Enforcement Policy, Guidance & Publications

National policy, guidance and publications relating to EPA's enforcement of environmental laws.

• General Civil Enforcement Penalty Policies
• Penalty Inflation Rule and Guidance
• Enforcement in Indian Country
• Additional Cross-Program Policies and Guidance

• Enforcement Response Policies and Guidance
• Air Enforcement
• Water Enforcement
• Waste and Chemical Enforcement
• Cleanup Enforcement
• Criminal Enforcement

General Civil Enforcement Penalty Policies

These policies provide guidance on the calculation of civil penalties in enforcement cases.

• A Framework for Statute-Specific Approaches to Penalty Assessments: Implementing EPA Policy on Civil Penalties - 02/16/84
• EPA Policy on Civil Penalties - (2/16/84)
• Guidance on use of Penalty Policies in Administrative Litigation - (12/15/95)
• Consolidated Rules of Practice Governing the Administrative Assessment of Civil Penalties, Issuance of Compliance or Corrective Actions Orders, and the Revocation, Termination or Suspension of Permits - (2/25/98)
• Guidance on Determining a Violators Ability to Pay a Civil Penalty - (12/16/86)
• Guidance on Evaluating a Violator's Ability to Pay a Civil Penalty in an Administrative Enforcement Action - (6/29/15)
• Financial Analysis Models Used to Calculate Economic Benefit and Ability to Pay
• Joint Collection of Penalties with State and Local Governments and Federally Recognized Indian Tribes - (03/11/05)
• Clarification of the Size of Violator/Size of Business Civil Penalty Factor (pdf) (164.92 KB)

Penalty Inflation Rules and Penalty Policy Amendments

EPA is required by the Federal Civil Penalties Inflation Adjustment Act of 1990 (as amended) to annually adjusting statutory civil penalties to reflect inflation, according to a prescribed formula. Prior to 2016, penalty adjustments were required every few years. However, the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015 required these adjustments on an annual basis, beginning in 2016. Similarly, but separately, EPA amends its penalty policies to account for inflation. Note that only the 2024 Penalty Inflation Adjustments and a portion of the 2013 Penalty Inflation Adjustments are in effect (as explained in Part II of the 2024 guidance); all other penalty adjustments have been superseded and are retained here for reference purposes.

2024 Penalty Inflation Rule Adjustments

• Amendments to the EPA’s Civil Penalty Policies to Account for Inflation (effective January 15, 2024) and the Civil Monetary Penalty Inflation Adjustment Rule (pdf) (644.96 KB)
• 2024 Revised Penalty Matrix for CERCLA § 106(b)(1) Civil Penalty Policy
• 2024 Revised Penalty Matrix for RCRA § 7003 Civil Penalty Policy

2023 Penalty Inflation Rule Adjustments

• Civil Monetary Penalty Inflation Adjustment Rule (01/06/2023)

2022 Penalty Inflation Rule Adjustments

• Civil Monetary Penalty Inflation Adjustment Rule (01/15/2022)
• Amendments to EPA’s Civil Penalty Policies to Account for Inflation (effective January 15, 2022) and Transmittal of the 2022 Civil Monetary Penalty Inflation Adjustment Rule (pdf) (427.99 KB) (01/12/2022) - The 1/12/2022 memorandum that amended EPA’s penalty policies to account for inflation is no longer in effect. The current and applicable penalty policy inflation amounts can be found on EPA’s “Enforcement Policy, Guidance & Publications” website in the “Penalty Inflation Rules and Penalty Policy Amendments” section at https://www.epa.gov/enforcement/enforcementpolicy-guidance-publications

2021 Penalty Inflation Rule Adjustments

• Civil Monetary Penalty Inflation Adjustment Rule (12/23/2020)

2020 Penalty Inflation Rule Adjustments

• Amendments to the EPA's Civil Penalty Policies to Account for Inflation (effective January l 5, 2020) and Transmittal of the 2020 Civil Monetary Penalty Inflation Adjustment Rule (01/15/2020)

2019 Penalty Inflation Rule Adjustments

• Transmittal of the 2019 Annual Civil Monetary Penalty Inflation Adjustment Rule (03/04/2019)

2018 Penalty Inflation Rule Adjustments

• Amendments to the EPA's Civil Penalty Policies to Account for Inflation (effective January 15, 2018) and Transmittal of the 2018 Civil Monetary Penalty Inflation Adjustment Rule - (01/11/18)

2017 Penalty Inflation Rule Adjustments

• Transmittal of the 2017 Annual Civil Monetary Penalty Inflation Adjustment Rule - (01/13/17)

2016 Penalty Inflation Rule Adjustments

• Amendments to the U.S. Environmental Protection Agency's Civil Penalty Policies to Account for Inflation - (07/27/16)
• Civil Monetary Penalty Inflation Adjustment Rule - (07/01/16)

2013 Penalty Inflation Rule Adjustments

• Civil Monetary Penalty Inflation Adjustment Rule - (11/06/13)
• Amendments to the U.S. Environmental Protection Agency's Civil Penalty Policies to Account for Inflation (Effective December 6, 2013)

2008-2010 Penalty Inflation Rule Adjustments

• Revision to Adjusted Penalty Policy Matrices Package issued November 16, 2009 - (4/6/10)
• Technical Correction for the Civil Monetary Penalty Inflation Adjustment Rule - (1/7/09)
• 2009 Revised Penalty Matrix for CERCLA Section 106(b)(1) Civil Penalty Policy
• 2009 Revised Penalty Matrix for RCRA Section 7003 Civil Penalty Policy
• Amendments to Penalty Policies to Implement Penalty Inflation Rule 2008 - (12/29/08)
• Federal Register Notice for Civil Monetary Penalty Inflation Adjustment Rule - (12/11/08)

2004 Penalty Inflation Rule Adjustments

• Modifications to EPA Penalty Policies to Implement the Civil Monetary Penalty Inflation Adjustment Rule (Pursuant to the Debt Collection Improvement Act of 1996, Effective October 1, 2004) - (9/21/04)
• Civil Monetary Penalty Inflation Adjustment Rule (40 CFR Parts 19 and 72) (PDF) (7 pp, 183K) - (2/13/04)

1997 Penalty Inflation Rule Adjustments

• Modifications to EPA Penalty Policies to Implement the Civil Monetary Penalty Inflation Rule (Pursuant to the Debt Collection Improvement Act of 1996) - (5/9/97)

Enforcement in Indian Country

Guidance for working with federally recognized Indian tribes to ensure compliance at federally regulated facilities in Indian country.

• Tribal Underground Storage Tank Compliance Pilot
• Implementing Institutional Controls in Indian Country - Handbook answers questions for Regional staff on implementing institutional controls in Indian country as part of a cleanup project (11/13)
• EPA Region 10’s Civil Penalty Guidelines for the Federal Implementation Plans under the Clean Air Act for Indian Reservations in Idaho, Oregon, and Washington. 40 C.F.R. Part 49 - These guidelines are used for enforcement and compliance assistance for Federal Air Rules for Indian Reservations in Idaho, Oregon, and Washington (FARR) (02/12/08)
• Questions and Answers on the Tribal Enforcement Process - (4/17/07)
• Collection of Penalties with State and Local Governments and Federally Recognized Indian Tribes - (3/11/05)
• Guidance on the Enforcement Principles Outlined in the 1984 Indian Policy - (1/17/01)

Additional Cross-Program Policies and Guidance

Audit Policies

• Audit Policy, Guidance and Protocols provide guidance to companies that voluntarily discover, promptly disclose, and expeditiously correct environmental violations.
• Tailored Incentives for New Owners (New Owners Audit Policy

Small Businesses and Enforcement

• Small Businesses and Enforcement - EPA has many compliance and enforcement resources specifically designed to meet the needs of the Small Business and Small Communities.
• Small Business Compliance Policy, Audit Disclosures and Assistance - Information for small businesses on EPA’s compliance policy, voluntary disclosure and correction of violations, and additional compliance information.

Expedited Settlements

• Revised Guidance on the Use of Expedited Settlement Agreements - (11/24/14)
• Use of Expedited Settlements to Support Appropriate Tool Selection - (12/2/03) (generally SUPERSEDED by 2014 guidance)

No Action Assurances Guidance

• Policy Against No Action Assurances - (11/16/84)
• Processing Requests for Use of Enforcement Discretion - (3/3/95)
• Policy Against "No Action" Assurances: Addendum - (9/11/14)

Case Management, Oversight and Related Issues

• Strategic Civil-Criminal Enforcement Policy (pdf) (448.63 KB)
• New Definitions for Key Terms and Action Categories for EPA’s Enforcement Program Tools (pdf) (345.89 KB) – (06/13/24) The definitions in this document are intended to supplement EPA’s existing program-specific ERPs and related documents as well as supersede any inconsistent definitions contained therein. This version of the document includes non-substantive updates and supersedes the version issued on 12/21/22.
• Best Practices for Compliance and Enforcement-Related Information Requests - (11/21/2018). Provides guidance on issuing compliance information requests.
• Supplemental Environmental Projects SEPs - This webpage includes information about policy and background guidance, Facts About SEPs, and settlements with SEPs.
• Appropriate Injunctive Relief in Civil Enforcement Settlements - Includes memoranda and guidance governing the appropriate use of innovative injunctive relief in enforcement settlements.
• Language Regarding Judicial Review of Certain Administrative Enforcement Orders Following the Supreme Court Decision in Sackett v. EPA (03/21/13)
• Guidance on Streamlining Oversight in Civil Settlements - (1/10/2013). Provides guidance for managing available resources for monitoring settlements.
• Securing Mitigation as Injunctive Relief in Certain Civil Enforcement Settlements (2nd edition) - (11/14/2012)
• Office of Enforcement and Compliance Assurance (OECA) Parallel Proceeding Policy - (9/24/07). This policy reaffirms and clarifies the earlier policies, while adding procedural mechanisms to enhance effective communications between the Agency's civil and criminal enforcement programs.
• Restrictions on Communicating with Outside Parties Regarding Enforcement Actions - (3/8/2006). This guidance reiterates restrictions on communicating with parties outside of the EPA about enforcement actions, including members of Congress, state or local officials, and the media.
• Enhancing the Effectiveness of Information Requests in Regulatory Enforcement Matters (1/3/01)

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