1. 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

2. Constitution defines Federal Relationship with 50 Sovereign States
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
EPA is part of the Executive Branch of government which is headed by the President.
The President or Executive Branch:
Sets policy direction for all Federal departments
Prepares the Fed. budget & negotiates funding levels during the legis. appropriations process. (EPA drafts the Agency's portion of the Pres. bud req.)
Is responsible for implementing and enforcing legislation passed by Congress.
Congress or Legislative Branch: Passes legislation to address environmental problems
Provides oversight and requests reviews of EPA operations (EPA has to respond to over 98 separate Congressional sub-Committees)
Determines & approves the amount of funding each Federal agency receives
The Courts or Judicial Branch: Rule on legal challenges to EPA regulations and ensures that EPA correctly interprets the laws and that Congress does not pass laws that are unconstitutional.
Constitution: Our government system is defined in our Constitution which also establishes relationships between the federal and our 50 state governments which maintain sovereignty under the federal system. The rationale for federal environmental programs is that environmental effects have an impact on commerce which crosses state boundaries. Our national program helps to prevent environment from becoming a pawn in economic gaming to attract business.
Parallel Branches of Government at federal, state and local levels.

3. U.S. EPA Organization Chart 4 Program Offices 3 Functional Offices
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 ENFORCEMENT AND COMPLIANCE ASSURANCE
OFFICE OF
LAND AND EMERGENCY MANAGEMENT
OFFICE OF
RESEARCH AND DEVELOPMENT
5 Staff Offices
OFFICE OF
INSPECTOR
GENERAL
OFFICE OF
INTERNATIONAL
AFFAIRS
OFFICE OF ADMINISTRATION AND RESOURCES MANAGEMENT
OFFICE OF
ENVIRONMENTAL INFORMATION
OFFICE OF GENERAL COUNSEL
OFFICE OF THE
CHIEF FINANCIAL
OFFICER
This is EPA's organizational Chart
EPA is led by the Administrator, who reports to the President of the US, appointed by the President and confirmed by the Senate, as are all political appointees.
The next two rows are Hdqtrs offices, headed by Assistant Administrators who are also appointed by the President and confirmed by the Senate.
The bottom two rows are EPA's 10 Regional offices which are located across the country and are headed by Regional Adminstrators who are appointed by the Administration without Senate confirmation.
DAA's & DRA's are the highest ranking career (civil service) executives.
EPA HQ offices develop and ensure consistent application of national standards, policies and programs across the Regions. They consist of
-- 4 program offices (air, water, waste, and pesticides/toxics and prevention),
--- 3 functional offices (enforcement, international affairs and research and development) and
--- 5 staff offices (administration and resources management, chief financial officer, environmental information, general counsel and inspector general).
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
EPA has a strong Regional component so that programs are implemented as close as possible to the source of environmental problems.
Regions work closely with state, tribal and local governments to:
Implement & enforce regulations and laws
---Oversee Grants & Contracts to the states &
---Ensure that the states are fulfilling their responsibilities under environmental statutes.
The Regions are located in 10 major cities across the country.
Each Region has several states to oversee.
Regions conduct most of EPA inspections or criminal investigations, but State and local governments conduct over 90% of all environmental inspections under approved or delegated programs. In contrast, EPA undertakes about 30% of formal enforcement actions.
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
State governments have primary responsibility for implementing both the Federal and their own unique state programs. States apply to receive EPA approval or delegation of the federal program in order to implement federal law based upon criteria in the law itself and EPA regulations governing what a state program must be able to demonstrate to qualify for approval. Included among the criteria are appropriate enforcement and inspection authorities and capabilities. They also apply for grants, funds to help with operations for their pollution control activities or infrastructure investments but they also raise their own revenues to fund these programs.
States can enact State env. laws independently, but these must be in addition to, or more stringent than EPA's Federal laws and their implementing regulations.
States carry out day-to-day activities such as issuing permits & conduct inspections, compliance and enforcement programs. [EPA and states have worked as partners in a number of productive ways. EPA and the states determine together what work will be carried out on an annual basis and how it will be accomplished.]

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 2,800 staff.
Work is carried out by a partnership of local, state, and Federal personnel.

8. COMPLIANCE AND ENFORCEMENT DEFINED
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)

9. FACTORS AFFECTING COMPLIANCE
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

10. 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

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

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

13. CONTEXT FOR ENFORCEMENT: ENVIRONMENTAL MANAGEMENT CYCLE
Evaluation
Awareness
Planning
Implementation
Management
Approach(es)
Legal Basis/
Requirements
Strategies &
Programs
Results
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

14. CONTEXT FOR ENFORCEMENT: ENVIRONMENTAL MANAGEMENT CYCLE
Evaluation
Awareness
Planning
Implementation
Management
Approach(es)
Legal Basis/
Requirements
Strategies &
Programs
Results
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
Compliance
and Enforcement
Creating
enforceable
requirements
Priority setting
Compliance
promotion
monitoring
Enforcement
response
Clear roles
Evaluation
Regulatory
Voluntary
Liability

15. CONTEXT FOR ENFORCEMENT: ENVIRONMENTAL MANAGEMENT CYCLE
Evaluation
Awareness
Planning
Implementation
Management
Approach(es)
Legal Basis/
Requirements
Strategies &
Programs
Results
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
Compliance
and Enforcement
Creating
enforceable
requirements
Priority setting
Compliance
promotion
monitoring
Enforcement
response
Clear roles
Evaluation
Enforcement &
Behavior Change
Regulatory
Voluntary
Liability

16. COMPLIANCE PROMOTION ELEMENTS OF COMPLIANCE AND ENFORCEMENT STRATEGIES
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

17. COMPLIANCE MONITORING
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:

18. ENFORCEMENT RESPONSE TO VIOLATIONS
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

19. ENFORCEMENT RESPONSE TO VIOLATIONS
ELEMENTS OF COMPLIANCE AND ENFORCEMENT STRATEGIES
ENFORCEMENT RESPONSE TO VIOLATIONS
ENFORCEMENT RESPONSE AND PENALTY POLICIES:
PRINCIPLES:
ISSUES:
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

20. CLARIFYING ROLES AND RESPONSIBILITIES
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. MANAGEMENT ACCOUNTABILITY AND EVALUATION
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

22. 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 -

23. 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

24. Law without enforcement is just good advice
Abraham Lincoln