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Underground Storage Tank (UST) Compliance Monitoring and Enforcement Process: How is an Appropriate Response Determined?
RCRA UST Enforcement Quick Links
- RCRA Home
- UST Enforcement
- UST Enforceable Requirements
- Enforcement Process
- Identifying Violations
- Determining Enforcement Response
- Taking Enforcement Actions
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An appropriate response should be determined through careful review of the inspection report and all available pertinent information. It is important to consider any special circumstances that may apply to the violation. | ||
Step 1: Review Inspection Report and Determine if Additional Information is Necessary
The inspection report is reviewed with the following questions in mind:
- Has the facility provided all requested and necessary documentation?
- Does the report provide an adequate description of the violations?
- Does the report document requests for records?
- Are the violations properly documented?
- Is more information necessary?
- If more information is necessary, can the information be obtained through informal channels?
Step 2: Acquire Additional Information as Necessary
If additional information is required of the facility, formal information request letters should be sent. UST facilities may be inspected multiple times in order to prepare a case.
A thorough and complete inspection report, coupled with information obtained through the proper use of information request letters, enables an informed decision regarding the next steps.
Step 3: Determine if the Violation Merits an Enforcement Response
In determining the appropriate enforcement action for any violation of UST regulations, enforcement personnel should consider the goals of the UST/LUST Enforcement Procedures Guidance Manual OSWER Directive 9610.11 (U.S. EPA, Office of Solid Waste and Emergency Response):
- Achieving compliance with the requirements
- Equitable treatment of the regulated community
- Deterrence of future noncompliance
- Effective use of Agency resources
Several factors are considered when determining an enforcement response to UST violations, including but not limited to:
- Seriousness of the violation
- The circumstances of the violation
- Information about the owner/operator including the facility's history on noncompliance
Special Considerations
UST Upgrade-Related Violations
Violations of the 1998 upgrade installation requirements pose a serious threat to the environment and public health. When these violations are found they warrant specific enforcement response:
- Actions should be taken to achieve compliance quickly.
- Facilities must temporarily close the substandard USTs until the upgrades are installed and compliance has been achieved, or permanently close the substandard USTs and replace them with USTs that meet new performance standards.
- Violations are subject to a penalty on a per tank basis, as opposed to a facility basis.
For more information on settlements involving substandard tanks, EPA personnel should refer to "Settlement Strategies for Enforcement Actions Involving Violations of 40 CFR 280.21 Upgrade Replacement or Closure Requirements at UST Facilities".
The use of field citations may be appropriate for violations of the operation and maintenance requirements related to upgrade violations. However, EPA regions are also free to use more formal enforcement actions as described in this section.
Enforcement at a Federal Facility
EPA has full enforcement authority and a complete range of administrative tools that apply to violations at federal facilities.
- The Yellow Book (PDF) (362 pp, 2.3MB,About PDF) "Guide to Environmental Enforcement and Compliance at Federal Facilities" provides additional information on enforcement and compliance at federal facilities.
Federal UST Facilities Operated by Contractors
In situations where the contractor operating a federal facility tank meets the statutory or regulatory definition of an operator, EPA's policy (PDF) (9 pp, 108K,About PDF) allows the use of enforcement discretion to pursue enforcement against the federal agency, the contractor-operator, or both.
EPA does not have civil judicial authority to address UST violations by a federal facility. However, states, tribal regulators, and citizen goups may bring civil judicial enforcement cases against federal facilities.
Enforcement in Indian Country
EPA has the lead in inspection and enforcement matters in Indian Country. EPA has a number of documents that provide information regarding EPA’s civil enforcement authority in Indian Country, including:
- EPA Policy for the Administration of Environmental Programs on Indian Reservations
- Guidance on the Enforcement Principles Outlined in the 1984 Indian Policy (PDF) (15 pp, 993K,About PDF)
- Questions and Answers on the Tribal Enforcement Process (PDF) (17 pp, 2.6MB,About PDF)
- UST Tribal Strategy (PDF) (14 pp, 66K,About PDF)
- EPA’s Report to Congress on Implementing and Enforcing the Underground Storage Tank Program in Indian Country (PDF) (38 pp, 1.9MB,About PDF)
- Interim Final National Policy Statement for Underground Storage Tank Program Implementation in Indian Country
Tribal facilities include facilities owned, managed, or operated by a tribal government. When dealing with tribal facilities, EPA should refer to the process set forth in the Guidance on the Enforcement Principles Outlined in the 1984 Indian Policy (PDF) (15 pp, 993K,About PDF). This Guidance discusses the conditions generally necessary for enforcement action, and the coordination procedures within the EPA.
Next Topic: What Enforcement Actions Should be Taken?
For more information, refer to: