... - - urnce or
tnvironmental Protection Public Affairs (A-107)
A9ency Washington DC 20460
4>EPA Note to Correspondents
WEDNESDAY, AUGUST 16, 1989
EPA set a record in fiscal year 1988 for
penalties obtained against violators of environ-
mental laws (summary data attached). The agency
obtained $36.8 million in civil penalties in federal
courts and in administrative proceedings. EPA's
criminal enforcement effort also got results
in 1988. Fifty defendants were convicted of
environmental crimes. Fines totaling $8.6 million
were assessed in criminal cases, with $1.4 million
ordered after suspension. Environmental criminals
were sentenced to 30 years of jail time in 1988,
with eight years ordered after suspension.
EPA Administrator William K. Reilly said,
"I am pleased to see these record enforcement numbers.
They show EPA and the federal government generally
are getting tougher on enforcement, which is the
cornerstone of EPA's environmental programs. We
expect to see even more activity in the future as
we improve compliance with the nation's environmental
laws."
EPA's analysis indicates that few violators got
away without a penalty. Penalties were assessed in
92 percent of those enforcement cases filed by EPA
under statutory provisions that provide for penalties
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A typical civil violator paid thousands of dollars in penalties last
year. EPA has analyzed penalties in terms of median and average figures
for each program.
The highest civil penalty was $2 million in a Clean Water Act case,
one of four cases over $1 million in that program. Penalties over $1
million were also obtained in court cases by the stationary-source air
program (three cases over $1 million) and hazardous waste control program
(one case over $1 million). Administrative cases obtained penalties over
$1 million in the mobile-source air and toxic-chemicals control programs.
Some of EPA's newer programs also chalked up penalties in 1988. EPA
used its new authority for the first time in 1988 to challenge Clean Water
Act violations administratively and assessed more than $500,000 in 40 cases
In addition, underground injection control cases under the Safe Drinking
Water Act went from about $19,000 in 1987 to $422,000 in the second full
year of this effort.
For more information, contact Robin Woods at 202-382-4377.
Dave Cohen, Director
Press Services Division
202-382-4355
R-154
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FACT SHEET ON FY 1988 PENALTY ANALYSIS
Cases covered
The penalties analyzed in the analysis are cash amounts assessed
in EPA enforcement cases concluded in Fiscal Year 1988. They
reflect final judgments by a court, consent decrees and consent
orders reflecting settlements, and final administrative orders.
The analysis does not include "proposed penalties" or other
amounts under discussion prior to the conclusion of a case, and
it does not include penalties paid to entities other than the
Federal Government. Contempt enforcement actions are not
included, nor are "benefit projects" or other non-monetary
actions.
Types of cases
In most EPA programs, the Agency has authority to bring civil
enforcement actions either in the U.S. Court system, in which
case they are called judicial cases, or in EPA's own
administrative judicial system, in which case they are called
administrative cases. Criminal cases are brought only through
the U.S. Court system.
The majority of EPA's civil cases are administrative; some
87 percent of those concluded in FY 1988 were administrative
cases. Such cases are less costly for the government to pursue
than judicial ones. But judicial cases generally result in
higher penalties; 68 percent of all EPA federal penalty dollars
in FY 1988 were in judicial cases.
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SUMMARY OF EPA FEDERAL PENALTIES IN FY 1988
General Findings
o .EPA has obtained over $151 million in civil penalties through
FY 1988.
o A new record was set in FY 1988, with $36.8 million in civil
penalties — a 51 percent increase over FY 1987.1
o Criminal fines of over $8.6 million were assessed in FY 1988,
and 30 years of incarceration were imposed (before deducting
suspended sentences). After suspension, fines of over $1.4
million and incarceration of almost eight years were ordered
by the courts.
o Seventy-four percent of all EPA's civil penalties to date were
imposed in the last five years, from FY 1984 through FY 1988.
Some 24 percent of all penalties were imposed in FY 1988
alone.
o The 51 percent growth in penalty dollars in FY 1988 can be
attributed to three changes from the previous year. First,
relatively new enforcement initiatives resulted in substantial
penalties in FY 1988, specifically RCRA interim status
judicial cases and implementation of administrative penalty
authorities under the Clean Water Act and Safe Drinking Water
Act (Underground Injection Control). Second, four well
established programs showed major increases in penalties (the
Clean Water Act, Stationary Source Air, RCRA and TSCA
programs). Third, a larger percentage of the cases were in
programs which obtain traditionally high-dollar penalties
(most notably the Clean Water Act program).
o Penalties were obtained in 92 percent of the cases concluded
in FY 1988.
1 This does not include the $15-million penalty in the
lodged but not yet filed, consent decree in the Texas Eastern
Pipeline case, which was still pending early in FY 1989.
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Program Highlights
o The penalty dollars were dominated by Clean Water Act (34%)
and Stationary Source Air (25%) cases. These were followed by
RCRA (17%), TSCA (14%) and Mobile Source Air (7%) cases.
o The numbers of cases were dominated by four penalty programs
that heavily use administrative enforcement cases —
TSCA (42%), Mobile Source Air (17%), FIFRA (13%) and
RCRA (11%).
o Four programs set new records for total dollars and number of
cases — Clean Water Act, Safe Drinking Water Act, Stationary
Source Air and RCRA.
o Two programs obtained their first penalties through
administrative cases in FY 1988 — Clean Water Act and
Wetlands Protection.
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40
Figure 1
TOTAL PENALTIES BY FISCAL YEAR
CIVIL JUDICIAL AND ADMINISTRATIVE
35
(/l
30
25
20
kl
D.
15
10
—i—
1986
1981 1982 1983 1984 1985
FISCAL YEAR
1987
1988
TOTAL PENALTY DOLLARS BY FISCAL YEAR
1988 (24.3%)
THRU 1980 (13.9%)
1987 (16.1%)
1981 (4.2%)
1982 (2.9%)
1983 (5.2%)
1984 (4.6%)
1985 (15.1%)
1986 (13.7%)
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Figure 2
PERCENT PENALTY DOLLARS BY PROGRAM
FY 1988
OTHERS (3.4%)
TSCA (13.9%)
RCRA (17.0%)
MOBILE (7.2%)
CWA (33.8%)
STAT AIR (24.7%)
Figure 3
PERCENT PENALTY CASES BY PROGRAM
FY 1988
OTHERS (3.9%) CWA (8.7%)
F1FRA (12.9%)
TSCA (41.5%)
STAT AIR (5.2%)
MOBILE (16.6%)
RCRA (11.0%)
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Table 1
in
Clean Water Act (NPDES) . . .
Judicial
Administrative
Safe Drinking Water Act . . .
Judicial
Administrative
Judicial
Administrative
Judicial
Administrative
Judicial
Administrative
Hazardous Waste (RCRA) . . .
Judicial
Administrative
Toxic Chemical Control (TSCA)
Pesticide Control (FIFRA) . .
Super fund (CERCLA)
TnTAT.
•f-t-^AJ- wniv* j-ivAmj.na.iJi-j.ai-x
FY 1988
Total dollars
( percent )
$ 12,427,658 (34%)
11,885,858
541,800
472,630 (1%)
49,740
422,890
147,000 (<1%)
25,000
122,000
9,062,497 (25%)
8,914,384
148,113
2,657,293 (7%)
10,000
2,647,293
. 6,236,892 (17%)
3,776,239
2,460,653
. 5,126,057 (14%)
317,494 (1%)
315,000 (1%)
$ 36,762,521 (100%)
V«^ JTC1EMJ. WJ.V..J
No. All Cases*
( percent!
127
87
40
101
6
95
10
5
5
78
74
4
238
1
237
177
22
155 ,
604
215
1
1,551
(8%)
(7%)
(1%)
(5%)
(15%)
(11%)
(39%)
(14%)
(<1%)
(100%)
of all cases" here includes all cases with or without
penalties Percentages shown here will differ from other
anatysefbased on only those cases with cash penalties.
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Table 2
Total Amount of Criminal Fines and Incarceration
in FY 1988
Number of defendants convicted 50
Total•fines assessed
Before suspension $ 8,645,050
Ordered (after suspension) 1,450,050
Total months incarceration
Sentenced (before suspension) 369 (30 years)
Ordered (after suspension,
before parole) 95 (8 years)
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Table 3
Median and Average Civil Penalties
in FY 1988
Program and Type of Case
Median
Average
Number of
Cases with
Penalty
Clean Water Act (NPDES)
Judicial $
Administrative
Safe Drinking Water Act
Judicial
Administrative
Wetlands Protection
Judicial
Administrative
Stationary Source Air
Judicial
Administrative
Mobile Source Air
Judicial
Administrative
Hazardous Waste (RCRA)
Judicial
Administrative
Toxic Chemical Control (TSCA)
Administrative
Pesticide Control (FIFRA)
Administrative
37,500
8,500
4,900
2,750
6,250
19,000
30,000
39,397
10,000
500
96,479
9,440
1,500
1,200
$ 139,834
13,545
8,290
10,572
6,250
24,400
125,555
37,028
10,000
11,217
209,791
17,576
8,615
1,716
85
40
6
40
4
5
71
4
1
236
18
140
595
185'
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