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EHS Compliance Educational Seminar for TBR Colleges and Universities. April 16, 2009 Nashville, Tennessee Presented by UT CIS. EHS Jeopardy…. Answer: Fines, penalties and jail time. Question : ?????. Did you know….
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EHS Compliance Educational SeminarforTBR Colleges and Universities April 16, 2009 Nashville, Tennessee Presented by UT CIS
EHS Jeopardy… • Answer: Fines, penalties and jail time. • Question: ?????
Did you know… • EPA is holding educational institutions to the same standards as industry • Subject to the same environmental laws/regulations and penalties for non-compliance • Colleges and Universities were a low inspection priority in the past…times are changing!
Did you know… • EPA identified high rate of non-compliance with colleges and universities • Primary problem areas: • Hazardous Waste Management • Water Pollution (Clean Water Act and Storm Water Pollution Prevention) • Fines and Penalties issued have ranged from $20K to over $1M
Fines and Penalties… • Administrative • Civil & Criminal • Fines/penalties are additive to the cost of coming into compliance • Assessed per violation -- each day of non-compliance is separate violation • Other adverse consequences • Public relations, loss of government grants, contracts, permits, etc.
Who’s Liable? • Corporation/College/University or Other Institution • Executives/Administrators/Managers • EHS coordinator • Other individuals • All of the above
Who’s Liable? • Answer: All of the Above • “Natural” persons (Individuals) and “Juridical” persons (corporations, governmental entities and other institutions) can be held liable for violations.
Responsible Corporate Officer Doctrine • Corporate officers can be held criminally liable for acts committed by their subordinates • Prosecutions allowed when statute involves public health and welfare
Responsible Corporate Officer Doctrine • More aggressively used in environmental arena • Courts have held that environmental statutes are public health and welfare statues. • Can be used when public health/safety at stake • Proof of knowledge required under public welfare legislation is minimal – only have to show that a corporate officer “had, by reason of his position, responsibility and authority either to prevent… or promptly to correct the violation…and failed to do so...”
Enforcement Actions • Enforcement actions on the rise – even with limited government resources. • Increase in criminal enforcements for environmental fractions: • More charges against individuals versus corporations. • Increasingly for failure to properly comply with procedural aspects of environmental laws.
EPA Enforcement Actions • Criminal Prosecutions • Huntsman Chemical Company • Environmental Manager and Plant Manager indicted: fraudulent claims – air emissions • Koch Petroleum Group • V.P., Refinery Manager, Corporate Counsel, Plant Manager and Environmental Engineer indicted: conspiracy to conceal non-compliance
EPA Enforcement Actions • Criminal Prosecutions • Intertek Testing Services Environmental Labs • 13 employees indicted – from V.P. all the way down to laboratory employees • Fraudulent claims – sample analysis
EPA Enforcement Actions • Fines and Penalties • University of Hawaii • Paid $1.8 million in civil penalties for violating federal law – poorly managing lab waste • University of New Hampshire • Will pay a fine of $49,000 for RCRA violations and will spend at least $147,000 on a Supplemental Environmental Project
EPA Enforcement Actions • Fines and Penalties • Yale University • $69,000 for RCRA violations • $279,000 committed to campus environmental projects • University of Georgia • $2.62 million cleanup of a hazardous waste landfill that had polluted ground water
OSHA Enforcement Actions • Fines and Penalties • Imperial Sugar - $8,777,500 (initial) • 13 killed and 40 injured in explosion • BP Oil Company - $21,361,500 (final) • 15 killed, 107 injured - Texas Plant explosion • Safway Services Inc. - fines totaling $166,500 • Construction site fatality – 3 willful citations issued by TOSHA
OSHA Enforcement Actions • Criminal Prosecutions • Lemaster Steel Erectors - Employee fell to death. Safety Director and Regional Manager plead guilty to violating federal fall protection regulations – sentenced to 6 months in prison and 3 years probation, plus fines. Site foreman sentenced to 4 months in prison and 3 years probation, plus fines. • Owner of plumbing firm pled guilty to criminal charges of willfully violating OSHA trenching safety standards – two employees killed – 6 months in jail and 3 years probation, plus restitution to victims’ families.
How do you minimize the potential for fines and penalties? • Implementing an effective EHS compliance program is the best defense. • Program should evaluate the daily functions, identify problem areas and actively work to rectify problems. • Functional program and top to bottom involvement is essential for any organization operating in a regulated industry.
Define campus areas with EHS aspects and impacts: Laboratories Art Departments Physical Plants/boiler rooms & emergency generators Chemical storage rooms/storage tanks Maintenance Facilities/paint booths New Construction Automotive Fleets Compliance Program Action Items
Program Action Items…. • Determine aspects/impacts in each area: • Chemical use/storage/exposure • Waste generation & disposal • Wastewater discharges • Refrigerant issues • Asbestos, lead paint, air emissions • Equipment/machinery use • Noise
Program Action Items…. • Evaluate compliance with each aspect/impact identified. • Identify compliance gaps and required steps to close the gaps.
Program Action Items…. • Once identified, work diligently to close compliance gaps. • Must make progress and get things done!
Getting things done… • Administrative involvement is crucial • Must allocate resources – including $$$ • Compliance is a cost center – not a profit center. • However, consider the cost of non-compliance: fines, penalties and the risk of criminal prosecution, including jail time.
Getting things done… • Share the wealth • EHS coordinator can’t do it alone • Form a team -- at least one person from areas with safety/environmental aspects/impacts and other key areas/functions • Define team roles, responsibilities, goals and objectives • Provide team with information, training and follow-up
Getting things done… • Create compliance roadmap • Checklist and mock audits can be used to get started -- great tools for compliance gap analysis • Benchmark with a campus that has an established program • Develop and document standard operating procedures for compliance issues • Have a good recordkeeping system
Getting things done… • Prioritize • Decide on what must get done • Use a “rating system” to rank items on the “to do” list • Consider compliance, risk, financial, etc. • Document list • Forward to team members • Include timeline and responsibilities
How to prioritize…. • Eliminate the hazard • Address non-compliance • Fix the easy first, then target big ticket items • Be purposeful and plan ahead • Proactive versus reactive
Sample RANKING Worksheet (Typically used for EMS Systems) Assign Value 0 to 5 5 = High 1 = Low 0 = Not applicable
What’s Next…. • Continue with compliance programs • Administration support is vital • Additional Training • Next topic: Hazardous Waste notification/reporting - preparing and submitting the appropriate forms • Other topics to come • Needs/suggestions – contact EH&S Regional Executives