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s 	U.S. Environmental Protection Agency	2007-P-00027
June 20, 2007
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At a Glance
PRO"*^
Catalyst for Improving the Environment
Why We Did This Review
The objective of this review
was to collect successful
practices from Federal
agencies similar to the
U.S. Environmental Protection
Agency's (EPA's) Office of
Enforcement and Compliance
Assurance (OECA) that
extensively use statistical
methods, including random
sampling, to measure and
ensure compliance and to
monitor regulatory programs.
Background
OECA faces many obstacles
in measuring compliance
across its regulated universe.
These include limited
knowledge of its large
universe, limited resources,
and difficulties in collecting
data from States through
random inspections and other
means. These obstacles have
prevented OECA from
calculating compliance rates
for the populations within its
regulated universe and from
demonstrating changes in
compliance and trends.
For further information,
contact our Office of
Congressional and Public
Liaison at (202) 566-2391.
To view the full report,
click on the following link:
www.epa.aov/oia/reports/2007/
20070620-2007-P-00027.pdf
Overcoming Obstacles to Measuring Compliance:
Practices in Selected Federal Agencies
What We Found
Federal regulatory agencies with missions and obstacles similar to EPA use
statistical methods to generate compliance information. They use this information
to monitor their enforcement and compliance programs and demonstrate program
results. These Federal programs extensively use statistical methods to identify and
analyze risk, set goals, develop strategies to manage the most significant risks, and
report their accomplishments. While the programs we reviewed face similar
obstacles as OECA, they use practical approaches to overcome these obstacles that
OECA could potentially apply to its programs.
Other programs apply statistical methods, such as selective random inspections, to
develop and publish compliance and other rates for their regulated populations.
Some programs collect data through national surveys, while others require States
to submit data as a condition of grant agreements. Programs leverage resources by
working with statisticians from other offices within their agencies, as well as with
statisticians from universities and external research centers. Programs found that
having a champion in senior management within their agency is essential to
overcome resistance to change and to adopt new methods.
Programs do not use statistical methods solely for reporting compliance rates.
Programs reported that other benefits include identifying previously unknown
risks, quantifying results, verifying the effectiveness of targeting schemes, and
maximizing limited resources.
What We Recommend
We recommend that the Assistant Administrator for Enforcement and Compliance
Assurance establish a plan of action, with milestones, to incorporate using
statistical methods to demonstrate the results of EPA's enforcement and
compliance strategies. In addition, OECA can coordinate with the in-house
statistical expertise available in EPA's Office of Research and Development and
Office of Environmental Information to help develop statistical models and
evaluate external proposals. The Agency accepted our recommendations.

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