00/00/86
Clean Air Act Compliance / Enforcement Guidance Manual - Chapter
Two
CHAPTER TWO
Chapter Contents Page.
Primary EPA Office Responsibilities 2-1.
Organizational Charts 2-6.
2-i
CHAPTER TWO
Primary EPA Office Responsibilities
The United States engages in Clean Air Act compliance and enforcement
activities on the basis of the expertise, knowledge, advice,
recommendations, and actions of the EPA and the Department of Justice.
Although it is an artificial distinction in certain respects, EPA's
enforcement program includes both compliance-oriented activities and
legal-oriented activities. The compliance activities are primarily the
responsibility of EPA Headquarters' program offices and Regional
Administrators while the legal activities are primarily charged to Regional
Counsel or the Headquarters Office of Enforcement and Compliance Monitoring
( OECM ). Many enforcement activities are not clearly "compliance" or
"legal" as they involve elements of each activity. Where both elements are
present( which is usually the case ), the EPA employee must be especially
diligent in coordinating his or her activity with the activities of the
other
participating offices.
The Act invests all of the powers granted to EPA in the Administrator.
Section 301, however, authorizes the Administrator to delegate any
authorities, except rulemaking, under the Act to any officer or employee of
EPA. A copy of the portions of the EPA Delegations Manual applicable to the
clean air program can be found in the General Enforcement Policy Compendium.
In addition to the official delegations of authority, the compliance and
enforcement program is governed by two important documents in the General
Enforcement Policy Compendium. The documents, entitled "Working
Principles Underlying EPA's National Compliance/Enforcement Programs" and
"General Operating Procedures for the Civil Enforcement Program," are
applicable to all EPA enforcement programs, including clean air.
In summary, the basic compliance/enforcement functions are divided among
participating offices as follows.
2-1
Headquarters
Program Office: Assistant Administrator for Air and Radiation
o Manages national program matters;
o Establishes national enforcement compliance priorities;
o Provides overall direction to and accountability measures for the
enforcement compliance program;
o Maintains the Compliance Data System ( CDS );
o Provides technical support ( including support for litigation
activities );
o Takes lead role in preparing guidance and policy decisions on
enforcement compliance issues;
o Concurs, as necessary, on enforcement actions at as early a stage as
possible in the case development process;
o May retain responsibility for issuing civil administrative complaints
and other administrative orders in cases of first impression,
overriding national significance, or violations by any entity in more
than one Region; and
o Participates with OECM in handling enforcement legal issues and in
preparing joint guidance for areas in which compliance and legal
issues overlap.
Assistant Administrator for Enforcement and Compliance Monitoring Through
the Associate Enforcement Counsel for Air
o Provides legal advice regarding enforcement matters to the Assistant
Administrator to assist the Office of Air and Radiation in performing
programmatic functions;
o Develops legal and enforcement policies and guidance;
o Confers with the Department of Justice on the potential impact of
enforcement policy on litigation matters;
o Cooperates with the Assistant Administrator in the development of
enforcement policies that involve both enforcement compliance and
enforcement legal activities;
o Checks case referrals from Regions, as well as consent decrees, prior
to submitting them to the Assistant Administrator for Enforcement and
Compliance Monitoring to ensure completeness and to identify and
properly address all precedential or nationally significant issues.
A copy of the memorandum entitled "Headquarters Review and Tracking
of Civil Referrals" can be found in the General Enforcement Policy
Compendium;
2-2
o Typically assists and supports the Regional Counsel lead attorneys
and Department of Justice attorneys by coordinating legal activity
and by contributing case information to the development process; and
o Occasionally takes the lead, or a more active role, in litigation
activities in a limited number of actions involving precedential or
nationally significant issues.
Regional Offices
Program Office
o Identifies instances of noncompliance;
o Establishes priorities for handling instances of noncompliance;
o Evaluates the technical sufficiency of actions designed to remedy
violations;
o Identifies for formal action those cases that cannot be resolved less
formally;
o Provides technical support necessary for developing cases and
conducting litigation;
o Issues permits;
o Issues Notices of Violation;
o Issues Administrative Orders under Section 113(a) and 167(a);
o Issues Section 120 notices of noncompliance; and
o Issues applicability determinations pursuant to 40 C.F.R. Section
60.5 ( NSPS ) and 40 C.F.R. Section 61.5 ( NESHAPs ).
Regional Counsel
o Acts as attorney for client program offices;
o Assists program office in drafting or reviewing the terms and
conditions of permits;
o Assists program office in drafting or reviewing notices of violation,
administrative orders, or administrative complaints;
2-3
o Assists throughout the case development process;
o Formally concurs on civil referrals prior to signature by the
Regional Administrator;
o Ensures consistency of action with OECM guidance;
o Assists in negotiating enforcement matters;
o Attends negotiations whenever outside parties are represented by
counsel in negotiations;
o Serves as lead attorney in handling specific enforcement actions
consistent with the Section VII(B) of the May 7, 1982, memorandum on
regional reorganization:
-- Manages case for EPA,
-- Coordinates case development for EPA, and
-- Coordinates litigation activity with DOJ; and
o Provides legal representation for the Agency in administrative
proceedings originating in the Region and appeals from those
hearings.
National Enforcement Investigation Center ( NEIC )
The National Enforcement Investigation Center ( NEIC ) reports to the
Assistant Administrator for Enforcement and Compliance Monitoring. Located
in the Denver area, NEIC functions as a national technical resource and
investigative unit. NEIC's expertise in investigation and evidence
discovery can assist case development and provide litigation support. OECM
establishes NEIC's priorities and its availability. Regional Administrators
and the Assistant Administrator for Air and Radiation may request NEIC's
involvement in cases that have precedential implications, national
significance, or are multi-regional in nature, as opposed to cases involving
more routine matters.
The Department of Justice
Title 28, Section 512 of the United States Code establishes the Department
of Justice as the lawyer for the United States in any judicial action to
which the United States is a party, except as otherwise provided by law.
One such exception provided by law is Section 305 of the Clean Air Act,
which provides as follows:
(a) The Administrator shall request the Attorney General to appear and
represent him in any civil action instituted under this Act to which the
Administrator is a party. Unless the Attorney General notifies the
Administrator that he will appear in such action, within a reasonable
time, attorneys appointed by the Administrator shall appear and represent
him.
2-4
(b) In the event the Attorney General agrees to appear and represent
the Administrator in any such action, such representation shall be
conducted in accordance with, and shall include participation by
attorneys appointed by the Administrator to the extent authorized by, the
Memorandum of Understanding between the Department of Justice and the
Environmental Protection Agency, dated June 13, 1977, respecting
representation of the Agency by the department of civil litigation.
A copy of the Memorandum of Understanding is included in the General
Enforcement Policy Compendium.
Section 305 and the Memorandum of Understanding establish the basic
relationship between the Department of Justice and EPA in the conduct of
civil judicial litigation. The relationship is defined in greater detail by
the April 8, 1982, memorandum of the (then) Associate Administrator for
Legal and Enforcement Counsel and General Counsel entitled "Draft DOJ/EPA
Litigation Procedures". A copy of that document, commonly referred to as
the "Quantico Guidelines" because it was developed at a meeting held at the
Quantico (VA) Marine Base, can be found in the General Enforcement Policy
Compendium. Finally, the September 29, 1983, letter from Deputy
Administrator Alvin Alm to the Acting Assistant Attorney General established
a procedure for the direct referral of certain routine cases.
Omitted: EPA, OECM, Air Enforcement, SSCD and AQPS Organizational Charts
2-5
NOTE: The following organization charts do not appear in this computer
text:
U.S. Environmental Protection Agency p. 6
Office of Enforcement and Compliance Monitoring p. 7
Air Enforcement Division p. 8
Office of Air Quality Planning and Standards p. 9
Stationary Source Compliance Division p. 10
Return to Enforcement Policies