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Reporting payments for stipulated penalties

Historically, EPA has not publically reported the value of stipulated penalties collected from enforcement actions.  In FY 2003, in one case, EPA collected $128M in stipulated penalties.  Because of this significant achievement, and the known potential for collecting additional stipulated penalties from the same party and other parties, OECA now publically reports total stipulated penalties collected.

 

Data Entry: ICIS is capable of tracking the demand and collection of stipulated penalties.  To enter the date a demand for stipulated penalties was sent, go to the concluded enforcement action and select “Sub Activities.”  Select the milestone, “Demand for Stipulated Penalty.”  Here you can enter a planned date for internal tracking or an actual date the demand letter was sent.  For official reporting purposes OECA only looks at activities with actual dates.

 

To track the receipt and amount of the stipulated penalty, you must go to the concluded enforcement action, then from the “final order” screen select "Compliance Schedule.”  Scroll down the screen to select Non Recurring Event.  Under “Schedule Event” select from the drop down menu “Pay Required Stipulated Penalty Amount.”  Answer the fields as appropriate.  At a minimum fill out “Schedule Date", "Actual Date", "Report Received Date" (same date as Actual Date) and “Amount.” 

 

OECA has created an ad hoc report to look for stipulated penalties tracked in ICIS with dates achieved and dollar amounts.  The report is entitled Stipulated Penalties and is located under the Certification Ad Hoc category. 

 

When a payment is made for stipulated penalties record the payment in the Final Order Tracking milestone section only.  Do not include the payment under the Penalty/Cost Recovery screen.

 

If the stipulated penalty involves money for EPA and money for a state agency, only record the federal portion of the stipulated penalty in ICIS.

recording state stipulated penalty

See Also

            Reporting Process for FY 2004 - Call Memo

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