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Policy, Guidance & Publications
National policy, guidance and publications relating to EPA's enforcement of environmental laws.
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Civil Enforcement Penalty Policies
These policies provide guidance on how to calculate the gravity-based and economic benefit components of civil penalties.
- Revised Guidance on the Use of Expedited Settlement Agreements - (11/24/14)
- Civil Monetary Penalty Inflation Adjustment Rule
- Amendments to the U.S. Environmental Protection Agency's Civil Penalty Policies to Account for Inflation (Effective December 6, 2013)
- Appendix VI - Leak Detection and Repair Penalty Policy
- Revision to Adjusted Penalty Policy Matrices Package issued November 16, 2009 - (4/6/10)
- Technical Correction for the Civil Monetary Penalty Inflation Adjustment Rule - (1/7/09)
- Amendments to Penalty Policies to Implement Penalty Inflation Rule 2008 - (12/29/08)
- Federal Register Notice for Civil Monetary Penalty Inflation Adjustment Rule - (12/11/08)
- Modifications to EPA Penalty Policies to Implement the Civil Monetary Penalty Inflation Adjustment Rule (Pursuant to the Debt Collection Improvement Act of 1996, Effective October 1, 2004) - (9/21/04)
- Civil Monetary Penalty Inflation Adjustment Rule (40 CFR Parts 19 and 72) (PDF)(7 pp, 183K) - (2/13/04)
- A Framework for Statute-Specific Approaches to Penalty Assessments: Implementing EPA Policy on Civil Penalties, dated 02/16/84 - (5/13/98)
- Consolidated Rules of Practice Governing the Administrative Assessment of Civil Penalties, Issuance of Compliance or Corrective Actions Orders, and the Revocation, Termination or Suspension of Permits - (2/25/98)
- Modifications to EPA Penalty Policies to Implement the Civil Monetary Penalty Inflation Rule (Pursuant to the Debt Collection Improvement Act of 1996) - (5/9/97)
- Use of Expedited Settlements to Support Appropriate Tool Selection - (12/2/03) (generally SUPERSEDED by 2014 guidance)
- Interim Clean Water Act Settlement Penalty Policy - (03/1/95)
- Guidance on use of Penalty Policies in Administrative Litigation - (12/15/95)
- EPA Policy on Civil Penalties - (2/16/84)
- Guidance on Determining a Violators Ability to Pay a Civil Penalty - (12/16/86)
Supplemental Environmental Projects (SEP)
These policies provide guidance on how and when to include a SEP in an enforcement settlement.
- Issuance of Final Supplemental Environmental Projects Policy - (4/10/98)
- Clean Water Municipal Settlements and Supplemental Environmental Projects (SEPs) - (11/4/05)
- Reminder That Waiver is Required for Supplemental Environmental Projects Not Meeting All Conditions of SEP Policy - (3/21/05)
- Supplemental Environmental Projects in Administrative Enforcement Matters Involving Section 1018 Lead-Based Paint Cases - (11/23/04)
- Treatment of Lead-Based Abatement Work as a Supplemental Environmental Project in Administrative Settlements - (1/22/04)
- Guidance Concerning the Use of Third Parties and the Performance of SEPS and the Aggregation of SEP Funds - (12/15/03)
- Guidance for Determining Whether a Project is Profitable and, When to Accept Profitable Projects as Supplemental Environmental Projects, and How to Value Such Projects - (12/5/03)
- Interim Guidance for Community Involvement in Supplemental Environmental Projects - (6/17/03)
- Guidance on the Use of Environmental Management Systems in Enforcement Settlement (SEPs) - (6/12/03)
- Clarification and Expansion of Environmental Compliance Audits under the Supplemental Environmental Projects Policy - (1/10/03)
- Importance of the Nexus Requirement in the Supplemental Environmental Projects Policy - (10/31/02)
- Supplemental Environmental Projects (SEP) Policy - (3/22/02)
- Clarification of Interaction Between 1995 Clean Water Act Interim Settlement Policy and the 1998 Supplemental Environmental Project Policy - (3/22/02)
- Appropriate Penalty Mitigation Credit under the SEP Policy - (4/14/00)
- Supplemental Environmental Projects Model Consent Agreement and Order - (1/1/99)
- Revised Approval Procedures for Supplemental Environmental Projects - (7/21/98)
Enforcement in Indian Country
Guidance for working with federally-recognized Indian tribes to ensure compliance at federally-regulated facilities in Indian country.
- Questions and Answers on the Tribal Enforcement Process - (4/17/07)
- Collection of Penalties with State and Local Governments and Federally Recognized Indian Tribes - (3/11/05)
- Guidance on the Enforcement Principles Outlined in the 1984 Indian Policy - (1/17/01)
- Enforcement Response Policies are enforcement policies that describe how the EPA will respond to violations.
- Audit Policy, Guidance and Protocols provide guidance to companies that voluntarily discover, promptly disclose, and expeditiously correct environmental violations.
- Financial Analysis Models Used to Calculate Economic Benefit and Ability to Pay
- Language Regarding Judicial Review of Certain Administrative Enforcement Orders Following the Supreme Court Decision in Sackett v. EPA (03/21/13)
- Office of Enforcement and Compliance Assurance (OECA) Parallel Proceeding Policy - (9/24/07). This policy reaffirms and clarifies the earlier policies, while adding procedural mechanisms to enhance effective communications between the Agency's civil and criminal enforcement programs.
- Restrictions on Communicating with Outside Parties Regarding Enforcement Actions - (3/8/2006). This guidance reiterates restrictions on communicating with parties outside of the EPA about enforcement actions, including members of Congress, state or local officials, and the media.
- Small Businesses and Enforcement - EPA has many compliance and enforcement resources specifically designed to meet the needs of the Small Business and Small Communities.
- Securing Mitigation as Injunctive Relief in Certain Civil Enforcement Settlements (2nd edition)