UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
:
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Mission Statement:
OECA's mission is to improve the environment and protect public health by ensuring compliance with
the nation's environmental laws.
xvEPA
U.S. Environmental Protection Agency
Office of Enforcement and Compliance Assurance (MC2201 A)
Washington, DC
EPA-300-R-07-003
May 2008
www.epa.gov/compliance
To obtain copies:
E-mail: nscep@bps-Imit.com or phone: 1-800-490-9198
i Recycled/Recyclable—Printed with vegetable oil based inks on 100% post-consumer, process chlorine-free recycled paper.
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,Ji,J
Message From the Assistant Administrator......................................... 2
About OECA 4
Highlights of FY 2007 Results 5
Compliance Monitoring — The "Environmental Cop" Is on the Beat 7
Civil Enforcement Achieves Significant Pollutant Reductions 8
Criminal Enforcement as a Deterrent............................................. 16
Superfund Enforcement Accelerates Waste Cleanup ................................ 18
The Federal Government Does Its Part Through Federal Facility Enforcement............ 19
Ensuring Compliance in Indian Country 20
Integrating Environmental Justice 21
National Environmental Policy Act Review 23
International Compliance Activities .............................................. 24
Making Legal Requirements Clear: Compliance Assistance 25
The Public Can Help Prevent Environmental Crime.................................. 27
Message on Behalf of State Environmental Commissioners 29
Highlights on State Enforcement and Compliance 30
Appendix A: Numbers at a Glance 34
Appendix B: Organizational Chart................................................ 36
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s report highlights the U.S. Environmental Protection Agency's
JL (EPA's) Office of Enforcement and Compliance Assurance (OECA)
key initiatives, results, and enforcement cases for fiscal year (FY) 2007.
OECA is committed to achieving measurable progress in protecting
our nation's air, water, and land, as reflected in our FY 2007 record-
breaking results.
In FY 2007, EPA's civil and criminal enforcement actions resulted in
commitments by industries, government agencies, and other regulated
entities to spend a record $10.6 billion in pollution controls and envi-
ronmental projects - the highest total in EPA history. These enforce-
ment agreements also reduced pollutants by 890 million pounds. Nearly 70 percent of this year's
pollutant reductions were achieved by addressing high-priority air and water violations.
OECA's national enforcement priorities - focusing on significant environmental risks and non-
compliance patterns - are essential to achieving results. Our largest civil enforcement actions
for just three priority areas alone achieved more than 400 million pounds of pollutant reduc-
tions and more than $7 billion in injunctive relief and supplemental environmental projects.
EPA's 12 largest stationary source air enforcement cases alone will reduce more than 500 mil-
lion pounds of harmful air pollutants, with annual human health benefits estimated at $3.8 bil-
lion. These health benefits include approximately 500 fewer premature deaths in people with
heart or lung disease; 50,000 fewer days of missed work or school; and 1,000 fewer hospital vis-
its due to asthma and heart failure annually. These enforcement actions also will reduce harmful
air emissions, including 308 million pounds of sulfur dioxide (S02), 187 million pounds of nitro-
gen oxides (NOX), and 11 million pounds of particulate matter annually.
Overflows from inadequate combined sewers and sanitary sewers can discharge untreated
sewage and industrial wastewater into rivers, lakes, oceans, and other waterways. FY 2007
enforcement actions led to investments of $3.5 billion in pollution controls to remove
45 million pounds of pollutants in discharges from overflows of combined sewers and sanitary
sewers. These investments are more than three times greater than those obtained in FY 2006.
In addition, Superfund enforcement and other remediation agreements committed responsible
parties to invest $688 million last year to clean up contamination and reimburse EPA $314
million for past response and oversight costs. The parties agreed to clean up a record-setting
79 million cubic yards of contaminated soil, or enough to cover more than 12,000 football fields
with 3 feet of dirt. Polluters also agreed to clean up 1.4 billion cubic yards of contaminated
water, which is enough to fill more than 425,000 Olympic-size swimming pools.
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE > FY2007 OECA Accomplishments Report
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EPA provided compliance assistance to a record high of more than 3 million regulated entities
to improve environmental management practices and help prevent pollution in FY 2007. With
the addition of EPA's Tribal Compliance Assistance Center, the Agency now has 15 Web-based
assistance centers that provide information on environmental regulations and compliance
issues for specific industry sectors and groups,
I also made two official visits to the People's Republic of China, where EPA is developing a
program of cooperation with China to ensure that products manufactured in China meet U.S.
environmental requirements. Most encouraging was the agreement to develop cooperative
mechanisms to address problems at the source. Continued work is planned for FY 2008,
focused on building environmental enforcement capacity in China.
EPA remains a committed pioneer in the federal government's implementation of environmen-
tal justice programs, and we continue to strive to fully integrate environmental justice into
Agency programs. In FY 2007, we began piloting Agency environmental justice reviews for
rulernaking and standards setting, permitting, enforcement and compliance, and site cleanup
and remediation. No other federal agency has attempted to incorporate environmental justice
into its programs, policies, and activities as comprehensively as EPA.
EPA's results reflect the hard work of our Regional offices, which play a pivotal role in
enforcement. Dedicated EPA professionals throughout the United States provide hands-on
support, from compliance assistance and inspection to negotiating settlements or litigating
cases. Likewise, the states are crucial partners in ensuring an effective environmental enforce-
ment and compliance program is in place throughout our nation. Again this year, I am pleased
that the Environmental Council of the States (ECOS) has included a section in OECA's report,
highlighting successful state enforcement and compliance efforts conducted in conjunction
with our Regional counterparts.
We look toward future environmental successes as OECA strengthens enforcement priorities,
implements new compliance initiatives, and advances Web-based tools to more effectively
reach the public and regulated community. I encourage you to continue working with us as
partners in protecting our air, water, and land.
Sincerely,
EPA ASSISTANT ADMINISTRATOR FOR
ENFORCEMENT AND COMPLIANCE ASSURANCE
MESSAGE FROM THE ASSISTANT ADMINISTRATOR
TV
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==. =~~=QECA's mission is to
improve the environment
and protect public health
by ensuring compliance
with the nation's
-EPA Han
**f he Office of Enforcement and Compliance Assurance (OECA) is one of the major
program offices within the U.S. Environmental Protection Agency (EPA) dedicated
to improving the environment and protecting public health. OECA is responsible for
carrying out EPA's duties of monitoring compliance with environmental laws, providing
compliance information and assistance to the regulated community, and taking civil or
criminal enforcement action as appropriate.
In fiscal year (FY) 2007, OECA had a total employee workforce of about 3,400 environmental
professionals in EPA's Headquarters and 10 Regional offices. This includes special agents
working on environmental crimes located in Headquarters and 46 field offices nationwide.
Our special agents are fully authorized federal law enforcement officers, like their counter-
parts in other federal law enforcement agencies such as the Federal Bureau of Investigation,
the Customs Service, and the Secret Service. OECA works closely with its state partners
engaged in monitoring and ensuring compliance with national environmental laws across
the country. OECA also houses EPA's Environmental Justice and National Environmental
Policy Act (NEPA) programs.
This report highlights the results of OECA's enforcement, compliance, and other key pro-
grams in FY 2007. The report explains OECA's key priorities and strategies, accomplishments,
and longer-term trends in the results that OECA's programs have obtained for the public.
We encourage you to visit our Web site at www.epa.gov/compliance for specific information
about OECA's programs and environmental enforcement and compliance.
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE > FY2007 OECA. Accomplishments Report
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EGA achieved historic results in FY 2007 to protect the nation's air, water, and
I land. In FY 2007, OECA Headquarters and Regional offices, working with our
state partners, obtained commitments from industries, government agencies,
and other regulated entities to spend $10.6 billion in pollution controls and supplemental
environmental projects — the highest amount in the Agency's history. EPA's civil and crimi-
nal enforcement actions produced commitments to reduce pollutants by 890 million
pounds. This reflects a sustained five-year record of pollution reductions totaling more than
$33 billion invested by the regulated community to come into compliance and 4.5 billion
pounds of pollutant reductions. (See Appendix A for a detailed summary of our enforcement
and compliance results.)
EPA believes in firm and
fair enforcement of our
regulations and our results
that out,
-Gmnta Y.
Assistant Administmtor,
OECA
1,200
1,000
800
c
o
T3
E
I
600
400
200
FY03
FY04
FY05
FY06
FY07
FY 2007 data source: Integrated Compliance Information System (ICIS), October 13, 2007; data source for
previous fiscal years: annual ICIS data.
HIGHLIGHTS OF FY 2007 RESUITS
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in and
$12
$10
I $8
$6
$4
$2
$0
FY03
FY04
FY05
FY06
FY07
FY 2007 data source: Integrated Compliance Information System (ICIS), October 13, 2007; data source for
previous fiscal years: annual ICIS data.
Other 2007 Highlights
f EPA's 12 largest stationary source air enforcement cases alone will result in reducing
more than 500 million pounds of harmful air pollutants, with annual human health ben-
efits estimated at $3.8 billion. These actions will reduce harmful emissions of 308 mil-
lion pounds of sulfur dioxide, 187 million pounds of nitrogen oxides, and 11 million
pounds of particulate matter.
f Enforcement actions led to investments of $3.6 billion in pollution controls to remove
45 million pounds of pollutants in discharges from overflows of combined sewers and
sanitary sewers.
f As a result of Superfund enforcement and other remediation agreements, responsible par-
ties agreed last year to invest $688 million to clean up contamination. The parties agreed
to clean up 79 million cubic yards of contaminated soil and 1.4 billion cubic yards of
groundwater. Private parties reimbursed the Superfund $252 million of past costs.
+ The criminal enforcement program opened 10 percent more environmental crimes cases
in FY 2007 than in FY 2006. Criminal fines and restitution increased from the previous
year by 46 percent, totaling $63 million. Defendants who pled guilty or were found
guilty of environmental crimes were ordered by courts to spend $135 million on envi-
ronmental projects, an increase of 360 percent.
f A record 3.2 million regulated entities received compliance assistance from
EPA-sponsored Web sites or from EPA personnel.
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE > FY2007 OECA. Accomplishments Report
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EGA is the environmental cop on the beat, using a variety of tools to achieve
(compliance - technical assistance, monitoring, incentives, and civil and criminal
enforcement Monitoring and enforcement activities include inspections, evalua-
tions, civil and criminal investigations, administrative actions, and civil and criminal judicial
enforcement
OECA's Office of Compliance monitors activities to ensure that the regulated community is
complying with environmental laws and regulations that address prevention and control of
air pollution, water pollution, hazardous waste, toxic substances, and pesticides. EPA and its
partners — the state, local, and tribal governments — along with the U.S. Department of
Justice, work together to ensure that the nation's laws are followed to protect human
health and the environment. Compliance monitoring is achieved by reviewing the informa-
tion that EPA, a state, or a tribe requires the regulated party to submit and through onsite
visits by qualified inspectors. The regulated facilities' inspection records are publicly avail-
able through OECA's Web site, Enforcement and Compliance History Online (ECHO):
www.epa-echo.gov/echo.
Protecting the erwironrfient
is everybody's responsibili- -
ty, and companies or indi-
viduals who disregard the
laws to protect our air,
land and water should
know that EPA continues
to vigorously enforce our
nation's laws for a cleaner,
healthier America.
In FY 2007, EPA conducted approximately
22,000 inspections and 346 civil investigations
(complex, in-depth examinations). In addition
to these EPA inspections and investigations,
our state partners conducted many more
inspections to monitor compliance with
environmental laws throughout the nation.
(See message on behalf of state environmental
commissioners on page 29.)
of by
25,000
c
o
= 20,000
TO
>
1 5,000
10,000
-O
E
3
5,000
CWA
EPCRA
FIFRA
RCRA
SDWA
TSCA
Note: Statutes in legend are presented in same order as in stacked bars on left
FY 2007 data source: Integrated Compliance Information System (ICIS), legacy databases and
manual reporting, October 13, 2007; data source for previous fiscal years: annual ICIS data,
legacy databases and manual reporting.
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One of the most important
things in oyr nation is
having a healthy environ-
ment in which oyr children
can grow. Companies myst
be held responsible for the
well-being of the whole
community they serve,
including the health
of the citizens and the
environment.
—Amul R, Thapar,
US, Attorney for the
Eastern District
of Kentucky
. -„ . ^ ~~-.a- --aggfe-Vv
ECA's civil enforcement program is responsible for "...investigating violations,
I deterring violations of federal environmental laws through civil enforcement
actions, and providing appropriate incentives to those members of the regulated
community who wish to comply with the law."
Civil enforcement actions are brought before an administrative law judge or in a federal
court - in the latter case EPA is represented by the U.S. Department of Justice. These
actions are usually resolved by settlements, which typically require polluters to pay penal-
ties; implement, repair, and upgrade pollution control technologies; correct compliance
problems; and clean up waste and/or take action to reduce pollution and prevent problems
from recurring. Over the past five years, EPA has been very successful in maintaining a
steady flow of referrals to the U.S. Department of Justice. In FY 2007, EPA referred 278 civil
enforcement cases to the U.S. Department of Justice, which exceeds the five-year average
number of cases.
of to of
Total and by
300
3
O
CJ
250
200
150
100
50
0
CAA
CERCLA
CWA
EPCRA
FIFRA
RCRA
SDWA
TSCA
Multi-Program
FY03 FY04 FY05 FY06 FY07
Note: Statutes in legend are presented in same order as in stacked bars on left.
FY 2007 data source: Integrated Compiiance Information System (ICIS), October 13, 2007; data source
for previous fiscal years: annual ICIS data.
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE > FY2007 OECA. Accomplishments Report
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OECA achieved pollution reductions of 890 million pounds in FY 2007 by focusing civil
enforcement efforts on certain priority areas where a pattern of non-compliance was con-
tributing to a significant threat to public health or the environment We achieved nearly 70
percent of the FY 2007 pollution reductions and 58 percent of the pollution control invest-
ments by focusing on these high-priority areas.
re
O
100%
90%
£- 80%
§> 70%
~~ 60%
50%
40%
30%
20%
10%
0%
!=l Tribal Priority
Cases
! Air Priority
Cases
jjj Water Priority
"~* Cases
Non-Priority
Cases
FY 2007 Pounds of FY 2007 Pollution
Pollutants to Be Reduced Control Investments
Note: Categories in iegend are presented in same order as in stacked bars on left
FY 2005-2007 National Enforcement Priorities
During FY 2007, OECA sought comment from EPA Regions; state, tribal, and local regulators;
and the general public on what its priorities should be for the next three-year cycle
(FY 2008 to 2010). OECA decided to continue its focus on many of the same priority areas
and expects to see significant accomplishments in the period FY 2008 to 2010.
Clean Air Act/Air Toxics: OECA reduces public exposure to toxic air emissions by ensuring
compliance through directed monitoring and enforcement of the Maximum Achievable
Control Technology (MACT) standards.
Clean Air Act/Prevention of Significant Deterioration and New Source Review: OECA
ensures that New Source Review (NSR) and Prevention of Significant Deterioration (PSD)
requirements of the Clean Air Act (CAA) are implemented. Failure to comply with NSR/PSD
requirements can lead to the inadequate control of emissions, resulting in the release of
thousands of tons of pollution to the air each year, particularly of nitrogen oxides, volatile
organic compounds, and particulate matter.
C ivi i, ENF o RC EM ENT
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fe
SF
Clean Water Act/Wet Weather: OECA ensures compliance with Clean Water Act require-
ments by addressing four environmental challenges that are exacerbated by wet weather.
Wet weather discharges contain bacteria, pathogens, and other pollutants that can cause
illnesses in humans, lead to water quality impairment (including beach and shellfish bed
closures), and harm our nation's water resources.
4 Concentrated Animal Feeding Operations (CAFOs): The major environmental problem
associated with CAFOs is the large volume of animal waste generated in concentrated
areas.
4 Combined Sewer Overflows: Combined sewer systems are designed to collect rainwater
runoff, domestic sewage, and industrial wastewater in the same pipe. During periods of
rainfall or snow melt, the wastewater volume in a combined sewer system can exceed
the capacity of the system or treatment plant, resulting in discharges of untreated
sewage to waterways.
4 Sanitary Sewer Overflows (SSOs): The main pollutants in raw sewage from SSOs are
bacteria, pathogens, nutrients, untreated industrial wastes, toxic pollutants, such as oil
and pesticides, and wastewater solids and debris.
4 Stormwater: Stormwater runoff from urban areas and construction can include a vari-
ety of pollutants, such as sediment, bacteria, organic nutrients, hydrocarbons, metals, oil,
and grease.
Financial Responsibility: OECA ensures that facility operators have adequate funds to
address the closure of facilities that handle hazardous wastes, hazardous substances, toxic
materials, or other pollutants. This priority seeks to prevent the shift of costs from the par-
ties responsible for improper handling and release of hazardous materials and wastes to
others including state and federal taxpayers.
Resource Conservation and Recovery Act — Mineral Processing: OECA reduces risk to
human health and the environment by achieving increased compliance rates throughout the
mineral processing and mining sectors and by ensuring that harm is being appropriately
addressed through compliance assistance and enforcement
Indian Country: OECA works with federally recognized Indian tribes to address significant
human health and environmental problems associated with drinking water, solid waste, and
environmental risks in tribal schools (e.g., lead paint) through capacity building and compli-
ance monitoring.
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE > FY2007 OECA. Accomplishments Report
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In FY 200? OECA recognized a major milestone when it successfully met its principal
objective for the petroleum refinery national priority, EPA designated petroleum refining
as a national priority in 2005 due to a high of noncompliance with requirements to
control emissions of volatile organic compounds (VOCs), sulfur dioxide (S02), nitrogen
(NQX), carbon monoxide, and particulate matter. These pollutants contribute to res-
piratory illness heart disease, childhood asthma, acid rain, and reduced visibility,
To date, EPA has negotiated 21 pollution reduction agreements with companies represent-
ing more than 85 percent of U.S. domestic refining (95 refineries throughout 28
states). These settlements resulted in investment of more than $4,8 billion in pollution
control technologies, civil penalties of $70 million, supplemental environmental projects
with a value of $65 million, and significant reductions of annual pollutant emissions from
refineries tons of ND^ 245,000
tons of S02, as well as reductions in air toxic
pollutants such as benzene and VOCs),
Through a combination of federal
and actions, EPA and its
state partners will continue to
work to secure similar settle-
ments with the remainder of
this sector. We will also mon-
itor compliance by petroleum 1
refineries with consent i
decree requirements, ;
C ivi i, ENF o RC EM ENT
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- '-;:• "~~?S •«-:'"" *f~ - :-f || 'I'",-» ^-v- :
"*>
Public Health Benefits
OECA's focus on priority areas yields substantial benefits for public health. For example, air
pollution threatens human health by causing serious respiratory problems and exacerbating
cases of childhood asthma. Air enforcement cases concluded in FY 2007 will result in 507
million pounds of air pollutants being reduced, eliminated, or properly managed. These
actions will reduce harmful air emissions by 308 million pounds of sulfur dioxide, 187 mil-
lion pounds of nitrogen oxides, and 11 million pounds of particulate matter. These results
will lead to $3.8 billion in health benefits.
Air and
The benefits from in SOX,
NOX, and PM arc at $3.8 billion per upon
full implementation. Annual benefits will include:
+ Approximately iOO fewer premature in
people with heart or lung
^ More than 1,000 fewer and
room visits for as and
failure.
^ About 1,500 fewer of chronic bronchitis
acute bronchitis,
* About 1,000
^ More than 8,000 fewer of upper
aggravated asthma,
••• More than 1S.OOO of and
respiratory
•^ More than 50,000 fewer when would
miss work or school.
Data source: Integrated Compliance Information System (ICE), October 13, 2007; Office of Air and Radiation's BenMAP model.
t EPA's 12 enforce-
for
ary Air Act
com-
by to
their of
sulfur (SQJ, nitro-
gen (NQJ and
• When all required
pollution controls are
completed, emissions will
be by approii-
507 million
pounds per year.
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE > FY2007 OECA. Accomplishments Report
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OECA's actions to enforce the Clean Water Act resulted in more that 178 million pounds of
pollutants reduced and investment in pollution control totaling nearly $3.6 million. Most of
these reductions are the result of EPA's national priority efforts to control overflows from
combined sewer overflows (CSOs), sanitary sewer overflows (SSOs), and contamination
caused by surface runoff and concentrated animal feeding operations (CAFOs). When over-
flows occur, pollutants enter waterways, causing human health risks such as diseases that
can range in severity from mild gastroenteritis to life-threatening cholera.
FT a
Priority
to be
millions
in
millions of dollars
Air
NSR/PSD
Air Toxics
Air
FY2006
135 M
0.4 M
135.4M
FY2007
426 M
0.8 M
M
FY2006
$310 M
$1 M
$311 M
FY 2007
$2,443 M
$10 M
m
CSO/SSO
CAFO
Stormwiter
Total Wet
Weather
26 M
12 M
195 M
233 M
45 M
15 M
118 M
178 m
$930 M
$10 M
$150 M
m
$3,523 M
$30 M
$8 M
M
Total
M
M
M
M
C ivi i, ENF o RC EM ENT
13
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Enforcement Case Highlights
The following examples reflect our FY 2007 enforcement activities involving coal-fired
electric utilities, mobile sources, agricultural processing facilities, sewer systems, and con-
centrated animal feed operations.
Coal-fired power plants contribute to some of the most severe air pollution problems facing the nation
today. These facilities release sulfur dioxide (S02) and nitrogen oxides (NOX), which cause respiratory
problems and contribute to childhood asthma, acid rain, smog, and haze. In FY 2007 EPA and the U.S.
Department of Justice concluded lawsuits that will require installation of pollution controls totaling
$2.4 billion that will reduce pollution by nearly 426 million pounds per year. These results are largely
attributable to settlements of three large enforcement cases: WE Energy (formerly Wisconsin Electric
Power Co. [WEPCO]), East Kentucky Power Cooperative, and PSEftG Fossil, LLC.
WE Energy will spend $600 million to install state-of-the art pollution controls, which will result in a
reduction of 105,000 tons of S02 and NOX emissions annually. The company will retire the pollution
emission allowances that it or others could use to emit additional pollution, pay a $3.2 million civil
penalty, and spend at least $20 million to finance an environmental mitigation project to significantly
reduce mercury emissions.
Mobile source pollutants include smog-forming volatile organic compounds and NOX, toxic air
pollutants (e.g., cancer-causing benzene), and particulate matter or "soot" that are responsible for res-
piratory illnesses. As one case example, in FY 2007, Cummins Engine Company agreed to pay nearly
$3 million in civil penalties to settle multiple claims that it failed to comply with its landmark 1998
consent decree. Cummins failed to: timely complete and provide reports for incentive and offset
projects, comply with the prohibition on defeat devices, include sufficient numbers of engines in its
remediation plan, or maintain sufficient banked credits to comply with the emission standards. The
1998 Cummins consent decree, along with consent decrees with six other diesel engine manufacturing
companies (Caterpillar, Inc., Detroit Diesel Corporation, Mack Trucks, Inc., Navistar International
Transportation Corporation, Renault Vehicules Industriels, s.a., and Volvo Truck Corporation) settled
charges that the companies illegally poured millions of tons of pollution into the air and required
them to pay $83.4 million in civil penalties, the largest in environmental enforcement history at the
time. The consent decrees resolved claims that the manufacturers installed computer devices in heavy-
duty diesel engines that resulted in illegal amounts of air pollution emissions.
14
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE > FY2007 OECA. Accomplishments Report
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Agricultural processing facilities, such as soybean and corn processors, can be major sources of air pol-
lution. During oilseed processing, solvents can escape to the ambient air where they can be readily
absorbed into the body by inhalation. Oilseed is a hazardous air pollutant under the Clean Air Act
because it can cause adverse effects on the central nervous system, the heart, and other organs. An FY
2007 multi-state settlement with oilseed processor Bunge North America Inc. and three of its sub-
sidiaries will eliminate more than 2,200 tons of harmful pollution emissions per year when fully
implemented. The $13.9-million settlement covers 12 plants in eight states, each of which joined the
United States as a co-plaintiff.
In FY 2007, EPA concluded several large settlements with major cities bringing critical sewer
systems back into compliance and protecting communities from future harm. Enforcement actions led
to investments of $3.5 billion in pollution controls to remove 45 million pounds of pollutants in
discharges from overflows of combined sewers and sanitary sewers, including the cities of Covington,
Kentucky, and Indianapolis, Indiana. Together, these two settlements are estimated to reduce pollutants
by more than 35 million pounds and address more than 7 billion gallons of untreated sewage annually.
EKS3&'-Sa;-:SS":'
Concentrated animal feeding operations (CAFOs) are agricultural enterprises where animals are kept
and raised in confined situations. During wet weather events, manure and wastewater from CAFOs
have the potential to transport pollutants (e.g., nutrients, hormones, bacteria, antibiotics) to local
waterways. FY 2007 enforcement of the Clean Water Act in this sector resulted in 15 million pounds
of pollution reduced and $30 million in pollution controls invested.
In FY 2007, the M.G. Waldbaum Company, a subsidiary of Minnesota-based Michael Foods Inc., agreed
to pay a $1-million penalty to resolve allegations that the company violated the Clean Water Act
The alleged violations included overloading wastewater treatment lagoons at a publicly owned treat-
ment works; discharging pollutants from poultry waste without a National Pollutant Discharge
Elimination System permit; and improperly dumping process sludge waste. As part of this settlement,
Waldbaum committed to constructing a new wastewater treatment plant by 2009 at an estimated cost
of $16 million.
C ivi i, ENF o RC EM ENT
15
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OECA's Office of Criminal Enforcement, Forensics, and Training (OCEFT) brings criminal
enforcement actions against those who knowingly disregard or are criminally negligent in
violating environmental laws.
riminal enforcement, with both fines and incarceration as potential sanctions, is
one of the strongest tools in EPA's enforcement arsenal. OCEFT's strategic goal is
to: "Emphasize 'high-impact' cases that will yield the greatest environmental and
human health benefits and promote significant deterrence,"
Toward this goal, OCEFT investigates violations of federal environmental laws and associat-
ed violations of the U.S. Criminal Code. Through the U.S. Department of Justice, OCEFT
brings criminal enforcement actions against those who knowingly disregard or are criminal-
ly negligent in violating environmental laws. OCEFT pursues cases that are aligned with our
overall national enforcement priorities.
In FY 2007, the criminal enforcement program opened 10 percent more environmental
crimes cases than in FY 2006. Criminal fines and restitution imposed on defendants also
increased from the previous year by 46 percent, totaling $63 million. For instance,
Honeywell International - a case in which one worker died - was sentenced to pay an
SB-million fine and restitution of $2 million after pleading guilty to negligently causing the
release of hazardous air pollutants and negligently placing another person in imminent
danger of death in violation of the Clean Air Act
Defendants who pled guilty or were found guilty of environmental crimes also were ordered
by courts to spend $135 million on environmental projects. For example, the Hamilton
Sundstrand Corporation paid a $1-million fine plus $11 million for environmental projects
for Clean Water Act violations.
OECA participated in the successful prosecution of several high-impact cases that secured
large sentences, enhanced deterrence, and reduced environmental pollution. In a FY2007
case, Dylan Starnes, an employee of the Atlanta-based Environmental Contracting
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE > FY2007 OECA Accomplishments Report
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Company, was sentenced to 33 months in prison and three years of probation for improperly
removing asbestos from a low-income public housing project and making false statements.
Additionally, Starnes must pay the costs for the medical surveillance required for any people
who were exposed to the asbestos.
FY
Environmental crime cases initiated
Defendants charged
Sentences (years)
Fines and restitution
Judicially mandated projects (cost in dollars)
Pollutant reductions (pounds)
340
226
64
$63 million
$135 million
18 million
FY 2007 data source: Integrated Compliance Information System (ICIS), October 2007.
for Act
The Puerto Rico Aqueduct and Sewer Authority (PRASA) was sentenced after guilty
to 15 felony counts of violating the Act (CWA) through
the illegal discharge of pollutants from nine sanitary _ j;=T -_
waste water treatment plants five drinking-
water treatment plants, PRASA will pay a crimi-
nal fine of $9 million (the fine ever
paid by a utility for violating the CWA), 1
complete capital improvements to nine
at an
estimated cost of $109 million,
$10 million to correct the discharges
to the Martin PeZa Creek, serve
a five-year term of probation.
Hf
sasfeHNfeu;
CRIMINAL ENFoRCEMENT
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?K ::' \"r-:4:--^k=- ;,;; ~*>* ^-^,rif^*'-S^r.
Throygh the work of EPA
oyr partners, Empire
Canyon will be a
story of restoring contami-
properties into
community
ECA's Office of Site Remediation Enforcement (OSRE) manages the enforcement
! of EPA's national hazardous waste cleanup programs: Superfund cleanups under
the Comprehensive Environmental Response, Compensation and Liability Act and
the Resource Conservation and Recovery Act corrective actions. As a result of Superfund
enforcement and other remediation agreements, responsible parties agreed to invest $688
million in FY 2007 to clean up contamination and to reimburse EPA $314 million for its past
response and oversight costs. Parties agreed to clean up a record-setting 79 million cubic
yards of contaminated soil and 1.4 billion cubic yards of contaminated water through
Superfund enforcement and other remediation agreements.
and
In FY 2007, EPA L EPA's first
and (ER3) to facili-
tate cleanup and redevelopment of the West Mine Superfund Site in
Empire Canyon, This historic ore mining processing is in Park
City, Utah, DV Luxury Resort, LLC's (DVLR) will in completing
actions a commitment to sustainable redevelopment. As part of the
DVLR will the con-
struction, operation.
18
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE > FY2007 OECA. Accomplishments Report
-------
ECA's Federal Facilities Enforcement Office (FFEO) is responsible for ensuring that
(the federal government complies with all environmental laws, regulations, and
other responsibilities required under presidential executive orders. In FY 2007,
FFEO's enforcement actions resulted in impressive federal agency commitments and
improvements in environmental compliance, preventive measures, and corrective actions.
OECA's enforcement of federal environmental laws will prevent more than 700,000 pounds
of pollutants from being released into the environment EPA collected $475,000 in penal-
ties, and federal agencies committed to spend more than $250 million to improve their
facilities and operations to remedy past violations and prevent future violations. In 2007,
EPA concluded 35 enforcement actions against federal agencies and some federal facility
contractors for alleged violations of environmental laws.
on
OECA concluded enforcement actions against McGuire Air Force Base, the New Jersey Air
National Guard, and the Army and Air Force Exchange Service for RCRA violations involving
underground storage tanks (USTs). They will pay a penalty of $115,000 for UST violations and
are required to install proper protection equipment. EPA also concluded enforcement actions
against several federal agency contractors for violations related to construction at federal
facilities (e.g., contractors for the Air Force agreed to pay $80,000 to settle two separate
enforcement actions related to construction at the Air Force Academy and at Buckley Air Force
Base in Colorado).
<*- -.---f!T;•_•«••::asc--?"-:-:i,*
-------
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"orking with federally recognized Indian tribes, OECA uses compliance assis-
tance, inspections, and enforcement to address significant human health and
environmental problems in Indian Country. In FY 2007, OECA focused particular
attention on drinking water, solid waste, and environmental risks at schools in Indian
Country. Among our important enforcement actions is the conclusion of a four year multi-
agency effort to stop illegal dumping on the Torres Martinez Reservation located in
California. Working with the Bureau of Indian Affairs, EPA won its lawsuit to enforce an
administrative order issued under RCRA §7003 against Kim Lawson, Lawson Enterprises, and
Torlaw Realty. The settlement requires the parties to pay up to $42.8 million in cleanup
costs and more than $2.3 million in civil penalties.
In FY 2007, EPA's tribal activities addressed imminent threats to human health. For exam-
ple, EPA Region 8 issued an administrative order to the Oglala Sioux Tribe in response to
a fire at the Pine Ridge municipal solid waste baling facility. The baling facility is owned
and operated by the Oglala Sioux Tribe and is located on the Pine Ridge Indian
Reservation. The fire resulted in heavy smoke blanketing the immediate area for several
days. The smoke endangered the community of Pine Ridge Village, the tribal center locat-
ed one-half mile to the north of the baling facility, and several residences located
approximately 500 feet to the south of the facility. The open dump area of the baling
facility is the former Pine Ridge dump site -a "high priority site" listed in the Indian
Health Service Open Dump Inventory. The order was issued pursuant to Section 7003 of
the Resource Conservation and Recovery Act.
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE > FY2007 OECA Accomplishments Report
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PA strives to incorporate environmental justice into every aspect of its programs,
priorities, and strategic plans. OECA houses the EPA Office of Environmental Justice
f(OEJ). OEJ has the dual responsibility of serving as the coordinator of EPA's
Agencywide efforts and as the National Program Manager for implementing Executive Order
12898 - "Federal Actions to Address Environmental Justice in Minority Populations and
Low-Income Populations." During FY 2007, EPA took significant steps to integrate environ-
mental justice into its own mission, to lead by example, and to work with its federal part-
ners. EPA relies on input from the National Environmental Justice Advisory Council (NEJAC),
regulatory partners, and the environmental justice community to identify priorities and
incorporate environmental justice considerations into its mission.
In FY 2007, OEJ led the development of environmental justice review protocols for EPA pro-
grams in rulemaking and standards-setting, permitting, enforcement and compliance, and
site cleanup and remediation. Following several pilots, the protocols will be finalized and
considered in FY 2008 for conducting environmental justice reviews of the Agency's pro-
grams, policies, and activities.
Also in FY 2007, OEJ awarded $1 million in environmental justice collaborative problem-
solving grants to 10 community-based organizations and an additional $1 million in envi-
INTEGRATING ENVIRONMENTAL JUSTICE
To no
agency has incorporated
environmental justice as
comprehensively as EPA.
The Agency is working to
achieve tangible results
that a positive
impact in the of
communities by
environmental pollution,
— lee,
EPA
-------
I'K
;
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'
ronmental justice small grants to 20 community-based organizations. Projects completed in
FY 2007 with these grants ranged from installing municipal water and sewer lines for 40
homes with contaminated wells in Mebane, North Carolina, to completing a renovation
project to remove lead-based paint in Pacomia, California, as a result of testing blood level
concentrations in 675 children and lead contamination testing of 300 homes.
The
1999 2007, EPA supported the Re6enesis Environmental Justice Partnership,
which former Syperfund and brownfields in Spartanburg, South Carolina,
into a vibrant community. Residents, once with contamination from a former fertilizer
plant local dymp, now enjoy a revitalized community of new homes plans for
recreational use. The ReGenesis Environmental Justice Partnership began with an EPA
Environmental Justice Grant.
With more 200 federal, state, and government partners, residents, industry,
and a university, ReGenesis has raised more than $166 million. In June 2007, OEJ a
documentary film this
at www.epa.gov/compliance/resources/publications/ej/ejcps-dvd,html.
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE > FY2007 OECA Accomplishments Report
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ECKs Office of Federal Activities (OFA) reviews other federal agencies' environ-
f mental impact statements (EISs), as required under the National Environmental
Policy Act (NEPA) and by Section 309 of the Clean Air Act. OFA's review of EISs
helps agencies identify mitigation measures and avoid or minimize potential adverse envi-
ronmental impacts of proposed projects. In FY 2007, OFA completed review of 218 EISs.
The federal agencies agreed to mitigate over 75 percent of the significant environmental
impacts identified by EPA in its review of their draft EISs.
EPA involvement in EIS review involves a coordinated team of professionals, particularly on
controversial or significant environmental impact projects. The Red River Valley Water
Supply Project is just one of OFA's EIS coordination efforts in FY 2007. The U.S. Bureau of
Reclamation and the state of North Dakota prepared a draft EIS for the water project pro-
posal to meet the long-term water needs of the Red River Valley in North Dakota and
Minnesota. The proposal included construction necessary to deliver sufficient water to users.
Significant issues were raised on the risks of biota transfer to the Hudson Bay Watershed.
After extensive negotiations, EPA reached a preliminary agreement on an appropriate level
of treatment to minimize the risk of biota transfer.
NATIONAL ENVIRONMENTAL POLICY ACT REVIRW
-------
JiS
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FA also leads the cooperation between federal and state agencies and govern-
1 ments of neighboring countries to promote effective enforcement and compli-
ance of environmental laws along the U.S. border. It also provides enforcement
and compliance training and information to help fulfill the United States' commitments
worldwide.
In FY 2007, OFA reviewed and processed more than 1,100 hazardous waste notices and
10,000 waste streams for imports and exports of hazardous waste. These actions fulfilled
the U.S. obligation under international agreements to participate in the control of trans-
boundary movements. In consultation with EPA Regions, OFA's objection to certain notices
prevented the environmentally unsound importation of 61,065 metric tons of solid haz-
ardous waste and 700,000 liters of liquid hazardous waste.
In April 2007, EPA's Assistant Administrator for Enforcement and Compliance Assurance,
Granta Nakayama, made an official visit to the People's Republic of China to address prob-
lems presented by Chinese imports into the United States that do not comply with U.S.
environmental laws. The visit served to initiate a developing program of cooperation with
China to prevent products manufactured in China, such as non-road engines, from entering
the United States if they do not meet U.S. environmental requirements. In addition, since
July 2007, OECA supported the efforts of the Interagency Work Group on Import Safety
(formed by Executive Order 13439), chaired by Mike Leavitt, Secretary of the U.S.
Department of Health and Human Services.
Throughout FY 2007, OFA worked with the United Nations Environment Programme (UNEP)
on its Green Customs training program. OFA also created a new course, Principles for
Customs and Environmental Cooperation - Toward Effective Import-Export Control, for pilot
delivery in Central American Free Trade Agreement countries in 2008. This program seeks to
strengthen the ability of customs officials in the United States and abroad to detect and
respond to illegal import and export products.
. :«,«» i;
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE > FY2007 OECA. Accomplishments Report
-------
aising public awareness and helping the regulated community comply with
environmental laws and regulations is an important way to prevent and reduce
.pollution. EPA provides a wide range of services and programs that strengthen the
ability of the public and the regulated community to take environmental action. EPA's com-
pliance assistance programs, operated out of the Office of Compliance, provide detailed
information to millions of regulated entities, helping them understand and meet their envi-
ronmental obligations. Compliance assistance resources include comprehensive Web sites,
compliance guides, and training materials aimed at specific business communities or
industry sectors. EPA reached out to a record high of more than 3 million regulated entities
during FY 2007 through compliance assistance activities.
^ 2,500
(/S
-o
c
re
3 2,000
o
JZ
1,500
Entities With EPA Compliance Assistance
Entities reached with compliance assistance
(except center users)
Users of EPA-sponsored Web-based
compliance assistance centers
re
v
CSl
1,000
500
2003
2004
2005
2006
2007
FY 2007 data sources: Integrated Compliance Information System (ICIS), October 13, 2007, and online
usage report; data source for previous fiscal years: annual ICIS data and online usage reports.
Web-Based Compliance Assistance Centers
Much of EPA's compliance assistance is provided through 15 Web-based compliance assis-
tance centers. These virtual centers contain information on environmental regulations and
compliance issues for certain industries and groups (e.g., tribes, construction, health care, and
auto recyclers). In FY 2007, OECA launched a new Tribal Compliance Assistance Center that
provides comprehensive compliance assistance and pollution prevention information for
COMPLIANCE ASSISTANCE
-------
regulated activities in Indian Country. The center supports OECA's
tribal priority by assisting tribal professionals and facility owners in
complying with environmental regulations.
In addition, EPA, along with many other federal agencies, supports
FedCenter, a compliance assistance center that helps federal
agencies comply with environmental laws and be better environ-
mental stewards (visit www.fedcenter.gov).
Incentives for Compliance Agreements
EPA provides a number of incentives to encourage public and pri-
vate entities to self-police, improve environmental management
practices, and reduce environmental pollution. In exchange for
mitigation of civil penalties, EPA's compliance incentive policies-
the Audit Policy and Small Business Policy — encourage regulated
entities to proactively audit their compliance status, disclose their
violations to EPA, return to compliance, and do whatever is neces-
sary to maintain compliance. The Small Business Policy also pro-
motes compliance specifically for small businesses (100 or fewer
employees) by providing incentives for disclosure and correction of
violations that include elimination of penalties entirely. In FY 2007
nearly 730 facilities resolved violations that, when corrected,
ensured that 1.2 million fewer pounds of pollution were generated.
EPA sometimes requires the implementation of environmental
management systems (EMSs) and audits as part of an enforce-
ment settlement (e.g., where EPA determines that a violation was
caused by the regulated entity's absence of a systematic approach
to identifying, understanding, and managing compliance with
environmental requirements).
NEPAssist
In FY 2007, OECA's Office of Federal Activities created an innova-
tive tool, the "NEPAssist Environmental Assessment Tool," an
internal Web-based geographic information system. OFA designed
NEPAssist to facilitate EPA project planning and federal agency
information sharing relative to environmental considerations and
to assist with EPA's environmental review process. NEPAssist will
provide consistency of data sets among EPA users conducting
environmental screening of proposed projects.
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE >
FY2007 OECA Accomplishments Report
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ii**-SlMfef'*&*;-a»-r-';tfc -"!;--!«- '"••
"n April 2007, in partnership with the state environmental and local law enforcement
organizations, EPA observed and publicized the sixth annual National Environmental
.Crime Prevention Week. A major theme of Crime Prevention Week is helping citizens
learn the signs of environmental crime.
of
t Corroded, or abandoned
containers or signs of dumping.
f Fish kills or other animals.
f Staining and/or on
the ground or around drains,
sinks, toilets, or other
waste water
f Foul-smelling or unsightly
or on the or
bodies and foul-smelling or unsightly
air emissions.
f Piping or would allow
of wastewater treatment
systems.
f Demolition might involve
illegally removing or other
materials.
t If you are not sure an is safe,
•f Do not enter confined or
low-lying areas.
t Do not lean over
containers or kick, rock, or puncture
containers,
* If to enter, wear
protective gear.
+ Do not samples unless trained.
t from the
until assistance arrives.
f Be sure to children and
f Do not track toxic material into
your car.
if you see one you a
www.epa,gov/tips
THE PUBLIC CAN HELP PREVENT ENVIRONMENTAL CRIME
STO--iil^r
-------
Tips and Complaints
EPA's tips and complaints Web site (www.epa.gov/tips) is an important tool for identifying
potential environmental violations. Established in January 2006, our easy-to-spot icon
enables concerned citizens and employees to report potential violations in their communi-
ties or workplaces. In FY 2007, EPA received a total of 6,781 tips. Tips are reviewed by EPA's
enforcement programs to determine potential civil or criminal violations. For example, in
FY 2007, one tip from the Web site resulted in formal criminal charges against an individual
who subsequently pled guilty to fabricating hazardous materials certifications and issuing
physical fitness reports to untrained workers, many of whom were remediating contaminat-
ed sites.
EPA
Violations
www.epa.gov/tips
i w -SSJE .
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE > FY2007 OECA. Accomplishments Report
-------
n behalf of the states, the Environmental Council of the
(States (ECOS) is pleased to provide information again this
year for the EPA OECA FY 2007 Accomplishments Report,
on the states' efforts to enforce and ensure compliance with the
nation's environmental laws. The states work closely with EPA
Headquarters and Regional offices to ensure better protection for
human health and the environment, and we look forward to continu-
ing our strong partnership for years to come. For the FY 2007 report,
ECOS has chosen to present some highlights from the wide range of
state accomplishments in compliance and enforcement.
ECOS and EPA are helping the public to understand the significant role of the states in
ensuring compliance with environmental laws. This report demonstrates that states continue
to lead in this area. The data collected by states are critical to ongoing activities and assist in
setting priorities at both the federal and state level. States collect about 94 percent of the
environmental quality data that reside in EPA databases. Most of these data are generated
from state-issued permits and state air, water, and waste monitoring programs. In addition,
states make extensive use of voluntary programs, economic incentives, and information dis-
semination through compliance assistance programs to prevent pollution before it occurs.
Compliance and enforcement programs are an integral part of state programs designed to
protect human health and the environment. We encourage you or your business to contact
state agencies to learn more about what states and local governments do and to learn more
about what you can do to ensure a safe and healthy environment for the future.
David K. Pay lor,
PRESIDENT, ENVIRONMENTAL COUNCIL OF THE STATES
DIRECTOR, VIRGINIA DEPARTMENT OF ENVIRONMENTAL QUALITY
-------
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tate programs play a significant role in ensuring compliance with environmental laws.
EPA can delegate or authorize programs to the states that carry out requirements
' of major national environmental laws. To be authorized or delegated to implement
a federal program, a state must demonstrate the capacity to administer all aspects of
the program — one of the most important being the capacity to enforce the law. With
authorization or delegation, the states are integral partners in the nation's environmental
protection system. This section of the report highlights some of the achievements of state
compliance and enforcement programs.
State Enforcement Actions
States are employing innovative strategies in environmental enforcement. As an example,
the Wetlands Loss Initiative began in 2003 as an effort to inventory wetlands change in
Massachusetts. Today, this high-tech evaluation process has evolved into a successful strat-
egy that is used by the Massachusetts Department of Environmental Protection (MassDEP)
to identify and prosecute significant and illegal wetlands destruction. Using state-of-the-art
technology, MassDEP staff analyze before and after aerial photographs, taken years apart, to
locate wetlands that have been filled. Identifying illegal fill is accomplished by comparing
the information in the sets of aerial photographs with the corresponding permit data. These
sophisticated analyses yield crucial information and provide MassDEP with a powerful tool
to prioritize enforcement based on impact and science.
Since the inception of the aerial surveillance effort, MassDEP has successfully initiated and
closed 42 "wetlands change" enforcement cases, assessed nearly $2 million in penalties, and
ordered restoration of more than 54 acres of wetlands. MassDEP consults with EPA and the
U.S. Army Corps of Engineers on restoration and replication issues that arise in the context
of those wetlands enforcement cases that might trigger federal permitting requirements.
These high-profile enforcement cases send a clear message that illegal fill can no longer be
hidden and that violators will be prosecuted. This strong deterrent is the best hedge against
wetlands destruction.
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE > FY2007 OECA. Accomplishments Report
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State Use of Supplemental Environmental Projects
In negotiating penalties in enforcement cases, 49 states have the ability to mitigate a por-
tion of the penalty in exchange for supplemental environmental projects (SEPs). SEPs not
only provide tangible improvements where a violation has occurred, but they frequently
engage community stakeholders and address environmental justice concerns (e.g., diagnos-
tic, preventative, and/or remedial health care for members of an exposed community). The
Connecticut Department of Environmental Protection (DEP) enforcement actions include
examples of recent SEPs.
t The Hartford-based Metropolitan District Commission (MDC) entered into a settlement
agreement with EPA, the U.S. Department of Justice, Connecticut DEP, and the
Connecticut Attorney General's Office. Under terms of the settlement, the MDC is
required to significantly reduce illegal raw sewage overflows from the sanitary portions
of its wastewater collection system. These overflows previously were discharged to area
waterways, including the Connecticut River, in violation of the Clean Water Act The
MDC also was required to pay a penalty of $850,000, which was split equally between
the United States government and the State of Connecticut. Connecticut's portion will
be used to fund SEPs related to compliance assistance, water quality planning, assess-
ment and restoration, and greenway enhancements.
Specifically, the MDC will implement a comprehensive, system-wide plan to ensure that
all sanitary sewer overflows associated with insufficient capacity of the MDC's separate
wastewater collection system are eliminated within seven to 12 years. The MDC is con-
currently working with the Connecticut DEP to reduce the levels of overflows from the
"combined" portions of their wastewater collection system. The MDC provides waste-
water collection and treatment services to approximately 375,000 people and owns or
operates four wastewater treatment facilities, the largest of which is the Hartford Water
Pollution Control Facility, which discharges to the Connecticut River.
f The Connecticut DEP entered a consent order with The Home Depot in May 2006 under
which this major national retail chain agreed to pay penalties of $425,000 for numerous
violations of environmental regulations at its stores in the state, as well as make major
improvements in its environmental practices. The violations involved the improper dis-
play, handling, and disposal of products such as pesticides and fertilizers, which contain
hazardous materials. The Home Depot was cited for failing to comply with the state's
hazardous waste, pesticide, and stormwater management requirements.
As part of the consent order, The Home Depot is required to pay $326,000 to a state
agency fund for SEPs. DEP will use the SEP funds that The Home Depot pays to further
develop and implement outreach and compliance assistance strategies for the retail
hardware store sector.
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As a result of DEP's action, The Home Depot is implementing environmental manage-
ment systems (EMSs) in all of its stores nationwide. The EMS includes the following
steps to prevent spills that result in hazardous materials being caught up in stormwater
runoff:
- Improving outdoor display and storage of various chemicals and products (e.g., pesti-
cides, fertilizers, swimming pool additives, bags of concrete, pressure-treated wood).
- Improving indoor displays to prevent shopping carts and hand trucks from breaking
open packages of products that contain hazardous materials.
— Increasing staff training on proper handling and disposal of products containing haz-
ardous materials.
- Implementing new procedures (e.g., patches for broken bags) to prevent the unneces-
sary disposal of products.
- Retrofitting existing stores and improving the design of future stores to accommo-
date the environmentally safe management of products and hazardous materials.
State Compliance Assistance Programs
States deliver compliance assistance either directly through state agencies or through third
parties such as contractors and grantees. The information is designed to help the regulated
community find cost-effective ways to improve environmental performance. A few exam-
ples of state compliance assistance programs follow.
i The Nebraska Department of Environmental Quality (DEQ) is launching a compliance
assistance effort that will revolutionize the surface coating industry in the state. A
unique partnership of public, private, nonprofit, and governmental people is working to
make this air compliance assistance program successful. The program's focus is to utilize
the successful Iowa Waste Reduction Center's VirtualPaint™ program, and make the pro-
gram widely available to paint technicians throughout Nebraska.
The VirtualPaint™ technology has the potential to reduce air emissions and hazardous
waste. Most paints used in the automobile and manufacturing industries contain volatile
organic compounds and hazardous air pollutants and are classified as hazardous waste.
Through training with the VirtualPaint™ system, the amount of VOCs released decreases
by 12.6 percent For example, a large surface coating facility that releases 166 tons of
VOCs per year could see a 21-ton decrease in emissions through use of the VirtualPaint™
system. Facilities of medium size that might release 31 tons of VOCs could potentially
realize a 4-ton-per-year decrease.
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE > FY'2007 OECA. Accomplishments Report
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The VirtualPaint™ system has benefits for both business and the environment The system
has been found to increase the efficiency of transferring coating products to prepared
surfaces by 19 percent. As efficiency increases, the amount of material consumed
decreases by 13 percent There are also savings from reduced hazardous waste genera-
tion. Besides the obvious monetary and environmental benefits, the intended outcome is
to develop a three- to five-year certification program and offer training to private busi-
nesses throughout the state.
States are actively using the concept of environmental results projects (ERPs) in specific indus-
try sectors to improve and go beyond compliance. States can effectively manage small pollu-
tion sources that have potentially large impacts (e.g., dry cleaners). Many individual operations
are relatively small; however, collectively they can have a huge impact on air quality.
i The Virginia DEQ developed an ERP for auto body shops/mobile refinishers following the
Virginia Ozone Transport Commission regulation for mobile refinishing. Initially, the ERP
was an outreach effort to make all of the auto body shops in Northern Virginia aware of
the voluntary self-certification program and the requirements of the mobile refinishing
regulation. The state was successful in obtaining almost a 100-percent response from the
shops to register their facilities. The initial response to the self-certification program was
also successful. The certification is totally self-directed by the shops without time con-
straints for completion. Of the 55 shops that have indicated interest to date, DEQ has cer-
tified 40 shops as charter DEQ-certified auto body shops. DEQ is working on the 2008
materials for the next round of certifications.
f The Michigan DEQ has implemented an ERP for dry cleaning. Michigan's program helps
owners/operators understand all applicable environmental regulations in their sector,
improve their compliance with these regulations, enhance sector-wide implementation
of pollution prevention activities, and employ best management practices. The ERP
included a self-audit by cleaners and a number of meetings sponsored by the dry clean-
ing trade associations, as well as by a vendor that services the majority of cleaners in the
state. The Michigan DEQ will conduct a series of follow-up inspections in the spring of
2008. The data gathered will show if there was any measurable improvement as a result
of the self-audit program.
f The New Jersey DEP is enhancing compliance assistance by educating facilities on steward-
ship concepts and practices during compliance assurance visits. With input from stakehold-
ers, New Jersey developed a standard set of criteria to record voluntary actions that reflect
stewardship and lead to sustainability. The initiative is integrated with the existing inspec-
tion process and data tools used by inspectors. Results are easily available to the public.
With minimal additional effort, the program creates an incentive to go beyond compliance
and provides a resource for learning how to get there—all while fostering a holistic per-
spective within a regulatory regime.
HIGHLIGHTS ON STATE ENFORCEMENT AND COMPLIANCE
•I*
-------
t a
EPA FY 2007 Enforcement and Compliance Annual Results
Results Obtained From EPA Civil Enforcement Actions:
« Estimated Direct Environmental Benefits
— Pollutants reduced (pounds) (including amounts from
civil, criminal, and compliance incentive actions)
- Contaminated soil to be cleaned (cubic yards)
— Contaminated water to be cleaned (cubic yards)
- Stream miles (linear feet)
- Wetlands protected (acres)
— People protected by Safe Drinking Water Act enforcement
• Estimated Preventative Environmental Benefits
— RCRA Subtitle C (cubic yards of contaminated soil)
- RCRA Subtitle C (gallons of contaminated water)
— RCRA underground storage tank leaks prevented (gallons)
- Number of people notified of potential drinking water problems
— Number of Safe Drinking Water Act Underground Injection Control
wells protected
— Toxic Substances Control Act 6 polychlorinated biphenyl
disposal practice changes (cubic yards)
— Number of housing units/schools/buildings protected from
lead-based paint
- Clean Water Act/Oil Pollution Act/Spill Protection, Control
and Countermeasure Rule pollutant release reduction (gallons)
- Federal Insecticide, Fungicide, and Rodenticide Act active
ingredients prevented from mislabeling or improper
registration (pounds)
• Investments in Pollution Control and Cleanup
(Injunctive Relief)
• Investments in Supplemental Environmental Projects (SEPs)
« Civil Penalties
— Administrative penalties
— Judicial penalties
— Stipulated penalties
« EPA Civil Enforcement and Compliance Activities
— Referrals of civil judicial enforcement cases to Department of Justice (DOJ)
- Supplemental referrals of civil judicial enforcement cases to DOJ
— Civil judicial complaints filed with court
890,000,000
79,000,000
1,400,000,000
26,000
900
6,700,000
1,400
1,700,000
2,700,000
1,500,000
233
38,000
198,000,000
1,300,000
$10,550,000.000
$30,000,000
$30,700,000
$39,800,000
$12,400,000
278
19
127
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE > FY '2007 OECA. Accomplishments Report
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- Civil judicial enforcement case conclusions
— Administrative penalty order complaints
— Final administrative penalty order settlements
- Administrative compliance orders
- Cases with SEPs
• EPA Compliance Monitoring Activities
— Inspections/evaluations
— Civil investigations
— Number of regulated entities taking complying actions during EPA
inspections/evaluations
- Number of regulated entities receiving assistance during EPA
inspections/evaluations
• EPA Superfund Cleanup Enforcement
- Remedial action (RA) starts where settlement reached or enforcement
action taken by the time of the RA start (during the FY) at non-federal
Superfund sites that have known viable, liable parties (percent)
— Private party commitments for site study and cleanup
(including cashouts)
— Private party commitments for oversight
— Private party commitments for cost recovery
- Cost recovery statute of limitation cases addressed with total
past costs greater than or equal to $200,000 (percent)
• EPA Criminal Enforcement Program
- Years of incarceration
— Fines and restitution
— Judicially mandated projects
- Environmental crime cases initiated
— Defendants charged
- Pollutant reductions (pounds)
• EPA Voluntary Disclosure Program
— Pollutants reduced as a result of audits or other actions (pounds)
— Facilities initiated
- Companies initiated
— Notices of Determination (NODs)
- Facilities resolved
— Companies resolved
« EPA Compliance Assistance:
— Total entities reached by compliance assistance
- Number of user visits to Web-based compliance assistance centers
180
2,237
2,255
1,247
184
22,000
346
1,350
13,500
100
3,000,000
$62,000,000
$252,000,000
64
$63,000,000
$135,000,000
340
226
18,000,000
1,200,000
1,021
448
426
728
491
1,228,000
1,958,000
Sources for data: Integrated Compliance Information System (ICIS); Criminal Case Reporting System; Comprehensive Environmental
Response, Compensation and Liability Information System (CERCLIS); Resource Conservation and Recovery Act Information
(RCRAInfo); Air Facility System (AFS); and Permit Compliance System (PCS) October 13, 2007.
APPENDIX A: NUMBERS AT A GLANCE
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&
*iaSg
'^gS^
of and
of
Environmental Justice
Office of the
Assistant Administrator
Facilities
En force me nt Office
Site Remediation Bt
Enforcement Staff
Planning, Prevention ft
Compliance Staff
Office of Criminal
Enforcement,
Forensies ft Training
Planning, Anah/sis,
8 Communications Staff
Propim Integrity (t
Quality Assurance Staff
tesoyrees Management
Staff
Criminal Infestiptbn Division
Homeland Seeuritv Division
—— Legal Counsel Dimsn
National Enforcement
invest! gattons Certer
Office of Ci¥ii Enforcement Office of Compliance
Special Litigption
8: Project! ibWoi
Divisien
m Chemleil
Enforcement Division
Air Enforcement Division
- Resource Management Staff
National Planning
m Analysis Stiff
Elforcem en t fi n |
ft Dati Division
Compliance Assessment 8:
Pro|rims OMston
Coiwpliaicefeessnient 8:
Sector Progmms Division
DMsion
National Enforcement
Tniiing institute:
Office
of Site
Enforcement
Program Operations Stiff
Policy B: Program
Evaluation Division
Reponal SippGrt D vision
Office
of
Federal Activities
NEPA Compliance Division
international Comfiianae
Division
Of flee of Administration
Administrative
Management DMsion
Budget ft Financial
Division
• Information Teclnology Di¥ision
Policv ft Lagislative
C@@rdinatbn Division
36
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE > FY2007 OECA. Accomplishments Report
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Office of Enforcement and Compliance Assurance 202-564-2440
Office of Compliance 202-564-2280
Office of Civil Enforcement 202-564-2220
Office of Criminal Enforcement, Forensics and Training 202-564-2480
Office of Environmental Justice 202-564-2515
Office of Federal Activities 202-564-5400
Office of Administration and Policy 202-564-2530
Office of Site Remediation Enforcement 202-564-5110
Federal Facilities Enforcement Office 202-564-2510
Press Inquiries 202-564-4355
Mailing Address:
U.S. Environmental Protection Agency
1200 Pennsylvania Ave.. NW (MC2201A)
Washington, DC 20460-0001
EPA
Violations!/
environmental violations at: www.epa.gov/tips
CONTACT Us
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EPA
En.tiron mental
Violations
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