Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 11
Region 2's College & Region 2's College & University Compliance University Compliance
Initiative: Environmental Initiative: Environmental Results From An Integrated Results From An Integrated
StrategyStrategy
Leveraging Limited Resources Leveraging Limited Resources To Obtain Better ComplianceTo Obtain Better Compliance
Six Year Status Report
Academic Labs Rule
• Proposed Rule published in Federal Register– May 23, 2006
• 90 day public comment period– Originally ended August 21, 2006
• CSHEMA, C2E2, NACUBO and ACE asked for an extension of public comment period
• Public comment period extended– Ended September 20, 2006
111 Public Comments on Proposal
•66 individual colleges & universities•17 states/state groups•13 trade groups
– 8 academic - AAMC, ACS, CSHEMA, C2E2, COGR, HHMI, NACUBO/ACE, VESCO (13 VT schools)
– 5 non-academic
•6 federal government•9 other or no affiliation given
Main Points from C/U Comments• Applicability of Rule
– Expand to include CESQGs, teaching hospitals, photo labs, field labs, stockrooms
– Expand to include all HW on campus – dual regulation is too confusing• Performance-based Standards
– Proposal is too prescriptive to be truly performance-based• Clean-out Incentives
– Supportive of incentives for voluntary clean-outs– Allow CESQGs to do clean-outs without fully opting in
• Laboratory Management Plan– LMP should NOT be enforceable
• Other areas– Supportive of opt-in approach– Add consolidation area/super satellite area– Add working container– Eliminate LQG status based on 1 kg/month of acute HW– Allow one EPA ID# per campus– Allow treatment in the lab– Lab waste is MUCH more than 9% of C/U’s total HW
Main Points from State Comments• Applicability of Rule
– 5 states said to limit to C/Us only– 5 states said to expand to others with labs
• Performance-based Standards– 5 states said they are not enforceable; will lead to
inconsistent enforcement– 3 states said to add more prescriptive labeling
requirements• Clean-out Incentives
– 7 states said HW from clean-outs should be counted• LMP Enforceability
– 2 states said LMP should NOT be enforceable– 4 states said LMP should be enforceable
Main Points from Other Comments• Applicability of Rule
– Expand to include other facilities with labs• R&D labs (Government, commercial, non-profit), hospitals
– 2 said to expand to include all HW – dual regulation in “untenable”• Performance-based Standards
– Proposal is too prescriptive to be truly performance-based• Clean-out Incentives
– 4 supportive of incentives for voluntary clean-outs– 2 said clean-outs should be mandatory– 1 said HW from clean-outs should be counted
• Laboratory Management Plan– 4 said LMP should NOT be enforceable– 3 said LMP should be enforceable
• Other areas– Add consolidation area/super satellite area– Add working container– 2 said to allow treatment in the lab
If EPA Finalized as Proposed
• 2 states said they would adopt the rule
• 1 school said it would opt in
• 12 schools said they would NOT opt in
• 2 C/U trade groups said many schools are unlikely to opt in
EPA’s Next Steps
• Re-convene Agency workgroup for final rule phase
• Work toward Early Guidance with AAs• AA tasks workgroup with issues for
workgroup to focus on in final rule• Workgroup develops options and
recommendations for management• Management makes decisions regarding
final rule
Finalizing & Implementingthe Labs Rule• EPA prepares Final Rule• Final Rule is reviewed by OMB• Final rule is signed &
published in the Federal Register (Summer 2008)
• C/Us in AK, IA can implement the Labs Rule (not authorized)
• Other states get authorized for Labs Rule
• C/Us in authorized states can implement the Labs Rule
Contact Info for OSW Labs TeamKristin [email protected]
Trisha [email protected]
Jessica [email protected]
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 1111
Goals For Compliance Goals For Compliance InitiativeInitiative
• Improve environmental compliance and Improve environmental compliance and safety at main and off-site facilities.safety at main and off-site facilities.
• Change the culture to one in which Change the culture to one in which environmental compliance is a priority.environmental compliance is a priority.
• Ensure compliance of entire sector; not Ensure compliance of entire sector; not just those reached through inspections.just those reached through inspections.
• Ensure continued compliance by Ensure continued compliance by implementing permanent changes.implementing permanent changes.
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 1212
ApproachApproach• Region 2 combined the following strategies Region 2 combined the following strategies
to address compliance issues in this sector:to address compliance issues in this sector:– Compliance assistanceCompliance assistance– Compliance incentives (voluntary Compliance incentives (voluntary
audit/disclosure)audit/disclosure)– Compliance monitoringCompliance monitoring– EnforcementEnforcement– Pollution preventionPollution prevention– Environmental management systems (EMS)Environmental management systems (EMS)
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 1313
Results: Compliance Monitoring & Results: Compliance Monitoring & Incentives ProgramsIncentives Programs
Colleges & Universities
Universe375
Inspections79
Enforcement Actions62
Formal Enforcement Actions 26 ($3,815,048)
Settlements 24 ($781,305)
Audit Agreements 16
Voluntary Disclosures144 ($22,173,380 for 129
resolved)
Violations Corrected 1717
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 1414
05
10
1520
25
3035
40
4550
FY2001
FY2002
FY2003
FY2004
FY2005
FY2006
% EPAInspectionsLeading toComplaints
PE
RC
EN
T /
YE
AR
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 1515
University and College SEPsUniversity and College SEPs
• 11 settlements include SEPs11 settlements include SEPs
• Range from $26,000 to $270,000Range from $26,000 to $270,000
• Total value of SEPs = $1,810,297 Total value of SEPs = $1,810,297
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 1616
Types of SEPsTypes of SEPs– Chemical Tracking & Control SystemsChemical Tracking & Control Systems– Mini/Micro-Scale ChemistryMini/Micro-Scale Chemistry– Solvent Recovery SystemsSolvent Recovery Systems– Other Equipment/Technology Other Equipment/Technology
ModificationsModifications– Environmental Compliance PromotionsEnvironmental Compliance Promotions– Environmental Management SystemsEnvironmental Management Systems
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 1717
Results:Results:Environmental BenefitsEnvironmental Benefits
Program Environmental Benefits from Disclosures
RCRA More than 525,736 lbs/year of hazardous waste is now being managed properly because colleges have self-disclosed violations and corrected mismanagement.
SPCC At least 984,650 gallons of oil are now being managed properly.
TSCA At least 206 residential units now in compliance with lead-based paint rules.
CAA At least 6,100 pounds of chlorofluorocarbons now being appropriately managed.
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 1818
Root Causes Of Root Causes Of NoncomplianceNoncomplianceSystemic violations appear to stem from:Systemic violations appear to stem from:• Inadequate resources for people, Inadequate resources for people,
equipment and training to carry out equipment and training to carry out environmental activities;environmental activities;
• Limited or no environmental compliance Limited or no environmental compliance accountability for individual accountability for individual departments, laboratories, and staff;departments, laboratories, and staff;
• Limited authority vested in Limited authority vested in environmental compliance officials;environmental compliance officials;
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 1919
Root Causes Of Root Causes Of NoncomplianceNoncompliance• No clear environmental compliance chain-No clear environmental compliance chain-
of-command;of-command;• Scattered, incomplete, and missing Scattered, incomplete, and missing
environmental compliance environmental compliance documentation;documentation;
• Incomplete institutional knowledge Incomplete institutional knowledge regarding environmental regulatory regarding environmental regulatory requirements; andrequirements; and
• Broad use of hazardous materials when Broad use of hazardous materials when effective substitutes existeffective substitutes exist
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 2020
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 2121
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 2222
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 2323
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 2424
College & University ViolationsCollege & University Violations20072007
Breakout of Violations from C/U Disclosures
SDWA Violations4%
EPCRA Violations2%
CAA Violations22%
CWA Violations4%
TSCA Violations1%
RCRA Violations67%
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 2525
College & University RCRA College & University RCRA Violations - 2007Violations - 2007
Breakout of RCRA Violations from C/U Disclosures
Accumulation Time2%
Manifest 6%
ID of HW 26%
Generator Requirements1%
UST 2%
Container Management39%
Universal Waste16%
General Facility Standards7%
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 2626
College & University CAA College & University CAA Violations 2007Violations 2007
Breakout of CAA Violations from C/U Disclosures
SIP (including MACT, NESHAPS,
& Title V) 56%
CFCs 37%
Asbestos 7%
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 2727
Survey OverviewSurvey Overview
• 61 colleges61 colleges completed and returned the completed and returned the audit survey audit survey
• 18,345 faculty are reported to be working 18,345 faculty are reported to be working at these facilitiesat these facilities
• 25,922 staff are reported to be working at 25,922 staff are reported to be working at these facilitiesthese facilities
• 399,498 students are reported to attend 399,498 students are reported to attend these facilitiesthese facilities
• 2191 facilities are reported to compose 2191 facilities are reported to compose these 61 collegesthese 61 colleges
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 2828
What best describes your status with the Audit Initiative?
4%16%
60%
20%
No, did notparticipate in AuditPolicy
Yes, audited withoutcommunicating withEPA
Yes, signed an AuditAgreement with EPARegion 2
Yes, voluntarily self-disclosedcompliance issues
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 2929
Understanding Of Waste Understanding Of Waste Management Regulations Management Regulations Before And After Before And After Compliance Initiative (42% - 97%)Compliance Initiative (42% - 97%)
Before
High42%
None2%
Some56%
After
Some3%
High97%
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 3030
Understanding Of Above Understanding Of Above Ground Storage Tank Ground Storage Tank Regulations Before And After Regulations Before And After Compliance Initiative (46 - Compliance Initiative (46 - 91%)91%)
Before
High46%
None4%
Some50%
After
High91%
Some9%
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 3131
Understanding Of Under Understanding Of Under Ground Storage Tank Ground Storage Tank Regulations Before And After Regulations Before And After Compliance Initiative (51% - Compliance Initiative (51% - 90%)90%)
Before
High51%
Some47%
None2%
After
High90%
Some8%
None2%
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 3232
Understanding Of Clean Air Act Understanding Of Clean Air Act Regulations Regulations Before And AfterBefore And AfterCompliance Initiative (34% - Compliance Initiative (34% - 83%)83%)
Before
High34%
None5%
Some61%
After
High83%
Some17%
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 3333
Understanding Of Wastewater Understanding Of Wastewater Discharge Regulations Discharge Regulations Before And After Before And After Compliance Initiative (44% - Compliance Initiative (44% - 74%)74%)
Before
High44%
None14%
Some42%
After
High74%
Some26%
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 3434
Understanding Of Spill Understanding Of Spill Prevention Control Prevention Control Countermeasure Plans Countermeasure Plans Before And AfterBefore And AfterCompliance Initiative (33% - Compliance Initiative (33% - 87%)87%)
Before
High33%
None18%
Some49%
After
High87%
Some13%
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 3535
Understanding Of Toxic Understanding Of Toxic Substances Control Act Substances Control Act Before And AfterBefore And AfterCompliance Initiative (43% - Compliance Initiative (43% - 75)75)
Before
High43%
None3%
Some54%
After
High75%
Some25%
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 3636
Understanding Of Pesticide Understanding Of Pesticide Regulations Before And AfterRegulations Before And AfterCompliance Initiative (49% - Compliance Initiative (49% - 79%)79%)
Before
High49%
None7%
Some44%
After
High79%
None2%
Some19%
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 3737
What types of changes has your College/University made as a result of the Compliance Initiative?
12%
13%
8%
13%13%
12%
8%
8%5%
8%
Changed record keeping
Im proved hazardous was telabeling, m anifes ting
Subm itted new or revised perm itapplications , letters , form s toEPAAdditional training ofem ployees /s taff
Changed the s torage or handlingof a was te
Changed a process or practice
Changed facility operations orm aintenance
Changed m onitoring, sam pling,tes ting procedures
Cons idered EMS
Im plem ented m aterial or was terecycling sys tem
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 3838
What types of changes does your College/University intend to make as a result of the Compliance
Initiative?
8%
7%6%10%8%
15%
4%
6%
6%
30%
Changed record keeping
Improved hazardous waste labeling,manifesting
Submitted new or revised permitapplications, letters, forms to EPA
Additional training of employees/staff
Changed the storage or handling of awaste
Changed a process or practice
Changed facility operations ormaintenance
Changed monitoring, sampling,testing procedures
Considered EMS
Implemented material or wasterecycling system
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 3939
Top $$ Saving ActivitiesTop $$ Saving ActivitiesRMW management/segregationRMW management/segregation $350,000$350,000
Upgrade surface coating spray Upgrade surface coating spray painting operationspainting operations
$35,000$35,000
Retrofit heating plant to allow Retrofit heating plant to allow summer shutdownsummer shutdown
$30,000$30,000
Reduction in disposal, storage, & Reduction in disposal, storage, & management costs by reducing on-management costs by reducing on-hand chemical storagehand chemical storage
$10,000$10,000
Consolidation of photo processing Consolidation of photo processing operationsoperations
$10,000$10,000
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 4040
Top $$ Saving ActivitiesTop $$ Saving ActivitiesRetrofit library air system with Retrofit library air system with variable speed drivesvariable speed drives
$6,500$6,500
Computerized chemical inventory – Computerized chemical inventory – avoided unnecessary purchasesavoided unnecessary purchases
$5,000$5,000
Used rag service to launder oily Used rag service to launder oily ragsrags
$3,000$3,000
Installed silver recovery systemInstalled silver recovery system $1,750$1,750
Installed high-efficiency motors, up-Installed high-efficiency motors, up-graded light fixtures to t-8’s, and graded light fixtures to t-8’s, and new electronic ballastsnew electronic ballasts
$1,400$1,400
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 4141
Top Five Pollutant ReductionsTop Five Pollutant ReductionsRMW SegregationRMW Segregation 475 tons475 tons
Upgrade surface coating spray Upgrade surface coating spray painting operations – reduce HWpainting operations – reduce HW
5.2 tons5.2 tons
Used rag service to launder oily Used rag service to launder oily ragsrags
10,000 lbs10,000 lbs
Upgrade printmaking screen Upgrade printmaking screen washing process – also reduced 800 washing process – also reduced 800 lbs VOCs & HAPs/yrlbs VOCs & HAPs/yr
5,000 lbs 5,000 lbs corrosive corrosive oxidesoxides
Implement solvent recyclingImplement solvent recycling 40% 40% reductionreduction
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 4242
Five Simple Waste Five Simple Waste Reduction ActivitiesReduction Activities• Install automatic light sensorsInstall automatic light sensors• Install water saver plumbing fixtures Install water saver plumbing fixtures • Send kitchen grease to a reclamation Send kitchen grease to a reclamation
facilityfacility• Switch from disposable to reusable plates, Switch from disposable to reusable plates,
eating utensils, and cups for cafeteria eating utensils, and cups for cafeteria servicesservices
• Reduce the use of disposable cleaning Reduce the use of disposable cleaning materialsmaterials
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 4343
Did you encounter roadblocks with the cost of compliance?
Definite roadblocks
14%
No roadblocks
36%
Some issues, but no major
issues50%
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 4444
Did you encounter roadblocks encountered with lack of
knowledge of regulations?Definite
roadblocks10%
No roadblocks
37%
Some issues, but no major issues53%
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 4545
Did you encounter roadblocks with overall time and
commitment?
Definite roadblocks
22%
No roadblcoks
33%
Some issues, but not major
45%
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 4646
How much time was required to complete the correction of all
areas of non-compliance?
More than 120 days,
36%
More than 60 days but
less than 120 days,
29%
Within 60 days, 35%
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 4747
Did you encounter roadblocks with cooperation of
faculty/staff/students?
Definite roadblocks
13%
No roadblocks
33%
Some issues, but not major
54%
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 4848
What influenced you to participate in an Audit Agreement
or self-disclosure?
Penalty reductions
21%
Avoid enforcemen
t action44%
Moral responsibili
ty26% SUNY
agreement9%
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 4949
Reported College & University Reported College & University Audit CostsAudit Costs
• Average cost of audit is $44,012Average cost of audit is $44,012
• Average cost of audit without 5 most Average cost of audit without 5 most expensive (>$100,000) is $13,331expensive (>$100,000) is $13,331
• Average cost of compliance is $124,788Average cost of compliance is $124,788
• Average cost of compliance without 7 Average cost of compliance without 7 most expensive (>$100,000) is $23,047most expensive (>$100,000) is $23,047
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 5050
Does your institution have a formal Environmental
Management System (EMS)?
No73%
Yes27%
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 5151
If an EMS is not in place, are you considering adopting an EMS?
Not planned9%
Planned23%
Under consideration
68%
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 5252
If an EMS is not in place, what are the roadblocks?
Time7%Other
17%
Insufficient technical resources
32%
Lack of managemen
t support7%
Cost consideratio
n43%
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 5353
Did the Compliance Initiative/self-audit play a role in the decision to implement an EMS or modify an existing
EMS?No
20%
Yes80%
Region 2 College & University Region 2 College & University Compliance InitiativeCompliance Initiative 5454
Goals For Compliance Goals For Compliance InitiativeInitiativeImprove environmental compliance and Improve environmental compliance and
safety at main and off-site facilities.safety at main and off-site facilities.Change the culture to one in which Change the culture to one in which
environmental compliance is a priority.environmental compliance is a priority.Ensure compliance of entire sector; not Ensure compliance of entire sector; not
just those reached through inspections.just those reached through inspections.Ensure continued compliance by Ensure continued compliance by
implementing permanent changes.implementing permanent changes.