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Targeting within the Enforcement and Compliance Program

Overview

I. Basics of Targeting and Key RolesII. ToolsIII. Key Targeting Examples Showing How Tools

Can Help Identify ProblemsIV. New Directions In Targeting

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I. Why target?

Given limited resources, ensures that the most significant violations are identified and addressed.

Informed deployment of inspection and enforcement resources will have a significant bearing on the results and program success.

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Why Target?

Not possible to provide on-site inspection/evaluation coverage of 100% of the regulated community (~5 million facilities).

Field presence deters and detects violations.

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Basic Targeting Criteria

Risk based (toxicity, exposure, pounds of pollutant). Designed to ensure coverage of the regulated

community. Focused on addressing high rates of non-compliance

in a specific industry or industrial process. Respond to public complaints. Follow-up to ambient monitoring or remote sensing

data. Follow-up to previous enforcement order.

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What Are the OECA, Regional and State Roles in Targeting?

Targeting efforts normally fall into:– Strategic (sector priorities)– Tactical (choosing facilities for inspection/enforcement)

OECA– Strategic targeting primarily related to national priority selection. – For tactical targeting, OECA’s role as been as a “tool provider”.– Corporate-wide/watershed/national issues targeting.

Regions – Perform some strategic targeting and analysis, and some tool development.– Decide which targets (facilities) to evaluate (focus on finding problems).– Review and coordinate on state inspection plans.

States– Ensure that universes of facilities are frequently evaluated (less emphasis on

targeting to find problems).– However, the existing compliance monitoring strategies incorporate an element

of targeting by focusing on larger facilities, etc.

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Ways to Enhance Targeting

Focus on corporate and cross-boundary issues such as priority watersheds and non-attainment zones.

Targeting within national priorities and emerging priorities. Finding important cases in the core (e.g., Massey). Differential oversight/Level playing field

– weighting inspections/enforcement toward states that do not have a strong program.

Targeting in sectors or regulatory areas that require more complex investigations and monitoring

– Example, schools project, fence line monitoring efforts, etc. Targeting activities to align with EJ communities.

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II. What Tools Are Available to Assist with Targeting?

The Online Tracking Information System (OTIS) is the primary targeting tool.

OTIS Can Screen for Non-inspected facilities High pollutant and/or carcinogen release Violators in priority watersheds Repeat violators Environmental justice concerns Unregulated facilities

Map results Analyze trends/patterns by state/Region

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III. Examples of Targeting Analysis

The CWA Inspection Targeting Model provides a ranking of all CWA standard permits within a state based on violation, enforcement and water quality information.

OTIS allows users to interface with external data (such as D&B) and compare those records to EPA’s list of regulated facilities.

OECA has used OTIS to identify facilities that have not properly applied for CAA Title V permits.

OTIS allows users to match up impaired waters with facilities that are releasing pollutants related to the impairment.

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Example of OTIS Query with Mapped ResultsCWA Non-majors DMR/Violation Data in Indiana

Facilities in Indiana with

greater than 25 effluent violations

in 3 years

Also on Priority

Watersheds

Also not inspected in last

3 years (1 facility)

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Selecting Receptor Populations (Schools) and Use of Risk Data to Identify Possible Risk Sources

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Example: Targeting to Address EJ concerns in Milwaukee

Area selected for focus using screening-level EJ indicators (EJSEAT-based).

Place-based focus allowed for more detailed, cross-program analysis of data on potential targets (e.g., OSHA data and ATSDR Health Studies).

Looked for overlap with sector priorities (e.g., LDAR). Focus on larger facilities this year; next will include smaller

facilities in significant sectors, aiming for strong deterrence and compliance assistance across sector.

Enforcement presence can support local economic development efforts when focused on high-impact and undesired land uses. Area appears to have had a relatively low past enforcement presence by state and EPA.

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Example: Role in Strategic Targeting

Portland Cement NSR: – Sector with high emission levels.– Research showed a trend to higher-sulfur fuels (petroleum

coke).– Enforcement potential determined through review of Title V

permits, and review of technical literature available from a local industry association library.

R5 Air program encourages creative thinking and research to identify possible future national and regional priorities.

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IV. New Directions In Targeting

Possibilities: – Better use of risk, cancer, and spatial data.– Working from receptor populations or problem areas (e.g., schools,

cancer hotspots, watersheds, etc.) back to causes.– Create Inspection Targeting Models that can produce rankings tailored

to the greatest problems. – Better use of web technology to track priority area universe and

associated targeting data and results.– Setting goals in places we want investments. – Examples:

EPA increases inspections in EJ areas by x% per year. EPA inspections or enforcement increase in a chosen priority watershed, or

in a state that is not meeting expectations. EPA establishes a goal for % of wet weather inspections identifying

violations.

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How are Others Using Our Data To Target?

Examples of public interest in targeting problems.– Schools with poor air quality (use of risk data with receptor focus)– Coal ash impoundments and selenium releases (reaction to event)– Lack of CWA enforcement for DMR violations at non-majors (data

analysis driven - many violations, little enforcement)– Chesapeake Bay (ecosystem focus)

These are areas that OECA will need to be involved in, but are not part of the priority selection process.

How do these external drivers interact with our planned work? How can we have the necessary flexibility to address emerging problems that do not align with planned activities?

Is there a way to anticipate where external analysis are coming from so we can get a head of the curve?