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NY DEC Self-Audit Policy (Draft)

NY DEC Self-Audit Policy (Draft)

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Published by Gotham Gazette
This draft document, created by the New York Department of Environmental Conversation, describes a proposed policy that would allow dozens of industries to self-audit their compliance with environmental regulations.
This draft document, created by the New York Department of Environmental Conversation, describes a proposed policy that would allow dozens of industries to self-audit their compliance with environmental regulations.

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Published by: Gotham Gazette on May 23, 2012
Copyright:Attribution Non-commercial

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05/23/2012

 
CP#/Self-AuditPolicy
ThisDepartmentofEnvironmentalConservation(Department)performself-auditsandadopteffectiveapproachestopreventviolations,measures,therebyincreasingcompliancewithenvironmentallaws'healthandtheenvironment.Tosupporttheseactions,thisPolicyreducesorviolationsthatarediscoveredandvoluntarily,or.discoveredduringcomplianceassistanceactivitiesandregulatedentitiestoengage,duringordinarycourseofbusiness,inanenviromnentalauditPolicyalsoidentifiesincentivesforregulatedentitiesthatagreetoevaluateand.managementpracticesandpollutionpreventionintotheirsystems.
DateIssued:
I.
Summary:
......""F,""c:>
regulatedentitiestopollutionpreventionprotectir
19'
publicforThisPolicydoesnotdiscretionoftheCVUJCl.U~"''''~'vu,program.ThisPolicydoesnot
II.Policy:
TheDepartmentwillencouragecompliancewith,forcertainviolations
.ilH~~.1,Lu..t
lawsandpreventpollutionbyreducings~lf-aUciit,''-enforceablebyanypartyanddoesnotrestricttheauthorityorDepartmentreservestherighttoselecteligibleentitiesforthistocriminalviolations.
III.
Purpose
andBackground:
TheDepartmentisresponsibleforensuringcompliancewithenvironmentallaws.Tothatend,the,DepartmenthasauthoritytoenforcetheenvironmentallawsofNewYorkState,andmaintainsaninspectionandenforcementprogramintendedtodeterviolations.However,thehighvolumeof~ctivitie.s12ot~1}!iallL~~nghuma~healt~:andtheenvironmentaswellaspracticalconstraints,',
jncl}ldillKE~~Jlmit~t.iQ.u§,=gQR1Penfiet5epffiiinenTto
evari1ate~
aI1d~rmpteme:titaUXITiarYstrcrtegiesto
,&.ddl:esscOl1mlian£~IY,iththeE1:1_:y,iroiY~~QI~[~oIi~~ryat[QliJ~,~I:§tlJ.
AdcTIliol1al1y;AiifCle-
28
"oTt11e
ECLpromotespollutionprevention,whichcanenhanceenvironmentalperformancewhileimprovingthecompetitivenessofNewYorkbusinesses.Therefore,theDepartmenthascreatedthispolicytoPage1of6
 
supplementitsenforcementeffortsandincreasecompliancebyincentivizingcomplianceself-audits,environmentalmanagementsystemsandpollutionprevention.
:K11IDY1}1~~~2f..1~~gyJ~d
~1]Ili!y
alr~~.e~llYim!lJ.1}~.fmm.~im~_andJ21:ll:~J2,2!Mi~~~Y..~=l1!ign..Q!'ojects.ThisPolicysupportsthoseeffortsandencourageswidespreaduse.ThisPolicyalsoencoU£.ag_esew~!§...9j...r~gYl~~~nti,~§,,_to*!.di:?,Q},Qfl~,~,9.mI~,g!~JW.~:t1X§~l1t,1l1e!.~JlITel1cy
gf..Y.!2l~'JE.2.imPl~mw..Ll?"Q}.111~.£!l~9,!!-..!1lll,~
Giventheuniquecircumstancessurroundingacquisitionofaregulatedentity,additionalincentivesarewarranted.Therefore,thisPolicylengthensthedisclosureEeriodfornewownersandprovidesalimitedpenaltywaiverfordisclosureofviolationsreq~i~to!be
;;if:rep"Orted
pl.lrsuanitoFecreraTorstatesratute:reg~nitorOrGer
~..~.;.IlllI.i""~~.'
'I.
'*'O....
.!
thatwerea:i'sCoverecfpri'of"fo"acqulsTiionoftheregulatedentity
:-~".~~".,_.,."_=""~!."'~~.,"_"~'''.
<''"~~~'_~~'''r~_
-,...._,~",.._""".._....,.""W~Jo<.>·..:IWlol>:".\~....,..,~·.
-:.),.,~~".....
..,."JI"'.."..,.",...~.....
tY.'l!"~'~""'?~'="""""~""'U""~"'J"lJ~,"'''",.~;;;
""""':()1.<)1..,.,..-:,,",,,,,_,.
ThisPolicysupplementsthepenaltyadjustmentprovisionsoftheCivilPenaltyPolicyandEnforcementGuidanceMemorandaSeries,andformalizesthespracticeofexercisingitsprosecutorialdiscretionforallregulatoryandnaturalresourceasappropriate,byelimilJ!!illS...2Lmitigillip.gthecivilthatotherwisebecertaintypesofviolations.The
JP"',l'l1"T'11'l~'nT'
S
usewithitsenforcementauthorityconferredbyEnvironmentalConservationLawArticle71.
IV.Responsibility:
<
ThisPolicysupersedesCommissionerPolicy19,Smallrepealed.TheOfficeofGeneral
U01111S~~l.
staffwillworkcollectiPreventionUnit,andDepartmentprogramandregionalPolicy.TheOfficeofGeneralensureconsistentimplementation.Policy'suse.npiememanonandinterpretationofthisPolicyandandupdatethisPolicyasneededandtracktheThePollutionPreventionUnitwillserveandclearinghousefortheOfficeofGeneralCounselandDepartmentprogramandstaffasthisPolicyisimplemented,particularlyinrelationtotheadoptionofenvironmentalmanagementsystemsandpollutionpreventionmeasuresbyregulatedentities.ThePollutionPreventionUnitwillalsohelptodesignandimplementtargetedoutreachactivitiesandcollaboratewithotheragenciestoachievethegoalsofthisPolicy.
v.
EligibilityCriteriaandProcedure:
A.RegulatedEntities-
ThisPolicyappliestoanyentity,includingaFederal,Stateormunicipalagencyorfacility,regulatedunderStateenvironmentallawsandregulations.TheDepartmentmayuseitssole
~~~".lIcn..~{_/"",.!'I_L~,..,.._f:I;ltolol~j\~"·JnAUQI,'
discretiontoexcluderegulatedentitieswithahistoryofnon-compliancewhere,withinthepast5years:
'W~_~J,r.,VI'I'''\''''112'1:O:~'''~....
te--~u.:IObli.!ul",,.;:h.Ojl~r,vt>~::r'f!11w;n~I1!~·4lr'VJl:~~Vir.::~~~J.t.:l.r,i~~.I"llVjd!jX;oo~""!<).f;:IJn~D-:_..IJ·~·:"",~fI.:l.\Ij-..r"....~l~"""A~il:l:'M(",.;I1>,l;ns~nl/flImi'!II~)~,(~I.
1.theentityreceivedawarningletter,noticeofviolation,orfieldcitation;orwassubjecttoapenaltydemandforallegedviolationofthesameorsimilarrequirementforwhichthepenaltywaiverisbeingsought;Page2of6
 
2.theentityreceivedapenaltywaiverormitigationunderthisPolicyforaviolationofthesameorsimilarrequirementforwhichthepenaltywaiverisbeingsought;or3.thebusinesswasuncooperativeinremedyingpastviolations.Theterm"uncooperative"includes,butisnotlimitedto,suchconductasfailingtorespondtoDepartmentcorrespondence(eg.Warningletter,NoticeofViolation,NoticeofHearingandComplaint),orfailingtotakegoodfaithstepstoremedyviolationswithintimeframesprescribedbylawandasmaybedirectedbytheDepartment.Insuchsituations,theDepartmentmayusethetraditionalenforcementprocesstorequireenvironmentalauditsto
De
performedby
the
regiilatedentityasaineaiisfotransifiOiiinfoc-overagebythisPolicy.
B.EligibleViolations-
ThisPolicyappliestoviolationsthroughself-audit,ordiscoveredbytheDepartment,itsgovernmentagenciesduringpollutionpreventionor
VV>HJ."LU>VV
..reviewsofa1.Thefollowingviolationsare
"
:'
'
..
',
.a.aviolationthatinvolvesallegedanyoftheculpablementalstatesandcriminalnegligence)orgrossfor'culpabilitytodisqualifyabusiness.orisallegedtohavebeencommittedwith15.05(intent,knowledge,recklessness..prosecutionisnotnecessaryb.aviolation
'(i)
discoveredthroughactivities,includinginformation.ofrecordsrelatedtoactivities;(ii)resultinginissuanceofanAppearanceTicketotherfieldcitation;(iii)reportedtoaFederal,memberofthepublicora"whistleblower"employee;or(iv)requiredtoFederalorStatestatute,regulation,permitororder.actualharm,
01'
mayhavepresentedanimminentandhealthortheenvironmentd.aviolationcateNon-Compliance(SNC)bytheFederalCleanWaterActNationalPollutantEliminationSystem(NPDES)programortheResourceConservationandRecoveryAct(RCRA)hazardouswastecompliancemonitoringandenforcementprogram;oraviolationcategorizedasaHighPriorityViolation(HPV)undertheCleanAirAct.2.RegulatedentitiesthatownoroperatemultiplefacilitiesremaineligibleforpenaltymitigationunderthisPolicyforviolationsdiscoveredatfacilitiesthatmeeteligibilitycriteria,evenifanotherfacilitywiththesameownershipisalreadythesubjectofaninvestigation,inspection,informationrequest,third-partycomplaintorticket,'
c.
DisclosurePeriod-Aregulatedentitymustvoluntarilydiscloseaviolationorsuspectedviolationexpeditiously,consistentwithanytimeframeprescribedbylaw.DisclosureoftheviolationtotheDepartmentmustoccurwithin30qalendardaysafterthebusinesskneworshouldhaveknownofthe
~~-'..n..
~~·.,p;-"",.
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