Audit Policy Handout

Us Epa

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Overview of EPA’s Audit Policy(i.e., Voluntary Self-Disclosures)Wesley Hardegree, Technical LeadFebruary 2007(404) 562 - 96291„„„„„„„„EPA Compliance AssuranceEPA is responsible for maximizing compliance to a universe of 40 million regulated entities using: 12 federal environmental statutes, and 28 distinct federal programs under those statutes To conduct the work necessary for the 28 programs, OECA utilizes 4 primary tools to pursue compliance, thereby achieving cleaner air, purer water and better-protected lands.Compliance AssistanceCompliance MonitoringEnforcementCompliance Incentives2„„„„„„Compliance IncentivesCompliance Incentives are a set of policies and programs that eliminate, reduce or waive penalties under certain conditions for business, industry, and government facilities which voluntarily discover, promptly disclose, and expeditiously correct environmental problems. Incentive programs and tools include the following: Auditing ▪ Compliance Incentive ProgramsInnovations ▪ Market Based IncentivesEnvironmental Management SystemsSmall Business ProgramPollution Prevention ProgramsAudits3„„„„„EPA’s Audit PolicyThe purpose of EPA’s Audit Policy is to encourage regulated entities tovoluntarily discover, disclose, correct, and prevent violationsof federal environmental requirements.4„„„„„„History of EPA’s Audit PolicyThe Audit Policy is technically known as“Incentives for Self Policing: ...

Informations

• Publié par: Nuhok
• Nombre de lectures: 12
• Langue: English

Extrait

Overview of EPAs Audit Policy

(i.e., Voluntary Self-Disclosures)

Wesley Hardegree, Technical Lead (404) 562 - 9629

February 2007

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EPA Compliance Assurance

E u P ni A v  i e s r   s r e e   s o p f  o 4 n 0 s   ib m l i e ll  for maximizing compliance to a  ion regulated entities using: „ 12 federal environmental statutes, and „ 28 distinct federal programs under those statutes

To conduct the work necessary for the 28 r rams, t O h E e C r A e   b u y t   i a li c z h e i s e   v 4 i   n p g ri  c m le ar a y n   e t r o   ol i s r   , to pursue co p mp o li g ance,   er w better-protected lands.  a pur ater and „ Compliance Assistance „ Compliance Monitoring „ Enforcement „ Compliance Incentives

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Compliance Incentives

Compliance Incen olic programs that elim ti i v n e a s t   e a , r  r e  e a d   u s c et e     o o f r     p waiv i e e   s a e n n d  es  under certain conditions for business, indu p st a , l   t a i nd  government facilities which voluntarily disco r v y er,  om prpt ntal blems.  Ince i n o ti u v sl e    p c r o o r g r r e a ct m   s and  t e o n o v l i s r   o in n l c m y l   u e d d is e  c t l h o p s e r   e f o , o  a ll n o d w   i e n x g p : e   dity „ Auditing ▪ Compliance Incentive Programs „ Innovations ▪ Market Based Incentives „ Environmental Management Systems „ Small Business Program „ Pollution Prevention Pro

grams

Audits

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EPAs Audit Policy

The purpose of EPAs Audit Policy is to encourage regulated entities to

„ voluntarily discover, 

„ disclose, 

„ correct, and 

„ prevent violations

of federal environmental requirements.

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History of EPAs Audit Policy

The Audit Policy is technically known as “ Incentives for Self Policing:Discovery,  Disclosure, Correction, and Prevention of  Violations Original Policy „ 60 FR 66706 - Effective January 22, 1996 Revised Policy „ 65 FR 19,617 - Effective May 11, 2000 „ www.epa.gov/compliance/incentives/ auditing/auditpolicy.html

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Summary of Incentives under EPAs Audit Policy

Penalty mitigation

No recommendation for criminal prosecution.

No routine requests for audit reports.

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Audit Policy: Penalty Mitigation

Civil penalties under the environmental laws generally have 2 components: „ t a h n e     a v m io o l u at n i t o  a n, s   s a e n s d s   ed based upon the severity or gravityof  „ the amount of economic benefita violator received from failing  to comply with the law.

Under the Audit Policy, „ No gravity-based penalties (i.e., 100%vit mitigation) if all nine of the Policys con  g di r t a ions y   - a b r a e s   e m d e   t.   „ EPA retains its discretion to collect any economic benefit that may have been realized as a result of non-compliance. „ Under the Audit Policy, a reduction of gravity-based penalties  by 75%where the disclosing entity meets all of the Policys  conditio t n i s c     except detection of the violation through a  systema discovery process.

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Audit Policy: No Criminal Prosecution, No Requests for Audits

No recommendation for criminal prosecution for entities that disclose criminal violations if all of the applicable conditions under the Policy are met. Systematic discovery is not a requirement for „ eligibility for this incentive, although the entity must be acting in good faith and adopt a systematic approach to preventing recurring violations. No routine requests for Audits

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What are the Nine Conditions of the Audit Policy?

Systematic Discovery of the violation through an environmental audit or a compliance management system.

Voluntary Discovery, in other words it is not through a legally required monitoring, sampling or auditing procedure.

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Conditions of Policy

inw riti c n o g n t  t o i   n E u P e A d  

Prompt Disclosure within 21 days of discovery or any shorter time required by law. Discovery occurs when any officer, director, employee or agent of the facility has an objectively reasonable basis for believing that a violation has or may have occurred.

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Conditions of Policy

continued

Independent Discovery and Disclosure, before EPA likely would have identified the violation through its own investigation or based on information from a third party.

Correction and Remediation within 60 days, in most cases, from date of discovery.

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