Water Board Sticks


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  • Water Board Sticks

    1. 1. Water Board Enforcement How it works, and how you can participate August 2007 Workshop on Sustainable Solutions for Water Resources Facing Development Pressure Mark Bradley Office of Enforcement CA State Water Resources Control Board
    2. 2. Water Board Enforcement <ul><li>We’ll Discuss </li></ul><ul><ul><li>What we do </li></ul></ul><ul><ul><li>What to expect if you’re subject to enforcement </li></ul></ul><ul><ul><li>How you can engage us on enforcement </li></ul></ul><ul><ul><li>What you should expect in a local enforcement program </li></ul></ul>
    3. 3. State Water Resources Control Board Regional Water Quality Control Boards <ul><li>Discharges Regulated </li></ul><ul><ul><li>Discharges to Surface Waters or Land </li></ul></ul><ul><ul><ul><li>Waste Treatment Plants </li></ul></ul></ul><ul><ul><ul><li>Industry </li></ul></ul></ul><ul><ul><ul><li>Agriculture </li></ul></ul></ul><ul><ul><ul><li>Storm Water Discharges </li></ul></ul></ul><ul><ul><li>Underground Storage Tanks </li></ul></ul><ul><ul><li>Landfills </li></ul></ul><ul><ul><li>Mining Waste </li></ul></ul><ul><ul><li>Etc. </li></ul></ul>
    4. 4. State Water Resources Control Board Regional Water Quality Control Boards <ul><li>We Regulate Discharges through: </li></ul><ul><ul><li>Laws </li></ul></ul><ul><ul><li>Policies </li></ul></ul><ul><ul><li>Plans </li></ul></ul><ul><ul><li>Permits </li></ul></ul><ul><ul><li>Prohibitions </li></ul></ul><ul><ul><li>Etc. </li></ul></ul>
    5. 5. Why should we take Enforcement? <ul><li>Our goal is compliance, not enforcement. But without the threat of enforcement, you cannot reasonably expect compliance. </li></ul>
    6. 6. We Enforce Compliance <ul><li>Compliance with What? </li></ul><ul><ul><li>Laws </li></ul></ul><ul><ul><li>Policies </li></ul></ul><ul><ul><li>Plans </li></ul></ul><ul><ul><li>Permits </li></ul></ul><ul><ul><li>Prohibitions </li></ul></ul><ul><ul><li>Etc. </li></ul></ul>Enforcement cannot protect water quality if these parts of the process are not effective and enforceable These are meaningless without enforcement
    7. 7. Appropriate Enforcement <ul><li>Timely </li></ul><ul><li>Similar for similar violations </li></ul><ul><li>Informs the violator </li></ul><ul><li>Results in return to compliance </li></ul><ul><li>May require remediation of damage </li></ul><ul><li>Serves as deterrent </li></ul><ul><li>Progressive enforcement </li></ul>
    8. 8. Basic Enforcement Authorities <ul><li>Porter-Cologne (State Law)‏ </li></ul><ul><ul><ul><li>Numerous Alternatives </li></ul></ul></ul><ul><ul><ul><li>Limited By Jurisdictional Requirements (Discharge of Waste, Pollution or Nuisance, “Order” or Prohibition)‏ </li></ul></ul></ul><ul><li>Clean Water Act (Federal Law)‏ </li></ul><ul><ul><ul><li>Discharges to Surface Waters </li></ul></ul></ul><ul><ul><ul><li>Enforcement Options </li></ul></ul></ul><ul><li>Water Board Regulations, Plans, Policies and Permits </li></ul>
    9. 9. WATER BOARD – Informal Enforcement Actions <ul><li>Verbal </li></ul><ul><li>Staff enforcement letter </li></ul><ul><li>Notice of Violation (NOV)‏ </li></ul>
    10. 10. WATER BOARD – Formal Enforcement Actions <ul><li>Notice to Comply </li></ul><ul><li>Technical Reports and Investigations </li></ul><ul><li>(CWC 13267 Requests)‏ </li></ul><ul><li>Time Schedule Orders (TSOs)‏ </li></ul><ul><li>Cleanup and Abatement Orders (CAOs)‏ </li></ul><ul><li>Cease and Desist Orders (CDOs)‏ </li></ul><ul><li>Administrative Civil Liability (ACL) - fines </li></ul><ul><li>Referral to Attorney General or District Attorney </li></ul>
    11. 11. Enforcement Action Types Future Compliance vs. Past Violations <ul><li>Actions that direct future compliance </li></ul><ul><ul><li>Notice to Comply </li></ul></ul><ul><ul><li>13267 Letters, CAOs, CDOs </li></ul></ul><ul><ul><li>Time Schedule Orders </li></ul></ul><ul><ul><li>Revision of permit/monitoring requirements </li></ul></ul><ul><li>Actions that address past violations </li></ul><ul><ul><li>Rescission of WDRs </li></ul></ul><ul><ul><li>Administrative Civil Liability </li></ul></ul><ul><ul><li>Referral to Attorney General or District Attorney </li></ul></ul>
    12. 12. Storm Water Enforcement Act of 1998 <ul><li>Requires State Board to Report Noncompliance </li></ul><ul><li>Notices of Storm Water Noncompliance </li></ul><ul><ul><li>Failure to File NOI, NONA, Annual Certification or Annual Reports </li></ul></ul><ul><li>Mandatory, Minimum ACL if Violation Continues After 2 Notifications </li></ul><ul><ul><li>$5000 for Failure to File NOI </li></ul></ul><ul><ul><li>$1000 for Failure to Submit NONA, Annual Report or Construction Certification </li></ul></ul>
    13. 13. Determining ACL Amounts <ul><li>Mandatory Minimum Penalties </li></ul><ul><li>Statutory Minimums/Maximums </li></ul><ul><li>Factors to </li></ul><ul><li>Consider </li></ul><ul><ul><li>Discharge </li></ul></ul><ul><ul><li>Discharger </li></ul></ul><ul><ul><li>Economic </li></ul></ul><ul><ul><li>Benefit </li></ul></ul>
    14. 14. Economic Benefit <ul><li>What is Economic Benefit? </li></ul><ul><ul><li>An economic benefit is any savings or monetary gain derived from the acts or failure to act that resulted in the violation. </li></ul></ul><ul><li>Why consider Economic Benefit? </li></ul><ul><ul><li>Polluters should not profit from environmental violations </li></ul></ul><ul><ul><li>Level playing field - the cost of doing business </li></ul></ul><ul><ul><li>May be statutorily required </li></ul></ul><ul><li>ACL should always substantially exceed the Economic Benefit. Otherwise, dischargers should just wait until you catch them. </li></ul>
    15. 15. Settlement / Appeal of Enforcement Actions <ul><li>Settlement of ACLs </li></ul><ul><ul><li>Complaint Issued - Board Hearing Within 90 days </li></ul></ul><ul><ul><li>Reduction of the Amount </li></ul></ul><ul><ul><li>Supplemental Environmental Projects </li></ul></ul><ul><ul><li>Compliance Projects </li></ul></ul><ul><li>Board Actions may be petitioned to the State Board within 30 days of issuance </li></ul><ul><li>Appeal to the courts </li></ul>
    16. 16. Supplemental Environmental Projects <ul><li>What is a SEP? </li></ul><ul><ul><li>A project that enhances the beneficial uses of the waters of the State, provides a benefit to the public at large, and would not otherwise be required of the discharger . </li></ul></ul><ul><li>May suspend some of all of the ACL amount (subject to statutory limitations)‏ </li></ul><ul><li>Must go above and beyond obligation of discharger </li></ul><ul><li>Must have connection or “nexus” to violation </li></ul><ul><li>Can require much staff time to oversee </li></ul>
    17. 17. Compliance Projects <ul><li>What is a Compliance Project? </li></ul><ul><ul><li>A project that is designed to address problems related to the violation and bring the discharger back into compliance in a timely manner . </li></ul></ul><ul><li>Unlike SEPs, Compliance Projects are “otherwise required of discharger”. </li></ul><ul><li>Can be require much staff time to oversee </li></ul><ul><li>Must usually be additive to original ACL amount </li></ul><ul><li>In certain, limited situations the ACL monies can be used to bring the facility back into compliance </li></ul>
    18. 18. Additional Issues to Consider <ul><li>Environmental Crimes Taskforces </li></ul><ul><ul><li>Multiple agencies – federal, state and local </li></ul></ul><ul><ul><li>Organized by DA, AG or US Attorney </li></ul></ul><ul><li>Citizen Suits </li></ul><ul><ul><li>Notice of intent to sue under the Clean Water Act </li></ul></ul><ul><ul><li>60 day warning to regulatory agency </li></ul></ul>
    19. 19. How you can engage the Water Boards <ul><li>Contact your Regional Water Board </li></ul><ul><li>Cal/EPA and USEPA Complaints </li></ul><ul><li>Attend Regional Water Board </li></ul><ul><li>Meetings </li></ul><ul><li>Comment on proposed actions – </li></ul><ul><li>permits, plans, enforcement </li></ul><ul><li>actions, etc. </li></ul><ul><li>Petition actions or inactions </li></ul><ul><li>Environmental Crimes </li></ul><ul><li>Taskforces </li></ul><ul><li>Citizen Suits </li></ul>
    20. 20. If you’re subject to Enforcement - Enforcement Items to Watch For <ul><li>Notice of Violation </li></ul><ul><li>Notices to Comply </li></ul><ul><li>Any Order Directing Action </li></ul><ul><ul><li>Requirements to provide information pursuant to CWC 13267 </li></ul></ul><ul><ul><li>Time Schedule Order </li></ul></ul><ul><ul><li>Cleanup and Abatement Order </li></ul></ul><ul><ul><li>Cease and Desist Order </li></ul></ul><ul><li>Administrative Civil Liability Complaint </li></ul>
    21. 21. Critical Elements for Structuring a Local Enforcement Program <ul><li>The Regulatory Process </li></ul><ul><li>Establish requirements </li></ul><ul><li>Evaluate compliance </li></ul><ul><li>Take appropriate enforcement in response to non-compliance </li></ul>
    22. 22. Establish Requirements <ul><li>Usually based on local authority to set conditions and requirements or permit certain activities, though may derive authority from State or Federal laws and regulations </li></ul><ul><li>Requirements should be clear and have the consequences of violation clearly specified </li></ul><ul><li>May be self-implementing , or may depend on permitting or other permissive approach </li></ul><ul><li>Should provide self-reporting or inspection authority </li></ul><ul><li>Should include funding mechanism if existing funding not available </li></ul>
    23. 23. Evaluate Compliance <ul><li>Other Agency Oversight </li></ul><ul><li>Self-Reporting </li></ul><ul><li>Compliance Inspections </li></ul><ul><li>Complaint Response </li></ul><ul><li>Ambient monitoring </li></ul>
    24. 24. Take Appropriate Enforcement <ul><li>Timely </li></ul><ul><li>Consistent </li></ul><ul><li>Informs the violator </li></ul><ul><li>Result in return to compliance </li></ul><ul><li>May require cleanup or other remediation </li></ul><ul><li>Serves as deterrent </li></ul><ul><li>Removal of economic benefit </li></ul>
    25. 25. Enforcement Program Elements <ul><li>Actions that direct future compliance </li></ul><ul><ul><li>Time schedule orders/directives </li></ul></ul><ul><ul><li>Limitations on future development/building permits </li></ul></ul><ul><ul><li>Increased accountability </li></ul></ul><ul><ul><li>Increased inspection frequency </li></ul></ul><ul><li>Actions that address current or past violations </li></ul><ul><ul><li>Stop work orders </li></ul></ul><ul><ul><li>Issuance of penalties </li></ul></ul><ul><ul><li>Threat of criminal enforcement (DA, Taskforces)‏ </li></ul></ul>
    26. 26. Balance <ul><li>Enforcement cannot protect water quality without a strong foundation of enforceable requirements and a reliable process for determining compliance with those requirements. </li></ul>
    27. 27. Enforcement Contacts <ul><li>Regional Water Board Enforcement Coordinators </li></ul><ul><li>State Water Board’s Office of Enforcement </li></ul><ul><li>Cal/EPA and other State Agencies </li></ul><ul><li>USEPA </li></ul><ul><li>Local DA/Taskforces </li></ul><ul><li>Mark Bradley </li></ul><ul><li>Office of Enforcement </li></ul><ul><li>State Water Resources Control Board </li></ul><ul><li>[email_address] </li></ul><ul><li>(916) 341-5891 </li></ul>