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POLICIES AND RESOURCES
Listed below are several important resources for more information on the Audit Policy. The main repository for information on the Audit Policy is U.S. EPA Headquarters' Audit Policy Information Homepage.
Policies and Guidance
Incentives
for Self-Policing: Discovery, Disclosure, Correction, and Prevention of
Violations is the official April 11, 2000, policy, commonly referred
to as U.S. EPA's "Audit Policy" or the "Self-Disclosure Policy."
Revised
Policy on Compliance Incentives for Small Businesses. Effective 5/11/00,
this policy sets forth enforcement and compliance procedures specific
to small businesses (thus its common name of "Small Business Policy").
Audit
Policy Interpretive Guidance (Questions & Answers). Questions
and answers concerning U.S. EPA's Audit Policy.
Newsletters
Audit Policy Update is a newsletter issued by U.S. EPA Headquarters where you can learn about cases which have been settled successfully under U.S. EPA's Audit Policy.Enforcement Alert is a newsletter issued by U.S. EPA Headquarters intended to inform and educate the public and regulated community of important environmental enforcement issues, recent trends, and significant enforcement actions. The information contained in each issue should help the regulated community anticipate and prevent violations of federal environmental laws and applicable regulations that could otherwise lead to enforcement action. In addition to highlighting important issues, trends, and enforcement actions, each issue provides the reader with links to useful EPA and other relevant Web sites to learn more about the issue, laws, and regulations addressed. align="left">
Forms
Example
of a status report: "The initial report, and subsequent
periodic progress reports, have helped identify issues early in the auditing
process and assisted in the overall progress of the audit."
Sector-Based Initiatives
EPA Region 2 Colleges and Universities Web site: A Web site specifically directed toward colleges and universities with access to general compliance assistance information, links to relevant sites and organizations, and information directly related to EPA's Audit Policy.Memoranda
Memorandum
on the Confidentiality of Information Received Under Agency's Self-Disclosure
Policy
Memorandum--Subject: Implementation of the Environmental Protection Agency's Self- Policing Policy for Disclosures Involving Potential Criminal Violations - In an effort to ensure the integrity and meaningful application of the Audit Policy between EPA and those entities making disclosures involving potential criminal violations, this guidance clarifies the conditions that are expected to be met by a disclosing entity before the Agency will make a recommendation against criminal prosecution of the disclosing entity. This guidance assumes a working knowledge of both the Audit Policy and the supplemental Agency guidance issued in keeping with that policy, and should be read and considered with these in mind. (http://www.epa.gov/compliance/incentives/auditing/auditsupinfo.html)
Memorandum--Subject: Reduced Penalties for Disclosures of Certain Clean Air Act Violations - Certain Clean Air Act (CAA) violations discovered, disclosed and corrected by a company prior to issuance of a Title V permit are potentially eligible for penalty mitigation under the "Audit Policy". EPA may reduce penalties pursuant to its Audit Policy where a company (a) reviews its prior decision regarding the application of New Source Review (NSR) and Prevention of Significant Deterioration (PSD) requirements (e.g., a determination that NSR permit requirements did not apply) that was made in good faith and (b) discloses to EPA a violation discovered through such a review and agrees to correct it prior to Title V permit issuance, and (c) otherwise meets conditions 3 through 9 of the Audit Policy. (http://www.epa.gov/compliance/incentives/auditing/auditsupinfo.html)
