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United States
Environmental Protection
Agency
April 2007
Compliance Literature
Search Results
Citations to Over Two Hundred
Compliance-Related Books and
Articles From 1999 to 2007
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EPA Document No: EPA-300-B-07-001
This document was prepared by EPA's Office of Compliance
in the Office of Enforcement and Compliance Assurance.
U.S. Environmental Protection Agency
Office of Compliance (2221 A)
1200 Pennsylvania Avenue, N.W.
Washington, D.C. 20460
Phone: 202-564-2280
Fax: 202-564-0027
This document, as well as additional information on compliance
research literature, can be found at:
http://www.epa.gov/compliance/resources/reports/compliance/
research/index.html
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NOTICE AND DISCLAIMER
This report contains a directory of resources for persons employed in, or interested in learning more
about, the field of environmental compliance and enforcement and related topics. It identifies
governmental and non-governmental literature on topics related to compliance assurance, behavior,
monitoring, measurement, deterrence, enforcement, environmental management, voluntary
environmental programs, environmental performance, the relationship of compliance and
performance to business value and competitiveness, and other similar topics. The report is intended
to serve as a starting point for persons interested in identifying and reviewing pertinent literature on
these topics. All of the referenced documents are in the public domain and were included because
they cover topics of potential interest to the U.S. Environmental Protection Agency (EPA), state,
tribal, and local agencies, academicians, regulated entities, communities, non-governmental
organizations (NGOs), and the public. EPA makes no guarantee nor assumes any liability with
respect to either the accuracy or use of any of the literature or information cited in this document.
The inclusion of literature in this document should not be viewed as an endorsement of these
resources by EPA nor should the exclusion of any similar literature, whether deliberate or otherwise,
be construed as an EPA opinion on the literature. The literature summaries and highlights provided
in this report are not themselves compliance literature and should not be cited or quoted as original
sources; rather, persons requiring additional information on, or clarification of, any of the literature
described in this report should obtain and review the source materials or consult with the authors
directly. This report does not in any way represent EPA guidance nor does it create or explain EPA
policy and should not be relied on for any purpose other than as a reference guide to publicly
available compliance-related literature.
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EPA Project Manager:
Jon Silberman, Attorney-Advisor
Office of Enforcement and Compliance Assurance
Office of Compliance
(202) 564-2429
silberman.jon@epa.gov
Support for aspects of this project was provided under
EPA Contract No. GS-10F-0125P, Purchase Order # EP06H001805 by:
Eastern Research Group, Inc.
110 Hartwell Avenue
Lexington, MA 02421
www.erg.com
Cover photograph by:
Eric Vance, Chief Photographer, USEPA
Office of Multimedia Operations and Services
(202) 564-2655
vance.eric@epa.gov
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Office of Compliance
TABLE OF CONTENTS
INTRODUCTION 1
HOW TO USE THE COMPLIANCE LITERATURE TABLE: EXAMPLES 3
'99-'07 COMPLIANCE LITERATURE-TABLE OF RESULTS* 13
* organized by primary topic (many studies address multiple topics)
Empirical and Modeling Studies of Compliance, Deterrence, and Performance (Including
Literature Reviews) 15
Studies of Inspection and Assistance Targeting, Frequency, or Effectiveness 30
Theoretical Analyses of Why Firms Comply and the Impacts of Inspections and
Enforcement 34
Relationship Between Good Governance and Enforcement and Other Interventions 37
Compliance and Performance Indicators and Measurement 39
Voluntary Programs: Design, Effectiveness, and Factors Influencing Firm Participation 43
Citizen Participation in Enforcement and Compliance 53
Compliance and Enforcement Design Principles and Strategies Including Audit
Policies 55
Information Disclosure (Mandatory & Voluntary) 64
Emissions Trading and Compliance 68
Environmental Management Systems and Other Management Issues and Tools 70
International Compliance and Enforcement 80
Relationship of Environmental Compliance and Performance to Business Value and
Competitiveness 84
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Office of Compliance
INTRODUCTION
The environmental and public health benefits of the nation's environmental laws cannot be
realized unless there is a high degree of compliance by the regulated community. Effective
compliance assistance and strong, consistent monitoring and enforcement are critical to achieving
these benefits. At the same time, the number, nature, and complexity of the environmental problems
our nation faces today makes it increasingly important for all parts of society to take active
responsibility for improving environmental quality in regulated and unregulated areas.
The United States Environmental Protection Agency (EPA or the Agency), together with our
state and tribal partners, is responsible for assuring compliance with the nation's environmental
laws. The Agency and our partners seek also to promote an environmental stewardship ethic by
which firms and individuals strive to exceed regulatory requirements. Securing both of these
outcomes for the American people is at the heart of EPA's mission and a key element of EPA's
Strategic Plan in Goal 5: Compliance and Environmental Stewardship.
http://www.epa.gov/ocfo/plan/plan.htm. The purpose of this Compliance Literature Search Results
report is to facilitate the realization of these goals by identifying for further consideration the results
of applicable research on compliance and other environmental behavior-related topics. See the
Notice and Disclaimer statement on the second page of this report for additional relevant
information on EPA's intent in preparing and publishing it.
The Compliance Literature Search Results report presents the results of a literature search
for current books and articles addressing a broad range of compliance-related topics. These include
compliance assurance, compliance monitoring, deterrence, enforcement, environmental
management, program measurement and evaluation, voluntary environmental programs, and
relationship of compliance and performance to business value and competitiveness. The '99-'07
Compliance Literature - Table of Results, beginning on page 12, provides citations to over 200
compliance-related books and articles from 1999 to 2007. All of the documents referenced in the
report are in the public domain and may be identified and shared without restriction. Persons
interested in citations to pre-1999 compliance-related literature should consult EPA's April 1999
Compliance Information Project Literature Summaries report (EPA-300-R-99-002) in which the
Agency published the results of a literature search for pre-1999 books and articles on similar topics.
Government's interest in assuring compliance and promoting environmental stewardship is
shared by a wide range of stakeholders, including industry, environmental groups, academia, other
non-governmental organizations, and the public. The Compliance Literature Search Results report
is intended to serve as a starting point for anyone interested in identifying and reviewing pertinent
literature on the topics.
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Office of Compliance
EPA's inclusion of literature in this document does not represent an endorsement of these
resources by EPA. Nor should the exclusion of any literature be construed as a negative EPA
opinion on it. In assembling the documents for citation in this report, emphasis was placed on
identifying representative studies for each topic. Users should be able to quickly identify a broad
range of relevant and useful compliance-related literature using the referenced documents as a
starting point for research. The authors' own citations and bibliographies can be consulted for leads
to additional documentation.
Most of the items referenced in this report received formal peer-review before publication.
The compliance literature field, however, is a rapidly-evolving area with new books, articles, and
reports issued regularly. To have limited the report to final, published, peer-reviewed documents
would have required omitting preliminary or "working" papers that are also thought-provoking and
capable of stimulating useful insights. Therefore, such papers are also included.
The compliance literature summaries and highlights provided in this report are not
themselves original source materials. Interested persons should, generally, obtain, review, and cite
from the original documents themselves. In assembling the referenced literature, EPA contacted
many of the authors directly with questions concerning the research or to clarify the status of papers.
EPA's experience in doing so suggests that the researchers whose papers are referenced in this
report would welcome similar inquiries from other interested readers.
EPA encourages readers to further share the report with other interested persons within or
outside of EPA. EPA welcomes comments on the literature cited in the report and how to make
future literature searches more useful. Readers are encouraged to bring new or additional
compliance literature to the Agency's attention for future consideration. Please address comments
and suggestions of this nature to the attention of Jon Silberman, Compliance Literature Search
Results Project Manager, at silberman.jon@epa.gov or 202-564-2429.
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Office of Compliance
HOW TO USE THE COMPLIANCE LITERATURE TABLE:
EXAMPLES
The 1999-2007 compliance and environmental behavior literature search conducted by EPA
to develop the Compliance Literature Search Results report identified many potentially responsive
compliance and environmental behavior-related books and articles. Over two hundred of these
documents are referenced in the 99-'07 Compliance Literature - Table of Results (Table of
Results) beginning on page 12.
EPA's goal in sharing the citations to this body of literature is to stimulate the understanding
and discussion of new ideas, insights, and evaluative tools for improving the quality and
effectiveness of compliance, enforcement, and environmental stewardship efforts. These outcomes
are shared by government, the private sector, academia, and the public. The referenced books and
articles are diverse in their methodologies and findings. Some of the pieces of literature challenge
prevailing assumptions, others lend support to existing approaches, but all serve as a stimulus to
creative thinking.
The Table of Results includes, for each cited piece of literature, a brief summary of the
document. These summaries are necessarily concise. In and of themselves, they provide minimal
background and context on the literature. Their purpose is to assist readers in determining and
prioritizing the literature for potential future, in-depth review by providing information useful in
deciding whether a particular item may be of sufficient further interest to obtain and review in its
entirety. Readers should always obtain and read full copies of the original source documents before
referencing and using the literature. Copies of the original source documents can be obtained via
the internet links or other source information provided for each referenced book or article.
To exemplify the richness of the literature in the Table of Results, additional information
is provided below on ten illustrative articles addressing three topics. As with the selection of the
over two hundred documents for the Table of Results, the selection of these ten pieces of literature
does not, in and of itself, represent an endorsement of these resources by EPA, thus the background
information in this section of the report is also not intended for direct citation or quotation in lieu
of the source materials themselves.
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Empirical and Modeling Studies of Compliance. Deterrence, and Performance (Including Literature
Reviews):
EPA, with our state and tribal partners, intend our environmental compliance assurance and
enforcement programs to deter environmental noncompliance. Specifically, the programs should
persuade violators to take precautions against falling into noncompliance again (specific deterrence)
and dissuade others from violating the law (general deterrence). Does empirical research exist
which studies the general deterrent impacts of inspections and enforcement actions? If yes, what
results did the researchers obtain? A person researching this issue will want to consult the Empirical
and Modeling Studies of Compliance, Deterrence, and Performance (Including Literature Reviews
section in the Table of Results. Upon doing so, he or she will find, among many other potentially
useful information sources, the following four empirical analyses of the general deterrent effect:
(1) Thornton, D., N. A. Gunningham, andR. A. Kagan; General Deterrence and Corporate
Environmental Behavior, Law and Policy; Vol. 25 (2): pp.262-288 (April 2005).
http://repositories.cdlib.org/cgi/viewcontent.cgi?article=1083&context=igs
[Table of Results #20]
- The methodology for this general deterrence study involved tracking the dissemination of
112 EPA Headquarters enforcement press releases in the print media and surveying 233
facility environmental compliance managers as to their knowledge, perceptions of, and
responses to, "signal cases" in the sectors in which they were employed. Additional in-depth
interviews of a more limited number of managers were also conducted.
- The researchers found a weak association, only, between increased information about
penalty cases and perception of legal risk. Firms with higher perceived exposure to being
detected or penalized were not significantly more likely to have taken a responsive
environmental compliance action. Moreover, firms, generally, did not obtain or retain
accurate information about the frequency or magnitude of penalty information. Yet a
majority of companies thought their risk of detection for noncompliance was high and
reported that they had increased their compliance-related activity in some way after hearing
about a fine or prison sentence at another company.
- The researchers concluded from their study results that, for most firms, general deterrence
likely serves primarily reminder and reassurance functions. Firms already committed to
compliance for normative and reputational reasons, according to the researchers, tend to
view themselves as responsible corporate citizens with no need to fear the social and
economic costs that can be triggered by serious violations. For these firms, learning about
penalties against other firms reminds them to continue to take positive steps to comply while
reassuring them that free-riders will be punished.
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(2) Shimshack, J. & Ward, M.; Enforcement & Over-Compliance (working paper/Jan. 2006).
http://www.tufts.edu/~j shims01/Enforcement_and_Overcompliance.pdf
[Table of Results #8]
(3) Shimshack, J. & Ward, M.; Regulator Reputation, Enforcement, and Environmental
Compliance; Journal of Env. Economics and Management. Vol. 50: pp. 519-540 (2005).
http://www.tufts.edu/~jshims01/Regulator_Reputation.pdf
[Table of Results #23]
- These companion studies analyze empirically the impact of Clean Water Act (CWA)
enforcement on biochemical oxygen demand (BOD) and total suspended solids (TSS)
discharges from the pulp and paper industry. The papers highlight commonly-overlooked
features of the enforcement process. Collectively, according to the authors, the research
indicates that a significant reduction in discharges could be achieved with a relatively small
additional investment in enforcement due to the deterrent impact of penalty actions.
- In their 2005 paper, Shimshack and Ward found that the marginal penalty action for water
pollutant violations results in about a two-thirds reduction in the statewide violation rate in
the year following the penalty. This large result primarily occurs due to the regulator's
enhanced reputation with other plants in a regulatory jurisdiction responding nearly as
strongly to a sanction as the fined plant itself. However, the reputation deterrence effect
decays significantly after one year, suggesting that plants regularly update their beliefs
regarding the regulator's credibility and reputation. Non-penalty enforcement responses,
in contrast, appeared to have little impact on the plants' compliance.
- In their 2006 paper (which is currently unpublished but has undergone preliminary vetting
at various professional symposia), the authors found that credible enforcement of water
pollutant violations results in discharge reductions by likely non-compliant plants that go
well below their legally permitted limit. Enforcement of water pollutant violations also
results in further discharge reductions among firms which typically comply. In other words,
even plants that typically emit well below allowable levels reduce discharges more when the
threat of sanctions for violations is increased. The authors found that aggregate discharges
within a state fell approximately 7 percent in the year following a sanction within that state.
Most of this reduction is due to plants going beyond compliance, rather than simply a
reduction in violations. The paper also demonstrated how these empirical results can be
rationalized by economic theory.
(4) State of Oregon Department of Environmental Quality; General Deterrence of
Environmental Violation: A Peek into the Mind of the Regulated Public (OR DEQ 2004).
http://www.deq.state.or.us/programs/enforcement/DeterrenceReport.pdf
[Table of Results #28]
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- This report focuses on general deterrence and describes research based on a survey of 450
Oregon companies with state permits or registrations and a second survey of 300 randomly-
selected residents of the state. Both surveys explored the subjects' knowledge, perceptions,
and actions in response to a range of state assistance, monitoring, inspection, and
enforcement activities.
- The researchers many findings include that compliance assistance, inspections, and
enforcement create both specific and general deterrence. Regarding general deterrence, for
example, during the three years prior to the survey, 38% of the companies made changes as
a result of hearing about state inspections at other companies, 33% made changes resulting
from hearing about technical assistance efforts at other companies, and 14% made changes
resulting from hearing about penalties against other firms.
- The magnitude of the state's general deterrent impacts are further described in the report.
For example, for each two changes a company made because of direct technical assistance,
one other company heard about the assistance and also made a change. For each change a
company made because of direct inspection, other companies hearing about the inspection
and made about one and a half changes. For each change a company made because of a
direct penalty action, other companies heard about the penalty and made about three
changes.
- The study also examined the relationship between company size, penalty amounts, and
deterrence. Most companies were less concerned with the amount of their penalties than
with other possible effects of enforcement, including forced shut-downs, environmental
concern, criminal prosecution, and reputation. Small companies were much more likely to
be concerned about penalty amounts. However, they were also much less likely to be aware
of penalties against other companies and therefore would be less likely to be generally
deterred by them.
Environmental Management Systems and Other Management Issues and Tools:
An Environmental Management System (EMS) is a continual improvement framework,
based on the "plan-do-check-act" process, that organizations can use to address their full range of
environmental impacts. These include managing regulatory compliance responsibilities, as well as
improving overall environmental performance and stewardship in areas not subject to regulation.
In its Position Statement on EMSs., http://www.epa.gov/ems/position/position.htm. EPA encourages
the widespread use of EMSs across a range of organizations and settings with particular emphasis
on adoption of EMSs to achieve improved environmental performance and compliance, pollution
prevention through source reduction, and continual improvement. Does empirical research exist to
support, contradict, or caveat the effectiveness of EMSs in promoting improved compliance and
performance? If yes, what does it show? A person researching these issues will want to consult
the EMSs and Other Management Issues and Tools section of the Table of Results. Upon doing
so, he or she will find, among many other potentially useful information sources, the following three
empirical analyses of EMS use:
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(1) Andrews, R., et al.; Environmental Management Systems: Do Formalized Management
Systems Produce Superior Performance?; EPA-NCER STAR Grant Final Report (2005).
http://cfpubl.epa.gov/ncer_abstracts/index.cfm/fuseaction/display.abstractDetail/abstract/
1951/report/F (See also other related studies, in the Table of Results, by the same author.)
[Table of Results #154]
- The objective of this EPA-funded research project was to determine whether EMS
implementation leads to improved environmental performance results and the organizational
characteristics, motivations, and decision-making associated with EMS implementation. The
researchers asked, among other things, how businesses that adopt EMSs for their own
reasons differ from those who adopt them under government, corporate, or customer
coercion. They also asked whether it is EMS adoption itself that is associated with any
performance improvements, as opposed to other corporate actions. The data used to
research the questions included a 2003 survey of 617 plant managers at U.S. manufacturing
facilities in four industrial sectors plus data from EPA's Toxics Release Inventory (TRI) and
Integrated Data for Enforcement Analysis (IDEA) database.
- The researchers report many interesting findings concerning EMSs, compliance, and
performance. For example, facilities who adopted EMSs pursuant to external mandates were
more likely to report environmental performance improvements than facilities lacking EMSs
but most of these differences were determined to be modest in magnitude. The results
showed no significant improvements for air and water pollution and material inputs to
production, outcomes which are central concerns for environmental regulation but which
might require more costly capital investments in changing products and production
processes.
- Based on their findings, the researchers offer a range of policy suggestions. They advise
that one should not expect to see significant changes in environmental performance simply
because a facility adopts an EMS. Therefore, they recommend that any public policy
promotion and rewards associated with EMS adoption should focus on the specific
environmental performance objectives targeted as priorities for improvement and facilities'
success in achieving them.
(2) United Kingdom Environment Agency; remas Project Results; Final Issue (2006).
http://remas.ewindows.eu.org/pdf/newsletters/12.pdf [Table of Results #152]
- remas is a recently completed, 3 -year proj ect by the United Kingdom Environment Agency
(UKEA) and others to examine whether EMSs implemented pursuant to the European
Community Eco-Management and Audit Scheme (EMAS) and other established standards
lead to improved environmental performance. The project compares data from sites with
formal, informal, and no EMSs. The remas Final Report is expected shortly but the
following project results are summarized in Final Issue of the project's newsletter.
- The remas researchers report that, based on the project data, there is good confidence that
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putting a progressively more robust EMS in place will lead to better site environmental
management. Their many findings include a reasonably strong link between better site
environmental management and regulatory performance. This effect, however, differed in
different European regions: in some regions, better site environmental management appeared
to lead to more instances of permit conditions breaches and enforcement.
- The remas project results, together with the results of other EMS research cited in the
Table of Results, raise interesting followup questions. For example, the remas researchers
hypothesized, when managing compliance, introducing an EMS may simultaneously
promote a general lowering of emissions and better reporting of noncompliance events. The
combination of these two effects, they suggest, may be one reason why previous studies have
found it difficult to link EMSs with improved compliance.
(3) Potoski, M. & Prakash, A; Covenants with Weak Swords: ISO 14001 and Facilities'
Environmental Performance; Journal of Public Policy Analysis and Management, Vol. 24,
No. 4, 745-769 (2005). http://faculty.washington.edu/aseem/jppam.pdf
[Table of Results #157]
- This project investigated whether the ISO 14001 EMS standard - characterized by the
researchers as a "weak sword" because participation by firms is voluntary and monitoring
and sanctioning mechanisms perceived to be weak - can mitigate facility "shirking" and
improve participants' environmental performance. The report's authors' use the term
"shirking" to mean joining a program to receive membership benefits without fully
implementing its obligations. This is similar to how other researchers employ the phrase
"green-riding."
- To address the issue, the researchers analyzed the performance of more than three thousand
Clean Air Act (CAA) major sources. Approximately 90% of these facilities listed a
manufacturing code as their primary Standard Industrial Classification (SIC) code.
- Among the researchers' findings were that ISO 14001-certified facilities reduced their
pollution emissions more than non-certified facilities. This result persisted even after
controlling for facilities' emission and regulatory compliance histories. Facilities'
compliance histories were, however, found to impact their ISO 14001 decisions. Facilities
that were always in compliance or out of compliance were found to be the least likely to
adopt ISO 14001. Facilities with moderate pollution emissions and compliance records were
the most likely to do so. Facilities receiving more regulatory inspections were found to be
significantly more likely to join ISO 14001 but other state-level policies appeared to have
little influence on firms' ISO 14001 decisions.
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Voluntary Programs: Design. Effectiveness, and Factors Influencing Firm Participation:
Voluntary environmental programs, often termed "partnership" programs, are becoming
increasingly common at the federal and state levels. According to EPA, such programs enable
flexible, collaborative, market-driven solutions, involving volunteer businesses, communities, state
and local governments, and other organizations, that can deliver measurable environmental results.
http://www.epa.gov/partners/ What research exists - theoretical and empirical - addressing
specifically what types of persons and facilities are likely to participate in voluntary environmental
programs? What are the researchers' results and why? A person researching this issue will want
to consult the Voluntary Programs: Design, Effectiveness, and Factors Influencing Firm
Participation section of the Table of Results. Upon doing so, he or she will find, among many
other potentially useful information sources, the following three analyses of voluntary programs and
the characteristics and motivations of those who join them:
(1) Videras, J. & Alberini, A.; The Appeal of Voluntary Environmental Programs: Which
Firms Participate and Why?; Contemporary Economic Policy, Vol. 18, No. 4, pp. 449-461
(Oct. 2000). http://ideas.repec.0rg/a/oup/coecpo/vl8v2000i4p449-61.html
[Table of Results #100]
- According to these researchers, the literature on participation in voluntary environmental
programs suggests that firms participate for four primary reasons: (1) to appeal to consumers
interested in environmental protection; (2) to preempt government regulation; (3) to seek
regulatory or compliance relief from the sponsoring agency by demonstrating improved
environmental performance or an intent to improve; (4) to gain a competitive advantage. In
this paper, the authors focus primarily on the relevance of factors (1) and (3) to 218 large
manufacturing firms participating in EPA's 33/50, Green Lights, and/or WasteWi$e
programs between 1993 and 1998.
- The researchers' many findings include that publicity is likely to be a driver of
participation. They interpreted information on managerial compensation to suggest that
firms which scrutinize carefully their environmental performance are wary of programs with
uncertain benefits. Fines for violation of the Resource Conservation and Recovery Act
(RCRA) were found to increase the likelihood of participation in WasteWi$e but no
evidence was found of a correlation between CAA fines and the likelihood of joining Green
Lights. Firms that incurred larger research and development expenditures in the previous
year were relatively less attracted into the 3 3/50 program. This was deemed consistent with
the possibility that firms less capable of innovating on their own might join voluntary
programs in hopes of learning from others how to reduce emissions.
- The researchers also found that firms with worse environmental performance, as measured
by selected compliance and performance proxy variables, were attracted to the 33/50 and
WasteWi$e programs when the programs were directly related to their regulatorily required
pollution reductions. They characterized this finding as broadly consistent with the
predictions of other researchers that a "stick-and-carrot" approach increases firm
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responsiveness to voluntary programs.
(2) Coglianese, C. & Nash, J.; Beyond Compliance - Business Decision Making and US
EPA 's Performance Track Program; Harvard University JFK School of Government (2006).
http://www.ksg.harvard.edu/m-rcbg/rpp/CoglianeseNashNEPTReport.pdf
[Table of Results #76]
- The authors of this report examine why businesses join voluntary programs, with a special
focus on EPA's National Environmental Performance Track (PT) . The PT program seeks
to improve the environment by recognizing facilities that meet four key criteria: an EMS in
place for at least one complete cycle; a record of compliance with environmental laws;
continuous improvement, including a commitment to quantitative goals for improving their
environmental performance; community outreach; and annual environmental performance
reporting. In return, PT members receive various incentives such as recognition, regulatory
incentives, and a low priority for routine federal inspections.
- The researchers found, among other things, that what distinguishes businesses that join
programs such as PT from ones that do not is less their environmental performance relative
to non-applicants as their internal organizational dynamics. Businesses that participate in
PT are distinguished by a tendency to value and seek external recognition. All things being
equal, facilities with more employees, greater management support, that expect new
regulations to affect them in the future, and that more often seek out the opinions of outside
community and environmental groups are more likely to join PT.
- The researchers also identified a tension between EPA's ability to offer significant and
meaningful rewards to PT members versus the Agency's ability to set low-cost, attractive
entry and programmatic requirements. The researchers characterized this tension as a
potential natural constraint on the numbers of facilities that will seek to join programs like
PT. The re searchers' other conclusions include that while PT does not generate information
to allow for a determination that its members are top performers, PT facilities are willing to
engage regulators and assume the costs of membership to be recognized as good citizens.
(3) Rivera, J. & de Leon, P.; Is Greener Whiter? Voluntary Environmental Performance of
Western Ski Areas; Policy Studies Journal, Vol. 32, No. 3, 417-437 (2004).
http://home.gwu.edu/~jrivera/IsGrennerWhiter.PSJ.Publication.August2004.pdf
[Table of Results #91]
- In this paper, the authors analyze implementation of the Sustainable Slopes Program, a
western U.S. voluntary environmental initiative established by the U.S. National Ski Areas
Association in partnership with EPA and other federal agencies. They seek to identify
factors and characteristics influencing firms' decisions to participate in the program and
determine whether participation actually yielded better environmental performance. The
sample size for the study was one hundred and nine western ski resorts representing about
two thirds of all such resorts. Fifty-seven of the resorts had available 3rd party
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environmental performance data. The other fifty-two were randomly drawn from the
remaining population of resorts. Environmental Scorecard Grades produced by the Ski
Areas Citizen Coalition (S ACC) were used as a measure of beyond-compliance performance.
- Many ski areas operate on land leased from the federal government. Using location in
federal, private, or a mix of federal and private lands as a proxy for the extent of federal
government oversight, the researchers found, among other things, that high and medium
levels of federal government oversight has a positive and statistically significant association
with participation in the Sustainable Slopes program but not with higher environmental
performance. Higher state environmental pressures, in contrast, were significantly
associated with both a higher probability of participation in the program and higher
performance. In addition, the results indicated that, other factors being equal, a higher
probability of participation in the Sustainable Slopes Program appeared to be related in a
statistically significant fashion with lower environmental performance.
- Describing their findings as consistent with previous research on environmental
voluntarism by manufacturing firms, the researchers interpreted them as, among other things,
highlighting the importance of coercive institutional regulatory pressures as a key factor
positively associated with participation in voluntary environmental programs. They pointed
to the importance of including, in the design of such programs, specific institutional
mechanisms for preventing free-riding behavior such as environmental performance
standards, independent monitoring of participants, and sanctions for poorly performing
facilities. The researchers hypothesized that the unexpected absence of a statistically
significant relationship between federal government oversight and higher environmental
performance can be explained by the U.S. Forest Service's conflicting mandates to
simultaneously promote ski area development, preserve forest lands, and follow pertinent
environmental regulations.
- In 2006, the authors published a follow-up study that evaluates the Sustainable Slopes
Program between 2001 and 2005. This study assesses the Program's environmental
effectiveness from 2001-2005. No evidence was found that ski areas adopting the Program
outperformed non-participants in four of five environmental performance metrics. Rivera,
J., de Leon, P. and Koerber, C.; Is Greener Whiter Yet? The Sustainable Slopes Program
After Five Years; Policy Studies Journal, Vol. 34, No. 2, 195-224 (2006).
http://home.gwu.edu/~jrivera/IsGreenerWhiterYetPSJfmaLMay2006.pdf
[Table of Results #82]
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Compliance Literature (1999-2007) - Table of Results
- NOTES -
This table is an evolving document. It will be updated as new compliance research results become available.
• Studies are listed topically under their primary topics of focus (many studies address multiple topics).
Within topics, studies are listed from newest to oldest.
Studies published the same year are listed alphabetically within that year.
Please read the NOTICE AND DISCLAIMER in the inside front cover before using the information in the table.
Please forward information on new or additional studies to the EPA Compliance Literature Search Project
Manager, Jon Silberman, USEPA Office of Enforcement and Compliance Assurance, at silberman.jon@,epa. gov.
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Topic: Empirical and Modeling Studies of Compliance, Deterrence, and Performance (Including Literature Reviews)
Year
Author
Title
Summary
2007
Gray&
Shadbegian
The Environmental Performance of
Polluting Plants: A Spatial Analysis
Related to 2005 Gray & Shadbegian study summarized below (#13). Paper
combines EPA and Census data to test for spatial components of plant-level
compliance and performance. More inspections at a plant, nearby plants, and
other plants in same state are associated with greater compliance. Results
suggest general deterrent effects may be as important as specific deterrence.
Gray, W. & Shadbegian, R; The Environmental Performance of Polluting Plants: A Spatial Analysis; Journal of Regional Science; Vol. 47, Iss. 1, pp. 63-84
(Feb. 2007). http://www.blackwellpublishing.com/journal.asp?ref=0022-4146
2006
Andrews &
Axtell
Agent-Based Modeling of Industrial
Ecosystems
USEPA Office of Research and Development (ORD) Science to Achieve
Results (STAR) Grant research Final Report. Case studies of actual
enterprises plus development and consideration of firm simulation model.
Results suggest command-and-control regulation can be more efficient than
market-based solutions when principal-agent problems are taken into account.
Andrews, C. & Axtell, R.; Final Report: Agent-Based Modeling of Industrial Ecosystems (received and posted by EPA ORD in 2006).
http://cfpub.epa.gov/ncer abstracts/index.cfm/fuseaction/displav.abstractDetail/abstract/5433/report/F See also Axtell, et al., Agent-Based Modeling and
Industrial Ecology; Journal of Industrial Ecology Vol. 5(4), pp. 10-13 (2001).
2006
Howard-
Grenville
Inside the 'Black Box': How
Organizational Culture Informs Attention
and Action on Environmental Issues
Drawing from a 9-month ethnographic study of a high-tech manufacturer, the
author finds that the existence of multiple subcultures gives rise to divergent
interpretations and strategies for action on environmental protection issues.
Howard-Grenville, J.; Inside the 'Black Box': How Organizational Culture Informs Attention and Action on Environmental Issues', Organization &
Environment 19, 46-73 (March 2006). http://oae.sagepub.eom/cgi/content/abstract/19/l/46
-15-
-------
Topic: Empirical and Modeling Studies of Compliance, Deterrence, and Performance (Including Literature Reviews)
Year
Author
Title
Summary
2006
Earnhart, et
al.
Shaping Corporate Environmental
Behavior and Performance: The Impact of
Enforcement and Non-Enforcement Tools
ORD STAR Grant Final Report. Researchers explore the effects of
government interventions - inspections, federal fines, federal injunctive relief,
federal supplemental environmental projects (SEPs), and state fines - on firm
environmental behavior and performance. Emphasis is on Clean Water Act
(CWA) biological oxygen demand (BOD) & total suspended solids (TSS)
violations and discharges.
Earnhart, D., et al.; Final Report: Shaping Corporate Environmental Behavior and Performance: The Impact of Enforcement and Non-Enforcement Tools
(received and posted by EPA ORD in 2006). http://cfpub.epa.gov/ncer abstracts/index.cfm/fuseaction/displav.abstractDetail/abstract/1026/report/F
2006
Keohane,
Mansur&
Voynov
Averting Enforcement: Strategic Response
to the Threat of Environmental Regulation
Study of U.S. electric power industry plants to Clean Air Act (CAA) New
Source Review (NSR) enforcement. Threat of enforcement had a significant
effect on emissions. Plants likely to be named in lawsuits reduced emissions
by 17% on the eve of the lawsuits. After the suits were filed, authors found no
significant differences between sued plants' and other coal-fired power plants
emissions.
Keohane, Mansur& Voynov; Averting Enforcement: Strategic Response to the Threat of Environmental Regulation', Working Paper (2006).
http://papers.ssrn.com/sol3/papers.cfm7abstract id=935083
2006
Morita
(INECE)
A Review of Empirical Studies on
Environmental Compliance
In recent years, researchers have begun moving beyond case studies to dataset
analyses but these studies remain sparse and the use of self-reported data raises
accuracy issues.
Morita, S. and Zaelke, D; A Review of Empirical Studies on Environmental Compliance', Seventh International Conference on Environmental Compliance and
Enforcement; INECE Conference Paper at 113-119 (April 2005). http://www.inece.Org/conference/7/voll/19 Morita Zaelke.pdf
-16-
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Topic: Empirical and Modeling Studies of Compliance, Deterrence, and Performance (Including Literature Reviews)
Year
Author
Title
Summary
2006
Rassier
Do Trade Unions Affect Compliance With
Environmental Regulation?
Author uses plant-level panel data from EPA's Permit Compliance System
(PCS) database to evaluate whether trade unions affect CWA discharges and
compliance in the chemical manufacturing industries. Results indicate that
unionized plants and plants with relatively strong unions discharge more
pollution relative to permitted limits than non-unionized plants and plants with
relatively weak unions but provide only weak evidence that plants with
relatively strong unions incur relatively more compliance violations.
Rassier, D. G; Do Trade Unions Affect Compliance with Environmental Regulation ?; Bureau of Economic Analysis Working Paper (Feb. 11, 2006).
http://ssrn.com/abstract=889400
2006
Shimshack &
Ward
Enforcement & Over-Compliance
(draft/unpublished Jan. 2006)
Companion article to 2005 study summarized below (#23). This article
describes finding significant positive enforcement impacts on beyond-
compliance performance. Results demonstrate, among other things, reduced
CWA BOD/TSS discharge levels for all facilities, compliant and
noncompliant, in response to penalty actions against other mills in same state
for BOD/TSS discharge violations.
Shimshack, J. & Ward, M; Enforcement & Over-Compliance (working paper/Jan. 2006).
http://www.tufts.edu/~ishims01/Enforcement and Overcompliance.pdf
-17-
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Topic: Empirical and Modeling Studies of Compliance, Deterrence, and Performance (Including Literature Reviews)
#
9
Year
2006
Stafford, S. L.;
Art. 21 (2006).
10
2005
Author
Stafford
Title
Rational or Confused Polluters? Evidence
from Hazardous Waste Compliance
Summary
Paper examines the role of rationality and complexity in compliance and finds
empirical evidence to support that both are necessary to explain hazardous
waste compliance behavior. Factors which increase the cost of compliance
increase the likelihood of a violation; factors that increase the likelihood of
inspections and detection decrease the probability of a violation; facilities
subject to more complex regulations are more likely to violate but learn from
past inspections.
Rational or Confused Polluters? Evidence from Hazardous Waste Compliance', Contributions to Economic Analysis & Policy: Vol. 5 : Iss. 1,
httrj://www.beDress.com/beieaD/contributions/vol5/issl/art21/
Decker, C. &
Pope
Adherence to Environmental Law: The
Strategic Complementarities of
Compliance Decisions
Authors address why firms comply with environmental regulations even when
enforcement is weak. Theoretical model shows increased compliance by one
firm will positively influence the compliance rate of a rival. Empirical
analysis finds compliance rates of other entities have a positive and significant
effect on a source's compliance behavior in 3 of 4 heavily regulated industries.
If compliance decisions are strategic complements, this may partially explain
high compliance rates in the presence of limited regulatory pressure.
Decker, C. & Pope, C.; Adherence to Environmental Law: The Strategic Complementarities of Compliance Decisions; The Quarterly Rev. of Eco. and
Finance, Volume 45, Issues 4-5 at 641-661 (Sept. 2005).
httD://www.sciencedirect.com/science/article/B6W5X-4FFGK12-l/2/lda468a771cf33c5fOd043e65439a98f
-18-
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Topic: Empirical and Modeling Studies of Compliance, Deterrence, and Performance (Including Literature Reviews)
#
11
Year
2005
Author
Delmas &
Toffel
Title
Institutional Pressure and Environmental
Management
Summary
Funded by an EPA STAR Grant. Authors integrate organizational
characteristics and institutional theory to understand differences between
firms' environmental strategies. More than 500 original survey responses are
combined with existing data sources to demonstrate how different corporate
departments respond to institutional pressures to adopt management practices.
Delmas, M. & Toffel, M; Institutional Pressure and Environmental Management; Univ. of Cal., Santa Barbara (2005).
http://www2.bren.ucsb.edu/~delmas/webrjage/Parjers/Delmas-Toffel-WP.rjdf
12
2005
EPA-FFEO
The State of Federal Facilities - An
Overview of Environmental Compliance at
Federal Facilities - FY 2003-2004
Report presents information on compliance by federal government agencies, in
2003 and 2004, with federal environmental laws. It also presents compliance
information back to 1993 so trends can be observed. It does not analyze the
underlying causes of noncompliance.
EPA-FFEO; The State of Federal Facilities - An Overview of Environmental Compliance at Federal Facilities - FY 2003-2004; EPA 300-R-05-004 (2005).
http://www.epa.sov/compliance/resources/reports/accomplisliments/federal/soff-0304.pdf
13
Gray,
2005).
2005
Gray&
Shadbegian
Determinants of Environmental
Compliance: Plant, Firm, and Enforcement
Factors
EPA Star Grant Final Report. Spatial issues play a role in environmental
performance. Plants located near each other tend to have similar compliance
behavior. Inspections at one plant seem to improve compliance at nearby
plants though this effect does not carry across state borders.
W. & Shadbegian, R.; EPA Star Grant Final Report: Determinants of Environmental Compliance: Plant, Firm, and Enforcement Factors (August 1,
http://cfpub 1 .epa.sov/ncer abstracts/index.cfm/fuseaction/displav.abstractDetail/abstract/8 1 1/report/F
-19-
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Topic: Empirical and Modeling Studies of Compliance, Deterrence, and Performance (Including Literature Reviews)
#
14
Year
2005
Author
Gray&
Shadbegian
Title
When and Why do Plants Comply? Paper
Mills in the 1980s
Gray, W. & Shadbegian, R; When and Why do Plants Comply? Paper Mills in
http://papers.ssrn.com/sol3/papers.cfm7abstract id=684339
15
2005
Cunningham, IS
289-3 16 (April
Cunningham,
Thornton &
Kagan
Motivating Management: Corporate
Compliance in Environmental Protection
Summary
Paper uses census data for 1 16 pulp mills from 1979-1990 to examine
determinants of compliance with air pollution regulations. Large plants, old
plants, and pulp mills comply less frequently, as do plants with CWA or
Occupational Safety and Health Administration (OSHA) violations.
Enforcement increases compliance in a heterogeneous way: pulp mills are less
sensitive to inspections; plants owned by larger firms are less sensitive to
inspections and more sensitive to other enforcement actions.
the 1980s; Law & Policy, Vol. 27, No. 2, 238-261 (April 2005).
Based on interviews of facility managers in electroplating and chemical firms,
authors find that implicit general deterrence (the overall effect of sustained
inspection and enforcement activity) was more salient to respondents than
either specific deterrence or explicit general deterrence. Deterrence in any
form was of greater concern to small and medium sized enterprises than to
large ones. Inspections had less impact than enforcement. Two related studies
are summarized below (## 19 and 20).
., Thornton, D. & Kagan, R.', Motivating Management: Corporate Compliance in Environmental Protection', Law & Policy, Vol. 27, No. 2, pp.
2005). http://repositories.cdlib.ors/csi/viewcontent.csi?article=1038&context=csls
-20-
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Topic: Empirical and Modeling Studies of Compliance, Deterrence, and Performance (Including Literature Reviews)
#
16
Year
2005
Author
Hall
(INECE)
Title
Overview of Research Methodologies for
Environmental Compliance and
Enforcement
Summary
Paper surveys a range of research methodologies for evaluating compliance
and enforcement, including case studies, process tracking, counterfactuals,
qualitative comparative analysis, quantitative statistics, meta-analysis, and
legal research methodologies.
Hall, D.; Overview of Research Methodologies for Environmental Compliance and Enforcement, INECE (2005).
http://www.inece.org/ucsb/MemoMethodolgies final.pdf
17
2005
Howard-
Grenville
Explaining Shades of Green: Why Do
Companies Act Differently on Similar
Environmental Issues?
Reviews Shades of Green (2003), summarized below (#30), an analysis of why
some firms, and not others, within the same industry (pulp and paper), excel in
environmental performance. Author addresses Shades of Green's findings,
related literature, and resulting policy implications from an organizational
behavior perspective.
Howard-Grenville, J.; Explaining Shades of Green: Why Do Companies Act Differently on Similar Environmental Issues?', Law and Social Inquiry, Vol. 30,
551-582(2005). http://www.iournals.uchicago.edu/cgi-bin/resolve?id=doi:10.1086/497714&erFrom=7349354118691716299Guest
18
2005
INECE
(edited by
Zaelke,
Kaniaru&
Kruzikova)
Making Law Work - Environmental
Compliance and Sustainable Development
Two volume, broad-in-scope compilation of the best available literature on
topics related to environmental compliance, enforcement, and sustainable
development. Papers selected by INECE, in cooperation with the Institute for
Governance and Sustainable Development and affiliated Program on
Governance for Sustainable Development at the University of California -
Santa Barbara.
INECE (edited by Zaelke, Kaniaru & Kruzikova); Making Law Work - Environmental Compliance and Sustainable Development; Cameron May (2005).
http://www.inece.org/makinglawwork.html
-21-
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Topic: Empirical and Modeling Studies of Compliance, Deterrence, and Performance (Including Literature Reviews)
#
19
Year
2005
Author
Kagan,
Cunningham
& Thornton
Title
Tracking Deterrent Messages in
Environmental Enforcement
Summary
This paper is the Final Report concluding the authors' STAR Grant research
forUSEPA's ORD. Related studies: #15, above; #20, immediately below.
Kagan, R., Cunningham, N. & Thornton, D.; Tracking Deterrent Messages in Environmental Enforcement; Final Report available fromEPA's ORD.
Additional project information available at:
httD://vosemite.eDa.sov/EE/eDa/rundins.nsf/ecdcfl5d986219bb852564c6007cl57f/132c2c9bl05fbf2d85256df7004e9cbe!ODenDocument.
20
Thornl
2005).
21
2005
Thornton,
Cunningham,
& Kagan
General Deterrence and Corporate
Environmental Behavior
Paper is based on survey results from 233 firms in several industries. Study
tracked respondents knowledge of, and reactions to, "signal" enforcement
cases. Many interesting findings, for example, for most firms, general
deterrence is implicit and serves primarily reminder and reassurance functions.
on, D., Cunningham, N. & Kagan, R.; General Deterrence and Corporate Environmental Behavior, Law and Policy; Vol. 25 (2): pp.262-288 (April
http://repositories.cdlib.ors/csi/viewcontent.csi?article=1083&context=iss
2005
May
Regulation and Compliance Motivations:
Examining Different Approaches
Research examines how traditional regulatory and voluntary approaches affect
motivations to address potential harms to water quality. Survey of 144
marinas and 61 boatyards. Research finds that regulation is more effective
than voluntary approaches alone. Deterrent fears and the sense of duty to
comply are important motivations for action. Peer reputation and attitudes
toward government and civic obligations are shown to be important
considerations.
May, P. I; Regulation and Compliance Motivations: Examining Different Approaches; Public Administration Review 65 (1) (Jan-Feb 2005).
http://www.blackwell-svnergv.eom/doi/abs/10.llll/i.1540-6210.2005.00428.x
-22-
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Topic: Empirical and Modeling Studies of Compliance, Deterrence, and Performance (Including Literature Reviews)
Year
Author
Title
Summary
22
2005
Miller
What Makes Companies Behave? An
Analysis of Criminal and Civil Penalties
Under Environmental Law
Empirical use of data on all EPA regulatory actions from 1970-1997
employing a nonparametric approach to estimate recidivism probabilities and
relative impacts of civil and criminal enforcement. Analysis suggests that at
current fine levels, civil lawsuits are not more effective at reducing repeat
offenses (recidivism) than administrative actions which carry much lower
fines. In contrast, criminal lawsuits significantly reduce recidivism.
Miller, A. B.; What Makes Companies Behave? An Analysis of Criminal and Civil Penalties Under Environmental Law (Working Paper; Dec. 2005).
http ://ssrn. com/abstract=471841
23
2005
Shimshack &
Ward
Regulator Reputation, Enforcement, and
Environmental Compliance
Empirical analysis of compliance of 217 major pulp and paper mills from
1988-1996. Results show a strong general deterrent impact from penalty
actions on the order of a 64% reduction in the statewide violation rate in year
one from a new (marginal) fine and a 30% reduction in year two.
Shimshack, J. P. & Ward, W. B.; Regulator Reputation, Enforcement, and Environmental Compliance; Journal of Env. Economics and Management. Vol. 50:
pp. 519-540(2005). http://www.tufts.edu/~ishims01/Regulator Reputation.pdf
24
2004
Dietrich
Regulatory Factors Shaping
Environmental Performance at POTWs
Paper examines wastewater discharges by Kansas Publicly-Owned Treatment
Works (POTWs) from 1990-1998. Findings include discussion of the relative
deterrent impact of federal and state threats of- and actual - inspections and
enforcement, controlling for differences in the issuance of pollution control
permits that impose effluent limits on individual facilities. Federal and state
enforcement were found to significantly improve performance but inspections
were not.
Dietrich, E.; Regulatory Factors Shaping Environmental Performance at Publicly-Owned Treatment Plants; Journal of Env. Economics and Management. Vol
48: P.655-681 (2004). http://econpapers.repec.0rg/article/eeeieeman/v 3A48 3Ay 3A2004 3Ai 3A1 3Ap 3A655-681.htm
-23-
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Topic: Empirical and Modeling Studies of Compliance, Deterrence, and Performance (Including Literature Reviews)
Year
Author
Title
Summary
25
2004
Cunningham,
Kagan, &
Thornton
Social License and Environmental
Protection: Why Businesses Go Green
Related to Shades of Green (2003), summarized below. Article examines the
concept of the corporate "social license," empirically, in the pulp and paper
sector. Researchers find that corporate environmental behavior cannot be
explained purely in terms of threats and moral obligations. Rather, beyond-
compliance behavior is better explained as an interplay of societal pressures
and economic constraints.
Cunningham, N.; Kagan, R; & Thornton, D.; Social License and Environmental Protection: Why Businesses Go Green; American Bar Association (ABA)
(2004). Obtain copies from ABA or authors.
26
2004
Haider-
Markel
Does Proximity Matter? A Preliminary
Assessment of the Impact of State Versus
National Regulatory Interventions on
Facility Environmental Performance
EPA ORE) Star Grant-funded research. Survey of 499 major and 2,097 minor
chemical facility managers' perceptions of the efficacy of federal and state
inspections and enforcement, including whether civil or administrative.
Results suggest respondents' perceptions and performance are shaped by
facility characteristics and commitment to environmental protection but
performance is also influenced by enforcement and community pressure.
Haider-Markel, D. P.; Does Proximity Matter? A Preliminary Assessment of the Impact of State Versus National Regulatory Interventions on Facility
Environmental Performance; prepared for Fourth Annual Conference on State Politics and Policy (April 2004).
www.fsu.edu/~statepol/conferences/2004/Papers/Haider-Markel.doc
-24-
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Topic: Empirical and Modeling Studies of Compliance, Deterrence, and Performance (Including Literature Reviews)
Year
Author
Title
Summary
27
2004
Nadeau
Estimating the Environmental Quality
Improvements Associated With
Enforcement Activity
Author analyzes the relationship between enforcement actions at petroleum
refineries between 1995 and 1998 and ambient concentrations of TSS in
associated rivers and streams. Enforcement activity is associated with a 3.3%
cumulative reduction in TSS concentrations compared to a mid-1990's baseline
and is able to achieve, on average, 29.6% of a hypothetical maximum
achievable reduction in ambient concentrations.
Nadeau, L.; Estimating the Environmental Quality Improvements Associated With Enforcement Activity, Eastern Research Group, Inc. (2004).
[unpublished/available from author or USEPA]
28
2004
ORDEQ
General Deterrence of Environmental
Violations: A Peek Into the Mind of the
Regulated Public
Survey of 450 Oregon firms and 300 residents. Findings include that
assistance and enforcement creates measurable general deterrence, inspections
and enforcement also create specific deterrence, and small companies are less
likely to be environmentally proactive.
State of Oregon Department of Environmental Quality; General Deterrence of Environmental Violation: A Peek into the Mind of the Regulated Public (OR
DEQ 2004). http://www.deq.state.or.us/programs/enforcement/DeterrenceReport.pdf
29
2003
Grant
Organizational Structures, Citizen
Participation, and Corporate
Environmental Performance
STAR Grant Final Report. Ownership status of a plant conditions its
performance. For example, average amount of toxins released by absentee-
owned facilities or those with out-of-state headquarters (1.2 million toxic
pounds) is nearly 3X more than plants with in-state headquarters (407,000
toxic pounds), and 15X more than single location enterprises (80,000 toxic
pounds). Plants that are subsidiaries have significantly higher emission rates.
Grant, D.; Organizational Structures, Citizen Participation, and Corporate Environmental Performance; STAR Grant Final Report (2003).
http://cfpub.epa.gov/ncer abstracts/index.cfm/fuseaction/displav.abstractDetail/abstract/810/report/F
-25-
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Topic: Empirical and Modeling Studies of Compliance, Deterrence, and Performance (Including Literature Reviews)
#
30
Year
2003
Author
Cunningham,
Kagan, &
Thornton
Title
Shades of Green: Business, Regulation,
and Environment
Summary
In-depth empirical study of fourteen pulp mills in the United States, Canada,
Australia, and New Zealand. Tightening regulatory standards have been
crucial for raising environmental performance but some firms improved more
than others. Book explains the causes of the variation in compliance and
performance.
Cunningham, N., Kagan, R. & Thornton, D.; Shades of Green: Business, Regulation, and Environment; Stanford University Press (2003).
http://www.sup.org/book.cgi7book id=4806%204852
31
2003
Kagan,
Cunningham,
& Thornton
Explaining Corporate Environmental
Performance: How Does Regulation
Matter?
Related to Shades of Green, summarized immediately above. Empirical study
of fourteen pulp and paper mills in 4 countries, including the United States.
Article discusses factors affecting firm-level performance differences. Large
improvements are linked to tightening regulatory requirements and political
pressures which serve as coordinating mechanisms for culture and behavior.
Kagan, R., Cunningham, N., & Thornton, D.; Explaining Corporate Environmental Performance: How Does Regulation Matter?; Law & Society Review,
Vol. 37, No., pp. 51-90 (2003) http://repositories.cdlib.org/cgi/viewcontent.cgi?article=1084&context=igs
32
2003
Stafford
Assessing the Effectiveness of State
Regulation and Enforcement of Hazardous
Waste
Using data on 8000 U.S. facilities, author assesses the effectiveness of state
hazardous waste regulations and policies in promoting compliance. Adoption
of voluntary pollution prevention (P2) programs appears to decrease
violations. Findings include that strict liability, allocating a higher % of
employees to regional offices, and increased spending on waste programs
appear to decrease Class 1 violations (though it is positively correlated with
the overall probability of violation).
Stafford, S. L.; Assessing the Effectiveness of State Regulation and Enforcement of Hazardous Waste; Journal of Regulatory Economics, Vol. 23, No. 1 (Jan.
2003). http://www.springerlink.com/content/w304416712070338/
-26-
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Topic: Empirical and Modeling Studies of Compliance, Deterrence, and Performance (Including Literature Reviews)
#
33
Year
2002
Author
Horowitz
Title
Over-Compliance in Point Source Water
Pollution
Summary
ORD STAR Grant Final Report. Analysis of discharges of conventional water
pollutants from CWA major facilities, including low levels of discharges
relative to National Pollution Discharge Elimination System (NPDES) permit
limits (overcompliance). Factors considered include the impact of discharge
variability /uncontrollability on discharge levels and the relationship between
discharges, violations, and downstream community characteristics.
Horowitz, I; Over-compliance in Point Source Water Pollution; STAR Grant Final Report (2002).
http://cfpub.epa.sov/ncer abstracts/index.cfm/ruseaction/disDlav.abstractDetail/abstract/213/report/F
34
2002
Malloy
Regulating by Incentives: Myths, Models
and Micro-Markets
Author argues that the "black box" model widely used to predict firm
responses to environmental regulation incentives is ill-suited for the task and
proposes an alternative "resource allocation" model. Responses to regulatory
incentives — obligation or opportunity — are understood as decisions on how
to allocate limited firm resources.
Malloy, T.; Regulating by Incentives: Myths, Models and Micro-Markets; 80 Texas Law Rev. 531-5605 (2002).
http://www.utexas.edu/law/ioumals/tlr/abstracts/Volume%2080Mallov.htm
35
2002
Stafford, S. L.;
290-308 (2002)
Stafford
The Effect of Punishment on Firm
Compliance With Hazardous Waste
Regulations
Empirical analysis of compliance and penalty impacts on 8,41 1 facilities
managing hazardous waste consistently from 1986-1995. Findings include
that violations decreased following EPA's adoption of 1990 Resource
Conservation and Recovery Act (RCRA) Civil Penalty Policy but that the
decrease was small relative to the increases in penalties.
The Effect of Punishment on Firm Compliance with Hazardous Waste Regulation; Journal of Env. Economics and Management., Vol. 44:
. http://www.insentaconnect.com/content/ap/ee/2002/00000044/00000002/art01204
-27-
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Topic: Empirical and Modeling Studies of Compliance, Deterrence, and Performance (Including Literature Reviews)
#
36
Year
2000
Author
Cohen
Title
Empirical Research on the Deterrent Effect
of Environmental Monitoring and
Enforcement
Summary
Literature review. Includes literature finding that monitoring and enforcement
deters violations and improves performance.
Cohen, M. A.; Empirical Research on the Deterrent Effect of Environmental Monitoring and Enforcement, 30 Env. Law Reporter at 10245-10252 (2000).
http://www.vanderbilt.edu/vcems/paperc/empirical.pdf
37
2000
Laplante, et
al.
Incentives for Pollution Control:
Regulation and Public Disclosure
Empirical study of Canadian program combining traditional enforcement and
public disclosure finds some evidence that disclosure had a greater impact on
emission levels and compliance than penalties. Adopting stricter standards
and higher penalties, however, also significantly affected emissions because
strong, clear standards, together with a significant, credible penalty system,
sends appropriate signals to the regulated community which responds by
lowering pollution emissions.
Laplante, B., Lanoie, P. & Foulon, J.; Incentives for Pollution Control - Regulation and Public Disclosure; No 2291, Policy Research Working Paper Series,
The World Bank (2000). http://ideas.repec.Org/p/wbk/wbrwps/229 1 .html
38
2000
Silberman, J D.
10523-36 (July
Abridged versic
Silberman
Does Environmental Deterrence Work?
Evidence and Experience Say Yes, But
We Need to Understand How and Why
Comprehensive introduction to deterrence theory. Author reviews available
theoretical and empirical data on deterrence and describes ongoing and
planned research to measure deterrent impacts. Reprinted in Making Law
Work, Vol. 1 (INECE 2005) (summarized above, #18).
.; Does Environmental Deterrence Work? Evidence and Experience Say Yes, But We Need to Understand How and Why; 30 Env. Law Inst.
2000). http://www.temple.edu/iilpp/EnvironmentalRoundtableResearchDocs/Silberman%20-%20Does%20Envtl%20Deterrence.pdf;
m reprinted in M
akinsLaw Work (INECE 2005) \see http://www.inece.org/mlw/Chapter4 DomesticEnforcementStrategies.pdf].
-28-
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Topic: Empirical and Modeling Studies of Compliance, Deterrence, and Performance (Including Literature Reviews)
#
39
Year
1999
Author
EPA - OPPA
Title
Compliance Information Project Literature
Summaries
Summary
Predecessor report to EPA's 2007 Compliance Literature Search Results report
in which this table appears. Report presents the results of a 1999, broad-based
compliance literature search. Included table cites 132 responsive articles, 17
premier examples of which are summarized in additional detail.
EPA Office of Planning and Policy Analysis; Compliance Information Project Literature Summaries, EPA-300-R-99-002 (April 1999).
http://www.eDa. sov/compliance/resources/publications/compliance/research/index.html
-29-
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Topic: Studies of Inspection and Assistance Targeting, Frequency, or Effectiveness
Year
Author
Title
Summary
40
2006
Cason &
Gangadhar
An Experimental Study of Compliance and
Leverage in Auditing and Regulatory
Enforcement
Individuals often comply with regulations even though inspection frequency is
low. Authors conduct a laboratory experiment based on the Harrington
dynamic model in which, based on their compliance behavior, participants
move between two inspection groups that differ in the probability of inspection
and severity of fine. Researchers find and explain why compliance behavior
does not change as sharply as the Harrington model predicts.
Cason, T. & Gangadharan, L.; An Experimental Study of'Compliance and Leverage in Auditing and Regulatory Enforcement, Eco. Inquiry 44:(2), 352-366
(2006). http://ideas.repec.0rg/a/oup/ecinqu/v44v2006i2p352-366.html
41
2006
MA Exec.
Office of
Env. Affairs
The Effect of Providing On-site Technical
Assistance for Toxics Use Reduction
Evaluation of the pollution prevention outcomes of on-site technical assistance
provided by Massachusetts (MA) in the context of the MA Toxic Use
Reduction Act (TURA) program. Visited companies reduced their toxics use
an average of 9.4% after being visited and visited companies had greater
reductions than those not visited.
MA Exec. Office of Env. Affairs; The Effect of Providing On-site Technical Assistance for Toxics Use Reduction (July 2006). Executive Summary:
http://www.mass.gov/envir/ota/publications/pdf/effectiveness study executive summary.pdf
-30-
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Topic: Studies of Inspection and Assistance Targeting, Frequency, or Effectiveness
Year
Author
Title
Summary
42
2006
NJDEP
Compliance & Enforcement Target and
Measure Initiative Final Project Report
Report explores using compliance rate data to drive inspection and targeting
decisions. Limited evidence was found to support these uses. The report
presents calculated compliance rates for various media and sectors and
discusses compliance rate issues and limitations. An example of the
successful use of compliance rates combined with geographic data was the
State's evaluation of municipalities for an environmental justice initiative.
New Jersey Department of Environmental Protection (NJDEP); Compliance & Enforcement Target and Measure Initiative Final Project Report (Oct. 2006).
[available from NJDEP-Bureau of Enforcement and Compliance Services (609-984-9482)] See also NJDEP Compliance Rate Outcomes charts:
http://datamine.state.ni.us/dep/DEP OPRA/EnfSummaries.htm#EnfRatesOutcomes.
43
2005
Decker
Do Regulators Respond to Voluntary
Pollution Control Efforts? A Count Data
Analysis
Author addresses whether regulators are responsive to voluntary
environmental behavior. In two of four frequently inspected manufacturing
industries, states undertake fewer inspections at plants reporting lower per unit
output Toxics Release Inventory (TRI) releases. Regulated pollutant releases
and compliance history also influence inspection activity. In the pulp and
paper industry, plants accounting for a larger employment share are inspected
less frequently.
Decker, C. S.; Do Regulators Respond to Voluntary Pollution Control Efforts? A Count Data Analysis; Contemporary Eco. Policy 23.2: 180(15) (April 2005).
http://papers.ssrn.com/sol3/papers.cfm7abstract id=904737
-31-
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Topic: Studies of Inspection and Assistance Targeting, Frequency, or Effectiveness
Year
Author
Title
Summary
44
2005
Bennear
Strategic Response to Regulatory
Thresholds: Evidence from the MA Toxic
Use Reduction Act
Author finds that up to 40% of the observed decline in reported toxic releases
in MA may be attributed to firms' strategic responses to the reporting
thresholds. [Note that the 2006 TURA analysis summarized above (#41)
applies to firms receiving site visits, only, and addresses the potential for a
threshold effect.!
Bennear, L. S.; Strategic Response to Regulatory Thresholds: Evidence from the MA Toxic Use Reduction Act; Social Science Research Network (2005).
http://papers.ssrn.com/sol3/papers.cfm7abstract id=776504
45
2004
Clark,
Friesen &
Muller
The Good, the Bad, and the Regulator: An
Experimental Test of Two Conditional
Audit Schemes
Laboratory experiment of conditional audit rules designed to achieve
regulatory compliance with fewer inspections -versus- random auditing of
audit pools that differ in inspection probability with transition rules between
them. The results showed that optimal targeting generates the lowest
inspection rates as predicted but random auditing yields the highest
compliance. Past-compliance targeting yields intermediate results.
Clark, J., Friesen, L. & Muller, A.; The Good, the Bad, and the Regulator: An Experimental Test of Two Conditional Audit Schemes; Economic Inquiry
(42)1, pp. 69-88 (Jan. 2004). http://papers.ssrn.com/sol3/papers.cfm7abstract id=906207
46
2003
May & Wood
At the Regulatory Front Lines: Inspectors'
Enforcement Styles and
Regulatory Compliance
Article explores impact of inspector style - "formal" versus "facilitative" - on
compliance with building codes. Authors fail to find a direct effect of
differing enforcement styles on compliance but such styles influence
homebuilders' knowledge of rules and homebuilder-inspector cooperation.
Inspector inconsistencies suggest a downside to "responsive regulation" as a
preferred mode of regulatory enforcement.
May, P. & Wood, R.; At the Regulatory Front Lines: Inspectors' Enforcement Styles and Regulatory Compliance', Journal of Public Administration Research
and Theory, Vol. 13, No. 2, 117-139 (2003). http://ipart.oxfordiournals.Org/cgi/content/abstract/13/2/117
-32-
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Topic: Studies of Inspection and Assistance Targeting, Frequency, or Effectiveness
Year
Author
Title
Summary
47
2001
Kunreuther,
McNulty &
Kang
Improving Environmental Safety Through
Third Party Inspection
Paper makes the case for relying on decentralized market-based incentive
mechanisms to supplement performance-based regulations for promoting
industrial safety. In particular, it examines how third party inspections
coupled with insurance protection can encourage firms to reduce their risks
from accidents and disasters.
Kunreuther, H., McNulty, P. &Kang, Y'.; Improving Environmental Safety Through Third Party Inspection; Wharton School -U. of Perm. (Oct. 2001) [see
also: Risk Analysis 22(2), pp. 309-318 (2002)] http://grace.wharton.upenn.edu/risydownloads/01-05-HK.pdf
48
2000
EPA - OPPA
Views from The Field: Inspector
Perspectives on Environmental
Compliance
Report provides examples of responses received to questionnaires distributed
to experienced EPA and state inspectors and inspection program managers in
1998 and 1999. Responses cover topics such as successful tools, techniques,
and strategies for achieving environmental compliance.
EPA Office of Planning and Policy Analysis; Compliance Information Project - Views from The Field: Inspector Perspectives on Environmental Compliance
(April 2000). [unpublished/available from USEPA\contact Compliance Literature Search Results project manager]
-33-
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Topic: Theoretical Analyses of Why Firms Comply and the Impacts of Inspections and Enforcement
#
49
Year
2005
Author
Chen
(INECE)
Title
Disaggregate Theories and Firm
Compliance Behavior
Chen, N.; Disaggregate Theories and Firm Compliance Behavior, INECE (20
50
2005
Grossman, et.
al (INECE)
An Introduction to Theories of Why States
and Firms Do (And Do Not) Comply With
Law
Grossmann, D. &Zaelke, Y) .; An Introduction to Theories of Why States and F
Environmental Compliance and Enforcement, INECE Conference pp. 73-80 (P
51
2005
Harris
(INECE)
Harris, P.; Combining Legal Ma
Compliance and Enforcement, p
Combining Legal Mandates With
Economics in the Application of
Environmental Law
Summarv
Author examines factors influencing compliance behavior within firms and
synthesizes the literature across various fields - management sciences,
business, economic, and human behavior - to create a more comprehensive
understanding of the determinants of corporate response to environmental
regulations. Author concludes by discussing the factors that a model of the
drivers of firm compliance would need to address.
35). http://www.inece.ors/ucsb/DisassresBehavMemoChenECEOct%2005.pdf
Theories about compliance provide different accounts of why states, firms, and
individuals comply or do not comply with international and domestic laws.
The authors discuss theories of compliance at two principal levels,
international and domestic, and compare and contrast the theories.
irms Do (And Do Not) Comply With Law, Seventh International Conference on
^.pril 2005). http://www.inece.ors/conference/7/voll/13 Grossman.pdf
Author, a former EPA enforcement official, describes the economy and
enforcement as being mutually supporting. Paper discusses the role of
penalties in creating deterrence and improving compliance and how the
"polluter pays" concept has been implemented in the United States with civil
and criminal penalty case studies.
ndates With Economics in the Application of Environmental Law; Seventh International Conference on Environmental
p. 31-38 (April 2005) . http://www.inece.Org/conference/7/voll/07 Harris.pdf
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Topic: Theoretical Analyses of Why Firms Comply and the Impacts of Inspections and Enforcement
#
52
Year
2004
Author
Sharfman, et.
al
Title
A Model of the Global and Institutional
Antecedents of High-Level Corporate
Environmental Performance
Summarv
Authors analyze the effects of global and institutional pressures on firms'
environmental performance and explain how these pressures drive them to
exceed minimum regulatory standards wherever they operate. Findings
include that the higher the average level of regulation a firm faces
internationally, the higher its environmental performance will be.
Sharfman, M., Shaft, M. & Tihanyi, L.',A Model of the Global and Institutional Antecedents of High-Level Corporate Environmental Performance', Business
and Society 43.1: 6-36 (March 2004). http://bas.sagepub.eom/cgi/content/abstract/43/l/6
53
2003
Malloy
Regulation, Compliance and the Firm
Article explores, from an organizational perspective, an alternative regulatory
approach in which the regulator directly intervenes in firms' management
functions by mandating or encouraging environmental management system
(EMS) use. Hypothetical scenarios illustrate how flawed firm compliance
routines and inadequate distribution and use of information, personnel, and
authority within firms can lead to regulatory violations.
Malloy, T.; Regulation, Compliance And The Firm', Temple Law Review. Vol 76 (3): pp. 451-488. (2003). [web version not located]
54
2003
Vandenbergh
Beyond Elegance: A Testable Typology of
Social Norms in Corporate Environmental
Compliance
Article applies rational choice theory to the environmental compliance
decision making of corporate managers. Deterrence theories are analyzed in
context of the roles of penalties and regulator actions in corporate manager
decisionmaking.
Vandenbergh, M. P. ; Beyond Elegance: A Testable Typology of Social Norms in Corporate Environmental Compliance', Stanford Env. Law Journal, Vol. 22 : 1 ,
pp. 55-114 (2003). http://elj.stanford.edu/elj/public/archives/author.htm
55
2000
Heyes
Implementing Environmental Regulations:
Enforcement and Compliance
Survey of selected literature on the enforcement dimensions of environmental
regulation. Author discusses the benchmark simple random monitoring model,
how it has been extended and adapted over the years, and the role of citizens -
through markets and politics - in the determination of compliance incentives.
-35-
-------
Topic: Theoretical Analyses of Why Firms Comply and the Impacts of Inspections and Enforcement
# I Year \ Author
Title
Summary
Heyes, A.; Implementing Environmental Regulation: Enforcement and Compliance; Journal of Regulatory Economics, Vol 17(2), pp. 107-29 (2000).
http://www.springerlink.eom/content/14133784kgn23p92/:http://www.oecd.org/dataoecd/19/17/33947786.pdf
56
1999
Livernois &
McKenna
Truth or Consequences: Enforcing
Pollution Standards with Self-Reporting
Evidence suggests that a surprisingly large fraction of firms comply with
pollution emission standards even though expected penalties for
noncompliance are low. Authors offer an explanation by extending the
standard model of enforcement to include a self-reporting requirement and
enforcement power in a manner described as challenging the conventional
result that higher fines lead to higher compliance rates.
Livernois, J. & McKenna; C. J.;. Truth or Consequences: Enforcing Pollution Standards with Self Reporting; Journal of Public Economics, Vol. 71, No. 3
pp. 415-440(26) (March 1999). http://www.ingentaconnect.com/content/els/00472727/1999/00000071/00000003/art00082
-36-
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Topic: Relationship Between Good Governance and Enforcement and Other Interventions
Year
Author
Title
Summary
57
2006
EABIS
The Changing Role of Government in
Corporate Responsibility
Document outlines key drivers governments can use to promote corporate
responsibility. The role of other actors such as civil organizations are
discussed in the context of a new set of relationships between government,
business and civil society. Examples consider different government
approaches in Italy, Norway and the United Kingdom. An appendix to the
report provides a practical framework for better understanding a government's
role in promoting corporate responsibility.
European Academy of Business in Society; The Changing Role of Government in Corporate Responsibility (April 2006).
www.eabis.org/PractitionersReportl00406 pdf media public.aspx -or-
http://209.85.165.104/search?q=cache:BSOrlSnOzOOJ:www.eabis.org/PractitionersReportl00406_pdflmedia_public.aspx+%22The+Changing+Role+of+Gov
ernment+in+Corporate+Responsibilitv+%22&hl=en&ct=clnk&cd=2&gl=us
58
2005
Harman
(INECE)
The Relationship Between Good
Governance and Environmental
Compliance and Enforcement
Author discusses the principles of good governance, explores the link between
good governance, environmental compliance, and enforcement, and describes
examples of good governance in action.
Harman, Sir John; The Relationship Between Good Governance and Environmental Compliance and Enforcement, Seventh International Conference on
Environmental Compliance and Enforcement. INECE Conference Paper, pp.5-14 (April 2005). http://www.inece.Org/conference/7/voll/04 Harman.pdf
59
2005
Morita &
Zaelke
(INECE)
Rule of Law, Good Governance, and
Sustainable Development
Article reviews the relationship between the rule of law, good governance, and
sustainable development. Authors address the importance of compliance and
enforcement for promoting and achieving sustainable development.
Morita, S. & Zaelke, D.; Rule of Law, Good Governance, and Sustainable Development; Seventh International Conference on Environmental Compliance and
Enforcement; INECE Conference Paper, pp. 15-22 (April 2005). http://www.inece.Org/conference/7/voll/05 Sachiko Zaelke.pdf
-37-
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Topic: Relationship Between Good Governance and Enforcement and Other Interventions
#
60
Year
2005
Author
Zaelke,
Stilwell &
Young
Title
Compliance, Rule of Law, and Good
Governance - Making Law Work for
Sustainable Development
Summarv
Article discusses compliance in the broader context of the rule of law and good
governance. The authors explain that sustainable development depends on
good governance, which depends on the rule of law, which depends on
compliance.
Zaelke D., Stilwell, M., & Young, O.; Compliance, Rule of Law, And Good Governance: What Reason Demands - Making Law Work for Sustainable
Development; Compliance, Rule of Law, & Good Governance; Chapter I, Making Law Work (2005).
http://www.inece.org/mlw/Chapterl ZaelkeStilwellYoung.pdf
61
2002
Cruden &
James
Env. Compliance and Enforcement at the
USDOJ and the Role of Enforcement in
Good Domestic Governance
Authors describes the concept of good governance and how it relates to
enforcement, the value of strong environmental enforcement, and how the
DOJ-ENRD is organized and handles litigation.
Cruden, J. C. & James, R.; Environmental Compliance and Enforcement at the United States Department of Justice and the Role of Enforcement in Good
Domestic Governance; Sixth International Conference on Environmental Compliance and Enforcement. INECE Conference Paper, pp. 1-9 (April 2002).
http://www.inece.org/conf/proceedings2/18-Env.%20Compliance.pdf
-38-
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Topic: Compliance and Performance Indicators and Measurement
#
62
Year
2006
Author
Cutting, et al.
Title
Enforcement Data: A Tool for Pollution
Control
Summarv
Project analyzes the utility of publicly available compliance and enforcement
data on polluters. It features an extensive electronic table of all enforcement
data available nationwide, verified by a survey conducted of all state
programs.
Cutting, Robert H., et al.; Enforcement Data: A Tool for Pollution Control; 36 Environmental Law Reporter 10060-10072 (January 2006). [web version not
located]
63
2006
Metzenbaum
Measure to Comply, Measure to Perform
Author discusses methods agencies can use to analyze the measurement data
they gather and use the data as a management tool to identify problems that
need attention. Also discussed are successes that warrant replication and how
to disseminate those findings and spread effective practices.
Metzenbaum, S.; Measure to Comply, Measure to Perform; Univ. of MD Government Performance White Paper (2006).
http://www.complianceconsortium.org/ECCArticles/wp measure to comply measure to perform.pdf
64
2005
EPA DIG
EPA Performance Measures Do Not
Effectively Track Compliance Outcomes
Office of Inspector General (OIG) evaluation of EPA' s compliance program
measures. Findings include that EPA relies primarily on output measures
because it lacks compliance rates and other reliable outcome data. Report
includes recommendations for improvement.
EPA Office of Inspector General; EPA Performance Measures Do Not Effectively Track Compliance Outcomes, Report No. 2006-P-00006 (Dec. 15, 2005).
http://www.epa.sov/oig/reports/2006/2005 12 15-2006-P-00006.pdf
65
2005
Hall
(INECE)
Overview of Datasets for Environmental
Compliance and Enforcement
Paper surveys some of the major compliance and enforcement datasets,
describing their origin, authors, scope, content, and applicability.
Hall, D.; Overview of Datasets for Environmental Compliance and Enforcement; INECE (2005). http://www.inece.org/ucsb/MemoDatasets final.pdf
-39-
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Topic: Compliance and Performance Indicators and Measurement
#
66
Year
2005
Author
INECE
Title
Performance Measurement Guidance for
Compliance and Enforcement Practitioners
Summarv
Document provides guidance to practitioners, drawn from the experiences of
countries at various stages of developing and using compliance and
enforcement indicators, for identifying, implementing, and using such
indicators.
INECE Expert Working Group on Enforcement and Compliance Indicators; Performance Measurement Guidance for Compliance and Enforcement
Practitioners (Nov. 2005); http://www.inece.org/indicators/guidance.pdf
67
2004
Stahl
(INECE)
Performance Indicators for Environmental
Compliance and Enforcement Programs:
The U.S. EPA Experience
Author explores EPA's efforts to develop and use results-based indicators in
its compliance assurance program. Paper updates a prior paper presented to
INECE in 2002 by including new information on how EPA is using
performance indicators to improve the effectiveness of its enforcement and
compliance program.
Stahl, M.; Performance Indicators for Environmental Compliance and Enforcement Programs: The U.S. EPA Experience', INECE Sixth International
Conference; Review Draft (Jan. 2004). http://www.inece.org/indicators/docs/StahlPaper.pdf
68
2003
Akella
(INECE)
Enforcement Economics and
Environmental Compliance: Lessons for
the Development of ECE Output
Indicators
Paper presents an enforcement economics model showing enforcement as a
holistic system whose overall effectiveness depends on the effectiveness of
each of its component parts. Role of output indicators is discussed and
indicators are recommended for each step of the enforcement "chain."
Akella, A. S.; Enforcement Economics And Environmental Compliance: Lessons For The Development of ECE Output Indicators. INECE (Nov. 2003).
http://www.inece.org/indicators/proceedings/04q ngoConservationInternational.pdf In addition, see, generally, INECE's Indicators Forum at:
http://inece.org/forumsindicators.html
-40-
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Topic: Compliance and Performance Indicators and Measurement
#
69
Year
2003
Author
Barrett &
Pascoe
(INECE)
Title
Environmental Compliance and
Enforcement Indicators: Environment
Canada Pilot Projects - Addressing
Challenges.
Summarv
Paper presents a snapshot of Canada's efforts to develop new, more
meaningful compliance and enforcement indicators, including industrial
process improvements, decreased recidivism rates, and reductions in time
needed to return to compliance. Ultimate goal is to link compliance promotion
and enforcement to actual environmental quality improvements
via indicators.
Barrett, F. & Pascoe, D.; Environmental Compliance And Enforcement Indicators - Environment Canada Pilot Projects - Addressing Challenges', INECE
(Nov. 2003). http://www.inece.ors/indicators/environmentcanada.pdf
70
2003
INECE-
OECD
Measuring What Matters
Results of an international workshop on compliance and enforcement
indicators to, among other things, review the rationale, purpose and needs for
using such indicators, advance the development of common definitions and an
indicators typology, and explore relationships with other types of
environmental indicators.
INECE-OECD; Measuring What Matters', Proceedings from the INECE-OECD Workshop on Environmental Compliance and Enforcement Indicators
(Nov. 2003). http://www.oecd.org/dataoecd/12/33/34564043.pdf
71
2003
Metzenbaum
More Nutritious Beans
Discussion of how EPA and state pollution control agencies can better use the
compliance data they are already collecting to reveal unsuspected problems in
a firm or industry, track the success of enforcement initiatives, engage the
public, and drive local environmental improvement initiatives.
Metzenbaum, S.; More Nutritious Beans; The Environmental Forum (March/ April 2003) at 19-41.
http://www.complianceconsortium.ors/ECCAuthored/MoreNutritiousBeans.pdf
-41-
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Topic: Compliance and Performance Indicators and Measurement
#
72
Year
2003
Author
Shewmake
Title
Calculating and Communicating
Environmental Compliance Rates
Summarv
Author describes work by the Environmental Compliance Consortium (ECC)
to develop better ways to calculate and communicate environmental
compliance rates. Includes an introduction of a work product of that effort, an
ECC Compliance Rate Template.
Shewmake, T.; Calculating and Communicating Environmental Compliance Rates', ECOStates (Spring 2003).
http://www.complianceconsortium.org/ECCAuthored/ComplianceRateArticle.pdf
73
2003
Yeater
Compliance and Enforcement Indicators in
CITES
Yeater, M.; Compliance and Enforcement Indicators in CITES', INECE (Nov.
74
2002
Corbett &
Pan
Corbett, C. J. & Pan, Jeh-Nan; E
Research, 139(1), pp. 68-83 (Ma
75
2001
EC
Evaluating Environmental Performance
Using Statistical Process Control
Techniques
Paper discusses indicators for compliance with the Convention on
International Trade in Endangered Species of Wild Fauna and Flora (CITES).
2003). http://www.inece.ors/indicators/proceedinss/04s other cites.pdf
Authors propose use of the cumulative sum chart as a tool to monitor
emissions data so abnormal changes can be detected promptly. They further
propose the use of process capability indices to evaluate environmental
performance and prioritize enforcement efforts.
valuating Environmental Performance Using Statistical Process Control Techniques; European Journal of Operational
v2002). http://www.insentaconnect.com/content/els/03772217/2002/00000139/00000001/art00155
Measuring the Environmental Performance
of Industry (MEPI) - Final Report
Project to develop measures for comparing the overall environmental
performance of industrial companies. Performance drivers are analyzed for a
large sample of European companies. A standardized approach for
quantitative environmental performance indicators is developed for six
industrial sectors.
EC Environment and Climate Research Programme; Measuring the Environmental Performance of Industry (MEPI) - Final Report; Science and Technology
Policy Research, University of Sussex (Feb. 2001). http://susproc.irc.es/docs/MEPI%20FinalReport.pdf
-42-
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Topic: Voluntary Programs; Design, Effectiveness, and Factors Influencing Firm Participation
Year
Author
Title
Summary
76
2006
Coglianese &
Nash
Beyond Compliance - Business Decision
Making and US EPA's Performance Track
Program
Research supported by an EPA-Office of Policy, Economics and Innovation
(OPEI) cooperative agreement. Report addresses why some facilities, but not
others, apply for membership involuntary programs like EPA's National
Environmental Performance Track (PT) and the impact of eligibility criteria,
program requirements, and incentives on membership. What distinguishes
businesses that join programs such as PT from ones that do not is less their
environmental performance relative to non-applicants as their internal
organizational dynamics.
Coglianese, C. & Nash, J.; Beyond Compliance - Business Decision Making and US EPA 's Performance Track Program', Harvard University JFK School of
Government (2006). http://www.ksg.harvard.edu/m-rcbg/rpp/CoglianeseNashNEPTReport.pdf
77
2006
Delmas &
Montes-
Sancho
Voluntary Agreements to Improve
Environmental Quality: Are Late Joiners
the Free Riders?
Authors analyze how free-riding affects the effectiveness of corporations'
collective political strategies to shape government policy within the context of
environmental voluntary agreements. Focusing on the Climate Challenge
program, they find that substantive cooperative strategies are more likely to be
pursued by firms entering such programs at their initiation while free-riding, or
symbolic cooperation, is more likely to be adopted by late joiners.
Delmas, M. & Montes-Sancho, M.; Voluntary Agreements to Improve Environmental Quality: Are Late Joiners the Free Riders?', Erb Institute Colloquium
Paper (2006). http://www.erb.umich.edu/News-and-Events/colloquium papers/Delmas-Montes-ERB-06.pdf p elated paper: The Effectiveness of Voluntary
Agreements to Improve Environmental Quality: Symbolic Versus Substantive Collaboration (Aug 2005)
http://www.isnie.org/ISNIE05/Papers05/delmasmontes.pdf
-43-
-------
Topic: Voluntary Programs; Design, Effectiveness, and Factors Influencing Firm Participation
#
78
Year
2006
Author
EPA DIG
Title
Partnership Programs May Expand EPA's
Influence
Summarv
OIG evaluation conducted to collect current and consistent information on 54
EPA partnership programs. Analysis considers barriers to data collection and
analysis and program evaluation.
EPA Office of Inspector General; Partnership Programs May Expand EPA 's Influence, Report No. 2007-P-00003 (Nov. 14, 2006).
http://www.epa.sov/oig/reports/2007/20061 1 14-2007-P-00003.pdf
79
2006
Gamper-
Rabindran
Did the EPA's Voluntary Industrial Toxics
Program Reduce Plants' Emissions?
Author evaluates EPA's 33/50 Program via a GIS analysis of distributional
impacts and by-media analysis of substitution. Controlling for participant self-
selection into the program, the author found that participants did not reduce
health-indexed emissions of target chemicals in several key industries and/or
they reduced emissions by increasing off-site transfers.
Gamper-Rabindran, S. ; Did the EPA 's Voluntary Industrial Toxics Program Reduce Plants' Emissions? A GIS Analysis of Distributional Impacts and a
By-Media Analysis of Substitution; Journal of Environmental Economics and Management, Vol. 52, Issue 1, pp. 391-410 (July 2006).
http://www.sciencedirect.eom/science/article/B6WJ6-4JJGBOB-l/2/le246d961e3287c3fa5b77a724a68fcf
80
2006
Morgenstern
& Pizer
Morgenstern, R. & Pizer, W.; Re
Resources for the Future Press (1
Reality Check: The Nature and
Performance of Voluntary Environmental
Programs in the United States, Europe, and
Japan
In-depth analyses of seven voluntary environmental programs, including
Climate Wise, 33/50, the U.K. Climate Change Agreements, and the
Keidanren Voluntary Action Plan. Focus is on assessing actual performance.
Authors find that most programs have positive results but they are small
compared with business-as-usual trends and the impact of other forces such as
higher energy prices and potential gains may be quickly exhausted.
ality Check: The Nature and Performance of Voluntary Environmental Programs in the United States, Europe, and Japan;
7eb. 2007). http://www.rff.org/rff/RFF Press/CustomBookPases/Realitv-Check.cfm?CFID=5879848&CFTOKEN=81568384
-44-
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Topic: Voluntary Programs; Design, Effectiveness, and Factors Influencing Firm Participation
Year
Author
Title
Summary
81
2006
Prakash &
Potoski
The Voluntary Environmentalists - Green
Clubs, ISO 14001, and Voluntary
Environmental Regulations
Drawing on the economic theory of club goods, this book offers a theoretical
account of voluntary environmental programs by identifying the institutional
features that influence conditions under which programs can be effective.
Linking program efficacy to club design, the authors discusses collective
action challenges faced by green clubs. The authors' finding include that, on
average, ISO 14001 members pollute less and comply better with
governmental regulations.
Prakash, A. & Potoski, M.; The Voluntary Environmentalists - Green Clubs, ISO 14001, and Voluntary Environmental Regulations', Cambridge University
Press (2006). http://www.cambridge.org/us/catalogue/catalogue.asp?isbn=0521677726
82
2006
Rivera, de
Leon&
Koerber
Is Greener Whiter Yet? The Sustainable
Slopes Program After Five Years
Foliowup study to the authors' 2004 Sustainable Slopes Program study (see
below, #91). This study assesses the Program's environmental effectiveness
from 2001 to 2005. Authors find no evidence that ski areas adopting the
Program outperformed non-participants in four of five environmental
performance metrics.
Rivera, I, de Leon, P. and Koerber, C.;Is Greener Whiter Yet? The Sustainable Slopes Program After Five Years; Policy Studies Journal, Vol. 34, No. 2,
195-224(2006). http://home.gwu.edu/~irivera/IsGreenerWhiterYetPSJfinal.Mav2006.pdf
83
2006
Steelman &
Rivera
Voluntary Environmental Programs in the
United States: Whose Interests Are
Served?
Article details a framework of procedural, substantive, and practical tests to
determine whether a voluntary environmental program is serving the common
interest. The Forest Stewardship Council Certification and Sustainable Slopes
Programs are considered. Authors find that common interest outcomes may be
promoted by performance based standards, third-party oversight, sanctions or
rewards, and credible threats to enforce existing or enact new regulations.
Steelman,T.. & Rivera, J.; Voluntary Environmental Programs in the United States: Whose Interests Are Served?; Organization & Environment, Vol. 19, Issue
4 (Dec. 2006). http://home.gwu.edu/~irivera/VEPsintheUSWhoseInterests.July 17.pdf
-45-
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Topic: Voluntary Programs; Design, Effectiveness, and Factors Influencing Firm Participation
Year
Author
Title
Summary
84
2005
Darnall &
Carmin
Greener and Cleaner? The Signaling
Accuracy of U.S. Voluntary
Environmental Programs
Paper investigates voluntary program design characteristics to better
understand signaling accuracy. Less rigorous programs can signal inaccurately
that they are comparable to more robust programs. Lack of effective
monitoring and sanctions creates "free rider" opportunities. Absent some
means to distinguish between such programs their viability is threatened.
Darnall, N. & Carmin, J.; Greener and Cleaner? The Signaling Accuracy of U.S. Voluntary Environmental Programs; Policy Sciences 38:71-100 (2005).
https://osf 1 .gmu.edu/~ndarnall/docs/Cleaner Greener.pdf
85
2005
Delmas &
Keller
Strategic Free Riding in Voluntary
Programs: The Case of EPA's Wastewise
Program
Free riding occurs when a firm or individual benefits from others' actions and
efforts without paying for or sharing in the costs. Authors address the factors
that favor or hamper free riding behavior in voluntary programs based on their
analysis of EPA's Waste Wise program.
Delmas, M. & Keller, A.; Strategic Free Riding in Voluntary Programs: The Case of EPA 's WasteWise Program; Policy Sciences 38:91-106 (2005).
http://www2.bren.ucsb.edu/~delmas/webpage/Delmas-Keller.pdf
86
2005
EPA DIG
Ongoing Management Improvements and
Further Evaluation Vital to EPA
Stewardship and Voluntary Programs
OIG evaluation. Stakeholders were asked to define stewardship, list
motivators and obstacles to participating in stewardship programs, and outline
EPA roles in area. Recommendations are offered based on interview results.
EPA Office of Inspector General; Ongoing Management Improvements and Further Evaluation Vital to EPA Stewardship and Voluntary Programs; Report
No. 2005-P-00007 (Feb. 17, 2005). http://www.epa.gov/oig/reports/2005/20050217-2005-P-00007.pdf
-46-
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Topic: Voluntary Programs; Design, Effectiveness, and Factors Influencing Firm Participation
Year
Author
Title
Summary
87
2005
Johnston
The Promise and Limits of Voluntary
Management-Based Regulatory Reform:
An Analysis of EPA's Strategic Goals
Program
Working paper. Study of EPA's late 1990's Strategic Goals Program (SGP) for
small and medium sized metal finishers. Incentives included flexible
regulatory treatment by state regulators, direct technical assistance, and limited
financial assistance. Paper explains the SGP's relative ineffectiveness as due
to relatively weak incentives given the cost of pollution prevention.
Johnston, J.; The Promise and Limits of Voluntary Management-Based Regulatory Reform: An Analysis of EPA's Strategic Goals Program; U. of Perm.
Public Law Working Paper No. 06-05 (2005). http://papers.ssrn.com/sol3/papers.cfm7abstract id=712103
2005
Vidovic &
Khanna
Can Voluntary Pollution Prevention
Programs Fulfill Their Promises? Further
Evidence from the EPA's 33/50 Program
Unpublished paper presented at 2006 Third World Congress of Environmental
and Resource Economists. The evaluation of EPA's 33/50 Program found that
the decline in observed emissions from 1991-1995 were likely the result of an
independent trend rather than a direct consequence of the program.
Vidovic, M. and Khanna, N.; Can Voluntary Pollution Prevention Programs Fulfill Their Promises? Further Evidence from the EPA 's 33/50 Program;
unpublished/presented at 2006 Third World Congress of Environmental and Resource Economists (Dec. 15, 2005 version), [unpublished/available from
author at nkhanna(@,binghamton.edul
89
2004
King
Economic research shows that sparing the
rod spoils the Bay
Author describes 2004 Nobel Prize-winning economics research on how the
success or failure of regulatory systems depends primarily on bottom-up
microeconomic decisions on how easy it is to "game" regulatory programs.
Effect said to explain why intergovernmental agreements, voluntary
partnerships, and stakeholder initiatives have failed to clean up the Chesapeake
Bay.
King, D.; Economic research shows that sparing the rod spoils the Bay, Chesapeake Bay Journal (2004). http://www.baviournal.com/article.cfm?article=2444
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Topic: Voluntary Programs; Design, Effectiveness, and Factors Influencing Firm Participation
Year
Author
Title
Summary
90
2004
Potoski &
Prakash
The Regulation Dilemma: Cooperation
and Conflict in Environmental
Governance
Article examines how regulatory enforcement can influence firms' compliance
with mandatory requirements and voluntary standards. Cooperative regulatory
enforcement where firms self-police and governments provide relief for serf-
disclosed violations yields optimal win-win outcomes when both sides
cooperate. If firms are likely to evade compliance, a deterrence approach is
superior.
Potoski, M. & Prakash, A.; The Regulation Dilemma: Cooperation and Conflict in Environmental Governance', Public Administration Review Vol. 64, No. 2
at 152-63 (March-April 2004). http://depts.washington.edu/ampol/publications/online papers/par.pdf
91
2004
Rivera & de
Leon
Is Greener Whiter? Voluntary
Environmental Performance of Western
Ski Areas
In this paper, the authors analyze the first year implementation of
the Sustainable Slopes Program. Despite discussed institutional pressures, the
author found that participation appeared to be correlated with lower
environmental performance ratings due to a lack of mechanisms to prevent
opportunism. Such mechanisms include specific environmental standards,
3rd-party oversight, and sanctions for poor performance.
Rivera, J. & de Leon, P.; Is Greener Whiter? Voluntary Environmental Performance of Western Ski Areas', Policy Studies Journal, Vol. 32, No. 3, 417-437
(2004). http://home.gwu.edu/~irivera/IsGrennerWhiter.PSJ.Publication.August2004.pdf
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Topic: Voluntary Programs; Design, Effectiveness, and Factors Influencing Firm Participation
Year
Author
Title
Summary
92
2004
Sam & Innes
Voluntary Pollution Reductions and the
Enforcement of Environmental Law: An
Empirical Study of the 33/50 Program
Study of empirical determinants and effects of firms' participation in EPA's
33/50 voluntary pollution reduction program. Authors study bi-directional
links between participation and enforcement, effects of implied boycotts, and
potential regulatory preemption and incentives. Findings include that firms'
participation was motivated by expectation of relaxed regulatory scrutiny
which was borne out by regulatory practice.
Sam, A. & Innes, R.; Voluntary Pollution Reductions and the enforcement of Environmental Law: An Empirical Study of the 33/50 Program', Research Paper
2004-08, Univ. of AZ (Sept. 2004).
http://cals.arizona.edu/arec/pubs/researchpapers/2004-08saminnes.pdf
93
2004
Xepapadeass
& Passa
Participation in and Compliance With
Public Voluntary Environmental
Programs: An Evolutionary Approach
Theoretical examination of participating firms in a long-term voluntary
program. Authors use replicator dynamics modeling participation and
compliance, combined with pollution stock dynamics, to identify program
characteristics, e.g. auditing probabilities, necessary to induce the majority of
firms to participate and comply with program requirements.
Xepapadeass, A. &Passa, C.; Participation in and Compliance with Public Voluntary Environmental Programs: An Evolutionary Approach', Working Paper
(April 2004). http://www.soc.uoc.gr/ecosud/docs/Passa-Xepa/EARE Xepapadeas Passa.pdf
94
2003
OECD
Voluntary Approaches for Environmental
Policy - Effectiveness, Efficiency and
Usage in Policy Mixes
Report provides an assessment of the use of voluntary approaches, building on
a number of case studies in countries around the world (including the Intel and
Merck XL Projects in the United States), includes results of an extensive
literature search.
OECD; Voluntary Approaches for Environmental Policy - Effectiveness, Efficiency and Usage in Policy Mixes', (2003).
http://www.foundationpartnership.org/pdf/oecd.PDF
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Topic: Voluntary Programs; Design, Effectiveness, and Factors Influencing Firm Participation
#
95
Alberi
(2002)
96
Delma
(2001)
97
Year
2002
Author
Alberini &
Segerson
Title
Assessing Voluntary Programs to Improve
Environmental Quality
Summarv
Literature review of theoretical and empirical studies of voluntary programs.
Discussion of potential metrics of voluntary program success.
ni, A. & Segerson., K.; Assessing Voluntary Programs to Improve Environmental Quality; Env. and Resource Economics, Vol. 22 (1-2), pp. 157-184
. http://www. SDringerlink.com/content/c8fhmyyfrv4htYwd/
2001
Delmas &
Terlaak
A Framework for Analyzing
Environmental Voluntary Programs
Benefits to firms of participating in voluntary agreements can be outweighed
by high transaction and administrative costs. Article discusses when
participation offers strategic opportunities versus excessive costs.
s, M. & Terlaak, A.;A Framework for Analyzing Environmental Voluntary Agreements; California Management Review, Vol 43, No. 3, pp. 45-63
httpV/www2 bren ucsb edu/~delmas/webpage/CALMANREVIEW pdf
2000
King&
Lennox
King, A. & Lennox, M.; Industr^
43(4), pp. 698-716 (2000). http:/
While Preventing Moral Hazard
Industry Serf-Regulation Without
Sanctions: The Chemical Industry's
Responsible Care Program
Study of the American Chemistry Council's (ACC) Responsible Care
voluntary program found that inadequate industry self-regulation and sanctions
led to opportunism in the form of a disproportionate number of poor
performers and lack of improvement by members relative to nonmembers.
The ACC responded substantively to the results of this study.
v Self-Regulation Without Sanctions: The Chemical Industry's Responsible Care Program; Academy of Management Journal
/www. stern.nvu.edu/bes/papers/selfreg.pdf Related paper' Voluntary Environmental Standards: Furthering Moral Suasion
http://cfpubl.epa.sov/ncer abstracts/index.cfm/fuseaction/searchControlled.main?ReauestTimeout=180
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Topic: Voluntary Programs; Design, Effectiveness, and Factors Influencing Firm Participation
#
98
Year
2000
Author
Maxwell,
Lyon&
Hackett
Title
Self-Regulation and Social Welfare: the
Political Economy of Corporate
Environmentalism
Summarv
Authors extend the economic theory of regulation to allow for self-regulation
that preempts political action. Empirical evidence on releases of toxic
chemicals shows that increased thread of regulation (as proxied by increased
conservation group membership) induces firms to reduce toxic releases.
Maxwell, J., Lyon, T. & Hackett, S.; Self-Regulation and Social Welfare: the Political Economy of Corporate Environmentalism, Journal of Law &
Economic, Vol. XLIII (Oct. 2000). http://webuser.bus.umich.edu/tplvon/MLH.pdf
99
2000
Tenney
A Comparison of Voluntary and
Mandatory State Pollution Prevention
Program Achievements
Evaluation/comparison of 15 state pollution prevention programs, from 1991-
1997, using production-adjusted TRI waste data. Mandatory P2 programs
reduced waste an average of 5 1%, voluntary P2 programs an average of 25%.
Waste for all voluntary programs combined increased 23%; waste for all
mandatory programs combined decreased by 12%.
Tenney, H.; A Comparison of Voluntary and Mandatory State Pollution Prevention Program Achievements', Tufts Univ. (2000). Posted on the Environmental
Council of the States (ECOS) website at: http://www.ecos.org/content/general/detail/1975
100
2000
Videras &
Alberini
Videras, J. & Alberini, A.; The/
No. 4, pp. 449-461 (Oct. 2000).
The Appeal of Voluntary Environmental
Programs: Which Firms Participate and
Why?
Theoretical review of why firms participate involuntary programs with an
empirical analysis of programs' members in the 33/50, Green Lights, and
Waste Wise programs. Findings include that the worse the firm's
environmental record, the more likely it is to participate in voluntary programs
but only when they are directed related to highly regulated pollutants. The
authors describe this finding as broadly consistent with the predictions of other
researchers that a 'stick-and-carrot' approach increases firm responsiveness to
voluntary programs.
ppeal of Voluntary Environmental Programs: Which Firms Participate and Why?', Contemporary Economic Policy, Vol. 18,
http://ideas.repec.0rg/a/oup/coecpo/vl8v2000i4p449-61.html
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Topic: Voluntary Programs; Design, Effectiveness, and Factors Influencing Firm Participation
Year
Author
Title
Summary
101
1999
Li&
McConomy
An Empirical Examination of Factors
Affecting the Timing of Environmental
Accounting Standard Adoption and the
Impact on Corporate Valuation
Analysis of 63 mining and 103 oil and gas companies on the Toronto Stock
Exchange. Firms adopting the new environmental accounting standard were
more likely to: have been audited by a Big 6 firm; have a strong environmental
commitment; be in relatively good financial health; and be relatively less
uncertain as to their future remediation costs.
Li, Y. & McConomy, B J.; An Empirical Examination of Factors Affecting the Timing of Environmental Accounting Standard Adoption and the Impact on
Corporate Valuation', Journal of Accounting, Auditing & Finance, Vol. 14, No. 3 pp. 279-319 (Summer 1999).
http://papers.ssrn.com/sol3/papers.cfm7abstract id=186171
102
1999
Lyon&
Maxwell
"Voluntary" Approaches to Environmental
Regulation: A Survey
Authors review literature on voluntary approaches to environmental
regulation: unilateral commitments; public-private cooperative approaches;
and negotiated agreements between government and industry. The three
motivators for firms to commit to such approaches are improving corporate
productivity, appealing to "green" consumers, and optimizing corporate
regulatory strategy. Authors compare assumptions of various models to
identify conditions under which welfare-reducing voluntary actions are likely.
Lyon, T. P. & Maxwell, J. W.; "Voluntary" Approaches to Environmental Regulation: A Survey; Working Paper (January 1999).
http://ssrn.com/abstract= 147888 See also: http://webuser.bus.umich.edu/tplYon/VERChap3.PDF
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Topic: Citizen Participation in Enforcement and Compliance
#
103
Year
2007
Author
Stafford
Stafford, S.; Can Consumers En/
31, No. 1 at 83-107 (February, 2
104
2005
Seidenfeld
Title
Can Consumers Enforce Environmental
Regulations? The Role of the Market in
Hazardous Waste Compliance
Summarv
Examination of the U.S. hazardous waste management industry to assess role
consumers play in encouraging compliance. Noncompliance decreases
demand, at least in the short term. No evidence found that market size affects
compliance behavior but local competition increases compliance and
commercial managers are less likely to be in compliance than on-site
managers.
force Environmental Regulations? The Role of the Market in Hazardous Waste Compliance', Business and Economics, Vol.
007). http://www.springerlink.com/content/a3v707 17w4478 ISO/
"The Friendship of the People": Citizen
Participation in Environmental
Enforcement
A discussion of the pros and cons of citizen participation in environmental
enforcement. Article suggests three approaches - tripartism, corporatism and
deliberative participation - to capture the benefits of both citizen participation
and a balanced model of enforcement.
Seidenfeld, M.; The Friendship of the People: Citizen Participation in Environmental Enforcement, 73 George Wash. Law Rev. 269 (2005).
http://docs.law.gwu.edu/stdg/gwlr/issues/73-2.htm
105
2004
Currie
Are Environmental Complaints from
Citizens of Any Value?
Pennsylvania Department of Environmental Protection analysis of data in its
Complaint Tracking System revealed that responding to citizen complaints
was worthwhile because it revealed violations found at both permitted and
unknown sites. Future work will attempt to isolate predictors of citizen
complaints.
Currie, K.',Are Environmental Complaints from Citizens of Any Value?', ECOStates (Spring 2004).
http://www.complianceconsortium.org/StoredDocuments/ECC/SAS Ecostates article.pdf
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Topic: Citizen Participation in Enforcement and Compliance
#
106
Year
2003
Author
O'Rourke &
Macey
Title
Community Environmental Policing:
Assessing New Strategies of Public
Participation in Environmental Regulation
O'Rourke, D. & Macey, G.; Community Environmental Policing: Assessing Nt
for Public Policy Analysis and Management, Vol. 22, No. 3, 383-414 (2003).
107
2002
Bruch &
Czebiniak
(INECE)
Regional Mandates and National
Experiences Promoting Public
Involvement in Env. Compliance & Enf.
Summarv
Paper evaluates use of local "bucket brigades" to allow community members
to sample air emissions near industrial facilities. Such sampling technology
deemed to enhance local residents' participation in emergency response and
citizens' right-to-know. Means to strengthen the program are also examined.
?w Strategies of Public Participation in Environmental Regulation', Association
http V/nature berkelev edu/orourke/PDF/CEP-JPAM pdf
Paper describes how increasing citizen participation, particularly through
citizen monitoring and citizen enforcement, can enhance compliance and
enforcement.
Bruch, C. & Czebiniak, R. ; Regional Mandates and National Experiences Promoting Public Involvement in Environmental Compliance and Enforcement,
INECE Sixth international Conference, pp. 117-129 (April 2002). http://www.inece.org/conf/proceedinssl/PreceedinssBook%20117-130.pdf
108
2002
Zinn
Policing Environmental Regulatory
Enforcement: Cooperation, Capture, and
Citizen Suits
Article posits cooperative enforcement (agency -industry negotiation and
compromise) as an existing norm, describes its benefits and risks, and suggests
an operational definition of optimal enforcement with both cooperation and
punitive enforcement. Risk of agency "capture," and the pros and cons of
citizen suits, are discussed.
Zinn, M; Policing Environmental Regulatory Enforcement: Cooperation, Capture, and Citizen Suits; 21 Stanford Env. Law Journal 81 (Jan. 2002).
http://www.law.buffalo.edu/Academics/courses/56 1/materials/Zinnl .pdf and http://www.law.buffalo.edu/Academics/courses/56 l/materials/Zinn2.pdf
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Topic: Compliance and Enforcement Design Principles and Strategies Including Audit Policies
Year
Author
Title
Summary
109
2007
(forth.)
Markell
Is There a Possible Role for Regulatory
Enforcement in the Efforts to Value,
Protect, and Restore Ecosystem Services?
Forthcoming in Journal of Land Use and Environmental Law. Article explores
potential role of environmental enforcement tools - penalties, injunctive relief,
and Supplemental Environmental Projects (SEPs) - for protecting and
restoring ecosystems and their services and challenges regulators to employ
them for this purpose.
Markell, D.;/5 There a Possible Role for Regulatory Enforcement in the Efforts to Value, Protect, and Restore Ecosystem Services?', 21 Journal of Land Use
and Environmental Law (forthcoming 2007). [web version not presently available]
110
2007
Stafford
Should You Turn Yourself In?
Consequences of Self-Policing
Using data on U.S. hazardous waste enforcement and disclosures, author finds
that facilities that self-police are rewarded with a lower probability of
inspection and facilities inspected frequently are more likely to disclose.
Results suggest that facilities may be able to strategically disclose in order to
decrease future enforcement.
Stafford, S.; Should You Turn Yourself In? The Consequences of Self-Policing; Journal of Public Policy Analysis and Management; Vol. 26, Issue 2, pp. 305-
326 (Spring 2007). http://www.wm.edu/economics/people/stafford/
111
2006
Stafford
State Adoption of Environmental Audit
Initiatives
Article examines factors affecting state adoption of audit legislation and
policies. The results of a cross-section probit and Weibull proportional hazard
model suggest that political context and state-federal relationships are key
factors in adoption decisions while environmental conditions are less
significant and institutional capacity is the least important.
Stafford, S. L., State Adoption of Environmental Audit Initiatives; Contemporary Economic Policy, Vol. 24, Issue 1, pp. 172-187, (Jan. 2006).
http://ssrn.com/abstract=904947
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Topic: Compliance and Enforcement Design Principles and Strategies Including Audit Policies
#
112
Year
2006
Author
USEPA
Title
Evaluation of the PrintSTEP Pilot Program
Summarv
Report presents the results of an evaluation of the Printers' Simplified Total
Environmental Partnership (PrintSTEP) program's pilot phase. It discusses
program outcomes and lessons learned and provides recommendations on
developing similar programs for other sectors.
USEPA Office of Compliance; Evaluation of the PrintSTEP Pilot Program (August 2006).
http://www.epa.gov/compliance/resources/reports/assistance/printstepevaluation.pdf
113
2005
INECE
Secretariat
Staff
INECE Secretariat Staff; Penalti
Compliance and Enforcement, p
114
2005
Kaniaru
(INECE)
Kaniaru, D.; The Role oflnstitut
Enforcement, INECE Conferenc
Penalties and Other Remedies for
Environmental Violations: An Overview
Paper provides an overview of the functional features of penalties and other
remedies available to legislators, regulators, and judges to enforce regulations
and deter noncompliance.
es and Other Remedies For Environmental Violations: An Overview, Seventh International Conference on Environmental
p. 299-305. (April 2005). http://www.inece.ors/conference/7/voll/48 INECE%20SECRETARIAT%20STAFF.pdf
The Role of Institutions and Networks in
Environmental Enforcement
Per the title, paper discusses the role of institutions and networks in
environmental enforcement at the local, national, and international levels.
'ons and Networks in Environmental Enforcement; Seventh International Conference on Environmental Compliance and
e Paper, pp. 1-5. (April 2005). http://www.inece.org/conf/proceedinss2/10-Role%20of%20Institutions.pdf
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Topic: Compliance and Enforcement Design Principles and Strategies Including Audit Policies
Year
Author
Title
Summary
115
2005
Paddock
(INECE)
Strategies and Design Principles for
Compliance and Enforcement
Article explores evolution of compliance and enforcement program design
principles, primarily in the United States, with a focus on the increasing use of
strategic planning to deploy limited compliance and enforcement resources on
priority problems. Author discusses importance of looking beyond traditional
tools and considering roles economics and values can play in holding regulated
entities accountable for their environmental behavior.
Paddock, Leroy; Strategies and Design Principles for Compliance and Enforcement, INECE Conference Paper, pp. 67-72 (April 2005).
http://www.inece.org/conference/7/vol 1/12 Paddock.pdf
116
2005
Stafford
Does Self-Policing Help the Environment?
EPA's Audit Policy and Hazardous Waste
Compliance
Analysis examines the effect of EPA and state audit policies on hazardous
waste compliance. It finds state audit and serf-policing policies appear to
decrease the probability of violation. Some increase in compliance may be
attributed to inspection targeting changes but it appears compliance increases
even when the probability of inspection decreases, suggesting facilities that
audit are able to identify and correct problems before they become violations.
Stafford, S.; Does Self-Policing Help the Environment? EPA's Audit Policy and Hazardous Waste Compliance; Vermont Journal of Env. Law, Vol. 6 (2005).
http://www.viel.org/articles/articles/StaffordllFIN.htm
117
2005
Stretesky
Gabriel
Self-Policing and the Environment:
Predicting Self-Disclosure of Clean Air
Act Violations Under the U.S. EPA's
Audit Policy
Funded in part through an EPA ORD STAR Grant, this study uses a case
control design to determine factors associated with the odds of disclosing a
CAA violation under EPA's Audit Policy. Findings include that larger
companies are more likely to use the Policy because they violate more
requirements. Therefore, Audit Policy use may expand the number of
violations known to EPA.
Stretesky, P. & Gabriel, J.; Self-Policing and the Environment: Predicting Self-Disclosure of Clean Air Act Violations Under the U.S. EPA 's Audit Policy; Soc.
& Nat. Resources 18:871-887 (2005). http://www.ingentaconnect.com/content/routledg/usnr/2005/00000018/00000010/art00003
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Topic: Compliance and Enforcement Design Principles and Strategies Including Audit Policies
Year
Author
Title
Summary
118
2005
Stretesky
Identifying Methods for Improving the
Effectiveness of Audit Policies and Laws
ORD STAR Grant Final Report. Study suggests that letters informing
companies of sector initiatives are the sole effective means of promoting
increased Audit Policy usage. Other findings include that large companies are
more likely to disclose than small ones and that disclosures are more likely to
involve relatively minor violations than serious ones such as those EPA
normally discovers through inspections.
Stretesky, P'.; Identifying Methods for Improving the Effectiveness of Audit Policies and Laws', STAR Grant Final Report (2005).
http://cfpub 1 .epa.gov/ncer abstracts/index.cfm/fuseaction/displav.abstractDetail/abstract/5434/report/F
119
2005
Stretesky
Self-Policing and the Environment:
Predicting Self-Disclosure of
Environmental Violations Under the U.S.
EPA's Audit Policy
Article submitted to Criminology in July 2005. Content overlaps with the two
preceding reports (see above ## 111 and 118).
Stretesky, P.; Self-Policing and the Environment: Predicting Self-Disclosure of Environmental Violations Under the U.S. EPA 's Audit Policy (submitted to
Criminology in July 2005). [available from author]
120
2004
Lee & Frey
Audit Immunity Laws and Self-Disclosure
Policies: A State-by-State Comparison
Article analyzes legislative and administrative methods used by the states and
federal government to provide immunity from prosecution, and/or penalty
mitigation, for voluntarily-disclosed violations.
Lee, J. & Frey, B.; Audit Immunity Laws and Self-Disclosure Policies: A State-by-state Comparison', BNA Environment Reporter (July 9, 2004). [available
from authors]
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Topic: Compliance and Enforcement Design Principles and Strategies Including Audit Policies
#
121
Year
2004
Author
Nyborg &
Telle
Nyborg, K. & Telle, K.; The Rol
2816(2004). Equivalent versior
122
2004
OECD
Title
The Role of Warnings in Regulation:
Keeping Control With Less Punishment
Summarv
Paper discusses the role of warnings in enforcement. Authors offer opinions
on how and when regulators with limited regulatory budgets can make
efficient use of warnings.
e of Warnings in Regulation: Keeping Control With Less Punishment, Journal of Public Economics, Vol. 88(12), pp. 2801-
U2003): http://www.ioensuu.fi/taloustieteet/ott/scandale/helsinki/pdf/telle.pdf
Economic Aspects of Environmental
Compliance Assurance
Paper presents outcome of discussions on the design of optimal enforcement
strategies and tools to maximize environmental benefits and minimize costs to
regulators and the regulated community. Participants shared experiences and
ideas and confirmed the need for more empirical analysis of compliance rates.
OECD; Economic Aspects of Environmental Compliance Assurance - Proceedings from the OECD Global Forum on Sustainable Development (2004).
http://www.oecd.ors/dataoecd/15/16/37719119.pdf
123
Firestc
176(2
2003
Firestone
Enforcement of Pollution Laws and
Regulations and Analysis of Forum
Choice
Paper analyzes how agencies behave when making environmental enforcement
venue choices. It reviews the literature on environmental targeting and
sanctions and reports on an analysis of 325 random 1990-1997 penalty actions.
ne, J.; Enforcement of Pollution Laws and Regulations And Analysis of Forum Choice', Harvard Environmental Law Review, Vol. 27, No. 1., pp. 105-
003). http://www.ocean.udel.edu/cms/ifirestone/PollutionEnforcement HELR JF 2003.pdf
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Topic: Compliance and Enforcement Design Principles and Strategies Including Audit Policies
#
124
Year
2003
Author
Rechts-
chaffen &
Markell
Title
Reinventing Environmental Enforcement
and the State/Federal Relationship
Summarv
In this Environmental Law Institute-published book, the authors describe the
evolution of environmental enforcement and state-federal relationships from
the mid-1980s to the present. They advance recommendations for improving
EPA's perceived lax and inconsistent oversight of state enforcement
performance.
Rechtschaffen, C. & Markell, D.; Reinventing Environmental Enforcement and the State/Federal Relationship; Environmental Law Institute (2003).
http://www.elistore.org/books detail.asp?ID= 10800
125
2002
Friesen
Targeting Enforcement to Improve
Compliance With Environmental
Regulations
Theoretical derivation of inspection-minimizing targeting scheme. Firms are
moved at random into the target group; escape occurs only when inspections
demonstrate compliance. This scheme, called optimal targeting, is said to
reduce inspection costs as compared to the Harrington model of moving firms
into the target group based on compliance record. Allowing escape from the
target group under appropriate conditions is found to enhance deterrence.
Friesen, L.; Targeting Enforcement to Improve Compliance With Environmental Regulations; Journal of Environmental Economics and Management, Vol. 46,
No. 1, pp. 72-85 (Feb. 2002). http://www.ingentaconnect.com/content/els/00950696/2003/00000046/00000001/art00033
126
2002
Rousseau &
Proost
The Cost Effectiveness of Environmental
Policy Instruments in the Presence of
Imperfect Compliance
Theoretical analysis using a static partial equilibrium framework to study
different combinations of regulatory instruments (taxes, standards, etc.) and
enforcement instruments (e.g., civil and criminal fines). Findings include that
emission taxes are not necessarily the most cost-effective instrument.
Rousseau, S. & Proost, S.; The Cost Effectiveness of Environmental Policy Instruments in the Presence of Imperfect Compliance; Center for Economic Studies
Working Paper Series, Belgium (June 2002). http://www.econ.kuleuven.be/ete/downloads/ete-wp02-04.pdf
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Topic: Compliance and Enforcement Design Principles and Strategies Including Audit Policies
#
127
Year
2001
Author
Gottinger
Title
Incentive Compatible Environmental
Regulation
Summarv
Theoretical analysis of impact of asymmetry of compliance cost information
between regulators and firms on regulatory development, monitoring, and
enforcement. Enforcement considerations are shown to distort downward the
pollution abatement requirements mandated for firms.
Gottinger, H. W.; Incentive Compatible Environmental Regulation; Journal of Environmental Management. Vol. 63, No. pp. 163-180 (April 2001).
http://www.ingentaconnect.com/content/ap/ev/2001/00000063/00000002/art00468
128
2001
USEPA
Water Enforcement: State Enforcement of
CWA Dischargers Can Be More Effective
OIG audit. Objective of the audit was to determine whether state enforcement
of CWA discharge programs protects human health and the environment. The
OIG evaluated state enforcement of discharge programs in three Regions,
evaluated one EPA-approved state program within each Region, and took into
account information from other five state audits in developing
recommendations.
USEPA Office of Inspector General; Water Enforcement: State Enforcement of Clean Water Act Dischargers Can Be More Effective; Report No.2001-P-
00013 (2001). http ://www.house . gov/georgemiller/cwaenforce .pdf
129
2000
Markell
The Role of Deterrence-Based
Enforcement In A "Reinvented"
State/Federal Relationship: The Divide
Between Theory and Reality
Author reviews EPA's compliance goals and programs and associated
Inspector General and Government Accountability Office (GAO) reviews.
Strategies are suggested for bridging the divide between the federal
government's promise of consistently applied deterrence-based schemes and
the reality found by OIG and GAO.
Markell, D.; The Role of Deterrence-Based Enforcement In A "Reinvented" State/Federal Relationship: The Divide Between Theory and Reality; 24 Harvard
Environmental Law Review 1 (2000). [web version not located]
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Topic: Compliance and Enforcement Design Principles and Strategies Including Audit Policies
#
130
Year
2000
Author
Pfaff &
Sanchirico
Pfaff, A. & Sanchirico; C. W.; R
Law, Economics, and Organizati
131
2000
Polinsky &
Shavell
Title
Environmental Serf-Auditing: Setting the
Proper Incentives for Discovery and
Correction of Environmental Harm
Summarv
Paper proposes conditioning fines on firms' investigative efforts. Three
observable proxies are proposed for this purpose which authors claim are
distinct from EPA's Audit Policy conditions: manner of detection by regulator;
firms' own disclosure; and firms' observed corrective actions.
nvironmental Self-Auditing: Setting the Proper Incentives for Discovery and Correction of Environmental Harm', Journal of
on. YO! 16 (1) pp ISQ-^S C>nnn) http://papers.ssrn.com/sol3/papers.cfm7abstract id=198827
'
The Economic Theory of Public
Enforcement of Law
Polinsky, A. M. & Shavell, S.; Economic Theory of Public Enforcement of Lav
http://TOpers.ssm.com/sol3/papers.cfm7abstract id=93709 piuj pr^-publi^ation
132
2000
Thomas, Frey
& Daves
Crafting Superior Environmental
Enforcement Solutions
Analysis of optimal enforcement through sanctions such as fines and
imprisonment. Authors ask how much of society's resources should be
devoted to enforcement and at what levels should sanctions be set. Factors
considered include impact of societal costs of punishing violators, mistakes
made in enforcement, deterrence considerations, principal-agent relationships,
settlements, self reporting, repeat offenders, imperfect knowledge about the
probability and magnitude of fines, and incapacitation of offenders.
v, Journal of Economic Literature, Vol. 38, No. 1, pp. 45-76 (2000).
version (1999)' http://siepr.stanford.edu/papers/pdf/99-12.pdf
Monograph examines creative use by prosecutors, regulators, and industry of
environmental auditing, pollution prevention techniques, and EMSs to resolve
enforcement actions
Thomas, W., Frey, B. & Daves, F.; Crafting Superior Environmental Enforcement Solutions', Env. Law Inst. (August 2000).
http ://www. elistore .org/books detail. asp?ID=67
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Topic: Compliance and Enforcement Design Principles and Strategies Including Audit Policies
Year
Author
Title
Summary
133
1999
Heyes &
Rickman
Regulatory Dealing - Revisiting the
Harrington Paradox
To explain why firms comply most of the time despite limited enforcement
and relatively low penalties (Harrington paradox), authors offer a "regulatory
dealing" model in which the agency uses tolerance in some contexts to induce
increased compliance in others. Model is used also to consider and analyze
impact of growing trend towards citizen suits and non-governmental
organization (NGO) enforcement.
Heyes, Anthony & Rickman, Neil; Regulatory Dealing-Revisiting the Harrington Paradox; Journal of Public Economics, Vol. 72, pp. 361-378 (1999).
http://www.ingentaconnect.com/content/els/00472727/1999/00000072/00000003/art00098:isessionid=5atqmtldkqk2t.alice
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Topic: Information Disclosure and Use (Mandatory & Voluntary)
#
134
Year
2005
Author
Bui
Title
Public Disclosure of Private Information
as a Tool for Regulating Environmental
Emissions: Firm-Level Responses by
Petroleum Refineries to the Toxics
Release Inventory
Summarv
Using a micro-level data set that links TRI releases to plant level Census data,
the author studies plant-level behavior, exploiting state variation in toxics
regulations and exploring relationship between TRI releases and concomitant
regulation of non-toxic pollutants. Findings suggest the most probable
mechanism through which TRI reporting may induce firms to clean up is local
and state governmental use of TRI disclosures with the benefits of command
and control regulation of non-toxic pollutants being underestimated.
Bui, L. ; Public Disclosure of Private Information as a Tool for Regulating Environmental Emissions: Firm-Level Responses by Petroleum Refineries to the
Toxics Release Inventory, Brandeis Univ. Working Paper Series (June 2005). http://ideas.repec.0rg/p/cen/wpaper/05-13.html
135
2005
Dixon, et. al
The Role of Environmental Initiatives in
Encouraging Companies to Engage in
Environmental Reporting
Review of international disclosure standards, including ISO 14000, EMAS,
and BS 7750. Authors cite need to develop a generally-accepted
environmental reporting framework and propose nine relevant requirements.
Dixon, R., Mousa, G. & Woodhead, A.; The Role of Environmental Initiatives in Encouraging Companies to Engage in Environmental Reporting, European
Management Journal, Vol. 23, No. 6, pp. 702-716 (2005).
http://www.sciencedirect.com/science? ob=ArticleURL& udi=B6V9T-4J2V4BS-D& user=14684& coverDate=12%2F31%2F2005& alid=531846929& rd
oc=l& fmt=summarv& oris=search& cdi=5907& sort=d& docanchor=&view=c& ct=l& acct=C000001678& version=l& urlVersion=0& userid=1468
4&md5=ab73d37adldfb7853c3ccOb4d3b40beb
136
2005
Killmer
Designing Mandatory Disclosure to
Promote Synergies Between Public and
Private Enforcement
Article describes the role of mandatory information disclosure in addressing
limitations of command-and-control regulation and government enforcement.
Role and limits of market pressure on firms are also discussed.
Killmer, A. B.; Designing Mandatory Disclosure to Promote Synergies Between Public and Private Enforcement, INECE Conference Paper (April 2005).
http://www.inece.ors/conference/7/vol2/55 Killmer.pdf
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Topic: Information Disclosure and Use (Mandatory & Voluntary)
# Year
Author
Title
Summary
137
2005
Malloy
Disclosure Stories
Article examines use of disclosure as an enforcement tool and the goals and
structures of disclosure regimes. The effectiveness of two types of disclosure
are analyzed: binary (firm discloses when it determines noncompliance) and
fuzzy (firm discloses when it lacks a basis for determining compliance).
Article further considers social, motivational, and cognitive factors that cause
firm managers to engage in strategic noncompliance.
Malloy, T.; Disclosure Stories', 32 Florida State Univ. Law Rev. 617-72 (2005). http://www.law.fsu.edu/iournals/lawreview/downloads/322/Mallov.pdf
138
2004
Gouveiaa, et
al.
Promoting the Use of Environmental
Data Collected by Concerned Citizens
Through Information and
Communication Technologies
Analysis of the role of information and communications technologies in
developing a system of collaborative monitoring to promote the use of
volunteer-collected data. Author finds that citizen involvement in
environmental monitoring increases the amount of data collected and allows
for improved data integration
Gouveiaa, C., et al.; Promoting the Use of Environmental Data collected by Concerned Citizens through Information and Communication Technologies',
Journal of Environmental Management; Vol. 71, No. 2, pp. 135-154 (2004).
http://www.ncbi.nlm.nih.gov/entrez/querv.fcgi?cmd=Retrieve&db=PubMed&list uids=15135948&dopt=Abstract
139
2002
Foulon, et al.
Incentives for Pollution Control:
Regulation or Information?
Authors perform an empirical analysis of the impact of both traditional
enforcement and information strategies within a single program using 1987 to
1996 plant-level annual data on fifteen Canadian pulp and paper plants.
Findings include that the public disclosure of information on environmental
performance creates strong additional pollution control incentives.
Foulon, J., Lanoie, P. & Laplante, B.; Incentives for Pollution Control: Regulation or Information?', Journal of Environmental Economics and Management,
Vol. 44, No. 1, 69-187 (2002). http://www.ingentaconnect.com/content/ap/ee/2002/00000044/00000001/artO 1196
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Topic: Information Disclosure and Use (Mandatory & Voluntary)
#
140
Year
2001
Author
Cohen
Title
Information as a Policy Instrument in
Protecting the Environment: What Have
We Learned?
Summarv
Author examines existing literature on the impacts of environmental
information programs, considers several different types of potential future
policy initiatives, and identifies areas where additional research would be
helpful.
Cohen, M. A.; Information as a Policy Instrument in Protecting the Environment: What Have We Learned?', Environmental Law Reporter, Vol. 31, pp.
10425-31 (April 2001). [web version not located]
141
2001
Franco
Franco, N. ; Corporate Environmer
onEnv., Energy, and Resources (2
142
2000
Fung&
O'Rourken
Corporate Environmental Disclosure:
Opportunities to Harness Market Forces
to Improve Corporate Environmental
Performance
Author analyzes opportunities to harness market forces, in the form of
corporate environmental disclosures, to improve environmental performance.
Theoretical considerations and examples are reviewed and considered,
including SEC reporting requirements and accounting options.
tal Disclosure: Opportunities to Harness Market Forces to Improve Corporate Environmental Performance', ABA Section
00 1). http://www.rosefdn.ors/imases/EPA.Disclosure. Studv.pdf
Reinventing Environmental Regulation
From the Grassroots Up: Explaining and
Expanding the Success of the TRI
Literature review and discussion of the uses of the TRI, how it works,
efficiency considerations, how TRI relates to regulatory accountability, and the
effect of TRI release information on firm management and stock values.
Authors argue that TRI has achieved regulatory success by creating a
mechanism of "populist max-min regulation."
Fung, A. & O'Rourken, D.; Reinventing Environmental Regulation from the Grassroots Up: Explaining and Expanding the Success of the Toxics Release
Inventory, Environmental Management, Vol. 25(2), pp. 115-127 (2000). http://nature.berkelev.edu/orourke/PDF/tri.pdf
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Topic: Information Disclosure and Use (Mandatory & Voluntary)
Year
Author
Title
Summary
143
1999
Khanna&
Damon
EPA's Voluntary 33/50 Program:
Impact on Toxic Releases and Economic
Performance of Firms
Empirical and theoretical review of the 33/50 program. Participation in
program led to a statistically significant decline in toxic releases from 1991 to
1993. Program also had a statistically significant negative impact on firms'
current return on investment but the opposite on the firms' expected long-term
profitability.
Madhu, K. & Damon, L.; EPA 's Voluntary 33/50 Program: Impact on Toxic Releases and Economic Performance of Firms', Journal of Environmental
Economics and Management, Vol. 37, pp., 1-25 (1999). [web version not located]
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Topic: Emissions Trading and Compliance
#
144
Year
2005
Author
Davies
(INECE)
Davies, N.; The Role ofComplianc
Enforcement; INECE Conference 1
145
2005
Kruger &
Egenhofer
Kruger, J. & Egenhofer, C.; Confic
Emission Trading Markets Works!
146
2005
Stone &
Zaelke
(INECE)
Stone, S. J. & Zaelka, D.; The Esst
Enforcement; INECE Conference
Title
The Role of Compliance and
Enforcement of Emissions Trading
Schemes
Summarv
Paper discusses the use of emission trading schemes to achieve environmental
goals. It deals specifically with compliance and enforcement of such schemes,
drawing from lessons learned implementing the European Union's Greenhouse
Gas Emissions Trading Scheme.
e and Enforcement of Emissions Trading Schemes; 7th International Conference on Environmental Compliance and
3aper. pp. 259-263. (April 2005). http://www.inece.Org/conference/7/voll/43 Davies.pdf
Confidence Through Compliance in
Emissions Trading Markets
Article discusses emissions trading as a governance strategy that can create
incentives for firms to cut greenhouse gas (GHG) emissions and spur
technological innovation but only with high levels of compliance. Compliance
hinges on robust and effective strategies for monitoring, reporting, and
verification, where confidence in the system relies on timely and accurate
information on emissions levels, allowance holdings, and trades.
lence Through Compliance in Emissions Trading Markets; prepared for INECE' s Confidence Through Compliance in
iop;(Nov. 2005). http://www.inece.org/emissions/bkgdPaDerETnov05%5B l%5D.pdf
The Essential Role of Compliance in
Emissions Trading Schemes
High compliance is essential to the success of emissions trading schemes. The
near perfect compliance in the United States' SO2 program is presumed to be
due to the continuous monitoring that makes it easy to detect violations.
Authors discusses trading system design, monitoring, and enforcement
considerations.
ntial Role of Compliance in Emissions Trading Schemes; 7th International Conference on Environmental Compliance and
3aper, pp. 265-270 (April 2005). http://www.inece.Org/conference/7/voll/44 Stone Zaelke.pdf
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Topic: Emissions Trading and Compliance
Year
Author
Title
Summary
147
2004
Rousseau &
Proost
The Relative Efficiency of Market-
Based Environmental Policy
Instruments with Imperfect Compliance
Paper studies the relative cost efficiency of three market-based instruments:
emission taxes, tradable permits, and output taxes. Including monitoring and
enforcement aspects, and more specifically fines, into the model shows that the
relative position of grandfathered tradable permits vis-a-vis emission taxes
improves considerably when allowing for incomplete compliance.
Rousseau, S. & Proost, S.; The Relative Efficiency of Market-Based Environmental Policy Instruments with Imperfect Compliance', Katholieke Universiteit
Leuven; Center for Economic Studies; Energy, Transport and Environment Working Paper Series (2004)
http://www.econ.kuleuven.ac.be/ew/academic/energmil/downloads/ete-wp-2004-15.pdf
148
1999
Stranlund (
Dhanda
Endogenous Monitoring and
Enforcement of a Transferable
Emissions Permit System
Analysis of monitoring and enforcement considerations in a transferable
emissions permit system. Authors consider how a budget-constrained
enforcement authority seeking to minimize noncompliance should allocate its
monitoring and enforcement among heterogeneous firms.
Stranlund, J. & Dhanda, K; Endogenous Monitoring and Enforcement of a Transferable Emissions Permit System, Journal of Environmental Economics and
Management, Vol. 38, 267-282. (1999). http://www.sciencedirect.eom/science/article/B6WJ6-45GMHHB-2/2/47d2680f8fd232201ff2ebdfec398c81
-69-
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Topic: Environmental Management Systems and Other Management Issues and Tools
Year
Author
Title
Summary
149
2006
Coglianese &
Nash
Leveraging the Private Sector -
Management-Based Strategies for
Improving Environmental Performance
Authors of Regulating from the Inside (see # 175) address followup
environmental management issues. Book consists of papers commissioned
from an array of experts, many of whom authored articles summarized in this
table, on management-based strategies and their relationship to mandates,
regulations, incentives, and pressures.
Coglianese, C. & Nash, J.; Leveraging the Private Sector - Management-Based Strategies for Improving Environmental Performance', Resources for the
Future (RFF) Press (2006). http://www.rff.org/rff/RFF Press/CustomBookPages/Leveraging-the-Private-Sector.cfm
150
2006
Env. Systems
Update
Journal
Preliminary Findings Point to Green for
ISO 14001 Certification
Article present the preliminary results of a survey of all U.S. ISO 14001-
certificate holders, conducted by the Wharton Risk Management and Decision
Processes Center, on the value of ISO 14001 certification. Internal-to-the-firm
and external benefits are considered.
Environmental Systems Update Journal; Preliminary Findings Point to Green for ISO 14001 Certification', Environmental Systems Update, Vol. 11, No. 1,
(2006). http://grace.wharton.upenn.edu/risk/projects/ISO14001Article.pdf
Additional project information: http://grace.wharton.upenn.edu/risk/proiects/iso 14001 .html
151
2006
Russo
Explaining the Impact of ISO 14001 on
Emissions Performance: A Dynamic
Capabilities Perspective on Process and
Learning
Submitted for publication. Exploration of the impact of ISO 14001
certification on 1996 to 2001 emissions by a sample of 242 U.S. electronics
plants. Results include: presence of an EMS associated with higher emissions;
being one of the earliest adopters was associated with lower emissions; the
longer a facility operated under ISO 14001, the lower its emissions; emissions
rose industry-wide in the recessionary year of 2001.
Russo, M. V.; Explaining the Impact of ISO 14001 on Emissions Performance: A Dynamic Capabilities Perspective on Process and Learning
(Aug. 2006). [submitted for publication]
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Topic: Environmental Management Systems and Other Management Issues and Tools
#
152
Year
2006
Author
United
Kingdom
Environment
Agency
Title
remas - Linking Environmental
Management and Performance
(Newsletter Final Issue)
Summary
Report on outcomes of completed 3 -year United Kingdom Environment
Agency (UKEA) project to examine whether EMSs implemented pursuant to
the EMAS and other established standards lead to improved environmental
performance. The project compares data from sites with formal, informal, and
no EMSs.
remas; Project Results; Final Issue (2006). http://remas.ewindows.eu.org/pdf/newsletters/12.pdf
153
2006
USEPA
Financial Incentives for Environmental
Management Systems (EMS) - Project
Findings from Phase I
Report describes the results of a literature search on connections between EMS
and financial value, examines how insurance, equity, and fixed income
investing experts include or do not include EMS and environmental
performance in their analyses, and considers examples where EMS
implementation resulted in tangible financial benefits. Emerging trends in the
field are identified and discussed.
USEPA Financial Market Incentives for EMS Steering Group; Financial Incentives for Environmental Management Systems (EMS) - Project Findings from
Phase /; (Dec. 2006) [publication forthcoming at www.epa.gov/ems; see also http://www.epa.gov/ems/resources/pubs/index.htm1
154
2005
Andrews, R., et ;
Final Report (20
Andrews, et
al.
Environmental Management Systems:
Do Formalized Management Systems
Produce Superior Performance?
EPA STAR Grant Final Report. Primary data collected via a 2003 survey of
plant managers in four U.S. industrial sectors. Secondary data obtained from
TRI and Integrated Data for Enforcement Analysis (IDEA) databases.
Findings include that facilities with both EMS mandates and EMSs in place
were more likely to report performance improvements but differences were
modest. There were no significant air or water pollution improvements.
d.; Environmental Management Systems: Do Formalized Management Systems Produce Superior Performance?', EPA-NCER STAR Grant
05). http://cfpubl.epa.gov/ncer abstracts/index.cfm/fuseaction/displav.abstractDetail/abstract/1951/report/F
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Topic: Environmental Management Systems and Other Management Issues and Tools
Year
Author
Title
Summary
155
2005
Delmas &
Toffel
Institutional Pressures and
Environmental Strategies
Authors propose that how organizations distribute power across their internal
departments leads to different institutional priorities and thus different
management practices. External constituents are hypothesized to be
particularly influential. Survey results and archival data on nearly 500
facilities were determined to support the hypotheses.
Delmas, M. & Toffel, M.; Institutional Pressures and Environmental Strategies', Center for Responsible Business Working Paper Series, University of
California, Berkeley (Dec. 2005). http://repositories.cdlib.org/cgi/viewcontent.cgi?article=1033&context=crb
156
2005
King, et al.
The Strategic Use of Decentralized
Institutions: Exploring Certification
With the ISO 14001 Management
Standard
Authors analyze the strategic motives of individual actors in becoming ISO
14001 certified. Firms are more likely to seek certification when partners lack
credible information or fear supplier opportunism. Management systems are
associated with performance improvement but no evidence is found that the
certification process itself leads to improvement or signals superior
performance.
King, A., Lenox, M. & Terlaak, A.; The Strategic Use of Decentralized Institutions: Exploring Certification With the ISO 14001 Management Standard',
Academy of Management Journal 48(6): 1091-106(2005). http://facultv.fuqua.duke.edu/~mlenox/papers/iso ami .pdf
157
2005
Potoski &
Prakash
Covenants with Weak Swords: ISO
14001 and Facilities' Environmental
Performance
Analysis of more than 3000 CAA major sources suggests that ISO 14001-
certified facilities reduce their emissions more than non-certified facilities.
This is the case even after controlling for emission and compliance histories
and other factors.
Potoski, M. & Prakash, A.; Covenants with Weak Swords: ISO 14001 and Facilities' Environmental Performance', Journal of Public Policy Analysis and
Management, Vol. 24, No. 4, pp. 745-769 (2005). http://facultv.washington.edu/aseem/ippam.pdf
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Topic: Environmental Management Systems and Other Management Issues and Tools
#
158
Year
2005
Author
Wyeth&
Silberman
Title
EPA's New Strategy for Determining
the Role of EMSs in Regulatory
Programs
Summary
Authors explain the Strategy in the subject title. Specifics will interest persons
considering or designing projects to test EMS effectiveness in the context of
regulatory programs.
Wyeth, G. & Silberman, I; EPA 's New Strategy for Determining the Role of EMSs in Regulatory Programs; ABA Innovations Subcommittee Newsletter
(Winter 2005). http://www.abanet.org/environ/committees/innovation/newsletter/feb05/innovation0205.pdf
159
2004
Anton &
Khanna
Incentives for Environmental Self-
Regulation and Implications for
Environmental Protection
Count data and quantile regression analyses reveal that liability threats and
pressures from consumers, investors, and the public motivate EMS adoption
and that consumer preferences are particularly effective in increasing EMS
comprehensiveness. A more comprehensive EMS leads to lower toxic
emissions per unit output, particularly for firms with a higher past pollution
intensity. Regulatory and market-based pressures affect toxic releases
indirectly by encouraging institutional environmental management changes.
Anton, W., Deltas, G., & Khanna, M.; Incentives for Environmental Self-Regulation and Implications for Environmental Protection; 48 Journal of Env. Eco's.
and Management 632-654 (2004).
https://netfiles.uiuc.edu/deltas/www/PublishedPaperArchive/Journal of Environmental Economics and Management 2004.pdf
160
2004
Darnall&
Pavlichev
(OECD)
Environmental Policy Tools & Firm-
level Management Practices in the U.S.
Study is part of larger OECD project involving seven OECD countries in
which 489 U.S. facilities participated. Report addresses why facilities
introduce EMSs and undertake specific types of environmental investments
and innovations and explores links between financial and environmental
performance.
Darnall, N. & Pavlichev, A. (OECD); Environmental Policy Tools & Firm-level Management Practices in the U.S.; (May 2004).
http://www.oecd.Org/dataoecd/l/59/35590060.pdf
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Topic: Environmental Management Systems and Other Management Issues and Tools
#
161
Housm;
(2004).
162
Year
2004
Author
Housman
Title
Environmental Management Systems in
Federal Enforcement Settlements
Summary
Author analyzes data and information on the use of EMSs in federal
enforcement settlements. The data and information are based on interviews of
the federal and industry parties who developed the settlements. Article
identifies areas where EMSs have led to improved practices and discusses
lessons learned.
ffl, V.; Environmental Management Systems in Federal Enforcement Settlements', Env. Law Reporter News & Analysis, Vol. 34, Part 5, 10451-10456
httrj://direct.bl.uk/bld/PlaceOrder.do?UIN=149592646&ETOC=RN&from=searchensine
2004
Lave &
Hendrickson
Environmental Management Systems:
Informing Organizational Decisions
STAR Grant Final Report. Nine U.S. multinationals surveyed to determine
their use of EMSs and environmental information. Authors also conducted
macro-level analysis of environmental performance of 50 U.S. ISO-certified
automobile assembly facilities to other such facilities. Across all measures,
virtually no difference was found in the performance of facilities with certified
systems compared to those without certified systems and post-certification
performance did not indicate continuous improvement.
Lave, L. & Hendrickson, C.; Environmental Management Systems: Informing Organizational Decisions', EPA STAR Grant Final Report (2004).
http://cfpub 1 .epa.sov/ncer abstracts/index. cfm/fuseaction/displav.abstractDetail/abstract/1758/report/F
163
2004
MacLean
Environmental Management Systems -
Do they provide real business value?
Author discusses significance of remarks by President of The Auditing
Roundtable that there is little correlation between EMSs and performance. Six
supporting EMS research studies are referenced in the article.
MacLean, R.; Environmental Management Systems - Do they provide real business value?', Environmental Protection Magazine (2004).
httD://www.environmenM-exDert.corn/resulteacharticle4.asD?cid=8707&codi=3067&idDroducttvDe=6&idmainDase=65&level=5
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Topic: Environmental Management Systems and Other Management Issues and Tools
Year
Author
Title
Summary
164
2003
Andrews, et
al. (UNC)
Environmental Management Systems:
Do They Improve Performance?
Project Final Report sponsored by EPA along with ten state environmental
agencies and the Environmental Law Institute (ELI), Multi-State Working
Group (MSWG), and Working Group on Environment, Trade and Investment
(GETI). Authors analyze longitudinal, real-time, facility-level comparative
data from the National Database on Environmental Management to examine
the compliance and performance of a range of business and government
facilities before, during, and after introduction of an EMS.
Andrews, R. et al.; Environmental Management Systems: Do They Improve Performance?', UNC at Chapel Hill (2003); Project Final Report: Executive
Summary: http://www.c2e2.org/documents/completeexecutivesummary.pdf: Vol's 1 and 2:
http://www.fedcenter.gov/ kd/rtems/actions.cfm?action=Show&item id=3447&destination=ShowItem
165
2003
Bennear
Are Management-Based Regulations
Effective?: Evidence from State
Pollution Prevention Programs
Working Paper. Author analyzes panel data on 31,000+ U.S. manufacturing
plants. Analysis suggests that the plants subject to management-based
regulation experienced larger decreases in total pounds of toxic chemicals
released and were more likely to engage in source reduction activities.
Bennear, L. S.; Are Management-Based Regulations Effective?: Evidence from State Pollution Prevention Programs', Regulatory Policy Program Working
Paper No. RPP-2003-21 (2003). http://papers.ssrn.com/sol3/papers.cfm7abstract id=468799
166
2003
Dahlstrom,
Howes,
Leinster, &
Skea
Environmental Management Systems
and Company Performance: Assessing
the Case for Extending Risk-Based
Regulation
Analysis of information on almost 800 sites regulated under the UK's
Integrated Pollution Control regime. It demonstrates that having an EMS
improves certain procedural aspects of environmental management but does
not appear to reduce the likelihood of breaching permit conditions. Policy
implications are discussed.
Dahlstrom, K., Howes, C., Leinster, P. & Skea, J.; Environmental Management Systems and Company Performance: Assessing the Case for Extending Risk-
Based Regulation; Eur. Env. 13, 187-203 (2003). http://www.environmental-expert.com/articles/articlel378/1378.pdf
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Topic: Environmental Management Systems and Other Management Issues and Tools
Year
Author
Title
Summary
167
2003
ENDS
EMS survey reveals widespread
concerns over certification
Report on an opinion survey conducted by ENDS and the Institute of
Environmental Management and Assessment revealing significant concerns
about EMS effectiveness and the quality of their certification. One in three
respondents felt that EMSs do not inherently deliver sustained environmental
performance. Nearly half felt that certification bodies are not sufficiently
competent.
Environmental Data Services Ltd.; EMS survey reveals widespread concerns over certification; ENDS Report (Dec. 2003).
http://inni.pacinst.org/inni/EMS/ems and %20performance Q results.pdf
168
2003
Gillard &
Wood
Boosting Environmental Performance ...
Reducing Regulatory Noncompliance
Article discusses causes of environmental failures, key compliance issues, and
methods to address the inefficiency of EMSs. Authors recommend a
systematic and comprehensive EMS as the best way for companies to respond
to today's regulatory compliance challenges.
Gillard, C. F. & Wood, B.; Boosting Environmental Performance ... Reducing Regulatory Noncompliance; Chemical Engineering, Vol. 110, No. 3, pp. 58-65
(March 2003). http://findarticles.eom/p/articles/mi go2494/is 200303/ai n7618478
169
2003
Rennings, K.,
etal.
The Influence of the EU EMAS on
Environmental Innovations and
Competitiveness In Germany: An
Analysis on the Basis of Case Studies
and a Large Scale Survey
Authors investigate EMAS's effects on environmental innovations and
competitiveness in German facilities through 12 in-depth case studies and
telephone interviews with 1277 EMAS-validated facilities. Surveys show a
positive EMAS influence on environmental process, product, and
organizational innovations and diffusion of environmental innovations.
Rennings, K., et al.; The Influence of the EU EMAS on Environmental Innovations and Competitiveness In Germany: An Analysis on the Basis of Case Studies
and a Large Scale Survey; ZEW Discussion Paper No. 03-14 (2003). http://www.zew.de/en/publikationen/publikation.php3?action=detail&nr=1837
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Topic: Environmental Management Systems and Other Management Issues and Tools
Year
Author
Title
Summary
170
2003
ten Brink; et
al. (IEEP)
ENAP Study - Linking EMS with
Permitting, Inspection and Enforcement
Background study for Workshop Report described immediately below (#171).
European study links EMS elements with the permit cycle. It discusses
incentives such as permit procedure and content simplification, longer permit
periods, reduced permit charges, and monitoring, reporting, and inspection
incentives, and considers the issue of mandatory vs. voluntary EMSs.
ten Brink; et al.; ENAP Study - Linking EMS with Permitting, Inspection and Enforcement; Institute for European Environmental Policy - Background Report
(2003). http://www2.vrom.nl/docs/internationaal/w2-15.pdf
171
2003
FIELD and
IEEP
Workshop Report: Joint Workshop to
Examine Connections Between EMSs
and Permitting, Inspection and
Enforcement in Regulation
Results of workshop held to discuss the issues described in the immediately
above description of the ENAP Study - Linking EMS with Permitting,
Inspection and Enforcement.
Foundation for International Law and Development (FIELD) & IEEP; Workshop Report: Joint Workshop to Examine Connections Between EMSs and
Permitting, Inspection and Enforcement in Regulation which included the launch of the remas project discussed above in this table (June 11-13, 2003).
http://inni.pacinst.org/inni/General/ProceedingEMSandRegulation.pdf
172
2002
Khanna, et al.
Corporate Environmental Management:
Regulatory and Market-Based
Incentives
Authors explore factors explaining the diversity in EMSs using survey data
from a sample of S&P 500 firms. The analysis shows that the threat of
environmental liabilities, high costs of regulatory compliance, market
pressures, and public pressures on firms with high on-site toxic emissions per
unit output create incentives for adopting a more comprehensive EMS.
Khanna, M., & Anton, W.; Corporate Environmental Management: Regulatory and Market-based Incentives', Land Economics. Vol. 78, No. 4, pp. 539-558
(Nov. 2002). http://www.ingentaconnect.com/content/wisc/lec/2002/00000078/00000004/art00006
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Topic: Environmental Management Systems and Other Management Issues and Tools
#
173
Year
2002
UKEA; Environ]
017/2/TR(2002)
174
2002
Author
UKEA
Title
Environmental Management Systems &
Operator Performance at Sites Regulated
Under Integrated Pollution Control
Summary
Survey and analysis of 843 Integrated Pollution Control (IPC) sites, UKEA
Operator and Pollution Risk Appraisal (OPRA) records, and enforcement
records. Conclusions include that having an externally -validated ISO 14001 or
EMAS EMS is associated with higher overall levels of operator performance
but such sites are neither more nor less likely to suffer from incidents,
complaints or non-compliance events.
nental Management Systems & Operator Performance at Sites Regulated Under Integrated Pollution Control, R&D Technical Report P6-
. www.turi.ors/content/content/download/1050/5090/file/brit.doc
UKEA
Environmental Management Systems
and Regulation Project
UKEA; Environmental Management Systems and Regulation Project, (2002).
175
2001
Coglianese &
Nash
Regulating from the Inside - Can
Environmental Management Systems
Achieve Policy Goals?
Investigation of how the UKEA could potentially take account of EMSs within
the regulatory framework. Findings include a lack of evidence that
certification to an EMS standard will result in improved regulatory
performance. This investigation led to the initiation of the remas project
referenced above in this table.
http://remas.ewindows.eu.ors/REMAS/downloads/emsr.Ddf
Book consists of papers commissioned from an array of experts, many with
articles summarized in this table, on EMS history, theories, influencing factors,
environmental impacts, and public policy implications.
Coglianese, C. & Nash, J.; Regulating from the Inside - Can Environmental Management Systems Achieve Policy Goals?', RFF Press (2001).
http://www.kss.harvard.edu/cosrianesebooks/resulatins.htm
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Topic: Environmental Management Systems and Other Management Issues and Tools
Year
Author
Title
Summary
176
2001
Kollman &
Prakash
Green by Choice? Cross-National
Variations in Firms' Responses to EMS-
Based Environmental Regimes
Paper seeks to explain cross-national variations in patterns of firm-level
adoption of the EMAS and ISO 14001 EMS standards. Characteristics of
business-government relations and national policies are explored to explain the
differences.
Kollman, K. & Prakash, A.; Green By Choice? Cross-National Variations in Firms' Responses to EMS-Based Environmental Regimes', World Politics, Vol.
53, No. 3, pp. 399-430 (2001). http://muse.jhu.edu/cgi-bin/access.cgi?uri=/iournals/world_politics/v053/53.3kollman.html
177
2000
IRIS Eco-
efficiency
Group
Environmental Management Systems -
Paper Tiger or Powerful Tool
Assessment of the environmental and economic effectiveness of ISO 14001
and EMAS based on survey questionnaires and interviews with two hundred
EMS-certified Swedish companies in 1999. Findings include that half of the
companies missed some of their most important environmental aspects and
that companies that use environmental indicators to monitor their objectives
and targets achieve relatively better environmental performance.
IRIS Eco-efficiency Group; Environmental Management Systems - Paper Tiger or Powerful Tool (Dec. 2000).
http://www.ivf.se/upload/pdf-filer/IVF-skrifter/skr00828.pdf
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Topic: International Compliance and Enforcement
Year
Author
Title
Summary
178
2006
Markell
Understanding Citizen Perspectives on
Government Decision Making Processes
as a Way to Improve the Administrative
State
Article reviews a framework for assessing citizen satisfaction with decision
making processes and applies the framework to assess the Commission for
Environmental Cooperation's citizen submissions process. This process
empowers citizens to file complaints claiming that a country failed to
effectively enforce an environmental law.
Markell, D.; Understanding Citizen Perspectives on Government Decision Making Processes as a Way to Improve the Administrative State', Vol. 36 Env. Law
651-708(2006). http://www.lclark.edu/org/envtl/obiects/36-3 markell.pdf
179
2006
UNEP-DEC
Manual on Compliance with and
Enforcement of Multilateral
Environmental Agreements
Reference tool structured as an annotated commentary to the United Nations
Environment Programme (UNEP) Guidelines on Compliance with and
Enforcement of Multilateral Agreements. it provides explanatory text, case
studies, checklists, references to additional resources, and annexes with
supplementary information. The Manual also highlights experiences from
around the world in negotiating, implementing, and enforcing Multilateral
Environmental Agreements (MEAs) at the national, regional, and global
levels.
UNEP/DEC; Manual on Compliance with and Enforcement of Multilateral Environmental Agreements; UNEP (June 2006).
http://www.unep.org/dec/docs/UNEP Manual.pdf
180
2005
Hunter
(INECE)
The Emergence of Citizen Enforcement
in International Organizations
Paper describes the emergence of influential environmental and social
standards at international financial institutions and the parallel emergence of
citizen-based mechanisms to enforce those standards. Such institutions
include the International Finance Corporation and Asia Development Bank.
Hunter, D. B.; The Emergence of Citizen Enforcement in International Organizations; 7th International Conference on Environmental Compliance and
Enforcement; INECE Conference Paper, pp. 229-234 (April 2005). http://www.inece.Org/conference/7/vol2/54 Hunter.pdf
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Topic: International Compliance and Enforcement
#
181
Year
2005
Author
Michalak &
Schucht
Michalak, K. & Schucht, S.; Ecom
Enforcement; INECE Conference 1
182
2004
Akella &
Cannon
Title
Economic Aspects of Environmental
Compliance Assurance
Summarv
Summary of results of OECD-hosted conference. Issues considered included
assessing empirical evidence on how inspectors allocate limited enforcement
budgets and identifying approaches for reducing monitoring and enforcement
costs.
mic Aspects of Environmental Compliance Assurance; 7th International Conference on Environmental Compliance and
3aper. pp. 23-29 (April 2005). http://www.inece.org/conference/77voll/06 Michalak.pdf
Strengthening the Weakest Links -
Strategies for Improving the
Enforcement of Environmental Laws
Globally
Report draws lessons from intensive enforcement research in four
biodiversity -rich countries. It quantifies the risks and rewards of illegal
activity, identifies a set of common enforcement weaknesses, and recommends
three priority areas for global investment to strengthen enforcement.
Akella, A. S. & Cannon, J. B.; Strengthening the Weakest Links - Strategies for Improving the Enforcement of Environmental Laws Globally, CCG (2004);
httD://www.conservation.ors/ImaseCache/CIWEB/content/Drosrams/Dolicv/ccsenforcementreDOrt 2epdf/vl/ccsenforcementreport.pdf
183
2004
OECD
Assuring Environmental Compliance
Main volume in series of publications on improving environmental
inspectorates in former Soviet countries. The Toolkit is intended to stimulate
better inspection criteria and procedures, improve resource allocation
decisions, increase staff professionalism, and promote more effective external
dialogues and in-country and international cooperation.
OECD; Assuring Environmental Compliance - A toolkit for building better environmental inspectorates in Eastern Europe, Caucasus, and Central Asia (2004)
http://www.oecd.Org/dataoecd/6 1/62/3449965 1 .pdf
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Topic: International Compliance and Enforcement
#
184
Year
2003
Author
Keohane
Title
Compliance, Reputation, and Domestic
Politics
Summarv
Working paper. Author analyzes a theoretical model of international
agreements from military alliances to environmental accords. Analysis
highlights the interplay between domestic politics - partisan differences,
electoral strength, and "issue linkage" - and international affairs.
Keohane, N.; Compliance, Reputation, and Domestic Politics; Yale School of Management Working Paper (2003).
http://www.som.vale.edu/facultv/nok4/files/papers/crdp.pdf
185
2002
Kaniaru
(INECE)
Kaniaru, D.; UNEP Governing Co
Conference Paper, pp. 1-8 (April 2
186
2002
Knox
(INECE)
UNEP Governing Council Adopts
Guidelines on Compliance With and
Enforcement of Multilateral
Environmental Agreements
Article assesses then-recently-adopted UNEP guidelines on compliance with
and enforcement of MEAs. The guidelines seek to provide a menu of options
for countries to strengthen implementation of MEAs and enforcement of
domestic laws and rules.
mcil Adopts Guidelines on Compliance with and Enforcement of multilateral Environmental Agreements; INECE
002). http://www.inece.org/conf/proceedings2/9-UNEP%20Gov%20Council.pdf
Citizen Suits in International
Environmental law: The North
American Experience
Paper evaluates the effectiveness of alternative measures to promote
compliance with international environmental laws. A citizen-directed
submissions procedure that allows the public to trigger international review of
states' behavior is favored over traditional methods of adjudication of claims
by one state over another.
Knox, J.; Citizen Suits in International Environmental Law: The North American Experience; INECE Conference Paper, pp. 1-16 (April 2002).
http://www.inece.ors/conf/proceedinss2/42-KNOX%20NewALT.pdf
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Topic: International Compliance and Enforcement
#
187
Year
2002
Author
Mulkey &
Chanon
(INECE)
Title
National Compliance and Enforcement
of International Environmental Treaties
Summarv
Authors discuss the importance of compliance and enforcement to any
environmental regulatory program, especially in the context of effective
international relations and treaties.
Mulkey, M. & Chanon, K.; National Compliance and Enforcement of International Environmental Treaties. INECE Conference Paper, pp. 1-5 (April 2002).
http ://www. inece. ors/conf/proceedinss2/ 1 9-Nationalompliance .pdf
188
1999
Young
Hitting the Mark
Young, Oran; Hitting the Mark; Environment. Vol. 41, No. 8, pp. 20-29 (Oct.
Discussion of why some international environmental agreements are more
successful than others. Includes consideration of collective action, social
practice, and realignment mechanisms.
1999). http://www.findarticles.eom/p/articles/mi m!076/is 8 41/ai 56640447
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Topic: Relationship of Environmental Compliance and Performance to Business Value and Competitiveness
Year
Author
Title
Summary
189
2006
Maxwell &
Decker
Voluntary Environmental Investment
and Responsive Regulation
Voluntary corporate environmental investments have been rising in recent
years. Authors find that motivations include reducing the costs of regulatory
compliance and that such investments increase when a regulators acts as a
Stackelberg follower in setting its monitoring and enforcement strategy. These
additional investments, however, may be socially undesirable, necessitating a
restructuring of non-compliance penalties.
Maxwell, John W. & Decker, C. S.; Voluntary Environmental Investment And Responsive Regulation', Environmental and Resource Economics, Vol. 33,
pp.425-439 (2006). http://ideas.repec.0rg/a/kap/enreec/v33y2006i4p425-439.html
190
2006
Murray, et al.
Do Financial Markets Care About Social
and Environmental Disclosure? Further
Evidence and Exploration from the UK
Empirical study of relationship between social and environmental disclosure
and the financial market performance of the UK's largest companies. No direct
relationship between share returns and disclosure was found but the
longitudinal data revealed a convincing relationship between consistently
high/low returns and the predilection to high/low disclosure.
Murray, A., et al.; Do Financial Markets Care About Social And Environmental Disclosure? Further Evidence And Exploration From The UK', Accounting,
Auditing & Accountability Journal, Vol. 19, Issue 2, pp. 228 - 255 (2006).
http://www.emeraldinsight.com/Insight/viewContentItem. do?contentTvpe=Article&contentId=1549912
191
2005
Johnston
Signaling Social Responsibility: On the
Law and Economics of Market
Incentives for Corporate Environmental
Performance
Working paper. This article analyzes the law and economics of market
internalization: the capability of markets to both penalize and reward firms for
their environmental, health and safety performance. Market rewards and
"sticks" for disclosure of environmental liabilities and opportunities are
discussed in context of the Security and Exchange Commission's (SEC)
failure to enforce its own disclosure rules.
Johnston, J.; Signaling Social Responsibility: On the Law and Economics of Market Incentives for Corporate Environmental Performance', Univ. of
Pennsylvania - Institute for Law & Economics; Research Paper 05-16 (2005). http://papers.ssrn.com/sol3/papers.cfm7abstract id=725103
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Topic: Relationship of Environmental Compliance and Performance to Business Value and Competitiveness
#
192
Karpoff
(2005).
193
Networ
(Nov. 2
194
Ganzi, .
(Sept. 2
Year
2005
Author
Karpoff &
Lott Jr.
Title
The Reputational Penalties for
Environmental Violations: Empirical
Evidence
Summarv
Authors find that firms that violate environmental laws suffer statistically
significant losses in the market value of firm equity. Because these losses are
of similar magnitudes to the legal penalties imposed, however, the authors find
no evidence of reputational penalties.
', J. & Lott Jr., J.; The Reputational Penalties for Environmental Violations: Empirical Evidence', Journal of Law and Economics, Vol. 48, pp. 653-675
http://www.iournals.uchicago.edu/cgi-bin/resolve?id=doi: 10. 1086/430806
2005
NHEEPA
The Contribution of Good
Environmental Regulation to
Competitiveness
In the context of the European Union's focus on growth and jobs, this paper
reviews the evidence on the links between environmental regulation and
competitiveness. It finds that a modern approach to regulation can reduce
costs for industry and business, create markets for environmental goods and
services, drive innovation, reduce business risk, increase the confidence of the
investors and insurers, and yield other positive benefits.
cs of Heads of European Environmental Protection Agencies (NHEEPA); The Contribution of Good Environmental Regulation to Competitiveness
005). http://www.eea.euroDa.eu/documents/Drasue statement/Drasue statement-en.pdf
2004
Ganzi,
Steedman &
Quenneville
Linking Environmental Performance to
Business Value: A North American
Perspective
Report blends a review of existing research on the business value case with
interviews with a small group of recognized experts to establish a baseline of
business value case information. Report captures a spectrum of analytical and
conceptual environmental and financial performance approaches and
indicators.
., Steedman, E. & Quenneville, S.; Linking Environmental Performance to Business Value: A North American Perspective', Environment Canada
004). httD://www.cec.org/files/Ddf/ECONOMY/Linking-Env-Performance-BP en.pdf
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Topic: Relationship of Environmental Compliance and Performance to Business Value and Competitiveness
Year
Author
Title
Summary
195
2004
Malloy &
Sinsheimer
Innovation, Regulation and the Selection
Environment
Article focuses on how regulation can be best designed to encourage
technological innovation. According to a case study of the dry cleaning sector
using surveys and interviews, traditional command-and-control regulation is
likely to lead to a broader diffusion of new, beneficial technologies than
market-based approaches and at less social cost. This is deemed a cautionary
tale for those who support the broad use of market-based incentive strategies.
Malloy, T. & Sinsheimer, P.; Innovation, Regulation and the Selection Environment, Univ. of Cal.; Working Paper (2004).
http://law.bepress.com/cgi/viewcontent.cgi?article=1589&context=expresso
196
2004
Nadeau
Estimating the Deterrent Effect of EPA
Enforcement Settlements: A Prospective
Method and Preliminary Results from
One Case
Eastern Research Group, Inc. (ERG) white paper [unpublished]. ERG
developed an event study for one high-profile EPA enforcement case
settlement: the Willamette Industries Wood Products settlement in July 2000.
Reported settlement: $93.2 million. Associated stock market impact: $514.1
million loss. This implies that the market penalized Willamette an additional
$420.9 million above and beyond the penalty amount.
Nadeau, L.; Estimating the Deterrent Effect of EPA Enforcement Settlements: A Prospective Method and Preliminary Results from One Case', (Eastern
Research Group, Inc. (2004) [unpublished/available from author]
-86-
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Topic: Relationship of Environmental Compliance and Performance to Business Value and Competitiveness
Year
Author
Title
Summary
197
2004
Filbeck &
Gorman
The Relationship Between the Env. and
Financial Performance of Public
Utilities
Study of twenty-four S&P 500 electric companies from 1996-1998 does not
find a positive relationship between holding period returns and an industry-
adjusted measure of environmental performance. While there does not appear
to be a clearly defined relationship between regulatory climate and a
compliance-based measure of environmental performance, evidence is found
of a negative relationship between financial returns and more pro-active
environmental performance.
Filbeck, G. & Gorman, R. F.; The Relationship Between the Environmental and Financial Performance of Public Utilities', Environmental and Resource
Economics, Vol. 29, No. 2, pp. 137-157 (2004). http://www.springerlink.com/content/u8t556236r6427i4/
198
2004
Sulaiman, et
al.
The Relations Among Environmental
Disclosure, Environmental Performance,
and Economic Performance: A
Simultaneous Equations Approach
Integrated analysis of the interrelations among (1) environmental disclosure,
(2) environmental performance, and (3) economic performance. Empirical
review suggests that good environmental performance is significantly
associated with good economic performance and also with more extensive
quantifiable environmental disclosures of specific pollution measures and
occurrences.
Sulaiman, A., etal.; The Relations Among Environmental Disclosure, Environmental Performance, and Economic Performance: A Simultaneous Equations
Approach; Accounting, Organizations and Society, Vol 29, Issue 5-6, pp. 447-471 (2004). http://ideas.repec.org/a/eee/aosoci/v29Y2004i5-6p447-471 .html
199
2003
Aigner, et al.
Beyond Compliance: Sustainable
Business Practices and the Bottom Line
Empirical study, based on Agricultural Resource Management Survey data, of
relationship between environmental performance and economic efficiency.
Key metric in analysis is the total resource costs per output in response to
using crop residue management as a best management practice.
Aigner, D., Hopkins, I, & Johansson, R.; Beyond Compliance: Sustainable Business Practices and the Bottom Line; American Journal of Agricultural
Economics, Vol. 85(5), pp. 1126-1139 (2003). http://papers.ssrn.com/sol3/papers.cfm7abstract id=474031
-87-
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Topic: Relationship of Environmental Compliance and Performance to Business Value and Competitiveness
Year
Author
Title
Summary
200
2003
Orlitzky, et.
al.
Corporate Social and Financial
Performance: A Meta Analysis
Meta-analysis of 52 studies, with a total sample size of 33,878 observations,
on the relationship between corporate social performance (CSP) and corporate
financial performance (CFP). Findings demonstrate that there is a positive
association between CSP and CFP across industries and that this link is
significant and varies from highly positive to moderately positive.
Orlitzky, M, Schmidt, F., Rynes, S.; Corporate Social and Financial Performance: A Meta Analysis; Organization Studies, Vol. 24 (3), pp. 403-441 (2003).
http://www.socialinvest.org/areas/research/Moskowitz/2004MoskowitSummary.pdf
201
2002
Molloy, et. al
Exploring the Relationship Between
Environmental and Financial
Performance
Empirical analysis suggests that if investors consider environmental
performance at all, they perceive environmental improvements and
management as costly unless made to avoid non-compliance penalties.
Corporate financial performance does not appear to influence environmental
performance. Instead, corporate sophistication, trust, and transparency are the
driving factors behind environmental performance improvements.
Molloy, L., Erekson, H. & Gorman, R.; Exploring the Relationship Between Environmental and Financial Performance; University of California, Santa
Barbara (unpublished paper; Oct. 2002). http://fiesta.bren.ucsb.edu/~alloret/epacapmkts/epaKmkts.html#Papers (within page, click on link to document)
202
2002
Soyka &
Powers
Can Energy Efficiency Meaningfully
Improve Corporate Profitability?
Empirical analysis of participant-reported data from EPA's Green Lights
program. Authors find evidence that energy efficiency strategies create
substantial and discernable new corporate wealth.
Soyka, P. & Powers, J.; Can Energy Efficiency Meaningfully Improve Corporate Profitability?; U.S. EPA Contract No. 68-W5-0068 (April 2002).
http://www.geotransinc.com/publications/energy.pdf
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Topic: Relationship of Environmental Compliance and Performance to Business Value and Competitiveness
#
203
Year
2002
Author
Ziegler,
Rennings &
Schroder
Title
The Effect of Environmental and Social
Performance on the Shareholder Value
of European Stock Corporations
Summarv
Paper considers the effect of sustainability performance of European stock
corporations on shareholder value from 1996 to 2001 using a 2-stage
econometric approach. Increasing environmental sector performance is found
to have a significantly positive influence on shareholder value.
Ziegler, A.; Rennings, K. & Schroder, M.; The Effect of Environmental and Social Performance on the Shareholder Value of European Stock Corporations',
Centre for European Economic Research (November 20, 2002). Paper available at: http://www.vfs.unizh.ch/papers.htm
204
2001
Dasgupta,
etal.
Dasgupta, S., Laplante, B. & Mam
Vol. 42, No. , pp. 310-335 (2001)
205
2001
Gray&
Shadbegian
Gray, W. & Shadbegian, R. I; Wh
Environmental Economics Workin
Pollution and Capital Markets in
Developing Countries
Authors show that capital markets in Argentina, Chile, Mexico, and the
Philippines react to announcements of environmental events such as reports of
superior environmental performance or citizen complaints. Developing
countries may harness those market forces through structured information
release programs.
ingi, N. ; Pollution and Capital Markets in Developing Countries; Journal of Environmental Economics and Management,
http://www.chinaenvironment.net/pace/pdf/sw cme 004.pdf
When Do Firms Shift Production Across
States to Avoid Environmental
Regulations?
Working Paper examines whether a firm's allocation of production across its
plants responds to differences in the stringency of environmental regulation
across states. Results are significant for the paper industry with impacts
concentrated among firms with low compliance rates but weaker for the oil
industry.
en Do Firms Shift Production Across States to Avoid Environmental Regulation?; U.S. EPA-National Center for
g Paper Series No. 2002-02 (Jan. 2002). http://vosemite.epa.gov/ee/epa/eed.nsf/WPNumberNew/2002-027OpenDocument
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Topic: Relationship of Environmental Compliance and Performance to Business Value and Competitiveness
Year
Author
Title
Summary
206
2001
Heinkel, et al.
The Effect of Green Investment on
Corporate Behavior
Paper examines the effect of exclusionary ethical investing on corporate
behavior. Such investing leads to polluting firms being held by fewer
investors, raising their cost of capital. If the higher cost of capital overwhelms
the cost of reforming, the polluting firms will become more socially
responsible but parameter estimates suggest that more than 20% of a firm's
investors need to be green investors to induce it to reform.
Heinkel R., Kraus, A. & Zechner, J.; The Effect of Green Investment on Corporate Behavior, Journal of Financial and Quantitative Analysis, Vol. 36, No. 4,
pp. 431-449 (Dec. 2001).
http://homepage.univie.ac.at/iosef.zechner/publications/heinkel %20kraus zechner 2001.pdf
207
2001
Konar&
Cohen
Does the Market Value Environmental
Performance?
Authors find a significant positive relationship between the environmental
performance and the intangible asset value of publicly traded S&P 500 firms.
Firms with worse performance have lower intangible asset values -
approximately 9% of the replacement value of the tangible assets - after
controlling for other variables known to affect firms' market value. On the
other hand, a 10% reduction in toxic chemical emissions resulted in a $34
million increase in value.
Konar S. & Cohen, M.; Does the Market Value Environmental Performance?', Review of Economics and Statistics, Vol. 83, No. 2, pp. 281-289 (May 2001).
http://www.mitpressiournals.org/doi/abs/10.1162/00346530151143815
208
2001
King & Lenox
Lean and Green? An Empirical
Examination of the Relationship
Between Lean Production and
Environmental Performance
Empirical analysis of the environmental performance of 17,499 U.S.
manufacturing firms from 1991-1996. Researchers find strong evidence that
lean production, as measured by ISO 9000 adoption and low chemical
inventories, is complementary to waste and pollution reduction.
King, A. & Lenox, M.; Lean and Green? An Empirical Examination of the Relationship Between Lean Production and Environmental Performance',
Production and Operations Management, Vol. 10 No.3, 244-56 (2001). http://www.atvpon-link.eom/POMS/doi/abs/10.5555/ijop.2001.10.3.244
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Topic: Relationship of Environmental Compliance and Performance to Business Value and Competitiveness
#
209
Year
2001
Author
Koehler &
Cram
Title
The Financial Impact of Corporate
Environmental Performance: Evidence
of Link Between Environmental and
Financial Performance
Summarv
Cross-sectional analysis of 435 U.S. firms. Authors examine the relationship
between firm-specific environmental performance characteristics, firm market
value, and financial accounting measures.
Koehler, D. & Cram, D.; The Financial Impact of Corporate Environmental Performance: Evidence of Link between Environmental and Financial
Performance; 2nd EPA Workshop on Env. and Financial Perf./Harvard School of Public Health working paper . (May 2001). [unpublished/available from
authors]
210
2001
Seema
Voluntary Abatement and Market
Value: An Event Study Approach
Empirical study, using TRI report announcements, of the effects of voluntary
pollution prevention in creating private value for 635 publicly-traded
companies. Analysis provides some evidence that firms that fail to undertake
environmental improvements see a decline in their market value. Firms that
exceed their expected level of pollution prevention activity, however,
experience insignificant market impacts.
Seema, A.; Voluntary Abatement and Market Value: An Event Study Approach; Stanford Institute for Economic Policy Research (SIEPR) Discussion Paper
No. 00-30 (Feb 2001). http://siepr.stanford.edu/papers/pdf/00-30.pdf
211
2000
Glen, et al.
Do Corporate Environmental Standards
Create or Destroy Market Value?
Evidence from empirical analysis of 89 S&P 500 companies indicates that,
contrary to supposition that pursuing lower environmental standards would be
profitable for multinational firms, firms employing their own strict
international global standards show positive market valuation as a result.
Glen, D., Hart, S. & Yeung, B.; Do Corporate Environmental Standards Create or Destroy Market Value?; Management Science; Vol. 46(8), pp. 1059-1074
(2000). Executive Summary:
http://www.investedinterests.corn/content/files/social/corporate-global-environment-standards-destrov-market-value-moskowitz-2001.pdf
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Topic: Relationship of Environmental Compliance and Performance to Business Value and Competitiveness
#
212
Year
2000
Author
Repetto &
Austin
Title
Pure Profit: The Financial Implications
of Environmental Performance
Summarv
Methodology to translate firms' environmental performance into financial
terms. Addresses uncertainties regarding future environmental developments
consistent with established financial valuation techniques. Its application to 13
U.S. pulp and paper companies suggests that pending environmental issues
will have a range of varying material financial impacts on the companies.
Repetto, R. & Austin, D.; Pure Profit: The Financial Implications of Environmental Performance; World Resources Institute (2000).
http://pdf.wri.org/pureprofit.pdf
213
2000
Stafford
The Impact of Environmental
Regulations on the Location of Firms in
the Hazardous Waste Management
Industry
Paper examines relationship between environmental regulations and location
decisions of hazardous waste management firms. State spending on
environmental programs is important in firms' location choices because it
affects regulatory implementation and enforcement. Potential public
opposition is also important. Firms do not appear to be deterred by the
stringency of regulations but are instead attracted to comprehensive policies.
Stafford, S.; The Impact of Environmental Regulations on the Location of Firms in the Hazardous Waste Management Industry; Land Economics, Vol. 76 (4),
pp. 569-589 (Nov. 2000). http://links.istor.org/sici?sici=0023-7639(200011)76%3A4%3C569%3ATIOERO%3E2.0.CO%3B2-O
214
2000
USEPA
Green Dividends? The Relationship
Between Firms' Environmental
Performance and Financial Performance
Environmental Capital Markets Committee report sponsored by EPA with a
focus on equity investors. Barriers to integrating the value of environmental
strategies into financial analysis are discussed. Recommendations are offered
on steps to address the barriers such as promoting the creation of industry-
specific environmental performance benchmarks.
Environmental Capital Markets Committee; Green Dividends? The Relationship Between Firms' Environmental Performance and Financial Performance;
EPA 100-R-00-021. (2000). http://www.epa.gov/ocempage/nacept/green dividends.pdf
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Topic: Relationship of Environmental Compliance and Performance to Business Value and Competitiveness
Year
Author
Title
Summary
215
1999
ELI
Innovation, Cost and Environmental
Regulation: Perspectives on Business,
Policy and Legal Factors Affecting the
Cost of Compliance
Report presents and synthesizes research regarding the Porter hypothesis. The
Porter hypothesis theorizes the cost of implementing environmental
regulations may be significantly reduced by the concurrent development of
low-cost processes and other innovations.
ELI; Innovation, Cost and Environmental Regulation: Perspectives on Business, Policy and Legal Factors Affecting the Cost of Compliance', Environmental
Law Institute Research Report (1999). http://www.elistore.org/reports detail.asp?ID=475
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