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					       PRINCIPLES OF
ENVIRONMENTAL ENFORCEMENT
              AN OVERVIEW
 ORIGINS AND CONTEXT



 DEFINITIONS AND BASIS FOR COMPLIANCE AND ENFORCEMENT



 FRAMEWORK: STRATEGIES AND PROGRAM ELEMENTS



 BUILDING AN EFFECTIVE PROGRAM
                       FEDERAL GOVERNMENT
           Constitution defines Federal Relationship with 50 Sovereign States

                                                                 President
Courts                                                               (Executive)
    (Judiciary)                                                  •   Policy direction
•   Interpretation                                               •   Legislation implementation
•   Legal challenges                                                 and enforcement
                             Congress                            •   Budget request

                                 (Legislative)                   •   Management of federal
                                                                     agencies
                             •   Legislation (Authorities and
                                 Mandates consistent with
                                 Constitution)
                             •   Funding
                             •   Program oversight




            Parallel Branches of Government at federal, state and local levels.
U.S. EPA
                                                     OFFICE OF
Organization Chart                              THE ADMINISTRATOR

                4 Program Offices                                                               3 Functional Offices


  OFFICE OF                                 OFFICE OF             OFFICE OF           OFFICE OF           OFFICE OF
                      OFFICE OF                                 PREVENTION,                            ENFORCEMEN AND
   AIR AND                               SOLID WASTE AND                            RESEARCH AND
                       WATER                                   PESTICIDES, AND                           COMPLIANCE
  RADIATION                                EMERGENCY                                DEVELOPMENT
                                                              TOXIC SUBSTANCES                           ASSURANCE
                                            RESPONSE

                                5 Staff Offices


  OFFICE OF            OFFICE OF           OFFICE OF              OFFICE OF           OFFICE OF         OFFICE OF THE
 INSPECTOR          INTERNATIONAL        ADMINISTRATION        ENVIRONMENTAL          GENERAL          CHIEF FINANCIAL
  GENERAL               AFFAIRS          AND RESOURCES          INFORMATION           COUNSEL
                                          MANAGEMENT                                                       OFFICER




   REGION I            REGION II            REGION III            REGION IV           REGION V            REGION VI
 (Boston, MA)        (New York, NY)      (Philadelphia, PA)      (Atlanta, GA)       (Chicago, IL)        (Dallas, TX)




                      REGION VII           REGION VIII            REGION IX           REGION X
                    (Kansas City, KS)      (Denver, CO)       (San Francisco, CA)    (Seattle, WA)
                               REGIONAL OFFICES




                                    Execute EPA programs implementing federal environmental laws:
                                     permits, monitoring, inspection, enforcement response, state grants,
                                     audit of state programs, emergency response
Research Labs identified by:        Oversee state operations: Located in 10 “Federal” Regions, cover 3-8
                                     States each
                                    Address environmental issues confronting the region
                          STATES




   Operate delegated or approved federal programs
   Independently enact state laws and operate unique state
    environmental programs
   Monitor environmental conditions
   Operational activities such as issuing permits
   Compliance and enforcement programs
         EPA Enforcement Personnel



Breakdown by HQ and Regions
         5.6%
                              R egiona l Pe rsonnel
 19.8%
                              H eadquarters Personnel
                              H eadquarters Personnel:
                              Statione d in R egions
                    74.6%
     US EPA Programs are highly decentralized




• Over 90% of inspections are conducted by State or local governments.
• Most years budget is just under $500 million and about 3,500 staff.
• Work is carried out by a partnership of local, state, and Federal personnel.
   BASIS FOR COMPLIANCE AND ENFORCEMENT

COMPLIANCE AND ENFORCEMENT DEFINED

 COMPLIANCE :
  GOAL OF MEETING ENVIRONMENTAL REQUIREMENTS
  IN STANDARDS, REGULATIONS, PERMITS


 ENFORCEMENT:
   ACTIONS TO ENCOURAGE OR COMPEL COMPLIANCE

       Inspections and Investigations (Compliance Monitoring)
       Legal Sanction (Enforcement Response)
       Negotiation
       ........Plus Incentives and Assistance (Compliance Promotion)
  BASIS FOR COMPLIANCE AND ENFORCEMENT

FACTORS AFFECTING COMPLIANCE
DETERRENCE THEORY

          CREDIBLE LIKELIHOOD OF DETECTION
          SWIFT AND SURE RESPONSE
          APPROPRIATE SANCTION
          PERCEPTION OF THE FIRST THREE ELEMENTS

ECONOMIC THEORY


BEHAVIOR THEORY

          SOCIAL FACTORS
          PSYCHOLOGICAL FACTORS
          KNOWLEDGE AND TECHNICAL FACTORS
          ORGANIZATIONAL BEHAVIOR
ELEMENTS OF A COMPLIANCE STRATEGY/
     ENFORCEMENT PROGRAM

        FRAMEWORK:

  CREATING ENFORCEABLE REQUIREMENTS

  ESTABLISHING PROGRAM PRIORITIES

  COMPLIANCE PROMOTION

  COMPLIANCE MONITORING

  ENFORCEMENT RESPONSE TO VIOLATIONS

  CLARIFYING ROLES AND RESPONSIBILITIES

  MANAGEMENT ACCOUNTABILITY AND EVALUATION
                       CONTEXT FOR ENFORCEMENT:

ENVIRONMENTAL MANAGEMENT CYCLE
                                    Evaluation
Awareness


               Planning                              Implementation
                           Management     Legal Basis/   Strategies &   Results
          Goals                                          Programs
                           Approach(es)   Requirements
       Reduce Risk

       Attain
       Environmental
       Quality

       Prevent Pollution

       Sustain Uses

       Clean Up
       Contamination
                       CONTEXT FOR ENFORCEMENT:

ENVIRONMENTAL MANAGEMENT CYCLE
                                          Evaluation
Awareness


               Planning                                Implementation
                           Management       Legal Basis/   Strategies &   Results
          Goals                                            Programs
                           Approach(es)     Requirements
       Reduce Risk         Command and
                           Control
       Attain
       Environmental       Economic and
       Quality             Market Based

       Prevent Pollution   Risk-Based

       Sustain Uses        Pollution
                           Prevention
       Clean Up
       Contamination
                           Regulatory

                           Voluntary

                           Liability
                       CONTEXT FOR ENFORCEMENT:

ENVIRONMENTAL MANAGEMENT CYCLE
                                          Evaluation
Awareness


               Planning                                         Implementation
                           Management       Legal Basis/         Strategies &   Results
          Goals                                                  Programs
                           Approach(es)     Requirements
       Reduce Risk                           Legislation
                           Command and
       Attain              Control
                                             Regulations
       Environmental
       Quality             Economic and
                           Market Based      Permits/Licenses
       Prevent Pollution                     Court Cases
                           Risk-Based
       Sustain Uses                          Programs
                           Pollution
       Clean Up            Prevention
       Contamination
                           Regulatory

                           Voluntary

                           Liability
                       CONTEXT FOR ENFORCEMENT:

ENVIRONMENTAL MANAGEMENT CYCLE
                                          Evaluation
Awareness


               Planning                                         Implementation
                           Management       Legal Basis/         Strategies &       Results
          Goals                                                  Programs
                           Approach(es)     Requirements
       Reduce Risk                                               Compliance
                           Command and       Legislation
                                                                 and Enforcement
       Attain              Control
                                             Regulations         Creating
       Environmental
       Quality             Economic and                           enforceable
                           Market Based      Permits/Licenses     requirements
       Prevent Pollution                                         Priority setting
                           Risk-Based        Court Cases         Compliance
       Sustain Uses                                               promotion
                           Pollution         Programs            Compliance
       Clean Up            Prevention                             monitoring
       Contamination                                             Enforcement
                           Regulatory                             response
                                                                 Clear roles
                           Voluntary                             Evaluation

                           Liability
                       CONTEXT FOR ENFORCEMENT:

ENVIRONMENTAL MANAGEMENT CYCLE
                                          Evaluation
Awareness


               Planning                                         Implementation
                           Management       Legal Basis/         Strategies &            Results
          Goals                                                  Programs
                           Approach(es)     Requirements
       Reduce Risk                                               Compliance
                           Command and       Legislation
                                                                 and Enforcement
       Attain              Control
                                             Regulations         Creating
       Environmental
       Quality             Economic and                           enforceable
                           Market Based      Permits/Licenses     requirements
       Prevent Pollution                                         Priority setting
                                             Court Cases
                           Risk-Based                            Compliance         Enforcement &
                                                                  promotion
       Sustain Uses
                           Pollution         Programs            Compliance
                                                                                    Behavior Change
       Clean Up            Prevention                             monitoring
       Contamination                                             Enforcement
                           Regulatory                             response
                                                                 Clear roles
                           Voluntary                             Evaluation

                           Liability
ELEMENTS OF COMPLIANCE AND ENFORCEMENT STRATEGIES

            COMPLIANCE PROMOTION
    PROVIDING EDUCATION AND TECHNICAL ASSISTANCE

TYPE OF INFORMATION:                          WAYS TO PROVIDE INFORMATION:
 Who is Subject to Requirement                 Publications, Hot Lines
 What is Required and Why                      Training, Conferences
 What Changes are Necessary
 What are the Consequences of Not Complying    Universities
                                               Trade and Professional Associations



    BUILDING PUBLIC SUPPORT

     PUBLICIZING SUCCESS STORIES

     CREATIVE FINANCING ARRANGEMENTS

     PROVIDING ECONOMIC INCENTIVES

     BUILDING ENVIRONMENTAL MANAGEMENT CAPABILITY
ELEMENTS OF COMPLIANCE AND ENFORCEMENT STRATEGIES

      COMPLIANCE MONITORING

     PURPOSES:
        Detect Violations
        Support Source Compliance
        Evidence for Enforcement Response
        Compliance Statistics

     SOURCES:
        Self-Monitoring
        Inspections
        Citizen Complaints, Area Monitoring

     STRATEGY ISSUES:
       Extent of Self-Monitoring
        Inspection Targeting, Frequency, Announced VS. Unannounced,
          Single VS. Multi-Media, Training
        Access to Information
ELEMENTS OF COMPLIANCE AND ENFORCEMENT STRATEGIES

ENFORCEMENT RESPONSE TO VIOLATIONS
 RANGE OF ENFORCEMENT RESPONSES: TYPES OF AUTHORITY
     REMEDIAL ACTION:
            Impose Compliance Schedule
            Shut Down Facility
            Deny or Revoke Permit
            Require Environmental Cleanup
            Enter and Correct Immediate Dangers
            Seek Compensation for Damages

     INFORMATION GATHERING:
            Require Testing, Monitoring, Reporting
            Impose Labeling Requirements
            Require an Environmental Audit


     SANCTIONS AND CONSEQUENCES:
            Impose Monetary Penalty
            Seek Imprisonment -- Jail Terms
            Seize Property
            Bar from Government Loans, Guarantees, Etc.
            Seek Reimbursement for Government Clean Up
            Require Service or Community Work
            Supplemental Environmental Projects
ELEMENTS OF COMPLIANCE AND ENFORCEMENT STRATEGIES

ENFORCEMENT RESPONSE TO VIOLATIONS

 ENFORCEMENT RESPONSE AND PENALTY POLICIES:
           PRINCIPLES:                                                    ISSUES:
                                                          Civil vs. Criminal Enforcement
  Escalation and Follow Through
                                                          Circumstances for Sanctions
  Timely and Appropriate Response
                                                          First Response
  Fair, Consistent Application
                                                          Type of Sanctions



 ENFORCEMENT PROCESS
     TYPES OF MECHANISMS                             SUPPORTING THE ENFORCEMENT CASE
      Informal and Formal                                Proof
      Civil and Criminal                                 Fair Application of Policies
      Administrative and Judicial
                                    PROTECTING BASIC RIGHTS

                                    Notice
                                    Appeals
                                    Dispute Resolution
ELEMENTS OF COMPLIANCE AND ENFORCEMENT STRATEGIES

CLARIFYING ROLES AND RESPONSIBILITIES

  DESIGN ISSUES:

         LEVELS OF GOVERNMENT


         AGENCIES


         MULTI-MEDIA OR SEPARATE


         NON-GOVERNMENTAL RESOURCES


         TECHNICAL AND LEGAL STAFF
ELEMENTS OF COMPLIANCE AND ENFORCEMENT STRATEGIES

MANAGEMENT ACCOUNTABILITY AND EVALUATION

     WHY EVALUATION AND INFORMATION IS NEEDED:
        Refining Program Strategy
        Internal Accountability
        Creating Deterrence
        Public Accountability

     MEASURES OF SUCCESS:
         Environmental Results
         Compliance Rates
         Progress in Returning Violators to Compliance
         Inspections
         No. of Enforcement Cases
         Timeliness and Appropriateness of Responses
         Sanctions: e.g. Penalty Levels
         Follow Through on Orders and Agreements

     MANAGEMENT AND INFORMATION SYSTEMS
BUILDING AN EFFECTIVE PROGRAM
EVOLVING A SUCCESSFUL PROGRAM
 - ENFORCEMENT AS A PRIORITY

 - EVOLUTION OF AUTHORITIES

 - UNDERSTANDING THE REGULATED COMMUNITY

 - COORDINATING ROLES AND RESPONSIBILITIES

 - EVALUATION AND ACCOUNTABILITY: DYNAMIC PROGRAM DESIGN


CAPACITY BUILDING
 - PERSONNEL

 - INFORMATION MANAGEMENT SYSTEMS

 -
     PROGRAM FUNDING
 ENFORCEMENT IS ESSENTIAL TO:
ENVIRONMENTAL RESULTS

EQUITABLE TREATMENT OF THE REGULATED COMMUNITY

CREDIBILITY OF LAWS AND INSTITUTIONS

REALIZING LONG TERM ECONOMIC ADVANTAGES


REQUIREMENTS      ENFORCEMENT     BEHAVIOR CHANGE
Law without enforcement is
     just good advice


       Abraham Lincoln

				
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