ORIGINS AND CONTEXT DEFINITIONS AND BASIS FOR COMPLIANCE AND ENFORCEMENT FRAMEWORK: STRATEGIES AND PROGRAM ELEMENTS BUILDING AN EFFECTIVE PROGRAM PRINCIPLES

ORIGINS AND CONTEXT

DEFINITIONS AND BASIS FOR COMPLIANCE AND ENFORCEMENT

FRAMEWORK: STRATEGIES AND PROGRAM ELEMENTS

BUILDING AN EFFECTIVE PROGRAM

PRINCIPLES OF ENVIRONMENTAL ENFORCEMENT

AN OVERVIEW

FEDERAL GOVERNMENT Constitution defines Federal Relationship with 50 Sovereign States

Courts (Judiciary)

• Interpretation • Legal challenges

President (Executive)

• Policy direction• Legislation implementation

and enforcement• Budget request• Management of federal

agencies

Congress (Legislative)

• Legislation (Authorities and Mandates consistent with Constitution)

• Funding

• Program oversight

Parallel Branches of Government at federal, state and local levels.

http://www.readio.com/nychotels/white-house-pictures.jpg

OFFICE OFAIR AND

RADIATION

OFFICE OFWATER

OFFICE OFSOLID WASTE AND

EMERGENCYRESPONSE

OFFICE OFRESEARCH AND DEVELOPMENT

OFFICE OFINTERNATIONAL

AFFAIRS

OFFICE OFENVIRONMENTAL

INFORMATION

REGION VII(Kansas City, KS)

REGION VIII(Denver, CO)

REGION IX(San Francisco, CA)

REGION X(Seattle, WA)

REGION I(Boston, MA)

REGION II(New York, NY)

REGION III(Philadelphia,

PA)

REGION IV(Atlanta, GA)

REGION V(Chicago, IL)

REGION VI(Dallas, TX)

OFFICE OFTHE

ADMINISTRATOR

OFFICE OFINSPECTORGENERAL

U.S. EPAOrganization Chart

OFFICE OF THE CHIEF FINANCIAL

OFFICER

OFFICE OF PREVENTION,

PESTICIDES, AND TOXIC SUBSTANCES

OFFICE OF GENERAL COUNSEL

OFFICE OF ENFORCEMEN AND

COMPLIANCE ASSURANCE

OFFICE OF ADMINISTRATION AND RESOURCES

MANAGEMENT

4 Program Offices

5 Staff Offices

3 Functional Offices

REGIONAL OFFICES

Execute EPA programs implementing federal environmental laws: permits, monitoring, inspection, enforcement response, state grants, audit of state programs, emergency response

Oversee state operations: Located in 10 “Federal” Regions, cover 3-8 States each

Address environmental issues confronting the region

Research Labs identified by:

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

74.6%

19.8%

5.6%

Breakdown by HQ and Regions

Regional Personnel

Headquarters Personnel

Headquarters Personnel:Stationed in Regions

EPA Enforcement Personnel

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.

ENFORCEMENT:

ACTIONS TO ENCOURAGE OR COMPEL COMPLIANCE

ENFORCEMENT:

ACTIONS TO ENCOURAGE OR COMPEL COMPLIANCE

COMPLIANCE :

GOAL OF MEETING ENVIRONMENTAL REQUIREMENTS IN STANDARDS, REGULATIONS, PERMITS

COMPLIANCE :

GOAL OF MEETING ENVIRONMENTAL REQUIREMENTS IN STANDARDS, REGULATIONS, PERMITS

BASIS FOR COMPLIANCE AND ENFORCEMENT

Inspections and Investigations (Compliance Monitoring)Legal Sanction (Enforcement Response)Negotiation........Plus Incentives and Assistance (Compliance Promotion)

COMPLIANCE AND ENFORCEMENT DEFINED

BASIS FOR COMPLIANCE AND ENFORCEMENT

FACTORS AFFECTING COMPLIANCE

BEHAVIOR THEORY BEHAVIOR THEORY

ECONOMIC THEORY ECONOMIC THEORY

DETERRENCE THEORY DETERRENCE THEORY

SOCIAL FACTORS

PSYCHOLOGICAL FACTORS

KNOWLEDGE AND TECHNICAL FACTORS

ORGANIZATIONAL BEHAVIOR

CREDIBLE LIKELIHOOD OF DETECTION

SWIFT AND SURE RESPONSE

APPROPRIATE SANCTION

PERCEPTION OF THE FIRST THREE ELEMENTS

CREATING ENFORCEABLE REQUIREMENTS

ESTABLISHING PROGRAM PRIORITIES

COMPLIANCE PROMOTION

COMPLIANCE MONITORING

ENFORCEMENT RESPONSE TO VIOLATIONS

CLARIFYING ROLES AND RESPONSIBILITIES

MANAGEMENT ACCOUNTABILITY AND EVALUATION

FRAMEWORK:

ELEMENTS OF A COMPLIANCE STRATEGY/ENFORCEMENT PROGRAM

Reduce Risk

Attain EnvironmentalQuality

Prevent Pollution

Sustain Uses

Clean Up Contamination

Reduce Risk


Prevent Pollution

Sustain Uses


Evaluation

Planning

Awareness

Implementation

Goals Management Approach(es)

Management Approach(es)

Legal Basis/Requirements


ResultsResultsStrategies & Programs

Strategies & Programs

CONTEXT FOR ENFORCEMENT:

ENVIRONMENTAL MANAGEMENT CYCLE

Command andControl

Economic and Market Based

Risk-Based

Pollution Prevention

Command andControl


Risk-Based


Regulatory

Voluntary

Liability

Regulatory

Voluntary

Liability

Reduce Risk


Prevent Pollution

Sustain Uses


Reduce Risk


Prevent Pollution

Sustain Uses


Evaluation

Planning

Awareness

Implementation









Legislation

Regulations

Permits/Licenses

Court Cases

Programs

Legislation

Regulations

Permits/Licenses

Court Cases

Programs

Command andControl


Risk-Based


Command andControl


Risk-Based


Regulatory

Voluntary

Liability

Regulatory

Voluntary

Liability

Reduce Risk


Prevent Pollution

Sustain Uses


Reduce Risk


Prevent Pollution

Sustain Uses


Evaluation

Planning

Awareness

Implementation









Legislation

Regulations

Permits/Licenses

Court Cases

Programs

Legislation

Regulations

Permits/Licenses

Court Cases

Programs

Command andControl


Risk-Based


Command andControl


Risk-Based


Regulatory

Voluntary

Liability

Regulatory

Voluntary

Liability

Reduce Risk


Prevent Pollution

Sustain Uses


Reduce Risk


Prevent Pollution

Sustain Uses


Creating enforceable requirements Priority setting Compliance promotion Compliance monitoring Enforcement response Clear roles Evaluation


Evaluation

Planning

Awareness

Complianceand Enforcement


Implementation









Legislation

Regulations

Permits/Licenses

Court Cases

Programs

Legislation

Regulations

Permits/Licenses

Court Cases

Programs

Command andControl


Risk-Based


Command andControl


Risk-Based


Regulatory

Voluntary

Liability

Regulatory

Voluntary

Liability

Reduce Risk


Prevent Pollution

Sustain Uses


Reduce Risk


Prevent Pollution

Sustain Uses




Evaluation

Planning

Awareness

Enforcement & Behavior Change



Implementation









BUILDING PUBLIC SUPPORT PUBLICIZING SUCCESS STORIES CREATIVE FINANCING ARRANGEMENTS PROVIDING ECONOMIC INCENTIVES BUILDING ENVIRONMENTAL MANAGEMENT CAPABILITY

ELEMENTS OF COMPLIANCE AND ENFORCEMENT STRATEGIES

WAYS TO PROVIDE INFORMATION:

Publications, Hot Lines Training, Conferences Universities Trade and Professional Associations

WAYS TO PROVIDE INFORMATION:

Publications, Hot Lines Training, Conferences Universities Trade and Professional Associations

PROVIDING EDUCATION AND TECHNICAL ASSISTANCE

Who is Subject to RequirementWhat is Required and WhyWhat Changes are NecessaryWhat are the Consequences of Not Complying

TYPE OF INFORMATION:

COMPLIANCE PROMOTION


COMPLIANCE MONITORING

Self-MonitoringInspectionsCitizen Complaints, Area Monitoring

PURPOSES:

SOURCES:

Extent of Self-Monitoring Inspection Targeting, Frequency, Announced VS. Unannounced, Single VS. Multi-Media, Training Access to Information

STRATEGY ISSUES:

Detect ViolationsSupport Source Compliance Evidence for Enforcement ResponseCompliance Statistics



Impose Monetary PenaltySeek Imprisonment -- Jail TermsSeize PropertyBar from Government Loans, Guarantees, Etc.Seek Reimbursement for Government Clean UpRequire Service or Community Work Supplemental Environmental Projects

Impose Monetary PenaltySeek Imprisonment -- Jail TermsSeize PropertyBar from Government Loans, Guarantees, Etc.Seek Reimbursement for Government Clean UpRequire Service or Community Work Supplemental Environmental Projects

Impose Compliance ScheduleShut Down FacilityDeny or Revoke PermitRequire Environmental CleanupEnter and Correct Immediate DangersSeek Compensation for Damages

Impose Compliance ScheduleShut Down FacilityDeny or Revoke PermitRequire Environmental CleanupEnter and Correct Immediate DangersSeek Compensation for Damages

RANGE OF ENFORCEMENT RESPONSES: TYPES OF AUTHORITY

REMEDIAL ACTION:

Require Testing, Monitoring, ReportingImpose Labeling RequirementsRequire an Environmental Audit

Require Testing, Monitoring, ReportingImpose Labeling RequirementsRequire an Environmental Audit

INFORMATION GATHERING:

SANCTIONS AND CONSEQUENCES:



ENFORCEMENT PROCESS

ENFORCEMENT RESPONSE AND PENALTY POLICIES:

Civil vs. Criminal Enforcement Circumstances for Sanctions First Response Type of Sanctions

Civil vs. Criminal Enforcement Circumstances for Sanctions First Response Type of Sanctions

ISSUES:

Escalation and Follow Through Timely and Appropriate Response Fair, Consistent Application

Escalation and Follow Through Timely and Appropriate Response Fair, Consistent Application

PRINCIPLES:

TYPES OF MECHANISMS

Informal and Formal Civil and Criminal Administrative and Judicial

TYPES OF MECHANISMS

Informal and Formal Civil and Criminal Administrative and Judicial

SUPPORTING THE ENFORCEMENT CASE

Proof Fair Application of Policies

SUPPORTING THE ENFORCEMENT CASE

Proof Fair Application of Policies PROTECTING BASIC RIGHTS

Notice Appeals Dispute Resolution

PROTECTING BASIC RIGHTS

Notice Appeals Dispute Resolution


CLARIFYING ROLES AND RESPONSIBILITIES

DESIGN ISSUES:

LEVELS OF GOVERNMENT

AGENCIES

MULTI-MEDIA OR SEPARATE

NON-GOVERNMENTAL RESOURCES

TECHNICAL AND LEGAL STAFF


MANAGEMENT ACCOUNTABILITY AND EVALUATION

MEASURES OF SUCCESS:

MANAGEMENT AND INFORMATION SYSTEMS

WHY EVALUATION AND INFORMATION IS NEEDED: Refining Program Strategy

Internal AccountabilityCreating DeterrencePublic Accountability

Environmental ResultsCompliance RatesProgress in Returning Violators to Compliance

InspectionsNo. of Enforcement CasesTimeliness and Appropriateness of ResponsesSanctions: e.g. Penalty LevelsFollow Through on Orders and Agreements

Environmental ResultsCompliance RatesProgress in Returning Violators to Compliance

InspectionsNo. of Enforcement CasesTimeliness and Appropriateness of ResponsesSanctions: e.g. Penalty LevelsFollow Through on Orders and Agreements

BUILDING AN EFFECTIVE PROGRAM

PERSONNEL INFORMATION MANAGEMENT SYSTEMS

PROGRAM FUNDING

CAPACITY BUILDING

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ENFORCEMENT AS A PRIORITY EVOLUTION OF AUTHORITIES

UNDERSTANDING THE REGULATED COMMUNITY

COORDINATING ROLES AND RESPONSIBILITIES

EVALUATION AND ACCOUNTABILITY: DYNAMIC PROGRAM DESIGN

EVOLVING A SUCCESSFUL PROGRAM

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ENFORCEMENT IS ESSENTIAL TO:

REQUIREMENTS ENFORCEMENT BEHAVIOR CHANGE

ENVIRONMENTAL RESULTS

EQUITABLE TREATMENT OF THE REGULATED COMMUNITY

CREDIBILITY OF LAWS AND INSTITUTIONS

REALIZING LONG TERM ECONOMIC ADVANTAGES

Law without enforcement is just good advice

Abraham Lincoln

Documents

ORIGINS AND CONTEXT DEFINITIONS AND BASIS FOR COMPLIANCE AND ENFORCEMENT FRAMEWORK: STRATEGIES AND PROGRAM ELEMENTS BUILDING AN EFFECTIVE PROGRAM PRINCIPLES