Enforcement Activities
Overview
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.
