unified program regulatory performance model manager’s / supervisor’s workshop unified program...
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Unified Program Regulatory Performance
ModelManager’s / Supervisor’s
Workshop
Unified Program Annual Conference2006
UPAAG INSPECTION & ENFORCEMENT STEERING COMMITTEEUP REGULATORY PERFORMANCE MODEL WORKGROUP
UP Regulatory Performance Model
• Last year’s Conference Topic - “Risk Based Inspections”
• Statutory Inspection MandatesInspections every 3 years except
• Annually for UST’s.• None for HW typically every 3 years.• More frequent - self imposed
Examples – one size fits allPlating shops or large refineries inspected
at the same frequency as printersCal ARP facilities at 3 year frequency vs
tanks at annual frequencyFacilities with years of compliance at same
frequency as one with poor complianceLow vs High risk facilities at the same
frequency
UP Regulatory Performance Model
What is the problem? Limited resources to meet inspection and
other mandatesInability to continually ask politicos for higher
fees, even when faced with new mandates.Concern that certain high risk facilities are
not being addressed adequately.
UP Regulatory Performance Model
What is the problem? No adjustments in inspection frequency for
compliant (or problem) businessesSuccess measured by number of
inspections and enforcement – not improved compliance
Inspection frequency not based on risk
UP Regulatory Performance Model
Why was the UPRPM Workgroup formed?Been discussing risk based prioritization for
years.Projects and other demands still happening.Meeting inspection frequencies even with
other recognized demands and projects.
UP Regulatory Performance Model
What is the UPRPM?
Conceptual model of a good regulatory program.Way to deal with workload and priority issues.Local control to address priorities. Allows for options to more effectively and
efficiently:•implement regulatory programs •utilize resources
Not a mandate
UP Regulatory Performance Model
What are the elements of the UPRPM? Regulatory universe identification Standard setting Education and outreach Inspection Options Compliance verification Enforcement Response Metrics Coordination Implementation
UP Regulatory Performance Model
Why implement inspection options?
Free up resources to do other things in the UPRPM such as identifying facilities that are not permitted; expanded outreach, etc.
UP Regulatory Performance Model
Inspection Options – What are they? Use of appropriate statutory Program
Exemptions Initial notification only – HazMat Annual self certification – eg ERP Mandatory State inspection frequency (MSIF) Inspection at frequencies more or less than the
MSIF
UP Regulatory Performance Model
• Hazardous Waste example:LQG: must be inspected at least every 3 years
or more often if necessary. Self certification not available.
SQG: must be inspected at least every 6 years or more often if necessary. Self certification not available.
CESQG: No inspection mandate but the UPA may use established inspection frequencies. Self certification available.
UP Regulatory Performance Model
General Criteria Volume, type and toxicity of hazardous
materials and/or waste; System or facility design and maintenance; Inadequate compliance history; The facility’s proximity to sensitive receptors; The facility’s spill/release history and the type of
media(s)/receptor(s) that were impacted; Federal, State or local initiatives or criteria; and Industry sector compliance history.
UP Regulatory Performance Model
Possible UST Candidates For Less Frequent Than MSIF (requires legislation)
Not within 1000 feet of a drinking water wellAn emergency generator siteGood compliance historyNew designated operator requirements with
validated monthly inspectionsGood complianceState of the art technology such as:
Meeting vacuum pressure hydrostatic (VPH) criteria Enhanced leak detection
UP Regulatory Performance Model
What might be included as core elements of an alternative program?Valid way to measure successEnforcement expectationsEducation & assistanceCompliance verificationCoordination with other agencies
UP Regulatory Performance Model
• What are some of the options being discussed?
Environmental Results Program model where a specific industry self certifies annually with other elements.
Inspect high risk facilities more frequently than the MSIF with enhanced efforts to educate and enforce as appropriate - balanced with ERP?
UP Regulatory Performance Model
• What are some of the options being discussed?
Focus on a specific geographical area to deal with blight and non-compliance in general – balanced with decreased inspection frequency somewhere.
Allocate resources to non-compliant UST businesses and inspect compliant tank facilities once every 2-3 years instead (requires legislation).
UP Regulatory Performance Model
How will the UPRPM improve regulatory oversight?
Allows recognition of complianceAllows resources to be directed to address
priorities such as high risk facilitiesAllows resources to be focused on problem
areas or industriesAllows resources to be directed to problem
facilities based on compliance or other specified criteria
UP Regulatory Performance Model
• Will facilities drop from regulatory oversight?No
• Who will be able to participate?CUPA’s & PA’s with CUPA concurrence
• What is the timeline for implementation?2006: further model development2007: possible legislation2008-09: actual start of implementation2010: my retirement
UP Regulatory Performance Model
• Will implementation require legislation?Probably under inspection frequencies
• How long will this program implement changes?UPAs might propose alternatives that are for
specific projects or long term implementation.
UP Regulatory Performance Model
How will the UPA be approved to incorporate some of the options?Through an application process to Cal EPA:
Demonstration of capabilities Track record of good CUPA reviews Track record of good inspection &
enforcement programs Ability to implement alternative programs Data to measure success
UP Regulatory Performance Model
• If the State does not agree to my proposal for whatever reason, will what we are doing now remain required?
YES
• Who will ensure the UPA stays on track?
Cal EPA
UP Regulatory Performance Model
Standards for authorizing CUPA implementation of alternative Inspection options
Compliance with current inspection requirements Effective and appropriate enforcement and
compliance assistance Appropriate staff training/expertise Staff have met core curricula requirements and
have had basic enforcement trainingOther criteria to be developed
UP Regulatory Performance Model
• Will UPAs be required to implement a UPRPM alternative?
No, the alternatives are not a mandate.
• Does the model allow for alternatives within specific program elements?
Yes – alternatives can be proposed for only one program element (or more than one).
UP Regulatory Performance Model
• Are there areas where minimum inspection standards must always be maintained? Yes, some facilities within specific program
elements will not have alternative options available.
• How will success be measured?Under development but hopefully will go
beyond bean counting.
UP Regulatory Performance Model
• If I do not choose to implement an alternative inspection option, will I be required to implement some of what constitutes a UPRPM – like what I might be required to do for industry outreach? Encouraged but not required.
UP Regulatory Performance Model
• How would this affect my staffing?Idea is that it will not affect staffingProposals are to “re-shift” resources to
problem areas or projects.
• How might this affect my fees?Fees are a local issue – your decision to re-
distribute resources should consider it’s impact on individual fees or across the board fees.
There are many options to consider – some with & some without fee impacts.
UP Regulatory Performance Model
• How is the UPRPM connected to the statewide EPOP effort?
EPOP is focused on bringing together disparate BDO’s
Spillover may occur in policies and protocols developed in EPOP
EPOP chair is cognizant of UPA concerns Turn over EPOP discussion to Larry Matz
UP Regulatory Performance Model
Cal/EPA’s Cal/EPA’s Enforcement Program Enforcement Program
Operational PlanOperational Plan(EPOP)(EPOP)
An element of the Agency’s Enforcement An element of the Agency’s Enforcement Initiative to Initiative to
implement item 6 of the implement item 6 of the
Governors Environmental Governors Environmental
Action Plan.Action Plan.
Governor’s Action Agenda Governor’s Action Agenda #6 #6
Protect California's EnvironmentProtect California's Environment Through Tough Enforcement of Existing Laws Through Tough Enforcement of Existing Laws
Strict law enforcement is vital to assure Strict law enforcement is vital to assure environmental protection, prevent polluters environmental protection, prevent polluters from achieving unfair competitive from achieving unfair competitive advantage against complying competitors, advantage against complying competitors, send a message of public values, and send a message of public values, and establish conditions conducive to creativity establish conditions conducive to creativity and participation in voluntary initiatives.and participation in voluntary initiatives.
Cal/EPA 2004 Assessment Cal/EPA 2004 Assessment
One year in lengthOne year in length Literature reviewedLiterature reviewed
LAO, State Auditor , USEPA, Academia LAO, State Auditor , USEPA, Academia 1999 BDO self assessments 1999 BDO self assessments 2003 Assessment updates2003 Assessment updates Interviews throughout California with leaders, Interviews throughout California with leaders,
managers, prosecutors, and field inspectors managers, prosecutors, and field inspectors Survey of 192 Cal/EPA enforcement staffSurvey of 192 Cal/EPA enforcement staff
Cal/EPA’s Enforcement Initiative Cal/EPA’s Enforcement Initiative Nine teams with specific responsibilities:Nine teams with specific responsibilities: Enforceable PermitsEnforceable Permits Single Complaint Tracking systemSingle Complaint Tracking system Training Training Enforcement Intelligence Enforcement Intelligence Data DictionaryData Dictionary Electronic Data Exchange Electronic Data Exchange GIS GIS CommunicationsCommunications Enforcement Program Operational Plan (EPOP) Enforcement Program Operational Plan (EPOP)
EPOPEPOP
A comprehensive model intended to A comprehensive model intended to enhance consistency between disparate enhance consistency between disparate individual BDO’s and our local individual BDO’s and our local counterparts, improve enforcement counterparts, improve enforcement program performance, and serve as a program performance, and serve as a blueprint for future program blueprint for future program development development
EPOP ComponentsEPOP Components Regulatory Universe IdentificationRegulatory Universe Identification Defining Compliance (standard setting)Defining Compliance (standard setting) Infrastructure (including education and Infrastructure (including education and
outreach)outreach) Determining Compliance ( inspections and Determining Compliance ( inspections and
other compliance verification activities) other compliance verification activities) Enforcement Response Enforcement Response MetricsMetrics Compliance and Beyond Incentives Compliance and Beyond Incentives
EPOP EPOP Current StatusCurrent Status Developed comprehensive program outlineDeveloped comprehensive program outline Develop common definition of enforcement (informal Develop common definition of enforcement (informal
and formal) and formal) Identified statutory authority gaps and Identified statutory authority gaps and
recommendationsrecommendations Identified necessary core program policysIdentified necessary core program policys Developing key philosophies , concepts and minimum Developing key philosophies , concepts and minimum
standards for outline elementsstandards for outline elements Developing Implementation plan Developing Implementation plan Establishing separate team to focus on metric Establishing separate team to focus on metric
development development
EPOP EPOP How is EPOP connected to the UPRPM?How is EPOP connected to the UPRPM? Both contain same elements Both contain same elements UP has already addressed many of these UP has already addressed many of these
core elements core elements EPOP focused initially on greater consistency EPOP focused initially on greater consistency
between disparate programsbetween disparate programs UPRPM focused initially on greater flexibility UPRPM focused initially on greater flexibility
to make “risk based” resource allocation to make “risk based” resource allocation decisions. decisions.
Possible policy and protocols impact Possible policy and protocols impact Both efforts are closely coordinated through Both efforts are closely coordinated through
Forum’s Enforcement IC. Forum’s Enforcement IC.
Key Elements forKey Elements for Effective Enforcement Effective Enforcement
Focus on activities that pose the Focus on activities that pose the greatest risk to the environment.greatest risk to the environment.
Focus efforts on those outside of the Focus efforts on those outside of the regulatory net and chronic violators.regulatory net and chronic violators.
Compliance must be clearly defined in Compliance must be clearly defined in permits with adequate, consistent permits with adequate, consistent enforcement.enforcement.
Changing the Way We Measure Changing the Way We Measure EnforcementEnforcement
We currently measure We currently measure activityactivity Inspections, enforcement actions, penalty dollarsInspections, enforcement actions, penalty dollars Incorrectly correlate higher enforcement activities Incorrectly correlate higher enforcement activities
(inspections/actions) with greater enforcement success(inspections/actions) with greater enforcement success
We should measure We should measure resultsresults– Compliance ratesCompliance rates– Environmental effectsEnvironmental effects
Action Agenda #6 Action Agenda #6 Protect California's EnvironmentProtect California's Environment
Through Tough Enforcement of Existing Laws Through Tough Enforcement of Existing Laws
My Administration will focus on keeping My Administration will focus on keeping underlying statutes and regulations simple; underlying statutes and regulations simple; simple rules are easiest to follow and comply simple rules are easiest to follow and comply with; unnecessarily complex rules are hard to with; unnecessarily complex rules are hard to comply with, hard to enforce, and encourage comply with, hard to enforce, and encourage evasion. Particular attention will be given to evasion. Particular attention will be given to better use of information technologies with better use of information technologies with strict, clear and rapid penalties for intentional strict, clear and rapid penalties for intentional or negligent misstatements or omissions.or negligent misstatements or omissions.
Action Agenda #6 Action Agenda #6 Protect California's EnvironmentProtect California's Environment
Through Tough Enforcement of Existing Laws Through Tough Enforcement of Existing Laws
Government should be held accountable for Government should be held accountable for environmental protection to the same extent environmental protection to the same extent as private parties and should be held to the as private parties and should be held to the same enforcement standards. To greatest same enforcement standards. To greatest possible extent, environmental enforcement possible extent, environmental enforcement settlements should be used to provide settlements should be used to provide environmental improvement through environmental improvement through supervised projects, rather than having all supervised projects, rather than having all penalties go to government treasuries.penalties go to government treasuries.
5 Focus Areas Identified5 Focus Areas Identified1. Improve information management1. Improve information management
2. Organize enforcement personnel to2. Organize enforcement personnel to achieve goals of enforcement achieve goals of enforcement
3. Develop strong enforcement culture,3. Develop strong enforcement culture, maximize deterrencemaximize deterrence
4. Increase field presence4. Increase field presence
5. Increase prosecutorial outlets5. Increase prosecutorial outlets
EPOPEPOP
Questions?Questions?
More information: More information: Larry Matz Larry Matz
Cal/EPACal/EPA
[email protected]@calepa.ca.gov
(916) 327-3442 (916) 327-3442