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aeo basics

What we hope to accomplish. Enforcement options discussionProvide two perspectives (sometimes similar, sometimes divergent) on:AEO ObjectivesCase developmentCalculating penaltiesSelling a case to managementNegotiation/settlementCase studies. Options. Humboldt:AEODAState Attorney GeneralOther Agency ReferralSanta ClaraCitation (local ordinance, mostly for no permit)AEODADTSC.

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aeo basics

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    1. AEO BASICS Melissa Martel, Humboldt CountyMickey Pierce, Santa Clara County

    3. Options Humboldt: AEO DA State Attorney General Other Agency Referral Santa Clara Citation (local ordinance, mostly for no permit) AEO DA DTSC

    4. Agency Referrals Used for non-CUPA portions of programs Used if violations better fit another agency (transporter, RCRA to DTSC) Used if another agency has superior expertise (US EPA for CalARP facilities) Use other agencies to support your case

    5. DA involvement Humboldt Not done in conjunction with AEO process Santa Clara Letter from Management to DA letting them know that we are pursuing case administratively Keeps them informed Minimizes possibility of settling a case where DA may have another non-CUPA case active.

    6. General Process Santa Clara: ID viols that think are worthy of enforcement Inform management Write up standardized format, usually includes proposed $$ If AEO, letter of office hearing, DA as cc: Office hearing, agree to terms/settlement Haven’t had one not settle yet! (knock on wood) Generally manager writes final settlement document, will ask staff for proposed language

    7. Santa Clara Co. Forms

    8. General Process Humboldt Once it is determined that Administrative Enforcement is warranted, staff develops: chronology of events leading to present Penalty calculations Previous correspondence and any records or reports for the facility (more….)

    9. (continued) General Process Photos Parcel maps and information Draft Show Cause letter or “Quick Settlement” documents Memo to the Director recommending AE action

    10. (cont.) General Process Once approved by the Director for AE, send documents to County Counsel for review Then up the chain of Departmental management for approval (County Counsel attends some of our settlement meetings) Value of CC and different perspective. Settlement impasse: “how much is your property worth?”Value of CC and different perspective. Settlement impasse: “how much is your property worth?”

    11. Expedited Process Prepare a settlement document and cover letter Send both to responsible party Present two options Sign and settle at reduced rate Go directly to hearing Seeing time savings, less haggling, quicker settlement.

    12. Penalties Important considerations for calculating Degree of Harm Deviation from the regulations/statute Economic Benefit Ability to pay

    13. H/W Initial PenaltyH/W Initial Penalty

    14. Assigning degrees of actual and potential harm The initial penalty provides latitude on the degree of harm (minimal, moderate, major). Major harm would include: Contaminated creek, groundwater, soil Polluted drinking water Polluted air Animal illness, fatality Wildlife impacts Microbiological damage Major is defined as the characteristics and/or amount of the substance involved present a major threat to human health or safety or the enironment and the circumstances of the violation indicate a high potential for harm. Also consider impacts to the lower food chain in natural systems.Major is defined as the characteristics and/or amount of the substance involved present a major threat to human health or safety or the enironment and the circumstances of the violation indicate a high potential for harm. Also consider impacts to the lower food chain in natural systems.

    15. Deviation The initial penalty provides for latitude on the extend of deviation (minimal, moderate, major) from the requirements. Did the act indicate that the requirements were completely ignored? MAJOR Did the act deviate from the req. but req functions to some extent? MODERATE The act deviated but req. functions nearly as intended? MINIMAL or was the function of the requirement rendered ineffective because some of its provisions are not complied with?or was the function of the requirement rendered ineffective because some of its provisions are not complied with?

    16. Penalties Considerations taken when proposing a calculated penalty: Humboldt History of compliance Cooperation Potential Political Outfall Santa Clara “Settlability” Cost recovery Compliance History

    17. Selling your case to Mgmt Learn “What do they want?” Suggested offsets/ SEPs Penalties Dollar values (calc, 75% settlement, 50%, 25%, 10%)? How did you get there? Time management/accounting Mood of the offender

    18. Roadblocks to AEO Humboldt Management and Politics Business in the red Long cumbersome review process & paperwork Uncooperative Respondent who won’t agree to anything Santa Clara Staff time Coordination with PAs Politics

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