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Self-Disclosures, Environmental Audit Policies and Laws
National Information
- Make a Self-Disclosure
- EPA Audit Policies
- State Audit Privilege and Immunity Laws & Self-Disclosure Laws and Policies
- Region 5 Audit Policy Cases
- Documents, Articles, and Further Reference
EPA's Audit Policy provides incentives for regulated entities to come into compliance with federal environmental laws and regulations. To take advantage of these incentives, regulated entities must voluntarily discover, promptly disclose to EPA, expeditiously correct, and prevent recurrence of future environmental violations. Disclosures are often preceded by consultation between EPA and the regulated entity, so that they can discuss mutually acceptable disclosure details, compliance, and audit schedules. Like EPA's Audit Policy, state self-disclosure policies as well as state environmental audit privilege and immunity laws serve as compliance incentives for businesses to perform environmental audits and promptly report and correct environmental violations.
Make a Self-Disclosure
Send voluntary self-disclosures for violations which have occurred in U.S. EPA Region 5 (Illinois, Indiana, Michigan, Minnesota, Ohio, and Wisconsin) to:
Jodi Wilson (wilson.jodi@epa.gov)
Office of Enforcement and Compliance Assurance
U.S. Environmental Protection Agency, Region 5 (E-19J)
77 West Jackson Boulevard
Chicago, IL 60604
312-886-0879
Fax: 312-692-2023
Before self-disclosing, you may wish to consult EPA's audit policy which deals with self-disclosures and incentives for compliance. Depending on where you live, there may be a state self-disclosure policy applicable to you.
For violations which have occurred outside of Region 5, consult EPA's self-disclosure and regional contacts page to learn who to contact.
EPA Policies and Guidance Documents
You will need Adobe Reader to view some of the files on this page. See EPA's PDF page to learn more.
- EPA's Audit Policy "Incentives for Self-Policing: Discovery, Disclosure, Correction and Prevention of Violations"
- Incentives for Self-Policing: Discovery, Disclosure, Correction and Prevention of Violations (PDF) (49pp, 158K) (April 2000), commonly referred to as U.S. EPA's "Audit Policy" or "Self-Disclosure Policy."See also the Federal Register (PDF) (11pp, 266K) (April 2000) at 65 FR 19618.
- Interim Approach to Applying the Audit Policy to New Owners (PDF) (16 pp, 120 K) August 2008
- Outline of EPA's Audit Policy Including the "Interim Approach"
- Policies & Guidance
- Small Business Compliance and Enforcement
- Small Communities Compliance and Enforcement
State Audit Privilege and Immunity Laws & Self-Disclosure Laws and Policies
Find details about the current status of state environmental audit privilege and immunity laws, self-disclosure policies, and audit rules.
- State Audit Privilege and Immunity Laws
- State Voluntary Self-Disclosure Civil Penalty Mitigation Law (Illinois)
- State Voluntary Self-Disclosure Penalty Immunity Rule (Oklahoma)
- State Self-Disclosure Policies
- Further Reference
Region 5 Audit Policy cases
Cases which have been settled successfully under U.S. EPA's self-disclosure policy here in Region 5.
Documents, Articles, and Further Reference
- Audit Policy Interpretive Guidance (PDF) (40pp, 1.3MB) January 1997
Questions and answers about EPA's Audit Policy. - New Directions for EPA's Audit Policy: Interim Approach to Applying the Audit Policy to New Owners (PDF) (41pp, 366K) (June 2009) Presentation by John P. Steketee, Associate Regional Counsel (US EPA)
- Audit Policy Frequently Asked Questions (PDF) (13pp, 235K) April 2007
- Incentives for Self-Policing: Discovery, Disclosure, Correction and Prevention of Violations (PDF) (49pp, 158K) (April 2000), commonly referred to as U.S. EPA's "Audit Policy" or "Self-Disclosure Policy." See also the Federal Register (PDF) (11pp, 266K) (April 2000) at 65 FR 19618.
- Outline of EPA's Audit Policy Including the "Interim Approach"
- Environmental Audit Immunity Laws: A State-by-State Comparison (2004 Update)
By John A. Lee and Bertram C. Frey (U.S. EPA)
A comprehensive examination of the audit immunity laws, which have been enacted by a large number of states. Current through April 2004. This is a copyrighted article reprinted with permission of the authors. - Cooperation With Government Agencies Under Environmental Audit Laws, Rules and Policies (updated August 2003)
By Bertram C. Frey (U.S. EPA) and Kathryn McCollough
An analysis of what cooperation means in federal and state environmental audit and self-disclosure laws, rules and policies. Current through August 2003. This is a copyrighted article reprinted with permission of the authors. - Environmental Grace Period and Amnesty Laws (PDF) (16pp, 41K) March 1998
By Bertram C. Frey (U.S. EPA) and Jennifer K. Harr
An examination of environmental grace period and amnesty laws. Current through March 1998. Published in the BNA Environmental Reporter, 5-1-98. This is a copyrighted article reprinted with permission of the authors.