12/16/88
Table of Contents - General Enforcement Policy Compendium
TABLE OF CONTENTS - GENERAL ENFORCEMENT POLICY COMPENDIUM
TITLE OF DATE OF
DOCUMENT DOCUMENT TAB
Visitor's Releases and Hold 11/08/72 GM - 1
Harmless Agreements as a
Condition to Entry to EPA
Employees on Industrial
Facilities.
Professional Obligations of 4/19/76 GM - 2
Government Attorneys.
Memorandum of Understanding 6/15/77 GM - 3
Between the Department of
Justice and the Environmental
Protection Agency.
"Ex Parte" Contacts in EPA 8/04/77 GM - 4
Rulemaking.
Conduct of Inspections After 4/11/79 GM - 5
Barlow's Decision.
Contacts with Defendants and 10/07/81 GM - 6
Potential Defendants in
Enforcement Litigation.
"Ex Parte" Rules Covering 12/10/81 GM - 7
Communications Which are
the Subject of Formal
Adjudicatory Hearings.
Quantico Guidelines for 4/08/82 GM - 8
Participation in Grand
Jury Investigations.
Agency Guidelines for 4/30/82 GM - 9
Participation in Grand
Jury Investigations.
Reorganization of the 5/07/82 GM - 10
Office of Regional
Counsel ( includes
Administrator's
Memorandum of
September 15, 1981 ).
Coordination of Policy Deleted GM - 11
Development and Review 11/88.
TABLE OF CONTENTS
PAGE 2
TITLE OF DATE OF
DOCUMENT DOCUMENT TAB
General Operating 7/06/82 GM - 12
Procedures for EPA's
Civil Enforcement
Program.
Case Referrals for 9/07/82 GM - 13
Civil Litigation.
Criminal Enforcement 10/12/82 GM - 14
Priorities for the
Environmental
Protection Agency.
Functions and General 1/07/85 GM - 15
Operating Procedures
for the criminal
Enforcement Program.
Regional Counsel 8/03/83 GM - 16
Reporting Relationship.
Guidance for Drafting 10/19/83 GM - 17
Judicial Consent Decrees.
Implementation of Direct 11/28/83 GM - 18
Referrals for Civil Cases.
Consent Decree Tracking 12/16/83 GM - 19
Guidance.
Guidance on Evidence 12/30/83 GM - 20
Audit of Case Files.
Policy on Civil Penalties 2/16/84 GM - 21.
A Framework for Statute- 2/16/84 GM - 22
Specific Approaches to
Penalty Assessments.
Guidance Concerning 11/21/83 GM - 23
Compliance with the
Jencks Act.
Working Principles 11/22/83 GM - 24
Underlying EPA's
National Compliance /
Enforcement Programs.
Federal Facilities 11/08/88 GM - 25
compliance ( Previous
version dated 1/4/84 ).
TABLE OF CONTENTS
PAGE 3
TITLE OF DATE OF
DOCUMENT DOCUMENT TAB
Headquarters Review 3/08/84 GM - 26
and Tracking of Civil
Referrals.
Guidelines for Enforcing 4/18/84 GM - 27
Federal District Court
Orders.
Liability of Corporate 6/13/84 GM - 28
Shareholders and
Successor Corporations
for Abandoned Sites
Under CERCLA.
Guidance on Counting 6/15/84 GM - 29
and Crediting Civil
Judicial Referrals.
Policy and Procedures on 1/23/84 GM - 30
Parallel Proceedings at
the Environmental
Protection Agency.
Guidance for Implementing 7/18/84 GM - 31
EPA's Contractor Listing
Authority.
Implementation of Mandatory 8/08/84 GM - 32
Contractor Listing.
Guidance for Calculating the 11/05/84 GM - 33
Economic Benefit of
Noncompliance for a Civil
Penalty Assessment.
Policy Against "No Action" 11/16/84 GM - 34
Assurances.
Implementing Nationally 1/04/85 GM - 35
Managed or Coordinated
Enforcement Actions:
Addendum to Policy
Framework for State / EPA
Enforcement Agreements.
The Use of Administrative 2/16/84 GM - 36
Devices in the Development
of Cases Assigned to the
Office of Criminal
Investigations.
The Role of EPA Supervisors 3/12/85 GM - 37
During Parallel Proceedings.
TABLE OF CONTENTS
PAGE 4
TITLE OF DATE OF
DOCUMENT DOCUMENT TAB
Remittance of Fines 4/15/85 GM - 38
and Civil Penalties.
Enforcement Settlement 5/22/85 GM - 39
Negotiations.
Revised Regional Referral 5/30/85 GM - 40
Package Cover Letter and
Data Sheet.
Implementing the State / 8/25/86 GM - 41
Federal Partnership in
Enforcement: State /
Federal Enforcement
"Agreements" ( Previous
version dated 6/26/84 ).
Form of Settlement of Civil 7/24/84 GM - 42
Judicial Cases.
Enforcement Document Release 9/16/85 GM - 43
Guidelines.
Settlement of Enforcement 10/02/85 GM - 44
Actions Using Alternative
Dispute Resolution
Techniques.
Division of Penalties 11/21/85 GM - 45
with State and Local
Governments.
Policy on Publicizing 11/21/85 GM - 46
Enforcement Activities.
Addendum 8/04/87.
A Summary of OECM's Role in 1/27/86 GM - 47
the Agency's Regulatory
Review Process.
Model Litigation Report 1/30/86 GM - 48
Outline and Guidance.
Implementation of 2/03/86 GM - 49
Guidance on Parallel
Proceedings.
TABLE OF CONTENTS
PAGE 5
TITLE OF DATE OF
DOCUMENT DOCUMENT TAB
Expanded Civil Judicial 8/28/86 GM - 50
Referral Procedures.
Guidance on Calculating 10/28/86 GM - 51
After Tax Net Present
Value of Alternative
Payments.
EPA Policy on the Inclusion 11/14/86 GM - 52
of Environmental Auditing
Provisions in Enforcement
Settlements.
Guidance on Implementing 11/26/86 GM - 53
Discretionary Contractor
Listing Program.
Referral Letters for 11/12/86 GM - 54
for Forwarding Judicial
Referrals and Consent
Decrees to the Department
of Justice.
Media Relations on Matters 12/12/86 GM - 55
Pertaining to EPA's Criminal
Enforcement Program.
Guidance on Determining a 12/16/86 GM - 56
Violation's Ability to Pay
a Civil Penalty.
Guidance for the FY 1989 6/20/88 GM - 57
State / EPA Enforcement
Agreements Process
( Previous version dated
4/31/87 ).
Issuance of Enforcement 8/15/85 GM - 58
Considerations for Drafting
and Reviewing Regulations
and Guidelines for Developing
New or Revised Compliance and
Enforcement Strategies.
The Regulatory Development 2/06/87 GM - 59
Process: Change in Steering
Committee Emphasis and OECM
Implementation.
Procedures and Responsibilities 3/10/87 GM - 60
for Updating and Maintaining
the Enforcement Docket.
Enforcement Docket Maintenance 4/08/88 GM - 61.
TABLE OF CONTENTS
PAGE 6
TITLE OF DATE OF
DOCUMENT DOCUMENT TAB
Final Guidance on Use 8/14/87 GM - 62
of Alternative Dispute
Resolution Techniques
in Enforcement Actions.
Policy on Invoking Section 8/20/87 GM - 63
9 of the EPA / DOJ
Memorandum of Understanding.
Processing of Consent Decrees 9/14/87 GM - 64.
Processing of Indirect Referrals 9/29/87 GM - 65.
Assertion of the Deliberative
Process Privilege ( 2 documents ):
A. Guidance for the Assertion 10/30/84 GM - 66
of Deliverative Process
Privilege.
B. Change in Review Process 9/30/87
for Concurrence in
Litigation.
Procedures for Assessing Stipulated 1/11/88 GM - 67
Penalties.
Procedures for Modifying Judicial 1/11/88 GM - 68
Decrees.
Expansion of Direct Referral of 1/14/88 GM - 69
Cases to the Department of Justice.
Delegation of Concurrence and 1/14/88 GM - 70
Signature of Authority.
Case Management Plans 3/11/88 GM - 71.
Assuring Timely Filing and 4/08/88 GM - 72
Prosecution of Civil Judicial
Actions.
Process for Conducting Pre- 4/13/88 GM - 73
Referral Settlement
Negotiations on Civil
Judicial Enforcement Cases.
Guidance on Certification of 6/25/88 GM - 74
Compliance with Enforcement
Agreements.
TOPICAL INDEX
GENERAL ENFORCEMENT POLICY - CIVIL
Administrative and General Procedures
Memorandum of Understanding Between the Department
of Justice and the Environmental Protection Agency . . . . . . . . GM - 3.
Quantico Guidelines for Enforcement Litigation . . . . . . . . . . GM - 8.
Reorganization of the Office of Regional Counsel . . . . . . . . . GM - 10.
Coordination of Policy Development and Review. . . . . . . . . . . GM - 11.
( Deleted 11/88 ).
General Operating Procedures for EPA's Civil
Enforcement Program. . . . . . . . . . . . . . . . . . . . . . . . GM - 12.
Case Referrals for Civil Litigation. . . . . . . . . . . . . . . . GM - 13.
Regional Counsel Reporting Relationship. . . . . . . . . . . . . . GM - 16.
Policy on Civil Penalties. . . . . . . . . . . . . . . . . . . . . GM - 21.
A Framework for Statute-Specific
Approaches to Penalty Assessments. . . . . . . . . . . . . . . . . GM - 22.
Working Principles Underlying EPA's
National Compliance / Enforcement Programs . . . . . . . . . . . . GM - 24.
Federal Facilities Compliance Strategy . . . . . . . . . . . . . . GM - 25.
Liability of Corporate Shareholders
and Successor Corporations for Abandoned
Sites Under CERCLA . . . . . . . . . . . . . . . . . . . . . . . . GM - 28.
Implementation of Mandatory Contractor
Listing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . GM - 31.
Guidance for Calculating the Economic
Benefit of Noncompliance for a Civil
Penalty Assessment . . . . . . . . . . . . . . . . . . . . . . . . GM - 33.
Implementing Nationally Managed or Coordinated
Enforcement Actions: Addendum to Policy Framework
for State / EPA Enforcement Agreements . . . . . . . . . . . . . . GM - 35.
Remittance of Fines and Civil Penalties. . . . . . . . . . . . . . GM - 38.
Implementing the State / Federal Partnership in
Enforcement: State / Federal Enforcement "Agreements" . . . . . . GM - 41.
TOPICAL INDEX
PAGE 2
Enforcement Document Release Guidelines. . . . . . . . . . . . . . GM - 43.
Policy on Publicizing Enforcement
Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . GM - 46.
A Summary of OECM's Role in the Agency's
Regulatory Review Process. . . . . . . . . . . . . . . . . . . . . GM - 47.
Guidance on Calculating After Tax Net
Present Value of Alternative Payments. . . . . . . . . . . . . . . GM - 51.
Guidance on Implementing the Discretionary
Contractor Listing Program . . . . . . . . . . . . . . . . . . . . GM - 53.
Media Relations on Matters Pertaining to EPA's
Criminal Enforcement Program . . . . . . . . . . . . . . . . . . . GM - 55.
Guidance on Determining a Violator's Ability
to Pay a Civil Penalty . . . . . . . . . . . . . . . . . . . . . . GM - 56.
Guidance for the FY 1988 State / EPA Enforcement
Agreements Process . . . . . . . . . . . . . . . . . . . . . . . . GM - 57.
Issuance of Enforcement Consideration for
Drafting and Reviewing Regulations and
Guidelines for Developing New or Revised
Compliance and Enforcement Strategies. . . . . . . . . . . . . . . GM - 58.
The Regulatory Development Process: Change in
Steering Committee Emphasis and OECM Implementation. . . . . . . . GM - 59.
Procedures and Responsibilities for Updating
and Maintaining the Enforcement Docket . . . . . . . . . . . . . . GM - 60.
Enforcement Docket Maintenance . . . . . . . . . . . . . . . . . . GM - 61.
Procedures for Assessing Stipulated Penalties. . . . . . . . . . . GM - 67.
Delegation of Concurrence and Signature of
Authority. . . . . . . . . . . . . . . . . . . . . . . . . . . . . GM - 70.
Attorney Conduct
Professional Obligations of Government Attorneys . . . . . . . . . GM - 2.
TOPICAL INDEX
PAGE 3
Case Development / Litigation
Memorandum of Understanding Between the Department
of Justice and the Environmental Protection Agency . . . . . . . . GM - 3.
Quantico Guidelines for Enforcement Litigation . . . . . . . . . . GM - 8.
Case Referrals for Civil Litigation. . . . . . . . . . . . . . . . GM - 14.
Guidance for Drafting Judicial Consent Decrees . . . . . . . . . . GM - 17.
Implementation of Direct Referrals for Civil Cases . . . . . . . . GM - 18.
Guidance on Evidence Audit of Case Files . . . . . . . . . . . . . GM - 20.
Guidelines for Enforcing Federal District
Court Orders . . . . . . . . . . . . . . . . . . . . . . . . . . . GM - 27.
Guidance on Counting and Crediting
Civil Judicial Referrals . . . . . . . . . . . . . . . . . . . . . GM - 29.
Policy Against "No Action" Assurances. . . . . . . . . . . . . . . GM - 34.
Revised Regional Referral Package Cover
Letter and Data Sheet. . . . . . . . . . . . . . . . . . . . . . . GM - 40.
Form of Settlement of Civil Judicial Cases . . . . . . . . . . . . GM - 42.
Division of Penalties with State and
Local Governments. . . . . . . . . . . . . . . . . . . . . . . . . GM - 45.
Model Litigation Report Outline Guidance . . . . . . . . . . . . . GM - 48.
Expanded Civil Judicial Referral
Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . GM - 54.
Civil Judicial Referral
Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . GM - 50.
Referral Letters for Forwarding Judicial
Referrals and Consent Decrees to the Department
of Justice . . . . . . . . . . . . . . . . . . . . . . . . . . . . GM - 54.
Final Guidance on Use of Alternative Dispute
Resolution Techniques in Enforcement Actions . . . . . . . . . . . GM - 62.
Policy on Invoking Section 9 of the EPA / DOJ
Memorandum of Understanding. . . . . . . . . . . . . . . . . . . . GM - 63.
TOPICAL INDEX
PAGE 4
Processing of Consent Decrees. . . . . . . . . . . . . . . . . . . GM - 64.
Processing of Indirect Referrals . . . . . . . . . . . . . . . . . GM - 65.
Assertion of the Deliberative Process Privilege
( 2 document: ).
A. Guidance for the Assertion of Deliberative
Process Privilege . . . . . . . . . . . . . . . . . . . . GM - 66.
B. Change in Review Process for Concurrence
in Litigation .
Procedures for Modifying Judicial Decrees. . . . . . . . . . . . . GM - 68.
Expansion of Direct Referral of Cases to
the Department of Justice. . . . . . . . . . . . . . . . . . . . . GM - 69.
Case Management Plans. . . . . . . . . . . . . . . . . . . . . . . GM - 71.
Assuring Timely Filing and Prosecution of
Civil Judicial Actions . . . . . . . . . . . . . . . . . . . . . . GM - 72.
Process for Conducting Pre-Referral Settlement
Negotiations on Civil Judicial Enforcement Cases . . . . . . . . . GM - 73.
Guidance on Certification of Compliance with
Enforcement Agreements . . . . . . . . . . . . . . . . . . . . . . GM - 74.
Inspections
Visitor's Releases and Hold Harmless Agreements as a
Condition to Entry to EPA Employees on Industrial
Facilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . GM - 1.
Conduct of Inspections After the Barlow's Decision . . . . . . . . GM - 5.
Rules Regarding Outside Contacts
"Ex Parte" Contacts in EPA Rulemaking. . . . . . . . . . . . . . . GM - 4.
Contacts With Defendants and Potential Defendants
Enforcement Litigation . . . . . . . . . . . . . . . . . . . . . . GM - 6.
"Ex Parte" Rules Covering Communications On Issues
Which are the Subject of Formal Adjudicator
Hearings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . GM - 7.
TOPICAL INDEX
PAGE 5
Tracking and Monitoring
Consent Decree Tracking Guidance . . . . . . . . . . . . . . . . . GM - 19.
Headquarters Review and Tracking of
Civil Referrals. . . . . . . . . . . . . . . . . . . . . . . . . . GM - 26.
Negotiation and Settlement
Guidance for Drafting Judicial Consent Decrees . . . . . . . . . . GM - 17.
Enforcement Settlement Negotiations. . . . . . . . . . . . . . . . GM - 39.
Settlement of Enforcement Actions Using
Alternative Dispute Resolution Techniques. . . . . . . . . . . . . GM - 44.
GENERAL ENFORCEMENT POLICY - CRIMINAL
Criminal Enforcement Priorities for the Environmental
Protection Agency. . . . . . . . . . . . . . . . . . . . . . . . . GM - 14.
Functions and General Operating Procedures for the
Criminal Enforcement Program . . . . . . . . . . . . . . . . . . . GM - 15.
Guidance Concerning Compliance with the
Jencks Act . . . . . . . . . . . . . . . . . . . . . . . . . . . . GM - 23.
Policy and Procedures on Parallel Proceedings
at the Environmental Protection Agency . . . . . . . . . . . . . . GM - 30.
The Role of EPA Supervisors During Parallel
Proceedings. . . . . . . . . . . . . . . . . . . . . . . . . . . . GM - 37.
Implementation of Guidance on Parallel
Proceedings. . . . . . . . . . . . . . . . . . . . . . . . . . . . GM - 49.
Investigations
Agency guidelines for Participation in Grand Jury
Investigations . . . . . . . . . . . . . . . . . . . . . . . . . . GM - 9.
The Use of Administrative Discovery Devices in the
Development of Cases Assigned to the Office of
Criminal Investigations. . . . . . . . . . . . . . . . . . . . . . GM - 36.
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