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The Cost of Environmental Compliance
Audits and Inspections
Presented by
Cindy Bishop
at
40th Annual Professional Development Conference
February 4, 2013
2
Summary
I. The Cost of Environmental Compliance
II. How to Handle an Inspection
III. Being Proactive – Internal Audits
3
 Federal
◦ CWA
 Up to $25k per day civil
 Up to 250,000 per day criminal or up to 15 yrs in
prison for individuals or up to $1 mil for company
◦ SWDA
 Up to $25k per day civil
 Up to $50,000 per day criminal or up to 5 yrs prison;
 Texas
◦ $25,000 per day per violation
◦ Criminal Penalties
4
 EPA FY2012
◦ $252 million in penalties
(208 civil 44 criminal)
 CAA/CWA
◦ $44 million supplemental environmental projects
 TCEQ FY2012
◦ 61,750 inspections
◦ $11.4 million in penalties
 Waste/Water (#1 - )
◦ $2.5 million supplemental environmental projects
5
gas stations
 Factors Considered When Assessing Penalties
◦ Gravity of Violation
◦ Cooperation
◦ History of Compliance
◦ Good Faith Efforts to Comply/Correct
◦ Economic Benefit
6
 Supplemental Environmental Projects
◦ Up to 75% of penalty
◦ State and Federal penalties
7
8
 What drives inspections?
◦ Disgruntled employees/ex-employees
◦ Neighbor complaints
◦ Competitor complaints
◦ Chance (announced)
9
10
 Always be Prepared
◦ Organized Files
 Document Retention Policy
 Privileged Documents Separate and Labeled
◦ Point of Contact
◦ Inspection Procedures
11
◦ Keep an Inspection Kit
 Camera
 Clipboard with paper
 Sample collection containers
 Blank Chain of Custody Sheets
 List of Phone Numbers
Corporate Office
Legal Counsel
12
 When they arrive:
◦ Put them in a conference room
◦ Find company contact
◦ Ask for Identification
◦ Determine Scope
◦ Reason for Inspection
 Next steps:
◦ Safety orientation
◦ Where do they want to go?
13
 Criminal Investigations
◦ Call legal counsel
◦ Cooperate unless otherwise instructed by counsel
◦ If they have a search warrant
 Timing
 Scope
 Receipt of Items Taken
14
 During the Inspection
◦ Escort them at ALL times
◦ Photo what they photo
◦ Sample what they sample
◦ Document where they go and what they do
◦ Direct all questions to company escort
15
 Answering Questions
1. Tell the truth
2. Answer the Inspector’s Questions
3. Don’t speculate
4. If in doubt, see #1 & #3
16
 Providing Documents
◦ Keep a log of what is taken
◦ Is anything confidential/trade secret?
◦ Offer to copy and send later
 (Don’t forget to follow through)
17
 Concluding the Inspection
◦ Ask for a closing conference/exit interview
 Did they see any problems?
Correct while inspector is there, if possible
 Citation expected?
 Request copy of inspector’s report
18
 After the Inspection
◦ Send in any samples
◦ Verbally notify corporate of outcome
◦ Summarize facts in writing
◦ Follow-up with any info requested during the
inspection
19
 Top 5 Things Not to Do
1) Make them get a search warrant
2) Destroy evidence
3) Belittle the inspectors
4) Leave them alone
5) Volunteer information
 Get Ahead of the Game
◦ Recordkeeping
◦ Training
◦ Organized Files
◦ Calendar
20
 Self-Audits
◦ EPA Self-Disclosure Policy
 Discovered During an Audit
◦ Texas Audit Privilege Act
 Prior Notice to TCEQ
 Audit Document is Privileged
 Immunity When Disclosed if Timely Corrected
◦ Programs in at Least 26 Other States
◦ Not for Criminal Violations
21
 Be Proactive
 Be Organized
 Don’t Panic
22
The Cost of Environmental Compliance
Audits and Inspections
Presented by
Cindy Bishop
40th Annual Professional Development Conference
February 4, 2013

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The Cost of Environmental Compliance - Audits and Inspections

  • 1. The Cost of Environmental Compliance Audits and Inspections Presented by Cindy Bishop at 40th Annual Professional Development Conference February 4, 2013
  • 2. 2 Summary I. The Cost of Environmental Compliance II. How to Handle an Inspection III. Being Proactive – Internal Audits
  • 3. 3
  • 4.  Federal ◦ CWA  Up to $25k per day civil  Up to 250,000 per day criminal or up to 15 yrs in prison for individuals or up to $1 mil for company ◦ SWDA  Up to $25k per day civil  Up to $50,000 per day criminal or up to 5 yrs prison;  Texas ◦ $25,000 per day per violation ◦ Criminal Penalties 4
  • 5.  EPA FY2012 ◦ $252 million in penalties (208 civil 44 criminal)  CAA/CWA ◦ $44 million supplemental environmental projects  TCEQ FY2012 ◦ 61,750 inspections ◦ $11.4 million in penalties  Waste/Water (#1 - ) ◦ $2.5 million supplemental environmental projects 5 gas stations
  • 6.  Factors Considered When Assessing Penalties ◦ Gravity of Violation ◦ Cooperation ◦ History of Compliance ◦ Good Faith Efforts to Comply/Correct ◦ Economic Benefit 6
  • 7.  Supplemental Environmental Projects ◦ Up to 75% of penalty ◦ State and Federal penalties 7
  • 8. 8
  • 9.  What drives inspections? ◦ Disgruntled employees/ex-employees ◦ Neighbor complaints ◦ Competitor complaints ◦ Chance (announced) 9
  • 10. 10  Always be Prepared ◦ Organized Files  Document Retention Policy  Privileged Documents Separate and Labeled ◦ Point of Contact ◦ Inspection Procedures
  • 11. 11 ◦ Keep an Inspection Kit  Camera  Clipboard with paper  Sample collection containers  Blank Chain of Custody Sheets  List of Phone Numbers Corporate Office Legal Counsel
  • 12. 12  When they arrive: ◦ Put them in a conference room ◦ Find company contact ◦ Ask for Identification ◦ Determine Scope ◦ Reason for Inspection  Next steps: ◦ Safety orientation ◦ Where do they want to go?
  • 13. 13  Criminal Investigations ◦ Call legal counsel ◦ Cooperate unless otherwise instructed by counsel ◦ If they have a search warrant  Timing  Scope  Receipt of Items Taken
  • 14. 14  During the Inspection ◦ Escort them at ALL times ◦ Photo what they photo ◦ Sample what they sample ◦ Document where they go and what they do ◦ Direct all questions to company escort
  • 15. 15  Answering Questions 1. Tell the truth 2. Answer the Inspector’s Questions 3. Don’t speculate 4. If in doubt, see #1 & #3
  • 16. 16  Providing Documents ◦ Keep a log of what is taken ◦ Is anything confidential/trade secret? ◦ Offer to copy and send later  (Don’t forget to follow through)
  • 17. 17  Concluding the Inspection ◦ Ask for a closing conference/exit interview  Did they see any problems? Correct while inspector is there, if possible  Citation expected?  Request copy of inspector’s report
  • 18. 18  After the Inspection ◦ Send in any samples ◦ Verbally notify corporate of outcome ◦ Summarize facts in writing ◦ Follow-up with any info requested during the inspection
  • 19. 19  Top 5 Things Not to Do 1) Make them get a search warrant 2) Destroy evidence 3) Belittle the inspectors 4) Leave them alone 5) Volunteer information
  • 20.  Get Ahead of the Game ◦ Recordkeeping ◦ Training ◦ Organized Files ◦ Calendar 20
  • 21.  Self-Audits ◦ EPA Self-Disclosure Policy  Discovered During an Audit ◦ Texas Audit Privilege Act  Prior Notice to TCEQ  Audit Document is Privileged  Immunity When Disclosed if Timely Corrected ◦ Programs in at Least 26 Other States ◦ Not for Criminal Violations 21
  • 22.  Be Proactive  Be Organized  Don’t Panic 22
  • 23. The Cost of Environmental Compliance Audits and Inspections Presented by Cindy Bishop 40th Annual Professional Development Conference February 4, 2013