IDEAS home Printed from https://ideas.repec.org/a/plo/pwat00/0000326.html
   My bibliography  Save this article

Do mandatory minimum penalties and penalty relief work? Evidence from California’s clean water program

Author

Listed:
  • Ryan J Treves
  • Qiwei Lin
  • Margaret Hilderbran
  • Derek Ouyang
  • Kit T Rodolfa
  • Erin Mustain
  • Daniel E Ho

Abstract

Promoting regulatory compliance in the face of limited resources poses a distinct challenge to regulators, who can find within rational choice theory a diverse toolkit of policy levers – ones that change the likelihood that noncompliance is sanctioned, the size of sanctions, or the cost of compliance – but must look beyond theory to understand how such levers actually work in practice. In 1999, California introduced changes to its clean water program that modified each of these components, and in the present work we explore the impact of these changes using a mixed-methods approach. While the state’s introduction of $3,000 mandatory minimum penalties for certain Clean Water Act effluent and reporting violations by permitted wastewater facilities reflected a significant step-up in enforcement, the policy also allowed small communities with financial hardship to redirect penalties toward investments in compliance. Our results suggest that the increase in sanctions was associated with decreases in violations with relatively low compliance costs (such as reporting violations), but that there may be considerable mismatch between the scale of penalties and compliance costs for keeping many types of pollutants within regulatory limits, and an underappreciation of critical factors like political pressure that are uncaptured by classical theory. We also find suggestive evidence that penalty conversions reduced pollution limit violations, and highlight tensions between their eligibility criteria and environmental justice. Our case study highlights how policy design and implementation fidelity — how closely a policy is carried out as originally intended — shape regulatory effectiveness and equity, with lessons for regulators and researchers across policy domains.

Suggested Citation

  • Ryan J Treves & Qiwei Lin & Margaret Hilderbran & Derek Ouyang & Kit T Rodolfa & Erin Mustain & Daniel E Ho, 2025. "Do mandatory minimum penalties and penalty relief work? Evidence from California’s clean water program," PLOS Water, Public Library of Science, vol. 4(7), pages 1-26, July.
  • Handle: RePEc:plo:pwat00:0000326
    DOI: 10.1371/journal.pwat.0000326
    as

    Download full text from publisher

    File URL: https://journals.plos.org/water/article?id=10.1371/journal.pwat.0000326
    Download Restriction: no

    File URL: https://journals.plos.org/water/article/file?id=10.1371/journal.pwat.0000326&type=printable
    Download Restriction: no

    File URL: https://libkey.io/10.1371/journal.pwat.0000326?utm_source=ideas
    LibKey link: if access is restricted and if your library uses this service, LibKey will redirect you to where you can use your library subscription to access this item
    ---><---

    More about this item

    Statistics

    Access and download statistics

    Corrections

    All material on this site has been provided by the respective publishers and authors. You can help correct errors and omissions. When requesting a correction, please mention this item's handle: RePEc:plo:pwat00:0000326. See general information about how to correct material in RePEc.

    If you have authored this item and are not yet registered with RePEc, we encourage you to do it here. This allows to link your profile to this item. It also allows you to accept potential citations to this item that we are uncertain about.

    We have no bibliographic references for this item. You can help adding them by using this form .

    If you know of missing items citing this one, you can help us creating those links by adding the relevant references in the same way as above, for each refering item. If you are a registered author of this item, you may also want to check the "citations" tab in your RePEc Author Service profile, as there may be some citations waiting for confirmation.

    For technical questions regarding this item, or to correct its authors, title, abstract, bibliographic or download information, contact: water (email available below). General contact details of provider: https://journals.plos.org/water .

    Please note that corrections may take a couple of weeks to filter through the various RePEc services.

    IDEAS is a RePEc service. RePEc uses bibliographic data supplied by the respective publishers.