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Voluntary disclosure conclusion definition, and how to receive accomplishment credit

Voluntary Disclosure Conclusion Definition

An administrative penalty order, judicial action, or NOD (NODs for voluntary disclosures are viewed as formal administrative enforcement actions in ICIS) that is a direct result of a voluntary disclosure from a regulated entity is issued by the appropriate authority.

                                                                                                                                                                       

Beginning in fiscal year 2005, EPA’s Goal 5, Objective 1, Sub-Objective 5.1.2 (Compliance Incentives), will be tracking/reporting the following details related to voluntary disclosures:

–          Percentage of audits or other actions that result in the reduction, treatment, or        elimination of pollutants; or the protection of populations or ecosystems;        

–          Percentage of audits or other actions that result in improvements in                         environmental management practices (non-physical complying                                 actions);

–          Pounds of pollutants reduced, treated, or eliminated as a result of audit                  agreements or other actions; and

–          Dollars invested in improved environmental management practices as a result of audit agreements or other actions (estimated cost of  non-physical complying actions).

 

To receive accomplishment credit for a voluntary disclosure conclusion:

•           the appropriate ‘Resolution’ should be selected;

•           the date of the administrative or judicial action or NOD should be entered in the Date of Resolution field;

•           follow all requirements in the appropriate administrative or judicial action   section;

•           a check mark must be entered in the Result of Voluntary Self-Disclosurecheck box on the Enforcement Action Detail screen;

•           all pertinent conclusion data must be entered:

•           If the conclusion contains provisions for penalty, the value and type of penalty      must be entered on the Penalty/Cost Recovery side menu screen to receive   accomplishment credit.  Penalty/Cost Recovery must only be associated with a         concluded administrative or judicial enforcement order or settlement, not a NOD.

 

And/or                                                

 

•           If the conclusion 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. 

 

            3.1.4    Voluntary Disclosure Conclusion Data Entry Requirements

A voluntary disclosure conclusion is entered into ICIS by creating a new administrative or judicial enforcement action record with the appropriate activity type selected, creating a new \ record (i.e., settlement) with the appropriate action type selected, the Date Final Order Issued or Date Settlement Entered field completed, all other information that is required by ICIS and mandatory by OECA for accomplishment credit entered on the main Administrative or Judicial Enforcement Action screen, Enforcement Action Conclusion screen, and side menu screens.

 

A voluntary disclosure conclusion in the form of a NOD should be entered as a formal enforcement action with ‘Notice of Determination’ selected in the Action Type field. NODs for voluntary disclosures are only known as formal enforcement actions for data entry purposes in ICIS.

 Data Entry Requirements Specific to Voluntary Disclosure Conclusions                       

 

 

Enter the following information that is designated National Report fields by OECA on the Add Administrative Enforcement Action screen or Add Judicial Enforcement Action screen:

•            Result of Voluntary Self-Disclosure.•                                                                         

 

 

Enter the following information that is designated National Report 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.

 

 

 

Enter the following information that is designated National Report fields by OECA on the Injunctive Relief/Complying Activities screen:

•            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.•                   

 

The administrative or judicial enforcement action that was entered as the voluntary disclosure conclusion should be linked to the applicable voluntary disclosure initiation record.

 

A voluntary disclosure conclusion should also be tracked on the Voluntary Disclosure screen.  For good data quality the Resolution and Date of Resolution fields should be completed.  The penalty information prior to mitigation as well as the final assessed penalty should also be entered on the Voluntary Disclosure screen. 

 

 

Enter the following information that is important for good data quality on the Add Voluntary Disclosure screen:                                                                                             

–           Gravity-Based Penalty Calculation before Mitigation;

–           Percent and Amount of Gravity-Based Penalty Waived;

–           Gravity-Based Penalty Assessed;

–           Economic Benefit Assessed;

–           Resolution; and

–           Date of Resolution;

or

–           Rational for not applying the Disclosure Policy (if policy not applied).                                                 

 

 

 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 designated National Reporting fields by OECA 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 enforcement                         program reporting purposes.

                                                                                               

 

Field

Program

Definition/Guidance

Required/

Quality 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 Initiation

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