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
Jan 14, 2016
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.
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
Attain EnvironmentalQuality
Prevent Pollution
Sustain Uses
Clean Up Contamination
Evaluation
Planning
Awareness
Implementation
Goals Management Approach(es)
Management Approach(es)
Legal Basis/Requirements
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
Economic and Market Based
Risk-Based
Pollution Prevention
Regulatory
Voluntary
Liability
Regulatory
Voluntary
Liability
Reduce Risk
Attain EnvironmentalQuality
Prevent Pollution
Sustain Uses
Clean Up Contamination
Reduce Risk
Attain EnvironmentalQuality
Prevent Pollution
Sustain Uses
Clean Up Contamination
Evaluation
Planning
Awareness
Implementation
Goals Management Approach(es)
Management Approach(es)
Legal Basis/Requirements
Legal Basis/Requirements
ResultsResultsStrategies & Programs
Strategies & Programs
CONTEXT FOR ENFORCEMENT:
ENVIRONMENTAL MANAGEMENT CYCLE
Legislation
Regulations
Permits/Licenses
Court Cases
Programs
Legislation
Regulations
Permits/Licenses
Court Cases
Programs
Command andControl
Economic and Market Based
Risk-Based
Pollution Prevention
Command andControl
Economic and Market Based
Risk-Based
Pollution Prevention
Regulatory
Voluntary
Liability
Regulatory
Voluntary
Liability
Reduce Risk
Attain EnvironmentalQuality
Prevent Pollution
Sustain Uses
Clean Up Contamination
Reduce Risk
Attain EnvironmentalQuality
Prevent Pollution
Sustain Uses
Clean Up Contamination
Evaluation
Planning
Awareness
Implementation
Goals Management Approach(es)
Management Approach(es)
Legal Basis/Requirements
Legal Basis/Requirements
ResultsResultsStrategies & Programs
Strategies & Programs
CONTEXT FOR ENFORCEMENT:
ENVIRONMENTAL MANAGEMENT CYCLE
Legislation
Regulations
Permits/Licenses
Court Cases
Programs
Legislation
Regulations
Permits/Licenses
Court Cases
Programs
Command andControl
Economic and Market Based
Risk-Based
Pollution Prevention
Command andControl
Economic and Market Based
Risk-Based
Pollution Prevention
Regulatory
Voluntary
Liability
Regulatory
Voluntary
Liability
Reduce Risk
Attain EnvironmentalQuality
Prevent Pollution
Sustain Uses
Clean Up Contamination
Reduce Risk
Attain EnvironmentalQuality
Prevent Pollution
Sustain Uses
Clean Up Contamination
Creating enforceable requirements Priority setting Compliance promotion Compliance monitoring Enforcement response Clear roles Evaluation
Creating enforceable requirements Priority setting Compliance promotion Compliance monitoring Enforcement response Clear roles Evaluation
Evaluation
Planning
Awareness
Complianceand Enforcement
Complianceand Enforcement
Implementation
Goals Management Approach(es)
Management Approach(es)
Legal Basis/Requirements
Legal Basis/Requirements
ResultsResultsStrategies & Programs
Strategies & Programs
CONTEXT FOR ENFORCEMENT:
ENVIRONMENTAL MANAGEMENT CYCLE
Legislation
Regulations
Permits/Licenses
Court Cases
Programs
Legislation
Regulations
Permits/Licenses
Court Cases
Programs
Command andControl
Economic and Market Based
Risk-Based
Pollution Prevention
Command andControl
Economic and Market Based
Risk-Based
Pollution Prevention
Regulatory
Voluntary
Liability
Regulatory
Voluntary
Liability
Reduce Risk
Attain EnvironmentalQuality
Prevent Pollution
Sustain Uses
Clean Up Contamination
Reduce Risk
Attain EnvironmentalQuality
Prevent Pollution
Sustain Uses
Clean Up Contamination
Creating enforceable requirements Priority setting Compliance promotion Compliance monitoring Enforcement response Clear roles Evaluation
Creating enforceable requirements Priority setting Compliance promotion Compliance monitoring Enforcement response Clear roles Evaluation
Evaluation
Planning
Awareness
Enforcement & Behavior Change
Complianceand Enforcement
Complianceand Enforcement
Implementation
Goals Management Approach(es)
Management Approach(es)
Legal Basis/Requirements
Legal Basis/Requirements
ResultsResultsStrategies & Programs
Strategies & Programs
CONTEXT FOR ENFORCEMENT:
ENVIRONMENTAL MANAGEMENT CYCLE
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
ELEMENTS OF COMPLIANCE AND ENFORCEMENT STRATEGIES
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
ELEMENTS OF COMPLIANCE AND ENFORCEMENT STRATEGIES
ENFORCEMENT RESPONSE TO VIOLATIONS
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:
ELEMENTS OF COMPLIANCE AND ENFORCEMENT STRATEGIES
ENFORCEMENT RESPONSE TO VIOLATIONS
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
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
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