---
kind: "section"
citation: "42 U.S.C. § 7420"
title: "42"
title_heading: "The Public Health and Welfare"
number: "7420"
heading: "Noncompliance penalty"
release: "119-102"
date: "2026-07-12"
url: "https://uscodex.org/usc/42/7420"
units:
  - "Chapter 85 — Air Pollution Prevention and Control"
  - "Subchapter I — Programs and Activities"
  - "Part A — Air Quality and Emission Limitations"
---

# §7420. Noncompliance penalty

- (a) **Assessment and collection—**
  - (1)
    - (A) Not later than 6 months after August 7, 1977, and after notice and opportunity for a public hearing, the [Administrator](/usc/42/7602.md?p=a) shall promulgate regulations requiring the assessment and collection of a noncompliance penalty against [persons](/usc/42/7602.md?p=e) referred to in [paragraph (2)(A)](#a-2-A).
    - (B)
      - (i) Each [State](/usc/42/7602.md?p=d) may develop and submit to the [Administrator](/usc/42/7602.md?p=a) a plan for carrying out this section in such [State](/usc/42/7602.md?p=d). If the [Administrator](/usc/42/7602.md?p=a) finds that the [State](/usc/42/7602.md?p=d) plan meets the requirements of this section, he may delegate to such [State](/usc/42/7602.md?p=d) any authority he has to carry out this section.
      - (ii) Notwithstanding a delegation to a [State](/usc/42/7602.md?p=d) under [clause (i)](#a-1-B-i), the [Administrator](/usc/42/7602.md?p=a) may carry out this section in such [State](/usc/42/7602.md?p=d) under the circumstances described in [subsection (b)(2)(B)](#b-2-B).
  - (2)
    - (A) Except as provided in subparagraph (B) or (C) of this paragraph, the [State](/usc/42/7602.md?p=d) or the [Administrator](/usc/42/7602.md?p=a) shall assess and collect a noncompliance penalty against every [person](/usc/42/7602.md?p=e) who owns or operates—
      - (i) a [major stationary source](/usc/42/7602.md?p=j) (other than a primary nonferrous smelter which has received a primary nonferrous smelter order under [section 7419 of this title](/usc/42/7419.md)), which is not in compliance with any [emission limitation](/usc/42/7602.md?p=k), [emission standard](/usc/42/7602.md?p=k) or compliance schedule under any [applicable implementation plan](/usc/42/7602.md?p=q) (whether or not such source is subject to a Federal or [State](/usc/42/7602.md?p=d) consent decree), or
      - (ii) a [stationary source](/usc/42/7602.md?p=z) which is not in compliance with an [emission limitation](/usc/42/7602.md?p=k), [emission standard](/usc/42/7602.md?p=k), [standard of performance](/usc/42/7602.md?p=l), or other requirement established under section [7411](/usc/42/7411.md), [7477](/usc/42/7477.md), [7603](/usc/42/7603.md), or [7412](/usc/42/7412.md) of this title, or
      - (iii) a [stationary source](/usc/42/7602.md?p=z) which is not in compliance with any requirement of subchapter IV–A, V, or VI of this chapter, or
      - (iv) any source referred to in clause [(i)](#a-2-A-i), [(ii)](#a-2-A-ii), or [(iii)](#a-2-A-iii) (for which an extension, order, or suspension referred to in [subparagraph (B)](#a-2-B), or Federal or [State](/usc/42/7602.md?p=d) consent decree is in effect), or a primary nonferrous smelter which has received a primary nonferrous smelter order under [section 7419 of this title](/usc/42/7419.md) which is not in compliance with any interim emission control requirement or schedule of compliance under such extension, order, suspension, or consent decree.

      For purposes of [subsection (d)(2)](#d-2), in the case of a penalty assessed with respect to a source referred to in clause (iii) of this subparagraph, the costs referred to in such [subsection (d)(2)](#d-2) shall be the economic value of noncompliance with the interim emission control requirement or the remaining steps in the schedule of compliance referred to in such clause.

    - (B) Notwithstanding the requirements of subparagraph [(A)(i)](#a-2-A-i) and (ii), the [owner](/usc/42/13641.md?p=4) or operator of any source shall be exempted from the duty to pay a noncompliance penalty under such requirements with respect to that source if, in accordance with the procedures in [subsection (b)(5)](#b-5), the [owner](/usc/42/13641.md?p=4) or operator demonstrates that the failure of such source to comply with any such requirement is due solely to—
      - (i) a conversion by such source from the burning of petroleum products or natural gas, or both, as the permanent primary energy source to the burning of coal pursuant to an order under [section 7413(d)(5)](/usc/42/7413.md?p=d-5)[^1] of this title or [section 1857c–10](/usc/42/1857c–10.md)[^1] of this title (as in effect before August 7, 1977);
      - (ii) in the case of a coal-burning source granted an extension under the second sentence of [section 1857c–10(c)(1)](/usc/42/1857c–10.md)[^1] of this title (as in effect before August 7, 1977), a prohibition from using petroleum products or natural gas or both, by reason of an order under the provisions of section 792(a) and (b) of [title 15](/usc/15.md) or under any legislation which amends or supersedes such provisions;
      - (iii) the use of innovative technology sanctioned by an enforcement order under [section 7413(d)(4)](/usc/42/7413.md?p=d-4)[^1] of this title;
      - (iv) an inability to comply with any such requirement, for which inability the source has received an order under [section 7413(d)](/usc/42/7413.md?p=d)[^1] of this title (or an order under [section 7413 of this title](/usc/42/7413.md) issued before August 7, 1977) which has the effect of permitting a delay or [violation](/usc/42/2000e–16a.md?p=c) of any requirement of this chapter (including a requirement of an [applicable implementation plan](/usc/42/7602.md?p=q)) which inability results from reasons entirely beyond the control of the [owner](/usc/42/13641.md?p=4) or operator of such source or of any entity controlling, controlled by, or under common control with the [owner](/usc/42/13641.md?p=4) or operator of such source; or
      - (v) the conditions by reason of which a temporary emergency suspension is authorized under [section 7410(f)](/usc/42/7410.md?p=f) or (g) of this title.

      An exemption under this subparagraph shall cease to be effective if the source fails to comply with the interim emission control requirements or schedules of compliance (including increments of progress) under any such extension, order, or suspension.

    - (C) The [Administrator](/usc/42/7602.md?p=a) may, after notice and opportunity for public hearing, exempt any source from the requirements of this section with respect to a particular instance of noncompliance if he finds that such instance of noncompliance is de minimis in nature and in duration.
- (b) **Regulations—** Regulations under [subsection (a)](#a) shall—
  - (1) permit the assessment and collection of such penalty by the [State](/usc/42/7602.md?p=d) if the [State](/usc/42/7602.md?p=d) has a delegation of authority in effect under [subsection (a)(1)(B)(i)](#a-1-B-i) of this section;
  - (2) provide for the assessment and collection of such penalty by the [Administrator](/usc/42/7602.md?p=a), if—
    - (A) the [State](/usc/42/7602.md?p=d) does not have a delegation of authority in effect under [subsection (a)(1)(B)(i)](#a-1-B-i), or
    - (B) the [State](/usc/42/7602.md?p=d) has such a delegation in effect but fails with respect to any particular [person](/usc/42/7602.md?p=e) or source to assess or collect the penalty in accordance with the requirements of this section;
  - (3) require the [States](/usc/42/7602.md?p=d), or in the event the [States](/usc/42/7602.md?p=d) fail to do so, the [Administrator](/usc/42/7602.md?p=a), to give a brief but reasonably specific notice of noncompliance under this section to each [person](/usc/42/7602.md?p=e) referred to in [subsection (a)(2)(A)](#a-2-A) with respect to each source owned or operated by such [person](/usc/42/7602.md?p=e) which is not in compliance as provided in such subsection, not later than July 1, 1979, or thirty days after the discovery of such noncompliance, whichever is later;
  - (4) require each [person](/usc/42/7602.md?p=e) to whom notice is given under [paragraph (3)](#b-3) to—
    - (A) calculate the amount of the penalty owed (determined in accordance with [subsection (d)(2)](#d-2)) and the schedule of payments (determined in accordance with [subsection (d)(3)](#d-3)) for each such source and, within forty-five days after the issuance of such notice or after the denial of a petition under [subparagraph (B)](#b-4-B), to submit that calculation and proposed schedule, together with the information necessary for an independent verification thereof, to the [State](/usc/42/7602.md?p=d) and to the [Administrator](/usc/42/7602.md?p=a), or
    - (B) submit a petition, within forty–five days after the issuance of such notice, challenging such notice of noncompliance or alleging entitlement to an exemption under [subsection (a)(2)(B)](#a-2-B) with respect to a particular source;
  - (5) require the [Administrator](/usc/42/7602.md?p=a) to provide a hearing on the record (within the meaning of subchapter II of [chapter 5](/usc/5/chptI/ch5.md) of title 5) and to make a decision on such petition (including findings of fact and conclusions of law) not later than ninety days after the receipt of any petition under [paragraph (4)(B)](#b-4-B), unless the [State](/usc/42/7602.md?p=d) agrees to provide a hearing which is substantially similar to such a hearing on the record and to make a decision on such petition (including such findings and conclusions) within such ninety-day period;
  - (6)
    - (A) authorize the [Administrator](/usc/42/7602.md?p=a) on his own initiative to review the decision of the [State](/usc/42/7602.md?p=d) under [paragraph (5)](#b-5) and disapprove it if it is not in accordance with the requirements of this section, and (B) require the [Administrator](/usc/42/7602.md?p=a) to do so not later than sixty days after receipt of a petition under this subparagraph, notice, and public hearing and a showing by such petitioner that the [State](/usc/42/7602.md?p=d) decision under [paragraph (5)](#b-5) is not in accordance with the requirements of this section;
  - (7) require payment, in accordance with [subsection (d)](#d), of the penalty by each [person](/usc/42/7602.md?p=e) to whom notice of noncompliance is given under [paragraph (3)](#b-3) with respect to each noncomplying source for which such notice is given unless there has been a final determination granting a petition under [paragraph (4)(B)](#b-4-B) with respect to such source;
  - (8) authorize the [State](/usc/42/7602.md?p=d) or the [Administrator](/usc/42/7602.md?p=a) to adjust (and from time to time to readjust) the amount of the penalty assessment calculated or the payment schedule proposed by such [owner](/usc/42/13641.md?p=4) or operator under [paragraph (4)](#b-4), if the [Administrator](/usc/42/7602.md?p=a) finds after notice and opportunity for a hearing on the record that the penalty or schedule does not meet the requirements of this section; and
  - (9) require a final adjustment of the penalty within 180 days after such source comes into compliance in accordance with [subsection (d)(4)](#d-4).

  In any case in which the [State](/usc/42/7602.md?p=d) establishes a noncompliance penalty under this section, the [State](/usc/42/7602.md?p=d) shall provide notice thereof to the [Administrator](/usc/42/7602.md?p=a). A noncompliance penalty established by a [State](/usc/42/7602.md?p=d) under this section shall apply unless the [Administrator](/usc/42/7602.md?p=a), within ninety days after the date of receipt of notice of the [State](/usc/42/7602.md?p=d) penalty assessment under this section, objects in writing to the amount of the penalty as less than would be required to comply with guidelines established by the [Administrator](/usc/42/7602.md?p=a). If the [Administrator](/usc/42/7602.md?p=a) objects, he shall immediately establish a substitute noncompliance penalty applicable to such source.

- (c) **Contract to assist in determining amount of penalty assessment or payment schedule—** If the [owner](/usc/42/13641.md?p=4) or operator of any [stationary source](/usc/42/7602.md?p=z) to whom a notice is issued under [subsection (b)(3)](#b-3)—
  - (1) does not submit a timely petition under [subsection (b)(4)(B)](#b-4-B), or
  - (2) submits a petition under [subsection (b)(4)(B)](#b-4-B) which is denied, and

  fails to submit a calculation of the penalty assessment, a schedule for payment, and the information necessary for independent verification thereof, the [State](/usc/42/7602.md?p=d) (or the [Administrator](/usc/42/7602.md?p=a), as the case may be) may enter into a contract with any [person](/usc/42/7602.md?p=e) who has no financial interest in the [owner](/usc/42/13641.md?p=4) or operator of the source (or in any [person](/usc/42/7602.md?p=e) controlling, controlled by or under common control with such source) to assist in determining the amount of the penalty assessment or payment schedule with respect to such source. The cost of carrying out such contract may be added to the penalty to be assessed against the [owner](/usc/42/13641.md?p=4) or operator of such source.

- (d) **Payment—**
  - (1) All penalties assessed by the [Administrator](/usc/42/7602.md?p=a) under this section shall be paid to the United States Treasury. All penalties assessed by the [State](/usc/42/7602.md?p=d) under this section shall be paid to such [State](/usc/42/7602.md?p=d).
  - (2) The amount of the penalty which shall be assessed and collected with respect to any source under this section shall be equal to—
    - (A) the amount determined in accordance with regulations promulgated by the [Administrator](/usc/42/7602.md?p=a) under [subsection (a)](#a), which is no less than the economic value which a delay in compliance beyond July 1, 1979, may have for the [owner](/usc/42/13641.md?p=4) of such source, including the quarterly equivalent of the capital costs of compliance and debt service over a normal amortization period, not to exceed ten years, operation and maintenance costs foregone as a result of noncompliance, and any additional economic value which such a delay may have for the [owner](/usc/42/13641.md?p=4) or operator of such source, minus
    - (B) the amount of any expenditure made by the [owner](/usc/42/13641.md?p=4) or operator of that source during any such quarter for the purpose of bringing that source into, and maintaining compliance with, such requirement, to the extent that such expenditures have not been taken into account in the calculation of the penalty under [subparagraph (A)](#d-2-A).

    To the extent that any expenditure under [subparagraph (B)](#d-2-B) made during any quarter is not subtracted for such quarter from the costs under [subparagraph (A)](#d-2-A), such expenditure may be subtracted for any subsequent quarter from such costs. In no event shall the amount paid be less than the quarterly payment minus the amount attributed to actual cost of [construction](/usc/42/7479.md?p=2-C).

  - (3)
    - (A) The assessed penalty required under this section shall be paid in quarterly installments for the period of covered noncompliance. All quarterly payments (determined without regard to any adjustment or any subtraction under [paragraph (2)(B)](#d-2-B)) after the first payment shall be equal.
    - (B) The first payment shall be due on the date six months after the date of issuance of the notice of noncompliance under [subsection (b)(3)](#b-3) with respect to any source or on January 1, 1980, whichever is later. Such first payment shall be in the amount of the quarterly installment for the upcoming quarter, plus the amount owed for any preceding period within the period of covered noncompliance for such source.
    - (C) For the purpose of this section, the term “period of covered noncompliance” means the period which begins—
      - (i) two years after August 7, 1977, in the case of a source for which notice of noncompliance under [subsection (b)(3)](#b-3) is issued on or before the date two years after August 7, 1977, or
      - (ii) on the date of issuance of the notice of noncompliance under [subsection (b)(3)](#b-3), in the case of a source for which such notice is issued after July 1, 1979,

      and ending on the date on which such source comes into (or for the purpose of establishing the schedule of payments, is estimated to come into) compliance with such requirement.

  - (4) Upon making a determination that a source with respect to which a penalty has been paid under this section is in compliance and is maintaining compliance with the applicable requirement, the [State](/usc/42/7602.md?p=d) (or the [Administrator](/usc/42/7602.md?p=a) as the case may be) shall review the actual expenditures made by the [owner](/usc/42/13641.md?p=4) or operator of such source for the purpose of attaining and maintaining compliance, and shall within 180 days after such source comes into compliance—
    - (A) provide reimbursement with interest (to be paid by the [State](/usc/42/7602.md?p=d) or [Secretary](/usc/42/242q–4.md?p=2) of the Treasury, as the case may be) at appropriate prevailing rates (as determined by the [Secretary](/usc/42/242q–4.md?p=2) of the Treasury) for any overpayment by such [person](/usc/42/7602.md?p=e), or
    - (B) assess and collect an additional payment with interest at appropriate prevailing rates (as determined by the [Secretary](/usc/42/242q–4.md?p=2) of the Treasury) for any underpayment by such [person](/usc/42/7602.md?p=e).
  - (5) Any [person](/usc/42/7602.md?p=e) who fails to pay the amount of any penalty with respect to any source under this section on a timely basis shall be required to pay in addition a quarterly nonpayment penalty for each quarter during which such failure to pay persists. Such nonpayment penalty shall be in an amount equal to 20 percent of the aggregate amount of such [person](/usc/42/7602.md?p=e)’s penalties and nonpayment penalties with respect to such source which are unpaid as of the beginning of such quarter.
- (e) **Judicial review—** Any action pursuant to this section, including any objection of the [Administrator](/usc/42/7602.md?p=a) under the last sentence of [subsection (b)](#b), shall be considered a final action for purposes of judicial review of any penalty under [section 7607 of this title](/usc/42/7607.md).
- (f) **Other orders, payments, sanctions, or requirements—** Any orders, payments, sanctions, or other requirements under this section shall be in addition to any other permits, orders, payments, sanctions, or other requirements established under this chapter, and shall in no way affect any civil or criminal enforcement proceedings brought under any provision of this chapter or [State](/usc/42/7602.md?p=d) or local law.
- (g) **More stringent emission limitations or other requirements—** In the case of any [emission limitation](/usc/42/7602.md?p=k) or other requirement approved or promulgated by the [Administrator](/usc/42/7602.md?p=a) under this chapter after August 7, 1977, which is more stringent than the [emission limitation](/usc/42/7602.md?p=k) or requirement for the source in effect prior to such approval or promulgation, if any, or where there was no [emission limitation](/usc/42/7602.md?p=k) or requirement approved or promulgated before August 7, 1977, the date for imposition of the non-compliance penalty under this section, shall be either July 1, 1979, or the date on which the source is required to be in full compliance with such [emission limitation](/usc/42/7602.md?p=k) or requirement, whichever is later, but in no event later than three years after the approval or promulgation of such [emission limitation](/usc/42/7602.md?p=k) or requirement.

## Footnotes

[^1]: See References in Text note below.

## Source credit

(July 14, 1955, ch. 360, title I, § 120, as added Pub. L. 95–95, title I, § 118, Aug. 7, 1977, 91 Stat. 714; amended Pub. L. 95–190, § 14(a)(28)–(38), Nov. 16, 1977, 91 Stat. 1401; Pub. L. 101–549, title VII, § 710(a), Nov. 15, 1990, 104 Stat. 2684.)

## Notes

### Editorial Notes

### References in Text

Section 7413(d) of this title, referred to in subsec. (a)(2)(B), was amended generally by Pub. L. 101–549, title VII, § 701, Nov. 15, 1990, 104 Stat. 2672, and, as so amended, no longer relates to final compliance orders.

Section 1857c–10 of this title (as in effect before August 7, 1977), referred to in subsec. (a)(2)(B)(i), was in the original “section 119 (as in effect before the date of the enactment of the Clean Air Act Amendments of 1977)”, meaning section 119 of act July 14, 1955, ch. 360, title I, as added June 22, 1974, Pub. L. 93–319, § 3, 88 Stat. 248, (which was classified to section 1857c–10 of this title) as in effect prior to the enactment of Pub. L. 95–95, Aug. 7, 1977, 91 Stat. 691, effective Aug. 7, 1977. Section 112(b)(1) of Pub. L. 95–95 repealed section 119 of act July 14, 1955, ch. 360, title I, as added by Pub. L. 93–319, and provided that all references to such section 119 in any subsequent enactment which supersedes Pub. L. 93–319 shall be construed to refer to section 113(d) of the Clean Air Act and to paragraph (5) thereof in particular which is classified to subsec. (d)(5) of section 7413 of this title. Section 7413(d) of this title was subsequently amended generally by Pub. L. 101–549, title VII, § 701, Nov. 15, 1990, 104 Stat. 2672, and, as so amended, no longer relates to final compliance orders. Section 117(b) of Pub. L. 95–95 added a new section 119 of act July 14, 1955, which is classified to section 7419 of this title.

Section 1857c–10(c)(1) of this title (as in effect before August 7, 1977), referred to in subsec. (a)(2)(B)(ii), was in the original “section 119(c)(1) (as in effect before the date of the enactment of the Clean Air Act Amendments of 1977).” See paragraph set out above for explanation of codification.

### Amendments

1990—Subsec. (a)(2)(A). Pub. L. 101–549 inserted reference to sections 7477 and 7603 of this title in cl. (ii), added cl. (iii), and redesignated former cl. (iii) as (iv) and inserted reference to cl. (iii).

1977—Subsec. (a)(2)(A). Pub. L. 95–190, § 14(a)(28), (29), in cls. (i) and (iii) inserted provisions relating to consent decrees wherever appearing.

Subsec. (a)(2)(B). Pub. L. 95–190, § 14(a)(30), (31), in cl. (i) inserted reference to section 7413(d)(5) of this title, and in cls. (i) and (ii) inserted provision relating to orders in effect under section 1857c–10 of this title before Aug. 7, 1977, wherever appearing.

Subsec. (b). Pub. L. 95–190, § 14(a)(34)–(36), in closing provisions inserted provisions relating to notice to the Administrator when a noncompliance penalty is established by a State, and substituted references to noncompliance for references to delayed compliance in two places, “source” for “facility”, and “receipt of notice of the State penalty assessment” for “publication of the proposed penalty”.

Subsec. (b)(2)(A). Pub. L. 95–190, § 14(a)(33), substituted “(a)(1)(B)(i)” for “(e)”.

Subsec. (b)(8). Pub. L. 95–190, § 14(a)(32), substituted “(4)” for “(6)”.

Subsec. (d)(2)(A). Pub. L. 95–190, § 14(a)(37), inserted provisions relating to inclusion of the economic value of a delay in compliance, and substituted “such a delay” for “a delay in compliance beyond July 1, 1979,”.

Subsec. (e). Pub. L. 95–190, § 14(a)(38), substituted “subsection, shall” for “subsection shall”.

### Statutory Notes and Related Subsidiaries

### Effective Date

Section effective Aug. 7, 1977, except as otherwise expressly provided, see section 406(d) of Pub. L. 95–95, set out as an Effective Date of 1977 Amendment note under section 7401 of this title.