Self-Certification in Colorado

Kathryn Stewartand

Joyce Williams

Colorado Department of Public Health and Environment

Hazardous Materials & Waste Management Division

303-692-3361

Hazardous Waste Enforcement and Compliance Unit

• Colorado– Population 4,300,000– 8th largest state – 104,100 square miles

• 5.1 inspector FTE• Generators in the state

– 115 LQGs, 850 SQGs, 5,000-10,000 CESQGs

• ~300 on-site inspections/year

Hazardous Waste Enforcement and Compliance Unit

• Focused on the LQGs 2000-2003– Increase in compliance rate

• Changed focus 2004– Enforcement follow-up– Manifest reviews– Facilities never inspected

• SQGs, small businesses

– Complaints

COMPLIANCE RATE

DROPPED

Annual Compliance Rate All Generators

301

254282274

230

296

0.670.74 0.74

0.78 0.74

0.60

0

50

100

150

200

250

300

350

2000 2001 2002 2003 2004 2005

Federal Fiscal Year

# of

Insp

ectio

ns

0.20

0.40

0.60

0.80

1.00

Com

plai

nce

Rat

e

Total Generator Inspections Total Generator Compliance Rate

est

GOAL = COMPLIANCE

• Enforcement

• Compliance Assistance

– Classroom Training

– Generators Assistance

• Self-Certification

Routine

Inspections

Enforcement

$$$$$$$$$$

Compliance

Compliance Assistance

IN THE PAST

NEW FOCUS

Compliance

ENFORCEMENTINSPECTIONS

COMPLIANCEASSISTANCE

SCOREVoluntary Self Cert Pilot Study

• SQGs

• Randomly selected

• Questionnaire sent out

• Guidance Documents followed questionnaire with explanations

• Emphasis on test compliance

• Lots of good feedback

AUTOBODY SELF-CERTIFCAITON Mandatory

• Define Sector• Set up data base• Create/Mail Questionnaire • Phone call follow up on non-responses

– Penalties of $500 and $1000• Random follow up inspections on 25% of 60

facilities– One potential formal enforcement action

Measurement of Results

• We measure results through

– Overall compliance

– Individual facility compliance

– Compare to general population compliance

• We identify environmental indicators

– Can help us see overall effect

– Can help us evaluate where to train better

• Apply lessons learned for the next self-cert program.

ENVIRONMENTAL INDICATORS

• Affects to the Environment

• Affects to Health and Safety

• Affects to Environment & Health and Safety

ENVIRONMENTAL INDICATOR TYPE QUESTIONS

• Affects to the Environment

– Transporter

– TSD

– Illegal disposal

ENVIRONMENTAL INDICATOR TYPE QUESTIONS

• Affects to the Environment

– Container management

• Condition

• Open

• Weekly inspections

– Minimize Release

ENVIRONMENTAL INDICATOR TYPE QUESTIONS

• Affects to Health and Safety

– Emergency Coordinator

– Emergency Postings

– Emergency Equipment

– Arrangements with locals

ENVIRONMENTAL INDICATOR TYPE QUESTIONS

• Affects to Environment & Health and Safety

– Incompatible waste

– Hazardous waste training

APPLIED LESSONS LEARNED FROM PILOT STUDY

Mandatory

Not just SQGs

Sector specific

Inspection follow up on 20%

Results of Autobody Self-Cert

• Very positive feedback

• All Questionnaires were returned with no fines

• Environmental indicators showed very few issues

• Hazardous waste ID misunderstandings

HOW DO WE MEASURE OUR RESULTS?

• We measure results within the sector for– Overall compliance with all questions– Individual facility compliance

• Compare results of all questions and environmental indicator questions to the self-cert pilot study

• Compare results to the general population data

Autobody Self-Certification % Compliant - by Facility

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15

Facility

% C

ompl

iant

% compliant - facility % compliant - CDPHE

Autobody Self-Certification Compliance Rate by Common Violations

0%10%20%30%40%50%60%70%80%90%

100%

Com

plia

nce

Rat

e

autobody % compl

Autobody Self-Certification % Compliant - by Question

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

A4

A5

A6

A7

A8

A9

A10

A11

A12

A13

A14

A15

A16

A17 B

1B

2B

3C

1C

2C

3C

4C

5C

6C

7D

1D

2D

3D

4E

1* E2

E3

E4

E5

E6

E7 F1 F2

F3A

F3B F4 F5 F6 F7

Question

% C

ompl

iant

% compliant - facility % compliant - CDPHE

Autobody Self-Certification% Compliance of All Questions

564 537

270

0

100

200

300

400

500

600

Facility Response CDPHE Response

Tota

l Num

ber o

f Que

stio

ns A

nsw

ered

Response = Non-Compliant

Response = Compliant

0%

100% 95%

5%

Autobody Self Certification - % Compliance of Environmental Indicators

219202

170

0

50

100

150

200

250

Facility Response CDPHE Response

Tota

l Num

ber o

f Que

stio

ns A

nsw

ered

Response = Non-compliant

Response = Compliant 0% 8%

92%100%

Autobody Self-CertificationCompliance Distribution of All Questions

Facility-Inspector

537

27

Facility = Y; CDPHE = Y

Facility = Y; CDPHE = N

Y-Y

Y-N

Autobody Self-CertificationDistribution of Enviromental Indicator Questions

Facility-Inspector

202

17

Facility = Y; CDPHE = Y

Facility = Y; CDPHE = N

Y-Y

Y-N

SCORE Pilot and Autobody Self-CertificationImprovement in Top 10 Common Violations

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

labeling-'hw' training haz wastedeter

opencontainers

used oillabeling

emerg coord postings emerg equip weeklyinspections

LDR foreach waste

containercondition

Com

plia

nce

Rat

e

SCORE % compl Autobody Self-Cert

General Inspections, SCORE Pilot Study,and Autobody Self-Certification

Improvement in Top 10 Common Violations

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

Com

plia

nce

Rat

e

Gen % compl for SQGs SCORE % compl Autobody Self-Cert

Results of Autobody Self-Cert

• Hazardous waste ID misunderstandings

• Sent out compliance assistance information letters for distillation bottoms in the trash

• Open containers

• Weekly inspections

• Posting emergency response information

• Enforcement not necessary so far?

Future forAutobody Self-Cert

• Will be annual

• Add Non notifiers and all Notifiers (CESQGs and SQGs)

• Will be cross media

Next SectorDry Cleaners Self-Cert

• Will be 800 to 1000 participants

• Non notifiers and all Notifiers (CESQGs and SQGs)

• Trouble Sector

• Clean ups on-going for perc plumes

• Will be cross media

Dry Cleaners Self-Cert

• Up front work with the community– Phone calls– Training– Prepare businesses for the idea of self-

certification– Trade Organizations– Small business centers

Summary

• Will enhance our ability to achieve compliance through teaching and enforcement

• Will eliminate the possibility of not knowing about the regulations

• Will help identify deliberate non compliance• Will help businesses who want to be in

compliance

Saving the Future