Doing What’s ImportantA Problem-Based Approach for Setting

Priorities

Michael M. StahlDirector, Office of Compliance

U.S. Environmental Protection Agency

The Regulatory Craft in Nova ScotiaHalifax, Nova Scotia

November 20-21, 2007

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Presentation Outline Moving from Tool-Based to Problem-

Based What Is a Priority? EPA’s Priority-Setting Process EPA’s National Compliance and

Enforcement Priorities Conclusion

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Tool-Based to Problem-Based Challenges facing environmental

compliance and enforcement (ECE) programs Broad mission, multiple statutes, many

regulations Numerous sources and forms of pollution Diversity of industry sectors Vast number of regulated entities Reduced reach due to resource limitations

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Traditional approach Goal – Maintain enforcement presence

across regulated universe Tools serve as organizing principle

Organization structured around tools (assistance, incentives, monitoring and enforcement) and statutes (air, water, waste)

Goals, objectives, measures and budget organized by tools

Tool-Based to Problem-Based

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Traditional approach Challenges

Impossible to ensure compliance in all areas due to resource constraints

Looking for opportunities to use specific tools and statutes may miss important problems

Linking activities to environmental results can be difficult

Tool-Based to Problem-Based

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Alternative: Use Sparrow’s “problem-solving” approach to establish priorities Identify important problems (i.e., risk,

noncompliance pattern) Create strategies tailored to the problems Goals, objectives and measures are framed in

terms of environmental outcomes Result

Focuses resources on the most important problems

Performance measures reflect the program’s impact on problems

Tool-Based to Problem-Based

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What Is a Priority? Definition: “the fact or condition of

being prior; precedence in time, order, importance, urgency…”

Setting priorities: Helps make triage decisions Improves focus on most important

problems

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What Is a Priority? Problem defined precisely

Analyze causes and influences Strategy using appropriate mix of tools

tailored to the problem May require cross-functional collaboration,

use of networks Problem-specific goals, objectives,

performance measures Resource commitments

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EPA’s Priority-Setting Process Identifying potential problems Evaluating candidate problems for

priority status Selecting priorities Implementing and managing

priorities Monitoring and adjusting

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EPA’s Priority-Setting Process Identifying Potential Priorities

Consulted stakeholders about emerging problems, hazards, noncompliance patterns Field staff Regulatory partners Regulated entities Others

Reviewed data systems Patterns in violations and enforcement actions Compliance history of facilities and companies Emission trends Public health issues Geographic “hot spots”

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Evaluating Candidate Priorities Is the problem national in scope? Does it merit dedicated resources? What would success look like? How

would we measure it? Can we create an intervention strategy

that would produce success? Are there potential partners who would

join us to address the problem?

EPA’s Priority-Setting Process

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EPA’s Priority-Setting Process Selecting Priorities

Selection criteria transparent and understandable to all stakeholders

EPA’s criteria Identifiable environmental or health

problem national in scope Significant environmental or health

benefits to be gained Appropriate for federal-level attention

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EPA’s Priority-Setting Process Implementing and Managing

Priorities Develop an implementation

strategy with goals, objectives, measures

Establish implementation team with multi-functional representation

Establish senior council to monitor and guide priorities

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EPA’s Priority-Setting Process Implementing and Managing

Priorities Periodically review and assess

priorities, individually and as a set Evaluate progress Refine problem statements if needed Reevaluate goals and measures Adjust strategies Add/delete priorities

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EPA’s National Compliance and Enforcement Priorities NSR/PSD

Failure of industrial facilities to obtain permits for plant modifications that increase air pollution emissions

Air Toxics Toxic air pollutants are known to cause

cancer or other serious health effects such as reproductive or birth defects, or adverse environmental impacts

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EPA’s National Compliance and Enforcement Priorities Mineral Processing

Wastes from mineral processing can cause environmental damage to ground water and surface water when placed in piles or ponds due to corrosivity or high levels of toxic metals (e.g., lead)

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EPA’s National Compliance and Enforcement Priorities Financial Assurance

Costs of clean-up and closure are borne by taxpayers when facility operators default Requiring adequate resources for clean-up

promotes proper handling of hazardous materials and waste

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Indian Country Public and environmental health threats

in Indian Country posed by: Unsafe drinking water Illegal and open dumping of solid and

hazardous wastes Facility operation and maintenance issues at

schools, dormitories and campus housing, such as presence of asbestos, improperly stored chemicals, vehicle maintenance operations and fuel storage

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EPA’s National Compliance and Enforcement Priorities Stormwater

Stormwater runoff from large urban areas transports contaminants directly over land and into waterways

CAFO Water discharges and runoff from

concentrated animal feeding operations (during wet weather events) transport nutrients, bacteria, pesticides, antibiotics and hormones to local waterways

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EPA’s National Compliance and Enforcement Priorities CSO/SSO

Combined sewer overflows (CSO) and sanitary sewer overflows (SSO) discharge untreated sewage, industrial wastewater, and other pollutants into rivers, lakes, and oceans when wet weather events exceed the storage capacity of pipes and treatment plants

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Conclusion Problem-solving and priority-setting

approaches hold promise for focusing ECE programs on important problems

Problem-solving approach requires: “Open-minded search” for problems and

intervention strategies Ability to work across functional and

organizational lines Measurement and fact-based analysis

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Contact Information

Michael M. StahlDirector, Office of Compliance (MC-2221A)U.S. Environmental Protection Agency1200 Pennsylvania Avenue NWWashington, DC 20460

202-564-2280 (phone)202-564-0027 (fax)

stahl.michael@epa.gov