Policies, Guidance and Other Resources
Listed below are several important resources for more information
on the Audit Policy.
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").
Interim Approach to Applying the Audit Policy to New Owners Effective 8/1/2008, this Interim Approach describes tailored Audit Policy incentives for new owners that want to make a “clean start” at their recently acquired facilities by addressing environmental noncompliance that began prior to acquisition. A summary of the approach is also available on-line.
Audit Policy Interpretive Guidance (January 1997) This guidance was developed to answer frequently asked questions regarding the implementation of the original Audit Policy issued in 1995.
Audit Policy: Frequently Asked Questions 2007 This document describes the differences between the original Audit Policy issued in 1995 and the 2000 Policy and is intended to supplement the 1997 Interpretive Guidance.
Newsletters
Audit Policy Update Newsletters, published between 1996-2001 by EPA's Office of Regulatory Enforcement, Office of Enforcement and Compliance Assurance provides information on the changes to the Audit Policy and other information relating to its use.
Enforcement
Alert is a newsletter published by EPA's Office of Civil Enforcement,
Office of Enforcement and Compliance Assurance. It is intended to inform and
educate the public and the regulated community about important environmental
enforcement issues, recent trends, and significant enforcement actions. It calls
attention to areas where a business may want to consider conducting a voluntary audit.
Sample Documents
Sample status report Some companies have used this report to provide information to EPA during the
course of conducting a comprehensive corporate-wide audit. 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.
Sample Disclosure Follow-up Letter This is an example of what the Agency sends a company after receiving a self disclosure pursuant to EPA's Audit Policy. The letter provides companies with clear guidance on the kind of information needed by EPA to better understand the potential violations and determine whether a company's disclosure meets the conditions of the Audit Policy.
Memoranda
Memorandum
on the Confidentiality of Information Received Under Agency's Self-Disclosure
Policy This memorandum sets out the policy of EPA's Office of Enforcement and Compliance Assurance with respect to the confidentiality of self-disclosures received by EPA under EPA's Audit 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.
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.
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