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Administrative penalty order conclusion definition, and how to receive credit

Administrative Penalty Order Conclusion Definition

A written resolution of the complaint, by way of a decision of the ALJ (including a default judgement), a mutual agreement between the

defendant/respondent/PRP(s) and EPA on the specific terms of a settlement in the form of a consent agreement final order (CAFO) signed by the

ALJ (including those achieved through use of a Quick Resolution or an Alternative Dispute Resolution), that is filed with the Regional Hearing Clerk.

 

Note:   The term "administrative penalty order" can be confusing because it is ambiguous whether it refers to the initiation (complaint) or the conclusion.

            Regions refer to the conclusion document as a CAFO (consent agreement and final order).  HQ refers to it as a FAPO (final administrative penalty

            order).  For conclusions, it is best to use the term "administrative penalty order conclusion."

 

 

Conclusion by Decision Definition

A written decision/order made by an ALJ, after hearing all relevant matters presented by EPA and the defendant/respondent/PRP(s) at a hearing,

that has not been appealed and is filed with the Regional Hearing Clerk.  If either party appeals the decision made by the ALJ within the allotted

time frame, the final order will be issued by the Environmental Appeals Board (EAB).  Decisions of the EAB may be appealed to the U.S.

District Court or, in some cases, to the U.S. Court of Appeals.  Decisions by the courts may also be appealed all the way up to the U.S.

Supreme Court.                      

 

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

–          Final Order that was issued by the ALJ or EAB and filed with the Regional Hearing Clerk.

 

To receive accomplishment credit for an administrative penalty conclusion:

•           an administrative enforcement action record must be entered with all information required by ICIS;

•           ‘Penalty’ should be selected in the Relief Sought field;

•           the penalty value must be entered in the Federal Penalty Required field;

•           the date the RA/RJO/EAB signs the order must be entered must be entered in the Date Final Order Issued field; and

•           all pertinent settlement data must be entered:

•           If the settlement contains provisions for a SEP, the SEP description, category, value, and pollutant information must be entered on the SEP side menu screen to receive accomplishment credit.  The information entered on the SEP side menu screen should be supported by the following source document:

–          Final Order that was issued by the ALJ or EAB and filed with the Regional Hearing Clerk. And for cost estimates and estimated environmental benefits the information should be supported by the following sources:

–          PROJECT model calculation; and/or

–          Documentation in site file.

 

And/or                                                

•           If the settlement contains provisions for injunctive relief, compliance activities, or response work, the type of action, value of action, and estimated environmental benefit resulting from the action must be entered on the Injunctive Relief/Compliance Activities side menu screen to receive accomplishment credit.  The information entered on the Injunctive Relief/Compliance Activities side menu screen should be supported by the following source document:

–          Final Order that was issued by the ALJ or EAB and filed with the Regional Hearing Clerk. And for cost estimates and estimated environmental benefits the information should be supported by one of the following source documents:

     

For CERCLA -

–          Remedial Investigations/Feasibility Study;

–          Record of Decision;

–          Engineering Evaluation/Cost Analysis; or

–          Action Memorandum;

 

For RCRA Corrective Actions -

–          Corrective Action Investigations; or

 

For all other programs -

–          Documentation in site file.     

 

Administrative Penalty Conclusion Data Entry Requirements   

            An administrative penalty conclusion is entered into ICIS by creating a new enforcement action conclusion record (i.e., settlement) with Administrative Penalty Order With or Without Injunctive Relief’ selected in the Action Type field, the Date Final Order Issued field completed, and all other information required by ICIS and designated National Reporting field by OECA for credit entered on the Enforcement Action Conclusion screen and side menu screens.                       

 

Enter the following information that is required by ICIS on the Add Administrative Settlement screen:

•            Settlement Name;

•            Action Type;

•            Respondents;

•            Statutes; and

•            Facility.

 

                                               

Enter the following information that is designated National Reporting field by OECA for accomplishment credit on the Add Administrative Settlement screen:

•            Date Final Order Issued.

 

 

            Data Entry Tips/Anomalies

 

–          If there are multiple settlements, a separate enforcement action conclusion (i.e., settlement) record should be entered for each.  Differentiate between the settlements using the Settlement Namefield.

 

–          Select only the defendant/respondent/PRP(s), statute(s), and facility(s) associated with each individual settlement.

 

Enter the following information that is designated National Reporting field by OECA for accomplishment credit on the Penalty/Cost Recovery screen:

•            Cash Civil Penalty Required (by Statute);

•            Federal Penalty Required; and

•            State/Local Penalty Amount (if applicable).            

 

 

            Data Entry Tips/Anomalies

 

–          Enter the individual statute-specific penalty amounts in the Cash Civil Penalty Required (by Statute) fields.  Enter the total penalty amount in the Federal Penalty Required fields.  For example, if there is penalty for only one program, enter the same value in both the statute-specific and Federal Penalty Requiredfields.

 

If the settlement contains provisions for injunctive relief, compliance activities, or response work:

Enter the following information that is designated National Reporting field by OECA for accomplishment credit on the Injunctive Relief/Complying Activities screen (if applicable):

•            Direct Environmental Reduction (Physical Actions);

•            Cost of Direct Action;

•            Pollutants/Chemical/Waste Stream;

•            Environmental Benefit Amount;

•            Units; and

•            Media Affected;

                              And/or                                  

•            Facility Management or Information Practice (Non-Physical Actions);

•            Cost of FMIP Actions;

                              And/or                                  

•            Preventative Actions to Reduce Likelihood of Future Releases;

•            Cost of Preventative Actions;

 

See Also

            Formal Administrative Enforcement Actions

 

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