Summary of Report 98-070

August 1998

Report Number 98-070

Overall Conclusion

The Texas Natural Resource Conservation Commission (Commission) has made significant progress toward completing a new streamlined, centralized enforcement process. For example, it has established policies and procedures for setting case priorities, monitoring time lines and backlogs, and calculating penalties. Despite the strengths of the process we identified needs for improvement. The most important of these is how the Commission manages compliance and enforcement information. The Commission has recognized its current limitations and has requested funding to develop an integrated automated system. The system would tie together information needed to report on such items as inspections, violations, enforcement orders, and administrative penalties. If not resolved, these limitations may continue to affect the efficiency and accountability of the enforcement process.

Key Facts and Findings

• Adopted policies and procedures to promote efficiency and fairness - The Commission has adopted and published its enforcement policies. In addition, it has developed extensive standard operating procedures to guide enforcement staff through the process.
• Developed various tools, such as spreadsheets and shell documents, to implement new procedures - These reflect a commitment to ongoing process improvement.

• Our primary recommendation is for the Commission to develop a comprehensive compliance and enforcement information system.
• Ensure a consistent approach to inspections.
• Ensure timely completion of technical requirements
• Clarify and document the interaction among penalty settlement strategies.
• Improve collection and reporting of administrative penalties.
• Consider risks associated with delegating additional responsibilities to regional field offices.

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