Ho w does NEIC marshal its
technical and scientific
resources to effectively
support environmental
enforcement?
What tools in which combinations will prove most effective? These ques-
tions illustrate the present and future challenges for the National Enforce-
ment Investigations Center (NEIC), EPA's technical enforcement office
located in the Hocky Mountain foothills just west of Denver, Colorado.
Whether pioneering multi-
media investigations, developing
new laboratory procedures, pro-
ducing enforcement targeting
profiles, or training, the Center
aims to improve the state-of-the-
art. As EPA and the science of en-
vironmental protection evolve, so
does NEIC's mission. Though any
enforcement program is based
upon compliance with the law,
NEIC is striving to help EPA target
the enforcement program for maxi-
mum environmental results.
Since 1970, NEIC has served
EPA as a major investigative and
technical support arm for EPA's
enforcement program, providing
support to the environmental en-
forcement community. NEIC offers
expertise in field investigations,
technical and regulatory analysis,
forensic laboratory analysis, infor-
mation management, and litigation
support. NEIC's experienced pro-
fessionals have earned a national
reputation for professionalism and
the excellence of their work.
NEIC's mission spans most
environmental programs and cov-
ers the country. In partnership
with EPA headquarters; regions;
and other federal, state, and local
agencies, NEIC seeks to develop
and foster the technical and analyti-
cal capabilities that EPA needs to
translate changing national priori-
ties into a successful enforcement
program. NEIC is often the prov-
» ing ground for EPA enforcement
initiatives.
NEIC is organized function-
ally to support enforcement cases.
Case management support teams
may consist of NEIC engineers, sci-
entists, attorneys, analysts, and
environmental protection special-
ists. Complex, high profile cases
often require team members from
all NEIC functional areas. Other
support requests may call on only
one area of expertise, such as a field
inspection or a corporate financial
analysis. This brochure highlights
the Center's skills and services and
describes NEIC's role in EPA's
enforcement program.
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ENFORCEMENT PROGRAM
SUPPORT
Assessing potential sampling loca-
tion in a hazardous waste surface
impoundment.
FIELD INVESTIGATIONS
NEIC directly supports EPA enforcement
programs by conducting field investigations
of complex pollution problems of major pub-
lic interest or national concern that signifi-
cantly impact the environment or human
health. Working with EPA headquarters and
regions, our investigation teams plan and
conduct extensive regulatory compliance
investigations that include:
• On-site inspection of industrial,
municipal, federally-owned, and other regu-
lated pollution sources
• Evaluation of pollution control, abate-
ment, and remedial systems, production pro-
cesses, and operations and maintenance
records
• Examination of past and current com-
pliance status, financial conditions, and envi-
ronmental practices within the regulated
community
Using both single and
multi-media approaches,
NEIC conducts investiga-
tions pursuant to the civil
and criminal provisions of
federal environmental
laws.
Sampling at hazardous waste disposal area.
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• Measurement and moni-
toring of regulated sources includ-
ing the collection and analysis of
evidentiary samples
• Preparation of comprehen-
sive and fully defensible technical
reports for use in subsequent case
development and litigation
Using both single and multi-
media approaches, NEIC conducts
investigations pursuant to the civil
and criminal provisions of federal
environmental laws including the
Clean Air Act; Clean Water Act;
Resource Conservation and Recov-
ery Act; Safe Drinking Water Act;
Toxic Substances Control Act; Fed-
eral Insecticide, Fungicide, and
Rodenticide Act; and the Compre-
hensive Environmental Response,
Compensation, and Liability Act.
Typical field activities might include excavating waste materials, evaluating drummed
waste contents, preparing for field activities, and photo documentation of samples for litiga-
tion.
TECHNICAL AND REGULATORY ANALYSIS
NEIC engineers and scientists
often advise EPA headquarters
and regions on technical and regu-
latory issues that arise during case
development, settlement negotia-
tions, and litigation. As necessary,
NEIC provides fact and expert wit-
nesses during criminal and civil
enforcement proceedings. With
their knowledge of environmental
regulations and associated techni-
cal requirements, NEIC staff sup-
port enforcement case findings,
develop methods and procedures,
defend positions taken by the gov-
ernment, and participate in negoti-
ations.
This environmental enforce-
ment expertise permits NEIC engi-
neers and scientists to fill a crucial
role on EPA workgroups and task
forces. Through these forums,
NEIC provides input to: regulation
development and implementation;
identification of pilot projects for
enforcement initiatives; and prepa-
ration of enforcement training
courses, seminars, and workshops.
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NEIC has established a
reputation for providing
unique laboratory
analyses to support
complex and unusual
enforcem en t
actions.
FORENSIC LABORATORY ANALYSIS
Chromatographic analyses are often used as
part of the "fingerprinting" process.
The NEIC laboratory is the
nationally recognized center of ex-
pertise in environmental chemistry
in a forensic setting. This emerging
scientific field uses analytical chem-
istry to support enforcement activi-
ties. Laboratory activities include
analyzing samples to identify spe-
cific violations of pollution control
laws, evaluating the enforceability
of regulations, and customizing
methods to solve unusual enforce-
ment case problems.
NEIC scientists support a wide
variety of civil and criminal investi-
gations referred by EPA and other
government agencies. This support
requires dependable scientific
analyses and a mastery of environ-
mental regulations as they apply to
the measurement process.
NEIC has established a reputa-
tion for providing unique labora-
tory analyses to support complex
and unusual enforcement actions.
Such analyses include:
• Determining elemental iso-
tope ratios to distinguish between
enriched and naturally occurring
uranium and between lead samples
taken from different mines
• "Fingerprinting" composi-
tions of wastes from unknown
sources to identify the probable
source
• Assessing laboratories to
ensure the scientific quality and
integrity of enforcement evidence
NEIC operates a state-of-the-art
analytical chemistry laboratory.
Beyond the typical scientific instru-
ments found in environmental labs,
such as gas chromatographs and
atomic absorption spectrometers,
the NEIC lab contains additional
sophisticated equipment and capa-
bilities, including:
• High Pressure Liquid Chro-
matograph/Mass Spectrometers for
analyzing complex organic com-
pounds and heat sensitive chemi-
cals
• X-Ray Diffraction and Infrared
Spectroscopy for positive identifica-
tion of individual compounds in-
cluding polymers, pigments,
cyanides, and most inorganics
• Portable instruments to pro-
vide field investigation teams with
critical real-time analytic results
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This hardware would be use-
less without experienced scientists.
NEIC lab personnel continually
work with investigators, engineers,
and attorneys to understand how
and why analytical results are
used to support enforcement
actions. This knowledge adds the
"forensic" to an environmental
chemistry lab. To prove some vio-
lations, NEIC has developed inno-
vative, defensible measurement
methods. It is the scientists'
responsibility to determine the
need for and design the methods,
convey this information to investi-
gators and attorneys, and defend
those decisions in court. These
analyses can be a decisive factor in
a successful prosecution.
Typical lab activities might include sample preparation, calibration of instruments, and
sample analyses by ion chromatography.
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iiin
INFORMATION SERVICES
Knowing how and where to
find accurate information for inves-
tigations, case preparation, or set-
tlement negotiations is essential to
the success of EPA's enforcement
program. NEIC's skilled team of
information specialists responds to
a wide variety of information
requests from federal,
state, and local civil and
criminal enforcement officials.
With access to over 20 EPA and 300
commercial databases, as well as
EPA's Integrated Data for Enforce-
ment Analysis (IDEA) system,
NEIC can locate business, technical,
scientific, and legal information
pertaining to regulated facilities,
chemicals, pollution control tech-
nologies and many other topics.
Information Services products
include:
• Facility Profiles that provide
compliance/enforcement histories,
finances, current news, and other
relevant information for a specific
facility
• Corporate Compliance Profiles
that provide a multi-media
compliance/enforcement history of
a corporation and its subsidiaries
• Superfund Financial Assess-
ments that determine a Potentially
Responsible Party's (PRP) ability to
pay for a Superfund site cleanup
Targeting support is one of
NEIC's specialties. The Center's
information specialists are often
called upon to help develop
national and regional, program-
specific, and multi-media
enforcement targeting strategies.
The NEIC information group seeks
to customize its assistance when-
ever possible by designing
products that meet individual
targeting and information needs.
NEIC maintains a specialized
library for the enforcement com-
munity. Used by EPA personnel,
state and local regulatory/enforce-
ment agencies, and the NEIC staff,
the library houses a collection of
100 technical journals, 2,000 books,
and 500,000 technical reports. It
also provides access to national
database systems such as JURIS,
Westlaw, Lexis/Nexis, Datatimes,
Dialog, Ground-water on-line,
Enforcement Docket Retrieval Sys-
tem (EDRS), and Record of Deci-
sion System (RODS). Special
collections include the Hazardous
Waste Collection, the Consent De-
cree Repository, and NEIC reports.
fe 7 ' '
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INFORMATION MANAGEMENT AND DOCUMENT ORGANIZATION
From search warrant through
prosecution, environmental cases
are often complex and involve
thousands of documents. NEIC
uses sophisticated means of access-
ing, retrieving, and organizing case
information to prepare for investi-
gations, settlements, negotiations,
and trials.
NEIC uses computers and ad-
vanced information management
techniques to help EPA case man-
agement teams effectively organize
and retrieve data from their case
documents. Evidence collection
may begin with search warrant ex-
ecution which can involve seizing
and handling electronic informa-
tion as well as written documents.
Typical information manage-
ment products or services include:
• Document Inventories that pro-
vide indices and retrievals of case
information
• Sample Profiles that graphi-
cally or narratively document
chain-of-custody from sample col-
lection through disposal
• Transnational or Waste-in Data-
bases to rank waste contributors by
volume and describe waste ship-
ments I
• Mass Balance Analyses to mea-
sure discrepancies between system
inputs and outputs of an industrial
process (e.g., waste pick-up vs.
waste disposal information)
i
• PRP Tracking Systems to track
generator information on PRPs at
Superfund sites
I
j
NEIC provides customized
computer databases, reports,
graphs, tables, and diagrams that
can be used as investigation and
case preparation tools as well as
trial exhibits.
LITIGATION SUPPORT
' r ' J ' ~" "f* r i
NEIC field investigations, technical evaluations, information services,
- and laboratory analyses often are the basis for subsequent civil or criminal
- enforcement actions.' When EPA anticipates pursuing litigation, NEIC
• engineers, scientists, attorneys, and analysts supporting the investigation
become part of fee case management team. Team members convey com-
' plex, technical information in a form easily undef stood by judge and jury.
Specific products include statistical and graphical analysis of data and
preparation of charts, tables, and graphics for tru» courtroom.
The Center's attorneys assure that the technical work is effectively and
accurately communicated in the context of the case and the relevant envi-
.- ronmental laws. In most cases/ NEIC legal support begins with the initial
investigation arid continues through trial or settlement, During any
- enforcement action, NEIC attorneys coordinate their efforts, as appropri-
ate, with BPA legal offices and the U.S. Department of Justice (DOJ).
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SPECIALTY ENFORCEMENT
SUPPORT AREAS
NATIONAL ENFORCEMENT TRAINING INSTITUTE
The Pollution Prosecution Act
of 1990 mandated the establish-
ment of the EPA National Enforce-
ment Training Institute (NETI) to
train federal, state, and local law-
yers, inspectors, civil and criminal
investigators, and technical experts
in the enforcement of the nation's
environmental laws. NEIC man-
ages NETI's western facility.
With faculty drawn from
NEIC, other EPA offices, and vari-
ous federal agencies, NETI-West
offers a wide variety of courses, such as Environmental Investigations
Analysis Methods, Multi-media Investigations, Civil Investigations, and
the Role of Information in the Enforcement Process.
STATE ASSOCIATIONS
NEIC, as part of the Office of Enforcement, funds four environmental
enforcement associations for most states and includes some Canadian
provinces. The associations bring together local, state, and federal
attorneys, regulators, and investigators. Networking, training, and
criminal enforcement information sharing are important elements in their
programs.
The state associations have developed many well-designed training
courses, an ever-growing cadre of first-rate instructors, and a delivery sys-
tem for training many front-line environmental enforcers quickly, effi-
ciently, and effectively. These training programs fall under the umbrella
of the National Enforcement Training Institute and are invaluable compo-
nents of the Institute's overall training program.
The state associations provide EPA's Office of Enforcement with a
most useful institutional arrangement for dealing directly with state and
local environmental officials. EPA has the ability to communicate, train,
share data, provide leadership, and learn from the experiences of state and
local enforcers.
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PESTICIDE PROGRAM AND GOOD LABORATORY
PRACTICE STANDARDS INSPECTIONS
NEIC provides specialized technical support to the Office of Preven-
tion, Pesticides and Toxic Substances' Office of Compliance Monitoring
(OCM) and associated state and regional enforcement programs. Train-
ing is provided to state laboratory personnel to assure that analyses con-
ducted in support of pesticide misuse and product compliance
investigations are reliable and reflect state-of-the-art methods. NEIC also
assesses state laboratory capability and reliability through performance
sample evaluations and on-site inspections. Technical assistance is pro-
vided to OCM, states, and the regions on case development and grant-in-
aid review.
NEIC conducts Good Laboratory Practice (GLP) Standards inspec-
tions at testing facilities in the western U.S. to assure that lexicological,
environmental, and chemical data submitted to EPA by chemical produc-
ers is adequate for risk assessment
purposes. NEIC participates in
international GLP activities, con-
ducting inspections in the Far East
and Europe, as well as hosting for-
eign inspectors on domestic GLP
inspections.
Pesticides investigations often require complex chemical analyses such as high pressure
liquid chromatogmphy and mass spectrometry/gas chromatography. Argon plasma is used
in metal analyses (above). \
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CIVIL INVESTIGATORS
NEIC employs civil investigators to supplement its other enforcement
support functions and to evaluate and develop a program for using the
skills and abilities of civil investigators to meet EPA enforcement program
needs. Primary activities that civil investigators can support include:
• Locating and interviewing witnesses
to support cases
• Evaluating corporate structure and
history to identify responsible individuals
and uncover assets
• Determining the financial conditions
of identified corporations and institutions
• Participating in on-site inspections
with technical teams
Assisting in followup and review of
lodged consent decrees
CORPORATE FINANCIAL ANALYSIS
NEIC provides Agency case management teams
with financial analyses of a regulated entity's ability to
pay a penalty, finance environmental cleanup, and
to determine the economic benefit gained from non-
compliance. Services also include training regional
case attorneys in basic corporate finance and account-
ing principles and providing an expert witness in
selected cases.
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APPLICATION OF REMOTE SENSING TO ENFORCEMENT
NEIC uses LIDAR
technology for en-
forcement of air
program opacity
limits.
NEIC uses a LIDAR (Light Detection And Rang-
ing) to determine, during day or night, compliance
with opacity regulations at stationary air pollution
sources.
To support many on<-site inspections, NEIC
technical teams work with EPA's Office of Research
and Development (ORD) to use other remote sensing
techniques such as aerial photography and subsurface
exploration technology (e.g., ground penetrating radar
and terrain conductivity meters). This cooperative
effort promotes the application of ongoing EPA
research to NEIC enforcement investigations.
I NEIC's monitoring of export
shipments has led to the
^detection of violations that
fJiave been referred to the EPA
^regions for enforcement.
INTERNATIONAL ENFORCEMENT
NEIC provides support to other countries in develop-
ing their environmental enforcement programs. Specific
activities may include briefing foreign visitors on regula-
tions, procedures, and methods, information sharing, and
personnel exchanges. NiEIC also works with other coun-
tries in developing enforcement actions against multi-
national corporations. In cooperation with U.S. Customs,
NEIC maintains the EXPORT database, which tracks inter-
national hazardous waste shipments. Monitoring of
export shipments has led to the detection of violations that
have been referred to the EPA regions for enforcement.
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