Workshop B NPDES and W NPDES and Wetlands P tlands Permitting, rmitting, Compliance & Enforcement Compliance & Enf rcement Practical & Cost-Ef Practical & Cost-Effectiv ective Tips f Tips for P r Permitting, the rmitting, the Sur Surface W ace Water T r Tracking, R acking, Repor porting & Electr ing & Electronic onic Applicatio Application Management Syst n Management System (STREAMS), em (STREAMS), and V and Valuab luable Complianc le Compliance P Point inters f for r Reducing Enf ducing Enforcement Risk ement Risk Wednesda dnesday, July 2 July 24, 20 , 2019 19 2:45 p.m. t 2:45 p.m. to 4:15 p.m. 4:15 p.m.
Biographical Information William H. Haak, Founder, Haak Law LLC Cleveland, Ohio 216.772.3532 whh@haaklawllc.com William H. Haak is the Founder of Haak Law LLC (www.haaklawllc.com) – an environmental, health & safety legal and consulting firm based in Cleveland, Ohio. He has nearly 20 years of experience in occupational safety law and worker safety, and 25 years of experience in environmental law (including extensive experience in air pollution control law and multi-media environmental compliance). Mr. Haak practices nationally in the United States and consults globally on all matters related to the EHS field (plus security and crisis management). Mr. Haak graduated from The University of Akron (Business Finance) and Case Western Reserve University School of Law (J.D. with an emphasis on litigation and trial practice). Following law school, he worked as an Assistant Attorney General in the State of Ohio Attorney General’s Environmental Enforcement Section. As counsel to Ohio EPA, Mr. Haak’s practice was focused primarily on civil and administrative air pollution control cases. During his time with the Attorney General’s Office, Mr. Haak resolved civil environmental enforcement actions resulting in civil penalties totaling approximately $4 million. Prior to forming Haak Law LLC, Mr. Haak was Senior EH&S Counsel for General Electric. He supported GE’s Appliances and Lighting Businesses, and was engaged in complex air permitting issues for other GE businesses nationwide. Mr. Haak has also been Associate General Counsel – EH&S for Hexion Specialty Chemicals in Columbus, Ohio, and Senior Regulatory Law Counsel for Owens Corning in Toledo, Ohio. He served overseas in the former Soviet Union (Ukraine) as an Environmental Enforcement Specialist with the American Bar Association’s Central & East European Law Initiative ("ABA/CEELI"). Haak is a frequent lecturer to attorneys, engineers, and environmental professionals on topics concerning federal and state air pollution law. In addition, he has taught as an adjunct faculty member at the University of Central Florida in Orlando and Columbus State in Columbus, Ohio. From 2005 through 2018, Haak taught classes focusing on Air Pollution Law and Occupational Safety and Health Law at The University of Toledo College of Law as an Adjunct Professor.
Biographical Information Ashley Ward, P.E., NPDES Supervisor Ohio EPA, Division of Surface Water 50 West Town Street, Suite 700 PO Box 1049 Columbus, OH 43216-1049 (614) 644-4852 ashley.ward@epa.ohio.gov Ashley Ward, P.E., NPDES Supervisor, OEPA, DSW-CO Ashley has two Bachelor of Science degrees from The Ohio State University; one in Environmental Science, water specialization and one in Chemical Engineering. Ashley has worked for Surface Water for over seven years. Prior to her current position as NPDES Supervisor, Ashley worked for the Division of Surface Water Chief in several different programs including enforcement, rules, NPDES and pretreatment. Before working for Ohio EPA, Ashley worked as a Microbiologist in the Research and Development Department of Lexmark. Joni Lung, Ohio EPA, Division of Surface Water 50 W Town St, Suite 700 PO Box 1049 Columbus, OH 43216-1049 614.644.2152 FAX: 614.644-2745 joni.lung@epa.ohio.gov Joni Lung has been in the Division of Surface Water, 401 and Isolated Wetland Permit Program since 2012, and as an Environmental Specialist 3, she is the lead worker for the program. Her responsibilities include program development, rule and policy development, and special projects such as the general certification for the Nationwide Permits. Before becoming lead worker, Joni was the 401 coordinator for ODOT projects statewide. Prior to working for Ohio EPA, Joni spent three years with the Columbus and Franklin County Metro Parks. Joni has a Bachelor of Science in Natural Resources from the Ohio State University and a Master of Science in Ecology from the Ohio State University.
Managing Water Non-Compliance Responding to Non-Compliance and Reducing Enforcement Risk Session B July 24, 2019 William H. Haak Haak Law LLC HAAK LAW LLC William H. Haak Tel: 216.772.3532 Environmental, Health & Safety whh@haaklawllc.com Legal and Consulting Services
Introduction • How does non-compliance get identified? • First steps matter... • Conducting a “ root cause” investigation • Identifying corrective actions • How and when to approach regulators • Keys to avoiding a Volkswagen scandal... HAAK LAW LLC William H. Haak Tel: 216.772.3532 Environmental, Health & Safety whh@haaklawllc.com Legal and Consulting Services
Identifying Non-Compliance • Through internal systems - Monitoring data shows issue - Employee raises issue - Audit uncovers issue • Through an incident - Release and/ or catastrophic accident ( e.g. , fish kill) - Equipment malfunction or failure • Citizen complaint • Planned or unplanned regulatory inspection HAAK LAW LLC William H. Haak Tel: 216.772.3532 Environmental, Health & Safety whh@haaklawllc.com Legal and Consulting Services
You’re “Non-Compliant”...Now What? HAAK LAW LLC William H. Haak Tel: 216.772.3532 Environmental, Health & Safety whh@haaklawllc.com Legal and Consulting Services
Critical First Steps • Avoid the urge to j ump to conclusions • Investigate fully before designating anything a “ fact” • Try to multi-source your facts • Cast your net WIDE to identify all “ root causes” • Consider engaging an attorney before you even start • UNLES S you have an immediate reporting obligation, do not contact regulators until you know the facts HAAK LAW LLC William H. Haak Tel: 216.772.3532 Environmental, Health & Safety whh@haaklawllc.com Legal and Consulting Services
Simple “Five Why” Root Cause Analysis • Problem : Your car won’t start... 1. Why ? The battery is dead 2. Why ? The alternator isn’ t working 3. Why ? The alternator belt is broken 4. Why ? The belt was beyond its useful life 5. Why ? I haven’ t done regular, routine maintenance • Causes : Direct : Dead battery Surface : Broken alternator belt Root : Failure to conduct routine maintenance HAAK LAW LLC William H. Haak Tel: 216.772.3532 Environmental, Health & Safety whh@haaklawllc.com Legal and Consulting Services
Next Steps • Just returning to compliance isn’ t a “ corrective action” • Thoughtfully identify real corrective actions - Focus on root cause(s) - Aim to ensure you can prevent possible recurrence - Make tough decisions (especially with respect to personnel) • Track and timely complete your corrective actions • Approaching regulators - Determine the nature of your obligation to self-report - Consider audit policies and penalty immunity if you qualify - Presenting regulators with a holistic solution can help HAAK LAW LLC William H. Haak Tel: 216.772.3532 Environmental, Health & Safety whh@haaklawllc.com Legal and Consulting Services
Avoiding a Volkswagen Scandal • Volkswagen Diesel Emissions S candal background - VW adopts ” Clean Diesel” marketing strategy in 2006 - VW has no idea how to make a “ Clean Diesel” ... - VW engineers develop an emissions testing defeat device - Multiple VW officials become aware of defeat device - Nobody takes decisive action to investigate or stop... • A cascade of lies... - In 2014, West Virginia University finds emissions anomalies - VW cars were compliant in labs, but not during road tests - VW repeatedly misled the California Air Resources Board - Promised software “ patches” would fix problems - A whistleblower ultimately disclosed the defeat devices HAAK LAW LLC William H. Haak Tel: 216.772.3532 Environmental, Health & Safety whh@haaklawllc.com Legal and Consulting Services
Volkswagen Scandal Lessons • Key takeaways: - Have an internal ” watchdog” function ( even if it’s just you ) - Conduct a thorough investigation - Get full and complete access to everyone involved - Identify all contributing and root causes - Develop corrective actions – including discipline as needed - Make your compliance package “ turn-key” - Timely and carefully approach regulators with the FACTS - NEVER mislead regulators - S ay you “ don’ t know” instead of making a false statement... HAAK LAW LLC William H. Haak Tel: 216.772.3532 Environmental, Health & Safety whh@haaklawllc.com Legal and Consulting Services
Questions? HAAK LAW LLC William H. Haak Tel: 216.772.3532 Environmental, Health & Safety whh@haaklawllc.com Legal and Consulting Services
NPDES Updates Ashley Ward, P.E. NPDES Program Supervisor
Presentation Outline • Program overview • CO Personnel • Rulemakings • Permitting tips
Program Overview • What is NPDES? • Why was it created? • Types of permits
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