OAR 340-012-0140
Determination of Base Penalty

(1)

Except for Class III violations and as provided in OAR 340-012-0155 (Additional or Alternate Civil Penalties), the base penalty (BP) is determined by applying the class and magnitude of the violation to the matrices set forth in this section. For Class III violations, no magnitude determination is required.

(2)

$12,000 Penalty Matrix:

(a)

The $12,000 penalty matrix applies to the following:

(A)

Any violation of an air quality statute, rule, permit or related order committed by a person that has or should have a Title V permit or an Air Contaminant Discharge Permit (ACDP) issued pursuant to New Source Review (NSR) regulations or Prevention of Significant Deterioration (PSD) regulations, or section 112(g) of the federal Clean Air Act, unless otherwise classified.

(B)

Open burning violations as follows:
(i)
Any violation of OAR 340-264-0060 (General Prohibitions Statewide)(3) committed by an industrial facility operating under an air quality permit.
(ii)
Any violation of OAR 340-264-0060 (General Prohibitions Statewide)(3) in which 25 or more cubic yards of prohibited materials or more than 15 tires are burned, except when committed by a residential owner-occupant.

(C)

Any violation of the Oregon Low Emission Vehicle rules (OAR 340-257) by an automobile manufacturer.

(D)

Any violation of ORS 468B.025 (Prohibited activities)(1)(a) or (1)(b), or of 468B.050 (Water quality permit)(1)(a) by a person without a National Pollutant Discharge Elimination System (NPDES) permit, unless otherwise classified.

(E)

Any violation of a water quality statute, rule, permit or related order by:
(i)
A person that has an NPDES permit, or that has or should have a Water Pollution Control Facility (WPCF) permit, for a municipal or private utility sewage treatment facility with a permitted flow of five million or more gallons per day.
(ii)
A person that has a Tier 1 industrial source NPDES or WPCF permit.
(iii)
A person that has a population of 100,000 or more, as determined by the most recent national census, and either has or should have a WPCF Municipal Stormwater Underground Injection Control (UIC) System Permit, or has an NPDES Municipal Separated Storm Sewer Systems (MS4) Stormwater Discharge Permit.
(iv)
A person that installs or operates a prohibited Class I, II, III, IV or V UIC system, except for a cesspool.
(v)
A person that has or should have applied for coverage under an NPDES Stormwater Discharge 1200-C General Permit for a construction site that disturbs 20 or more acres.

(F)

Any violation of the ballast water statute in ORS Chapter 783 (Liabilities and Offenses Connected With Shipping and Navigation) or ballast water management rule in OAR 340, division 143.

(G)

Any violation of a Clean Water Act Section 401 Water Quality Certification by a 100 megawatt or more hydroelectric facility.

(H)

Any violation of a Clean Water Act Section 401 Water Quality Certification for a dredge and fill project except for Tier 1, 2A or 2B projects.

(I)

Any violation of an underground storage tanks statute, rule, permit or related order committed by the owner, operator or permittee of 10 or more UST facilities or a person who is licensed or should be licensed by DEQ to perform tank services.

(J)

Any violation of a heating oil tank statute, rule, permit, license or related order committed by a person who is licensed or should be licensed by DEQ to perform heating oil tank services.

(K)

Any violation of ORS 468B.485 (Methods of establishing financial assurance), or related rules or orders regarding financial assurance for ships transporting hazardous materials or oil.

(L)

Any violation of a used oil statute, rule, permit or related order committed by a person who is a used oil transporter, transfer facility, processor or re-refiner, off-specification used oil burner or used oil marketer.

(M)

Any violation of a hazardous waste statute, rule, permit or related order by:
(i)
A person that is a large quantity generator or hazardous waste transporter.
(ii)
A person that has or should have a treatment, storage or disposal facility permit.

(N)

Any violation of an oil and hazardous material spill and release statute, rule, or related order committed by a covered vessel or facility as defined in ORS 468B.300 (Definitions for ORS 468B.300 to 468B.500) or by a person who is engaged in the business of manufacturing, storing or transporting oil or hazardous materials.

(O)

Any violation of a polychlorinated biphenyls (PCBs) management and disposal statute, rule, permit or related order.

(P)

Any violation of ORS Chapter 465 (Hazardous Waste and Hazardous Materials I), UST or environmental cleanup statute, rule, related order or related agreement.

(Q)

Unless specifically listed under another penalty matrix, any violation of ORS Chapter 459 (Solid Waste Management) or any violation of a solid waste statute, rule, permit, or related order committed by:
(i)
A person that has or should have a solid waste disposal permit.
(ii)
A person with a population of 25,000 or more, as determined by the most recent national census.

(R)

Any violation of the Oregon Clean Fuels Program under OAR Chapter 340, division 253 by a person registered as an importer of blendstocks,

(S)

Any violation classified under OAR 340-012-0054 (Air Quality Classification of Violations) (1) (ee), (ff), or (gg).

(T)

Any violation of the Oregon Greenhouse Gas Reporting Program under OAR Chapter 340, division 215 by a person with greenhouse gas emissions greater than or equal to 25,000 metric tons per year or by a person that has not reported greenhouse gas emissions to DEQ during the past five years, or by a person for which DEQ has insufficient information to accurately estimate emissions.

(U)

Any violation of the Third Party Verification rules under OAR Chapter 340, division 272.

(b)

The base penalty values for the $12,000 penalty matrix are as follows:

(A)

Class I:
(i)
Major — $12,000;
(ii)
Moderate — $6,000;
(iii)
Minor — $3,000.

(B)

Class II:
(i)
Major — $6,000;
(ii)
Moderate — $3,000;
(iii)
Minor — $1,500.

(C)

Class III: $1,000.

(3)

$8,000 Penalty Matrix:

(a)

The $8,000 penalty matrix applies to the following:

(A)

Any violation of an air quality statute, rule, permit, permit attachment, or related order committed by a person that has or should have an ACDP permit, except for NSR, PSD and Basic ACDP permits, unless listed under another penalty matrix, unless otherwise classified.

(B)

Any violation of an asbestos statute, rule, permit or related order except those violations listed in section (5) of this rule.

(C)

Any violation of a vehicle inspection program statute, rule, permit or related order committed by an auto repair facility.

(D)

Any violation of the Oregon Low Emission Vehicle rules (OAR 340-257) committed by an automobile dealer or an automobile rental agency.

(E)

Any violation of a water quality statute, rule, permit or related order committed by:
(i)
A person that has an NPDES Permit, or that has or should have a WPCF Permit, for a municipal or private utility sewage treatment facility with a permitted flow of two million or more, but less than five million, gallons per day.
(ii)
A person that has a Tier 2 industrial source NPDES or WPCF Permit.
(iii)
A person that has or should have applied for coverage under an NPDES or a WPCF General Permit, except an NPDES Stormwater Discharge 1200-C General Permit for a construction site of less than five acres in size or 20 or more acres in size.
(iv)
A person that has a population of less than 100,000 but more than 10,000, as determined by the most recent national census, and has or should have a WPCF Municipal Stormwater UIC System Permit or has an NPDES MS4 Stormwater Discharge Permit.
(v)
A person that owns, and that has or should have registered, a UIC system that disposes of wastewater other than stormwater or sewage or geothermal fluids.

(F)

Any violation of a Clean Water Act Section 401 Water Quality Certification by a less than 100 megawatt hydroelectric facility.

(G)

Any violation of a Clean Water Act Section 401 Water Quality Certification for a Tier 2A or Tier 2B dredge and fill project.

(H)

Any violation of an UST statute, rule, permit or related order committed by a person who is the owner, operator or permittee of five to nine UST facilities.

(I)

Unless specifically listed under another penalty matrix, any violation of ORS Chapter 459 (Solid Waste Management) or other solid waste statute, rule, permit, or related order committed by:
(i)
A person that has or should have a waste tire permit; or
(ii)
A person with a population of more than 5,000 but less than or equal to 25,000, as determined by the most recent national census.

(J)

Any violation of a hazardous waste management statute, rule, permit or related order committed by a person that is a small quantity generator.

(K)

Any violation of an oil and hazardous material spill and release statute, rule, or related order committed by a person other than a person listed in OAR 340-012-0140 (Determination of Base Penalty)(2)(a)(N) occurring during a commercial activity or involving a derelict vessel over 35 feet in length.

(L)

Any violation of the Oregon Clean Fuels Program under OAR Chapter 340, division 253 by a person registered as a credit generator, an aggregator, or a registered fuel producer unless the violation is otherwise classified in this rule.

(M)

Any violation of the Oregon Greenhouse Gas Reporting Program under OAR Chapter 340, division 215 by a person with greenhouse gas emissions less than 25,000 metric tons per year but greater than or equal to 5,000 metric tons per year.

(b)

The base penalty values for the $8,000 penalty matrix are as follows:

(A)

Class I:
(i)
Major — $8,000.
(ii)
Moderate — $4,000.
(iii)
Minor — $2,000.

(B)

Class II:
(i)
Major — $4,000.
(ii)
Moderate — $2,000.
(iii)
Minor — $1,000.

(C)

Class III: $ 700.

(4)

$3,000 Penalty Matrix:

(a)

The $3,000 penalty matrix applies to the following:

(A)

Any violation of any statute, rule, permit, license, or order committed by a person not listed under another penalty matrix.

(B)

Any violation of an air quality statute, rule, permit, permit attachment, or related order committed by a person not listed under another penalty matrix.

(C)

Any violation of an air quality statute, rule, permit, permit attachment, or related order committed by a person that has or should have a Basic ACDP or an ACDP or registration only because the person is subject to Area Source NESHAP regulations.

(D)

Any violation of OAR 340-264-0060 (General Prohibitions Statewide)(3) in which 25 or more cubic yards of prohibited materials or more than 15 tires are burned by a residential owner-occupant.

(E)

Any violation of a vehicle inspection program statute, rule, permit or related order committed by a natural person, except for those violations listed in section (5) of this rule.

(F)

Any violation of a water quality statute, rule, permit, license or related order not listed under another penalty matrix and committed by:
(i)
A person that has an NPDES permit, or has or should have a WPCF permit, for a municipal or private utility wastewater treatment facility with a permitted flow of less than two million gallons per day.
(ii)
A person that has or should have applied for coverage under an NPDES Stormwater Discharge 1200-C General Permit for a construction site that is more than one, but less than five acres.
(iii)
A person that has a population of 10,000 or less, as determined by the most recent national census, and either has an NPDES MS4 Stormwater Discharge Permit or has or should have a WPCF Municipal Stormwater UIC System Permit.
(iv)
A person who is licensed to perform onsite sewage disposal services or who has performed sewage disposal services.
(v)
A person, except for a residential owner-occupant, that owns and either has or should have registered a UIC system that disposes of stormwater, sewage or geothermal fluids.
(vi)
A person that has or should have a WPCF individual stormwater UIC system permit.
(vii)
Any violation of a water quality statute, rule, permit or related order committed by a person that has or should have applied for coverage under an NPDES 700-PM General Permit for suction dredges.

(G)

Any violation of an onsite sewage disposal statute, rule, permit or related order, except for a violation committed by a residential owner-occupant.

(H)

Any violation of a Clean Water Act Section 401 Water Quality Certification for a Tier 1 dredge and fill project.

(I)

Any violation of an UST statute, rule, permit or related order if the person is the owner, operator or permittee of two to four UST facilities.

(J)

Any violation of a used oil statute, rule, permit or related order, except a violation related to a spill or release, committed by a person that is a used oil generator.

(K)

Any violation of a hazardous waste management statute, rule, permit or related order committed by a person that is a conditionally exempt generator, unless listed under another penalty matrix.

(L)

Any violation of ORS Chapter 459 (Solid Waste Management) or other solid waste statute, rule, permit, or related order committed by a person with a population less than 5,000, as determined by the most recent national census.

(M)

Any violation of the labeling requirements of ORS 459A.675 (Definitions for ORS 459A.675 to 459A.685) through 459A.685 (Prohibition on manufacture of rigid plastic bottles or containers without label).

(N)

Any violation of rigid pesticide container disposal requirements by a conditionally exempt generator of hazardous waste.

(O)

Any violation of ORS 468B.025 (Prohibited activities)(1)(a) or (b) resulting from turbid discharges to waters of the state caused by non-residential uses of property disturbing less than one acre in size.

(P)

Any violation of an oil and hazardous material spill and release statute, rule, or related order committed by a person not listed under another matrix.

(Q)

Any violation of the Oregon Clean Fuels Program under OAR chapter 340, division 253 by a person registered as an importer of finished fuels unless the violation is otherwise classified in this rule.

(R)

Any violation of the Oregon Greenhouse Gas Reporting Program under OAR Chapter 340, division 215 by a person with greenhouse gas emissions less than 5,000 metric tons per year.

(b)

The base penalty values for the $3,000 penalty matrix are as follows:

(A)

Class I:
(i)
Major — $3,000;
(ii)
Moderate — $1,500;
(iii)
Minor — $750.

(B)

Class II:
(i)
Major — $1,500;
(ii)
Moderate — $750;
(iii)
Minor — $375.

(C)

Class III: $250.

(5)

$1,000 Penalty Matrix:

(a)

The $1,000 penalty matrix applies to the following:

(A)

Any violation of an open burning statute, rule, permit or related order committed by a residential owner-occupant at the residence, not listed under another penalty matrix.

(B)

Any violation of visible emissions standards by operation of a vehicle.

(C)

Any violation of an asbestos statute, rule, permit or related order committed by a residential owner-occupant.

(D)

Any violation of an onsite sewage disposal statute, rule, permit or related order of OAR chapter 340, division 44 committed by a residential owner-occupant.

(E)

Any violation of an UST statute, rule, permit or related order committed by a person who is the owner, operator or permittee of one UST facility.

(F)

Any violation of an HOT statute, rule, permit or related order not listed under another penalty matrix.

(G)

Any violation of OAR chapter 340, division 124 or ORS 465.505 (Waste minimization requirements for dry cleaning facilities) by a dry cleaning owner or operator, dry store owner or operator, or supplier of perchloroethylene.

(H)

Any violation of ORS Chapter 459 (Solid Waste Management) or other solid waste statute, rule or related order committed by a residential owner-occupant.

(I)

Any violation of a statute, rule, permit or order relating to rigid plastic containers, except for violation of the labeling requirements under OAR 459A.675 (Definitions for ORS 459A.675 to 459A.685) through 459A.685 (Prohibition on manufacture of rigid plastic bottles or containers without label).

(J)

Any violation of a statute, rule or order relating to the opportunity to recycle.

(K)

Any violation of OAR chapter 340, division 262 or other statute, rule or order relating to solid fuel burning devices, except a violation related to the sale of new or used solid fuel burning devices or the removal and destruction of used solid fuel burning devices.

(L)

Any violation of an UIC system statute, rule, permit or related order by a residential owner-occupant, when the UIC disposes of stormwater, sewage or geothermal fluids.

(M)

Any Violation of ORS 468B.025 (Prohibited activities)(1)(a) or (b) resulting from turbid discharges to waters of the state caused by residential use of property disturbing less than one acre in size.

(b)

The base penalty values for the $1,000 penalty matrix are as follows:

(A)

Class I:
(i)
Major — $1,000;
(ii)
Moderate — $500;
(iii)
Minor — $250.

(B)

Class II:
(i)
Major — $500;
(ii)
Moderate — $250;
(iii)
Minor — $125.

(C)

Class III: $100.

Source: Rule 340-012-0140 — Determination of Base Penalty, https://secure.­sos.­state.­or.­us/oard/view.­action?ruleNumber=340-012-0140.

340–012–0026
Policy 340–012–0028
Scope of Applicability 340–012–0030
Definitions 340–012–0038
Warning Letters, Pre-Enforcement Notices, and Notices of Permit Violation 340–012–0041
Formal Enforcement Actions 340–012–0045
Civil Penalty Determination Procedure 340–012–0053
Classification of Violations that Apply to all Programs 340–012–0054
Air Quality Classification of Violations 340–012–0055
Water Quality Classification of Violations 340–012–0060
Onsite Sewage Disposal Classification of Violations 340–012–0065
Solid Waste Management Classification of Violations 340–012–0066
Solid Waste Tire Management Classification of Violations 340–012–0067
Underground Storage Tank (UST) Classification of Violations 340–012–0068
Hazardous Waste Management and Disposal Classification of Violations 340–012–0071
Polychlorinated Biphenyl (PCB) Classification of Violations 340–012–0072
Used Oil Management Classification of Violations 340–012–0073
Environmental Cleanup Classification of Violations 340–012–0074
Underground Storage Tank (UST) Cleanup Classification of Violations 340–012–0079
Heating Oil Tank (HOT) Classification of Violations 340–012–0081
Oil and Hazardous Material Spill and Release Classification of Violations 340–012–0082
Contingency Planning Classification of Violations 340–012–0083
Ballast Water Management Classification of Violations 340–012–0097
Dry Cleaning Classification of Violations 340–012–0130
Determination of Violation Magnitude 340–012–0135
Selected Magnitude Categories 340–012–0140
Determination of Base Penalty 340–012–0145
Determination of Aggravating or Mitigating Factors 340–012–0150
Determination of Economic Benefit 340–012–0155
Additional or Alternate Civil Penalties 340–012–0160
DEQ Discretion Regarding Penalty Assessment 340–012–0162
Inability to Pay the Penalty 340–012–0165
Stipulated Penalties 340–012–0170
Compromise or Settlement of Civil Penalty by DEQ
Last Updated

Jun. 8, 2021

Rule 340-012-0140’s source at or​.us