Enforcement of pollution laws and regulations: An analysis of forum choice

Harvard Environmental Law Review

Volumn 27, Issue 1, 2003, Pages 106-176

  Firestone, Jeremy ^a  

^a UNIVERSITY OF MICHIGAN LAW SCHOOL   (United States)

Author keywords

[No Author keywords available]

Indexed keywords

ENVIRONMENTAL LEGISLATION; IMPLEMENTATION PROCESS; POLLUTION CONTROL; REGULATORY APPROACH;

UNITED STATES;

EID: 0038708424     PISSN: 01478257     EISSN: None     Source Type: Journal    
DOI: None     Document Type: Article

References (93)

1. BARRY M. MITNICK, THE POLITICAL ECONOMY OF REGULATION: CREATING, DESIGNING, AND REMOVING REGULATORY FORMS 353-57 (1980).
2. Catherine Dion et al., Monitoring of Pollution Regulation: Do Local Conditions Matter?, 13 J. REG. ECON. 5 (1998);
3. Eric Helland, The Enforcement of Pollution Control Laws: Inspections, Violations, and Self-Reporting, 80 REV. ECON. & STAT. 141 (1998);
4. Mary E. Deily & Wayne B. Gray, Enforcement of Pollution Regulations in a Declining Industry, 21 J. ENVTL. ECON. & MGMT. 260 (1991).
5. Louis W. Nadeau, EPA Effectiveness at Reducing the Duration of Plant-Level Noncompliance, 34 J. ENVTL. ECON. & MGMT. 54-78 (1997 );
6. Wayne B. Gray & Mary E. Deily, Compliance and Enforcement: Air Pollution Regulation in the U.S. Steel Industry, 31 J. ENVTL. ECON. & MGMT. 96-111 (1996);
7. Benoît Laplante & Paul Rilstone, Environmental Inspections and Emissions of the Pulp and Paper Industry in Quebec, 31 J. ENVTL. ECON. & MGMT. 19-36 (1996);
8. Wesley A. Magat & W. Kip Viscusi, Effectiveness of the EPA's Regulatory Enforcement: The Case of Industrial Effluent Standards, 33 J. L. & ECON. 331 (1990).
9. Jeremy Firestone, Agency Governance and Enforcement: The Influence of Mission on Environmental Decisionmaking, 21 J. POL'Y ANALYSIS & MGMT. 409 (2002)
10. Jeff L. Lewin & William N. Trumbull, The Social Value of Crime?, 10 INT'L REV. L. & ECON. 271, 277 (1990).
11. Kenneth Mann, Punitive Civil Sanctions: The Middleground Between Criminal and Civil Law, 101 YALE L.J. 1795, 1806 (1992);
12. Christopher D. Stone, Comment: Sentencing the Corporation, 71 B.U. L. REV. 383, 392 (1991).
13. John C. Coffee, Jr., Paradigms Lost: The Blurring of the Criminal and Civil Law Models-And What Can Be Done About It, 101 YALE L.J. 1875, 1878 (1992).
14. Susan Hedman, Expressive Functions of Criminal Sanctions in Environmental Law, 59 GEO. WASH. L. REV. 889, 896 (1991).
15. Harry V. Ball & Lawrence M. Friedman, The Use of Criminal Sanctions in the Enforcement of Economic Legislation: A Sociological View, 17 STAN. L. REV. 197 (1965).
16. Kenneth G. Dau-Schmidt, An Economic Analysis of the Criminal Law as a Preference-Shaping Policy, 39 DUKE L.J. 1 (1990).
17. John C. Coffee, Jr., Does "Unlawful" Mean "Criminal"?: Reflections on the Disappearing Tort/Crime Distinction in American Law, 71 B.U. L. REV. 193, 223-38 (1991).
18. V. S. Khanna, Corporate Criminal Liability: What Purpose Does It Serve?, 109 HARV. L. REV. 1477 (1996).
19. Dick Thornburgh, Criminal Enforcement Priorities for the 1990s, 59 GEO. WASH. L. REV. 775, 777-78 (1991).
20. James M. Strock, Environmental Criminal Enforcement Priorities for the 1990s, 59 GEO. WASH. L. REV. 916 (1991);
21. U.S. Dep't of Justice, Factors in Decisions on Criminal Prosecutions for Environmental Violations in the Context of Significant Voluntary Compliance or Disclosure Efforts by the Violator (1991), at http://www.usdoj.gov/enrd/factors.htm
22. Michael B. Metzger, Organizations and the Law, 25 AM. BUS. L.J. 407, 419 (1987).
23. Fred L. Rush, Jr., Corporate Probation: Invasive Techniques for Restructuring Institutional Behavior, 21 SUFFOLK U. L. REV. 33 (1986); Saltzburg, supra note 36, at 429; Metzger, supra note 37, at 438-39.
24. Michael J. Woods, Environmental Compliance Programs as a Condition of Organizational Probation, 8 FED. SENTENCING REP. 209 (1996).
25. John F. Cooney et al., Criminal Enforcement of Environmental Laws: Part III-From Investigation to Sentencing and Beyond, 25 Envtl. L. Rep. (Envtl. L. Inst.) 10,600-622 (1995);
26. David T. Buente Jr., et al., The "Civil" Implications of Environmental Crimes, 23 Envtl. L. Rep. (Envtl. L. Inst.) 10,589, 10,598-600 (1993);
27. Mark A. Cohen, Environmental Crime and Punishment: Legal/Economic Theory and Empirical Evidence of Enforcement of Federal Environmental Statutes, 82 J. CRIM. L. & CRIMINOLOGY 1054 (1992).
28. EPA, HAZARDOUZ WASTE CIVIL ENFORCEMENT RESPONSE POLICY 11-13 (1996).
29. Earl E. Devaney, Director Office of Criminal Enforcement, EPA, The Exercise of Investigative Discretion 6 (Jan. 12, 1994)
30. EPA, OPERATING PRINCIPLES FOR AN INTEGRATED EPA ENFORCEMENT AND COMPLIANCE AND ASSURANCE PROGRAM 6 (1996).
31. EPA, Incentives for Self-Policing: Discovery, Disclosure, Correction and Prevention of Violations, 60 Fed. Reg. 66,706 (Dec. 22, 1995).
32. Colin S. Diver, A Theory of Regulatory Enforcement, 28 PUB. POL'Y 257 (1980).
33. Joseph F. DiMento, Criminal Enforcement of Environmental Law, 525 ANNALS AM. ACAD. POL. & SOC. SCI. 134 (1993);
34. PETER C. YEAGER, THE LIMITS OF LAW: THE PUBLIC REGULATION OF PRIVATE POLLUTION (1991).
35. JOEL A. MINTZ, ENFORCEMENT AT THE EPA: HIGH STAKES AND HARD CHOICES (1995);
36. ROSEMARY O'LEARY, ENVIRONMENTAL CHANGE: FEDERAL COURTS AND THE EPA (1993).
37. Franklin E. Zimring, The Multiple Middlegrounds Between Civil and Criminal Law, 101 YALE L.J. 1901 (1992);
38. Mark A. Cohen, Monitoring and Enforcement of Environmental Policy, in THE INTERNATIONAL YEARBOOK OF ENVIRONMENTAL AND RESOURCE ECONOMICS 1999-2000, at-Sections 2.3, 3.1 available at http://www.vanderbilt.edu/VCEMS/papers/enforcement.pdf.
39. MONTESQUIEU, THE SPIRIT OF LAWS 161 (David Wallace Carrithers ed. & Thomas Nugent trans., U. of Cal. Press 1977) (1748)
40. Jeremy Bentham, An Introduction to the Principles and Morals of Legislation, in 1 WORKS OF JEREMY BENTHAM 86-95 (John Bowring ed., Russell & Russell, Inc. 1962) (1781);
41. Jeremy Bentham, Principles of Penal Law, in 1 WORKS OF JEREMY BENTHAM, id. at 399-402
42. Gary S. Becker, Crime and Punishment: An Economic Approach, 76 J. POL. ECON. 169 (1968).
43. Richard Posner, An Economic Theory of the Criminal Law, 85 COLUM. L. REV. 1193 (1985).
44. Barry D. Baysinger, Organization Theory and the Criminal Liability of Organizations, 71 B.U. L. REV. 341, 363 (1991).
45. JULES L. COLEMAN, MARKETS, MORALS AND THE LAW 57-60 (1988).
46. Steven Shavell, Criminal Law and the Optimal Use of Nonmonetary Sanctions as a Deterrent, 85 COLUM. L. REV. 1232, 1236-37 (1985).
47. RICHARD POSNER, ECONOMIC ANALYSIS OF THE LAW 357-58 (2d ed. 1976).
48. Mark A. Cohen, Theories of Punishment and Empirical Trends in Corporate Criminal Sanctions, 17 MANAGERIAL & DECISION ECON. 399, 408 (1996),
49. Steven Shavell, Deterrence and the Punishment of Attempts, 19 J. LEGAL STUD. 435 (1990).
50. Amitai Etzioni, The U.S. Sentencing Commission on Corporate Crime: A Critique, 525 ANNALS AM. ACAD. POL. & SOC. SCI. 147, 153 (1993).
51. Cheryl Wasserman, Federal Enforcement: Theory and Practice, in INNOVATION IN ENVIRONMENTAL POLICY 21-31, 41 (T.H. Tietenberg ed., 1992);
52. Jennifer Arlen & Reinier Kraakman, Controlling Corporate Misconduct: An Analysis of Corporate Liability Regimes, 72 N.Y.U. L. REV. 687, 752-54 (1997)
53. AMITAI ETZIONI, THE MORAL DIMENSION: TOWARD A NEW ECONOMICS 67-87 (1988).
54. Raymond Paternoster & Sally Simpson, Sanction Threats and Appeals to Morality: Testing a Rational Choice Model of Corporate Crime, 30 L. & SOC'Y REV. 549 (1996).
55. W.S. Loquist, Organizational Probation and the U.S. Sentencing Commission, 525 ANNALS AM. ACAD. POL. & SOC. SCI. 157 (1993);
56. Raymond J. Burby & Robert G. Paterson, Improving Compliance with State Environmental Regulations, 12 J. POL'Y ANALYSIS & MGMT. 753 (1993).
57. MARC C. LANDY ET AL., THE ENVIRONMENTAL PROTECTION AGENCY: ASKING THE WRONG QUESTIONS (1990).
58. Devon Garvie & Andrew Keeler, Incomplete Enforcement with Endogenous Regulatory Choice, 55 J. PUB. ECON. 141, 144 (1994).
59. Douglass C. North, INSTITUTIONS, INSTITUTIONAL CHANGE AND ECONOMIC PERFORMANCE 54 (1990).
60. William A. Niskanen, Politicians and Bureaucrats, 18 J.L. & ECON. 617, 618 (1975).
61. OFFICE OF COMPLIANCE AND ENFORCEMENT ASSURANCE, EPA, OPERATING PRINCIPLES FOR AN INTEGRATED ENFORCEMENT AND COMPLIANCE ASSURANCE PROGRAM (Nov. 18, 1996) available at http://www.epa.gov/compliance/resources/policy/planning/state/ oprin-integ-mem.pdf;
62. J. B. Ruhl, Thinking of Environmental Law as a Complex Adaptive System: How to Clean Up the Environment by Making a Mess of Environmental Law, 34 HOUS. L. REV. 933, 988 (1997);
63. Clifford Rechtschaffen, Deterrence vs. Cooperation and the Evolving Theory of Environmental Enforcement, 71 S. CAL. L. REV. 1181, 1218-20 (1998).
64. Carol Adaire Jones & Suzanne Scotchmer, The Social Cost of Uniform Regulatory Standards in a Hierarchical Government, 19 J. ENVTL. ECON. & MGMT. 61 (1990).
65. TED HONDERICH, PUNISHMENT: THE SUPPOSED JUSTIFICATIONS (rev. ed. 1976).
66. Sam Peltzman, Toward a More General Theory of Regulation, 19 J.L. & ECON. 211 (1976).
67. Jack Hirchleifer, Comment, Toward a More General Theory of Regulation, 19 J.L. & ECON. 241 (1976).
68. Stanton Wheeler et al., Sentencing the White-Collar Offender: Rhetoric and Reality, 47 AM. SOC. REV. 641 (1982).
69. Susan P. Shapiro, The Road not Taken: The Elusive Path to Criminal Prosecution for White-Collar Offenders, 19 L. & SOC'Y REV. 179, 204 n. 21 (1985).
70. General Pretreatment Regulations for Existing and New Sources of Pollution, 40 C.F.R. § 403 (2001).
71. Eric Helland, The Revealed Preferences of State EPAs: Stringency, Enforcement, and Substitution, 35 J. ECON. & MGMT. 242 (1998).
72. USSC, 2000 SOURCE BOOK OF FEDERAL SENTENCING STATISTICS (2000) [hereinafter 2000 SOURCE BOOK].
73. USSC SOURCE BOOKS available at http://www.ussc.gov/research.htm.
74. Phyllis J. Newton, Report from Advisory Group on Environmental Sanctions (Dec. 16, 1993) available at http://www.ussc.gov/publicat/ENVIRON.pdf
75. A. Mitchell Polinsky & Steven Shavell, Should Employees Be Subject to Fines and Imprisonment Given the Existence of Corporate Liability?, 13 INT'L REV. L. & ECON. 239, 241 (1993).
76. James J. Heckman, Sample Selection Bias as a Specification Error, 47 ECONOMETRICA 153 (1979).
77. Kenneth E. Train & Judi E. Strebel, Energy Conservation and Rebates in Commercial Food Enterprises, 69 AM. J. AGRIC. ECON. 106 (1987).
78. Jeffrey A. Dubin & Daniel L. McFadden, An Econometric Analysis of Residential Electric Appliance Holding and Consumption, 52 ECONOMETRICA 345 (1984).
79. James T. Hamilton, Going by the (Informal) Book: The EPA's Use of Informal Rules in Enforcing Hazardous Waste Laws, in 7 ADVANCES IN THE STUDY OF ENTREPRENEURSHIP, INNOVATION, AND ECONOMIC GROWTH 109-55 (G. D. Libecap ed., 1996).
80. Jonathan M. Karpoff et al., Environmental Violations, Legal Penalties, and Reputation Costs (Univ. of Chicago Law School, John M. Olin Law & Economics Working Paper No. 71, 1998)
81. Kari Jones & Paul H. Rubin, Effects of Harmful Environmental Events on Reputations of Firms (1999)
82. Jonathan M. Karpoff & John R. Lott, Jr., The Reputational Penalty Firms Bear From Committing Criminal Fraud, 36 J.L. & ECON. 757 (1993).
83. Kelly Lear-Nordby, An Empirical Examination of EPA Administrative Fines (Jan. 1999)
84. John Lynxwiler et al., Determinants of Sanction Severity in a Regulatory Bureaucracy, in CORPORATIONS AS CRIMINALS 147 (Ellen Hochstedler ed., 1984)
85. EPA, Compliance and Enforcement Data Systems, http://www.epa.gov/compliance/data/index.html
86. Leslie Kish, SURVEY SAMPLING 21, 75-77, 84, 148-51, 161-64 (1965).
87. J. SCOTT LONG, REGRESSION MODELS FOR CATEGORICAL AND LIMITED DEPENDENT VARIABLES 79-82 (1997).
88. Jerry Hausman and Daniel McFadden, Specification Tests for the Multinomial Logit Mode, 52 ECONOMETRICA 1219 (1984)
89. EPA, ENFORCEMENT AND COMPLIANCE ASSURANCE ACCOMPLISHMENTS REPORT, FY 1996 (1997).
90. SUSAN HUNTER & RICHARD W. WATERMAN, ENFORCING THE LAW: THE CASE OF THE CLEAN WATER ACTS 161-65 (1996).
91. BOB HALL & MARY LEE KERR, 1991-1992 GREEN INDEX 111 (1992).
92. MICHAEL BARONE & GRANT UJIFUSA, ALMANAC OF AMERICAN POLITICS (1990, 1992, 1994, 1996, 1998).
93. John A. Hird, Superfund Expenditures and Cleanup Priorities: Distributive Politics or the Public Interest?, 9 J. POL'Y ANAL. & MGMT. 455 (1990).