Policy, Guidance & Publications
This page provides access to national policy, guidance and publications related to EPA's enforcement of environmental laws.
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Penalty and Financial Models
Penalty and Financial Models are used to analyze the financial aspects of enforcement actions.
Civil Enforcement Penalty Policies provide guidance on how to calculate the gravity-based and economic benefit components of civil penalties.
- Appendix VI - Leak Detection and Repair Penalty Policy (PDF) (12 pp, 1MB) - (9/01/12)
- Revision to Adjusted Penalty Policy Matrices Package issued November 16, 2009 (PDF) (49 pp, 2.3MB) - (4/6/10)
- Technical Correction for the Civil Monetary Penalty Inflation Adjustment Rule (PDF) (4 pp, 101K) - (1/7/09)
- Amendments to Penalty Policies to Implement Penalty Inflation Rule 2008 (PDF) (18 pp, 1.1MB) - (12/29/08)
- Federal Register Notice for Civil Monetary Penalty Inflation Adjustment Rule (PDF) (7 pp, 131K) - (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) (PDF) (15 pp, 530K) - (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 (PDF) (31pp, 1.4MB) - (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 (PDF) (54 pp, 395KB) - (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) (PDF) (9pp, 24K) - (5/9/97)
- Use of Expedited Settlements to Support Appropriate Tool Selection (PDF) (26 pp, 1.8MB) - (12/2/03)
- Guidance on use of Penalty Policies in Administrative Litigation (PDF) (4 pp, 203K) (12/15/95)
- EPA Policy on Civil Penalties (PDF) (40 pp, 2.3MB) - (2/16/84)
- Guidance on Determining a Violators Ability to Pay a Civil Penalty (PDF) (10 pp, 443K) (12/16/86)
Supplemental Environmental Projects (SEP) policies provide guidance on how and when to include a SEP in an enforcement settlement.
- Issuance of Final Supplemental Environmental Projects Policy (PDF) (24 pp, 1.8MB) - (4/10/98)
- Clean Water Municipal Settlements and Supplemental Environmental Projects (SEPs) (PDF) (3 pp, 434K) - (11/4/05)
- Reminder That Waiver is Required for Supplemental Environmental Projects Not Meeting All Conditions of SEP Policy (PDF) (2 pp, 217K) - (3/21/05)
- Supplemental Environmental Projects in Administrative Enforcement Matters Involving Section 1018 Lead-Based Paint Cases (PDF) (4 pp, 614K) - (11/23/04)
- Treatment of Lead-Based Abatement Work as a Supplemental Environmental Project in Administrative Settlements (PDF) (3 pp, 355K) - (1/22/04)
- Guidance Concerning the Use of Third Parties and the Performance of SEPS and the Aggregation of SEP Funds (PDF) (5 pp, 230KB) - (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 (PDF) (11 pp, 310K) - (12/5/03)
- Interim Guidance for Community Involvement in Supplemental Environmental Projects (PDF) (20 pp, 135K) - (6/17/03)
- Guidance on the Use of Environmental Management Systems in Enforcement Settlement (SEPs) (PDF) (10 pp, 300K) - (6/12/03)
- Clarification and Expansion of Environmental Compliance Audits under the Supplemental Environmental Projects Policy (PDF) (2 pp, 116K) - (1/10/03)
- Importance of the Nexus Requirement in the Supplemental Environmental Projects Policy (PDF) (3 pp, 203K) - (10/31/02)
- Supplemental Environmental Projects (SEP) Policy (PDF) (3 pp, 156K) - (3/22/02)
- Clarification of Interaction Between 1995 Clean Water Act Interim Settlement Policy and the 1998 Supplemental Environmental Project Policy (PDF) (2 pp, 90K) - (3/22/02)
- Appropriate Penalty Mitigation Credit under the SEP Policy (PDF) (2 pp, 95K) - (4/14/00)
- Supplemental Environmental Projects Model Consent Agreement and Order (PDF) (9 pp, 47K) - (1/1/99)
- Revised Approval Procedures for Supplemental Environmental Projects (PDF) (4 pp, 224K) - (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 (PDF) (17 pp, 2.6MB) - (4/17/07)
- Collection of Penalties with State and Local Governments and Federally Recognized Indian Tribes (PDF) (3 pp, 672K) - (3/11/05)
- Transmittal of Final Guidance on the Enforcement Principles Outlined in the 1984 Indian Policy (PDF) (15 pp, 237K) - (1/17/01)
- Enforcement Response Policies are enforcement policies that describe how the EPA will respond to violations.
- EPA’s Audit Policy provides incentives to companies that voluntarily discover, promptly disclose, and expeditiously correct environmental violations. eDisclosure is web-based pilot system that allows companies to electronically self-disclose 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 (PDF) (6 pp, 119K) - (03/21/13)
- Office of Enforcement and Compliance Assurance (OECA) Parallel Proceeding Policy (PDF) (10 pp, 584K) - (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 (PDF) (4 pp, 1.5MB)
- Small Businesses and Enforcement - EPA has many compliance and enforcement resources specifically designed to meet the needs of the Small Business and Small Communities.