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.
                                      33

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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.
                                     34

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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;
                                        35

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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.
                                  38

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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.
                                 39

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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.
                                  40

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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)


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              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.
                                  46

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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.
                                    50

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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.
                                     53

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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


                                 54

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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
                                 55

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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.
                                56

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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
                                57

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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.
                                    58

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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.
                                59

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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.
                                 60

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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.
                                61

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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.
                                   62

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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.
                                    63

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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.
                            64

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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,
                                  65

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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.
                                   66

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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.
                                      70

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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.{. . .}
                                   71

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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.
                                 73

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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.
                                  75

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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).
                                   76

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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)
                                     77

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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.
                                    78

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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)
                                   94

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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;
                                      96

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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)
                                  97

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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.
                                 101

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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.
                                   102

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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)
                                   103

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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


                                         105

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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)
                                   106

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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
                                   107

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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.
                                  109

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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  >;

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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.
                                   113

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