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Articles, Speeches, & Presentations

General Topics | Articles on State Audit & Self-Disclosure Policies | Articles on EPA's Audit Policy

General Topics

  1. U.S. EPA Region 5, FY 2005 Enforcement Results (PDF) (274 kb, 66 slides about PDF) PowerPoint (274 kb, 66 slides, note: in order view all pages, you may have to save the file before opening) prepared by Bertram C. Frey for the November 18, 2005 Midwest Regional Meeting of the Auditing Roundtable.
  2. Consent Decrees, Orders, Plea Agreements and Settlements Requiring Features of a Compliance Focused Environmental Management System by Bertram C. Frey (October 7, 2004) prepared for the 2004 Illinois Environmental Conference.
  3. NAFTA/GATT Presentation (PDF) (105 kb, 14 pgs about PDF)
    by Bertram C. Frey (September, 2003). Also look at the NAAEC handout, a list of NAFTA cases, and a hypothetical example.
  4. The Concentrated Animal Feeding Operation (CAFO) Revised Rule (PDF version, 38 kb, 9 pgs about PDF)
    by Michael R. Berman, USEPA
    This article discusses the final rule announced in December 2002 that requires all large Concentrated Animal Feeding Operations (CAFOs) to obtain permits to protect America's waterways from wastewater runoff and manure.
  5. The New Millennium, MTBE, and the Future (PDF version, 16 kb, 6 pgs about PDF)
    by Thomas J. Kenney, USEPA An article about the EPA's Underground Storage Tank program's history, current status, and future direction. Published in the Illinois State Bar Association Newsletter in January 2003.
  6. Time is Running Out (PDF version, 13 kb, 6 pgs about PDF)
    by Thomas J. Kenney, USEPA An article about the EPA's Underground Storage Tank program and it's impending upgrade requirement back in 1998. Published in the Illinois State Bar Association Newsletter in 1998.
  7. RCRA Overfiling (PDF Version, 101 kb, 8 pgs about PDF)
    Speech given by T. Leverett Nelson, Thor Ketzback, and Joel Sternstein, IPCB, on February 9, 2001.
  8. The Ohio Review Experience (PDF)( 91 kb, 19 pgs about PDF)
    Slides by T. Leverett Nelson on when state and federal laws are out of sync.
  9. Ohio Voluntary Cleanup Program PDF (9 kb, 3 pgs about PDF) Text of Overheads, by Bertram C. Frey at the Ohio Bar Association, Environmental Law Committee, Fifteenth Annual Environmental Law Seminar, May 5, 2000.
  10. "Environment Midwest: Where We Stand at the Millennium" (PDF) (37 kb, 19 pgs about PDF) by Bertram C. Frey at the Ohio Bar Association, Environmental Law Committee, Fifteenth Annual Environmental Law Seminar, May 4, 2000.
  11. Remarks of Steven A. Herman (PDF) (24kb, 17 pgs about PDF) Assistant Administrator, U.S. EPA, Office of Enforcement and Compliance Assurance, edited and given by Bertram C. Frey for the State Bar of Wisconsin's 2000 Bench Bar Conference, January 26, 2000.
  12. "Environmental Enforcement: An Overview" (PDF) (24 kb, 12 pgs about PDF) by Bertram C. Frey at the Minnesota Bar Association Conference, November 17, 1999.
  13. Remarks by Bertram Frey (PDF)( 11 kb, 4 pgs about PDF) at the Environmental Technology Expo and Compliance Workshops in Lansing, MI, October 9, 1996.
  14. "U.S. EPA's Intervention and Role in UST/LUST Regulation" (10 kb, 5 pgs about PDF ) by Bertram Frey to the Lake Michigan States Section of the Air and Waste Management Association,  February, 7 1996.

State Audit Privilege & Immunity Laws and Self-Diclosure Policies

  1. Environmental Audit Immunity Laws: A State-by-State Comparison (2004 Update)
    by John A. Lee and Bertram C. Frey (U.S. EPA)
    A comprehensive examination of the audit immunity laws which have been enacted by a large number of states. Current through April 2004.
  2. Environmental Audit Immunity Laws: A State-by-State Comparison (PDF version, 212 kb, 76 pgs)
    by John A. Lee and Bertram C. Frey (U.S. EPA)
    A comprehensive examination of the audit immunity laws which have been enacted by a large number of states. Current through April 1998. Published in the BNA Environment Reporter, 6-13-97, with a subsequent update.
    In August 1998, this article was named Article of the Month by LawResearch, a subsidiary of Law Research, Inc.
  3. Cooperation With Government Agencies Under Environmental Audit Laws, Rules, and Policies (UPDATE) Bertram C. Frey (U.S. EPA) and Kathryn McCollough. An analysis of what cooperation means in federal and state environmental audit and self-disclosure laws, rules, and policies. Current through August 2003.
  4. Cooperation With Government Agencies Under Environmental Audit Laws, Rules, and Policies (PDF version, 80kb, 30 pgs about PDF)
    by Bertram C. Frey (U.S. EPA) and Matthew J. Sanders
    An analysis of what cooperation means in federal and state environmental audit and self-disclosure laws, rules, and policies. Current through February 1998. Presented at the American Bar Association's 27th Conference on Environmental Law (1998).
  5. Environmental Grace Period and Amnesty Laws (PDF version, 41kb, 16 pgs)
    by Bertram C. Frey (USEPA) and Jennifer K. Harr
    An examination of environmental grace period and amnesty laws. Current through March 1998. Published in the BNA Environment Reporter, 5-1-98.
  6. Testimony of Bertram C. Frey (PDF) (13 kb, 5 pgs about PDF) before the Ohio Citizen Action Hearing. September 19, 1998, on Ohio's audit privilege and immunity law.
  7. Testimony of Bertram C. Frey (PDF) (20 kb, 9 pgs about PDF) before the Ohio Senate Energy, Natural Resources, and Environment Committee concerning the portion of the Ohio Senate Bill 138 that deals with Environmental Audit Privileges and Immunities. June 14, 1995.
  8. Testimony of Bertram C. Frey (PDF) ( 21 kb, 10 pgs about PDF) before the Ohio House Energy and Environment Committee concerning the portion of the Ohio Senate Bill 138 that deals with Environmental Audit Privileges and Immunities. February 8, 1995.
  9. “EPA and State Environmental Agencies: Reversing Roles” (August 1996)
    Written by Mark D. Anderson, Stateside Associates, originally published in Environmental Compliance & Litigation Strategy. Discusses the ways in which state governments are asserting a greater role in determining the way that environmental protection is achieved.
  10. "Environmental audits laws and small business" (10-20-97)
    Advocates environmental audit laws for the sake of small businesses. Focuses on developments in Missouri. Printed in St. Louis Business Journal.
  11. "Businesses unlikely to win amnesty for environmental audits" (3-3-97)
    Presents reasons for Wisconsin's audit legislation, particularly from a business perspective. Printed in Milwaukee's Business Journal.

EPA Audit Policies & Self-Disclosures

  1. Cooperation With Government Agencies Under Environmental Audit Laws, Rules, and Policies (UPDATE) Bertram C. Frey (USEPA) and Kathryn McCollough. An analysis of what cooperation means in federal and state environmental audit and self-disclosure laws, rules, and policies. Current through August 2003.
  2. "The Nuts and Bolts of Environmental Auditing and Disclosing Non-Compliance under EPA's Voluntary Disclosure Policy (PDF)," (16 kb, 7 pgs about PDF) given by Bertram C. Frey at the Chicago Bar Association, February 16, 2000.  Click here to see the overheads.
  3. Environmental Auditing Since EPA’s 1986 Audit Policy (PDF verison, 153kb, 62 pgs about PDF)
    by Bertram C. Frey (U.S. EPA) and Karry A. Johnson (1/2000)
    An analysis of environmental auditing since EPA's 1986 Audit Policy.  Portions of this article have been incorporated into a broader article on using auditing, pollution prevention, and management systems to craft superior environmental enforcement settlements, that has been submitted to and accepted for publication by the Environmental Law Institute.
  4. Environmental Grace Period and Amnesty Laws (PDF version, 41kb, 16 pgs about PDF)
    by Bertram C. Frey (U.S. EPA) and Jennifer K. Harr
    An examination of environmental grace period and amnesty laws. Current through March 1998. Published in the BNA Environment Reporter, 5-1-98.
  5. Cooperation With Government Agencies Under Environmental Audit Laws, Rules, and Policies, PDF version (80kb, 30 pgs about PDF)
    by Bertram C. Frey (U.S. EPA) and Matthew J. Sanders
    An analysis of what cooperation means in federal and state environmental audit and self-disclosure laws, rules, and policies. Current through February 1998. Presented at the American Bar Association's 27th Conference on Environmental Law (1998).
  6. “Protecting Privilege, Recognizing the Risks of Criminal Liability and Reaping the Benefits of EPA’s Audit Policy” (Virginia Lawyer, April 2001)
    Written by Dan J. Jordanger and Christopher R. Graham. Discusses the requirements and risks associated with the EPA’s self-audit policy as well as the benefits of privilege and immunity.
  7. “Should You Come Clean Under EPA’s New Audit Policy?” (2000)
    Written by Chris Thorne, Holland & Hart LLP. Discusses May 11, 2000 revisions to EPA’s audit policy and the requirements that must be satisfied in order to satisfy the policy. Also discusses uncertainties raised by the policy.
  8. “Audit-Privilege Laws: The Right to Know Nothing?” (Environmental Health Perspectives Volume 107, Number 10, October 1999)
    Written by Richard Dahl. This article discusses the findings of the National Conference of State Legislatures (NCSL) indicating audit immunity does not result in more frequent or better audits, questioning whether such laws are more detrimental than beneficial.
  9. “Environmental Auditing: Entering the Eco-Information Highway” (New York University Environmental Law Journal, 1998)
    Written by Miri Berlin. This article suggests a new way to counteract some of the negative effects of audit privilege by employing methods modeled on those used by the Securities and Exchange Commission which would “both enhanc[e] companies' compliance with current environmental statutes and us[e] market forces to encourage compliance with environmental objectives.”


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