United States
Environmental Protection
Agency
Office of Enforcement
and Compliance
Assurance (2248A)
EPA300-N-02-004
X-/EPA Enforcement Alert
Volume 5, Number 4
Office of Regulatory Enforcement
April 2002
EPA Addresses Pollutants in
Storm Water Through Systematic
Enforcement Strategy
Polluted storm water runoff re-
mains a principal cause of im-
paired water quality. Despite the
U.S. EPA's long-term efforts to educate
industries on the Clean Water Act's
storm water compliance requirements,
illegal storm water discharges are still
occurring and threatening public health
and the environment.
EPA enforcement actions against vio-
lators of storm water requirements are
About
Enforcement Alert
Enforcement Alert is published
periodically by the Office of
Regulatory Enforcement to inform
and educate the public and
regulated community of important
environmental enforcement
issues, recent trends and
significant enforcement actions.
This information should help the
regulated community anticipate
and prevent violations of federal
environmental law that could
otherwise lead to enforcement
action. Reproduction and wide
dissemination of this publication
are encouraged.
For information on how you can
receive this newsletter
electronically, send an email to the
editor.
Editor: Virginia Bueno
bueno.virginia@epa.gov
sending a strong mes-
sage that storm water
violations must be cor-
rected and future viola-
tions prevented through
appropriate controls.
In June 2001,
Amtrak, the nation's
largest passenger rail
operator, reached a
settlement with the fed-
eral government for fail-
ing to develop and imple-
ment appropriate storm
water controls and for
other environmental vio-
lations at nine Amtrak
sites in New England. The company
agreed to establish a company-wide en-
vironmental management system (val-
ued at $11 million), pay a $500,000 pen-
alty and spend $900,000 on environ-
mental projects.
In an another settlement in June
2001 with EPA and the Justice Depart-
ment, Wal-Mart Stores Inc. agreed to
a $4.5 million effort to improve the
In this issue of
Enforcement Alert:
Federal storm water
requirements
Agency's strategy to enforce
storm water requirements
The Anacostia River Watershed
storm water enforcement and
other EPA enforcement efforts
Polluted storm water runoff is a sig-
nificant contributor to water qual-
ity impairment. (U.S. EPA photo).
retailer's compliance with storm wa-
ter requirements at its construction
sites nationwide. On average, Wal-
Mart constructs over 100 new sites
annually. The government alleged that
the company failed to comply with
storm water requirements and illegally
discharged pollutants from 17 con-
struction sites in Texas, New Mexico,
Oklahoma and Massachusetts. The
environmental controls required by this
settlement will significantly reduce dis-
charges of harmful sediment-laden
storm water to streams and rivers
across the country. Wal-Mart also
agreed to pay a $1 million civil pen-
alty.
In addition to these recent national
tication is found on the Internet at http://www.epa.gov/oeca/ore/enfalert/
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Enforcement Alert
settlements involving storm water vio-
lations, EPA has successfully used risk-
based approaches focused on water-
shed-specific compliance problems.
These approaches include partnering
with the public and private sectors to
address impaired watersheds, provid-
ing compliance assistance, identifying
violators and taking necessary enforce-
ment action, and working with states
to promote enforcement strategies and
sharing information on innovative en-
forcement approaches. Watershed-
based enforcement strategies are being
used successfully in efforts involving
the Anacostia River in Washington, B.C.
In addition, EPA Region 1 is aggres-
sively working with communities along
the Charles River in Massachusetts to
systematically identify and remove ille-
gal sewer connections to storm drains.
Industrial Activities
Regulated Under NPDES
Storm Water Program
The Clean Water Act prohibits the
discharge of "any pollutant" to waters
of the United States from a point source
unless it is authorized by a permit. This
includes discharges of storm water run-
off from industrial activities.
In 1990, EPA issued Phase I regu-
lations requiring 11 categories of "storm
water dischargers associated with in-
dustrial activity," that discharge storm
water to a municipal separate storm
Impact of Polluted Storm Water Runoff
i torm water runoff is a major cause of water quality impairment. Storm
, water runoff can carry high levels of pollutants like mud and sediment,
oil and grease, suspended solids, nutrients, heavy metals, pathogens,
coliform bacteria, toxins, and trash into sewer systems and ultimately into
our streams, rivers, lakes, estuaries, wetlands and oceans resulting in an
unhealthy environment for aquatic organisms, wildlife and humans (U.S. EPA,
1992, Environmental Impacts of Storm Water Discharges: A National Pro-
file).
According to the Report to Congress on The Phase I Storm Water Regu-
lations, February 2000, urban storm water runoff contributes to 13 percent of
impaired rivers and streams, 21 percent of impaired lakes, 4 percent of the
impaired Great Lakes Shoreline, 55 percent of impaired ocean shorelines,
and 46 percent of impaired estuaries. Storm water runoff not only poses a
threat to ecological health (e.g., shellfish bed closures, elimination of habitat,
stream bank erosion, flooding, channelization) but can also substantially af-
fect human health. In 1998, more than 1,500 beach closings and advisories
were associated with storm water runoff (Natural Resource Defense Council,
1999, A Guide to Water Quality at Vacation Beaches). A study conducted in
Santa Monica Bay, Calif., concluded that there is a 57 percent higher rate of
illness in swimmers who swim adjacent to storm drains than in swimmers
who swim more than 400 yards away from storm drains. In addition, the study
documented a relationship between gastrointestinal illness in swimmers and
water quality (Haile, R.W., et al 1996, An Epidemiological Study of Possible
Adverse Health Effects of Swimming in Santa Monica Bay).
sewer system (MS4) or directly to wa-
ters of the United States to obtain au-
thorization to discharge storm water un-
der a storm water permit. EPA's Phase
I storm water regulations consider con-
struction activities resulting in the dis-
turbance of at least five acres of total
land area to be an industrial activity re-
quiring coverage under a storm water
What is a Watershed?
Watersheds are nature's boundaries. They are the areas that drain to
water bodies, including lakes, rivers, estuaries, wetlands, streams, and the
surrounding landscape. Ground water recharge areas are also considered.
Surf Your Watershed, http://www.epa.gov/surf, is an online resource that
allows you to enter your zip code and find your watershed, certain programs
that are currently on-going in your watershed, as well as water quality and
pollution information for that area.
permit.
The 1990 regulations establish what
is commonly referred to as Phase I of
the storm water program. In addition,
large and medium MS4s (those serving
more than 100,000 people) are also sub-
ject to Phase I regulations, and are re-
quired to submit comprehensive per-
mit applications and develop and imple-
ment a Storm Water Management Pro-
gram (SWMP).
Owners and operators are respon-
sible for determining whether their fa-
cility fits into one of the 11 categories
potentially subject to regulation. The 11
categories of industrial activities can be
found at http://www.epa.gov/npdes/
pubs/list.pdf. If an industrial activity is
April 2002
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Enforcement Alert
subject to Phase I of the storm water
program, the owner or operator must
obtain storm water permit coverage
from the appropriate federal or state au-
thority. As with most NPDES pro-
grams, storm water permits may be is-
sued through EPA Regions, or an au-
thorized state/territory NPDES permit-
ting authority. State/Territory permit
standards must be at least as stringent
as the relevant federal permit standards.
Typically, permit coverage is ob-
tained by submitting a Notice of Intent
(NOT). This NOI Form, NPDES Form
3510-6, can be found at http://
www.epa.gov/npdes/pubs/msgp-
noi.pdf. However, before submitting
an NOI, a Storm Water Pollution Pre-
vention Plan (SWPPP) must be pre-
pared. A SWPPP identifies structural
and non-structural controls that will be
used at the industrial facility or con-
struction site to minimize the discharge
of pollutants, or erosion and discharges
of sediment to receiving waters. The
controls are typically low-cost and
low-technology, like good housekeep-
ing, preventive maintenance, spill pre-
vention and response, employee train-
ing and proper material handling. Model
SWPPP's can be found at http://
www.epa.gov/reg3wapd/stormwater/
EPA's Phase II regulations, which
become effective in 2003, require
NPDES permit coverage for storm
water discharges from certain regulated
small municipal separate storm sewer
systems (MS4's) and construction ac-
tivity disturbing between one and five
acres of land (e.g., small construction
activities). Additional information on
Phase II can be found at http://
cfpub.epa.gov/npdes/stormwater/
swphase2.cfm?program_id=6.
Storm Water Enforcement
Strategy
The requirements for Phase I
NPDES storm water permit application
and coverage have been in effect for
more than eight years, and EPA and
states have focused on educating in-
dustry about storm water compliance
requirements. For example, compliance
assistance efforts include: numerous
training opportunities, storm water
websites, public service announce-
ments, guidance documents, fact sheets
and outreach to small businesses. None-
theless, many industrial dischargers are
still discharging storm water illegally,
threatening the environment and public
health.
In recognition of the low compli-
ance rate for industrial storm water dis-
chargers, EPA is beginning to empha-
size enforcement as outlined in its 2000
Storm Water Enforcement Strategy, a
five-step watershed and risk-based tar-
geting approach for enforcing storm
water requirements (see http://
www.epa.gov/oeca/ore/water/
A Public Risk Diminished
Before: EPA inspectors discovered this non-compliant auto
salvage yard situated in the Anacostia River Watershed
strewn with oily engine parts, tires, junked cars stored on
oil-saturated dirt. The site did not have a NPDES permit nor
stormwater pollution prevention plans or controls (U.S. EPA
photo).
After: Same auto salvage yard. The oil saturated dirt was scraped and
recovered, and the yard cleaned up. In addition to paying a civil penalty, the
owners applied for a NPDES permit and prepared a storm water pollution
prevention plan and implemented appropriate controls (U.S. EPA photo).
April 2002
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Enforcement Alert
2000str.htmy. Intensive compliance
assistance will continue. The long-term
goal of the 2000 Strategy is full com-
pliance for the regulated industrial com-
munity; the short-term goal is full com-
pliance by those storm water discharg-
ers that pose a significant risk to a par-
ticular impaired watershed or geo-
graphic area (e.g., risk-based target-
ing). Consistent with the 2000 Strat-
egy, EPA and states are escalating en-
forcement against storm water dis-
chargers that continue to discharge
storm water without a permit via inte-
grated "sweeps" across impaired wa-
tersheds, and against industrial sectors
like large construction sites that signifi-
cantly impact water quality.
The major pollutant associated with
construction activity is sediment. A
1998 report to Congress indicates that
sediment is the largest cause of water
quality impairment in rivers. In 1999,
less than one-third of the 62,000 con-
struction starts applied for permit cov-
erage. Of the sites that applied for per-
mit coverage, noncompliance with per-
mit requirements remains significant.
An Enforcement Case
Study: The Anacostia River
Watershed
EPA's 2000 Storm Water Enforce-
ment Strategy is currently being imple-
mented in the Anacostia River water-
shed by Region III and EPA Headquar-
ters. In addition, the Washington B.C.
Metropolitan Environmental Crimes Unit
has provided significant support. The
strategy is outlined here:
Step 1: Identify an Impaired Water-
shed: The EPA targeted the Anacostia
River, an impaired watershed with high
human health and ecological risk fac-
tors like toxic contaminated sediments
and significant loss of natural habitat.
April 2002
The Anacostia River receives signifi-
cant urban storm water runoff which
contributes to contaminated sediments,
high fecal coliform counts and low dis-
solved oxygen. All of these conditions
contribute to the watershed's poor
health and inability to meet water qual-
ity standards for fishable and swim-
mable uses. It is considered a priority
watershed by the Chesapeake Execu-
tive Council, the Chesapeake Bay Com-
mission, and numerous non-profit en-
vironmental groups.
Step 2 and 3: Identify Non-filers and
Non-compliers: Various information
sources are used to establish lists of
non-filers and non-compliers. These
include: permit application databases
(federal notice of intent form and B.C.
building permit databases); citizen com-
plaints; federal (U.S. Park Service, Be-
partment of Agriculture, and the
Arboreteum) and state governments
(Md., Washington B.C., Va.), resource
trustees and police units (Washington
B.C. Metropolitan Environmental
Crimes Unit). Over 1,000 compliance
assistance packages were sent out to
non-filers and noncompliers identified
above.
Step 4: Prioritize: The industrial
non-filers and non-compliers are pri-
oritized according to risk to the water-
shed, EPA Region Ill's priority indus-
trial sectors (e.g., auto salvage yards
and marinas), sectors with potential for
highly contaminated runoff (e.g., trans-
portation facilities), and industries with
contaminants exposed to rainfall (e.g.,
large construction sites and concrete/
asphalt facilities).
Step 5: Investigate and Take Ap-
propriate Enforcement Action: Two
hundred inspections have been con-
ducted, reviewed and ranked accord-
ing to EPA non-compliance scoring cri-
teria. Enforcement actions, like admin-
istrative compliance orders, administra-
tive penalty orders and civil and crimi-
nal judicial cases, have been initiated
against 27 "high scorers." All 27 sites
where enforcement actions were taken
have been reinspected and EPA is cur-
rently evaluating the inspection reports
to determine where and to what extent
enforcement needs to be escalated. Fif-
teen sites were in compliance and re-
quire no further enforcement action.
Currently, EPA is implementing the
second phase of the Anacostia Strat-
egy. The Agency will continue the tasks
initiated under the first phase but will
add industrial priority sectors to include
concrete and asphalt facilities and con-
struction sites. Inspections of selected
sites are planned for the near future. In
addition, EPA is looking for better ways
to quickly address pollution sources,
and enhance stakeholder involvement
in continued environmental assessment
of the watershed.
Implementation of the Anacostia
Strategy has been very successful, dem-
onstrating that risk-based targeting can
help an EPA Region or a state leverage
limited resources to effectively focus
intensive enforcement efforts against
numerous and varied polluters in a wa-
tershed burdened with severe environ-
mental threats. To illustrate, in the
Anacostia watershed, with very limited
resources, EPA has sent out more than
1,000 compliance assistance packages,
conducted more than 200 inspections,
issued 23 administrative orders and
three expedited settlement offers, and
referred one civil judicial action.
Other EPA Regional
Enforcement Activities
Region IV (Ga., Fla., Ala., N.C.,
S.C., Tenn., Ky.): Region IV's en-
forcement program also closely follows
the basic principles outlined in the 2000
Strategy. Region IV has conducted en-
forcement sweeps in a targeted water-
shed against priority sectors with po-
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Enforcement Alert
tential for highly contaminated runoff
like large construction sites and ship-
building/repair facilities. In addition, the
Region has worked very hard to inte-
grate all available authorities into its
storm water enforcement program to
include: working with states on inspec-
tions and inspector training; working
with EPA Headquarters by providing
support to the environmental audit pro-
gram resulting in the submission of
eight environmental audit reports; and,
working with several states on joint
enforcement sweeps.
Region IV's enforcement approach
has been very successful. During the
last two years, the Region has issued
administrative penalty orders for con-
struction sites operating without a storm
water permit and various other indus-
trial discharge violations, conducted
numerous joint state and EPA inspec-
tions, and issued notices of violation,
information request letters, and admin-
istrative orders to industrial facilities that
had, among other things, failed to con-
duct required storm water monitoring.
Region VI (Texas, Miss., La.,
Okla., Ark.): EPA's storm water team
in Region VI has effectively integrated
storm water enforcement efforts in the
State of Texas by working extensively
with stakeholders, like the cities of Dal-
las and Fort Worth and the Dallas chap-
ter of the Association of General Con-
tractors (AGC) to heighten awareness
of storm water requirements. Region
VI, the AGC, and the city of Dallas
coordinate workshops and seminars
stressing the importance of compliance
with storm water regulations. The part-
nership has increased awareness of
storm water requirements. For example,
awareness of storm water requirements
has been improved in recent years
through the efforts of all stakeholders.
Region VI also has worked exten-
sively with the city of Dallas storm
water and inspection and enforcement
team to determine which facilities re-
quire enforcement at the federal level.
The city of Dallas submits a quarterly
list of noncompliant industries and fa-
cilities to EPA and both work together
to determine where to escalate enforce-
ment. In addition, Region VI routinely
enforces against companies that refuse
to comply with the city of Dallas' mu-
nicipal separate storm sewer regula-
tions. According to Everett Spencer, the
storm water coordinator in Region VI,
"Federal actions against [storm water]
non-compliers is a given ... operating
without a required permit deserves an
automatic enforcement response ..."
Region IX (Ariz., Calif., Hawaii,
Nev., Am. Samoa, Guam): The Re-
gion is heavily involved in storm water
enforcement activities and program de-
velopment. Currently, the Region is
conducting comprehensive environ-
mental audits of MS4s located in Cali-
fornia (audits are planned in Nevada and
Arizona as well). In addition, the Re-
gion is gearing up to inspect hundreds
of auto and metal recyclers in South-
ern California, a Regional priority sec-
tor, and is working with nonprofit or-
ganizations, industry and the State of
California to develop compliance assis-
tance and outreach materials for auto
recyclers.
Region IX is at the forefront in ad-
dressing violations of MS4's. The Re-
gion brought one of the first civil judi-
cial MS4 cases in the nation against
California Department of Transporta-
tion (CALTRANS) for discharge of
storm water without a permit and for
violations of Construction General Per-
mit conditions at various CALTRANS
construction sites in San Diego county.
The case was settled in March 1998,
resulting in a civil penalty of $430,000,
a supplemental environmental project
valued at $750,000, and substantial in-
junctive relief.
In addition, Region IX has issued
several administrative penalty orders,
primarily for violations of construction
storm water requirements, and has as-
sessed $423,000 in penalties. Finally,
the Region has issued numerous admin-
istrative orders against all different types
of storm water violators and conducted
countless inspections.
For more information, contact
Lauren V. Kabler, EPA's Water Enforce-
ment Division, Office of Regulatory En-
forcement, Office of Enforcement and
Compliance Assurance, at (202) 564-
4052; Entail: kabler.lauren@epa.gov.
For compliance assistance informa-
tion, contact Gloria Lowe, Office of Com-
pliance, at (202) 564-2181; Email:
lowe.gloria@epa.gov.
Useful Corrmliance
Assistance Resources
Office of Enforcement and
Compliance Assurance:
http://www.epa.gov/compilance
Water Compliance Resources
Compliance and Enforcement:
http://www.epa.gov/oeca/main/
com passt/water. htm I
NPDES Storm Water Program:
http://www.epa.gov/npdes/stormwater
National Compliance Assistance
Clearinghouse:
http://cfpub.epa.gov/clearinghouse/
Compliance Assistance Centers:
http://www.assistancecenters.net
Small Business Gateway:
http://www.epa.gov/smallbusiness
Storm Water Resource Locator:
http://www.envcap.org/swrl
Enforcement Alert: "EPA Finding
Many Industrial Dischargers Failing
to Obtain Storm Water Permits as
Law Requires":
http://www.epa.gov/Compliance/
resources/newsletters/civil/enfalert/
stormwater.pdf
April 2002
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Environmental Protection Agency
Office of Regulatory Enforcement
(2248A)
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