Compliance Assistance Program at the US Environmental Protection Agency

1
Compliance Assistance Program at the US
Environmental Protection Agency
Presentation at The Regulatory Craft in Nova
Scotia 2007 November 20, 2007

• Michael M. Stahl
• Director, Office of Compliance
• U.S. EPA

2
Presentation Outline

• Enforcement and compliance program overview
• Role and benefits of compliance assistance
• Examples of EPAs compliance assistance tools
• Measuring results of assistance
• Integrating assistance with other tools
• Lessons learned

3
EPA Enforcement and Compliance Program

• Compliance Assistance is one tool used to
  address environmental problems. The other tools
  are
• Compliance monitoring (e.g., inspections)
• Compliance Incentives
• Enforcement
• Often used together as part of integrated
  strategies or approaches to solving problems

4
Compliance Assistance - Definition

• Activities, tools or technical assistance which
  provide clear and consistent information for
• The regulated community to help them
  understand, meet obligations under environmental
  regulations
• Compliance assistance providers - state and
  local governments, trade associations, nonprofits
  - to aid the regulated community in complying
  with environmental regulations
• Includes web sites, plain-language guides, fact
  sheets, onsite visits, training etc.

5
Compliance Assistance Providers

• EPA partners with other providers of assistance,
  including
• State and Tribal governments
• Local governments
• Trade associations
• Nonprofit organizations
• Academia
• EPA works with these organizations to
• Develop and deliver assistance resources
• Maintain a repository of information on
  assistance resources
• Consistently measure results of assistance

6
Benefits of Compliance Assistance

• Prevents violations from occurring
• Simplifies compliance requirements for regulated
  facilities and companies
• Aimed at small and medium-sized businesses
• Reaches large audiences (as compared with
  case-by-case approach of enforcement)

7
CA Activities Entities Reached
8
CA Tools - Examples

• Industry Sector Notebooks
• - Profiles on 36 specific industries and
  governments that describe processes and
  applicable regulations.
• http//epa.gov/compliance/sectornotebooks.html
• Environmental Audit Protocols
• - Assists the regulated community in
  developing programs at individual facilities to
  evaluate their compliance with environmental
  requirements under federal law.
• - provide detailed regulatory checklists that
  you can be customized to meet specific needs.
• - http//www.epa.gov/compliance/incentives/aud
  iting/protocol.html
• Managing Your Environmental Responsibilities A
  Guide for the Construction Industry
• - Information on environmental requirements
  for the construction and development industries
  with a checklist to help assign environmental
  responsibilities. http//ww.epa.gov/complian
  ce/resources/publications/assistance/sectors/const
  ructmyer/index.html

9
Compliance Assistance Centers

• Fifteen web-based, sector-specific compliance
  assistance centers
• First-stop information source for industry sector
  
• Identifies the federal environmental regulations
  that apply to them
• Provides guidance on how to comply with
  regulations
• Identifies pollution prevention approaches that
  can save them money
• Since 1998, the Centers have had over 8 million
  user sessions through the end of FY2006.

www.assistancecenters.net
10
Compliance Assistance Centers
www.assistancecenters.net
Manufacturing Metal Finishing Agriculture
Printed Wiring Board Construction Chemical
Manufacturing Government Local
Government Federal Facilities Tribal

• Services
• Automotive Service and Repair
• Automotive Recycling
• Health Care
• Paints and Coatings
• Printing
• Transportation
• Border Center
• Education Sector (pending)

11
Virtual Tours
12
On-Line Tools
13
Border CA Center
14
National Compliance Assistance Clearinghouse

• Web-based tool for assistance providers to share
  information on their projects
• Find assistance information quickly
• Share latest assistance tools
• Learn what others are working on
• Share success stories with other providers
• Tell EPA what assistance tools are needed
• Share information to boost providers web content

www.epa.gov/clearinghouse
15
Outcomes of FY2006 Direct Compliance Assistance
Activities

• In FY2006, EPA provided direct CA (workshops,
  trainings, onsite visits, response to public
  inquires, etc.) to over 74,000 regulated
  entities.
• Outcome results from direct assistance continue
  to be high in FY06
• 94 increased understanding
• 74 improved environmental management
  practices
• 28 reduced or eliminated pollution

16
CA Centers Outcomes
17
Integrating Assistance with Other Tools

• Maximize outcomes by using a combination of
• Compliance assistance
• Monitoring
• Incentives
• Enforcement
• Other Tools
• Sequence of these activities is critical to
  success

18
Inspectors Often Provide CA During Compliance
Inspections

• EPA policy allows inspectors to provide
  compliance assistance during inspections.
• Inspections offer a teachable moment for
  assistance.
• In FY2006, 58 of the facilities EPA inspected
  received compliance assistance (over 11,00
  facilities).
• www.epa.gov/oeca/inspector/

19
Integrating Assistance with Other Tools
Healthcare

• Environmental Problems Identified
• Hazardous Waste Identification, Labeling and
  Manifest Violations.
• HW Container Management and Storage
• CFC and UST Leak Detection.
• Oil Spill Contingency Plans
• Personnel Training Requirements.

20
Integrating Assistance with Other Tools
Healthcare

• Goals of Regional Initiative
• Improve environmental compliance and safety at
  healthcare facilities.
• Ensure compliance of entire sector not just
  those reached through inspections.
• Ensure continued compliance by implementing
  permanent changes.

21
Hospital Wastes
22
Integrating Assistance with Other Tools
Healthcare

• Region combined the following strategies to
  address compliance issues in this sector
• Provide environmental assistance to healthcare
  facilities
• Encourage healthcare facilities to perform
  voluntary compliance audits and enter into audit
  agreements
• Conduct inspections and undertake enforcement
• Identify pollution prevention opportunities and
  encourage use of Environmental Management Systems

23
Integrating Assistance with Other Tools
Healthcare

• Compliance Assistance Results
• Held 11 Environmental Compliance 101 Workshops
  and a series of hazardous waste identification
  and management seminars
• Develop 118 CA Tools (e.g., CD-ROMS, websites,
  checklists, etc.)
• Entities reached through workshops 5,000
• Entities Reached via other CA 25,290

24
Integrating Assistance with Other Tools
Healthcare

• Results from Other Tools
• 58 Inspections resulting in 39 enforcement
  actions
• Over 1.5 Million in Assessed Penalties
• 42 Audit Agreements with 189 Voluntary
  Disclosures covering 688 facilities
• Almost 4,000 violations corrected

25
Changes in Understanding Very High Responses
26
Top Five Pollutant Reductions

• Battery Recycling 15 tons
• Medical Waste Segregation 475 tons
• Electronics equipment recycling 75 tons
• Sharps containers 10,500 units
• Integrated pest management 80 reduction in
  pesticides

27
Integrating Assistance with Other Tools

• Similar projects in other sectors
• Concentrated Animal Feeding Operations
• Construction
• Auto Salvage Yards
• Marinas
• Colleges/Universities

28
Guide for Addressing Environmental Problems
Using an Integrated Strategic Approach

• Explains a 9-element strategic approach to
  address environmental problems
• Promotes consistency in planning, implementing
  and measuring strategic approaches
• Provides a means for documenting the
  decision-making process
• www.epa.gov/compliance/resources/
  policies/assistance/strategicguide.pdf

29
Lessons Learned

• Consult stakeholders during development of
  assistance tools
• Assistance can have a broader reach than other
  tools
• Consider needs of small businesses
• Inspections offer teachable moment for
  assistance

30
Lessons Learned

• Strong enforcement program helps assistance
• Use assistance with other tools to maximize
  results
• Measure outcomes of assistance

31
EPA Compliance Assistance
Resources

• www.epa.gov/compliance/assistance
• www.epa.gov/clearinghouse
• www.assistancecenters.net