1. (a) Criminal penalties; payment for information leading to conviction A person who knowingly violates the MARPOL Protocol, Annex IV to the Antarctic 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 ½ of such fine may be paid to the person giving information leading to conviction.

2. (b) Civil penalties; separate violations; assessment notice; considerations affecting amount; payment for information leading to assessment of penalty A person who is found by the Secretary, or the Administrator as provided for in this chapter, after notice and an opportunity for a hearing, to have—

   1. (1) violated the MARPOL Protocol, Annex IV to the Antarctic Protocol, this chapter, or the regulations issued thereunder shall be liable to the United States for a civil penalty, not to exceed $25,000 for each violation; or
   2. (2) made a false, fictitious, or fraudulent statement or representation in any matter in which a statement or representation is required to be made to the Secretary, or the Administrator as provided for in this chapter, under the MARPOL Protocol, Annex IV to the Antarctic Protocol, this chapter, or the regulations thereunder, shall be liable to the United States for a civil penalty, not to exceed $5,000 for each statement or representation.

   Each day of a continuing violation shall constitute a separate violation. The amount of the civil penalty shall be assessed by the Secretary, or the Administrator as provided for in this chapter or his designee, by written notice. In determining the amount of the penalty, the Secretary, or the Administrator as provided for in this chapter, shall take into account the nature, circumstances, extent, and gravity of the prohibited acts committed and, with respect to the violator, the degree of culpability, any history of prior offenses, ability to pay, and other matters as justice may require. An amount equal to not more than ½ of such penalties may be paid by the Secretary, or the Administrator as provided for in this chapter, to the person giving information leading to the assessment of such penalties.

3. (c) Abatement of civil penalties; collection by Attorney General The Secretary, or the Administrator as provided for in this chapter, may compromise, modify, or remit, with or without conditions, any civil penalty which is subject to assessment or which has been assessed under this section. If any person fails to pay an assessment of a civil penalty after it has become final, the Secretary, or the Administrator as provided for in this chapter, may refer the matter to the Attorney General of the United States for collection in any appropriate district court of the United States.
4. (d) Liability in rem; district court jurisdiction A ship operated in violation of the MARPOL Protocol, Annex IV to the Antarctic Protocol, this chapter, or the regulations thereunder is liable in rem for any fine imposed under subsection (a) or civil penalty assessed pursuant to subsection (b), and may be proceeded against in the United States district court of any district in which the ship may be found.
5. (e) Ship clearance or permits; refusal or revocation; bond or other surety If any ship subject to the MARPOL Protocol, Annex IV to the Antarctic Protocol, or this chapter, its owner, operator, or person in charge is liable for a fine or civil penalty under this section, or if reasonable cause exists to believe that the ship, its owner, operator, or person in charge may be subject to a fine or civil penalty under this section, the Secretary of the Treasury, upon the request of the Secretary, shall refuse or revoke the clearance required by section 60105 of title 46. Clearance may be granted upon the filing of a bond or other surety satisfactory to the Secretary.
6. (f) Referrals for appropriate action by foreign country Notwithstanding subsection (a), (b), or (d) of this section, if the violation is by a ship registered in or of the nationality of a country party to the MARPOL Protocol or the Antarctic Protocol, or one operated under the authority of a country party to the MARPOL Protocol or the Antarctic Protocol, the Secretary, or the Administrator as provided for in this chapter acting in coordination with the Secretary of State, may refer the matter to the government of the country of the ship’s registry or nationality, or under whose authority the ship is operating for appropriate action, rather than taking the actions required or authorized by this section.
7. (g) Deposits in Abandoned Seafarers Fund Any penalty collected under subsection (a) or (b) that is not paid under that subsection to the person giving information leading to the conviction or assessment of such penalties shall be deposited in the Abandoned Seafarers Fund established under section 11113 of title 46.

(Pub. L. 96–478, § 9, Oct. 21, 1980, 94 Stat. 2301; Pub. L. 100–220, title II, § 2105, Dec. 29, 1987, 101 Stat. 1463; Pub. L. 101–380, title IV, § 4302(n), Aug. 18, 1990, 104 Stat. 539; Pub. L. 103–182, title VI, § 688, Dec. 8, 1993, 107 Stat. 2222; Pub. L. 104–227, title II, § 201(f), Oct. 2, 1996, 110 Stat. 3043; Pub. L. 110–280, § 10, July 21, 2008, 122 Stat. 2615; Pub. L. 113–281, title III, § 320(c), Dec. 18, 2014, 128 Stat. 3054.)

Editorial Notes

Codification

In subsec. (e), “section 60105 of title 46” substituted for “section 4197 of the Revised Statutes of the United States (46 U.S.C. App. 91)” on authority of Pub. L. 109–304, § 18(c), Oct. 6, 2006, 120 Stat. 1709, which Act enacted section 60105 of Title 46, Shipping.

Amendments

2014—Subsec. (g). Pub. L. 113–281 added subsec. (g).

2008—Pub. L. 110–280, § 10(1), substituted “MARPOL Protocol,” for “MARPOL Protocol,,” wherever appearing in subsecs. (a), (b), and (d).

Subsec. (b). Pub. L. 110–280, § 10(2)(C), in concluding provisions, inserted “or the Administrator as provided for in this chapter” after “Secretary,” and “, or the Administrator as provided for in this chapter,” after “Secretary” in two places.

Pub. L. 110–280, § 10(2)(A), in introductory provisions, inserted “or the Administrator as provided for in this chapter,” after “Secretary,”.

Subsec. (b)(2). Pub. L. 110–280, § 10(2)(B), inserted “, or the Administrator as provided for in this chapter,” after “Secretary”.

Subsec. (c). Pub. L. 110–280, § 10(3), inserted “, or the Administrator as provided for in this chapter,” after “Secretary” in two places.

Subsec. (f). Pub. L. 110–280, § 10(4), inserted “or the Administrator as provided for in this chapter” after “Secretary,”.

1996—Subsec. (a). Pub. L. 104–227, § 201(f)(1), inserted “, Annex IV to the Antarctic Protocol,” after “MARPOL Protocol,”.

Subsec. (b). Pub. L. 104–227, § 201(f)(2), (3), inserted “, Annex IV to the Antarctic Protocol,” after “MARPOL Protocol,” in pars. (1) and (2).

Subsec. (d). Pub. L. 104–227, § 201(f)(4), inserted “, Annex IV to the Antarctic Protocol,” after “MARPOL Protocol,”.

Subsec. (e). Pub. L. 104–227, § 201(f)(5), inserted “, Annex IV to the Antarctic Protocol,” after “MARPOL Protocol”.

Subsec. (f). Pub. L. 104–227, § 201(f)(6), inserted “or the Antarctic Protocol” after “MARPOL Protocol” in two places.

1993—Subsec. (e). Pub. L. 103–182 substituted “shall refuse or revoke the clearance required by section 91 of title 46, Appendix. Clearance may be granted upon the filing of a bond or other surety satisfactory to the Secretary.” for “shall refuse or revoke—

“(1) the clearance required by section 91 of title 46, Appendix; or

“(2) a permit to proceed under section 313 of title 46, Appendix, or section 1443 of title 19.

Clearance or a permit to proceed may be granted upon the filing of a bond or other surety satisfactory to the Secretary.”

1990—Subsec. (a). Pub. L. 101–380 substituted “commits a class D felony” for “shall, for each violation, be fined not more than $50,000 or be imprisoned for not more than 5 years, or both”.

1987—Subsec. (a). Pub. L. 100–220, § 2105(a)(1), inserted at end “In the discretion of the Court, an amount equal to not more than ½ of such fine may be paid to the person giving information leading to conviction.”

Subsec. (b). Pub. L. 100–220, § 2105(a)(2), inserted at end “An amount equal to not more than ½ of such penalties may be paid by the Secretary to the person giving information leading to the assessment of such penalties.”

Subsec. (f). Pub. L. 100–220, § 2105(b), substituted “to the government of the country of the ship’s registry or nationality, or under whose authority the ship is operating” for “to that country”.

Statutory Notes and Related Subsidiaries

Effective Date of 1990 Amendment

Amendment by Pub. L. 101–380 applicable to incidents occurring after Aug. 18, 1990, see section 1020 of Pub. L. 101–380, set out as an Effective Date note under section 2701 of this title.

Effective Date of 1987 Amendment

Amendment by Pub. L. 100–220 effective Dec. 31, 1988, the date on which Annex V to the International Convention for the Prevention of Pollution from Ships, 1973, entered into force for the United States, see section 2002(a) of Pub. L. 100–220, set out as a note under section 1901 of this title.