COMPLIANCE MONITORING and INSPECTIONS Or, how to run an effective program through an adequate field presence

2 Definition of Compliance Monitoring Compliance monitoring occurs at the Federal and state levels. Activities include: conducting compliance inspections and investigations, record reviews, targeting, oversight, review of delegated state and tribal compliance assurance and enforcement programs, and responding to citizen complaints.

3 Definition of Compliance 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.

4 Compliance Monitoring (continued) Examples of specific activities (not a 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

5 Compliance Monitoring Inspections/Evaluations Key role in protecting human health and the environment Key role in protecting human health and the environment Field presence serves as a deterrent and ensures compliance Field presence serves as a deterrent and ensures compliance ~20,000/YEAR conducted by EPA ~20,000/YEAR conducted by EPA

6 Inspector Functions Monitor compliance with environmental laws, consent decrees, and enforcement orders Document violations to support enforcement actions Respond to citizen complaints

7 Inspector Functions (continued) Assess integrity of facility self-monitoring data Respond to oil spills and situations involving imminent and substantial endangerment to human health and the environment, e.g., disasters such as hurricanes, earthquakes, Bhopal

8 Inspector Functions (continued) Assist with training state, local, and tribal officials Oversee authorized state and tribal compliance programs Monitor chemical imports at the border (Homeland Security) Provide appropriate compliance assistance during inspections and evaluations

9 Inspectors EPA has both civil inspectors and criminal investigators that receive different training EPA has both civil inspectors and criminal investigators that receive different training Criminal investigators are law enforcement officers, carry guns Criminal investigators are law enforcement officers, carry guns Discussion focuses mostly on EPA’S civil inspectors Discussion focuses mostly on EPA’S civil inspectors

10 Inspections About 20,000 per year About 20,000 per year 1. Underground Injection ~ Air Stationary Source ~ Water Dischargers ~ Hazardous waste ~ Underground Tanks ~ Oil Facilities ~1000 Routine or for cause Routine or for cause Civil or criminal Civil or criminal Focused on one statute or multi-media Focused on one statute or multi-media Announced or unannounced Announced or unannounced

11 Ensure Level Playing Field and Uniform EPA Inspections EPA Orders establish minimum training requirements EPA Orders establish minimum training requirements Develop inspection manuals Develop inspection manuals Establish national policies, compliance strategies, and guidance documents Establish national policies, compliance strategies, and guidance documents Deliver National Inspector Workshops and other appropriate media-specific courses Deliver National Inspector Workshops and other appropriate media-specific courses

12 How does Self-Monitoring and Self- Regulation Operate? Some EPA statutes, regulations, and permits require facilities to self-monitor and report Some EPA statutes, regulations, and permits require facilities to self-monitor and report Provides information on facility compliance for public Provides information on facility compliance for public Shifts burden from government to industry Shifts burden from government to industry Potentially can result in criminal sanctions for falsifying information, lying Potentially can result in criminal sanctions for falsifying information, lying Compliance may be determined by evaluating submitted reports Compliance may be determined by evaluating submitted reports Different media, e.g., air, water, have different monitoring requirements Different media, e.g., air, water, have different monitoring requirements On-site inspections, evaluations and investigations ensure the quality of the reported data On-site inspections, evaluations and investigations ensure the quality of the reported data

13 Is it Effective in Ensuring Voluntary Compliance? Data and academic studies demonstrate that self- monitoring achieves a level of voluntary compliance Data and academic studies demonstrate that self- monitoring achieves a level of voluntary compliance Facilities become aware of requirements and can take actions to achieve and/or improve compliance Facilities become aware of requirements and can take actions to achieve and/or improve compliance Information on facility compliance can put pressure on facilities to achieve or improve compliance Information on facility compliance can put pressure on facilities to achieve or improve compliance

14 Examples of Self-Monitoring CWA – Discharge Monitoring Reports CWA – Discharge Monitoring Reports CAA – Title V certification, excess emission reports CAA – Title V certification, excess emission reports RCRA – Ground water monitoring RCRA – Ground water monitoring SDWA – Quarterly/Annual reporting on status of drinking water systems SDWA – Quarterly/Annual reporting on status of drinking water systems

15 What is Relationship Between EPA and State/Local/Tribal Agencies? Close coordination on joint planning of inspections and evaluations Close coordination on joint planning of inspections and evaluations Critical Inspection Role – states conduct about 140,000 inspections Critical Inspection Role – states conduct about 140,000 inspections State/local/tribe may have: State/local/tribe may have: 1. independent authority to operate a compliance and enforcement program 2. authorized or delegated authority to implement Federal program 3. authorized to conduct inspections/evaluations on behalf of EPA using EPA credentials -- States submit inspection reports to EPA for action

16 What Kind of Delegation of Powers do the EPA Regional Offices Have? Regions have autonomy to implement regional compliance and enforcement programs Regions have autonomy to implement regional compliance and enforcement programs EPA Headquarters establishes national priorities and national policies EPA Headquarters establishes national priorities and national policies Regions are expected to adhere to and implement priorities and policies Regions are expected to adhere to and implement priorities and policies

17 Targeting Not possible to provide on-site inspection/evaluation coverage of 100% of the regulated community (~5 million facilities) Not possible to provide on-site inspection/evaluation coverage of 100% of the regulated community (~5 million facilities) Field presence deters and detects violations Field presence deters and detects violations Deciding how to target is an important activity Deciding how to target is an important activity EPA provides tools to help regions and state/local/tribes EPA provides tools to help regions and state/local/tribes

18 Targeting Criteria Risk based (toxicity, exposure, pounds of pollutant) Risk based (toxicity, exposure, pounds of pollutant) Designed to ensure coverage of the regulated community Designed to ensure coverage of the regulated community Focused on addressing high rates of non-compliance in a specific industry or industrial process Focused on addressing high rates of non-compliance in a specific industry or industrial process Respond to public complaints Respond to public complaints Follow-up to ambient monitoring or remote sensing data Follow-up to ambient monitoring or remote sensing data Follow-up to previous enforcement order Follow-up to previous enforcement order

19 Citizen Role Citizen involvement in monitoring compliance is increasing Citizen involvement in monitoring compliance is increasing Citizens can report violations using the EPA homepage Citizens can report violations using the EPA homepage Icons are posted at the top of the EPA homepage at Icons are posted at the top of the EPA homepage at

20 Program Specific Highlights Clean Water Act Program Clean Water Act Program Clean Air Act Program Clean Air Act Program

21 Clean Water Act Program Self-monitoring  Regulations at 40 CFR require dischargers to conduct continuous monitoring or effluent and submit a monthly Discharge Monitoring Report (DMR) to EPA or the authorized state  Report quantity and quality of discharges relative to levels specified by pollutant in the NPDES or State facility permit  EPA/State monitoring: EPA and the states monitor the effluent discharges to verify compliance with the permit

22 CWA Strategy Current Compliance Monitoring Strategy Current Compliance Monitoring Strategy Combines an inspection frequency requirement (2 to 5 years) with an optional computer-based targeting tool Combines an inspection frequency requirement (2 to 5 years) with an optional computer-based targeting tool

23 CWA NPDES Compliance Monitoring Strategy Development Employed a joint EPA and state planning process – especially important given that resource trade-offs are necessary Employed a joint EPA and state planning process – especially important given that resource trade-offs are necessary Develop an approach: Develop an approach:  that integrates data from PCS, ICIS-NPDES, AskWATERS, and other data systems  distinguishes between facilities that are in compliance from those with records indicating non-compliance, particularly for effluent violations that may contribute to water quality impairment

24 Clean Air Act Program All environmental requirements incorporated in Title V permit All environmental requirements incorporated in Title V permit Industry required to: Industry required to:  Self-monitor continuous compliance with regulatory requirements. Generally monitor control device operating parameters or work practice requirements. Few require direct emission monitoring  Maintain compliance records and submit reports to EPA and/or delegated states/locals  Certify compliance annually with Title V permit  EPA/states/locals conduct evaluations and review self-monitoring reports to evaluate compliance  EPA provides technical tools and training, a well as targeting tools (e.g., MACT Prioritization Tool)  EPA reviews information from outside sources to investigate industry practices and assess compliance with regulatory requirements

25 CAA Compliance Monitoring Strategy National guidance for delegated states/locals on: National guidance for delegated states/locals on:  Nationally consistent definitions  Recommended evaluation frequencies  Minimum reporting requirements  Negotiated with states/locals to facilitate implementation  Flexibility provided to develop alternative strategies which respond to regionally significant environmental problems

26 Tracking Results of Inspections: Evaluations Using the Data

27 Data Collection EPA collects data on inspections, evaluations, investigations, and enforcement actions taken EPA collects data on inspections, evaluations, investigations, and enforcement actions taken Necessary to measure the progress of the programs Necessary to measure the progress of the programs Useful to determine trends and to establish priorities Useful to determine trends and to establish priorities

28 Data Collection Determine what compliance/enforcement data is collected and how Determine what compliance/enforcement data is collected and how Requires inspection and evaluation commitments based on national guidance Requires inspection and evaluation commitments based on national guidance Monitors Regional and state/local progress in meeting commitments Monitors Regional and state/local progress in meeting commitments Issues mid- and end-of-year reports to track progress Issues mid- and end-of-year reports to track progress

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