There are many tools at the disposal of the Compliance Assurance Section to affect compliance with permits and rules. One tool available is the enforcement process. This process is employed when all other tools available have failed to achieve compliance or that an activity has resulted in such environmental harm or skewed the playing field for the regulated community that a strong response in the form of penalties and cost recovery is warranted.

The Enforcement Process

Typically, the enforcement process is initiated when staff, with approval from the section supervisor, prepares an enforcement referral package. This package is prepared in accordance with the agency’s approved checklist and contains all the documentation collected in the course of investigating and resolving a complaint. This package is organized and time accounting is provided for each EPC activity. The supervisor reviews the package to ensure all the information required by the enforcement checklist is present. Once approved by the Division Director, the enforcement package is forwarded to the Division’s enforcement coordinator.  The enforcement coordinator will provide initial notification to a responsible party that an enforcement action is pending. This is usually done through a document known as a Notice of Intent to Initiate Enforcement Action (NOI). The enforcement coordinator will then consult with permitting and compliance staff to determine what, if any, corrective actions are needed. If no corrective actions are necessary to resolve the case, the enforcement coordinator will calculate an appropriate penalty based on a standard penalty matrix along with EPC’s cost incurred while investigating the case. This information is then incorporated into a document known as a settlement letter and offered to a responsible party as the agency’s offer of settlement in order to avoid legal action.

Where corrective actions are required, a schedule of actions to be taken is developed along with appropriate penalties and cost and incorporated into a consent order. The consent order contains mutually agreeable terms that legally bind the responsible party and EPC, and is enforceable in a court of competent jurisdiction.

In cases where terms of a settlement cannot be reached, the EPC has the option to pursue legal action. Once authority has been granted by the EPC Commissioners to pursue legal action, the agency’s legal staff prepares the necessary documentation and files them with the court. The enforcement coordinator acts as a liaison between the Legal Department and the Water Management Division.