leveraging limited resources to obtain better compliance

Region 2 College & University ComRegion 2 College & University Compliance Initiativepliance Initiative

11

Region 2's College & Region 2's College & University Compliance University Compliance

Initiative: Environmental Initiative: Environmental Results From An Integrated Results From An Integrated

StrategyStrategy

Leveraging Limited Resources Leveraging Limited Resources To Obtain Better ComplianceTo Obtain Better Compliance

Five Year Status Report


22

Goals For Compliance Goals For Compliance InitiativeInitiative

• Improve environmental compliance and Improve environmental compliance and safety at main and off-site facilities.safety at main and off-site facilities.

• Change the culture to one in which Change the culture to one in which environmental compliance is a priority.environmental compliance is a priority.

• Ensure compliance of entire sector; not Ensure compliance of entire sector; not just those reached through inspections.just those reached through inspections.

• Ensure continued compliance by Ensure continued compliance by implementing permanent changes.implementing permanent changes.


33

ApproachApproach• Region 2 combined the following strategies Region 2 combined the following strategies

to address compliance issues in this sector:to address compliance issues in this sector:– Compliance assistanceCompliance assistance– Compliance incentives (voluntary Compliance incentives (voluntary

audit/disclosure)audit/disclosure)– Compliance monitoringCompliance monitoring– EnforcementEnforcement– Pollution preventionPollution prevention– Environmental management systems (EMS)Environmental management systems (EMS)


44


55


66

Results: Compliance Monitoring & Results: Compliance Monitoring & Incentives ProgramsIncentives Programs

Colleges & Universities

Universe375

Inspections67

Enforcement Actions 59

Formal Enforcement Actions 25 ($3,631,863)

Settlements 22 ($661,638)

Audit Agreements 16

Voluntary Disclosures 110 ($10,781,318 for 82 resolved)

Violations Corrected 1624


77

0

2

4

6

8

10

12

14

16

FY2001

FY2002

FY2003

FY2004

FY2005

Inspections

No ActionNOVs Only

ComplaintsUndetermined

AC

TIO

NS

/YE

AR


88

0

5

10

1520

25

30

35

40

4550

FY2001

FY2002

FY2003

FY2004

FY2005

% EPAInspectionsLeading toComplaints

PE

RC

EN

T /

YE

AR


99

University and College SEPsUniversity and College SEPs

• 10 settlements include SEPs10 settlements include SEPs

• Range from $26,000 to $270,000Range from $26,000 to $270,000

• Total value of SEPs = $1,711,297 Total value of SEPs = $1,711,297


1010

Types of SEPsTypes of SEPs– Chemical Tracking & Control SystemsChemical Tracking & Control Systems– Mini/Micro-Scale ChemistryMini/Micro-Scale Chemistry– Solvent Recovery SystemsSolvent Recovery Systems– Other Equipment/Technology Other Equipment/Technology

ModificationsModifications– Environmental Compliance PromotionsEnvironmental Compliance Promotions– Environmental Management SystemsEnvironmental Management Systems


1111

Results:Results:Environmental BenefitsEnvironmental Benefits

Program Environmental Benefits from Disclosures

RCRA More than 58,125 lbs/year of hazardous waste is now being managed properly because colleges have self-disclosed violations and corrected mismanagement.

SPCC At least 716,388 gallons of oil are now being managed properly.

TSCA At least 84 residential units now in compliance with lead-based paint rules.

CAA At least 4,000 pounds of chlorofluorocarbons now being appropriately managed.


1212

Root Causes Of Root Causes Of NoncomplianceNoncomplianceSystemic violations appear to stem from:Systemic violations appear to stem from:• Inadequate resources for people, Inadequate resources for people,

equipment and training to carry out equipment and training to carry out environmental activities;environmental activities;

• Limited or no environmental compliance Limited or no environmental compliance accountability for individual accountability for individual departments, laboratories, and staff;departments, laboratories, and staff;

• Limited authority vested in Limited authority vested in environmental compliance officials;environmental compliance officials;


1313

Root Causes Of Root Causes Of NoncomplianceNoncompliance• No clear environmental compliance chain-No clear environmental compliance chain-

of-command;of-command;• Scattered, incomplete, and missing Scattered, incomplete, and missing

environmental compliance environmental compliance documentation;documentation;

• Incomplete institutional knowledge Incomplete institutional knowledge regarding environmental regulatory regarding environmental regulatory requirements; andrequirements; and

• Broad use of hazardous materials when Broad use of hazardous materials when effective substitutes existeffective substitutes exist


1414


1515


1616


1717


1818


1919


2020


2121


2222


2323


2424


2525


2626


2727

Bulb CrushersBulb Crushers


2828

Bulb CrushersBulb Crushers


2929

College & University ViolationsCollege & University Violations20052005

Breakout of Violations from C/U Disclosures

RCRA Violations53% TSCA Violations

7%

CAA Violations3%

CWA Violations36%

EPCRA Violations1%

SDWA Violations0%


3030

College & University RCRA College & University RCRA Violations - 2005Violations - 2005Breakout of RCRA Violations from C/U Disclosures

ID of HW 24%

Universal Waste21%

Container Management30%

Accumulation Time1%

Manifest 9%

Generator Requirements1%

General Facility Standards12%

UST 2%Generator Requirements

ID of HW

Universal Waste

Manifest

Accumulation Time

General Facility Standards

Container Management

UST


3131

College & University CAA College & University CAA Violations 2005Violations 2005

Breakout of CAA Violations from C/U Disclosures

SIP (including MACT, NESHAPS,

& Title V) 57%

CFCs 40%

Asbestos 3%


3232

College & University CWA College & University CWA Violations 2005Violations 2005

Breakout of CWA Violations from C//U Disclosures

NPDES 0%

SPCC/OIL Spill100%


3333

College & University TSCA College & University TSCA Violations - 2005Violations - 2005

Breakout of TSCA Violations from C/U Disclosures

Lead Paint 100%

PCBs 0%


3434

College & University EPCRA College & University EPCRA Violations - 2005Violations - 2005

Breakout of EPCRA Violations from C/U Disclosures

Chemical Inventory50%

MSDS 50%


3535

Top 10 RCRA Violations From Top 10 RCRA Violations From Inspections – 936 ViolationsInspections – 936 ViolationsRankRank ViolationViolation FrequencyFrequency

11 ID of HW ID of HW 205205

22 Container Container ManagementManagement

141141

33 LabelingLabeling 113113

44 Accumulation TimeAccumulation Time 8484

55 Off-Site Receipt of Off-Site Receipt of HWHW

7878


3636

Top 10 RCRA Violations From Top 10 RCRA Violations From Inspections – 936 ViolationsInspections – 936 ViolationsRankRank ViolationViolation FrequencyFrequency

66 InspectionsInspections 6262

77 Universal WasteUniversal Waste 5757

88 Requirements for Requirements for Ignitable, Reactive, Ignitable, Reactive, & Incompatible & Incompatible WastesWastes

4242

99 Incompatible Incompatible WastesWastes

2626

1010 Emergency Emergency ProceduresProcedures

2424


3737

Top 10 RCRA Violations From Top 10 RCRA Violations From Disclosures – 245 ViolationsDisclosures – 245 ViolationsRankRank ViolationViolation FrequencyFrequency

11 ID of HW ID of HW 6363

22 Universal WasteUniversal Waste 4848

33 LabelingLabeling 4646

44 ManifestsManifests 3333

55 Container Container ManagementManagement

2222


3838

Top 10 RCRA Violations From Top 10 RCRA Violations From Disclosures – 245 ViolationsDisclosures – 245 ViolationsRankRank ViolationViolation FrequencyFrequency

66 TrainingTraining 99

77 InspectionsInspections 44

88 Accumulation TimeAccumulation Time 44

99 CeSQG CeSQG RequirementsRequirements

33

1010 UST Leak UST Leak DetectionDetection

33


3939

Survey OverviewSurvey Overview

• 61 colleges61 colleges completed and returned the completed and returned the audit survey audit survey

• 33,899 faculty are reported to be working 33,899 faculty are reported to be working at these facilitiesat these facilities

• 69,205 staff are reported to be working at 69,205 staff are reported to be working at these facilitiesthese facilities

• 399,498 students are reported to attend 399,498 students are reported to attend these facilitiesthese facilities

• 2191 facilities are reported to compose 2191 facilities are reported to compose these 61 collegesthese 61 colleges


4040

How many faculty does your College/University employ?

28

18

6 5

1 1 0 0 1

0

5

10

15

20

25

30

0-250 251-500 501-1000

1001-2000

2001-3000

3001-4000

4001-5000

5001-6000

6001-7000

Number of Faculty

Nu

mb

er

of

Co

lleges

&

Un

ivers

itie

s


4141

How many Staff does your College/University employ?

1819

1211

02468

101214161820

Number of Staff

Nu

mb

er

of

Colleges

&

Un

ivers

itie

s


4242

How Many Students Attend your College/University?

12

7

11

76

5

32 2

1

6

4

0

2

4

6

8

10

12

251-500

1001-2000

3001-4000

5001-6000

7001-8000

9001-10000

>20000

Number of Students

Nu

mb

er

of

Co

lleges

&

Un

ivers

itie

s


4343

How many facilities are part of your institution?

28

8 97

41

4

0

5

10

15

20

25

30

0 to 5 6 to10

11 to25

26 to50

51 to75

76 to100

>100

Number of Facilities

Nu

mb

er

of

Co

lleges/

Un

ivers

itie

s


4444

What best describes your status with the Audit Initiative?

3%19%

59%

19%

No, did notparticipate in AuditPolicy

Yes, audited withoutcommunicating withEPA

Yes, signed an AuditAgreement with EPARegion 2

Yes, voluntarily self-disclosed complianceissues


4545

% of Respondants who found each Compliance Assistance Activity

'Very Useful'

24%

25%33%

18%

Workshops/trainings/presentations

Outreach materials

Region 2 websites

EPA responses tophone calls/emails


4646

Understanding Of Waste Understanding Of Waste Management Regulations Management Regulations Before And After Before And After Compliance Initiative (40% - 98%)Compliance Initiative (40% - 98%)

Before

High40%

None2%

Some58%

After

Some

2%

High

98%


4747

Changes in Understanding – Changes in Understanding – Very High ResponsesVery High Responses

ProgramProgram BeforeBefore AfterAfter

RCRARCRA 4040 9898

ASTAST 4848 9292

USTUST 5555 9393

CAACAA 3131 8282

CWACWA 4343 7373

SPCCSPCC 3333 8787

TSCATSCA 4343 7676

PesticidesPesticides 5252 8282


4848

Changes Made as a Result of Changes Made as a Result of the Initiativethe Initiative

Type of ChangeType of Change PercentagePercentage

Handling, processing, Handling, processing, monitoring, and O&Mmonitoring, and O&M

41%41%

Paperwork, labeling, and Paperwork, labeling, and reportingreporting

33%33%

TrainingTraining 13%13%

Implement P2 and waste Implement P2 and waste minmin

8%8%

EMS: 5%EMS: 5% 5%5%


4949

Changes Planned as a Result of Changes Planned as a Result of the Initiativethe Initiative

Type of ChangeType of Change PercentagePercentage

Handling, processing, Handling, processing, monitoring, and O&Mmonitoring, and O&M

33%33%

Paperwork, labeling, and Paperwork, labeling, and reportingreporting

25%25%

EMSEMS 28%28%

TrainingTraining 8%8%

Implement P2 and waste Implement P2 and waste minmin

6%6%


5454

What percentage of your institution was audited?

78%

20%2% 100%

Greater than%50

Less than %50


5555

Did you encounter roadblocks with the cost of your audit?

Definite roadblocks

8%

No roadblocks

57%

Some issues, but no

major issues

35%


5656

Did you encounter roadblocks with the cost of compliance?

Definite roadblocks

15%

No roadblocks

32%

Some issues, but no major

issues53%


5757

Did you encounter roadblocks with upper management when

implementing your audit?

No roadblocks

75%

Definite Roadblocks

8%

Some issues, but no major

issues17%


5858

Did you encounter roadblocks with identifying appropriate

contractors?

Definite roadblocks

6%

No roadblocks65%

Some issues, but no major issues

29%


5959

Did you encounter roadblocks with lack of knowledge of regulations?

Definite roadblocks

12%

No roadblocks33%

Some issues, but no major issues

55%


6060

Did you encounter roadblocks with overall time and

commitment?Definite

roadblocks25%

No roadblcoks

29%

Some issues, but not major

46%


6161

Did you encounter roadblocks interacting with regulatory

agencies?

No roadblocks

74%

Some issues, but not

major

22%

Definite roadblocks

4%


6262

Did you encounter roadblocks with cooperation of

faculty/staff/students?

Definite roadblocks

14%

No roadblocks

25%

Some issues, but not major

61%


6363

How much time was required to complete the correction of all

areas of non-compliance?

More than 120 days,

38%

More than 60 days but

less than 120 days,

31%

Within 60 days, 31%


6464

What influenced you to participate in an Audit Agreement or self-

disclosure?

Penalty reductions

21%

Avoid enforcement

action44%

Moral responsibility

20%SUNY

agreement15%


6565

How often does your institution typically audit under your formal

mulit-media environmental compliance audit?

Once every three to five

years29%

Once every two years

18%

Once every year53%


6666

Reported College & University Reported College & University Audit CostsAudit Costs

• Average cost of audit is $38,208Average cost of audit is $38,208

• Average cost of audit without 5 most Average cost of audit without 5 most expensive (>$100,000) is $11,607expensive (>$100,000) is $11,607

• Average cost of compliance is $108,815Average cost of compliance is $108,815

• Average cost of compliance without 8 Average cost of compliance without 8 most expensive (>$100,000) is $17,307most expensive (>$100,000) is $17,307


6767

Does your institution have a formal Environmental

Management System (EMS)?

No73%

Yes27%


6868

If an EMS is not in place, are you considering adopting an EMS?

Not planned9%

Planned23%

Under consideration

68%


6969

If an EMS is not in place, what are the roadblocks?

Time5%

Other5%

Insuf f icient technical

resources5%

Lack of management

support42%Cost

consideration43%


7070

Does your EMS include a periodic, systematic review of your facility's

compliance?

No10%

Yes90%


7171

Has your EMS been the basis for any operating changes beyond

compliance?

Yes65%

No35%


7272

Did the Compliance Initiative/self-audit play a role

in the decision to implement an EMS or modify an existing EMS?

No22%

Yes78%


7373

Goals For Compliance Goals For Compliance InitiativeInitiativeImprove environmental compliance and Improve environmental compliance and

safety at main and off-site facilities.safety at main and off-site facilities.Change the culture to one in which Change the culture to one in which

environmental compliance is a priority.environmental compliance is a priority.Ensure compliance of entire sector; not Ensure compliance of entire sector; not

just those reached through inspections.just those reached through inspections.Ensure continued compliance by Ensure continued compliance by

implementing permanent changes.implementing permanent changes.


7474

John Gorman

212-637-4008

[email protected]/region02/p2/

college/

leveraging limited resources to obtain better compliance

Documents

compliance issues

continued compliance

compliance of entire

college seps10 settlements

environmental benefitsregion

environmental results

inadequate resources

individual departments