1 stepped enforcement karl roovers environmental enforcement specialist october 19, 2011

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Stepped EnforcementStepped Enforcement

Karl RooversKarl RooversEnvironmental Enforcement SpecialistEnvironmental Enforcement Specialist

October 19, 2011October 19, 2011

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Environmental Enforcement Environmental Enforcement RoleRole

Consult with regulatory and law Consult with regulatory and law enforcement staff on case development and enforcement staff on case development and evaluationevaluation

Lead enforcement conferencesLead enforcement conferences

Draft enforcement documents such as Draft enforcement documents such as Orders and prepare cases for prosecutionOrders and prepare cases for prosecution

Investigate environmental violations Investigate environmental violations

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Environmental Enforcement Environmental Enforcement RoleRole

Serve as liaison to DOJ and assist Serve as liaison to DOJ and assist prosecutor in resolution of cases prosecutor in resolution of cases

Help provide consistency in Department Help provide consistency in Department actionsactions

Assist in developing or revising laws Assist in developing or revising laws and policiesand policies

Provide Environmental Enforcement Provide Environmental Enforcement trainingtraining

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What EE Can Do For YouWhat EE Can Do For You

We can separate enforcement actions We can separate enforcement actions from your program actions (technical)from your program actions (technical)

We can provide enforcement history We can provide enforcement history (Casetrack)(Casetrack)

We can escalate enforcement actions We can escalate enforcement actions through stepped enforcementthrough stepped enforcement

We can hold conferences to allow We can hold conferences to allow violator to explainviolator to explain

We resolve violations at the lowest levelWe resolve violations at the lowest level

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WhyWhy Environmental Enforcement is Environmental Enforcement is Important to Important to YouYou

Enforcement can help you do your job Enforcement can help you do your job (compel return to compliance)(compel return to compliance)Encourages consistencyEncourages consistency– You don’t always know what effect your You don’t always know what effect your

actions will have on another program or actions will have on another program or RegionRegion

You don’t know if the document you You don’t know if the document you generate today will be an exhibit in 10 generate today will be an exhibit in 10 yearsyearsNew voice, new emphasisNew voice, new emphasis

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The Goal of Stepped The Goal of Stepped EnforcementEnforcement

To obtain compliance with To obtain compliance with environmental laws and environmental laws and regulations and regulations and

To protect human health and To protect human health and the environmentthe environment

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What is Stepped Enforcement ?What is Stepped Enforcement ?

A planned series of actions that expand A planned series of actions that expand and intensify as the case goes onand intensify as the case goes on– To increase the motivation toward To increase the motivation toward

compliance compliance

Starts informally but becomes more Starts informally but becomes more

formal and legal as the steps progressformal and legal as the steps progress

Tailored to fit the circumstances of each Tailored to fit the circumstances of each casecase

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Why Do We Use It ?Why Do We Use It ?

Environmental cases can be complexEnvironmental cases can be complex

To enhance communicationTo enhance communication

It helps build our caseIt helps build our case

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Efficient and effectiveEfficient and effective– Most cases are resolved Most cases are resolved

through use of Notices of through use of Notices of Violation and Enforcement Violation and Enforcement ConferencesConferences

– Typically about 10% of cases Typically about 10% of cases will escalate to Orders and/or will escalate to Orders and/or ReferralsReferrals

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2010 Statewide actions 2010 Statewide actions (Civil)(Civil)

– 461 461 NOVs IssuedNOVs Issued

– 232 Enforcement Conferences Held232 Enforcement Conferences Held

– 51 Cases Referred to DOJ 51 Cases Referred to DOJ

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Stepped EnforcementStepped Enforcement–Shows courts that we Shows courts that we

go the extra milego the extra mile to to communicate and obtain communicate and obtain voluntary compliance before voluntary compliance before recommending prosecutionrecommending prosecution

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When When NOTNOT to use Stepped to use Stepped EnforcementEnforcement

EmergenciesEmergencies

Cases where violations are Cases where violations are serious and severeserious and severe

EPA Timely and Appropriate EPA Timely and Appropriate GuidelinesGuidelinesWe actually still use stepped enforcement – just We actually still use stepped enforcement – just

fewer stepsfewer steps

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Informal ContactsNotice of Noncompliance

Request for Secondary EnforcementNotice of Violation

Enforcement ConferenceAdmin. / Consent Order

Referral to DOJ/DA/EPAProsecution / Citation

Stepped Enforcement

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Informal ContactsInformal Contacts(First Steps)(First Steps)

Program StaffProgram Staff

–Phone calls, letters, site visits, Phone calls, letters, site visits, inspections and complaintsinspections and complaints

–Facility Contact Forms, File Memos, Facility Contact Forms, File Memos, Case Activity Reports, Samples and Case Activity Reports, Samples and PhotosPhotos

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Notice of NoncomplianceNotice of Noncompliance(NON)(NON)

Issued by Program StaffIssued by Program Staff– Letter sent to violatorLetter sent to violator

Advises of problemsAdvises of problems

Requests correctionRequests correction

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NONNON

When to IssueWhen to Issue

– Program decision based on seriousness Program decision based on seriousness of alleged violation & individual case factsof alleged violation & individual case facts

– As soon as appropriate response is lostAs soon as appropriate response is lost

Don’t wait any longer than necessaryDon’t wait any longer than necessary

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NONNONWhat the NON What the NON shouldshould contain contain– Description of problems and what is required Description of problems and what is required

to return to compliance i.e. plan condition, to return to compliance i.e. plan condition, code….code….

– Specific time frame to document responseSpecific time frame to document responsePick a date for Pick a date for response to youresponse to you, NOT a time , NOT a time period to return to complianceperiod to return to compliance

– By no later than Monday, June 16, 2012, please By no later than Monday, June 16, 2012, please submit your written response describing steps you submit your written response describing steps you have taken to return to compliance have taken to return to compliance

vs. vs. – You have 30 days to return to complianceYou have 30 days to return to compliance

– Statement that enforcement actions may be Statement that enforcement actions may be escalated if return to compliance is not timelyescalated if return to compliance is not timely

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NONNONWhat the NON What the NON should notshould not contain contain– Penalty citationPenalty citation

Leave this for the Notice of ViolationLeave this for the Notice of Violation– Dear Dan, Cindi, BuffyDear Dan, Cindi, Buffy

This is a formal documentThis is a formal document– Enforcement outcomesEnforcement outcomes

Don’t make promisesDon’t make promises– Timeframes that allow violator to remain Timeframes that allow violator to remain

out of complianceout of compliance– ““You are in violation of….” We may only You are in violation of….” We may only

allege a violationallege a violation

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Request for Secondary Request for Secondary EnforcementEnforcement

Decision to pursue further enforcement Decision to pursue further enforcement action is made by Program Staff, action is made by Program Staff, Supervisors and EE Specialist Supervisors and EE Specialist – EE will review for:EE will review for:

ConsistencyConsistency

ProofsProofs

Elements of the offenseElements of the offense

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Have you met the Elements of the Have you met the Elements of the Offense?Offense?Section 289.31(1), Wis. Stats: Operating Section 289.31(1), Wis. Stats: Operating license. License requirement. No license. License requirement. No personperson may may operateoperate a a solid waste facilitysolid waste facility or or hazardous waste hazardous waste facilityfacility unless the unless the personperson obtainsobtains an an operating operating licenselicense from the departmentfrom the department..

S. 289.01(27), Wis. Stats: "Person" means an individual, S. 289.01(27), Wis. Stats: "Person" means an individual, owner, operator, corporation, limited liability company, owner, operator, corporation, limited liability company, partnership, association, municipality, interstate agency, partnership, association, municipality, interstate agency, state agency or federal agency.state agency or federal agency.

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Can you prove it?Can you prove it?

ProofProof is the evidence (testimony, is the evidence (testimony, documentation, photos, data, physical documentation, photos, data, physical samples) which a party presents to the samples) which a party presents to the trier of fact (the judge and jury) which trier of fact (the judge and jury) which leads them to draw reasonable leads them to draw reasonable conclusionsconclusions

Your documentsYour documents

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Program Staff use Program Staff use Environmental Environmental Enforcement Request FormEnforcement Request Form to transmit to transmit case via supervisors to Environmental case via supervisors to Environmental EnforcementEnforcement

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ENVIRONMENTAL ENVIRONMENTAL ENFORCEMENT REQUEST FORMENFORCEMENT REQUEST FORM

Filling out Form 4100-189Filling out Form 4100-189

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ENVIRONMENTAL ENVIRONMENTAL ENFORCEMENT REQUEST FORM ENFORCEMENT REQUEST FORM

(Review)(Review)

Violation SummaryViolation Summary– Specific STATUTE, CODE, or PERMIT condition Specific STATUTE, CODE, or PERMIT condition

violated, date(s) of violation(s) or date range, violated, date(s) of violation(s) or date range, lay term lay term descriptiondescription of violation such as “Failure to report”. of violation such as “Failure to report”. ((Be Specific!)Be Specific!)

Actions TakenActions Taken– i.e., NON, calls, letters; attach copy (Documents)i.e., NON, calls, letters; attach copy (Documents)

Electronic files are helpful, but we need Electronic files are helpful, but we need Signed Signed CopiesCopies

DO NOT give us your original documentsDO NOT give us your original documents

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ENVIRONMENTAL ENVIRONMENTAL ENFORCEMENT REQUEST ENFORCEMENT REQUEST

FORMFORMConfidentialConfidentialDo not email formDo not email formDo not keep a copy of the formDo not keep a copy of the formSave to GenshareSave to GenshareCall your supervisor to let them know the Call your supervisor to let them know the request is on the Genshare drive in the folder request is on the Genshare drive in the folder you namedyou namedAvoiding email helps to keep the form Avoiding email helps to keep the form confidentialconfidential

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Questions to Ask when Questions to Ask when Considering Secondary Considering Secondary

EnforcementEnforcement

How big a threat is this to public health?How big a threat is this to public health?

How big a threat to the environment?How big a threat to the environment?

How serious is the violation?How serious is the violation?

How responsive is the violator?How responsive is the violator?

How toxic is the pollutant? How toxic is the pollutant?

How important is this violation to EPA?How important is this violation to EPA?

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Questions: Questions:

What is the location of the source of pollution? What is the location of the source of pollution?

How long or how many times has this happened?How long or how many times has this happened?

Is this a new or existing facility or source? Is this a new or existing facility or source?

Was there significant monetary gain?Was there significant monetary gain?

Are there any mitigating circumstances or Are there any mitigating circumstances or

defensesdefenses??

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Secondary EnforcementSecondary Enforcement

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Notice of ViolationNotice of ViolationFormal letter issued by EE staff which:Formal letter issued by EE staff which:– States the violationStates the violations, and permit, statute or s, and permit, statute or

code citationcode citation– Gives brief description of violationGives brief description of violations and s and

circumstancescircumstances– Warns of possible prosecution and penaltiesWarns of possible prosecution and penalties– Requests informationRequests information, documentation or , documentation or

response within set time period (10 days) or by response within set time period (10 days) or by specific date (June 16, 2012)specific date (June 16, 2012)

– Invites violator to an Invites violator to an enforcement conferenceenforcement conference– Includes Includes Notice of ClaimNotice of Claim for governmental for governmental

unitsunits

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Notice of Claim Notice of Claim Must comply with s. 893.80(1), Wis. Stats.Must comply with s. 893.80(1), Wis. Stats.

We must issue a Notice of Claim when we take legal We must issue a Notice of Claim when we take legal

action (Admin. Orders, Referrals, Citations) against action (Admin. Orders, Referrals, Citations) against

Governmental Units Governmental Units

Included as part of the NOVIncluded as part of the NOV

Applies to Applies to ALLALL Environmental Statutes Environmental Statutes

Exceptions: Injunctions, Administrative Order with Exceptions: Injunctions, Administrative Order with

Penalty, Criminal CasesPenalty, Criminal Cases

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NOC TimelinesNOC Timelines From the Date of ViolationFrom the Date of Violation, , we have 120 dayswe have 120 days to serve to serve (hand deliver) a Notice of Claim with the (hand deliver) a Notice of Claim with the Governmental UnitGovernmental Unit

Not the date of discovery of the violation, but Not the date of discovery of the violation, but the actual date the violation occurredthe actual date the violation occurred

From the Date of service of our Notice of ClaimFrom the Date of service of our Notice of Claim, , they they have 120 dayshave 120 days to send us a to send us a Written Disallowance of Written Disallowance of ClaimClaim – If they do not do this, the claim is automatically disallowed at If they do not do this, the claim is automatically disallowed at

the end of the 120 day periodthe end of the 120 day period

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NOC TimelinesNOC Timelines

From the Date of a Written Notice of From the Date of a Written Notice of Disallowance, Disallowance, we have 180 dayswe have 180 days to file to file an action, (issue citation, file complaint)an action, (issue citation, file complaint)

From the Date of an From the Date of an automatically automatically disallowed claimdisallowed claim, we have until the , we have until the Statute of Limitations expires to take an Statute of Limitations expires to take an actionaction

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Service of a Notice of ClaimService of a Notice of Claim

Service has to be in personService has to be in person– Ss. 801.11(4) and 893.80(1)(a), Wis. Stats.Ss. 801.11(4) and 893.80(1)(a), Wis. Stats.

Certified Mail is not acceptable as Certified Mail is not acceptable as proper service, the document has to be proper service, the document has to be presented presented in personin person– Most often served by program staffMost often served by program staff

Within the 120 day timeline from the Within the 120 day timeline from the actual date of the violationactual date of the violation

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Service of a Notice of ClaimService of a Notice of ClaimWho gets served: Who gets served: – CountyCounty: County Board Chair or Clerk: County Board Chair or Clerk– TownTown: Chairperson or Clerk: Chairperson or Clerk– CityCity: Mayor, City Manager or Clerk: Mayor, City Manager or Clerk– VillageVillage: Village President or Clerk: Village President or Clerk– Technical College DistrictTechnical College District: Secretary or : Secretary or

District Board ChairDistrict Board Chair– School DistrictSchool District: Board President or Clerk: Board President or Clerk– Any other governmental unitAny other governmental unit: Officer, : Officer,

Director, or managing officialDirector, or managing official

State agenciesState agencies are covered in a different are covered in a different statute. Contact Environmental Enforcementstatute. Contact Environmental Enforcement

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Service of a Notice of ClaimService of a Notice of Claim

““I can’t find them”, or “They’re not here I can’t find them”, or “They’re not here right now, come back next week:” right now, come back next week:”

““In lieu of delivery to the person... the In lieu of delivery to the person... the copy may be left in the office of such copy may be left in the office of such officer, director, or managing agent, with officer, director, or managing agent, with the the person who is apparently in charge of person who is apparently in charge of the officethe office.” S. 801.11(4)(b), Wis. Stats. .” S. 801.11(4)(b), Wis. Stats.

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Enforcement ConferenceEnforcement Conference

Program Staff, EE specialist, violator, Program Staff, EE specialist, violator, violator’s attorney violator’s attorney

Open meeting with violator on a scheduled Open meeting with violator on a scheduled datedate– If the public or press attend they are seated If the public or press attend they are seated

away from the table and may not participateaway from the table and may not participate

Typically held at a Department officeTypically held at a Department office

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Enforcement ConferenceEnforcement ConferenceDiscuss technical problemsDiscuss technical problems

Work to find acceptable technical solutionWork to find acceptable technical solution

Develop action plan & schedule Develop action plan & schedule

Document the agreementDocument the agreement– EC summary letterEC summary letter– SubmittalSubmittal

Explain enforcement optionsExplain enforcement options

Good Problem Solving OpportunityGood Problem Solving Opportunity

Good source of leads for future investigation and Good source of leads for future investigation and prosecutionprosecution

Often serves to expose litigation risksOften serves to expose litigation risks

Leads to compliance agreement, no further action or Leads to compliance agreement, no further action or escalated enforcement actionescalated enforcement action

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...with apologies to David ...with apologies to David Letterman (and everybody else) Letterman (and everybody else)

we present:we present:

The ALL TIMEThe ALL TIME

TOP 10 LISTTOP 10 LISTof Excuses for of Excuses for

Environmental ViolationsEnvironmental Violations

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TOP 10 EXCUSES FOR TOP 10 EXCUSES FOR ENVIRONMENTAL VIOLATIONSENVIRONMENTAL VIOLATIONS

5.5. A DNR guy (whose name I don't remember) said it was A DNR guy (whose name I don't remember) said it was OKOK

6.6. Environmental Laws and Rules are [ ] Unconstitutional, Environmental Laws and Rules are [ ] Unconstitutional, [ ] Unrealistic, [ ] Arbitrary and [ ] Capricious [ ] Unrealistic, [ ] Arbitrary and [ ] Capricious

(pick all that apply)(pick all that apply)7.7. We can't afford to do it right We can't afford to do it right “I have to leave for the “I have to leave for the

opening of our new multi-million dollar headquarters”opening of our new multi-million dollar headquarters”8.8. This was the work of disgruntled employees - who have This was the work of disgruntled employees - who have

been fired (or shot)been fired (or shot)9.9. I'm just a dumb person... I'm just a dumb person... 10. It's all DNR's Fault10. It's all DNR's Fault

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TOP 10 EXCUSES FOR TOP 10 EXCUSES FOR ENVIRONMENTAL VIOLATIONSENVIRONMENTAL VIOLATIONS

1.1. “We studied this situation extensively, completed “We studied this situation extensively, completed computer modeling, made calculations, performed computer modeling, made calculations, performed multiple regression analysis, and multiple regression analysis, and we have absolutely we have absolutely NO idea what happenedNO idea what happened” (Or simply “We don’t want to ” (Or simply “We don’t want to tell you.”tell you.”

2.2. It's all (pick one) [ ] condensed It's all (pick one) [ ] condensed steam, [ ] product, [ ] steam, [ ] product, [ ] noncontact cooling water, [ ] perfectly safe to drink noncontact cooling water, [ ] perfectly safe to drink "I've been working with this stuff for 10 years and I'm "I've been working with this stuff for 10 years and I'm not dead” not dead” (YET!)(YET!)

3.3. Blame the Dead GuyBlame the Dead Guy4.4. We didn't do it, Somebody else did. We didn't do it, Somebody else did. “Some criminal “Some criminal

stole our garbage and dumped it“ stole our garbage and dumped it“ “The Raccoons did it”“The Raccoons did it”

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If you get one of these excuses, If you get one of these excuses,

it it doesn’t doesn’t mean they’re lying,mean they’re lying,

it just means you’ve got questions to askit just means you’ve got questions to ask

Every Every LIELIE has an element of truth, has an element of truth,

Every truth has an element of lieEvery truth has an element of lie

Sometimes, you can hear the Sometimes, you can hear the TRUTHTRUTH stretch a whole bunchstretch a whole bunch

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OrdersOrdersUse an Order to:Use an Order to:– Set a Schedule for ActionSet a Schedule for Action– Revoke a PermitRevoke a Permit– Require Submittal of DocumentsRequire Submittal of Documents

Types of OrdersTypes of Orders– Unilateral or Administrative OrderUnilateral or Administrative Order– AAdministrative dministrative PPenalty enalty OOrderrder

Public Water Supply, s. 281.99(1), Wis. Stats.Public Water Supply, s. 281.99(1), Wis. Stats.– Consent OrderConsent Order– Emergency OrderEmergency Order

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Positives of an OrderPositives of an Order

Clearly Outlines a Technical RemedyClearly Outlines a Technical Remedy

Specific ExpectationsSpecific Expectations

Specific ScheduleSpecific Schedule

Non-compliance Strengthens ReferralNon-compliance Strengthens Referral

Drawbacks of an OrderDrawbacks of an OrderNo Authority to Assess PenaltiesNo Authority to Assess Penalties– Except for Public Water Supplies Except for Public Water Supplies

Review Time for Region and Central OfficeReview Time for Region and Central Office

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ReferralsReferrals

RecommendationRecommendation by the Department by the Department to prosecute for violationsto prosecute for violations

Who Prosecutes?Who Prosecutes?– Wisconsin Department of JusticeWisconsin Department of Justice– District AttorneyDistrict Attorney– EPAEPA

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When to Refer?When to Refer?

Public Health or Environmental Threat Public Health or Environmental Threat or Damage or Damage

Significant Exceedance of LimitsSignificant Exceedance of Limits

Recurring ViolationsRecurring Violations

Degree of CooperationDegree of Cooperation

Significant Benefit for Non-ComplianceSignificant Benefit for Non-Compliance

Criminal IntentCriminal Intent

Available Proofs?Available Proofs?

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Referral ProcessReferral Process

Decision to ReferDecision to ReferPre-Referral ProcessPre-Referral ProcessDraft Referral PackageDraft Referral PackageRegional Review / ApprovalRegional Review / ApprovalCentral Office Review / ApprovalCentral Office Review / ApprovalReferral Letter to DOJ from Secretary / Referral Letter to DOJ from Secretary / Deputy SecretaryDeputy SecretaryReferral Letter to Violator from EE Advising Referral Letter to Violator from EE Advising They have been ReferredThey have been Referred

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Referral PackageReferral Package

Transmittal MemoTransmittal Memo

Regional ApprovalsRegional Approvals

Executive SummaryExecutive Summary

Supporting DocumentationSupporting Documentation

CONFIDENTIAL!CONFIDENTIAL!

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Transmittal MemoTransmittal Memo

From Region to Steve Sisbach / Tim From Region to Steve Sisbach / Tim AndrykAndryk

Used by Reviewers & ProsecutorsUsed by Reviewers & Prosecutors

Identifies the Violator and ViolationsIdentifies the Violator and Violations

Requests Review for ProsecutionRequests Review for Prosecution

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Sections of Transmittal MemoSections of Transmittal MemoReferral SummaryReferral Summary– Overall Narrative of EventsOverall Narrative of Events– Brief statement of environmental Brief statement of environmental

impact/significanceimpact/significance– Recommends Transmittal to Department Recommends Transmittal to Department

of Justice for prosecutionof Justice for prosecutionPotential Defendant(s)Potential Defendant(s)– Name, Address, d/b/a, Aliases, etc.Name, Address, d/b/a, Aliases, etc.– Registered AgentRegistered Agent– Corporate/Property Ownership, Location, Corporate/Property Ownership, Location,

Licenses/PermitsLicenses/Permits

Department ContactsDepartment ContactsPotential WitnessesPotential Witnesses

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Sections of Transmittal MemoSections of Transmittal Memo

Enforcement Actions– NOVs….

Violations and Proof– Heart of Referral– Need Proof for Each Element of the Offense

Inspection Reports, Photos, Samples, Letters, CARsDocuments the Individual Days of ViolationLists Violations not Recommended for Prosecution

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Sections of Transmittal MemoSections of Transmittal Memo

Potential Defense Arguments and Potential Defense Arguments and Mitigating FactorsMitigating FactorsSignificance of ViolationSignificance of ViolationPenalty Recommendation, Remedial Penalty Recommendation, Remedial Activities, Plan Modification, Court Activities, Plan Modification, Court Ordered ScheduleOrdered Schedule– Referral facts Determine what we wantReferral facts Determine what we want

Forfeitures, Clean up, SEP, RestitutionForfeitures, Clean up, SEP, Restitution– Forfeiture CalculationForfeiture Calculation

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After ReferralAfter Referral

Prosecutor is the LeadProsecutor is the Lead

Enforcement Specialist is LiaisonEnforcement Specialist is Liaison

Program Staff are Technical ExpertsProgram Staff are Technical Experts– Don’t be afraid to continue to work with Don’t be afraid to continue to work with

the violatorthe violator– Refer questions about the litigation to Refer questions about the litigation to

the Enforcement Specialistthe Enforcement Specialist

Be Patient! Be Patient!

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After ReferralAfter ReferralOften DNR, DOJ and Violator Meet to Discuss Often DNR, DOJ and Violator Meet to Discuss Settlement – Case is Often Settled at this PointSettlement – Case is Often Settled at this Point– oror

Complaint filed with courtComplaint filed with courtAnswer (or Summary Judgment)Answer (or Summary Judgment)Litigation:Litigation:– Settlement NegotiationsSettlement Negotiations– Trial Preparation (including discovery)Trial Preparation (including discovery)

Case concludes with a stipulated settlement or a Case concludes with a stipulated settlement or a Court trialCourt trialCourt Decision or Order issued by judgeCourt Decision or Order issued by judge

Case settlement is best time for publicityCase settlement is best time for publicity

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After Settlement / Court OrderAfter Settlement / Court Order

Program staff tracks to see that the Program staff tracks to see that the defendant obeys the Court Orderdefendant obeys the Court Order

If the Court Order is violated, we contact If the Court Order is violated, we contact DOJ to enforce the OrderDOJ to enforce the Order

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After the Court OrderAfter the Court Order

Enforcement staff advise the DOJEnforcement staff advise the DOJ– Site is restoredSite is restored

No further actionNo further action

– Court Order violatedCourt Order violatedContempt actionContempt action

DOJ may issue “Satisfaction of Judgment”DOJ may issue “Satisfaction of Judgment”– When requested When requested

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Review of Violations and Review of Violations and Enforcement ResponsesEnforcement Responses

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Routine ContactsRoutine Contacts– Informal, site visits, inspections, meetingsInformal, site visits, inspections, meetings

Low Significance ViolationsLow Significance Violations– LetterLetter– Notice of NoncomplianceNotice of Noncompliance

Low / Medium Significance ViolationsLow / Medium Significance Violations– Notice of Violation, option of Enforcement Notice of Violation, option of Enforcement

Conference, response requestedConference, response requested

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Medium Significance ViolationsMedium Significance Violations– Notice of Violation / Enforcement Conference / Notice of Violation / Enforcement Conference /

CitationCitation

Medium / High Significance ViolationsMedium / High Significance Violations– Notice of Violation / Enforcement Conference / Notice of Violation / Enforcement Conference /

Order / Citation / Referral to DOJ / Order / Citation / Referral to DOJ /

DA / EPADA / EPA

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High Significance ViolationsHigh Significance Violations– Notice of ViolationNotice of Violation

– Enforcement ConferenceEnforcement Conference

– Referral to DOJ / DA / EPA Referral to DOJ / DA / EPA

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Emergencies / Imminent DangerEmergencies / Imminent Danger– Immediate InjunctionImmediate Injunction

Criminal ViolationsCriminal Violations

– Criminal Investigation & ProsecutionCriminal Investigation & Prosecution

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Miniscenario ExerciseMiniscenario Exercise

Objective:Objective:–To use & reinforce the trainingTo use & reinforce the training

you’ve just receivedyou’ve just received

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DIRECTIONSDIRECTIONS You’ll be given a scenario - look at the case You’ll be given a scenario - look at the case

facts considering the stepped enforcement facts considering the stepped enforcement process. Make a decision about how DNR process. Make a decision about how DNR should respond based on your training, the should respond based on your training, the facts and the Reviewfacts and the Review

You’ll be asked to make a short report:You’ll be asked to make a short report: Tell what you saw in the scenario, and Tell what you saw in the scenario, and Make a recommendation on how to proceed Make a recommendation on how to proceed

(NOV, Order, Referral….)(NOV, Order, Referral….)

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MiniscenariosMiniscenarios

Group 1.Group 1.– JAYPEE Environmental Services, Inc.JAYPEE Environmental Services, Inc.

Group 2.Group 2.– Roofer’s Economy PaintingRoofer’s Economy Painting

Group 3.Group 3.– Carl’s Custom PlatingCarl’s Custom Plating

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JAYPEE Environmental Services, Inc.JAYPEE Environmental Services, Inc. WHAT THE SCENARIO SHOWS:WHAT THE SCENARIO SHOWS:– Unresolved violationsUnresolved violations– Referable serious violationsReferable serious violations– Actual or potential release to environmentActual or potential release to environment

Enforcement Response:Enforcement Response:– Coordinated Statewide inspectionsCoordinated Statewide inspections– Coordinated Statewide stepped enforcementCoordinated Statewide stepped enforcement– Administrative order to obtain complianceAdministrative order to obtain compliance– Civil prosecution for forfeitures and Civil prosecution for forfeitures and

remediation?remediation?– Injunction to stop activity?Injunction to stop activity?

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Roofer’s Economy PaintingRoofer’s Economy Painting

WHAT THE SCENARIO SHOWS:WHAT THE SCENARIO SHOWS:– Minor noncomplianceMinor noncompliance– Minor violationsMinor violations– Technical problemsTechnical problems

Enforcement Response:Enforcement Response: – NON – first formal stepNON – first formal step– Increased inspection scheduleIncreased inspection schedule– NOV for further violationsNOV for further violations

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Carl’s Custom PlatingCarl’s Custom Plating WHAT THE SCENARIO SHOWS:WHAT THE SCENARIO SHOWS:– Willful (deliberate) violationsWillful (deliberate) violations– Negligent violationsNegligent violations– Actual or potential release to Actual or potential release to

environmentenvironment

Enforcement Response:Enforcement Response: – Environmental investigation / criminal Environmental investigation / criminal

prosecutionprosecution– Civil prosecution for remediationCivil prosecution for remediation

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OverviewOverview

We can separate enforcement actions from We can separate enforcement actions from program technical contactsprogram technical contactsEscalate enforcement actions as soon as Escalate enforcement actions as soon as necessarynecessaryMeet the elements of the offense through your Meet the elements of the offense through your proofsproofsDon’t make promisesDon’t make promisesDon’t establish timelines that condone Don’t establish timelines that condone noncompliancenoncomplianceNotice of Claim for municipalitiesNotice of Claim for municipalities

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Questions?Questions?