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Mark Bradley


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Mark Bradley

  1. 1. Enforcement What to Expect From the Water Boards, and What to Look for Locally ENTS Workshop August 22 2008 Mark Bradley Office of Enforcement CA State Water Resources Control Board
  2. 2. Enforcement <ul><li>We’ll Cover Two Areas – </li></ul><ul><li>Water Board Enforcement – what we do, how you can engage us, and what to expect if you’re subject to enforcement </li></ul><ul><li>Local Enforcement Programs – elements you should expect to have in an effective local enforcement program </li></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. 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>
  5. 5. Why should we take Enforcement? <ul><li>In other words, if we’re not willing to enforce our regulatory programs, we should just go home. </li></ul>
  6. 6. 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>
  7. 7. Basic Enforcement Authorities <ul><li>Porter-Cologne (State) </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) </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>
  8. 8. 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>
  9. 9. 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>
  10. 10. 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>
  11. 11. 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>
  12. 12. 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>
  13. 13. 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>
  14. 14. 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>
  15. 15. 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>
  16. 16. 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>
  17. 17. 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>
  18. 18. 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>
  19. 19. 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>
  20. 20. 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>
  21. 21. 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>
  22. 22. 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>
  23. 23. 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>
  24. 24. 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>