&EPA United States Environmental Protection Agency EPA 300-F-95-002 January 1995 Enforcement And Compliance Assurance (2225A) The Office Of Compliance An Introductory Guide COMPLIANCE ASSISTANCE CENTERS COMPLIANCE MONITORING Recycled/Recyclable Printed with Vegetable Oil Based Inks on 100% Recycled Paper (50% Postconsumer) Please Recycle as Newsprint ------- OFFICE OF COMPLIANCE Enforcement Planning, Targeting and Data Division Manufacturing, Energy and Transportation Division Chemical, Commercial Services and Municipal Division Agriculture and Ecosystem Division Planning Branch Targeting and Evaluation Branch Manufacturing Branch Energy and Transportation Branch Chemical Industry Branch Commercial Services and Municipal Branch Agriculture Branch Laboratory Data Integrity Branch Data Management Branch Resource Management ^— Team ------- BACKGROUND EPA Enforcement: The New Alignment On June 8,1994, the Environmental Protection Agency established a new Office of Enforcement and Compliance Assurance (OECA), consolidating a number of functions formerly shared among sev- eral different programs at EPA. This brochure introduces the Of- fice of Compliance (OC), one of several offices established within the new organization. Office of Compliance Mission The overriding mission of the Office of Compliance is to improve compliance with environmental laws. OC will achieve this by: • setting national compliance assurance and enforcement priorities through strategic planning and targeting; • collecting and integrating compliance data; • developing effective compliance monitoring programs to support inspections and self-reporting; • building the capacity for more effective compliance assis- tance to the regulated community; • improving the quality of regulations; • working with Regions, States, municipalities, citizens groups and industry; and • supporting enforcement activity. Office of Compliance Organization The Office of Compliance is comprised of four divisions. One Divi- sion is responsible for strategic and annual planning to set compli- ance assurance and enforcement priorities; State/tribal grant guid- ance; targeting for inspection/enforcement activity; data man- agement; and integration of compliance and enforcement data from EPA program offices. Three Divisions organized by economic sector will develop strategies to identify patterns of noncompli- ance within the regulated community; support Federal enforce- ment actions through inspection guidance and better compliance monitoring techniques; and help the regulated community un- derstand and comply with complex federal requirements. _ ------- MAJOR OC FUNCTIONS/ACTIVITIES STRATEGIC PLANNING / Develop short and long-term compliance monitoring and enforcement priorities, including State/tribal grant ' ' grant guidance RISK-BASED TARGETING / Focus compliance assurance/enforcement resources on environmentally significant facilities through risk-based targeting / Develop targeting approaches that result in high compliance rates, ecosystem protection and environmental justice DATA INTEGRATION, MANAGEMENT AND ANALYSIS / Integrate geographic, corporate, pollutant, media, and industry- specific data to support monitoring and targeting functions / Conduct detailed analyses of industry sectors to target compliance and enforcement activities / Develop accurate measures of success for enforcement and compliance activities COMPLIANCE MONITORING / Develop inspection and monitoring guidance and training / Provide Regional, State and program office support on regulatory matters and rulemakings relating to compliance monitoring COMPLIANCE ASSISTANCE / Focus the presentation and communication of environmental requiremenfs to the regulated community / Deliver clear, concise industry-specific technical and regulatory information to States, Regions and the regulated community ENVIRONMENTAL AUDITING/LEADERSHIP / Build partnerships with the regulated community to encourage facilities to go beyond compliance / Recognize outstanding compliance records and pollution prevention results ------- MAJOR OC PROJECT CONTACTS Common Sense Initiative - Printing Sector Ginger Gotliffe Ecosystems Management Walter Brodtman Enhanced Monitoring Rule Scott Throwe Electronic Data Interchange Lucy Reed Environmental Auditing Geoff Garver Environmental Justice Pat Alberico Environmental Leadership Program Tai-Ming Chang (202) 564-7072 (202)564-4181 (202)564-7013 (202) 564-5036 (202)564-5017 (202)564-5017 (202)564-5081 Expansion of C.A.A. Section 507 Enforcement Response Policy Elliott Gilberg IDEA Analyses Bruce Rothrock International GLP Agreements David Dull Sector Notebooks Project (industry profiles) Mike Barrette Small Town Compliance Assistance Strategy Ken Harmon Targeting Network Rick Duffy Worker Protection Strategy Phyllis Flaherty (202)564-2310 (202) 564-2375 (202) 564-7049 (202)564-7019 (202) 564-7049 (202) 564-2345 (202) 564-2355 ------- PLANNING, TARGETING AND DATA Strategic Enforcement Planning The Enforcement Planning, Targeting and Data Division (EPTDD) develops the strategic plan for all compliance assurance and enforcement functions at EPA. The ultimate goal of EPTDD is to focus the Agency's compliance assurance and enforcement re- sources on noncompliance problems that are pervasive and rep- resent the greatest risk to human health and the environment. To supplement single-media compliance indicators now used for tar- geting, EPTDD is developing new measures of facility-level com- pliance with all environmental laws. Compliance data analysis is being used extensively to establish targeting priorities, and mea- sure the success of national and State enforcement programs. Developing Targeting Priorities Data integration efforts by the EPTDD will improve the targeting of compliance and enforcement activities at EPA. Compliance profiles will be developed from historical records, pollution release data, corporate compliance rates, and geographic/demo- graphic characteristics. The IDEA (Integrated Data for Enforce- ment Analysis) system, managed by EPTDD, has the capability to integrate these data elements from other EPA single- media da- tabases. Based upon data analysis results, initiatives will be de- veloped by EPTDD, the Sector Divisions, and other offices within OECA to address concerns arising within industrial sectors, sensi- tive ecosystems, and environmental justice areas. Improving Environmental Success Measures Risk-based measures of enforcement activities and compliance results are being developed by EPTDD to gauge the environmen- tal impact of national and State enforcement programs. As these measures are refined, EPTDD will continue to work with Regional, State and tribal groups to promote effective enforcement strate- gies and ensure consistency of compliance and inspection data. ------- DEVELOPING SECTOR STRATEGIES Using the "Sector" Approach to Improve Compliance Traditionally at EPA, work has been divided along single-media statutory lines - air, water, waste and toxic substances. Within the Office of Compliance, all compliance issues related to a specific economic category (or industrial group) are handled by staff units specializing in that particular sector. This multi-media orientation is expected to improve compliance rates in several ways. Identification and Targeting of Noncompliance Patterns: The Sec- tor Divisions will identify patterns of noncompliance within specific economic sectors, and devise appropriate compliance assurance and enforcement strategies to correct violations. That effort will include publishing periodic compliance profiles for specific indus- tries. Support for the Enforcement and Compliance Assurance Program: The Sector Divisions will support the enforcement and compliance assurance program through inspection guidance, by improving compliance monitoring, and by providing technical advice where needed to support major enforcement actions. The specific in- dustry expertise in the Office of Compliance will be critical to these functions. Development of Compliance Assistance Programs: The Sector Di- visions will develop programs that help to organize and better ex- plain different environmental requirements that affect the same industry. As a first step, the Office of Compliance is developing "compliance service centers" to help those small business sectors with significant regulatory requirements. Media Programs The Sector Divisions are also responsible for those compliance ac- tivities (e.g., regulatory development, inspection guidance) that OECA performs for media programs. See page 12 for information on these responsibilities. ------- OC DIRECTORY OFFICE OF COMPLIANCE Mail Code - 2221 -A Elaine Stanley, Director 202-564-2280 Eric Schaeffer, Deputy Director 202-564-2280 ENFORCEMENT PLANNING, TARGETING AND DATA DIVISION (2222-A) Frederick Stiehl, Director 202-564-2290 Pat Alberico, Deputy Director 202-564-2290 Bob Heiss, Senior Legal Advisor 202-564-2290 Planning Branch Responsibilities: Strategic planning, OECA priority setting, state grant and operating plan coordination, and inter-agency Memoranda of Under- standing with other Federal agencies Jack Neylan, Branch Chief 202-564-2385 Rita Smith, MOA Team 202-564-5044 Phil Milton, Strategic Planning Team 202-564-5029 Karen Milne, RCRA Import/Export Team 202-564-5028 Data Management Branch Responsibilities: Compliance data system management (e.g., AIRS, NCDB, PCS, RCRIS, SETS, Enforcement Dockets), data integration (IDEA), training and user support Carol Galloway, Branch Chief 202-564-2375 Bob Zisa, Program Regional Liaison Team 202-564-5048 Chris Nugent, System Support and Analysis Team 202-564-7051 Bruce Rothrock, Integration Team 202-564-5038 Mike Mundell, Systems Operations Team 202-564-5031 Bob Small, Import/Export Team 202-564-5043 Resource Management Team Responsibilities: Contracts management, budget formulation, financial management, OC administrative activities, and Freedom of Informa- tion Act tracking Roberta Miller, Team Leader 202-260-7691 ------- OC DIRECTORY ENFORCEMENT TARGETING, PLANNING AND DATA DIVISION (continued) Targeting and Evaluation Branch Responsibilities: Risk-based targeting, compliance rate analysis, regional/ state program evaluation, success/performance measures, and accom- plishment reports Rick Duffy, Branch Chief 202-564-2345 Joseph Acton, Measures of Success 202-564-5002 Gerald Lappan, Targeting Network 202-564-5024 Daniel Palmer, Regional Reviews 202-564-5034 AGRICULTURE AND ECOSYSTEM DIVISION (2225-A) Rick Colbert, Director 202-564-2320 David Dull, Associate Director 202-564-2320 Agriculture Branch (AB) Regulated sectors: Agricultural production (crops/livestock), forestry, fish- ing, hunting, agricultural chemicals, irrigation systems, farm, lawn sup- ply, pest control, public lands, wildlife and forests Phyllis Flaherty, Branch Chief 202-564-2355 Walter Brodtman, Ecosystems Team 202-564-4181 David Stangel, Agriculture, FIFRA Issues Team 202-564-4162 Steve Howie, Agriculture, FIFRA Issues Team 202-564-4146 Laboratory Data Integrity Branch (LDIB) Responsibilities: Implementation of the Laboratory Data Integrity Assur- ance and Good Laboratory Practice (GLP) programs Francisco Liem, Chief 202-564-2365 Fred Siegelman, Non-GLP Issues Team 202-564-4159 ------- OC DIRECTORY MANUFACTURING, ENERGY AND TRANSPORTATION DIVISION (2223-A) John Rasnic, Director 202-564-2300 Richard Biondi, Associate Director 202-564-2300 Manufacturing Branch (MB) Regulated sectors: Mining, textile mills, lumber, wood, furniture, paper & allied products, rubber, leather, stone, clay, glass, concrete, primary metals, fabricated metal, electronic equipment, manufacture of trans- portation equipment and machinery, computers, and woodstoves Mamie Miller, Branch Chief Scott Throwe, Enhanced Monitoring Team Greg Waldrip, Metals Team Seth Heminway, Wood Products Team Robert Marshall, Woodstoves Team 202-564-2395 202-564-7013 202-564-7024 202-564-7017 202-564-7021 Energy and Transportation Branch (ETB) Regulated sectors: Coal mining, oil/gas extraction, petroleum refining, transit, USPS, transportation (air, land, rail, water), pipelines, communi- cations, electric & gas utilities, steam production, petroleum bulk stor- age & terminals, and auto repair/dealers/services David Lyons, Branch Chief 202-564-2405 Tom Ripp, Petroleum Refining Team 202-564-7003 Ted Coopwood, Power Generation Team 202-564-7058 Virginia Lathrop, Transportation Team 202-564-7057 Everett Bishop, Auto Services and Repair Team 202-564-7032 Gary Polvi, Inpections and Inspector Training Team 202-564-7056 Joanne Callahan, Radionuclies Team 202-564-5009 ------- OC DIRECTORY CHEMICAL, COMMERCIAL SERVICES AND MUNICIPAL DIVISION (2224-A) Susan Bromm, Director 202-564-2310 Elliott Gilberg, Associate Director 202-564-2310 Chemical Industry Branch (CIB) Regulated sectors: Manufacture and formulation of chemicals and al- lied products including plastics, synthetic resins, synthetic rubber, phar- maceuticals, detergents, cleaning agents, soaps, cosmetics, paints, varnishes, lacquers, enamels, wood chemicals, dyes, explosives, inks, ad- hesives, and sealants Ken Gigliello, Branch Chief Emily Chow, Combustion & CFC Compliance Team Commercial Services and Municipal Branch (CSMB) 202-564-2524 202-564-7071 Regulated sectors: Building construction, food products, tobacco, print- ing and publishing, sewers and wastewater treatment, municipalities, hazardous/solid waste facilities, wholesale trade, building materials, food stores, furniture stores, restaurants, retail, real estate, medical waste, health service, and dry cleaners Mimi Guernica, Branch Chief George Gray, Municipal Issues Team Karen Leff, Commercial Services Issues Team 202-564-2415 202-564-7069 202-564-7068 'To be most effective in measuring compliance and im- proving targeting of enforcement resources, national en- forcement strategies should increasingly be organized around 'sectors' of the economy." - EPA Administrator Carol Browner ------- REGULATED SECTOR INDEX Below is an index of regulated sectors with the appropriate Branch-level contacts. Phone listings appear on the previous pages. Questions pertaining to sectors not listed below should be directed to the Branch handling similar types of industries. *&• Agricultural - (General - livestock, crops) Agricultural chemicals - pesticides/fertilizers... Air transportation Amusement/recreation services/sports Auto dealers/service stations/repair CFCs Construction Coal mining Commercial waste industry (Hazardous and Solid) Communications Detergents/cleaning & finishing agents Disinfecting and pest control services Drugs/pharmaceuticals Electric power generation Electronic/electrical equipment and computers Explosives, inks, adhesives, sealants Farm raw materials Fishing/hunting/trapping Food/kindred products and food stores Forestry Furniture stores Furniture/fixtures (manufacture of) Health services/hospitals Heavy construction (Buildings...) Industrial inorganic chemicals Industrial organic chemicals Irrigation systems Leather and leather products Lumber and wood AB AB ETB CSMB ETB CSMB CSMB ETB CSMB ETB CIB AB CIB ETB MB CIB AB AB CSMB AB CSMB MB CSMB CSMB CIB CIB AB MB MB 10 ------- REGULATED SECTOR INDEX Abbreviations: AB - Agriculture Branch; CIB - Chemical Industry Branch; CSMB - Commercial Services and Municipal Branch; ETB - Energy and Transportation Branch; MB - Manufacturing Branch. Machinery (manufacture of) MB Mass transit ETB Metals (Mining/extraction/production/fabrication) MB Mining and quarrying (except fuels) MB Natural gas transmission ETB Oil and gas extraction ETB Paints, varnishes, lacquers, enamels CIB Paper and allied products MB Petroleum refining, distribution and related industries ETB Photographic and medical goods MB Pipelines ETB Plastics, synthetic resin & rubber (production of) CIB Plastics & rubber (manufacture of products) MB Power production (electric and gas utilities) ETB Printing/publishing industry CSMB Public lands, wildlife, and forests AB Railroads ETB Restaurants CSMB Retail (stores - all types except below) CSMB Retail nurseries, lawn and garden supply AB Sanitary services CSMB Stone/clay/glass/concrete production MB Textiles (mill products - 'apparel/fabrics) MB Tobacco products CSMB Transportation equipment (manufacture of vehicles....) MB Transportation (air, land, rail, water) ETB Water supply/wastewater treatment CSMB Wholesale trade CSMB Woodstoves MB 11 ------- SINGLE-MEDIA COORDINATION OC will Retain Single-media Functions The Office of Compliance recognizes that most Federal and State environmental offices are organized by single media. In order to facilitate access to, and promote coordination with, other offices, OC has designated specific Divisions as the point of contact for single-media compliance issues that arise outside the context of a specific industrial sector. Major statutory issue areas are listed below with the appropriate staff coordinators. STATUTE CAA CAA CWA EPCRA AHERA CAA CWA SDWA RCRA TSCA CWA FIFRA SDWA Multiple MANUFACTURING, ENERGY AND TRANSPORTATION DIVISION ISSUE AREA COORDINATOR General Sally Mitoff Enhanced Monitoring Scott Throwe Industrial Wastewater Peter Bahor General Maria Eisemann Asbestos Chris Oh CHEMICAL, COMMERCIAL SERVOS AND MUNICIPAL DIVISION Stratospheric Ozone Emily Chow Municipal George Gray Public Water Joe Sarcone General Sandi Jones General Ann Stephanos AGRICULTURE AND ECOSYSTEM DIVISION Non-point Source Water Lorilyn McKay General Shruti Sanghavi Underground Injection Control Rose Lew Wetlands/Watersheds/Coastal Zones Lorilyn McKay NUMBER 202-564-7012 202-564-7013 202-564-7029 202-564-7016 202-564-7004 202-564-7071 202-564-7069 202-564-7049 202-564-7038 202-564-7043 202-564-4151 202-564-4158 202-564-4147 202-564-4151 Statute Acronyms: CAA - Clean Air Act; CWA - Clean Water Act; EPCRA - Emergency Planning and Community Right-to-Know Act; SDWA - Safe Drinking Water Act; RCRA - Resource Conservation and Recovery Act; TSCA - Toxic Substances Control Act; FIFRA - Federal Insecticide, Fungicide and Rodenticide Act. _ ------- IMPLEMENTING THE NEW FUNCTIONS Analysis, Targeting and Communication - Our New Focus OECA will improve the targeting of enforcement actions against the worst violators, while at the same time help to reduce the transaction costs of understanding and complying with statutory and regulatory requirements. The Office of Compliance will help to achieve both of these goals in five ways: enforcement plan- ning (priority-setting based on patterns of non-compliance and risk, and coordination of environmental justice and ecosystem pro- tection programs); targeting and data management (develop- ing data systems that help target the worst offenders within a par- ticular industry, that measure success based on compliance his- tory and environmental results, and that allow public scrutiny of facility-level environmental records); compliance guidance (ad- vancing the Agency's ability to identify and detect violations, while minimizing monitoring costs); compliance and enforcement strat- egies (analyzing compliance patterns for specific industries and designing appropriate compliance or enforcement strategies for problem sectors), and auditing and compliance assistance (en- couraging companies to develop strong auditing programs to prevent or correct violations, and helping small businesses under- stand and meet compliance requirements). "Although we must maintain an imposing enforcement presence as a means of deterring noncompliance, traditional enforcement should be seen as a tool for achieving the broader goal of compliance and not as an end unto itself. Multi-media, whole facility ap- proaches to enforcement represent the future of en- vironmental protection and should be pursued when- ever possible." - Carol Browner 13 ------- OTHER OECA OFFICES OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE Steve Herman, Assistant Administrator 202-260-4134 Scott Fulton, Deputy Assistant Administrator 202-260-4137 Michael Stahl, Deputy Assistant Administrator 202-260-4543 Office of Site Remediation Enforcement (Mail Code - 2271) 202-260-4814 Bruce Diamond, Director Responsibilities: Superfund and RCRA corrective action enforcement Office of Regulatory Enforcement (2241) 202-564-2220 Robert Van Heuvelen, Director Responsibilities: Civil judicial and administrative enforcement of regulatory pro- grams; legislative policy and guidance development National Enforcement Investigations Center (2211) 303-236-5100 Frank Covington, Director Responsibilities: Technical and regional support for enforcement inspections and investigations Office of Criminal Enforcement (2231) 202-260-4539 Earl Devaney, Director Responsibilities: Criminal enforcement policy and administration Federal Facilities Enforcement Office (2261) 202-260-9801 Barry Breen, Director Responsibilities: Enforcement and compliance activities at federal bases Office of Federal Activities (2251) 202-260-5053 Richard Sanderson, Director Responsibilities: NEPA compliance, inter-agency liaison, international enforce- ment and environmental assessement Administrative and Resource Management Support Staff (2201) 202-260-4543 Sally Seymour, Director Responsibilities: Administrative support, budget, contracts, grants, and corre- spondence control Enforcement Capacity and Outreach Office (2201) 202-260-4140 Gerald Bryan, Director Responsibilities: Oversight of National Enforcement Training Institute, liaison with outside groups _ GPO : 1995 0 - 163-034 QL 3 ------- |