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Administrative penalty conclusion by default definition, and how to receive accomplishment credit

Conclusion by Default [40 C.F.R. Part 22.17] Definition

            A resolution imposed by either a Regional Judicial Officer (RJO) or an ALJ, without any further proceedings, if the party fails to either meet relevant deadlines or comply with relevant orders during litigation.  The resolution could be a result of a motion for default submitted by EPA because the defendant/respondent/PRP failed to answer the complaint within the allotted time as required by 40 C.F.R. Part 22.15.  This resolution would require the defendant/respondent/PRP to pay the full penalty amount.

 

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

            –          Final Order that is issued by the RJO or ALJ 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’ must be selected in the Relief Sought field;

•           the penalty value must be entered in the Cash Civil Penalty Amount Requiredfield or a check mark must be entered in the Notice Pleading check box;

•           the date that the RJO/RA/EAB signs the Final Order that is filed with the Regional Hearing Clerk 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 RJO or ALJ and filed with the   Regional Hearing Clerk. 

Cost estimates and estimated environmental benefits information should be supported by one of the following source documents:

            –          PROJECT; 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 RJO or ALJ and filed with the   Regional Hearing Clerk. 

 

Cost estimates and estimated environmental benefits 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 fields by OECA 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 fields by OECA 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 Name field.

 

–          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 fields by OECA 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 field.  For example, if there is penalty for only one program, enter the same value in both the statute-specific and Federal Penalty Required fields.

 

           

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

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

•            Direct Environmental Reduction (Physical Actions);

•            Cost of Physical Action;

•            Pollutants/Chemical/Waste Stream;

•            Environmental Benefit Amount;

•            Units; and

•            Media Affected;

And/or                                               

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

•            Cost of Non-Physical Actions.

 

 

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