EPA
United States
Environmental Protection
Agency
Solid Waste And
Emergency Response
(OS-420)
EPA/S30AJST-91/OU
February 1991
How to Develop Your Own
UST Field Citation Program
Printed on Recycled Paper
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How to Develop Your Own UST
Field Citation Program
U.S. Environmental Protection Agency
Office of Underground Storage Tanks
February 1991
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Contents
INTRODUCTION
Advantages of a Field Citation Program 1
How to Use This Handbook - 5
DESIGNING YOUR FIELD CITATION PROGRAM
Establish Goals and Objectives 7
Determine Options for Administrative Authority 9
Choose Penalty or No Penally 13
Consider Appropriate Authority for Inspectors 15
SETTING UP YOUR FIELD CITATION PROGRAM
Determine Which Violations Will Be Cited 17
Develop Short-Form Wordings of Violations 19
Establish Penalties for Violations 21
Establish an Appeals Procedure 23
Design Field Citations 25
Develop a System to Track Status of Citations Issued 27
Determine Staffing Needs 29
Hire and Train Staff 31
Develop Informational Materials for the Regulated Community 33
IMPLEMENTING YOUR FIELD CITATION PROGRAM
Conduct Inspections and Issue Citations 35
Coordinate Enforcement and Follow-Up Activities 37
Pursue More Stringent Enforcement Actions, If Necessary 39
Evaluate Program and Revise as Necessary 41
ill
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APPENDICES
Appendix A: Getting Help
Appendix B: Short-Form Wordings of Selected Federal Regulations
Appendix C: Sample Field Citations
Appendix D: Informational Materials
45
47
51
69
IV
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Introduction
Advantages of a
Field Citation Program
State and local authorities face enormous challenges as they respond to violations of
underground storage tank (UST) regulations. Enforcing UST regulations can put considerable
strain on staff time and agency resources, due to the large size of the regulated community.
Several state and local agencies have been working with the Environmental Protection Agency
(EPA) to develop "expedited enforcement" programs that allow state and local officials to
substantially increase their agency's efficiency in responding to UST violations and bring UST
owners and operators into compliance with tank regulations. One outcome of this joint effort
is this handbook, which was developed as a guide for UST program officials who are interested
in developing resource-efficient enforcement programs.
One effective expedited enforcement technique used by a number of environmental programs
is inspector-issued field citations for clear-cut UST violations. The term "field citation" defines
a class of enforcement documents issued by inspectors in the field and designed to streamline
enforcement of health and environmental regulations. Field citations have characteristics similar
to traffic tickets: the citation typically addresses a clear-cut violation, requires the violator to
correct the violation, often carries a small penalty, and provides for some type of appeal.
However, the citation can be one of several legal entities, including a notice of violation, an
administrative order, a short-form settlement agreement, or a summons. While field citations
are, by definition, issued in the field with a penalty, related procedures include in-field notices
(issued in the field but without assessing a penalty) and short-form notices (issued from the
office after review of the inspection report).
In contrast to standard enforcement, field citations and these related techniques usually provide
resource-effective, on-the-spot enforcement response and remediation, since the violator has a
greater incentive to address the cited violation than to contest. The development of a field
citation program is the main focus of this handbook, although the suggestions contained in the
handbook may also be useful to many UST programs planning general enforcement activities.
Several examples of field citation programs, and the time and resource savings achieved, are
described on the following pages.
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Introduction
California's RCRA Toxic Tickef-Program is a field citation pilot
program developed in 1988 to enforce RCRA Class II violations.
Class II regulations are the less serious class of RCRA regulations.
Before the ticket was developed^ "minor" violations took about 592
hours per case of staff time to resolve; after the Toxic Ticket
program was instituted, total stajff time was reduced to' 7 to 10
hours per case. Legal staff effort and court time'have been
drastically reduced; most of the cases are settled in an informal
conference between the inspector and the owner or operator.
Officials report a very high compliance rate since instituting the
Toxic Ticket" program, * "-
EPA's Office of Mobile Sources ^program, in which inspectors issue
S200 citations for fuel dispenser nozzle violations, found that
average case completion time was reduced from 3 months to 30
days using field citations, and the number of cases prosecuted in
court annually dropped to as low as one to two cases. Prior to
instituting the use of field citations, 'the program had a
considerable backlog of enforcement cases. Most cases are now"
resolved using field citations atojne. ^ , ^
Bade County, Florida's Department of Environmental Resources
Management's inspectors'issue citations for many county code
violations, including OST violations. Overall, more than 90
percent of all citation redpients'comply after receiving citations,
and 75 percent comply within thirty days of receiving the citation.
Program directors bel|eve the fikd citation program provides the
Department with high vMbffitywithin. the regulated community
and allows program staff to'address a greater number of violations
than they would be able to "using traditional enforcement
techniques. * - - T # >
*• \ •*" > V, ' •" ' '• ™
Province of Ontario^ Canada^ inspectors have issued Offence
Notices in the field to enforce j&e Provincial Offenses Code since
the 1960s (the Code includes"UST regulations under the Gasoline
Handling Act). In Ontario's experience, 80 percent of the field
citation recipients pay the'penalty and comply after the first
citation. Very few cases end up* in court, and the Province has
never lost a court case. Previously* the Province had difficulty
getting minor violations on crowded criminal court dockets. v
° ° , -. .. * f ^.vdl ., . i s <
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Introduction
District of Columbia inspectors have used Civil Infraction Notices
in the field since the spring of 1988 to enforce against a variety of
violations of the D.C. code, including some environmental
"violations. Since the initiation of Civil Infraction Notices, the ,
compliance rate in D,C. has shown a significant increase. In fact,
inspectors no longer encounter some of the violations that were
the most prevalent before the program began. The District will
begin to enforce its UST regulations with Civil Infraction Notices
when the regulations are in place.
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Introduction
How To Use
This Handbook
This handbook takes the reader through each of the steps involved in designing, setting up, and
implementing a field citation program, the tasks that must be undertaken, and the issues that
; must be resolved. Implementing a field citation program will save time and resources in the
long run; however, a commitment of time and resources will be necessary at the initial planning
and developing stages. We have assumed that the reader of this handbook will be a program
manager or staff member assigned the task of developing a field citation program. Thus, the
handbook addresses "you" as the individual responsible for making the decisions and
coordinating the implementation of the program.
The handbook discusses each component of a field citation program in a logical order. In
practice, however, not all of the steps may be undertaken in the order in which they are
presented in the handbook. In fact, depending on your program's resources, many of the tasks
can be performed simultaneously. While reading through this handbook, make a mental note
of those tasks that can be undertaken concurrently. Other tasks cannot be addressed until one
or more previous steps have been accomplished; the discussion in the handbook attempts to
delineate which tasks require one or more prior tasks to be completed before they can be
addressed.
In addition to outlining the steps that should be taken to develop a successful program, the
handbook may also help you determine if a field citation program is suitable for your agency
or department. Once you have made this determination, the handbook should assist you in
establishing a field citation program as smoothly as possible. If field citations are not for you,
the examples describe a variety of streamlined enforcement techniques that might be valuable
for any UST program faced with the problem of how to enforce UST preventive requirements.
The handbook is divided into three major sections: (1) designing, (2) setting up, and (3)
implementing a field citation program. In the back of the handbook are appendices with tools
that will help you set up your program: a list of program managers who currently use or are
initiating field citation techniques in their enforcement programs (these individuals are members
of the Office of Underground Storage Tanks' Field Citation Workgroup and are available to
answer any questions you may have about developing a field citation program); sample short-
form wordings of federal regulations; sample field citations; and general information materials,
including descriptions of the EPA Office of Mobile Sources, Province of Ontario, Canada, and
Dade County, Florida field citation programs.
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Designing Your Field Citation Program
Establish Goals
and Objectives
Once you have decided to implement a field citation program, one of the first steps you and
your staff must take is to establish goals and objectives for the program. Take the time to
decide what you want the program to accomplish and how best to design the program to meet
those goals. As it may take time to fully develop a citation program, it will be helpful to have
clear goals and objectives in mind to guide you during the design and planning stages to ensure
that the program accomplishes what your agency desires.
Some issues to consider:
• How extensive will your citation program be? Do you want to cite a few prevalent
violations or will citations cover as many violations as possible? The direction your
agency chooses will affect nearly every facet of the program: how you design the
citations, the starring and resource requirements for the program, and the
community outreach the program will require.
-3
• How will the field citation program fit in with other enforcement activities? What
do you expect to aclu'eve by adding the field citation component to the overall
enforcement activities of the program? How should you design the program so that
these objectives are met? How will you measure the success of the program in
meeting these objectives?
• How will your agency implement the citation program? Do you want to begin citing
all possible violations immediately, increase the number of violations cited over
time, or issue warnings for a period before attaching penalties to the violations?
• What role will the inspector play in issuing the citations? Will inspectors issue
citations only or will they have broader field responsibilities, such as scheduling
hearings? Will the number of citations an inspector can issue at one site be limited
to a maximum number? Will inspectors be instructed to use standard enforcement
techniques rather than field citations if they encounter more than the maximum
number of citable violations? Will inspectors have the discretion to issue warnings
in some circumstances in lieu of a citation? Decisions about these issues will affect
how you design the citations and the number of citations you print initially.
• Will all of your inspectors issue citations? Will only experienced inspectors issue
citations at the outset, or will all of your inspectors be involved with the new
program from the beginning?
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Designing Your Field Citation Program
m How will you evaluate the program? What type of information will you need to
evaluate the success of the citation program? Appropriate program measures and
evaluation tools should be identified at the outset of the program. This will assist
you in making any necessary changes, in demonstrating success to agency directors,
the state legislature, county boards, the press, and the public, and obtaining funding.
You should develop ways to keep Devaluation a priority when current work is
pressing. j
i
As you can see, there are many issues you will need to consider before undertaking the tasks
of designing, setting up, and implementing a field citation program. Defining clear goals will
help you to develop the most effective field citation program possible.
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Designing Your Field Citation Program
Determine Options For
Administrative Authority
Determining whether your agency has administrative authority and/or administrative penalty
authority is important to the design of your citation program. While it is not necessary to have
these authorities in order to implement a field citation program, you should determine what
type of authority, if any, your program has so that you can design your field citation program
appropriately. A staff member can determine the scope of your agency's authorities by checking
applicable statutes; your agency's counsel or the State Attorney General's office should be able
to help you.
An agency with administrative authority is authorized to issue administrative compliance orders
for violations of UST regulations. Owners or operators are legally obliged to comply with the
orders within a specified time period. An agency with administrative penalty authority can
assess civil penalties commensurate with the seriousness of the violation. In other words,
administrative penalty authority allows a state or local government agency to issue
administrative orders for violations of UST regulations and attach a civil penalty to them.
Programs that have administrative penalty authority often issue citations for UST violations that
are administrative orders, issued for relatively clear-cut and minor violations and accompanied
by a relatively small penalty of $50-5500.
Agencies that currently lack administrative authority have two options: they may elect to issue
alternative citations, such as warnings or short-form settlement agreements, expecting that
recipients will comply because of the threat of further enforcement actions, or choose to obtain
the authority to issue orders which require owners or operators to correct violations. Warning
citations (i.e., no orders or penalties are attached) can be an effective compliance and
enforcement tool. Most of us who have been issued a warning (for exceeding the speed limit,
for example) recognize its significance, and respond accordingly. You may find your program
can increase compliance with UST regulations if inspectors issue warnings only, since citation
recipients are likely to realize that more severe enforcement actions will result if they do not
bring their tank systems into compliance.
If your agency has administrative penally authority, you can proceed with establishing a field
citation program by designing penalty-imposing citations. If your agency does not have penalty
authority, you can develop a citation program that does not impose penalties. For example, you
could issue non-penalty administrative order citations, warning citations, or an alternative type
of citation that does not depend on penalty authority, such as a short-form settlement agreement
in the form of a citation. (This issue is covered in the following "Choose Penalty or No Penalty"
section.)
Both administrative authority and administrative penalty authority must be granted by the state
legislature, the county board or commission, or the city council. Some legislative bodies might
be reluctant to grant penalty authority to an administrative agency; in other cases, the Attorney
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Designing Your Field Citation Program
General's office might prefer to retain the role |of requesting the court for judicial penalties.
In addition, obtaining authority through a state ^legislature can be a long process. Tims, it is
important for you to design your field citation program to allow you to proceed with the
resource-saving enforcement efforts without being hindered by obtaining authority. Later
sections will demonstrate that it is not necessary to wait until your program has been granted
the proper authority before you start developing a field citation program.
State of California RCRA "Toxic 31cket"'Prcgrani had the" [
authority to assess an administrative penalty? In order to develop
a citation program, officials simply streamlined the corrective
action order and penalty procedures into a field citation process.
If a recipient disputes a citation, the inspector schedules an appeal
of the order and complaint on'the spot. K the recipient corrects
the problem and pays the penalty, the Toxic Ticket has the same'
effect as an administrative penalty. ""'"' ' ", .,"'".
' & ™ ' f *' *'"; '* '?, " "'j '''," ' "
EPA Office of Mobile Sources issues dtafions'that are modified
settlement agreements and offer a'fixed fee as part of the
settlemenfTThus, recipients can shoose to correct violations and
pay the modest penalties or subject themselves'to traditional,
enforcement procedures and fines^that can be as high "as $25,000
per violation. If a,recipient ignores a citation, fie or she risks
prosecution and paying a considerably higher penalty.
West Virginia RCRA Program had the authority to assess
administrative penalties. However, the program initiated M ,
emergency legislation to revise the penalty structure to levels
appropriate for field citations (up to $7500 per isite)," Although
this was done on an emergency; aon-pe'rmarient'basis, West
Virginia will go through "standard channels to have permanent
legislation developed. '" " T ^ f-X s^< ? ^ - 7 , ^ -
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Designing Your Field Citation Program
One program's experience demonstrates the difficulty of obtaining authority from a state
legislature and the creative ways to proceed with developing a program while awaiting legislative
action:
State of Delaware UST program submitted a bill to its legislature
to be granted authority to issue citations that impose
administrative penalties for minor UST violations, but which assess
less than a thousand dollar penalty on the recipient. Although the
bill authorizing the field citation program had passed the
environment committee and one house of the legislature, the
voting session expired before the second chamber could vote on
the bill and the bill died. Delaware plans to issue warning
citations for a limited number of violations until the bill is
addressed in the next legislative session. When the legislation is
passed, the regulated community will, have been given ample
warning that a citation program is in place and will not t>e
surprised when penalties are imposed.
11
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Designing Your Field Citation Program
Choose Penalty or No Penalty
One of the choices you will need to make when establishing a field citation program is whether
to issue citations that impose penalties. Citations without penalties may be administrative
orders requiring correction of a violation or simple warnings informing the owner or operator
that a violation will be subject to more serious enforcement activities if not corrected.
Agencies with administrative penalty authority may issue citations with or without penalties.
Some programs with the authority to issue penalties introduced the new field citation program
by issuing field citations that require compliance but do not carry penalties for a fixed period
of time (e.g., six weeks or three months). The programs then imposed penalties after the fixed
introductory period is over. The non-penalty introductory period allowed the program to inform
the regulated community about the use of field citations and allowed the owners and operators
time to adjust to the new citation process.
Alternatively, some states and localities with administrative penalty authority issue warnings
throughout the life of their field citation programs. In some cases, the citations may be
"warnings," without penalty or order for compliance. If simple warnings are us^d, owners and
operators are made aware that compliance orders, with penalties, will be issued and penalties
imposed if the violation continues. In other cases, inspectors may issue non-penalty orders for
compliance to owners and operators initially and follow up with penalty-imposing orders if
violations are not corrected within a specified time period.
Agencies without administrative penalty authority will not be able to issue citations that impose
fines. If your agency does not have penalty authority, you will need to develop a citation
program that does not impose penalties. For example, you could issue non-penalty
administrative order citations that require the owner or operator to correct the violation. Some
field citation programs have found that compliance increases simply by using warning citations.
A useful technique for increasing compliance is requiring the violator to submit evidence of
compliance within a fixed period of time. As in the case of a fine, this requirement imposes a
burden on the violator to directly respond to the citation.
The steps involved in developing a non-penalty field citation program for UST violations are
essentially the same as those for a penalty-imposing program, except obtaining administrative
penalty authority, assigning penalty amounts to citations, collecting penalties, and, perhaps,
establishing a formal appeals procedure.
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Designing Your Field Citation Program
District of Columbia: The Officef>of Civil Infractions initiated the
field citations program in the Office of Civil Infractions with a
three-month "warning period.11 The citations issued during the
warning period were administrative orders requiring compliance,
but they did not impose a penalty. The inspectors provided the
owners and operators with informational material about the new
program during inspections. At the end of the warning period,
inspectors issued citations witri penalties.
A ** ^ ""fr- . I V* ft "• ;',<'.' -v $ff- <•, >, j
" - "'-- • - - "
VXV-AA A v i 1 •
Dade County, ftJorida? Inspectors initially issue warning citations
to owners and operators for wflajtions. The Tvarning citations
require recipients^ Correct vlolations'within a Specified time
period. Facilities are Eeihspecte^at the end of the period and if
the violations have not been corrected, citations with penalties are
#*• ' ,-<><. ,' %
Province of Ontano^cinada: 'inspectors issue onlfpenalty- /
imposing citations! tfie citation program has been in existence
since the 1960s arici ttie regulate
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Designing Your Field Citation Program
Consider Appropriate
Authority for Inspectors
Delegation of enforcement authority to inspectors may be an issue for some programs. You
should take the time to check with your legal staff and agency administrators to ensure your
program is able to delegate enforcement authority to inspectors. For many programs, there will
be no problem delegating authority; some programs, however, may encounter barriers to
allowing inspectors to issue field citations. For example, there may be legal barriers to
delegation or agency policy may preclude low-level officials from making enforcement decisions
or assessing penalties.
In cases in which the proper authority can not be delegated to inspectors, you should explore
creative solutions that will enable your inspectors to issue citations in the field. For example,
if the signature of a program administrator is required on every enforcement action taken, a
program may wish to design a citation with the signature of the authorized program
administrator stamped onto the citation. Inspectors can simply countersign the citation to
demonstrate that they were on site. Alternatively, inspectors can simply leave informal
checklists or inspection forms on site in lieu of citations and return to the office where a
program official with enforcement authority can issue citations by mail after the inspection. The
citation can be streamlined so that the inspector can process the documents for expeditious
review and action. Finally, a simple warning citation may serve to increase compliance with the
regulations but not require that field inspectors have enforcement authority delegated to them.
15
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Setting Up Your Field Citation Program
Determine Which Violations
Will Be Cited
In field citation enforcement programs, inspectors must use their judgment to determine
whether an UST is in violation of regulations and, if so, whether to issue a citation to the owner
or operator. Thus, field citations are typically used to address clear-cut violations, at least in
the early stages of the program. Determining which violations are appropriate for citations
requires an objective look at your UST regulations. Clear regulations, which involve little
subjective judgment, make it easier for inspectors to determine whether an UST owner or
operator should receive a field citation or be subject to more serious enforcement actions. For
example, the following violations could be easily determined:
• "Failure to display a current tank registration certificate or operating permit"; or
• "Failure to install an overfill protection system."
However, some violations may be complex, open to subjective interpretation, or not easily
verifiable. For example, field citations may be an inappropriate means of enforcement for the
following violations:
• "Failure to install release detection devices in accordance with manufacturer's
instructions"; or
• "Failure to meet requirements for exemption from piping cathodic protection."
Finally, violations that present an immediate threat of serious harm to human health and the
environment should not, in general, be addressed with field citations. These violations require
more serious enforcement actions that mandate immediate action on the part of the owner or
operator.
Inspectors, as well as administrative personnel, will perform their jobs most effectively if
violations to be cited are defined in a clear and consistent manner. Your agency can also be
relatively confident that UST owners and operators will understand their responsibilities for
correcting violations promptly if each violation is clearly defined.
As the program matures, you may find that violations not included in your original list are
suitable for field citations, and that your inspectors have become accustomed to the citation
process and will feel comfortable issuing field citations for a greater variety of violations.
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Setting Up Your Field Citation Program
^ . f
Suffolk County, New York plans to issue field citations for nearly
all possible violations of their UST regulations, but will initiate
the program by citing only 20 violations. The program directors
plan to increase the number of violations cited as the program
f . .„,. ..Sf M. r ,. „ _ :,.*>
matures. "
Province of Ontario, Canada issues field'citations for nearly all
possible violations of the Gasoline Handling Act.
''"..*•.'"*•• "):%'','"",'• \v\ - '
Bade County, Florida issues field "citations for a few clear-cut UST
violations and takes stricter enforcement action In the event of
emergencies or major violatiohs'^eyond ttie scope of the field
citation program. " T^ - ,> -,; - %
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Setting Up Your Field Citation Program
Develop Short-Form Wordings
of Violations
Short-form wordings are abbreviated phrasings of violations that clearly identify the violations
and yet are simple enough to be recorded quickly and consistently on field citations. These
abbreviated phrasings can be thought of as "short-hand" for inspectors.
• The most clear and straightforward short-form wordings are those phrased in terms
of how the owner or operator has violated the regulations (e.g., "failure to install
adequate number of monitoring wells").
• You should review your regulations and develop short-form wordings for each
section that you wish to have enforced using field citations.
• It is useful for inspectors to have a list or handbook of short-form wordings to carry
with them on inspections for reference purposes and to ensure consistency.
«o
Developing short-form wordings can be a time-consuming process. Do not underestimate the
' time that it may take you to complete this task.
JEPA's Office of Underground Storage Tanks has developed a
partial list of short-form wordings of violations based on. federal
UST regulations. This list is included in. the back of the handbook:
In the "Short-Form Wordings" section and may be used as
guidance when preparing short-form wordings for state or local
regulations.
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Setting Up Your Field Citation Program
Establish Penalties
for Violations
If your field citation program will include penalties, you need to consider the most appropriate
penalty system. A violation of a traffic regulation typically carries a penalty that is based on the
.seriousness of the specific violation or the category to which the violation belongs. For
example, parking in a no-parking zone might carry a penalty of $20, whereas travelling the
wrong way on a one-way street might carry a $75 penalty. Similarly, each violation or category
of violations in a field citation program must be assigned a corresponding penalty amount.
Generally, each violation carries a set, pre-determined amount and inspectors do not have the
discretion to negotiate penalties with recipients. This makes the field citation process faster and
easier for inspectors and recipients will be less encouraged to challenge inspectors about
penalties.
You should set penalties that will be high enough to catch the attention of owners or operators
and result in a relatively high compliance rate. If penalties are too high, owners or operators
may deem it worthwhile to appeal the citation rather than pay the fine. Several UST programs
have had a high success rate in penalty collection by imposing relatively low penalties (from $20
to $100), which can then be doubled or tripled for cases of continuing noncompliance. In
addition, most programs have categorized violations according to seriousness and set penalties
accordingly.
Penalty amounts corresponding to UST violations differ from program to program. You need
to determine what level of penalty will be "acceptable" for your program. Staff of local
programs that impose civil penalties for violations of codes or regulations, such as building code
administrators or police department personnel, might be able to advise you on penalty levels.
They can give you an idea of how the level of the penalties affects the receptiveness and
responsiveness of the regulated community. You should also determine whether to establish
a ceiling on the total dollar amount of penalty fines that may be assessed at one site. If
cumulative penalties at one site surpass this amount, you may wish to employ more serious
enforcement methods against the violator. You will also need to determine how you will
increase the penalty amount if an owner or operator does not respond to the initial citation (for
example, a doubling of the original penalty for late payment or continuing noncompliance).
A major issue related to using penalty citations is deciding where the penalty monies will be
directed, such as to the agency or a general state/local treasury. In many programs, there is a
set procedure for collecting penalties. You should check with a budget officer or agency
director to determine whether the penalties collected will go to a general fund or will be
directed to or collected by your agency. If the monies are collected by the agency itself, the
program may be perceived by the public as a revenue generator and the matter will need to be
handled delicately in outreach efforts.
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Setting Up Your Field Citation Program
'*• •• j •,
Dade County, Florida: UST violations incur either a $50 or $100
standard penalty, depending on the nature of the violation. These
amounts will be increased by $50 in the 1990 fiscal year. The
penalty monies go into a general county fund. Penalties for owners
or operators double after 30 days'of non-compliance.
VA , ,, >',-J!' f f ' •.'
, -V ' /'", , fr ••
Suffolk County, New York; the Province of Ontario, Canada; and
the District of Columbia: These programs issue citations with
penalties that range from S50 to $500, depending on the severity
of the violation. , "; -'""*'""
22
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Setting Up Your Field Citation Program
Establish An
Appeals Procedure
All enforcement programs must establish a procedure to allow the owner or operator to appeal.
An appeals procedure need not be formal; it could be as simple as an informal conference to
discuss the field citation. However, more formal appeals procedures using administrative law
judges (ALJs) or hearing officers to hear cases in a court-like setting may be appropriate for
your program.
The potential resources and the scope of your program will help to determine what type of
appeals process will work most effectively for your program. Generally, informal procedures
are less resource-intensive than formal hearing procedures. Also, non-penalty citations are less
likely to require formal appeals procedures. Even if you must provide an opportunity for a
formal appeal, an opportunity for a preliminary informal appeal may short-circuit formal
appeals, especially where clear-cut violations are cited. Two common procedures for informal
appeals procedures are outlined below.
• Informal conference. The owner or operator may request an informal conference
with the inspector and/or a program official. The owner or operator presents his
or her case and contests the citation and/or penalty. You may wish to use the
conference as a first step to allow violators to plead their cases without entering a
more cumbersome formal appeals process. During these informal conferences, you
may require owners or operators to pay the penalty fee, or you may reduce penalties
under certain circumstances. Usually, each inspector or supervisor sets aside a
certain day (every week or once a month, for example) to conduct informal
conferences. Owners or operators are then informed on site what days are available
for appeals conferences.
• Adjudication by mail. The owner or operator may request adjudication by mail
when issued a citation. The owner or operator presents his or her case in writing
and includes any evidence, then mails the materials to the agency. Program staff or
legal staff review the case with the inspector and notify the owner or operator of the
decision by mail. As in the above case, you can structure the procedure as a first
step to avoid a formal appeals process, or as a serious proceeding for reexamining
evidence. Adjudication by mail would be useful in jurisdictions where owners and
operators could find it difficult to travel to the agency office for an informal
conference or formal appeal.
More formal appeals processes usually involve hearing officers, hearing review boards, or ALJs.
In these court-like procedures, hearings are scheduled in a manner similar to a court docket and
both parties (owner or operator and inspector) present their cases in front of a hearing officer
or ALJ. If you institute a formal appeals process, you should work with your legal staff when
you are planning the structure of the process. You may be able to take advantage of an existing
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Setting Up Your Field Citation Program
environmental review board or hearing system in your department or agency; if not, you should
be prepared to hire the staff necessary to run the [appeals process (ALJs or other officers, clerks,
court reporters, etc.).
i
Information for owners and operators on how to request a hearing and/or when and where to
appear should be printed on citations. Hearing or court dates can be scheduled by an inspector
on site, at the time an inspector issues a citation to an UST owner or operator. Or, an owner
or operator can request a hearing by mail or be telephone after receiving a citation. For
scheduling informal conferences, one option is fqr administrative staff and inspectors to develop
a schedule for each inspector to be assigned one morning or day per week for conferences.
Keep in mind that the hearing/conference schedule you decide on at the outset may have to be
adapted to accommodate a changing number ofj appeals.
Suffolk County, New York: The Suffolk County citation will allow three options for
• citation response: (1) pay the'penalty and waive rights to an appeal; <2) admit the
•violation but contest the penalty using adjudication by mail; (3) deny the violation and
request an appeal. The Commissioner for the Department of Health win appoint a
hearing officer to review appeals and,the appeals will be scneduled on days set aside
for this purpose. Owners and operators wfll be notified of their hearing date by
inspectors when they issue citations. - ^ - --.,.'" -;; ;
•. f s •#• V ~~\f J' i? f.f *.. •" s '
Dade County, Florida: Laymen were appointed to hear appeals from the field citation
program. Inspectors schedule hearing dates ^on site at UST facilities, carrying
calendars with them to inform'owners and operators of the dates by'which' penalties
must be paid or, alternatively^ appeals heard. ' -,,,'-
District of Columbia:" Citation recipients may request hearings to deny charges Of
admit to charges with an explanation. Hearings are'scheduled by administrative
personnel at the Office of Civil Infractions and conducted by an ALJ in a court-like
setting. ^, '' ^ r v-^r\/ , '"'- "' ' ' -
Bureau of Air Resources^ the City of Kew York: The comprehensive citatjon
program, similar to the District of Columbians, requires recipients to pay assessed -
penalties before scheduling appeals.: , "'" "'^ , ^1^1-' '?'"j, ,";-,,
State of California RCRA "Toxic Ticket" Program: Informaljconferences are scheduled'
by inspectors in the field when they issue jdjatipns. ^Recipients can argue their case at
the informal conference oi;,request a'form'al hearing. Program officials'state that most0,
appeals are resolved during the informal conference stage and rarely go to a formal
hearing. "sV*4f> \^$/-J^' ' V? ."-'£'*• "-.'*.
^ v^:yXWvXvri "o'Vv ^''' '''"- -""'-
24
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Setting Up Your Field Citation Program
Design Field
Citations
Field citations often resemble traffic tickets in format. Whatever format you choose, the field
citation should contain information that will assist UST owners or operators in understanding
their responsibilities and should be easy for owners and operators, inspectors and administrative
staff to use. When designing your field citation, you should consider the information the
citation must include, the format that best captures this information, and the actual production
of the citations.
Your citation should include information that explains where the recipient should send penalty
monies, how to arrange an appeal, and how to contact the program office. The citation should
have spaces for inspectors to record all information necessary to document inspections, including
the owner or operator's full name, address, telephone number, the date and time citations are
issued, the regulation(s) violated, and perhaps the inspector's notes concerning the inspection.
The citation can serve both as an enforcement tool and as a record of what occurred during the
inspection. Suggestions regarding citation design include: ,0
• Design multiple-copy citations.
Copies should be designated for specific parties (UST owner or operator, UST
program office, penalty-collection department, etc.).
Copies for different parties may require different designs in order to explain
relevant information to the appropriate parties (e.g., the back of the recipient's
copy may contain information regarding where to send penalty money while
the back of the inspector's copy may contain space for notes and observations).
• Be certain consecutive tracking numbers or bar codes and all information
concerning the responsibilities of citation recipients are printed on the citation.
You will also need to decide who will print your citations and how many you will need to order.
You may want to order a modest number initially, because your inspectors may have suggestions
', on how to improve the design after they have used them for a while.
All of the citations described on the following page are printed on non-carbon reproducing
paper to facilitate creating copies. Samples of all these citations are included in the "Sample
Field Citations" section in the back of this handbook.
25
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Setting Up Your Field Citation Program
EPA's Office of Underground Storage Tanks: OUST has
developed a field citation as an example for State and local
programs that may be developing UST citations.
District of Columbia: CitationsInclueje'space to list up to tear''
violations by violation code name and the total penalty amount
The inspector fills in the facility name and address, owner or
operator's name/and license or permit numbers. The citations "-
include exact instructions for recipients and copies each for " "
inspectors, recipients, and administrators. Recipients check a box
to admit the violation, admit with explanation, of request a
hearing. The back of each copy 6f the citation contains
information relevant to "the specific recipient (e.g], the inspector's
copy includes space for notes on the inspection);"*""' " ' - -
Province of Ontario: The field citation has directions in both
French and English to accommoctate'the language differences in
the jurisdiction, and includes space for administrators to keep
record of progress in court 'cases] The dtatiorf is a record of the ,
case for both the recipient and the administrator,' (Tnstnictions to
the recipient given in both English and Spanish maybe useful m
some programs.)" - . ..,<./,„' A ,'" "
26
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Setting Up Your Field Citation Program
Develop a System to
Track Status of
Citations Issued
You should develop a "tracking system" to help monitor the status of field citation cases. All
data pertinent to ensuring efficient and timely follow-up needs to be tracked: the date a citation
was issued, to whom it was issued, the date the penalty is due/paid, the date on which a hearing
is scheduled/was held (if applicable), the outcome of the hearing, the date a reinspection is
scheduled, date that the self-certification of compliance form is due/received, and other
information you want to track.
Having a well-designed tracking system that has complete and easily accessible information is
essential if you expect your citation program to run smoothly and efficiently. In addition to
tracking the status of penalties or enforcement actions, a well-designed system will facilitate
compiling summary data for evaluating the success of your field citation program.
You will need to determine the most efficient method of recording citations for your program.
Field citations can be recorded by computer input (with or without special software), by hand
into a logbook, or by a combination of these methods. The size of your regulated community
and the estimated volume of citations issued will determine whether you will need a special
computer program, or whether alternate tracking methods will suffice. Some programs have
already developed tracking systems, and there is commercial software available that may be
adaptable to the requirements of your system. Other tracking systems already in operation in
your agency or state may be adaptable to the UST field citation program.
As you develop a tracking system, you should consider the following actions:
• Establish procedures for obtaining data from all personnel, including inspectors,
legal staff, and administrative staff.
• Establish a communication procedure with the penalty collection department staff
to ensure that you are kept informed of the status of penalty payments.
• Decide what kind of tracking code you will use. (Most programs use a consecutive
numbering system, but computer bar codes are used in the jurisdictions which rely
heavily on citations.) These tracking codes will need to be printed on the citations.
• Decide who will be responsible for entering the data and updating it; you may need
to hire additional staff for this purpose.
27
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Settine Up Your Field Citation Program
\ °" X * '
Province of Ontario, Canada, and the District of Columbia cite
violations in many code areas and thus have computer tracking
systems that help to organize the'large volume of information.
The District's Office of Civil Infractions purchased a special
software package designed to'track court cases and adapted it to
the field citation program." The computer program has numerous
fields and can generate relatively'complex statistics, but it is also
user friendly. The District ikes computer bar codes to identify
each citation." Sj - "> }'V^--v-|- - ', -
V ^ s v\% \ % * '* ' ' '''
Bade County, Florida tad an in-house programmer develop a
simple data tracking System in arf R-TbaSe personal computer
database package. Citations are numbered for identification.
DadeCounty uses their data-base^to track the status of " t
enforcement cases ,and V^lag*^olati6ns which require follow-up
activities. "' i j-".
28
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Setting Up Your Field Citation Program
Determine
Staffing Needs
If you have an UST enforcement program already in place, with inspectors and administrative
and legal staff, you may find that your current staff, with some training, can assume the
responsibilities associated with field citations and that you need only shift responsibilities or
redefine job descriptions. If you are just starting an UST enforcement program, however, you
will need to hire and train new staff. It may be difficult to determine exactly how many new
staff you will need to run the field citation program; once the program becomes operational, you
will have a better idea of the level of effort required to maximize efficiency. You must decide
what positions you need to fill and the number of staff you need for each position. Positions
may include:
• Inspectors to determine violations, issue citations, and perform follow-up
: inspections.
• Data entry personnel or computer operators to run a tracking system. If you do not
already have a computer programmer on the staff, you may want to hire one
temporarily to create a special tracking program, or hire a permanent employee to
create and maintain a tracking system.
• Administrative staff to process and track citations, collect penalties, and respond to
calls from owners and operators and others requesting information about the
program.
• Legal staff for scheduling and assisting with hearings or court appeals.
• A hearing officer or administrative law judge.
• Training staff or a training consultant to design and/or deliver training.
You could choose to have current staff assume the new responsibilities, or, if possible, borrow
staff from other departments to help out temporarily while you are getting the program off the
ground. Note that one advantage of a field citation program is that it is an expedited
enforcement process. Staff that previously spent considerable time processing cases using
traditional enforcement procedures may have more time available when a field citation program
is implemented.
In order to facilitate changes in duties, engage the services of a technical writer or editor, if
feasible, for the specific purpose of developing program guidance documents that will be used
to train inspectors and other staff. You may also want to update job descriptions in your
personnel office.
29
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-------
Setting Up Your Field Citation Program
Hire and
Train Staff
Field citation programs are designed to maximize enforcement resources. If inspectors are able
to address and resolve a class o:f violations at the scene, not only inspector time, but legal,
supervisory and administrative resources are conserved for other enforcement or program
purposes. Consequently, adopting a field citation program will not in general require hiring
additional staff. However, especially for new programs, key roles such as inspectors and
appellate reviewers might need to be hired or borrowed from within the agency.
Since the field citation will create new duties and responsibilities, you will need to train new or
existing staff. You will need to plan introductory training for all staff, to make certain that
everyone understands the new program, and more intensive training for those who will play
major roles. Field inspectors especially will require formal training. Inspectors will have the
most contact with the regulated community and their conduct in the field will be a significant
factor in how your field citation program is received by the regulated community. It is crucial
that inspectors be consistent in citing violations, so that the regulated commuisty knows what
to expect from the program. Training inspectors will ensure that violations are cited consistently.
Some suggestions to keep in mind when designing staff training:
B Provide different levels of training. Training for new staff may need to be longer
and more comprehensive than that for current staff already familiar with inspection
techniques and enforcement.
. Decide who will deliver the training. UST program staff, experienced inspectors,
legal staff, or police academy trainers may be qualified to train inspectors who will
issue citations.
. Decide how often to hold training sessions. You may need to hold only one session
initially, scheduling others as the program develops and staffing requirements
increase.
• Train everyone. Include all staff and management in at least part of the inspector
training, if possible, to familiarize everyone with the program.
f f f f f<
Province of Ontario, Canada: Inspectors are trained at the Police
Academy, as their function resembles that of traffic police,
* •> *••>''' ' ,, •.
31
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Setting Up Your Field Citation Program
Dade County, Florida: The same training course is provided to
staff issuing field citations as for any program administered by the
agency. Inspectors enforcing different code sections receive
uniform general training in issuing citations and enforcement
skills. Departmental specifics are taught within each department.
Trainers from different program areas teach relevant course
sections. For example, an attorney presents information on
hearing procedures. Experienced inspectors are often encouraged
to help with training. Dade County trainers also issue handouts
that contain information on specific procedures inspectors must
follow. In addition, Dade County inspectors attend bi-weekly
informal training sessions on a Wiety of issues and skills relevant
to their work. i
West Virginia RCRA Program: Inspectors and supervisors sat
down together to review the new procedures for the pilot program.
Specifically, supervisors reviewejl past NOV cases with which
inspectors were familiar. Together the group discussed these cases
in light of the new procedures and projected the course that those
cases might have taken if field citations had been used.
^ A
EPA's Office of Underground Sjtorage Tanks* An inspector
training course has been developed that is geared toward training
inspectors for issuing field citations. The information in the
manual is presented in modules sojthe training can be adapted to
fit individual program needs, arid is designed to help course
coordinators develop the training. The manual is available for
state and local use. Additionally, members of the Field Citation
Workgroup {listed in the ^Getting Help11 section) have delivered
sections of the training during pilot training sessions. They may
be available to assist your program in designing and delivering
training. If you wish to obtainja copy of the Field Citations UST
Inspector Training Manual or would like more information about
instructors from the Workgroup/please contact Jerry Parker of
EPA-OUST (seethe "Getting Help" section).
District of Columbia: training is conducted'on an agency-wide
basis. 'Inspectors enforcing different code sections need the same
generalized training to issue citations effectively. Department
specifics are handled within each department.^ Inspectors receive a *
training manual) which serves as a reference', in addition to a
training course"that runs^from Jwo to three days.
J V ^ f %
v!= f
32
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Setting Up Your Field Citation Program
Develop Informational
Materials for the
Regulated Community
Outreach is a crucial component of any new program. The owners and operators are more
likely to be receptive to the field citation program and cooperative if you inform them about
the program in advance, and help them understand how they will be affected by it Outreach
and public relation efforts are critical for developing a successful field citation program.
Different informational materials can be used at different stages of the program. For example,
before the program becomes operational, you can begin to inform the regulated community
about the program through informational materials sent by mail, press releases, and radio and
television spots. You also might want to hold public meetings during which the regulated
community and other interested parties can ask questions and receive the informational
materials before the field citation program begins. Direct contact with members of the
regulated community will help ensure that they understand exactly how the citation program will
work and are familiar with related rights and responsibilities. After your program is underway,
inspectors can hand out fact sheets during site visits to inform owners and operators about the
program and any changes that may have been instituted. Your inspectors will benefit from your
outreach efforts, as owners and operators will be aware that inspectors have the authority to
issue citations.
Outreach efforts will be most effective if you approach the affected parties as partners in this
new effort, pointing out the mutual benefits. It is important to have support for your efforts.
Suggestions regarding outreach materials include:
• Stress the positive aspects of the field citation program. For example, emphasize
that the program will help reduce the administrative burden on the regulated
community.
• Provide detailed information about the UST regulations and the citation program.
Owners and operators need to understand how they may be out of compliance and
how they can react to violations.
• Make the tone of informational materials friendly. Outreach works best when the
regulated community is approached as a partner, rather than in a confrontational
manner.
You may also want to have inspectors distribute fact sheets during inspections providing
information about the program and the effect that it may have on the regulated community.
33
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Setting Up Your Field Citation Program
District of Columbia held over 300 meetings with the regulated
community before the field citation program was implemented in
order to explain the new program. Program officials produced an
eight-minute informational video for use at these meetings that
stressed that it is "good business* to comply and explained how
field citations will benefit tb.6 health of everyone in the general
community. They also developed'outreach materials to explain, the
authority of the Office of Civil infractions, the rights of the
regulated community when citations arejssued, arid the"purpose of
the citations in terms of the Office's goals. Inspectors distributed
these outreach materials during a three-month warning period.''
Suffolk County, New York designed'a limited outreach 'program. --
Because the UST program "has been, in place for nearly "ten years
and has had a ^visible field enforcement presence for several years,
the regulated community is familiar with the regulations! Suffolk
County designed a limited, bat critical, outreach program and ,
warning period to inform owners and operators'of the upcoming
changes in enforcement procedure^ Program administrators did
not believe that the shift to'fidA citations would surprise the *„
regulated community; thus th'eir outreach efforts were relatively
limited. * >^- v >--Lt^ >. :;?-,-
- -? - I v,, ,
EPA's Office of Underground Storage Tanks has developed a _
sample press release to accompany^ field citation program.
' ' ''
Samples of the outreach materials described above are included in the "Informational Materials"
section. I
34
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Implementing Your Field Citation Program
Conduct Inspections
and Issue Citations
After your program has made all necessary policy decisions, the various program pieces have
been put into place, and the staff have been trained, you can begin to put your new field citation
program into operation.
The initial program activity is, of course, conducting inspections and issuing citations to owners
and operators for noncompliance with UST regulations. By this stage, you should already have
decided which violations will be cited, the maximum number of citations inspectors will issue
during any one site visit (if there are many violations, more stringent enforcement action may
be warranted), and whether inspectors should issue citations for minor violations at all when
there are other, more serious problems at a site that require immediate attention. All of these
policy decisions should be made ahead of time so that inspectors do not have to make judgment
calls while in the field. The more thorough the planning stage and the more comprehensive the
training, the better prepared inspectors will be to handle any situation in the field.
When inspectors begin to issue field citations, you will want to make sure they take all the
materials they will need to the inspection site. Inspectors should carry the following:
• Field Citations. The tracking staff should keep a record, by code number, of all the
citation forms issued to each inspector, and the inspectors, in turn, should be able
to account for each citation.
• Calendar. A calendar is useful for scheduling follow-up inspections, and, if
applicable, hearings for owners or operators who want to dispute citations.
• Informational materials. Materials concerning the program and the responsibilities
of the regulated community should include general information about the UST
program, specific information regarding the new field citation program, a phone
number recipients may call with questions, and copies of the relevant regulations.
• Contractor List. You may wish to provide your inspectors with a list of contractors
that repair and maintain USTs. This list may be of help to inspectors when the
owners and operators ask, "how do I correct this violation?" Inspectors should
explain that this list does not constitute an endorsement; it is a general information
sheet.
35
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Implementing Your Field Citation Program
Coordinate Enforcement
and Follow-Up Activities
To ensure that your field citation program is an effective compliance and enforcement tool,
inspectors and staff should follow specific procedures for processing citations. Established
follow-up procedures will ensure that no case "falls through the cracks" and coordination of staff
efforts will help to ensure that the program is effective. Follow-up activities are critical to
maintaining your program's credibility among the regulated community.
Inspectors must make sure they have recorded all the necessary information on the citation and
have submitted all completed citations to the appropriate person or department at the end of
each workday or workweek. Tracking staff must be sure to enter all pertinent data into the
tracking system or citation logbook as soon as possible. Also, the staff maintaining the tracking
system needs to update information as appropriate.
The department or staff responsible for receiving the penalty monies needs to notify UST staff
when penalties are paid or self-certification of compliance forms are received soahe information
can be entered into the tracking system database or logbook. The staff responsible for sending
out notifications of overdue penalties to nonresponders, if not the penalty collector, also needs
this information, as it will indicate if further enforcement activities are warranted. Also,
information regarding follow-up inspections or enforcement activities should be routed from the
tracking system staff to the inspectors.
Dade County, Florida: Information on each citation issued is
entered into a database and shared witinhe department in charge
of collecting penalties from owner or operators. The penalty
collectors eater information Into their database as soon as
possible; inspectors are made aware of which owners and operators
have not responded to field citations. Thus, each enforcement arm
is aware of the other's activities and a coordinated enforcement
effort is achieved. In addition, inspectors record dates for follow-
op inspections on pre-dated calendars ihey carry during
inspections. Inspectors check their calendars each day to
determine if any sites are scheduled for re-inspection.
37
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Implementing Your Field Citation Program
Pursue More Stringent
Enforcement Actions,
If Necessary
As field citations may not be appropriate for addressing all violations, there will be
circumstances in which the agency will need to use standard enforcement methods and must
have the resources to do so. In addition, most field citation programs have established more
stringent enforcement actions to follow if an owner or operator fails to pay penalties or correct
violations resulting from a field citation. Unless the agency is willing to back up the citations
with alternative enforcement measures, the citation program will not maintain credibility.
Usually, a recipient is allowed a specified period of time to respond to a citation, either by
paying a penalty or requesting a hearing. If there is no response by the specified date, the
agency may pursue further enforcement action. Some follow-up enforcement methods include:
• Multiplying the initial penalty on a daily or weekly basis for unpaid penalties;
• Issuing additional citations for continuing violations;
• Attaching a lien on owner or operator property for unpaid penalties;
• Engaging the services of traditional collection agency for unpaid penalties; or
• Pursuing "traditional" enforcement for uncorrected violations/unpaid penalties:
~ Issuing an administrative order;
~ Assessing a larger administrative penalty than issued with the citation;
~ Seeking a judicial order or penalty.
Check with other enforcement agencies in your jurisdiction; some may have suggestions for
alternative enforcement measures.
39
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Implementing Your Field Citation Program
Evaluate Program and
Revise As Necessary
In order to determine if your field citation program is successful, you need to have some method
of evaluation. Measures of "before and after" compliance rates, staff time saved, and dollars re-
allocated not only assist you in evaluating the effectiveness of field citations for your program,
but also provide a powerful promotional tool for the public, state legislatures or county boards,
or department administrators. These figures will assist you in demonstrating the effectiveness
'of your enforcement strategy and planning for future program development.
There are many questions you will need to address in order to develop evaluation criteria. The
tracking system will be useful for calculating changes in compliance rates or the number of
citations issued. Therefore, the more information that you encourage your staff to collect, the
more prepared you will be to fully evaluate the program. Topics to address include:
• How many citations have been issued (for the first six months, year, two years)?
How do these numbers compare with pre-program estimates?
• Does the design of the citation work? Are the instructions to recipients clear and
complete? Does it provide all the data you need?
• What is the rate of compliance with the citation? Several agencies that currently
operate an UST citation program believe that overall compliance has increased
because of the "word-of-mouth" information about the new citation program.
• How many cases require follow-up enforcement? Of what type?
• How many citation recipients requested hearings or appeals? How does this
compare with projections?
• How much staff time is devoted to the citation program? Has the citation program
reduced the time needed to handle enforcement cases?
• Is the staff time devoted to the program sufficient? Is there a need to increase the
staff? Should there be a reallocation of staff time?
• How effective is the tracking system? Does the database contain enough
information? Is the information being updated often enough?
• Are the procedures for issuing and following up on citations effective? Are there
ways to make the processes more efficient?
41
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Implementing Your Field Citation Program
Ask your inspectors and administrative staff if they have any suggestions on how to increase the
effectiveness of the field citation program. An individual concerned primarily with a particular
aspect of the program is in the best position tb judge whether that particular component is
working effectively.
42
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Appendices
43
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Appendix A:
Getting Help
Note: The people listed in this section are those who have implemented a field citation
• program or assisted with program development. They are members of the Office of
Underground Storage Tank's Field Citation Program Workgroup. Feel free to contact them for
assistance or advice. •
General:
Dr. Jerry Parker
Office of Underground Storage Tanks
U.S. Environmental Protection Agency
401 M Street, S.W.
Washington, D.C. 20460
(202) 475-7263
Ms. Karen Reed
EPA Region II, Superfund
26 Federal Plaza
New York, NY 10278
(212) 264-6195
Province of Ontario:
Mr. Al Maclver
Office of the Fire Marshal
7 Overlea Boulevard
Toronto, Ontario M4H1A8
(416) 965-4851
District of Columbia:
Mr. Larry Hammond
Office of Civil Infractions
613 G Street, N.W., 7th Floor
Washington, D.C. 20001
(202) 727-7970
New Mexico:
Mr. Tito Madrid
UST Bureau
New Mexico Environmental
Improvement Division
1190 St. Francis Drive
Santa Fe, NM 87503
(505) 827-0188
Ms. Shelda Sutton-Mendoza
UST Bureau
New Mexico Environmental
Improvement Division
1190 St. Francis Drive
Santa Fe, NM 87503
(505) 827-2910
Delaware:
Ms. Kathy Galloway
Division of Air and Waste
Management
Dept. of Natural Resources
and Environmental Control
715 Grantham Lane
Newcastle, DE 19820
(302) 323-4588
Dade County. Florida:
Mr. John Farina
Compliance Section
Dade County Enforcement Division
Dept. of Environmental Resources
Management
801 S.W. Third Avenue, 2nd Floor
Miami, FL 33130
(305) 858-0607
Mr. Amando Villanueva
Storage Tank Section
Dept. of Environmental Resources
Management
111 N.W. First Street
Miami, FL 33128-1971
(305) 375-5531
45
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Suffolk County. New York:
Mr. Jim Pirn : '
Underground Storage Tank Program
Suffolk County Dept. of Health Services
15 Horse Block Place :
Farmingville, NY 11738 !
(516) 451-4634 j
i
i
Mr. Alex Santino
Underground Storage Tank Program
Suffolk County Dept. of Health Services
15 Horse Block Place j
Farmingville, NY 11738
(516) 451-4640 ;
California RCRA Toxic Ticket:
Ms. Jennifer Pruett, Esq. :
Karl Souder & Associates
1476 St. Francis Drive
Santa Fe, NM 87501 '••
(505) 983-4611
Minnesota:
Ms. Beth Lockwood
Underground Storage Tank Program
Minnesota Pollution Control Agency
520 West Lafayette Road
St. Paul, MN 55155
(612) 643-3408
Connecticut:
Mr. Scott Deshefy
UST Enforcement Program
Connecticut Department of
Environmental Protection
122 Washington Street
Hartford, CT 06106
(203) 566-4630
Mr. Jacques Gilbert
UST Enforcement Program
Connecticut Department of
Environmental Protection
122 Washington Street
Hartford, CT 06106
(203) 566-4630
46
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Appendix B:
Short-Form Wordings of
Selected Federal Regulations
The following sample short-form wordings for field citations were developed from selected
sections of the federal UST regulations. The wordings below provide an example of how a
program may develop short-form wordings for its own regulations. These short-form wordings
are not developed from an exhaustive list of all sections of the federal UST regulations, but
from several sections of the federal regulation that provide a variety of possible violations that
could be enforced using field citations.
Regulatory
Citation Violation
280.20 Performance standards for new UST systems
280.20(a)(2) No cathodic protection for tank
280.20(b)(2) No cathodic protection for piping
280.20(c) No spill prevention system
280.20(c) No overfill prevention system
280.22 Notification requirements
280.22(a) Failure to notify agency within 30 days of bringing UST system into use
280.22(c) Failure to identify all USTs on notification form
280.22(e)(l) Failure to certify on notification form that UST system was installed properly
280.22(e)(2) Failure to certify on notification form that UST system is cathodically protected
280.22(e)(3) Failure to certify financial responsibility on notification form
280.22(e)(4) Failure to certify proper release detection use for UST system on notification
form
280.22(f) Failure to provide installer certification of compliance with installation
requirements on notification form
280.22(g) Failure to notify purchaser of UST system of notification requirements.
47
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Short-Form Wordings
280.30 Spill and overfill control
280.30(5) Failure to report a spill
280.30(b) Failure to report an overfill
280.30(b) Failure to investigate a spill
I
280.30(b) Failure to investigate an overfill
280.30(b) Failure to clean up a spill
i
280.30(b) Failure to clean up an overfill
280.31 Operation and maintenance of corrosion protection
280.31 (a) Failure to properly operate and maintain corrosion protection system
!
280.31(b)(l) Failure to properly test corrosion protection system
280.31(c) Failure to properly inspect impressed current cathodic protection system
280.31(d) Failure to maintain records of Icathodic protection inspections or testing
280.33 Repairs allowed [
L
280.33(d) Failure to have repaired UST system tightness tested as required
280.33(e) Failure to test UST system cathodic protection system within 6 months of
repair
280.33(f) Failure to maintain repair records for operating life of UST
I
280.40 General requirements ifor all UST systems (Release Detection)
280.40(a) Failure to provide adequate release detection for UST system
j '
280.40(b) Failure to notify agency of indicated release
280.40(c) Failure to provide adequate rejease detection by phase-in date
48
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Short-Form Wordings
280.41 Requirements for petroleum UST systems (Release Detection)
280.41(a) Failure to monitor tank for releases as required
1280.41 (b) Failure to use approved release monitoring method for piping
280.45 Release detection recordkeeping
280.45(a) Failure to maintain records of release detection monitoring
: 280.45(b) Failure to maintain results of a sampling, testing, or monitoring as required
280.45(c) Failure to retain record of calibration, maintenance, and repair of release
detection equipment
280.52 Release investigation and confirmation steps
•o >
280.52(a) Failure to conduct tightness test(s) to investigate suspected leak(s)
280.52(b) Failure to examine and measure an UST site for suspected leak(s)
280.70 Temporary closure
280.70(a) Failure to operate and maintain corrosion protection in a temporarily closed UST
system
280.70(a) Failure to operate and maintain release detection as required in a temporarily
closed UST system
280.70(b)(l) Failure to leave vent lines open and functioning during temporary UST closure
280.70(b)(2) Failure to cap and secure all UST related equipment for temporary closure
280.72 Assessing the site at closure or change-in-service
280.72(a) Failure to measure for the presence of a release before a permanent closure
280.74 Closure Records
280.74 Failure to maintain proper closure records
49
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Appendix C: Sample Field Citations
51
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Generic Warning Notice
State seal Crtation Number
Department of (1)
Office of (2)
ON - SITE WARNING NOTICE
Facility Name:_
Address:
Name of Facility Owner or Operator:.
On (date) , a routine underground storage tank inspection was conducted at the abovemen-
tioned facility. Regulations concerning underground storage tanks have been promulgated by the State pursuant
to (3) . ' . '
During the inspection, violation of the following requirements were found:
Section (4) . (5. description of violation) ;
Section (4) . (5. description of violation) •
Tocorrect the violation, the owner or operator of the abovementioned facility must:
This notice of noncompliance is being issued by the Department of (1) in lieu of
' further enforcement actions at this time, provided that the violation is promptly corrected. However, this notice
may be used as evidence that the abovementioned facility has been cited in violation of the (3) , and
that the owner or operator of the abovementioned facility may be subject to civil penalties of up to
$ (6) for repeated violations.
If you have any further questions, you may contact (7). at (8) .
CITATION SERVED BY:
(9) (10) (11)
CITATION RECEIVED BY:
53
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Generic Warning Notice
EXPLANATION FOR SAMPLE ON - SITE WARNING NOTICE
(1) Name of the State Department with enforcement authority for UST regulations
I
(2) Name of Office within (1) responsible for implementing UST enforcement
procedures |
i
(3) Specific statutory authority(ies) j
(4) Specific section of the regulation for which a violation has been cited
(5) Brief description of the violation
(6) Maximum statutory penalty
(7) Name of contact at the appropriate Department
(8) Appropriate telephone number
(9) Printed name of inspector
(10) Signature of inspector
(11) Date
(12) Printed name of owner or operator
(13) Signature of owner or operator
54
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New Jersey DEP Warning Notice
DWR-M7
12/88
&tstt of Ntiij 3eratg
DEPARTMENT OF ENVIRONMENTAL PROTECTION
DIVISION OF WATER RESOURCES
CN 021
TRENTON, NEW JERSEY 0«*29
GEORGE a. MCCANN, P.E.
DIRECTOR
NOTICE OF VIOLATION
ENFORCEMENT ELEMENT
BUREAU OF REGIONAL ENFORCEMENT
TELEPHONE NO
DATE .
PCWS#.
TYPE
. SUPPLY.
NAME OF FACILITY
LOCATION OF FACILITY
FACILITY REPRESENTATIVE AND TITLE
. NJPDES*.
TYPE
. DISCH-
RCRA#.
MUN.
. COUNK>_
You are hereby NOTIFIED that during an inspection of your facility on the above date, the following violations were
noted and remedial actions are required:
DESCRIPTION OF VIOLATION/REMEDIAL ACTION:
The above noted violations are in violation of the following N.J. Statutes/Regulation, and will be recorded as part of the
permanent enforcement history of your facility:
O New Jersey Water Pollution Control Act (NJ.S.A. 58:IOA-1 et seq.) and appropriate Regulations.
CD New Jersey Safe Drinking Water Act (N.J.S.A. 58:12A-1 et seq. I and appropriate Regulations.
d New Jersey Water Supply Management Act (N.J.S. A. 58:1 A-l et seq.) and appropriate Regulations.
C3 New Jersey Solid Waste Management Act (NJ.S.A. 13:1E-I et seq.) and appropriate Regulations.
O New Jersey Underground Storage of Hazardous Substance Act (NJ.S.A. 58:10A-21 ct seq.) and appropriate RcguUmn:..
Remedial action to correct the violations must be initiated immediately. Within five (5) calendar days of receipt of this
Notice of Violation, you shall telephone the investigator issuing this notice at the above number with the corrective
measures you have initiated to attain compliance. The issuance of this document serves as notice to you that the Depart-
ment has determined thai a violation has occurred and does not preclude the State of New Jersey or any of its agencies.
from initiation of further administrative or judicial enforcemen- action, or from assessing penalties, with respect to this
or other violations. Violations of these regulations are subject to penalties of up to S25.000 per day.
Further enforcement action, which will require a written response, may be issued on these violation(s)and any additional
violations found during the inspection.
Violation received by
Investigator, Division of Water Resources. Dt'P
Whitn * Original Canary - Bureau File Pmk - Criminal Justice
New Jersey Is An Equal Opportunity Employer
Goldenrod - Central File
55
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Generic Field Citation
FRONT SIDE
BACK SIDE
NOTICE OF VIOLATION OF
UNDERGROUND STORAGE TANK REGULATIONS
On.
(Oast ol Vfeluon)
Tima a.m. p.m.
(Name ol Facility)
(Address ol Facility)
Name of Owner or Operator
(circle one)
Facility License/Permit No..
As the owner or operator ol the above menooned tactlrty. you nave been charged
with violation ol the (31 You must indicate ielow lor each violation
listed whether you admit tr» vexation, admit»» vnuaon «i«i an axpianaocn. or
deny me violation. You have me ngra to request a hearing.
cooe(4)
ReguiaoonTs)
I jFme (5)
Nakjre ol violation
r— l Admt
Admit won explanation
I — I Deny
Code<4)
Reguaoon (5)
Nature olviolation_
r~l Admit r~l Admit won expunaoon
Total fine applicable to me above vrtaDonlt) S (91_
Deny
WARNING: If you do not pay tie requrod
-------
Generic Field Citation
EXPLANATION FOR SAMPLE FIELD CITATIONS
i
(1) Name of the State Department with enforcement authority for UST regulation
(2) Name of Office within (1) responsible, for implementing UST enforcement
procedures J
(3) Name of the legislative Act or regulation
(4) Specific statutory authority
(5) Specific section of the regulation for which the violation has been cited
(6) Set penalty for the violation
(7) Brief description of the violation
i
(8) Violator's response options, marked for each violation cited
i
(9) Total of set penalties for all violations cited on this form
i
(10) Number of days allowed for violator's response to the citation
(11) Number of days allowed for violators response to the citation before a late
penalty is assessed
(12) Name of Office responsible for hearjng appeals
(13) Business hours of the hearing Office
(14) Name of owner or operator
(15) Address of facility
(16) Signature of owner or operator
58
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Dade County, Florida Field Citation
FRONT SIDE
BACK SIDE
METROPOLITAN DADE COUNTY, FLORIDA
UNIFORM CIVIL VIOLATION NOTICE
08364
OATE6SUEO TME CODE WSPECTOH NAME
NAME OF VIOLATORS)
DEPARTMENT i DVWON BAOO£ I
REPEAT VIOLATION
a YES r NO
THIS NOTICE SUMMONS YOU TO ANSWER THE COMPLAINT THAT ON
YOU COMMtTED A VIOLATION Of SECTION _
COUNTY TO Wff
CODE Of METROPOLITAN OADE
LOCATION OF VIOLATION
YOUSHALL
1 PAY THE CIVIL PENALTY OFI ..
_ ON OR BEFORE .
DATE
OR.
AND CORRECT THE ABOVE VIOLATION OW OR BEFORE
2 VQU MAY REQUEST AN ADMINISTRATIVE HEARING BEFORE A HEARING OFFICER
TO APPEAL THE DECISION OF THE CODE INSPECTOR OFFICE ON OH
BEFORE —
(SEE INSTRUCTIONS ON REVERSE SIDE)
FAILURE TO PAY CIVIL PENALTY AND CORRECT VIOLATION OR FrLE A REQUEST FOR
ADMINISTRATIVE HEARING 8Y DATES SHOWN SHALL CONSTITUTE A WAIVER OF YOUR
SIGHT TO HEARING AND SUCH WAIVER SHALL CONSTITUTE AN ADMISSION OF VIOLA-
TION EACH DAY OF CONTINUED VIOLATION AFTER THE TIME PERIOD FOR CORREC-
TtON SHALL BE DEEMED A CONTINUING VIOLATION SUBJECT TO ADDtTlONAL PENAL-
TY tN THE SAME AMOUNT WITHOUT THE NEED FOR ISSUANCE OF ADDITIONAL CIVIL
VIOLATION NOTICE
i ACKNOWLEDGE RECEIPT OF THIS CIVIL VIOLATION NOTICE i UNDERSTAND THAT
ACCEPTANCE OF THIS VIOLATION NOTICE IS NOT AN ADMISSION OF GUILT
CODE INSPECTOR Sl&NftTUPE DATE
CIRCTfCE »»«TP«I.U«» »«NT»ia.>»
t.n CQDE ENFORCEMENT copy
. SERVICE: PERSONAL
MAIL
POSTING
. 08364
INSTRUCTIONS
(REVERSE SIDE)
1. PAYMENTS AND REQUESTS FOR HEARING SHOULD BE
DIRECTED TO:
COUNTY CLERK
CODE ENFORCEMENT. COUNTY CLERK DIVISION
, 111 N.W. 1»1 STREET, SUITE 1750
MIAMI, FLORIDA 33128-1981
(305) 375-2333
2. HEARINGS WILL BE SET NOT SOONER THAN 20 DAYS
FROM THE DATE OF THE CIVIL VIOLATION NOTICE AND
ALL PARTIES WILL BE NOTIFIED AT THE MAILING
ADDRESS SHOWN ON THIS NOTICE. NO ADDITIONAL CIVIL
PENALTY WILL ACCRUE IF A .REQUEST FOR HEARING IS
RECEIVED WITHIN 20 CALENDAR DAYS, AS PROVIDED FOR
IN SECTION (SCC-5bV
3. YOU MAY APPEAR WITH OR WITHOUT COUNSEL AND PRO-
DUCE WITNESSES ON YOUR OWN BEHALF.
4. yOU MAY BE LIABLE FOR REASONABLE COSTS OF THE
ADMINISTRATIVE HEARING UPON A FINDING OF GUILTY.
S. UENS IN THE AMOUNT OF UNPAID PENALTIES CAN BE
FILED AGAINST YOUR REAL OR PERSONAL PROPERTY
AND MAY BE FORECLOSED.
59
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District of Columbia Field Citation
FRONT SIDE
BACK SIDE
KPT OF CONSUME* MO KCtlUTMT AFFAIRS
OFFICI OF CIVIL MHtACTWM
NOTICE OF 1HFMCTIOH
1112b *
issuing Aflmimstraion
A _ HERA 0 L BRA
B I IA F. ~ BLRA
C .1 SFRA F I OPLA
On
Time1 D a.m , Q p m
Race ol Infraction
Respondent s fui Name (Last- First. MHMie)
City. State
Formal 10 ~ Yes C No
Social Security No or Tax identification No
license/Permit
Zip Code
Recidivist J3 Yes 3 No
Type Number
You are charged wit. violating the Dislncl of Columbia laws sel out betow You must
indicate below each tnlraclion listed whether you admit Hie intraclon. admit the in-
fraction with an explanation, or deny the mlraction You Have the nghl to request
a hearing.
CodT
I Regulation
Nature ol miration _
^ Admit C Admit wrth explanation ._ Deny
I Regulation 'j Fme
Nature ot Inlraction _
~ Admrt C Admd with explanation C Deny
I Regulation
Fine
J
Nature of inlracton _
Z Admit C Aetna wrtft e»punalion n Deny
pine
11
Nature 01 miraacn _
3 Admn O Aflmrt wnn exotaiution n Deny
Tolal line aoonutnc to the aoove tntradionis) ]
__
WARNING, if you do not pay tne reouired line or reouest a hearing or an adjudication by mail
isee reverse sioei nrthm 15 days ot the date ot service ot this ndxe. you will be suDgect to the
maximum rjenanies oermmed by la«. and suspension of your tesnse/pcrmrt The fine amooni
*m douDie it oaymem has not been received witnm 15 days the line amount wtii triple il pay-
meni has not been received within 30 days. U thrs is not your first mtraclion. you writ be sub-
irsoecia' s'investqator s Signature
i nereoy achnoweage receipt ot ins Notice ot iniraann
RESPONDENT'S SIGNATURE
c--' OCI/VPDCOPY
cemncATE OF saraa
IKSTfllCT OF COLUUBU: The undanign*d starts Out f» or tM o ewr 18 ytan of apj< **d
O Pirsofufly strvKl a true copy of the now* on
D lUspondtflt
O fttsoondtnt's igent, or
O A person ever n age of 16. wto resides or a «n{*>yfd at me last known Dorm m
business address ot the respondent or the respondent's agent.
rum of person scrnd
AOOnssof ptfscn ufvid
TIN undefstgnM Aervifi dsscnties IM penon served is follows:
D male D Over 65 yn D BaKlinj DUnoetS' nu~uriooiji
D ttmne O Black nair O Wh*e »m D 5'0'-5'3' Q 100-ivi ««
D 16-20 yrs D Brown lair D Buck skrn C 5-<--5'B- ^ ,1^,:: ™
D 21-35 yrs D Bono lair C Yellow skin D 5'9--6'0- n 161 200 fcl
D 36-50 yrs D Gray Mir C Brown skm C o«r 6'0" a Mr 200 »»
OSHSimDBeo-tor D Bed sk» Q ^ UKigtfaj ^^
-O
O Uaiiod a true copy of ifiis nonce to the last known home or busims
address ol tie respondent or the respondent's agent
Name of person »rv»C
Address ot service
D ftesttt a true copy of this notm at me sue erf the infraction
and Regulatory Affairs, and knows thts Certifeaw of Service to be true » the bead hts/mr
knowledge
Signature
Pnnt name _,__^.-L.
itEfpiiuu. OF rossim VIQUTHMIS-
The Investioatf/lnspactor, wMe strvng this Hotx* of Infraction, noted posstte intnctots rctafing
to the following adnwusttations'
O (A O OPLA D BRA O BLRA C SFRA C HERA D OCOU
InfradioKs) '
61
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District of Columbia Field Citation
FRONT SIDE
01 cmimti"» HMUIMI unxs
aim a an. nmtnu
*OTIC£ OFIHFIIACTOK
QlllSf
i ' KIM 0 S »M C 2 OCOU
B ;• IA E^ BIBA ^
e ^ sfM F 2 OPLA r
Ditieiii
Tone — a.m _ o "
———- Pucx of EnlraKnn
IKIKOXM > Fill Nan ilan F«ll MKWHI
Suit
3 tu - no
Seo« smmy M ot Tu uttuam NO
Yeo «t eiuioea win vioutms ttie Oistnei ol Coiumai laws «i out wow. You must
rao-.t 6«K»i exn mHaOcn telM wtmner you admit me inhacton. aamt me in-
SaSrn wniT»n opuniim. or deny me mlraction. You tan me rigM 10 request
i noting
| Rf gusaaon
TTS
2 Aamrt F3 Aorna wrth npianalcn — Deny
^ Aoma C3 AflffM wfttt otfanainn - DettY
5oT
- Aflmn ^ Aflmn wnn exounalon Deny
ha»i el Mwicn .
C Aomt Z Aomit with ecoufiilan 3 Duly
TcuJ t« icccxa » IM aoovt rtiaetemil »
fUXM ll^iBMon
cnarj-jy eOMfvta ef
II* cgnmttsan el Inc intfaaofHsl odea ato*
tester »'!
-------
District of Columbia Field Citation
FRONT SIDE
BACK SIDE
C^B irrZ'rU "*" Of CMJUIIEI WU> K^'LATOny AFFAMS
^H w c*m OFFICE OF CIKU MFtACTIOMS ill * 11 BMI II U *
NOTICE OF tSfRACTlO" ll9B|l|iB|ll
u 0 1 1 1 2 i> *
Issuing Administration
A C HERA D ~ BRA G G OCOM
C G SFRA F C OPLA C &» <" Se""
On
Date oi infraction Time _ a m , _ p.m
At
Place of infraction
Respondent s fat Name (tast. First, Middle)
Street
City. State
Formal 10 12 Yes
Social Security No or t
~ Ho Recidivist ~ Yes ™ No
Type Number
You are charged wi h violating the District ot Columbia laws set out Wow. You must
indicate Delow each infraction listed whether you admit the infraction, admit Uie in-
fraction with an explanation, or deny the infraction. You have. tra right to request
a hearing
Code
cooe
Code
COM
Total line applicable to
WARNING: If you do
(see reverse side) with
maximum penalties pen
will ooubie it payment h
ment has not been rece
iect to an increased tin
Regulation Fine
D Admit G Admit wijn explanation G Deny
Heguiaoon Fme
C Admit ~ Admit with explanation Z Deny
Regulation Fine
2 Admit d Acmrt wnn explanation ~ Deny
Regulation Fine
~ Admrl C Admit with explanation ~ Deny
ot pay the required line or request a bearing or an adjudication by mail
n 15 days ol tne date ol service ot this notice, you will be subject to the
noted by law. and suspension ol your license/permit The line amount
as not been received wrtnin 15 days The fine amount will triple ii pay-
ved wrtnin 30 days, it this ts not your lirst infraction, you win be sub-
e
T investigated the ownmisswn ol the inlractmis) noted above
inspector s< inrtstgator s Signature '0 No.
t hereDy acknowledge receipt ol this Notice of infraction
RESPONDENT'S SIGNATURE DATE
a.--nn»'.on< RESPONDENT'S COPY
yptl ME REQU1KO TO RESPOND TO ms HOTtCEJP INFRACTION WITH1M 18 DAff Of THE
PATE OF SERVICE TO AVOID flEINB ASSESSED A PB
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EPA Office of Mobil Sources Notice of Violation
FRONT SIDE
BACK SIDE
United States environment*! Protection Agency
Wiinmgton, DC 30480
«f> F-nj» Notice of Violation
&EPA of Sec. 211
of the Clean Air Act
To:
Operator of Retail Outlet
Violation Numb'
Name
City, State, and ZIP Code
Re:
Inspection of Gasoline Pump Nozzle
Date of Inspection
Pump Serial No.
Inspection Form No.
Nozzle Gauge Number
The U.S. Environmental Protection Agency has
inspected this retail outlet and determined that a
gasoline pump used for dispensing leaded gasoline
was equipped with a nozzle spout having a terminal
end of less than 0.930 inch outside diameter. This
constitutes a violation of 40 CFR sec. 80.22(f)(1), tor
which the Clean Air Act authorizes a penalty
assessment of $10.000 per violation per day.
However, if you follow the Expedited Settlement
procedures, this matter can be settled for $200. This
notice only pertains to this violation and to no other
violation of the Clean Air Act or other laws or
regulations.
Signature of Inspector
rtfchard G. Kpzlowski, Director /)
Field Operations & Support Dr&io
EPA Form 3520-7 (9-87)
Expedited Settlement
To settle, you must immediately correct the violation.
and. within twenty days of your receipt of this notice,
complete the settlement agreement (below), and send
the agreement together with your certified check in
the amount of $200 to:
The Director
Field Operations and Support Division
U.S. EPA (EN-397F)
401 M Street, SW
Washington, DC 20460
Make your certified check payable to the "United
States of America." and write on the check the
violation number printed on the Notice of Violation.
If you do not agree to settle on these terms, the
settlement terms acceptable to this Agency will
increase substantially, and the case may be formally
referred to the U.S. Department of Justice for
prosecution for the civil penalty of $10,000 per day of
violation.
If you have any questions you may contact the
Eastern Field Office at (202)382-2643 or the Western
Field Office at (303)23 \£Xltf
Settlement Agreement
Settlement under this expedited procedure is
conditioned on payment of $200 within 20 days and
correction of the violation.
The retailer, in settlement of this violation of 40 CFR
sec. 80.22(0(1), certifies, under civil and criminal
penalties for making a false submission to the United
States Government, that he/she has corrected the
violation, and has enclosed a certified check for $200
in payment of the civil penalty for the violation.
Legal or Corporate Name of RetaHer
Printed Name of Person Signing
Date Signed
EPA Form 0520-7 (9-87) Raven*
65
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Notice of Violation Environmental Control Board, City of New York
ECM02 (REV 1/W)
ENVIRONMENTAL CONTROL BOARD NOTICE OF VIOLATION VIOLATION NO " 1 C- O "> Q 1 ^ I
CITY OF NEW YORK AND HEARING VIOLATION NO. '_ J i; j ^ J 4 o O
FACILITY NO. Q ' APPLICATION NO. | | | | !
a.m7p.m.
at the Environmental Control Board. 1250 BROADWAY. NEW YORK. N.Y. 10007. 7th FL. MO. DAY YR.
This hearing is your opportunity to answer and defend the allegations set forth below. .
IF YOU DO NOT APPEAR. YOU WILL BE HELD IN DEFAULT AND SUBJECT TO MAXIMUM PENALTIES, READTHEINSTRUCTIONSATTACHED.
CommiMioner of the Department of Environmental Protection prnmtiwr
of the City of New York. Petitioner, V.
.
Respondent
City. State. Zip Code
Upon investigation, it has been determined by the above-named Petitioner that there is reasonable cause to believe that the above-named Respondents) has/have
violated Ihe following Section(s) Title 24 of the Administrative Code of the City of New York,
D Title 24 Chapter 1 (New York City Air Pollution Control Code) ._
D Section I09(b): Caused or permitted the use or operation, without first obtaining a registrabefi^pl^Si^Br of.
A04 C (3) Fuel burning equipment using No, 4 or 6 fuel oi'l or solid fuel: A05 G (4) Fu§J^5Sr^equipmer^*S^gas. gasoline. No 1 or 2 Fuel oil
A15 C Section 120 Caused or permitted the installation or alteration of equipment or appKjRJjTwithout first obtaimrtSfjiermit from the petitioner.
G Section I22{b)' Caused or permitted the use or operation without first obtaining an oprorapo certificate from pelfcSjer. of.
A16 Q (1) Fuel burning equipment. A17{2) D Equipment usad in a process. A19 Q {4} fSwB^iJming equipment.Ul
A21 D Section 123{e): Caused or permitted operation, without making tim^ftwplication to renew S^^d operating certj|§»e ,-j
A09 O Section t13{a): Failed to have permit, operating certificate, or registrS^Mdtaptayed in vicmity B«oWment. y^Gf .
A22 D Section 141. Caused or permitted the emission of air contaminant or wara^J9|wr from equipment ra&iih(jg/^M^ting certificate or registration.
A24 D Section 141: Caused or permitted the emission of air contaminant or water waprfrpm unregulated souVEyr
A25 D Section 142 (a}(1): Caused or permitted the tmi^Rj^Spft^jontaminant: (smok&Orom regulated source.
A26 D Section I42(a)(l). Caused or permitted thJK&ission of air conwjnJtont: (smoke) fron^Hjrbfluiated equipment.
A42 G Section 154: Failed to submit a detailed dnviJpnmental rating report^- "\
A43 D Section 155: Failed to mainK&i equipmenVeq\mng operating certHicVwiir registration in good operating order.
A44 D Section 155: Failed to mairt&fJfynregulatedTMuhNTient in good operapng/order.
G Title 24 Chapter 2 {New York CiVJfcise PollutionT9crm'BJCode) /*£/
N05 O Section 2lSXaused or penflm8gW»cessary nois>>^^^^6jgi£eontinued-
N07 D Section 22ow§fey>d or causedVoflje used a sound reproduction device for commercial purposes wherein the sound therefrom coucd be heard upon to
public street. plJq^teace. ^K»,
N27 D Section 237; OperatSr^Q^«edl«^ operated a circulation device over 50.000 BTU's in such a manner as to exceed the allowable sound level,
N28 D Section 237: Operated or pA«t|&ya$jappcra!ed a circulation device (ess than 50.000 BTU's in such a manner as to exceed the allowable sound level.
Tha abova violation was observed »t or about ..,, ... . _,Q §Jn.: Q am.
Inspector's Signature-Badge No. Squad No. Department of Environmental Protection
SpaeHie Equtpnwmt/Apparatu* in violation:.. , ,. _.*._
G Fuel Burning Equipment ki mfWom d BTO/hr, G Refuee Burning G Other than Fuel or Refuse Burning Equipment
Gasoline. §2 oil. or M or «8 oil or Equlpiwm*, Grate ATM Emission Env.
Natural Gas Solid Fusts G Lot than 25 »q. ft. Rate Rating
G Less than 2.8 O Less than 2.8 O 25 to 40 sq, ft. D A Q
G 2.8 to Jess than 50 G 23 to lew than 21 D Greater than 40 sq. ft DBG
G 50 or greater D 21 to less thin 42 G C Q
O 42 or greater G O G
If such violation bo proven or admitted, the Respondent(s) may be subject to civil panattie* for each subsection of the violation in amounts according to the Schedule
set forth on ma reverse side of this form for each day during which such violation continues.
ENV'FONMENTAL CONTROL 3OARD
67
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Appendix D: Informational Materials
69
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District of Columbia Outreach Brochure
THE CIVIL INFRACTIONS PROGRAM
The Department of Consumer and Regulatory Affairs (DCRA) Is
responsible for the protection of the health, safety and welfare of
the citizens of the District of Columbia through the regulation of
business activities, land and building use, occupational and profes-
sional conduct and standards, rental housing and condominiums,
health and social service care facilities, and the physical environ-
ment. To ensure that every citizen receives maximum protection,
DCRA provides consumer education and Information, handles com-
plaints, conducts Investigations, and assures compliance with the
laws and regulations administered by DCRA.
There are many taws and regulations that fall under the jurisdic-
tion of DCRA. When a specific law or regulation Is not followed or
:? broken, the DCRA Civil Infractions Act of 1985 enables DCRA to
issue tickets, collect fines, and hear cases. When a DCRA inspec-
tor observes a violation, a ticket will be Issued by that Inspector.
This process Is very similar to tickets issued by police officers to
drivers who violate traffic laws.
The Civil Infractions Act is implemented by the'OCR A Office of
Civil Infractions (OCI). OCI provides support services to six DCRA
administrations by processing tickets, collecting fines, and schedul-
ing hearings resulting from tickets issued for violations of District
of Columbia laws and regulations fn the areas of Occupational and
Professional Licensing, Insurance. Business Regulation, Building
and Land Regulation, Housing and Environmental Regulation, and
Service Facility Regulation.
Through the Civil Infractions Program, violations are processed
quickly and efficiently as follows: 1) An inspector will issue a cita-
tion with a predetermined fine; 2) The violator must pay the fine
within 15 days AND CORRECT THE VIOLATION. If this is not done,
the violator will face a doubling or tripling of the fine and possible
suspension or revocation of his/her license or permit; 3) The violator
has the right to request a hearing before an Administrative Law Judge
(AU) If he believes that he should not have received the ticket: and
4) The violator may appeal an unfavorable decision of the AU.
OFFICE OF CIVIL INFRACTIONS
The Office of Civil Infractions has three divisions to speed along
the processing of violations. They are the Violations Processing Divi-
sion, the Collections Division, and (he Adjudication Support Division.
Violations Processing Division
The Violations, Processing Division provides Information and
assistance to the public concerning the procedures for paying civil
fines and/or requesting hearings. It is also responsible for prepar-
ing aJI citations for loading Into an automated data system. This
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District of Columbia Outreach Brochure
system glvos OCI Ihe capability to Hack a cllallon Iron Issuance
lo collodions Oncg Ihls Is accomplished, the system Is monitored
lo kjenllly cases thai need to be referred to the Olllce of Compliance
lor criminal prosecution or other appropriate actions,
Conecltanl DM lion
The Collections Division processes all payments received by OCI
lo Insure proper recording and collection ol fines. It Initiates col-
lection pnxaedlnga lor delinquent accounts and coordinates
•uspenilofl or revocation of licenses with the Olllce ol Adludlca-
lion. Olllce ol Compliance, and the various Administrations, ll also
provides collection Inlotmatlon to the Administrative Law Judge,
Adjudlcallcfl Support DMslon
The Adjudication Support Division provides administrative support
10 the Olllce ol Adludlcallon by; processing requests for hearings;
coordinating lha scheduling ol hearings with the Administrative Law
Judge, the Olllce ol Compliance, Investigators, Inspectors, and
reipondenls: receiving mail adjudication; and verifying compliance
wllh the Administrative Law Judge's orders.
OFFICE OF ADJUDICATION
The Office of Adjudication Is directed by an Administrative Law
Judge who directs, coordinates, supervises, and provides advisory
services related lo the formal adjudication ol cases arising Irom viola-
lion ol laws and regulations enlorced by the Department ol Con-
sumer and Regulatory Atlalrs, The cases will be heard by the Office's
altoiney eumlners and will lall Into one ol three major categories:
the Consumer Protection. Business Regulation, and Insurance Divi-
sion; Ihe Land Use and Environmental Regulation Division; and the
Occupational Professional Licensing. Health Care, and Social Serv-
ices Division, each of which Is headed by a senior attorney examiner.
Upon conclusion ol > c«se, lh« attorney examiner Is required to write
« decision and order which shall Include findings of lacl and con-
clusions ol law. which Is appealable lo appropriate appellate bodies,
QUESTIONS AND ANSWERS
O. WHAT IS A CIVIL IN FRACTION?
A. A "CMI Infraction" Is any act or failure lo act which violates any
ol the laws and regulations administered by DCRA, lor which a
line may be Imposed under Ihe provisions of Ihe DCRA Civil In-
fractions Acl ol 1855.
O. WHAT KIND OF INFRACTIONS ARE COVERED BY THE ACT?
A Examples ol Ihe kind ol Inlracllons are; Failure lo Post a Cer-
tificate ol Occupancy. Failure to Renew a Home Improvement
License or Pharmacy License. Operating without a Cosmetology
Ucenso. Food Contamination. Selling/Serving Alcoholic Beverage
Alter Hours, and so on.
O. WHO ISSUES THESE TICKETS?
A. The tickets, which contain predetermined lines, «re Issued by
Inspectors and Investigators who work for DCRA. Their job Is lo
protect the public by ensuring that businesses comply wllh ra-
quired laws and regulations.
O. WHAT SHOULD I DO IF I RECEIVE A TICKET?
A. The line must be paid within 15 calendar days Irom Ihe date ol
service and Ihe vlolatlon(s) must be corrected.
O. WHAT HAPPENS IF I DONT PAY THE FINE?
A. II Ihe line Is not paid within IS days of Ihe Issuance of Ihe ticket,
the line will double. II not paid within 30 days, Ihe Una will triple
and collections proceeding will be Initiated against you. In addi-
tion, you may face possible revocation or suspension of your
license or permit to conduct business within the District ol
Columbia.
O. WHAT If I DONT THINK THE TICKET IS FAIR?
A. You have Ihe right to request a hearing before an Administrative
Law Judge. This must be done within 15 days of Issuance of the
ticket. A hearing can be requested one of two ways:
1. Write to the hearing olllce at P.O. Box No. 37110,
Washington. D.C. 20013. Your name, address, tnd cllalton
number must be shown on all correspondence.
2. Appear In person, or by authorized representative al the
hearing office located at 613 G St.. N.W.. 7lh lloor.
O. WHAT IS AN ADMINISTRATIVE LAW JUDGE?
A. An Administrative Law Judge is one who presides it an admin-
istrative hearing, with power lo administer oaths, tako testimony,
rule on questions ol evidence and make agency determinations
ol lact and conclusions of law.
O. WHAT WILL HAPPEN AT THE HEARING?
A, II you deny the alleged violation, both you and the Inspector who
Issued Ihe ticket will appear before the ALJ to explain the events
which resulted In Ihe Issuance ol Ihe ticket. Alter hearing all the
testimony, the AU will write a decision that will either uphold
the line; reduce the fine; or dismiss the fine.
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District of Columbia Outreach Brochure
Q. DO I HAVE THE RIGHT TO BE REPRESENTED BY AN
ATTORNEY?
A. Yes. You have the right to be represented by an attorney ol your
choice; or you may represent yourself at the hearing,
O. WHAT HAPPENS IF I DISAGREE WITH THE DECISION OF THE
AU?
A. You have a right to appeal the ALJ's decision. Appeals can be
made to the Board of Appeals and Review (BAR), except lor those
matters Involving Issues related to zoning. ABC licenses, profes-
sional boards, and rental accommodations. These are handled
by the following: Board of Zoning Adjustment, ABC Board, ap-
propriate board or commission, or Rental Housing Commission.
All appeals must be filed within 15 calendar days from the date
of the decision of the AU.
O. CAN I APPEAL BEYOND THE BOARD OF APPEALS AND
REVIEW?
A. Yes. You can appeal to the District ol Columbia Court of Appeals.
Judicial appeal must be tiled within 30 days of service of the ad-
ministrative appeal decision.
FOR FURTHER INFORMATION CONTACT
THE DEPARTMENT OF CONSUMER AND REGULATORY AFFAIRS
OFFICE OF CIVIL INFRACTIONS
613 G STREET, N.W.
7th FLOOR
WASHINGTON, O.C. 20001
TELEPHONE: (202) 3474530
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Press Release
SAMPLE PRESS RELEASE
[Be sure you adjust the text of the following sample press release to reflect the actual
specifics of your UST program and its field citation component.]
i
The Department of Environmental Protection (DEP) is responsible for the protection of
human health and the environment in the State lof . The Underground Storage Tank
(UST) Group is responsible for regulating about non-residential underground storage
tanks storing petroleum. The State UST regulations, in effect since , were mainly
designed to reduce the risk that UST releases could contaminate groundwater and affect
drinking water supplies.
As part of its responsibility for enforcing and monitoring compliance with the UST
regulations, the UST Group has initiated a new expedited enforcement program to both
streamline its enforcement process and achieve greater compliance with the regulations. The
DEP Commissioner has delegated authority to UST inspectors to issue field citations on site
for clear-cut, easy to document violations at UST facilities using a simplified administrative
order. Field citations resemble standard traffic tickets. The citations will serve to notify owners
and operators of USTs that their facilities are out of compliance with UST regulations. The
citations will carry a penalty of S to $ , and will specify the time period in which the
violation must be corrected. |
i
Upon receipt of the citation, the owner or operator must sign and specify whether the
violation is admitted or denied. If the recipient believes that the citation has been issued in
error, a hearing may be requested by following instructions included on the citation. The owner
and operator has the option of representing him or herself or being represented by counsel at
an administrative hearing before a State-appointed hearing officer. The State will be represented
by the inspector involved in the case or another DEP official.
The field citation program will be conducted on a trial basis for a year in order to measure
its success in improving the enforcement process. The trial period will also serve to familiarize
the regulated community with the process. After the trial period, DEP officials will evaluate
the effectiveness of the citations and consider options and ways in which to modify the program.
For more information on the program, please contact the UST Group at ( ).
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Program Descriptions
EPA OFFICE OF MOBIL SOURCES
Jurisdiction: Nationwide, facilities that dispense fuel.
Size of Universe: Approximately 150,000 retail outlets, also fleet fueling facilities.
A combination of EPA inspectors, EPA contractors, and
StateAocal inspectors conduct approximately 15,000 inspections
annually.
Types of Violations Covered by Expedited Enforcement:
Improper nozzle on fuel dispenser - carries a S200 penalty.
Enforcement Process:
Results:
Inspector issues field citation on site or returns to office and
issues short-form Notice of Violation and proposed settlement
agreement through the mail. (Wording on both citations is
identical).
If fine and signed agreement are not returned within 30 days, the
inspector follows up with a telephone call.
Short form NOVs:
• Since 1984 several hundred issued. Fine paid and violation
corrected in all but a handful of cases.
• One or two cases prosecuted annually; in the single case that
went to judgement, the court ordered the violator to pay
$10,000, the full statutory penalty.
• Backlog of cases has disappeared and average time for
settlement has decreased from three months to 30 days.
Field Citations:
• Since the inception of the filed citation program in late 1987,
approximately 75 tickets have been issued.
• Virtually all tickets are paid within 15 to 20 days, stragglers
pay upon follow-up phone call.
• There have been no referrals for prosecution.
• The number of short-form NOVs issued has decreased
markedly as the use of field citations has increased.
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Program Descriptions
BADE COUNTY
DEPARTMENT OF ENVIRONMENTAL RESOURCES MANAGEMENT
Jurisdiction: County-wide
I
Size of Universe: The Dade county tank universe is 3,000 sites, with approximately
three tanks per site. The seven field inspectors currently carry
out about 1,000 inspections per year and handle the 1,200 sites.
[
Type of Violations Covered by Expedited Enforcement:
The minor violations covered by the field citations program are
lack of or failure to renew permits, and lack of monitoring wells,
both of which carry a $50 to $100 penalty.
i
Enforcement Process: The inspector iss'ues an information letter and permit application
if the owner or operator has failed to obtain a permit, allowing
15 days to comply with the warning. If the responsible party does
not comply, the inspector issues a Notice of Violation, giving the
violator 15 more, days to respond. If not, a field citation is issued
and the violator must pay the fine and correct the violation.
I
If the owner or operator has failed to install monitoring wells, a
Notice of Violation is issued immediately, allowing the violator
30 days to comply. If not, a field citation is issued with a fine.
Results: • For all dounty health and environmental programs using
civil violation notices, more than 90% of violators
comply, i
• Approximately 25 to 30 initial warning notices are issued
a month1 in the underground storage tank program.
i
• Only about 10% of UST sites inspected are eventually
issued tickets.
• In the UST program, no one has ever appealed a civil
violation notice. Those involved in the program believe
that this is because tank owners and operators are given
time to comply and the process is meticulously
documented.
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Program Descriptions
PROVINCE OF ONTARIO, CANADA
Jurisdiction:
Size of Universe:
Province-wide
50,000 to 60,000 tanks, with 25 inspectors who enforce many
other petroleum-related regulations in addition to those
concerning underground storage tanks.
Type of Violation Covered by Expedited Enforcement:
Enforcement Process:
Many types of regulations are enforced by inspectors: they are
covered under the Gfasoline Handling Act which lists 200
different violations in all. The UST violations range from
failure to report a leak to insufficient recordkeeping; fines range
from S50 to $150.
Inspectors usually issue warnings first to the responsible party.
If the violator does not respond to this notice, the inspector
issues an offense notice, requiring the violator to correct a
violation within 10 to 20 days and to pay a fine. Inspectors must
make a follow-up visit to the site.
Results:
• For all the programs which use this process, 10 to 20 offense
notices are issued per month.
• The approach has streamlined provincial enforcement,
because environmental regulations can be enforced without
the time-consuming court process.
• Of those responsible parties who receive a first citation, 80%
plead guilty and pay the fine. The remaining cases generally
comply and pay the fine after follow-ups; very few cases end
up in court.
• Eventually, all violators plead guilty; the province has never
lost a case.
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