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
Presentation Outline
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Enforcement and compliance program
overview
Role and benefits of compliance assistance
Examples of EPA’s compliance assistance
tools
Measuring results of assistance
Integrating assistance with other tools
Lessons learned
2
EPA Enforcement and
Compliance Program
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Compliance Assistance is one “tool” used to
address environmental problems. The other
tools are:
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Compliance monitoring (e.g., inspections)
Compliance Incentives
Enforcement
Often used together as part of integrated
strategies or approaches to solving problems
3
Compliance Assistance - Definition
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Activities, tools or technical assistance which
provide clear and consistent information for:
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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.
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Compliance Assistance Providers
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EPA partners with other providers of assistance,
including:
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State and Tribal governments
Local governments
Trade associations
Nonprofit organizations
Academia
EPA works with these organizations to:
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Develop and deliver assistance resources
Maintain a repository of information on assistance
resources
Consistently measure results of assistance
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Benefits of Compliance
Assistance
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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)
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CA Activities – Entities Reached
Total Entities Reach in
Thousands
Number of Entities Reached with Compliance Assistance (except
Center Users)
Number of Users of EPA-Sponsored Web-Based Compliance
Assistance Centers
2000
1,879
1800
1600
1,443
1400
1,164
1200
1000
878
870
731
800
612
673 721
590
600
400
200
0
2002
2003
2004
2005
2006
Fiscal Year (FY)
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CA Tools - Examples
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Industry Sector Notebooks
- Profiles on 36 specific industries and governments that describe
processes and applicable regulations.
•
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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/auditing/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/compliance/resources/publications/assistance/sectors/constru
ctmyer/index.html
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Compliance Assistance Centers
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Fifteen web-based, sector-specific compliance
assistance centers
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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
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Compliance Assistance Centers
www.assistancecenters.net
Services
Manufacturing
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Automotive Service and Repair
Metal Finishing
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Automotive Recycling
Agriculture
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Health Care
Printed Wiring Board
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Paints and Coatings
Construction
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Printing
Chemical Manufacturing
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Transportation
Government
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Border Center
Local Government
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Education Sector (pending)
Federal Facilities
Tribal
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Virtual Tours
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On-Line Tools
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Border
CA Center
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National Compliance
Assistance Clearinghouse
 Web-based tool for assistance providers
to share information on their projects
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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
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Outcomes of FY2006 Direct
Compliance Assistance Activities
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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:
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94% increased understanding
74% improved environmental management
practices
28% reduced or eliminated pollution
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CA Centers Outcomes
Total Percentage
100%
90%
84%88%
80%
82%
77%
72%
2004
55%
48%46%
60%
2005
40%
2006
20%
0%
Increased
Understanding of
Regulations
Action Taken
Pollutant Reductions
Outcomes Reported from Regulated Entities Responding
to OnLine Survey
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Integrating Assistance with
Other Tools
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Maximize outcomes by using a
combination of:
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Compliance assistance
Monitoring
Incentives
Enforcement
Other Tools
Sequence of these activities is critical to
success
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Inspectors Often Provide CA
During Compliance Inspections
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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/
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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.
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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.
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Hospital Wastes
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Integrating Assistance with
Other Tools: Healthcare
Region combined the following strategies to address
compliance issues in this sector:
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Provide environmental assistance to healthcare
facilities
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Encourage healthcare facilities to perform voluntary
compliance audits and enter into audit agreements
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Conduct inspections and undertake enforcement
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Identify pollution prevention opportunities and
encourage use of Environmental Management
Systems
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Integrating Assistance with
Other Tools: Healthcare
Compliance Assistance Results
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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
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Integrating Assistance with
Other Tools: Healthcare
Results from Other Tools:
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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
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Changes in Understanding –
Very High Responses
PROGRAM
RCRA
AST
UST
CAA
CWA
SPCC
TSCA
Pesticides
BEFORE
40
9
34
27
24
14
14
36
AFTER
98
75
88
76
70
83
61
76
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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
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Integrating Assistance with
Other Tools
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Similar projects in other sectors:
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Concentrated Animal Feeding Operations
Construction
Auto Salvage Yards
Marinas
Colleges/Universities
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Guide for Addressing Environmental Problems:
Using an Integrated Strategic Approach
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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
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Lessons Learned
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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
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Lessons Learned
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Strong enforcement program helps
assistance
Use assistance with other tools to
maximize results
Measure outcomes of assistance
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EPA Compliance Assistance
Resources
www.epa.gov/compliance/assistance
www.epa.gov/clearinghouse
www.assistancecenters.net
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