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Entering penalty information if an enforcement action involves another federal agency or a specific federal fund and it is receiving part of the total penalty

Even if a total federal penalty is divided between EPA and another Federal agency, we generally count the entire federal penalty in ICIS.  If the final order lists the entire federal penalty, then enter the total federal penalty in the Federal Penalty Required field.  Even if some of the money is awarded to another agency for their involvement or a specific federal ageancy fund is created to receive certain penalties, enter the total federal penalty amount in ICIS. Use the Cash Civil Penalty Amount field to enter the total dollar amount of the final order. 


For instance, there are CWA actions which collect penalties and certain monies goes to a Coast Guard Spill Prevention Trust Fund.  The total federal penalty should still be entered in ICIS even though some or all of the money is going to the Coast Guard Spill Prevention Trust Fund.


Another example involves Mobile Source CAA cases which involve Dept. of Customs.  Many times Customs alerts EPA to a violation at the boarder.  Sometimes, Customs is awarded part or all of the penalty from our enforcement action.  Enter the entire federal penalty amount in the Federal Penalty Required field. 



Entering cases into ICIS that are worked on in conjunction with Customs and Border Protection (CBP).  The scenario is as follows:


1.  CBP personnel is trained/notified on the Clean Air Act (CAA) requirements for imported vehicles and engines.  CBP then inspects imports of vehicles/engines for the CAA requirments.


2.  When CBP identifies an import shipment as a possible CAA violation, CBP sends detailed information about the vehicles/engines/import documents to the OECA Mobile Source Enforcement Branch (MSEB) for a compliance determination.


3.  MSEB uses the information sent by CBP (and additional information if necessary) to make a compliance determination.  If MSEB determines the vehicles/engines are illegal, MSEB send a letter to CBP in which we:  Recommend the vehicles/engines be exported; recommend that CBP collect a penalty from the importer of at lease a specified minimumn amount; and request that CBP send MSEB copies of the final CBP case disposition documents.


4.  CBP then proceeds on the basis of  the MSEB recommendations.


The conclusion is that a case like this should be entered into ICIS, including the penalty amount collected by CBP.  Further, it is not appropriate to enter one of these matters into ICIS if CBP acts totally on its own, and MSEB does not issue the compliance determination and the remediation/penalty recommendations.

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