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APPENDIX B: UST Penalty Computation Worksheet OSWER Directive 9610.12 U.S. EPA Penalty Guidance For Violations of UST Regulations November 14, 1990

APPENDIX B

UST Penalty Computation Worksheet
UST PENALTY COMPUTATION WORKSHEET

Assessments for each violation should be determined on separate worksheets and totaled. (If more space is needed, attach separate sheet.)

PART 1 - BACKGROUND

Company name________________________________________________

Regulation violated_____________________________________________

____________________________________________________________

____________________________________________________________

Previous violations______________________________________________

____________________________________________________________

Date of requirement______________ Date of inspection_______________
Date of compliance______________ Explanation (if appropriate):
1. Days of noncompliance_________
2. Number of tanks______________

PART 2 - ECONOMIC BENEFIT COMPONENT

Avoided Expenditures____________ Basis:__________________________
Delayed Expenditures____________ Basis:__________________________
Weighted Tax Rate______________ Source:________________________
Interest Rate___________________ Source:________________________
Avoided = {Avoided    + Avoided x Interest x Number} x (1 - Marginal)
Costs      Expenditures Expenditures         of Days        Tax Rate
                        ----------------------------
                                    365 Days
									
    

3. Calculated Avoided Costs:______________________________________

	
    Delayed  =  Delayed        x    Interest    x    Number
    Costs       Expenditures                         of Days
                --------------------------------------------
                                    365 Days
									
    

4. Calculated Delayed Costs:______________________________________

5. Economic Benefit Component:____________________ (carry figure to Line 16). (Line 3 + Line 4)

PART 3 - MATRIX VALUE FOR THE GRAVITY-BASED COMPONENT

Potential for Harm:______________ Extent of Deviation_____________
6. Matrix Value (MV):____________ (from document page 16 or Appendix A)
7. Per-tank MV:________________
(if violation is per facility, the amount on
Line 7 will be the same is the amount on Line 6)

PART 4 - VIOLATOR-SPECIFIC ADJUSTMENTS TO MATRIX VALUE

Percentage
Change
(+ or -)
x Matrix
Value
= Dollar
Adjustment
(+ or -)
Justification for Adjustment:
8. Degree of cooperation/
noncooperation

________

_____

_________
9. Degree of willfulness
or negligence

________

_____

_________
10. History of
noncompliance:

________

_____

_________
11. Unique factors: ________ _____ _________
12.Adjusted Matrix Value
(Line 7 + Lines 8-11)

_________

PART 5 - GRAVITY-BASED COMPONENT

Level of
Environmental Sensitivity:_________________________

Justification:
13. ESM (from document Page 21)_________________
14. DNM (from document Page 21)_________________
                        Adjusted    Environmental    Days of
        GRAVITY-BASED = Matrix   x  Sensitivity   x  Noncompliance
          COMPONENT     Value       Multiplier       Multiplier
		  
		  
    

15. Gravity-Based Component:_____________________________
(Line 12 x Line 13 x Line 14)

PART 6 - INITIAL PENALTY TARGET FIGURE

16. Economic Benefit Component:___________________________
(from Line 5)

17. Gravity-Based Component:_____________________________
(from Line 15)

18. Initial Target Penalty Figure:_____________________________
(Line 16 + Line 17)

SIGNATURE________________________________ DATE_________

[ Directive 9610.12 ]

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