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1 Asbestos NESHAP Inspection and Safety Procedures Course Chapter 5 Enforcement Strategy Version 2012.1.

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Presentation on theme: "1 Asbestos NESHAP Inspection and Safety Procedures Course Chapter 5 Enforcement Strategy Version 2012.1."— Presentation transcript:

1 1 Asbestos NESHAP Inspection and Safety Procedures Course Chapter 5 Enforcement Strategy Version 2012.1

2 2 Enforcement Strategy Topics History Strategy components Additional information

3 3 Enforcement Strategy History First issued on April 5, 1984 Why the focus on demolitions and renovations? Greatest risks to public health Largest number of sources Poorest compliance status Inspections much more complex

4 4 Enforcement Strategy Objectives Establish asbestos enforcement as a high priority Ensure effective and uniform enforcement by EPA regions by delegated states Establish a strong enforcement presence to deter noncompliance

5 5 Inspector General Audit Background Conducted October 1985 to November 1987 Targeted regional, state, and local programs

6 6 Inspector General Audit Purposes Was sufficient priority being given to the asbestos NESHAP program? Were adequate and proper inspections being conducted? Were the inspection strategies effective? Were proper enforcement actions being taken?

7 7 Inspector General Audit Purposes (cont.) Would the enforcement program deter future violations? Was proper safety equipment being used? Were inspectors being adequately trained? Were accurate records of compliance and enforcement data being maintained? Was the data accurate in the Strategic Planning and Management System (SPMS) for demolition/renovation sites?

8 8 Inspector General Audit Results Many weaknesses were identified Revised enforcement strategy published March 31, 1988

9 9 Asbestos NESHAP Revisions November 1990 Modified notification requirements for demolitions and renovations Added recordkeeping and reporting requirements for waste disposal Clarified the intent of the regulation Incorporated previous enforcement policy determinations and interpretations

10 10 Implementation Strategy for Revised Asbestos NESHAP Published in February 1991 as a new addendum to the enforcement strategy Designed to assist EPA regional offices and states in implementing the revised NESHAP regulation Focused primarily on requirements for waste disposal

11 11 Implementation Strategy Topics Outreach Contractor training Inspector training Inspections and targeting Program alternatives Federal enforcement options Assessing penalties Regional oversight Cross program coordination

12 12 Outreach Approach Purpose – to increase public awareness Approach national and local press releases distribution of informational pamphlets to: removal contractors building owner and manager associations state and local air pollution agencies environmental associations

13 13 Outreach Approach (cont.) Distribution of waste disposal requirements to: waste haulers waste site operators solid waste associations Onsite educational efforts Cooperative arrangements with building inspection departments Informational mailings to previous asbestos NESHAP violators

14 14 Outreach Approach (cont.) Distribution of available asbestos courses Offering of seminars and workshops Creating discussion forums with: school district administrators architects lenders real estate groups insurance agency representatives Appearing on talk shows to discuss the hazards of asbestos

15 15 Contractor Training Required after November 1991 Intended to educate contractors on the asbestos NESHAP requirements Many states have established training/certification programs for removal States encouraged to extend AHERA certification requirements to all demolition and renovation contractors

16 16 Inspector Training Asbestos NESHAP inspectors should receive training on: inspection procedures safety NESHAP requirements other pertinent regulations Attending certification and accreditation courses helps inspectors better understand contractor requirements and field experiences

17 17 Training Provider Information Inspectors can find up-to-date information on training providers from: the National Directory of AHERA Accredited Courses (NDAAC) EPA’s asbestos publication web site:

18 18 Inspection Purposes Documentation of on-site conditions Collection of evidence to assess compliance status Establishment of basis for enforcement action when violations are identified

19 19 Basic Inspection Requirements An inquisitive mind Good documentation skills Inspection materials and equipment checklist or inspection form field log or notebook camera sampling devices and containers Safety equipment

20 20 Inspection Techniques Examination of work area Observation of work practices during active operations Photographs Collection of samples Inactive sites – photos and samples

21 21 Inspection Targeting Strategically identifies notifications with highest likelihood of violations and which contractors to target for inspections Inspection priority should be given to: past violators sites and entities that are the subject of citizen complaints demolitions and renovations for which no notification was received

22 22 Inspection Targeting (cont.) Other information that can assist as a targeting approach is developed building permits waste disposal site records other contractors and agencies various publications

23 23 Program Alternatives May be necessary when delegated agencies cannot maintain a high level of inspections due to funding limitations Examples adoption of fee-based statewide contractor certification program assessment of fees for each removal operation Agencies must, at a minimum, have a “sufficiently stringent” penalty policy

24 24 Federal Enforcement Options Section 113(a)(3) Compliance and penalty orders may be issued Civil and criminal action may be sought Section 303 Judicial action EPA orders Section 306 recalcitrant contractor listing

25 25 Requirements for Orders Cite the regulations alleged to have been violated Describe the nature of the alleged violations Establish a reasonable schedule for compliance Present assessed penalty amount, if APO Offer a conference with EPA

26 26 Civil Judicial Enforcement Purposes Restrain continued activities Eliminate violations/seek immediate compliance Assess and collect penalties

27 27 Criminal Penalties Fines Vary based on the nature of the violations Up to $1 million for corporations Incarceration 1-5 years for lesser violations Up to 15 years in the most severe cases

28 28 Civil Penalty Assessment Assessed in APOs Maximum $37,500 per day per violation Maximum $295,000 in a single APO Covers only violations in past 12 months Penalty amounts subject to change every four years based on CPI changes

29 29 Penalty Assessment Criteria Business size Economic impact of penalty Compliance history Good faith efforts Previous penalty assessments Economic benefit of noncompliance Gravity of violations

30 30 Clean Air Act Stationary Source Civil Penalty Policy Provides guidance on penalties in pre-trial settlement negotiations APO penalties Civil judicial penalties Penalty assessment factors Gravity and good faith Economic benefit

31 31 Asbestos Demolition and Renovation Civil Penalty Policy Addresses asbestos program penalties – notice, work practices, emissions, other Provides guidance for determining penalty components Gravity Economic benefit

32 32 Section 303 Enforcement Options Imminent and substantial endangerment Absence of, or inadequate, local/state action Restrains responsible party Is filed in nearest federal district court Can be supplemented by EPA Administrator order Reasons for action must be sound and capable of withstanding court challenge

33 33 Section 306 Federal Procurement Contractor Listing Prohibits issuance of federal contracts, loans, and grants to criminal violators Mandatory listing for contractors convicted of criminal violations Discretionary listing for contractors with continuing or recurrent history of violations

34 34 Regional Oversight Regional oversight benefits provides hands-on review of agency inspection procedures helps determine capability to conduct acceptable compliance inspection and reviews Oversight of undelegated programs usually has priority over delegated programs Joint inspections are a part of this oversight and may involve EPA, states, and locals

35 35 Regional Oversight (cont.) Regions should develop written minimum inspection program requirements Inspection criteria Targeting systems Regions should provide written assessments of oversight reports prepared after conducting agency oversight reviews

36 36 Cross-Program Coordination NESHAP, TSCA, OSHA enforcement coordination Coordination benefits: Information collection and sharing Consolidated compliance assistance efforts Unified enforcement activities More informed staff on all facets of contractor requirements

37 37 Additional Information The 1991 Implementation Strategy also addresses: requirements for waste disposal site inspections requirements for recordkeeping reviews at waste disposal sites and contractor offices identification of waste handling, recordkeeping, and reporting violations information regarding important federal applicability and policy determinations

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