EHS Compliance Educational Seminar for TBR Colleges and Universities
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Transcript of EHS Compliance Educational Seminar for TBR Colleges and Universities
EHS Compliance Educational Seminar
forTBR Colleges and Universities
April 16, 2009
Nashville, TennesseePresented 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?
A. Corporation/College/University or Other Institution
B. Executives/Administrators/Managers
C. EHS coordinator
D. Other individuals
E. 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.
Compliance Program Action Items
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
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.
Sample FormDocumenting Aspects, Gaps & Action Items
Area: Building 10 Key Contact: Jane Doe Activity/service Compliance Issues Status Action Items
Chemical storage in Lab
Expired chemicals Need to dispose of expired chemicals
-Quantity?-Hazardous waste?-Generator Status?-Notifications?-Disposal options?-New Storage SOP
HAZCOM program implementation
Program in place, training records on file
Operation of Natural gas-fired boiler
Air emissions Permit in place -Permit expires?-Records for demonstrating compliance?
Storage of #2 fuel oil
Air emissionsSPCC
No permit neededOutdated SPCC
-Documented permit exemption?-Update SPCC
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)
Aspect RegulatedCompliance
StatusSafety Hazard
HealthHazard
Envir. Hazard
Cost Total
Significant? (aspect
considered significant if
score is > 12)
Assign Value 0 to 55 = 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
Questions?