Levels of Environmental Responsibility

1
Levels of Environmental Responsibility
2
Environmental Multimedia Responsibilities
Emergency Planning Reporting
Clean Air Act Title V permits

Atmosphere
Stratospheric ozone protection

Section 112r - Release Management Planning
EHS notification
Hazardous Substances Reporting
Air Toxics/HAPS
Water
CERCLA Releases
Toxic Substances
Spill Prevention (SPCC)
PCBs in equipment
Clean Water NPDES Discharges
Land
Lead
Toxic Substance Use Notification
Stormwater
RCRA/Hazardous Waste
CERCLA/Superfund
3
ENVIRONMENTAL AUDIT

• A systematic, documented, periodic, and objective
  review of environmental operations, management
  systems, performance or practice(s) carried out
  in a rigorous process

4
ENVIRONMENTAL AUDITProcess

• Obtain and Evaluate Evidence Regarding Verifiable
  Objectives or Assertions
• Ascertain the Degree of Conformity with
  Established Criteria
• Communicate Written Findings

5
INDICATIONS FOR CONDUCTING AN AUDIT

• Proactive Assessment of Program Compliance
• EPAs Self-Disclosure Policy (Audit Policy)
• Self-policing
• Reduced penalty
• In Response to a Compliance Challenge
• Assessment of Performance or Efficiency
• Real Estate Transactions

6
Types of Environmental Audits

• Site Audit An assessment of onsite conditions
  and the extent of contamination problems.
• Compliance Audit Addresses compliance with
  regulations, laws, and other requirements
• Media specific audits
• Multimedia audits
• Voluntary self-audits
• Management System Audit Reviews the
  organizational aspects and conformance to
  standard systems and procedures.
• ISO 14001
• EMAS
• Environmental Performance Audit Audits to
  identify opportunities to improve performance or
  reduce risks

7
Levels of environmental audits
Level 3 Sophisticated audits including LCA,
environmental performance, sustainability
Level 2 Environmental system audits
Level 1 Initial environmental compliance audits
8
Overview of EPAs Audit Policy(i.e., Voluntary
Self-Disclosures)
9
EPA Compliance Assurance

• EPA is responsible for maximizing compliance to a
  universe of 40 million regulated entities using
• 12 federal environmental statutes, and
• 28 distinct federal programs under those statutes
  
• To conduct the work necessary for the 28
  programs, OECA utilizes 4 primary tools to pursue
  compliance, thereby achieving cleaner air, purer
  water and better-protected lands.
• Compliance Assistance
• Compliance Monitoring
• Enforcement
• Compliance Incentives

10
Compliance Incentives

• Compliance Incentives are a set of policies and
  programs that eliminate, reduce or waive
  penalties under certain conditions for business,
  industry, and government facilities which
  voluntarily discover, promptly disclose, and
  expeditiously correct environmental problems.
  Incentive programs and tools include the
  following
• Auditing ? Compliance Incentive Programs
• Innovations ? Market Based Incentives
• Environmental Management Systems
• Small Business Program
• Pollution Prevention Programs

Audits
11
EPAs Audit Policy

• The purpose of EPAs Audit Policy is to encourage
  regulated entities to
• voluntarily discover,
• disclose,
• correct, and
• prevent violations
• of federal environmental requirements.

12
History of EPAs Audit Policy

• The Audit Policy is technically known as
  Incentives for Self Policing Discovery,
  Disclosure, Correction, and Prevention of
  Violations
• Original Policy
• 60 FR 66706 - Effective January 22, 1996
• Revised Policy
• 65 FR 19,617 - Effective May 11, 2000
• www.epa.gov/compliance/incentives/
  auditing/auditpolicy.html

13
Summary of Incentives under EPAs Audit Policy

• Penalty mitigation
• No recommendation for criminal prosecution.
• No routine requests for audit reports.

14
Audit Policy Penalty Mitigation

• Civil penalties under the environmental laws
  generally have 2 components
• an amount assessed based upon the severity or
  gravity of the violation, and
• the amount of economic benefit a violator
  received from failing to comply with the law.
• Under the Audit Policy,
• No gravity-based penalties (i.e., 100
  gravity-based mitigation) if all nine of the
  Policys conditions are met.
• EPA retains its discretion to collect any
  economic benefit that may have been realized as a
  result of non-compliance.
• Under the Audit Policy, a reduction of
  gravity-based penalties by 75 where the
  disclosing entity meets all of the Policys
  conditions except detection of the violation
  through a systematic discovery process.

15
Audit Policy No Criminal Prosecution, No
Requests for Audits

• No recommendation for criminal prosecution for
  entities that disclose criminal violations if all
  of the applicable conditions under the Policy are
  met.
• Systematic discovery is not a requirement for
  eligibility for this incentive, although the
  entity must be acting in good faith and adopt a
  systematic approach to preventing recurring
  violations.
• No routine requests for Audits

16
Penalty Mitigation Self Audit/Disclosure Program

• Violations discovered through an audit or EMS
• Voluntary discovery
• Prompt disclosure
• Independent of existing legal requirements
• Corrective action within 60 days

• Written agreement to prevent reoccurrence
• No repeat violations over the past 3 years
• Violation cannot be a serious violation.
• Co-operate with EPA on investigations

17
What are the Nine Conditions of the Audit Policy?

• Systematic Discovery of the violation through an
  environmental audit or a compliance management
  system.
• Voluntary Discovery, in other words it is not
  through a legally required monitoring, sampling
  or auditing procedure.

18
Conditions of Policy continued

• Prompt Disclosure in writing to EPA within 21
  days of discovery or any shorter time required by
  law. Discovery occurs when any officer,
  director, employee or agent of the facility has
  an objectively reasonable basis for believing
  that a violation has or may have occurred.

19
Conditions of Policy continued

• Independent Discovery and Disclosure, before EPA
  likely would have identified the violation
  through its own investigation or based on
  information from a third party.
• Correction and Remediation within 60 days, in
  most cases, from date of discovery.

20
Conditions of Policy continued

• Prevent recurrence of a violation.
• Repeat violations are not eligible, that is
  violations that occurred within the past 3 years
  at the same facility or as part of a pattern of
  violations within the past 5 years at facilities
  owned or operated by the same company.

21
Conditions of Policy continued

• Certain violations are not eligible Those that
  result in serious actual harm that may have
  presented an imminent and substantial
  endangerment or that violate specific terms of
  an Administrative or Judicial Order or Consent
  Agreement.
• Cooperation by the disclosing entity is required.

22
Audit Tool Audit Protocols

• Developed by EPA to assist entities in developing
  compliance audits.
• Provide detailed regulatory checklists in easy to
  understand question format.
• Protocols cover CERCLA, CWA, EPCRA, FIFRA,
  RCRA, TSCA, SDWA.
• http//cfpub.epa.gov/compliance/resources/policies
  /incentives/auditing/

23
Corporate Audit Agreements

• Allows entities, such as Colleges and
  Universities, to plan a facility-wide audit with
  an advance understanding with EPA regarding
  schedules and disclosures.
• Key benefit is extended schedule for disclosures
  beyond the 21-day requirement for routine
  disclosures.

24
Voluntary Audit Disclosures

• Letter acknowledging receipt of disclosure will
  be sent to the facility by EPA within 7 days of
  receipt of disclosure.
• EPAs Review Includes
• Determine if disclosure meets nine criteria of
  Policy.
• Request additional information, if needed.
• Determine whether penalty mitigation is
  appropriate.

25
Voluntary Disclosure History

• Over the past eight years, 2,438 disclosures
  under the Audit Policy have been received and
  settled nationally. These disclosures covered
  4,424 facilities.
• During this same period, EPA Region 4 received
  and processed 348 disclosures, covering 528
  facilities.

26
US EPA Compliance Incentive Initiative for
Colleges Universities, Healthcare

• Resource Conservation Recovery Act
  4. Emergency Preparedness Community Right to
  Know
• Laboratory Waste Mgt. Practices
• Hazardous Drugs Waste Management
  5. Federal Insecticide, Fungicide
  Rodenticide Act
• Chemotherapeutic Agent Waste
• Universal Wastes
  6. Toxic Substances
  Control Act
• RCRA Generators 1.
  Import/Export Notification
• Used Oil Handling
  2.
  Laboratory Exemption Requirements
• Underground Storage Tanks
  3. PCBs in Equipment
• 
  
• Clean Air Act
• Title V Permit Compliance
• Steam Plant Permit Compliance
• Emergency Generators
• Ethylene Oxide Sterilizers
• Small Animal Incinerator
• Section 112r Risk Management Planning
• Stratospheric Ozone Protection
• State Permits to Construct and Operate

27
US EPA Compliance Incentive Initiative for
Colleges Universities and Healthcare Facilities
- 2007

• Self Audit of All Environmental Regulatory
  Programs NCICUA Peer Audit Program
• Prompt Disclosure of Audit Findings
• Corrective Action Plans
  
• Plan Implementation
• System to Sustain Compliance
• 17 Compliance Programs under 6 Environmental Laws
• 7. Will impact aspects of the University ,
  Hospitals, Clinics, Medical Center laboratories,
  Facilities, Operations, and Engineering.

28
Compliance Initiative Process 2007 - 2009
Design a plan to address requirements including a
means to engage stakeholders
Define compliance requirements as a practice,
policy or procedure
Assess current practice to define gaps
Assess Regulatory Requirements
Implement plan
Monitor measure implementation
Plan on target?
No
Corrective action plan development
Peer Audit
Yes
Build system to sustain compliance
Implement corrective actions
Implement system to sustain compliance
29
What will you do?

• Assess selected environmental programs March
  27
• Describe issues and make recommendations April 4

30
Resource Material

• Go to www.safty.duke.edu
• Click onto the Environmental Programs bar on the
  left side of the webpage.
• Click onto ENV 247 Reading List.