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PRINCIPLES OF ENVIRONMENTAL ENFORCEMENT AN OVERVIEW

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

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PRINCIPLES OF ENVIRONMENTAL ENFORCEMENT AN OVERVIEW

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  1. PRINCIPLES OF ENVIRONMENTAL ENFORCEMENTAN OVERVIEW ORIGINS AND CONTEXT DEFINITIONS AND BASIS FOR COMPLIANCE AND ENFORCEMENT FRAMEWORK: STRATEGIES AND PROGRAM ELEMENTS BUILDING AN EFFECTIVE PROGRAM

  2. FEDERAL GOVERNMENT • Constitution defines Federal Relationship with 50 Sovereign States • President (Executive) • Policy direction • Legislation implementation and enforcement • Budget request • Management of federal agencies • Courts(Judiciary) • Interpretation • Legal challenges • Congress(Legislative) • Legislation (Authorities and Mandates consistent with Constitution) • Funding • Program oversight • Parallel Branches of Government at federal, state and local levels.

  3. U.S. EPA Organization Chart OFFICE OF THE ADMINISTRATOR 4 Program Offices 3 Functional Offices OFFICE OF PREVENTION, PESTICIDES, AND TOXIC SUBSTANCES OFFICE OF AIR AND RADIATION OFFICE OF WATER OFFICE OF ENFORCEMEN AND COMPLIANCE ASSURANCE OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE OFFICE OF RESEARCH AND DEVELOPMENT 5 Staff Offices OFFICE OF ADMINISTRATION AND RESOURCES MANAGEMENT OFFICE OF GENERAL COUNSEL OFFICE OF THE CHIEF FINANCIAL OFFICER OFFICE OF INSPECTOR GENERAL OFFICE OF INTERNATIONAL AFFAIRS OFFICE OF ENVIRONMENTAL INFORMATION 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) REGION VII (Kansas City, KS) REGION VIII (Denver, CO) REGION IX (San Francisco, CA) REGION X (Seattle, WA)

  4. 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:

  5. 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

  6. 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. US EPA Programs are highly decentralized

  7. 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)

  8. 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

  9. 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

  10. CONTEXT FOR ENFORCEMENT: ENVIRONMENTAL MANAGEMENT CYCLE Evaluation Awareness Planning Implementation Management Approach(es) Legal Basis/ Requirements Results Strategies & Programs Goals Reduce Risk Attain Environmental Quality Prevent Pollution Sustain Uses Clean Up Contamination

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

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

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

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

  15. ELEMENTS OF COMPLIANCE AND ENFORCEMENT STRATEGIES COMPLIANCE PROMOTION BUILDING PUBLIC SUPPORT PUBLICIZING SUCCESS STORIES CREATIVE FINANCING ARRANGEMENTS PROVIDING ECONOMIC INCENTIVES BUILDING ENVIRONMENTAL MANAGEMENT CAPABILITY PROVIDING EDUCATION AND TECHNICAL ASSISTANCE WAYS TO PROVIDE INFORMATION: Publications, Hot Lines Training, Conferences Universities Trade and Professional Associations TYPE OF INFORMATION: Who is Subject to Requirement What is Required and Why What Changes are Necessary What are the Consequences of Not Complying

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

  17. 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

  18. ELEMENTS OF COMPLIANCE AND ENFORCEMENT STRATEGIES ENFORCEMENT RESPONSE TO VIOLATIONS ENFORCEMENT RESPONSE AND PENALTY POLICIES: ISSUES: PRINCIPLES: Escalation and Follow Through Timely and Appropriate Response Fair, Consistent Application Civil vs. Criminal Enforcement Circumstances for Sanctions First Response Type of Sanctions ENFORCEMENT PROCESS TYPES OF MECHANISMS Informal and Formal Civil and Criminal Administrative and Judicial SUPPORTING THE ENFORCEMENT CASE Proof Fair Application of Policies PROTECTING BASIC RIGHTS Notice Appeals Dispute Resolution

  19. 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

  20. 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

  21. 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 - - -

  22. 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

  23. Law without enforcement is just good advice Abraham Lincoln

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