1. 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

2. 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.

3. OFFICE OF AIR AND RADIATION OFFICE OF WATER OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE OFFICE OF RESEARCH AND DEVELOPMENT OFFICE OF INTERNATIONAL AFFAIRS OFFICE OF ENVIRONMENTAL 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 OF THE ADMINISTRATOR OFFICE OF INSPECTOR GENERAL U.S. EPA Organization 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

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

7. 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.

8. 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

9. BASIS FOR COMPLIANCE AND ENFORCEMENT FACTORS AFFECTING COMPLIANCE BEHAVIOR THEORY ECONOMIC 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

10. 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

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

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

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

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

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

16. 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 Requirement What is Required and Why What Changes are Necessary What are the Consequences of Not Complying TYPE OF INFORMATION: COMPLIANCE PROMOTION

17. ELEMENTS OF COMPLIANCE AND ENFORCEMENT STRATEGIES COMPLIANCE MONITORING Self-Monitoring Inspections Citizen 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 Violations Support Source Compliance Evidence for Enforcement Response Compliance Statistics

18. ELEMENTS OF COMPLIANCE AND ENFORCEMENT STRATEGIES ENFORCEMENT RESPONSE TO VIOLATIONS 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 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 Impose Compliance Schedule Shut Down Facility Deny or Revoke Permit Require Environmental Cleanup Enter and Correct Immediate Dangers Seek Compensation for Damages Impose Compliance Schedule Shut Down Facility Deny or Revoke Permit Require Environmental Cleanup Enter and Correct Immediate Dangers Seek Compensation for Damages RANGE OF ENFORCEMENT RESPONSES: TYPES OF AUTHORITY REMEDIAL ACTION: Require Testing, Monitoring, Reporting Impose Labeling Requirements Require an Environmental Audit Require Testing, Monitoring, Reporting Impose Labeling Requirements Require an Environmental Audit INFORMATION GATHERING: SANCTIONS AND CONSEQUENCES:

19. 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

20. 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

21. 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 Accountability Creating Deterrence Public Accountability 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 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

22. BUILDING AN EFFECTIVE PROGRAM PERSONNEL INFORMATION MANAGEMENT SYSTEMS PROGRAM FUNDING CAPACITY BUILDING ------ 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 ----------

23. ENFORCEMENT IS ESSENTIAL TO: REQUIREMENTSENFORCEMENTBEHAVIOR CHANGE ENVIRONMENTAL RESULTS EQUITABLE TREATMENT OF THE REGULATED COMMUNITY CREDIBILITY OF LAWS AND INSTITUTIONS REALIZING LONG TERM ECONOMIC ADVANTAGES

24. Law without enforcement is just good advice Abraham Lincoln