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Compliance Information: Common Violations

EPA Inspections
Between 1994 and June 2003, EPA New England performed inspections at sixteen colleges and universities. Several of these inspections detected serious compliance problems that led to significant enforcement actions. Violations were noted primarily in the areas of hazardous waste management, spill prevention, and storm water protection. Some air and toxic substance control issues were documented as well. Enforcement actions resulting from these inspections have led to penalties ranging from $300K to over $1.0 million and were heavily publicized in the press.

The links below provide summaries of the most commonly identified violations observed at campuses during the EPA inspections. These links do not, however, list all applicable regulatory requirements that might apply to your facility.

EPA New England 1994-2002 Inspections - Common Violations:

EPA Region III Inspections - USTs (Underground Storage Tanks) Common Violations

Audit Initiative
In 2001, EPA New England initiated a College and University Audit Initiative to encourage facilities to identify violations, disclose them to EPA, and voluntarily correct them. 175 college and university facilities (including branch campuses) disclosed potential violations through their participation in this initiative. The self-audits identified compliance deficiencies very similar to those found by EPA inspectors. The chart below lists the most commonly identified violations disclosed by the participants in the College and University Audit Initiative.

College and University Audit Initiative - Common Violations:

Violations Disclosed Through EPA New England’s College & University Audit Initiative
Clean Air Act
Law/Section
Total # of Facilities Disclosing Violation
CAA-Physical
Failure to close solvent degreaser or other containers when not in use.
CAA 112
5
Failure to provide appropriate freeboard ratio for batch cold cleaning machines.
CAA 112
1
Failure to have exhaust vents extend a certain height above the roof. Rain extensions should also be removed
CAA 112
2
Failure to ensure whether or not submerged fill pipes for AST extended to within six inches of the bottom of the tank.
CAA 112
1
Failure to inventory, provide and/or submit to proper agency a description of each piece of VOC-emitting equipment.
CAA 608
2
Failure to install Stage II Vapor Recovery Systems for gas-dispensing units installed after 11/1/89.
CAA 110
4
Failure to conduct required weekly and monthly inspections for Stage II Vapor Recovery Systems.
CAA 110
4
Failure to conduct required tests to ensure Stage II Vapor Recovery Systems was properly installed after initial installation or substantial modification.
CAA 110
1
Failure to conduct confirmatory testing for Stage II Vapor Recovery Systems once every year by Stage II compliance testing company and provide results to DEP within 30 days.
CAA 110
3
CAA-Management
Failure to apply for a permit/license or include all sources in the permit (i.e., missing information on SSEIS (stationary source emissions information system) form.)
CAA 110
15
CAA-R&R
Failure to comply with record keeping requirements for one or more of the following: boilers, non-fuel burning sources, activities performed under GPSC, fuel deliveries - identify sulfur content, emissions for freon and solvents listed as HAPs, evacuation of CFC equipment refrigerant recycling units, retain records for minimum of 5 years.
CAA 110
44
Failure to submit a complete Title V Permit
CAA 502
3
Failure to have a copy of regulatory approval letter/permit available and/or posted near equipment.
CAA 110
5
Failure to comply with Stage II Vapor Recovery Systems requirements.
CAA 110
5
Failure to provide and document receipt of adequate training.
CAA 110
3
Failure to submit "Acquisition Certification Form" to EPA or provide documentation to ensure certifications, service orders and recycling information maintained for ODS.
CAA 608
9
Failure to provide routine maintenance inspection records for boilers.
CAA 110
1
Failure to provide analysis for showing the capacity of the storage vessel for any storage vessel containing volatile organic liquid storage vessel greater than 10, 566 gallons.
CAA 110
2
Failure to apply for or comply with a Construction Permit, Operating Permit or Restricted Emission Status Plan (for potential emissions).
CAA 110
13
 
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Violations Disclosed Through EPA New England’s College & University Audit Initiative
Clean Water Act
Law/Section
Total # of Facilities Disclosing Violation
CWA-Physical
Failure to provide secondary containment
CWA 301
5
Failure to provide proper cross-connection protection.
CWA 301
1
Failure to prevent the potential pollution of stormwater runoff from various operations.
CWA 301
17
CWA-Management
Failure to conduct inspections of elementary neutralization unit to ensure maintenance performed on tank for proper operation.
CWA 301
1
Failure to designate an individual responsible for proper sampling and testing, record keeping, and notification.
SDWA 1421
3
Failure draft and implement a drinking water program.
SDWA 1421
3
Failure to develop, implement and update a Wellhead Protection Plan.
SDWA 1421
2
Failure to get approval from appropriate agency in conducting activities within a wetland buffer zone.
CWA 301
1
Failure to develop, implement, and update Storm Water Pollution Prevention Plan as necessary.
CWA 301
4
CWA-R&R
Failure to follow conditions of a permit to discharge to the POTW
CWA 301
20
Failure to properly permit, manage and operate water supply and waste water disposal systems.

CWA 301
49
 
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Violations Disclosed Through EPA New England’s College & University Audit Initiative
Emergency Planning & Community Right-to-Know Act
Law/Section
Total # of Facilities Disclosing Violation
EPCRA-Physical
 
EPCRA-Management
Failure to develop, implement, and update Hazard Communication Program.
EPCRA 303
17
Failure to conduct and document a complete annual chemical inventory
EPCRA 312
27
Failure to report all chemicals stored in quantities above the threshold planning quantity
EPCRA 312
24
Failure to submit complete and accurate chemical inventory to appropriate agencies.
EPCRA 312
18
Failure to designate facility emergency coordinator and/or provide representation in the local emergency planning process.
EPCRA 303
1
Failure to provide adequate emergency planning or spill contingency plan in Emergency Response Plan
EPCRA 303
1
Failure to develop, implement, and update Chemical Hygiene Plan.
EPCRA 303
2
EPCRA-R&R
 
 
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Violations Disclosed Through EPA New England’s College & University Audit Initiative
Resource Conservation Recovery Act
Law/Section
Total # of Facilities Disclosing Violation
RCRA-Physical
Failure to make formal waste determinations
RCRA 3002
51
Failure to keep containers closed.
RCRA 3002
33
Failure to properly label hazardous waste.
RCRA 3002
53
Failure to provide secondary containment for the storage of hazardous wastes.
RCRA 3002
36
Failure to properly handle, manage, and dispose of hazardous waste.
RCRA 3002
34
Failure to properly identify and maintain a Satellite Accumulation Area/Site. There was no appropriate signage, secondary containment, labels and waste determinations made, or proper training provided.
RCRA 3002
60
Failure to properly manage universal wastes.
RCRA 3002
84
Failure to properly segregate incompatible waste by hazard class
RCRA 3002
10
Failure to properly dispose of hazardous waste within 180 days for SQG. Manifests were reviewed and instances between shipments that exceeded 180 day.
RCRA 3002
7
Failure to properly meet container management requirements for lab packs - inadequate spacing between containers for proper inspection.
RCRA 3002
3
Failure to keep waste containers in good condition. Potential for spill or contamination to occur.
RCRA 3002
5
Failure to provide emergency response information at waste generation areas.
RCRA 3002
28
RCRA-Management
Failure to prepare and submit biennial reports.
RCRA 3002
18
Failure to apply for EPA generator ID number or a separate EPA generator ID number for non-contiguous property.
RCRA 3010
24
Failure to develop, implement, and update Hazardous Waste Program as necessary.
RCRA 3002
8
Failure to develop, implement, and update Hazardous Waste Contingency Plan as necessary.
RCRA 3002
6
Failure to develop, implement, and update Hazardous Waste Minimization Plan as necessary.
RCRA 3002
4
RCRA-R&R
Failure to clarify generator status
RCRA 3002
29
Failure to submit "Generator Notification Form" to State.
RCRA 3002
2
Failure to obtain permits or comply with permit requirements.
RCRA 3002
10
Failure to provide adequate training or document that personnel received training.
RCRA 3002
74
Failure to conduct and document inspections.
RCRA 3002
37
Failure to maintain all required manifest, exception reports, and LDR records.
RCRA 3002
42
 
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Violations Disclosed Through EPA New England’s College & University Audit Initiative
Spill Prevention Control & Countermeasures
Law/Section
Total # of Facilities Disclosing Violation
SPCC-Physical
Failure to provide secondary containment in a limited number of storage areas housing oil-containing units.
CWA 311J
36
Failure to determine if O/W separator compliant
CWA 311J
1
Failure to provide means to prevent a spill or excessive leakage of oil into the drainage system at different locations.
CWA 311J
5
Failure to properly label all oil containers.
CWA 311J
4
Failure to post signs at all fill locations altering personnel of proper procedures.
CWA 311J
1
SPCC-Management
Failure to conduct and document monthly and daily inspections
CWA 311J
20
Failure to conduct complete inventory of oil-containing equipment and oil storage tanks at various locations
CWA 311J
24
Failure to develop, implement, and update SPCC Plan as necessary.
CWA 311J
57
SPCC-R&R
Failure to obtain general permit for discharge from different operations.
CWA 311J
2
Failure to conduct necessary training and maintain training records for emergency responders and other personnel
CWA 311J
18
Failure to conduct effluent monitoring of blowdown from a boiler
CWA 311J
3
Failure to update the SPCC plan every 3 years
CWA 311J
3
Failure to obtain coverage for swimming pool wastewater discharge
CWA 311J
1
Failure to provide adequate emergency planning or spill contingency plan in SPCC plan
CWA 311J
4
Failure to provide oil spill analysis in SPCC plan.
CWA 311J
1
Failure to document information for the operation of on-site emergency generators. Monthly log should include: hours of operation, gallons of fuel used, fuel type and heating value.
CWA 311J
6
Failure to keep results of annual inspections, maintenance & testing, date performed, and approval letters posted near or on the diesel engines/generators.
CWA 311J
3
 
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Violations Disclosed Through EPA New England’s College & University Audit Initiative
Toxic Substance Control Act
Law/Section
Total # of Facilities Disclosing Violation
TSCA-Physical
 
TSCA-Management
Failure to maintain PCB-containing materials inventory, testing or disposition
TSCA 6E
3
Failure to maintain proper pre-manufacturing notification documentation for research generated chemicals
TSCA 5B
3
Failure to include a detailed description of the chemicals, a Dangerous Goods Airbill, and/or the import certification for imported/exported chemicals.
TSCA 12/ TSCA 13
4
Failure to notify tenants of the presence or potential presence of lead paint in rental units.
TSCA 406A
3
Failure to identify and properly dispose of asbestos and/or lead containing material.
TSCA 206
2
Failure to provide waste shipment records (WSR) or exception reports for all asbestos abatement projects.
TSCA 206
1
TSCA-R&R
Failure to maintain an overall asbestos management plan, asbestos inspection report, asbestos program coordinator, or an inventory of asbestos containing materials.
TSCA 205
1
No notification on file for asbestos abatement performed on site.
TSCA 207A5
5
No emission control records or air monitoring records for asbestos abatement performed on site.
TSCA 206
3
 
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Violations Disclosed Through EPA New England’s College & University Audit Initiative
Underground Storage Tank
Law/Section
Total # of Facilities Disclosing Violation
UST-Physical
Failure to confirm that all USTs meet all design requirements.
RCRA 9003
18
Failure to assess soil and/or groundwater during UST closure
RCRA 9003
3
Failure to assess soil and/or groundwater during UST closure
RCRA 9003
1
Failure to perform and document monthly monitoring for leak detection.
RCRA 9003
8
Failure to perform and document monthly monitoring for corrosion protection
RCRA 9003
6
Failure to provide emergency communication device
RCRA 9003
1
UST-Management
Failure to report and document closures of the following USTs: numerous residential and non-residential heating oil tanks, emergency generator, numerous residential and non-residential fuel oil tanks, and non-residential gasoline tanks
RCRA 9003
7
Failure to register USTs and/or follow conditions for record-keeping
RCRA 9003
21
Failure to report releases from previously closed USTs that were not assessed at closure
RCRA 9003
1
UST-R&R
Failure to provide complete inventory of USTs.
RCRA 9003
3
Failure to perform daily reconciliation which should include: tank in operation, daily inventory of product, volume, adjustments .
RCRA 9003
6
 
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Violations Disclosed Through EPA New England’s College & University Audit Initiative
Federal Insecticide, Fungicide, Rodenticide Act
Law/Section
Total # of Facilities Disclosing Violation
FIFRA-Physical
Failure to retain labels on all pesticide containers with the name and registration number of the pesticide.
FIFRA 12A2A
1
Failure to properly manage pesticides - improper storage, no secondary containment, not segregated.
FIFRA 12A2G
1
FIFRA-Management
 
FIFRA-R&R
 
 
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Violations Disclosed Through EPA New England’s College & University Audit Initiative
State Only
Law/Section
Total # of Facilities Disclosing Violation
Failure to develop, implement, and update Site Plan as required by Site Location of Development Act  
1
Failure to develop, implement, and update Biomedical Waste Management Plan  
3
Failure to properly handle, store, and dispose of Biomedical Waste  
4
Failure to inspect hazardous waste containers daily (ME DEP).  
1
Failure to reroute the discharge of fire sprinkler system test water to the sanitary sewer and maintain a discharge of <5,000 gpd.  
1
Failure to establish a program to reduce the use of single occupant commuter vehicles for employers with more than 250 commuters.  
4
Failure to properly register the dam in accordance with CT DEP requirements  
1
Failure to comply with record keeping requirements for landfill permit.  
1
Failure to submit records pertaining to pesticide usage on an annual basis.  
4
Failure to provide certification to apply pesticides.  
2
Failure to develop, implement, and update Pesticide Control Management Plan  
2
 
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