U.S. ENVIRONMENTAL PROTECTION AGENCY REGION FIVE
1 N. Wacker Dr. Chica
The Enforcement Division
The primary activity of the Enforcement Division has been in the field
of water pollution. Dating back to the 1899 River and Harbor Act and up to
the most recent amendments, passed 1970, of the Federal Water Pollution Con-
trol Act, legislation and regulations have been available to the Federal
Government for the abatement of water pollution. With the enactment of new
legislation, specifically the Clean Air Act of 1970, and the Federal Insecti-
cide, Rodenticide, and Fungicide Act of 1970) the legislation and regulations
are now available for the Division to expand its activities into the field of
air pollution and pesticides, which it is doing.
The Division is composed of two branches: the Permits Branch and the
Enforcement Branch. These two branches pursue different aspects of the
Enforcement program so as to provide the greatest possible abatement of
pollution in the Great Lakes.
The Enforcement Branch, made up of the Technical Coordination Section,
the Legal Support Section, and the Water Quality Standards Section, has
primary responsibility for the preparation, review and initiation of enforce-
ment actions. An enforcement action is initiated for the purpose of improving
the level of treatment provided by municipalities and industries such that
water quality in the receiving stream or lake will be improved.
Under the Federal Water Pollution Control Act, as amended, two avenues
of enforcement are open to the Federal Government; enforcement conferences
and water quality standards. Each avenue is composed of three steps. The
first avenue, enforcement conferences, consists of the actual enforcement
conference, a Hearing Board, and referral for court action. At an enforce-
ment conference, conferees, who are representatives of the States concerned
and the Federal Government, meet to hear testimony and to establish time-
tables for the abatement of pollution. The recommendations of the conferees
are then submitted to the Administrator of the EPA for approval. Once approved,
the state time-tables established at the conference become federally enforce-
able. Those dischargers for which time-tables were established are then closely
monitored to ensure that they comply with the requirements.
A Hearing Board may be called by the Administrator if a discharger is
not in compliance with an enforcement conference requirement, and if the
State has not taken sufficient action to ensure compliance. The Hearing
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Board is, in effect, a trial at which the discharger and involved State and
Federal agencies present testimony. The conclusions reached by the members
of the Board are forwarded to the Administrator. Once issued by the Admin-
istrator, these requirements must be implemented.
If after a period of six months, significant progress has not been
made by the discharger toward implementation of the imposed requirements,
referral for the court action may be initiated by EPA through the efforts of
the Enforcement Branch.
In Region V, numerous sessions have been held on several enforcement
conference areas. These include the Lake Michigan Enforcement Conference,
the Lake Superior Enforcement Conference, the Lake Erie Enforcement Conference,
and the Twin Cities-Upper Mississippi River Enforcement Conference. There
have been no Hearing Boards called or resultant referral for court action
initiated in Region V, due primarily to the unwieldy and time-consuming
procedures required by the Water Pollution Control Act for these actions.
The second avenue of enforcement open to the Federal Government under
the Federal Water Pollution Control Act is the enforcement of approved water
quality standards. This avenue is also composed of three steps: the enforce-
ment of water quality standards, 180-Day Notices, and referral for court action.
The first step, federal enforcement of water quality standards, is actually a
two-part procedure. First, the States formulate water quality standards
according to the provisions of the Water Quality Act of 1965. These standards
are composed of three key elements: (l) the use to be made of a1 particular
stretch of water, (2) the water quality criteria which set limits on pollutants,
and (3) an implementation plan, i.e., a specific step-by-step plan for the
construction of waste treatment facilities by dischargers. The second part
of this procedure takes place once the State has formulated its water quality
standards and submits the package to the EPA regional office for review.
This review is made by the Water Quality Standards Section of the Enforcement
Branch, an Air and Water Division program assigned to the Enforcement Division
in Region V due to the interface between the review of standards and the
enforcement of standards. An evaluation is made of the three elements above,
their consistency with other waters, and the quality of water which they will
provide. After a recommendation is made by the Water Quality Standards Section,
the State's standards are sent to the Regional Administrator for approval.
Once approved by the Regional Administrator, the standards become federally
enforceable under the Water Pollution Control Act, as amended. The enforce-
ment of these standards become the responsibility of the Enforcement Branch.
Those dischargers for which standards were established are closely monitored
to ensure compliance with the approved standards.
If a discharger violates federally approved water quality standards,
a ISO-Day Notice may be initiated by the Enforcement Branch as the second
step in this particular avenue of enforcement. Notification is sent to the
discharger - and interested parties - informing the discharger that it is in
violation and that court action may follow if a voluntary program which will
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bring it into compliance with water quality standards is not adopted. Fol-
lowing notification, an informal hearing is held with the discharger, the
State and EPA at which EPA seeks to identify the problems and lay the
groundwork for further discussions with the violator leading to a program
of voluntary compliance.
If a program of voluntary compliance is agreed upon and approved,
close monitoring assures that the pollution abatement program is followed.
If agreement is not reached, or if the agreed upon program is not imple-
mented, referral to the U.S. Attorney for court action may be initiated by
the Enforcement Branch, thus completing the second avenue of enforcement
available under the Water Pollution Control Act.
Out of 96 180-Day Notices issued by the EPA across the nation,
approximately half of those have been issued in Region V. Fifty-six 180-Day
Notices were issued in Region V in its one and a half years in operation.
These include 180-Day Notices issued against the City of Detroit, the City
of Cleveland, 30 of Cleveland's suburbs, and Green Bay Metropolitan Sanitary
District.
Another avenue available for federal enforcement actions is under
the River and Harbor Act of 1899- Although this Act has in the past been
limited to discharges which become obstructive or hazardous to navigation,
recent court decisions have allowed a broader interpretation of the Act such
that discharge of any refuse matter (including all foreign substances and
pollutants, even oil; may be covered by the Act. This broader interpretation
has given the Federal Government a less cumbersome avenue for the abatement
of pollution than either avenue available under the Water Pollution Control
Act. Referrals for court action may now be made by the Enforcement Branch
for either criminal or civil proceedings under the 1899 River and Harbor
Act. Under civil action, the Enforcement Branch works with the Justice
Department to secure injunctive relief. This may be accomplished either by
a consent decree or a trial. Recently the EPA, through the Department of
Justice, brought a civil suit against Reserve Mining Company in Silver Bay,
Minnesota. A 180-Day Notice had been, issued against this company earlier and
an agreement was not reached. For that reason EPA initiated the present
action against the Company.
Also due in part to the recent broader interpretation of the 1899
River and Harbor Act, the Enforcement Branch has been able to initiate an
active program for the abatement of oil and hazardous material spills.
Upon notification of such a spill, an investigation is made by the District
Office. The data thus compiled is then reviewed in the Enforcement Branch
and, if sufficient evidence is available, the matter is referred to the U.S.
Attorney for prosection under criminal proceedings of the 1899 River and
Harbor Act.
A newer area into which the Enforcement Branch is extending is the
abatement of air pollution. Under the Clean Air Act of 1970, &H states must
submit plans for achieving and maintaining federal ambient air quality
standards. Once the state plan has been approved by the Administrator of
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EPA, Implementation of the State plan is enforceable by the Federal Govern-
ment. New Source Performance Standards are also being promulgated by EPA in
accordance with the Clean Air Act. If a new source is in operation and a
standard is violated, federal enforcement action may be initiated; an order
may be issued or injunctive relief may be sought. In the instance of a
hazardous emission, i.e., a pollutant which may cause or contribute to an
increase in mortality or a serious illness,, the Clean Air Act provides that
emission standards be promulgated. All new sources must be in compliance
as of the effective date of these regulations and all exisiting sources
have 90 days thereafter to come into compliance. If a violation of these
standards occurs, then an order may be issued or ±njunctive relief sought by
the Enforcement Branch.
Another new area in which the Enforcement Branch is extending is
with respect to the interstate shipment of pesticides which have not been
registered with EPA, as set forth in the Federal Insecticide, Hodenticide,
and Fungicide Act. When documentation of such an unregistered shipment is
obtained, it is evaluated by the Enforcement Branch for completeness and
then referred to the U.S. Attorney for prosecution.
The Enforcement Branch in Region V has been quite active, as evi-
denced by the 115 actions initiated in its first year and a half in operation.
An even stronger effort is envisioned to continue the improvement in the con-
trol and abatement of pollution in Region V.
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