U.S. Department of Justice
Office of Justice Programs
Bureau of Justice Statistics 

Special Report

November 1999, 175686

By John Scalia
BJS Statistician

Numerous Federal laws have been enacted to protect the
environment and wildlife.  In this report, this collection of
environmental laws comprises (1) environmental protection laws
that protect the safety and well-being of communities from
excessive and unnecessary emission of environmental pollutants
and (2) wildlife laws that protect endangered or threatened
species as well as migratory birds.  

As part of the framework of environmental laws and regulations,
the EPA has identified more than 700 substances as hazardous to
the environment.  Other substances -- through not hazardous --
may otherwise be considered environmental pollutants if
discharged into the Nation's waterways.   The U.S. Departments
of the Interior and Commerce have identified more than 1,500
species of wildlife as endangered or threatened. 

During 1997 Federal prosecutors filed in U.S. district courts
207 civil and 446 criminal enforcement actions for violations of
environmental law.

------------------------------------------------
Highlights

* During 1997 U.S. attorneys initiated criminal investigations
involving violations of environmental law against 952 suspects
-- 47% for an environmental protection offense and 53% for a
wildlife offense.

* More than a quarter of the 952 suspects investigated were
identified as organizations.

* Overall, U.S. attorneys declined to prosecute about half of
those investigated -- 70% of organizations and 46% of
individuals.

* Because many environmental statutes contain civil penalties,
U.S. attorneys can dispose of an environmental matter through
civil litigation.  Eleven percent of criminal referrals were
declined for prosecution in favor of a civil action.

Criminal enforcement

* During 1997, 446 defendants  were charged with a criminal
environmental violation -- 47% for the unlawful emission of a
hazardous substance or other pollutant and 53% for a wildlife
violation.

* About a quarter of the individuals convicted were sentenced to
a term 

of imprisonment.  The average term imposed was 21.5 months with
half sentenced to a year or less.

* The courts ordered 64% of those  convicted to pay a fine.  The
average fine imposed was $67,416.  Fines for environmental
protection offenses ($124,035) were higher on average than for
wildlife offenses ($2,710).

Civil enforcement

* During 1997, 207 cases were filed by the Federal government
charging a civil violation of environmental laws.  Almost all
involved environmental protection violations.

* 73% of civil enforcement actions were concluded following a
settlement (27%) or a consent agreement (46%).  Few (4%) cases
went to trial.

* As a result of civil litigation, the Federal government was
awarded an average of $2.5 million in the 74 cases with a reported
monetary award or settlement.

-----------------End of highlights------------

About half of defendants charged by U.S. attorneys with an
environmental protection offense violated the Clean Water Act;
15% violated the Clean Air Act (table 1).  

-------------------------------------------------------------------------------------
Table 1.  Federal environmental enforcement actions
initiated, by type of violation and enforcement action, 1997
 
                                    Type of enforcement action
Type of violation            Total    Administration  Civil/a  Criminal/b
 
    Total                     4,129       3,427         207      446
 
Environmental protection      3,842       3,427         204      211
Clean Air Act                   457         391          35       31
Clean Water Act               1,812       1,642          62      108
RCRA                            505         423          23       59
CERCLA                          391         305          82        4
TSCA                            191         185           0        6
Other                           486         481           2        3
 
Wildlife                        287          --           3      235
 
--Statistics not available.
a/Represents filing by U.S. Attorneys in U.S. district court only.  Statistics
describing
administrative actions for wildlife and conservation offenses were not
available.
b/Criminal actions include only those offenses classified as felonies or Class
A misdemeanors.
Source:  Administrative:  U.S. Environmental Protection Agency, Enforcement
and Compliance
Assurance Accomplishments Report, Fiscal Year 1997 (July 1998); Civil and
Criminal:
Administrative Office of the U.S. Courts, court docket data files, fiscal year
1997.
---------------------------------------------------------------------------------------------- 
 
Of the civil cases filed by U.S. attorneys, a third involved a Clean 
Water Act violation and a fifth, a Clean Air Act violation.  Of EPA
administrative actions, about 50% involved the Clean Water Act
and 11% the Clean Air Act.

For wildlife offenses 57% of criminal filings were Lacey Act
violations, offenses that apply to trade in exotic plants or
animals.  The same proportion was charged with migratory bird
violations as were charged with endangered species (including
eagle) violations.

Federal environmental laws provide U.S. attorneys the discretion
to initiate criminal or civil enforcement actions.  Of the 456
environmental cases declined prosecution, 11% were declined in
favor of a civil action.  U.S. attorneys often declined to
prosecute organizational defendants for criminal violations in
favor of civil sanctions.  

U.S. attorneys initiated 182 civil enforcement actions involving
organizations in U.S. district courts.  The average monetary
penalty imposed or settlement reached following the concluded
civil actions was almost $2.5 million.  The average criminal
fine imposed on organizations was about $308,000.

State environmental agencies and private citizens may also
enforce Federal environmental protection  standards.  State
environmental agencies initiated 10,515 administrative actions
involving environmental protection violations and made 379
judicial referrals.  Private citizens filed 642 suits in U.S.
district court alleging environmental violations -- 86% of these
suits concerned the emission of hazardous substances or other
environmental pollutants. 

Administrative enforcement actions

The U.S. Environmental Protection Agency (EPA) initiates the
majority of Federal enforcement actions.  Through 
administrative enforcement actions, the EPA may (1) require that
the violator comply with Federal environmental standards, (2)
suspend the violator's permit to discharge, and/or (3) assess a
penalty for noncompliance.  During 1997 the EPA initiated 3,427
administrative enforcement actions.

About half of administrative actions involved a violation of the
Clean Water Act; 12%, involved RCRA; 11%, the Clean Air Act; and
28%, violations of other statutes.

EPA imposed administrative penalties in 1,350 actions concluded
during 1997 (***footnote 1:  U.S. Environmental Protection
Agency, Enforcement and Compliance Assurance
Accomplishments Report, Fiscal Year 1997,
July 1998, p. 2.3.***) The total value of administrative penalties
assessed was $49.2 million.


---------------------------------
Federal environmental and wildlife 
protection acts
Environmental protection acts

Clean Air Act -- to prevent the 
deterioration of air quality. 
(42 U.S.C. Sec.s 7401-7491)

Clear Water Act -- to regulate the 
sources of water pollution. 
(33 U.S.C. Sec.s 1251-1376)

Comprehensive Environmental 
Response, Compensation, and 

Liability (CERCLA) --  to address the 
problem of abandoned hazardous 
waste sites. (42 U.S.C. Sec.s 9601-9675)

Resource Conservation and 
Recovery Act (RCRA) -- to protect 
human health and the environment 
from dangers associated with waste 
management. (42 U.S.C. Sec.s 6901-6992)

Toxic Substances Control Act 
(TSCA) -- to regulate chemical 
substances in which the public or
environment may become exposed.
(15 U.S.C. Sec.s 2601-2671)

Act to Prevent Pollution by Ships 
(APPS) -- to address the discharge 
of harmful substances into the 
oceans. (33 U.S.C. Sec.s 1901-1950)

Emergency Planning and Community 
Right to Know Act (EPCRA) -- to
protect the environment from pollu-
tion. (42  U.S.C. Sec.s 11001-11050)

Wildlife acts

Endangered Species Act (ESA) -- 
to conserve the various species of 
fish, wildlife, and plants facing extinc-
tion. (16 U.S.C. Sec.s 1531(b))

Bald and Golden Eagle Protection Act 
(BGEPA) -- to provide a program for 
the conservation of bald and golden 
eagles. (16 U.S.C. Sec.s 668)

Migratory Bird Treaty Act (MBTA) --
to protect migratory birds during their 
nesting season. (16 U.S.C. Sec.s 707)

Lacey Act -- to control the trade in of 
exotic fish, wildlife, and plants into the 
United States.  (16 U.S.C. Sec.s 3372)

Note:  For more detailed descriptions, 
see Appendix A, page 9.
-------------------------------------

In addition to administrative penalty orders, 
two other elements of EPA's enforcement policy 
are injunctive relief and supplemental environmental 
projects.  Injunctive relief is action required by 
EPA to eliminate noncompliance, correct environmental 
damage, and restore the environment to its original 
condition.  In 1997 EPA concluded 3,735 enforcement
actions that included injunctive relief (Table2).

-----------------------------------------------------------------
Table 2.  Administrative enforcement actions initiated by the U.S. 
Environmental Protection Agency, by type of violation, 1994-97
 
Type of violation            1994        1995      1996       1997
 
  Total                      3,544       2,969     2,171      3,427
 
Clean Air Act                  435         232       242        391
Clean Water Act              1,841       1,774       998      1,642
RCRA                           115          92       238        423
CERCLA                         264         280       234        305
FIFRA                          249         160        83        181
TSCA                           333         187       178        185
EPCRA                          307         244       198        300
 
Data source:  Administrative U.S. Environmental Protection Agency, 
Enforcement and Compliance Assurance Accomplishments Report, Fiscal 
Year 1997, July 1998.
-------------------------------------------------------------------- 
   
The total estimated value of injunctive relief orders 
was $1.9 billion.***footnote 2: Enforcement Compliance
Assurance, p.2.7.***

Supplemental environmental projects are extra actions 
taken by a violator to benefit the public or the 
environment.  In 1997 violators in 266 enforcement actions 
agreed to undertake environmental projects with a total 
value of $85.4 million.***footnote 3: Enforcement Compliance
Assurance, p. 2.8.***

Many Federal environmental protection laws permit delegation 
of enforcement to States that have environmental laws and
regulations at least equivalent to Federal law.  In 1997 State
environmental agencies initiated 10,515 administrative actions
and made 379 referrals to State courts involving environmental
protection violations.***footnote 4: Enforcement Compliance 
Assurance, p. 2.6.***

Investigations by U.S. attorneys

During 1997 U.S. attorneys and attorneys from the Environment
and Natural Resources Division of the U.S. Department of Justice
initiated investigations of 952 individuals and organizations
suspected of an environmental offense (table 3).  

----------------------------------------------------------------------------------------
Table 3.  New matters involving violations of Federal environmental law
referred to U.S. attorneys for investigation, by type of violation, 1994-97
 
Type of violation                     1994        1995      1996       1997
 
   Total*                              936         986       909        952
 
Environmental protection               455         493       493        445
Act to Prevent Pollution by Ship         3           0         8          0
Clean Air Act                           40          56        59         58
Clean Water Act                        201         230       261        227
RCRA                                   160         172       136        143
CERCLA                                  20          15        12          5
TSCA                                    14           5         8          7
Other                                   17          15         9          5
 
Wildlife                               481         493       416        507
Bald and Golden Eagle
Protection Act                          43          44        29         18
Endangered Species Act                  49          74        44         63
Lacey Act                              241         241       158        251
Migratory Bird Treaty Act              132         113       175        168
Other                                   16          21        10          7
 
*Criminal actions include only those offenses classified as felonies or Class
A misdemeanors.
Data source:  Executive Office for U.S. Attorneys, central system data file,
annual.
--------------------------------------------------------------------------------------- 
 
About equal proportions were investigated for environmental 
protection violations as for wildlife violations.  About half the
investigations of the environmental protection offenses dealt
with a violation of the Clean Water Act, and a third, the
Resource Conservation and Recovery Act (RCRA).  About half of
wildlife offenses involved a violation of the Lacey Act, and a
third, the Migratory Bird Treaty Act.

Pursuant to Federal law, organizations can be held liable and
prosecuted for the actions of their employees and agents.5 
During 1997 U.S. attorneys initiated investigations involving
possible violations of Federal environmental law against 260
organizational defendants (not shown in a table).  

About three-quarters of organizational defendants were
investigated for an environmental protection violation.  More
than half of the 200 organizations investigated were suspected
of violating the Clean Water Act; a fourth were suspected of a
RCRA violation.

Of the 60 organizations investigated for a wildlife offense,
half were suspected of violating the Lacey Act and a third  the
Endangered Species Act.

About half of the 871 investigations concluded by U.S. attorneys
during 1997 that involved a possible environmental offense were
declined for criminal prosecution (not shown in a table). 
Environmental protection violations were declined prosecution
more often -- 61% declined -- than wildlife violations (41%).
5 See 33 U.S.C. $ 1362(5).

In matters involving both environmental and wildlife violations,
U.S. attorneys declined to prosecute organizations more often
than individuals.  U.S. attorneys declined to prosecute 70% of
organizations investigated for an environmental protection
offense and 67% of those investigated for a wildlife offense. 
By contrast, U.S. attorneys declined to prosecute 55% of
individuals investigated for an environmental protection offense
and 38% for a wildlife offense.

In a quarter of the cases declined for prosecution, the U.S.
attorneys concluded that either no Federal offense had been
committed (9%) or the suspect lacked culpability (16%) 
(table 4).  

-------------------------------------------------------------------
Table 4.  Reason for declined criminal prosecution of environmental
violations, by U.S. attorneys, 1994-97
 
Reason for declination                     Number      Percent
 
   Total*                                  1,949         100 %
 
No crime                                     521          27 %
No Federal offense                           177           9
No culpability                               344        17.7
 
Referred or handled in other prosecution     320        16.4 %
Transferred                                   12           1
Prosecuted by other authorities              220        11.3
Prosecuted on other charges                   88         4.5
 
Alternative resolution                       206        10.6 %
Civil or administrative                      170         8.7
Pretrial diversion                            36         1.8
 
Case-related reasons                         432        22.2 %
Stale case                                    22         1.1
Weak evidence                                390          20
Jurisdiction or venue problems                20           1
 
All other reasons                            469        24.1 %
Minimal Federal interest                      85         4.4
Agency request                               107         5.5
Lack of resources                            110         5.6
U.S. attorney policy                          29         1.5
Suspect-related reasons                       46         2.4
Other                                         92         4.7
 
*Criminal actions include only those offenses classified as felonies 
or Class A misdemeanors.
Data source:  Executive Office for U.S. Attorneys, central system data 
file, annual.
---------------------------------------------------------------------- 
 
The U.S. attorney referred the matter to other authorities
in 14% of the cases, transferred the case to another U.S.
attorney (11%), or prosecuted the suspect on other charges (3%).
In 11% of the cases U.S. attorneys declined criminal
prosecution in favor of a civil or administrative action.

Criminal enforcement actions
Defendants charged

Between 1994 and 1997 the number of defendants charged with a
criminal environmental offense ranged from a low of 343 during
1994 to a high of 546 during 1995 (table 5).  This rise was
primarily attributable to defendants charged with environmental
protection offenses whose number increased  from 127 to more
than 200 during 1995-97.

----------------------------------------------------------------------
Table 5.  Defendants charged with criminal violations of Federal
environmental law in U.S. district courts, by type of offense, 1994-97
 
                                                Defendants charged
Type of offense                       1994        1995      1996       1997
 
    Total*                             343         546       511        446
 
Environmental protection               127         234       203        211
Act to Prevent Pollution by Ship         0          12         8          2
Clean Air Act                           19          36        40         31
Clean Water Act                         52          88        97        108
RCRA                                    31          34        37         59
CERCLA                                  11          15         4          4
TSCA                                     6           6        12          6
Other                                    8          43         5          1
 
Wildlife                               216         312       308        235
Bald and Golden Eagle
Protection Act                          30          25        28         22
Endangered Species Act                  30          48        43         25
Lacey Act                              101         174       123        134
Migratory Bird Treaty Act               47          58        97         50
Other                                    8           7        17          4
 
*Criminal actions include only those offenses classified as felonies
or Class A misdemeanors.
Data source:  Administrative Office of the U.S. Courts, criminal
master file, annual.
---------------------------------------------------------------------------- 

By contrast, the number of defendants charged with a wildlife
offense decreased from a high of 312 during  1995 to 235 during
1997.


During 1997 about half were charged with an environmental
protection offense and about half with a wildlife offense.

More than half of the environmental protection offenses
involved a violation of the Clean Water Act; 28% a violation
associated with waste management (RCRA); 15% a violation of the
Clean Air Act; and the remainder, violations of other statutes.

More than half of wildlife offenses involved a violation of
the Lacey Act; 21% a violation of the Migratory Bird Act (MBTA);
20% a violation of Endangered Species Act or Bald and Golden
Eagle Protection Act; and the remainder involved other wildlife
statutes.

Seventeen percent of those charged were identified as organizational
defendants (not shown in a table).  Most organizations (87%) were
charged with an environmental protection violation.

 
Outcome of criminal proceedings

Eighty-five percent of defendants charged with a criminal
environmental offense and whose cases were concluded during
1997 were convicted (not shown in a table).  Most (91%) of
those convicted pleaded guilty.  The court dismissed charges
against 16% of defendants charged with a wildlife offense.   

Sixty-four percent of defendants convicted of an environmental
offense were ordered to pay a fine -- either alone (14%) or with
a sentence of imprisonment (9%) or probation (41%) (table 6).

--------------------------------------------------------------
Table 6.  Fines imposed on defendants convicted of a criminal
violation of Federal environmental law in U.S. district courts,
by type of offense, 1997
 
                                          Fines imposed
Type of violation                   Total     Mean      Median
 
   Total*                            225     $67,416    $1,000
 
Environmental protection             120     124,035     2,500
Clean Air Act                         20       2,734       243
Clean Water Act                       61     183,681     5,000
RCRA                                  29     123,849     3,000
Other                                 10       3,335     2,000
 
Wildlife                             105       2,710     1,000
Bald and Golden Eagle
Protection Act                        11         928       500
Endangered Species Act                 8          --        --
Lacey Act                             66       2,773     1,000
Migratory Bird Treaty Act             18       1,155       625
Other                                  2          --        --
 
*Criminal actions include only those offenses classified as felonies or 
Class A misdemeanors.
---Not calculated, too few cases.
Data source:  Administrative Office of the U.S. courts, criminal master 
file, annual.
------------------------------------------------------------------------ 
 
The average fine imposed was $67,416; half were ordered to pay a
fine of $1,000 or less.

About 68% of defendants convicted of an environmental protection
offense and 60% of those convicted of a wildlife offense were
ordered to pay a fine.  Fines imposed for environmental protection
offenses were $124,035 on average, compared to $2,700 for wildlife
offenses.

Ninety-four percent of organizational defendants and 59% of
individual defendants were ordered to pay a fine (not shown in a
table).  Fines imposed on organizations were $308,000 on
average, compared to $8,000 for individuals.

About a quarter of the individuals convicted of an environmental
offense were sentenced to a prison term (table 7).  


------------------------------------------------------------------------ 
Table 7.  Prison sentences imposed on defendants convicted
of criminal violations of Federal environmental law
in U.S. district court, by type of offense, 1997

----------------------------------------------------------------- 
                                       Sentence to prison
Type of offense                    Total     Mean      Median
 
   Total*                           78       22 mo      12 mo
 
Environmental protection            54       18 mo      12 mo
Clean Air Act                        8       --         --
Clean Water Act                     22       16         12
RCRA                                17       27         15
Other                                7       --         --
 
Wildlife                            24       30 mo      11 mo
Bald and Golden Eagle
Protection Act                       4       --         --
Endangered Species Act               0       --         --
Lacey Act                           18       35         12
Migratory Bird Treaty Act            1       --         --
Other                                1       --         --
 
*Criminal actions include only those offenses classified as felonies or
Class A misdemeanors.
--Not calculated, too few cases.
Data source:  Administrative Office of the U.S. Courts, criminal master 
file, annual.
----------------------------------------------------------------------- 
 
Those convicted of an environmental protection offense were sentenced
to prison almost twice (36%) as often as those convicted of a
wildlife offense (19%).  Half of each received a sentence of a
year or less in prison.  However, because the average
sentence for Lacey Act offenses was almost 3 years, the average
prison term for wildlife offenses (30 months) was greater than
for environmental protection offenses (18 months).

Sixty-two percent of those convicted -- including 54% of
organizations -- were sentenced to a term of probation (not
shown in a table).

Civil enforcement actions

Cases filed 

During 1997, U.S. attorneys filed 207 cases charging a civil
violation of environmental law (table 8). 

----------------------------------------------------------------------------
Table 8.  Cases filed in U.S. district court charging a civil violation
of Federal environmental law, 1994-97
 
                                  Filed cases charging a civil violation
Type of violation                  1994       1995       1996      1997
 
    Total                           209        207        220       207
 
Environmental protection            199        200        211       204
Clean Air Act                        45         35         56        35
Clean Water Act                      80        $74        $72        62
CERCLA                               60         66         61        82
RCRA                                 13         25         21        23
Other                                 1         --          1         2
 
Wildlife                             10          7          6         3
 
National Environmental Policy        --         --         3         --
 
--Not calculated, too few cases.
Data source:  Administrative Office of the U.S. Courts, civil master file,
annual.
-------------------------------------------------------------------------------- 
 
Almost all (99%) involved the emission of environmental 
pollutants: 40% a Comprehensive Environmental Response, 
Compensation, and Liability (CERCLA) violation; 30% a Clean 
Water Act violation; 17% a Clean Air Act violation; and 
12% other statutory provisions.

The number of cases involving civil violations of environmental
law has remained stable between 1994 and 1997 -- averaging about
210 case filings per year (table 9).  

---------------------------------------------------------------
Table 9.  Disposition of cases concluded in U.S. district court
charging a civil violation of Federal environmental law, 1997
 
                           Concluded cases charging a 
                           civil violation, 1997
Method of disposition        Number   Percent
 
   Total                      198       100 %
 
Consent decree                 91        46 %
Settlement                     53      26.8
Dismissal                      25      12.6
Summary judgment                8         4
Trial                           8         4
Other                          13         7
 
Data source:  Administrative Office of the U.S. courts, 
civil master file, annual.
------------------------------------------------------------ 
 
The types of violations charged by U.S. attorneys continue to be 
primarily Clean Air, Clean Water, and CERCLA violations.

Outcome of civil proceedings

During 1997, 198 civil enforcement actions were concluded in
U.S. district courts.  About half these actions
followed a consent decree between the U.S. attorney, the
defendant(s), and the district court.  About 27% of the cases
were settled out of court; 13% were dismissed; in 4% a summary
judgment was filed; 4% were disposed of following a trial; and
7% were disposed of by other means.

A majority of the cases were disposed of in favor of the
Government.  Of the 115 cases for which a judgment was reported
by the courts, the Government prevailed in 77% of the cases; the
defendant prevailed in less than 3%; and in 20% both prevailed
in part (not shown in a table).  

In 65% of the 83 cases for which a judgment was not reported, a
settlement was reached or a consent decree was entered into while 
the remainder were dismissed.

A monetary award or settlement was reported for 74 cases (table 10). 

------------------------------------------------------------------
Table 10.  Monetary award/settlement in cases
concluded  in U.S. district court charging a civil
violation of Federal  environmental law, 1997
 
                             Cases with a monetary award/settlement
Type of violation             Total        Mean         Median
 
Total                           74      $2,454,447     $287,500
 
Environmental protection        74       2,454,447      287,500
Clean Air Act                   15         520,039      275,000
Clean Water Act                 24       2,877,190       98,927
CERCLA                          22       1,815,722      440,000
RCRA                            12         5402087       279800
Other                            1              --           --
Wildlife                         0              --           --
 
--Not calculated, too few cases.
Data source:  Composite, See Methodology.
------------------------------------------------------------------- 
 
The average monetary award was about $2.5 million; the
median award was $287,500.  Cases involving RCRA violations
resulted in the  largest monetary awards -- $5.4 million, on
average.

----------------------------------------------------------------------
Citizen suits

In addition to criminal and civil enforcement actions by the
Federal Government, private parties may bring environmental
suits in U.S. district courts.  Private suits may be brought
against violators of the Clean Air Act, the Clean Water Act,
CERCLA, and RCRA. (33 U.S.C. Sec. 1365; 42 U.S.C. Sec. 6991e, 7604,
9659, and 11046.)  Under RCRA and CERCLA, suits may be brought
against owners or operators of treatment, storage, or disposal
facilities or contributors to the storage, treatment,
transportation, or disposal of any solid or hazardous waste that
may present an imminent and substantial danger to health or the
environment.

The number of private suits involving environmental issues
increased from 576 cases in 1994 to 642 cases in 1997 (table). 
Most (86%) of the private environmental cases brought between
1994 and 1997 involved the emission of hazardous substances or
other environmental pollutants.  Few involved wildlife.  Filing
of cases that involved the National Environmental Policy Act
began during 1996.  

Forty-six percent of the environmental protection cases
litigated between 1994 and 1997 involved the Clean Water Act; 
27% CERCLA; and 23% RCRA.  Few cases (4%) involved the Clean 
Air Act.

In about a third of the private suits filed during 1997, the
U.S. Government was named as a defendant (not shown in a table).
In 44% of the cases with the Federal Government as the
defendant, the statutory provision litigated was the National
Environmental Policy Act; in 25%, the Clean Water Act.

During 1997, 649 private environmental suits were concluded in
U.S. district courts.  About 33% of the suits concluded were
settled out of court; 15% were disposed of by the court
following a consent decree between the parties; 17% resulted in
a summary judgment; 29% were dismissed; 2% were disposed of
following a trial; and 5% were disposed of by other means (not
shown in a table).

In the 243 cases for which a judgment was reported by the
courts, the plaintiff and the defendant prevailed at nearly equal 
rates: in 38% of the cases the plaintiff prevailed; in 42% the 
defendant; and in 20% both prevailed (not shown in a table).  In 
the 406 cases for which a judgment was not reported, 52% were settled 
out of court and 46% were dismissed.


Citizen suits filed in U.S. district court charging civil violations
of environmental laws, 1994-97
 
Type of violation                  1994       1995       1996      1997
 
     Total                          576        584        658       642
 
Environmental Protection            540        548        536       496
Clean Air Act                        19        $21        $16        28
Clean Water Act                     223        254        249       242
CERCLA                              157        142        132       130
RCRA                                133        127        136        94
Other                                 8          4          3         2
 
Wildlife                             36        $36        $24        27
 
National Environmental Policy Act     --        --         98       119
 
--Not calculated, too few cases.
Source:  Administrative Office of the U.S. Courts, criminal master file,
annual.
--------------------------------------------------------------------------------- 
 
Methodology

The source of data for tables presented in this report is the
BJS Federal Justice Statistics Program (FJSP) database.  The
FJSP database is comprised of data provided by the
Administrative Office of the U.S. Courts, the Executive Office
for U.S. Attorneys, the U.S. Sentencing Commission, and the
Federal Bureau of Prisons.

The unit of analysis in tables describing criminal actions is a
suspect or defendant, where applicable.  Each defendant in each
case is presented.  The unit of analysis in tables describing
civil actions is the case.  Multiple parties may be represented
in each civil case. Records of environmental offenses were
identified using a set of 102 statutory provisions describing
civil and criminal environmental violations.  A record was
included in the analysis if any of the statutes charged was one
of the environmental offenses identified.

Excluded from this analysis are -- (1) environmental offenses
prosecuted under general statutes such as 18 USC Sec.s 1001 (false
statements) and 1341 (mail fraud); and (2) offenses charging
Class B and C misdemeanors.  Among Class B and C misdemeanors
excluded are those offenses involving the unlawful harvesting of
timber on government lands and the unlawful hunting of migratory
birds.  Because these offenses involve lesser penalties, many of
the defendants charged with these offenses were adjudicated
before a U.S. magistrate and were ordered to pay fines.  Limited
information describing cases adjudicated by U.S. magistrates is
available from the Federal judiciary and the U.S. attorneys. 
During 1997 U.S. attorneys investigated more than 300 persons
for a timber violation and more than 2,000 were charged with a
"hunting, fishing, or camping" violation.

In its report Judicial Business of the U.S. Courts, the
Administrative Office of the U.S. Courts reports that 1,120,
1,081, 1,131, and 958 civil cases involving environmental issues
were commenced during 1994, 1995, 1996, and 1997, respectively. 
Of the 4,290 total cases reported by the Administrative Office
as environmental matters from 1994 to 1997, 282 (or 6.6%) did
not have a statutory citation and were excluded from the
analysis.  

Cases in which the statutory citation recorded did not identify
a substantive violation, such as the Clean Water Act, were also
excluded.  These cases were primarily private suits.

The monetary awards or settlements in table 10 were generated
using a composite of data provided by the Administrative Office
of the U.S. Courts and the Executive Office for U.S. Attorneys.


Appendix A:  Federal legislation protecting the environment

The Clean Air Act was enacted to prevent the deterioration of
air quality. (42 U.S.C. Sec.s 7401-7491.)  The Clean Air Act vests
the EPA with the authority to control the emissions of
pollutants from sources that cause or contribute to air
pollution or could endanger human health.  Substances identified
as air pollutants include ozone, lead, sulfur dioxide, carbon
monoxide, nitrogen dioxide, and particulate matter.  Offenses
include violating performance standards, violating emissions
standards, releasing hazardous air pollutants in disregard of
emission standards, making false statements in required
documents, and tampering with required monitoring devices. (42
U.S.C. Sec.s 7413, 7414, 7420, and 7524.)

The Clean Water Act was enacted to restore and maintain the
integrity of the Nation's waters and to regulate the sources of
water pollution. (33 U.S.C. Sec.s 1251-1376.)  Pursuant to the
Clean Water Act, the discharging of pollutants into the
navigable waters of the United States  including filling
wetlands  requires a permit.  Offenses include the unpermitted
discharge of any pollutant into a waterway, discharging
pollutants into a public waste water treatment facility in
violation of pretreatment standards, failing to report the
discharge of a reportable quantity of a hazardous substance,
making false statements in required documents, and tampering
with required monitoring devices. 
(33 U.S.C. Sec.s 1319 and 1321.)

The Comprehensive Environmental Response, Compensation, and
Liability Act (CERCLA) addresses the problem of abandoned
hazardous waste sites  specifically the clean-up of these waste
sites. CERCLA also contains provisions that regulate
uncontrolled releases of hazardous substances into the
environment. (42 U.S.C. Sec.s 9601-9675.)  CERCLA requires the
notification of the Federal National Response Center when a
there has been a release of a reportable quantity of a hazardous
substance.

Offenses include failing to notify of the release of a
reportable quantity of a hazardous substance, destroying or
making false statements on required documents.  (42 U.S.C. Sec.
9603.)

The Resource Conservation and Recovery Act (RCRA) was enacted to
protect human health and the environment from the dangers
associated with waste management and disposal and to encourage
the conservation and recovery of natural resources through
reuse, recycling, and waste minimization. (42 U.S.C. Sec. 6902.) 
RCRA requires cradle-to-grave management of hazardous waste by
imposing requirements on generators and transporters of
hazardous waste as well as storage, treatment, and disposal
facilities (42 U.S.C. Sec.s 6901-6987.)  Offenses include knowingly
transporting hazardous waste to an unpermitted facility,
transporting hazardous waste without the required manifest,
treating, storing of disposing of hazardous waste without a
permit or in violation of a permit, making false statements in
required documents, exporting hazardous waste to another country
without its consent or in violation of an international
agreement. (42 U.S.C. Sec. 6928.)

The Toxic Substances Control Act (TSCA) regulates chemical
substances to which the public or environment may become
exposed.  TSCA authorizes the  EPA to prohibit the manufacture,
processing, or distribution of a substance, prohibit certain
uses of a substance, or regulate the disposal of certain
substances. (15 U.S.C. Sec.s 2601-2671.)  Offenses include failing
to place warning labels on products containing certain hazardous
substances or mixtures, improper storage or disposal of certain
hazardous substances, and failing to maintain proper records
regarding the removal, storage, or disposal of certain hazardous
substances. (15 U.S.C. Sec.s 2614-2615.) 

The Act to Prevent Pollution by Ships (APPS) implements the
International Convention for the Prevention of Pollution of
Ships. (33 U.S.C. Sec.s 1901-1950) The international convention 
addresses the discharge of oil, noxious liquids, harmful substances 
carried in packaged form, sewage, and garbage into the oceans.  
Pursuant to APPS, seagoing ships are prohibited from disposing of  
plastics anywhere in the oceans, disposing of dunnage and other 
packing material within 25 miles of nearest land, and disposing of 
food materials within 12 miles. (33 U.S.C. Sec.s 1907-1908.)

Emergency Planning and Community Right to Know Act (EPCRA)  
was enacted to ensure that emergency response officials are
cognizant of hazardous substances in communities (42 U.S.C. Sec.s
11001-11050).  EPCRA requires facilities handling hazardous
substances to submit a chemical inventory to State and local
emergency planning units.  In the case of accidental releases,
EPCRA requires operators to notify emergency planning units. 
Failure to notify officials of hazardous substances may result
in civil penalties.  Failure to notify of a release of involving
an "extremely hazardous substance" is a felony offense. 
Extremely hazardous substances are identified at 40 CFR Part 355.

Other laws enacted to protect the environment from pollution
include the Rivers and Harbors Act, the Safe Drinking Water Act,
the Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA),
the Hazardous Materials Transportation Statute, the National
Environmental Policy Act and the Marine Protection Research and
Sanctuary Act.

Appendix B:  Federal legislation protecting wildlife

The Endangered Species Act implements international agreements
designed to conserve, to the extent practicable, the various
species of fish, wildlife, and plants facing extinction.  The
ESA provides a means whereby the ecosystems upon which
endangered species and threatened species depend may be
conserved and provides a program for the conservation of 
"endangered" and "threatened" species. (16 U.S.C. Sec. 1531(b).) 
More than 1,500 species have been identified as endangered or
threatened by the departments of the Interior and Commerce.  (50
C.F.R. Sec. 17.11-12, 17.95-96.)  Endangered species are species
that are in danger of extinction throughout all, or a
significant part, of their range; threatened species are species
that are likely to become endangered in the foreseeable future.
(16 U.S.C. Sec. 1532.)  Pursuant to the ESA, it is unlawful for any
person subject to the jurisdiction of the United States to
"take," import, sell, or ship endangered or threatened wildlife.
 (16 U.S.C. Sec.s 1538 and 1540.)  (Taking includes conduct other
than killing such as harassing, harming, and pursuing.) 

The Bald and Golden Eagle 
Protection Act (BGEPA) addresses the importance of the bald
eagle as a symbol of America. (Pub. L. 86-70 Sec. 1, 54 Stat 250
(1940).)  Like the Endangered Species Act (which was enacted
more than 30 years after the BGEPA), the BGEPA provides a
program for the conservation of bald and golden eagles.

Pursuant to the BGEPA, it is unlawful to take, possess, or 
sell any bald or golden eagle or any part, nest or egg, except 
pursuant to a permit or regulation.  (16 U.S.C. Sec. 668.)

The Migratory Bird Treaty Act (MBTA) implements a 1916 treaty
between the United States and Great Britain (on behalf of
Canada)  and later to include Mexico, Japan, and Russia  that
protects migratory birds.  (16 U.S.C. Sec. 703.)  Pursuant to the
MBTA, it is unlawful to take, import, export, sell, or ship any
migratory bird without first receiving a permit.  (16 U.S.C. Sec.
707.)  Migratory bird hunting regulations establish designated
hunting seasons and place limits on the number of birds taken. 
Protected birds include various groups of waterfowl, cranes,
rails, shorebirds, and song birds.  (50 C.F.R. Sec.s 10.13 and
20.11.)

The Lacey Act is used to control the smuggling and trade in
illegally taken fish and wildlife.  It also regulates the
transportation of live wildlife, requiring that animals be
transported into the United States under humane and healthful
conditions.  Enacted in 1900, the Lacey Act prohibits the
import, export, transportation, sale, acquisition, receipt, or
purchase of wildlife taken, possessed, transported, or sold in
violation of U.S., State, tribal, or foreign law.  (16 U.S.C. Sec.
3372.)


The Bureau of Justice Statistics
is the statistical agency of
the U.S. Department of Justice.  
Jan M. Chaiken, Ph.D., is director.

BJS Special Reports address a 
specific topic in depth from one
or more data sets that cover many 
topics.  

John Scalia wrote this report.  Carol 
DeFrances and Marika Litras of the 
Bureau of Justice Statistics provided 
statistical review.  Raymond Mushal, 
Senior Counsel in the DOJ Environ-
mental Crimes Unit, and John T. 
Webb, Assistant Chief of the Wildlife
and Marine Resources Section, 
provided substantive comments. 
Tom Hester and Tina Dorsey  
produced and edited the report. 
Jayne Robinson prepared the report 
for publication.

November 1999, NCJ 175686

Data from the Federal Justice Statistics
Programs are by the Bureau of Justice Statistics.
Data can be obtained on CD-ROM from he Bureau of
Justice Statistics Clearinghouse, 1-800-732-3277
or from the Federal Justice Statistics Resource
Center located on the Internet at 
http://fjsrc.urban.org.  The Resource Center, as well
as the report and supporting documentation, are also
accessible through the BJS web site: 
http://www.ojp.usdoj.gov/bjs/

ih  11/26/99