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Preparing For A TCEQ Investigation and What To Do After A TCEQ Investigation

Preparing For A TCEQ Investigation and What To Do After A TCEQ Investigation. Presented By: Monica Galvan TCEQ Region 15 Harlingen . The TCEQ Purpose. Mission Statement:

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Preparing For A TCEQ Investigation and What To Do After A TCEQ Investigation

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  1. Preparing For A TCEQ Investigation and What To Do After A TCEQ Investigation Presented By: Monica Galvan TCEQ Region 15 Harlingen

  2. The 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.

  3. HOW DOES TCEQ MEET THE MISSION STATEMENT? • Through the regulation of environmental media as it pertains to Air, Water and Waste while utilizing the 30 Texas Administrative Code rules. • Conducting compliance investigations at facilities/operations of entities that meet criteria to be regulated by the TCEQ.

  4. Preparing For A TCEQ Investigation • First, learn the TCEQ rules and regulations. Visit www.tceq.texas.gov or contact the TCEQ Publications Unit at 512-239-0028 to obtain a copy. • Before you begin operating obtain, permits, registrations, approvals and provide notifications as applicable.

  5. Preparing For A TCEQ Investigation • When you are authorized to operate, know and follow the rules. • If applicable, in conjunction with the rules, also follow your approved permit, registration, and/or authorization. • Know your on-site safety requirements.

  6. Preparing For A TCEQ Investigation • Research information as it relates to the regulated entity; • Central Registry • On-line Databases • Secretary of State • Texas Comptroller • County Appraisal Records

  7. Preparing For A TCEQ Investigation • Continue Preparation • Gather all relevant checklists, publications and guidance. • Obtain and maintain proper licensing and/or certification(s). • Obtain and maintain sampling equipment.

  8. Preparing For A TCEQ Investigation • Continue Preparation • Know your sampling requirements. • Conduct required sampling and test equipment as applicable. • Maintain compliance with monitoring and reporting requirements.

  9. Preparing For A TCEQ Investigation • Continue Preparation • Maintain and/or submit records in a complete and timely manner. • Maintain “Best Management Practices” (BMPs) to avoid oversight.

  10. 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.

  11. Preparing For A TCEQ Investigation • Final Preparation • Conduct a mock investigation at your facility/operation. • Ensure that you have knowledgeable and capable personnel available during the time of the investigation.

  12. Preparing For A TCEQ Investigation • Final Preparation • Identify areas in which the entity is noncompliant and correct them. • If you find that further assistance is needed contact the TCEQ and request guidance.

  13. IN SUMMARY • Prior to operation obtain proper authorization. • Understand and implement the regulatory requirements. • Maintain records and adequate operational procedures.

  14. IN SUMMARY • Ensure that all associated personnel are knowledgeable, capable and current on required licensing/certification as applicable. • Be proactive. • Seek assistance if it is needed.

  15. So now that you’re prepared, let’s discuss the conclusion of and what to do after being investigated by the TCEQ.

  16. 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 • Concerns or violations that will require additional corrective action

  17. 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 entity with an Exit Interview Form noting no concerns OR the alleged violations and/or additional issues.

  18. At The Conclusion Of A TCEQ Investigation • The investigator will discuss the time frame (generally within 14 to 30 days) for which compliance documentation should be submitted to resolve the alleged violation(s) prior to issuing the written NOV letter. • The investigator will discuss what is considered acceptable compliance documentation.

  19. You have the TCEQ Exit Interview Form and corrective action was requested. What should you do?

  20. What To Do After A TCEQ Investigation? • Submit compliance documentation. Examples include: • Photographs • Work orders • Invoices • Receipts • Applicable records/documents • Written verification (describe each form of documentation)

  21. What To Do After A TCEQ Investigation? • How to submit compliance documentation; • facsimile (fax) • regular mail • walk in

  22. What To Do After A TCEQ Investigation? • 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.

  23. The investigation report has been approved and the TCEQ has sent a letter. The letter references the investigation and also requests compliance documentation.

  24. What To Do After A TCEQ Investigation? • What Types of Letters are Issued as a Result of Compliance Investigations - General Compliance Letter - Notice of Violation (NOV) Letter - Notice of Enforcement (NOE) Letter

  25. What To Do After A TCEQ Investigation? General Compliance Letter Without An Additional Issue(s) • File the letter with the entity’s records. • Continue operating and maintaining the entity in accordance with requirements.

  26. What To Do After 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 entity’s records.

  27. What To Do After A TCEQ Investigation? General Compliance Letter With An Additional Issue(s) • Continue operating and maintaining the entity in accordance with requirements.

  28. What To Do After A TCEQ Investigation?  Note - 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 a NOV or NOE letter is warranted.

  29. What To Do After A TCEQ Investigation? There are three EIC violation categories Category A Category B Category C

  30. What To Do After A TCEQ Investigation? Category A Automatic initiation of formal enforcement

  31. What To Do After 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.

  32. What To Do After A TCEQ Investigation?  Note – 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.

  33. What To Do After A TCEQ Investigation? Category C A noncompliance not otherwise designated as a higher priority violation in Category A or Category B.

  34. What To Do After A TCEQ Investigation?  Note – 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.

  35. What To Do After A TCEQ Investigation? The current Enforcement Initiation Criteria can be viewed at: http://www.tceq.texas.gov/agency/eic.html

  36. What To Do After 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.

  37. What To Do After A TCEQ Investigation? Notice of Violation Letter • Submit adequate compliance documentation before or by the compliance due date. • Contact the Regional Office for time extensions.

  38. What To Do After A TCEQ Investigation? Notice of Violation Letter • Remember there is an option to Contest the violation(s) if the entity 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.

  39. What To Do After A TCEQ Investigation? Notice of Violation Letter • Make a copy of the compliance documentation for the file. • Once adequate compliance documents have been submitted, a “Compliance with NOV letter” will be provided which states no further submittal is required.

  40. What To Do After A TCEQ Investigation? Notice of Violation Letter • Make a copy of the “Compliance with the NOV” letter for the file. • Continue operating and maintaining the entity in accordance with requirements.

  41. What To Do After 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.

  42. What To Do After A TCEQ Investigation? Notice of Enforcement Letter • Remember there is an option to Contest the violation(s) if the entity 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.

  43. What To Do After A TCEQ Investigation? Notice of Enforcement Letter • Make a copy of the compliance documentation for the file. • Wait to be contacted by the TCEQ Enforcement Division for additional recommended corrective actions

  44. What To Do After A TCEQ Investigation? What does it mean if formal enforcement is initiated against the entity? - Orders or Agreements will be issued - Fines will be levied - Compliance will still be required

  45. IN SUMMARY • After you have been investigated • 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

  46. CONCLUSION UTILIZING THE GUIDANCE PROVIDED TODAY WILL ASSIST YOU IN MAINTAINING A PATH OF COMPLIANCE REMEMBER THAT WE ARE HERE TO HELP

  47. Need Assistance?  Small Business & Local Government Assistance 1-800-447-2827  Call your Regional Office  Call Central Office Program main switchboard 512-239-1000

  48. Need Assistance?  Hearing impaired 1-800-RELAY-TX  Customer service survey can be completed online  Visit our website www.tceq.texas.gov

  49. Monica Galvan • TCEQ Harlingen Region 15 1804 West Jefferson Avenue Harlingen, Texas 78550 • Office: 956-425-6010 • Direct Line: 956-430-6032 • Fax: 956-412-5059 • E-mail: monica.galvan@tceq.texas.gov

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