United States Office of
Environmental Protection Enforcement and
Agency Compliance Assurance
July 1994 ~ EPA 300/F-94/002 ~
Office of Compliance
Creating an Innovative
Enforcement and
Compliance Assurance
Program:
An Introduction to the
Office of Compliance
-------
ORGANIZATION
OF COMMJANCt
.' •" -. Elaine Stanley, Director'
Eric Schaeffer, Deputy Director
Enforcement Planning, Targeting and Data Division
Planning Branch
• Targeting and Evaluation Branch
| Data Management Branch
J Daeru irr*a MnnnnAmant Tonm
Manufacturing, Energy and Transportation Division
Manufacturing Branch
L Energy and Transportation Branch
Chemical, Commercial Services and Municipal Division |
Chemical Industry Branch
Commercial Services and Municipal Branch
Agriculture and Ecosystem Division
Agriculture Branch
Laboratory Data Integrity Branch
U.S. Environmental Protection Agency
foe'onS Ubrary(pL-12J)
// West Jackson Boulevard, 12th Floor
Chicago, IL 60604-3590
-------
OTHER OECA OFFICES
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Steve Herman, Assistant Administrator
Scott Fulton, Deputy Assistant Administrator
Michael Stahl, Deputy Assistant Administrator
202-260-5145
202-260-4137
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) 202-260-4540
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)
Earl Devaney, Director
Responsibilities: Criminal enforcement policy and administration
202-260-4539
202-260-9801
Federal Facilities Enforcement Office (2261)
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) 202-260-5144
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
__ ____ ___
-------
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).
0» «*
of
th& broactef -goal & cotr^^ri^ -trndl twt
- Carol Browner
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.
MANUFACTURING, ENERGY AND TRANSPORTATION DIVISION
STATUTE
CAA
CAA
CWA
EPCRA
AHERA
ISSUE AREA
General
Enhanced Monitoring
Industrial Wastewater
General
Asbestos
COORDINATOR
Sally Mitoff
Scott Throws
Peter Bahor
Bob Fentress
Chris Oh
NUMBER
703-308-8692
703-308-8699
202-260-7280
703-308-8698
703-308-8732
CHEMICAL, COMMERCIAL SERVICES AND MUNICIPAL DIVISION
CWA, SDWA
OPA
RCRA
TSCA
Municipal/Public Water
General
General
General
Anne Murray
Cecilia Smith
Sandi Jones
Ann Stephanos
202-260-7358
703-603-8943
202-260-6255
202-260-9438
AGRICULTURE AND ECOSYSTEM DIVISION
CWA
FIFRA
SDWA
Multiple
Non-point Source Water
General
Underground Injection Control
Wetlands/Watersheds/Coastal Zones
Lorilyn McKay
Shruti Sanghavi
Rose Lew
Lorilyn McKay
202-260-6733
703-308-8291
202-260-6720
202-260-6733
Statute Acronyms: CAA - Clean Air Act; CWA - Clean Water Act; EPCRA - Emergency
Planning and Community Right-to-Know Act; SDWA - Safe Drinking Water Act; OPA - Oil
Pollution Act; RCRA - Resource Conservation and Recovery Act; TSCA - Toxic Substances
Control Act; FIFRA - Federal Insecticide, Fungicide and Rodenticide Act.
To
-------
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
-------
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
-------
OC SECTOR DIRECTORY
CHEMICAL, COMMERCIAL SERVICES AND MUNICIPAL DIVISION
Susan Bromm, Director 202-260-4808
Elliott Gilberg, Associate Director 202-260-2819
Chemical Industry Branch (CIB)
Ken Gigliello, Chief 202-260-8544
Regulated sectors: Manufacture and formulation of chemicals and
allied products including plastics, synthetic resins, synthetic rub-
ber, Pharmaceuticals, detergents, cleaning agents, soaps, cos-
metics, paints, varnishes, lacquers, enamels, wood chemicals,
dyes, explosives, inks, adhesives, and sealants
Commercial Services and Municipal Branch (CSMB)
Mimi Guernica, Chief 202-260-8320
Regulated sectors: Building construction, food products, tobacco,
printing and publishing, sewers and wastewater treatment, mu-
nicipalities, hazardous/solid waste facilities, wholesale trade, build-
ing materials, food stores, furniture stores, restaurants, retail, real
estate, medical waste, health service, and dry cleaners
AGRICULTURE AND ECOSYSTEM DIVISION
David Dull, Acting Director and Associate Director 703-308-8300
Agriculture Branch (AB)
Phyllis Flaherty, Chief 703-308-8383
Regulated sectors: Agricultural production (crops/livestock), for-
estry, fishing, hunting, agricultural chemicals, irrigation systems,
farm, lawn supply, pest control, public lands, wildlife and forests
('Branch includes Ecosystem Team headed by Walter Brodtman)
Laboratory Data Integrity Branch (LDIB)
Francisco Liem, Chief 703-308-8333
Responsibilities: Implementation of the Laboratory Data Integrity
Assurance and Good Laboratory Practice programs
-------
OC SECTOR DIRECTORY
of en&tfenienf rmourcm, na-
MANUFACTURING, ENERGY AND TRANSPORTATION DIVISION
John Rasnic, Director 703-308-8600
Richard Biondi, Associate Director 703-308-8600
Manufacturing Branch (MB)
Mamie Miller, Chief
703-308-8686
Regulated sectors: Mining, textile mills, lumber, wood, furniture, pa-
per & allied products, rubber, leather, stone, clay, glass, concrete,
primary metals, fabricated metal, electronic equipment, manu-
facture of transportation equipment and machinery, computers,
instruments, and woodstoves
Energy and Transportation Branch (ETB)
David Lyons, Chief
202-260-8310
Regulated sectors: Coal mining, oil/gas extraction, petroleum re-
fining, mass transit, USPS, transportation (air, land, rail and water),
pipelines, communications, electric & gas utilities, steam produc-
tion, petroleum bulk storage & terminals, and auto repair, deal-
ers, and services
NOTE: The phone numbers listed in this Directory are subject
to change when OECA moves to its new headquar-
ters building (Fall '94). Call the EPA Locator at 202-
260-2090 for updated information.
-------
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
new Office of Compliance, all compliance issues related to a spe-
cific economic category (or industrial group) are handled by staff
units specializing in that particular sector. This multi-media orienta-
tion 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 10 for information
on these responsibilities.
-------
OC DIRECTORY
OFFICE OF COMPLIANCE Mail Code - 2221
Elaine Stanley, Director 202-260-8115
Eric Schaeffer, Deputy Director 202-260-8636
ENFORCEMENT PLANNING, TARGETING AND DATA DIVISION
Frederick Stiehl, Director 202-260-8180
Pat Alberico, Deputy Director 202-260-2564
Planning Branch
Jack Neylan, Chief 202-260-7825
Responsibilities: Strategic planning, OECA priority setting, state
grant and operating plan coordination, and inter-agency Memo-
randa of Understanding with other Federal agencies
Data Management Branch
Carol Galloway, Chief 202-260-8315
Responsibilities: Compliance data system management (e.g.,
AIRS, NCDB, PCS, RCRIS, SETS, Enforcement Dockets), data inte-
gration (IDEA), training and user support
Targeting and Evaluation Branch
Rick Duffy, Chief 202-260-8292
Responsibilities: Risk-based targeting, compliance rate analysis,
regional/state program evaluation, success/performance mea-
sures, and accomplishment reports
Resource Management Team
Roberta Miller, Team Leader 202-260-7691
Responsibilities: Contracts management, budget formulation, fi-
nancial management, OC administrative activities, and Freedom
of Information Act tracking
-------
PLANNING, TARGETING AND DATA
} Strategic Enforcement Planning
i
1 The Enforcement Planning, Targeting and Data Division (EPTDD)
i 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.
-------
MAJOR OC FUNCTIONS
STRATEGIC PLANNING
/ Develop short and long-term compliance monitoring and en-
forcement priorities, including State/tribal grant guidance
RISK-BASED TARGETING
/ Focus compliance assurance/enforcement resources, through
risk-based targeting, on environmentally significant facilities
/ 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 indus-
try-specific data to support monitoring and targeting functions
/ 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 regula-
tory matters and rulemakings relating to compliance monitoring
COMPLIANCE ASSISTANCE
/ Focus the presentation and communication of environmental
requirements 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 pre-
vention results
-------
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; facility targeting for inspection/enforcement activity; data
management; and integration of compliance and enforcement
data from EPA program offices. Three Divisions organized by eco-
nomic sector will develop strategies to identify patterns of non-
compliance within the regulated community; support Federal en-
forcement actions through inspection guidance and better com-
pliance monitoring techniques; and help the regulated commu-
nity understand and comply with complex federal requirements.
_
-------
U.S. Environmental Protection Agency
Region 5, Library (PL-12J)
77 West Jackson Boulevard, 12th Floor
Chicago, IL 60604-3590
-------
8§i
a?
<' CD
r*?i
CO
CD
ro
o
£1
3 3
o> 2
^^ ^9
O SL
^5
n> 3
o
------- |