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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




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




Ÿ Operate delegated or approved federal programs
Ÿ Independently enact state laws and operate unique state
  environmental programs
Ÿ Monitor environmental conditions
Ÿ Operational activities such as issuing permits
Ÿ Compliance and enforcement programs
      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 : :
 COMPLIANCE
  GOAL OF MEETING ENVIRONMENTAL REQUIREMENTS
   GOAL OF MEETING ENVIRONMENTAL REQUIREMENTS
  IN STANDARDS, REGULATIONS, PERMITS
   IN STANDARDS, REGULATIONS, PERMITS


 ENFORCEMENT:
 ENFORCEMENT:
   ACTIONS TO ENCOURAGE OR COMPEL COMPLIANCE
    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
 DETERRENCE THEORY
          CREDIBLE LIKELIHOOD OF DETECTION
          SWIFT AND SURE RESPONSE
          APPROPRIATE SANCTION
          PERCEPTION OF THE FIRST THREE ELEMENTS

ECONOMIC THEORY
 ECONOMIC THEORY


BEHAVIOR 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
                             Management Legal Basis/
                                          Legal Basis/   Strategies &
                                                          Strategies &   Results
                                                                          Results
          Goals                                          Programs
                            Approach(es) Requirements
                             Approach(es) Requirements    Programs
       Reduce Risk
        Reduce Risk
       Attain
        Attain
       Environmental
        Environmental
       Quality
        Quality
       Prevent Pollution
        Prevent Pollution
       Sustain Uses
        Sustain Uses
       Clean Up
        Clean Up
       Contamination
        Contamination
                        CONTEXT FOR ENFORCEMENT:

ENVIRONMENTAL MANAGEMENT CYCLE
                                            Evaluation
Awareness


               Planning                                  Implementation
                            Management                 Strategies &
          Goals              Management Legal Basis/
                                          Legal Basis/  Strategies &
                                                       Programs
                                                                       Results
                                                                        Results
                            Approach(es) Requirements
                             Approach(es) Requirements Programs
       Reduce Risk          Command and
        Reduce Risk          Command and
                            Control
                             Control
       Attain
        Attain
       Environmental        Economic and
        Environmental        Economic and
                            Market Based
       Quality
        Quality              Market Based
       Prevent Pollution    Risk-Based
        Prevent Pollution    Risk-Based
       Sustain Uses         Pollution
        Sustain Uses         Pollution
                            Prevention
                             Prevention
       Clean Up
        Clean Up
       Contamination
        Contamination       Regulatory
                             Regulatory
                            Voluntary
                             Voluntary
                            Liability
                             Liability
                        CONTEXT FOR ENFORCEMENT:

ENVIRONMENTAL MANAGEMENT CYCLE
                                            Evaluation
Awareness


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

ENVIRONMENTAL MANAGEMENT CYCLE
                                            Evaluation
Awareness


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

ENVIRONMENTAL MANAGEMENT CYCLE
                                            Evaluation
Awareness


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

            COMPLIANCE PROMOTION
    PROVIDING EDUCATION AND TECHNICAL ASSISTANCE

TYPE OF INFORMATION:                          WAYS TO PROVIDE INFORMATION:
                                               WAYS TO PROVIDE INFORMATION:
 Who is Subject to Requirement                 Publications, Hot Lines
 What is Required and Why                       Publications, Hot Lines
                                               Training, Conferences
 What Changes are Necessary                     Training, Conferences
 What are the Consequences of Not Complying    Universities
                                                Universities
                                               Trade and Professional Associations
                                                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
             Impose Compliance Schedule
            Shut Down Facility
             Shut Down Facility
            Deny or Revoke Permit
             Deny or Revoke Permit
            Require Environmental Cleanup
             Require Environmental Cleanup
            Enter and Correct Immediate Dangers
             Enter and Correct Immediate Dangers
            Seek Compensation for Damages
             Seek Compensation for Damages

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

     SANCTIONS AND CONSEQUENCES:
            Impose Monetary Penalty
             Impose Monetary Penalty
            Seek Imprisonment ---- Jail Terms
             Seek Imprisonment Jail Terms
            Seize Property
             Seize Property
            Bar from Government Loans, Guarantees, Etc.
             Bar from Government Loans, Guarantees, Etc.
            Seek Reimbursement for Government Clean Up
             Seek Reimbursement for Government Clean Up
            Require Service or Community Work
             Require Service or Community Work
            Supplemental Environmental Projects
             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                         Civil vs. Criminal Enforcement
   Escalation and Follow Through                       Circumstances for Sanctions
  Timely and Appropriate Response                       Circumstances for Sanctions
   Timely and Appropriate Response                     First Response
  Fair, Consistent Application                          First Response
   Fair, Consistent Application                        Type of Sanctions
                                                        Type of Sanctions



 ENFORCEMENT PROCESS
     TYPES OF MECHANISMS                           SUPPORTING THE ENFORCEMENT CASE
      TYPES OF MECHANISMS                           SUPPORTING THE ENFORCEMENT CASE
      Informal and Formal                         Proof
       Informal and Formal                         Proof
      Civil and Criminal                          Fair Application of Policies
       Civil and Criminal                          Fair Application of Policies
      Administrative and Judicial
       Administrative and JudicialPROTECTING BASIC RIGHTS
                                   PROTECTING BASIC RIGHTS
                                 Notice
                                  Notice
                                 Appeals
                                  Appeals
                                 Dispute Resolution
                                  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
         Environmental Results
        Compliance Rates
         Compliance Rates
        Progress in Returning Violators to Compliance
         Progress in Returning Violators to Compliance
        Inspections
         Inspections
        No. of Enforcement Cases
         No. of Enforcement Cases
        Timeliness and Appropriateness of Responses
         Timeliness and Appropriateness of Responses
        Sanctions: e.g. Penalty Levels
         Sanctions: e.g. Penalty Levels
        Follow Through on Orders and Agreements
         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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