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Research Literature

This page provides links to literature summaries of compliance-related books and articles written primarily by academic researchers that address a broad range of compliance and environmental behavior topics, including:

 

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Compliance Literature Search Results - Citations to Over Two Hundred Compliance-Related Articles From 1999-2007 (PDF) (EPA-300B07001) (96 pp, 1,009.10K)
Provides citations to 215 compliance-related books and articles written between 1999 and 2007 that address the compliance and environmental behavior topics mentioned above.

Compliance Information Project Literature Summaries (PDF) (EPA-300-R-99-002) (86 pp, 1.07M)
Provides citations to compliance-related books and articles written before and up to 1999 that address the compliance and environmental behavior topics mentioned above.

Measuring Compliance Assistance Outcomes – State of Science and Practice White Paper (PDF) (94 pp, 638.4K)
Prepared December 2007 by Dr. Shelley Metzenbaum, Director, Environmental Compliance Consortium, under contract to EPA (EP07H002309), this report reviews research on the state of science in compliance assistance outcome measurement and develops findings and recommendations based on technical feasibility, without assessing implementation costs.

Monitoring, Enforcement & Environmental Compliance: Understanding Specific & General Deterrence (PDF) (47 pp, 509.15K)
 Prepared October 2007 by Prof. Jay P. Shimshack of Tufts University under contract to  EPA (EP07H001637), this report reviews research on the state of science in environmental deterrence measurement and develops findings and recommendations based on technical feasibility, without assessing implementation costs.

Monitoring, Enforcement & Environmental Compliance: Understanding Specific & General Deterrence - Metrics and Model Calibration (PDF) (24 pp, 282.72K)
Prepared July 2008 by Prof. Jay P. Shimshack of Tufts University under contract to EPA (EP08H001163) with consultation from Prof. Wayne Gray of Clark University, this report presents simplified frameworks (models) for quantitative database analysis of the specific and general deterrent impacts of environmental monitoring and enforcement.

Monitoring, Enforcement & Environmental Compliance: Understanding Specific & General Deterrence - A Multiple Sector Analysis (PDF) (60 pp, 809.97K)
Prepared October 2008 by Prof. Jay P. Shimshack of Tufts University under contract to EPA (EP08H001163) with consultation from Prof. Wayne Gray of Clark University, this report applies the models in the Metrics and Model Calibration report to several industrial sectors to generate preliminary model results supporting further model calibration.

Monitoring, Enforcement & Environmental Compliance:  Understanding Specific & General Deterrence – A User’s Guide (PDF) (18 pp, 73.34K)
Public version prepared January 2009 by Prof. Wayne Gray of Clark University and Prof. Jay P. Shimshack of Tulane University under contract to EPA (EP08H001163).  This report is a technical guide to measuring the specific and general deterrent impacts of environmental monitoring and enforcement using the models and statistical methods described in the Metrics and Model Calibration report.  It provides descriptions of the steps necessary to run the models, from data extraction, preparation, and sequencing to the subsequent quantitative statistical analysis.  Appendices and sample program files (SAS datasets, SAS program log files, and STATA analysis code) are available upon request to assist users to reproduce the deterrence analyses, model additional sectors, and/or customize the model’s monitoring, enforcement, compliance status, and pollutant discharge variables.  To obtain these additional resources, members of the public should contact the authors as described in the User’s Guide.  EPA employees should contact the EPA Project Manager as described in the Compliance Literature Search Results report.

For access to other compliance and enforcement publications by topic, please review our publications. For legal documents please review our policy and guidance.

EPA welcomes comments on the literature cited in the reports, and how to make future literature searches more useful. If you are aware of new or additional compliance research we encourage you to bring it to EPA’s attention for future consideration as described in the Compliance Literature Search Results document.

Promoting good environmental behavior and compliance is at the heart of EPA’s mission, and is a key element of the 2006-2011 EPA Strategic Plan in Goal 5: Compliance and Environmental Stewardship (PDF) (20 pp, 1.1M).

EPA, together with our state and tribal partners, is responsible for assuring compliance with the nation’s environmental laws and for promoting an environmental stewardship ethic whereby firms and individuals strive to exceed regulatory requirements. Government’s interest in promoting these outcomes is shared by a wide range of stakeholders, including industry, environmental groups, academia, other non-governmental organizations, and the public. Success in these efforts is facilitated by the dissemination and consideration of behavioral and compliance research results such as those presented in the resources on this page.

 

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