Transcript Preparing for a TCEQ Investigation and what to do After a

Preparing for a TCEQ
Investigation and what to do
After a TCEQ Investigation
Presented by Monica Galvan
TCEQ Region 15 Harlingen
This presentation provides general guidance in
order to prepare you for a TCEQ investigation
and outlines the follow-up steps you should
initiate once a compliance investigation has
been conducted and you have received a TCEQ
Exit Interview Form.
TCEQ Purpose
• Mission Statement
– The Texas Commission on Environmental Quality
(TCEQ) strives to protect our state's public health
and natural resources consistent with sustainable
economic development. Our goal is clean air,
clean water, and the safe management of waste.
Meeting the TCEQ Mission Statement
• Through the regulation of environmental
media as it pertains to Air, Water and Waste
while utilizing the Texas Administrative Code
Title 30 rules.
• Conducting compliance investigations at
facilities that meet criteria to be regulated by
the TCEQ.
Preparing for a TCEQ Investigation
• First, learn the TCEQ rules and regulations.
Visit www.tceq.texas.gov or contact the TCEQ
Publications Section at 512-239-0028 to
obtain a copy.
• GI-032 Obtaining TCEQ Rules provides basic
information to find statutes, codes and rules.
Preparing for a TCEQ Investigation
• Prior to operating, become familiar with the
rules and obtain applicable permits,
registrations, approvals and authorizations.
Also provide required notifications.
Preparing for a TCEQ Investigation
• If applicable, in conjunction with the rules,
also follow your approved permit, registration,
and/or authorization.
• Know your on-site safety requirements.
Preparing for a TCEQ Investigation
• Research information relating to the facility
– Central Registry
– On-line databases
– Secretary of State
– Texas Comptroller
– County appraisal records
Preparing for a TCEQ Investigation
• Continue Preparation
– Gather all relevant checklists, publications and
guidance documents.
– Obtain and maintain proper licensing and/or
certification(s).
– Adequately maintain and calibrate sampling
equipment.
– Be familiar with your sampling requirements.
Preparing for a TCEQ Investigation
• Continue Preparation
– Conduct required sampling.
– Maintain compliance with monitoring and
reporting requirements.
– Maintain and/or submit records in a complete and
timely manner.
– Maintain “Best Management Practices” (BMPs) to
avoid oversight.
Preparing for a TCEQ Investigation
• Continue Preparation
– Ensure that a system is developed so that
expectations flow through the chain of command.
– In order to achieve and maintain compliance,
consistently communicate knowledge and
reiterate procedures.
Preparing for a TCEQ Investigation
• Final Preparation
– Conduct a mock investigation at your facility.
– Ensure that you have knowledgeable and capable
personnel available at the time of the
investigation.
– Identify areas in which the facility is noncompliant
and correct them.
Preparing for a TCEQ Investigation
• In summary
– Obtain proper authorizations prior to commencing
operations.
– Understand and implement the regulatory
requirements.
– Maintain records and adequate operational
procedures.
Preparing for a TCEQ Investigation
• In summary
– Ensure that all associated personnel are
knowledgeable, capable and current on required
licensing/certification as applicable.
– Be proactive. Being organized facilitates an
efficient investigation.
– Seek assistance if it is needed.
At the Conclusion of a TCEQ
Investigation
• The TCEQ investigation has concluded and
discovered:
– No additional issues, concerns or violations.
– Additional Issues that should be addressed, but
are not considered violations .
– Areas of Concern or violations that will require
additional corrective action.
At the Conclusion of a TCEQ
Investigation
• Investigator will discuss the alleged
violation(s) and/or additional issue(s).
• Investigator will compile and provide the
facility with a TCEQ Exit Interview. The Form
will note no concerns OR the alleged
violations, areas of concern (AOC) and/or
additional issues.
At the Conclusion of a TCEQ
Investigation
• Investigator will discuss timeframes (generally
within 14 to 30 days) for which compliance
documentation should be submitted to
resolve the alleged violation(s) prior to the
issuance of an NOV letter.
• Investigator will discuss what is considered
acceptable compliance documentation.
At the Conclusion of a TCEQ
Investigation
• Compliance documentation includes:
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Photographs
Work orders
Invoices
Receipts
Applicable records/documents
Applicable permits, registrations, approvals or
authorizations
– Written verification (describe each form of
documentation)
At the Conclusion of a TCEQ
Investigation
• Submitting written compliance
documentation:
– Fax
– Email
– Regular mail
– Courier
– Walk in/Hand-delivered
At the Conclusion of a TCEQ
Investigation
• Of note, a TCEQ investigation report may take
up to 60 days for the investigator to compile
the report and go through a review and
approval process. During that time, keep the
lines of communication open with the
investigator, as additional information or
clarification may be needed.
At the Conclusion of a TCEQ
Investigation
• Types of letters that are issued as a result of
Compliance Investigations:
– General Compliance Letter
– Notice of Violation (NOV) Letter
– Notice of Enforcement (NOE) Letter
At the Conclusion of a TCEQ
Investigation
• General Compliance Letter without an
additional issue(s):
– File the letter with the facility’s records.
– Continue operating and maintaining the facility in
accordance with requirements.
At the Conclusion of a TCEQ
Investigation
• General Compliance Letter with an additional
issue(s):
– Address the additional issue as it applies.
– File the letter and response to the additional issue
with the facility’s records.
– Continue operating and maintaining the facility in
accordance with requirements.
At the Conclusion of a TCEQ
Investigation
• There are some violations in which an
enforcement action will be initiated due to the
significance or repetition of the violations. The
TCEQ utilizes an Enforcement Initiation
Criteria (EIC) to determine if an NOV or NOE
letter is warranted.
At the Conclusion of a TCEQ
Investigation
• The current Enforcement Initiation Criteria can
be viewed at:
http://www.tceq.texas.gov/agency/eic.html
At the Conclusion of a TCEQ
Investigation
• There are three EIC violation categories:
– Category A
– Category B
– Category C
At the Conclusion of a TCEQ
Investigation
• Category A
– Automatic initiation of formal enforcement
At the Conclusion of a TCEQ
Investigation
• Category B
– A responsible party will first be given an
opportunity to come into compliance. The NOV
will specify a compliance due date, solicit a
compliance schedule, and/or acknowledge
violations have been resolved.
At the Conclusion of a TCEQ
Investigation
• Category B
– A formal enforcement action is initiated when a
Category B violation is documented during two
consecutive investigations within the most recent
5-year period (repeated) or when the respondent
does not correct the B violation by the compliance
due date noted on the NOV.
At the Conclusion of a TCEQ
Investigation
• Category C
– A noncompliance not otherwise designated as a
higher priority violation in Category A or Category
B.
– A formal enforcement action may be initiated
when a Category C violation is documented three
(3) times within the most recent 5-year period,
including the current violation.
At the Conclusion of a TCEQ
Investigation
• Notice of Violation Letter
– Read and understand the recommended
“Corrective Action.”
– Contact the Regional Office, the specific Central
Office Program or Small Business and Local
Government Assistance, for technical assistance.
– Submit adequate compliance documentation
before or by the compliance due date.
At the Conclusion of a TCEQ
Investigation
• Notice of Violation Letter
– Contact the Regional Office for time extensions.
– Remember there is an option to contest the
violation(s) if the facility deems a discrepancy with
the allegation(s) that were cited. The time frame
and option to contest will be in the body of the
letter.
– Make a copy of the compliance documentation for
the facility file.
At the Conclusion of a TCEQ
Investigation
• Notice of Violation Letter
– Once adequate compliance documents have been
submitted, a “Compliance with NOV letter” will be
provided which states no further submittal is
required.
– Make a copy of the “Compliance with the NOV”
letter for the facility file.
– Continue operating and maintaining the facility in
accordance with requirements.
At the Conclusion of a TCEQ
Investigation
• Notice of Enforcement Letter
– Read and understand the recommended
“Corrective Action.”
– Contact the Regional Office, the specific Central
Office Program or Small Business and Local
Government Assistance, for technical assistance.
– Make a copy of the compliance documentation for
the facility file.
At the Conclusion of a TCEQ
Investigation
• Notice of Enforcement Letter
– Wait to be contacted by the TCEQ Enforcement
Division for additional recommended corrective
actions.
– Remember there is an option to Contest the
violation(s) if the facility deems a discrepancy with
the allegation(s) that were cited. The time frame
and option to contest will be in the body of the
letter.
At the Conclusion of a TCEQ
Investigation
• If formal enforcement is initiated against the
facility, the following may occur:
– Orders or Agreements are issued.
– Fines are levied.
– Compliance will still be required.
At the Conclusion of a TCEQ
Investigation
• In summary:
– Begin taking corrective measures to address
violations.
– Submit adequate compliance documentation.
– Request assistance if needed.
– Be responsive.
– Continue operating and maintaining the entity in
accordance with requirements.
Applying the guidance provided today will assist
you in maintaining a path of compliance.
• Monica Galvan, Work Leader
– TCEQ Harlingen Region 15
1804 West Jefferson Avenue
– Harlingen, Texas 78550
– Office: 956-425-6010
– Fax: 956-412-5059
– E-mail: [email protected]
Assistance
• Small Business & Local Government
Assistance 1-800-447-2827
• Call your Regional Office
• Call Central Office Program main switchboard
512-239-1000
Assistance
• Hearing impaired 1-800-RELAY-TX
• Customer service survey can be completed
online
https://www.tceq.texas.gov/customersurvey/
• Visit our website www.tceq.texas.gov
Thank You