Air Enforcement Policy, Guidance and Publications

This section provides policy and guidance documents related to enforcement of pollution from mobile and stationary sources of air pollution.

On this page:

• Mobile Sources of Air Pollution
  • General Mobile Source Policy and Guidance
  • Vehicles and Engines
  • Fuels
• Stationary Sources of Air Pollution
  • General Stationary Source Policy and Guidance
  • New Source Review
  • State Implementation Plan

Mobile sources of air pollution

General

• Civil Penalty Policy for Administrative Hearings - (1/14/93)

Vehicles/Engines

• Clean Air Act Title II Vehicle & Engine Civil Penalty Policy (01/18/21)
• EPA Tampering Policy: The EPA Enforcement Policy on Vehicle and Engine Tampering and Aftermarket Defeat Devices under the Clean Air Act (11/23/20)
• Notice of Availability of EPA Tampering Policy and Request for Information Regarding 1986 Catalyst Policy (12/14/20)
  • Comments Received (ten total) on Request for Information Regarding 1986 Catalyst Policy (02/12/21)
• Tampered Diesel Pickup Trucks: A Review of Aggregated Evidence from EPA Civil Enforcement Investigations (11/20/20)
• Expedited Settlement Agreement Pilot for Clean Air Act Vehicle and Engine Violations – Tampering/Defeat Devices (6/21/19)
• Expedited Settlement Agreement Program for Clean Air Act Vehicle and Engine Violations – Imports (6/21/19)
• Frequently Asked Question About EPA Requirements for Motorcycle Imports - (4/8/05)
• Sale and use aftermarket catalytic converters for Vehicles Equipped with On-Board Diagnostic (OBD-II) Systems - (9/30/04)
• EPA Kit Car Policy - (7/8/94)
• Sale and Use of Aftermarket Catalytic Converters - (8/5/86)

Fuels

• Clean Air Act Mobile Source Fuels Civil Penalty Policy Title II of the Clean Air Act 40 C.F.R. Part 1090 Fuels Standards Requirements (pdf) (487.21 KB) - (1/28/24)
• Conditional No Action Assurance Regarding the Testing Timing for Reformulated Gasoline (2 pp, 762K ) - (3/8/19)
• Clean Air Act Mobile Source Fuels Civil Penalty Policy Title II of the Clean Air Act 40 C.F.R. Part 80 Fuels Standards Requirements (55 pp, 886K ) - (2/3/16)
• Conditional No Action Assurance Regarding RFS Attest Engagement Reporting Deadline for 2014 Compliance Year - 5/21/15
• Enforcement of MARPOL Annex VI Memorandum of Understanding (7pp, 2MB) - (6/27/11)
• Enforcement of MARPOL Annex VI Joint Letter - (06/27/11)
• Questions and Answers to the Clean Diesel Fuel Rules 
• Refiners may use two percent tolerance rule to determine RFG compliance - (2/6/02)
• Interim Diesel Civil Penalty Policy - (2/8/94)
• 1993 Volatility Question and Answer Document 
• 1993 Diesel Desulfurization Question and Answer Document (PDF) (36 pp, 1MB) - (8/5/93)
• Volatility Civil Penalty Policy - (12/1/89)

Stationary sources of air pollution

General

• No Action Assurance Regarding EPA-Issued Step 2 Prevention of Significant Deterioration Permits and Related Title V Requirements - (12/19/14)
• Revised Timely and Appropriate (T and A) Enforcement Response to High Priority Violations (HPVs) Policy (8/25/14)
• Guidance on Federally-Reportable Violations for Clean Air Act Stationary Sources - (09/23/14)
• Transmittal of "Guidance of Section 303 of the Clean Air Act" - (04/01/99)
• The Timely and Appropriate (T&A) Enforcement Response to High Priority Violations (HPVs) Workbook - (6/23/99)(Superseded)
• The Timely and Appropriate (T and A) Enforcement Response to High Priority Violations (HPVs) Policy - (12/22/98) (Superseded)
• Interim Policy and Guidance on the Use of "Credible Evidence" in Air Enforcement Activities - (4/29/97)
• Options for Limiting the Potential to Emit (PTE) of a Stationary Source under Section 112 and Title V of the Clean Air Act - (1/25/95)
• Supplemental Environmental Projects in EPA Settlements Involving Early Reductions under the Clean Air Act - (11/1/91)

Penalty Policies

• Clean Air Act Stationary Source Civil Penalty Policy - (10/25/1991)
  • Includes attachments for Appendices:
    • Appendix I – Penalty Policy for Violations of Permit Requirements for the Construction or Modification of Major Stationary Sources of Air Pollution (revised 03/25/1987)
    • Appendix I – Penalty Policy for Violations of Permit Requirements for the Construction or Modification of Major Stationary Sources of Air Pollution (revised 03/25/1987)
    • Appendix II – Vinyl Chloride Civil Penalty Policy (revised 02/08/1985)
    • Appendix III – Final Revisions to the Asbestos Demolition and Renovation Civil Penalty Policy (revised 05/11/1992)
    • Appendix IV – Volatile Organic Compounds Penalty Policy (revised 03/25/1987)
    • Appendix V – Air Civil Penalty Worksheet (revised 03/25/1987)
    • Appendix VI – Volatile Hazardous Air Pollutant Penalty Policy (03/02/1988)
    • Appendix VII – Penalty Policy for New Residential Wood Heaters (09/14/1989)
    • Appendix VIII – Penalty Policy for Production or Importation in Violation of 40 CFR Part 82 of Substances that Deplete the Stratospheric Ozone (11/02/1990)
    • Appendix IX – Penalty Policy Applicable to Persons who Perform Service for Consideration on a Motor Vehicle Air Conditioner Involving the Refrigerant or who Sell Small Containers of Refrigerant in Violation of 40 CFR Part 82 (07/19/1993)
    • Appendix X – Clean Air Act Civil Penalty Policy for Violations of 40 CFR Part 82, Subpart F: Maintenance, Service, Repair, and Disposal of Appliances Containing Refrigerant (06/01/1994)
  • Includes Memorandum on: Clarifications to October 25, 1991 Clean Air Act Stationary Source Civil Penalty Policy (01/17/1992)
  • Includes Memorandum on: Clarification of the Use of Appendix I of the Clean Air Act Stationary Source Civil Penalty Policy (07/23/1995)
• Appendix XI - Application of Clean Air Act Stationary Source Penalty Policy for Violations of Benzene Waste Operations NESHAP Requirements (11/08/2007)
• Replacement of Appendix VI of the Clean Air Act Stationary Source Civil Penalty Policy - Leak Detection and Repair Penalty Policy  (11/02/2012)
• Appendix XII – Interim Penalty Policy Applicable to Certain Illegal Imports of Bulk Regulated Substances Under 40 C.F.R. Part 84: Phasedown of Hydrofluorocarbons (pdf) (445.75 KB)  (03/24/2023)
• Appendix XIII – Clean Air Act Stationary Source Civil Penalty for Landfills (12/18/2024)
  • Transmittal Memorandum (pdf) (84.59 KB)
  • Appendix XIII - Landfills Penalty Policy (pdf) (518.98 KB)

New Source Review (NSR)

• Guidance on Appropriate Injunctive Relief in Major NSR Cases - (11/17/98
• Guidance on Limiting Potential to Emit in New Source Permitting - (6/13/89)
• Guidance on Enforcement of Prevention of Significant Deterioration Requirements Under the Clean Air Act - (12/14/83)

State Implementation Plan

• State Implementation Plans: Response to Petition for Rulemaking; Restatement and Update of EPA’s SSM Policy Applicable to SIPs; Findings of Substantial Inadequacy; and SIP Calls To Amend Provisions Applying to Excess Emissions During Periods of Startup, Shutdown and Malfunction; Final Rule (6/12/15)
• Re-Issuance of Clarification - State Implementation Plans (SIPs): Policy Regarding Excess Emissions during Malfunctions, Startup, Shutdown (PDF) (2pp, 103K) - (12/5/01)
• State Implementation Plans: Policy Regarding Excess Emissions During Malfunction, Startup, and Shutdown (pdf) (46.74 KB)  (10pp, 50K) (9/20/99)
• Policy on Excess Emissions During Startup, Shutdown, Maintenance, and Malfunctions - (2/15/83)