&EPA
United States
Environmental Protection Agency
Office of Enforcement and
Compliance Assurance (2248A)
http://www.epa.gov/oeca/sep
EPA 325-R-01-001
January 2001
Beyond Compliance:
Supplemental Environmental Projects
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Beyond Compliance: Supplemental Environmental Projects
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ABLE OF CONTENTS
Introduction.
Sewerage and Water Board of New Orleans
Works to Revitalize Lake Pontchartrain 21
What is a SEP? 4
How do SEPs benefit the public? 4
Who may do a SEP and what is the benefit
for the violating company? 4
What are the categories of acceptable SEPs? .... 4 Ashland Oil Company SEPs Reduce Pollution,
Treating Baltimore's Inner City Children
with Asthma 23
Highlighted SEPs
Involving the Community in Puerto Rico
Electric Power Authority SEPs
Returning an Abandoned Drive-In to its Natural
State 9
Crozer Chester Medical Center Teams with
Public Schools to Conquer Asthma 11
SEPs for Multiple Facilities: United Technologies
Corporation 12
Setting a Goal Beyond Compliance - U.S. Mint,
Philadelphia 15
Educate, and Preserve Nature 25
ASARCO's SEPs Protect Public Health and
Restore Wetlands 27
Brownfields Cleanup by Sherwin-Williams 28
Simpson Paper Company Restores Salmon
Habitat 29
International Cooperation on a Pollution
Prevention SEP 31
Safe Drinking Water for the City of Sandpoint,
Idaho 33
Reducing Wastes at Spectrum Glass 33
Protecting New York City's Croton Water Supply. . . 16
Reducing Water Pollution in the City of Baltimore. . 17
Delmarva Power and Light Restores a Wetland.... 18
Town of Luray Restores Stream Quality 18
Improving Water Quality in the City of Atlanta. ... 19
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PSC Preserves an Ecosystem and Reduces Air
Pollution 34
Restoring Fish Habitat in Montana 36
Protecting Alaskan Wetlands 36
Conclusion 37
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Beyond Compliance: Supplemental Environmental Projects
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EPA's Mission
NTRODUCTION
Americans have the right to air that is clean, water
that is safe to drink, food that is free from dangerous
pesticide residues, and communities that are free of
hazardous wastes. The United States Environmental
Protection Agency (EPA) helps protect these rights
through fair, effective enforcement of federal
environmental laws, such as the Clean Air Act, Clean
Water Act, Safe Drinking Water Act, Federal
Insecticide, Fungicide and Rodenticide Act, Toxic
Substances Control Act, and Resource Conservation
and Recovery Act.
If the Agency believes that an individual or company
has failed to comply with Federal environmental laws,
it may initiate an enforcement action. Enforcement
actions are taken in order to compel the individual or
company to return to compliance, and deter others
from violating these laws. In settling an enforcement
action, EPA usually requires individuals or companies
to pay cash penalties and to take injunctive relief -
actions needed to eliminate noncompliance, correct
environmental damage, and restore the environment.
In addition, enforcement settlements may also include
Supplemental Environmental Projects (SEPs). SEPs are
actions taken by an individual or company that are in
addition to what is required to return to compliance
with environmental laws. SEPs benefit public health or
the environment. They offer a unique opportunity to
further our Nation's goals of ensuring clean air and
water, safe food, better waste management, and
expanding the public's right to know about their
environment.
EPA's mission is to protect public health and the
environment. This mission is accomplished by:
1. Protecting and enhancing the quality of the
Nation's air resources;
2. Maintaining the chemical, physical, and biological
integrity of the Nation's waters;
3. Protecting the Nation's food supply from pesticide
residues;
4. Preventing or reducing pollution at the source
whenever possible;
5. Reducing or eliminating the generation of
hazardous waste;
6. Reducing global and cross-border environmental
risks;
7. Expanding American's right to know about their
environment;
8. Promoting sound science and improved
understanding of environmental risk;
9. Providing a credible deterrent to pollution and
greater compliance with the law; and
10. Implementing the highest quality standards for
management and fiscal responsibility.
SEP projects have existed since the early 1980s, and
their use has increased steadily through the 1990s.
For instance, while more than 200 SEPs were
approved in 1992, a total of 336 SEPs were agreed to
as part of 197 case settlements in fiscal year 1999.
The total monetary value of these SEPs was over $230
million. Approximately one half of these projects were
classified as pollution prevention or pollution reduction
activities.
This booklet offers a description of SEPs, highlights a
number of SEPs that have either been completed or
are currently in progress, and discusses the benefits to
public health and the environment that can be
achieved through these projects.
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Beyond Compliance: Supplemental Environmental Projects
What is a SEP?
Through its SEP policy, EPA allows a violator of
environmental laws to do more than simply correct its
violation(s). A SEP is an environmentally beneficial
project that a violator voluntarily agrees to perform, in
addition to actions required to correct the violation(s),
as part of an enforcement settlement. When
volunteering to perform a SEP, a company must show
that it can and will complete the project, and must
provide all funds used to finance the project. EPA
provides oversight to ensure that the company does
what it promises to do. EPA, however, does not
manage or control the funds.
How do SEPs benefit the public?
SEPs are designed to protect and improve the
environment and public health, beyond that achieved
by compliance with applicable laws. SEPs may directly
or indirectly benefit the public by preventing pollution
or addressing environmental justice concerns. Finding
more effective ways to address community
environmental concerns that result from a company's
violations is a major objective of EPA's SEP policy. Not
only can community involvement assure greater
consideration of community needs in specific SEPs, but
it can lead to increased communication and trust
between all concerned parties—a foundation for long-
term environmental improvement.
Who may do a SEP, and what is the
benefit for the violating company?
In addition to correcting the violation(s), a violating
company may propose one or more SEPs as part of a
settlement. As the examples in this report
demonstrate, SEPs have been implemented by large
and small companies, hospitals, federal facilities, and
state and local governments. To gain approval for
conducting a SEP a company must identify and
demonstrate a willingness and ability to implement an
appropriate project that primarily benefits public
health or the environment. These projects must
provide benefits beyond what compliance with the law
requires.
If a company performs a SEP, EPA may reduce the
penalty assessed. In addition to this economic
incentive, a company may improve the quality of life
for the surrounding community and as a result, build a
better relationship with the community.
What are the categories of acceptable SEPs?
As described below, EPA has seven specific categories
of projects that can be acceptable SEPs. In addition to
these SEPs, EPA allows companies to perform other
types of projects that have environmental or public
health benefits.
Pollution Prevention: These SEPs involve changes
that reduce or eliminate some form of pollution, or
that reduce a pollutant's toxicity prior to recycling,
treatment, or disposal. Examples include use of less
toxic materials to make products, modifications in the
production process to reduce material losses, changes
in product design which require less polluting
processes, or improved housekeeping. EPA places a
high priority on pollution prevention approaches, since
these reduce the potential for future pollution, and
may lead to more widespread, environmentally-
beneficial changes in their business or industry
activities. As a result, EPA may allow greater
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Beyond Compliance: Supplemental Environmental Projects
mitigation in penalties for pollution prevention projects
than for other SEPs.
Pollution Reduction: These SEPs are similar to
pollution prevention SEPs in terms of outcome. But
instead of eliminating a source of pollution, they
reduce the amount or danger of the pollution which
reaches the environment. Examples include improved
treatment or control of pollutants and recycling and
reuse of chemicals or materials.
Public Health: Such SEPs may include examining
residents in the community put at risk by the
violations to determine if anyone has experienced
health problems related to the violation, as well as
related medical treatment or rehabilitation therapy.
Environmental Restoration and Protection: These
SEPs improve the condition of the land, air, or water in
the area damaged by the violation. For example, by
purchasing land or developing conservation programs
for the land, a company could protect a natural
habitat for wildlife or a source of drinking water.
Beyond preservation, such a SEP might involve
restoring natural areas that are vital to long-term
protection of the environment or public health.
Assessments and Audits: Any violating company
may agree to examine its operations for pollution
prevention opportunities, and determine if it can
reduce the use, production, or generation of
hazardous materials and other wastes. These audits
go well beyond standard business practices. In
addition, small businesses (with less than 100
employees) or small communities (less than 2,500
residents) can receive credit for agreeing to conduct
audits to determine their compliance with
environmental laws in order to avoid future violations.
Environmental Compliance Promotion: These are
SEPs in which the violator helps other companies
achieve compliance and reduce pollution related to the
type of violation. For example, a company which
violated the Clean Air Act may train other companies
on how to comply with the Act.
Emergency Planning and Preparedness: These SEPs
provide technical assistance and training to state or
local emergency planning and response organizations
to help them better respond to chemical emergencies.
For example, a company may provide a local fire
department with additional equipment to deal with a
hazardous waste situation.
How can I participate in the SEP Process?
Your participation can have a beneficial impact in your
community. SEPs proposed by communities have been
adopted as part of final settlement agreements when
they fall within the scope of the SEP policy. In other
cases, SEP ideas have been modified to accommodate
community priorities. If you are interested, you are
strongly encouraged by EPA to participate in the SEP
process. You can:
• Attend public meetings to suggest SEPs or
comment on proposed SEPs.
• Provide comments on a proposed settlement
published in the Federal Register.
• Learn more about SEPs by visiting EPA's SEP
Webpage at http://www.epa.gov/oeca/sep.
Other Types of Projects: Other acceptable SEPs
would be those that have environmental merit but do
not fit within the categories listed above. These types
of projects must be fully consistent with all other
provisions of the SEP Policy.
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Beyond Compliance: Supplemental Environmental Projects
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NVOLVING THE COMMUNITY IN
PUERTO Rico ELECTRIC POWER
AUTHORITY SEPs
plants. By completing this SEP PREPA will ensure that
the natural environment in this area will survive.
The Puerto Rico Electric Power Authority (PREPA) has
several plants throughout Puerto Rico. In March of
1999, PREPA and EPA entered into an agreement that
resolved a Complaint which was pending in Federal
District Court against PREPA at five of its facilities. As
part of the agreement, PREPA agreed to perform two
SEPs. The concerns and interests of the communities
in the areas around the facilities helped to select and
shape the SEPs.
From the beginning, EPA felt that community
involvement should be a key factor in resolving
PREPA's enforcement action. EPA's Regional
Administrator initiated community involvement with a
letter to community groups that had expressed
interest in the case or were located near one of the
PREPA facilities. These groups were presented with
the details of the enforcement action and were given
general information about the status of settlement
discussions. Through a process facilitated by EPA, the
community groups suggested numerous potential
projects and reached consensus on community
priorities. Two of the highest priority proposals were
included in the settlement.
Preserving a Natural Habitat
As its first project, PREPA has committed to acquire
and preserve a natural habitat near the Palo Seco and
San Juan power plants over the next five years. This
area has been described as one of the last self-
sufficient ecosystems in the area near these power
Hazardous Materials Training
The second SEP to which PREPA has committed
involves the development of a 40-hour hazardous
materials technician-level training program. This
program will be designed as an addition to fire
department training programs throughout the island
of Puerto Rico. PREPA will fund and present this
course so that there will be trained chemical spill
response teams throughout the island.
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Beyond Compliance: Supplemental Environmental Projects
Additional Measures to Improve
Community-PREPA Communications
Because all parties recognized the importance of
improving relationships and communication between
PREPA and the communities, PREPA agreed to hire a
contractor who will work on community
environmental issues related to PREPA over the next
five years. While not a SEP, this measure, taken to
ensure improved long-term environmental cooperation
between PREPA and the communities, was a
significant outcome of the SEP negotiation process.
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ETURNING AN ABANDONED
DRIVE-IN TO ITS NATURAL
STATE
In October 1997, EPA, the State of Rhode Island and
the Potentially Responsible Parties (PRPs) at the
Landfill & Resource Recovery Superfund site, entered
into a settlement agreement which included a
commitment to purchase conservation easements
within the Blackstone River Valley National Heritage
Corridor. This 380,000 acre corridor includes a string
of parks, museums, historic buildings and conservation
land along the Blackstone River covering 24 towns
from Worcester, MA to Providence, Rl.
This purchase will include 30 acres which contains the
Lonsdale Twin Drive-ln Theater in Lincoln, Rl. This
drive-in theater is located in part of one of the largest
and most significant wildlife marshes in northern
Rhode Island, and is a key stopover for migratory birds
along the Atlantic flyway. The Army Corp of
Engineers is in the process of preparing plans to
demolish the movie screens, remove the asphalt
parking lot, reconstruct wetlands and extend the
Blackstone River Park Bikeway. Remaining funds will
be used to purchase environmentally significant
wetlands, or create conservation easements near the
Superfund site.
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c
ROZER CHESTER MEDICAL
CENTER TEAMS WITH PUBLIC
SCHOOLS TO CONQUER ASTHMA
Within Pennsylvania's
Chester-Upland Public
Schools, children with
asthma are receiving
treatment and education
about this devastating
disease. These students
were being diagnosed
with asthma at an
alarming rate, almost
twice the national
average. When the
Crozer Chester Medical
Center entered into a SEP agreement with EPA and
the Chester-Upland School District to resolve Clean Air
Act violations, the medical center agreed to implement
a comprehensive asthma detection and treatment
program in the Chester-Upland public schools. The
primary goal of this program was to reduce the long
term impact of asthmatic conditions in this student
population.
Under this program, all students in two successive
classes of grades 1, 6, and 11 are screened for asthma.
Depending on the diagnosis, a student suffering from
or at risk for asthma is placed in an appropriate
asthma management program. As a direct result of
these initiatives,
diagnosed students are
linked to medical care
programs designed to
enhance their asthma
management. The
students and their
families are educated to
improve daily asthma
management and to
reduce exposure to
environmental irritants.
This SEP responds to a community-specific, environ-
mentally-related need in this affected area. In
addition, it also meets the primary purpose of the SEP
policy—encouraging and obtaining environmental and
public health protection and improvements.
Goals of the Asthma Management Program for
children include:
increased exercise capacity
reduced time lost from school
reduced nocturnal asthma
reduced emergency room visits or hospitalizations
reduced effects from medications.
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EPs FOR MULTIPLE FACILITIES:
UNITED TECHNOLOGIES
CORPORATION
As part of a consent decree to resolve environmental
violations at all of its New England facilities, United
Technologies Corporation (UTC) agreed to perform
two SEPs. The first SEP involves research into the
replacement of chromium in their plating operations at
Pratt & Whitney (a part of UTC), and the second SEP
provides environmental restoration at Lord Cove, a
large wetland in Connecticut.
Preventing Pollution Using Innovative
Technology
Hexavalent chromium is used extensively in industrial
coatings to protect metals operating at extemely high
temperatures in harsh, corrosive environments. When
released as a waste into the environment, hexavalent
chromium is known to cause cancer and damage to
DNA. Not only does Pratt & Whitney generate more
than 10 tons of waste containing hexavalent
chromium each year, its plating process generates
thousands of gallons of acid and alkali rinse solutions
which require treatment and disposal. New research
into possible chromium substitutes or replacements
could have far-reaching effects, not only for UTC, but
also for the entire aerospace industry.
UTC's first SEP allows for a systematic approach to
developing and testing chromium substitutes. Pratt &
Whitney, in conjunction with the University of
Connecticut, has identified possible substitutes for
chromium in various company operations. These
include surface polymerized coatings, thin-film sulfuric
acid anodized coatings, non-chromated conversion
coatings, and nickel tungsten alloy electrodeposits.
The testing and possible inclusion of these substitutes
in manufacturing processes represent much needed
change for the electroplating industry.
This SEP will allow Pratt & Whitney to conduct
ground-breaking research which may greatly benefit
the environment. Because of the potential economic
benefit to the company of a successful technology
breakthrough, UTC has agreed that any first-year
profits will be used to fund additional SEPs.
Restoring Natural Environment on the
Connecticut River
The second SEP involves restoring tidelands on the
Connecticut River by removing 200 acres of the
invasive reed known as Phragmites australis. This SEP
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will help reverse the damage caused by this invasive
plant which is harming the native ecosystem and
habitat. Lord Cove, an 1,100-acre brackish tidal
marsh, is one of the core sites within the tidelands.
Since 1968, the reed has taken over approximately
half of Lord Cove and is considered to be an
immediate threat to the marsh's existence. UTC
contracted with The Nature Conservancy to
rehabilitate the marsh over a three-year period. The
proposed completion date for this SEP is September
2001.
The Nature Conservancy describes the tidal
region of the lower Connecticut River as ...
"one of the richest ecosystems in the northeast,
providing habitat for hundreds of species, seven of
them globally rare or endangered, and containing an
extraordinarily unsullied wetland complex."
*•-; v *•- •
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ETTING A GOAL BEYOND
COMPLIANCE - U.S. MINT,
PHILADELPHIA
The first Clean Air Act penalty action EPA ever filed
against a federal facility occurred on January 23, 1998
in an administrative complaint against the U.S. Mint in
Philadelphia, PA. The U.S. Mint is the world's largest
manufacturer of coins, medals, and coin-based
consumer products. The Philadelphia Mint facility is
just one of two Mint facilities that creates the coins
circulated for daily use in commerce.
The administrative complaint was a result of a 1997
inspection. During the inspection, EPA discovered
violations of testing, monitoring, and operation and
maintenance requirements for chromium
electroplating. An additional violation included the
lack of a certified technician being present during the
servicing of equipment containing chlorofluorocarbons
(CFCs). In order to come into compliance, the U.S.
Mint upgraded the pollution control equipment for its
chromium electroplating operations. As a SEP they
also agreed to install and operate a more efficient
emissions control system for two hard chromium
electroplating tanks, as well as a chromium strip tank.
This system will significantly reduce chromium
emissions beyond that required for compliance.
Health risks associated with chromium compound air
pollutants include lung cancer and other respiratory
ailments. CFC emissions are believed to contribute to
the depletion of the ozone layer which protects the
Earth from harmful ultraviolet radiation. Loss of ozone
may lead to an increase in skin cancer in humans, and
cause damage to plant and animal life as well.
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ROTECTING NEW YORK ClTY?S
CROTON WATER SUPPLY
The drinking water supply for New York City and its
surrounding counties comes from a large watershed
spanning southern New York State. Drinking water is
supplied by two providers, one of which is the Croton
water supply. The Croton water supply consists of 10
reservoirs and 3 controlled lakes which have the
capacity to hold 95 billion gallons of water. Under
normal conditions, this system provides 10% of the
New York City water supply and up to 30% under
drought conditions. Because of the dense population
in this watershed, there is some concern about
waterborne contaminants.
In 1998, New York City agreed to build a filtration
plant for its Croton Drinking Water System to reduce
the risk of contaminants for its nearly one million
residents. This agreement is part of a settlement that
resolves Safe Drinking Water Act violations for failure
to filter the Croton water supply. In addition, the City
agreed to perform four watershed protection SEPs.
The first SEP involves land acquisition in the Croton
watershed area. The city has agreed to acquire fee
title to or watershed conservation easements on
vacant, undeveloped real property in the Croton
watershed. This property will be kept in perpetuity in
an undeveloped state to protect the Croton watershed
and the New York City water supply.
A second SEP addresses storm water runoff. Two
communities, the Town of Patterson and the Village of
Brewster, were chosen to participate in the study and
in the implementation of storm water management
district plans and necessary retrofits.
The third SEP is the construction of a sewer line on the
main street of the Village of Brewster which will
connect to the wastewater treatment plant after it has
been upgraded. The sewer line will make it possible
to eliminate use of old, inadequate septic systems and
eliminate potential contamination of leaks from those
systems.
The final SEP is a community project which will
potentially impact the Bronx River. The city is
currently in the process of seeking community input,
and obtaining assistance from the Army Corps of
Engineers.
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EDUCING WATER POLLUTION
IN THE CITY OF BALTIMORE
As part of a settlement of Clean Water Act violations
by city-owned filtration and wastewater treatment
plants, the City of Baltimore, Maryland agreed to
perform three SEPs. These SEPs are designed to
improve water quality above and beyond what would
be achieved by measures required to return to
compliance.
Controlling Pollution in Gwynns Run
This pollution control project involves the construction
of a storm water treatment system. The system
consists of an artificially created wetland to slow the
flow of water and precipitate out pollutants. It is
located at the confluence of Gwynns Run and Gwynns
Falls.
Collecting Debris in Gwynns Falls
For its second SEP, the City of Baltimore committed to
installing a debris collection system along Gwynn Falls.
This system will collect trash and debris and prevent it
from being washed into the stream.
Managing Storm Water in Brooklyn Park
The third SEP involves installing a storm water pond in
the Brooklyn Park area near the City of Baltimore.
This pond, designed and built with appropriate flora
and fauna, will collect storm water runoff to allow
pollutants to precipitate out of the water.
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D
ELMARVA POWER AND LIGHT
RESTORES A WETLAND
Delmarva Power and Light (Delmarva P&L) is a large
electric power company with 198 distribution stations
in the states of Delaware, Maryland, and Virginia.
Delmarva P&L faced penalties for the discharge of oil
by several of its facilities into rivers and other
waterbodies. As part of the settlement for these
Clean Water Act violations, Delmarva P&L agreed to
conduct a SEP to restore a wetland.
Delmarva P&L will restore approximately twelve acres
of wetland in the Longfield area at the Blackwater
National Wildlife Refuge in Cambridge, Maryland.
The project involves excavating and grading the
existing soil, and providing water control structures
(i.e., pipes). When the project is completed,
Delmarva P&L must provide expert documentation
that the project has resulted in a functional wetland.
This project is consistent with the Clinton
Administration's Clean Water Action Plan, which has
proposed a goal of no net loss of wetlands and,
beginning in 2005, a net increase of 100,000 acres of
wetlands per year.
T
OWN OF LURAY RESTORES
STREAM QUALITY
As part of its settlement for Clean Water Act
violations, the Town of Luray, Virginia, agreed to
perform a SEP which involved, among other actions,
the restoration of a streambank in the town. Overall,
the project consisted of the demolition and removal of
the wastewater treatment facility and associated
debris, the construction of a pond which is designed
to collect runoff from a nearby parking lot, and the
restoration of the native flora on the banks of
Hawksbill Creek. The project will reduce erosion by
stablilizing the streambank and help to improve the
ecosystem affected by the violations. It will also
enhance an open space area for the local community.
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MPROVING WATER QUALITY IN
THE CITY OF ATLANTA
On September 24, 1998, the City of Atlanta, Georgia
entered into an agreement that resolved Clean Water
Act and Georgia Water Quality Control Act violations
at all nine of its combined sewer overflow (CSO)
facilities. CSO facilities discharge untreated
wastewater directly to rivers, lakes, and estuaries
during periods of heavy rainfall or snowmelt. These
CSOs typically reduce water quality because they
contain not only storm water but also untreated
human and industrial waste, toxic materials, and
floating debris. Because of this potential damage to
water quality, the City of Atlanta agreed to perform
two SEPs to cleanup and protect streams affected by
CSOs as part of the settlement.
Protecting Streams Through the Greenway
Acquisition Project
For this SEP the City of Atlanta will acquire and
maintain protected areas, called Greenway Properties,
along selected portions of streams originating in or
flowing through the City of Atlanta. The completion
date for this project is March 31, 2007.
Removing Debris Through the Stream
Cleanup Project
For this SEP the City of Atlanta provided a one-time
cleanup of trash and debris from the banks of selected
streams affected by CSOs.
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Concerns Regarding Environmental Justice
These SEPs also included an environmental justice (EJ)
component. Based on a preliminary analysis
conducted in September 1998, EPA was concerned
about the impact of CSOs on Atlanta's minority
and/or low income neighborhoods. The analysis
demonstrated that two-thirds of the locations where
CSOs occurred were in areas with minority
populations exceeding 50%. In addition, seven of the
nine CSO facilities were located in densely populated
communities with minority populations ranging from
82-100%.
This EJ component of each SEP provided for the
establishment of a SEP Advisory Committee (SAC).
The City of Atlanta has selected a SAC from a broad
cross-section of community stakeholders that includes
minority representatives from neighborhoods impacted
by the CSOs, community leaders, neighborhood
planning units, business community leaders, and other
interested community members. Under the terms of
the consent decree, the SAC provides advice and
recommendations to the City regarding suggestions
from minority neighborhood groups in the
development, management, and implementation of
the Greenway Acquisition Project and the Stream
Cleanup Project. Particular emphasis is placed on
input from minority communities adjacent to
designated streams and other streams affected by the
discharges from the City's CSO facilities.
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EWERAGE AND WATER BOARD OF
NEW ORLEANS WORKS TO
REVITALIZE LAKE PONTCHARTRAIN
Through the 1970s, the Lincoln Beach area of Lake
Pontchartrain was known as a popular and safe
recreation spot. Families from the surrounding
neighborhoods used the beach and lake as a safe,
healthy place for swimming and other recreational
activities, such as fishing. By the early 1980s, however,
the lake became badly contaminated and could no
longer serve either purpose. Major sources of
contamination included both urban runoff from
surrounding areas, and overflows from New Orleans'
combined sanitary and storm sewer system. The
overflows occurred during storms which overwhelmed
the old system's capacity.
Prior to EPA's
involvement,
local
environmental
organizations
such as Save
Our Beach and
the Lake
Pontchartrain
Basin Foundation
went to great
lengths to establish conservation guidelines for the
neighboring communities. While water quality
gradually improved, bold efforts were necessary to
make greater improvements.
In 1998, as part of the settlement for Clean Water Act
violations due to the old sewage system, the Sewerage
and Water Board of New Orleans proposed a SEP that
would lead to the restoration of a viable fishery habitat
and eventual re-opening of the Lincoln Beach recreation
area.
The Sewerage and Water Board's specific goals
for the Lincoln Beach SEP project include:
Water quality improvement and public health
protection.
Public access and use for education, recreation,
swimming, and fishing.
Restoration, enhancement, and creation of
wetlands and vegetative upland buffers and
submerged aquatic beds.
Reduced runoff and erosion.
To enhance the progress of water quality improvement
in Lake Ponchartrain, the SEP included several
measures: (1) planting submerged aquatic vegetation
to serve as a habitat for native aquatic organisms and
to enhance natural water quality; (2) constructing
vegetative buffer zones on the lake shore to improve
the quality of non-point source storm water runoff; and
(3) enhancing wetlands through planting native wetland
species. With their native indigenous ecosystems, these
restored areas will also serve as an educational resource.
In addition to these measures, the SEP includes the
establishment of a unique continuous water quality
monitoring system to track changes in the lake's water
quality. After years of a community joining together to
improve its environment, Lake Pontchartrain is on its
way to again becoming a valuable recreational resource.
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KEATING BALTIMORE'S INNER
CITY CHILDREN WITH ASTHMA
S.C. Johnson & Son resolved violations of the Federal
Insecticide, Fungicide, and Rodenticide Act (FIFRA) by
paying a penalty and agreeing to assist the Asthma
and Allergy Foundation of America (AAFA) with the
purchase and staffing of a mobile asthma clinic (a
Breathmobile®). Staffed by a physician, a nurse, and
a respiratory therapist, the Breathmobile® will provide
preventative health care as well as specialized asthma
treatment to high-risk, inner-city children. The great
advantage to this mobile asthma clinic is that it brings
consistent state-of-the-art medical care to inner-city,
underprivileged children right at their elementary
school. These children would otherwise not have
routine access to effective asthma care.
Studies suggest that children who remain in the
program for three visits experience improvement in
their asthma health, therefore, the mobile asthma
clinic will provide each child with at least three visits.
This settlement resolves violations of FIFRA for
allegedly selling and distributing an unregistered
pesticide, which was marketed to allergy sufferers, and
addresses both environmental justice and children's
health concerns involving allergies. The settlement
supports the mobile asthma clinic for a full year of
diagnosis and treatment. After one year of treating
children, the S.C. Johnson &Son settlement
anticipates that the mobile asthma clinic will be
continued through the University of Maryland.
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•••"• :< -V:
Citizens now have more iniorma
about releases of toxic emissions in their
communities, which provides incentives for
facilities to drive emissions down."
Innovation at the Environmental Protection Aeencv:
A Decade of Progress. U.S. EPA9 April 2000
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Beyond Compliance: Supplemental Environmental Projects
A
SHLAND OIL COMPANY SEPs
REDUCE POLLUTION, EDUCATE,
AND PRESERVE NATURE
Through combined efforts involving EPA, Ashland Oil
Company (Ashland), and state and local agencies,
Ashland agreed to perform six SEPs to settle an
enforcement action for environmental violations. These
SEPs involve pollution reduction, environmental
restoration, assessments and audits, and environmental
compliance promotion. The SEPs are part of an unusual
1999 settlement which involved three of Ashland's
geographically-dispersed petroleum refineries located in
St. Paul Park, Minnesota; Canton, Ohio; and
Catlettsburg, Kentucky.
Reducing Local Environmental Impacts
In two separate SEPs, Ashland agreed to provide for the
installation of hydrofluoric acid detection and mitigation
systems. Ashland agreed to these additional pollution
reduction measures at both the St. Paul Park, Minnesota
and Canton, Ohio facilities. Hydrofluoric acid is an
extremely toxic compound that can cause severe burns of
human tissue. The detection and mitigation devices
provide additional protection for the surrounding
communities, and go far beyond what is currently
required by law.
In a separate SEP, Ashland agreed to install upgrades on
its Canton Refinery oil/water separator tanks. This will
substantially reduce emissions of volatile organic
hydrocarbons to the atmosphere, and thus reduce the
smog in the area.
Restoring Minnesota Prairie Lands
The Grey Cloud Dunes area incorporates high terraces,
sandy soil, prairie grasslands, and distinct species of plants
growing on dunes on high banks above the Mississippi
River. Ashland held ownership of 274 acres of this
prairie, and local groups were concerned about the
potential for industrial development which could destroy
this unique ecosystem. As one of its SEPs, Ashland
renovated the Grey Cloud Dune Prairie and donated it to
the State of Minnesota. The state has dedicated the
land, located near Cottage Grove, Minnesota, as a
permanent scientific and natural preservation and study
area.
Promoting Environmental Compliance and
Education
Ashland teamed with the Salato Center in Frankfort,
Kentucky, for an environmental compliance promotion
and education program that provides training and
technical support to small businesses, developers,
industry, and the agricultural community. The program is
designed to provide education on how to achieve and
maintain compliance with the Clean Water Act and Clean
Air Act, and about the potential benefits of pollution
prevention or other measures which enable businesses to
exceed environmental compliance requirements.
Air Monitoring and Assessment
In conjunction with the Commonwealth of Kentucky,
Ashland agreed to conduct ambient air monitoring and
analysis as part of a tri-state geographic environmental
initiative involving Kentucky, Ohio, and West Virginia.
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Maintain the chemical, physical,
and biological integrity of the
•—9Kac* i •<• jT ^^ '
.Nation's water supply.
t rf J
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Beyond Compliance: Supplemental Environmental Projects
A
SARCO's SEPs PROTECT
PUBLIC HEALTH AND RESTORE
WETLANDS
ASARCO's lead refinery in Omaha, Nebraska, began
operations during the end of the 19th century.
Although this facility is now closed, over a century of
operations resulted in contamination of the surrounding
area by airborne lead particulates. As part of a
settlement agreement for Clean Water Act violations,
ASARCO agreed to implement SEPs to: (1) create,
restore, or improve the ecosystem of the Missouri River
into which the plant discharged; and (2) explore and
mitigate potential public health problems related to its
past operations.
Improving the Ecosystem of the Missouri
River Watershed
The first SEP focused on reversing wetland losses in the
Missouri River corridor. Protecting and restoring the
nation's wetlands have been a major EPA goal during
the last decade. Because the Missouri River corridor
had substantial wetland losses which afflicted many
river basins, this SEP contributed to the on-going effort
to reverse those losses, partially through the
development and implementation of a wetland
restoration plan for sites along the river corridor.
To implement this SEP, ASARCO assisted the Papio-
Missouri Natural Resources District (District) with the
purchase of approximately 475 acres adjacent to
property the District already owned. The new land was
used to restore, enhance, or create wetlands in the river
corridor, and to expand an existing protected wildlife
area. The District carried out restoration and sampling
activities to assess the effectiveness of restoration
efforts at four sites along the Missouri River.
Assessing and Protecting Public Health
ASARCO's second SEP focused on assessing public
health risks due to the long-term airborne lead
contamination problem. The Omaha/Douglas County
Health Department was selected to measure both
current blood lead levels in children and evaluate
possible health impacts. The blood level sampling was
completed, and the results led to further sampling. The
additional sampling included both blood levels in
vulnerable children and measures of lead levels in soils,
homes, and at daycare facilities. Superfund cleanup
actions have been initiated to remove contaminated
soils from the yards at some daycare facilities that were
particularly impacted.
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Beyond Compliance: Supplemental Environmental Projects
B
ROWNFIELDS CLEANUP BY
SHERWIN-WILLIAMS
As part of its 1997 consent decree to resolve
environmental violations, the Sherwin-Williams resin
and paint facility in southeast Chicago agreed to
perform two SEPs to improve the environment in the
surrounding community. Sherwin-Williams chose to
clean up a Brownfields site on Chicago's southeast side
and to restore a wetland in the southeast area near
Lake Calumet. The combined environmental benefits
to the community came from not only the SEPs but
also from the changes in facility operations (e.g.,
reduced VOC emissions due to changes in the paint
production process) required to ensure future
environmental compliance.
Cleaning Up a Brownfields Site
Sherwin-Williams contracted with the City of Chicago
to redevelop a Brownfields site in the Victory
Heights/West Pullman section of the city. The 130-
acre site, which is about a mile from the Sherwin-
Williams plant, contains vacant, partially demolished
factories and is crisscrossed with active and inactive
railroad tracks. The surrounding neighborhoods are
primarily minority. There are community groups
dedicated to the restoration of this area. Of particular
interest in this case is that the SEP addresses
improving the quality of life for people who have been
and will be affected by any pollution generated by the
Sherwin-Williams facility.
Using SEPs at Brownfields:
"SEPs are an innovative way of leveraging a
community's resources to successfully address
environmental issues by complementing their
Brownfields program." Dave Reynolds, City of Chicago
Department of Environment.
"We believe such projects can be effective tools in
addressing issues of environmental justice in low-
income and minority communities." Stefan Noe,
attorney for Citizens for a Better Environment.
Wetlands Restoration
The second SEP involves wetlands restoration in the
Indian Creek marsh near Lake Calumet, which is also
near the Sherwin-Williams facility. The company
contracted with Open Lands, a local environmental
group completing the marsh restoration. The project
includes cleanup and protection of the existing
habitat, planting, maintenance, and upkeep.
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Beyond Compliance: Supplemental Environmental Projects
s
IMPSON PAPER COMPANY
RESTORES SALMON HABITAT
After declining for many years, the salmon population
in three creeks in Humboldt County, California, is
recovering due to the positive results of SEPs
performed by the Simpson Paper Company. On
January 6, 1995, EPA and Simpson entered into an
Administrative Order which ended an EPA
enforcement action for Clean Water Act violations at
Simpson's Humboldt pulp mill located on the Pacific
Ocean in Humboldt Bay, California. As part of the
settlement, Simpson agreed to perform three SEPs to
restore the salmon spawning habitat in three creeks:
Salmon Creek, Long Prairie Creek, and Terwer Creek.
With mutual interest in restoring the migratory fish
habitat, EPA and Simpson easily agreed to use the SEP
policy, making the negotiation process relatively simple
and straightforward. These SEPs complemented EPA's
ongoing efforts to protect water quality and habitat of
northern California watersheds.
Enhancing Salmon Creek's Riparian
Corridor
To enhance the survivability of salmonids in Salmon
Creek, Simpson successfully planted an estimated 500
conifers in riparian zones along the stream. It is
anticipated that as the cover matures, branches and
trees will eventually fall into the stream providing
good salmon recruitment areas and hiding areas as
pools with adequate cover are formed.
Creating Quality Spawning Habitat in
Long Prairie Creek
Once suffering from limited pool depth and a lack of
escape cover, the Long Prairie Creek is again becoming
quality spawning habitat. By implementing this SEP,
Simpson increased pool depth and the rearing habitat
in existing pools by appropriately placing large logs or
rootwads within the channel. Where possible, only
natural anchoring techniques were used to place the
logs.
Improving Rearing Habitat in Terwer Creek
After witnessing little spawning and a lack of riparian
vegetation, edgewater cover, and stream channel
stability within the Terwer Creek canyon, Simpson
used this project to improve thejuvenile rearing
habitat in this stream. The project involved placing
logs in areas that would provide ideal spawning
habitats for the salmon. Habitat restoration projects
along these streams are expected to yield immediate
short term and long term improvements in habitat for
relatively small capital outlays.
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Beyond Compliance: Supplemental Environmental Projects
I
NTERNATIONAL COOPERATION ON
A POLLUTION PREVENTION SEP
This SEP, involving General Instruments' facility in El
Paso, Texas, and Transportation Electronics' facility in
Juarez, Mexico, is the first example of a cooperative
effort between EPA and PROFEPA, the enforcement
arm of Mexico's environmental protection agency.
Wastes from the Mexican maquiladora plant were
shipped to the staging facility in El Paso, Texas. From
there, wastes were shipped to treatment, storage, and
disposal facilities in the United States. General
Instruments and Transportation Electronics violated the
Resource Conservation and Recovery Act by using an
unlicensed transporter to take wastes from Juarez to El
Paso. When EPA took enforcement action against
both General Instruments and Transportation
Electronics, the companies agreed to perform a
pollution prevention SEP at the Juarez facility.
The SEP addresses a manufacturing process at the
maquiladora plant where the facility purchased and
placed into operation three Inert Gas (Nitrogen) Wave
Solder machines to replace the existing solvent-based
machines. By using solvent-free flux, no process
water is necessary, resulting in a 100% reduction of
the plant's wastewater discharge from solder
operations. Use of the new machinery and the
solvent-free flux greatly reduces the risk of employee
exposure during solder operations, as well as
optimizing the use of the solder, and reduces the by-
product solder dross, which is a hazardous waste.
Because the Juarez facility was not in violation of any
Mexican law, the SEP provided a means of bringing
about a significant voluntary environmental
improvement.
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educe or eliminate
"the generation of
hazardous wastes.
I
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Beyond Compliance: Supplemental Environmental Projects
s
AFE DRINKING WATER FOR THE
CITY OF SANDPOINT, IDAHO
After two years of work, the City of Sandpoint, Idaho
can now offer its residents clean, safe drinking water.
Prompted by EPA in 1998, Sandpoint began to take
appropriate actions to address public concerns about
unsafe water quality caused by the city's ineffective
water pretreatment program. In the same year,
Sandpoint proposed an environmental restoration and
protection SEP as part of resolving an EPA
enforcement action for SDWA violations. The SEP
would protect and improve the quality of Sandpoint's
public drinking water supply.
Protecting Drinking Water Through Land
Acquisition
To both improve the quality of its drinking water and
help protect it from potential contamination,
Sandpoint purchased 60 acres of land that lies within
the city's watershed. Two sources of the city's
drinking water, Little Sand Creek and Lake Pend
Oreille, are located within this newly-acquired land.
To preserve the land and protect these drinking water
sources, Sandpoint put all the necessary easements
and covenants in place. These actions and the
continued success of this project will provide safe
drinking water to the residents of Sandpoint for years
to come.
R
EDUCING WASTES AT
SPECTRUM GLASS
On April 25, 2000, the Spectrum Glass company
located in Woodinville, Washington, agreed to
perform a pollution prevention/pollution reduction
SEP as part of resolving an EPA enforcement action
for environmental violations. This SEP requires
Spectrum Glass to conduct a two-year pilot project to
determine the feasability of directly reusing glass
cullet, currently a waste product containing
chromium, manganese, and zinc. The company
intends to reuse approximately 986,000 pounds of
cullet each year, which is at least 8% of the cullet
currently generated. Thus, by reusing the cullet, less
waste containing these metals will be disposed.
To evaluate the effectiveness of the SEP, Spectrum
Glass will report on costs of the SEP and any lost
profit margin; percent reduction in use of sodium
bichromate, manganese dioxide, and zinc oxide;
percent reduction in hazardous materials landfilled;
and percent cullet reused each year.
While this project is expected to result in some lost
profit margin for Spectrum Glass, the pollution
reduction gains benefitting the environment and
public health will be significant.
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Beyond Compliance: Supplemental Environmental Projects
P
SC PRESERVES AN ECOSYSTEM
AND REDUCES AIR POLLUTION
In 1992, Public Service Company (PSC) purchased the
Hayden Station. This 440-megawatt power plant,
which sits in the Yampa Valley of Colorado, is located
19 miles upwind of the Mount Zirkel Wilderness Area.
At the time of the purchase, Hayden Station operated
with no controls for nitrogen oxides or sulfur dioxide,
and emitted extremely high levels of both pollutants.
In 1993, the local Sierra Club sued PSC over opacity
violations caused by the Hayden plant and the adverse
effects of the plant's emissions on the wilderness area.
EPA subsequently sued PSC for additional violations of
the Clean Air Act at the Hayden Station.
In negotiations with EPA and the Sierra Club, PSC
agreed that it would conduct two environmentally-
beneficial projects in the Yampa Valley. While PSC
suggested the idea of the SEPs, which all parties feel
helped to resolve the litigation, the Sierra Club
suggested the specific elements of the SEPs. The
parties reached agreement on the SEPs in May 1996.
PSC placed funds for the projects in escrow accounts
managed by the Sierra Club. Both SEPs have now
been completed.
Preventing Ecosystem Damage
This SEP focused on the preservation of the Yampa
Valley ecosystem. The Sierra Club used the escrowed
funds to purchase land in the Yampa Valley for
conservation easements to prevent development
which would damage the Valley ecosystem and the
nearby wilderness area. Initially, the Sierra Club
focused on the possibility of purchasing key parcels of
land to prevent the development of a planned ski
resort, which could have brought an additional 20,000
visitors to the Valley. However, this purchase was not
necessary because, after extended negotiations, the
developer chose to build 20-30 high-end private
houses rather than the ski resort. This decision was
spurred by local opposition in the Valley, the expiration
of the developer's permits with the Forest Service, and
tax incentives for the developer.
Consequently, the Sierra Club was able to use the
escrowed funds to purchase a large ranch located next
to the Yampa River. The land, approximately 1,000
acres, was deeded to the Yampa Valley Trust. Because
this land is at the base of a national forest, its
purchase is critical to preservation of the ecosystem.
This agreement makes sense because
"The parties saved themselves and taxpayers money
by negotiating rather than continuing to litigate. All
sides compromised and reached a settlement that
ensures improved air quality in the Yampa Valley and
nearby Mount Zirkel Wilderness Area." Patricia Hull,
Former EPA Regional Administrator, May 22, 1996.
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Beyond Compliance: Supplemental Environmental Projects
Reducing Air Pollution
Under the second SEP PSC placed funds into an
escrow fund to promote conversion of wood-burning
stoves to natural gas or propane. In this case, the
Sierra Club used the escrowed funds to assist the
county health department, which administered the
conversion of almost 400 wood-burning stoves to
either propane or natural gas. For low-income
families, the full cost of the conversion was covered;
for others, there were subsidies. The SEP helped the
county resolve the nonattainment problems for
particulate matter, and it has recently been re-
designated as attaining the air quality standard. The
health department has been extremely pleased with
the results. This SEP demonstrates that pollution
prevention SEPs are not restricted to cutting edge
technology.
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Beyond Compliance: Supplemental Environmental Projects
R
ESTORING FISH HABITAT IN
MONTANA
In March of 1999, CONOCO Pipeline Company and
the Yellowstone Pipeline System, which is operated by
CONOCO, came to an agreement with EPA on
penalties resulting from a 1992-93 oil spill into Camas
Creek on the Flathead Indian Reservation in Montana.
As a SEP, CONOCO agreed to construct fish
passageways on the Jocko River, which is located
within the same watershed as Camas Creek. The goal
of the passageways is to enhance the growth of the
threatened bull trout population and to preserve a
genetically pure population of westslope cutthroat
trout, which is Montana's state fish. When
completed, the passageways will be owned and
operated by the Confederated Salish and Kootenai
Tribes.
This SEP involved several parties, including EPA, the
Department of Justice, the companies, the Fish and
Wildlife Service, and the Tribes. From discussions
among the parties, one positive outcome was the
groundbreaking progress made in Tribal relationships.
The design of the SEP was largely due to input from
the Tribes during the SEP negotiations. While others
will also benefit from this SEP, the Tribes will receive
substantial rewards from the fish passageways.
P
ROTECTING ALASKAN
WETLANDS
As part of the settlement for violating the Clean
Water Act, the Quality Asphalt Paving, Inc. will
transfer affected wetland property to the state parks
department for protection and management. Barriers
will be built to limit access and promote natural
restoration of the site.
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Beyond Compliance: Supplemental Environmental Projects
c
ONCLUSION
The SEPs described in this booklet are but a small
sampling of the projects undertaken as part of EPA's
environmental enforcement settlements. While these
projects have significant monetary value, the true
value of these projects lies in the impacts that they
have on public health and/or the environment actually
or potentially affected by the violation. SEPs offer a
unique opportunity to achieve additional
environmental improvements that are in addition to
what is required for violators to return to compliance
with environmental regulations.
In going beyond what is required to settle an
enforcement action, SEPs help the Agency meet its
long-term, Congressionally-mandated goals. For
example, projects that reduce emissions of pollutants
or eliminate their production have a positive effect on
the local community's air quality. SEPs that involve
health screening and treatment for children affected
by the pollution can improve public health
dramatically. Restoration projects that return
wetlands to their natural state not only provide habitat
for endangered and other species, but allow for
natural filtration of pollutants and flood control.
Because the benefits to the community and the
environment that can be obtained through SEPs can
be significant, the Agency encourages their use in
settlement agreements. Additional information on
SEPs and the SEP policy may be found at
www. epa .gov/oeca/sep.
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xvEPA
United States
Environmental Protection Agency
(2248A)
Washington, DC 20460
Official Business
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