Enforcement Actions and Tools

Responsibility for the various actions that make up the EPA enforcement program is divided among different Headquarters offices, the EPA Regions, and state agencies. Headquarters is primarily responsible for setting national policy, investigating and pursuing some national cases, anticipating in cases raising nationally significant issues, monitoring Regional and state activities, and providing technical support. The Regions generally take the primary responsibility for performing inspections, issuing administrative orders, preparing civil actions, monitoring compliance with administrative and judicial orders, and providing support to the U.S. Department of Justice (U.S. DOJ) for ongoing lawsuits. In many cases, states have the primary enforcement responsibility, although certain statutory programs cannot be authorized (e.g., the Oil Pollution Act program under Section 311 of the Clean Water Act). Even though states may take an enforcement action, if the state fails to take action, does not obtain acceptable results, or requests assistance, then EPA may become involved. Enforcement tools are specific mechanisms used in developing the various enforcement actions, such as civil penalties and supplemental environmental projects.

There are five essential aspects in EPA's enforcement activities: compliance monitoring, civil enforcement actions, criminal enforcement actions, compliance incentives, and compliance assistance. Our web site has areas devoted to each of these and to which these terms are linked.

Basically, compliance monitoring includes inspections and information gathering. This may include formal information requests, a formal inspection visit, examination and review of records, taking of samples, and observation of operations. If violations of the environmental statutes and regulations are found, generally a notice of violation is issued to the violator. In some instances, a warning letter may instead be issued for first-time violations that are not of a highly significant nature nor presenting an imminent hazard or endangerment.

The issuance of the warning letter or the notice of violation by the lead-Agency is often the first formal step in the enforcement process. Such notification should be taken by the regulated entity as notice to correct the existing problems and come into compliance as quickly as possible.

Types of Enforcement Actions and Related Topics

Civil Administrative Actions -- These are enforcement actions taken by EPA or a state under its own authority, without involving a judicial court process. An Informal Administrative Action is generally any communication from EPA or a state agency that notifies the regulated entity of a problem. A Formal Administrative Action by EPA or a state agency may begin with notice of violation or with the issuance of an Administrative Order ( either with or without penalties) to bring about compliance.

Civil Judicial Actions -- These are formal lawsuits, filed in court, against persons or entities that have failed to comply with statutory or regulatory requirements or with an Administrative Order. These cases are brought to court by the U.S. Department of Justice on behalf of EPA and by the State's Attorneys General for the states.

Criminal Actions -- EPA or a state may also enforce against an entity or person through a criminal action, depending on the nature and severity of the violation. As opposed to civil actions, criminal actions are usually reserved reserved for only the most serious violations, those that are willful, or knowingly committed. Court conviction can result in the imposition of fines or imprisonment. EPA's Criminal Enforcement Program pursues criminal actions.

Enforcement Response Policies (ERPs) -- ERPs are EPA enforcement policies that describe how the Agency will treat violations and instances of noncompliance or the action that should be taken. These are developed based on each statute or for particular programs within each statute (e.g., the wetlands program under the Clean Water Act).

Emergency Response/Emergency Orders -- EPA may act under its various authorities when there is or may be an imminent and substantial endangerment to public health and/or the environment.

Contractor Disqualification/Debarment -- These are discretionary administrative mechanisms by which the U.S. Government excludes parties from contracting with Government Agencies when an agency finds that a contractor lacks a satisfactory record of integrity and business ethics.

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Enforcement Results

Settlements -- A settlement is generally an agreed-upon resolution to an enforcement case. In an administrative action, settlements are often in the form of Consent Agreements/Final Orders (CA/FOs). In a judicial context, settlements are embodied in Consent Decrees signed by all parties to the action and filed in the appropriate court.

Civil Penalties -- These are monetary assessments to be paid by a person or regulated entity in connection with a violation or noncompliance. Penalties act as an incentive for coming into compliance and staying in compliance with the environmental statutes and regulations. Penalties are designed to recover the economic benefit of noncompliance as well as an amount to account for the seriousness of the violation.

Injunctive Relief -- Injunctive relief consists of the tasks that a violator must carry out to come into compliance.

Supplemental Environmental Projects (SEPs) -- These are environmental improvement projects that a violator voluntarily agrees to perform, in addition to actions required to correct the violations, as part of an enforcement settlement. (Additional Information)

Models and Data Bases

Settlement Economic Models (BEN, ABEL, MUNIPAY, INDIPAY, etc.)

Compliance and Enforcement Data Systems

Enforcement Results Reports

2001 Accomplishments -- Summary of the FY-2001 enforcement accomplishments released in advance of the FY-2001 OECA Accomplishments Report.

OECA Accomplishments Reports -- The Accomplish Reports provide results on the entire spectrum of the enforcement and compliance assurance programs from compliance assistance to inspections to formal enforcement actions. The report provides a summary discussions of national results by category of activity, and highlights specific cases, pilot projects or trend data through narrative and graphs.

Enforcement Environmental Results -- This consists of information on the benefits to or the improvements in the environment relating to EPA and state enforcement actions -- one of the measures of success of the enforcement programs. A summary of some of this information, not meant to be all-inclusive, has been compiled for the more important environmental statutes.

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