Secretary shall
prescribe by regulation and enforce procedures with respect to any deepwater
port, including, but not limited to, rules governing vessel movement, loading
and unloading procedures, designation and marking of anchorage areas,
maintenance, law enforcement, and the equipment, training, and
maintenance required (A) to prevent pollution of the marine environment, (B)
to clean up any pollutants which may be discharged, and (C) to otherwise
prevent or minimize any adverse impact from the construction and operation
of such deepwater port.
33 U.S.C.S 1514 Remedies
(a) Criminal penalties
Any person who willfully violates any provision of this Act or any rule,
order, or regulation issued pursuant thereto shall on conviction be fined not
more than $25,000 for each day of violation or imprisoned for not more than one
year, or both.
(b) Orders of compliance; Attorney General's civil action; jurisdiction and
venue.--
(1) Whenever on the basis of any information available to him the
Secretary finds that any person is in violation of any provision of this Act
or any rule, regulation, order, license, or condition thereof, or other
requirements under this Act, he shall issue an order requiring such
person to comply with such provision or requirement, or he shall being a
civil action in accordance with paragraph (3) of this subsection.
(2) Any order issued under this subsection shall state with reasonable
specificity the nature of the violation and a time for compliance, not to
exceed 30 days, which the Secretary determines is reasonable, taking
into account the seriousness of the violation and any good faith efforts to
comply with applicable requirements.
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U.S. CODE TITLE 33, NAVIGATION AND NAVIGABLE WATERS
POLLUTION CASUALTIES ON THE HIGH SEAS:
33 USC S 1481 Violations; penalties
(a) Any person who-
(1) willfully violates a provision of this Act [33 U.S.C. §§ 1471 & seo.1 or
a regulation issued thereunder; or
(2) willfully refuses or fails to comply with any lawful order or
direction given pursuant to this title [33 U.S.C. §§ 1471 fit seq.1. shall be
fined not more than $10,000 or imprisoned not more than one year, or
both.
(b) In a criminal proceeding for an offense under paragraph (1) or (2) of
subsection (a) of this section it shall be a defense for the accused to prove that
he used all due diligence to comply with any order or direction or that he had
reasonable cause to believe that compliance would have resulted in serious
risk to human life.
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33 U.S.C.8 1514 Remedies (cont.)
(3) Upon a request by the Secretary, the Attorney General shall
commence a civil action for appropriate relief, including a permanent or
temporary injunction or a civil penalty not to exceed $25,000 per day of
such violation, for any violation for which the Secretary is authorized to
issue a compliance order under paragraph (1) of this subsection. Any
action under this subsec-tion may be brought in the district court of the
United States for the district in which the defendant is located or resides
or is doing business, and such court shall have jurisdiction to restrain
such violation, require compliance, or impose such penalty.
(c) Attorney General's action for equitable relief; scope of relief.-- Upon a
request by the Secretary, the Attorney General shall bring an action in an
appropriate district court of the United States for equitable relief to redress a
violation by any person of any provision of this title, any regulation under this
title, or any license condition. The district courts of the United States shall
have jurisdiction to grant such relief as is necessary or appropriate, including
mandatory or prohibitive injunctive relief, interim equitable relief,
compensatory damages, and punitive damages.
(d) Vessels; liability in rem; exempt vessels; consent or privy of owners or
bareboat charterers.-- Any vessel, except a public vessel engaged in
noncommercial activities, used in a violation of this title or of any rule or
regulation issued pursuant to this title, shall be liable in rem for any civil
penalty assessed or criminal fine imposed and may be proceeded against in
any district court of the United States having jurisdiction thereof; but no vessel
shall be liable unless it shall appear that one or more of the owners, or
bareboat charterers, was at the time of the violation, a consenting party or
pnvy to such violation.
33 U.S.C. S 1517 Liability
(a) Oil discharge; prohibition; penalty; notice and hearing; separate offense;
vessel clearance; withholding, bond or surety
(1) The discharge of oil into the marine environment from a vessel
within any safety zone, from a vessel which has received oil from
another vessel at a deepwater port, or from a deepwater port is
prohibited.
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33 U.S.C. S 1517 Liability (cont)
(2) The owner or operator of a vessel or the licensee of a deepwater
port from which oil is discharged in violation of this subsection shall be
assessed a civil penalty of not more than $10,000 for each violation. No
penalty shall be assessed unless the owner or operator or the licensee
has been given notice and opportunity for a hearing on such charge.
Each violation is a separate offense. The Secretary of the Treasury shall
withhold, at the request of the Secretary, the clearance required by
section 4197 of the Revised Statutes of the United States, as amended
(46 U.S.C. § 91) [46 USCS Appx, § 91], of any vessel the owner or operator
of which is subject to the foregoing penalty. Clearance may be granted in
such cases upon the filing of a bond or other surety satisfactory to the
Secretary.
(b) Oil discharge; notification; penalty; use of notification in criminal cases
is limited.- Any individual in charge of a vessel or a deepwater port shall
notify the Secretary as soon as he has knowledge of a discharge of oil. Any
such individual who 'fails to notify the Secretary immediately of such
discharge shall, upon conviction, be fined not more than $10,000 or imprisoned
for not more than one year, or both. Notification received pursuant to this
subsection, or information obtained by the use of such notification, shall not be
used against any such individual in any criminal case, except a prosecution
for perjury or for giving a false statement.
(c) Oil removal; drawing upon Fund money for cleanup costs.{. . .}
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U.S. CODE TITLE 33, NAVIGATION AND NAVIGABLE WATERS
ACT TO PREVENT POLLUTION FROM SHIPS
33 U.S.C. S 1908 Penalties for violations
(APPS § 9)
(a) Criminal penalties.
A person who knowingly violates the MARPOL Protocol, this chapter, or
the regulations issued thereunder commits a Class D felony. In the discretion
of the Court, an amount equal to not more than 1/2 of such fine may be paid to
the person giving information leading to conviction.
(d) Liability in rem; district court jurisdiction.
A ship operated in violation of the MARPOL Protocol, this chapter, or
the regulation thereunder is liable in rem for any fine imposed under
subsection (a) of this section or civil penalty assessed pursuant to subsection (b)
of this section, and may be proceeded against in the United States district court
of any district in which the ship may be found.
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UJS. CODE TITLE 33, NAVIGATION AND NAVIGABLE WATERS
SHORE PROTECTION ACT OF 1988
33 U.S.C. S 2605 Enforcement
(a) General authority
The Secretary of Transportation shall enforce this chapter under
Section 89 of Title 14. The Secretary may authorize other officers or employees
of the United States Government to enforce this chapter under that section.
33 U.S.C. S 2609 Penalties
(c) Criminal penalty
Any person who knowingly violates, or that knowingly aids, abets,
authorizes, or instigates a violation of this chapter, shall be fined under
title 18, imprisoned for not more than three years, or both.
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US. CODE TITLE 43, PUBLIC LANDS
OUTER CONTINENTAL SHELF LANDS ACT
43 U.S.C. S 1350 Remedies and penalties
(c) Criminal penalties
A person who knowingly and willfully (1) violates any provision of this
Act, any term, license, or permit issued pursuant to this Act, or any
regulation or order issued under the authority of this Act designed to protect
health, safety, or the environment or conserve natural resources (2) makes
any false statement, representation, or certification in any application, record,
report, or other document filed or required to be maintained under this Act, (3)
falsifies, tampers with, or renders inaccurate any monitoring device or'
method of record required to be maintained under this Act, or (4) reveals any
data or information required to be kept confidential by this Act shall, upon
conviction, be punished by a fine of not more than $100,000, or by
imprisonment for not more than 10 years, or both. Each day that a violation
under clause (1) of this subsection continues, or each day that any monitoring
device or data recorder remains inoperative or inaccurate because of any
activity described in clause (3) of this subsection, shall constitute a separate
violation.
(d) Liability of corporate officers and agents for violations by corporation
Whenever a corporation or other entity is subject to prosecution under
subsection (c) of this section, any officer or agent of such corporation or entity
who knowingly or willfully authorized, ordered, or carried out thee proscribed
activity shall be subject to the same fines or imprisonment, or both, as
provided for under subsection (c) of this section.
(e) Concurrent and cumulative nature of penalties
The remedies and penalties described in this Act shall be concurrent
and cumulative and the exercise of one shall not preclude the exercise of the
others. Further, the remedies and penalties afforded by any other law or
regulation.
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PART III
SELECT PROVISIONS OF U.S. CODE TITLE 18
CRIMES AND CRIMINAL PROCEDURE
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TITLE 18, UNTIED STATES CODE
CRIMES AND CRIMINAL PROCEDURE
IS TJ.S.C. 8 2 Principals
(a) Whoever commits an offense against the United States or aids, abets,
counsels, commands, induces or procures its commission, is punishable as a
principal.
(b) Whoever willfully causes an act to be done which if directly performed by
him or another would be an offense against the United States, is punishable as
a principal.
18 U.S.C. S 3 Accessory after the fact
Whoever, knowing that an offense against the United States has been
committed, receives, relieves, comforts or assists the offender in order to
hinder or prevent his apprehension, trial, or punishment, is an accessory
after the fact.
Except as otherwise expressly provided by any Act of Congress, an
accessory after the fact shall be imprisoned not more than one-half the
maximum term of imprisonment or fined not more than one-half the
maximum fine prescribed for the punishment of the principal, or both; or if
the principal is punishable by life imprisonment or death, the accessory shall
be imprisoned not more than 10 years.
18 U.S.C. S 4 Misprision of felony
Whoever, having knowledge of the actual commission of a felony
cognizable by a court of the United States, conceals and does not as soon as
possible make known the same to some judge or other person in civil or
military authority under the United States, shall be fined not more than $500
or imprisoned not more than three years, or both.
18 U.S.C. § 41 Hunting, fishing, trapping, disturbance, or injury on wildlife
refuges
Whoever, except in compliance with rules and regulations promulgated
by authority of law, hunts, traps, captures, willfully disturbs or kills any bird,
fish or wild animal of any kind whatever, or takes or destroys the eggs or nest
of any such bird or fish, on any lands or waters which are set apart or reserved
as sanctuaries, refuges or breeding grounds for such birds, fish, or animals
under any law of the United States or willfully injures, molests or destroys any
property of the United States on any such lands or waters, shall be fined not
more than $500 or imprisoned not more than six months, or both.
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8 111 Assaulting, resisting or impeding certain officers or
employees
(a) In General.-Whoever ~
(1) forcibly assaults, resists, opposes, impedes, intimidates, or
interferes with any person designated in section 1114 of this title while
engaged in or on account of the performance of his official duties; or
(2) forcibly assaults or intimidates any person who formerly served as a
person designated in section 1114 on account of the performance of
official duties during such person's term of service, shall be fined under
this title or imprisoned not more than three years, or both.
(b) Enhanced Penalty. -Whoever, in the commission of any such acts
described in subsection (a), uses a deadly or dangerous weapon, shall be fined
under this title or imprisoned not more than ten years, or both.
(as amended November 18, 1988)
18U.S.C. 6 115 Influencing, impeding, or retaliating against a Federal
official by threatening or injuring a family member
(aXD Whoever-
(A) assaults, kidnaps, or murders, or attempts to kidnap or
murder, or threatens to assault, kidnap or murder a member of
the immediate family of a United States official, a United States
judge, a Federal law enforcement officer, or an official whose
killing would be a crime under section 1114 of this title, or
(B) threatens to assault, kidnap, or murder, a United States
official, a United States judge, a Federal law enforcement officer,
or an official whose killing would be a crime under such section,
with intent to impede, intimidate, or interfere with such official, judge,
or law enforcement officer while engaged in the performance of official
duties, or with intent to retaliate against such official, judge, or law
enforcement officer on account of the performance of official duties,
shall be punished as provided in subsection (b).
(2) Whoever assaults, kipnaps, or murders, or attempts to kidnap or
murder a member of the immediate family of any person designated in
paragraph (1), with intent to retaliate against such official, judge, or
law enforcement officer on account of the performance of official duties
during the term of service of such person, shall be punished as provided
in subsection (b).
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IS U.S.C. 8 115 Influencing, impeding, or retaliating against a Federal official
by threatening or injuring a family member (cont.)
CbXl) An assault in violation of this section shall be punished as provided in
section 111 of this title.
(2) A kidnapping or attempted kidnaping in violation of this section
shall be punished as provided in section 1201 of this title for the
kidnapping or attempted kidnapping of a person described in section
1201(aX5) of this title.
(3) A murder or attempted murder in violation of this section shall be
punished as provided in sections 1111 and 1113 of this title.
(4) A threat made in violation of this section shall be punished by a
fine of not more than $5,000 or imprisonment for a term of not more
than five years, or both, except that imprisonment for a threatened
assault shall not exceed three years.
(c) As used in this section, the term-
(1) "Federal law enforcement officer" means any officer, agent, or
employee of the United States authorized by law or by a Government
agency to engage in or supervise the prevention, detection, investigation,
or prosecution of any violation of Federal criminal law;
(2) "immediate family member" of an individual means-
(A) his spouse, parent, brother or sister, child or person to
whom he stands in loco parentis; or
(B) any other person living in his household and related to him
by blood or marriage.
(3) "United States judge" means any judicial officer of the United
States, and includes a justice of the Supreme Court and a United States
magistrate; and
(4) "United States official" means the President, President-elect, Vice
President, Vice President-elect, a Member of Congress, a member-elect
of Congress, a member of the executive branch who is the head of a
department listed in 5 U.S.C. 101, or the Director of the Central
Intelligence Agency.
(as amended November 18,1988)
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s 152 Concealment of assets; false oaths and claims; bribery
Whoever knowingly and fraudulently conceals from a custodian,
trustee, marshal, or other officer of the court charged with the control or
custody of property, or from creditors in any case under title 11, any property
belonging to the estate of a debtor; or
Whoever knowingly and fraudulently makes a false oath or account in
or in relation to any case under title 11; or
Whoever knowingly and fraudulently makes a false declaration,
certificate, verification, or statement under penalty of perjury as permitted
under section 1746 of title 28, United States Code, in or in relation to any case
under title 11; or
Whoever knowingly and fraudulently presents any false claim for proof
against the estate of a debtor, or uses any such claim in any case under title 11,
personally, or by agent, proxy, or attorney, or as agent, proxy, or attorney; or
Whoever knowingly and fraudulently receives any material amount of
property from a debtor after the filing of a case under title 11, with intent to
defeat the provisions of title 11; or
Whoever knowingly and fraudulently gives, offers, receives or attempts
to obtain any money or property, remuneration, compensation, reward,
advantage, or promise thereof, for acting or forbearing to act in any case under
title 11; or
Whoever, either individually or as an agent or officer of any person or
corporation, in contemplation of a case under title 11 by or against him or any
other person or corporation, or with intent to defeat the provisions of title 11,
knowingly and fraudulently transfers or conceals any of his property or the
property of such other person or corporation; or
Whoever, after the filing of a case under title 11 or in contemplation
thereof, knowingly and fraudulently conceals, destroys, mutilates, falsifies, or
makes a false entry in any recorded information, including books, documents,
records, and papers, relating to the property or financial affairs of a debtor; or
Whoever, after the filing of a case under title 11, knowingly and
fraudulently withholds from a custodian, trustee, marshal, or other officer of
the court entitled to its possession, any recorded information, including books,
documents, records, and papers, relating to the property or financial affairs of
a debtor.
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1STTSC 8 152 Concealment of assets; false oaths and claims; bribery (cont.)
Shall be fined not more than $5,000 or imprisoned not more than five
years, or both.
(as amended November 18.1988)
18 U.S.C. S 208 Acts affecting a personal financial interest
(a) Except as permitted by subsection (b) hereof, whoever, being an officer or
employee of the executive branch of the United States Government, or of any
independent agency of the United States, a Federal Reserve bank director,
officer or employee or an officer or employee of the District of Columbia,
including a special Government employee, participates personally and
substantially as a Government officer or employee, through decision, approval,
disapproval, recommendation, the rendering of advice, investigation, or
otherwise, in a judicial or other proceeding, application, request for a ruling or
other determination, contract, claim, controversy, charge, accusation, arrest
or other particular matter in which, to his knowledge, he, his spouse, minor
child, general partner, organization in which he is serving as officer, director,
trustee, general partner or employee or any person or organization with whom
he is negotiating or has any arrangement concerning prospective
employment, has a financial interest-
Shall be subject to the penalties set forth in section 216 of this title.
(b) Subsection (a) shall not apply (1) if the officer or employee first advises
the government official responsible for appointment to his position of the
nature and circumstances of the judicial or other proceeding, application,
request for a ruling or other determination, contract, claim, controversy,
charge, accusation, arrest or other particular matter and makes full
disclosure of the financial interest and receives in advance a written
determination made by such official that the interest is not so substantial as to
be deemed likely to affect the integrity of the services which the Government
may expect from such officer or employee, or (2) if, by regulation issued by the
Director of the Office of Government Ethics, applicable to all or a portion of all
officers and employees covered by this section and published in the Federal
Register, the financial interest has been exempted from the requirements of
paragraph (1) as being too remote or too inconsequential to affect the integrity
of the services of the Government officers or employees to which such
regulation applies; (3) in the case of a special Government employee serving on
an advisory committee within the meaning of the Federal Advisory Committee
Act (including an individual being considered for an appointment to such a
position), the official responsible for the employee's appointment, after review
of the financial disclosure report filed by the individual pursuant to section 107
of the Ethics in Government Act of 1978, certifies in writing that the need for
the individual's services outweighs the potential for conflict of interest created
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18 U.S.C. S 208 Acts affecting a personal financial interest (cent.)
by the financial interest involved; or (4) the financial interest that would be
affected by the particular matter involved is that resulting solely from the
interest of the officer or employee, or his or her spouse or minor child, in
birthrights—
(cXD For the purpose of paragraph (1) of subsection (b), in the case of class A
and B directors of Federal Reserve Banks, the Board of Governors of the
Federal Reserve System shall be deemed to be the Government official
responsible for appointment.
(2) The potential availability of an exemption under any particular
paragraph of subsection (b) does not preclude an exemption being
granted pursuant to another paragraph of subsection (b).
(d)(l) A copy of any determination by other than the Director of the Office of
Government Ethics granting an exemption pursuant to subsection (b)(l) or
(b)(3) shall be submitted to the Director, who shall make all determinations
available to the public pursuant to section 105 of the Ethics in Government Act
of 1978. For determinations pursuant to subsection (bX3), the information from
the financial disclosure report of the officer or employee involved describing
the asset or assets that necessitated the waiver shall also be made available to
the public. This subsection shall not apply, however, if the head of the agency
or his or her designee determines that the determination under subsection
(b)(l) or (bX3), as the case may be, involves classified information.
(2) The Office of Government Ethics, after consultation with the
Attorney General, shall issue uniform regulations for the issuance of
waivers and exemptions under subsection (b) which shall-
(A) list and describe exemptions; and
(B) provide guidance with respect to the types of interests that
are not so substantial as to be deemed likely to affect the integrity
of the services the Government may expect from the employee.
(as amended November 30, 1989)
18 U.S.C. S 241 Conspiracy against rights of citizens
If two or more persons conspire to injure, oppress, threaten or
intimidate any inhabitant of any State, Territory, or District in the free exercise
or enjoyment of any right or privilege secured to him by the Constitution or
laws of the United States, or because of his having so exercised the same; or
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18 U.S.C. 8 241 Conspiracy against rights of citizens (cont.)
If two or more persons go in disguise on the highway, or on the
premises of another, with intent to prevent or hinder his free exercise or
enjoyment of any right or privilege so secured,
They shall be fined not more than $10,000 or imprisoned not more than
10 years, or both; and if death results, they shall be subject to imprisonment for
any term of years or for life.
(as amended November 18, 1988)
18 U.S.C. S 286 Conspiracy to defraud the government with respect to claims
Whoever enters into any agreement, combination or conspiracy to
defraud the United States or any department or agency thereof, by obtaining or
aiding to obtain the payment or allowance of any false, fictitious or fraudulent
claim, shall be fined not more than $10,000 or imprisoned not more than ten
years, or both.
18 U.S.C. S 287 False, fictitious, or fraudulent claims
Whoever makes or presents to any person or officer in the civil, military,
or naval service of the United States, or to any department or agency thereof,
any claim upon or against the United States, or any department or agency
thereof, knowing such claim to be false, fictitious, or fraudulent, shall be
imprisoned not more than five years and shall be subject to a fine in the
amount provided in this title.
18 U.S.C. S 371 Conspiracy to Commit Offense or to Defraud United States
If two or more persons conspire either to commit any offense against the
United States, or to defraud the United States, or any agency thereof in any
manner or for any purpose, and one or more of such persons do any act to
effect the object of the conspiracy, each shall be fined not more than $10,000 or
imprisoned not more than five years, or both.
If, however, the offense, the commission of which is the object of the
conspiracy, is a misdemeanor only, the punishment for such conspiracy shall
not exceed the maximum punishment provided for such misdemeanor.
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ifl U.S.C!. 8 372 Conspiracy to impede or injure officer
If two or more persons in any State, Territory, Possession, or District
conspire to prevent, by force, intimidation, or threat, any person from
accepting or holding any office, trust, or place of confidence under the United
States, or from discharging any duties thereof, or to induce by like means any
officer of the United States to leave the place, where his duties as an officer are
required to be performed, or to injure him in his person or property on account
of his lawful discharge of the duties of his office, or while engaged in the lawful
discharge thereof, or to injure his property so as to molest, interrupt, hinder,
or impede him in the discharge of his official duties, each of such persons
shall be fined not more than $5,000 or imprisoned not more than six years, or
both.
18 U.S.C. S 401 Power of court
A court of the United States shall have power to punish by fine or
imprisonment, at its discretion, such contempt of its authority, and none
other, as-
(1) Misbehavior of any person in its presence or so near thereto as to
obstruct the administration of justice;
(2) Misbehavior of any of its officers in their official transactions;
(3) Disobedience or resistance to its lawful writ, process, order, rule,
decree, or command.
18 U.S.C. S 402 Contempts constituting crimes
Any person, corporation or association willfully disobeying any lawful
wnt, process, order, rule, decree, or command of any district court of the
United States or any court of the District of Columbia, by doing any act or thing
therein, or thereby forbidden, if the act or thing so done be of such character as
to constitute also a criminal offense under any statute of the United States or
under the laws of any State in which the act was committed, shall be
prosecuted for such contempt as provided in section 3691 of this title and shall
be punished by fine or imprisonment, or both.
Such fine shall be paid to the United States or to the complainant or
other party injured by the act constituting the contempt, or may, where more
than one is so damaged, be divided or apportioned among them as the court
may direct, but in no case shall the fine to be paid the United States exceed, in
case the accused is a natural person, the sum of $1,000, nor shall such
imprisonment exceed the term of six months.
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18 U S.C. $ 402 Contempts constituting crimes (cont.)
This section shall not be construed to relate to contempts committed in
the presence of the court, or so near thereto as to obstruct the administration of
justice, nor to contempts committed in disobedience of any lawful writ,
process, order, rule, decree, or command entered in any suit or action brought
or prosecuted in the name of, or on behalf of, the United States, but the same,
and all other cases of contempt not specifically embraced in this section may be
punished in conformity to the prevailing usages at law.
18 U.S.C. S 494 Contractors' bonds, bids, and public records
Whoever falsely makes, alters, forges, or counterfeits any bond, bid,
proposal, contract, guarantee, security, official bond, public record, affidavit,
or other writing for the purpose of defrauding the United States; or
Whoever utters or publishes as true or possesses with intent to utter or
publish as true, any such false, forged, altered, or counterfeited writing,
knowing the same to be false, forged, altered or counterfeited; or
Whoever transmits to or presents at any office or to any officer of the
United States, any such false, forged, altered or counterfeited writing knowing
the same to be false, forged, altered or counterfeited-
Shall be fined not more than $1,000 or imprisoned not more than
10 years, or both.
18 U.S.C. S 506 Seals of departments or agencies
Whoever falsely makes, forges, counterfeits, mutilates, or alters the seal
of any department or agency of the United States; or
Whoever knowingly uses, affixes, or impresses any such fraudulently
made, forged, counterfeited, mutilated, or altered seal to or upon any certi-
ficate, instrument, commission, document, or paper, of any description; or
Whoever, with fraudulent intent, possesses any such seal, knowing the
same to have been so falsely made, forged, counterfeited, mutilated, or altered-
Shall be fined not more than $5,000 or imprisoned not more than five
years, or both.
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Ifl U S.C. S 511 Altering or removing motor vehicle identification numbers
(a) Whoever knowingly removes, obliterates, tampers with, or alter an
identification number for a motor vehicle, or motor vehicle part, shall be fined
not more than $10,000 or imprisoned not more than five years, or both.
(bXl) Subsection (a) of this section does not apply to a removal, obliteration,
tampering, or alteration by a person specified in paragraph (2) of this
subsection (unless such person knows that the vehicle or part involved is
stolen).
(2) The persons referred to in paragraph (1) of this subsection are-
(A) a motor vehicle scrap processor or a motor vehicle
demolisher who complies with applicable State law with respect to
such vehicle or part;
(B) a person who repairs such vehicle or part, if the removal,
obliteration, tampering, or alteration is reasonable necessary for
the repair; and
(C) a person who restores or replaces an identification number
for such vehicle or part in accordance with applicable State law{..)
18 U.S.C. S 542 Entry of goods by means of false statements
Whoever enters or introduces, or attempts to enter or introduce, into the
commerce of the United States any imported merchandise by means of any
fraudulent or false invoice, declaration, affidavit, letter, paper, or by means of
false statement, written or verbal, or by means of any false or fraudulent
practice or appliance, or makes any false statement in any declaration without
reasonable cause to believe the truth of such statement, or procures the
making of any such false statement as to any matter material thereto without
reasonable cause to believe the truth of such statement, whether or not the
United States shall or may be deprived of any lawful duties; or
Whoever is guilty of any willful act or omission whereby the United
States shall or may be deprived of any lawful duties accruing upon
merchandise embraced or referred to in such invoice, declaration, affidavit,
letter, paper, or statement, or affected by such act or omission--
Shall be fined for each offense not more than $5,000 or imprisoned not
more than two years, or both.
Nothing in this section shall be construed to relieve imported
merchandise from forfeiture under other provisions of law.
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iSTTSf! 8 542 Entry of goods by means of false statements (cont.)
The term "commerce of the United States" as used in this section, shall
not include commerce with the Philippine Islands, Virgin Islands, American
Samoa, Wake Island, Midway Islands, Kingman Reef. Johnston Island, or
Guam.
1RU.S.C. S545 Smuggling goods into the United States
Whoever knowingly and willfully, with intent to defraud the United
States smuggles, or clandestinely introduces into the United States any
merchandise which should have been invoiced, or makes out or passes, or
attempts to pass, through the customhouse any false, forged, or fraudulent
invoice, or other document or paper; or
Whoever fraudulently or knowingly imports or brings into the United
States, any merchandise contrary to law, or receives, conceals, buys, sells, or
in any manner facilitates the transportation, concealment, or sale of such
merchandise after importation, knowing the same to have been imported or
brought into the United States contrary to law-
Shall be fined not more than $10,000 or imprisoned not more than five
years, or both.
Proof of defendant's possession of such goods, unless explained to the
satisfaction of the jury, shall be deemed evidence sufficient to authorize
conviction for violation of this section.
Merchandise introduced into the United States in violation of this
section, or the value thereof, to be recovered from any person described in the
first or second paragraph of this section, shall be forfeited to the United States.
The term "United States", as used in this section, shall not include the
Philippine Islands, Virgin Islands, American Samoa, Wake Island, Midway
Islands, Kingman Reef, Johnston Island, or Guam.
18 U.S.C. S 641 Public money, property or records
Whoever embezzles, steals, purloins, or knowingly converts to his use or
the use of another, or without authority sells, conveys or disposes of any
record, voucher, money, or thing of value of the United States or of any
department or agency thereof, or any property made or being made under
contract for the United States or any department or agency thereof; or
Whoever receives, conceals, or retains the same with intent to convert it
to his use or gain, knowing it to have been embezzled, stolen, purloined or
converted--
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if} U.S.C. S 641 Public money, property or records (cont.)
Shall be fined not more than $10,000 or imprisoned not more than ten
years, or both; but if the value of such property does not exceed the sum of $100.
he shall be fined not more than $1,000 or imprisoned not more than one year,
or both.
The word "value" means face, par, or market value, or cost price, either
wholesale or retail, whichever is greater.
18 U.S.C. S 648 Custodians, generally, misusing public funds
Whoever, being an officer or other person charged by any Act of
Congress with the safe-keeping of the public moneys, loans, uses, or converts
to his own use, or deposits in any bank or exchanges for other funds, except as
specially allowed by law, any portion of the public moneys intrusted to him for
safe-keeping, is guilty of embezzlement of the money so loaned, used,
converted, deposited, or exchanged, and shall be fined in a sum equal to the
amount of money so embezzled or imprisoned not more than ten years, or both;
but if the amount embezzled does not exceed $100, he shall be fined not more
than $1,000 or imprisoned not more than one year, or both.
18 U.S.C. S 666 Theft or bribery concerning programs receiving Federal funds
(a) Whoever, if the circumstance described in subsection (b) of this section
exists -
(1) being an agent of an organization, or of a State, local or Indian
tribal government, or any agency thereof-
(A) embezzles, steals, obtains by fraud, or otherwise without
authority knowingly converts to the use of any person other than
the rightful owner or intentionally misapplies, property that-
(i) is valued at $5,000 or more, and
(ii) is owned by, or is under the care, custody, or control
of an organization, government, or agency; or
(B) corruptly solicits or demands for the benefit of any person,
or accepts or agrees to accept, anything of value from any person,
intending to be influenced or rewarded in connection with any
business, transaction, series of transactions of such organization,
government, or agency involving any thing of value of $5,000 or
more; or
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18 U.S.C. S 666 Theft or bribery concerning programs receiving Federal funds
(cont.)
(2) corruptly gives, offers, or agrees to give anything of value to any
person, with intent to influence or reward an agent of an organization or
of a State, local or Indian tribal government, or any agency thereof, in
connection with any business, transaction, or series of transactions of
such organization, government, or agency involving anything of value of
$5,000 or more;
shall be fined under this title, imprisoned not more than ten years, or both.
(b) The circumstance referred to in subsection (a) of this section is that the
organization, government, or agency receives, in any one year period, benefits
in excess of $10,000 under a Federal program involving a grant, contract,
subsidy, loan, guarantee, insurance, or other form of Federal assistance.
(c) This section does not apply to bona fide salary, wages, fees, or other
compensation paid, or expenses paid or reimbursed, in the usual course of
business.
(d) As used in this section-
(1) the term "agent" means a person authorized to act on behalf of
another person or a government and, in the case of an organization or
government, includes a servant or employee, and a partner, director,
officer, manager, and representative;
(2) the term "government agency" means a subdivision of the
executive, legislative, judicial, or other branch of government, including
a department, independent establishment, commission, administra-
tion, authority, board, and bureau, and a corporation or other legal
entity established, and subject to control, by a government or
governments for the execution of a governmental or intergovernmental
program; and
(3) the term "local" means of or pertaining to a political subdivision
within a State.
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)RUS.C. S7Q1 Official badges, identification cards, other insignia
Whoever manufactures, sells, or possesses any badge, identification
card, or other insignia, of the design prescribed by the head of any
department or agency of the United States for use by any officer or employee
thereof, or any colorable imitation thereof, or photographs, prints or in any
other manner makes or thereof, except as authorized under regulations
made pursuant to law, shall be fined not more than $250 or imprisoned not
more than six months, or both.
18 U.S.C. S 873 Blackmail
Whoever, under a threat of informing, or as a consideration for not
informing, against any violation of any law of the United States, demands
or receives any money or other valuable thing, shall be fined not more than
$2,000 or imprisoned not more than one year, or both.
IB U S.C. S 874 Kickbacks from public works employees
Whoever, by force, intimidation, or threat of procuring dismissal
from employment, or by any other manner whatsoever induces any person
employed in the construction, prosecution, completion or repair of any
public building, public work, or building or work financed in whole or in
part by loans or grants from the United States, to give up any part of the
compensation to which he is entitled under his contract of employment,
shall be fined not more than $5,000 or imprisoned not more than five years,
or both.
18 U S.C. S 1QQ1 Statements or entries generally
Whoever, in any matter within the jurisdiction of any department or
agency of the United States knowingly and willfully falsifies, conceals or
covers up by any trick, scheme, or device a material fact, or makes any
false, fictitious or fraudulent statements or representations, or makes or
uses any false writing or document knowing the same to contain any false,
fictitious or fraudulent statement or entry, shall be fined not more than
S10.000 or imprisoned not more than five years, or both.
1ft U S.C. 8 1002 Possession of false papers to defraud United States
Whoever, knowingly and with intent to defraud the United States, or
any agency thereof, possesses any false, altered, forged, or counterfeited
wnting or document for the purpose of enabling another to obtain from the
United States, or from any agency, officer or agent thereof, any sum of
money, shall be fined not more than $10,000 or imprisoned not more than
five years, or both.
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18TT.S.C. S 1014 Loan and credit applications generally; renewals and
discounts; crop insurance
Whoever knowingly makes any false statement or report, or willfully
overvalues any land, property or security, for the purpose of influencing in
any way the action of the Reconstruction Finance Corporation, Farm Credit
Administration, Federal Crop Insurance Corporation, Farmers' Home
Corporation, the Secretary of Agriculture acting through the Farmers'
Home Administration, any Federal Credit Bank, production credit
association, agriculture credit association, bank for cooperatives, or any
division, officer, or employee thereof, or of any regional agricultural credit
corporation established pursuant to law, or of the National Agricultural
Credit Corporation, a Federal Home Loan Bank, the Federal Home Loan
Bank Board, the Home Owners' Loan Corporation, a Federal Savings and
Loan Association, a Federal land bank, a Federal land bank association, a
Federal Reserve bank, a small business investment company, a Federal
credit union, an insured State-chartered credit union, any institution the
accounts of which are insured by the Federal Savings and Loan Insurance
Corporation, any bank the deposits of which are insured by the Federal
Deposit Insurance Corporation, the Federal Home Loan Bank System, the
Federal Deposit Insurance Corporation, the Resolution Trust Corp., the
Farm Credit System Insurance Corporation, the National Credit Union
Administration Board, upon any application, advance, discount, purchase,
purchase agreement, repurchase agreement, commitment, or loan, or any
change or extension of any of the same, by renewal, deferment of action or
otherwise, or the acceptance, release, or substitution of security therefor,
shall be fined not more than $1,000,000 or imprisoned not more than
20 years, or both.
(as amended August 8, 1989)
18 U.S.C. S 1Q73 Flight to avoid prosecution or giving testimony
Whoever moves or travels in interstate or foreign commerce with intent
either (1) to avoid prosecution, or custody or confinement after conviction,
under the laws of the place from which he flees, for a crime, or an attempt to
commit a crime, punishable by death or which is a felony under the laws of
the place from which the fugitive flees, or which, in the case of New Jersey, is
a high misdemeanor under the laws of said State, or (2) to avoid giving
testimony in any criminal proceedings in such place in which the
commission of an offense punishable by death or which is a felony under the
laws of such place, or which in the case of New Jersey, is a high
misdemeanor under the laws of said State, is charged, or (3) to avoid service
of, or contempt proceedings for alleged disobedience of, lawful process
requiring attendance and the giving of testimony or the production of
documentary evidence before an agency of a State empowered by the law of
suchState to conduct investigations of alleged criminal activities, shall be
fined not more than $5,000 or imprisoned not more than five years, or both.
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Ifi TT.S.C. S 1073 Flight to avoid prosecution or giving testimony (cont)
Violations of this section may be processed only in the Federal judicial
district in which the original crime was alleged to have been committed, or in
which the person was held in custody or confinement, or in which an
avoidance of service of process or a contempt referred to in clause (3) of the
first paragraph of this section is alleged to have been committed, and only
upon formal approval in writing by the Attorney General, the Deputy Attorney
General, the Associate Attorney General, or an Assistant Attorney General of
the United States, which function of approving prosecutions may not be
delegated.
(as amended November 18, 1988}
18 U.S.C. S 1111 Murder
(a) Murder is the unlawful killing of a human being with malice
aforethought. Every murder perpetrated by poison, lying in wait, or any other
kind of willful, deliberate, malicious, and premeditated killing; or committed
in the perpetration of, or attempt to perpetrate, any arson, escape, murder,
kidnapping, treason, espionage, sabotage, aggravated sexual abuse or sexual
abuse, burglary, or robbery; or perpetrated from a premeditated design
unlawfully and maliciously to effect the death of any human being other than
him who is killed, is murder in the first degree.
Any other murder is murder in the second degree.
(b) Within the special maritime and territorial jurisdiction of the United
States,
Whoever is guilty of murder in the first degree, shall suffer death
unless the jury qualifies its verdict by adding thereto "without capital
punishment", in which event he shall be sentenced to imprisonment for life;
Whoever is guilty of murder in the second degree, shall be imprisoned
for any term of years or for life.
(as amended November 18, 1988)
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18U.S.C. S 1112 Manslaughter
(a) Manslaughter is the unlawful killing of a human being without
malice. It is of two kinds:
Voluntary- Upon a sudden quarrel or heat of passion.
Involuntary- In the commission of an unlawful act not amounting to a
felony, or in the commission in an unlawful manner, or without due
caution and circumspection, of a lawful act which might produce death.
(b) Within the special maritime and territorial juris-diction of the United
States,
Whoever is guilty of voluntary manslaughter, shall be imprisoned not
more than 10 years;
Whoever is guilty of involuntary manslaughter, shall be fined not more
than $1.000 or imprisoned not more than three years, or both.
18 U.S.C. S 1114 Protection of officers and employees of the United States
Whoever kills or attempts to kill any judge of the United States, any
United States Attorney, any Assistant United States Attorney, or any United
States marshal,...{officers and employees of the United States Environmental
Protection Agency assigned to perform or to assist in performing investigative,
inspection or law enforcement functions},...shall be punished as provided
under sections 1111 and 1112 of this title, except that any such person who is
found guilty of attempted murder shall be imprisoned for not more than
20 years.
18 U.S.C. S 1117 Conspiracy to murder
If two or more persons conspire to violate section 1111, 1114, or 1116 of
this title, and one or more of such persons do any overt act to effect the object of
the conspiracy, each shall be punished by imprisonment for any term of years
or for life.
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IfiTIS.C S12Q1 Kidnapping
(a) Whoever unlawfully seizes, confines, inveigles, decoys, kidnaps,
abducts or carries away and holds for ransom or reward or otherwise any
person, except in the case of a minor by the parent thereof, when:
(1) the person is willfully transported in interstate or foreign
commerce; (...)
(5) The person is among those officers and employees designated in
section 1114 of this title and any such act against the person is done
while the person is engaged in, or on account of, the performance of his
official duties, shall be punished by imprisonment for any term of years
or for life.
(d) Whoever attempts to violate subsection (aX4) or (a)(5) shall be punished
by imprisonment for not more than 20 years.
18 U.S.C. S 1341 Frauds and swindles
Whoever, having devised or intending to devise any scheme or artifice to
defraud, or for obtaining money or property by means of false or fraudulent
pretenses, representations, or promises, or to sell, dispose of, loan, exchange,
alter, give away, distribute, supply, or furnish or procure for unlawful use any
counterfeit or spurious coin, obligation, security, or other article, or anything
represented to be or intimated or held out to be such counterfeit or spurious
article, for the purpose of executing such scheme or artifice or attempting so to
do, places in any post office or authorized depository for mail matter, any
matter or thing whatever to be sent or delivered by the Postal Service, or takes
or receives therefrom, any such matter or thing, or knowingly causes to be
delivered by mail according to the direction thereon, or at the place at which it
is directed to be delivered by the person to whom it is addressed, any such
matter or thing, shall be fined not more than $1,000 or imprisoned not more
than five years, or both. If the violation affects a financial institution, such
person shall be fined not more than $1,000,000 or imprisoned not more than
20 years or both.
(as amended August 9, 1989)
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1ft U S.C. $ 1342 Fictitious name or address
Whoever, for the purpose of conducting, promoting, or carrying on by
means of the Postal Service, any scheme or device mentioned in section 1341 of
this title or any other unlawful business, uses or assumes, or requests to be
addressed by, any fictitious, false or assumed title, name, or address or name
other than his own proper name, or takes or receives from any post office or
authorized depository of mail matter, any letter, postal card, package, or other
mail matter addressed to any such fictitious, false, or assumed title, name or
address, or name other than his own proper name, shall be fined not more
than $1,000 or imprisoned not more than five years, or both. If the violation 13
affects a financial institution, such person shall be fined not more than
$1,000,000 or imprisoned not more than 20 years or both.
(as amended August 9, 1989)
18 U.5.C. 6 1343 Fraud by wire, radio, or television
Whoever, having devised or intending to devise any scheme or artifice to
defraud, or for obtaining money or property by means of false or fraudulent
pretenses, representations, or promises, transmits or causes to be transmitted
by means of wire, radio, or television communication in interstate or foreign
commerce, any writings, signs, signals, pictures, or sounds for the purpose of
executing such scheme or artifice, shall be fined not more than $1,000 or
imprisoned not more than five years, or both. If the violation affects a financial
institution, such person shall be fined not more than $1,000,000 or imprisoned
not more than 20 years or both.
(as amended August 9, 1989)
18 U.S.C. S 1501 Assault on process server
Whoever knowingly and willfully obstructs, resists, or opposes any
officer of the United States, or other person duly authorized, in serving, or
attempting to serve or execute, any legal or judicial writ or process of any court
of the United States, or United States commissioner; or,
Whoever assaults, beats, or wounds any officer or other person duly
authorized, knowing him to be such officer, or other person so duly authorized,
in serving or executing any such writ, rule, order, process, warrant, or other
legal or judicial writ or process-
Shall, except as otherwise provided by law, be fined not more than $300
or impnsoned not more than one year, or both.
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18 U.S.C. S 1503 Influencing or injuring officer or juror generally
Whoever corruptly, or by threats or force, or by any threatening letter or
communication, endeavors to influence, intimidate, or impede any grand or
petit juror, or officer in or of any court of the United States, or officer who may
be serving at any examination or other proceeding before any United States
commissioner or other committing magistrate, in the discharge of his duty, or
injures any such grand or petit juror in his person or property on account of
any verdict or indictment assented to by him, or on account of his being or
having been such juror, or injures any such officer, commissioner, or other
committing magistrate in his person or property on account of the
performance of his official duties, or corruptly or by threats or force, or by any
threatening letter or communication, influences, obstructs, or impedes, or
endeavors to influence, obstruct, or impede, the due administration of justice,
shall be fined not more than $5,000 or imprisoned not more than five years, or
both.
(as amended October 12,1982)
18 U.S.C. S 1505 Obstruction of proceedings before departments, agencies,
and committees
Whoever, with intent to avoid, evade, prevent, or obstruct compliance, in
whole or in part, with any civil investigative demand duly and properly made
under the Antitrust Civil Process Act, willfully withholds, misrepresents,
removes from any place, conceals, covers up, destroys, mutilates, alters, or by
other means falsifies any documentary material, answers to written
interrogatories, or oral testimony, which is the subject of such demand; or
attempts to do so or solicits another to do so; or
Whoever corruptly, or by threats or force, or by any threatening letter or
communication influences, obstructs or impedes or endeavors to influence,
obstruct or impede the due and proper administration of the law under which
any pending proceeding is being had before any department or agency of the
United States, or the due and proper exercise of power of inquiry or
investigation is being had by either House, or any committee of either House, or
any joint committee of the Congress
Shall be fined not more than $5,000 or imprisoned not more than five
years, or both.
(as amended October 12,1982)
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18 U.S.C. S 1509 Obstruction of court orders
Whoever by threats or force, willfully prevents, obstructs, impedes or
interferes with or willfully attempts to prevent, obstruct, impede, or interfere
with the due exercise of rights or the performance of duties under any order,
judgment or decree of a court of the United States, shall be fined not more than
$1,000 or imprisoned not more than one year, or both.
No injunctive or other civil relief against the conduct made criminal by
this section shall be denied on the ground that such conduct is a crime.
18 U.S.C. S 151Q Obstruction of criminal investigations
(a) Whoever willfully endeavors by means of bribery to obstruct, delay or
prevent the communication of information relating to a violation of any
criminal statute of the United States by any person to a criminal investigator
shall be fined not more than $5,000 or imprisoned not more than five years, or
both.
(b) As used in this section, the term "criminal investigator" means any
individual duly authorized by a department, agency or armed force of the
United States to conduct or engage in investigations of or prosecutions for
violations of the criminal laws of the United States.
18 U.S.C. S 1512 Tampering with a witness, victim, or an informant
(aXl) Whoever kills or attempts to kill another person, with intent to--
(A) prevent the attendance or testimony of any person in an
official proceeding;
(B) prevent the production of a record, document, or other
object, in an official proceeding; or
(C) prevent the communication by any person to a law
enforcement officer or judge of the United States of information
relating to the commission or possible commission of a Federal
offense or a violation of conditions of probation, parole, or release
pending judicial proceedings;
shall be punished as provided in paragraph (2).
(2) The punishment for an offense under this subsection-
(A) in the case of a killing, the punishment provided in sections
1111 and 1112 of this title; and
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i« IT S C. 6 1512 Tampering with a witness, victim, or an informant (cont.)
(B) in the case of an attempt, imprisonment for not more than
20 years.
(b) Whoever knowingly uses intimidation or physical force, threatens, or
corruptly persuades another person, or attempts to do so, or engages in
misleading conduct toward another person, with intent to—
(1) influence, delay, or prevent the testimony of any person in an
official proceeding;
(2) cause or induce any person to—
(A) withhold testimony, or withhold a record, document, or
other object, from an official proceeding;
(B) alter, destroy, mutilate, or conceal an object with intent to
impair the object's integrity or availability for use in an official
proceeding;
(C) evade legal process summoning that person to appear as a
witness or to produce a record, document, or other object, in an
official proceeding; or
(D) be absent from an official proceeding to which such person
has been summoned by legal process; or
(3) hinder, delay, or prevent the communication to a law
enforcement officer or judge of the United States of information relating
to the commission or possible commission of a Federal offense or a
violation of conditions of probation, parole, or release pending judicial
proceedings;
shall be fined not more than $250,000 or imprisoned not more than ten years, or
both.
(c) Whoever intentionally harasses another person and thereby hinders,
delays, prevents, or dissuades any person from-
(1) attending or testifying in an official proceeding;
(2) reporting to a law enforcement officer or judge of the United
States the commission or possible commission of a Federal offense or a
violation of conditions of probation, parole, or release pending judicial
proceedings;
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18 U.S.C. 6 1512 Tampering with a witness, victim, or an informant (cont.)
(3) arresting or seeking the arrest of another person in connection
with a Federal offense; or
(4) causing a criminal prosecution, or a parole or probation
revocation proceeding, to be sought or instituted, or assisting in such
prosecution or proceeding; or attempts to do so, shall be fined not more
than $25,000 or imprisoned not more than one year, or both.
(d) In a prosecution for an offense under this section, it is an affirmative
defense, as to which the defendant has the burden of proof by a preponderance
of the evidence, that the conduct consisted solely of lawful conduct and that the
defendant's sole intention was to encourage, induce, or cause the other person
to testify truthfully.
(e) For the purposes of this section-
(1) an official proceeding need not be pending or about to be instituted
at the time of the offense; and
(2) the testimony, or the record, document, or other object need not be
admissible in evidence or free of a claim of privilege.
(0 In a prosecution for an offense under this section, no state of mind need
be proved with respect to the circumstance-
CD that the official proceeding before a judge, court, magistrate,
grand jury, or government agency is before a judge or court of the
United States, a United States magistrate, a bankruptcy judge, a Federal
grand jury, or a Federal Government agency; or
(2) that the judge is a judge of the United States or that the law
enforcement officer is an officer or employee of the Federal Government
or a person authorized to act for or on behalf of the Federal Government
or serving the Federal Government as an advisor or consultant.
(g) There is extraterritorial Federal jurisdiction over an offense under this
section.
(h) A prosecution under this section or section 1503 may be brought in the
district in which the official proceeding (whether or not pending or about to be
instituted) was intended to be affected or in the district in which the conduct
constituting the alleged offense occurred.
(as amended November 18,1988)
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18 U.S.C. S 1512 Tampering with a witness, victim, or an informant (cont.)
(a) Whoever knowingly engages in any conduct and thereby causes bodily
injury to another person or damages the tangible property of another person,
or threatens to do so, with intent to retaliate against any person for-
(1) the attendance of a witness or party at an official proceeding, or
any testimony given or any record, document, or other object produced
by a witness in an official proceeding; or
(2) any information relating to the commission or possible
commission of a Federal offense or a violation of conditions of probation,
parole, or release pending judicial proceedings given by a person to a
law enforcement officer,
or attempts to do so, shall be fined not more than $250,000 or imprisoned not
more than 10 years, or both.
fb) There is extraterritorial Federal jurisdiction over an offense under this
section.
18 U.S.C. S 1514 Civil action to restrain harassment of a victim or witness
(aXl) A United States district court, upon application of the attorney for the
Government, shall issue a temporary restraining order prohibiting
harassment of a victim or witness in a Federal criminal case if the court finds,
from specific facts shown by affidavit or by verified complaint, that there are
reasonable grounds to believe that harassment of an identified victim or
witness in a Federal criminal case exists or that such order is necessary to
prevent and restrain an offense under section 1512 of this title, other than an
offense consisting of misleading conduct, or under section 1513 of this title.
(2)(A) A temporary restraining order may be issued under this section
without written or oral notice to the adverse party or such party's
attorney in a civil action under this section if the court finds, upon
written certification of facts by the attorney for the Government, that
such notice should not be required and that there is a reasonable
probability that the Government will prevail on the merits.
(B) A temporary restraining order issued without notice under
this section shall be endorsed with the date and hour of issuance
and be filed forthwith in the office of the clerk of the court issuing
the order.
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18 U.S.C. S 1514 Civil action to restrain harassment of a victim or witness
(cont.)
(C) A temporary restraining order issued under this section
shall expire at such time, not to exceed 10 days from issuance, as
the court directs; the court, for good cause shown before
expiration of such order, may extend the expiration date of the
order for up to 10 days or for such longer period agreed to by the
adverse party.
(D) When a temporary restraining order is issued without
notice, the motion for a protective order shall be set down for
hearing at the earliest possible time and takes precedence over all
matters except older matters of the same character, and when
such motion comes on for hearing, if the attorney for the
Government does not proceed with the application for a protective
order, the court shall dissolve the temporary restraining order.
(E) If on two days notice to the attorney for the Government or
on such shorter notice as the court may prescribe, the adverse
party appears and moves to dissolve or modify the temporary
restraining order, the court shall proceed to hear and determine
such motion as expeditiously as the ends of justice require.
(F) A temporary restraining order shall set forth the reasons
for the issuance of such order, be specific in terms and describe in
reasonable detail (and not by reference to the complaint or other
document) the act or acts being restrained.
(bXl) A United States district court, upon motion of the attorney for the
Government, shall issue a protective order prohibiting harassment of a victim
or witness in a Federal criminal case if the court, after a hearing, finds by a
preponderance of the evidence that harassment of an identified victim or
witness in a Federal criminal case exists or that such order is necessary to
prevent and restrain an offense under section 1512 of this title, other than an
offense consisting of misleading conduct or under section 1513 of this title.
(2) At the hearing referred to in paragraph (1) of this subsection, any
adverse party named in the complaint shall have the right to present
evidence and cross-examine witnesses.
(3) A protective order shall set forth the reasons for the issuance of
such order, be specific in terms, describe in reasonable detail (and not by
reference to the complaint or other document) the act or acts being
restrained.
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18 U.S.C. S 1514 Civil action to restrain harassment of a victim or witness
(cont.)
(4) The court shall set the duration of effect of the protective order for
such period as the court determines necessary to prevent harassment of
the victim or witness but in no case for a period in excess of three years
from the date of such order's issuance. The attorney for the
Government may, at any time within 90 days before the expiration of
such order, apply for a new protective order under this section.
(c) As used in this section-
(1) the term "harassment" means a course of conduct directed at a
specific person that-
(A) causes substantial emotional distress in such person; and
(B) serves no legitimate purpose; and
(2) the term "course of conduct" means a series of acts over a period
of time, however short, indicating a continuity of purpose.
18 U.S.C. S 1515 Definitions for certain provisions
(a) As used in sections 1512 and 1513 of this title and in this section-
(1) the term "official proceeding" means-
(A) a proceeding before a judge or court of the United States, a
United States magistrate, a bankruptcy judge, {...}, or a Federal
grand jury;
(6) a proceeding before the Congress; or
(C) a proceeding before a Federal Government agency which is
authorized by law;
(2) the term " physical force" means physical action against another,
and includes confinement;
(3) the term "misleading conduct" means-
(A) knowingly making a false statement;
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18TJ.S.C. 6 1515 Definitions for certain provisions (cont.)
(B) intentionally omitting information from a statement and
thereby causing a portion of such statement to be misleading, or
intentionally concealing a material fact, and thereby creating a
false impression by such statement;
(C) with intent to mislead, knowingly submitting or inviting
reliance on a writing or recording that is false, forged, altered, or
otherwise lacking in authenticity;
(D) with intent to mislead, knowingly submitting or inviting
reliance on a sample, specimen, map, photograph, boundary
mark, or other object that is misleading in a material respect; or
(E) knowingly using a trick, scheme, or device with intent to
mislead;
(4) the term "law enforcement officer" means an officer or employee
of the Federal Government, or a person authorized to act for or on behalf
of the Federal Government or serving the Federal Government as an
advisor or consultant-
(A) authorized under law to engage in or supervise the
prevention, detection, investigation, or prosecution of an offense;
or
(B) serving as a probation or pretrial services officer under this
title;
(5) the term "bodily injury" means-
(A) a cut, abrasion, bruise, burn, or disfigurement;
(B) physical pain;
(C) illness;
(D) impairment of the function of a bodily member, organ or
mental faculty; or
(E) any other injury to the body, no matter how temporary.
(6) the term "corruptly persuades" does not include conduct which
would be misleading conduct but for a lack of a state of mind.
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18 U.S.C. 6 1515 Definitions for certain provisions (cont.)
(b) This chapter does not prohibit or punish the providing of lawful, bona
fide, legal representation services in connection with or anticipation of an
official proceeding.
(as amended November 18,1988)
18 U.S.C. Sifi2l Perjury generally
Whoever--
(1) having taken an oath before a competent tribunal, officer, or
person, in any case in which a law of the United States authorizes an
oath to be administered, that he will testify, declare, depose, or certify
truly, or that any written testimony, declaration, deposition, or
certificate by him subscribed, is true, willfully and contrary to such oath
states or subscribes any material matter which he does not believe to be
true; or
(2) in any declaration, certificate, verification, or statement under
penalty of perjury as permitted under section 1746 of title 28, United
States Code, willfully subscribes as true any material matter which he
does not believe to be true; is guilty of perjury and shall, except as
otherwise expressly provided by law, be fined not more than $2,000 or
imprisoned not more than five years, or both. This section is applicable
whether the statement or subscription is made within or without the
United States.
(as amended October 18,1976)
18 U.S.C. S 1622 Subornation of perjury
Whoever procures another to commit any perjury is guilty of
subornation of perjury, and shall be fined not more than $2,000 or imprisoned
not more than five years, or both.
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18 TT.S.n. S1623 False declarations before grand jury or court
(a) Whoever under oath (or in any declaration, certificate, verification, or
statement under penalty of perjury as permitted under section 1746 of title 28,
United States Code) in any proceeding before or ancillary to any court or grand
jury of the United States knowingly makes any false material declaration or
makes or uses any other information, including any book, paper, document,
records, recording, or other material, knowing the same to contain any false
material declaration, shall be.fined not more than $10,000 or imprisoned not
more than five years, or both.
(b) This section is applicable whether the conduct occurred within or
without the United States.
(c) An indictment or information for violation of this section alleging that,
in any proceedings before or ancillary to any court or grand jury of the United
States, the defendant under oath has knowingly made two or more
declarations, which are inconsistent to the degree that one of them is
necessarily false, need not specify which declaration is false if-
(1) each declaration was material to the point in question, and
(2) each declaration was made within the period of the statute of
limitations for the offense charged under this section.
In any prosecution under this section, the falsity of a declaration set forth
in the indictment or information shall be established sufficient for conviction by
proof that the defendant while under oath made irreconcilably contradictory
declarations material to the point in question in any proceeding before or
ancillary to any court or grand jury. It shall be a defense to an indictment or
information made pursuant to the first sentence of this subsection that the
defendant at the time he made each declaration believed the declaration was
true.
(d) Where, in the same continuous court or grand jury proceeding in which
a declaration is made, the person making the declaration admits such
declaration to be false, such admission shall bar prosecution under this section
if. at the time the admission is made, the declaration has not substantially
affected the proceeding, or it has not become manifest that such falsity has been
or will be exposed.
(e) Proof beyond a reasonable doubt under this section is sufficient for
conviction. It shall not be necessary that such proof be made by any particular
number of witnesses or by documentary or other type of evidence.
(as amended October 18,1976)
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Ifl ^S.r S 1905 Disclosure of confidential information generally
Whoever, being an officer or employee of the United States or of any
department or agency thereof, or agent of the Department of Justice as defined
in the Antitrust Civil Process Act (15 U.S.C. 1311-1314), publishes, divulges,
discloses, or makes known in any manner or to any extent not authorized by
law any information coming to him in the course of his employment or official
duties or by reason of any examination or investigation made by, or return.
report or record made to or filed with, such department or agency or officer or
employee thereof, which information concerns or relates to the trade secrets,
processes, operations, style of work, or apparatus, or to the identity,
confidential statistical data, amount or source of any income, profits, losses, or
expenditures of any person, firm, partnership, corporation, or association; or
permits any income return or copy thereof or any book containing any abstract
or particulars thereof to be seen or examined by any person except as provided
by law; shall be fined not more than $1,000 or imprisoned not more than one
year, or both; and shall be removed from office or employment.
(as amended September 12,1980)
18 U.S.C. S 1951 Interference with commerce by threats of violence
(a) Whoever in any way or degree obstructs, delays or affects commerce or
the movement of any article or commodity in commerce, by robbery or extortion
or attempts or conspires so to do, or commits or threatens physical violence to
any person or property in furtherance of a plan or purpose to do anything in
violation of this section shall be fined not more than $10,000 or imprisoned not
more than 20 years, or both.
(b) As used in this section—
(1) The term "robbery" means the unlawful taking or obtaining of
personal property from the person or in the presence of another, against
his will, by means of actual or threatened force, or violence, or fear of
injury, immediate or future, to his person or property, or property in his
custody or possession, or the person or property of a relative or member
of his family or of anyone in his company at the time of the taking or
obtaining.
(2) The term "extortion" means the obtaining of property from
another with his consent, induced by wrongful use of actual or
threatened force, violence, or fear, or under color of official right.
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18 U.S.C. S 1951 Interference with commerce by threats of violence (cont.)
(3) The term "commerce" means commerce within the District of
Columbia, or any Territory or Possession of the United States; all
commerce between any point in a State, Territory, Possession, or the
District of Columbia and any point outside thereof; all commerce
between points within the same State through any place outside such
State; and all other commerce over which the United States has
jurisdiction.
(c) This section shall not be construed to repeal, modify or affect section 17
of Title 15, sections 52,101-115,151-166 of Title 29 or sections 151-188 of Title 45.
18 U.S.C. S 1961 Definitions (Racketeer influenced and corrupt organizations
(RICO)J
As used in this chapter-
CD "racketeering activity" means (A) any act or threat involving
murder, kidnapping, gambling, arson, robbery, bribery, extortion,
dealing in obscene matter, or dealing in narcotic or other dangerous
drugs, which is chargeable under State law and punishable by
imprisonment for more than one year;
(B) any act which is indictable under any of the following
provisions of title 18, United States Code: Section 201 (relating to
bribery), section 224 (relating to sports bribery), sections 471, 472,
and 473 (relating to counterfeiting), section 659 (relating to theft
from interstate shipment) if the act indictable under section 659 is
felonious, section 664 (relating to embezzlement from pension and
welfare funds), sections 891-894 (relating to extortionate credit
transactions), section 1029 (relative to fraud and related activity in
connection with access devices), section 1084 (relating to the
transmission of gambling information) section 1341 (relating to
mail fraud), section 1343 (relating to wire fraud), sections 1461-
1465 (relating to obscene matter) section 1503 (relating to
obstruction of justice), section 1510 (relating to obstruction of
criminal investigations), section 1511 (relating to the obstruction of
State or local law enforcement), section 1512 (relating to
tampering with a witness, victim, or an informant), section 1513
(relating to retaliating against a witness, victim, or an
informant), section 1951 (relating to interference with commerce,
robbery, or extortion), section 1952 (relating to racketeering),
section 1953 (relating to interstate transportation of wagering
paraphernalia), section 1954 (relating to unlawful welfare fund
payments), section 1955 (relating to the prohibition of illegal
gambling businesses), section 1956 (relating to the laundering of
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IB U.S.C. S 1961 Definitions (Racketeer influenced and corrupt organizations
(RICO)) (cont.) ^
monetary instruments), section 1957 (relating to engaging in
monetary transactions in property derived from specified
unlawful activity), (...} sections 2312 and 2313 (relating to
interstate transportation of stolen motor vehicles), sections 2314
and 2315 (relating to interstate transportation of stolen property),
section 2321 (relating to trafficking in certain motor vehicles or
motor vehicle parts), sections 2341-2346 (relating to trafficking in
contraband cigarettes), sections 2421-24 (relating to white slave
traffic). (C) any act which is indictable under title 29, United States
Code, section 186 (dealing with restrictions on payments and loans
to labor organizations) or section 501(c) (relating to embezzlement
from union funds), (D) any offense involving fraud connected with
a case under title 11, fraud in the sale of securities, or the
felonious manufacture, importation, receiving, concealment,
buying, selling, or otherwise dealing in narcotic or other
dangerous drugs, punishable under any law of the United States,
or (E) any act which is indictable under the Currency and Foreign
Transactions Repotting Act.
(...)
(5) "Pattern of racketeering activity" requires at least two acts of
racketeering activity, one of which occurred after the effective date of
this chapter and the last of which occurred within 10 years (excluding
any period of imprisonment) after the commission of a prior act of
racketeering activity;
(as amended Nov. 18,1988)
18 U.S.C. S 1962 Prohibited activities
(c) It shall be unlawful for any person employed by or associated with any
enterprise engaged in, or the activities of which affect, interstate or foreign
commerce, to conduct or participate, directly or indirectly, in the conduct of
such enterprise's affairs through a pattern of racketeering activity or collection
of unlawful debt.
(d) It shall be unlawful for any person to conspire to violate any of the
provisions of subsection (a), (b), or (c) of this section.
(as amended Nov. 18, 1988)
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18 TT.S.C. 8 1963 Criminal penalties
(a) Whoever violates any provision of section 1962 of this chapter shall be
fined under this title or imprisoned not more than 20 years (or for life if the
violation is based on a racketeering activity for which the maximum penalty
includes life imprisonment), or both, and shall forfeit to the United States,
irrespective of any provision of State law:
(1) any interest the person has acquired or maintained in violation of
section 1962;
(2) any-
(A) interest in;
(B) security of;
(C) claim against; or
(D) property or contractual right of any kind affording a source
of influence over;
any enterprise which the person has established, operated, controlled,
conducted, or participated in the conduct of, in violation of section 1962; and
(3) any property constituting, or derived from, any proceeds which
the person obtained, directly or indirectly, from racketeering activity or
unlawful debt collection in violation of section 1962.
The court, in imposing sentence on such person shall order, in addition
to any other sentence imposed pursuant to this section, that the person forfeit
to the United States all property described in this subsection. In lieu of a fine
otherwise authorized by this section, a defendant who derives profits or other
proceeds from an offense may be fined not more than twice the gross profits or
other proceeds.
(b) Property subject to criminal forfeiture under this section includes:
(1) real property, including things growing on, affixed to, and found
in land; and
(2) tangible and intangible personal property, including rights,
privileges, interests, claims, and securities.
{...1
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18 U.S.C. S 1963 Criminal penalties (cent)
(m) If any of the property described in subsection (a), as a result of any act or
omission of the defendant--
CD cannot be located upon the exercise of due diligence;
(2) has been transferred or sold to, or deposited with, a third party;
(3) has been placed beyond the jurisdiction of the court;
(4) has been substantially diminished in value; or
(5) has been commingled with other property which cannot be
divided without difficulty;
the court shall order the forfeiture of any other property of the defendant up to
the value of any property described in paragraphs (1) through (5).
(as amended Nov. 18,1988)
18 U.S.C. S 2071 Concealment, removal, or mutilation generally
(a) Whoever willfully and unlawfully conceals, removes, mutilates, or
obliterates, or destroys or attempts to do so, or, with intent to do so takes and
carries away any record, proceeding, map, book, paper, document, or other
thing, filed or deposited with any clerk or officer of any court of the United
States, or or in any public office, or with any judicial or public officer of the
United States, shall be fined not more than $2,000 or imprisoned not more than
three years, or both.
(b) Whoever, having the custody of any such record, proceeding, map, book,
document, paper or other thing, willfully and unlawfully conceals, removes,
mutilates, obliterates, falsifies, or destroys the same, shall be fined not more
than $2,000 or imprisoned not more than three years, or both; and shall forfeit
his office and be disqualified from holding any office under the United States.
18 U.S.C. S 2231 Assault or resistance
(a) Whoever forcibly assaults, resists, opposes, prevents, impedes,
intimidates, or interferes with any person authorized to serve or execute
search warrants or to make searches and seizures while engaged in the
performance of his duties with regard thereto or on account of the
performance of such duties,
shall be fined not more than $5,000 or imprisoned not more than three years, or
both; and--
(b) Whoever, in committing any act in violation of this section, uses any
deadly or dangerous weapon, shall be fined not more than $10,000 or
imprisoned not more than 10 years, or both.
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1RU.S.C!. $2232 Destruction or removal of property to prevent seizure
(a) Physical Interference With Search.- Whoever, before, during, or after
seizure of any property by any person authorized to make searches and
seizures, in order to prevent the seizure or securing of any goods, wares or
merchandise by such person, staves, breaks, throws overboard, destroys, or
removes the same, shall be fined not more than $10,000 or imprisoned not
more than five years, or both.
(b) Notice of Search.- Whoever, having knowledge that any person
authorized to make searches and seizures has been authorized or is otherwise
likely to make a search or seizure, in order to prevent the authorized seizing or
securing of any person, goods, wares, merchandise, or other property, gives
notice or attempts to give notice of the possible search or seizure to any person
shall be fined not more than $10,000 or imprisoned not more than five years, or
both.
(c) Notice of Certain Electronic Surveillance.- Whoever, having knowledge
that a Federal investigative or law enforcement officer has been authorized or
has applied for authorization under chapter 119 to intercept a wire, oral, or
electronic communication, in order to obstruct, impede, or prevent such
interception to any person shall be fined under this title or imprisoned not
more than five years, or both.
Whoever, having knowledge that a Federal officer has been authorized
or has applied for authorization to conduct electronic surveillance under the
Foreign Intelligence Surveillance Act of 1978 (50 U.S.C. 1801, et seq.), in order
to obstruct, impede, or prevent such activity, gives notice or attempts to give
notice of the possible activity to any person shall be fined under this title or
impnsoned not more than five years, or both.
(as amended Nov. 18, 1988)
18 U.S.C. S 2236 Searches without warrant
Whoever, being an officer, agent, or employee of the United States or any
department or agency thereof, engaged in the enforcement of any law of the
United States, searches any private dwelling used and occupied as such
dwelling without a warrant directing such search, or maliciously and without
reasonable cause searches any other building or property without a search
warrant, shall be fined for a first offense not more than $1,000; and, for a
subsequent offense, shall be fined not more than $1,000 or imprisoned not more
than one year, or both.
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]flU,S.r. 62236 Searches without warrant (cont.) re iction
This section shall not apply to any person-
re ction
(a) serving a warrant of arrest; or fency
a law
(b) arresting or attempting to arrest a person committing or
attempting to commit an offense in his presence, or who has
committed or is suspected on reasonable grounds of having
committed a felony; or
J .nder
(c) making a search at the request or invitation or with the
consent of the occupant of the premises.
18 U.S.C. S2274 Destruction or misuse of vessel by person in charge
i such
Whoever, being the owner, master or person in charge or command of
any private vessel, foreign or domestic, or a member of the crew or other
oerson, within the territorial waters of the United States, willfully causes or h cficer
permits the destruction or injury of such vessel or knowingly permits said st I has
^essel to be used as a place of resort for any person conspiring with another or
preparing to commit any offense against the United States, or any offense in
eolation of the treaties of the United States or of the obligations of the United s* ll De
States under the law of nations, or to defraud the United States, or knowingly I-
>ermits such vessels to be used in violation of the rights and obligations of the
Jnited States under the law of nations, shall be fined not more than $10,000 or 1 1988)
mprisoned not more than 10 years, or both.
: j iy be
In case such vessel are so used, with the knowledge of the owner or
naster or other person in charge or command thereof, the vessel, together
/ith her tackel, apparel, furniture, and equipment, shall be subject to seizure ^ this
nd forfeiture to the United States in the same manner as merchandise is u i not
Drfeited for violation of the customs revenue laws.
3 U.S.C. S 2313 Sale or receipt of stolen vehicles ™ Act,
Whoever receives, possesses, conceals, stores, barters, sells, or disposes
f any motor vehicle or aircraft, which has crossed a State or United States
aundary after being stolen, knowing the same to have been stolen, shall be
ned not more than $5,000 or imprisoned not more than five years, or both.
,0 >;
more
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Ifi U.S.C! 82314 Transportation of stolen goods, securities, moneys, fraudulent
State tax stamps, or articles used in counterfeiting
Whoever transports, transmits, or transfers in interstate or foreign
commerce any goods, wares, merchandise, securities or money, of the value of
$5,000 or more, knowing the same to have been stolen, converted or taken by
fraud; or
Whoever, having devised or intending to devise any scheme or artifice to
defraud, or for obtaining money or property by means of false or fraudulent
pretenses, representations or promises, transports or causes to be transported
or induces any person or persons to travel in, or to be transported in interstate
commerce in the execution or concealment of a scheme or artifice to defraud
that person, or those persons of money or property having a value of $5,000 or
more; or
Whoever, with unlawful or fraudulent intent, transports in interstate or
foreign commerce any falsely made, forged, altered, or counterfeited securities
or tax stamps, knowing the same to have been falsely made, forged, altered or
counterfeited; or
Whoever, with unlawful or fraudulent intent, transports in interstate or
foreign commerce any traveler's check bearing a forged countersignature; or
Whoever, with unlawful or fraudulent intent, transports in interstate or
foreign commerce, any tool, implement, or thing used or fitted to be used in
falsely making, forging, altering, or counterfeiting any security or tax stamps
or any part thereof--
Shall be fined not more than $10,000 or imprisoned not more than
ten years, or both.
This section shall not apply to any falsely made, forged, altered,
counterfeited, or spurious representation of an obligation or other security of
the United States, or of an obligation, bond, certificate, security, treasury note,
bill, promise to pay or bank note issued by any foreign government. This section
also shall not apply to any falsely made, forged, altered, counterfeited, or
spunous representation of any bank note or bill issued by a bank or corporation
of any foreign country which is intended by the laws or usage of such country to
circulate as money.
(as amended Nov. IS, 1988)
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18 U.S.C. S 3571 Sentence of fine (also known as Alternative Fines Act,
effective Dec. 11,1987 - present) (cont.)
(6) for a Class B or C misdemeanor that does not result in death, not
more than $5,000; or
(7) for an infraction, not more than $5,000.
(c) Fines for organizations - Except as provided in subsection (e) of this
section, an organization that has been found guilty of an offense may be fined
not more than the greatest of -
(1) the amount specified in the law setting forth the offense;
(2) the applicable amount under subsection (d) of this section;
(3) for a felony, not more than $500,000;
(4) for a misdemeanor resulting in death, not more than $500,000;
(5) for a Class A misdemeanor that does not result in death, not more
than $200,000;
(6) for a Class B or C misdemeanor that does not result in death, not
more than $10,000; and
(7) for an infraction, not more than $10,000.
(d) Alternative fine based on gain or loss- If any person derives pecuniary
gain from the offense, or if the offense results in pecuniary loss to a person
other than the defendant, the defendant may be fined not more than the
greater of twice the gross gain or twice the gross loss, unless imposition of a
fine under this subsection would unduly complicate or prolong the sentencing
process.
(e) Special rule for lower fine specified in substantive provision- If a law
setting forth an offense specifies no fine or a fine that is lower than the fine
otherwise applicable under this section and such law, by specific reference,
exempts the offense from the applicability of the fine otherwise applicable
under this section, the defendant may not be fined more than the amount
specified in the law setting forth the offense.
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