Post on 18-Dec-2015
2015 NCMAEPA Enforcement Policies and How They Affect Your Facility
Michael Pjetraj, P.E.DAQ Stationary Source Compliance
Branch Supervisor
EPA Policies
• The following EPA policies were revised in 2014:
– Federally Reportable Violation – FRV– High Priority Violation – HPV– Compliance Monitoring Strategy - CMS
Federally Reportable Violation – FRV
• Purpose: Outline the type of violations that state, local, and tribal agencies report to EPA
• Reporting of CAA violations into ICIS-Air, the national air compliance and enforcement data system, is critical for:
• National program management and oversight • Transparency and public access purposes
Federally Reportable Violation – FRV
• The applicable universe of sources whose violations of federally enforceable requirements are to be reported:– Title V Major Sources – SM-80 Sources: Minor sources that have taken an
enforceable limit to remain minor sources, called synthetic minor sources, that emit or have the potential to emit (PTE) at or above 80 percent of the Title V major source threshold
– Sources included in an alternative CAA Stationary Source Compliance Monitoring Strategy (CMS) plan
– Any source at which a HPV has been identified
Federally Reportable Violation – FRV
• Define FRVs as all violations of any emission limitation and certain procedural violations regardless of duration
• Clarify that EPA does not presume that all FRVs require a formal enforcement action
• In implementing the FRV Policy, agencies should be familiar with the HPV Policy as HPVs are a subset of federally reportable violations
Federally Reportable Violation – FRV
What are FRVs:• Violations of any emission limitation, emission
standard or surrogate parameter.
• * Procedural violations including: – Failure to maintain reports and underlying records as
required by permit or regulation such as: • continuous emissions monitoring system (CEM) and continuous
parameter monitoring reports • malfunction reports - excess emission reports • semi-annual monitoring and periodic monitoring reports
Federally Reportable Violation – FRV
What are FRVs:• * Procedural violations including:
– Failure to timely test (e.g., performance test) or conduct valid monitoring as required by permit or regulation
– Failure to timely report (e.g., annual compliance certifications)
– Failure to construct, install, or operate facility/equipment in accordance with the permit or regulation (e.g., CEMs or other monitoring equipment)
– Failure to obtain or maintain a permit (e.g., expired permit)
Federally Reportable Violation – FRV
• Requires formal notice to facility (penalty not required)
• Requires DAQ data submission to the appropriate EPA database
• Ultimately presented on ECHO
High Priority Violation – HPV• The EPA’s HPV Policy – EPA’s enforcement response policy for certain violations of
the Clean Air Act. (HPVs are a subset of FRVs)– Provides a tool for enforcement agencies to prioritize
enforcement activities.– Establishes a process for enforcement agencies to interact
with EPA regarding these violations– Outlines EPA’s expectations for appropriately responding
to HPVs. – Enhances EPA’s ability to conduct oversight of enforcement
activities in an effort to promote national consistency.
High Priority Violation – HPV
• Applies primarily to :– Major source – But can include a violation at any facility
• Only applies to a federally enforceable violation that also meets one of the six HPV criteria.
High Priority Violation – HPV
• Criterion 1- Failure to obtain a New Source Review permit and/or install BACT or LAER for any new major stationary source or major modification at a major stationary source.
• Criterion 2- A violation of a PSD emission limitation, standard or operating parameter, which is a surrogate for emissions where such violation continued for at least seven days
• Criterion 3- A violation of any emission limitation, standard or operating parameter, which is a surrogate for emissions, in an applicable Standards of Performance for New Sources (NSPS) where such violation continued for at least seven days.
• Criterion 4- A violation of any emission limitation, standard or surrogate parameter of an applicable National Emission Standards for Hazardous Air Pollutants (NESHAP) (Parts 61 and Parts 63) for major sources where such violation continued for at least seven days.
High Priority Violation – HPVCriterion 5- A violation that involves federally enforceable work practices,
testing requirements, monitoring requirements, recordkeeping or reporting that substantially interferes with enforcement of a requirement or a determination of the source’s compliance
Criterion 6- Any other violations specifically identified and communicated to enforcement agencies or as mutually agreed upon between the enforcement agency and corresponding EPA Region (case-by-case).
High Priority Violation – HPV
• Step 1 - Discover the violation thru any compliance monitoring activity– Inspection, audit, permit review
• Step 2- Identify the HPV– Should occur within 90 days of the Discovery Action
• Step 3- Advise the Company of the violation– Can take many forms, e.g., conference, written letter– Should occur within 135 days from the Discovery Action, 45 days from
day zero
High Priority Violation – HPV
• Step 4- Address the HPV Using One of the Following:– Issue a legally enforceable order that requires immediate action to
come into compliance with the requirement violated; – Issue a legally enforceable order that imposes penalties, where the
source has demonstrated that it is currently complying with the requirement violated;
– Issue a legally enforceable order that imposes a schedule on the source to comply with the requirement violated and penalties for the violation; or
– NC DAQ – NOV/NRE is the most typical addressing action
High Priority Violation – HPV
• Step 5- If the HPV is not Addressed within 270 from Discovery, 180 days from Day Zero– Develop Case-Specific Management Plan – Discuss the plan with the Region
• Pollutant(s) at issue, including an estimate of type and amount of any on-going or recurring emissions
• Specific Milestones for case resolution, proposed dates for settlement negotiations, commencing enforcement action (administrative or judicial)
• Step 6- Case-Specific Consultation• Step 7- Resolving the HPV means:
– All penalties have been collected– The source is confirmed to be in compliance with respect to all HPVs
Compliance Monitoring Strategy - CMS
Facilities affected:–TV–SM-80s–Others negotiated
Compliance Monitoring Strategy - CMS
• Full Compliance Evaluations• Partial Compliance Evaluations• Investigations
Compliance Monitoring Strategy - CMS
• Full Compliance Evaluation (FCE)– Comprehensive evaluation of the compliance
status of a facility.– Addresses all regulated pollutants at all regulated
emission units; current compliance status of each emission unit; the facility’s continuing ability to maintain compliance at each unit.
Compliance Monitoring Strategy - CMS
• FCE includes:– A review of all required reports and underlying
records including all reported monitored data (CEM records, malfunction reports, excess emission reports).
– A review of TV annual compliance certifications, semi-annual monitoring and periodic monitoring reports, and any other permit required report.
– An assessment of control device and process operating conditions as appropriate.
Compliance Monitoring Strategy - CMS
• FCE includes:– A VE observation as needed– A review of records an operating logs– An assessment of process parameters such as feed
rates, raw material composition and process rates.
Compliance Monitoring Strategy - CMS
• Partial Compliance Evaluation (PCE)– A documented compliance evaluation conducted for
the purpose of making a compliance determination and focusing on a subset of processes, regulated pollutants, regulatory requirements, or emission units at a given facility.
• A PCE may be conducted solely for the purpose of evaluating a specific aspect of a facility, or combined to satisfy the requirements of an FCE.
Compliance Monitoring Strategy - CMS
– PCE Examples:• Conduct source performance tests• Sampling, and monitoring• Visible emission observations• Continuous Monitoring System Quality Assurance (QA)
Audit• Review of facility reports or documents such as Quarterly
Excess Emission Reports and semi-annual deviation reports• Review of facility records and operating logs,
testing/sampling plans, and monitoring data• Review of relevant process, emissions, and inventory
information
Compliance Monitoring Strategy - CMS
• Minimum CMS Frequencies– Full Compliance Evaluation (FCE/FS) Once every
two years at all TV. – FCE/FS once every 5 years at Synthetic Minors
Compliance Monitoring Strategy - CMS
• DAQ Commitments– TV facilities - inspected once per year– SM facilities - inspected once per year– Minor (small) facilities - inspected once every
other year– Or a different plan as negotiated by the regional
office & the central office.
Compliance Monitoring Strategy - CMS
• NC DAQ continually evaluates the compliance status of a facility
• Reports, Inventories, Tests, etc• We consider the on-site inspection to be the
end of the full compliance evaluation period.