compliance monitoring and inspections or, how to run an effective program through an adequate field...

COMPLIANCE COMPLIANCE MONITORING and MONITORING and

INSPECTIONSINSPECTIONS

Or, how to run an effective Or, how to run an effective program through an program through an

adequate field presenceadequate field presence

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Definition of Compliance Definition of Compliance MonitoringMonitoring

Compliance monitoring occurs at the Federal and state levels. Activities include:

1. conducting compliance inspections and investigations,

2. record reviews, 3. targeting,4. oversight, 5. review of delegated state and tribal

compliance assurance and enforcement programs, and

6. responding to citizen complaints.

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Definition of Compliance Definition of Compliance Monitoring (continued)Monitoring (continued)

Core compliance monitoring program: all regulatory agency activities to determine whether an individual facility or a group of facilities are in compliance

Compliance determinations are saved using various methods (e.g., databases, inspection reports)

Compliance monitoring activities occur before and at the point when either compliance or an actual violation is determined.

Review and oversight of authorized state and tribal compliance assurance and enforcement programs continues throughout the year.

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Compliance Monitoring Compliance Monitoring (continued)(continued)

Examples of specific activities (not a Examples of specific activities (not a comprehensive list):comprehensive list):

Conduct training to meet requirements for inspectors and other personnel that conduct inspections and evaluations

Create a viable field presence and deterrent by conducting compliance inspections, surveillance, and civil investigations for media programs in both authorized and non-authorized programs

Perform compliance data collection, reporting, analysis, evaluation, and management

Identify, track, and coordinate with state, tribal, and local environmental agencies on Significant Non-Compliers and High Priority Violators

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Compliance Monitoring Compliance Monitoring Inspections/EvaluationsInspections/Evaluations

Key role in protecting human health and Key role in protecting human health and the environmentthe environment

Field presence serves as a deterrent and Field presence serves as a deterrent and ensures compliance ensures compliance

~20,000/YEAR conducted by EPA~20,000/YEAR conducted by EPA

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Inspector Functions Inspector Functions

Monitor compliance with environmental laws, Monitor compliance with environmental laws, consent decrees, and enforcement ordersconsent decrees, and enforcement orders

Document violations to support enforcement Document violations to support enforcement actionsactions

Respond to citizen complaintsRespond to citizen complaints

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Inspector Functions (continued)Inspector Functions (continued)

Assess integrity of facility self-monitoring dataAssess integrity of facility self-monitoring data Respond to oil spills and situations involving Respond to oil spills and situations involving

imminent and substantial endangerment to imminent and substantial endangerment to human health and the environment, e.g., human health and the environment, e.g., disasters such as hurricanes, earthquakes, disasters such as hurricanes, earthquakes, BhopalBhopal

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Inspector Functions (continued)Inspector Functions (continued)

Assist with training state, local, and tribal officialsAssist with training state, local, and tribal officials Oversee authorized state and tribal compliance programsOversee authorized state and tribal compliance programs Monitor chemical imports at the border (Homeland Monitor chemical imports at the border (Homeland

Security)Security) Provide appropriate compliance assistance during Provide appropriate compliance assistance during

inspections and evaluationsinspections and evaluations

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InspectorsInspectors

EPA has both civil inspectors and EPA has both civil inspectors and criminal investigators that receive criminal investigators that receive different trainingdifferent training

Criminal investigators are law Criminal investigators are law enforcement officers, carry guns enforcement officers, carry guns

Discussion focuses mostly on EPA’S Discussion focuses mostly on EPA’S civil inspectorscivil inspectors

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InspectionsInspections About 20,000 per yearAbout 20,000 per year

1.1. Underground Injection ~6800Underground Injection ~68002.2. Air Stationary Source ~2300Air Stationary Source ~23003.3. Water Dischargers ~2100Water Dischargers ~21004.4. Hazardous waste ~1600Hazardous waste ~16005.5. Underground Tanks ~1600Underground Tanks ~16006.6. Oil Facilities ~1000Oil Facilities ~1000

Routine or for causeRoutine or for cause Civil or criminal Civil or criminal Focused on one statute or multi-mediaFocused on one statute or multi-media Announced or unannouncedAnnounced or unannounced

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Ensure Level Playing Field Ensure Level Playing Field and Uniform EPA and Uniform EPA

Inspections Inspections EPA Orders establish minimum EPA Orders establish minimum

training requirements training requirements Develop inspection manualsDevelop inspection manuals Establish national policies, compliance Establish national policies, compliance

strategies, and guidance documentsstrategies, and guidance documents Deliver National Inspector Workshops Deliver National Inspector Workshops

and other appropriate media-specific and other appropriate media-specific coursescourses

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How does Self-Monitoring and How does Self-Monitoring and Self-Regulation Operate? Self-Regulation Operate?

Some EPA statutes, regulations, and permits require Some EPA statutes, regulations, and permits require facilities to self-monitor and report facilities to self-monitor and report

Provides information on facility compliance for publicProvides information on facility compliance for public Shifts burden from government to industryShifts burden from government to industry Potentially can result in criminal sanctions for Potentially can result in criminal sanctions for

falsifying information, lying falsifying information, lying Compliance may be determined by evaluating Compliance may be determined by evaluating

submitted reports submitted reports Different media, e.g., air, water, have different Different media, e.g., air, water, have different

monitoring requirementsmonitoring requirements On-site inspections, evaluations and investigations On-site inspections, evaluations and investigations

ensure the quality of the reported dataensure the quality of the reported data

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Is it Effective in Ensuring Is it Effective in Ensuring Voluntary Compliance?Voluntary Compliance?

Data and academic studies demonstrate Data and academic studies demonstrate that self-monitoring achieves a level of that self-monitoring achieves a level of voluntary compliancevoluntary compliance

Facilities become aware of requirements Facilities become aware of requirements and can take actions to achieve and/or and can take actions to achieve and/or improve complianceimprove compliance

Information on facility compliance can put Information on facility compliance can put pressure on facilities to achieve or pressure on facilities to achieve or improve complianceimprove compliance

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Examples of Self-Examples of Self-MonitoringMonitoring

CWA – Discharge Monitoring CWA – Discharge Monitoring Reports Reports

CAA – Title V certification, excess CAA – Title V certification, excess emission reportsemission reports

RCRA – Ground water monitoringRCRA – Ground water monitoring SDWA – Quarterly/Annual reporting SDWA – Quarterly/Annual reporting

on status of drinking water systemson status of drinking water systems

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What is Relationship What is Relationship Between EPA and Between EPA and State/Local/Tribal State/Local/Tribal

Agencies?Agencies? Close coordination on joint planning of Close coordination on joint planning of inspections and evaluationsinspections and evaluations

Critical Inspection Role – states conduct about Critical Inspection Role – states conduct about 140,000 inspections 140,000 inspections

State/local/tribe may have:State/local/tribe may have:

1.1. independentindependent authority to operate a compliance authority to operate a compliance and enforcement program and enforcement program

2.2. authorized or delegatedauthorized or delegated authority to implement authority to implement Federal programFederal program

3.3. authorized to conduct inspections/evaluationsauthorized to conduct inspections/evaluations on behalf of EPAon behalf of EPA using EPA credentials -- using EPA credentials -- States submit inspection reports to EPA for States submit inspection reports to EPA for actionaction

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What Kind of Delegation of What Kind of Delegation of Powers do the EPA Regional Powers do the EPA Regional

Offices Have?Offices Have? Regions have autonomy to Regions have autonomy to

implement regional compliance and implement regional compliance and enforcement programs enforcement programs

EPA Headquarters establishes EPA Headquarters establishes national priorities and national national priorities and national policiespolicies

Regions are expected to adhere to Regions are expected to adhere to and implement priorities and and implement priorities and policiespolicies

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TargetingTargeting

Not possible to provide on-site Not possible to provide on-site inspection/evaluation coverage of 100% inspection/evaluation coverage of 100% of the regulated community (~5 million of the regulated community (~5 million facilities)facilities)

Field presence deters and detects Field presence deters and detects violationsviolations

Deciding how to target is an important Deciding how to target is an important activity activity

EPA provides tools to help regions and EPA provides tools to help regions and state/local/tribes state/local/tribes

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Targeting CriteriaTargeting Criteria

Risk based (toxicity, exposure, pounds of Risk based (toxicity, exposure, pounds of pollutant)pollutant)

Designed to ensure coverage of the regulated Designed to ensure coverage of the regulated communitycommunity

Focused on addressing high rates of non-Focused on addressing high rates of non-compliance in a specific industry or industrial compliance in a specific industry or industrial processprocess

Respond to public complaintsRespond to public complaints Follow-up to ambient monitoring or remote Follow-up to ambient monitoring or remote

sensing data sensing data Follow-up to previous enforcement orderFollow-up to previous enforcement order

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Citizen RoleCitizen Role Citizen involvement in monitoring compliance is Citizen involvement in monitoring compliance is

increasingincreasing Citizens can report violations using the EPA Citizens can report violations using the EPA

homepagehomepage Icons are posted at the top of the EPA homepage Icons are posted at the top of the EPA homepage

at www.epa.govat www.epa.gov

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Program Specific Program Specific HighlightsHighlights

Clean Water Act Program Clean Water Act Program

Clean Air Act ProgramClean Air Act Program

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Clean Water Act ProgramClean Water Act ProgramSelf-monitoringSelf-monitoring Regulations at Regulations at 40 CFR 122.22 40 CFR 122.22 require require

dischargers to conduct continuous dischargers to conduct continuous monitoring or effluent and submit a monitoring or effluent and submit a monthly Discharge Monitoring Report monthly Discharge Monitoring Report (DMR) to EPA or the authorized state(DMR) to EPA or the authorized state

Report quantity and quality of discharges Report quantity and quality of discharges relative to levels specified by pollutant in relative to levels specified by pollutant in the NPDES or State facility permitthe NPDES or State facility permit

EPA/State monitoring: EPA and the states EPA/State monitoring: EPA and the states monitor the effluent discharges to verify monitor the effluent discharges to verify compliance with the permitcompliance with the permit

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CWA StrategyCWA Strategy

Current Compliance Current Compliance Monitoring Strategy Monitoring Strategy

Combines an inspection frequency Combines an inspection frequency requirement (2 to 5 years) with an requirement (2 to 5 years) with an optional computer-based targeting optional computer-based targeting tool tool

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CWA NPDES Compliance CWA NPDES Compliance Monitoring Strategy Monitoring Strategy

DevelopmentDevelopment Employed a joint EPA and state planning Employed a joint EPA and state planning

process – especially important given that process – especially important given that resource trade-offs are necessaryresource trade-offs are necessary

Develop an approach:Develop an approach: that integrates data from PCS, ICIS-NPDES, that integrates data from PCS, ICIS-NPDES,

AskWATERS, and other data systemsAskWATERS, and other data systems distinguishes between facilities that are in distinguishes between facilities that are in

compliance from those with records compliance from those with records indicating non-compliance, particularly for indicating non-compliance, particularly for effluent violations that may contribute to effluent violations that may contribute to water quality impairmentwater quality impairment

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Clean Air Act ProgramClean Air Act Program All environmental requirements incorporated in Title V permitAll environmental requirements incorporated in Title V permit

Industry required to: Industry required to: Self-monitor continuous compliance with regulatory Self-monitor continuous compliance with regulatory

requirements. Generally monitor control device operating requirements. Generally monitor control device operating parameters or work practice requirements. Few require parameters or work practice requirements. Few require direct emission monitoringdirect emission monitoring

Maintain compliance records and submit reports to EPA Maintain compliance records and submit reports to EPA and/or delegated states/localsand/or delegated states/locals

Certify compliance annually with Title V permitCertify compliance annually with Title V permit

EPA/states/locals conduct evaluations and review self-EPA/states/locals conduct evaluations and review self-monitoring reports to evaluate compliancemonitoring reports to evaluate compliance EPA provides technical tools and training, a well as EPA provides technical tools and training, a well as

targeting tools (e.g., MACT Prioritization Tool)targeting tools (e.g., MACT Prioritization Tool)

EPA reviews information from outside sources to investigate EPA reviews information from outside sources to investigate industry practices and assess compliance with regulatory industry practices and assess compliance with regulatory requirementsrequirements

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CAA Compliance CAA Compliance Monitoring StrategyMonitoring Strategy

National guidance for delegated National guidance for delegated states/locals on:states/locals on: Nationally consistent definitionsNationally consistent definitions Recommended evaluation frequenciesRecommended evaluation frequencies Minimum reporting requirementsMinimum reporting requirements

Negotiated with states/locals to facilitate Negotiated with states/locals to facilitate implementationimplementation

Flexibility provided to develop alternative Flexibility provided to develop alternative strategies which respond to regionally strategies which respond to regionally significant environmental problemssignificant environmental problems

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Tracking Results of Tracking Results of Inspections: Inspections:

Evaluations Using Evaluations Using the Datathe Data

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Data CollectionData Collection

EPA collects data on inspections, EPA collects data on inspections, evaluations, investigations, and evaluations, investigations, and enforcement actions takenenforcement actions taken

Necessary to measure the progress of Necessary to measure the progress of the programsthe programs

Useful to determine trends and to Useful to determine trends and to establish prioritiesestablish priorities

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Data Collection Data Collection Determine what compliance/enforcement Determine what compliance/enforcement

data is collected and howdata is collected and how

Requires inspection and evaluation Requires inspection and evaluation commitments based on national guidancecommitments based on national guidance

Monitors Regional and state/local progress Monitors Regional and state/local progress in meeting commitmentsin meeting commitments

Issues mid- and end-of-year reports to track Issues mid- and end-of-year reports to track progressprogress

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