ABSTRACT
Enforcement is a necessary factor of regulatory compliance, as it is one of the strongest ways an agency can ensure regulations are being adhered to. Regulatory legislation gives agencies the power to enforce regulations through several different means. By implementing various enforcement strategies, facilities are held accountable if they are not in compliance with regulations. Enforcement varies based on the type of violation and the severity of its impacts. Minor violations can incur small civil penalties, while particularly severe violations can incur criminal penalties.
Traditional enforcement policies, known as command-and-control, are the typical methods of enforcement used by regulatory agencies in the form of strict violations and penalties. However, as another route of enforcement, agencies sometimes use economic incentives to encourage positive and compliant behavior from facilities and violating entities. Sometimes, a combination of these two enforcement methods is also implemented.
If a facility receives a violation, there are a few ways penalties can be mitigated. Expedited settlement agreements can be beneficial to a facility that agrees to quickly remedy a violation. Audits and voluntary violation disclosure significantly reduce penalties for those facilities that self-regulate. Supplemental environmental projects are also a creative way for a facility to take initiative and show good faith to a regulatory agency, which can often lessen the severity of a violation.
