Compliance - Achieving Environmental Improvement

Over the past several years, DEP has been able to evaluate compliance rates across program and geographic areas due to the creation and use of an Department wide database, eFACTS, which tracks our inspection and enforcement activities. The compliance rate for most programs only saw a slight variation from that achieved in the year 2000. However, there is a disconnect when comparing the outstanding need for improvement in the quality of our land, air and water, and the environmental benefits that would be obtained by reaching our goal of 100 percent compliance.

The regulatory programs put in place since the early 1970s have achieved tremendous results. It is imperative that these results be maintained or old problems will resurface. However, the causes of the most significant environmental problems facing Pennsylvania today are not those activities traditionally addressed by these programs. For instance, one of the most common sources of surface water quality degradation is non-point source pollution. Through the integration of programs such as Growing Greener into the DEP toolbox, we are now bringing to bear different techniques for achieving environmental improvement. 

Through the implementation of its Environmental Futures Planning Process, DEP will continue to identify areas of environmental impairment in watersheds across the Commonwealth and the new or different techniques needed to address these non-traditional pollution sources.

The following is a listing of Pennsylvania’s compliance rates by program area.  Also included in this section is a complete listing of compliance and inspection rates. 

Water Pollution Control

Water Pollution Control Program Compliance Rates,  Jan. 1, 2001 through Dec. 31, 2001

DEP oversees the collection, conveyance, treatment and discharge of wastewater through application of the permitting, monitoring and operational requirements of the federal Clean Water Act and the Pennsylvania Clean Streams Law to domestic and industrial wastewater treatment plants.   Pennsylvania inspects these 4318 industrial and domestic wastewater treatment plants on a one to three year cycle depending upon the potential for environmental impact

The environmental impact of wastewater discharges is based upon the quality of those discharges. When effluent discharges exceed permitted limits, the significance of the violation is directly related to severity and frequency of the exceedances. Generally, effluent violations are detected through review of Discharge Monitoring Reports as well as sampling inspections. By monitoring routine operation and maintenance at these facilities through our inspection program, we can predict a trend towards conditions that can result in violations of effluent limits and potential environmental degradation if they go unaddressed.

The most frequently occurring violation at wastewater treatment plants during this reporting period was “operation and maintenance violations”. In cases when operation and maintenance violations are severe or common, compliance assistance may be provided. These types of activities range from increased site visits by the field inspector to assignment of a team of experts to guide the facility operator with operational changes which will bring the facility into compliance and prevent reoccurrence of the violations. When state-wide noncompliance trends are noted, training programs specific to the identified need are developed or made available to permitees through partnering relationships with professional organizations. The Department maintains a web site to inform the regulated community of the various operation and maintenance training programs and courses available.  It is anticipated that this year the program will continue to focus on the various operation and maintenance training opportunities available through partnerships with the Water and Environment Association, Pennsylvania Rural Water and the Pennsylvania Environmental Training Center well as through our own operator outreach program and peer trainers. The operation and maintenance courses will be used to sharpen the skills of the regulated community as well as our field staff.

Safe Drinking Water Program

Safe Drinking Water Program Compliance Rates, Jan. 1, 2001 through Dec. 31, 2001

DEP regulates the operation of approximately 10,500 public water systems across the Commonwealth.  These systems serve more than 12 million individuals in a variety of settings ranging from large public utilities to campgrounds and schools.  At least one-third of all community water systems and one-fifth of all noncommunity water systems are fully inspected each year.  Partial inspections in response to consumer complaints and technical assistance are conducted on an as needed basis.

The number of inspections significantly increased during this reporting period due to the submission and review of self-monitoring reports during the whole twelve (12) month period.  The most frequent violation this year was failure to properly monitor for chemical contaminants.  This type of violation involves monitoring of the water for chemical contaminants before delivery to the customers. 

To address this violation, DEP provides educational programs to water suppliers and takes compliance actions where appropriate.  For example, DEP encourages water suppliers to participate in the Partnership for Safe Drinking Water.  This partnership promotes self-assessment of water system treatment plants by the water supplier, with assistance from DEP.  The Environmental Training Partnership provides training to operators and managers of drinking water facilities, utilizing the expertise of private industry. 

DEP also provides incentives for water suppliers to comply with monitoring requirements through the Compliance Monitoring Assistance Program, which reimburses drinking water monitoring costs for small water systems.  Over $400,000 will be provided to more than 800 small water systems that completed all of their monitoring requirements during 2000. 

DEP is currently developing a comprehensive continuing education program to increase operator knowledge and skills.  The program includes web-based courses on a variety of subjects relative to the operation of a drinking water treatment system, improved classroom training courses to be delivered by the Environmental Training Partnership, and a detailed Training Provider Approval Process.  This Approval Process is designed to insure training developed and delivered by other training providers such as industry associations is relevant, accurate and appropriate for operators.

Dam Safety

Dam Safety Compliance Rates, Jan 1, 2001 – Dec. 31, 2001

DEP routinely inspects 3,200 existing dams and approximately 40 dams that are under construction.  High-hazard dams, or dams that would threaten at least one dwelling if they were to fail, are inspected yearly; non high-hazard dams are inspected every two years; low hazard dams, or dams that do not pose a threat if they were to fail, are inspected every five years; and dams under construction are inspected every two to four weeks. 

The most frequent violation this year involved high-hazard dam owners failing to develop Emergency Action Plans and/or submitting professional dam inspection reports.  These plans ensure owners are prepared for dam failure so communities located downstream can be warned and evacuated.  Professional dam inspections ensure high-hazard dams are inspected yearly to minimize serious safety defects going undetected.  The Bureau of Waterways Engineering's (BWE) Division of Dam Safety in Harrisburg is responsible for monitoring compliance with the requirements for dam owners to develop Emergency Action Plans and submit Annual Inspection Reports.  At the end of the 2001 reporting year the Division conducted 327 special file inspections in order to document these outstanding and recurring violations in the eFACTS system.

To address these violations, DEP has implemented the following: developed guidelines and a sample plan for preparing Emergency Action Plans; conducted workshops; simplified the authorization process for breaching unwanted dams; and conducted office and site planning consultations with owners and their engineers. 

In 2001, DEP will begin a special initiative to bring high-hazard dam owners into compliance with emergency planning requirements.

Water Obstructions and Encroachments Program

Water Obstructions and Encroachments Program Compliance Rates
Jan 1, 2001 – Dec. 31, 2001

DEP regulates water obstructions and encroachments in streams, floodways, wetlands and other bodies of water.  The most frequent violation found this year occurred when the parties involved did not obtain a permit from DEP for a water obstruction or encroachment. 

This year, DEP and County Conservation Districts will continue to provide technical assistance and training to the regulated community, as done in previous years, to promote compliance with the regulations.  The DEP is currently revising the Water Obstruction and Encroachment regulations to ensure increased clarity and in turn achieve better compliance.  These efforts are the cornerstone for providing the regulated community the tools to achieve compliance with the regulations.

During 2001, the overwhelming majority of violations noted were "…failed to obtain a Chapter 105 permit."  This is unchanged from last year.  Because inspection activities in this program are complaint-based, it is expected that this violation will continue to be the most common. The program's compliance strategy will remain the same as last year’s relying on education and technical assistance to the regulated community to promote compliance with the regulations.

Storage Tanks

Storage Tanks Compliance Rates, Jan 1, 2001 – Dec. 31, 2001

The third-party inspection program includes aboveground storage tanks and underground storage tank facilities authorized under the Storage Tank and Spill Prevention Act. This program is designed to reduce releases from regulated storage tanks through required inspections, on-site technical assistance, adherence to industry standards, and compliance with all regulatory requirements. This is accomplished through the use of third-party initial inspections to determine compliance, and DEP follow-up actions and inspections as necessary to ensure tank facilities achieve compliance.

The most frequently occurring violations pertained to tank system leak detection methods. While most storage tank facilities were conducting some type of leak detection, they were not always doing it correctly. This occurred most often at underground storage tank facilities and could result in an operator not detecting a release in a timely manner if a release occurred.

Technical assistance by the third party certified inspector while on site is the primary source of assistance to owners and system operators. Owners and operators can easily correct leak detection violations if they follow the operational procedures associated with their specific method of leak detection and keep accurate records. DEP issues Notice of Violations, completes follow-up inspections, and issues penalties to ensure compliance with the leak detection requirements.  These combined efforts should help to reduce the number of and severity of releases, associated with storage tanks.

Mining Program

Mining Compliance Rates, Jan. 1, 2001 – Dec. 31, 2001

DEP’s Bureau of District Mining Operations is responsible for inspecting all mining operations (coal, industrial minerals, surface, underground, preparation plants, etc.) to ensure that they are in compliance with the environmental statutory and regulatory requirements of Pennsylvania’s mining program.  All active coal operations are inspected monthly, and inactive coal operations (reclaimed awaiting bond release) are inspected quarterly.  Small industrial minerals operations are inspected annually as resources allow, and large industrial minerals operations are inspected at least twice per year.

Industrial minerals violations and effluent standards were again the most frequent violations in the Pottsville and Ebensburg District Mining Offices, as was the case in 2000. Throughout the year, failure to conduct groundwater monitoring became more prevalent in the Knox Office, whereas failure to comply with permit conditions became more prevalent in the Greensburg Office.  In the Hawk Run Office, sedimentation control measure violations increased.

The 2000 Compliance Report identified effluent standards, sedimentation control measures and permit conditions as the most commonly cited violations.  To minimize these violations, DEP mining staff began holding on-site meetings with operators prior to the issuance of a permit, to review the requirements for construction and maintenance of sedimentation controls and to review effluent standards and any permit conditions that must be addressed.  Inspectors are providing pollution prevention assistance to eliminate any possible problems before they arise.  Even though these same violations occurred in 2001, sedimentation control violations dropped by 16 percent; and although effluent violations increased by 22 percent and permit conditions increased by 19 percent, these violations represent only 12 percent of the total number of violations in 2001.  DEP will continue the on-site meeting strategy in 2002.

During 2001, DEP saw a 40 percent decrease in the total fines/penalties assessed, from $1,438,988 to $864,474.  There was an increase in the number of “Notice of Violations” (NOVs) and a decrease in “Other Enforcement Actions.”  This shift indicates less significant violations are occurring, because only minor violations can be cited under NOV enforcement actions. 

Deep Mine Safety

Bureau of Deep Mine Safety, Jan. 1, 2001 – Dec. 31, 2001

DEP’s Bureau of Deep Mine Safety is responsible for enforcing Pennsylvania’s laws relating to the health and safety of underground miners.  DEP conducts safety inspection of bituminous underground mines and associated coal preparation plants four times per year and electrical inspections twice per year.  Anthracite underground mines, breakers, and banks are inspected for safety six times per year, and electrical inspections are conducted twice per year.  Underground industrial minerals mines are inspected for safety four times per year.  There were no fatalities at underground mines in the anthracite and industrial minerals regions.  Unfortunately, there was one fatality in bituminous underground operations in 2001. 

The most frequently occurring violation in anthracite and industrial minerals mines involved general safety violations, such as failure to maintain the proper fire extinguishing equipment, failure to maintain proper warning devices on equipment and failure to eliminate general safety hazards.  The majority of violations in bituminous mines occurred in the working sections of the mines and involved care and maintenance of underground mine face equipment which entrusts the operators to maintain face equipment in safe operating condition and correct any deficiencies. 

DEP’s strategy for addressing the most frequently occurring violations includes compliance assistance, outreach, monitoring, and inspections.  These efforts are accomplished by bi-monthly planning meetings with the inspection force, development of technical guidance, increased inspections at facilities with problems, quarterly information meetings with industry, specific training programs, compliance monitoring, and increased inspections and include the development of an inspection database to monitor accident frequencies and compliance trends. DEP will provide training programs according to the requirements of the mining industry.

Oil and Gas Management

Oil and Gas Management Compliance Rates, Jan. 1, 2001 – Dec. 31, 2001

DEP is responsible for inspecting more than 92,000 oil and gas wells, and 125 oil and gas waste management operations, examining all environmental aspects of oil and gas production, including erosion and sedimentation controls, pollution prevention and waste management practices, stream encroachments, site restoration, drilling, plugging, record-keeping and public safety issues. 

The most frequently occurring violations resulted from earth moving to prepare sites for drilling.  This requires application of best management practices to prevent erosion until site reclamation is successful.

DEP’s ongoing strategy to reduce these violations includes:  pre-construction meetings with applicants; compliance assistance; participation in a workgroup with industry to address stormwater; and training and outreach sessions.  This year DEP held a workshop for industry, conservation districts and DEP staff, and conducted three workshops with the oil and gas industry.  DEP also issued two technical guidances for permit requirements and best management practices.

These compliance efforts resulted in a decrease in erosion control violations of fourteen percent compared to 2000.  To continue this trend in 2002, DEP will emphasize inspections in special protection watersheds and develop procedures to implement new federal Phase II requirements to control storm water runoff from construction sites, including oil and gas well drilling locations.

Hazardous, Municipal and Residual Waste

Hazardous Waste Compliance Rates, Jan. 1, 2001 – Dec. 31, 2001

This year, DEP conducted 4,688 municipal waste facility inspections at 386 sites, resulting in a 74.4 percent compliance rate.

Municipal Waste Compliance Rates, Jan. 1, 2001 – Dec. 31, 2001

This year, DEP conducted 2,082 residual waste facility inspections at 716 sites, resulting in a 85.5 percent compliance rate.

Residual Waste Compliance Rates, Jan. 1, 2001 – Dec. 31, 2001

In 2001, the most frequently occurring violation for the waste management program as a whole was “failure to completely cover waste during transportation with a waterproof cover that is securely fastened and eliminates littering, dust, leakage and other nuisances.”

Beginning on May 21, 2001 and ending eight days later, the DEP, State Police and PennDOT launched "Operation Clean Sweep" -- a surprise trash truck inspection program -- at every landfill, major incinerator and transfer station in Pennsylvania.

DEP’s inspectors checked for properly completed paperwork, safety equipment (such as fire extinguishers) and environmental violations, while PennDOT and State Police checked placarding, truck weight, brakes, tire conditions and other safety violations. 

During Operation Clean Sweep, the largest enforcement initiative in Pennsylvania history, 500 staff fanned out across the state to conduct more than 40,000 vehicle safety and environmental inspections.  Over 11,000 violations were detected, many of which led to summary citations, notices of violations and -- in 849 cases -- removal from service.

Air Quality

Air Quality Compliance Rates, Jan. 1, 2001 – Dec. 31, 2001

As in 2000, the most frequent violation this year involves unpermitted construction, modification and operation at major air pollution sources, or Title V violations.  These violations are most often observed during required inspections conducted under Title V of the Federal Clean Air Act. These comprehensive permits require major sources to understand their air quality compliance obligations, publicly identify all their violations and certify their compliance status. 

To address this violation, DEP continues to provide outreach and education to Title V facilities to enable them to understand their obligations and maintain their compliant status.  This year we will be sending a letter to all affected facilities explaining the regulations relative to the Compliance Certification Report.  Title V facilities continue to develop and implement corporate compliance oversight procedures to assess their status and take action to correct any violations.  The frequency of these violations should continue to decline as the regulated community becomes accustomed to these new requirements.

Radiation Protection

Radiation Protection Compliance Rates, Jan. 1, 2001 – Dec. 31, 2001

DEP is responsible for regulating some 30,000 x-ray units in 11,000 facilities and 430 radioactive material licensees not under federal jurisdiction.  These radiation source users include dentists, medical offices, clinics, hospitals, mobile diagnostic services, industrial firms, research and academic institutions.  Routine compliance inspections are scheduled on a four-year frequency, except for hospitals, which are inspected every two years.  Special investigations are performed as needed.

This year DEP conducted over 2,880 formal radiation protection inspections, with a compliance rate of over 98 percent.  Radioactive material user inspections accounted for 105 inspections, with over 2,775 inspections at x-ray registrant facilities.  Included in the x-ray equipment inspections are federal FDA program inspections of mammography clinics and new x-ray equipment installations, and national exposure trends surveys.

The most frequent violations in 2001 for x-ray facilities and radioactive material licensing areas were related to equipment performance, specifically “kilovoltage accuracy.”  This parameter is tested during x-ray equipment evaluations, and is a measure of how linear the machine energy can be maintained when settings are altered for different medical examinations.  This is important because various positions of the body are thicker than others, and require higher energy x rays to penetrate.  If this change in energy setting is not accurate, unneeded radiation exposure to the patient may result.  The department recently enacted new regulations for kilovoltage accuracy based on FDA standards, which has resulted in an increase of noncompliance.  To address this violation, DEP continues to provide compliance assistance, and advises registrants on who performs x-ray equipment maintenance and service. 

In addition to compliance inspections, DEP performs over 1,000 informal radiation protection surveillance activities related to: nuclear power plant safety and security; emergency response drills and exercises; radon tests, hot spot studies and home mitigation installation appraisals; decommissioning project oversight; environmental sampling and radiation measurement; radioactive waste storage and disposal; and unusual radiological event response (e.g., landfill alarm investigation).  The radiation protection program staff was also very active in 2001 with outreach presentations and workshops for the regulated community and public related to the above functional areas.

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