AEPA
United States
Environmental Protection
Agency
Office of
Enforcement and
Compliance Assurance (2221)
EPA300-R-00-005
July
www.epa.gov/oeca
on
in
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the
Auaust 21,2000
It is my pleasure to share with you the annual report for EPA's national enforcement and
compliance assurance program, which highlights the strides we've made in targeting
significant environmental risks through our use of a full set of enforcements tools,
incentives, and compliance assistance. Our accomplishments during fiscal year 1999 (FY99),
and our record for the last seven years, show that we have built a strong and aggressive
enforcement program that has achieved significant environmental results, while also
providing compliance assistance to both large and small businesses and offering real
incentives to bring violators into compliance.
The goal of our program is to provide a credible deterrent to pollution and greater
compliance with the law. In FY99, we strengthened our program by expanding, in
consultation with the states and our stakeholders, innovative approaches to compliance and
enforcement. By providing assistance designed to prevent violations, offering incentives to
motivate compliance, and conducting monitoring and taking enforcement actions to identify
and correct violations and deter others, we have obtained continuous improvement in compliance with standards, permits,
and regulatory requirements. Our approach has resulted in mitigated environmental risks, better environmental management
at regulated facilities, and public demands for environmental information being met.
In introducing our Annual Report on Enforcement and Compliance Assurance Accomplishments in 1999,1 would like to
highlight a few of our diverse accomplishments over the past year. Enforcement actions concluded in EY99 will reduce over
6.8 billion pounds of pollutants. Additionally, polluters were required to spend a record S3.4 billion to correct violations
and take steps to protect the environment. We also achieved a record $236.8 million in environmentally beneficial projects.
A record SI 66.7 million in civil penalties was assessed, including the largest Clean Air Act settlement in history against
seven diesel engine manufacturers who used illegal devices to disable their emission control systems. This case alone will
result in 75 million tons of nitrogen oxide reductions over the next quarter century. We took 3,935 civil judicial and
administrative enforcement actions in 1999, the highest number of civil actions taken over the last three years.
Our strong criminal enforcement program reflects our goal of punishing those who callously disregard our nation's
environmental laws and who put the public at serious risk when they do so. Most significantly in 1999, a record 208 years
of jail time was imposed on criminal defendants. This increase in sentences is extremely important as a deterrent to others.
A prison sentence is personal-it's not a cost of business that can be passed onto the consumer.
In FY99, we improved environmental compliance by offering a variety of incentives programs to small and large businesses.
For example, we encouraged companies with multiple facilities to take advantage of EPA's Audit Policy to conduct
corporate-wide audits. One such agreement is expected to eliminate 700 tons of air pollutants annually. We also offered an
extensive set of compliance assistance tools to help businesses and communities nationwide comply with environmental
requirements, including "plain English" guides to environmental requirements, translations of requirements in several
languages, sector notebooks, and national Compliance Assistance Centers. In FY99, we added five new Centers, bringing
the total to nine industry-specific, Internet-based Centers that are up and running.
These are bu t a few of the accomplishments that illustrate the success of our enforcement and compliance program in FY99.
We are proud of these activities and grateful for the dedication of our staff, as well as that of states, tribes, local
governments, and stakeholders. As we enter the 21st century, we will continue to work with states and stakeholders to
foster and refine our efforts to ensure compliance with the nation's environmental laws. In doing so, we strive to achieve
our goal of protecting all Americans from threats to our health and the environment.
Sincerely,
Steven A Ileiman
Assistant Administrator
Office of Enforcement and Compliance Assurance
U.S. Environmental Protection Agency
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of
List of Acronyms
1. Introduction[[[™ 1
Our Mission: Protecting Human Health and the Environment 1
Addressing Environmental Risks Using a Problem-Solving Approach 1
Our Priorities in 1999 2
Measuring Our Performance 3
2. Achievements in 1999[[[ 4
Reducing Pollution 4
Investing in Environmental Protection 5
Benefits to Local Communities (Supplemental Environmental Projects) 8
Addressing Significant Noncompliance 9
Monitoring Compliance 9
Compliance Incentives 11
Compliance Assistance...... 11
Protecting Environmental Resources Under the National Environmental Policy Act (NEPA) 13
The National Performance Measures Strategy 14
Compliance Measurement Grants 15
3. Addressing Environmental Problems Through the Integrated Use of Tools ............. 17
Using Integrated Approaches 17
3.A. Maintaining a Strong Enforcement Presence Through Compliance
Monitoring[[[ 18
Targeting 18
Investigations and Inspectations 19
Protecting the Environment and Your Health Through Compliance
Monitoring Activities 20
Citizen Complaints 21
Data Assessments and Enhancements 23
3.B. Protecting the Environment Through Enforcement................................... 24
Increasing Effectiveness of Civil Enforcement 24
Environmental Results 25
Improving the Environment Through Enforcement Actions 25
CERCLA Enforcement Accomplishments 29
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Table of Contents (continued)
3.D. Bringing Companies Into Compliance With Incentives ............................ 37
Encouraging Self-Disclosure Through EPA's Audit Program 37
Improving Compliance Through Voluntary Corporate-Wide Auditing
Agreements 37
Corporate-Wide Auditing Results in Environmental Protection 39
Appendix A Priority Industry Sectors
Appendix B Historical Enforcement Data
Exhibits
1. Twenty Pollutants with the Largest Reductions Reported for FY99 EPA
Enforcement Settlements 4
2. Compliance Activities Resulting fromFY99 Criminal Investigations/Resolutions 4
3. FY99 EPA Case Initiations and Conclusions by Statute 5
4. EPA Civil Referrals to DOJ Since FY73 .6
5. EPA Criminal Enforcement: Major Outputs FY97 toFY99 6
6. EPA Criminal Program: Growth and Maintenance of Key Outputs Since FY83 6
7. EPA APO Complaints by Statute................................. .6
8. Value of Injunctive Relief: FY97-FY99 6
9. FY99 Enforcement Actions: Summary of Injunctive Relief by Statute 7
10. EPA Enforcement Penalties Since 1990: By Year and Type. 7
11. Dollar Value of FY99 Enforcement Actions by Statute (% of FY99 Total) 7
12. Use of SEPs in Settlement of Formal Enforcement Actions: FY95 to EY99 8
13. Addressed/Resolved Significant Noncompliance (SNC) Rates 8
14. National Averages of Two-Year Recidivism Rates 9
15. National Totals - Time for Facilities Returning from SNC in EY99 9
16. FY99 Inspections-National Totals 9
17. FY99 Facilities Inspected (Coverage) by EPA or States 10
18. EPA Inspections FY94 to FY99 10
19. Summary of FY99 Civil Investigations and Citizens Complaints
(FY99 3rd and 4th Quarters Only) 1.1
20. Number of Companies and Facilities Disclosing Violations Under the Audit Policy 11
21. FY99 Compliance Assistance Activity (Percentage of Facilities Reached by Activity) 11
22. FY99 Compliance Assistance National Totals by Statute 12
23. FY99 Compliance Assistance National Totals by Sectors 12
24. FY97-99 Federal Enforcement Data for Petroleum Refineries 27
25. FY99 Compliance Assistance National Totals (Percentage of Entities Reached) 31
26. Trend in Compliance Levels for the Auto Service and Repair Industry 32
CONTENTS
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AFS Air Facility Subsystem
AIRS Acromctric Information Retrieval System
APO Administrative penalty order
AOC Administralive order on eonsent
BOD Biological Oxygen Demand
CAA Clean Air Act
CAP Compliance Audit Program
CERCLA Comprehensive Environmental Response, Compensation and Liability Act
CFC Chlorofluorocarbon
CWA Clean Water Act
DOJ U.S. Department of Justice
EMR Environmental Management Review
EMS Environmental Management System
EPA U.S. Environmental Protection Agency
EOY End of year
EPCRA Emergency Planning and Community Right-to-Know Act
FIFRA Federal Insecticide, Fungicide and Rodenticide Act
PY Fiscal year
GLP Good Laboratory Practice
ICDS Inspection Conclusion Data Sheet
NEIC National Enforcement Investigation Center
NEPA National Environmental Policy Act
NESHAP National Emission Standard for Hazardous Air Pollutants
NOx Nitrogen oxide
NPDES National Pollutant Discharge Elimination System
NPL National Priorities List
NPMS National Performance Measures Strategy
NSR New Source Review
OC Office of Compliance
OECA Office of Enforcement and Compliance Assurance
OPA Oil Pollution Act
ORE Office of Enforcement
OSIIA Occupational Safety and Health Administration
PAH Polycyclic aromatic hydrocarbon
PCB Polychlorinatcd biphcnyl
PPA Prospective purchaser agreement
PM Particular mailer
PRP Potentially responsible party
PSD Prevention of Significant Deterioration
RCRA Resource Conservation and Recovery Act
SDWA Safe Drinking Water Act
SEP Supplemental Environmental Project
SFIP Sector Facility Indexing Project
SNC Significant noncompliance
SO2 Sulfur dioxide
tpy tons per year
TRI Toxic Release Inventory
TSCA Toxic Substances Control Act
TSS Total suspended solid
UAO Unilateral Administrative Order
UIC Underground injection control
LIST Underground storage tank
VOC Volatile organic compound
ACRONYMS
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1.
Working in conjunction with states, tribes, and
local governments, the staff of the U.S. Environmental Protection Agency's
(EPA's) national enforcement and compliance assurance program ensures
compliance with the nation's environment;!], laws. The national enforcement and
compliance assurance program staff arc located in EPA's Office of Enforcement
and Compliance Assurance (OECA) and in the EPA regional and satellite offices.
Our mission is to protect, the well-being of all Americans, our nation's
environment, and its natural resources. By pursuing a strategic approach in which
we systematically identify problems and adopt the appropriate tools to address
their risks, EPA and the states, tribes, and local governments seek to inaximi/e
compliance and reduce threats to public health and the environment.
In response to the Government Performance and Results Act (GPRA), which
promotes more results-based management, EPA developed a strategic plan that
delineates specific goals, objectives, and performance measurements. Goal 9 of
the strategic plan requires EPA to provide a credible deterrent to pollution and
greater compliance with the law. Goal 9 is the core responsibility of the national
enforcement and compliance assurance program.
We carry out our responsibility to provide a credible deterrent to pollution and
greater compliance under the law by identifying priorities and then using particular
approaches to achieve goals under the priority areas. Finally, we measure our
performance, not only to meet the statutory mandates of GPRA, but also to
inform the public of our progress and to inform ourselves about where
improvements are needed. In Part 2 of this report, we will share with you die
results of our performance in fiscal year 1999 (FY99).
In FY99, we continued to strengthen our enforcement and compliance assurance
program by expanding, in consultation with the stales and our stakeholders,
innovative approaches to compliance and enforcement. New tools that provide
compliance assistance and compliance incentives complement a strong program
of compliance monitoring and civil and criminal enforcement. A strong
enforcement component provides the foundation for the national compliance
program, motivating regulated entities to seek assistance and use incentive
INTRODUCTION
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policies and providing fairness in the marketplace by ensuring that noncomplying
facilities do not gain an unfair competitive advantage.
The innovative approaches that we have developed are tailored to the particular
environmental problem and/or pattern of noncompliance and include, as
appropriate, a mix of the following:
• compliance monitoring (i.e., determining compliance with environmental
laws and regulations);
• civil and criminal enforcement actions;
• compliance assistance (i.e., providing information and guidance about
environmental requirements to regulated entities); and
• compliance incentives (i.e., promoting policies that encourage sell-policing
through identification, correction, and disclosure of violations by regulated
facilities).
We discuss each of these tools in Part 3 of this report and provide examples of
how we have used these tools singly or in combination to achieve the greatest
environmental results.
1
In FY99, EPA continued to address priority problems related to particular industry
sectors as well as specific environmental media. For this fiscal year we focused
on 11 priority sectors as listed in the box to the left. Sectors that were selected as
priorities were based on several factors, including compliance history, regional and
state concerns, national scope of the sector, and potential environmental and
human health risk identified from pollutant loadings and Toxic Release Inventory
(TRI) risk data. The priority industry sectors are discussed in detail in Appendix
A. In addition to the sector priorities, we identified 29 media-specific priorities in
FY99 including:
4- Clean Water Act (CWA)
• Wet weather
• Concentrated Animal Feeding
Operations (CAFOs)
« Wetlands
f Safe Drinking Water Act
(SDWA)
• Public water system - microbial
rules
• Safe drinking water information
system
• SDWA amendments
• Underground Injection Control
Class V wells
Clean Air Act (CAA)
Title V permits
Synthetic minors
Air toxics
Chlorofluorocarbon(CFC)
enforcement
Resource Conservation and
Recovery Act (RCRA)
Organic air emissions rule
Generators
Combustion/fuel blenders
Underground storage tanks (USTs)
Transportation issues
INTRO DUCT/ON
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Superfund-Comprehensive
Emergency Response,
Compensation, and Liability Act
(CERCLA)
Reduction of transaction costs
Construction completion
Federal facilities compliance
Emergency Planning and
Community Right-to-Know (EPCRA)
Section 313 expansion
Section 313 TRI data quality
enforcement
Industrial organic chemical initiative
Federal facilities enforcement
Pesticides-Federal Insecticide,
Rodenticide, and Fungicide Act
(FIFRA)
Antimicrobials
Urban pesticides control and
enforcement
Adverse effects
Toxic Substances-Toxic
Substances Control Act (TSCA)
Asbestos
Lead-based paint
Polychlorinated biphenyls
Just as it is important to identify the priority areas and the tools or approaches that we
will use to address those priorities, it is equally important to measure the results of our
enforcement and compliance assurance program. To do so, EPA continued to implement
the National Performance Measures Strategy (NPMS) in FY99. While the strategy
includes traditional measures, such as the number of inspections and enforcement actions
conducted each year, it also establishes new outcome measures for evaluating the
behavioral and environmental results of our activities. These measures include
compliance rates for selected regulated populations, pollutant reductions resulting from
enforcement actions, behavioral changes stemming from compliance assistance, and
average time for significant violators to return to compliance. The NPMS will be
discussed in greater detail in Part 2.
INTRODUCTION
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2. in
The significant environmental results achieved by EPA's enforcement and
compliance assurance program in fiscal year 1999 (FY99) show that we have built
a strong and aggressive enforcement program while providing compliance
assistance to both large and small businesses and offering real incentives to
motivate voluntary disclosure of violations. Following are highlights of our FY99
accomplishments and successes.
Exhibit 1. Twenty Pollutants with the Largest Reductions
Reported for FY99 EPA Enforcement Settlements
Note: Chart is in Log10 scale
Chart does not include over 9 billion pounds in water pollution
(thermal, TSS, BOD and toxic materials).
Source: OECA/OC/EPTDD
Exhibit 2. Compliance Activities Resulting from FY99
Criminal Investigations/Resolutions
Storage/Disposal
Change
Emission/Discharge
Change
Remediation
Removal
Monitoring
Industral Process
Changes
Record Keeping
Use Reduction
Permit Application
Auditing
Clean Up
PoIIutaotS2: In FY99, over 6.8
billion pounds of pollutants were reduced as
a result of our enforcement actions. These
actions resulted in the reduction of 5.8 billion
pounds of nitrogen oxide (NOx), 573 million
pounds of contaminated soil, 200 million
pounds of iron, and 129 million pounds of
poly chlorinated biphenyl (PCB) waste.
Exhibit 1 presents the top 20 pollutants with
the largest reductions reported for FY99
enforcement actions.
in Facility Operations:
Enforcement actions cause facilities to take
actions that achieve compliance and
improve the environment. Such actions
were reported for 3,043 of the 3,451 FY99
civil enforcement settlements in FY99. A
total of 18% of these complying actions
required defendants to perform either use
reduction, industrial process changes,
emission or disposal changes, remediations
or removals. Since FY96, a total of 3,404
actions have required these types of
physical compliance actions. About 21% of
the 3.043 actions resulted in improvements
in the use or handling of pollutants to
achieve emission and discharge reductions.
Another 47% of the 3,043 concluded
enforcement actions resulted in
improvements in facility management
ACHIEVEMENTS
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practices and information. Similarly, compliance activities
resulting from 566 criminal investigations/cases concluded during
FY99 are presented in exhibit 2.
Exhibit 3. FY99 EPA Case Initiations and
Conclusions by Statute
Civil and Administrative Actions and Settlements:
Overall, EPA took a total of 3,935 civil judicial and administrative
enforcement actions in FY99, the highest number of civil actions
taken over the past three years. These activities identity and
correct noncompliancc and deter future violators. Exhibit 3
presents a summary of FY99 case initiations and conclusions by
statute.
Civil Referrals: In FY99, EPA maintained a robust civil
referral program. We submitted 403 civil judicial referrals to the
Department of Justice (DO.!). Exhibit 4 shows the trends in civil
referrals to DOJ by statute since FY73.
Criminal Program: Our strong criminal program reflects our
goal of enforcing against those who intentionally disregard our
nation's environmental laws and who put the public at serious
risk when they do so. As shown in exhibits 5 and 6, EPA's
criminal enforcement program set an annual record for
sentences (208.3 years) and referred the fifth highest number of
criminal cases (241) to DOJ in history. The criminal
enforcement program has now assessed almost S600 million in
criminal fines.
Administrative Orders In FY99, EPA increased its
use of administrative penalty orders (APOs). issuing a record
1,654 complaints, which exceeds FY98 levels by 18% and FY97
levels by 26%. Exhibit 7 shows the EPA APO complaints since
FY91 by statute.
Pay: In EY99, polluters were required to
spend more than $3.4 billion, a 72% increase over FY98 levels, to
correct violations and take additional steps to protect the
environment. The FY99 estimated value of injunctive relief (S3.4
billion) was at its highest total since we began to estimate this
value in 1995; 80% more than the EY97 estimate (shown in
exhibit 8).
Exhibit 9 presents the value of injunctive relief by statute for
FY99 enforcement actions. The Clean Air Act (CAA) program
was responsible for the most injunctive relief at $1.1 billion (32%
of the S3.4 billion), followed by the Safe Drinking Water Act
(SDWA) program at $811 million (23%) and the Comprehensive
Environmental Response, Compensation, and Liability Act (CERCLA)
program at $722 million (21 %).
CERCLA 103 actions are included under EPCRA
Source: OECA,'OC,'EPTDD/TEB
A CHIEVEMEN TS
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Exhibit 4. EPA Civil Referrals to DOJ Since FY73
z
DCERCLA D Water BRCRA • Toxics./Pestioides/EPCRA
I
FYFYFYFYFYFYFYFYFYFYFYFYFYFYFYFYFY
73 74 75 76 77 78 79 80 81 82 83 84 85 86 87 88 89
FYFYFYFYFYFYFYFYFYFY
90 91 92 93 94 95 96 97 98 99
6,518 Total Referrals (2,043 Air, 1 ,973 Water, 1 ,757 CERCLA, 504 RCRA and 241 Toxics/Pesticides/EPCRA)
Source: OECA/OC/EPTDD/TEB
Exhibit 5. EPA Criminal Enforcement:
Major Outputs FY97 to FY99
Exhibit 7. EPA APO Complaints by Statute
F¥ 97 G FY 98 m FY 99 |
Exhibit 6. EPA Criminal Program: Growth and Maintenance
of Key Outputs Since FY83
Exhibit 8. Value of Injuctive Relief: FY97-FY99
Source: OECA/OC/EPTDD/TEB
1.5 -
1 -
0.5 -
0 -
FY 97 FY 98 FY 99
ACHIEVEMENTS
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Penalties: Overall, EPA assessed the highest total amount of
civil penalties in FY99. Since 1974, we have assessed civil
and criminal fines and penalties totaling almost $1.8 billion, as
shown in exhibit 10.
Exhibit 11 presents the dollar value of FY99 enforcement
actions by statute. The Resource Conservation and Recovery
Act (RCRA) program was responsible for the most criminal
penalties at $21.5 million (35%) and garnered the most
administrative penalties at $7.4 million (29%). The CAA
program was responsible for the most civil judicial penalties
with $104.6 million (74%).
Federal Facilities: EPA also is continuing to use its
enforcement authorities at federal facilities. In FY99, EPA
settled its first-ever federal facility SDWA case at. the Army's
Redstone Arsenal in Alabama for nearly $90,000 in civil
penalties and $807,000 in Supplemental Environmental
Projects (SEPs). This settlement will protect Redstone's water
system. EPA issued its first CAA penalty order in the fall of
1998 against the U.S. Mint in Philadelphia. The complaint.
charged that the Mint violated regulations governing emissions
of chromium compounds and chlorofluorocarbons (CFCs).
Under the settlement, the Mint agreed to pay S16,000 in cash,
as well as undertake a $90,427 SEP to upgrade pollution
control equipment from its chromium electroplating operations.
Exhibit 11. Dollar Value of FY99 Enforcement Actions by Statute
(% of Total)
Exhibit 9. FY99 Enforcement Actions:
Summary of Injunctive Relief by Statute
CAA
SDWA
CERCLA
CWA
EPCRA/FIFRA/TSCA
RCRA
FY99 Total
$1.1 billion (32%)
$81 1 million (24%)
$722 million (21%)
$577 million (17%)
$2 million (<1%)
$200 million (6%)
$3.4 billion
RCRA
CWA
CAA
SDWA
CERCLA
EPCRA
FIFRA
TSCA
Title 18/MPRSA
FY99 Total
$21 .5 (35%)
$20.4 million (33%)
$2.2 million (4%)
$3.2 million (5%)
$12.7 million (21%)
$0
$0.4 million (<1%)
$1 6,000 (<1%)
$1.1 million (2%)
S61.5 million
$24.5 million (17%)
$7.4 million (5%)
$104.6 million (74%)
$1.8 million (1%)
$2.9 million (2%)
$0
$1 ,300 (<1 %)
$0
$0
$141.2 million
$7.4 million (29%)
$5.2 million (20%)
$5.1 million (20%)
$0.4 million (1 .5%)
$2,000 (<1%)
$3.8 million (15%)
$1 .4 million (5%)
$2.3 million (9%)
$0
$25.5 million
* Criminal cases with U.S. Code - Title 18 or other violations.
Data comes from EPA criminal and civil dockets.
10. EPA
Enforcement Penalties Since
1990: By Year and Type
O $200
.2 $150
CO $50
FY FY FY FY FY FY FY FY FY FY
90 91 92 93 94 95 96 97 98 99
Criminal D Administrative
Source: OECA/OC/EPTDD/TEB
Source: OECA/OC/EPTDD/TEB
A CHIEVEMEN TS
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Exhibit 12. Use of SEPs in Settlement of
Formal Enforcement Actions: FY95 to FY99
350
300
LJJ 200
«> 150
S
$250
$200
50
FY95 FY96 FY97 FY98 FY99
$150 §.
$100
$50
• $ Value of SEPs
Source: OECA/'OC/EPTDD/TEB
Exhibit 13. Addressed/Resolved Significant
Noneomplianee (SNC) Rates
63%
RCRA CAA CWA SDWA
EPA frequently includes Supplemental Environmental
Projects (SEPs) as part of the settlement of administrative
penalty actions and, to a lesser extent, judicial settlements.
SEPs are environmentally beneficial projects that may be
proposed by a violator or EPA during the settlement of an
enforcement action. We examine whether a violator is
committed to, and has the ability to, perform a SEP when
determining the appropriateness of including a SEP in the
settlement. If a violator agrees to perform a SEP, their cash
penalty may be lowered. The SEP must reduce risks to,
improve, or protect public health or the environment.
• of The value of SEPs in EY99
($236.8 million) was at the highest level ever. In FY99,
administrative and judicial settlements included 197
SEPs, as shown in exhibit 12. Of these, 173 SEPs
were from administrative actions and 24 were included
in judicial actions. The use of SEPs in EY99 was
below FY98 levels in terms of the number of SEPs, but
showed a 160% increase in value.
• Types of Producing SEPs: In FY99, 12.5%
(13.6% excluding CERCLA) of cases included a SEP.
In EY99, the use of SEPs was most prevalent in the
Emergency Planning and Community Right-to-Know
Act (EPCRA) (32%) and RCRA (22%) programs. The
SEPs in the CAA cases had the highest dollar value
($ 142 million) of any one program—responsible for
60% of the FY99 total SEP value (S236.8 million).
Environmental In FY99, pollution
prevention continued to be the most frecpent category
of SEPs (32%'), followed by emergency planning and
preparedness (19%) and pollution reduction (19%).
ACHIEVEMENTS
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SNCs In EY99, the degree to
which SNC was addressed varied greatly by program
area. As shown in exhibit 1.3, there were 1,385 facilities in
SNC of which 23% (316) were resolved (meaning either
returned to full physical compliance or meeting a
compliance schedule) in the RCRA program. In die Clean
Water Act (CWA) program, 63% of facilities (1,128 of
1,782) in SNC were addressed, meaning that, either a
facility was returned to non-SNC status on its own or it
received a formal order. In the air program, 54%' of
facilities (1,854 of 3,419) in SNC were addressed by a
formal enforcement action. In the SDWA program, 73%
of systems (2,764 of 3,811) in SNC were addressed by a
formal enforcement action.
Exhibit 14. National Averages of Two-Year
Recidivism Rates
60%
50%
40%
30%
20%
10%
0%
CAA
CWA
RCRA
CAA: 115 of 381 facilities
CWA: 665 of 1,188 facilities
RCRA: 26 of 157 facilities
SNC Duration and Recidivism: In FY99,
EPA is reporting data on SNC duration and
recidivism for the first time. Exhibit 14
shows the percentages of SNCs that had
returned to compliance during FY97 but
were in significant noncompliance again in
FY99; this is the two year recidivism rate.
Exhibit 15 presents the time needed for
facilities to return from SNC for those that
returned during FY99.
Exhibit 15. National Totals - Time for Facilities Returning
from SNC in FY99
In FY99, EPA conducted 21,847
inspections, as shown in exhibit 16. The most
inspections (34%) were conducted under the SDWA
program, followed by the CWA (20%) and RCRA/
Underground Storage Tank (UST) (17%) programs.
Overall, the number of facilities inspected (i.e.,
coverage) by EPA or states in EY99 varied considerably
across programs, as shown in exhibit 17. For example,
46% of facilities under the CAA program were
inspected. Under the CWA program 73%' of majors and
36%^ of facilities with pretreatment programs were
inspected. Under the RCRA program, 63% of
treatment, storage, and disposal facilities were inspected,
and 22% of large quantity generator facilities were
inspected.
Statute
CAA
CWA
RCRA
<6
months
417
570
184
1 year
226
134
76
>1 year to 2
years
278
129
53
>2 years
258
116
53
Exhibit 16. FY99 Inspections - National Totals
CAA [Stationary (includes
chlorofluorocarbon), asbestos
and mobile sources]
CWA [NPDES (minors*
majors), 311, and 404]
SDWA
EPCRA/FIFRA/TSCA
RCRA and UST
Total
3,109*
4,417
7,329
3,296
3,696
21,847*
Source: Program databases/IDEA. manual reports.
There were also 113 GLP inspections and 363
data audits by HQ (OC/AED/LDIB).
* These numbers are higher than reported in the
EOY press release because of the addition of
asbestos inspection data which was not previously
available.
A CHIEVEMEN TS
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Exhibit 17. FY99 Facilities Inspected
(Coverage) by EPA or States
CAA
CWA
RCRA
46% of operating facilities (major,
synthetic minor, and Part 61
NESHAP sources)
73% of majors
36% of pretreatment facilities
63% of treatment, storage, and
disposal facilities (TSDFs)
22% of large quantity
generator (LQG) facilities
CAA universe: 41 ,003 facilities
CWA: 6,704 majors
1 ,470 pretrealment facilities
RCRA: 3,100 TSDFs
1 9,933 LQG facilities
18. EPA Inspections FY94 to FY99
25,000
20,000
15,000 -
10,000 -
5,000 -
• TSCA DSDWA BCAA
B RCRA DFIFRA BCWA
At Facilities: A nationwide total of 27
multimedia inspections were performed at federal
facilities during FY99. At each facility, inspections
examined compliance with at least two statutes.
Between FY93 and FY99, EPA conducted a total
of 226 multimedia inspections at federal facilities.
The trends in the numbers of national inspections
conducted in each program area from FY94 to
FY99 are shown in exhibit 18.
Civil For the first time, EPA is
reporting information on two of die new
performance measures — civil investigations and
citizens complaints (see below). Civil
investigations provide a more in-depth examination
of a facility's operations and processes than a
regular inspection.
In FY99, as shown in exhibit 19, we conducted
716 complex, intensive compliance investigations in
nine media programs, with the greatest number
(74%) occurring in the air program, followed by
the CWA (14%) and RCRA (3%) programs.
Citizen Complaints: In FY99, EPA responded
to 5,095 citizen complaints, which were received
during the 3rd and 4th quarters of FY99. These
citizen complaints were reported in 12 media
programs and in multimedia, with the greatest
number (49%) in the CAA program, followed by
the CWA (16%) and the Federal Insecticide,
Fungicide and Rodenticide Act (FIFRA) (14%)
programs. Forty-seven percent were referred to
state or local agencies; 3% were referred to other
federal agencies; 7% resulted in compliance
inspections; and less than 1% resulted in on-site
visits (not compliance inspections).
Source: OECA/OC/EPTDD/TEB
1 D
ACHIEVEMENTS
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Audit Policy: As shown in exhibit 20, the
number of companies (260) and facilities (990)
disclosing violations under the audit policy in
FY99 were at all time highs since the inception
of the policy.
Numbers of Facilities Reached: In FY99,
EPA (Headquarters and Regional programs)
collectively reached 333,1183 regulated facilities
through compliance assistance outreach in sector
and statutory areas. As presented in exhibit 21,
the highest amount of compliance assistance
activity occurred through the distribution of
compliance assistance outreach materials
(87%), with regions reaching almost 290,000
facilities through this vehicle.
Exhibits 22 and 23 present the compliance
assistance national totals by statute and sectors,
respectively. Almost 72% of facilities received
assistance relating to EPCRA program
requirements. Within the sector areas for
which compliance assistance information is
tracked, auto service and repair facilities
received the highest amount of assistance
(34%).
Exhibit 19. Summary of FY99 Civil Investigations and
Citizen Complaints (FY99 3rd and 4th Quarters Only)
CAA Stationary
CAA Mobile Sources
Asbestos
CWA
SDWA
OPA
EPCRA/FIFRA/TSCA
RCRA
UST
CERCLA
Multimedia
TOTAL
443
88
1
102
3
0
45
20
11
0
3
716
2,230
273
1
798
215
119
875
392
91
15
86
5,095
Exhibit 20. Number of Companies and Facilities
Disclosing Violations Under the Audit Policy
FY97
FY98
FY99
Source: ORE
Exhibit 21. FY99 Compliance Assistance Activity
(Percentage of Facilities Reached by Activity)
.-87%
D Workshops/Trainings/
Presentations
D On-Site Visits
O Telephone Hotline
• Tools Mailed/Distributed
10%
Total Number of Tools Developed: 121
Total Number of Workshops/Trainings/Presentations: 947
Source: RCATS
A CHIEVEMEN TS
1 1
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Exhibit 22. FY99 Compliance Assistance National
Totals By Statute
(Total Number of Entities Reached = 192,262}
CAA
(13.7%)
EPCRA
(71.9%)
Total # Of Entities Reached All Sectors & Media = 333,118.
Regulated entities were counted based on each type of compliance
assistance they received. Therefore, a regulated entity may be counted
more than once.
Exhibit 23. FY99 Compliance Assistance National Totals
By Sectors
(Total Number of Entities Reached = 140,856)
34.0%
I Agricultural Practices
D Tribal Owned Entities
[H Municipalities
[H Federal Facilities
HI Chemical Preparation/Industrial Organics
D Auto Service/Repair Shops
• Other Sectors
E] Dry Cleaners
Total # Of Entities Reached All Sectors & Media = 333,118. Regulated entities
were counted based on each type of compliance assistance they received.
Therefore, a regulated entity may be counted more than once.
Compliance Centers: In FY99,
we operated nine Compliance Assistance
Centers designed to help small businesses and
small governmental entities understand and
comply with their regulatory obligations. The
Centers focus on specific industry sectors and
provide applicable regulatory and technical
information in a convenient and user-friendly
manner. They offer'"plain English" summaries
of regulations and access to state regulations,
vendor directories, and numerous other
technical resources. In FY99, in total, the
Centers were visited over 750 times a day by
businesses, compliance assistance providers,
other government representatives, and the
general public, resulting in a total of 260,000
user sessions.
Industry-Specific Outreach Materials: In
addition to the Compliance Assistance Centers,
we continued to develop a wide variety of other
tools and outreach materials to promote
compliance with environmental laws on an
industry-by-industry basis. These tools include
industry sector notebooks, plain language
compliance guides, (raining modules, and
compliance checklists. In FY99, EPA
completed 10 sector guides and more than 30
other outreach documents for industries such as
food processing and chemical manufacturing.
In EY99, EPA is reporting
for the first time our national efforts in the area
of capacity building to states, tribes and
localities. Overall, the regions conducted 180
training courses; made 3,407 regulatory
determinations, responded to 984 requests for
assistance and conducted 266 assisted
inspections.
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ACHIEVEMENTS
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Under NEPA, federal agencies are required to carefully consider the
environmental impacts of all major actions they take, and iiPA reviews and
comments on these assessments and often assists agencies with their
development. In FY99, (lie NEPA review process resulted in the following
examples of environmental improvements/harm a voided to a natural resource:
Expanding a Highway without Compromising Environmental Quality.
EPA's Great Lakes region, Region 5, announced a precedent-setting
agreement in April 1999 with nine federal, state, and local organizations on
expanding a highway in Wisconsin. The agreement will allow critical safety
improvements to be made to the highway while protecting the unique scenery
and maintaining a healthy ecosystem and the indigenous species in the area.
Benefiting the Galveston Bay Ecosystem. In FY99, EPA's southwestern
region, Region 6, helped finalize, using the NEPA process, the plan for the
Houston Ship Channel project. In revising the initial plan, which would dump
unconfined dredged material on 11,000 acres of Galveston Bay, we found
beneficial uses for all dredged material, including the environmental
restoration of 4,250 acres of tidal marsh.
Improving the Environment with a Flood Control Project. In a U.S. Army
Corps of Engineers flood control project along the Napa River in California,
EPA comments on the draft environmental impact statement expanded
habitat improvements to 540 acres, created an additional 12 acres of
wetlands, and diverted 500,000 cubic yards of material from disposal in low-
lying areas.
ACHIEVEMENTS I 1 3
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Protecting the Health and Safety of Tribal Members. HPA's southwestern region
(Region 6) NEPA program negotiated with the Bureau of Indian Affairs for
environmental improvements to a solid waste landfill on Nambe Pueblo Tribal land.
The negotiations involved the environmental impacts statement that the Bureau
prepared for leasing the land. The Bureau and the tribe have agreed to operate the
landfill in accordance with all EPA requirements, providing important health and
safety protections for tribal members.
Completing Transportation Projects Faster While Protecting the Environment.
Regions engaged in a variety of activities in FY99 to implement the streamlining
provisions of the Transportation Equity Act of 1998. By identifying issues early in
the planning process and coordinating the various environmental requirements and
processes, the regions are supporting Congressionally
' mandated efforts to complete transportation projects faster
.si i:t while protecting the environment. For example. Region 6 is
helping the North Texas Tollway Authority scope out the
Trinity Parkway environmental impact statement by providing
advice on the consideration of alternatives, wetland impacts,
and other requirements.
The National Performance Measures Strategy was initiated by OECA in February
1997 to identify, design, implement, and use an enhanced set of performance measures
for EPA's enforcement and compliance assurance program. The Strategy was designed
to help us measure the state of compliance with environmental laws, the environmental
results we achieve through our activities, and the degree to which program objectives
are being met and noncompliance problems are being addressed.
The identification and design phases occurred in 1997 and 1998 and included broad
consultation with staff, regulatory partners, and external stakeholders. In 1999, the first
phase of implementation began with the collection and analysis of information from the
third and fourth quarters of FY99 for the following sets of measures from the
Performance Profile:
• average duration for significant violators to return to compliance (Set #6);
« percentage of significant violators with recurrent violations (Set #7);
• number of in vestigations conducted (Set #8);
• responses to citizen complaints (Set # 8);
• number of notices of violation issued by media program (Set #9); and
« capacity building efforts provided to state, local, or tribal programs (Set #11).
1 4
ACHIEVEMENTS
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Remaining measures to be implemented in FY 2000, Phase II arc:
* statistically valid compliance rates for selected regulated populations (Set #1);
• environmental and human health improvements from compliance assistance (Sel
#3);
• environmental and human health improvements from integrated initiatives (Set #4);
and
« number of record reviews (Set #8).
In 1.999, OECA awarded $1.8 million in grants tolO slates to develop and implement
outcome- based performance measures for enforcement and compliance assurance
programs. The projects selected will allow the pilot states to demonstrate outcomes
from their enforcement and compliance assurance activities while serving as models for
other states. Outcome measures from the Performance Profile Sets 1,2,3, 6, and 7 will
be addressed in the state projects.
The Performance Profile
consists of output- and outcome-based measures selected for EPA's enforcement and compliance assurance
program after extensive public outreach. The measures are now being implemented as follows:
* I CM CF fOt/recMs)
Levels of Compliance in Regulated Populations
Set 1. Rates of noncompliance for various populations.
Environmental or Human Health Improvements by Regulated Entities
Set 2. Improvements resulting from EPA enforcement action.
Set 3. Improvements resulting from compliance assistance tools and initiatives.
Set 4. Improvements resulting from integrated initiatives.
Set 5. Self-policing efforts by using compliance incentive policies. Responses of
Significant Violators
Responses of Significant Violators
Set 6. Average number of days for significant violators to return to compliance or enter
enforceable plans or agreements.
Set. 7. Percentage of significant violators with new or recurrent significant violations within two
years of receiving previous enforcement action.
f t M> (OUTPUTS)
Monitoring Compliance
Set 8. Number of inspections, responses to citizen complaints, and investigations conducted.
Enforcing the Law
Set 9. Number of notices issued, civil and criminal actions initiated, civil and criminal actions
concluded, and self-policing settlements concluded.
Providing Assistance and Information
Set 10. Facilities/entities reached through compliance assistance tools and initial!vesor information.
Building Capacity
Set 11. Capacity building efforts provided to state, local, or tribal programs.
ACHIEVEMENTS I 1 5
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1 6
ACHIEVEMENTS
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3.
the
Use of
In fiscal year 1999 (1;Y99), HPA continued to identify and address environmental
problems using innovative integrated initiatives that combine compliance
assistance, incentives, monitoring, and enforcement to address the priorities of the
enforcement and compliance assurance program. Our experience has shown that.
these techniques have been effective in addressing environmental and compliance
problems. Experience has shown that use of these tools in a strategic, targeted
way will address noncompliance. If you know what your target is, you can
choose the appropriate tool or tools.
To address environmental problems or priorities, EPA will either select a
compliance or enforcement tool or, where appropriate, use a mix of these tools to
create an integrated strategy or initiative. Once we have determined the
appropriateness of the integrated strategy, we will implement it, in partnership
with states through the EPA regional/state planning process, to address the
problem or priority. These integrated initiatives complement our ongoing
compliance assurance efforts by addressing environmental priorities associated
with major regulations, compliance problems, or sectors.
Examples of our use of an integrated approach on priority sectors can be found in
Appendix A.
INTEGRATED INITIATIVES I 1 "7
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3A a
One of the most important functions conducted by EPA's
compliance assurance program is monitoring compliance
with environmental laws and regulations. While a
significant number of regulated entities routinely try to
achieve compliance, it is the role of the compliance
assurance program to monitor the level and degree of compliance. The Agency
uses compliance monitoring to determine the appropriate tool (assistance,
incentives, enforcement, or a combination of tools) to address a particular
environmental problem. Compliance monitoring includes all of the activities we
conduct to determine whether an individual facility or group of facilities are in
compliance with environmental laws and regulations. Some of our main
compliance monitoring activities include:
« performing compliance inspections, surveillance, and investigations;
« collecting, analyzing, evaluating, and managing compliance data;
• targeting, gathering information, and developing enforcement strategies;
* collecting and analyzing environmental samples;
• reviewing and evaluating self-reported documents, permits, and records;
• responding to citizen complaints and referrals from other governmental
entities; and
« preparing reports and updating databases with compliance findings and
inspection results.
Our compliance monitoring program often entails making a targeted effort to
reduce significant iionconipliance (SNC) in high-priority areas (i.e., those areas
posing the most significant public health and environmental risks). Priority areas.
which focus on environmental and noncompliance problems, might be based on a
geographic location, an industry sector, or a specific set of statutory requirements.
In FY99, in working to reduce SNC and recognizing dial government resources
are finite, we continued to make great strides toward targeting high-priority areas,
mainly industry sectors and environmental media, and completing baseline data
assessments in major databases needed to measure changes in key indicators of
i a
COMPLIANCE MONITORING
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compliance. As part of these targeting projects, EPA continues to improve cross-
media analytical capabilities through the development and maintenance of the
Integrated Data for Enforcement Analysis (IDEA) system.
EPA's efforts to provide regions with targeting tools are also yielding results, as
illustrated by investigations of compliance with New Source Review/Prevention
of Significant Deterioration (NSR/PSD) requirements (described below)
conducted by EPA's Mid-Atlantic Region, Region 3.
In FY99, EPA increased its emphasis on complex investigations in
addition to compliance inspections to uncover serious environmental
problems. A summary of these investigations is presented in exhibit
20. The investigations conducted revealed a number of different
types of serious environmental violations, including, but not limited to:
failure to obtain a permit; failure to install, operate, or maintain
pollution control equipment; failure to determine the type of hazardous
waste and failure to manage properly; illegal storage of hazardous
waste; and discharge of oil in harmful quantities. Nationwide, EPA
conducted 21,847 inspections in FY99. These inspection results arc
discussed on page 9 and shown in exhibits 16-18.
• Uncovering Permit Violations Using NSR/PSD
Investigations
NSR/PSD, a preconstruction review and permitting program ensures that
major and modified major Clean Air Act (CAA) sources apply state-of-the
art equipment to minimize impacts on air quality. Because routine inspections
sometimes do not identify plant modifications, Region 3 piloted an
investigation approach that incorporates upfront facility capacity and permit
reviews. The region developed criteria to identify facilities where plant
modifications are likely to have occurred and then selected certain industries
at which to undertake a more in-depth review. These investigations, while
resource intensive, are yielding impressive results. Region 3 investigated
eight pulp mills and found significant violations at seven of them. Requiring
the installation of control devices at these plants will result in large reductions
in air emissions. Based on Region 3's results, most EPA regions are now
using these investigative tools and strategies.
* Using Reconnaissance to Identify and Address Environmental
Concerns in EPA New
Through its Reconnaissance (Recon) projects, EPA's New England region,
Region 1, is using anonlraditional, innovative approach to identify and address
environmental concerns. A Recon project is founded upon the concepts of
EPA's New England
region, 1,
received a Best
Practice Award in
FY99 for its
pro/eel an innovative
monitoring approach.
COMPLIANCE MUNITORINE
1 9
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community-based and ecosystem-based environmental protection. The
Recon approach, which is to assemble a small, highly experienced team to
perform a short-term, intensive, and extensive multimedia environmental
investigation of a specific ecological or geographic area, enables the region to
strategically take a holistic approach (enforcement/compliance, assistance,
and outreach) to environmental protection in that study area.
In FY99, Region 1 continued activities based
on the Providence Recon. The Providence
Recon, whose study area consisted of
Providence, Rhode Island and five surrounding
communities, was conducted by EPA Region 1
from mid-June through September 1998. The
goals of the Providence Recon project were to:
• locate point sources along 14 miles of the Woonasquatucket River in the study
area;
• identify compliance, deterrence, and assistance opportunities in the study
area; and
* focus our limited resources to appropriate areas to maximize ecosystem
protection.
As part of this Recon project, Region 1 met with Occupational Safety and Health
Administration (OSHA) and state environmental staff to review files; conferred
and reviewed files at the Narragansett Bay Commission; located potential non-
notifying companies for all media through various sources; conducted field
reconnaissance on the river to locate pipes; performed drive-bys in six
communities; reviewed EPA databases and additional state databases and files
for over 2,500 facilities; and prepared a report summarizing the findings of the
project.
Since the Recon and through FY99, the New England Region has conducted
inspections (both single and multimedia) at over 50 facilities as a result of the
information provided in the Recon report. Of the 14 referrals made to the
Commission, four required pretreatment permits from them and one facility was
issued a notice of violation by the Commission for discharging without a permit.
The global positioning system locational information has been shared with the
Rhode Island Department of Environmental Management and community/
environmental groups within the Urban Rivers Team.
£>'
Reducing Emissions Through Leak Detection and Repair Monitoring
In FY99, EPA's National Environmental Investigations Center (NEIC) conducted
investigations to detect fugitive emissions from valves, pumps, flanges,
20
COMPLIANCE MUNITURINE
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compressors, pressure relief valves, and oilier piping components at a number of
petroleum refineries. The monitoring showed that the number of leaking valves
and components is up to 10 times greater than had been reported by certain
refineries. We believe this great disparity may be attributable to refineries not
monitoring in the manner prescribed in the federal regulations. Where
appropriate, these leaks are being addressed through enforcement actions.
Controlling Potential Paniculate Emissions Through the Wood Heater
Program
To control paniculate emissions, the manufacture and sale of new residential
wood heaters is regulated by EPA. Each new wood heater model line must be
certified and meet stringent rules designed to ensure continuous compliance. In
EY99, 26 new wood heaters were certified for sale in the United States; seven
rule-exemption requests were received and processed; 11 wood heater design
changes were approved; and 28 model line certificates were issued. Also during
EY99, enforcement actions were taken against eight manufacturers/retailers for
violations ranging from the illegal manufacture and sale of wood heaters to the
late renewal of the required "certificate of compliance." Civil penalties totaling
$15,846 were assessed.
Protecting the Environment Through the RCRA Hazardous Import-
Export Program
In FY99, the Resource Conservation and Recovery Act (RCRA) Import-Export
Program exercised control over a very substantial volume of import and export
notices, totaling 1,539, with an average of more than five wastestreams each.
The Program, after reviewing records, identified and referred for appropriate
enforcement action five additional instances of apparent failure to notify wastes
for export, prior to shipping, failure to fully document the departure of shipments
from the United States, or other violations.
Evaluating Waste Prevention Using the RCRA 6002 Inspection Guidance
As directed under the 1998 Executive Order 13101, EPA's Eederal Eacilities
Enforcement Office developed and issued the RCRA 6002 inspection guidance
for use by EPA regional and state inspectors in determining federal facility
compliance with the buy-recycled program, established under Section 6002 of
RCRA. Through the end of FY99, approximately 15 inspections had been
conducted using this guidance.
The Momiative
"international Trade in
Hazardous Waste: An
Overview," EPA 305-K-
98-001, November
1998, is now available
on the interne! at
Citizen complaints are defined as any phone call, letter, or e-mail from individuals
regarding violations of environmental laws or regulations received by or referred
to the enforcement and compliance assurance program. (The definition does not
include regional responses to citizen lawsuits filed by individuals or groups.)
COMPLIANCE MUNITORINE
2 1
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ERA'S
Region, 2,
received a Practice
in FY99 for Us
Citizen Complaint
Tracking System, an
innovative compliance
Examples of the various types of citizen complaints received include:
« potential air violations (e.g., idling truck, industrial park smoke stack
emissions);
• suspicious dumping activity;
« witnessing a truck dump bags of trash down a vacant lot embankment;
• frequent oil and fuel spills at a bus company lot. abutting a stream;
• a circuit board assembly business operated out of a residence;
• an industrial company in close proximity to a pond; and
* potential mobile source violations (emission control device tampering and
warranty problems).
In response to the citizen complaints received in FY99, 47% were referred to
state or local agencies; 3% were referred to other federal agencies; 7% resulted
in compliance inspections; and less than 1% resulted in on-site visits (not
compliance inspections). Additional data on citizen complaints received in FY99
are found on page 10 and shown in exhibit 19.
A System to Track Citizen Complaints
In FY99, EPA's Northeast Region, Region 2, implemented a Citizen Complaint
Tracking System. Citizen complaints can be a source of information that
otherwise might never come to the attention of EPA, particularly if the activity
being complained about cannot be linked to a specific facility (e.g., midnight
dumping) or originates at a facility that has never bothered to notify us of its
activities and is therefore not subject to regular inspections and oversight. Our
response to these complaints has a major impact on the public's opinion of us, and
also influences whether or not the public sees a purpose in continuing to bring
such matters to our attention.
Accurately tracking citizen complaints is important, not only to ensure appropriate
response, but also to document for Congress the outcome of our activities in this
area, be accountable to the public for our actions, report our activities, and
measure the results of those activities.
For these reasons, Region 2 implemented a Citizen Complaint Tracking System.
The one-page form and instructions have been made available electronically to all
enforcement staff. Once completed, the forms are forwarded to the
Enforcement Coordinator for storage in an electronic table for quarterly reporting
and follow-up. Through centralized tracking, the region can verify that appropriate
follow-up has been completed. The system also provides a mechanism to
randomly review a sample of the complaints for consistent handling, adequate
response, and customer satisfaction. By listing the range of basic options for
response, the system provides a reminder to the person receiving the complaint of
the various state and local environmental partners who might provide a response
to issues outside EPA's responsibility.
22
COMPLIANCE MUNITURINE
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Federal data systems are the foundation of most
national planning, targeting, measures, and
evaluation efforts. National databases include
information from both EPA and states delegated to
enforce national laws. The focus of these
databases is maintaining an accurate compliance
and enforcement record for regulated facilities, but
these systems are also sometimes related to information such as pollutant
releases, and geographic and demographic conditions. National data records
include whether compliance monitoring activity has occurred, whether violations
were found or self-disclosed, whether enforcement actions have been taken, and
whether penalties were assessed. This information allows EPA and other
interested users to examine trends and patterns relating to compliance monitoring
and enforcement. EPA continually evaluates and improves its environmental
databases to ensure the data accurately reflect our enforcement and compliance
assistance efforts and the status of the regulated community's compliance. EPA
takes data quality very seriously, and continually works with state and local
agencies to make sure the national systems are properly fed with data.
Beyond the many enhancements made to internal systems, EPA has also been
working toward improving public access to these systems. In FY99, EPA
continued to develop a complete baseline data assessment for multiple industries
through the Sector Facility Indexing Project (SFIP). The SFIP measures key
environmental indicators for more than 640 industrial
facilities in five industrial sectors and provides public
access to a wealth of environmental information. The result ___ =------^- -_ --/.
is a collection of facility-level profiles that provide
information on compliance and inspection histories,
chemical releases and spills, demographic characteristics of
surrounding areas, and facility production trends.
For environmental statutes, our traditional databases on
permits and enforcement actions provide compliance rate
data. In FY99, we enhanced (lie Clean Air Act database, (he Air Facility
Subsystem (AFS) of the Aerometric Information Retrieval System (AIRS), to
better identify high-priority violations. We also improved DOCKET, the official
EPA database for tracking and reporting information on federal civil judicial and
administrative enforcement cases under all environmental statutes.
Enhancements to DOCKET resulted in added information on self-audits
conducted by facilities and improved quality of information on en forcement action
outcomes. In addition to these efforts, we made various improvements to 12
other national enforcement and compliance data systems and responded to over
1,000 user support requests relating to enforcement and compliance data systems.
COMPLIANCE MUNITORINE
23
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3.B. the
Federal laws that protect our environment are
of little value unless they arc fairly and
effectively enforced. EPA's program serves
important values through enforcement actions
that reduce pollution, uphold the public's right
to know, benefit local counties through
supplemental environmental projects, and
promote efficient resolution of serious violations. Last but not least, enforcement
establishes the "bottom line" for the entire regulated community by reassuring
those who spend lime and money to comply with the law that they won't be
undercut by unscrupulous competitors. This deterrent effect is critical to
motivating respect, for environmental laws.
EPA has broad authority to investigate instances of noncompliance, and most
federal environmental laws make a range of enforcement responses available.
The type of response is tailored to (lie seriousness and circumstances of the
violation. For minor, short-term violations, particularly those that are quickly
corrected and have caused no harm, an informal response, such as a phone call or
letter, may be appropriate. EPA gives priority to taking enforcement actions that
reduce the greatest risks to human health or the environment and produce
maximum environmental benefit.
Our enforcement program also acts swiftly to address conditions that may present
an imminent and substantial endangerment to human health or the environment.
We have the authority under most major environmental laws to commence a civil
case in federal court [in coordination with the Department of Justice (DOJ)] or
issue an administrative order in situations where there may be a threat of
imminent and substantial endangerment to human health or the environment.
In FY99, our civil enforcement, program continued to improve its effectiveness:
« Deter violations by recovering economic benefit. EPA seeks to
recover the economic benefit a violator gains by not complying with the
environmental requirements. For example, if a facility postponed the building
or operating of a required pollution control system, the penalty would include
any financial gain the facility realized from the postponement.
24
ENPORCEMENT
-------
environmental results. EPA has been measuring the impact of
enforcement actions through estimating their pollutant, reductions and other
benefits achieved since the formation of OECA in 1994.
Encourage supplemental environmental
projects (SEPs). To obtain the greatest possible
environmental benefits, we reduce penalties in
exchange for pollution prevention or control projects
that go beyond minimum legal requirements. These
SEPs often return tangible benefits to local communities in the form of
wetlands enhancement, reduced levels of lead or other contaminants, and
better response to emergencies.
Develop and implement fair and consistent enforcement policies that deter
noncompliance and require the timely correction of violations.
Provide notice to the regulated community and public of the most serious
violations and how to avoid them.
For the Superfund and oil spill programs, recover the government's costs for
environmental response actions and implement the site remediation
provisions of the laws.
Environmental results achieved in FY99 are discussed in Part 2.
(see pages 4-15).
The following are examples of FY99 enforcement actions that led to environmental
improvements in large part by addressing high-risk violations that arc priority areas
for the enforcement and compliance assurance program.
• Cleaning Up Our Air. In the largest settlcmcn t in Clean Air Act (C A A)
enforcement history, seven heavy-duty diesel engine manufacturers will spend
more than $ 1 billion to settle charges that they illegally released millions of tons
of nitrous oxide (NOx) pollution into the air. The settlement resolved charges
that these companies violated the CAA by selling an estimated 1.3 million
engines equipped with "defeat devices" — software that allowed engines to
meet EPA emission standards during testing but disabled the emission control
system during normal highway driving. As part of the settlement, the
companies will pay an S83.4 million civil penalty, the largest in environmental
enforcement history, and undertake SEPs costing $109.5 million to lower NOx
emissions.
This yesr EPA
75 million tons of
hsrmful nitrogen oxide
emissions from entering
the by the
year 2025.
ENFORCEMENT
25
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Over the next 10 years,
this will
124
gallons of sewage/
storm water
each year from
combined sewer
overflows.
Curbing Air Pollution Through the Coal-Fired
Power Plant Enforcement Initiative. This
initiative, primarily targeted at coal-fired power
plants, refineries, and pulp/paper companies, is part
of a larger enforcement priority to address CAA
violations of New Source Review (NSR) and Prevention of Significant
Deterioration (PSD) requirements. At issue with the power plants is the
definition of "routine maintenance." EPA maintains that 50-year-old power
generating facilities have undergone major updates that increase their
capacity and emissions, necessitating required permits and controls. The
companies maintain that these actions were routine maintenance that do not
rise to the level of '"modifications" for which permits and controls are
recpired. With DOJ, we have filed enforcement actions against eight power
companies involving 32 different, facilities located in 10 different states
(Alabama, Florida, Georgia, Illinois, Indiana, Kentucky, Mississippi, Ohio,
Tennessee, and West Virginia). One of these companies is the Tennessee
Valley Authority, a federally owned utility.
Using Innovative Efforts to Protect New
Hampshire's Merrimack River. An innovative
agreement between EPA, the City of Manchester,
and the New Hampshire Department of
Environmental Services will address the city's long-
standing combined sewer overflow problem, which results in millions of
gallons of sewage/storm water being discharged into the Merrimack River
each year and subsequent frequent violations of water quality standards for
bacteria. The agreement, which includes a 10-year, $52.4 million plan to
remove the majority of sewer overflows into the river, also includes
environmental and public health projects, such as storm water management,
erosion control, restoration of urban ponds, environmental education, wetlands
protection, and a $500,000 program to reduce childhood asthma and lead
poisoning.
Reducing Air Pollution From the Petroleum Refinery Sector. Since
1996, the petroleum refining sector has been a priority because of
the magnitude of its air pollution problems and its continued high
record of significant noncompliance. While there are relatively few
facilities (158 petroleum refineries), each tends to be large, handling
on average over 100,000 barrels of crude oil per day. The vast
majority of refinery onsite Toxics Release Inventory (TRI) releases
are air emissions (>75%). In a comparison to 492 other industry
categories included in EPA's AIRS database, this sector ranked
first in emissions of volatile organic compounds (VOCs), second for
sulfur dioxide, third in nitrogen dioxide emissions, fourth for PM10,
and sixth for carbon monoxide. TRI releases reported averaged
502,403 pounds released per facility, and over 84 million pounds for
the sector as a whole.
26
ENFORCEMENT
-------
As part of a more strategic approach to correcting pollution problems in the
petroleum refining industry. EPA continues to shift from inspections towards
more targeted, and more resource-intensive investigations, focusing on air
pollution problems and new Resource Conservation and Recovery Act
(RCR A) requirements. As a result of the initial investigations, the number of
civil cases referred to the Department of Justice has increased in FY99.
Additionally, as a result, of the investigations initiated in FY98 and FY99,
indications are that the numbers and environmental significance of referrals will
continue to increase in FY2000.
In FY99, there were 623 inspections at petroleum refineries, 8 referrals, 2
administrative penalty orders, and S 10.7 million in assessed penalties.
Additional enforcement data are shown in exhibit 26.
Exhibit 24. FY97-99 Federal Enforcement Data for Petroleum Refineries
Injunetive relief (value of activities
to return company to compliance)
Number of compliance actions
required
Number of SEPs
(Value)
$8.1 million
38
7
($2.7 million)
$6.6 million
28
8
($14.8 million)
$4.4 million
5
2
($11.1 million)
Limiting Destruction of Wetlands, Creeks, and Streams. A
misapplication by developers of a 1998 court ruling ("Tulloch"
decision) is accelerating wetlands loss. This missapplication may
be due to an overly broad reading of the decision. As a result
some developers may be accelerating wetland loss through illegal
discharges. Estimates from just June 1998 to March 1999
indicate nearly 30,000 acres of precious wetlands across the
nation have been ditched, drained, or channelized. In light of this rapid, large-
scale destruction of wetlands, creeks, and streams, EPA has been increasing
enforcement of Section 404 and other Clean Water Act (CWA) requirements
(especially those relating to storm water) in an attempt to limit these losses.
Under the 1998 "Tulloch" decision, the B.C. Circuit Court found that EPA
and U.S. Army Corps of Engineers, by asserting jurisdiction over "any"
redeposit of dredged material, had exceeded their statutory authority under
the CWA. Despite this decision, the D.C Circuit Court acknowledged that
some redeposits of dredged materials into waters of the U.S. still constitute a
discharge of dredged material and, therefore, require a permit. Such
ENFORCEMENT
-------
FMC's SEP will reduce
approximately 436
of
.waiter per year in
emissions of dust and
soot at the facility.
rcdcposits may include mechanized land clearing, sloppy disposal practices
alongside a ditch, removal from a streambed, and redeposit after mineral
extraction.
Removing Threats from Hazardous Wastes and Toxic Gases. The FMC
Corporation, Inc. (FMC) will spend a total of approximately $170 million to
settle charges that it. repeatedly violated the hazardous waste law at its
phosphorus production facility in Pocatello, Idaho. The charges against FMC
involved mismanagement of ignitable and reactive phosphorus wastes in
surface ponds. The pond sediments burn vigorously and persistently when
exposed to the air, and the wastes in these ponds generate phosphine and
hydrogen cyanide, highly toxic gases mat can cause serious health and
environmental problems. It is also believed that migratory bird deaths in the
area may be attributable to phosphine poisoning.
FMC will close previously used surface ponds and construct a $40 million
waste treatment plant to deactivate the phosphorus-bearing wastes. Costs
associated with all the injunctive relief required under the settlement are
expected to exceed $90 million. FMC also has committed to over a dozen
SEPs with a capital cost of S63 million, which will significantly improve air
quality in the Pocatello region. As a final SEP, FMC will conduct a $1.65
million public health assessment and education program to
investigate the effects of contaminants generated by FMC
on human health and the environment, particularly within
nearby tribal lands.
Reducing Risks of Contaminants in Drinking Water.
In FY99, a consent decree was entered requiring filtration
of New York City's Croton Water Supply to reduce the risk
of cryptosporidium and other contaminants for the nearly one million residents
it serves, including the elderly and young. Required under the Safe Drinking
Water Act, filtering drinking water substantially reduces the risk of
waterborne disease in surface water systems, which are more susceptible to
potential contamination from human and animal wastes and frommicrobial
contaminants.
In this decree, the city agreed to filter the Croton Water Supply, completing
the filtration plant by March 1,2007. The decree also provides for $5 million
in SEPs and $ 1. million in cash penalties. New York City will monitor the
quality and safety of its Croton Water Supply until the filtration system is in
full operation, and will implement watershed protection measures, including
purchasing land and replacing faulty septic tanks with sewers and preventing
storm water runoff from contaminating the watershed.
2B
ENFORCEMENT
-------
Repairing Damage from Mine Contamination. The Atlantic
Richfield Company (ARCO) will spend $260 million — including a $ 1.8 million
penalty — to clean up and restore natural resource damages caused by mine
waste contamination in the Clark Fork River Basin. As part of the two
settlements reached with the State of Montana and the Confederated Salish
and Kootenai Tribes of the Flalhead Nation, ARCO will pay S80 million for
the cleanup of the Silver Bow Creek and $20 million to restore wetlands, bull
trout habitat, and other natural resources. ARCO has committed to perform
additional restoration to create, restore, or enhance 400 acres of wetlands,
primarily in the Anaconda area, which is estimated to cost $3.4 million.
Stopping Water Pollution. On July 21,1999, Royal Caribbean Cruises
Lines, Ltd., pled guilty to 21 violations of federal law and was fined $ 18 million
for violating the CWA and the Oil Pollution Act (OPA) by dumping waste oil
and hazardous chemicals into the ocean and for making false statements to
the U.S. Coast Guard. Royal Caribbean will institute a five-year
environmental compliance plan.
Reducing Threats from Lead Contamination. On December 4,1998,
Burlington Northern Santa Fe Railroad Company (BNSF) pleaded guilty and
was sentenced for criminal violations of the CWA and the Comprehensive
Environmental Response, Compensation, and Liability Act (CERCLA).
These violations stemmed fromrailcar cleaning operations that resulted in the
unpermitted discharge of lead cyanide into waters of the United States and the
significant accumulation (approximately 40,000 tons) of lead-contaminated
materials at the site. Lead is a highly toxic chemical element that is a known
cause of significant neurological and bone diseases. BNSF was ordered to
pay a fine and restitution of $10 million and spend another $9 million for site
remediation.
In FY99, impressive results were achieved by the Superfund enforcement
program, including:
« Securing Potentially Responsible Party (PRP) Commitments. In FY99,
the Superfund enforcement program secured PRP commitments exceeding
$780 million, including settlements for more than $550 million in future
response work and settlements for over $230 million in past costs. Since
Superfund's inception in 1980, the total value of private party commitments
(future and past) is approximately $16.2 billion ($13.5 billion in response
settlements and $2.7 billion in cost recovery settlements).
ENFORCEMENT
-------
Spurring PRP Actions. In FY99, PRPs initiated over 80% of the remedial
work at National Priority List (NPL) sites. PRP commitments for remedial
design/remedial action response work exceeded $438 million. Remedial
response settlements included 33 consent decrees referred to DOJ, 17
unilateral administrative orders (UAOs) with PRP compliance, and 3 other
administrative orders on consent (AOCs) or consent agreements for response
work.
Promoting Enforcement Fairness. To promote enforcement fairness and
resolve small party contributor's potential liability under Section 122(g) of
CERCLA, the Superfund enforcement program concluded 38 de tninimis
settlements with over 3,700 parties in FY99. Through the end of FY99, HPA
has achieved over 430 settlements with more than 21,000 small volume waste
contributors.
Promoting Redevelopment of Contaminated Properties. We have
sought to protect prospective purchasers, lenders, and property owners from
Superfund liability through prospective purchaser agreements. With these
agreements, bona fide prospective purchasers were not held responsible for
cleaning up sites where they did not contribute to or worsen contamination.
In FY99, 24 prospective purchaser agreements were signed, bringing the total
to over 100 agreements reached to date.
Offering Orphan Shares. Over the past four years, we have offered to
compensate viable settling parties approximately $175 million at 98 sites in
recognition of the shares attributable to insolvent and defunct parties (i.e.,
"the orphan share"). In most cases where orphan shares were offered,
settlement was reached with the viable parties.
Achieving Cost Recovery Settlements. EPA achieved a total of 236 cost
recovery settlements estimated at over $230 million and collected over $320
million in past costs. To date, the program has achieved approximately S2.7
billion in cost recovery settlements and collected over $2.4 billion in past
costs.
Issuing Administrative Orders. EPA signed a total of 166 AOCs, and
issued 52 UAOs at CERCLA sites. In addition, the Agency resolved or
referred 245 costs recovery cases. Of these cost recovery actions, there
were 71 CERCLA §107 referrals to DOJ, 36 administrative settlements, 40
consent decrees, 7 bankruptcy referrals, and 91 decision documents to write-
off past costs.
3D
ENFORCEMENT
-------
3.C.
Environmental regulations can be
complex, and companies, particularly
small businesses, sometimes need
assistance to help them comply. The
key, as illustrated by EPA's compliance
assistance activities in FY99, is to get the
information on environmental
requirements into the hands of all
businesses—small, medium, and large—who want to comply.
In FY99, EPA continued to promote the regulated community's compliance with
environmental requirements through our compliance assistance programs. EPA's
collective compliance assistance efforts (on-site visits; compliance assistance
hotlines; workshops/training and presentations at meetings; distribution of
compliance assistance tools such as compliance checklists and guides) in EY99
reached 333,118 regulated entities4. As shown in exhibit 24, these regulated
entities were reached through compliance assistance focused on industry sectors
(42%) or specific statutory requirements (58%).
A majority of our compliance assistance efforts involved the distribution of
compliance assistance tools (87% of entities reached) followed by workshops
(10.5% of entities reached). Within the sector areas for which compliance
assistance information is tracked, auto service and repair facilities received the
highest amount of assistance (34%), followed by federal facilities (5.6%). Most
of our statute-based compliance assistance was focused on the Emergency
Planning and Community Right-to-Know Act (HPCRA) (71.9%) and the Clean
Air Act (CAA) programs (13.7%).
In FY99, we continued to increase our role as a "wholesaler" of compliance
assistance information. This wholesaler approach was described in EPA's 1999
Exhibit 25. FY99 Compliance Assistance National Totals
(Percentage of Entities Reached)
Assistance about Statutory
Requirements (58%)
* 17 different sectors reached
Based on 333,118 regulated entities reached
Assistance for Specific
Industry Sectors* (42%)
COMPLIANCE ASSISTANCE
3 1
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Action Plan for Innovation (EPA 300-K.-99-003). As a wholesaler, EPA will
advance the practice of compliance assistance by developing tools and materials
in a timely manner and then work with a network of state, tribal, and local
Exhibit 26. Trend in Compliance
Levels for the Auto Service and
Repair Industry
0-25% 26-50% 51-65% 66-80%
Compliance Level
compliance and technical assistance providers who deliver the
assistance directly to the regulated community.
As one example of our wholesaler approach, we launched an
ambitious effort to develop a compliance assistance "clearinghouse"
in FY99. The clearinghouse will be a nationally accessible and
searchable Web site that will give users access (via Web links) to
compliance assistance tools and materials developed by EPA, states,
trade associations, and other assistance providers. We hope to have
the clearinghouse operational by September 2000.
As explained on page 12, EPA operated nine sector-based Compliance
Assistance Centers designed to help small businesses and small governmental
entities understand and comply with their regulatory obligations in FY99. Three
of these Centers received awards:
• CCAR-Greenlink® — the automotive
service and repair center — has been
selected to receive a Vision 2000 Model
for Excellence Award by the Office of
Small Business Advocacy for its work
with '"regulations that work for small
business";
• ChemAlliance — the chemical
manufacturers center — has been listed by the Dow Jones Business
Directory as a "select site"; and
• The National Agriculture Compliance Assistance Center (Ag Center) has
been selected by the editors of @gOnline, Successful Farming's online
magazine, as a "high-ranking site."
In EY99, Headquarters continued its partnership with the Coordinating Committee
for Automotive Repair (CCAR) in operating the GreeriLwk® compliance center.
The Center completed a second national survey of automotive shops around the
nation, measuring the level of compliance at each shop. This compliance level
(reported as a percentage) is based on the total number of activities identified as
positive or correct divided by the total number of shop activities. The results of
the survey indicate that compliance assistance activities can improve the level of
compliance. This is the first time that a statistical study was done to measure the
overall compliance of a sector's activities.
32
COMPLIANCE ASSISTANCE
-------
New survey statistics from CCAR-Greenlink®, presented in exhibit 26, show that
compliance assistance projects are having a profound effect on the auto service
and repair industry's level of compliance. This survey of 400 shops, compared to
the 1997 baseline survey, indicates the level of compliance (as described above)
improved. In FY99,56% of the industry achieved a high level of compliance
(defined here as compliance with 81-95% of requirements or with 96-100% of
requirement) as compared to 26%) in 1997, which is a two-fold improvement.
CCAR-Greenlink® has also become an important compliance tool that many auto
shops now rely on, with users increasing from 1.000 shops in FY97 to 21,000
shops in FY99.
1-888-GRN-LINK (476-5465)
http://www.ee ar-greenlink.org
ChemAUiance
1-800-672-6048
http://www.chemalliance.org
Local Government
Environmental Assistance
(LGEAN)
1-877-TO-LGEAN (865-4326)
http://www.lgean.org
National Agriculture Compliance
Assistance Center
1-888-663-2155
http://www.epa.gov/oeca/ag
National Metal Finishing Resource
1-800-AT-NMFRC (286-6372)
http://www.nmlrc.org
Coatings Resource Center
http://www.painlcenter.org
http://www.pwbrc.org
Printers' National
Environmental Assistance
Center (PNE.AC)
1-888-USPNHAC (877-6322)
http://www.piieac.org
http://www.transource.org
In addition to these Centers, EPA continued to develop a wide variety of
compliance assistance materials to promote compliance with environmental laws
on an industry-by-industry basis. In FY99, we completed 10 sector guides and
more than 30 other outreach documents for industries. These materials included:
• Understanding Sectors. We added three new sector notebooks covering
the oil and gas extraction industry, the aerospace industry, and local
government operations, bringing our total portfolio to thirty sector notebooks.
Each notebook contains important sector information that help facilities
recognize and resolve compliance problems, applicable federal regulations,
compliance history, profiles of chemical releases, and pollution prevention
opportunities. To date, over 450,000 notebooks have been distributed, and
they remain one of EPA's most popular products. To view EPA's sector
notebooks, visit http://www.epa.gov/oeca/sector,
• Helping with Audit Protocols. We developed four environmental audit
protocol manuals to assist the regulated community in conducting
COMPLIANCE ASSISTANCE
33
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environmental audits. The audit protocols cover
EPCRA, the Resource Conservation and
Recovery Act (RCRA) and the Comprehensive
Environmental Response, Compensation and
Liability Act (CERCLA). To date, EPA has
distributed approximately 7,500 audit protocols to k
industry and regulators. These audit protocols are available on the Internet at
http://es.epa.gov/oeca/ccsmd/profile.htmlttaudit.
Consolidating Environmental Resources for Tribes. We developed a
guidebook, the "Environmental Management Resources for Indian Tribes,"
which includes over 170 environmental resources specifically available to
tribes for developing and strengthening their environmental programs. It also
helps public sector entities understand their responsibilities, both as co-
regulators and as regulated entities.
In addition to these compliance assistance materials, EPA successfully conducted
many compliance assistance and outreach activities in EY99. These are
described below.
Promoting Compliance with Environmental Management Reviews
Environmental Management Reviews (EMRs) focus on the system of policies
and procedures a facility consistently uses to address environmental issues
and maintain compliance with environmental regulations. In EY99, we
conducted 22 on-site EMRs at federal facilities, specifically examining each
facility's structure, environmental commitment, internal and external
communications, formality of environmental programs, staff training and
development, program evaluation and reporting, and environmental planning
and risk management. Information from these reviews allowed us to identify
common strengths and areas of improvement needed in Environmental
Management Systems (EMSs) at federal facilities.
Improving Environmental Practices of Printers
In EY99, EPA's New England Region, Region 1, sent
its Fit To Print compliance assistance guide to over
1,400 printers. Of those responding to an evaluation of
the guide, 70% said that they had undertaken improved
environmental practices (e.g., equipment changes/
modifications, material, substitution, recycling, training,
institution of environmental management policies or procedures, improved
disposal methods) as a result of the guide. These facilities also said they
applied for appropriate permits or identification numbers or filed reports to
comply with federal, state, or local environmental regulations.
34
CdMPLIANCE ASSISTANCE
-------
Improving the Environment by Assisting Auto Service and Repair
Shops
Region 1's New England Environmental Assistance Team surveyed over
14,000 recipients of their auto service and repair assistance. Of those
responding, 76% said they improved environmental practices as a result of the
assistance they received.
Reaching Out to Dry Cleaners in Perchloroethylene Reductions
EPA's Northeast Region, Region 2, in coordination
with New York State agencies, focused compliance
assistance efforts on dry cleaners in New York and
New Jersey. Their outreach efforts included on-sitc
visits; distribution of easy-to-understand guides to
Clean Air Act requirements; development of a Web
site for compliance assistance information; and eight seminars on equipment
maintenance and new technologies conducted for approximately 500 owners/
operators.
Increasing EPCRA Compliance Among Plating and Coating
Sectors
For its Metal Finisher Initiative, EPA's Great Lakes Region, Region 5, gave
over 3,500 facilities EPCRA fact sheets, special color-coded Emergency and
Hazardous Chemical Inventory forms, and a copy of the Extremely Hazardous
Substance List to help them determine whether they needed to comply. In
working with its state partners, the region brought 252 of its 4,800 metal
plating and coating facilities into compliance with EPCRA.
Consolidating Compliance Information for Storm
Water Permit Holders
Region 6, EPA's Southwestern Region, delivered
compliance help to 1,300 state, municipal, private and
federal storm water permit holders, by: (1) creating a Web
site which contains comprehensive storm water guidance,
permit information, regulations, databases, and contacts; (2)
speaking at conference and trade association meetings; and (3) mailing 6,000
assistance letters to the construction industry.
Increasing Compliance Through Seminars
Region 6 held a series of seminars for the
industries on the Texas/Mexico Border, as well as
for maritime industries. As a result, 95% of
evaluated survey respondents (total of 20
respondents) felt they were more aware and knowledgeable about
environmental requirements and opportunities'. 50% implemented procedures
to improve environmental practices; and 35%' reduced wastes.
COMPLIANCE ASSISTANCE
35
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Improving Practices Through Workshops
In FY99, EPA's Region 7 office in Kansas City offered a series of EPCRA/
Toxic Release Inventory (TRI) workshops. When evaluated. 58% of the 132
respondents felt the workshops helped them to determine if their facility was
subject to reporting requirements of EPCRA; and 52% believed the workshop
information helped them to improve their records management and their
completion of the TRI Form R.
h NETI
mgc
The National Enforcement Training Institute
(NETI) and its partners trained 8,421
environmental enforcement professionals in
FY99. Training state, local, and tribal personnel
remained a strong focus of NETI's efforts, as
4,767 students (57%') were trained from these
organizations. A total of 3,334 federal
employees received training (40%), and
international and other students numbered 320 (3%'). NETI and its partners offered at least 86
different courses and 262 presentations in FY99. One partner, the Criminal Investigation Division,
provided training and community outreach presentations to more than 10,800 persons nationwide in
FY99. The four Regional Environmental Enforcement Associations and the National Association
of Attorneys General also received EPA funding to support their training efforts.
NETI debuted a new type of training course this year, '"Enforcement Teamwork: Regulations to
Resolutions," which provides an overview of the basic procedures and issues surrounding all
aspects of the enforcement program, focusing on teamwork, case development, field work, and
case resolutions. To strengthen the teamwork concept, this week-long course was designed for a
residential setting. Twenty-five federal, state and local government employees attended the pilot
course, which was held at the U.S. Fish and Wildlife Service's National Conservation Training
Center in Shepherdstown, WV.
In addition, the Environmental Enforcement Curricula were released this year. NETI developed
curricula for five major categories of environmental enforcement professionals — attorneys,
technical experts, inspectors, civil investigators, and criminal investigators. The curricula were
developed as a tool for NETI to use in assessing training needs and should also be useful to
environmental professionals who are in the process of developing their own career development
plans. These curricula provide suggested skills and training for federal, state, local, and tribal
employees. The curriculum describes each discipline generally, identifies other position
requirements, if any, and lists the knowledge, skills, and abilities necessary to achieve competency
in that discipline. The complete curricula are available via the Internet at http://www.epa.gov/
oeca/neti.
36
COMPLIANCE ASSISTANCE
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3.D. Into
EPA developed the Audit Policy
[Incentives for Self-Policing:
Discovery, Disclosure, Correction and
Prevention of Violations, 60 Fed. Reg. 66706 (Dec. 22, 1995}] to encourage
voluntary auditing and self-disclosure of environmental violations and to provide a
uniform enforcement response toward such disclosures. The Audit Policy
provides incentives for companies to develop environmental audit and compliance
management, systems to detect, disclose, and correct environmental violations.
When companies voluntarily discover and promptly disclose environmental
violations to us (and meet other specified conditions of the policy), we will waive
or substantially reduce gravity-based civil penalties by 75% or, in most, cases, by
100%. For those meeting the policy's conditions, where applicable, we will not
recommend the companies for criminal prosecution.
Disclosure activity has increased every year since the effective date of the policy.
In FY99, EPA obtained self-disclosures under the Audit Policy from 260
companies reporting violations in approximately 1.000 of their facilities (see exhibit
20). A total of 700 of these disclosures resulted from targeted self-audit initiatives.
Some of these companies arc large multi-state corporations like GTE and American
Airlines.
Use of corporate-wide auditing agreements is expanding. During the past 18
months, EPA has negotiated corporate-wide auditing agrecmcn ts wi th companies to
audit and correct violations of Clean Air Act. (CA A), New Source Review (NSR)
Standards at 40 facilities (see sidebar "Making the Air Cleaner Through a Voluntary
Agreement"); emergency notification and spill prcven don requircmcn ts at 17
telecommunication companies; CAA federal fuel standards at a major airline; and
Toxic Substances Control Act (TSCA) violations at two major chemical
companies.
INCENTIVES
-------
Corporate-wide auditing agreements are designed to
address potentially high-volume disclosures and to
provide the efficiency of a sole mechanism for
analysis and settlement of similar or voluminous
violations. These agreements are optimal for
companies with facilities located in more than one
HPA region to ensure that disclosures arc processed
on the same schedule and with one point of contact.
We require that an auditing agreement be in writing and mat the facilities to be
audited are identified. Based on the breadth and complexity of the audit, EPA
and the company can reach mutually acceptable terms regarding schedules for
audit commencement and completion and disclosure and correction of violations.
Additionally, the company and EPA can define, in advance, economic benefit for
certain violation types (where applicable) and violations ineligible for relief. Such
definitions provide advanced knowledge of potential statutory
penalties for specific violation types.
For companies, corporate-wide auditing agreements provide the
opportunity to evaluate corporate practices and environmental
compliance without the stigma of an enforcement action, and
removes die uncertainty and cost of litigation, attorneys' fees and
sanctions for violations. An agreement provides companies with
assurance that, violations disclosed over an extended schedule will
meet EPA's expectations for timely disclosure. This approach also
can provide an opportunity for companies to design and implement
practices that, incorporate environmental compliance into corporate
operations. Corporate auditing agreements provide EPA with an
efficient and economical means of improving and ensuring
en vironmen tal compliance.
EPA understands that, as with most enforcement, actions,
confidentiality is important to companies. When we enter into
settlement discussions or a settlement agreement with a company as
a result, of an audit disclosure, we protect information disclosed by
the company as set forth in our "Confidentiality and Information
Received Under Agency's Self-Disclosure Policy" (1997).
Companies interested in an auditing agreement, should contact the
EPA regional office in which their facilities are located or, in the
case of multi-regional facilities, contact the EPA Office of
Regulatory Enforcement.
3B
INCENTIVES
-------
The following examples illustrate the success of recent corporate-wide auditing
agreements and programs and show how such agreements can be tailored to
meet the needs of companies in specific auditing situations.
Eliminating Air Pollution Through the
American Airlines Audit Settlement
In FY99, an audit settlement agreement
between EPA and American Airlines (AMR
Corporation) resolved violations discovered
through a corporate audit of the company's
facilities at 152 airports. Based on the audit,
American Airlines reported numerous violations, occurring from October 1993 to
July 1998, of federal diesel fuel regulations dial: prohibit the use of high-sulfur fuel
in motor vehicles. Under the terms of the settlement, EPA cut total penalties by
more than 90% for violations that the airline voluntarily disclosed and promptly
corrected. The company also agreed to additional pollution reduction measures at.
Boston's Logan airport.
Reducing Environmental Threats from Industry-
wide Problems: An Agreement with the
Telecommunications Industry
£ In 1998, EPA reached a settlement under the Audit
~^. fjjj: Policy with GTE Corporation, resolving 600 violations of
emergency notification and spill prevention requirements
at 314 sites. As a result, of this action, EPA contacted
members of the telecommunications industry to heighten awareness of potential
environmental requirements and die cost effective approach of using the Audit
Policy. Response to our initial outreach efforts and subsequent self-disclosures
indicated that GTE's compliance problems were indicative of an industry-wide
problem. In FY99, EPA reached final settlements with 10 telecommunications
companies that voluntarily disclosed and promptly corrected 1,300 environmental
violations that occurred at more than 400 of their facilities nationwide. EPA
waived over $4.2 million in gravity based penalties and collected $ 128,772
representing economic benefit gained from delayed compliance. The settlement
included remedial actions for violations of EPCRA and/or CWA Spill Prevention
Control and Countermcasures (SPCC) requirements to (1) properly notify local
emergency planning committees of the presence of hazardous chemicals, and (2)
prepare spill prevention plans to not only reduce die risk of environmental
accidents, but also protect the safety of the personnel who respond if an accident
occurs.
corporate-wide
audit sgreemen is,
companies corrected
more 2,000
violations of
emergency notification
and spill
in FY99.
INCENTIVES
-------
This
program provides an
incentive for pork
to the
initiative to find and
correct Clean Water Act
violations and prevent
to
waterways.
Reducing Toxic Through Voluntary Corporate Auditing
Agreements
During FY99, our Toxics and Pesticides Enforcement Division negotiated and
entered into corporate-wide auditing agreements with Iwo major chemical
companies. These companies agreed to conduct a voluntary TSCA compliance
review, thereby establishing the first pre-negotiated audit agreements in the
absence of a civil action consent agreement with EPA. The agreements allow
the companies to self-audit and promptly disclose and correct violations with the
certainty of receiving 100% penalty mitigation — or a negotiated stipulated
penalty amount.
Reducing Water Pollution Through
Compliance Audit Agreements with Pork
Producers
Anima} waste runoff from animal feeding
operations is a major source of water pollution
that can cause environmental and public health
threats. In FY99, as part of President Clinton's Clean Water Action Plan to
eliminate water pollution caused by contaminated runoff, EPA and the National
Pork .Producers Council developed a voluntary compliance audit program (CAP)
to reduce these threats to waterways from pork-producing operations. Under this
initiative, participating pork producers will have their operations voluntarily
assessed for violations by certified independent inspectors. Producers who
promptly disclose and correct any discovered violations from these audits will
receive a much smaller civil penalty than they might otherwise be liable for under
the law. The CAP, while providing an incentive for pork producers to find and
correct CWA violations, does not compromise the ability of EPA or states to
enforce the law.
Encouraging Compliance Through an Incentive Program
In FY99, EPA conducted a compliance incentive program aimed at encouraging
the industrial organic chemical sector to take advantage of our Audit Policy and
directing interested facilities to resources that may assist them in performing
environmental audits. Approximately 1,000 facilities were invited to participate in
the program in 1998. To participate, facilities were given 6 months to
perform voluntary environmental audits of their operations, identify
potential areas of noncompliance uncovered by the audit, and report
these findings. In letters sent to the facilities, EPA explained that
while the Audit. Policy usually requires disclosure of violations within
10 days of discovery, disclosure in the 6-month period ending
January 31,1999, would be considered prompt under the incentive
program. After the deadline, EPA and authorized states increased
inspections in the sector.
4D
INCENTIVES
-------
Under the incentive program, 19 companies disclosed violations at 51 different
facilities. At 32 of these facilities, violations were identified under more than one
media program. Ten companies disclosed violations at several of their plants.
Due to the complexity of these multimedia, multi-regional disclosures, BPA is still
working to resolve many of the disclosures received.
Voluntary Audit and Disclosure of TSCA Section 12(b) Export
Notifications Initiative
In FY99, EPA launched the Voluntary Audit and Disclosure of TSCA Section
12(b) Export Notifications Initiative developed for chemical manufacturers thai
export chemicals regulated by TSCA. TSCA Section 12(b) export notices alert
foreign governments receiving imported chemicals from the United States of
hazardous chemical substances or mixtures for which EPA has issued
regulations. The notices generally inform the receiving country that EPA has
issued a rule requiring testing of a particular chemical substance, or for which
EPA has promulgated a regulation of a certain hazardous chemical substance,
such as PCBs.
EPA, working in partnership with the Chemical Specialties Manufacturers
Association and the Chemical Manufacturers Association, notified companies
with no prior enforcement history of chemical export notifications under TSCA
Section 12(b) that they were allowed to send EPA a notice of intent to audit for
Section 12(b) violations. If companies audited and corrected their Section I2(b)
violations by September 1,1999, EPA would issue a Notice of Noncompliance in
lieu of a civil penalty. Eighty companies submitted their intention to audit, and
EPA issued 43 Notice of Noncompliance. Through their audits, the participating
companies discovered 9,510 recent violations of exporting a toxic chemical
without notifying EPA.
INCENTIVES I 4 1
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Appendix A:
Priority Industry Sectors
-------
A sector-based approach allows EPA to think broadly about the nature of the
compliance problems facing a particular industry, and to address those problems
with the appropriate tool or mix of tools.
Profile
The automotive service and repair sector comprises the largest number of
conditionally exempt and small quantity generators of any industrial/
commercial sector. The types of pollutants, as well as the widespread
location and sheer numbers of these shops, led EPA to designate this sector
as a priority in FY96.
Key Activities and Accomplishments
Compliance Assistance: In FY99, EPA reached 17,662 shop owners and
managers using a variety of vehicles such as meetings and training, fact
sheets, and on-sitc visits. In particular, several of the regional offices worked
with various state, industry and educational institutions to contact automotive
shop owners and managers, often targeting specific groups. For example,
Region 1 focused on the automotive collision and body shop sector and
worked with owners and managers to reduce volatile organic emissions.
Region 2 worked with the Greater New York New Car Dealers Association
to assist its members in understanding environmental regulations as they
pertain to their shops. Region 4, the State of Georgia, and Georgia Tech
completed outreach activities to rural automotive repair shops (see specifics on
page 15).
Inspections and Enforcement: Over the past three years, regions and
states have focused inspection and enforcement efforts on
chlorofluorocarhon (CFC) and reformulated gas emissions, hazardous waste,
underground storage tanks, and underground injection control Class V wells. In
FY99,1,749 inspections were conducted and 283 final orders were entered for a
total assessed federal penalty of $883,431.
Strategic Approach: EPA estimates that approximately 500,000 shops service
or repair automobiles and light trucks. While the industry is not subject to difficult
technical requirements, the challenge has been getting shop owners to understand
their responsibilities. Therefore, we work to provide compliance information to
the shop owners through various communications channels so they can
understand the basic requirements. Once this is achieved, shop owners are then
provided with additional information identifying several compliance assistance
providers within their state who can assist them with learning about how their
state environmental programs operate.
\PRIORITY INDUSTRY SECTORS I A-1
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Profile
This sector, which consists of approximately 466 facilities, generates
the most electricity in the utility industry, accounting for more than
75 percent of the net generation for fossil fuel energy sources.
Compliance Status: Since 1997, approximately 70% of coal-fired
power plants have been inspected annually for compliance with either
air, water, or hazardous waste laws. A total of 423 inspections were
conducted in FY99. The number of facilities regulated under the
Clean Air Act (CAA) in significant noncompliance (SNC) declined
from 59 to 38 in the past year, while those under Clean Water Act
(CWA) rose from 31 to 37. New facilities identified during FY99 as
being in SNC included 15 (for CAA) and 46 (for CWA).
EPA made 17 civil referrals of coal-fired power plants in FY99, an increase of 13
from the previous year. Most referrals were violations of Prevention of Significant
Deterioration (PSD), New Source Performance Standards (NSPS), State
Implementation Plans (SIPs), and other CAA regulations. All 17 sources in the
referrals are located in Regions 3,4, and 5. EPA initialed 13 administrative penalty
order (APO) complaints and collected approximately $250 thousand in penalties for
FY99. Settlements with coal-fired power plants in general generated $1.7 million
in penalties during FY99. Since 1997,73 civil actions (19 for FY99) have been
settled in the sector, totaling more than $2.1 million in civil judicial and
administrative penalties. Activities to return facilities to compliance were valued at
$224.5 million with another $4.7 million invested in supplemental environmental
projects (SEPs).
Key and Accomplishments
Inspections and Enforcement: For the past two years, EPA Headquarters and
Regions 3,4, and 5 have been investigating the expansions in the power industry
with the goal of having pollution controls (SOx and NOx) on the plants with the
greatest amounts of pollution. We evaluated the compliance status of these power
plants. As a result of the PSD/New Source Review (NSR) compliance initiative,
EPA and DOJ recently filed lawsuits against seven of the nation's largest utility
companies. In addition, EPA filed an administrative order against the Tennessee
Valley Authority. The ongoing investigations of these facilities and other utility
companies will continue into FY2000/2001.
Region 8 initiated comprehensive evaluations of CAA compliance at the 38
coal-fired power plants in the region. These evaluations include analysis of die
most recent state inspection report and review of two years of quarterly excess
emission summary data for each facility. The region will identify discrepancies
between the utilities and states as to how they report excess emissions and
monitoring downtime and follow-up with the appropriate enforcement responses.
A-2
PRIORITY INDUSTRY SECTORS
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Profile
Within the agricultural sector, animal feeding operations
(AFOs) represent a large potential source of polluted runoff.
AFOs are livestock-raising operations where animals, such
as beef cattle, hogs, chickens, and turkeys, are kept and
raised in confined places, resulting in a high concentration of
pollutants on a small land area. AFOs arc a priority under
the President's Clean Water Action Plan (February 1998}
and the Unified National Strategy for Animal Feeding
Operations (March 1999) issued by USDA and EPA.
Of the 450,000 AFOs nationwide, approximately 12,500 of
them are considered to be concentrated animal feeding
operations (C AFOs) due to the large number of animals
present at the facility (over 1,000 animal units) or the
method of discharge from the facility. AFOs/C AFOs are
distributed across (he United States, with a heavier
concentration in the mid-plains, eastern seaboard, and
western coastal regions. In recent years, as the livestock industry has consolidated
into fewer and larger operations (particularly for poultry and hogs and increasingly
in the dairy industry), the effects of polluted runoff from AFOs/CAFOs on water
quality have assumed increasing importance.
Compliance Status: CAF'Os arc "point sources" under the CWA, subject to the
National Pollutant Discharge Elimination System (NPDES) permit requirements if
they cause pollutants to be discharged to waters. Currently, the C AFO sector has
many facilities operating outside the federal NPDES regulatory system. Though
NPDES permitting of C AFOs is anticipated to increase with subsequent entry of
permit information into the permit compliance system (PCS), few stales or EPA
regions today maintain an accurate inventory of CAFO facilities.
\PRIORITY INDUSTRY SECTORS I A-3
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Key and
Compliance Assistance: The National Agriculture
Compliance Assistance Center (Ag Center) developed
and implemented an Interagency Agreement with the
U.S. Department of Agriculture (USDA). The
livestock portion of this Agreement focuses on
environmental issues specific to livestock
management, pursuant to which EPA is developing a
national curriculum for livestock operators. In FY99,
(he Ag Center distributed more than 25,000
documents, many of which supported AFO listening
sessions held across the country; expanded its Web
site to include an "Animal" page and nutrient
management information; and developed six species-
specific fact sheets explaining permit requirements.
Through a grant from EPA and Region 4, the
Conference of Southern Counties Associations
developed a compliance assistance document,
Animal Feeding Operations, the Role of Counties,
which was widely distributed.
Inspections and Enforcement: In 1999, we held seven CAPO Inspector
Training Classes in several regions for approximately 180 regional and state
inspectors. EPA regions conducted 339 compliance inspections. Additionally,
under an EPA grant, the National Association of Attorney Generals (NAAG) held
a CAFO workshop in Kansas City, which was attended by 30 states, NAAG
staff, several EPA regions, and USDA.
Significant Cases: Ponderosa is a dairy CAFO in Nevada with 5,000 cows. In
February 1998, a manager at the dairy opened a lagoon valve releasing manure
wastewater to a saturated irrigation field. The valve, remaining open for two days,
released approximately 1.7 million gallons across eight miles of federal lands and
open roads in Nevada. The manure also crossed into California and the Amargosa
River. EPA criminal investigators were given false information about how the spill
occurred and who was responsible. Rock view Farms Inc., Ponderosa's owner,
pled guilty to one felony violation for making false statements to federal
investigators, and one misdemeanor CWA violation for discharging manure wastes
without a permit. Rockview paid criminal penalties of S250,000; reimbursed the
state $6,900 for its response and investigation costs; and donated $10,000 worth of
investigative equipment. The Ponderosa manager pled guilty to one CWA count of
negligently discharging CAFO wastes, paid a S5,000 fine, and was placed on a
A-4
PRIORITY INDUSTRY SECTORS
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three-year probation.
Strategic Approach: Under the Unified National Strategy for Animal
Feeding Operations. USD A and HPA's goal is to minimize water pollution from
confinement facilities and land application of manure through the development of
Comprehensive Nutrient Management Plans (CNMPs). The national performance
expectation is that all AFOs voluntarily should develop and implement CNMPs.
EPA's sector strategy, the CAFO Compliance Implementation Plan (March
1998), calls for: (1) inspections of all CAFOs in priority water watersheds by
2001 and all others by 2003; (2) state or EPA regional development and
implementation of state compliance/enforcement strategies; (3) development of a
CAFO inventory; and (4) support of state and regional efforts to permit all
CAFOs beginning in FY2000. These permits should include enforceable
CNMPs.
Profile
Strategic Approach: This integrated approach is best illustrated through our
work with (lie dry cleaning sector. Since first identified as a national priority by
EPA in fiscal year 1.995 (FY95), we have been successfully using a combination of
approaches to improve the compliance of this sector. Activities have included
educating the industry about regulatory requirements through compliance
assistance, followed by inspections and enforcement actions, as needed.
EPA has focused on the dry cleaning sector (SIC 7215,7216,7218) because il
presents various environmental threats and compliance concerns. For example, the
cumulative environmental impact caused by potential releases of cleaning solvents
to the ground, water, and air from facilities located in population centers can be
significant. Dominated by "mom and pop" businesses and with a heavy
concentration of owners/operators who do not speak English as their first language,
these 25,000-35,000 facility owners may not fully understand and may not have
the resources to obtain, read, and interpret the numerous environmental
regulations that apply to them.
Dry cleaners, which are categorized as service industry establishments, are not
required to report to the Toxic Release Inventory (TRI). Moreover, most were not
traditionally (racked by EPA compliance and enforcement databases. Since this
sector became a national priority, regions and states have made great strides in
tracking dry cleaners in the EPA databases. The national EPA databases now
reflect an increase from just over 980 cleaners in 1995 to over 11,000 cleaners in
FY99.
\PRIORITY INDUSTRY SECTORS I A-5
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Exhibit A-1. Trends in Inspections
Conducted at Dry Cleaners
2500
2000
1500
1000
500
Key and
Compliance Assistance: When EPA became aware of the environmental
concerns of the dry cleaning industry, we worked closely with the industry, states
and other stakeholders during the development of regulations and their
implementation. This involved building partnerships with industry, developing
mentoring programs, and creating compliance tools such as manuals, fact sheets,
and videos to assist the industry and oilier regulators.
Several compliance tools have been developed to assist dry cleaners with
implementing environmental requirements. Some tools are multimedia so that dry
cleaners can get environmental regulatory information for air, hazardous waste,
and water from one source. Information about tools developed by EPA for this
sector is available on the Internet at http://es.epa.gov/oeca/ccsmd/cac/
dryclcan.html.
In addition to developing tools to assist cleaners and regulators with environmental
requirements for cleaners, EPA offered training using a variety of techniques
(e.g., satellite, videotapes, classrooms) and in different
locations to accommodate the cleaners. Some compliance
assistance providers also have supplied onc-on-onc training
during their site visit to a cleaner. In FY99 alone, EPA regions
responded to 50 hotline inquiries from dry cleaning
establishments; held 12 workshops that reached over 500
entities; and conducted 299 on-site visits.
FY95
FY97
FY98
FY99
Exhibit A-2. Summary of Inspected
Dry Cleaners with 1 or More
Violations
F Y 9 5
F Y 9 7
F Y 9
Inspections and Enforcement: Following outreach and
compliance assistance efforts, EPA increased its inspection
and enforcement activities. As shown in exhibit A-1, the
reported inspections of dry cleaners increased from 111
inspections in FY95 to just under 2,000 inspections in FY98.
In FY99, more than 1,600 inspections were conducted.
From FY95 to FY99, the distribution of inspections by media
also changed. In FY95, inspections were primarily RCRA
(78%), with few CAA (20%) and CWA (<1%) inspections.
By FY99, CAA inspections increased from 20% to 72%, with
smaller numbers of RCRA (27%) and CWA (over 1%)
inspections. This increase in CAA inspections was due to the
1996 compliance date for the regulations setting national
emission standards for hazardous air pollutants (NESHAP) for
perc dry cleaning facilities.
From FY95 through FY99, the number of dry cleaners
det¥«9iified to have one or more violations has increased
significantly (see exhibit A-2) as the number of inspections
A-6
PRIORITY INDUSTRY SECTORS
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conducted increased. In the cases where violations were found at dry cleaners
and follow-up inspections were conducted, regions and states reported that the
compliance rates typically improved. Generally, the regions reported high rates of
compliance for the proper installation of control equipment (usually in the 80 to
90% range) and lower rates of compliance for recordkeeping and monitoring
requirements.
From 1997 through 1999, 84 enforcement cases were filed. Most facilities (58%)
had violations for recordkeeping, while 25% had violations for monitoring and
sampling practices. While total penalty amounts were under 520,000 since most
dry cleaners are small businesses with inability to pay issues (lower revenues,
capital assets, etc.), the value of their activities taken to return to compliance was
over SI.5 million dollars, with supplemental environmental projects totaling
$40,992. One case in EPA's Mid-Atlantic Region. Region 3, against a dry cleaner
resulted in a 15-ton reduction in perc. In another 1999 enforcement case, EPA
issued a RCRA Section 7003 Imminent and Substantial Endangerment Order
against a dry cleaner in Georgia for contaminating its facility and the city's water
supply wells with perc and oilier pollutants. In addition to perc, other pollutants
were trichloroethylene, 1,2-dichloroethylene, vinyl chloride and other breakdown
products and/or additives such as ethene, methane, ethane, propane, propene,
Freon 113, trimethylben/ene isomers, and the metals manganese and arsenic.
This order, issued after a joint SDWA/RCRA investigation, requires the facility to
characterize and clean up all contamination, while ensuring that the City has an
adequate water supply from alternative wells.
Sector
In 1998, EPA identified the industrial organic (SIC Code 2869) and chemical
preparation (SIC Code 2899) industries as national priorities because of the large
number of facilities (3,387 across the nation); the high percentage (>60%) of small-
sized facilities (<10 employees) needing compliance assistance; high levels of risk
from Toxic Release Inventory (TRI) releases and chemical spills; and repeated
incidents of noncompliance across statutes. While these facilities are located
nationwide, most are located in Regions 2,4,5,6, and 9, and are significantly
represented in environmental justice communities.
Compliance Status: Both industries have varied and complex manufacturing
processes subjecting them to most statutes. As shown in the publications The
Chemical Industry National Environmental Baseline Report 1990-1995 and the
EPA/CMA Root Cause Analysis Report: An Industry Perspective, chemical
facilities repeated similar types of violations across a number of statutes. Specific
areas identified as persistent problems included tailing to report under the
Emergency Planning and Community Right-to-Know Act (EPCRA) and the CAA
and exceeding permit limitations under the CWA.
\PRIORITY INDUSTRY SECTORS I A-7
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Key and
Compliance Assistance: The overall strategy for this sector emphasizes
compliance assistance. In FY99, four workshops attended by representatives
from 585 facilities were held; users of ChemAlliance (compliance assistance
center) substantially increased; and over 7,000 copies of the EPCRA, the
Comprehensive Environmental Response, Compensation, and Liability Act
(CERCLA), the Resource Conservation and Recovery Act. (RCRA) and
treatment, storage, and disposal facility (I'SDF) compliance audit protocols were
distributed.
Inspections and Enforcement: Since 1997, the number of inspections has
remained constant. There are about 3,887 facilities subject to the CAA, CWA,
and RCRA in these sectors. Of these, about 25% of the inspections occur at
industrial organic facilities and about 20% at chemical preparation facilities.
Combining CAA, CWA and RCRA inspections, over 2,000 were conducted at
industrial organic facilities and almost 1,000 inspections were conducted at
chemical preparation facilities.
The number of new facilities identified as being in SNC since FY97 varies across
the statutes. The CAA inspections yielded the most. SNCs with 208 facilities,
followed by the CWA at 147, and RCRA with 94. Since 1997,124 cases have
been settled (64 chemical preparation cases) with total penalties of 52,010,546, and
another $1,134,370 assessed for activities required to return to compliance. In
addition, SEPs were valued at $1,481,700. During the past three year's, there have
been 26 new cases initiated.
Significant Cases: Region 1 settled the third and final portion of a lengthy
settlement, with the major potentially responsible party (PRP) in the Parker Landfill
Superfund Site case. This final round of agreements resulted in the PRP funding
$7 million towards a $7.8 million total cleanup. The landfill, located in Lyndon,
Vermont, occupies 25 acres containing a solid waste disposal area and three
smaller industrial waste areas. Approved as a solid waste disposal area in 1971, it
was used for the disposal of municipal solid waste and sometimes for industrial
wastes. Industrial wastes disposed at the site included trichloroethane, sodium
hydroxide, 1,1,1-trichloroethane, and ace tone. Between 1972 and 1983,1,333,300
gallons of liquid waste and 688,900 kilograms of liquid, semisolid, and solid
industrial wastes were disposed of at the site.
Strategic Approach: Using a national approach and a mix of tools, we have
reached thousands of these facilities. In 1998, EPA began these projects by
encouraging disclosure of violations under the Audit Policy (see page 24),
conducting inspections at facilities subject to new regulations, and developing
several tools to assist facilities to understand and improve compliance. Below
are highlights of these projects.
A-a
PRIORITY INDUSTRY SECTORS
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EPCRA 312 Project: Under this national project EPA provided compliance
assistance materials to 2,005 potentially regulated industrial organic facilities
to encourage them to submit EPCRA 312 Tier II reporting forms to their
Local Emergency Planning Committees (LEPCs) and State Emergency
Response Commissions (SERCs). EPA also sought to increase the facilities'
awareness of their regulatory obligations by providing compliance assistance
material on the CAA 112(r) Risk Management Plan and information on how
to obtain the Process-based Self-assessment Tool for the Organic
Chemical Industry (EPA-305-B-97-002). This enormous outreach effort
resulted in 1,573 facilities confirming receipt of the materials and 1,400
verifying their status as industrial organic manufacturing facilities.
CAA Hazardous Organic NESHAP (HON) Inspection Tool and
Training: EPA developed and delivered training in support of HON
waste water requirements. The training consisted of a day-long classroom
session and a day-long field exercise. Approximately 200 state, local and
regional personnel were trained at 12 satellite locations. The overall course
rating was "excellent."
Universe Verification Project: This purpose of this project was to try to
identify the entire universe of industrial organic and chemical preparations
manufacturers including those facilities with no EPA or state environmental
record. This project allowed EPA and states to expand their presence in the
regulated community and to improve national and local database information
through a systematic verification process. Nearly 700 street-level
observations, called "drive-bys," were completed by the end of FY99 on
facilities with no EPA or state environmental record. The facility lists
generated are being used to track this sector's compliance monitoring,
assistance and enforcement status. Once facilities were confirmed as a
chemical facility, EPA implemented activities to help the facilities improve
compliance. Follow-up activities included single and multimedia inspections,
compliance assistance, and enforcement.
This project resulted in development of a unique facility identification
methodology that could be applied to other industries. To capture and
describe the various components of the facility identification methodology,
EPA drafted a booklet for release in FY2000. This booklet describes the
innovative techniques used to develop the methodology, die methodology's
unique features, and its potential uses.
Root Cause Analysis Pilot Project: EPA and the Chemical Manufacturers
Association (CM A) completed the publication, Rool Came Analysis Report:
Industry Perspective, to identify and evaluate the underlying causes of
noncompliance with regulations. The project also evaluated individual
recommendations for improving compliance, and the effect of environmental
management systems on compliance. The report presents an overview of
\PRIORITY INDUSTRY SECTORS I A-9
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survey responses from 27 CMA facilities (which received 49
civil enforcement actions) about the root and contributing
causes of the noncompliance that were identified in their
federal civil judicial or administrative actions.
Profile
Of the 116 iron and steel mills operating in the United States,
25 are integrated mills and 91 are mini-mills. Eighty-five
percent of the mills are located in Regions 3,4,5, and 6.
Integrated steel mills, which are generally older than mini-
mills, are large facilities that make steel from raw materials
such as iron ore, scrap, limestone and coke. A fully-
integrated steel mill consists of coke ovens, blast furnaces,
and rolling and finishing mills. Historically, integrated mills
were located based on their proximity to water (tremendous
amounts of water arc used in cooling and processing) and
near the sources of raw materials, such as iron ore and coal.
Alternatively, mini-mills use electric arc furnaces to melt
scrap metal in order to make steel products. Because scrap
metal is the primary raw material instead of molten iron, there
are no coke-making or iron-making operations. Mini-mills are
relatively new facilities, built during the last 20 years, and are located in areas
where electricity and scrap metal are available at a reasonable cost. Mini-mills
have narrow product lines and typically produce much less product per facility
(less than 1 million tons of steel per year) than an integrated mill.
Key and
Sector Analysis: In FY99, EPA completed a report called the Summary of
Environmental Compliance and Enforcement Data for Steel Mills, which
reviewed compliance and enforcement data for 34 integrated and mini-mills, as
well as compliance and enforcement efforts carried out by EPA and state and
local pollution control agency staff between 1990 and 1995. The data used for
the report were extracted from existing federal, state and local compliance and
enforcement files. This report is useful for stakeholders in understanding the
industry and its associated processes, delineating problem areas and potentially,
crafting innovative approaches to address recurrent problems.
Inspections and Enforcement: The average number of inspections per facility
varies per media, however, on an average, mini-mills are inspected less frequently
than integrated mills. Over the past three years, the air program inspected a
higher percentage of mills (68% inspection rate for mini-mills and 73% for
integrated mills) when compared to the water (50% for mini-mills and up to 77%
for integrated mills) and RCRA programs (<50% inspection rate for both mini-
mills and integrated mills).
IA-1 D I PRIORITY INDUSTRY SECTORS
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EPA settled a total of 39 cases with steel mills between FY98 and FY99. Of
those settled, 14 cases involved mini-mills and 25 involved integrated mills. These
cases were distributed among the media programs: 11 were air-related; 9 were
water-related; 9 were RCRA-rclatcd; 8 were Toxic Substances Control Act
(TSCA)-related; and 2 were related to EPCRA and CERCLA. Fourteen of the
settlements included injuctive relief with a total monetary value of $47,848,200.
Of the 39 settled cases, 23 involved penalties, for a total value of S5,521,367.
Over the past two years, EPA also had a total of nine civil referrals to DOJ
involving five integrated mills and four mini-mills. Administrative penalty
orders totaled 18, nine each for mini-mills and integrated mills. The referrals and
orders were also associated with different media. For referrals, CAA was most
frequently cited, followed by RCRA; for orders, TSC A was most cited, followed
by CAA and RCRA.
Over the past three years, the highest percentage of new SNCs for the sector was
documented for mini-mills (56%). In FY99, 20 new SNCs were identified for
mini-mills and eight for integrated facilities. Over the past three years, die SNC
rate for mini-mills consistently increased, especially within the RCRA program,
while the inspection rate decreased slightly. Over the past three year's, the SNC
rate for integrated mills has varied significantly. These patterns may be due to
recurring problems at these mills, more focused inspections on specific problems,
and/or increased scrutiny by the Agency.
Strategic Approach: In FY99, EPA initiated the implementation of the Iron and
Steel Sector Strategy, which was developed jointly between Headquarters and the
regions. The primary goal of the strategy is to reduce actual and potential
emissions at both integrated and mini-mills by improving the overall sector
compliance rates, reducing the occurrence of "media shifting," and remediating
environmental harm. The strategy proposes a mullitrack approach for addressing
environmental and compliance management problems at integrated mills and mini-
mills, and achieving the strategy goals.
Petroleum refining is one of the leading manufacturing industries in the U.S. in
terms of commercial transactions. Fuel products account for over 87% of the
refining sector's output. Refineries also produce chemical feedstocks and
finished nonfuel products (solvents, waxes, asphalt etc.). Refinery input is
primarily crude oil. Currently, 158 refineries (150 with crude oil refining capacity)
are operating across nine of the ten EPA regions, down from over 300 in the early
1980s. Facilities are concentrated along the Gulf Coast and near heavily
industrialized areas of the east and west, coasts. Sixty-five refineries are within
three miles of population centers containing over 25,000 people and 37 are within
three miles of centers containing 50,000 or more people.
PRIORITY INDUSTRY SECTORS IA-1 1
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Compliance Status: Refineries are routinely and regularly inspected, and many
of the inspected facilities have had multiple enforcement actions taken against
them. Roughly 82% of the refineries are inspected on an annual basis for air,
roughly 52% for water, and 36% for RC.RA. Over the last three years, the
number of new SNCs increased for air while remaining approximately the same
for water and RCRA.
For the 168 facilities tracked in the
Sector Facility Indexing Project
(SF1P), the number of inspected
facilities in Significant
Noncompliance (SNC) and the
corresponding SNC rate for these
facilities are shown by media in
exhibit A-3.
Exhibit A-3. Number of Inspected Petroleum
Refining Facilities* in Significant
Noncompliance (SNC Rate)
CAA
CWA
RCRA
77 (53%)
26 (24%)
26 (39%)
81 (60%)
28 (26%)
1 8 (32%)
74 (54%)
24 (22%)
1 9 (32%)
Based on 168 facilities tracked in the
Sector Facility Indexing Project
Key Activities and Accomplishments
Inspections and Enforcement: The refining sector has been a priority sector
for the national compliance and enforcement program since 1.996. In FY99, there
were 623 inspections at petroleum refineries, 8 referrals, 2 administrative penalty
orders, and penalties assessed in the amount of $10.7 million.
Significant Cases:
« Multimedia action against Marathon Ashland Petroleum, EEC at their
Catlcttsburg, KY; Canton, OH; and St. Paul, MN facilities; including a S5.8
million penalty, $12 million to correct the violations, and $14 million to perform
SEPs. In part, the action will reduce air emissions of sulfur dioxide and
volatile organic compounds (VOCs) and hydrocarbon leaks into groundwatcr.
• Multimedia action against Shell Oil Company at their Wood River, IL facility,
including a $1.5 million penalty, approximately $6.3 million to correct the
violations, and over $2.8 million to perform SEPs. In part, the action will
reduce air emissions of sulfur dioxide by 7,700 tons per year (tpy), nitrogen
oxide by 940 tpy, and paniculate matter by 260 tpy.
« Consent decree between EPA and BP Oil Company resolving violations at its
Toledo, OH facility. The settlement includes a penalty of over $1.2 million.
In addition, under the agreement, the company must report flaring incidents
to EPA and take corrective action to reduce the likelihood of recurrence of
such incidents.
Strategic Approach: A sector strategy was developed in FY98 that focuses
our efforts on specific problems at refineries. The overall goals of the sector
strategy are to: (1) reduce emissions from refineries; (2) bring refineries into long-
term compliance (with the issues investigated); and (3) ensure more consistent
interpretations and enforcement of regulations.
IA-1 21 PRIORITY INDUSTRY SECTORS
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As part of a more strategic approach, EPA is concentrating on air pollution
problems and new RCRA requirements, but continues to shift away from
inspections towards more targeted, in-depth investigations. As a result of
concluding some of the initial investigations, the number of referrals in FY99
increased. Current indications are that the number of referrals and the
environmental significance of those referrals will continue to increase in 2000 as a
result of the investigations initiated in EY98 and F Y99.
EPA has attempted to make the compliance issues widely known to the refining
sector so that they have an opportunity to take advantage of EPA's self-audit
policy and correct any problems on their own. EPA has given presentations on
the key compliance problems to industry at meetings (including meetings hosted
by industry for industry). EPA has also issued Enforcement Alerts for NSR/PSD
issues in general, and leak detection and repair and RCRA issues specifically at
petroleum refineries. The following are key compliance problems in this sector:
« New Source Review/Prevention of Significant Deterioration (NSR/
PSD) Compliance and Permitting: Although die average refinery si/e has
increased, relatively few have applied for and obtained pre-construction and
operating permits for physical expansions under the NSR/PSD program.
Investigations are focusing on noncompliance with the permitting process,
particularly for fluidized catalytic cracking units, the single largest air
emission source at petroleum refineries.
• Leak Detection and Repair: Leak detection and repair requirements under
various air regulations require facilities to identify equipment and components
subject to monitoring, ensure that open-ended lines arc capped, monitor the
equipment for leaks, and then repair the leaks. However, monitoring by EPA
typically identifies leak rates that are 2 to 10 times higher than rates identified
by the company.
« Refinery Fuel Gas Combustion Devices: These devices represent a
significant source of refinery emissions of sulfur dioxide. Controls under New
Source Performance Standards (NSPS) Subpart J may be bypassed during
non-emergency conditions, resulting in greatly increased emissions;
modifications may have occurred, resulting in additional, newly affected
facilities being subject to this subpart and its control requirements.
• Benzene Waste: Enforcement experience has found widespread refinery
noncompliance and erroneous calculations of total annual benzene in waste
streams, resulting in uncontrolled and unaccounted for benzene emissions.
EPA has distributed a compliance guidance to refiners, and continues to
conduct detailed investigations, including sampling, to determine refinery
compliance.
PRIORITY INDUSTRY SECTORS I A-1 3
-------
Slotted Guide Poles: Significant emissions reductions could be gained
through installation of controls that reduce or eliminate vapors emitted to the
atmosphere from the use of slotted guide poles in storage tanks.
Profile
Most of the smelters and refineries in this sector are
owned by fewer than 20 large companies and operate in
every region except the upper northeast, states. Of the
51 facilities in this sector, there are 23 aluminum, 21
copper, 3 lead, and 4 zinc facilities. The highest
concentration of facilities is found in Regions 6,9 and
10, accounting for over half of the facilities with 8,12,
and 9 facilities respectively.
Categorization as a "primary" nonferrous facility refers
to the source material. Primary smelting and refining
produces metals directly from source material that is more than 50% ore.
Secondary smelting and refining produces metals from scrap and process waste.
The pollution resulting from these operations varies depending upon the metal and
the type of recovery technology used. The two metal recovery technologies
generally used to produce refined metals are pyrometallurgical (which uses heat)
and hydrometallurgical (which uses aqueous solutions).
Compliance Status: This sector has been identified as a national priority since
FY96 because of the volume of pollutants discharged, released, or spilled at the
facilities and their high rate of noncompliance. Some areas of the country are
unable to meet national ambient air standards because of releases from these
smelters, and some smelters are individually responsible for not meeting lead and
sulfur dioxide standards in their region. In addition, over 40% of the facilities
reported spills totaling 193,716 pounds over the past two years. Nearly 70%' of
the facilities that have been inspected (i.e., 132 facilities inspected) since FY96
were in noncompliance with at least one of their permits, and approximately 30%
of inspected facilities were in SNC with one or more statutes.
Key Activities and Accomplishments
Inspections and Enforcement: Over 29 million pounds of TRI chemicals,
including 1.3 million pounds of carcinogens, were released from all primary
nonferrous metal facilities based on 1997 TRI data with the majority coming from
the lead and copper facilities. Although small in total number of facilities (21),
primary copper smelters and refineries also had the highest average pollutant
release per facility according to the TRI data.
IA-1 41 PRIORITY INDUSTRY SECTORS
-------
Since 1997, there have been 458 inspections for compliance with cither air, water
or hazardous waste laws at primary nonferrous metal facilities. Most inspections
monitored compliance with the CAA, followed by CWA and RCRA inspections.
EPA and the states concluded a total of 11 enforcement actions against facilities
during the past three fiscal years with a total of just over S8.98 million in federal
penalties and $ 1.4.79 million in SEPs. Four facilities, Alcoa and Reynolds in New
York, Asarco in Nebraska and Kennccott in Colorado, arc part of state or federal
Superfund cleanups.
In EY99,132 federal and state inspections were conducted for compliance with
CAA, CWA, and RCRA. Seventy-four percent of the facilities were inspected
for compliance with the CAA, 48% for CWA and 12 % for RCRA. Of die
facilities inspected in EY99, the SNC rate was 32% with the CAA, 29% of
facilities defined as major in the CWA, and 17%' for RCRA. The percent of
facilities in SNC with the CWA decreased by 6% since 1997, bul increased by 4%'
for the CAA and 8% for RCRA.
Enforcement actions in FY99 include the settlement of an administrative
complaint at the Big River Zinc facility in Illinois for RCRA and EPCRA
violations which assessed federal penalties of $25,406, another $99.500 in SEPs,
and 57,365 in injunctive relief actions. An estimated two tons of cadmium and
lead will be reduced in the soil as a result of this action.
Significant Cases: Recent highlights include judicial settlements with ASARCO
and its wholly-owned subsidiary, Encycle, for multimedia violations at its facilities
in several regions. The 1998 Phase I settlement included a penalty of $3.39
million for numerous violations of the CWA and RCRA Subtitle C. The 1999
Phase II settlement includes payment of a civil penalty of $5.5 million, completion
of numerous SEPs with a total projected cost of SI 4.7 million, and enhancement.
of the Environmental Management System to be used at all ASARCO facilities
nationwide. Although amounts cannot be readily calculated, significant reductions
of arsenic, cadmium, copper, lead, manganese, and zinc releases to the water and
soil are anticipated as a result of this settlement.
Strategic Approach: In FY99, EPA began implementing a strategy for
addressing this sector with the goal of improving die sector's compliance rates
and reducing its total emissions, discharges and releases. The strategy's initial
approach is to ensure that all primary smelters are accurately classified; the
applicable regulatory provisions for each have been clearly identified: and timely
enforcement action is pursued when significant violations remain unresolved.
Five specific problem areas are identified as particular concerns in addressing the
overall goals of greater compliance and reduced risk:
\PRIORITY INDUSTRY SECTORS IA-1 51
-------
• Proper Identification of Facilities. Ensure accuracy of universe
identification through SIC code verification efforts and TRI analysis. The
universe is being tracked in the Sector Facility Indexing Project (SFIP).
• Potential Misapplication of the Bevill Exclusion. The goal of this activity
is to ensure that all wastes not covered under Bevill are managed
appropriately.
« Permit Insufficiencies. Regions and states will ensure that each facility has
a complete permit, accurately reflecting the source's size, regulatory
requirements, and activities.
« High SNC Rate. The strategy identifies a goal of decreasing SNCs in this
sector from 30% to 10% nationwide.
• Use of Imminent and Substantial Endangerment Authorities to address risk.
Identified actions include documenting ecological damage and human health
risks and using imminen t and substantial endangerment authorities as
appropriate.
EPA also conducted a study of primary and secondary nonferrous metal
facilities. The study focused on identifying surface water, RCRA, and air
compliance problems, the processes involved, the types of enforcement actions
taken by regulators, and probable causes for noncompliance. Findings will be
used to identify and address specific environmental and/or compliance problems.
By the end of FY99,16 facilities in five states had been analyzed. Additional
facilities remain to be analyzed, but the study should conclude in 2000.
Sector Profile
Currently, 244 pulp mills operate in the United States and, like most large
manufacturing operations, are regulated under RCRA, CAA, and CWA. Mills are
widely distributed in forested areas with the largest concentrations occurring in the
southeast, northwest and northeast and north-central states.
Compliance Status: Though increased inspections are revealing mills in
significant noncompliance, the case referrals to the DOJ and associated injunctive
relief and penalties are resulting in thousands of tons of reductions annually in air
pollution, namely, volatile organic compounds (VOCs), nitrogen oxides (ground-
level ozone precursors), sulfur compounds (contribute to acid rain), and carbon
monoxide and particulate matter. Beyond the emission reductions that are being
made at the mills that are the subject, of enforcement, EPA is fulfilling one of our
strategic goals which is to establish a credible deterrent to illegal pollution and to
encourage greater compliance with environmental laws.
IA-1 61 PRIORITY INDUSTRY SECTORS
-------
Key and
Inspections and Enforcement: In FY99, many BPA regional offices
conducted inspections at pulp mills and took enforcement actions to address
violations of federal law. As a result, we settled nine civil judicial cases and one
EPCRA case, and referred 10 civil judicial cases. Much of the activity occurred
under the CAA in Regions 3, 5, and 6. These regions actively worked to raise
compliance with the CAA in the pulp industry through enforcement actions.
Enforcement of the CAA has continued to be our focus since EY97 data revealed
that 32% of the 174 pulp mills inspected that year were in significant
noncompliance (SNC). SNC rates have remained high among recently inspected
facilities (37%) due to the additional, significant violations that EPA's in-depth
investigations are revealing. Region 3, which has been the most active in this
sector, is continuing their multi-year pulp mill investigation initiative. In addition to
referring three CAA cases that address violations discovered during their
investigations, the region worked to resolve the five cases referred to the DOJ in
FY97 and FY98.
\PRIORITY INDUSTRY SECTORS IA-1 71
-------
Appendix B:
Historical Enforcement
Data
-------
B-1: of EPA by
CAA
CERCLA
CWA
EPCRA
FIFRA
RCRA
SDWA
TSCA
Title 18/MPRSA*
Totals
82.227,024
812,715,144
$20,385,292
SO
$442,775
$21,482,514
S3, 170,418
$16,000
81,113,707
$61,552,874
$104,625.294
$2,852,000
$7,416,728
SO
$1,300
$24.522.800
$1,793,577
$0
SO
$141,211,699
$5.092,301
$2,000
$5,200,575
$3,802,384
$1,359,055
$7,351,627
$353,772
52,348,165
$0
$25,509,879
SI. 11 0.783,266
$721,955,206
S577.486.331
$528,264
S393.910
S200.467.307
S81 1,483,657
SI, 125,792
SO
$3,424,223,733
SI 41. 995. 706
$12,600
58.620,321
54,151,296
$211.310
$74,803,427
55.811,950
SI, 191,942
SO
$236,798,552
* Criminal cases with U.S. Code - Title 18 or other Violations.
Data comes from F.PA criminal and civil dockets.
Source: OECA/OC/EPTDD/TEB
HISTORICAL ENFORCEMENT DATA I B-1
-------
1-2: Totals, Enforcement Activity
CAA Stationary
CAA Mobile Source
Asbestos
NPDES Minors
NPDES Majors
CWA311
CWA 404
EPCRA313
EPCRA non-3 13
FIFRA
RCKA
UST
SDWA
TSCA
TOTAL
FY96
2,064
107
635
499
1,046
2,267
342
571
689
116
1,829
579
6,568
898
18,210
FY97
2,844
104
653
784
918
1,666
529
473
438
207
2,165
1,421
5,490
1,014
18,706
FY98
2,722
64
806
1,116
1,019
1,344
968
584
804
264
2,727
1,253
7,983
1,537
23,237
FY99
2,633
39
437
965
949
1,424
1,079
513
521
259
2,214
1,482
7,329
2,003
21,847
Source: Program databases/IDEA, manual reports. There were also 113 GLP inspections and 363 data audits by
HQ (OC/AED/LDIB). The FY99 CAA Stationary includes 1,227 CFC inspections. FY98 total includes 46 other
inspections.
B-Z I HISTORICAL ENFORCEMENT DATA
-------
CAA
CERCLA
CWA
EPCRA
FIFRA
RCRA
SDWA
TSCA
TOTAL
FY96
154
197
504
2
10
35
284
0
1,186
FY97
209
279
815
7
7
44
453
4
1,818
FY98
277
233
849
4
18
49
287
4
1,721
FY99
298
247
621
0
28
50
269
"j
J
1,516
Source: Docket
In addition, there were 51 IIQ CAA Mobile Source NOVs with penalties.
CAA
CERCLA
CWA
EPCRA
FIFKA
RCRA
SDWA
TSCA
TOTAL
FY96
88
37
153
196
73
88
57
178
870
FY97
126
26
329
293
174
139
45
181
1,313
FY98
156
1
389
233
187
155
65
214
1,400
FY99
193
0
436
285
274
197
64
205
1,654
Source: Docket
FY97 CERCLA cases were for section 103.
HISTORICAL ENFORCEMENT DATA I B-3
-------
CAA
CERCLA
CWA
EPCRA
FIFRA
RCRA
SDWA
TSCA
TOTAL
FY96
103
39
169
184
107
119
76
207
1,004
SSSSSS^B^M^^^M
FY97
139
33
205
366
161
154
44
248
1,350
SSSSSB^g^M^^^M
FY98
127
3
324
259
173
149
43
167
1,245
SSSSSS^B^™^^^™
FY99
154
1
365
244
223
134
40
197
1,358
Source: Docket
FY97 CERCLA cases were for section 103.
UST
FY96
115
FY97
240
FY98
194
FY99
311
Source: Dockel
FY96
FY97
FY98
FY99
CAA
CERCLA
CWA
EPCRA
FIFRA
RCRA
SDWA
TSCA
TOTAL
70
127
48
9
3
19
17
2
295
89
154
98
11
4
49
13
8
426
113
138
81
11
4
49
15
0
411
109
148
87
12
0
39
5
~*
j
403
Source: Docket
B-4 I HISTORICAL ENFORCEMENT DATA
-------
CAA
CERCLA
CWA
EPCRA
FIFRA
RCRA
SDWA
TSCA
TOTAL
FY96
62
121
60
10
5
99
z, z,
7
5
292
FY97
45
159
35
3
2
18
9
••»
.1
274
FY98
46
148
••> ••>
.X^
3
4
14
2
••}
3
253
FY99
48
124
24
1
1
11
6
0
215
Source: Docket
B-3: EPA Actions,
FY84
FY85
FY86
FY87
FY88
FY89
FY90
FY91
FY92
FY93
FY94
FY95
FY96
FY97
FY98
FY99
31
40
41
41
59
60
65
83
107
140
220
256
262
278
266
241
36
40
98
66
97
95
100
104
150
161
250
245
221
322
350
322
6
78
279
456
278
325
745
963
1,135
892
1,188
888
1,116
2,351
2,075
2,500
Source: ORCA/OC/EPTDD/TRB
HISTORICAL ENFORCEMENT DATA I B-5
-------
B-4: EPA Civil to the of Justice, FY75-FY99
. 1_
FY75
FY76
FY77
FY78
FY79
FY80
FY81
FY82
FY83
FY84
FY85
FY86
FY87
FY88
FY89
FY90
FY91
FY92
FY93
FY94
FY95
FY96
FY97
FY98
FY99
S
15
50
123
149
100
66
36
69
82
116
115
122
86
92
102
86
92
80
141
37
70
89
113
109
20
67
93
137
81
56
37
45
56
95
93
119
92
123
94
87
94
77
84
97
54
65
111
96
92
0
0
0
2
5
10
2
20
28
41
35
41
54
114
153
157
164
137
129
144
102
127
154
138
148
0
0
0
0
4
43
12
9
5
19
13
43
23
29
16
18
34
40
30
35
14
19
49
49
39
0
0
0
0
3
1
1
2
7
14
19
24
13
20
9
11
15
15
15
13
7
14
23
15
15
25
82
143
262
242
210
118
112
165
251
276
342
304
372
364
375
393
361
338
430
214
295
426
411
403
Source: OECA/C3C/EPTDD/TEB
7Y98 CAA and National totals include 8 HQ Mobile Source referrals.
PY99 CAA/CWA totals include one HQ Mobile Source and one CWA HQ referral.
B-6 I HISTORICAL ENFORCEMENT DATA
-------
B-5: EPA Administrative by Statute*,
.
FY75
FY76
FY77
FY78
FY79
FY80
FY81
FY82
FY83
FY84
FY85
FY86
FY87
FY88
FY89
FY90
FY91
FY92
FY93
FY94
FY95
FY96
FY97
FY98
FY99
•
0
210
297
129
404
86
112
21
41
141
122
143
191
224
336
249
214
354
279
435
232
242
391
499
542
738
915
1,128
730
506
569
562
329
781
1,644
1 ,03 1
990
1,214
1,345
2,146
1,780
2,177
1,977
2,216
1,841
1,774
998
1,642
1,590
1,390
^m
0
0
0
0
0
0
159
237
436
554
327
235
243
309
453
366
364
291
282
115
92
238
423
398
558
0
0
0
0
0
0
0
0
0
137
160
139
135
224
220
270
269
245
260
264
280
234
305
234
247
^m
1,614
2,488
1,219
762
253
176
154
176
296
272
236
338
360
376
443
402
300
311
233
249
160
83
181
205
302
^m
0
0
0
1
22
70
120
101
294
376
733
781
1,051
607
538
531
422
355
319
333
187
178
185
218
208
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
206
179
134
219
307
244
198
300
237
285
2,352
3,613
2,644
1,622
1,185
901
1,107
864
1,848
3,124
2,609
2,626
3,194
3,085
4,136
3,804
3,925
3,667
3,808
3,544
2,969
2,171
3,427
3,381
3,532
* Includes: Administrative Compliance orders issued,
Mobile Source NOVs with penalties.
Administrative Penally order complaints. Field Citations and HQ CAA
HISTORICAL ENFORCEMENT DATA I B-7
-------
B-6. EPA by
B-7: and Judicial
Statute
FIFRA
SDWA/
CWA
CAA
RCRA
Totals
FY89
6,698
3,100
1,139
1,189
12,126
PY90
4,145
3,298
1,312
1,350
10,105
FY91
3,245
3,180
1,687
1,495
9,6m
FY92
3,095
2,748
1,411
1,389
8,643
FY93
4,172
3,960
2,005
1,744
11,881
FY94
3,528
4,063
2,050
1,609
11,250
FY95
2,486
4,231
1,833
1,235
9,785
FY96
2^*^*^*
,333
4,598
1,534
841
9.30(5
FY97
1,101
7,051
1,919
444
10,515
FY98
1,163
6,960
2,410
727
11,260
FY99
1,272
3,602
2,036
1,278
8,188
Statute
SDWA-'
CWA
CAA
RCRA
Totals
FY89
489
96
129
714
FY90
429
156
64
649
FY91
297
190
57
S44
FY92
204
258
112
574
FY93
383
174
133
690
FY94
162
325
91
578
FY95
169
124
104
39?
FY96
169
198
66
433
FY97
151
164
64
379
FY98
146
146
60
3S2
FY99
223
158
126
507
Source: IDEA
B-B I HISTORICAL ENFORCEMENT DATA
------- |