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Voluntary disclosure initiation definition, and how to recieve accomplishment credit

Voluntary Disclosure Initiation Definition

A written disclosure, provided voluntarily by a regulated entity and received by the Agency, that contains the identity and location of facilities and description of the violations being disclosed. 

 

Information entered into ICIS at this stage should be supported by the following source document:

                        –          Voluntary Disclosure Letter that is received by the Agency.

 

To receive accomplishment credit for a voluntary disclosure initiation:

•           a voluntary disclosure/compliance monitoring activity record must be entered with all information required by ICIS and National Reporting fields designated by OECA; and 

•           the date of the disclosure letter must be entered in the Date Violations Disclosed field.

 

Voluntary Disclosure Initiation Data Entry Requirements

      A voluntary disclosure initiation is entered into ICIS by creating a new voluntary disclosure/compliance monitoring record, completing the Date Violations Disclosed field, and entering all other information required by ICIS and National Reporting fields designated by OECA for accomplishment credit on the Voluntary Disclosure data entry screen.  

 

Enter the following information that is required by ICIS on the Add Voluntary Disclosure screen:

•            Activity Name;

•            Facilities;

•            Date Violations Disclosed;

•            Region; 

•            Disclosure under Audit Policy or Disclosure Under EPA’s Small Business Policy (< 100 Employees);

•            Number of Facilities Associated with the Disclosure;

•            Federal Statutes; and

•            Sections.                                                                                           

 

Voluntary Disclosure Field Definitions and Guidance for definitions and guidance specific to each field.

 

–              The table below lists all fields that are required by ICIS or National Reporting fields designated by OECA for accomplishment credit for a voluntary disclosure activity:Fields indicated as ‘Required’ must be populated to save     information in ICIS; and

–          Fields indicated as ‘National Reporting’ should be populated for good data quality.

                                                                                               

 

Field

Program

Definition/Guidance

Required/

National Reporting

Screen Name

Activity Name

All

The activity name should include the facility name or the company name if several facilities are involved. 

Required

Add Voluntary Disclosure

Facilities              

All

The facility field should identify the name of each facility involved in the voluntary disclosure.  The program of the selected facility(s) should match the program (or primary program) of the voluntary disclosure.  If a facility with a matching program does not exist, an ICIS facility should be used.  Only one facility can be selected initially, additional facilities can be added on the Facility side menu screen after saving the enforcement action.

Required

Add Voluntary Disclosure

Date Violations Disclosed

All

The Date Violations Disclosed field should be the date on the disclosure letter.

Required

Add Voluntary Disclosure

Region                 

All

The Region field should be the region that is handling the voluntary disclosure.                 

Required

Add Voluntary Disclosure

Disclosure under Audit Policy

or

Disclosure under EPA’s Small Business Policy (< 100 Employees

All

This field indicates the type of voluntary disclosure being tracked.  If the disclosure is a part of the Audit Policy the Disclosure under Audit Policy check box should be checked.  If the disclosure is a part of the Small Business Policy the Disclosure under EPA’s Small Business Policy (<100 employees) check box should be checked.

Required

Add Voluntary Disclosure

Comments

                                              

All

The comments should include any comments that are relevant to the voluntary disclosure.

National  Reporting

Add Voluntary Disclosure

Disclosure Referred by Another Office

All

If the voluntary disclosure is referred by another office the Disclosure Referred by Another Office check box should be checked and the office should be specified.

National Reporting

Add Voluntary Disclosure

Disclosure Part of Compliance Incentive Program

All

If the voluntary disclosure is made as part of a Compliance Incentive Program, the name of the program should be specified.

National Reporting

Add Voluntary Disclosure

Number of Facilities Associated with the Disclosure

All

The number of facilities associated with the voluntary disclosure should be indicated.

Required

Add Voluntary Disclosure

Outstanding Issues

All

Outstanding issues concerning the voluntary disclosure can be tracked, such as tracking requests for additional information to determine applicability of appropriate policies.

National Reporting

Add Voluntary Disclosure

Federal Statutes

All

The federal statutes should include each law violated and cited in the voluntary disclosure.

Required

Add Voluntary Disclosure

Sections

All

The sections violated should include each section under the identified federal statute(s) cited in the voluntary disclosure.

Required

Add Voluntary Disclosure

Citations

All

Enter the correct citations in accordance with the violations described in the voluntary disclosure.

National Reporting

Add Voluntary Disclosure

Programs

All

The Programs involved in the voluntary disclosure and settlement action should be identified

National Reporting

Add Voluntary Disclosure

Gravity-Based Penalty Calculation before Mitigation

All

The Gravity-based penalty (GBP) calculation before mitigation field should contain the gravity portion of the penalty amount that would normally be assessed if the company did not voluntarily disclose the violations.

National Reporting

Add Voluntary Disclosure

Percent and Amount of Gravity-Based Penalty Waived

All

The percent and amount of GBP waived field should contain the penalty amount (and percentage) waived due to meeting the appropriate policy’s conditions.

National Reporting

Add Voluntary Disclosure

Gravity-Based Penalty Assessed

All

The GBP assessed field should contain the actual GBP amount that the company is being assessed.

National Reporting

Add Voluntary Disclosure

Economic Benefit Assessed

All

The economic benefit penalty amount should contain the penalty amount that is attributed to the economic benefit of non-compliance.

National Reporting

Add Voluntary Disclosure

Penalty Comments

              

All

The Penalty comments section should include any comments that are relevant to the penalty assessed to the company.

National Reporting

Add Voluntary Disclosure

Resolution

All

If the voluntary disclosure action is resolved with an administrative/judicial enforcement action, a NOD, withdrawn, or referred to the state, the appropriate resolution should be chosen.

National Reporting

Add Voluntary Disclosure

 

                              

Date of Resolution

All

The Date Of Resolution should be the date the resolution document is signed by the appropriate authority.

National Reporting

Add Voluntary Disclosure

Rationale for not applying the Disclosure Policy

All

If the policy does not apply, a reason should be chosen from the list provided.                         

National Reporting

Add Voluntary Disclosure

 

See Also

            Voluntary Disclosure

            Voluntary Disclosure Conclusion

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