U.S. ENVIRONMENTAL PROTECTION AGENCY SMALL

							U.S. Environmental Protection
      Agency Small Business
           Compliance Policy




     Effective date: May 11, 2000
Small Business Regulatory
Enforcement Fairness Act
(SBREFA)
   Signed into law on March 29, 1996
   Response to concerns expressed by the small business
    community that federal regulations were too numerous,
    too complex and too expensive to implement
   Designed to give small businesses assistance in
    understanding and complying with regulations and more
    of a voice in the development of new regulations
   Includes small businesses, small governmental
    jurisdictions (population of less than 50,000), and small
    organizations (e.g., not-for-profit organizations)
What is SBREFA?
   Contains five distinct sections:

    1.   Subtitle A–Regulatory Compliance
         Simplification
    2.   Subtitle B–Regulatory Enforcement Reforms
    3.   Subtitle C–Equal Access to Justice
    4.   Subtitle D–Regulatory Flexibility Act
         Amendments
    5.   Subtitle E-Congressional Review of Agency
         Rulemaking
Small Business Audit Policy

   Revised on May 11, 2000, superseding the 1996 version
    while expanding 1994 Section 507 program
   Provide incentives to participate in onsite compliance
    assistance programs
   Conduct environmental audits
Small Business Audit Policy

   To promote environmental compliance among small
    businesses by encouraging them to participate in on-site
    compliance assistance programs or to conduct voluntary
    environmental audits, and then promptly correct
    violations
   As incentive, EPA may forgo all or a portion of monetary
    penalties where the small business satisfies all policy
    conditions
Small Business Audit Policy
con’t
   Who Qualifies?
       100 or fewer employees across all facilities and
        operations
       Cannot have received two or more enforcement
        actions for violations of environmental requirements in
        the past five years
       Business did not obtain a significant economic benefit
        from the violations and thus did not have an economic
        advantage over its competitors
Small Business Audit Policy
con’t

   Violations can be discovered by any voluntary means
    (compliance management systems, P2 assessments,
    participation in mentoring programs, training classes, on-
    line CA centers, checklists) in addition to on-site
    compliance assistance visits or a voluntary
    environmental audit
The Policy Excludes

   Violations that result in serious actual harm or present an
    imminent hazard to public health, safety, or the
    environment
   Violations that involve criminal conduct
   Repeated violations (within three years)
How to Qualify?
   Must promptly disclose violations in writing to EPA
    (within 21 calendar days regardless of how the violation
    was discovered)
   Must correct violations (usually within 90 days)
   Violations can be discovered by any voluntary means
    (compliance management systems, P2 assessments,
    participation in mentoring programs, training classes,
    on-line CA centers, checklists) in addition to on-site
    compliance assistance visits or a voluntary
    environmental audit
Additional Resources

   Compliance Assistance Centers: The centers provide
    compliance assistance for specific industry sectors
    heavily populated with small businesses and other
    entities facing federal environmental regulation. The
    centers provide information through Web sites, hotlines,
    training sessions, and fax lines. This information can
    help locate compliance information and tools for certain
    industry sectors.
Additional Resources
   Compliance Assistance Centers
       Small Business Environmental Homepage -
        http://www.smallbiz-enviroweb.org/
       National Environmental Compliance Assistance
        Clearinghouse - http://cfpub.epa.gov/clearinghouse/
       EPA Small Business Ombudsman Homepage -
        http://www.epa.gov/sbo/
       Industry Sectors - http://www.smallbiz-
        enviroweb.org/industry/indlinks.html
Additional Assistance
Information
   EPA Audit Policy -
    http://www.epa.gov/region02/capp/cip/policy.htm
   Self Assessment Tools -
    http://www.epa.gov/region02/capp/cip/chklists.htm
   Auditing for Small Businesses -
    http://www.epa.gov/region02/capp/cip/smallbus.htm
Additional Resources
   Sector Notebooks - The notebooks describe the
    operations performed at facilities within various industrial
    sectors. They describe the regulatory requirements and
    compliance status for the sectors.
     Sector Notebooks -
      http://www.epa.gov/compliance/resources/publications
      /assistance/sectors/notebooks/
Additional Assistance
Information
     Design for the Environment - www.
      epa.gov/opptintr/dfe/
     Self-Assessment Tools -
      http://www.epa.gov/region02/capp/cip/chklists.htm
     EPA Small Business Ombudsman Homepage -
      http://www.epa.gov/sbo/
     Small Business Environmental Homepage-
      http://www.smallbiz-enviroweb.org/
Small Business Assistance
Program

  For further information regarding EPA's Small
  Business Assistance Program contact:
  Ron Lockwood
  Regional Small Business Coordinator
  Compliance Assistance Section
  212-637-3413
  lockwood.ronald@.epa.gov