Integrated Compliance Programs Key but Undeveloped, according to a New ELI Study

February 2003

The success of environmental regulations and policies depends upon the strength of state environmental compliance programs. At a time when new administrations are assuming control of state agencies and states nationwide are struggling to allocate funds under limited budgets, they are also tackling difficult next-generation environmental problems. A new study by the Environmental Law Institute® finds that integrated compliance programs are essential for state environmental agencies to effectively address our nation’s environmental problems. Yet, integrated compliance approaches are still embryonic. The study found that in each of the five Midwest states examined important strengths and systemic weaknesses exist side-by-side.

Beyond Enforcement? Environment, Compliance Assistance, and Corporate Leadership Programs in Five Midwest States, conducted by ELI with senior researchers at the Tellus Institute and the National Academy of Public Administration, identifies structural and management prerequisites for sound integrated environmental compliance programs. The study compares compliance programs in Illinois, Indiana, Michigan, Minnesota, and Wisconsin to these prerequisites.

Integrated approaches to compliance can strengthen state environmental programs by developing better information and more clearly identifying priorities. This approach systematically evaluates alternative compliance options - education, technical assistance, leadership activities, voluntary programs, administrative actions, civil enforcement, and criminal prosecutions. The agencies select the most effective tool to deal with each problem and track the effectiveness of the chosen approach.

The study found that each state has taken a few steps to build a more integrated compliance system and has undertaken some strategic planning to set priorities, target resources, and direct staff to fulfill the agencies’ goals. However, it also found that these steps are not yet sufficient to meet the challenges facing the states. States need to significantly strengthen information systems and build the institutional capacity to implement integrated systems, tasks that will require legislative support and additional financial resources.

Beyond Enforcement? concludes that a productive and effectively integrated compliance program must include four key elements: (1) a strong planning process to set and implement priorities, (2) adequate data to support resource allocation planning and adaptive management, (3) a strong commitment to informing and interacting with the public, and (4) sufficient financial and human resources to complete the priority tasks. Yet, such integrated compliance strategies are critical for states to effectively address our nation’s current environmental problems, particularly given their increasingly severe funding constraints.

Beyond Enforcement was funded by the Chicago-based Joyce Foundation. For more information about this study contact John Pendergrass, Director of ELI’s Center for State, Local and Regional Environmental Programs, at 202-939-3846. For an electronic copy of the report, please visit our Web site at http://www.eli.org.