UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
OFFICE OF
ENFORCEMENTAND
COMPLIANCE ASSURANCE
JUN | 4 2001
MEMORANDUM
SUBJECT FY 2000 RECAP Measures of Success Management Report
FROM: Frederick F Stiehl, Director
Enforcement Planning, Targeting and Data Division
Office of Compliance
TO: OECA Office and Deputy Office Directors
OECA Division Directors
Regional Enforcement Division Directors, Regions 1,2,4,6,8
Regional Media Division Directors, Regions 3,5,7,9,10
Regional Counsels,Regionsl-X
Enforcement Coordinators, Regions l-X1
MOA Coordinators, Regions l-X
This memorandum transmits the RECAP FY 2000 Measures of Success ("MOS")
Management Report which covers the formal FY 2000 OECA Measures as required by the
Reporting for Enforcement and Compliance Assurance Priorities (RECAP) system. The RECAT
system details the formal compliance assurance and enforcement performance measures. In FY
2000 such measures included: the environmental and compliance results and impacts of EPA
enforcement actions; EPA and State enforcement actions and inspections; the identification and
responses to significant noncompliance; the use of supplemental environmental projects; and other
data elements
1 We are providing the Enforcement Coordinators and the MOA Coordinators with 10
color copies of the report with the understanding that they will distribute copies to the relevant
branch chiefs within their Regions.
Internet Address (URL) • http://www.epa.gov
Recycled/Recyclable • Printed with Vegetable Oil Based Inks on Recycled Paper (Minimum 30% Postconsumer)
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TMs year we have added a Section on our activities within the MOA priority areas. Given that
reporting on MOA priority activities is new for certain programs, it is my sense that the data in
this year's report under represents the actual amount of activity occurring in our priority areas. I
ask that the Regions pay particular attention to this section and to additional guidance that will be
provided this summer on how this data should be reported so that the data systems present a more
complete picture for FY 2001.
The MOS Management Report consists of an Executive Summary, followed by a list of
the 99 tables and graphs arranged within eight sections. The actual tables and graphs then follow.
While the MOS Management Report focuses on FY 2000 activity, many of the tables and graphs
provide data from the FY 1998 to FY 2000 time frame to better illustrate the FY 2000 outputs
and also to provide a more complete picture of activity and trends. The MOS Management
Report includes several historical charts which track EPA referrals, penalty orders, and penalties
since the inception of the EPA enforcement programs.
While this is a public document, we consider the level of detail provided most useful to
Agency managers. The MOS Management Report provides more details than the FY 2000 Press
Advisory (issued by the Agency on January 19, 2001) and more than will be contained in the
soon-to-be issued FY 2000 Enforcement and Compliance Assurance Annual Report. The more
extensive details provided in the MOS Management Report include break-outs by Region, by
media program, by enforcement type, as well as more information on other subjects, including the
need for improving the completeness and timeliness of our data entry.
The Information Utilization and Data Quality Branch, which produced this Report, is
available to make presentations on, or provide further explanations of the FY 2000 MOS
Management Report and other compliance assurance data if that would be helpful. If you would
like to arrange such a presentation or you have suggestions for improvements regarding this
Report, please contact Betsy Smidinger, at (202) 564-4017. Specific questions about individual
tables or graphs or how this data was collected should be directed to Lynn Vendinello at (202)
564-7066.
cc: Sylvia Lowrance, Acting Assistant Administrator
Information Utilization and Data Quality Branch staff
Bruce Gelber, Chief EES, DOJ
Walker Smith, Deputy Chief EES, DOJ
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FY 2000 RECAP MEASURES OF SUCCESS MANAGEMENT REPORT
EXECUTIVE SUMMARY
Background
This executive summary describes some of the key findings presented by the tables and graphs in
each section of this Report While this is a public document, the primary audience is Agency
managers and interested staff. The Agency produces two other public, but less detailed
documents that contain similar information drawn from the same data systems, the FY 2000
Press Advisory (issued by the Agency on January 19, 2000) and the soon-to-be issued FY 2000
Enforcement and Compliance Assurance Annual Report. The more extensive details provided in
this Report should be most useful to Regional and OECA managers For example, this Report
includes break-outs by Region, by media program, by enforcement type, as well as more
information on other subjects, including data completeness
Most of the data displayed in this Report comes from the Agency's Civil Docket. Data in the
Report obtained from sources other than Civil Docket includes State and EPA compliance
monitoring activity, significant noncompliance information, State enforcement activity,
compliance assistance activity and Federal criminal enforcement1. The primary non-Docket
sources were the national program databases (PCS, AFS, RCRIS, and FTTS/NCDB) in
accordance with established database retrievals for RECAP inspections, significant noncompliance
rates and state actions. State enforcement data also was obtained from SDWIS and asbestos
demolition data was taken from NARS (National Asbestos Registry). EPA inspection data for the
National Totals - FY 2000 Enforcement Activity chart (page 9 ) were taken from an Integrated
Data for Enforcement Analysis (IDEA) pull of national enforcement databases and from manual
reports from each Region for program areas without a national facility database (e.g., EPCRA
non-313 wetlands). Compliance assistance activity was taken from RCATS, the national
compliance assistance tracking system Capacity building, investigations and citizen complaints
were produced from manual reporting
Some charts and graphs in the Report were produced even where the available data was not
complete This is especially true for the projected environmental and compliance benefits impact
data reported in Section A of this Report The charts and graphs significantly impacted by
incomplete data include footnotes indicating the limitations relative to completeness
'Information on EPA criminal enforcement was produced by OCEFT the Agency's Criminal
Docket.
FY 2000 Measures of Success Management Report, Executive Summary PaSe »
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Section A: Projected Environmental and Compliance Outcomes
Regions reported data on the complying actions required from EPA settlements for 79% of our
5,609 FY 2000 settlements. 17 percent of these complying actions required the defendants to
perform either use reduction, industrial process changes, emission or disposal changes,
remediations or removals (see page 1). Regions reported at least one of these complying actions
for 16% of all FY 2000 settled cases. Since FY 1996,4,170 EPA actions have required these
types of physical actions (see page 2).
For the 15% of FY 2000 cases reporting pollutant reductions, oil and grease, ethylene glycol and
lead were the three pollutants most frequently reported as being reduced through an EPA
enforcement settlement (see page 7).2 For the 6% of the FY 2000 civil cases reporting
quantitative pollutant reductions, the largest pollutant reductions reported included expected
reductions of solvents, fecal coliform and chromium (see page 8).3
Section B: Enforcement Outputs
In FY 2000 EPA maintained a robust enforcement program. EPA greatly increased its issuance
of Administrative Compliance Orders. This year EPA issued 3,388 orders, an 123% increase over
last year's level (see page 9). The primary reason for this was the high level of activity under the
Public Water Supervision Systems provisions of Safe Drinking Water Act.
EPA also increased its use of administrative penalty orders: issuing 1,763 complaints, which
exceeds FY 1999 levels by 6% and FY 1998 levels by 26%. This total exceeds the FY1999
levels, which were an all time high. Region VI led the way issuing 516 APOs. Overall six Regions
exceeded their last year's levels (see page 15).
While the overall number of civil referrals dropped from the FY 1999 level, the number of civil
settlements increased slightly from last year's level to 219.
The criminal enforcement program referred the fourth highest number of criminal cases to DOJ
(236) in history and set an annual record for defendants charged (see page 13).
The FY 2000 data shows interesting variations across the Regions and statutes in the civil
program Region V was responsible for the most civil referrals to DOJ (19%) and civil Judicial
settlements (21 5%) Region VI led the way with administrative penalty orders, initiating 30.4/o
2 This is based on 853 civil cases (out of the 5,609 FY 2000 civil settlements).
3 Of the 853 civil cases which identified a pollutant as being reduced, a quantitative estimate of the
amount of pollutant expected to be reduced was reported for 327 cases (6% of all FY 2000 civil
settlements).
FY 2000 Measures of Success Management Report, Executive Summary PaSe ll
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of all new complaints and 26 8% of all settlements (see page 20). From a resource efficiency
perspective, Regions IV, V and VI have been the most efficient regions in terms of judicial
outputs (referrals and penalties) from the FY 1997 to F Y 2000 (see page 18) Over the same
period, Region VI has been the most efficient in terms of administrative penalty cases (see page
19).
In FY 2000, the Regions collectively issued 5,302 informal actions with the greatest number
(48%) issued under the SDWA.
Section C: Dollar Values and Penalty Amounts
Overall, EPA assessed $84.1 million in civil penalties in FY 2000. We have .now assessed civil
and criminal fines and penalties for more than $1.95 billion dollars (see page 49) The FY 2000
criminal penalties assessed were $122 million, the highest that it has ever been and almost double
last year's level(see page 26). Region X assessed the highest amount of criminal penalties at
28 7% of the National total, with almost $35 million. Region VI was the FY 2000 civil judicial
penalty leader with 33 2% of the National total, over $18 million. For administrative penalties,
Region V was the leader, assessing 21% of the National total, over $5 million (see pages 28-29)
The RCRA program was responsible for the most criminal penalties at $38.5 million (32%) and
garnered the most administrative penalties at $2.1 million (32%). The CAA program was
responsible for the most civil judicial penalties with $21.8 million (39 8%) and for the greatest
value of SEPS at $29 2 million (52%) (see pages 31 - 32). The CERCLA program was
responsible for the highest value of injunctive relief at $655 million or 42% of the national total
Section D: Supplemental Environmental Projects
Regions frequently include Supplemental Environmental Projects (SEPs) as part of the settlement
of administrative penalty actions and, to a lesser extent, judicial settlements. In FY 2000 EPA
settlements produced 193 SEPs Pollution prevention continues to be the most frequent category
of SEP. In FY 2000, 10% of cases included a SEP (see page 52). One hundred and sixty-six of
the FY 2000 SEPs were from administrative actions and 27 were included in judicial actions (see
page 51) Region VI was responsible for the most SEPs, 34, (17.6% of the national total)
Region IV had the highest rate of cases that included a SEP (15.9%).Region V had the largest
dollar value of SEPs, $24.3 million (43%) (see page 50) In FY 2000, the use of SEPs was most
prevalent in the EPCRA program (16.3%)(see page 52) SEPs in the CAA cases had the highest
dollar value of any one program, responsible for 52% of the FY 2000 total SEP value Over the
last three years, Region X and Region V have negotiated SEPs with the highest value, almost $78
million and $62 million respectively (see page 56).
FY 2000 Measures of Success Management Report, Executive Summary page ui
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Section £: SNC and Compliance Monitoring
In FY 2000, the degree to which significant noncompliance (SNC) was addressed varied greatly
by program'area. In the RCRA program, there were 1,468 facilities in SNC of which 22% were
resolved (meaning either returned to foil physical compliance or meeting a compliance schedule).
Region IV, which had 325 SNCS or 22% of the national total, showed the highest rate of
resolution of RCRA SNCs, resolving 52% of its SNC fecilities or almost half of the total number
of SNCs that were addressed nationally. In the CWA program, the national rate for addressing
SNCs was 88%. In the water program a SNC is addressed if the facility returns to non-SNC
status on its own or received a formal order. Among the regions, Regions n, V, VI, VHI and X
addressed 90% or better of their water SNCs. In the air program, in FY 2000 the national
average for addressing SNCs was 53%. Among the regions, Regions IV, VIH and IX and X all
addressed more.than.the national average. In the SDWA program, 65% of systems in SNC were
addressed by a formal action. Among the Regions, Regions I, H, IV, and VH all addressed more
than the national average (see page 58).
With respect to SNC duration, the CAA enforcement database, AFS, was modified in FY 2001 so
that the tracking of violations over time can be monitored on a facility-wide basis. For FY 2000,
OECA reported only the duration of RCRA and CWA SNCs returning to compliance (see pages
59 - 60).
The inspection coverage data varies considerably across Regions and across programs. For
example, under the CAA, operating Class A sources, synthetic minors, and NESHAP minor
sources, the inspection coverage data (EPA and States) ranges from a high of 80% in Region ffl
to a low of 27% in Regions I and H. In the water program, all Regions and States showed a high
coverage rate of NPDES majors inspected with Region IV having the highest rate inspecting 88%
of their sources. Overall, the Regions and States inspected 31% of approved pretreatment
programs, with Region IV again inspecting the highest percentage (50%) (see page 66). Overall,
the Regions conducted 660 investigations in FY 2000 with the greatest number (289) occurring in
the air program. The greatest number of citizen complaints were also received in the CAA
program with Regions responding to 13,109 citizen complaints with the greatest number (33%)
occurring under the CAA.
Section F: Compliance Incentives/Compliance Assistance/Capacity Building Outputs
In FY 2000, the number of companies disclosing violations under the audit policy was at an all
time high of 429, a 165% increase over FY 1999 level. The number of facilities that disclosed
violations was also at an all time high at 2190, more than 120% over last year's level. The
number of companies and facilities correcting violations under the audit policy also were 217 and
437 respectively. In FY 2000, the Regions collectively reached 417,377 regulated entities through
FY 2000 Measures of Success Management Report, Executive Summary page1V
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compliance assistance outreach in sector and statutory areas4 The highest amount of compliance
assistance activity occurred through the distribution of compliance assistance tools (80%) (see
pages 71- 72).
Within the sector areas for which compliance assistance information is tracked, federal facilities
and general business assistance received the highest amount of assistance (20%) (see page 73).
For statutory requirements, the most compliance assistance was offered under the EPCRA
program. Region VHI reached the most entities with statutory compliance assistance with over
70,000 entities reached (see page 74). Region I offered the most sector-based compliance
assistance, reaching over 31,000 facilities. With respect to compliance assistance activities,
Region IX offered the most workshops (18%); Region VHI developed and distributed the most
tools (24% and 24% respectively); Region Vm also conducted the most on-site visits (50%) (see
page 75).
In FY 2000 OECA is reporting for the second time our national efforts in the area of capacity
building to states, tribes and localities. Overall, the Regions conducted 463 training courses;
made 6,701 regulatory determinations, responded to 1,527 requests for assistance and conducted
1,132 assisted inspections (see page 86).
Section G: Completeness of EPA Enforcement Conclusion Data
OECA has placed a priority on strengthening reporting on the compliance and environmental
benefits of our enforcement actions. In FY 1996, Regions were asked to complete case
conclusion data sheets for each concluded federal action.5 The first 8 pages of graphs and charts
in this Report are based on case conclusion data entered into the Docket, as well as all the data on
Supplemental Environmental Projects in Section D of this Report, the data on injunctive relief in
Section C of this Report and the data on selected outputs for MO A Priority Areas in Section H of
this Report.
The completeness of the case conclusion data remained relatively constant in FY 2000 Overall,
56% of the key fields of the data sheets were complete (see page 89). This year 15% of all
settlements identified at least one pollutant reduced (a decrease from last year), while 6% of the
settlements specified an amount of pollutant reduced (a decrease from last year) This year Region
m showed the highest number of cases with a named pollutant and Headquarters showed the
highest percentage of cases with an estimated pollutant reduction (see page 90) In FY 2000, we
This number may include some double counting since there is a chance that a given facility may
receive more than one type of assistance
5 The case conclusion data sheet covers EPA information on: the type of compliance actions
associated with each case, the expected environmental and public health impacts of the settlement, the
pollutants expected to be reduced, the dollar value of injunctive relief, and similar information for
supplemental environmental projects
FY 2000 Measures of Success Management Report, Executive Summary page v
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produced a guidance manual to assist regions and headquarters in calculating estimated pollutant
reductions and will be offering training on this guidance in FY 2001
The civil Docket maintained by OECA and each Region contains a component through which the
status of all active civil consent decrees can be maintained, the Consent Decree Enforcement
Tracking System (CDETS). Tracking the status of active decrees and following up on violations
was previously listed as a material weakness in our program implementation. To address
concerns about tracking consent decrees, OECA developed and published an "Agency Judicial
Consent Decree Tracking and Follow-up Directive" on January 11, 1990. The directive, among
other things, required each Region to maintain a database of consent decree milestones and, not
less than quarterly, determine the defendant's current compliance with its decree. OECA recently
committed in response to an IG finding to review its emphasis on Regional and Headquarters
follow up of compliance milestones required by judicial settlements and orders.
The Regions' maintenance of CDETS to track compliance with consent decree requirements has
decreased sharply over the last few years. This year 59% of active consent decrees had their
compliance status reported in the 4* Quarter (a decrease from FY 1999). Regions U, JH, IV, V,
VT1, and VJH maintained the status of their active decrees for most of the fiscal year. However,
Regions VI and DC failed to maintain their consent decrees in CDETs (see page 88). There
continues to be a wide disparity among the Regions in terms of how frequently they refer
violations of consent decrees to the Department of Justice (see page 16).
Section H: MOA Priority Activity
This is the first year that this Report contains a section on activities and outcomes within our
MOA priority areas. The Regions undertook 23% of their CAA Stationary Source inspections in
MOA priority areas; 38% of CWA NPDES inspections in priority areas and 22% of RCRA
inspections in priority areas (see pages 91 - 92). The greatest number (31%) of CAA
investigations occurred in Region V, which undertook the greatest number of petroleum refining
investigations of the national total (page 93). Given that the MOA priorities covered in this
Report are for FY 2000/2001, the bulk of the enforcement activity is likely to occur in the out
years once investigation and inspection activity has been conducted. In addition, the tracking of
enforcement activity necessitates new reporting in Docket. As a result, the amount of
enforcement activity that we are able to capture by MOA priority in Docket and displayed in this
Report most likely under- represents actual activity. Our hope is that as regions and Headquarters
become more accustomed to the new reporting, we will be better able to capture the outcomes of
our compliance assurance activities in priority areas.
FY 2000 Measures of Success Management Report, Executive Summary page vi
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FY 2000 Measures of Success Management Report
EPA Office of Enforcement and Compliance Assurance
Office of Compliance - Enforcement Planning, Targeting and Data Division - Information Utilization and Targeting Branch
June 2001
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FY 2000 Measures of Success Management Report - List of Tables and Graphs
Section A. Protected Environmental and Compliance Benefits
1 Results of EPA Enforcement Actons Concluded in FY 2000
2 Number of Actions Requiring a Physical Compliance Action Since FY 1996
3. FY 2000 Concluded Actions Types of Compliance Activity by Region
4 Frequency Distibution of Complying Actions by Region
5. FY 2000 Concluded Actions Types of Compliance Activity by Law
6 Frequency Distibution of Complying Actions by Statute
7 Pollutants Most Frequently Identified as Required Reductions
8 20 Pollutants with the Largest Expected Reductions Reported for FY 2000
Section B Enforcement Activity Counts
9 National Totals - FY 2000 Enforcement Activity
10 FY 2000 New Formal Enforcement Actions (by Region and Type)
11 FY 2000 Enforcement Action Conclusions/Settlements
12 FY 2000 EPA Case Initiations and Conclusions by Statute
13 EPA Cnminal Enforcement Major Outputs FY 1998 to FY 2000
14. FY 2000 Civil Referrals to DOJ Compared to FY 1998 and FY 1999
15 FY2000 APO Complaints Compared to FY 1998 and FY 1999
16. Regional Enforcement of Consent Decree Violations
17 EPA Civil Referral and Settlements Dunng FY 1998 to FY 2000
18. Regional Civil Judicial Outputs FY 1998 to FY 2000 Compared to FTE
19 Regional APO Outputs FY 1998 to FY 2000 Compared to FTE
20 Regional Proportions of Significant FY 2000 Enforcement Outputs
21 EPA Civil Referrals to DOJ Since FY 1973
22 Various Historical APO Data Charts
23. EPA Criminal Program Shows Sustained Growth in Key Outputs
24 FY 2000 State Enforcement Activity by Region
25 FY 2000 Notices of Violation (by Region and Statute)
C Dollar Values and Penalty Amounts
26 Dollar Value of EPA Actions Concluded in FY 2000
27 Enforcement Case Values Beyond Penalty Assessments
28 Dollar Value of FY 2000 EPA Enforcement Actions by Region
29 Dollar Value of FY 2000 Enforcement Actions (% by Office)
30 FY 2000 EPA Civil Penalties by Region (Number and Averages)
31 Dollar Value of FY 2000 EPA Enforcement Actions by Statute
32 Dollar Value of FY 2000 Enforcement Actions (% by Statute)
33 FY 2000 EPA Civil Penalties by Statute (Number and Averages)
34 Dollar Value of FY 2000 CAA EPA Enforcement Actions
35 FY 2000 EPA CAA Penalties (Number and Averages)
36 Dollar Value of FY 2000 CERCLA EPA Enforcement Actions
37 Dollar Value of FY 2000 CWA EPA Enforcement Actions
38 FY 2000 EPA CWA Penalties (Number and Averages)
39 Dollar Value of FY 2000 EPCRA EPA Enforcement Actions
40 FY 2000 EPA EPCRA Penalties (Number and Averages)
41 Dollar Value of FY 2000 FIFRA EPA Enforcement Actions
42. FY 2000 EPA FIFRA Penalties (Number and Averages)
43 Dollar Value of FY 2000 RCRA EPA Enforcement Actions
44 FY 2000 EPA RCRA Penalties (Number and Averages)
45 Dollar Value of FY 2000 SDWA EPA Enforcement Actions
46 FY 2000 EPA SDWA Penalties (Number and Averages)
47 Dollar Value of FY 2000 TSCA EPA Enforcement Actions
48 FY 2000 EPA TSCA Penaltes (Number and Averages)
49 EPA Enforcement Penalties Since its Creation
Section D Supplemental Environmental Projects
50 EPA Supplemental Environmental Projects in FY 2000
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FY 2000 Measures of Success Management Report - List of Tables and Graphs
Section D: Supplemental Environmental Proiects (cont)
51. Use of SEPs in FY 2000 Enforcement Actions
52. Percent of FY 2000 Settlements that Included a SEP
53 SEP Categories Reported for FY 2000 EPA SEPs (by Region)
54 SEP Categories Reported for FY 2000 EPA SEPs (by Law)
55 Use of SEPs in Judicial and Adm Penalty Actions. FY 1998 to FY 2000
56. Use of SEPs in Judicial and Adm Penalty Actions1 FY 1998 to FY 2000
57 EPA's Use of SEPs in Formal Actions: FY 1995 to FY 2000
Section E SNC. Inspections. Investigations, and Citizen Complaints
58 Addressed/Resolved Significant Noncompliance FY 2000
59. NPMS SNC Duration (by Region for CWA and RCRA)
60 NPMS SNC Duration (by State for CWA and RCRA)
61 NPMS SNC Recidivism for CAA, CWA and RCRA (by Region)
62 NPMS SNC Recidivism for CAA, CWA and RCRA (by State)
63 FY 2000 Inspections at Regulated Facilities- EPA and State for CAA
64 FY 2000 Inspections at Regulated Facilities. EPA and State for CWA and RCRA
65 FY 2000 Inspections EPA and State for EPCRA, FIFRA, SDWA and TSCA
66 FY 2000 Inspection Coverage at Regulated Facilities CAA and CWA
67 FY 2000 Inspection Coverage at Regulated Facilities RCRA
68 EPA Regional Inspection Trend. FY 1994 to FY 2000
69. NPMS - Civil Investigations and Citizen Complaints by Statute
Section F Compliance Incentives/Assistance/Capacitv Building
70 Disclosing/Correcting Violations Under the Audit Policy since FY 1997
71 FY 2000 Compliance Assistance for Sector and Statute Compliance
72. FY 2000 Compliance Assistance: How Entities Were Reached
73. FY 2000 Compliance Assistance for Sectors by Industry/Business Sector
74. FY 2000 Compliance Assistance for Statutory Compliance by Statute
75. Regional Proprtions of Selected Compliance Assistance Activtes
76 Region I Compliance Assistance Summary
77 Region II Compliance Assistance Summary
78. Region III Compliance Assistance Summary
79 Region IV Compliance Assistance Summary
80. Region V Compliance Assistance Summary
81 Region VI Compliance Assistance Summary
82 Region VII Compliance Assistance Summary
83 Region VIII Compliance Assistance Summary
84 Region IX Compliance Assistance Summary
85. Region X Compliance Assistance Summary
86 NPMS - Capacity Building Activities (by Region)
Section G Completeness of EPA Enforcement Data
87 Regional Consent Decree Tracking and Follow-up Status
88 % of Active Decrees with Status Maintained in Docket
89 Completeness of CCDS Cases Attributes in Docket
90 Pollutant Data Reported for FY 2000 EPA Civil Settlements
Section H MOA Priority Activity
91 FY 2000 Regional Inspections in MOA Priority Areas
92 FY 2000 Regional Inspections in MOA Pnonty Areas (con't)
93 NPMS - Number of Investigations at Refmenes for Selected Violations
94. Selected FY 2000 Outputs for MOA Priority Areas - Wet Weather
95. Selected FY 2000 Outputs for MOA Pnonty Areas - Petroleum Refining
96 Selected FY 2000 Outputs for MOA Pnonty Areas - SDWA Microbial
97 Selected FY 2000 Outputs for MOA Priority Areas - Metal Services
98. Selected FY 2000 Outputs for MOA Pnonties - RCRA Permit Evaders
99 Selected FY 2000 Outputs for MOA Priorities - Air Toxics/NSR/PSD
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Results of EPA Civil Enforcement Actions Concluded in FY 2000
Percentages are based on the number of
the 5,609 FY 2000 civil settlements which
included that particular resulting action
800
700
600
500
400
300
200
100
Complying actions were reported for 4,455 of the 5,609 FY 2000 settlements. Multiple complying actions were reported for many settlements.
Source: Docket
i -
November 26, 2000 - OECA/OC/EPTDD/TEB
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Number of Formal Actions That Required a Physical Compliance Action Since FY 1996
(FY 1996 through FY 2000)
2.000--,
1,800
1,600-
1.400-
Since FY 1996, 4,170 EPA actions have required physical compliance actions.
November 28, 2000 - OECA/OC/EPTDO/TEB
Data Source: Docket
-2-
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FY 2000 Concluded EPA Enforcement Actions: Types of Compliance Activity
- By Region (Does Not Include SEP Impacts)
2
I
o
I
o
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i
Type of Impact from FY 2000 Cases
Use Reduction
Industrial Process Change
Emissions/Discharge Change
Storage/Disposal Change
Remediation/Restoration
Removal
Remedial Design/Remedial Action
Testing
Auditing
Monitoring/Sampling Only
Total Monitoring/Sampling
Recordkeeping Only
Total Recordkeeping
Labeling/Manifesting
Reporting Only
Total Reporting
Information Letter Response
Permit Application
Training
Provide Site Access
Site Assessment
Remedial Investigation/Feasibility Study
Other Result/Impact Only
Total Other Result/Impact
Total # of Case Settlements/Conclusions
# of Settlements w/actions reported
Total # of Impact Types
cases were for penalty only
Multiple complying actions were reported for some settlements.
Average Actions per Case Reported
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"81
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3
4
8
10
11
15
3
19
6
0
28
1
24
7
92
113
5
4
9
7
3
3
22
38
6
4
26
16
11
13
5
51
2
6
70
11
133
16
447
590
28
16
28
11
6
5
85
110
7
3
88
9
129
19
7
2
4
6
5
32
34
3
4
7
11
9
12
12
2
120
121
145
125
150
139
20
5
5
17
15
11
17
1
2
9
9
16
27
17
0
3
6
11
8
28
18
3
5
2
15
10
7
14
0
0
1
0
0
6
1
0
157
166
336
223
424
299
44
18
22
3
32
1
115
12
179
204
6
81
93
14
4
2
34
120
28
22
36
131
8
81
33
159
254
7
6
17
20
16
8
324
383
11
2
0
14
0
24
6
0
23
7
3
4
5
4
1
120
208
192
127
1
216
0
278
119
136
545
122
122
200
122
122
0
104
386
37
4
22
115
24
120
11
255
341
3
1
10
9
5
1
3
8
10
4
4
39
0
23
8
89
130
8
2
7
8
4
2
43
64
15
41
1
32
3
37
7
200
277
10
4
4
13
5
2
19
29
26
11
5
31
3
50
0
5
48
5
3
5
4
4
0
6
22
5
17
0
6
1
12
4
0
16
1
2
13
1
1
0
1
7
412
258
78
714
52
897
223
1,562
2,541
202
244
390
214
174
24
761
1,375
237
189
354
920
786
1,179
526
424
1,030
772
728
1,115
403
215
446
1,150
869
3,554
542
487
739
313
243
412
437
361
604
168
118
287
141
35
98
5,609
4,455
9,818
34
32
45
23
77
183
3
23
51
25
5
501
1.9
1.5
2.4
1.5
2.1
4.1
1.5
1.7
1.7
2.4
2.8
2.2
Data Source: Docket
-3-
OECA/OC/EPTDD/TEB - November 28, 2000
-------
Frequency Distribution of Specific Complying Actions as a Percent
of Settlements for Each Region in FY 2000
Type of Impact from FY 2000 Cases
Use Reduction
Industrial Process Change
Emissions/Discharge Change
Storage/Disposal Change
Remediation/Restoration
Removal
Remedial Design/Remedial Action
Testing
Auditing
Monitoring/Sampling Only
Total Monitoring/Sampling
Recordkeeping Only
Total Recordkeeping
Labeling/Manifesting
Reporting Only
Total Reporting
Information Letter Response
Permit Application
Training
Provide Site Access
Site Assessment
Remedial Investigation/Feasibility Study
Other Result/Impact Only
Total Other Result/Impact
Total # of Case Settlements/Conclusions
# of Settlements w/actions reported
Total # of Impact Types
501 cases were for penalty only
1.3%
1.7%
3.4%
4.2%
4.6%
6.3%
1.3%
0.7%
0.4%
2.8%
1.7%
1.2%
1.4%
0.5%
_
S
1.3%
0.6%
16.7%
1.7%
24.5%
3.6%
1.3%
>
g
J
0.3%
0.5%
0.8%
0.6%
4.1%
4.4%
0.4%
>
§
•a
8.
1.0%
1.7%
2.7%
2.2%
3.0%
3.0%
0.5%
5
10.4%
10.5%
12.6%
10.9%
13.0%
12.1%
1.7%
=
g
"5>
&
0.9%
0.9%
3.1%
2.8%
2.0%
3.1%
0.2%
=
g
•5
&
0.6%
2.9%
2.9%
5.1%
8.6%
5.4%
0.0%
x
§
0.7%
1.4%
2.5%
1.8%
6.4%
4.1%
0.7%
X
3.0%
1.2%
8.9%
6.0%
4.2%
8.3%
0.0%
^^
X
0.0%
0.7%
0.0%
0.0%
4.3%
0.7%
0.0%
8.0%
2.5%
0.0%
11.8%
0.4%
10.1%
3.0%
38.8%
47.7%
2.1%
1.7%
3.8%
3.0%
1.3%
1.3%
9.3%
16.0%
5.5%
0.2%
0.7%
7.6%
1.2%
14.5%
1.7%
48.6%
64.1%
3.0%
1.7%
3.0%
1.2%
0.7%
0.5%
9.2%
12.0%
3.4%
4.2%
0.6%
6.1%
0.2%
21.9%
2.3%
34.0%
38.8%
1.1%
15.4%
17.7%
2.7%
0.8%
0.4%
6.5%
22.8%
3.6%
2.8%
4.7%
17.0%
1.0%
10.5%
4.3%
20.6%
32.9%
0.9%
0.8%
2.2%
2.6%
2.1%
1.0%
42.0%
49.6%
2.7%
0.5%
0.0%
3.5%
0.0%
6.0%
1.5%
0.0%
5.7%
1.7%
0.7%
1.0%
1.2%
1.0%
0.2%
29.8%
51.6%
16.7%
11.0%
0.1%
18.8%
0.0%
24.2%
10.3%
11.8%
47.4%
10.6%
10.6%
17.4%
10.6%
10.6%
0.0%
9.0%
33.6%
6.8%
0.7%
4.1%
21.2%
4.4%
22.1%
2.0%
47.0%
62.9%
0.6%
0.2%
1.8%
1.7%
0.9%
0.2%
0.6%
1.5%
3.2%
1.3%
1.3%
12.5%
0.0%
7.3%
2.6%
28.4%
41.5%
2.6%
0.6%
2.2%
2.6%
1.3%
0.6%
13.7%
20.4%
3.4%
9.4%
0.2%
7.3%
0.7%
8.5%
1.6%
45.8%
63.4%
2.3%
0.9%
0.9%
3.0%
1.1%
0.5%
4.3%
6.6%
15.5%
6.5%
3.0%
18.5%
1.8%
29.8%
0.0%
3.0%
28.6%
3.0%
1.8%
3.0%
2.4%
2.4%
0.0%
3.6%
13.1%
237
189
354
14.3%
920
786
1,179
3.5%
526
424
1,030
772
728
1,115
8.6%
3.0%
403
215
446
19.1%
1,150
869
3,554
15.9%
542
487
739
0.6%
313
243
412
7.3%
437
361
604
11.7%
168
118
287
14.9%
3.5%
12.1%
0.0%
4.3%
0.7%
8.5%
2.8%
0.0%
11.3%
0.7%
1.4%
9.2%
0.7%
0.7%
0.0%
0.7%
5.0%
141
35
98
3.5%
2.8%
3.0%
6.0%
4.0%
7.6%
5.3%
0.8%
7.3%
4.6%
1.4%
12.7%
0.9%
16.0%
4.0%
27.8%
45.3%
3.6%
4.4%
7.0%
3.8%
3.1%
0.4%
13.6%
24.5%
OECA/OC/EPTDD/TEB - November 28, 2000
Data Source: Docket
-4-
-------
FY 2000 Concluded EPA Enforcement Actions: Types of Compliance Activity
- By Law (Does Not Include SEP Impacts)
1 1 1 1 1 1 ' 1
12
12
38
7
17
6
0
0
2
5
2
29
59
23
123
128
273
145
326
186
19
4
4
2
1
1
0
0
5
3
0
9
1
9
0
9
11
16
40
28
23
1
0
4
1
2
10
0
1
4
2
1
17
12
16
0
Type of Impact from FY 2000 Cases
Use Reduction
Industrial Process Change
Emissions/Discharge Change
Storage/Disposal Change
Remediation/Restoration
Removal
Remedial Design/Remedial Action
Testing
Auditing
Monitoring/Sampling Only
Total Monitoring/Sampling
Recordkeepmg Only
Total Recordkeepmg
Labeling/Manifesting
Reporting Only
Total Reporting
Information Letter Response
Permit Application
Training
Provide Site Access
Site Assessment
Remedial Investigation/Feasibility Study
Other Result/Impact Only
Total Other Result/Impact
Penalty Only
Total # of Cases
Total # of Impact Types
# of Settlements w/ Action Listed
Complying action data were provided for 4,956 of the 5,609 FY 2000 settlements.
Multiple complying actions were reported for many settlements.
40
16
0
64
13
88
10
118
188
18
7
33
0
0
0
28
64
72
15
1
2
40
0
18
5
4
22
8
0
2
56
11
19
119
146
17
145
125
38
272
0
362
120
68
298
148
232
287
138
138
0
193
335
204
0
90
0
2
2
35
1
97
203
2
1
3
1
0
0
16
36
40
0
2
0
3
2
28
42
35
60
2
0
6
0
2
0
60
79
69
138
9
32
183
16
172
28
4
66
14
3
17
18
20
4
29
72
51
52
0
6
116
4
128
2
1,222
1,664
8
1
26
0
2
1
313
620
7
22
15
0
34
15
66
15
14
40
2
0
16
1
1
0
3
23
41
534
692
381
480
1,264
4,004
382
426
264
320
445
923
2,134
2,645
205
328
I338
286
926
235
173
337
2019
141
,
157
166
336
223
424
299
44
412
258
78
714
52
897
223
1,562
2,541
202
244
390
214
174
24
761
1,375
OECA/OC/EPTDD/TEB - November 22. 2000
Data Source Docket
-5-
-------
Frequency Distribution of Specific Complying Actions as a Percent
of Settlements for each Statute in FY 2000
Type of Impact from FY 2000 Cases
Use Reduction
Industrial Process Change
Emissions/Discharge Change
Storage/Disposal Change
Remediation/Restoration
Removal
Remedial Design/Remedial Action
Testing
Auditing
Monitoring/Sampling Only
Total Monitoring/Sampling
Recordkeeping Only
Total Recordkeeping
Labeling/Manifesting
Reporting Only
Reporting
Information Letter Response
Permit Application
Training
Provide Site Access
Site Assessment
Remedial Investigation/Feasibility Study
Other Result/Impact Only
Total Other Result/Impact
Penalty Only
Total # of Cases
Total # of Impact Types
# of Settlements w/ Action Listed
3
2.2%
2.2%
7.1%
1.3%
3.2%
1.1%
0.0%
CERCLA
0.0%
0.5%
1.3%
0.5%
7.6%
15.5%
6.0%
u
9.7%
10.1%
21.6%
11.5%
25.8%
14.7%
1.5%
S
&
1.0%
1.0%
0.5%
0.3%
0.3%
0.0%
0.0%
Sr
1.9%
1.1%
0.0%
3.4%
0.4%
3.4%
0.0%
2
2
2.0%
2.5%
3.6%
9.0%
6.3%
5.2%
0.2%
1
t/>
0.0%
0.2%
0.0%
0.1%
0.5%
0.0%
0.0%
8
2.0%
1.0%
0.5%
8.3%
5.9%
7.8%
0.0%
7.5%
3.0%
0.0%
12.0%
2.4%
16.5%
1.9%
22.1%
35.2%
3.4%
1.3%
6.2%
0.0%
0.0%
0.0%
5.2%
12.0%
13.5%
3.9%
0.3%
0.5%
10.5%
0.0%
4.7%
1.3%
1.0%
5.8%
2.1%
0.0%
0.5%
14.7%
2.9%
5.0%
31.2%
38.3%
4.5%
11.5%
9.9%
3.0%
21.5%
0.0%
28.6%
9.5%
5.4%
23.6%
11.7%
18.4%
22.7%
10.9%
10.9%
0.0%
15.3%
26.5%
16.1%
0.0%
23.6%
0.0%
0.5%
0.5%
9.2%
0.3%
25.4%
53.1%
0.5%
0.3%
0.8%
0.3%
0.0%
0.0%
4.2%
9.4%
10.5%
0.0%
0.8%
0.0%
1.1%
0.8%
10.6%
15.9%
13.3%
22.7%
0.8%
0.0%
2.3%
0.0%
0.8%
0.0%
22.7%
29.9%
26.1%
31.0%
2.0%
7.2%
41.1%
3.6%
38.7%
6.3%
0.9%
14.8%
3.1%
0.7%
3.8%
4.0%
4.5%
0.9%
6.5%
16.2%
11.5%
2.4%
0.0%
0.3%
5.4%
0.2%
6.0%
0.1%
57.3%
78.0%
0.4%
0.0%
1.2%
0.0%
0.1%
0.0%
14.7%
29.1%
0.3%
10.7%
7.3%
0.0%
16.6%
7.3%
32.2%
7.3%
6.8%
19.5%
1.0%
0.0%
7.8%
0.5%
0.5%
0.0%
1.5%
11.2%
20.0%
534
692
381
480
1,264
4,004
382
426
264
320
445
923
2,134
2,645
205
328
338
286
926
235
173
337
2,019
141
Complying action data were provided for 4,956 of the 5,609 FY 2000 settlements.
Multiple complying actions were reported for many settlements.
2.8%
3.0%
6.0%
4.0%
7.6%
5.3%
0.8%
7.3%
4.6%
1.4%
12.7%
0.9%
16.0%
4.0%
27.8%
45.3%
3.6%
4.4%
7.0%
3.8%
3.1%
0.4%
13.6%
24.5%
OECA/OC/EPTDD/TEB - November 28, 2000
Data Source: Docket
-6-
-------
FY 2000 National Pollutant Reduction Data from Case Conclusion Data in the Docket
Pollutants Most Frequently Identified as Required Reductions
SCO
250^
200-
150-
100-
In 853 of the 3,609 FY 2000 civil settlements at least one pollutant was listed as being reduced through the enforcement action.
November 30, 2000 - OECA/OC/EPTDD/IUTB
Data Source: Docket
-7-
-------
Twenty Pollutants with the Largest Reductions Reported for FY 2000 EPA Enforcement Settlements
1,000,000,000
100,000,000 -
10,000,000
1,000,000
100,000
10000
1,000
100
"'
Note: Chart I* in Log,0 scale
Pollutant
Soil Contam by Toxins
H20 Contam. w/ Metals/VOCs
Sediment Contam by Toxins
Solvents
BOD
Fill Material
PCB Waste
Fecal Coliform
F037 Waste
Chromium/chromium waste
Acids
Sewage
1,1,1, Trichloruethane
Characteristic Waste
Copper
Clarified Slurry Oil in Sed.
Chlorobenzenes- sediment
Sulfur Oxides
Benzene Hexachlorides
TSS
Ubs. Reduced
707,222,000
366,520,000
198,800,000
116,946,244
56,360,147
26,146,000
20,886,506
12,226,303
12,000,000
11,670,591
9,206,250
8,330,000
8,330,000
5,755,000
5,308,817
4,200,000
4,000,000
3,694,600
3,400,000
3,008,847
December 1, 2000 - OECA/OC^EPTDD/IUTB
Data Source: Docket
-8-
-------
National Totals - FY 2000 Enforcement Activity
EPA Regional Inspections
EPA Administrative Penalty Order Complaints
New EPA Civil Referrals to DQJ
CAA Stationary
CAA CFCs
CAA CFCs
Asbestos D & R
NPDES Minors
NPDES Majors
Pretreatment IDs
Pretreat. POTWs
CWA311
CWA 404
EPCRA 313
EPCRA non-313
FIFRA
RCRA
UST
SDWA-PWSS
SDWA-UIC
TSCA
Total
FY98
2.722
Inc Above
64
806
1,116
1,019
NA
NA
1,314
968
584
804
Z64
2,727
1,253
223
7.760
1,537
23.237
FY99
1.406
1,227
39
437
965
949
NA
NA
1.424
1,079
513
521
259
2,214
1,482
449
6.880
2.003
21.847
FYOO
1,284
579
34
151
1,141
640
277
115
1.549
964
472
1,366
799
1,524
1,185
488
6,227
1,400
20,195
SOURCE program dalabases/IDEA, manual reports
There were also 101 CLP inspections and 3Z3 data audit* by HQ (OC/AED/LDIB)
FY 1998 total includes 46'other* inspections FYOO projections 56 "other"
EPA Adimnhlialive Compliance Orders Issued
SOURCE Docket
CAA
CERCLA
CWA-NPDES
CWA-311
CWA-404
EPCRA
FIFRA
RCRA
SDWA-PWSS
[ SDWA-UIC
TSCA
Total
FY98
277
233
770
5
74
4
IB
49
280
7
4
1,721
FY99
298
247
549
8
64
0
28
50
251
18
3
1,516
FYOO
219
251
596
29
102
1
64
42
2.067
17
0
3,388
CAA
[ CERCLA
CWA-NPDES
f CWA~-311~
CWA-404
| EPCRA
FIFRA
f RCRA
SDWA-PWSS
[ SDWA-UIC
TSCA
[ Total
FY98
156
1
232
133
24
233
187
155
26
39
214
1,400
FY99
193
0
192
204
40
285
274
197
20
44
205
1,654
FYOO
160
0
295
208
41
390
199
212
20
41
197
1,763
SOURCE Docket,
MPRSA cases included under NPDES
EPA Adm Penalty Settlements (Conclusions)
SOURCE Docket,
EPA Field Citations
CAA
f CERCLA
CWA-NPDES
[ " "CWA-311
CWA-404
f EPCRA
FIFRA
| RCRA
SDWA-PWSS
f SDWA-UIC
TSCA
f Total
FY98
127
3
183
110
31
259
173
149
14
29
167
1,245
FY99
154
1
186
148
31
244
223
134
16
24
197
1,358
FYOO
182
0
291
180
44
379
200
201
21
27
205
1,730
CAA
| CERCLA
CWA-NPDES
[ CWA-311
CWA-404
f EPCRA"
FIFRA
| RCRA
SDWA-PWSS
| SDWA-UIC
TSCA
[ Total
FY98
113
138
52
17
12
11
4
49
11
4
0
411
FY99
110
148
58
16
12
12
0
39
4
1
3
403
FYOO
125
121
46
16
11
ti
0
?8
4
3
6
368
SOURCE Docket
EPA Civil Judicial Settlements
SOURCE Docket
Audit Policy Notices of Decision
CAA
CERCLA
CWA-NPDES
CWA-311
CWA-404
EPCRA
FIFRA
RCRA
SDWA-PWSS
SDWA-UIC
TSCA
Total
FY98
46
148
26
5
2
3
4
14
1
1
3
253
FY99
48
124
16
1
7
1
1
11
5
1
0
215
FYOO
53
130
12
6
4
2
0
10
0
2
0
219
UST
SOURCE Docket
FY98
194
FY99
311
FYOO
192
All Statutes
FY98
NA
FY99
NA
FYOO
144
SOURCE Docket
In addition, there were 80 HQ CAA Mobile Source NOVs w/ penalties
January 24, 2001 - OCCA/OC/EPTDD/IUTB
-9-
-------
FY 2000 New Formal Enforcement Actions (by Region and Type of Case)
600
500
400
300
200
100
Penalty Complaints
Civil Referrals
800
700
600
500
400
3OO
300
100
0
Compliance Oiders
x a
November 24, 2000 - oeCA/OC/EPTDO/IUTB
Data Source: Docket
10-
-------
FY 2000 Enforcement Action Conclusions/Settlements (by Region and Type of Case)
APO Settlements
Judicial Settlements
800
700
600
500
400
300
200
100[
ol
Compliance Orders
> > 5
Source: Civil Docket
f
November 24, 2000 - OECA/OC/EPTDD/IUTB
-11 -
-------
FY 2000 EPA Case Initiations and Conclusions by Statute
3,500 -,
3,000-
2,500
2,000-
1,500
1,000-
500
• TSCA
• SDWA
DRCRA
• FIFRA
D EPCRA
• CWA
BCERCLA
• CAA
Referrals to APO
DOJ Complaints
CERCLA 103 actions are inducted under EPCRA
Compliance
Orders
Judicial
Settlements
APO
Settlements
November 24, 2000- OECA/OC/EPTDO/TEB
Data Source: Docket
12-
-------
0
EPA Criminal Enforcement: Major Outputs FY 1998 to FY 2000
Cases Initiated
Referrals
Defendants
Sentences
Fines
D FY 98 D FY 99 • FY 00
FY 1998
FY 1999
FY 2000
Cases Initiated
636
471
477
Referrals
266
241
236
Defendants Charged
350
322
360
Sentences (Years)
172.9
208.3
146.2
Fines ($ Millions)
92.8
61.6
122.0
December 15, 2000 - OECA/OC/EPTDD/KJTB
Data Source: Criminal Docket
-13-
-------
FY 2000 Civil Referrals to DOJ Compared to FY 1998 and FY 1999 Referrals (by Statute and Region)
Regions
6
7
1
0
0
3
1
0
1 18
I
6
14
12
0
0
1
0
0
33
4
13
12
0
0
0
0
1
30
9
17
7
0
0
2
6
0
41
II
99
8
17
8
0
0
4
0
0
37
on
7
16
5
0
0
3
1
0
1
32
98
15
23
8
1
0
2
1
0
50
III
99
9
35
10
1
0
2
1
0
I 58
i
00
11
23
10
0
0
2
0
0
46
98
8
21
12
1
2
10
2
0
56
IV
99
9
27
10
0
0
9
1
0
"
00
30
29
3
0
0
3
0
0
65
98
26
35
21
1
2
7
1
0
93
V
99
34
22'
21
2
0
13
0
3
95
00
19
17
16
2
0
11
0
3
68
98
16
2
7
1
0
10
1
0
VI
99
14
5
8
1
0
2
0
0
— i-J
30
00
21
1
9
1
0
5
0
1
38
98
6
7
6
2
0
4
0
0
25
VII
99
9
9
4
4
0
2
0
i °
28
00
4
9
1
3
0
1
0
0
18
98
1
5
8
0
0
7
2
0
23
VIII
99
3
8
5
0
0
4
1
0
21
00
6
5
6
0
0
2
4
0
»
98
12
7
9
5
0
2
0
0
1"
IX
99
13
8
4
3
0
2
1
0
31
00
11
3
8
0
0
1
2
1
26
98
6
14
1
2:
0
0
2
1
0
25
X
99
3
3
4
1
0
0
1
0
12
00
6
5
1
0
0
0
0
0
•
97
113
138
81
11
4
49
15
0
1411
Totals
98
109
148
87
12
0
39
5
3
403
00
125
121
73
8
0
28
7
6
368
CAA
CERCLA
CWA
EPCRA
FIFRA
RCRA
SDWA
TSCA
Totals
The FY 1998 CWA total for Region IX includes one MPRSA case.
FY 1998 CAA and National totals include eight HQ Mobile Source referrals and the FY 1999 CAA totals include two HQ Mobile Source referrals.
The National FY 2000 totals include 10 HQ referrals (six CAA, two CWA and two EPCRA).
November 27, 2000 - OECA/OC/EPTDD/IUTB
Data Source. Docket
-14-
-------
FY 2000 APO Complaints Compared to FY 1998 and FY 1999 APOs (by Statute and Region)
Regions
1
6 : 11 ; 5
21 . 31 . 6
6 : 10 5
1.4 1
10 ' 32 I 7
0 ' 0 0
7.2-9
12 • 13 : 15
35 ! 34 39
21 30 : 24
:
6 • 8-10
16 i 16 : 22
10 ! 8 13
. I
15 17 ' 16
III
20 . 16 = 4
27 . 37 . 40
21 ' 18 ; 40
1 1
7 16 i 13
23 12'24
! !
052
6 17'21
IV
98 99 00
11 • 27 '• 11
39 45 . 34
:
56 ' 39 48
25 ! 23 : 25
17 19 [ 17
16 27 22
24 14 . 23
V
98 99 00
41 . 50 : 20
23 16.16
45 49 : 60
:
15 25 ' 30
13 11 15
17 6 i 6
92 25 . 10
98
20 '
184
37
46
48
11
21
VI
99 00
20 : 31
204 333
39 47
98 ' 43
58 29
1
9 I 5
26 28
VII
98 99 00
22 28 48
14 12 . 23
:
22 ' 55 25
46 10 32
13 1 23 [ 65
: :
o-o o
23 . 40 58
VIII
98 99 00
SlelS
14 18 10
:
4 ' 5 '. 4
:
5 ^ 56 i 11
:
10 ' 11 ' 10
9 • 7 ' 13
5 24 ! 5
IX
98 99 00
:
15115' 11
! i
13 8-14
:
17 : 25 ' 69
i i
18 26 ! 22
1 i
3 10 j 10
!
i i i o
:
2 . 5 : 8
X
98 99 00
46J7
19 : 23 ' 26
4 5 . 17
4 1^7
:
2 5 i 12
1 ' 1 : 0
4 32 ; 15
Totals
98 99
156 '. 193
389 . 436
!
233 ', 285
187 ' 274
!
155 : 197
65 i 64
214 ' 205
00
160
544
390
199
212
61
197
CAA
CWA
EPCRA
FIFRA
RCRA
SDWA
TSCA
Totals
115; 126J39
104 121. 144
188- 194 180
246. 182' 157
367 454' 516
140.168:251
53 -127; 58
69 i 90 i 134
38 73 . 84
1,400' 1,654: 1,763
HO Cases
CAA
CWA
EPCRA
FIFRA
RCRA
TSCA
98
0
0
0
14
0
15
99
i '
. 8
10 :
1 7
• 0
• 3 .
00
3
3
51
5
1
4
Note that totals above right include HQ cases (from left chart)
ECPCRA totals include CERCLA 103 complaints
Region N's FY 1998 CWA total includes two MPRSA actions, Region IX's FY 1998 CWA total includes 3 MPRSA actions
This tabulation does not include RCRA/UST field citations or CAA Mobile Source NOVs with penalty cases
Region VIII and national FY 1998 totals include one CERCLA penalty order
Totals 129 : 29 ; 67
November 27, 2000 - OECA/OC/EPTDD/IUTB
Data Source Docket
-IS-
-------
Regional Enforcement of Consent Decree Violations
10 -
FY 1999 - 2000 Consent Decree Enforcement Referrals
IV V VI
Regions
VII
VIII
IX
Regional CD Enforcement Referrals Since FY 1 990
HQ
IX
Data Source: Docket
16
January 23, 2001 - OECA/OC/EPTDD/IUTB
-------
EPA Civil Referrals to DOJ and Judicial Settlements During FY 1998 to FY 2000 (by Office)
300
III IV
V VI
Responsible Office
VII VIII IX
New to DOJ
Settlements
November 27. 2000 - OECA/OC/EPTDD/IUTB
Data Source: Docket
-17-
-------
Regional Civl Judicial Outputs FY 1998 to FY 2000 Compared to FTE Levels
25% i
to
0)
20%
o 15%
§
a 10%
m
CO
o 5%
ro
LU
0%
FTE levels based on FY 2000 MOA
IV
VI
VII
% of Referrals
D % of Penalties
VIII IX
% of Enforcement FTEs January 22, 2001
Data Source: Docket
OECA/OC/EPTDD/IUTB
-------
Regional Administrative Outputs FY 1998 to FY 2000 Compared to FTE Levels
30%
FTE levels based on FY 2000 MOA FTE
% of Enforcement FTEs
% of Adm. Penalties
LJ % of APO Complaints
0%
Data Source: Docket
- 19 -
January 22, 2001
OECA/OC/EPTDD/IUTB
-------
Regional Proportions of Selected Significant FY 2000 Enforcement Outputs
.,
Case Initiations
Civil Referrals to DOJ
APO Complaints
Criminal Referrals
Case Conclusions
Civil Jud. Settlements
Final APO s Issued
Compliance Orders
SEES
# of Cases with SEPs
Value of Cases
Dollar Value of SEPs
Civil Judicial Penalties
Administrative Penalties
Criminal Penalties
Injunctive Relief Value
1
*.
Region 1 Region 2 Region 3 Region 4 Region 5 Region 6 Region 7 Region 8 Region 9 Region 1 0
8.4% 8.9% 12.8% 18.2% 19.0% 10.6% 5.0% 6.4% 7.3% 3.4%
1.9% 8.2% 8.5% 10.6% 9.3% 30.4% 14.8% 3.4% 7.9% 5.0%
1.9% 8.2% 8.5% 10.6% 9.3% 30.4% 14.8% 3.4% 7.9% 5.0%
6.8% 12.3% 19.6% 15.1% 21.5% 5.0% 2.7% 5.9% 7.3% 3.7%
4.0% 8.7% 8.6% 9.7% 11.7% 26.8% 13.2% 4.6% 8.1% 4.6%
3.9% 21.5% 9.9% 17.0% 4.4% 18.9% 8.9% 6.1% 7.9% 1.5%
5.8% 13.6% 8.4% 16.2% 17.3% 17.8% 6.8% 4.2% 5.2% 4.7%
•
3.9% 9.2% 8.7% 5.9% 44.0% 22.2% 1.8% 0.3% 3.4% 0.5%
0.3% 16.7% 7.3% 6.5% 14.8% 42.3% 0.7% 4.8% 5.6% 1.096
6.2% 12.0% 7.4% 8.1% 25.6% 12.6% 7.7% 4.6% 10.6% 5.3%
4.9% 6.0% 3.8% 20.4% 10.6% 14.5% 0.4% 1.8% 9.0% 28.7%
25.2% 9.8% 12.0% 8.2% 10.5% 3.1% 2.8% 12.3% 15.9% 0.3%
V '
Percentage calculation denominator is total of all Regional actions.
March 20, 2001 - OECA/OC/EPTDD/IUTB
Data Source: Docket
-20-
-------
EPA Civil Referrals to DOJ Since FY 1973
450 -.1
400
Air BCERCLA BWater 1RCRA DToxics/Pesticides/EPCRA
£ £ £ t C C
8000
7000
6000
5000
4000
3000
2000
1000
u
7,289 Total Referrals (2,278 Air, 2,144 Water, 2,026 CERCLA, 571 RCRA and 270 Toxics/Pesticides/EPCRA)
January 17, 2001 - OECA/OC/EPTDD/IUTB
Data Source: Docket and Historical Records
-21 -
-------
FPA Administrative Penalties Since FY 1978 by Statute
% of EPA APQ Complaints FY 1991 to_EY_ZQQaby
Multimedia
0%
RCRA
26%
Total Administrative Penalties - $415,427,
EPCRA
12%
Region IX
5%
Region VIII
6%
Region VII
11%
Region VI
19%
HQ Region I
3% 5%
Region II
11%
Region V
16%
Region IV
12%
APQ Complaints Since
EPAAPQ Complaints Since FY 1991 bv Statute
r600
500
ITSCA
ISDWA
I RCRA
IFIFRA
IEPCRA
ICWA
ICERCLA
ICAA
Data Source: Docket and Historical Records
-22-
OECA/OC/EPTDD/IUTB
-------
EPA Criminal Program Shows Consistent Growth in Key Outputs Since FY 1983
$180
fc fc
fc £
Referrals
Penalties
Data Source: Criminal Docket
23-
February 18, 2001 - OECA/OC/EPTDD/IUTB
-------
FY 2000 State Enforcement Activity (by Region)
Administrative Orders
CM1
CWA2
FIFRA3
SDWA (PWSS)4
SDWA(UIC)
RCRA5
Total
Reg1
91
23
41
104
48
307
Reg 2
320
411
68
382
Reg 3
189
36
103
61
Reg 4
346
1,020
185
508
Reg 5
147
212
44
63
Reg 6
206
244
15
73
Reg 7
75
52
15
207
Reg 8
125
14
2
13
Reg 9
191
67
70
1
80
State AO data not available
169
1.350
51
440
285
2,344
120
586
154
692
11
360
37
191
10
418
Reg 10
38
11
66
150
63
328
State Referrals
CM6
CWA7
SDWA (PWSS)8
SDWA(UIC)
RCRA9
Total
Reg1
9
11
8
3
31
Reg 2
0
7
4
Reg 3
6
5
2
Reg 4
13
19
19
Reg 5
29
44
3
Reg 6
7
0
0
Reg 7
12
22
2
Reg 8
26
5
1
State referral data not available
0
11
20
33
45
96
16
92
7
14
6
42
16
48
Reg 9
'o
9
1
1
11
Reg 10
9
0
0
5
14
Total
1,728
2,090
609
1,641
NA
948
7,016
Total
111
122
40
NA
119
392
'AFS field" ANT1 = 8C. National Asbestos Registry System (NARS) fields: AONCOUNT, APOCOUNT. AOSCOUNT, APSCOUNT; RPTAGENCY = S or L.
NARS data missing from some States because the data was not submitted.
2PCS fields. ENAC = AA. AC, AE, AF, C1,21.22.23, 55,56,62.63,68,72.75. 76. 80.81, 82.83.84.85,86.87. 88.89.90,96. and 97; EATP = S. If the PCS Docket
number was not entered for an enforcement action, that action was not counted. In addition, actions with repeat PCS Docket numbers were only counted once.
'FITS fields: CC. LCCM, LCR. LCS & SS
4SDWIS Fields SFL. SFO.
'RCRAInfo RCRA AOs = 200 and 300 senes. actions addressing the same violations only counted once.
"AFS fields ANT1 = 1E, 9C. 1D NARS fields. CRNCOUNT. CRSCOUNT; RPTAGENCY = S or L. NARS data missing from some States because the data was not submitted.
TSent manually.
"SDWIS Fields SF&, SF9
"RCRAInfo Referrals = 400 and 500 series; actions addressing the same violations only counted once.
-24-
OECA/OC/EPTDD/IUTB
5/18/2001
-------
FY 2000 Notices of Violation by Regions
(NPMS Set 9)
Primary Law
CAA
CWA/NPDES
RCRA
EPCRA
FIFRA
TSCA
SDWA
Total NOVs
Note
Region I Region II Region III Region IV Region V Region VI
3
0
32
0
12
11
94
152
8
228
66
0
34
28
NR
364
9
1
10
32
44
25
597
718
49
296
3
0
26
36
65
475
109
4
51
0
160
100
211
635
5
511
7
0
0
5
991
1,519
Region VII
15
0
84
0
25
357
1
482
Region VIII
2
5
4
0
0
19
31
61
Region IX
16
0
30
0
67
74
NR
187
Region X
15
17
26
0
38
33
580
709
National Total
Source IDEA&SDWIS
CAA(AFS) Criteria
CWA/NPDES (PCS) Criteria
EPCRA (NCDB) Criteria
FIFRA (NCDB) Criteria
RCRA (RCRAInfo) Criteria
TSCA (NCDB) Criteria
SDWA (SDWIS) Criteria
RANT1 = 5A or 6A and RDTA1 is in FY 2000
ENAC = 03, 20, A8,98 or 99 and EATP = E and ENDT is in FY 2000
ACTNTYP - FNN or NON and LEGISLA = E and AOISSUE is in FY 2000
ACTNTYP = 14W, 9WR, NOV. IRE, ADL, FRE. NOI or NOD and LEGISLA
= F and AOISSUE is in FY 2000
ENFTYPE = HQ120 or HQ190 and ENFAGN = E or X and EDATE is in FY 2000
ACTNTYP = FNN, FNS, NON or APN and LEGISLA = T and AOISSUE is in FY 2000
Enforcement Codes = EIA or EFJ
231
1,062
313
32
406
688
2,570
March 01, 2001
OECA/OC/EPTDD/IUTB
-25-
-------
Dollar Value of EPA Enforcement Actions Concluded in FY 2000
EPA Criminal Penalties
EPA Civil Penalties
160
FY1998
FY1999
FY 2000
200 n
FY1998
FY139SL
FY2000
• Judicial D Administrative
Value of Injunctive Relief
Value of EPA SEPs
r
FY 1998
OECA/OC/EPTDD/IUTB
December 2000
FY 1999
FY 2000
250
200-
150
** 100
FY 1998
-26-
FY1999 FY2000
Source: Civil amd Criminal Dockets
-------
EPA Enforcement Case Values Beyond Penalty Assessments - FY 1997 to FY 2000
Value of SEPs Incorporated in Settlements
Injunctive Relief Value Incorporated in Settlemem
$250.000.000
$200.000,000
$150.000000
$100.000,000
$50,000,000
$3,500,000,000 /
$3,000,000.000
$2.500.000.000
$2.000,000,000
$1,500,000,000
$1,000,000,000
$500,000,000
FY97 FY98 FY 99 FY 00
FY97 FY98 FY 99 FY 00
December 4, 2000 - OECA/OC/EPTDD/TEB
Source: Docket
OECA/OC/EPTDD/IUTB
-27-
6/14/2001
-------
Dollar Value of FY 2000 EPA Enforcement Actions (by Region)
Region 1
Region II
Region III
Region IV
Region V
Region VI
Region VII
Region VIII
Region IX
Region X
HQ
Totals
Criminal
Penalties
Assessed
$5,938,574
$7,363,469
$4,618,730
$24,885,468
$12,951.487
$17,633,777
$447,194
$2,211,366
$10,945,914
$34,978,509
$0
$121,974,488
Civil Judicial
Penalties
Assessed
$165,000
$9,170,500
$4,003,493
$3.583,877
$8.102,027
$18,218,940
$5,375,000
$2,631,000
$3,054,277
$547,651
$0
$54,851,765
Administrative
Penalties
Assessed
$1,141,903
$1,995,799
$2,019,148
$4,964,625
$5,371,929
$3,984,465
$2,053,757
$397,879
$2,116,885
$693,688
$769,801
$25,509,879
$ Value of
Injunctive
Relief
$393,027,188
$152,614,114
$187,624.663
$127,592.840
$164,191.157
$48,820,435
$43,980,756
$191,811,450
$248,992,808
$4,028,375
$140,578
$1,562,824,364
$ Value of
SEPs
$2,146,584
$5,092,573
$4,827,194
$3,243,010
$24,300,084
$12,232.357
$993,108
$159,483
$1,900,540
$278,463
$715,000
$55,888,396
Data comes from EPA criminal and civil dockets.
December 15,2000 - OECA/OC/EPTDD/IUTB
-28-
-------
Dollar Value of FY 2000 Enforcement Actions
(% of Dollar Value of Enforcement Actions Produced by each Office)
Region 1
Region II
Region III
Region IV
Region V
Region VI
| Region VII
| Region VIII
Region IX
1 Region X
i
HQ
Totals
Color Key
i
1
T
Criminal 1
i
Penalties
Assessed
49%
6.0%
38%
204%
106%
145%
04%
1 8%
90%
287%
00%
I 1 00 0%
=:
=
Civil Judicial
Penalties '
Assessed
03%
16 7%
73%
65%
148%
33 2%
98%
4.8%
56%
1 0%
00%
1 00 0%
i
Less than 5 %
More than 10%
I
Administrative
Penalties
Assessed
45%
78%
79%
195%
21 1%
1 5 6%
81%
1 6%
83%
27%
30%
100 0%
$ Value of
Injunctive
Relief
25 1%
98%
120%
82%
10 5%
31%
28%
123%
159%
03%
00%
1000%
$ Value of
ScrS
38%
9 1%
86%
58%
43 5%
21 9%
1 8%
03%
34%
05%
1.3%
1000%
Data comes from EPA criminal and civil dockets
December 15, 2000 - OECA/OC/EPTDD/IUTB
- 29
-------
FY 2000 EPA Civil Penalties by Region
(# of Settlements, Penalties Assessed, and Average Penalties)
1
II
III
IV
V
VI
VII
VIII
IX
X
HO
Totals
•
of Civil
Judicial
Settlements
15
27
43
33
47
11
6
13
16
8
0
219
Civil Judicial
Penalties
Assessed
$165,000
$9,170.500
$4,003,493
$3.583,877
$8,102,027
$18,218,940
$5,375,000
$2,631,000
$3,054,277
$547.651
$0
$54,851,765
•
I
-
Average
Civil Judicial
Penalty
$11,000
$339.648
$93.104
$108.602
$172.384
$1.656,267
$895.833
$202.385
$190,892
$68.456
NA
$250,465
* Admin.
Penalty Order
Settlements
66
145
144
162
195
447
221
77
136
76
61
1,730
"
'
Administrative
Penalties
Assessed*
$1,615,430
$3,162,898
$1,957,447
$2.153.633
$6.770,679
$3.288,845
$2.042.727
$1.208.846
$2,792,012
$1,385,035
$2,232,443
$28,609,995
'I
I
Average
Administrative
Penalty
$24,476
1
$21.813
$13,593
$13.294
$34,721
$7,358
$9,243
$15.699
$20,530
$18,224
$36,597
$16,538
• The national total tor administrative penalties was S2B.258.502 which included 80 HQ CAA Mobile Source NOVs with penalties of
$518.857 and 192 regional UST field citations for penalties of $129,500
Chart data and calculations exclude CAA NOVs and UST Field Citations
December 15. 2000 - OECA/OC/EPTDD/IUTB
Source Civil Docket
•30 -
-------
Dollar Value of FY 2000 EPA Enforcement Actions (by Statute)
CAA
CERCLA
CWA
EPCRA
FIFRA
RCRA
SDWA
TSCA
•Title 18/Olher
Totals
i
Criminal
Penalties
Assessed
$5,714,318
$70,400
$39.730,733
$0
$583,745
$38,509,153
$29.840,156
$1,492,084
$6.033,899
$121,974,488
I
Civil Judicial
Penalties
Assessed
$21,827,013
$426,000
$21,579,394
$52,297
$0
$10,863,061
$104,000
$0
$0
$54,851,765
I
Administrative
Penalties
Assessed
$3,629,256
$0
$5,403,201
$4,578,602
$2,078,506
$9,401,878
$821,515
$3,345,544
$0
$29,258,502
]
$ Value of
Injunctive
Relief
$100,262,170 I
$655,223,217
$156,813,072
$531,004
$41,500
$285,736,136
$357.679,662
$6,537,603
$0
$1,562.824,364
$ Value of
SEPs
$29,203,322
$925,000
$10,857,998
$2,547,883
$465,000
$8,802,318
$312,250
I $2,774,625
$0
$55,888,396
i
•Criminal cases with U S Code - Title 18 or other violations
Data comes from EPA criminal and civil dockets
December 15, 2000 - OECA/OC/EPTDD/IUTB
- 31 -
-------
Dollar Value of FY 2000 Enforcement Actions
(% Accomplished Under Each Statute)
CAA
CERCLA
CWA
EPCRA
FIFRA
RCRA
SDWA
TSCA
Other
Totals
Criminal
Penalties
Assessed
4.68%
006%
32.57%
000%
0.48%
31.57%
24.46%
1.22%
495%
1000%
Color Key.
Civil Judicial
Penalties
Assessed
39.79%
078%
39.34%
0 10%
0.00%
1980%
0.19%
0.00%
0.00%
1000%
I
=
Administrative
Penalties
Assessed
12 40%
0.00%
18.47%
1565%
710%
32 13%
281%
11.43%
0.00%
100 0%
Less than 5 %
$ Value of
Injunctive
Relief
642%
41.93%
1003%
0.03%
i
0.00% I
18.28%
22.89%
0.42% '
i
0.00%
1000%
r -
=
$ Value of
SEPs
52.25%
166%
1943%
4.56%
0.83%
15.75%
0.56%
4.96%
0.00%
100.0%
Over 15% Share
Data comes from EPA civil and criminal Dockets.
-32-
DecembeMS, 2000 - OECA/OC/EPTDD/IUTB
-------
FY 2000 EPA Civil Penalties by Statute
(# of Cases w/Penalties, Penalties Assessed, and Average Penalties)
The national total lor administrative penalties was S29.258.502 which included 192 regional UST field citations for penalties of $129,650 and 80
Mobile Source NOVs with penalties of $518,857, these penalties are not included in chart
Data Source Civil Docket
December 4, 2000 OECA/OC/EPTDO/IUTB
- 33-
-------
Dollar Value of FY 2000 Clean Air Act EPA Enforcement Actions (by Region)
J
/
Region I
Region II
Region III
Region IV
Region V
Region VI
Region VII
Region VIII
Region IX
Region X
HQ
Totals
- i •>
Criminal
Penalties
Assessed
$941,936
$1,486,292
$49,554
$921,000
$1,213,000
$54,400
$0
$35,000
$1,001,100
$12,036
$0
$5,714,318
Civil Judicial
Penalties
Assessed
$40,000
$3,340,000
$3,067,493
$2,449,900
$6,213,843
$2,640,000
$375,000
$1,450,000
$1,735,777
$515,000
$0
$21.827,013
Administrative
Penalties
Assessed
$439,496
$176,545
$344,110
$67.907
$582,695
$606,658
$371,517
$75,405
$360,632
$85,434
$518,857
$3,629,256
k»
•
$ Value of
Injunctive
Relief
$230,500
$682,700
$4,873,000
$74.013.700
$15,013,407
$500,000
$468,705
$0
$1,500,000
$2,904,500
$75,658
$100,262,170
$ Value of
SEPs
$24,000
$3,000,000
$2.101,207
$696,988
$21,202,825
$1,377,272
$83,030
$18,000
$700,000
$0
$0
$29,203,322
•
Data comes from EPA civil and criminal dockets.
December 18.2000 - OECA/OC/EPTDD/IUTB
-34-
6/13/01
-------
FY 2000 EPA Clean Air Act Civil Penalties by Region
(# of Cases w/Penalties, Penalties Assessed, and Average Penalties)
1
II
III
IV
v
V,
VII
VIII
IX
X
HQ
Totals
1
]
]
# of Civil
Judicial
Settlements
1
7
8
5
16
3
2
3
6
2
0
53
I
Civil Judicial
Penalties
Assessed
$40,000
$3,340,000
$3,067,493
$2,449,900
$6,213,843
$2,640,000
$375,000
$1,450,000
$1,735,777
$515,000
$0
$21,827,013
Average
Civil Judicial
Penalty
$40,000
$477,143
$383,437
$489,980
$388,365
$880,000
$187,500
$483,333
$289,296
$257,500
$0
$411,830
f
Admin
Penalty Case
Settlements
9
8
"
11
34
28
53
6
16
6
0
182
Administrative
Penalties
Assessed
$439,496
$176,545
$344,110
$67,907
$582,695
$606,658
$371,517
$75,405
$360,632
$85,434
$0
$3,110,399
Average
Administrative
Penalty
$48,833
$22,068
$31,283
$6,173
$17,138
$21,666
$7,010
$12,568
$22,540
$14,239
$0
$17,090
1
There were also 80 HQ administrative settlements for Mobile Source NOVs w/Penalties (80 cases for $518,857 - average of $6,486
December 18, 2000 - OECA/OC/EPTDD/IUTB
Source Civil Docket
35 •
-------
Dollar Value of FY 2000 CERCLA EPA Enforcement Actions (by Region)
(Does not include CERCLA 103 activity which is included under EPCRA)
•
Region I
Region II
Region III
Region IV
Region V
Region VI
Region VII
Region VIII
Region IX
Region X
HQ
Totals
•
Criminal
Penalties
Assessed
$200
$0
$100
$100
$0
$0
$0
$0
$70.000
$0
$0
$70,400
,
Civil Judicial
Penalties
Assessed
$125,000
$100,000
$1,000
so
$0
$0
$0
$100,000
$100,000
$0
$0
$426,000
i
.
Administrative
Penalties
Assessed
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
• ;.
$ Value of
Injunctive
Relief
$20.615,987
$103,600,000
$122.519,000
$38,232,000
$122,079,384
$6.000
$41,610,646
$3,410,000
$202,250,000
$900,000
$0
$655,223,217
!
$ Value of
SEPs
$700,000
$0
$0
$0
$0
$0
$0
$0
$225,000
$0
SO
$925,000
-
Data comes from EPA civil and criminal dockets.
December IB, 2000 - OECA/OC/EPTDD/IUTB
-36-
-------
Dollar Value of FY 2000 Clean Water Act EPA Enforcement Actions (by Region)
Region 1
Region II
Region III
Region IV
Region V
Region VI
Region VII
Region VIII
Region IX
Region X
HQ
Totals
Criminal
Penalties
Assessed
$2,536,450
$3,386,104
$2,347,237
$1.269,500
$10,559,473
$2,497,900
$417.194
$312,500
$9,773,875
$6,630,500
$0
$39,730,733
Civil Judicial
Penalties
Assessed
$0
$624,000
$935,000
$1,085,000
$824,100
$11,785,440
$5,000,000
$927,000
$386,000
$12,854
$0
$21,579,394
Administrative
Penalties
Assessed
$517,006
$1,211,546
$530,916
$207,854
$404.745
$844,273
$141,760
$293,338
$240,500
5345,028
$666,235
$5,403,201
I
$ Value of
Injunctive
Relief
$21,877,000
$5,363,936
$59,964,025
$9,443,015
$10,909,500
$36,904,680
$131,200
$8.113,760
$3,983.500
$85,850
$36,606
$156,813,072
$ Value of
SEPs
$533,800
$1,242,220
$2,264,280
$317,538
$2,286,181
$3,484.500
$13,009
$40,000
$600,000
$76,470
$0
$10,857,998
Data comes from EPA civil and criminal dockets
December 15. 2000 - OECA/OC/EPTDD/IUTB
37
-------
FY 2000 EPA Clean Water Act Civil Penalties by Region
(# of Cases w/Penalties, Penalties Assessed, and Average Penalties)
1
II
III
IV
V
VI
VII
VIII
IX
X
HQ
Totals
« of Civil
Judicial
Settlements
0
1
3
3
4
5
1
2
2
1
0
•\
22
•
Civil Judicial
Penalties
Assessed
$0
$624,000
$935,000
$1,085,000
$824.100
$11,785,440
$5,000,000
$927,000
$386.000
$12,854
$0
$21.579,394
• ' *_
•
Average
Civil Judicial
Penalty
$0
$624,000
$311.667
$361.667
$206,025
$2,357,088
$5,000,000
$463,500
$193.000
$12,854
$0
$980.882
Admin
Penalty Case
Settlements
22
50
38
15
17
312
10
17
7
22
5
515
Administrative
Penalties
Assessed
$517,006
$1,211,546
$530,916
$207,854
$404,745
$844,273
$141,760
$293.338
$240,500
$345,028
$666.235
$5,403,201
-!
Average
Administrative
Penalty
$23.500
$24.231
$13.971
$13,857
$23,809
$2,706
$14,176
$17,255
$34,357
$15,683
$133,247
I
$10,492
Source: Civil Docket
December 18. 2000 - OECA/OC/EPTDD/IUTB
-38 •
-------
Dollar Value of FY 2000 EPCRA EPA Enforcement Actions (by Region)
Region 1
Region II
Region III
Region IV
Region V
Region VI
Region VII
Region VIII
Region IX
Region X
HQ
Totals
Criminal
Penalties
Assessed
$0
$0
$0
SO
$0
SO
SO
$0
so
so
so
$0
!
1
Civil Judicial
Penalties
Assessed
$0
$0
$0
$0
$0
SO
$0
$0
532,500
519,797
$0
$52,297
Administrative
Penalties
Assessed
585,614
5685,963
5326,385
5337,323
$692.789
5545,830
$400,144
511,000 |
$1,030,703
5217,538
5245,313
$4,578.602
$ Value of
Injunclive
Relief
$22,725
$149,129
$50,000
$0
$0
$2,000
$85,880
$3,000
$189,008
$948
528,314
5531,004
$ Value of
SEPs
$72,004
$267,262
$77,907
$323,111
$500,784
$103,500
5758,143
SO
| $271,879
$173,293
$0
$2.547,883
]
Data comes from EPA civil and criminal dockets
December 18, 2000 • OECA/OC/EPTDD/IUTB
39
-------
FY 2000 EPA EPCRA Civil Penalties by Region
(# of Cases w/Penalties, Penalties Assessed, and Average Penalties)
Source Docket
December IB. 2000 - OECA/OC/EPTDD/IUTB
-40
-------
Dollar Value of FY 2000 FIFRA EPA Enforcement Actions (by Region)
Region I
Region II
Region III
Region IV
Region V
Region VI
Region VII
Region VIII
Region IX
Region X
HQ
Totals
Criminal
Penalties
Assessed
$0
$109,000
$0
$500
$0
$1,400
$0
$461,732
$11,113
$0
$0
$583,745
Civil Judicial
Penalties
Assessed
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
Administrative
Penalties
Assessed
$0
$162,670
$132,867
$528,003
$260,356
$39,225
$135,580
$101,300
$261,625
$22,880
$434,000
$2,078,506
$ Value of
Injunctive
Relief
$0
$0
$0
$11,000
$500
$0
$2,000
$11,300
$15,300
$1,400
$0
$41,500
$ Value of
SEPs
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$465,000
$465,000
Data comes from EPA civil and criminal dockets.
December 18. 2000 - OECA/OC/EPTDD/IUTB
•41 -
-------
FY 2000 EPA FIFRA Civil Penalties by Region
(# of Cases w/Penalties, Penalties Assessed, and Average Penalties)
1
II
III
IV
V
VI
VII
VIII
IX
X
HQ
Totals
# of Civil
Judicial
Settlements
0
0
0
0
0
0
0
0
0
0
0
0
Civil Judicial
Penalties
Assessed
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
Average
Civil Judicial
Penalty
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
Admin.
Penalty Case
Settlements
0
8
23
28
36
26
26
19
28
3
3
200
Administrative
Penalties
Assessed
$0
$162,670
$132,867
$528,003
$260,356
$39,225
$135,580
$101,300
$261,625
$22,880
$434,000
$2,078,506
Average
Administrative
Penalty
$0
$20,334
$5,777
$18,857
$7,232
$1,509
$5,215
$5,332
$9,344
$7,627
$144,667
$10,393
Source: Docket
December 18. 2000 • OECA/OC/EPTDD/IUTB
-42-
-------
Dollar Value of FY 2000 EPA RCRA Enforcement Actions (by Region)
Region 1
Region II
Region III
Region IV
Region V
Region VI
Region VII
Region VIII
Region IX
Region X
Totals
Criminal
Penalties
Assessed
$377,749
$874,513
$2,062,755
$19,668,268
$428,014
$7,272,921
$0
$1,402,134
$86,826
$6,335,973
$38,509,153
Civil Judicial
Penalties
Assessed
$0
$5,106,500
$0
$48,977
$1,014,084
$3,793,500
$0
$100,000
$800,000
$0
$10,863,061
Administrative
Penalties
Assessed
$515,334
$490,981
$507,802
$397,080
$4,240,285
$1,174,085
$905,239
$136,203
$795,089
$239,780
$9,401,878
$ Value of
Injunctive
Relief
$60,992
$42,497,777
$135,000
$2,795,000
$12,874,190
$10,870,305
$1,670,375
$180,214,500
$34,500,000
$117,997
$285,736,136
$ Value of
SEPs
$816,780
$67,000
$367,400
$84,785
$7,996
$7,204,615
$130,598
$19,483
$103,661
$0
$8,802,318
Data comes from EPA civil and criminal dockets.
December 18, ZOOO - OECA/OC/EPTDD/IUTB
-43-
-------
FY 2000 EPA RCRA Civil Penalties by Region
(# of Cases w/Penalties, Penalties Assessed, and Average Penalties)
Data table excludes RCRA-UST field citations which totaled $129,650 for 192 citations
Source Civil Docket
December 18. 2000 - OECA/OC/EPTDD/IUTO
-44-
-------
Dollar Value of FY 2000 Safe Drinking Water Act EPA Enforcement Actions (by Region)
' -/
Region 1
Region II
Region III
Region IV
Region V
Region VI
Region VII
Region VIII
Region IX
Region X
HQ
Totals
Criminal
Penalties
Assessed
$33,000
| $0
$0
$0
$0
$7,807,156
$0
$0
$0
$22,000,000
$0
$29,840,156
Civil Judicial
Penalties
Assessed
$0
$0
$0
$0
$50,000
$0
$0
$54,000
$0
$0
$0
$104,000
Administrative
Penalties
Assessed
$0
$32,500
$13,000
$40,621
$96,400
$24,300
$0
$590,350
$15,344
$9,000
$0
$821,515
$ Value of
Injunctive
Relief
$350,016,984
$311,500
$32,231
$51,400
$130,057
$520,100
$0
$58,890
$6,555.000
$3,500
$0
$357,679,662
I
I
$ Value of
SEPs
$0
$740,000
$0
so
$0
$0
$0
$/?,250
$0
$0
$0
$312,250
I
]
I
J
j
I
j
Data comes from EPA civil and criminal dockets
December 18, 2000 - OECA/OC/EPTDD/IUTB
-45-
6/13/01
-------
FY 2000 EPA Safe Drinking Water Act Civil Penalties by Region
(# of Cases w/Penalties, Penalties Assessed, and Average Penalties)
1
II
III
IV
V
VI
VII
VIII
IX
X
HQ
Totals
# of Civil
Judicial
Settlements
0
0
0
0
1
0
0
1
0
0
0
2
Civil Judicial
Penalties
Assessed
$0
$0
$0
$0
$50,000
$0
$0
$54,000
$0
$0
$0
$104,000
Average
Civil Judicial
Penalty
$0
$0
$0
$0
$50,000
$0
$0
$54,000
$0
$0
$0
$52,000
Admin.
Penalty Case
Settlements
0
10
3
10
7
5
0
10
2
1
0
48
Administrative
Penalties
Assessed
$0
$32,500
$13,000
$40,621
$96,400
$24,300
$0
$590,350
$15,344
$9,000
$0
$821,515
Average
Administrative
Penalty
$0
$3,250
$4,333
$4,062
$13,771
$4,860
$0
$59,035
$0
$0
$0
$17,115
Source: Civil Docket
December 18. 2000 - OECA/OC/EPTDD/IUTB
-46-
-------
Dollar Value of FY 2000 TSCA EPA Enforcement Actions (by Office)
Region 1
Region II
Region III
Region IV
Region V
Region VI
Region VII
Region VIII
Region IX
Region X
HQ
Totals
Criminal
Penalties
Assessed
$749,239
$1,507,560
$0
$3,026.100
$751,000
$0
$0
$0
$0
$0
$0
$6,033,899
Civil Judicial
Penalties
Assessed
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
Administrative
Penalties
Assessed
$72,930
$429,293
$105,717
$574,845
$498,509
$99,674
$93,787
$5,250
$104,269
$474,375
$886,895
$3,345,544
$ Value of
Injunctive
Relief
$203,000
$9,072
$51,407
$3,046,725
$3,184,119
$17,350
$11,750
$0
$0
$14,180
$0
$6,537,603
$ Value of
SEPs
$0
$276,091
$16,400
$1,820,588
$302,298
$62,470
$8,328
$9,750
$0
$28,700
$250,000
$2,774.625
Data comes from EPA civil and criminal dockets
December 18, 2000 - OECA/OC/EPTDD/IUTB
-47-
-------
FY 2000 EPA TSCA Civil Penalties by Region
(# of Cases w/Penalties, Penalties Assessed, and Average Penalties)
1
II
III
IV
V
VI
VII
VIII
IX
X
HQ
Totals
# of Civil
Judicial
Settlements
0
0
0
0
0
0
0
0
0
0
0
0
Civil Judicial
Penalties
Assessed
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
Average
Civil Judicial
Penalty
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
Admin.
Penalty Case
Settlements
2
21
20
30
24
23
40
11
7
23
4
205
Administrative
Penalties
Assessed
$72,930
$429,293
$105.717
$574,845
$498,509
$99,674
$93,787
$5,250
$104,269
$474,375
$886,895
$3,345,544
Average
Administrative
Penalty
$36,465
$20,443
$5.286
$19,162
$20,771
$4.334
$2,345
$477
$14,896
$20,625
$221,724
$16,320
Source: Civil Docket
December 18. 2000 • OECA/OC/EPTDD/IUTB
-48-
-------
EPA Enforcement Penalties Since its Creation: By Year and Type |
$300,000,000 -
$250,000,000
$200,000,000
g $150,000,000
B
"ro
§
$100,000,000
$50,000,000
$0
(Total Penalties
Total Penalties Over $1.95 Billion
|s.COCOCOCOCOCOCOCOCOCOW0>O>WWO1ff>0»O»
• Criminal
D Administrative
•Civil Judicial
U_ U- U_ U- U-
January 11,2001 - OECA/OC/EPTDD/IUTB
Source: Civil and Criminal Dockets and Historical Records
-49-
-------
EPA Supplemental Environmental Projects in FY 2000
Region
1
II
III
IV
V
VI
VII
VIII
IX
X
HQ
Totals
tt of Cases with SEPs
CAA CERCLA CWA EPCRA FIFRA RCRA SDWA TSCA Totals
1
1
'!•
4
2
0
0
11 j 0
i
10
2
1
0
0
0
2 1 1
i
0
0
°i°
2
2
11 | 6
7
4
8
7
1
21
9
0
5
0 | 1
0
0
0
3
2
1
9 | 0 | S
1 i 6 | 0
1
1
2
0 | 0
3 | 0
5
3
3
3
o i o
o i o ! 1
: I
' : \ \
34 | 2 [ 44 | 62
0
4
0
°
0
0
3
1
2
4
Oj 3
0
1
2 ! '
0
0
0 1 0
1
1 | 26
6
0
2
1
,8
11
26
16
31
33
34
13
8
10
9
2
193
CAA CERCLA CWA
$24.000
$3,000.000
$2,101,207
$696,988
$21,202,825
$700,000
$0
$0
$0
$0
1 1 1
$1,377.272 1 $0
:
$83,030 1 (0
$18,000
$700,000
$0
$0
$225,000
$0
$0 ! $0
:
$533,800
Cost to InftDlement SFP Agreements
EPCRA FIFRA RCRA
$72.004
$1,242,220 1 $267,262
$2,264.280
$317,538
$2,286,181
$3,484,500
$1 3,009
$40,000
$600,000
$76.470
$0
$29.203,322 ! $925,000 ! $10,857,998
1 !
$77,907
$323,1 1 1
SO
$0
SDWA TSCA Totals
1
$816,780 1 $0
$67,000
$0 I $367.400
• .
$0
1 1 '
$500,784 j $0
' !
$103,500 { $0
$758,143
$0
$271,879
$173,293
$0
$2,547,883
$0
$0
$0
$0
$465,000
$465,000
$84,785
$7,996
$7,204,61 5
$130,598
$240,000
$0
$0
$0
$276.091
$16,400
$1.820.588
$0 ! $302,298
$0
$0
$19,483 i $72,250
$103,661
$0
$0
$8.802,318
SO
$62.470
$8.328
$9.750
$0
$0 i $28,700
>
$0
$312,250
$250.000
$2.146,584
$5.092,573
$4,827.194
$3,243,010
$24,300,084
$12.232,357
$993.108
$1 59.483
$1,900,540
$278,463
$715.000
$2.774.625 j $55,888.396
Data based on case conclusion data entered into the Docket by Regional Offices.
CERCLA 103 SEPs included under EPRCA
November 13, 2000 - OECA/OC/EPTDD/IUTB
-50-
-------
SEP Category
Public Health
*Pollutlon Prevention
Pollution Reduction
Evironmental Restoration/Protection
Assessments and Audits
Environmental Compliance Promotion
Emergency Planning and Preparedness
Qthfit
Totals for all SEP types
Number of Cases
Use of SEPs in FY 2000 EPA Enforcement Actions
(by type of SEP)
27
1A single SEP can have multiple Pollution Prevention SEP categories.
Source: Civil Docket
# included in j
Judicial Actions j SEP Value
3
15
9
4
1
0
2
2
# included in j
Admin. Actions j SEP Value
18
112
47
14
9
8
48
18
Total SEP
Types
21
127
56
18
10
8
50
20
Total
SEP Value
B36 j $43,192,210 | 274
$12,396,186 I! 310 j $55,588,396 1
166
November 14. 2000 - OECA/OC/EPTDD/IUTB
-51 -
-------
Percent of FY 2000 Judicial and APO Settlements That Included A SEP
By Type of Action, Region and Statute
40%
35%
30%-
25%
20%
15%
10%
5%
0%
Note: "All Cases" includes civil judicial and administrative penalty settlements.
Soure: Civil Docket
December 26, 2000 - OECA/OC/EPTDO/IUTB
•52-
-------
SEP Categories (Types) Reported for FY 2000 EPA SEPs (by Region)
Category of SEP
Public Health
Pollution Prevention Categories
- In-process Recycling
- Equipment/ Technology Modifications
-Process/ Procedure Modification
-Product Reformulation/ Redesign
- Raw Materials Substitution
- Improved Housekeeping/ O&M/Traming
-Energy Efficiency/ Conservation
- Other Pollution Prevention
Pollution Reduction
Environmental Restoration and Protection
Assessments and Audits
Environmental Compliance Promotion
Emergency Planning and Preparedness
Other SEP Category
Total # of Case Settlements with SEPs
Total # of SEP Categories (Types) Reported
Soure: Civil Docket
0
8
2
1
0
0
3
5
0
1
1
4
4
1
2
2
0
1
0
4
1
3
1
1
0
11
1
0
0
8
1
0
0
8
0
0
0
3
1
4
2
0
1
3
0
0
0
10
3
2
0
0
0
3
1
0
0
0
1
0
0
5
1
0
2
21
2
11
8
3
1
1
2
2
0
17
3
0
0
4
6
11
2
0
1
1
0
0
0
0
5
1
0
11
1
10
6
1
2
2
2
0
0
5
0
0
0
3
6
0
0
0
1
2
1
0
0
0
3
1
1
0
0
1
0
1
0
0
0
0
0
3
0
2
2
4
1
0
1
0
0
0
2
1
0
4
2
1
1
3
3
0
0
0
0
1
0
0
0
0
0
0
1
0
0
55
25
6
8
20
9
4
0
56
18
10
8
50
20
11
24
26
41
16
27
31
37
33
58
34
33
13
40
8
14
10
14
9
19
2
3
193
310
OECA/OC/EPTDD/IUTB • November 13, 2000
-53-
-------
SEP Categories (Types) Reported for FY 2000 EPA SEPs (by Law)
Categories of SEPs
Public Health
Pollution Prevention Categories
- In-process Recycling
- Equipment/ Technology Modifications
-Process/ Procedure Modification
-Product Reformulation/ Redesign
- Raw Materials Substitution
- Improved Housekeeping/ O&M/Training
-Energy Efficiency/ Conservation
- Other Pollution Prevention
Pollution Reduction
Environmental Restoration and Protection
Assessments and Audits
Environmental Compliance Promotion
Emergency Planning and Preparedness
Other SEP Category
Total # of Case Settlements with SEPs
Total # of SEP Categories Reported
Source: Civil Docket
1 2
0
4
6
1
1
5
2
14
8
3
0
0
1
2
0
10
2
0
0
5
S
0
1
0
0
0
0
0
0
1
0
1
0
1
0
18
3
0
0
10
0
0
0
11
12
1
0
1
7
9
7
2
3
3
3
1
0
16
0
0
3
41
5
0
0
0
0
0
0
0
0
0
0
0
0
0
0
9
6
1
4
3
3
1
0
10
1
7
3
2
0
0
0
0
0
0
0
0
0
0
1
0
0
0
0
5
0
0
1
4
2
0
0
8
2
1
2
0
3
34
52
2
4
44
67
62
99
1
1
26
51
6
6
18
30
20
56
18
10
OECA/OC/EPTDD/TEB - November 13, 2000
-54-
-------
Use of SEPs in Judicial and Administrative Penalty Actions FY 1998 to FY 2000
Number of Enforcement Actions that Included a SEP: FY 1998 to FY 2000
zoo -i
160
120
80
40
1
I II
IV V VI VII VIII IX
Responsible Office
X HQ
Percent of Actions for Sanctions* that Included a SEP: FY 1 998 to FY 2000
40% i
32%-
24%-
16%-
•
1
y 3
J
y A
m^-a
1 a
w w/
H III IV V VI VII VIII IX X HQ
Responsible Office
Actions for sanctions include civil judicial cases and administrative penalty orders.
December 26. 2000 - O£CA/OC/EPTDO/IUTB
Source: Docket
-55
-------
Use of SEPs in Judicial and Administrative Penalty Actions FY 1998 to FY ZOOO
$120,000,000 -i
$100,000,000 -
$80,000,000 -
$60,000,000 -
$40,000,000
$zo,ooo,ooo
SO
Dollar Value of EPA SEPs: FY 1998 to FY 2000
V VI VII
Responsible Office
VIII IX
HQ
$3,600,000 -, !
Average Value of SEPs: FY 1998 to FY 2000
IV
v vi
Responsible Office
VII
IX
The nine HQ SEPs averaged $1 2.5 million over the FY 1998 to FY ZOOO period.
December 26. 2000 - oeCA/OC/EPTDO/IUTB
Source: Docket
-56-
-------
EPAs Use of SEPs in Settlement of Formal Enforcement Actions: FY 1995 to FY 2000
350
300
T $250
$0
FY95
FY96
FY97
FY98
FY99
FYOO
# of SEPs
$ Value of SEPs
Source: Civil Docket
December 26, 2000 - OECA/OC/EPTDD/IUTB
-57-
-------
Addressed/Resolved Significant Noncompliance (FY 2000)
EPA and State(by Region and Program)
For each media, the # in SNC/HPV is beginning of year + new SNCs/HPVs
1 For RCRA. SNCs resolved means either relumed to full physical compliance or meeting a schedule
2 For CAA the data is for individual violations, (SNCs) HFVs addressed means a formal enforcement action has been taken
3 For CWA. addressed means that the facility returned to non-SNC status on its own or received a formal enforcement action
4 For PWSS, addressed means formal enforcement action has been taken
Region
All
1
- 2
3
4
*
' 5 .
- - •
6
7
8
.
9
10
Program
#SNC
^Addressed/resolved
% Addressed/resolved
#SNC
^Addressed/resolved
% Addressed/resolved
#SNC
flAddressed/resolved-
% Addressed/resolved
#SNC
^Addressed/resolved
% Addressed/resolved
#SNC
#Addressed/resolved
% Addressed/resolved
#SNC
^Addressed/resolved
% Addressed/resolved
#SNC
tfAddressed/resolved
% Addressed/resolved
#SNC
^Addressed/resolved
% Addressed/resolved
#SNC
^Addressed/resolved
% Addressed/resolved
#SNC
^Addressed/resolved
% Addressed/resolved
#SNC
^Addressed/resolved
% Addressed/resolved
RCRA1
1.468
317
22%
165
24
15%
119
35
29%
56
5
9%
325
169
52%
308
35
11%
269
17
6%
84
11
13%
44
5
11%
82
11
13%
16
5
31%
=!=====
CAA2
2.880
1,530
53%
129
27
21%
292
125
43%
107
48
45%
612
396
65%
615
239
39%
361
172
43%
97
47
43%
179
107
60%
259
245
95%
229
124
54%
CWA3
1.657
1.452
88%
152
131
86%
128
117
91%
104
90
87%
302
237
78%
436
394
90%
334
308
92%
98
83
85%
43
40
98%
27
22
81%
33
30
91%
PWSS 4 ||
3.649
2.372
65%
222
173
78%
457
313
68%
322
180
56%
303
213
70%
604
357 ||
59%
181
107
59%
188
168
89%
202
83
41%
271
106
39%
899
672
75%
OECA/OC/EPTDD/IUTB
-58-
-------
NPMS SNC Duration of SNCs (by Region)
SNC Duration of CWA SNCs Returning to Compliance in FY 2000
SNC Duration for RCRA SNCs Returning to Compliance in FY 2000
CAA SNC duration data not available due to changes in the CAA AFS database structure
January 8, 2001 - OECA/OC/EPTDD/IUTB
Source: PCS and RCRA Info
-59-
-------
NPMS Set 6: Time to Return from Significant Noncompliance (SNC) By State
For Fatalities Returning From SNC During FY2000
CAA**
x<-6
Region State mo.
1 CT N/A
MA N/A
ME N/A
NH N/A
Rl N/A
VT N/A
Region 1 Total N/A
2 NJ N/A
NY N/A
PR N/A
VT N/A
(Region 2 Total N/A
3 DC N/A
DE N/A
MD N/A
PA N/A
VA N/A
VW N/A
Region 3 Total N/A
4 AL N/A
FL N/A
GA N/A
KY N/A
MS N/A
NC N/A
SC N/A
TN N/A
Region 4 Total N/A
5 IL N/A
IN N/A
Ml N/A
MN N/A
OH N/A
Wl N/A
I Region 5 Total N/A
6 AR N/A
LA N/A
MM N/A
OK N/A
TX N/A
(Region 6 Total N/A
7 IA N/A
KS N/A
MO N/A
ME N/A
Region 7 Total N/A
8 CO N/A
MT N/A
NO N/A
SO N/A
ITT N/A
WY N/A
(Region 8 Total N/A
9 AZ N/A
CA N/A
HI N/A
NV N/A
Region 9 Total N/A
10 AK N/A
ID N/A
OR N/A
WA N/A
Region 10 Total N/A
National Totals N/A
6 ma <
x<=1
yr.
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
1 yr. 2 yrs.
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
CWA
x<°6
mo.
1
4
5
6
1
2
19
1
3
4
3
21
3
10
37
21
15
11
14
10
27
7
33
138
14
6
16
1
52
89
1
13
1
7
38
60
11
16
20
2
49
10
1
2
4
17
3
4
7
2
4
1
4
11
431
6 mo. <
x<- 1
yr.
1
3
4
4
4
6
2
1
9
10
6
1
2
5
3
3
30
4
1
3
13
1
22
3
9
12
3
4
3
5
15
1
3
4
2
2
3
2
5
107
1 yr. < x
<- 2 yrs.
1
3
2
1
1
1
9
3
3
4
1
1
6
16
6
4
1
5
2
1
35
3
1
7
2
11
2
26
2
2
1
4
6
15
2
2
4
4
12
6
6
1
1
1
1
114
x> 2 yrs.
2
5
3
1
11
7
7
1
11
12
9
12
1
1
3
4
2
32
4
3
12
5
4
28
3
9
5
10
27
1
4
1
1
7
1
1
2
1
4
5
1
2
3
134
RCRA
x<-6
mo.
2
2
23
4
1
28
1
1
4
44
27
5
3
5
11
7
106
2
3
3
8
2
1
1
4
2
2
1
1
1
3
1
2
3
1
2
3
160
6 mo. <
x<-1
yr.
1
3
1
4
3
12
2
1
3
1
1
6
20
20
2
4
6
3
61
1
4
3
2
1
11
1
1
2
2
2
1
2
3
95
1 yr. < x
<= 2 yrs.
6
2
8
3
3
2
1
3
2
6
4
1
2
2
1
18
1
1
3
5
1
3
5
9
1
2
3
1
1
1
1
2
1
1
53
x > 2 yrs.
3
1
4
4
2
6
1
2
3
7
1
1
1
10
2
1
1
4
8
1
1
1
2
34
** CAA NPMS Set 6 Time To Return statistics will not be run until HPV Simplification data has been implemented in AFS.
Source: IDEA - 60 - US EPA/OECA/OC/EPTDD/IUTB January 2001
-------
2-Year Recidivism Rates for SNCs Which Returned to Compliance During FY 1998
(CM and RCRA Rates Only for Facilities Inspected Within 2 Years of RTC or Known to be Newly SNC)
Recidivism for CAA SNCs Which RTC in FY 1998
IV V VI VII VIII IX X
Recidivism for CWA SNCs Which RTC in FY 1998
IV V VI VII VIII IX X
i n
Recidivism for RCRA SNCs Which RTC in FY 1998
IV V VI VII VIM IX X
CAA Recidivism Rates
100%
80%
60%
40%
20%
U%
J
ID
1
1 2 3 4 5 6 7 8 9 10 Ave
1 00%
80%
60% -
40% -
20%
0%
CWA Recidivism Rates
I
1
1
2
-
3
n
4
n
5
n
6
n
-
—
-
7 8 9 10 Ave
RCRA Recidivism Rates
80% •
60%
40% -
20%
0%
nm
1. 1
12345878910 Ave
Source: PCS, AFS, RCRA Info
-61 -
OEC/VOC/EPTDD/IUTB - January 8. 2001
-------
NPMS Set 7: Significant Noncompliance Two-Year Recidivism Rates By State For Facilities (a) Returning From SNC During FY1998, and (b)
Ether Inspected Within Two Years of Thar Return, or Whose SNC Status Was Found By Some Other Method
Region State
1 CT
MA
ME
NH
Rl
VT
(Region 1 Total
2 NJ
NY
PR
VI
[Region 2 Total
3 DC
DE
MD
PA
VA
WV
(Region 3 Total
4 AL
FL
GA
KY
MS
NC
SC
TN
Region 4 Total
5 IL
IN
Ml
MN
OH
Wl
Region 5 Total
6 AR
LA
MM
OK
TX
(Region 6 Total
7 IA
KS
MO
ME
(Region 7 Total
8 CO
MT
ND
SO
UT
WY
(Region 8 Total
9 AZ
CA
HI
NV
(Region 9 Total
10 AK
10
OR
WA
Region 1 C Total
National Average
CAA
Faalities RTC
From SNC in
FY98
1
3
2
1
1
8
5
16
2
23
3
6
20
67
63
30
189
20
43
53
9
7
40
44
15
231
75
62
87
8
59
26
317
21
27
4
8
115
175
6
18
16
6
46
9
18
2
1
2
32
5
1
6
4
14
10
17
45
1072
Facilities in
SNC Again
Within 2 Yre
1
1
2
1
1
1
6
4
2
13
15
17
11
1
2
3
9
5
63
22
12
7
2
8
9
60
6
10
1
39
56
1
6
6
2
15
1
3
4
3
3
2
5
7
224
Rate of
Recidivism
100%
0%
5096
0%
0%
25%
0%
6%
0%
4%
0%
0%
5%
9%
6%
7%
7%
75%
40%
21%
11%
29%
8%
20%
33%
27%
29%
19%
8%
25%
14%
35%
19%
29%
37%
0%
13%
34%
32%
17%
33%
38%
33%
33%
11%
17%
0%
0%
0%
13%
60%
0%
50%
0%
14%
0%
29%
16%
21%
CWA
Faalities RTC
From SNC in
FY98
23
32
31
12
7
4
109
18
90
5
1
114
12
47
13
24
96
51
91
24
24
12
56
29
26
313
36
35
48
11
91
20
241
14
52
3
20
119
208
31
14
36
6
87
7
3
1
3
4
4
22
3
7
3
13
6
7
4
19
36
1239
Facilities in
SNC Again
Within 2 Yrs
16
15
16
7
6
4
64
4
51
5
1
61
4
19
6
12
41
31
45
12
14
S
28
12
22
169
15
22
21
6
63
7
134
7
33
2
15
62
119
13
6
22
4
45
1
2
1
4
2
10
3
1
4
4
4
2
6
16
663
Rate of
Reddivisnfi
70%
47%
52%
58%
86%
100%
59%
22%
57%
100%
100%
54%
33%
40%
46%
50%
43%
61%
49%
50%
58%
42%
50%
41%
85%
54%
42%
63%
44%
55%
69%
35%
56%
50%
63%
67%
75%
52%
57%
42%
43%
61%
67%
52%
14%
67%
0%
33%
100%
50%
45%
100%
14%
0%
31%
67%
57%
50%
32%
44%
54%
RCRA
Facilities RTC Facilities in
From SNC in SNC Again
FY98 Within 2 Yrs
2 1
3
1
1
1 1
8 2
19 5
6 2
6
1
32 7
2
2
4
6
33 7
13 5
11 3
2
4
12 5
9 2
90 22
1
13
8 2
3
3
2 1
30 3
3
10
2
7
22
3 1
1
2
6 1
1 1
1 1
2
3
1
2
3
199 36
Rate of
Recidivism
50%
0%
0%
0%
100%
25% |
26%
33%
0%
0%
22% |
0%
0%
0% |
0%
21%
38%
27%
0%
0%
42%
22%
24% |
0%
0%
25%
0%
0%
50%
10% I
0%
0%
0%
0%
0% 1
33%
0%
0%
17%
100%
0%
0%
0%
0%
c%
0%
18%
Source: IDEA
-62-
US EPA/OECA/OC/EPTDD/IUTB
January 2001
-------
FY 2000 Inspections at Regulated Facilities: EPA and State
Clean Air Act
Total EPA Program Inspections' at entire CAA universe2
(excluding CFC msepctions).
Total EPA CFC Inspections
Total EPA Site Visit inspections3 at entire CAA universe
(Including CFC msepctions).
Total EPA Site Visit Inspections at Major, Synthetic Minor and
all Part 61 NESHAP sources4.
Total State Site Visit Inspections' at Major, Sythetice Minor
and all Part 61 NESHAP sources.
Total # of Asbestos1 notifications received by EPA or State
Total # of EPA Asbestos6
Total # of State Asbestos
Reg1
116
21
89
29
782
1,772
0
571
Reg 2
231
18
195
78
1,023
11,974
50
649
Reg 3
114
132
182
37
4,960
15,441
120
5,537
Reg 4
106
21
70
46
5,771
14,847
2
6,805
Reg 5
204
138
288
114
2,918
15,042
10
2,505
Reg 6
166
11
87
46
3,064
9,085
0
1,690
Reg 7
129
200
293
78
2,350
3,072
0
432
Reg 8
112
13
72
52
1,160
6,013
2
2,703
Reg 9
51
16
65
28
1,514
5,570
2
2,688
Reg 10
55
9
64
37
756
8,588
35
782
Total
1,284
579
1,405
545
24,298
91,404
221
24,362
'Total Program Inspections measns multiple inspections (e.g. SIP.MACT, NSR, PSD) at same facility even on the same day each get counted.
Note: Four of the EPA inspections counted in Region 6 were actually conducuted by Region 9 since they were on Indian Lands which Region 9 has jurisdiction over.
^his includes inspections at all size classes (including all minors) and all operating statuses (including permanently and temporarily closed and planned). However, it
does not include EPA asbestos inspections which are captured below.
3For a site visit count, inspections of the same type at different CAA programs on the same day are only counted once.
For example, even if three different Air programs were looked at by the EPA on the same day only one inspection would be counted for that day.
However, if there were both a 1A and a 2A inspection on the same day then two inspections would be counted for the site visit count for that day.
*This universe is the subset of the total regulated air universe and only includes those sources for which reporting is required by the Office of Management and Budget
approved Information Collection Request. For example, it does not include inspections at all minors other than Part 61 NESHAP minors, such as dry cleaners. However,
inspections at one group of federally reportable sources, NSPS minors, are not counted by this measure. Also, inspections at asbestos sources are excluded here, but
captured below.
5State inspections were counted by the pulling on the codes ANT1 = 3A, 5C, 6C.
'This count is a subset of the number of inspections in row 1 and is provided for MOA tracking purposes.
6Asbestos demolition and renovation inspection data pulled from the National Asbestos Registry System.
-63-
OECA/OC/EPTDD/IUTB
4/23/01
-------
FY 2000 Inspections at Regulated Facilities: EPA and State
BCBA1
Total EPA Inspections at entire Universe
Total State Inspections at entire Universe
Total EPA Inspections at UST
Total EPA TSOF Inspections
Total State TSDF Inspections
Total EPA LQG Inspections
Total State LQG Inspections
Regl
56
522
161
8
31
31
117
Reg 2
340
2,583
157
44
671
89
535
Reg 3
73
2,834
125
15
457
28
801
Reg 4
194
6,204
38
52
•1,295
74
1,488
Reg 5
167
4,003
265
51
1,002
83
1,100
Reg 6
118
2,244
101
16
526
46
462
Reg 7
214
1,102
118
53
208
88
207
Reg 8
101
813
94
22
125
13
122
Reg 9
130
493
65
20
137
59
108
Reg 10
131
937
61
43
111
27
288
Total
1,524
21,735
1,185
324
4,563
538
5,228
'Unlverse-TSDFs, LQGs, SQGs, Transporters, Non-Notifiers. Other
Clean Water Act
Total # of EPA Inspections at NPDES Majors
Total # of State Inspections at NPDES Majors2
Total # of EPA Inspections at NPDES Minors
Total # of State Inspections at NPDES Minors
Total # of EPA Inspections at CWA 31 1
Total # of EPA Inspections at CWA 404
Total # of EPA Pretreatment Audits and Inspections9 at
Approved Pretreatment POTWs
Total # of State Pretreatment Audits and Inspections3 at
Approved Pretreatment POTWs
Total # of EPA Industrial User Inspections4
Regl
59
429
30
364
68
22
16
11
59
Reg 2
224
965
87
3,152
208
21
24
25
38
Reg 3
26
1,666
137
4,392
298
225
30
37
68
Reg 4
49
2,061
110
6,046
329
241
0
362
0
Reg 5
12
2,953
29
9,676
36
54
0
112
6
Reg 6
84
713
302
2,431
165
89
22
81
2
Reg 7
54
275
67
1,930
50
12
0
22
45
Reg 8
20
243
93
851
95
28
10
23
18
Reg 9
32
356
126
633
96
185
6
15
27
Reg 10
80
169
160
110
204
87
7
19
14
Total
640
9,830
1,141
29,585
1,549
964
115
707
277
'State inspections were counted by pulling on the inspection types, TYPI = C, S, A, B, X, D, R, L, K, W, V, Z, Y and the inspector type, INSP = S, T.
'inspection types counted: Pretreament Audits and Pretreatment Compliance Inspections.
Includes EPA industrial user inspections In pretreatment cities pulled from PCS using the Inspection comment field (ICOM) and EPA Industrial User inspections
In non-pretreatment cities which was sent manually.
Note: CWA Inspection data Is for the date range: 7/1/99 • 6/30/00.
-64-
OECA/OC/EPTDD/IUTB
5/1/01
-------
FY 2000 Inspections at Regulated Facilities. EPA and State
Reg 7
4
105
Reg 7
126
229
Reg 7
13
2,904
Reg 7
2
94
Reg 8
6
53
Reg 8
317
139
Reg 8
155
325
Reg 8
74
830
Reg 9
47
88
Reg 9
80
49
Reg 9
26
3,896
Reg 9
58
75
Reg 10
20
32
Reg 10
262
0
Reg 10
56
943
Reg 10
10
26
Total
472
1,366
Total
1,400
1,210
Total
799
59,284
Total
488
6,227
Inspections at Regulated Facilities = 191,172
Source FTTS (State FIFRA Inspection are Cooperative Agreement Inpections as reported on Form 5700-H and State Funded Inspections)
Source Manual reporting
Data Source EPCRA. FIFRA and TSCA - NCDB
Data Source SDWA - Manual
-65-
OECA/OC/EPTDD/IUTB
-------
FY 2000 Inspection Coverage at Regulated Facilities
CAA Coverage (NSPS/SIP/NESHAP)
a. # of Major, Synthetic Minor and all Part 61 NESHAP sources (Universe)1
b. # of facilities Inspected by EPA or State'
% Inspected by EPA or State In FY 2000 (b/a)
% not inspected In last 3 years by EPA or State
# Majors
% Majors pot Inspected In last 3 years by EPA or State
# Synthetic Minors
% Synthetic Minors not Inspected In last 3 years by EPA or State
# Part 61 NESHAP minors
% Part 61 NESHAP minors net Inspected In last 3 years by EPA or State
Region 1
2,194
588
27%
40%
704
23%
1,450
48%
40
55%
Region 2
3,457
921
27%
34%
1,186
20%
2,134
39%
137
71%
Region 3
4,491
3,597
80%
9%
2,941
9%
1.483
7%
67
27%
Region 4
7,566
4,458
59%
19%
4,214
14%
3,157
23%
195
69%
Region 5
8,208
2,282
28%
50%
5,057
44%
2,828
61%
323
53%
Region 6
5,152
2,594
50%
24%
3,596
22%
1,398
26%
158
56%
Region 7
4,545
1,975
43%
30%
2,060
21%
2,464
38%
21
57%
Region 8
2,140
919
43%
33%
717
17%
1,396
42%
27
52%
Region 9
2,387
1,369
57%
20%
2,085
19%
200
4%
102
72%
Region 10
1,177
585
50%
32%
536
26%
615
37%
26
50%
Total
41,317
19,288
47%
30%
23,096
23%
17.125
36%
1,096
59%
'The inspection coverage universe does not include planned, under construction, and permanently closed facilities because there quite a few of these facilities, but they are inspected Infrequently.
Therefore including them would unfairly elevate the denominator when calculating the inspection coverage rate.
*CAA Inspections were counted by the pulling on the codes AIMT1 = 1 A. 2A, 3A, SC. 6C. Note: 3 facilities (Indian Lands) counted in Region 6 were actually inspected by Region 9 which had jurisdiction.
Clean Water Act Coverage
a. # of majors (Universe)
b. # majors inspected by EPA or State1
Region 1
470
311
Region 2
614
509
Region 3
753
556
Region 4
1,384
1,223
Region 5
1,147
728
Region 6
1,032
735
Region 7
386
259
% of majors (b/a) Inspected 66% 83% 74% 88% 63% 71% 67%
# minors inspected by EPA1
# minors inspected by State1
# minors Inspected by EPA or State1
c. # of approved pretreatment POTWs (universe)
d. # audited by EPA or State2
26
232
256
89
7
76
1,895
1,948
81
26
130
2,135
2,250
168
47
89
3,861
3,940
517
86
28
2,589
2,613
265
33
293
2,218
2,474
142
40
59
1,640
1,693
81
6
% of approved pretreatment POTWs audited (d/c) 8% 32% 28% 17% 12% 28% 7%
e. # Inspected by EPA or State9
19
23
20
261
66
58
10
% of approved pretreatment POTWs Inspected (e/c) 21% 28% 12% 50% 25% 41% 12%
f. # audited or inspected by EPA or State4
23
49
67
346
98
95
15
Region 8
261
196
75%
75
659
733
62
20
32%
11
18%
31
Region 9
331
258
78%
82
506
584
112
13
12%
6
5%
19
Region 10
298
205
69%
133
98
231
48
8
17%
18
38%
26
% of approved pretreatment POTWs audted or Inspected (f/c) 26% 60% 40% 67% 37% 67% 19% 50% 17% 54%
Total
6,676
4,980
75%
991
15,833
16.722
1.565
286
18%
492
31%
769
49%
fCWA inspections at majors and minors were counted by pulling on the Inspection types, TYPI = C, S, A, B, X. D, R, L, K, W. V, Z. Y and the inspector types, 'INSP = R, J, S, T, C, N.
Primary Industry (INCL - P) facilities and pretreatment POTWs (PRET - Y) which only received Reconnaissance Inspections were backed out of these coverage counts.
2CWA audits at approved pretreatment POTWs (inspection type TYPI-G), 8CWA Inspections at approved pretreatment POTWs (Inspection type TYPI-P), and 4CWA Inspections and audits at approved
pretreatment POTWs (Inspection type TYPI-P.G) were all pulled using inspector types, INSP - R, J, S, T, C, N.
Note: CWA inspection data Is for the date range: 7/1/99 - 6/30/00.
OECA/OC/EPTDD/IUTB
-66-
-------
FY 2000 Inspection Coverage at Regulated Facilities
Region 6
421
16
Region?
176
39
Regions
87
18
Region 9
292
17
4% 22% 21% 6%
249
62
62
59% 47% 71%
253
118
79
101
35%
118
Region 10
83
26
31%
36
43?j
62
60% 67% 91% 40% 76%
2,198
41
848
85
400
11
2% 10% 3%
371
155
17% 18%
392
231
96
24%
106
1.965
56
3%
94
5%
150
964
25
3%
192
20%
217
18% 27% 27% 8% 23%
158
1,057
1,215
92
553
645
67
512
579
47
231
278
62
466
528
Totals
2.999
271
9%
1.744
b8%
1.980
66%
20,425
508
2%
4.128
20%
4577
22%
854
9.935
10.789
Total #oT facilities inspected by EPA or State = 59.105
11nspection types included. CAO, GDI, CEI. CUE, SPL, FRR, NRR. CMS. CSE. 0AM. MMB. MMC. MMD
2TSDsperHUSUBJCEI
3 LOGS per HUFULREGGEN w/actraty in 5 yrs of BRS 1997
OECA/OC/EPTDD/IUTB
6/19/2001
-67-
-------
EPA Regional Inspection Trend: FY 1994 to FY 2000
o
ft
25,000
20,000
1 5,000
10.000
5,000
FY 1 994
FY1995
FY 1996
FY 1997
FY1998
FY1999
FY 2000
HTSCA
DRCRA
DSDWA
• FIFRA
DEPCRA
• CWA
• CAA
,-•
March 14, 2001 - OECA/OC/EPTDD/HJTB
Sources: Program data bases and manual reports
-68-
-------
NPMS Set 8 - Compliance Monitoring EOY Report for FY 2000
Media Program
CAA Stationary
Asbestos
CAA-Mobile
CERCLA
CWA
EPCRA
FIFRA
OPA
RCRA
SDWA
TSCA
UST
Multimedia
Other
Totals
Civil Investigations
289
1
128
0
47
25
32
54
47
18
8
8
3
0
Citizen Complaints
4,355
466
194
599
2,114
44
1,120
1,642
578
654
708
540
15
80
660
13,109
Source: Manual Reports
-69
OECA/OC/EPTDD/IUTB
4/19/01
-------
Audit Policy: Companies Disclosing and Correcting Violations Under the Agency Audit Policy Program
Audit Policy Disclosures
1000
500
FY FY
1997 1998
FY FY
1999 2000
Audit Policy Resolutions Correcting Violations
700 n
600 J
500-
400
300-
200
100
I Companies
I Facilities
FY
2000
Source: Office of Regulatory Enforcement
OECA/OC/EPTDD/IUTB
April 1 7, 2001
-70-
-------
FY 2000 National Compliance Assistance
Number of Entities Reached = 417,377
Assistance about Statutory
Requirements
77%
Data taken from EPA RCATS database.
In addition, 37,891 entities were assisted with Economically Significant Rule and SBREFA Guidance.
April 11, 2001
OECA/OC/EPTDD/IUTB
Assistance for Specific
Sectors
23%
FY 98 FY 99 FY 00
-71 -
-------
FY 2000 National Compliance Assistance
How 417,337 Entities Were Reached Through Compliance Assistance
Telephone Hotline
Workshops, Tranings,
Meetings
19%
On-Site Assistance Visits
1%
Tools Distributed
80%
Number of Workshops, Trainings, and Meetings - 1,315
Number of In-House Tools Developed - 140
Data taken from EPA RCATS database.
April 11, 2001
OECA/OC/EPTDD/IUTB
-72-
-------
FY 2000 Compliance Assistance for Industry/Business Sector Compliance
Entities Assisted Through EPA Compliance Assistance- by Sector
In FY 2000, 97,704 entities were provided assistance with sector compliance.
Local Government
3%
Agricultural Practice
4%
Auto Service/Repair
5%
Metal Services
7%
Other
15%
Colleges/Universities
11%
Printing
15%
Federal Facilities
20%
Gen. Business Assistance
20%
Sector assistance provided through workshops, in-house tools, hotlines, and on-sit visits.
Data taken from EPA RCATS database.
April 11,2001
OECA/OC/EPTDD/ILfTB
-73-
-------
FY 2000 Compliance Assistance with Statutory Requirements
Entities Assisted by Region and Statute Addressed
80,000
70,000
• TSCA
DSDWA
DRCRA
• FIFRA
DEPCRA
• CWA
• CAA
IV V VI
EPA Regional Offices
VII VIII IX X
Data taken from EPA RCATS database.
Compliance assistance provided through workshops, compliance tools, hotlines and on-site visits.
April 11, 2001
OECA/OC/EPTDD/IUTB
-74-
-------
Regional Proportions of Selected FY 2000 Compliance Assistance Activities
Workshops
Tools Developed
Tools Distributed
On-Site Visits
17%
7%
6%
9%
496
10%
4%
2%
111
13% 13%
1%
6%
0%
12%
7%
12%
9%
5%
16%
6%
VI
5%
1%
3%
2%
VJI
8%
1%
7%
4%
VUl
8%
24%
24%
IX
18%
50% 14%
4%
18% 22%
15% 12%
1%
FTEAIocation
8.4% 13.4% 9.6% 12.0% 17.0% 6.8% 7.3% 6.9% 9.1% 9.4%
1. In all percentage calculations, the denominator is the national regional total.
2. Workshops and Tools Developed in-House based on % of activities.
3. Tools Distributed and on-site visits % based on # of entities reached.
Source: RCATS
OECA/OC/EPTDD/IUTB
-75-
-------
FY 2000 Region I Compliance Assistance Outputs
Area
Telephone
Hotine
# of Entities
Reached
Workshops/
Meetings/Trainings
No. of
Activities
# of Entities
Reached
Tools Developed
In-House
No. of
Activities
Tools
Distributed
# of Entities
Reached
On-Site
Visits
# of Entities
Reached
Total No. of
Entities
Reached
Sector Based
Auto Service/Repair
Federal Facility
General Business Assistance
Local Government
Colleges & Universities
Metal Services(ElecPlat.& Coat)
Other
Regional Sector Totals
National Sector Totals
39
39
829
Statute Based
CAA
CWA
CERCLA
RCRA
SDWA
TSCA
FIFRA
EPCRA
Regional Statute Totals
National Statute Totals
National Grand Totals*
0
1,045
1,874
15
35
25
20
36
26
157
699
2
57
59
585
*1,315
500
1,307
902
4,754
959
2,795
11,217
23,009
500
2,362
2,862
56,937
*80,375
6
1
1
1
9
49
0
91
140
11,910
523
3,000
250
4,196
19,879
71,755
400
400
258,136
*367,341
34
280
15
72
1
117
519
2,111
0
3,555
**5,678
34
780
13,271
1,497
7,754
1,210
7,108
31,654
97,704
0
500
0
0
0
0
0
2,762
3,262
319,673
**455,268
* Grand Total includes HQs.
** Grand Total = Sector + Statute + Economically Sig.
Rule + SBREFA Guidance Development
Source: RCATS
April 11, 2001
OECA/OC/EPTDD/IUTB
-76-
-------
FY 2000 Region II Compliance Assistance Outputs
Area
Telephone
Hotine
# of Entities
Reached
Workshops/
Meetings/Trainings
No. of
Activities
# of Entities
Reached
Tools Developed
In-House
No. of
Activities
Tools
Distributed
# of Entities
Reached
On-Site
Visits
# of Entities
Reached
Total No. of
Entities
Reached
Sector Based
Auto Service/Repair
Federal Facility
General Business Assistance
Local Government
Colleges & Universities
Printing
Dry Cleaners
Other
Regional Sector Totals
National Sector Totals
40
40
829
7
3
1
11
8
14
44
699
160
139
81
652
146
642
1,820
23,009
2
1
2
3
8
49
2
109
1,344
688
3,500
8
5,651
71,755
17
54
71
2,111
19
309
1,483
81
1,340
3,646
62
642
7,582
97,704
Statute Based
CAA
CWA
CERCLA
RCRA
SOWA
TSCA
FIFRA
EPCRA
Regional Statute Totals
National Statute Totals
National Grand Totals
0
1,045
1,874
1
1
12
14
585
*1,315
20
22
580
622
56,937
*80,375
6
6
91
140
2
358
2,077
350
25
5,051
7,863
258,136
*367.341
25
25
3,555
**5,678
22
358
0
2,099
375
25
0
5,631
8,510
319,673
**455,268
* Grand Total includes HQs.
** Grand Total = Sector + Statute + Economically Sig. Rule + SBREFA Guidance Development
Source: RCATS
April 11, 2001
OECA/PC/EPTDD/IUTB
-77-
-------
FY 2000 Region III Compliance Assistance Outputs
Area
Telephone
Hotine
# of Entities
Reached
Workshops/
Meetings/Trainings
No. of
Activities
# of Entities
Reached
Tools Developed
In-House
No. of
Activities
Tools
Distributed
# of Entities
Reached
On-Site
Visits
# of Entities
Reached
Total No. of
Entities
Reached
Sector Based
Federal Facility
General Business Assistance
Colleges & Universities
Printing
Dry Cleaning
Metal Services(ElecPlat.& Coat)
Other
Regional Sector Totals
National Sector Totals
Statute Based
CAA
CWA
CERCLA
RCRA
SDWA
TSCA
FIFRA
EPCRA
Regional Statute Totals
National Statute Totals
National Grand Totals*
125
125
829
0
1,045
1,874
95
7
8
3
1
10
8
132
699
2
8
5
2
15
32
585
*1,315
350
150
377
28
100
235
1,280
2,520
23,009
550
600
152
60
550
1,912
56,937
*80,375
0
49
2
2
91
140
3,025
9,000
1,616
92
13,733
71,755
450
2,810
15
2,539
680
6,494
258,136
*367,341
0
2,111
0
3,555
**5,678
3,375
275
377
9,028
100
1,851
1,372
16,378
97,704
1,000
3,410
0
167
2,539
740
0
550
8,406
319,673
**455,268
* Grand Total includes HQs.
** Grand Total = Sector + Statute + Economically Sig. Rule + SBREFA Guidance Development
Source: RCATS
April 11, 2001
OECA/OC/EPTDD/IUTB
-78-
-------
FY 2000 Region IV Compliance Assistance Outputs
Area
Telephone
Hotine
# of Entities
Reached
Workshops/
Meetings/Trainings
No. of
Activities
# of Entities
Reached
Tools Developed
In-House
No. of
Activities
Tools
Distributed
# of Entities
Reached
On-Site
Visits
# of Entities
Reached
Sector Based
Auto Service/Repair
Federal Facility
General Business Assistance
Local Government
Dry Cleaner
Metal Services(ElecPlat.& Coat)
Other
Regional Sector Totals
National Sector Totals
Statute Based
CAA
CWA
CERCLA
RCRA
SDWA
TSCA
FIFRA
EPCRA
Regional Statute Totals
National Statute Totals
National Grand Totals*
600
600
829
1
65
40
2
108
699
15
625
830
80
1,550
23,009
7
3
10
49
1,809
86
1,000
16
1,200
1,475
5,586
71,755
27
86
30
40
183
2,111
21
21
1,045
1,874
28
5
23
56
585
*1,315
1,597
275
1,268
3,140
56,937
*80,375
6
6
91
140
257
3,783
11,324
15,364
258,136
*367,341
7
440
38
485
3,555
**5,678
Total No. of
Entities
Reached
15
2,461
1,002
1,000
46
1,200
2,195
7,919
97,704
1,861
4,519
0
0
0
12,630
0
0
19,010
319,673
**455,268
* Grand Total includes HQs.
** Grand Total = Sector + Statute + Economically Sig. Rule + SBREFA Guidance Development
Source: RCATS
April 11, 2001
OECA/OC/EPTDD/IUTB
-79
-------
FY 2000 Region V Compliance Assistance Outputs
Area
Telephone
Hotine
# of Entities
Reached
Workshops/
Meetings/Trainings
No. of
Activities
# of Entities
Reached
Tools Developed
In-House
No. of
Activities
Tools
Distributed
# of Entities
Reached
On-Site
Visits
# of Entities
Reached
Total No. of
Entities
Reached
Sector Based
Agricultual Practice
Federal Facility
Tribal Owned
Colleges & Universities
Primary Non-Ferrous Metal
Other
Regional Sector Totals
National Sector Totals
Statute Based
CAA
CWA
CERCLA
RCRA
SDWA
TSCA
FIFRA
EPCRA
Regional Statute Totals
National Statute Totals
National Grand Totals*
0
829
13
1
6
2
22
1,045
1,874
2
1
2
2
1
8
699
1
16
24
55
2
10
108
585
*1,315
25
75
45
180
320
645
23,009
30
621
151
5,075
210
7,750
13,837
56,937
*80,375
0
49
2
3
2
7
91
140
50
50
71,755
56
1,005
1,538
582
817
45,576
49,574
258,136
*367,341
15
7
22
2,111
1
112
225
1
1
340
3,555
**5,678
25
75
60
180
7
370
717
97,704
87
1,130
0
2,160
958
5,899
213
53,326
63,773
319,673
**455,268
* Grand Total includes HQs.
** Grand Total = Sector + Statute + Economically Sig. Rule + SBREFA Guidance Development
Source: RCATS
April 11, 2001
OECA/OC/EPTDD/IUTB
-80-
-------
FY 2000 Region VI Compliance Assistance Outputs
Area
Telephone
Hotme
# of Entities
Reached
Workshops/
Meetings/Trainings
No. of
Activities
# of Entities
Reached
Tools Developed
In-House
No. of
Activities
Tools
Distributed
# of Entities
Reached
On-Site
Visits
# of Entities
Reached
Total No. of
Entities
Reached
Sector Based
Auto Service/Repair
Agricultual Practice
Federal Facility
Petroleum Refining
Metal Services (Elec/Coatmg)
Other
Regional Sector Totals
National Sector Totals
0
829
12
8
9
1
1
31
699
56
173
205
24
25
483
23,009
1
1
49
55
1,445
1,757
1
3,258
71,755
55
55
2,111
55
56
1,673
205
1,781
26
3,796
97,704
Statute Based
CAA
CWA
CERCLA
RCRA
SDWA
TSCA
FIFRA
EPCRA
Regional Statute Totals
National Statute Totals
National Grand Totals*
1
4
5
1,045
1,874
3
15
3
1
2
12
36
585
*1,315
400
1,228
116
50
100
375
2,269
56,937
*80,375
0
91
140
435
468
5,612
6,515
258,136
*367,341
60
14
2
76
3,555
"5,678
400
1,723
0
116
533
5,718
0
375
8,865
319,673
**455,268
* Grand Total includes HQs.
** Grand Total = Sector + Statute + Economically Sig. Rule + SBREFA Guidance Development
Source: RCATS
April 11, 2001
OECA/OC/EPTDD/IUTB
-81 -
-------
FY 2000 Region VII Compliance Assistance Outputs
Area
Telephone
Hotine
# of Entitles
Reached
Workshops/
Meetings/Trainings
No. of
Activities
# of Entities
Reached
Tools Developed
In-House
No. of
Activities
Tools
Distributed
# of Entities
Reached
On-Site
Visits
# of Entities
Reached
Total No. of
Entities
Reached
Sector Based
Agricultural Practice
Federal Facility
General Business Assistance
Local Government
Colleges & Universities
Metal Services(ElecPlat.& Coat)
Other
Regional Sector Totals
National Sector Totals
Statute Based
CAA
CWA
CERCLA
RCRA
SDWA
TSCA
FIFRA
EPCRA
Regional Statute Totals
National Statute Totals
National Grand Totals*
0
829
17
17
1,045
1,874
1
31
1
33
699
5
2
3
8
45
63
585
*1,315
374
241
15
630
23,009
86
55
104
527
16,358
17,130
56,937
*80,375
1
1
49
0
91
140
1,416
1,416
71,755
105
825
19,319
20,249
258,136
*367,341
223
223
2,111
12
12
3,555
**5,678
374
1,657
0
0
0
0
238
2,269
97,704
191
67
0
121
0
1,352
0
35,677
37,408
319,673
**455,268
* Grand Total includes HQs.
** Grand Total = Sector + Statute + Economically Sig. Rule + SBREFA Guidance Development
Source: RCATS
April 11, 2001
OECA/OC/EPTDD/IUTB
-82-
-------
FY 2000 Region VIII Compliance Assistance Outputs
Area
Telephone
Hotine
# of Entities
Reached
Workshops/
Meetings/Trainings
No. of
Activities
# of Entities
Reached
Tools Developed
In-House
No. of
Activities
Tools
Distributed
# of Entities
Reached
On-Site
Visits
# of Entities
Reached
Total No. of
Entities
Reached
Sector Based
Auto Service/Repair
Agncultual Practice
Federal Facility
General Business Assistance
Local Government
Tribal Owned
Other
Regional Sector Totals
National Sector Totals
Statute Based
CAA
CWA
CERCLA
RCRA
SDWA
TSCA
FIFRA
EPCRA
Regional Statute Totals
National Statute Totals
National Grand Totals*
0
829
27
4
18
1
50
699
1
200
201
1,045
1,874
10
14
1
15
8
2
6
56
585
*1,315
395
100
581
40
1,116
23,009
436
700
45
730
250
60
320
2,541
56,937
*80,375
7
1
9
17
49
2
14
16
91
140
639
2,910
2,433
646
6,628
71,755
22,814
333
40,01 1
1,579
36
3,000
600
68,373
258,136
*367,341
621
60
156
4
841
2,111
546
26
21
431
860
81
1,965
3,555
**5,678
1,655
3,070
3,170
646
40
4
0
8,585
97,704
23,796
1,060
0
40,077
2,940
1,146
3,141
920
73,080
319,673
**455,268
* Grand Total includes HQs
** Grand Total = Sector + Statute + Economically Sig. Rule + SBREFA Guidance Development
Source: RCATS
April 11, 2001
OECA/OC/EPTDD/IUTB
-83-
-------
FY 2000 Region IX Compliance Assistance Outputs
Area
Telephone
Hotine
# of Entities
Reached
Workshops/
Meetings/Trainings
No. of
Activities
# of Entities
Reached
Tools Developed
In-House
No. of
Activities
Tools
Distributed
# of Entities
Reached
On-Site
Visits
# of Entities
Reached
Total No. of
Entities
Reached
Sector Based
Auto Service/Repair
Federal Facility
General Business Assistance
Local Government
Tribal Owned Entites
Metal Services(ElecPlat.& Coat)
Dry Cleaners
Other
Regional Sector Totals
National Sector Totals
Statute Based
CAA
CWA
CERCLA
RCRA
SDWA
TSCA
FIFRA
EPCRA
Regional Statute Totals
National Statute Totals
National Grand Totals*
20
5
0
25
829
80
200
139
419
1,045
1,874
1
87
3
4
7
13
115
699
32
1,507
150
145
215
262
2,311
23,009
3
39
9
23
22
10
106
585
*1,315
350
2,415
565
676
2,019
461
6,486
56,937
*80,375
1
1
49
5
2
14
2
23
91
140
2,400
2,200
19
20
4,639
71,755
400
200
14
3,180
4,009
36,278
44,081
258,136
*367,341
68
51
119
2,111
302
223
13
114
652
3,555
**5,678
2,432
3,775
150
145
215
20
24
333
7,094
97,704
1,132
2,615
0
1,002
3,869
6,281
0
36,739
51,638
319,673
**455,268
* Grand Total includes HQs.
** Grand Total = Sector + Statute +
April 11, 2001
OECA/OC/EPTDD/ll/TB
Economically Sig. Rule + SBREFA Guidance Development
-84-
Source: RCATS
-------
FY 2000 Region X Compliance Assistance Outputs
Area
Telephone
Hotine
# of Entities
Reached
Workshops/
Meetings/Trainings
No. of
Activities
# of Entities
Reached
Tools Developed
In-House
No. of
Activities
Tools
Distributed
# of Entities
Reached
On-Site
Visits
# of Entities
Reached
Total No. of
Entities
Reached
Sector Based
Auto Service/Repair
Federal Facility
General Business Assistance
Local Government
Colleges & Universities
Metal Services(ElecPlat.& Coat)
Other
Regional Sector Totals
National Sector Totals
Statute Based
CAA
CWA
CERCLA
RCRA
SDWA
TSCA
FIFRA
EPCRA
Regional Statute Totals
National Statute Totals
National Grand Totals*
0
829
360
360
1,045
1,874
0
699
11
2
21
12
7
53
585
*1,315
0
23,009
700
50
1,628
1,200
2,560
6,138
56,937
*80,375
0
49
30
30
91
140
0
71,755
790
800
450
37,063
39,103
258,136
*367,341
78
78
2,111
0
3,555
**5,678
0
78
0
0
0
0
0
78
97,704
790
1,500
0
410
1,628
1,650
0
39,623
45,601
319,673
**455,268
* Grand Total includes HQs.
** Grand Total = Sector + Statute + Economically Sig Rule + SBREFA Guidance Development
Source: RCATS
April 11, 2001
OECA/OC/EPTDD/IUTB
-85-
-------
NPMS Measure Set 11: Capacity Building Activities
Capacity Building Activities
Training Courses
Assisted Inspections
Special Assistance
EPA Regions
IV V VI VII VIII IX X
6
29
49
59
96
1
43
30
6
69
154
234
28
53
555
23
81
189
41
50
201
84
306
111
84
114
136
26
219
45
Total
Regulatory Determinations
CAA
CWA
Pesticides
RCRA
SDWA
Toxics
UST
Other
Totals
Source: Manual Reports
III
IV
VI
VII
VIII
IX
Total
April 19, 2001
OECA/OC/EPTDD/IUTB
93
0
10
1,072
0
0
0
0
1,175
4
0
0
45
75
59
50
0
233
12
933
6
2
2
0
0
0
955
27
214
702
65
0
62
6
8
1,084
125
245
87
6
85
23
0
0
571
415
261
8
3
11
15
0
13
726
388
90
171
0
91
53
0
0
793
75
73
6
165
16
0
0
0
335
17
120
176
50
16
0
0
0
379
200
0
166
0
0
77
0
7
450
-86-
1,356
1,936
1,332
1,408
296
289
56
28
6,701
-------
Consent Decree Tracking and Follow-up
Status of Active Decrees: FY ZOOO - Quarter 4 (by Region)
Number of Active Decrees
Status of active CDs at end of quart*
• In compliance
• In violation, action taken
• In violation, action planned
• Violation, no action planned
• Not reported or unknown
I
124
?r:
51
2
i
0
70
11
140
0
2
0
0
138
111
276
261
8
4
0
3
IV
225
205
6
6
0
8
Y.
318
210
23
12
0
73
VI
122
1
0
0
0
121
VI
41
7
0
0
0
34
yju
61
52
1
1
2
5
IX
84
0
0
0
0
84
X
54
0
0
1
0
53
Total %.
1,445
787 (54.5%)
42 (2.9%)
25 (1.7%)
2 (0.1%)
589 (40.8%)
Regions IX has not entered the status of any consent decrees in four years (Region VI - one case in four years).
Region IX has not added or deleted (concluded) one consent decree since FY 1997.
HQ has entered no consent decrees in CDETS.
Source: CDETS
-87-
January 9,2001
OECA/OC/EPTDD/IUTB
-------
Consent Decree Tracking and Follow-up
% of Active Decrees with Status Maintained in Docket bv Reaion/bv Quarter for FY 2000
1st Quarter Status Maintained
2nd Quarter Status Maintained
3rd Quarter Status Maintained
4th Quarter Status Maintained
I
59%
59%
53%
44%
II
98%
94%
96%
1%
III
98%
98%
98%
97%
IV
0%
97%
91%
96%
V
89%
84%
89%
77%
VI
0%
0%
0%
1%
VII
100%
100%
100%
17%
VIII
93%
93%
93%
92%
IX
0%
0%
0%
0%
X
43%
64%
2%
2%
Total
Number of Active Consent Decrees as of 9/3Q/QQ per Docket
Active Decrees as of 9/00
CM
CERCLA
CWA
EPCRA
FIFRA
MPRSA
RCRA
SDWA
TSCA
Total
1
9
80
25
0
0
0
8
2
0
124
II
12
100
10
0
1
1
12
3
1
140
III
33
198
26
0
0
0
11
5
3
276
IV
10
178
15
0
0
0
18
4
0
225
V
50
194
46
1
0
0
23
4
0
318
VI
50
30
26
0
0
0
12
2
2
122
VII
2
34
4
0
0
0
1
0
0
41
VIII
7
29
10
0
0
0
7
8
0
61
IX
22
42
14
0
0
0
5
1
0
84
X
8
36
6
1
1
0
2
0
0
54
Total
203
921
182
99
29
1,445
These data based on Regions' maintenance of their consent decrees' statuses in the Consent Decree Tracking System within the Docket system.
Source: CDETS
-SB-
January 9, 2001
OECA/OC/EPTDD/ll/TB
-------
Completeness of FY 2000 Case Conclusion Data Sheet Case Attributes in Docket (by Office)
Percent of Settlements with Complying Action Data
Percent of Cases with Pollutant Reduced Listed
100%
80%
60%
40%
20%
12345678910HQ
0%
1 2345678910HQ
Percent of Cases with Injunctive Relief Value
Percent of Cases with SIC Code Data
40%
20%
m
1 2345678910HQ
Nationally, various case attributes were reported at the following rates: complying action
data - 88%; pollutant reduced data - 15%; injunctive relief data - 46%; SIC code data - 74%.
100%
80%
1 2345678910HQ
December 5, 2000 - OECA/OC/EPTDO/IUTB
-89-
-------
Pollutant Data Reported for FY 2000 EPA Civil Settlements
EPA Office
1
11
111
IV
V
VI
VII
Vlll
IX
X
UQ
Total Civil
# of FY 2000
Settlements
237
920
526
772
403
1,150
542
313
437
168
141
5,609
ftwith
Pollutant Listed
35
43
148
43
85
306
32
44
48
41
28
853
%of
Settlements
(15%)
(5%)
(28%)
(6%)
(21%)
(27%)
(6%)
(14%)
(11%)
(24%)
(20%)
(15%)
# Cases with
Amt and Unit
15
24
18
17
36
126
7
19
19
18
28
327
%of
Settlements
(6%)
(3%)
(3%)
(2%)
(9%)
("%)
(1%)
(6%)
(4%)
(11%)
(20%)
(6%)
# Pollutants w/
Amt / unit
19
31
57
24
71
201
12
25
37
27
30
534
Primary Law
CAA
CERCLA
CWA
EECBA
FIFRA
KM
SQJMA
ISCA
Total Civil
# of FY 2000
Settlements
534
381
1,264
382
264
445
2,134
205
5,609
# with % of
Pollutant Listed Settlements
123
76
501
24
9
45
46
29
853
(23%)
(20%)
(40%)
(6%)
(3%)
(10%)
(2%)
(14%)
(15%)
# Cases with
Amt and Unit
65
38
152
16
7
32
5
12
327
%of
Settlements
(12%)
(10%)
(12%)
(4%)
(3%)
(7%)
(0%)
(6%)
(6%)
# Pollutants w/
Amt / unit
76
100
250
27
8
47
9
17
534
# converted
to pounds
19
29
25
23
51
194
12
25
35
26
30
469
# converted
to pounds
75
50
248
25
8
40
6
17
469
Total
Pounds
91,407,930
22,367,669
3,855,933
4,749,196
747,848,324
28,633,684
121,531,458
557,875,722
21,252,038
7,072.948
10,818
1,606,605,720
Total
Pounds
26,669,676
1,389,977,274
120,198,322
1,665,327
1,353
65,060,512
711,750
2,321,506
1,606,605,720
November 30, 2000 - OECA/OC/EPTDD/IUTB
Source: Civil Docket
-90-
-------
FY 2000 Regional Inspections in MOA Priority Areas
Clean Air Act
Air Toxics'
NSR/PSD
Totals
'These are only MACT inspections.
1
27
4
31
II
"
45
6
.
51
III
24
9
33
IV
5
15
ao
V
20
24
44
VI VII
40 i 13
15 J 2
C 55 Hi5 j
VIII IX
14 i 8
9 J_ 2
L _23 1 l°._
X
13
1
14
total
209
87
296
,aj
1
0
0
0
• '1
0
0
20
II
0
0
0
o
o
54
III
0
5
0
102
,07
37
IV
0
17
5
60
82
95
V
1
8
1
1
«
10
VI
0
98
0
170
268
8
VII
3
21
1
0
25
19
VIII
0
9
3
9
21
24
IX
0
61
12
29
.«
<
X
0
65
0
4
69
289 J
total
4
284
22
375
685
CAA Investigations
Source: Manual reporting
CWA - Wet Weather
CSO
CAFOs
SSO
Stormwater
Totals
Source: IDEA
Select Logic:
CSO Inspections: Selected on inspection code: Y(CSO) for all permit types (Date range 7/1/99 - 6/30/00).
CAFO Inspections: Selected on inspection code: K(CAFO) for all permit types (Date range 7/1/99 - 6/30/00).
SSO Inspections: Selected on inspection code: V(SSO) for all permit types (Date range 7/1/99 - 6/30/00).
Stormwater Inspections: Selected on inspection code: W (Stormwater) for all permit types (Date range 7/1 /99 - 6/30/00).
For all these measures the Inspector Codes: R, J, C, N were chosen for EPA inspections.
OECA/OC/EPTDD/IUTB
-91-
-------
Regional Inspections for MOA Priority Areas
RCRA Permit Evaders
Waste-Derived Permit
Mineral Processing
Foundries
Other
Total
Petroleum Refining
CWA
CAA
RCRA
Total
Source: IDEA for CWA and CA
Air and Water facilities select*
Metal Finishing
CWA
CAA
RCRA
Total
1 II III
1
0
7
1
0
2
25
33
0
3
5
44
IV
4
3
10
0
V VI VII VIII IX X
3
2
14
32
0
0
0
115
0
0
10
11
NR
NR
NR
NR
0
3
5
0
0
2
0
3
9~ I 60 1 52 J 17 | 51 1 115 ] 21 | 0 ~| 8 | 5
1 II III
0
0
0
3
6
6
0
31
5
IV
0
0
5
0 J 15 | 36 | 5
V
1
2
2
'
VI VII VIII
8
40
3
0
0
0
0
2
4
IX
0
0
9
X
2
0
5
51
0 I 6 | 9 | 7
\. Manual for RCRA.
id using SFIP (Sector Facility Index Project) facility Ids beginning with PET.
| || III IV V VI VII VIII IX X
4
9
12
25
1
7
36
[ 44
1
0
8
r'-r
0
17
18
o^1
1
26
35 1 27
1
22
17
0
7
0
1
4
8
0
8
0
0
2
6
40 ^ 7 | 13 | 8 | 8
total
8
15
76
239
338 ]
total
14
81
39
134
total
8
77
131
216 _J
Source: IDEA for CWA and CAA. Manual for RCRA.
Air and Water facilities selected using SIC codes 3471 and 3479.
OECA/OC/EPTDD/ILfTB
-92-
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NPMS Measure Set 8: Number of Investigations at Refineries for Selected Violations
(NSR/PSD, LDAR, Benzene Waste-NESHAPS and RCRA, and Refinery Fuel Gas)
80-,
0
IV
V VI
EPA Regions
VII
VIII
• MM
DUST
• TSCA
DSDWA
• RCRA
• FIFRA
DEPCRA
• CWA
• CAA
Source: Manual Reports
-93-
OECA/OC/EPTDD/IUTB
April 6, 2001
-------
Selected FY 2000 Outputs for MOA Priority Areas - Wet Weather
FY 2000 Wet Weather Civil Referrals
i ii
IV V VI VII VIII IX X
FY 2000 APO Complaints
II III IV V VI VII VIII IX X
There were no CSO APO complaints and one SSO complaint (R6).
FY 2000 Non-Penalty Compliance Orders
l ii
V VI VII VIII IX X
Source: Civil Docket
No CSO orders.
FY 2000 Final APO Settlements
Ill IV V VI VII VIII IX X
- 94-
OECA/OC/EPTDD/IUTB
5/1/01
-------
Selected FY 2000 Outputs for MOA Priority Areas - Petroleum Refining
FY 2000 APO Complaints at Facilities with 2911 SIC Codes
• CM
• CERCLA
• CWA
DEPCRA
HRCRA
20
16
12
6
4
0
FY 2000 Civil Referrals for Facilities with 2911 SIC Codes
IV
V VI VII VIII IX
Source: Civil Docket
-95-
OECA/OC/EPTDD/IUTB
4/24/01
-------
Selected FY 2000 Outputs for MOA Priority Areas - SDWA Microbial
FY 2000 EPA Compliance Orders for Microbial Violations
State Micobial Actions in FY 2000
800!
600
400
200]
0
n
= a > > 5 5
IV
VI VII
IX
There were no EPA judicial or APO complaints in FY 2000.
Source: Civil Docket
-96-
for SWTR
• forTCR
May 8, 2001 - OECA/OC/EPTDD/IUTB
-------
Selected FY 2000 Outputs for MOA Priorities - Metal Services
FY 2000 Settlements at Metal Services Facilities
Pollutant Reductions Reported in FY 2000 for Metal Services Facilities
• Chromium
• Metals
• CFC
DZinc
Source: Civil Docket
- 97
OECA/OC/EPTDD/IUTB
5/18/01
-------
Selected FY 2000 Outputs for MOA Priority Sectors - RCRA Permit Evaders
Formal Actions for RCRA Permit Evaders in FY 2000
12-rf
o
• Judicial Settlement
DAPO Settlements
D Compliance Order
• Civil Referral
• APO Complaint
Source: Civil Docket
- 98
OECA/OC/EPTDD/IUTB
5/18/01
-------
Selected FY 2000 Outputs for MOA Priority Areas - CAA Air Toxics and NSR/PSD
Benzene
Chromium waste
1,1,1 Trichloroethane
VHAPs
CAA Reductions for Toxic HAPs Reported in FY 2000 (in Lbs.)
Ill IV V VI VII
VIII
IX
HQ
0
8
0
2,000
0
0
8,300,000
0
0
63
0
0
trace
0
0
0
17,600
10,000,000
0
0
2,000
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
Participate Matter
NOx
S02
VOCs
Carbon Monoxide
CAA Criteria Pollutant Reductions in Settlements for NSR/PSD Violations (in Tons)
IV V VI VII VIII
IX
HQ
0
0
0
5
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
121
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
415
0
0
0
1.100
0
0
0
0
0
0
0
0
New Cases Initiated in FY 2000 for NSR/PSD Violations
• APO Complaint
• Civil Referral
D Compliance Order
Source: Civil Docket
-99-
OECA/OC/EPTDD/IUTB
4/19/01
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