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Administrative compliance order definition, and how to receive accomplishment credit

Administrative Compliance Order
An Administrative Compliance Order is an enforcement action issued by the authority of the EPA that formally concludes an enforcement action and which imposes on the recipient independently enforceable obligations.  The administrative action is tracked in ICIS at the time it is issued by the EPA.  The information entered into ICIS for administrative compliance orders is displayed on key national reports:
– Inj Relf, Penalty, and SEP Values  - All Cases;
– Administrative Compliance Orders; and     
– Environmental Benefits. 

Administrative Compliance Order Definition       
  A formal order issued to address non-compliance with environmental laws by a regulated entity; compel the recipient to perform or refrain from certain actions; correct problems/deficiencies; and/or collect money owed to the government under CERCLA and LUST; and usually does not require payment of a penalty.  Failure to comply with the order is a violation of laws.

Information entered into ICIS should be supported by one of the following source documents:
– Administrative Compliance Order (includes Administrative Orders on Consent (AOC), Unilateral Administrative Orders (UAO), Administrative  Orders (AO), Consent Orders (CO), FFCAs, RCRA Corrective Actions, and Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA) Stop  Sale Order (SSURO));
– Transmittal Memo;
– Securities and Exchange Commission Form (for industrial facilities only); or
– Small Business Regulatory Enforcement Fairness Act (SBREFA) (for industrial facilities only) that is signed by the Regional Administrator or   designee.    

To receive accomplishment credit for an administrative compliance order:
• an administrative enforcement action initiation record must be entered with all information required by ICIS and National Reporting fields   designated by OECA;                        
• an administrative enforcement action conclusion record must be entered with all information required by ICIS and National Reporting    fields designated by OECA;
• the date the administrative compliance order is signed by the Regional Administrator or designee must be entered in the Date Final    Order Issued field; and
• all pertinent settlement data must be entered.
• If the settlement contains provisions for recovery of past or future response costs, the value and type of cost recovery must be entered on   the Penalty/Cost Recovery side menu screen to receive accomplishment credit.  The information entered in the cost recovery fields should be
  supported by one of the following source documents:
– Administrative Compliance Order;
– Transmittal Memo;
– Securities and Exchange Commission Form (for industrial facilities only); or
– SBREFA (for industrial facilities only) that is signed by the Regional Administrator or designee.
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:
– Administrative Compliance Order; that is signed by the Regional Administrator or designee.

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 Compliance Order Data Entry Requirements
An Administrative Compliance Order is entered into ICIS by creating a new administrative enforcement action record with the appropriate activity type selected, creating a new enforcement action conclusion record (i.e., settlement) with the appropriate action type selected, the Date Final Order Issued field completed, and all other information required by ICIS and National Reporting fields designated by OECA for accomplishment credit entered on the main Administrative Enforcement Action screen, Enforcement Action Conclusion screen, and side menu screens.

Enter the following information that is required by ICIS on the Add Administrative Enforcement Action screen:
• Enforcement Action Name;
• Enforcement Action Type;
• Enforcement Action Identifier;
• Facilities;
• Federal Statutes Violated;
• Sections Violated;
• National MOA Priority or Regional Priority or Core Priorities;
• Lead EPA Attorney or Lead Technical Contact;
• Respondents; and
• Description.

Enter the following information that is designated by OECA as a National Reporting field on the Defendant/Respondent/PRP Side Menu screen (if applicable):
• Defendant/Respondent Name.
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 by OECA as a National Reporting field 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.
 
If the settlement contains provisions for recovery of past or future response costs:
Enter the following information that is designated by OECA as a National Reporting field on the Penalty/Cost Recovery screen (if applicable):
• Federal Cost Recovery Required (by Statute);
• Federal Cost Recovery Required; and
• State/Local Cost Recovery (if applicable).     


– Data Entry Tips/AnomaliesEnter the individual statute-specific cost recovery amounts in the Federal Cost Recovery Required (by Statute) fields.  Enter the total cost recovery amount in the Federal Cost Recovery Required field.  For example, if there is cost recovery for only one program, enter the same value in both the statute-specific and Federal Cost Recovery Required fields.

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

Enter the following information that is mandatory by OECA for accomplishment credit 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.      

Data Entry Tips/Anomalies

– If a complying action is selected and a value for the non-physical action does not exist (e.g., an order for site access), enter $0 in the Cost of   Non-Physical Actions field.
– If the enforcement action is for CERCLA Remedial Design only (i.e., no Remedial Action), select ‘CERCLA RI/FS or RD’ from the Facility
 Management or Information Practice (Non-Physical Actions) field and enter the value in the Cost of Non-Physical Actions field.
 
See Also
 Types of Formal Administrative Enforcement Actions

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