• EAD/APTMD Stafldard, Operating......
Procedures for Administrative
Penalty
IL.
EPA
Region 4
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REGION 4
STANDARD OPERATING PROCEDURE
FOR ADMINISTRATIVE PENALTY ENFORCEMENT
FOR THE AIR, TOXICS & GENERAL LAW OFFICE OF THE
ENVIRONMENTAL ACCOUNTABILITY DIVISION AND
THE AIR, PESTICIDES & TOXICS MANAGEMENT DIVISION
In a continuing effort to improve the efficiency and
effectiveness of enforcement in Region 4, the Office of Air,
Toxics & General Law (BAD) and the Air, Pesticides & Toxics
Management Division (APTMD) have formulated a Standard
Operating Procedure (SOP) for use by both APTMD case
development officers and BAD case attorneys in processing
administrative penalty cases.
THIS SOP COVERS ALL ADMINISTRATIVE PENALTY CASES BROUGHT BY
THE APTMD UNDER THE CAA, TSCA, FIFRA, EPCRA, AND AHERA.
THE CIVIL REFERRAL PROCESS IS NOT ADDRESSED BY THIS SOP.
The purpose of the SOP is to facilitate the "enforcement
team" approach used by BAD and the APTMD and to provide a
consistent and sensible framework for case development
officers and case attorneys to use in processing
administrative penalty actions for the APTMD. While the SOP
is intended to be a useful procedural tool, it is not
intended to be rigid and inflexible and both the APTMD and
BAD recognize that certain case situations may arise which
require a deviation from the processes described below.
The SOP does recognize that there are currently two (2)
dif ferent_ processes being used fcy the .AfaMD-_ifi-.its""
admininfTative penalty cases:
A. the pre-filing negotiation process also
known as the "show cause" process, where a
settlement negotiation with the respondent
takes place before the complaint^ia- filed;
and
B. the post filing negotiation process where
settlement negotiations take place after the
complaint is filed.
The SOP is therefore divided into two (2) PROCESSES:
* PROCESS A is the SOP for the pre-filing
negotiation process (show cause process). An
APPENDIX to PROCESS A also sets out
streamlined procedures for certain Program
Lead cases; and
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* PROCESS B is the SOP for the post-filing
negotiation process.
Each APTMD Branch or Section will determine which PROCESS it
wishes to use for a particular case or type of cases (i.e.
PROCESS A or PROCESS B). If the case development officer
(or case attorney) is uncertain as to which PROCESS to use,
the appropriate APTMD Section Chief should be consulted.
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PROCESS A
STANDARD OPERATING PROCEDURE
FOR THE
PRE-FILING NEGOTIATION PROCESS
(SHOW CAUSE PROCESS)
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TABLE OF CONTENTS (PROCESS A)
PAGE
I. Determination of Violation 1
II. APTMD Screening and Prioritization 2
III. Preparation of the Initial Case File 3
IV. Attorney Assignment. 5
V. Attorney Review 6
VI. Preparation of "Show Cause/Concurrence Folder" 7
VII. Mailing of Show Cause Letter. 8
VIII. Show Cause Meeting 9
IX. Settlement Resulting from Show Cause Meeting 10
X. Filing of Settlement Documents 13
XL No Settlement 16
XII. Litigation 18
Appendix A (Program Lead Cases) 19
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TABLE OF ATTACHMENTS ( PROCESS A )
TAB #1: AIR/TOXICS SECTION ATTORNEY
RESPONSIBILITY LIST
TAB #2: DOCKET NUMBER PROCEDURES
TAB #3 REGIONAL HEARING CLERK/FILING
INFORMATION
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I. DETERMINATION OF VIOLATION
CDO RESPONSIBILITIES
1. The APTMD will make the initial determination of violation. This initial step requires
the case development officer (CDO) to determine the existence and extent of any violation
or violations based upon the data available (i.e. conduct a compliance evaluation). Such
data may include inspection reports, information request responses, self-reporting
information or information obtained from state or local agencies. If, based upon the
information available, the CDO is uncertain whether or not a violation exists, the CDO
should consult with his/her appropriate Section Chief
At any point in the Determination of Violation stage, the CDO may request
general assistance’ from EAD or the appropriate APTMD Section Chief
may request that an attorney be assigned at this early stage to help resolve
any legal and/or policy uncertainties with regard to the existence of
violations. Requests for attorney assignments should be made to the EAD
Office Chief.
2 The compliance evaluation, conducted by the CDO, will be documented for the
APTMD file. 2
1 Requests for general assistance can be made directly to
either the E. D Office Chief, the attorney-advisor assigned to
that particular APTMD group, or the EP D attorney with substantive
expertise in the area in question. (See TAB #1 for the EAD
Air/Toxics Section’s Attorney Responsibility List).
2 This documentation could be the inspection report itself
or another equivalent form of documentation. The form of
compliance evaluation documentation will be determined by each
APTMD Branch or Section.
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II. APTMD SCREENING AND PRIORITIZATION
CDO RESPONSIBILITIES
1. If the CDO detects violations, he/she will meet with the appropriate APTMD Section
Chief to discuss further case development. The APTMD Section Chief and the CDO will
determine if additional information is needed, either from the entity involved or from the
state or local agencies. If no additional information appears to be necessary, the APTMD
Section Chief will make an informed decision about whether to continue with the case and
whether the case should proceed administratively.
At any point in the APTMD Screening and Prioritization stage, the CDO
may request general assistance from EAD (see Footnote #1) or the
APTMD Section Chief may request that an attorney be assigned to help
resolve any legal and/or policy issues arising at this stage of the case
Requests for attorney assignments should be made to the EAD Office
Chief.
2. Where the APTMD Section Chief has approved continuation of the case through the
administrative penalty forum, the CDO will prepare the INITIAL CASE FILE as
discussed below.
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III. PREPARATION OF THE iNITIAL CASE FILE
The INITIAL CASE FILE is simply the first file formally transmitted by the APTMD to
EAD for either an assignment of an attorney (if one has not already been assigned) or for
the formal EAD review of the case (if an attorney was assigned previously).
REMEMBER THE APTM]) IS THE KEEPER OF THE OFFICIAL EPA
ENFORCEMENT FILE, SO DOCUMENTS, SUCH AS EVIDENCE, PUT IN THE
INiTIAL CASE FILE SHOULD BE COPIES. ORIGINALS SHOULD BE KEPT IN
THE OFFICIAL APTMD ENFORCEMENT FILE.
CDO RESPONSIBILITIES
1. The CDO prepares the INITIAL CASE FILE (which is ultimately routed to the EAD
Office Chief for EAD Log-In). The INITIAL CASE FILE consists of
A typed draft CASE SUMMARY composed of the facts,
violation(s), proposed complaint penalty if known, and bottom-line
settlement penalty if known. The case summary should identify the
respondent and facility, provide any pertinent information on the
respondent as obtained from sources like the Secretary of State’s
Office, give an overview of the facts, specify the violation(s) and
the duration if possible, indicate any past history of noncompliance
and/or contacts with the state, and address any other relevant
factual issues;
Please mark this draft case summary
“enforcement confidential”
• CASE SCREENING FORM ;
• Any SPECIAL POLICY OR GUIDANCE documents unique to the
violation(s);
• COPIES OF ALL EVIDENCE of the violation(s). This includes any and all
relevant correspondence with or from the respondent, the state or local
agency. If there are numerous documentary pieces of evidence, please tab
in a separate binder labeled “Evidence”;
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• IF KNOWN. INCLUDE A DRAFT COMPLAINT
PENALTY CALCULATION WORKSHEET for complaint
amount, with explanation (and Dun & Bradstreet Report
where available);
Please mark this “enforcement confidential”
• IF KNOWN. INCLUDE A DRAFT BOTTOM-LINE SETTLEMENT
PENALTY WORKSHEET ;
* * * Please mark this “enforcement confidential”
• SHOW CAUSE LETTER 3 with date of proposed meeting left blank;
2. ROUTING . The CDO will route the INITIAL CASE FILE as follows:
• the CDO
• the APTMD Section Chief
• the EAD Office Chief (last)
The Routing Slip should indicate any known statute of limitation
problems or other issues requiring the package to be expedited .
The term “show cause” is used in this SOP to refer to
meetings between Regional staff and potential violators that are
in the nature of pre-filing settlement discussions . Regional
meetings with potential violators that are information-gathering
sessions only are not included in this SOP. As a general matter,
“information-gathering only” meetings do not include the
participation of EAD unless a specific request is made for such
participation by the APTMD.
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IV. ATTORNEY ASSIGNMENT
When an INITIAL CASE FILE is received by the EAD Office Chief, he/she will log-in
the case on the EAD Tracking System and assign an attorney as expeditiously as possible.
If an attorney has already been assigned to the case (at an earlier stage), the EAD Office
Chief will log-in the case and immediately forward it to the previously assigned attorney.
**** PLEASE NOTE THAT THE INITIAL CASE FILE MUST GO TO THE EAD
OFFICE CHIEF FOR LOG-IN.
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V. ATTORNEY REVIEW
CASE ATTORNEY RESPONSIBILITY
1. Upon assignment or receipt of the INITIAL CASE FILE, the case attorney willS
• contact the CDO and inform him/her of the assignment;
• set up the case in EAD’s Docket;
• obtain case file folders from EAD’s records management contractor,
• review the INITIAL CASE FILE and complete the remaining
portion of Case Screening Form;
• review the case for any environmental justice issues,
• make any required changes in the draft documents after
consultation with the CDO and finalize those documents. [ NOTE:
The only change which should be required in the
Show Cause letter is the input of a date for
the Show Cause meeting];
• in consultation with the CDO, fill out the “ORE Involvement/National
Significance Form” following Headquarters’ Redelegation Guidance. The
case attorney will have the appropriate EAD manager sign the ORE
Involvement Form at this time.
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VI. PREPARATION OF SHOW CAUSE/CONCURRENCE
FOLDER
CASE ATTORNEY RESPONSIBILITY
1. The case attorney will place five (5) finalized documents 4 in a “SHOW
CAUSE/CONCURRENCE FOLDER”:
• case summary;
• complaint penalty worksheet;
• settlement penalty worksheet;
• show cause letter; and
• signed ORE Involvement Form.
2 ROUTING. The case attorney will route this “SHOW
CAUSE/CONCURRENCE FOLDER” to:
• case attorney/CDO
• APTMD Section Chief
• APTMI) Branch Chief
• CDO
3 The case attorney should retain copies of all documents for the EAD case file.
The case attorney will not make the Evidence or any
Guidance Documents or the Case Screening Form part of the “Show
Cause/Concurrence” folder. Rather, these documents will be
placed in EAD’s case file. A copy of the completed Case
Screening Form should be provided to the CDO for inclusion in the
APT file.
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VII. MAILING THE SHOW CAUSE LETTER
CDO RESPONSIBILITY
1. Once the “SHOW CAUSE/CONCURRENCE FOLDER” is concurred upon
and returned to the CDO (the Show Cause letter should be signed by the
appropriate APTMD manager at the time of routing), the CDO will ensure that the
Show Cause letter is mailed to the addressee.
2. The CDO, with assistance from the program administrative support stafi will
ensure that:
• the original Show Cause letter is mailed (via registered mail) to the
addressee (potential respondent);
• a copy of the dated and signed Show Cause letter is sent to the case
attorney for the EAD case file; and
• copies of the dated and signed Show Cause letter, final case
summary, Headquarters’ “ORE Involvement Form”, complaint
penalty worksheet, and settlement penalty worksheet are kept in the
official APTMD case file.
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VIII. SHOW CAUSE MEETING
CDO RESPONSIBILITY
1. The CDO will be responsible for obtaining a conference room for the Show
Cause meeting.
IMPORTANT . The CDO should limit any pre-meeting discussions with the
potential respondent or its counsel to the time and date of the meeting.
Any requests to discuss substantive issues should be referred to the case
attorney. 5
CDO and CASE ATTORNEY RESPONSIBILITY
1. The negotiation team (i e. the CDO, case attorney and any other regional staff
participating in the Show Cause) will hold a pre-meeting prior to the Show Cause
meeting to discuss strategy and bottom-line settlement figures.
IMPORTANT : In any settlement discussions during the Show Cause
meeting, the potential respondent must be made aware that any settlement
number arrived at is tentative in nature and depends upon the final approval
of EPA Region 4 upper management, including the Presiding Officer.
ERP : A copy of the Enforcement Response Policy can be given to the Respondent
at this time.
It is important to remember that the recipient of the
Show Cause letter is under no legal obligation to appear at the
Regional Office for a meeting or even to agree to attend a
meeting. Also, if the recipient prefers to conduct the meeting
via teleconference, that preference should be accommodated by the
negotiation team. If the recipient does not intend to appear or
does not appear at the scheduled Show Cause meeting, the
negotiation team should proceed to prepare and file the
Administrative Complaint, following the procedures set out in
Section XI.
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IX. SETTLEMENT RESULTING FROM SHOW CAUSE
MEETING
CDO RESPONSIBILITY
1 TheCDOwill
• draft an administrative complaint and draft a Consent
Agreement and Consent Order (CACO);
• obtain a Docket Number for the administrative complaint
and CACO (see TAB #2 for procedures on obtaining a
Docket #). The complaint and CACO have the same docket
number; and
• fill out a Case Conclusion Data Sheet
CASE ATTORNEY RESPONSIBILITY
1. The case attorney will:
• after consultation with the CDO and the respondent, make
any required changes to the complaint and CACO, 6
• prepare a Settlement Justification Memorandum. 7
6 The case attorney is responsible for negotiating any CACO
language changes with the respondent. Negotiation of the
language of the CACO should be worked out with the respondent or
its counsel in advance of sending the CACO which will bear the
Division Director’s signature. NOTE THAT ANY
SETTLEMENT/SETTLEMENT TERMS ARE TENTATIVE UNTIL APPROVED BY
REGIONAL MANAGEMENT [ this includes negotiations involving Stop
Sale Orders and terms for lifting such orders].
‘ This Settlement Justification Memorandum will serve as
the case file’s settlement justification. This justification
should explain how the settlement conforms to the appropriate
Enforcement Response Policy. The Settlement Justification
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finalize the Case Conclusion Data Sheet if necessary;
2. prepare the “SETTLEMENT/CONCURRENCE FOLDER” by placing in the
FOLDER the following documents:
• the finalized complaint;
• a complaint marked “draft”;
• the CACO (with all terms already negotiated out with the respondent);
• the Settlement Justification Memorandum; and
• the Case Conclusion Data Sheet.
3. ROUTING. The case attorney will route the
“SETTLEMENT/CONCURRENCE FOLDER” to the following:
• case attorney/CDO
• EAD Office Chief (for concurrence)
• APTIvID Section Chief (for concurrence)
• APTIvID Branch Chief (for concurrence)
• APTMD Division Director (for signature of both the final complaint and
CACO)
• case attorney (for mailing)
IMPORTANT : The Routing Slip should clearly state that the APTMD
Division Director should sign the original Complaint and the CACO at this
time. In order to avoid any confusion about filing, Certificates of
Service should accompany these documents in routing folder.
4. when the folder is returned to the case attorney, the case attorney (through his/her legal
assistant) will mail the following documents to the respondent:
• the original CACO (signed by the Division Director),and
• the “ draft ” complaint:
Memorandum should be marked “ENFORCEMENT CONFIDENTIAL - DO NOT
RELEASE UNDER FOIA - DO NOT MAIL”. Once concurrences are
obtained on the Settlement Justification Memorandum, the case
attorney will ensure that a copy of the document is placed in the
EAD case file folder labeled “Settlement Justification
Memorandum.”
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5. provide copies of the mailing, as well as a copy of the Settlement Justification
Memorandum and the Case Conclusion Data Sheet, to the CDO.
IMPORTANT : DO NOT SEND TILE SETTLEMENT
J1JS’iIviCATION MEMORANDUM OR TILE CASE
CONCLUSION DATA SHEET TO TILE RESPONDENT.
IMPORTANT : SINCE THE ATTORNEY IS MAILING THE DOCUMENTS
TO THE RESPONDENT, THE ATTORNEY WILL PREPARE HLSIHER OWN
TRANSMITTAL LETTER FOR HISIHER OWN SIGNATURE
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X. FILING OF SETTLEMENT DOCUMENTS
CASE ATTORNEY RESPONSIBILITY
1. The case attorney will be responsible for preparing the “Settlement/Filing
Folderu and for ensuring the proper filing of all documents with the Regional
Hearing Clerk (through his/her legal assistant). The case attorney will prepare the
“SETTLEMENT/FILiNG FOLDER” which will consist of:
• CACO signed by respondent and complainant;
• signed complaint ready to be filed.
2. ROUTING. The case attorney will route the “SETTLEMENT/FILING
FOLDER” to:
• Presiding Officer (for signature of CACO only)
• case attorney
• EAD Legal Assistant (for filing and mailing of documents)
3. Once returned to the case attorney from the Presiding Officer’s Office, the case
attorney will draft a transmittal letter to the respondent and include it in the
“Settlement/Filing Folder” which is then given to the EAD Legal Assistant for
the simultaneous filing of the complaint and CACO. The transmittal letter will be
drafted by the case attorney, for the case attorney’s signature. The most
important aspects to filing the executed CACO and signed Complaint are:
• proper signing and dating of each Certificate of
Service;
• proper filing with the Regional Hearing Clerk (see
TAB # 3 for details on filing and on the Regional
Hearing Clerk),
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proper mailing of copies (via registered or certified
mail) of the filed documents to the respondent and
other addressees. 8
4. Immediately after the executed CACO is filed with the Regional Hearing Clerk,
the EAD Legal Assistant will provide a copies of the executed CACO and
complaint, to:
• the EAD AirlTozjcs Paralegal, who is responsible for tracking
penalty payments. The EAD Air/Toxics Paralegal will
immediately fill out the Finance Form and forward that Form to
Finance so that an accounts receivable can be set up,
• the EAD Docket Paralegal;
• the specified Program contact; and
• the case attorney for the EAD file.
5. EAD case files will not be archived until the EAD Air/Toxics Paralegal
provides a signed Case Closure Form to the case attorney. The Case Closure
Form notes the final penalty payment and the final date completion of any SEP
The case attorney is responsible for closing the case in Docket
6. EAD will track the penalty portion of the CACO. 9
• The APTMD will track any Supplemental Environmental Projects
(SEPs) set out in the CACO.
7. EAD’s Air!Ioxics Paralegal will work with the CDO to keep apprised of the
status of any SEP. When the SEP work has been accomplished and the penalty has
been filly paid, the EAD Air/Toxics Paralegal will prepare a “Case Closure Form”
and obtain the signature of the CDO on the Form.
8. EAD’s Air/Toxics Paralegal will provide a copy of the signed Case Closure
Form to the CDO for the official APTMD file and to the case attorney for the
8 All “copies” of filed documents referred to in this SOP
means “stamp-filed” copies of such documents.
The language in the penalty portion of the CACO will
indicate that copies of the penalty payment will go to Saundi
Wilson, EAD Paralegal, and the CDO.
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EAD case file. The case attorney should place the Case Closure Form and any
attachments into the EAD case file folder labeled 11 Case Closure Form.”
9. Once the case attorney receives the signed Case Closure Form, the EAD case
file may be archived.
10. If the Respondent does not make proper penalty payments, the EAD
Air/Toxics Paralegal will institute collection procedures in coordination with the
APTMD and the Finance Office.
• If the Respondent fails to complete any SEPs, the CDO should contact the
case attorney.
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XL NO SETTLEMENT
CDO RESPONSIBILITIES
1. The CDO will prepare the Complaint/Filing Folder. The Folder consists of a draft
administrative complaint;
2 The CDO will also obtain a Docket # for the complaint (See TAB #2 for procedures),
CASE ATTORNEY RESPONSIBILITIES
1. The case attorney will, in consultation with the CDO:
• make any necessary changes in the draft complaint;
• revise the Case Summary to incorporate any relevant
information regarding the settlement attempts;
• prepare the “COMPLAINT/FILING FOLDER” which
includes final version of the complaint, and revised Case
Summary; and
• attach a copy of the Consolidated Rules of Practice,
40 C.F.R. Part 22 and Penalty Policy to the
complaint.
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2. ROUTING. The case attorney will route the “COMPLAINT/FlUNG
FOLDER” to the following:
• case attomey/CDO
• EM) Office Chief
• APTMD Section Chief
• APTMD Branch Chief
APTMD Division Director (for signature of
complaint)
• case attorney (filing and mailing)
3. Once all concurrences and signatures on the complaint have been obtained and the
“COMPLAINTIFHJING FOLDER” returned to the case attorney, the case attorney will
draft a transmittal letter to the respondent and include it in the FOLDER which is then
provided to the EAD Legal Assistant for filing and mailing. The transmittal letter will be
for the case attorney’s signature. The EAD Legal Assistant will file the Complaint with
the Regional Hearing Clerk (see TAB #3 for details on proper filing).
4 The EAD Legal Assistant will ensure that:
• copies of the Complaint and transmittal letter and any necessary
attachments (such as Part 22 or the Penalty Policy) are mailed in
accordance with the Certificate of Service;
• a copy of the mailing is provided to the CDO,
• a copy of the mailing is provided to the case attorney.
5. The case attorney will, upon receipt of the GREEN RETURN-RECEIPT
CARD , file a PROOF OF SERVICE with the Regional Hearing Clerk as
required by Part 22 of the Consoldiated Rules of Practice,
6. The case attorney will provide the CDO with a copy of the Proof of Service pleading
and the original GREEN RETURN-RECEIPT CARD for the APTMD case file.
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XII. LITIGATION
1. Motions : Throughout the course of the administrative process, EPA or the
respondent may file numerous motions. The case attorney shall prepare and file
these motions and respond to motions as necessary. The CDO will assist in the
preparation of any afildavits required for such motions or memoranda in support
thereof and shall assist in the preparation of the prehearing exchange. In addition,
any amendments to the Complaint will be prepared and filed by the case attorney in
coordination with the CDO.
2. Answer Filed/Failure to File Answer : Answers are filed by the respondent with
the Regional Hearing Clerk. If no Answer is filed by the prescribed time, the case
attorney shall prepare and file a Motion for Default with the Regional Hearing
Clerk. The case attorney will serve a copy of such Motion on the respondent and
distribute other copies as appropriate.
3. Request for Administrative Law Judge : The Regional Hearing Clerk requests
the appointment of an ALl in accordance with the Consolidated Rules of Practice
(usually after an Answer has been filed). A copy of the request is sent from the
Regional Hearing Clerk to the case attorney.
4. ALl Assigned. Initial Order, and Status Report : After an ALl is assigned,
he/she will issue a scheduling order to the respondent and to the case attorney,
setting the date of filing a Status Report and the date of filing Prehearing
Exchange.
5 Prehearing Exchange/Hearing : If the case is not settled, the CDO will assist the
case attorney in preparing for the prehearing exchange and hearing, according to
the Consolidated Rules of Practice (CROP).
6. Appeals : All administrative appeals will follow Headquarters guidance on
appeals.
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APPENDIX A
This Appendix sets out a modified Standard Operating Procedure (SOP) for the certain
types of administrative penalty cases set out below. It contemplates Program lead for
these cases, with minimal EAD review just prior to the simultaneous filing of a complaint
and CACO.
Matters Covered by Appendix A :
• EPCRA cases with 311, 312, or 313 violations, or any combination of these
violations, where the maximum complaint penalty is $200,000 or less,
• TSCA cases where the maximum complaint penalty is $20,000 or less;
• FIFRA Section 7 cases where the maximum complaint penalty is $5,500 or less;
and
• FIFRA Section 12 cases where the maximum complaint penalty is $22,000 or less
CDO Responsibility Under Appendix A :
1. CDO prepares Initial Case File in accordance with Sections I-lU of Process
A and routes for review to the appropriate APTMD Section Chief.
2. CDO mails show cause letter following procedures set out in Section VII of Process A.
The show cause meeting will be held in accordance with the procedures set out in Section
VIII of Process A except that an attorney will not be involved 10
3. Any settlement reached should be organized into a Settlement/Concurrence
Folder as described in Section IX of Process A. The CDO must also prepare the
Settlement Justification Memorandum and Case Conclusion Data Sheet to add to this
Settlement/Concurrence Folder.
10 Where the respondent brings its own legal counsel to
these show cause meetings, the Program can decide whether or not
to request an EAD attorney to attend.
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4. Prior to being sent to EAD for attorney assignment and a quick review, the
Settlement/Concurrence Folder should be routed through the appropriate
Program Section Chief and then to the EAD Office Chief.
Case Attorney Responsibility Under Appendix A
1. Upon receipt of the SETTLEMENT/CONCURRENCE FOLDER from the EAD
Office Chief, the case attorney will:
• briefly review the complaint and CACO;
• fill out a Headquarters’ ORE Involvement Form;
• set up the case in Docket;
• establish a small EAD file for the matter (using the Files Format system);
• finalize the Case Conclusion Data Sheet if necessary; and
2. ROUTE. Route the SETTLEMENT/CONCURRENCE FOLDER to:
• case attorney/CDO
• APTMD Section Chief
• APTMD Branch Chief
• APTMD Division Director
• CDO
IMPORTANT : The Routing Slip should clearly state that the APTMD Division
Director should sign the original complaint and original CACO at this time. A
copy of the complaint marked “draft” should also be in the file (NOT TO BE
SIGNED).
CDO Responsibility
1. Mailing the CACO for signature by the respondent: Once all concurrences have been
obtained on the Settlement, the APTMD Division Director has signed the original
Complaint and CACO, and the FOLDER is returned to the CDO, the CDO will draft a
transmittal letter and mail the CACO and draft unsigned complaint to the respondent for
signature. Sample transmittal letters can be found at EAD’s Models Icon on the LAN.
Signature on these transmittal letters is left up to the discretion of the Program office.
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This mailing should track the procedures set out in Section IX of Process A, except that
no attorney is involved.
2. Once the signed CACO is returned to the CDO from the respondent, the CDO will
prepare the “SETTLEMENT/FILING FOLDER” - the signed CACO and orginal
signed complaint - and send the Folder to the EAD case attorney assigned to the matter.
The EAD case attorney will route the Folder to the Presiding Officer for signature and
then the Legal Assistant will file the documents and mail the executed copies to the
respondent in accordance with the procedures set out in Section X of Process A. EAD
will also track all CACO penalties following the procedures set out in Section X of
Process A above.
IF NO SETTLEMENT IS REACI [ ED AT SHOW CAUSE MEETING , the CDO will
prepare the COMPLAINT/FILING FOLDER following the procedures set out in Section X I of
Process A and include all documents listed in the INITIAL CASE FILE at Section ifi above .
The FOLDER will be sent to the EAD Office Chief for the assignment of an attorney. The case
attorney and CDO will then follow the procedures set out in Sections XI of Process A above.
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OFFICE OF AIR, TOXICS & GENERAL lAW
RESPONSIBILITY LIST
Following is the responsibility list for the Office of Air, Toxics & General Law
Staff Members Telephone Number
Nancy L. Tommelleo, Chief . . 562-9571
Alan Dion, Senior Attorney . . . . 562-9587
Vacant, Legal Technician. . . . . . . 562-9512
Saundi Wilson, Office Paralegal . 562-9504
Office Fax Number 562-9487
ATTORNEYS
Angelia Blackwell 562-9527
LyndaCrum 562-9524
Alan Dion . . . .562-9587
MichiKono . . .562-9558
Jason Lichtstein 562-9502
Chuck Mikalian . 562-9575
Leif Palmer 562-9542
Melissa Ward-Raack 562-9556
Karen Singer 562-9552
Karol Smith 562-9563
Please note that the following designations of responsibility are intended to provide a general
framework for workload distribution. Staff attorneys will be assigned work in any and all areas
listed to the extent dictated by the Division Director’s priorities and other Office of Legal Support
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workload considerations.
GRANTS/CONTRACTS ATTORNEY Leif Palmer
PERSONNEL ATTORNEY . Karol Smith
AIR COUNSELING LEADS
Nonattainment and SIP Issues Alan Dion
Mobile Sources Melissa Ward-Raack
Air Toxics Lynda Crum
Acid Rain Karen Sii ger
Title V Lynda Cruni/Angelia Blackwell
Stratospheric Ozone Protection (CFC) Leif Palmer
NSPS Melissa Ward-Raack
PSDINSR Alan Dion/Chuck Mikalian
Asbestos/NESHAP Michi Kono/Angelia Blackwell
Municipal Waste Combustors. .. Michi Kono
AIR ENFORCEMENT LEADS
Imminent and Substantial Endangerment Melissa Ward-Raack
PSD Circumvention . . Angelia Blackwell
Credible Evidence/CAM Angelia Blackwell
I 12r General Duty Clause Lynda Crum
MACT Lynda Crum
CFCs Leif Palmer
PSDINSR Alan Dion/Chuck Mikalian Acid
Rain Karen Singer
Asbestos NESHAP Michi Kono/Angelia Blackwell
Federal Facilities Angelia Blackwell/Michi Kono
SIP REVIEW RESPONSIBILITIES
Redesignations Alan Dion
15% VOC Reduction Plans Alan Dion
I & MlEnhanced I & M . . Melissa Ward-Raack
Lead SIPs Leif Palmer
Small Bus. Assistance Programs. Alan Dion
NSRIPSD Chuck Mikalian
Transportation/Conformity Leif Palmer
111(d) MWC Plans Michi Kono
Miscellaneous Michi Kono
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ADMIMSTRATIVE ENFORCEMENT LEADS
AIR . .. Angelia Blackwell
A}IERA Karen Singer
EPCRA Karen Singer
FIFRA Alan Dion/Saundi Wilson
TSCA Michi Kono
MISCELLANEOUS POLICY LEADS
SIP Enforcement Policies . . . . Alan Dion
Supplemental Environmental Projects Policy Karen Singer
Small Business Assistance Policy/Air Alan Dion
Self-Auditing Policy Lynda Crum
Delegations Lynda Crum
Federal Enforceability Angelia Blackwell
Privacy Act Leif Palmer
Grants/Contracts Leif Palmer
Immunity/Priviledge Legislation Lynda Crum
SBREFA .. . . Angelia Blackwell
Federal Facilities (Air) Angelia Blackwell
Alternative Dispute Resolution Chuck Mikalian
Parallel Proceedings . . . . Melissa Ward-Raack
TSCA Lead-based paint program reviews . Karen Singer
OTHER
Subpoenas for EPA Testimony . . . . Karen Singer
Citizen Tip Awards under CAA Leif Palmer
Contractor Listing and Debarment . . . . Leif Palmer
Inspection Issues/Warrants. . Alan Dion
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llWA1PO TAN7T OT1ES
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LMOTL
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HOW TO FiLE A DOCUMENT WITH ‘ 1iil
REGIONAL HEARING CLERK
Name: Ms. Patricia Bullock
Address: U. S. Environmental Protection Agency Region 4
Sam Nunn Atlanta Federal Center
61 Forsyth Street, S W.
Atlanta, Georgia 30303
Location 13th floor
Telephone 404/562-9511
Penalty payments referenced in enforcement action documents must be sent to the EPA
lockbox at the following address:
U.S. Environmental Protection Agency
Post Office Box 100142
Atlanta, Georgia 30384
All enforcement action documents are to be filed with the Regional Hearing Clerk.
Enforcement action documents shall be hand-delivered and given directly to Ms. Bullock or her
back-up person, Otis Pratt. Enforcement action documents should NEVER be left unstamped in
the Regional Hearing Clerk’s office. Enforcement action documents should NEVER be date-
stamped by the person filing the document Enforcement action documents should NEVER be
sent through inter-office mail.
According to 40 C.F.R §22.05(a), the original and one copy of the Administrative
Complaint and the original of the Answer and all other documents served in a proceeding shall be
provided for the Regional Hearing Clerk’s files. Ms. Bullock will date-stamp these documents.
The person filing an enforcement action document should always take an additional copy to be
date-stamped and recopied for mailing to the Respondent and for inclusion in both the Program’s
and EAD’s enforcement files. The Regional Hearing Clerk’s date-stamped date shall ALWAYS
correspond to the date on the Certificate of Service for that enforcement action document
The Certificate of Service reflects that the signer hand-delivered an original and one copy
of an attached Administrative Complaint or the original of any Answer or other document to the
Regional Hearing Clerk and mailed copies to the Respondent in the manner indicated, on the date
signed. The Certificate is evidence that the document was filed and mailed, as required by 40
C.F.R. Part 22.
In the Regional Hearing Clerk’s absence, please see her back-up, Otis Pratt. Please see
Mark DiGiralamo in the Record Center to have case files pulled for review. All files must be
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viewed within the Records Center and should NEVER be removed except for copying.
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