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EPA Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Message from the Assistant Administrator

It is my pleasure to share with you the annual report for EPA’s national enforcement and

compliance assurance program, which highlights the strides we’ve made in targeting

significant environmental risks through our use of a full set of enforcements tools,

incentives, and compliance assistance. Our accomplishments during fiscal year 1999 (FY99),

and our record for the last seven years, show that we have built a strong and aggressive

enforcement program that has achieved significant environmental results, while also

providing compliance assistance to both large and small businesses and offering real

incentives to bring violators into compliance.

The goal of our program is to provide a credible deterrent to pollution and greater

compliance with the law. In FY99, we strengthened our program by expanding, in

consultation with the states and our stakeholders, innovative approaches to compliance and

enforcement. By providing assistance designed to prevent violations, offering incentives to

motivate compliance, and conducting monitoring and taking enforcement actions to identify

and correct violations and deter others, we have obtained continuous improvement in compliance with standards, permits,

and regulatory requirements. Our approach has resulted in mitigated environmental risks, better environmental management

at regulated facilities, and public demands for environmental information being met.

In introducing our Annual Report on Enforcement and Compliance Assurance Accomplishments in 1999, I would like to

highlight a few of our diverse accomplishments over the past year. Enforcement actions concluded in FY99 will reduce over

6.8 billion pounds of pollutants. Additionally, polluters were required to spend a record $3.4 billion to correct violations

and take steps to protect the environment. We also achieved a record $236.8 million in environmentally beneficial projects.

A record $166.7 million in civil penalties was assessed, including the largest Clean Air Act settlement in history against

seven diesel engine manufacturers who used illegal devices to disable their emission control systems. This case alone will

result in 75 million tons of nitrogen oxide reductions over the next quarter century. We took 3,935 civil judicial and

administrative enforcement actions in 1999, the highest number of civil actions taken over the last three years.

Our strong criminal enforcement program reflects our goal of punishing those who callously disregard our nation’s

environmental laws and who put the public at serious risk when they do so. Most significantly in 1999, a record 208 years

of jail time was imposed on criminal defendants. This increase in sentences is extremely important as a deterrent to others.

A prison sentence is personal–it’s not a cost of business that can be passed onto the consumer.

In FY99, we improved environmental compliance by offering a variety of incentives programs to small and large businesses.

For example, we encouraged companies with multiple facilities to take advantage of EPA’s Audit Policy to conduct

corporate-wide audits. One such agreement is expected to eliminate 700 tons of air pollutants annually. We also offered an

extensive set of compliance assistance tools to help businesses and communities nationwide comply with environmental

requirements, including “plain English” guides to environmental requirements, translations of requirements in several

languages, sector notebooks, and national Compliance Assistance Centers. In FY99, we added five new Centers, bringing

the total to nine industry-specific, Internet-based Centers that are up and running.

These are but a few of the accomplishments that illustrate the success of our enforcement and compliance program in FY99.

We are proud of these activities and grateful for the dedication of our staff, as well as that of states, tribes, local

governments, and stakeholders. As we enter the 21st century, we will continue to work with states and stakeholders to

foster and refine our efforts to ensure compliance with the nation’s environmental laws. In doing so, we strive to achieve

our goal of protecting all Americans from threats to our health and the environment.

Sincerely,

Steven A. Herman

Assistant Administrator

Office of Enforcement and Compliance Assurance

U.S. Environmental Protection Agency

August 21, 2000
Annual Report on Enforcement and EPA Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Table of Contents

List of Acronyms

1. Introduction ............................................................................................................................... 1

Our Mission: Protecting Human Health and the Environment .......................................... 1

Addressing Environmental Risks Using a Problem-Solving Approach ............................... 1

Our Priorities in 1999 .......................................................................................................... 2

Measuring Our Performance .............................................................................................. 3

2. Achievements in 1999 ............................................................................................................ 4

Reducing Pollution .............................................................................................................. 4

Investing in Environmental Protection ................................................................................ 5

Benefits to Local Communities (Supplemental Environmental Projects) ........................... 8

Addressing Significant Noncompliance .............................................................................. 9

Monitoring Compliance ....................................................................................................... 9

Compliance Incentives ....................................................................................................... 11

Compliance Assistance ...................................................................................................... 11

Protecting Environmental Resources Under the National Environmental Policy Act (NEPA) ...... 13

The National Performance Measures Strategy ................................................................ 14

Compliance Measurement Grants .................................................................................... 15

3. Addressing Environmental Problems Through the Integrated Use of Tools ............. 17

Using Integrated Approaches ........................................................................................... 17

3.A. Maintaining a Strong Enforcement Presence Through Compliance

Monitoring ......................................................................................................... 18

Targeting .............................................................................................................. 18

Investigations and Inspectations .......................................................................... 19

Protecting the Environment and Your Health Through Compliance

Monitoring Activities............................................................................................ 20

Citizen Complaints ............................................................................................... 21

Data Assessments and Enhancements................................................................ 23

3.B. Protecting the Environment Through Enforcement ................................... 24

Increasing Effectiveness of Civil Enforcement ................................................... 24

Environmental Results ......................................................................................... 25

Improving the Environment Through Enforcement Actions ................................ 25

CERCLA Enforcement Accomplishments.......................................................... 29

3.C. Promoting Compliance Through Assistance ............................................... 31

Promoting Positive Change Through Compliance Assistance Centers ............... 32

Improving Compliance Through Access to Information ...................................... 33

Getting Results Through Assistance .................................................................... 34

ii 
EPA Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

i

Table of Contents (continued)

3.D. Bringing Companies Into Compliance With Incentives ............................ 37

Encouraging Self-Disclosure Through EPA’s Audit Program ............................. 37

Improving Compliance Through Voluntary Corporate-Wide Auditing

Agreements ......................................................................................................... 37

Corporate-Wide Auditing Results in Environmental Protection ........................... 39

Appendix A Priority Industry Sectors

Appendix B Historical Enforcement Data

Exhibits

1. Twenty Pollutants with the Largest Reductions Reported for FY99 EPA

Enforcement Settlements ........................................................................................................ 4

2. Compliance Activities Resulting from FY99 Criminal Investigations/Resolutions ................... 4

3. FY99 EPA Case Initiations and Conclusions by Statute ......................................................... 5

4. EPA Civil Referrals to DOJ Since FY73 ................................................................................. 6

5. EPA Criminal Enforcement: Major Outputs FY97 to FY99 ................................................... 6

6. EPA Criminal Program: Growth and Maintenance of Key Outputs Since FY83 .................... 6

7. EPA APO Complaints by Statute ............................................................................................ 6

8. Value of Injunctive Relief: FY97-FY99 ................................................................................. 6

9. FY99 Enforcement Actions: Summary of Injunctive Relief by Statute .................................. 7

10. EPA Enforcement Penalties Since 1990: By Year and Type................................................... 7

11. Dollar Value of FY99 Enforcement Actions by Statute (% of FY99 Total) ............................ 7

12. Use of SEPs in Settlement of Formal Enforcement Actions: FY95 to FY99 .......................... 8

13. Addressed/Resolved Significant Noncompliance (SNC) Rates ............................................... 8

14. National Averages of Two-Year Recidivism Rates .................................................................. 9

15. National Totals - Time for Facilities Returning from SNC in FY99 ........................................ 9

16. FY99 Inspections - National Totals ........................................................................................ 9

17. FY99 Facilities Inspected (Coverage) by EPA or States ....................................................... 10

18. EPA Inspections FY94 to FY99 ........................................................................................... 10

19. Summary of FY99 Civil Investigations and Citizens Complaints

(FY99 3rd and 4th Quarters Only) ..........................................................................................11

20. Number of Companies and Facilities Disclosing Violations Under the Audit Policy ..............11

21. FY99 Compliance Assistance Activity (Percentage of Facilities Reached by Activity) ..........11

22. FY99 Compliance Assistance National Totals by Statute ..................................................... 12

23. FY99 Compliance Assistance National Totals by Sectors ................................................... 12

24. FY97-99 Federal Enforcement Data for Petroleum Refineries........................................... 27

25. FY99 Compliance Assistance National Totals (Percentage of Entities Reached) .............. 31

26. Trend in Compliance Levels for the Auto Service and Repair Industry .............................. 32

 iii
Annual Report on Enforcement and EPA Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

	


Acronyms

AFS Air Facility Subsystem

AIRS Aerometric Information Retrieval System

APO Administrative penalty order

AOC Administrative order on consent

BOD Biological Oxygen Demand

CAA Clean Air Act

CAP Compliance Audit Program

CERCLA Comprehensive Environmental Response, Compensation and Liability Act

CFC Chlorofluorocarbon

CWA Clean Water Act

DOJ U.S. Department of Justice

EMR Environmental Management Review

EMS Environmental Management System

EPA U.S. Environmental Protection Agency

EOY End of year

EPCRA Emergency Planning and Community Right-to-Know Act

FIFRA Federal Insecticide, Fungicide and Rodenticide Act

FY Fiscal year

GLP Good Laboratory Practice

ICDS Inspection Conclusion Data Sheet

NEIC National Enforcement Investigation Center

NEPA National Environmental Policy Act

NESHAP National Emission Standard for Hazardous Air Pollutants

NOx Nitrogen oxide

NPDES National Pollutant Discharge Elimination System

NPL National Priorities List

NPMS National Performance Measures Strategy

NSR New Source Review

OC Office of Compliance

OECA Office of Enforcement and Compliance Assurance

OPA Oil Pollution Act

ORE Office of Enforcement

OSHA Occupational Safety and Health Administration

PAH Polycyclic aromatic hydrocarbon

PCB Polychlorinated biphenyl

PPA Prospective purchaser agreement

PM Particular matter

PRP Potentially responsible party

PSD Prevention of Significant Deterioration

RCRA Resource Conservation and Recovery Act

SDWA Safe Drinking Water Act

SEP Supplemental Environmental Project

SFIP Sector Facility Indexing Project

SNC Significant noncompliance

SO2 Sulfur dioxide

tpy tons per year

TRI Toxic Release Inventory

TSCA Toxic Substances Control Act

TSS Total suspended solid

UAO Unilateral Administrative Order

UIC Underground injection control

UST Underground storage tank

VOC Volatile organic compound

iv
EPA Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999



1. Introduction

Our Mission:

Protecting Human Health

and the Environment

Working in conjunction with states, tribes, and

local governments, the staff of the U.S. Environmental Protection Agency’s

(EPA’s) national enforcement and compliance assurance program ensures

compliance with the nation’s environmental laws. The national enforcement and

compliance assurance program staff are located in EPA’s Office of Enforcement

and Compliance Assurance (OECA) and in the EPA regional and satellite offices.

Our mission is to protect the well-being of all Americans, our nation’s

environment, and its natural resources. By pursuing a strategic approach in which

we systematically identify problems and adopt the appropriate tools to address

their risks, EPA and the states, tribes, and local governments seek to maximize

compliance and reduce threats to public health and the environment.

In response to the Government Performance and Results Act (GPRA), which

promotes more results-based management, EPA developed a strategic plan that

delineates specific goals, objectives, and performance measurements. Goal 9 of

the strategic plan requires EPA to provide a credible deterrent to pollution and

greater compliance with the law. Goal 9 is the core responsibility of the national

enforcement and compliance assurance program.

We carry out our responsibility to provide a credible deterrent to pollution and

greater compliance under the law by identifying priorities and then using particular

approaches to achieve goals under the priority areas. Finally, we measure our

performance, not only to meet the statutory mandates of GPRA, but also to

inform the public of our progress and to inform ourselves about where

improvements are needed. In Part 2 of this report, we will share with you the

results of our performance in fiscal year 1999 (FY99).

Addressing Environmental Risks Using a

Problem-Solving Approach

In FY99, we continued to strengthen our enforcement and compliance assurance

program by expanding, in consultation with the states and our stakeholders,

innovative approaches to compliance and enforcement. New tools that provide

compliance assistance and compliance incentives complement a strong program

of compliance monitoring and civil and criminal enforcement. A strong

enforcement component provides the foundation for the national compliance

program, motivating regulated entities to seek assistance and use incentive

	Annual Report on Enforcement and EPA Compliance Assurance Accomplishments in 1999

policies and providing fairness in the marketplace by ensuring that noncomplying

facilities do not gain an unfair competitive advantage.

The innovative approaches that we have developed are tailored to the particular

environmental problem and/or pattern of noncompliance and include, as

appropriate, a mix of the following:

 compliance monitoring (i.e., determining compliance with environmental

laws and regulations);

 civil and criminal enforcement actions;

 compliance assistance (i.e., providing information and guidance about

environmental requirements to regulated entities); and

 compliance incentives (i.e., promoting policies that encourage self-policing

through identification, correction, and disclosure of violations by regulated

facilities).

We discuss each of these tools in Part 3 of this report and provide examples of

how we have used these tools singly or in combination to achieve the greatest

environmental results.

Our Priorities in 19991

In FY99, EPA continued to address priority problems related to particular industry

sectors as well as specific environmental media. For this fiscal year we focused

on 11 priority sectors as listed in the box to the left. Sectors that were selected as

priorities were based on several factors, including compliance history, regional and

state concerns, national scope of the sector, and potential environmental and

human health risk identified from pollutant loadings and Toxic Release Inventory

(TRI) risk data. The priority industry sectors are discussed in detail in Appendix

A. In addition to the sector priorities, we identified 29 media-specific priorities in

FY99 including:

Clean Water Act (CWA)

 • Wet weather

 • Concentrated Animal Feeding

Operations (CAFOs)

 • Wetlands

Safe Drinking Water Act

(SDWA)

 • Public water system – microbial

rules

 • Safe drinking water information

system

 • SDWA amendments

 • Underground Injection Control

Class V wells

Clean Air Act (CAA)

 • Title V permits

 • Synthetic minors

 • Air toxics

 • Chlorofluorocarbon (CFC)

enforcement

Resource Conservation and

Recovery Act (RCRA)

 • Organic air emissions rule

 • Generators

 • Combustion/fuel blenders

 • Underground storage tanks (USTs)

 • Transportation issues

FY99 Priority Industry

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	1. Reference to 1999 in this report means the fiscal year rather than the calendar year.
EPA Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999



Superfund—Comprehensive

Emergency Response,

Compensation, and Liability Act

(CERCLA)

 • Reduction of transaction costs

 • Construction completion

 • Federal facilities compliance

Emergency Planning and

Community Right-to-Know (EPCRA)

 • Section 313 expansion

 • Section 313 TRI data quality

enforcement

 • Industrial organic chemical initiative

 • Federal facilities enforcement

Pesticides—Federal Insecticide,

Rodenticide, and Fungicide Act

(FIFRA)

 • Antimicrobials

 • Urban pesticides control and

enforcement

 • Adverse effects

Toxic Substances—Toxic

Substances Control Act (TSCA)

 • Asbestos

 • Lead-based paint

 • Polychlorinated biphenyls

Measuring Our Performance

Just as it is important to identify the priority areas and the tools or approaches that we

will use to address those priorities, it is equally important to measure the results of our

enforcement and compliance assurance program. To do so, EPA continued to implement

the National Performance Measures Strategy (NPMS) in FY99. While the strategy

includes traditional measures, such as the number of inspections and enforcement actions

conducted each year, it also establishes new outcome measures for evaluating the

behavioral and environmental results of our activities. These measures include

compliance rates for selected regulated populations, pollutant reductions resulting from

enforcement actions, behavioral changes stemming from compliance assistance, and

average time for significant violators to return to compliance. The NPMS will be

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Annual Report on Enforcement and EPA Compliance Assurance Accomplishments in 1999

2. Achievements in 1999

The significant environmental results achieved by EPA’s enforcement and

compliance assurance program in fiscal year 1999 (FY99) show that we have built

a strong and aggressive enforcement program while providing compliance

assistance to both large and small businesses and offering real incentives to

motivate voluntary disclosure of violations. Following are highlights of our FY99

accomplishments and successes.


	


Reducing Pollution

• Reducing Pollutants2: In FY99, over 6.8

billion pounds of pollutants were reduced as

a result of our enforcement actions. These

actions resulted in the reduction of 5.8 billion

pounds of nitrogen oxide (NOx), 573 million

pounds of contaminated soil, 200 million

pounds of iron, and 129 million pounds of

polychlorinated biphenyl (PCB) waste.

Exhibit 1 presents the top 20 pollutants with

the largest reductions reported for FY99

enforcement actions.

• Changes in Facility Operations:

Enforcement actions cause facilities to take

actions that achieve compliance and

improve the environment. Such actions

were reported for 3,043 of the 3,451 FY99

civil enforcement settlements in FY99. A

total of 18% of these complying actions

required defendants to perform either use

reduction, industrial process changes,

emission or disposal changes, remediations

or removals. Since FY96, a total of 3,404

actions have required these types of

physical compliance actions. About 21% of

the 3,043 actions resulted in improvements

in the use or handling of pollutants to

achieve emission and discharge reductions.

Another 47% of the 3,043 concluded

enforcement actions resulted in

improvements in facility management

2. All pollutant reductions are based on OECA’s Case Conclusion data sheet and are

QA/QC’d by the Regions and Headquarters.

	






Storage/Disposal

Change 94

Emission/Discharge

Change 91

Remediation 73

Removal 71

Monitoring 66

Industral Process

Changes 56

Record Keeping 48

Use Reduction 36

Permit Application 35

Auditing 22

Clean Up 13

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Chart does not include over 9 billion pounds in water pollution 

(thermal, TSS, BOD and toxic materials).

Source: OECA/OC/EPTDD

Oil

NOx

Contaminated Soil

Iron

PCB Waste

Intermediate Chemicals

Hydrocarbons

Dredged Materials

Wood Tar

Radioactive Waste

Asbestos

Sulfur Dioxide

VOCs

Casphophen

Ignitable Solvents

Carbon Dioxide

PAHs

Ammonia

Particulate Matter

Creosote

Millions of pounds (estimated) reduced

Note: Chart is in Log10 scale

0

1

10

100

1,000

10,000
EPA Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999


	
 

practices and information. Similarly, compliance activities

resulting from 566 criminal investigations/cases concluded during

FY99 are presented in exhibit 2.

Investing in Environmental Protection

• Civil and Administrative Actions and Settlements:

Overall, EPA took a total of 3,935 civil judicial and administrative

enforcement actions in FY99, the highest number of civil actions

taken over the past three years. These activities identify and

correct noncompliance and deter future violators. Exhibit 3

presents a summary of FY99 case initiations and conclusions by

statute.

• Civil Referrals: In FY99, EPA maintained a robust civil

referral program. We submitted 403 civil judicial referrals to the

Department of Justice (DOJ). Exhibit 4 shows the trends in civil

referrals to DOJ by statute since FY73.

• Criminal Program: Our strong criminal program reflects our

goal of enforcing against those who intentionally disregard our

nation’s environmental laws and who put the public at serious

risk when they do so. As shown in exhibits 5 and 6, EPA’s

criminal enforcement program set an annual record for

sentences (208.3 years) and referred the fifth highest number of

criminal cases (241) to DOJ in history. The criminal

enforcement program has now assessed almost $600 million in

criminal fines.

• Administrative Orders Initiated: In FY99, EPA increased its

use of administrative penalty orders (APOs), issuing a record

1,654 complaints, which exceeds FY98 levels by 18% and FY97

levels by 26%. Exhibit 7 shows the EPA APO complaints since

FY91 by statute.

• Making Polluters Pay: In FY99, polluters were required to

spend more than $3.4 billion, a 72% increase over FY98 levels, to

correct violations and take additional steps to protect the

environment. The FY99 estimated value of injunctive relief ($3.4

billion) was at its highest total since we began to estimate this

value in 1995; 80% more than the FY97 estimate (shown in

exhibit 8).

Exhibit 9 presents the value of injunctive relief by statute for

FY99 enforcement actions. The Clean Air Act (CAA) program

was responsible for the most injunctive relief at $1.1 billion (32%

of the $3.4 billion), followed by the Safe Drinking Water Act

(SDWA) program at $811 million (23%) and the Comprehensive

Environmental Response, Compensation, and Liability Act (CERCLA)

program at $722 million (21%).

Do the Crime, Pay the Time

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0

200

400

600

800

1,000

1,200

1,400

1,600

1,800

Referrals

to DOJ

APO

Complaints

Compliance

Orders

Judicial

Settlements

APO

Settlements

TSCA

SDWA

RCRA

FIFRA

EPCRA

CWA

CERCLA

CAA

CERCLA 103 actions are included under EPCRA

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Annual Report on Enforcement and EPA Compliance Assurance Accomplishments in 1999


	


Source: OECA/OC/EPTDD/TEB

0

50

100

150

200

250

300

350

400

450

Number of Referrals

FY

73

FY

74

FY

75

FY

76

FY

77

FY

78

FY

79

FY

80

FY

81

FY

82

FY

83

FY

84

FY

85

FY

86

FY

87

FY

88

FY

89

FY

90

FY

91

FY

92

FY

93

FY

94

FY

95

FY

96

FY

97

FY

98

FY

99

Air CERCLA Water RCRA Toxics/Pesticides/EPCRA

 6,518 Total Referrals (2,043 Air, 1,973 Water, 1,757 CERCLA, 504 RCRA and 241 Toxics/Pesticides/EPCRA)

0

1000

2000

3000

4000

5000

6000

7000

1Total

Cases 

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0

200

400

600

800

1,000

1,200

1,400

1,600

1,800

FY91FY92FY93FY94FY95FY96FY97FY98

FY99

TSCA

SDWA

RCRA

FIFRA

EPCRA

CWA

CERCLA

CAA

-	 $$+

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0

0.5

1

1.5

2

2.5

3

3.5

4

$ Billions

FY 97 FY 98 FY 99

$3.4

Billion

.	 /01-2

0

100

200

300

400

500

600

700

Cases Initiated Referrals Defendants Sentences Fines

FY 97 FY 98 FY 99

3	$
1

40+
-

Source: OECA/OC/EPTDD/TEB

0

50

100

150

200

250

300

FY

83

FY

84

FY

85

FY

86

FY

87

FY

88

FY

89

FY

90

FY

91

FY

92

FY

93

FY

94

FY

95

FY

96

FY

97

FY

98

FY

99

Number of New Criminal Referrals Each Year

$0

$20

$40

$60

$80

$100

$120

$140

$160

$180

Criminal Penalties in Millions Each Year

 Referrals Penalties

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EPA Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999



• Penalties: Overall, EPA assessed the highest total amount of

civil penalties in FY99. Since 1974, we have assessed civil

and criminal fines and penalties totaling almost $1.8 billion, as

shown in exhibit 10.

Exhibit 11 presents the dollar value of FY99 enforcement

actions by statute. The Resource Conservation and Recovery

Act (RCRA) program was responsible for the most criminal

penalties at $21.5 million (35%) and garnered the most

administrative penalties at $7.4 million (29%). The CAA

program was responsible for the most civil judicial penalties

with $104.6 million (74%).

• Federal Facilities: EPA also is continuing to use its

enforcement authorities at federal facilities. In FY99, EPA

settled its first-ever federal facility SDWA case at the Army’s

Redstone Arsenal in Alabama for nearly $90,000 in civil

penalties and $807,000 in Supplemental Environmental

Projects (SEPs). This settlement will protect Redstone’s water

system. EPA issued its first CAA penalty order in the fall of

1998 against the U.S. Mint in Philadelphia. The complaint

charged that the Mint violated regulations governing emissions

of chromium compounds and chlorofluorocarbons (CFCs).

Under the settlement, the Mint agreed to pay $16,000 in cash,

as well as undertake a $90,427 SEP to upgrade pollution

control equipment from its chromium electroplating operations.


	


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Source: OECA/OC/EPTDD/TEB

$0

$50

$100

$150

$200

$250

$300

Total Annual Penalties (Millions)

FY

90

FY

91

FY

92

FY

93

FY

94

FY

95

FY

96

FY

97

FY

98

FY

99

Criminal Administrative Civil Judicial 

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Statute Dollar Value of Injunctive

Relief (% of FY99 Total)

CAA $1.1 billion (32%)

SDWA $811 million (24%)

CERCLA $722 million (21%)

CWA $577 million (17%)

EPCRA/FIFRA/TSCA $2 million (<1%)

RCRA $200 million (6%)

FY99 Total $3.4 billion

Statute Criminal

Penalties

Assessed

Civil Judicial

Penalties Assessed

Administrative

Penalties Assessed

RCRA $21.5 (35%) $24.5 million (17%) $7.4 million (29%)

CWA $20.4 million (33%) $7.4 million (5%) $5.2 million (20%)

CAA $2.2 million (4%) $104.6 million (74%) $5.1 million (20%)

SDWA $3.2 million (5%) $1.8 million (1%) $0.4 million (1.5%)

CERCLA $12.7 million (21%) $2.9 million (2%) $2,000 (<1%)

EPCRA $0 $0 $3.8 million (15%)

FIFRA $0.4 million (<1%) $1,300 (<1%) $1.4 million (5%)

TSCA

* Criminal cases with U.S. Code - Title 18 or other violations.

Data comes from EPA criminal and civil dockets.

Source: OECA/OC/EPTDD/TEB

$16,000 (<1%) $0 $2.3 million (9%)

Title 18/MPRSA $1.1 million (2%) $0 $0

FY99 Total $61.5 million $141.2 million $25.5 million


Annual Report on Enforcement and EPA Compliance Assurance Accomplishments in 1999


	


Benefits to Local Communities

(Supplemental Environmental

Projects)

EPA frequently includes Supplemental Environmental

Projects (SEPs) as part of the settlement of administrative

penalty actions and, to a lesser extent, judicial settlements.

SEPs are environmentally beneficial projects that may be

proposed by a violator or EPA during the settlement of an

enforcement action. We examine whether a violator is

committed to, and has the ability to, perform a SEP when

determining the appropriateness of including a SEP in the

settlement. If a violator agrees to perform a SEP, their cash

penalty may be lowered. The SEP must reduce risks to,

improve, or protect public health or the environment.

• Numbers of SEPs: The value of SEPs in FY99

($236.8 million) was at the highest level ever. In FY99,

administrative and judicial settlements included 197

SEPs, as shown in exhibit 12. Of these, 173 SEPs

were from administrative actions and 24 were included

in judicial actions. The use of SEPs in FY99 was

below FY98 levels in terms of the number of SEPs, but

showed a 160% increase in value.

• Types of Cases Producing SEPs: In FY99, 12.5%

(13.6% excluding CERCLA) of cases included a SEP.

In FY99, the use of SEPs was most prevalent in the

Emergency Planning and Community Right-to-Know

Act (EPCRA) (32%) and RCRA (22%) programs. The

SEPs in the CAA cases had the highest dollar value

($142 million) of any one program—responsible for

60% of the FY99 total SEP value ($236.8 million).

• Environmental Benefits: In FY99, pollution

prevention continued to be the most frequent category

of SEPs (32%), followed by emergency planning and

preparedness (19%) and pollution reduction (19%).

Source: OECA/OC/EPTDD/TEB

0

50

100

150

200

250

300

350

FY95 FY96 FY97 FY98 FY99

Number of New SEPs Each Year

$0

$50

$100

$150

$200

$250

Annual Value of EPA SEPs (in $Millions)

 # of SEPs $ Value of SEPs

 	  =  '$  ' 

  1  3  

 (	&&&&'

>
:'>
<

0%

10%

20%

30%

40%

50%

60%

70%

80%

RCRA CAA CWA SDWA

23%

54%

63%

73%
EPA Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999


	
 	

Addressing Significant Noncompliance (SNC)

• SNCs Addressed/Resolved: In FY99, the degree to

which SNC was addressed varied greatly by program

area. As shown in exhibit 13, there were 1,385 facilities in

SNC of which 23% (316) were resolved (meaning either

returned to full physical compliance or meeting a

compliance schedule) in the RCRA program. In the Clean

Water Act (CWA) program, 63% of facilities (1,128 of

1,782) in SNC were addressed, meaning that either a

facility was returned to non-SNC status on its own or it

received a formal order. In the air program, 54% of

facilities (1,854 of 3,419) in SNC were addressed by a

formal enforcement action. In the SDWA program, 73%

of systems (2,764 of 3,811) in SNC were addressed by a

formal enforcement action.

• SNC Duration and Recidivism: In FY99,

EPA is reporting data on SNC duration and

recidivism for the first time. Exhibit 14

shows the percentages of SNCs that had

returned to compliance during FY97 but

were in significant noncompliance again in

FY99; this is the two year recidivism rate.

Exhibit 15 presents the time needed for

facilities to return from SNC for those that

returned during FY99.

Monitoring Compliance

• Inspections: In FY99, EPA conducted 21,847

inspections, as shown in exhibit 16. The most

inspections (34%) were conducted under the SDWA

program, followed by the CWA (20%) and RCRA/

Underground Storage Tank (UST) (17%) programs.

Overall, the number of facilities inspected (i.e.,

coverage) by EPA or states in FY99 varied considerably

across programs, as shown in exhibit 17. For example,

46% of facilities under the CAA program were

inspected. Under the CWA program 73% of majors and

36% of facilities with pretreatment programs were

inspected. Under the RCRA program, 63% of

treatment, storage, and disposal facilities were inspected,

and 22% of large quantity generator facilities were

inspected.

 )	>!"2

&

0%

CAA: 115 of 381 facilities

CWA: 665 of 1,188 facilities

RCRA: 26 of 157 facilities

10%

20%

30%

40%

50%

60%

CAA CWA RCRA

30%

56%

17%

 5	
2>!

Program Inspections

CAA [Stationary (includes

chlorofluorocarbon), asbestos

and mobile sources]

3,109*

CWA [NPDES (minors &

majors), 311, and 404]

4,417

SDWA 7,329

EPCRA/FIFRA/TSCA 3,296

RCRA and UST 3,696

Total 21,847*

Source: Program databases/IDEA, manual reports.

There were also 113 GLP inspections and 363

data audits by HQ (OC/AED/LDIB).

* These numbers are higher than reported in the

EOY press release because of the addition of

asbestos inspection data which was not previously

available.

 3	>!2!

'>


Statute

Number of Facilities Returned From SNC in:

<6

months

1 year >1 year to 2

years

>2 years

CAA 417 226 278 258

CWA 570 134 129 116

RCRA 184 76 53 53



Annual Report on Enforcement and EPA Compliance Assurance Accomplishments in 1999

• At Federal Facilities: A nationwide total of 27

multimedia inspections were performed at federal

facilities during FY99. At each facility, inspections

examined compliance with at least two statutes.

Between FY93 and FY99, EPA conducted a total

of 226 multimedia inspections at federal facilities.

The trends in the numbers of national inspections

conducted in each program area from FY94 to

FY99 are shown in exhibit 18.

• Civil Investigations: For the first time, EPA is

reporting information on two of the new

performance measures — civil investigations and

citizens complaints (see below). Civil

investigations provide a more in-depth examination

of a facility’s operations and processes than a

regular inspection.

In FY99, as shown in exhibit 19, we conducted

716 complex, intensive compliance investigations in

nine media programs, with the greatest number

(74%) occurring in the air program, followed by

the CWA (14%) and RCRA (3%) programs.

• Citizen Complaints: In FY99, EPA responded

to 5,095 citizen complaints, which were received

during the 3rd and 4th quarters of FY99. These

citizen complaints were reported in 12 media

programs and in multimedia, with the greatest

number (49%) in the CAA program, followed by

the CWA (16%) and the Federal Insecticide,

Fungicide and Rodenticide Act (FIFRA) (14%)

programs. Forty-seven percent were referred to

state or local agencies; 3% were referred to other

federal agencies; 7% resulted in compliance

inspections; and less than 1% resulted in on-site

visits (not compliance inspections).


	


 -	 
&

:
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Statutory Program Facilities Inspected

CAA 46% of operating facilities (major,

synthetic minor, and Part 61

NESHAP sources)

CWA 73% of majors

36% of pretreatment facilities

RCRA

CAA universe: 41,003 facilities

CWA: 6,704 majors

1,470 pretreatment facilities

RCRA: 3,100 TSDFs

19,933 LQG facilities

63% of treatment, storage, and

disposal facilities (TSDFs)

22% of large quantity

generator (LQG) facilities

 .	$
)

Source: OECA/OC/EPTDD/TEB

0

5,000

10,000

15,000

20,000

25,000

FY

94

FY

95

FY

96

FY

97

FY

98

FY

99

TSCA

RCRA

SDWA

FIFRA

EPCRA

CWA

CAA
EPA Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999



Compliance Incentives

• Audit Policy: As shown in exhibit 20, the

number of companies (260) and facilities (990)

disclosing violations under the audit policy in

FY99 were at all time highs since the inception

of the policy.

Compliance Assistance

• Numbers of Facilities Reached: In FY99,

EPA (Headquarters and Regional programs)

collectively reached 333,1183

 regulated facilities

through compliance assistance outreach in sector

and statutory areas. As presented in exhibit 21,

the highest amount of compliance assistance

activity occurred through the distribution of

compliance assistance outreach materials

(87%), with regions reaching almost 290,000

facilities through this vehicle.

Exhibits 22 and 23 present the compliance

assistance national totals by statute and sectors,

respectively. Almost 72% of facilities received

assistance relating to EPCRA program

requirements. Within the sector areas for

which compliance assistance information is

tracked, auto service and repair facilities

received the highest amount of assistance

(34%).


	


Source: ORE

Company

Facility

0

100

200

300

400

500

600

700

800

900

1000

FY 97 FY 98 FY 99

8	 >

&

*/=& &$#

Media Program Civil Investigations Citizen Complaints

CAA Stationary 443 2,230

CAA Mobile Sources 88 273

Asbestos 1 1

CWA 102 798

SDWA 3 215

OPA 0 119

EPCRA/FIFRA/TSCA 45 875

RCRA 20 392

UST 11 91

CERCLA 0 15

Multimedia 3 86

TOTAL 716 5,095

 	 '#
&


?

 :(& &)@+#<

3. Regulated entities were counted based on each type of compliance assistance they

received. Therefore, a regulated entity may be counted more than once.

87%

Total Number of Tools Developed: 121

Total Number of Workshops/Trainings/Presentations: 947

Source: RCATS

10%

1%

2%

Workshops/Trainings/

Presentations

On-Site Visits

Telephone Hotline

Tools Mailed/Distributed

 	 

#

:$&##<


Annual Report on Enforcement and EPA Compliance Assurance Accomplishments in 1999

• Compliance Assistance Centers: In FY99,

we operated nine Compliance Assistance

Centers designed to help small businesses and

small governmental entities understand and

comply with their regulatory obligations. The

Centers focus on specific industry sectors and

provide applicable regulatory and technical

information in a convenient and user-friendly

manner. They offer “plain English” summaries

of regulations and access to state regulations,

vendor directories, and numerous other

technical resources. In FY99, in total, the

Centers were visited over 750 times a day by

businesses, compliance assistance providers,

other government representatives, and the

general public, resulting in a total of 260,000

user sessions.

• Industry-Specific Outreach Materials: In

addition to the Compliance Assistance Centers,

we continued to develop a wide variety of other

tools and outreach materials to promote

compliance with environmental laws on an

industry-by-industry basis. These tools include

industry sector notebooks, plain language

compliance guides, training modules, and

compliance checklists. In FY99, EPA

completed 10 sector guides and more than 30

other outreach documents for industries such as

food processing and chemical manufacturing.

• Capacity Building: In FY99, EPA is reporting

for the first time our national efforts in the area

of capacity building to states, tribes and

localities. Overall, the regions conducted 180

training courses; made 3,407 regulatory

determinations, responded to 984 requests for

assistance and conducted 266 assisted

inspections.

Total # Of Entities Reached All Sectors & Media = 333,118.

Regulated entities were counted based on each type of compliance

assistance they received. Therefore, a regulated entity may be counted

more than once.

FIFRA

(0.2%)

SDWA

(2.4%)

RCRA

(1.7%)

TSCA

(9.1%)

CAA

(13.7%)

CWA

(1.0%)

EPCRA

(71.9%)

	

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:!>&A B5<

(	

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9#'

:!>&A )8B.35<

34.0%

58.2%

0.2% 0.8%

0.4% 0.7%

5.6%

0.1%

Agricultural Practices Chemical Preparation/Industrial Organics

Tribal Owned Entities Auto Service/Repair Shops

Federal Facilities Dry Cleaners

Municipalities Other Sectors

Total # Of Entities Reached All Sectors & Media = 333,118. Regulated entities 

were counted based on each type of compliance assistance they received. 

Therefore, a regulated entity may be counted more than once.


	

EPA Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999



Protecting Environmental Resources Under the

National Environmental Policy Act (NEPA)

Under NEPA, federal agencies are required to carefully consider the

environmental impacts of all major actions they take, and EPA reviews and

comments on these assessments and often assists agencies with their

development. In FY99, the NEPA review process resulted in the following

examples of environmental improvements/harm avoided to a natural resource:

• Expanding a Highway without Compromising Environmental Quality.

EPA’s Great Lakes region, Region 5, announced a precedent-setting

agreement in April 1999 with nine federal, state, and local organizations on

expanding a highway in Wisconsin. The agreement will allow critical safety

improvements to be made to the highway while protecting the unique scenery

and maintaining a healthy ecosystem and the indigenous species in the area.

• Benefitting the Galveston Bay Ecosystem. In FY99, EPA’s southwestern

region, Region 6, helped finalize, using the NEPA process, the plan for the

Houston Ship Channel project. In revising the initial plan, which would dump

unconfined dredged material on 11,000 acres of Galveston Bay, we found

beneficial uses for all dredged material, including the environmental

restoration of 4,250 acres of tidal marsh.

• Improving the Environment with a Flood Control Project. In a U.S. Army

Corps of Engineers flood control project along the Napa River in California,

EPA comments on the draft environmental impact statement expanded

habitat improvements to 540 acres, created an additional 12 acres of

wetlands, and diverted 500,000 cubic yards of material from disposal in lowlying areas.


	



Annual Report on Enforcement and EPA Compliance Assurance Accomplishments in 1999

• Protecting the Health and Safety of Tribal Members. EPA’s southwestern region

(Region 6) NEPA program negotiated with the Bureau of Indian Affairs for

environmental improvements to a solid waste landfill on Nambe Pueblo Tribal land.

The negotiations involved the environmental impacts statement that the Bureau

prepared for leasing the land. The Bureau and the tribe have agreed to operate the

landfill in accordance with all EPA requirements, providing important health and

safety protections for tribal members.

• Completing Transportation Projects Faster While Protecting the Environment.

Regions engaged in a variety of activities in FY99 to implement the streamlining

provisions of the Transportation Equity Act of 1998. By identifying issues early in

the planning process and coordinating the various environmental requirements and

processes, the regions are supporting Congressionally

mandated efforts to complete transportation projects faster

while protecting the environment. For example, Region 6 is

helping the North Texas Tollway Authority scope out the

Trinity Parkway environmental impact statement by providing

advice on the consideration of alternatives, wetland impacts,

and other requirements.

The National Performance Measures Strategy

The National Performance Measures Strategy was initiated by OECA in February

1997 to identify, design, implement, and use an enhanced set of performance measures

for EPA’s enforcement and compliance assurance program. The Strategy was designed

to help us measure the state of compliance with environmental laws, the environmental

results we achieve through our activities, and the degree to which program objectives

are being met and noncompliance problems are being addressed.

The identification and design phases occurred in1997 and 1998 and included broad

consultation with staff, regulatory partners, and external stakeholders. In 1999, the first

phase of implementation began with the collection and analysis of information from the

third and fourth quarters of FY99 for the following sets of measures from the

Performance Profile:

• average duration for significant violators to return to compliance (Set #6);

• percentage of significant violators with recurrent violations (Set #7);

• number of investigations conducted (Set #8);

• responses to citizen complaints (Set # 8);

• number of notices of violation issued by media program (Set #9); and

• capacity building efforts provided to state, local, or tribal programs (Set #11).


	

EPA Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999



Remaining measures to be implemented in FY 2000, Phase II are:

• statistically valid compliance rates for selected regulated populations (Set #1);

• environmental and human health improvements from compliance assistance (Set

#3);

• environmental and human health improvements from integrated initiatives (Set #4);

and

• number of record reviews (Set #8).

Compliance Measurement Grants

In 1999, OECA awarded $1.8 million in grants to10 states to develop and implement

outcome- based performance measures for enforcement and compliance assurance

programs. The projects selected will allow the pilot states to demonstrate outcomes

from their enforcement and compliance assurance activities while serving as models for

other states. Outcome measures from the Performance Profile Sets 1,2,3, 6, and 7 will

be addressed in the state projects.

Improving Reporting Using the NPMS Performance Profile. The Performance Profile

consists of output- and outcome-based measures selected for EPA’s enforcement and compliance assurance

program after extensive public outreach. The measures are now being implemented as follows:

EFFECTS ON BEHAVIOR OF REGULATED POPULATIONS (OUTCOMES)

Levels of Compliance in Regulated Populations

Set 1. Rates of noncompliance for various populations.

Environmental or Human Health Improvements by Regulated Entities

Set 2. Improvements resulting from EPA enforcement action.

Set 3. Improvements resulting from compliance assistance tools and initiatives.

Set 4. Improvements resulting from integrated initiatives.

Set 5. Self-policing efforts by using compliance incentive policies. Responses of

Significant Violators

Responses of Significant Violators

Set 6. Average number of days for significant violators to return to compliance or enter

enforceable plans or agreements.

Set. 7. Percentage of significant violators with new or recurrent significant violations within two

years of receiving previous enforcement action.

ENFORCEMENT AND COMPLIANCE ASSURANCE ACTIVITIES (OUTPUTS)

Monitoring Compliance

Set 8. Number of inspections, responses to citizen complaints, and investigations conducted.

Enforcing the Law

Set 9. Number of notices issued, civil and criminal actions initiated, civil and criminal actions

concluded, and self-policing settlements concluded.

Providing Assistance and Information

Set 10. Facilities/entities reached through compliance assistance tools and initiativesor information.

Building Capacity

Set 11. Capacity building efforts provided to state, local, or tribal programs.


	



Annual Report on Enforcement and EPA Compliance Assurance Accomplishments in 1999

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EPA Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

3. Addressing Environmental

Problems Through the

Integrated Use of Tools

Using Integrated Approaches

In fiscal year 1999 (FY99), EPA continued to identify and address environmental

problems using innovative integrated initiatives that combine compliance

assistance, incentives, monitoring, and enforcement to address the priorities of the

enforcement and compliance assurance program. Our experience has shown that

these techniques have been effective in addressing environmental and compliance

problems. Experience has shown that use of these tools in a strategic, targeted

way will address noncompliance. If you know what your target is, you can

choose the appropriate tool or tools.

To address environmental problems or priorities, EPA will either select a

compliance or enforcement tool or, where appropriate, use a mix of these tools to

create an integrated strategy or initiative. Once we have determined the

appropriateness of the integrated strategy, we will implement it, in partnership

with states through the EPA regional/state planning process, to address the

problem or priority. These integrated initiatives complement our ongoing

compliance assurance efforts by addressing environmental priorities associated

with major regulations, compliance problems, or sectors.

Examples of our use of an integrated approach on priority sectors can be found in

Appendix A.

	 




Annual Report on Enforcement and EPA Compliance Assurance Accomplishments in 1999



	

3.A. Maintaining a Strong

Enforcement Presence

Through Compliance

Monitoring

One of the most important functions conducted by EPA’s

compliance assurance program is monitoring compliance

with environmental laws and regulations. While a

significant number of regulated entities routinely try to

achieve compliance, it is the role of the compliance

assurance program to monitor the level and degree of compliance. The Agency

uses compliance monitoring to determine the appropriate tool (assistance,

incentives, enforcement, or a combination of tools) to address a particular

environmental problem. Compliance monitoring includes all of the activities we

conduct to determine whether an individual facility or group of facilities are in

compliance with environmental laws and regulations. Some of our main

compliance monitoring activities include:

• performing compliance inspections, surveillance, and investigations;

• collecting, analyzing, evaluating, and managing compliance data;

• targeting, gathering information, and developing enforcement strategies;

• collecting and analyzing environmental samples;

• reviewing and evaluating self-reported documents, permits, and records;

• responding to citizen complaints and referrals from other governmental

entities; and

• preparing reports and updating databases with compliance findings and

inspection results.

Targeting

Our compliance monitoring program often entails making a targeted effort to

reduce significant noncompliance (SNC) in high-priority areas (i.e., those areas

posing the most significant public health and environmental risks). Priority areas,

which focus on environmental and noncompliance problems, might be based on a

geographic location, an industry sector, or a specific set of statutory requirements.

In FY99, in working to reduce SNC and recognizing that government resources

are finite, we continued to make great strides toward targeting high-priority areas,

mainly industry sectors and environmental media, and completing baseline data

assessments in major databases needed to measure changes in key indicators of

Why do we conduct

compliance monitoring

activities?

 	



	

	

	





 


		






 
	










 	




	


			


 






	
	







	

		


 		


		










	


EPA Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999



	

EPA’s New England

region, Region 1,

received a Best

Practice Award in

FY99 for its Recon

project, an innovative

compliance

monitoring approach.

	
	











 





	

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compliance. As part of these targeting projects, EPA continues to improve crossmedia analytical capabilities through the development and maintenance of the

Integrated Data for Enforcement Analysis (IDEA) system.

EPA’s efforts to provide regions with targeting tools are also yielding results, as

illustrated by investigations of compliance with New Source Review/Prevention

of Significant Deterioration (NSR/PSD) requirements (described below)

conducted by EPA’s Mid-Atlantic Region, Region 3.

Investigations and Inspections

In FY99, EPA increased its emphasis on complex investigations in

addition to compliance inspections to uncover serious environmental

problems. A summary of these investigations is presented in exhibit

20. The investigations conducted revealed a number of different

types of serious environmental violations, including, but not limited to:

failure to obtain a permit; failure to install, operate, or maintain

pollution control equipment; failure to determine the type of hazardous

waste and failure to manage properly; illegal storage of hazardous

waste; and discharge of oil in harmful quantities. Nationwide, EPA

conducted 21,847 inspections in FY99. These inspection results are

discussed on page 9 and shown in exhibits 16–18.

• Uncovering Permit Violations Using NSR/PSD

Investigations

NSR/PSD, a preconstruction review and permitting program ensures that

major and modified major Clean Air Act (CAA) sources apply state-of-the

art equipment to minimize impacts on air quality. Because routine inspections

sometimes do not identify plant modifications, Region 3 piloted an

investigation approach that incorporates upfront facility capacity and permit

reviews. The region developed criteria to identify facilities where plant

modifications are likely to have occurred and then selected certain industries

at which to undertake a more in-depth review. These investigations, while

resource intensive, are yielding impressive results. Region 3 investigated

eight pulp mills and found significant violations at seven of them. Requiring

the installation of control devices at these plants will result in large reductions

in air emissions. Based on Region 3’s results, most EPA regions are now

using these investigative tools and strategies.

• Using Reconnaissance to Identify and Address Environmental

Concerns in EPA New England

Through its Reconnaissance (Recon) projects, EPA’s New England region,

Region 1, is using a nontraditional, innovative approach to identify and address

environmental concerns. A Recon project is founded upon the concepts of


Annual Report on Enforcement and EPA Compliance Assurance Accomplishments in 1999



	

community-based and ecosystem-based environmental protection. The

Recon approach, which is to assemble a small, highly experienced team to

perform a short-term, intensive, and extensive multimedia environmental

investigation of a specific ecological or geographic area, enables the region to

strategically take a holistic approach (enforcement/compliance, assistance,

and outreach) to environmental protection in that study area.

In FY99, Region 1 continued activities based

on the Providence Recon. The Providence

Recon, whose study area consisted of

Providence, Rhode Island and five surrounding

communities, was conducted by EPA Region 1

from mid-June through September 1998. The

goals of the Providence Recon project were to:

• locate point sources along 14 miles of the Woonasquatucket River in the study

area;

• identify compliance, deterrence, and assistance opportunities in the study

area; and

• focus our limited resources to appropriate areas to maximize ecosystem

protection.

As part of this Recon project, Region 1 met with Occupational Safety and Health

Administration (OSHA) and state environmental staff to review files; conferred

and reviewed files at the Narragansett Bay Commission; located potential nonnotifying companies for all media through various sources; conducted field

reconnaissance on the river to locate pipes; performed drive-bys in six

communities; reviewed EPA databases and additional state databases and files

for over 2,500 facilities; and prepared a report summarizing the findings of the

project.

Since the Recon and through FY99, the New England Region has conducted

inspections (both single and multimedia) at over 50 facilities as a result of the

information provided in the Recon report. Of the 14 referrals made to the

Commission, four required pretreatment permits from them and one facility was

issued a notice of violation by the Commission for discharging without a permit.

The global positioning system locational information has been shared with the

Rhode Island Department of Environmental Management and community/

environmental groups within the Urban Rivers Team.

Protecting the Environment and Your Health

Through Compliance Monitoring Activities

Reducing Emissions Through Leak Detection and Repair Monitoring

In FY99, EPA’s National Environmental Investigations Center (NEIC) conducted

investigations to detect fugitive emissions from valves, pumps, flanges,

A key reason for the

success of the Recon

approach is the input

and information

provided by local

stakeholders.

Recon Approach is also

being used in EPA’s

Northwest Region,

Region 10, to analyze

enviromental problems

in an industrial district in

Seattle.


EPA Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999



	

compressors, pressure relief valves, and other piping components at a number of

petroleum refineries. The monitoring showed that the number of leaking valves

and components is up to 10 times greater than had been reported by certain

refineries. We believe this great disparity may be attributable to refineries not

monitoring in the manner prescribed in the federal regulations. Where

appropriate, these leaks are being addressed through enforcement actions.

Controlling Potential Particulate Emissions Through the Wood Heater

Program

To control particulate emissions, the manufacture and sale of new residential

wood heaters is regulated by EPA. Each new wood heater model line must be

certified and meet stringent rules designed to ensure continuous compliance. In

FY99, 26 new wood heaters were certified for sale in the United States; seven

rule-exemption requests were received and processed; 11 wood heater design

changes were approved; and 28 model line certificates were issued. Also during

FY99, enforcement actions were taken against eight manufacturers/retailers for

violations ranging from the illegal manufacture and sale of wood heaters to the

late renewal of the required “certificate of compliance.” Civil penalties totaling

$15,846 were assessed.

Protecting the Environment Through the RCRA Hazardous Waste ImportExport Program

In FY99, the Resource Conservation and Recovery Act (RCRA) Import-Export

Program exercised control over a very substantial volume of import and export

notices, totaling 1,539, with an average of more than five wastestreams each.

The Program, after reviewing records, identified and referred for appropriate

enforcement action five additional instances of apparent failure to notify wastes

for export prior to shipping, failure to fully document the departure of shipments

from the United States, or other violations.

Evaluating Waste Prevention Using the RCRA 6002 Inspection Guidance

As directed under the 1998 Executive Order 13101, EPA’s Federal Facilities

Enforcement Office developed and issued the RCRA 6002 inspection guidance

for use by EPA regional and state inspectors in determining federal facility

compliance with the buy-recycled program, established under Section 6002 of

RCRA. Through the end of FY99, approximately 15 inspections had been

conducted using this guidance.

Citizen Complaints

Citizen complaints are defined as any phone call, letter, or e-mail from individuals

regarding violations of environmental laws or regulations received by or referred

to the enforcement and compliance assurance program. (The definition does not

include regional responses to citizen lawsuits filed by individuals or groups.)

The informative

publication,

“International Trade in

Hazardous Waste: An

Overview,” EPA 305-K98-001, November

1998, is now available

on the Internet at

http://www.epa.gov/

oeca/ore/rcra/

110098.pdf


Annual Report on Enforcement and EPA Compliance Assurance Accomplishments in 1999



	

Examples of the various types of citizen complaints received include:

• potential air violations (e.g., idling truck, industrial park smoke stack

emissions);

• suspicious dumping activity;

• witnessing a truck dump bags of trash down a vacant lot embankment;

• frequent oil and fuel spills at a bus company lot abutting a stream;

• a circuit board assembly business operated out of a residence;

• an industrial company in close proximity to a pond; and

• potential mobile source violations (emission control device tampering and

warranty problems).

In response to the citizen complaints received in FY99, 47% were referred to

state or local agencies; 3% were referred to other federal agencies; 7% resulted

in compliance inspections; and less than 1% resulted in on-site visits (not

compliance inspections). Additional data on citizen complaints received in FY99

are found on page 10 and shown in exhibit 19.

A System to Track Citizen Complaints

In FY99, EPA’s Northeast Region, Region 2, implemented a Citizen Complaint

Tracking System. Citizen complaints can be a source of information that

otherwise might never come to the attention of EPA, particularly if the activity

being complained about cannot be linked to a specific facility (e.g., midnight

dumping) or originates at a facility that has never bothered to notify us of its

activities and is therefore not subject to regular inspections and oversight. Our

response to these complaints has a major impact on the public’s opinion of us, and

also influences whether or not the public sees a purpose in continuing to bring

such matters to our attention.

Accurately tracking citizen complaints is important, not only to ensure appropriate

response, but also to document for Congress the outcome of our activities in this

area, be accountable to the public for our actions, report our activities, and

measure the results of those activities.

For these reasons, Region 2 implemented a Citizen Complaint Tracking System.

The one-page form and instructions have been made available electronically to all

enforcement staff. Once completed, the forms are forwarded to the

Enforcement Coordinator for storage in an electronic table for quarterly reporting

and follow-up. Through centralized tracking, the region can verify that appropriate

follow-up has been completed. The system also provides a mechanism to

randomly review a sample of the complaints for consistent handling, adequate

response, and customer satisfaction. By listing the range of basic options for

response, the system provides a reminder to the person receiving the complaint of

the various state and local environmental partners who might provide a response

to issues outside EPA’s responsibility.

EPA’s Northeast

Region, Region 2,

received a Best Practice

Award in FY99 for its

Citizen Complaint

Tracking System, an

innovative compliance

monitoring approach.

Leading by Example

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EPA Annual Report on Enforcement and

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Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999



	

Data Assessments and Enhancements

Federal data systems are the foundation of most

national planning, targeting, measures, and

evaluation efforts. National databases include

information from both EPA and states delegated to

enforce national laws. The focus of these

databases is maintaining an accurate compliance

and enforcement record for regulated facilities, but

these systems are also sometimes related to information such as pollutant

releases, and geographic and demographic conditions. National data records

include whether compliance monitoring activity has occurred, whether violations

were found or self-disclosed, whether enforcement actions have been taken, and

whether penalties were assessed. This information allows EPA and other

interested users to examine trends and patterns relating to compliance monitoring

and enforcement. EPA continually evaluates and improves its environmental

databases to ensure the data accurately reflect our enforcement and compliance

assistance efforts and the status of the regulated community’s compliance. EPA

takes data quality very seriously, and continually works with state and local

agencies to make sure the national systems are properly fed with data.

Beyond the many enhancements made to internal systems, EPA has also been

working toward improving public access to these systems. In FY99, EPA

continued to develop a complete baseline data assessment for multiple industries

through the Sector Facility Indexing Project (SFIP). The SFIP measures key

environmental indicators for more than 640 industrial

facilities in five industrial sectors and provides public

access to a wealth of environmental information. The result

is a collection of facility-level profiles that provide

information on compliance and inspection histories,

chemical releases and spills, demographic characteristics of

surrounding areas, and facility production trends.

For environmental statutes, our traditional databases on

permits and enforcement actions provide compliance rate

data. In FY99, we enhanced the Clean Air Act database, the Air Facility

Subsystem (AFS) of the Aerometric Information Retrieval System (AIRS), to

better identify high-priority violations. We also improved DOCKET, the official

EPA database for tracking and reporting information on federal civil judicial and

administrative enforcement cases under all environmental statutes.

Enhancements to DOCKET resulted in added information on self-audits

conducted by facilities and improved quality of information on enforcement action

outcomes. In addition to these efforts, we made various improvements to 12

other national enforcement and compliance data systems and responded to over

1,000 user support requests relating to enforcement and compliance data systems.


Annual Report on Enforcement and EPA Compliance Assurance Accomplishments in 1999

3.B. Protecting the

Environment Through

Enforcement

Federal laws that protect our environment are

of little value unless they are fairly and

effectively enforced. EPA’s program serves

important values through enforcement actions

that reduce pollution, uphold the public’s right

to know, benefit local counties through

supplemental environmental projects, and

promote efficient resolution of serious violations. Last but not least, enforcement

establishes the “bottom line” for the entire regulated community by reassuring

those who spend time and money to comply with the law that they won’t be

undercut by unscrupulous competitors. This deterrent effect is critical to

motivating respect for environmental laws.

EPA has broad authority to investigate instances of noncompliance, and most

federal environmental laws make a range of enforcement responses available.

The type of response is tailored to the seriousness and circumstances of the

violation. For minor, short-term violations, particularly those that are quickly

corrected and have caused no harm, an informal response, such as a phone call or

letter, may be appropriate. EPA gives priority to taking enforcement actions that

reduce the greatest risks to human health or the environment and produce

maximum environmental benefit.

Our enforcement program also acts swiftly to address conditions that may present

an imminent and substantial endangerment to human health or the environment.

We have the authority under most major environmental laws to commence a civil

case in federal court [in coordination with the Department of Justice (DOJ)] or

issue an administrative order in situations where there may be a threat of

imminent and substantial endangerment to human health or the environment.

Increasing Effectiveness of Civil Enforcement

In FY99, our civil enforcement program continued to improve its effectiveness:

• Deter violations by recovering economic benefit. EPA seeks to

recover the economic benefit a violator gains by not complying with the

environmental requirements. For example, if a facility postponed the building

or operating of a required pollution control system, the penalty would include

any financial gain the facility realized from the postponement.


	

EPA Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

• Measure environmental results. EPA has been measuring the impact of

enforcement actions through estimating their pollutant reductions and other

benefits achieved since the formation of OECA in 1994.

Encourage supplemental environmental

projects (SEPs). To obtain the greatest possible

environmental benefits, we reduce penalties in

exchange for pollution prevention or control projects

that go beyond minimum legal requirements. These

SEPs often return tangible benefits to local communities in the form of

wetlands enhancement, reduced levels of lead or other contaminants, and

better response to emergencies.

• Develop and implement fair and consistent enforcement policies that deter

noncompliance and require the timely correction of violations.

• Provide notice to the regulated community and public of the most serious

violations and how to avoid them.

• For the Superfund and oil spill programs, recover the government’s costs for

environmental response actions and implement the site remediation

provisions of the laws.

Environmental Results

Environmental results achieved in FY99 are discussed in Part 2.

(see pages 4–15).

Improving the Environment Through

Enforcement Actions

The following are examples of FY99 enforcement actions that led to environmental

improvements in large part by addressing high-risk violations that are priority areas

for the enforcement and compliance assurance program.

• Cleaning Up Our Air. In the largest settlement in Clean Air Act (CAA)

enforcement history, seven heavy-duty diesel engine manufacturers will spend

more than $1 billion to settle charges that they illegally released millions of tons

of nitrous oxide (NOx) pollution into the air. The settlement resolved charges

that these companies violated the CAA by selling an estimated 1.3 million

engines equipped with “defeat devices” — software that allowed engines to

meet EPA emission standards during testing but disabled the emission control

system during normal highway driving. As part of the settlement, the

companies will pay an $83.4 million civil penalty, the largest in environmental

enforcement history, and undertake SEPs costing $109.5 million to lower NOx

emissions.

This year EPA prevented

75 million tons of

harmful nitrogen oxide

emissions from entering

the atmosphere by the

year 2025.





Annual Report on Enforcement and EPA Compliance Assurance Accomplishments in 1999




Curbing Air Pollution Through the Coal-Fired

Power Plant Enforcement Initiative. This

initiative, primarily targeted at coal-fired power

plants, refineries, and pulp/paper companies, is part

of a larger enforcement priority to address CAA

violations of New Source Review (NSR) and Prevention of Significant

Deterioration (PSD) requirements. At issue with the power plants is the

definition of “routine maintenance.” EPA maintains that 50-year-old power

generating facilities have undergone major updates that increase their

capacity and emissions, necessitating required permits and controls. The

companies maintain that these actions were routine maintenance that do not

rise to the level of “modifications” for which permits and controls are

required. With DOJ, we have filed enforcement actions against eight power

companies involving 32 different facilities located in 10 different states

(Alabama, Florida, Georgia, Illinois, Indiana, Kentucky, Mississippi, Ohio,

Tennessee, and West Virginia). One of these companies is the Tennessee

Valley Authority, a federally owned utility.

Using Innovative Efforts to Protect New

Hampshire’s Merrimack River. An innovative

agreement between EPA, the City of Manchester,

and the New Hampshire Department of

Environmental Services will address the city’s longstanding combined sewer overflow problem, which results in millions of

gallons of sewage/storm water being discharged into the Merrimack River

each year and subsequent frequent violations of water quality standards for

bacteria. The agreement, which includes a 10-year, $52.4 million plan to

remove the majority of sewer overflows into the river, also includes

environmental and public health projects, such as storm water management,

erosion control, restoration of urban ponds, environmental education, wetlands

protection, and a $500,000 program to reduce childhood asthma and lead

poisoning.

• Reducing Air Pollution From the Petroleum Refinery Sector. Since

1996, the petroleum refining sector has been a priority because of

the magnitude of its air pollution problems and its continued high

record of significant noncompliance. While there are relatively few

facilities (158 petroleum refineries), each tends to be large, handling

on average over 100,000 barrels of crude oil per day. The vast

majority of refinery onsite Toxics Release Inventory (TRI) releases

are air emissions (>75%). In a comparison to 492 other industry

categories included in EPA’s AIRS database, this sector ranked

first in emissions of volatile organic compounds (VOCs), second for

sulfur dioxide, third in nitrogen dioxide emissions, fourth for PM10,

and sixth for carbon monoxide. TRI releases reported averaged

502,403 pounds released per facility, and over 84 million pounds for

the sector as a whole.

Over the next 10 years,

this agreement will

eliminate 124 million

gallons of sewage/

storm water discharges

each year from

combined sewer

overflows.

Reducing Air Pollution

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EPA Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999




As part of a more strategic approach to correcting pollution problems in the

petroleum refining industry, EPA continues to shift from inspections towards

more targeted, and more resource-intensive investigations, focusing on air

pollution problems and new Resource Conservation and Recovery Act

(RCRA) requirements. As a result of the initial investigations, the number of

civil cases referred to the Department of Justice has increased in FY99.

Additionally, as a result of the investigations initiated in FY98 and FY99,

indications are that the numbers and environmental significance of referrals will

continue to increase in FY2000.

In FY99, there were 623 inspections at petroleum refineries, 8 referrals, 2

administrative penalty orders, and $10.7 million in assessed penalties.

Additional enforcement data are shown in exhibit 26.

Actions FY97 FY98 FY99

Injunctive relief (value of activities

to return company to compliance) $8.1 million $6.6 million $4.4 million

Number of compliance actions

required 38 28 5

Number of SEPs

(Value)

7

($2.7 million)

8

($14.8 million)

2

($11.1 million)



     
	  	 	 

Limiting Destruction of Wetlands, Creeks, and Streams. A

misapplication by developers of a 1998 court ruling (“Tulloch”

decision) is accelerating wetlands loss. This missapplication may

be due to an overly broad reading of the decision. As a result

some developers may be accelerating wetland loss through illegal

discharges. Estimates from just June 1998 to March 1999

indicate nearly 30,000 acres of precious wetlands across the

nation have been ditched, drained, or channelized. In light of this rapid, largescale destruction of wetlands, creeks, and streams, EPA has been increasing

enforcement of Section 404 and other Clean Water Act (CWA) requirements

(especially those relating to storm water) in an attempt to limit these losses.

Under the 1998 “Tulloch” decision, the D.C. Circuit Court found that EPA

and U.S. Army Corps of Engineers, by asserting jurisdiction over “any”

redeposit of dredged material, had exceeded their statutory authority under

the CWA. Despite this decision, the D.C Circuit Court acknowledged that

some redeposits of dredged materials into waters of the U.S. still constitute a

discharge of dredged material and, therefore, require a permit. Such


Annual Report on Enforcement and EPA Compliance Assurance Accomplishments in 1999




redeposits may include mechanized land clearing, sloppy disposal practices

alongside a ditch, removal from a streambed, and redeposit after mineral

extraction.

• Removing Threats from Hazardous Wastes and Toxic Gases. The FMC

Corporation, Inc. (FMC) will spend a total of approximately $170 million to

settle charges that it repeatedly violated the hazardous waste law at its

phosphorus production facility in Pocatello, Idaho. The charges against FMC

involved mismanagement of ignitable and reactive phosphorus wastes in

surface ponds. The pond sediments burn vigorously and persistently when

exposed to the air, and the wastes in these ponds generate phosphine and

hydrogen cyanide, highly toxic gases that can cause serious health and

environmental problems. It is also believed that migratory bird deaths in the

area may be attributable to phosphine poisoning.

FMC will close previously used surface ponds and construct a $40 million

waste treatment plant to deactivate the phosphorus-bearing wastes. Costs

associated with all the injunctive relief required under the settlement are

expected to exceed $90 million. FMC also has committed to over a dozen

SEPs with a capital cost of $63 million, which will significantly improve air

quality in the Pocatello region. As a final SEP, FMC will conduct a $1.65

million public health assessment and education program to

investigate the effects of contaminants generated by FMC

on human health and the environment, particularly within

nearby tribal lands.

• Reducing Risks of Contaminants in Drinking Water.

In FY99, a consent decree was entered requiring filtration

of New York City’s Croton Water Supply to reduce the risk

of cryptosporidium and other contaminants for the nearly one million residents

it serves, including the elderly and young. Required under the Safe Drinking

Water Act, filtering drinking water substantially reduces the risk of

waterborne disease in surface water systems, which are more susceptible to

potential contamination from human and animal wastes and from microbial

contaminants.

In this decree, the city agreed to filter the Croton Water Supply, completing

the filtration plant by March 1, 2007. The decree also provides for $5 million

in SEPs and $1 million in cash penalties. New York City will monitor the

quality and safety of its Croton Water Supply until the filtration system is in

full operation, and will implement watershed protection measures, including

purchasing land and replacing faulty septic tanks with sewers and preventing

storm water runoff from contaminating the watershed.

FMC’s SEP will reduce

approximately 436

tons of particulate

matter per year in

emissions of dust and

soot at the facility.

Enforcement actions in

New York City will

reduce the risk of

waterborne disease in

surface water systems

by requiring filtration.


EPA Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999




• Repairing Damage from Mine Waste Contamination. The Atlantic

Richfield Company (ARCO) will spend $260 million — including a $1.8 million

penalty — to clean up and restore natural resource damages caused by mine

waste contamination in the Clark Fork River Basin. As part of the two

settlements reached with the State of Montana and the Confederated Salish

and Kootenai Tribes of the Flathead Nation, ARCO will pay $80 million for

the cleanup of the Silver Bow Creek and $20 million to restore wetlands, bull

trout habitat, and other natural resources. ARCO has committed to perform

additional restoration to create, restore, or enhance 400 acres of wetlands,

primarily in the Anaconda area, which is estimated to cost $3.4 million.

• Stopping Water Pollution. On July 21, 1999, Royal Caribbean Cruises

Lines, Ltd., pled guilty to 21 violations of federal law and was fined $18 million

for violating the CWA and the Oil Pollution Act (OPA) by dumping waste oil

and hazardous chemicals into the ocean and for making false statements to

the U.S. Coast Guard. Royal Caribbean will institute a five-year

environmental compliance plan.

• Reducing Threats from Lead Contamination. On December 4, 1998,

Burlington Northern Santa Fe Railroad Company (BNSF) pleaded guilty and

was sentenced for criminal violations of the CWA and the Comprehensive

Environmental Response, Compensation, and Liability Act (CERCLA).

These violations stemmed from railcar cleaning operations that resulted in the

unpermitted discharge of lead cyanide into waters of the United States and the

significant accumulation (approximately 40,000 tons) of lead-contaminated

materials at the site. Lead is a highly toxic chemical element that is a known

cause of significant neurological and bone diseases. BNSF was ordered to

pay a fine and restitution of $10 million and spend another $9 million for site

remediation.

CERCLA Enforcement Accomplishments

In FY99, impressive results were achieved by the Superfund enforcement

program, including:

• Securing Potentially Responsible Party (PRP) Commitments. In FY99,

the Superfund enforcement program secured PRP commitments exceeding

$780 million, including settlements for more than $550 million in future

response work and settlements for over $230 million in past costs. Since

Superfund’s inception in 1980, the total value of private party commitments

(future and past) is approximately $16.2 billion ($13.5 billion in response

settlements and $2.7 billion in cost recovery settlements).

Settlement actions have

resulted in the

restoration of 400

acres of wetlands, bull

trout habitat, and other

natural resources.


Annual Report on Enforcement and EPA Compliance Assurance Accomplishments in 1999




• Spurring PRP Actions. In FY99, PRPs initiated over 80% of the remedial

work at National Priority List (NPL) sites. PRP commitments for remedial

design/remedial action response work exceeded $438 million. Remedial

response settlements included 33 consent decrees referred to DOJ, 17

unilateral administrative orders (UAOs) with PRP compliance, and 3 other

administrative orders on consent (AOCs) or consent agreements for response

work.

• Promoting Enforcement Fairness. To promote enforcement fairness and

resolve small party contributor’s potential liability under Section 122(g) of

CERCLA, the Superfund enforcement program concluded 38 de minimis

settlements with over 3,700 parties in FY99. Through the end of FY99, EPA

has achieved over 430 settlements with more than 21,000 small volume waste

contributors.

• Promoting Redevelopment of Contaminated Properties. We have

sought to protect prospective purchasers, lenders, and property owners from

Superfund liability through prospective purchaser agreements. With these

agreements, bona fide prospective purchasers were not held responsible for

cleaning up sites where they did not contribute to or worsen contamination.

In FY99, 24 prospective purchaser agreements were signed, bringing the total

to over 100 agreements reached to date.

• Offering Orphan Shares. Over the past four years, we have offered to

compensate viable settling parties approximately $175 million at 98 sites in

recognition of the shares attributable to insolvent and defunct parties (i.e.,

“the orphan share”). In most cases where orphan shares were offered,

settlement was reached with the viable parties.

• Achieving Cost Recovery Settlements. EPA achieved a total of 236 cost

recovery settlements estimated at over $230 million and collected over $320

million in past costs. To date, the program has achieved approximately $2.7

billion in cost recovery settlements and collected over $2.4 billion in past

costs.

• Issuing Administrative Orders. EPA signed a total of 166 AOCs, and

issued 52 UAOs at CERCLA sites. In addition, the Agency resolved or

referred 245 costs recovery cases. Of these cost recovery actions, there

were 71 CERCLA §107 referrals to DOJ, 36 administrative settlements, 40

consent decrees, 7 bankruptcy referrals, and 91 decision documents to writeoff past costs.

Cleaning Up the Avtex

Fibers Superfund Site

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Annual Report on Enforcement and

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* 17 different sectors reached

Based on 333,118 regulated entities reached

Source: RCATS

Assistance for Specific

Industry Sectors* (42%)

Assistance about Statutory

Requirements (58%)



	


3.C. Promoting Compliance

Through Assistance

Environmental regulations can be

complex, and companies, particularly

small businesses, sometimes need

assistance to help them comply. The

key, as illustrated by EPA’s compliance

assistance activities in FY99, is to get the

information on environmental

requirements into the hands of all

businesses—small, medium, and large—who want to comply.

In FY99, EPA continued to promote the regulated community’s compliance with

environmental requirements through our compliance assistance programs. EPA’s

collective compliance assistance efforts (on-site visits; compliance assistance

hotlines; workshops/training and presentations at meetings; distribution of

compliance assistance tools such as compliance checklists and guides) in FY99

reached 333,118 regulated entities4

. As shown in exhibit 24, these regulated

entities were reached through compliance assistance focused on industry sectors

(42%) or specific statutory requirements (58%).

A majority of our compliance assistance efforts involved the distribution of

compliance assistance tools (87% of entities reached) followed by workshops

(10.5% of entities reached). Within the sector areas for which compliance

assistance information is tracked, auto service and repair facilities received the

highest amount of assistance (34%), followed by federal facilities (5.6%). Most

of our statute-based compliance assistance was focused on the Emergency

Planning and Community Right-to-Know Act (EPCRA) (71.9%) and the Clean

Air Act (CAA) programs (13.7%).

In FY99, we continued to increase our role as a “wholesaler” of compliance

assistance information. This wholesaler approach was described in EPA’s 1999

4. Regulated entities were counted based on each type of compliance assistance they

received. Therefore, a regulated entity may be counted more than once.



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Annual Report on Enforcement and EPA Compliance Assurance Accomplishments in 1999



	


Action Plan for Innovation (EPA 300-K-99-003). As a wholesaler, EPA will

advance the practice of compliance assistance by developing tools and materials

in a timely manner and then work with a network of state, tribal, and local

compliance and technical assistance providers who deliver the

assistance directly to the regulated community.

As one example of our wholesaler approach, we launched an

ambitious effort to develop a compliance assistance “clearinghouse”

in FY99. The clearinghouse will be a nationally accessible and

searchable Web site that will give users access (via Web links) to

compliance assistance tools and materials developed by EPA, states,

trade associations, and other assistance providers. We hope to have

the clearinghouse operational by September 2000.

Promoting Positive Change Through

Compliance Assistance Centers

As explained on page 12, EPA operated nine sector-based Compliance

Assistance Centers designed to help small businesses and small governmental

entities understand and comply with their regulatory obligations in FY99. Three

of these Centers received awards:

• CCAR-Greenlink® — the automotive

service and repair center — has been

selected to receive a Vision 2000 Model

for Excellence Award by the Office of

Small Business Advocacy for its work

with “regulations that work for small

business”;

• ChemAlliance — the chemical

manufacturers center — has been listed by the Dow Jones Business

Directory as a “select site”; and

• The National Agriculture Compliance Assistance Center (Ag Center) has

been selected by the editors of @gOnline, Successful Farming’s online

magazine, as a “high-ranking site.”

In FY99, Headquarters continued its partnership with the Coordinating Committee

for Automotive Repair (CCAR) in operating the GreenLink® compliance center.

The Center completed a second national survey of automotive shops around the

nation, measuring the level of compliance at each shop. This compliance level

(reported as a percentage) is based on the total number of activities identified as

positive or correct divided by the total number of shop activities. The results of

the survey indicate that compliance assistance activities can improve the level of

compliance. This is the first time that a statistical study was done to measure the

overall compliance of a sector’s activities.

And the Surveys

Say.....

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Compliance Level

0-25%

10%

20%

30%

40%

50%

60%

26-50% 51-65% 66-80% 81-95% 96-100%

1997

1999

Courtesy of: Coordinating Committee for Automotive Repair



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EPA Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999



	


New survey statistics from CCAR-Greenlink®, presented in exhibit 26, show that

compliance assistance projects are having a profound effect on the auto service

and repair industry’s level of compliance. This survey of 400 shops, compared to

the 1997 baseline survey, indicates the level of compliance (as described above)

improved. In FY99, 56% of the industry achieved a high level of compliance

(defined here as compliance with 81-95% of requirements or with 96-100% of

requirement) as compared to 26% in 1997, which is a two-fold improvement.

CCAR-Greenlink® has also become an important compliance tool that many auto

shops now rely on, with users increasing from 1,000 shops in FY97 to 21,000

shops in FY99.

Improving Compliance Through Access to

Information

Compliance Assistance Centers

National Agriculture Compliance

Assistance Center

1-888-663-2155

http://www.epa.gov/oeca/ag

National Metal Finishing Resource

Center (NMFRC)

1-800-AT-NMFRC (286-6372)

http://www.nmfrc.org

Paints and Coatings Resource Center

http://www.paintcenter.org

Printed Wiring Board Resource

Center (PWBRC)

http://www.pwbrc.org

Printers’ National

Environmental Assistance

Center (PNEAC)

1-888-USPNEAC (877-6322)

http://www.pneac.org

Transportation Environmental

Resource Center

1-888-459-0656

http://www.transource.org

CCAR-GreenLink®

1-888-GRN-LINK (476-5465)

http://www.ccar-greenlink.org

ChemAlliance

1-800-672-6048

http://www.chemalliance.org

Local Government

Environmental Assistance

Network (LGEAN)

1-877-TO-LGEAN (865-4326)

http://www.lgean.org

In addition to these Centers, EPA continued to develop a wide variety of

compliance assistance materials to promote compliance with environmental laws

on an industry-by-industry basis. In FY99, we completed 10 sector guides and

more than 30 other outreach documents for industries. These materials included:

• Understanding Sectors. We added three new sector notebooks covering

the oil and gas extraction industry, the aerospace industry, and local

government operations, bringing our total portfolio to thirty sector notebooks.

Each notebook contains important sector information that help facilities

recognize and resolve compliance problems, applicable federal regulations,

compliance history, profiles of chemical releases, and pollution prevention

opportunities. To date, over 450,000 notebooks have been distributed, and

they remain one of EPA’s most popular products. To view EPA’s sector

notebooks, visit http://www.epa.gov/oeca/sector.

• Helping with Audit Protocols. We developed four environmental audit

protocol manuals to assist the regulated community in conducting


Annual Report on Enforcement and EPA Compliance Assurance Accomplishments in 1999



	


When compliance

assistance was offered

in EPA’s Northeast

Region, the result was

an estimated reduction

of 11.9 tons of perc

emissions.

environmental audits. The audit protocols cover

EPCRA, the Resource Conservation and

Recovery Act (RCRA) and the Comprehensive

Environmental Response, Compensation and

Liability Act (CERCLA). To date, EPA has

distributed approximately 7,500 audit protocols to

industry and regulators. These audit protocols are available on the Internet at

http://es.epa.gov/oeca/ccsmd/profile.html#audit.

• Consolidating Environmental Resources for Tribes. We developed a

guidebook, the “Environmental Management Resources for Indian Tribes,”

which includes over 170 environmental resources specifically available to

tribes for developing and strengthening their environmental programs. It also

helps public sector entities understand their responsibilities, both as coregulators and as regulated entities.

Getting Results Through Assistance

In addition to these compliance assistance materials, EPA successfully conducted

many compliance assistance and outreach activities in FY99. These are

described below.

Promoting Compliance with Environmental Management Reviews

Environmental Management Reviews (EMRs) focus on the system of policies

and procedures a facility consistently uses to address environmental issues

and maintain compliance with environmental regulations. In FY99, we

conducted 22 on-site EMRs at federal facilities, specifically examining each

facility’s structure, environmental commitment, internal and external

communications, formality of environmental programs, staff training and

development, program evaluation and reporting, and environmental planning

and risk management. Information from these reviews allowed us to identify

common strengths and areas of improvement needed in Environmental

Management Systems (EMSs) at federal facilities.

Improving Environmental Practices of Printers

In FY99, EPA’s New England Region, Region 1, sent

its Fit To Print compliance assistance guide to over

1,400 printers. Of those responding to an evaluation of

the guide, 70% said that they had undertaken improved

environmental practices (e.g., equipment changes/

modifications, material substitution, recycling, training,

institution of environmental management policies or procedures, improved

disposal methods) as a result of the guide. These facilities also said they

applied for appropriate permits or identification numbers or filed reports to

comply with federal, state, or local environmental regulations.

Assisting the regulated

community with audit

protocol manuals.
	

EPA Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999



	


Improving the Environment by Assisting Auto Service and Repair

Shops

Region 1’s New England Environmental Assistance Team surveyed over

14,000 recipients of their auto service and repair assistance. Of those

responding, 76% said they improved environmental practices as a result of the

assistance they received.

Reaching Out to Dry Cleaners Results in Perchloroethylene Reductions

EPA’s Northeast Region, Region 2, in coordination

with New York State agencies, focused compliance

assistance efforts on dry cleaners in New York and

New Jersey. Their outreach efforts included on-site

visits; distribution of easy-to-understand guides to

Clean Air Act requirements; development of a Web

site for compliance assistance information; and eight seminars on equipment

maintenance and new technologies conducted for approximately 500 owners/

operators.

Increasing EPCRA Compliance Among Metal Plating and Coating

Sectors

For its Metal Finisher Initiative, EPA’s Great Lakes Region, Region 5, gave

over 3,500 facilities EPCRA fact sheets, special color-coded Emergency and

Hazardous Chemical Inventory forms, and a copy of the Extremely Hazardous

Substance List to help them determine whether they needed to comply. In

working with its state partners, the region brought 252 of its 4,800 metal

plating and coating facilities into compliance with EPCRA.

Consolidating Compliance Information for Storm

Water Permit Holders

Region 6, EPA’s Southwestern Region, delivered

compliance help to 1,300 state, municipal, private and

federal storm water permit holders, by: (1) creating a Web

site which contains comprehensive storm water guidance,

permit information, regulations, databases, and contacts; (2)

speaking at conference and trade association meetings; and (3) mailing 6,000

assistance letters to the construction industry.

Increasing Compliance Through Seminars

Region 6 held a series of seminars for the

industries on the Texas/Mexico Border, as well as

for maritime industries. As a result, 95% of

evaluated survey respondents (total of 20

respondents) felt they were more aware and knowledgeable about

environmental requirements and opportunities; 50% implemented procedures

to improve environmental practices; and 35% reduced wastes.



Annual Report on Enforcement and EPA Compliance Assurance Accomplishments in 1999



	


Improving Practices Through Workshops

In FY99, EPA’s Region 7 office in Kansas City offered a series of EPCRA/

Toxic Release Inventory (TRI) workshops. When evaluated, 58% of the 132

respondents felt the workshops helped them to determine if their facility was

subject to reporting requirements of EPCRA; and 52% believed the workshop

information helped them to improve their records management and their

completion of the TRI Form R.

Improving Understanding of Environmental Enforcement Through NETI Training

The National Enforcement Training Institute

(NETI) and its partners trained 8,421

environmental enforcement professionals in

FY99. Training state, local, and tribal personnel

remained a strong focus of NETI’s efforts, as

4,767 students (57%) were trained from these

organizations. A total of 3,334 federal

employees received training (40%), and

international and other students numbered 320 (3%). NETI and its partners offered at least 86

different courses and 262 presentations in FY99. One partner, the Criminal Investigation Division,

provided training and community outreach presentations to more than 10,800 persons nationwide in

FY99. The four Regional Environmental Enforcement Associations and the National Association

of Attorneys General also received EPA funding to support their training efforts.

NETI debuted a new type of training course this year, “Enforcement Teamwork: Regulations to

Resolutions,” which provides an overview of the basic procedures and issues surrounding all

aspects of the enforcement program, focusing on teamwork, case development, field work, and

case resolutions. To strengthen the teamwork concept, this week-long course was designed for a

residential setting. Twenty-five federal, state and local government employees attended the pilot

course, which was held at the U.S. Fish and Wildlife Service’s National Conservation Training

Center in Shepherdstown, WV.

In addition, the Environmental Enforcement Curricula were released this year. NETI developed

curricula for five major categories of environmental enforcement professionals — attorneys,

technical experts, inspectors, civil investigators, and criminal investigators. The curricula were

developed as a tool for NETI to use in assessing training needs and should also be useful to

environmental professionals who are in the process of developing their own career development

plans. These curricula provide suggested skills and training for federal, state, local, and tribal

employees. The curriculum describes each discipline generally, identifies other position

requirements, if any, and lists the knowledge, skills, and abilities necessary to achieve competency

in that discipline. The complete curricula are available via the Internet at http://www.epa.gov/

oeca/neti.

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EPA Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999




3.D. Bringing Companies Into

Compliance With

Incentives

Encouraging SelfDisclosure Through

EPA’s Audit Program

EPA developed the Audit Policy

[Incentives for Self-Policing:

Discovery, Disclosure, Correction and

Prevention of Violations, 60 Fed. Reg. 66706 (Dec. 22, 1995)] to encourage

voluntary auditing and self-disclosure of environmental violations and to provide a

uniform enforcement response toward such disclosures. The Audit Policy

provides incentives for companies to develop environmental audit and compliance

management systems to detect, disclose, and correct environmental violations.

When companies voluntarily discover and promptly disclose environmental

violations to us (and meet other specified conditions of the policy), we will waive

or substantially reduce gravity-based civil penalties by 75% or, in most cases, by

100%. For those meeting the policy’s conditions, where applicable, we will not

recommend the companies for criminal prosecution.

Disclosure activity has increased every year since the effective date of the policy.

In FY99, EPA obtained self-disclosures under the Audit Policy from 260

companies reporting violations in approximately 1,000 of their facilities (see exhibit

20). A total of 700 of these disclosures resulted from targeted self-audit initiatives.

Some of these companies are large multi-state corporations like GTE and American

Airlines.

Improving Compliance Through Voluntary

Corporate-Wide Auditing Agreements

Use of corporate-wide auditing agreements is expanding. During the past 18

months, EPA has negotiated corporate-wide auditing agreements with companies to

audit and correct violations of Clean Air Act (CAA), New Source Review (NSR)

Standards at 40 facilities (see sidebar “Making the Air Cleaner Through a Voluntary

Agreement”); emergency notification and spill prevention requirements at 17

telecommunication companies; CAA federal fuel standards at a major airline; and

Toxic Substances Control Act (TSCA) violations at two major chemical

companies.

The Audit Policy is

proving to be an

effective approach for

companies to improve

environmental

compliance.

By using the Audit

Policy to establish

corporate-wide auditing

agreements, large

multi-state corporations

disclosed violations at

multiple facilities in

FY99.


Annual Report on Enforcement and EPA Compliance Assurance Accomplishments in 1999




Corporate-wide auditing agreements are designed to

address potentially high-volume disclosures and to

provide the efficiency of a sole mechanism for

analysis and settlement of similar or voluminous

violations. These agreements are optimal for

companies with facilities located in more than one

EPA region to ensure that disclosures are processed

on the same schedule and with one point of contact.

We require that an auditing agreement be in writing and that the facilities to be

audited are identified. Based on the breadth and complexity of the audit, EPA

and the company can reach mutually acceptable terms regarding schedules for

audit commencement and completion and disclosure and correction of violations.

Additionally, the company and EPA can define, in advance, economic benefit for

certain violation types (where applicable) and violations ineligible for relief. Such

definitions provide advanced knowledge of potential statutory

penalties for specific violation types.

For companies, corporate-wide auditing agreements provide the

opportunity to evaluate corporate practices and environmental

compliance without the stigma of an enforcement action, and

removes the uncertainty and cost of litigation, attorneys’ fees and

sanctions for violations. An agreement provides companies with

assurance that violations disclosed over an extended schedule will

meet EPA’s expectations for timely disclosure. This approach also

can provide an opportunity for companies to design and implement

practices that incorporate environmental compliance into corporate

operations. Corporate auditing agreements provide EPA with an

efficient and economical means of improving and ensuring

environmental compliance.

EPA understands that, as with most enforcement actions,

confidentiality is important to companies. When we enter into

settlement discussions or a settlement agreement with a company as

a result of an audit disclosure, we protect information disclosed by

the company as set forth in our “Confidentiality and Information

Received Under Agency’s Self-Disclosure Policy” (1997).

Companies interested in an auditing agreement should contact the

EPA regional office in which their facilities are located or, in the

case of multi-regional facilities, contact the EPA Office of

Regulatory Enforcement.

Making the Air Cleaner Through a

Voluntary Agreement

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EPA Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999




Corporate-Wide Auditing Results in

Environmental Protection

The following examples illustrate the success of recent corporate-wide auditing

agreements and programs and show how such agreements can be tailored to

meet the needs of companies in specific auditing situations.

Eliminating Air Pollution Through the

American Airlines Audit Settlement

In FY99, an audit settlement agreement

between EPA and American Airlines (AMR

Corporation) resolved violations discovered

through a corporate audit of the company’s

facilities at 152 airports. Based on the audit,

American Airlines reported numerous violations, occurring from October 1993 to

July 1998, of federal diesel fuel regulations that prohibit the use of high-sulfur fuel

in motor vehicles. Under the terms of the settlement, EPA cut total penalties by

more than 90% for violations that the airline voluntarily disclosed and promptly

corrected. The company also agreed to additional pollution reduction measures at

Boston’s Logan airport.

Reducing Environmental Threats from IndustryWide Problems: An Agreement with the

Telecommunications Industry

In 1998, EPA reached a settlement under the Audit

Policy with GTE Corporation, resolving 600 violations of

emergency notification and spill prevention requirements

at 314 sites. As a result of this action, EPA contacted

members of the telecommunications industry to heighten awareness of potential

environmental requirements and the cost effective approach of using the Audit

Policy. Response to our initial outreach efforts and subsequent self-disclosures

indicated that GTE’s compliance problems were indicative of an industry-wide

problem. In FY99, EPA reached final settlements with 10 telecommunications

companies that voluntarily disclosed and promptly corrected 1,300 environmental

violations that occurred at more than 400 of their facilities nationwide. EPA

waived over $4.2 million in gravity based penalties and collected $128,772

representing economic benefit gained from delayed compliance. The settlement

included remedial actions for violations of EPCRA and/or CWA Spill Prevention

Control and Countermeasures (SPCC) requirements to (1) properly notify local

emergency planning committees of the presence of hazardous chemicals, and (2)

prepare spill prevention plans to not only reduce the risk of environmental

accidents, but also protect the safety of the personnel who respond if an accident

occurs.

The violations disclosed

and corrected by

American Airlines alone

will eliminate nearly

700 tons of air

pollutants every year.

Using corporate-wide

audit agreements,

telecommunications

companies corrected

more than 2,000

violations of

emergency notification

and spill prevention

requirements in FY99.


Annual Report on Enforcement and EPA Compliance Assurance Accomplishments in 1999




Reducing Toxic Releases Through Voluntary Corporate Auditing

Agreements

During FY99, our Toxics and Pesticides Enforcement Division negotiated and

entered into corporate-wide auditing agreements with two major chemical

companies. These companies agreed to conduct a voluntary TSCA compliance

review, thereby establishing the first pre-negotiated audit agreements in the

absence of a civil action consent agreement with EPA. The agreements allow

the companies to self-audit and promptly disclose and correct violations with the

certainty of receiving 100% penalty mitigation — or a negotiated stipulated

penalty amount.

Reducing Water Pollution Through

Compliance Audit Agreements with Pork

Producers

Animal waste runoff from animal feeding

operations is a major source of water pollution

that can cause environmental and public health

threats. In FY99, as part of President Clinton’s Clean Water Action Plan to

eliminate water pollution caused by contaminated runoff, EPA and the National

Pork Producers Council developed a voluntary compliance audit program (CAP)

to reduce these threats to waterways from pork-producing operations. Under this

initiative, participating pork producers will have their operations voluntarily

assessed for violations by certified independent inspectors. Producers who

promptly disclose and correct any discovered violations from these audits will

receive a much smaller civil penalty than they might otherwise be liable for under

the law. The CAP, while providing an incentive for pork producers to find and

correct CWA violations, does not compromise the ability of EPA or states to

enforce the law.

Encouraging Compliance Through an Incentive Program

In FY99, EPA conducted a compliance incentive program aimed at encouraging

the industrial organic chemical sector to take advantage of our Audit Policy and

directing interested facilities to resources that may assist them in performing

environmental audits. Approximately 1,000 facilities were invited to participate in

the program in 1998. To participate, facilities were given 6 months to

perform voluntary environmental audits of their operations, identify

potential areas of noncompliance uncovered by the audit, and report

these findings. In letters sent to the facilities, EPA explained that

while the Audit Policy usually requires disclosure of violations within

10 days of discovery, disclosure in the 6-month period ending

January 31, 1999, would be considered prompt under the incentive

program. After the deadline, EPA and authorized states increased

inspections in the sector.

This compliance audit

program provides an

incentive for pork

producers to take the

initiative to find and

correct Clean Water Act

violations and prevent

discharges to

waterways.

Help From Audit Protocols

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EPA Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999




Under the incentive program, 19 companies disclosed violations at 51 different

facilities. At 32 of these facilities, violations were identified under more than one

media program. Ten companies disclosed violations at several of their plants.

Due to the complexity of these multimedia, multi-regional disclosures, EPA is still

working to resolve many of the disclosures received.

Voluntary Audit and Disclosure of TSCA Section 12(b) Export

Notifications Initiative

In FY99, EPA launched the Voluntary Audit and Disclosure of TSCA Section

12(b) Export Notifications Initiative developed for chemical manufacturers that

export chemicals regulated by TSCA. TSCA Section12(b) export notices alert

foreign governments receiving imported chemicals from the United States of

hazardous chemical substances or mixtures for which EPA has issued

regulations. The notices generally inform the receiving country that EPA has

issued a rule requiring testing of a particular chemical substance, or for which

EPA has promulgated a regulation of a certain hazardous chemical substance,

such as PCBs.

EPA, working in partnership with the Chemical Specialties Manufacturers

Association and the Chemical Manufacturers Association, notified companies

with no prior enforcement history of chemical export notifications under TSCA

Section 12(b) that they were allowed to send EPA a notice of intent to audit for

Section 12(b) violations. If companies audited and corrected their Section 12(b)

violations by September 1, 1999, EPA would issue a Notice of Noncompliance in

lieu of a civil penalty. Eighty companies submitted their intention to audit, and

EPA issued 43 Notice of Noncompliance. Through their audits, the participating

companies discovered 9,510 recent violations of exporting a toxic chemical

without notifying EPA.
EPA Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Appendix A:

Priority Industry Sectors
	

 

EPA Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

A sector-based approach allows EPA to think broadly about the nature of the

compliance problems facing a particular industry, and to address those problems

with the appropriate tool or mix of tools.

Automotive Service and Repair Sector

Sector Profile

The automotive service and repair sector comprises the largest number of

conditionally exempt and small quantity generators of any industrial/

commercial sector. The types of pollutants, as well as the widespread

location and sheer numbers of these shops, led EPA to designate this sector

as a priority in FY96.

Key Activities and Accomplishments

Compliance Assistance: In FY99, EPA reached 17,662 shop owners and

managers using a variety of vehicles such as meetings and training, fact

sheets, and on-site visits. In particular, several of the regional offices worked

with various state, industry and educational institutions to contact automotive

shop owners and managers, often targeting specific groups. For example,

Region 1 focused on the automotive collision and body shop sector and

worked with owners and managers to reduce volatile organic emissions.

Region 2 worked with the Greater New York New Car Dealers Association

to assist its members in understanding environmental regulations as they

pertain to their shops. Region 4, the State of Georgia, and Georgia Tech

completed outreach activities to rural automotive repair shops (see specifics on

page 15).

Inspections and Enforcement: Over the past three years, regions and

states have focused inspection and enforcement efforts on

chlorofluorocarbon (CFC) and reformulated gas emissions, hazardous waste,

underground storage tanks, and underground injection control Class V wells. In

FY99, 1,749 inspections were conducted and 283 final orders were entered for a

total assessed federal penalty of $883,431.

Strategic Approach: EPA estimates that approximately 500,000 shops service

or repair automobiles and light trucks. While the industry is not subject to difficult

technical requirements, the challenge has been getting shop owners to understand

their responsibilities. Therefore, we work to provide compliance information to

the shop owners through various communications channels so they can

understand the basic requirements. Once this is achieved, shop owners are then

provided with additional information identifying several compliance assistance

providers within their state who can assist them with learning about how their

state environmental programs operate.

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Annual Report on Enforcement and EPA Compliance Assurance Accomplishments in 1999

Coal-Fired Power Plants

Sector Profile

This sector, which consists of approximately 466 facilities, generates

the most electricity in the utility industry, accounting for more than

75 percent of the net generation for fossil fuel energy sources.

Compliance Status: Since 1997, approximately 70% of coal-fired

power plants have been inspected annually for compliance with either

air, water, or hazardous waste laws. A total of 423 inspections were

conducted in FY99. The number of facilities regulated under the

Clean Air Act (CAA) in significant noncompliance (SNC) declined

from 59 to 38 in the past year, while those under Clean Water Act

(CWA) rose from 31 to 37. New facilities identified during FY99 as

being in SNC included 15 (for CAA) and 46 (for CWA).

EPA made 17 civil referrals of coal-fired power plants in FY99, an increase of 13

from the previous year. Most referrals were violations of Prevention of Significant

Deterioration (PSD), New Source Performance Standards (NSPS), State

Implementation Plans (SIPs), and other CAA regulations. All 17 sources in the

referrals are located in Regions 3, 4, and 5. EPA initiated 13 administrative penalty

order (APO) complaints and collected approximately $250 thousand in penalties for

FY99. Settlements with coal-fired power plants in general generated $1.7 million

in penalties during FY99. Since 1997, 73 civil actions (19 for FY99) have been

settled in the sector, totaling more than $2.1 million in civil judicial and

administrative penalties. Activities to return facilities to compliance were valued at

$224.5 million with another $4.7 million invested in supplemental environmental

projects (SEPs).

Key Activities and Accomplishments

Inspections and Enforcement: For the past two years, EPA Headquarters and

Regions 3, 4, and 5 have been investigating the expansions in the power industry

with the goal of having pollution controls (SOx

 and NOx) on the plants with the

greatest amounts of pollution. We evaluated the compliance status of these power

plants. As a result of the PSD/New Source Review (NSR) compliance initiative,

EPA and DOJ recently filed lawsuits against seven of the nation’s largest utility

companies. In addition, EPA filed an administrative order against the Tennessee

Valley Authority. The ongoing investigations of these facilities and other utility

companies will continue into FY2000/2001.

Region 8 initiated comprehensive evaluations of CAA compliance at the 38

coal-fired power plants in the region. These evaluations include analysis of the

most recent state inspection report and review of two years of quarterly excess

emission summary data for each facility. The region will identify discrepancies

between the utilities and states as to how they report excess emissions and

monitoring downtime and follow-up with the appropriate enforcement responses.

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EPA Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Concentrated Animal Feeding Operations

(CAFOs)

Sector Profile

Within the agricultural sector, animal feeding operations

(AFOs) represent a large potential source of polluted runoff.

AFOs are livestock-raising operations where animals, such

as beef cattle, hogs, chickens, and turkeys, are kept and

raised in confined places, resulting in a high concentration of

pollutants on a small land area. AFOs are a priority under

the President’s Clean Water Action Plan (February 1998)

and the Unified National Strategy for Animal Feeding

Operations (March 1999) issued by USDA and EPA.

Of the 450,000 AFOs nationwide, approximately 12,500 of

them are considered to be concentrated animal feeding

operations (CAFOs) due to the large number of animals

present at the facility (over 1,000 animal units) or the

method of discharge from the facility. AFOs/CAFOs are

distributed across the United States, with a heavier

concentration in the mid-plains, eastern seaboard, and

western coastal regions. In recent years, as the livestock industry has consolidated

into fewer and larger operations (particularly for poultry and hogs and increasingly

in the dairy industry), the effects of polluted runoff from AFOs/CAFOs on water

quality have assumed increasing importance.

Compliance Status: CAFOs are “point sources” under the CWA, subject to the

National Pollutant Discharge Elimination System (NPDES) permit requirements if

they cause pollutants to be discharged to waters. Currently, the CAFO sector has

many facilities operating outside the federal NPDES regulatory system. Though

NPDES permitting of CAFOs is anticipated to increase with subsequent entry of

permit information into the permit compliance system (PCS), few states or EPA

regions today maintain an accurate inventory of CAFO facilities.

Pollutant Profile

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Annual Report on Enforcement and EPA Compliance Assurance Accomplishments in 1999

Key Activities and Accomplishments

Compliance Assistance: The National Agriculture

Compliance Assistance Center (Ag Center) developed

and implemented an Interagency Agreement with the

U.S. Department of Agriculture (USDA). The

livestock portion of this Agreement focuses on

environmental issues specific to livestock

management, pursuant to which EPA is developing a

national curriculum for livestock operators. In FY99,

the Ag Center distributed more than 25,000

documents, many of which supported AFO listening

sessions held across the country; expanded its Web

site to include an “Animal” page and nutrient

management information; and developed six speciesspecific fact sheets explaining permit requirements.

Through a grant from EPA and Region 4, the

Conference of Southern Counties Associations

developed a compliance assistance document,

Animal Feeding Operations, the Role of Counties,

which was widely distributed.

Inspections and Enforcement: In 1999, we held seven CAFO Inspector

Training Classes in several regions for approximately 180 regional and state

inspectors. EPA regions conducted 339 compliance inspections. Additionally,

under an EPA grant, the National Association of Attorney Generals (NAAG) held

a CAFO workshop in Kansas City, which was attended by 30 states, NAAG

staff, several EPA regions, and USDA.

Significant Cases: Ponderosa is a dairy CAFO in Nevada with 5,000 cows. In

February 1998, a manager at the dairy opened a lagoon valve releasing manure

wastewater to a saturated irrigation field. The valve, remaining open for two days,

released approximately 1.7 million gallons across eight miles of federal lands and

open roads in Nevada. The manure also crossed into California and the Amargosa

River. EPA criminal investigators were given false information about how the spill

occurred and who was responsible. Rockview Farms Inc., Ponderosa’s owner,

pled guilty to one felony violation for making false statements to federal

investigators, and one misdemeanor CWA violation for discharging manure wastes

without a permit. Rockview paid criminal penalties of $250,000; reimbursed the

state $6,900 for its response and investigation costs; and donated $10,000 worth of

investigative equipment. The Ponderosa manager pled guilty to one CWA count of

negligently discharging CAFO wastes, paid a $5,000 fine, and was placed on a

California Dairy Quality Assurance

Program (CDQAP)

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EPA Annual Report on Enforcement and

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Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

three-year probation.

Strategic Approach: Under the Unified National Strategy for Animal

Feeding Operations, USDA and EPA’s goal is to minimize water pollution from

confinement facilities and land application of manure through the development of

Comprehensive Nutrient Management Plans (CNMPs). The national performance

expectation is that all AFOs voluntarily should develop and implement CNMPs.

EPA’s sector strategy, the CAFO Compliance Implementation Plan (March

1998), calls for: (1) inspections of all CAFOs in priority water watersheds by

2001 and all others by 2003; (2) state or EPA regional development and

implementation of state compliance/enforcement strategies; (3) development of a

CAFO inventory; and (4) support of state and regional efforts to permit all

CAFOs beginning in FY2000. These permits should include enforceable

CNMPs.

Dry Cleaning

Sector Profile

Strategic Approach: This integrated approach is best illustrated through our

work with the dry cleaning sector. Since first identified as a national priority by

EPA in fiscal year 1995 (FY95), we have been successfully using a combination of

approaches to improve the compliance of this sector. Activities have included

educating the industry about regulatory requirements through compliance

assistance, followed by inspections and enforcement actions, as needed.

EPA has focused on the dry cleaning sector (SIC 7215, 7216, 7218) because it

presents various environmental threats and compliance concerns. For example, the

cumulative environmental impact caused by potential releases of cleaning solvents

to the ground, water, and air from facilities located in population centers can be

significant. Dominated by “mom and pop” businesses and with a heavy

concentration of owners/operators who do not speak English as their first language,

these 25,000-35,000 facility owners may not fully understand and may not have

the resources to obtain, read, and interpret the numerous environmental

regulations that apply to them.

Dry cleaners, which are categorized as service industry establishments, are not

required to report to the Toxic Release Inventory (TRI). Moreover, most were not

traditionally tracked by EPA compliance and enforcement databases. Since this

sector became a national priority, regions and states have made great strides in

tracking dry cleaners in the EPA databases. The national EPA databases now

reflect an increase from just over 980 cleaners in 1995 to over 11,000 cleaners in

FY99.

Pollutant Profile

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Annual Report on Enforcement and EPA Compliance Assurance Accomplishments in 1999

Key Activities and Accomplishments

Compliance Assistance: When EPA became aware of the environmental

concerns of the dry cleaning industry, we worked closely with the industry, states

and other stakeholders during the development of regulations and their

implementation. This involved building partnerships with industry, developing

mentoring programs, and creating compliance tools such as manuals, fact sheets,

and videos to assist the industry and other regulators.

Several compliance tools have been developed to assist dry cleaners with

implementing environmental requirements. Some tools are multimedia so that dry

cleaners can get environmental regulatory information for air, hazardous waste,

and water from one source. Information about tools developed by EPA for this

sector is available on the Internet at http://es.epa.gov/oeca/ccsmd/cac/

dryclean.html.

In addition to developing tools to assist cleaners and regulators with environmental

requirements for cleaners, EPA offered training using a variety of techniques

(e.g., satellite, videotapes, classrooms) and in different

locations to accommodate the cleaners. Some compliance

assistance providers also have supplied one-on-one training

during their site visit to a cleaner. In FY99 alone, EPA regions

responded to 50 hotline inquiries from dry cleaning

establishments; held 12 workshops that reached over 500

entities; and conducted 299 on-site visits.

Inspections and Enforcement: Following outreach and

compliance assistance efforts, EPA increased its inspection

and enforcement activities. As shown in exhibit A-1, the

reported inspections of dry cleaners increased from 111

inspections in FY95 to just under 2,000 inspections in FY98.

In FY99, more than 1,600 inspections were conducted.

From FY95 to FY99, the distribution of inspections by media

also changed. In FY95, inspections were primarily RCRA

(78%), with few CAA (20%) and CWA (<1%) inspections.

By FY99, CAA inspections increased from 20% to 72%, with

smaller numbers of RCRA (27%) and CWA (over 1%)

inspections. This increase in CAA inspections was due to the

1996 compliance date for the regulations setting national

emission standards for hazardous air pollutants (NESHAP) for

perc dry cleaning facilities.

From FY95 through FY99, the number of dry cleaners

determined to have one or more violations has increased

significantly (see exhibit A-2) as the number of inspections

FY95

500

1000

1500

2000

2500

FY97 FY98 FY99

	







	 




 

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FY95 FY97 FY98 FY99

0

100

200

300

400

500

600

700
	

 	

EPA Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

conducted increased. In the cases where violations were found at dry cleaners

and follow-up inspections were conducted, regions and states reported that the

compliance rates typically improved. Generally, the regions reported high rates of

compliance for the proper installation of control equipment (usually in the 80 to

90% range) and lower rates of compliance for recordkeeping and monitoring

requirements.

From 1997 through 1999, 84 enforcement cases were filed. Most facilities (58%)

had violations for recordkeeping, while 25% had violations for monitoring and

sampling practices. While total penalty amounts were under $20,000 since most

dry cleaners are small businesses with inability to pay issues (lower revenues,

capital assets, etc.), the value of their activities taken to return to compliance was

over $1.5 million dollars, with supplemental environmental projects totaling

$40,992. One case in EPA’s Mid-Atlantic Region, Region 3, against a dry cleaner

resulted in a 15-ton reduction in perc. In another 1999 enforcement case, EPA

issued a RCRA Section 7003 Imminent and Substantial Endangerment Order

against a dry cleaner in Georgia for contaminating its facility and the city’s water

supply wells with perc and other pollutants. In addition to perc, other pollutants

were trichloroethylene, 1,2-dichloroethylene, vinyl chloride and other breakdown

products and/or additives such as ethene, methane, ethane, propane, propene,

Freon 113, trimethylbenzene isomers, and the metals manganese and arsenic.

This order, issued after a joint SDWA/RCRA investigation, requires the facility to

characterize and clean up all contamination, while ensuring that the City has an

adequate water supply from alternative wells.

Industrial Organics and Chemical Preparations

Sector Profile

In 1998, EPA identified the industrial organic (SIC Code 2869) and chemical

preparation (SIC Code 2899) industries as national priorities because of the large

number of facilities (3,387 across the nation); the high percentage (>60%) of smallsized facilities (<10 employees) needing compliance assistance; high levels of risk

from Toxic Release Inventory (TRI) releases and chemical spills; and repeated

incidents of noncompliance across statutes. While these facilities are located

nationwide, most are located in Regions 2, 4, 5, 6, and 9, and are significantly

represented in environmental justice communities.

Compliance Status: Both industries have varied and complex manufacturing

processes subjecting them to most statutes. As shown in the publications The

Chemical Industry National Environmental Baseline Report 1990-1995 and the

EPA/CMA Root Cause Analysis Report: An Industry Perspective, chemical

facilities repeated similar types of violations across a number of statutes. Specific

areas identified as persistent problems included failing to report under the

Emergency Planning and Community Right-to-Know Act (EPCRA) and the CAA

and exceeding permit limitations under the CWA.
 	



Annual Report on Enforcement and EPA Compliance Assurance Accomplishments in 1999

Key Activities and Accomplishments

Compliance Assistance: The overall strategy for this sector emphasizes

compliance assistance. In FY99, four workshops attended by representatives

from 585 facilities were held; users of ChemAlliance (compliance assistance

center) substantially increased; and over 7,000 copies of the EPCRA, the

Comprehensive Environmental Response, Compensation, and Liability Act

(CERCLA), the Resource Conservation and Recovery Act (RCRA) and

treatment, storage, and disposal facility (TSDF) compliance audit protocols were

distributed.

Inspections and Enforcement: Since 1997, the number of inspections has

remained constant. There are about 3,887 facilities subject to the CAA, CWA,

and RCRA in these sectors. Of these, about 25% of the inspections occur at

industrial organic facilities and about 20% at chemical preparation facilities.

Combining CAA, CWA and RCRA inspections, over 2,000 were conducted at

industrial organic facilities and almost 1,000 inspections were conducted at

chemical preparation facilities.

The number of new facilities identified as being in SNC since FY97 varies across

the statutes. The CAA inspections yielded the most SNCs with 208 facilities,

followed by the CWA at 147, and RCRA with 94. Since 1997, 124 cases have

been settled (64 chemical preparation cases) with total penalties of $2,010,546, and

another $1,134,370 assessed for activities required to return to compliance. In

addition, SEPs were valued at $1,481,700. During the past three years, there have

been 26 new cases initiated.

Significant Cases: Region 1 settled the third and final portion of a lengthy

settlement with the major potentially responsible party (PRP) in the Parker Landfill

Superfund Site case. This final round of agreements resulted in the PRP funding

$7 million towards a $7.8 million total cleanup. The landfill, located in Lyndon,

Vermont, occupies 25 acres containing a solid waste disposal area and three

smaller industrial waste areas. Approved as a solid waste disposal area in 1971, it

was used for the disposal of municipal solid waste and sometimes for industrial

wastes. Industrial wastes disposed at the site included trichloroethane, sodium

hydroxide, 1,1,1-trichloroethane, and acetone. Between 1972 and 1983, 1,333,300

gallons of liquid waste and 688,900 kilograms of liquid, semisolid, and solid

industrial wastes were disposed of at the site.

Strategic Approach: Using a national approach and a mix of tools, we have

reached thousands of these facilities. In 1998, EPA began these projects by

encouraging disclosure of violations under the Audit Policy (see page 24),

conducting inspections at facilities subject to new regulations, and developing

several tools to assist facilities to understand and improve compliance. Below

are highlights of these projects.
	

 

EPA Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

• EPCRA 312 Project: Under this national project EPA provided compliance

assistance materials to 2,005 potentially regulated industrial organic facilities

to encourage them to submit EPCRA 312 Tier II reporting forms to their

Local Emergency Planning Committees (LEPCs) and State Emergency

Response Commissions (SERCs). EPA also sought to increase the facilities’

awareness of their regulatory obligations by providing compliance assistance

material on the CAA 112(r) Risk Management Plan and information on how

to obtain the Process-based Self-assessment Tool for the Organic

Chemical Industry (EPA-305-B-97-002). This enormous outreach effort

resulted in 1,573 facilities confirming receipt of the materials and 1,400

verifying their status as industrial organic manufacturing facilities.

• CAA Hazardous Organic NESHAP (HON) Inspection Tool and

Training: EPA developed and delivered training in support of HON

wastewater requirements. The training consisted of a day-long classroom

session and a day-long field exercise. Approximately 200 state, local and

regional personnel were trained at 12 satellite locations. The overall course

rating was “excellent.”

• Universe Verification Project: This purpose of this project was to try to

identify the entire universe of industrial organic and chemical preparations

manufacturers including those facilities with no EPA or state environmental

record. This project allowed EPA and states to expand their presence in the

regulated community and to improve national and local database information

through a systematic verification process. Nearly 700 street-level

observations, called “drive-bys,” were completed by the end of FY99 on

facilities with no EPA or state environmental record. The facility lists

generated are being used to track this sector’s compliance monitoring,

assistance and enforcement status. Once facilities were confirmed as a

chemical facility, EPA implemented activities to help the facilities improve

compliance. Follow-up activities included single and multimedia inspections,

compliance assistance, and enforcement.

This project resulted in development of a unique facility identification

methodology that could be applied to other industries. To capture and

describe the various components of the facility identification methodology,

EPA drafted a booklet for release in FY2000. This booklet describes the

innovative techniques used to develop the methodology, the methodology’s

unique features, and its potential uses.

• Root Cause Analysis Pilot Project: EPA and the Chemical Manufacturers

Association (CMA) completed the publication, Root Cause Analysis Report:

Industry Perspective, to identify and evaluate the underlying causes of

noncompliance with regulations. The project also evaluated individual

recommendations for improving compliance, and the effect of environmental

management systems on compliance. The report presents an overview of
 	



Annual Report on Enforcement and EPA Compliance Assurance Accomplishments in 1999

survey responses from 27 CMA facilities (which received 49

civil enforcement actions) about the root and contributing

causes of the noncompliance that were identified in their

federal civil judicial or administrative actions.

Iron and Steel Sector

Sector Profile

Of the 116 iron and steel mills operating in the United States,

25 are integrated mills and 91 are mini-mills. Eighty-five

percent of the mills are located in Regions 3, 4, 5, and 6.

Integrated steel mills, which are generally older than minimills, are large facilities that make steel from raw materials

such as iron ore, scrap, limestone and coke. A fullyintegrated steel mill consists of coke ovens, blast furnaces,

and rolling and finishing mills. Historically, integrated mills

were located based on their proximity to water (tremendous

amounts of water are used in cooling and processing) and

near the sources of raw materials, such as iron ore and coal.

Alternatively, mini-mills use electric arc furnaces to melt

scrap metal in order to make steel products. Because scrap

metal is the primary raw material instead of molten iron, there

are no coke-making or iron-making operations. Mini-mills are

relatively new facilities, built during the last 20 years, and are located in areas

where electricity and scrap metal are available at a reasonable cost. Mini-mills

have narrow product lines and typically produce much less product per facility

(less than 1 million tons of steel per year) than an integrated mill.

Key Activities and Accomplishments

Sector Analysis: In FY99, EPA completed a report called the Summary of

Environmental Compliance and Enforcement Data for Steel Mills, which

reviewed compliance and enforcement data for 34 integrated and mini-mills, as

well as compliance and enforcement efforts carried out by EPA and state and

local pollution control agency staff between 1990 and 1995. The data used for

the report were extracted from existing federal, state and local compliance and

enforcement files. This report is useful for stakeholders in understanding the

industry and its associated processes, delineating problem areas and potentially,

crafting innovative approaches to address recurrent problems.

Inspections and Enforcement: The average number of inspections per facility

varies per media, however, on an average, mini-mills are inspected less frequently

than integrated mills. Over the past three years, the air program inspected a

higher percentage of mills (68% inspection rate for mini-mills and 73% for

integrated mills) when compared to the water (50% for mini-mills and up to 77%

for integrated mills) and RCRA programs (<50% inspection rate for both minimills and integrated mills).

Pollutant Profile

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EPA Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

EPA settled a total of 39 cases with steel mills between FY98 and FY99. Of

those settled, 14 cases involved mini-mills and 25 involved integrated mills. These

cases were distributed among the media programs: 11 were air-related; 9 were

water-related; 9 were RCRA-related; 8 were Toxic Substances Control Act

(TSCA)-related; and 2 were related to EPCRA and CERCLA. Fourteen of the

settlements included injuctive relief with a total monetary value of $47,848,200.

Of the 39 settled cases, 23 involved penalties, for a total value of $5,521,367.

Over the past two years, EPA also had a total of nine civil referrals to DOJ

involving five integrated mills and four mini-mills. Administrative penalty

orders totaled 18, nine each for mini-mills and integrated mills. The referrals and

orders were also associated with different media. For referrals, CAA was most

frequently cited, followed by RCRA; for orders, TSCA was most cited, followed

by CAA and RCRA.

Over the past three years, the highest percentage of new SNCs for the sector was

documented for mini-mills (56%). In FY99, 20 new SNCs were identified for

mini-mills and eight for integrated facilities. Over the past three years, the SNC

rate for mini-mills consistently increased, especially within the RCRA program,

while the inspection rate decreased slightly. Over the past three years, the SNC

rate for integrated mills has varied significantly. These patterns may be due to

recurring problems at these mills, more focused inspections on specific problems,

and/or increased scrutiny by the Agency.

Strategic Approach: In FY99, EPA initiated the implementation of the Iron and

Steel Sector Strategy, which was developed jointly between Headquarters and the

regions. The primary goal of the strategy is to reduce actual and potential

emissions at both integrated and mini-mills by improving the overall sector

compliance rates, reducing the occurrence of “media shifting,” and remediating

environmental harm. The strategy proposes a multitrack approach for addressing

environmental and compliance management problems at integrated mills and minimills, and achieving the strategy goals.

Petroleum Refining Sector

Sector Profile

Petroleum refining is one of the leading manufacturing industries in the U.S. in

terms of commercial transactions. Fuel products account for over 87% of the

refining sector’s output. Refineries also produce chemical feedstocks and

finished nonfuel products (solvents, waxes, asphalt etc.). Refinery input is

primarily crude oil. Currently, 158 refineries (150 with crude oil refining capacity)

are operating across nine of the ten EPA regions, down from over 300 in the early

1980s. Facilities are concentrated along the Gulf Coast and near heavily

industrialized areas of the east and west coasts. Sixty-five refineries are within

three miles of population centers containing over 25,000 people and 37 are within

three miles of centers containing 50,000 or more people.
 	



Annual Report on Enforcement and EPA Compliance Assurance Accomplishments in 1999

Compliance Status: Refineries are routinely and regularly inspected, and many

of the inspected facilities have had multiple enforcement actions taken against

them. Roughly 82% of the refineries are inspected on an annual basis for air,

roughly 52% for water, and 36% for RCRA. Over the last three years, the

number of new SNCs increased for air while remaining approximately the same

for water and RCRA.

For the 168 facilities tracked in the

Sector Facility Indexing Project

(SFIP), the number of inspected

facilities in Significant

Noncompliance (SNC) and the

corresponding SNC rate for these

facilities are shown by media in

exhibit A-3.

Key Activities and Accomplishments

Inspections and Enforcement: The refining sector has been a priority sector

for the national compliance and enforcement program since 1996. In FY99, there

were 623 inspections at petroleum refineries, 8 referrals, 2 administrative penalty

orders, and penalties assessed in the amount of $10.7 million.

Significant Cases:

• Multimedia action against Marathon Ashland Petroleum, LLC at their

Catlettsburg, KY; Canton, OH; and St. Paul, MN facilities; including a $5.8

million penalty, $12 million to correct the violations, and $14 million to perform

SEPs. In part, the action will reduce air emissions of sulfur dioxide and

volatile organic compounds (VOCs) and hydrocarbon leaks into groundwater.

• Multimedia action against Shell Oil Company at their Wood River, IL facility,

including a $1.5 million penalty, approximately $6.3 million to correct the

violations, and over $2.8 million to perform SEPs. In part, the action will

reduce air emissions of sulfur dioxide by 7,700 tons per year (tpy), nitrogen

oxide by 940 tpy, and particulate matter by 260 tpy.

• Consent decree between EPA and BP Oil Company resolving violations at its

Toledo, OH facility. The settlement includes a penalty of over $1.2 million.

In addition, under the agreement, the company must report flaring incidents

to EPA and take corrective action to reduce the likelihood of recurrence of

such incidents.

Strategic Approach: A sector strategy was developed in FY98 that focuses

our efforts on specific problems at refineries. The overall goals of the sector

strategy are to: (1) reduce emissions from refineries; (2) bring refineries into longterm compliance (with the issues investigated); and (3) ensure more consistent

interpretations and enforcement of regulations.

1997 1998 1999

CAA 77 (53%) 81 (60%) 74 (54%)

CWA 26 (24%) 28 (26%) 24 (22%)

RCRA 26 (39%) 18 (32%) 19 (32%)

* Based on 168 facilities tracked in the

 Sector Facility Indexing Project

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EPA Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

As part of a more strategic approach, EPA is concentrating on air pollution

problems and new RCRA requirements, but continues to shift away from

inspections towards more targeted, in-depth investigations. As a result of

concluding some of the initial investigations, the number of referrals in FY99

increased. Current indications are that the number of referrals and the

environmental significance of those referrals will continue to increase in 2000 as a

result of the investigations initiated in FY98 and FY99.

EPA has attempted to make the compliance issues widely known to the refining

sector so that they have an opportunity to take advantage of EPA’s self-audit

policy and correct any problems on their own. EPA has given presentations on

the key compliance problems to industry at meetings (including meetings hosted

by industry for industry). EPA has also issued Enforcement Alerts for NSR/PSD

issues in general, and leak detection and repair and RCRA issues specifically at

petroleum refineries. The following are key compliance problems in this sector:

• New Source Review/Prevention of Significant Deterioration (NSR/

PSD) Compliance and Permitting: Although the average refinery size has

increased, relatively few have applied for and obtained pre-construction and

operating permits for physical expansions under the NSR/PSD program.

Investigations are focusing on noncompliance with the permitting process,

particularly for fluidized catalytic cracking units, the single largest air

emission source at petroleum refineries.

• Leak Detection and Repair: Leak detection and repair requirements under

various air regulations require facilities to identify equipment and components

subject to monitoring, ensure that open-ended lines are capped, monitor the

equipment for leaks, and then repair the leaks. However, monitoring by EPA

typically identifies leak rates that are 2 to 10 times higher than rates identified

by the company.

• Refinery Fuel Gas Combustion Devices: These devices represent a

significant source of refinery emissions of sulfur dioxide. Controls under New

Source Performance Standards (NSPS) Subpart J may be bypassed during

non-emergency conditions, resulting in greatly increased emissions;

modifications may have occurred, resulting in additional, newly affected

facilities being subject to this subpart and its control requirements.

• Benzene Waste: Enforcement experience has found widespread refinery

noncompliance and erroneous calculations of total annual benzene in waste

streams, resulting in uncontrolled and unaccounted for benzene emissions.

EPA has distributed a compliance guidance to refiners, and continues to

conduct detailed investigations, including sampling, to determine refinery

compliance.
 	



Annual Report on Enforcement and EPA Compliance Assurance Accomplishments in 1999

• Slotted Guide Poles: Significant emissions reductions could be gained

through installation of controls that reduce or eliminate vapors emitted to the

atmosphere from the use of slotted guide poles in storage tanks.

Primary Nonferrous Metals Sector

Sector Profile

Most of the smelters and refineries in this sector are

owned by fewer than 20 large companies and operate in

every region except the upper northeast states. Of the

51 facilities in this sector, there are 23 aluminum, 21

copper, 3 lead, and 4 zinc facilities. The highest

concentration of facilities is found in Regions 6, 9 and

10, accounting for over half of the facilities with 8, 12,

and 9 facilities respectively.

Categorization as a “primary” nonferrous facility refers

to the source material. Primary smelting and refining

produces metals directly from source material that is more than 50% ore.

Secondary smelting and refining produces metals from scrap and process waste.

The pollution resulting from these operations varies depending upon the metal and

the type of recovery technology used. The two metal recovery technologies

generally used to produce refined metals are pyrometallurgical (which uses heat)

and hydrometallurgical (which uses aqueous solutions).

Compliance Status: This sector has been identified as a national priority since

FY96 because of the volume of pollutants discharged, released, or spilled at the

facilities and their high rate of noncompliance. Some areas of the country are

unable to meet national ambient air standards because of releases from these

smelters, and some smelters are individually responsible for not meeting lead and

sulfur dioxide standards in their region. In addition, over 40% of the facilities

reported spills totaling 193,716 pounds over the past two years. Nearly 70% of

the facilities that have been inspected (i.e., 132 facilities inspected) since FY96

were in noncompliance with at least one of their permits, and approximately 30%

of inspected facilities were in SNC with one or more statutes.

Key Activities and Accomplishments

Inspections and Enforcement: Over 29 million pounds of TRI chemicals,

including 1.3 million pounds of carcinogens, were released from all primary

nonferrous metal facilities based on 1997 TRI data with the majority coming from

the lead and copper facilities. Although small in total number of facilities (21),

primary copper smelters and refineries also had the highest average pollutant

release per facility according to the TRI data.

Pollutant Profile

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EPA Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Since 1997, there have been 458 inspections for compliance with either air, water

or hazardous waste laws at primary nonferrous metal facilities. Most inspections

monitored compliance with the CAA, followed by CWA and RCRA inspections.

EPA and the states concluded a total of 11 enforcement actions against facilities

during the past three fiscal years with a total of just over $8.98 million in federal

penalties and $14.79 million in SEPs. Four facilities, Alcoa and Reynolds in New

York, Asarco in Nebraska and Kennecott in Colorado, are part of state or federal

Superfund cleanups.

In FY99, 132 federal and state inspections were conducted for compliance with

CAA, CWA, and RCRA. Seventy-four percent of the facilities were inspected

for compliance with the CAA, 48% for CWA and 12 % for RCRA. Of the

facilities inspected in FY99, the SNC rate was 32% with the CAA, 29% of

facilities defined as major in the CWA, and 17% for RCRA. The percent of

facilities in SNC with the CWA decreased by 6% since 1997, but increased by 4%

for the CAA and 8% for RCRA.

Enforcement actions in FY99 include the settlement of an administrative

complaint at the Big River Zinc facility in Illinois for RCRA and EPCRA

violations which assessed federal penalties of $25,406, another $99,500 in SEPs,

and $7,365 in injunctive relief actions. An estimated two tons of cadmium and

lead will be reduced in the soil as a result of this action.

Significant Cases: Recent highlights include judicial settlements with ASARCO

and its wholly-owned subsidiary, Encycle, for multimedia violations at its facilities

in several regions. The 1998 Phase I settlement included a penalty of $3.39

million for numerous violations of the CWA and RCRA Subtitle C. The 1999

Phase II settlement includes payment of a civil penalty of $5.5 million, completion

of numerous SEPs with a total projected cost of $14.7 million, and enhancement

of the Environmental Management System to be used at all ASARCO facilities

nationwide. Although amounts cannot be readily calculated, significant reductions

of arsenic, cadmium, copper, lead, manganese, and zinc releases to the water and

soil are anticipated as a result of this settlement.

Strategic Approach: In FY99, EPA began implementing a strategy for

addressing this sector with the goal of improving the sector’s compliance rates

and reducing its total emissions, discharges and releases. The strategy’s initial

approach is to ensure that all primary smelters are accurately classified; the

applicable regulatory provisions for each have been clearly identified; and timely

enforcement action is pursued when significant violations remain unresolved.

Five specific problem areas are identified as particular concerns in addressing the

overall goals of greater compliance and reduced risk:
 	



Annual Report on Enforcement and EPA Compliance Assurance Accomplishments in 1999

Pollutant Profile

			


			

			


	
		


	
	

		


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• Proper Identification of Facilities. Ensure accuracy of universe

identification through SIC code verification efforts and TRI analysis. The

universe is being tracked in the Sector Facility Indexing Project (SFIP).

• Potential Misapplication of the Bevill Exclusion. The goal of this activity

is to ensure that all wastes not covered under Bevill are managed

appropriately.

• Permit Insufficiencies. Regions and states will ensure that each facility has

a complete permit, accurately reflecting the source’s size, regulatory

requirements, and activities.

• High SNC Rate. The strategy identifies a goal of decreasing SNCs in this

sector from 30% to 10% nationwide.

• Use of Imminent and Substantial Endangerment Authorities to address risk.

Identified actions include documenting ecological damage and human health

risks and using imminent and substantial endangerment authorities as

appropriate.

EPA also conducted a study of primary and secondary nonferrous metal

facilities. The study focused on identifying surface water, RCRA, and air

compliance problems, the processes involved, the types of enforcement actions

taken by regulators, and probable causes for noncompliance. Findings will be

used to identify and address specific environmental and/or compliance problems.

By the end of FY99, 16 facilities in five states had been analyzed. Additional

facilities remain to be analyzed, but the study should conclude in 2000.

Pulp Mills

Sector Profile

Currently, 244 pulp mills operate in the United States and, like most large

manufacturing operations, are regulated under RCRA, CAA, and CWA. Mills are

widely distributed in forested areas with the largest concentrations occurring in the

southeast, northwest and northeast and north-central states.

Compliance Status: Though increased inspections are revealing mills in

significant noncompliance, the case referrals to the DOJ and associated injunctive

relief and penalties are resulting in thousands of tons of reductions annually in air

pollution, namely, volatile organic compounds (VOCs), nitrogen oxides (groundlevel ozone precursors), sulfur compounds (contribute to acid rain), and carbon

monoxide and particulate matter. Beyond the emission reductions that are being

made at the mills that are the subject of enforcement, EPA is fulfilling one of our

strategic goals which is to establish a credible deterrent to illegal pollution and to

encourage greater compliance with environmental laws.
	

 	

EPA Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Key Activities and Accomplishments

Inspections and Enforcement: In FY99, many EPA regional offices

conducted inspections at pulp mills and took enforcement actions to address

violations of federal law. As a result, we settled nine civil judicial cases and one

EPCRA case, and referred 10 civil judicial cases. Much of the activity occurred

under the CAA in Regions 3, 5, and 6. These regions actively worked to raise

compliance with the CAA in the pulp industry through enforcement actions.

Enforcement of the CAA has continued to be our focus since FY97 data revealed

that 32% of the 174 pulp mills inspected that year were in significant

noncompliance (SNC). SNC rates have remained high among recently inspected

facilities (37%) due to the additional, significant violations that EPA’s in-depth

investigations are revealing. Region 3, which has been the most active in this

sector, is continuing their multi-year pulp mill investigation initiative. In addition to

referring three CAA cases that address violations discovered during their

investigations, the region worked to resolve the five cases referred to the DOJ in

FY97 and FY98.
EPA Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Appendix B:

Historical Enforcement

Data
	


 

EPA Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Criminal

Penalties

Assessed

Civil Judicial

Penalties

Assessed

Administrative

Penalties

Assessed

$ Value of

Injunctive

Relief

$ Value of 

SEPs

CAA $2,227,024 $104,625,294 $5,092,301 $1,110,783,266 $141,995,706

CERCLA $12,715,144 $2,852,000 $2,000 $721,955,206 $12,600

CWA $20,385,292 $7,416,728 $5,200,575 $577,486,331 $8,620,321

EPCRA $0 $0 $3,802,384 $528,264 $4,151,296

FIFRA $442,775 $1,300 $1,359,055 $393,910 $211,310

RCRA $21,482,514 $24,522,800 $7,351,627 $200,467,307 $74,803,427

SDWA $3,170,418 $1,793,577 $353,772 $811,483,657 $5,811,950

TSCA $16,000 $0 $2,348,165 $1,125,792 $1,191,942

Title 18/MPRSA* $1,113,707 $0 $0 $0 $0

Totals $61,552,874 $141,211,699 $25,509,879 $3,424,223,733 $236,798,552

 	
  
  
   
 
  

* Criminal cases with U.S. Code - Title 18 or other Violations.

Data comes from EPA criminal and civil dockets.

Source: OECA/OC/EPTDD/TEB
 	




Annual Report on Enforcement and EPA Compliance Assurance Accomplishments in 1999

EPA Regional Inspections

FY96 FY97 FY98 FY99

CAA Stationary 2,064 2,844 2,722 2,633

CAA Mobile Source 107 104 64 39

Asbestos 635 653 806 437

NPDES Minors 499 784 1,116 965

NPDES Majors 1,046 918 1,019 949

CWA 311 2,267 1,666 1,344 1,424

CWA 404 342 529 968 1,079

EPCRA 313 571 473 584 513

EPCRA non-313 689 438 804 521

FIFRA 116 207 264 259

RCRA 1,829 2,165 2,727 2,214

UST 579 1,421 1,253 1,482

SDWA 6,568 5,490 7,983 7,329

TSCA 898 1,014 1,537 2,003

TOTAL 18,210 18,706 23,237 21,847

 	   !
 "
# $	 
 %

Source: Program databases/IDEA, manual reports. There were also 113 GLP inspections and 363 data audits by

HQ (OC/AED/LDIB). The FY99 CAA Stationary includes 1,227 CFC inspections. FY98 total includes 46 other

inspections.
	


 

EPA Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

EPA Administrative Penalty Order Complaints

FY96 FY97 FY98 FY99

CAA 88 126 156 193

CERCLA 37 26 1 0

CWA 153 329 389 436

EPCRA 196 293 233 285

FIFRA 73 174 187 274

RCRA 88 139 155 197

SDWA 57 45 65 64

TSCA 178 181 214 205

TOTAL 870 1,313 1,400 1,654

Source: Docket

FY97 CERCLA cases were for section 103.

EPA Administrative Compliance Orders Issued

FY96 FY97 FY98 FY99

CAA 154 209 277 298

CERCLA 197 279 233 247

CWA 504 815 849 621

EPCRA 2740

FIFRA 10 7 18 28

RCRA 35 44 49 50

SDWA 284 453 287 269

TSCA 0443

TOTAL 1,186 1,818 1,721 1,516

Source: Docket

In addition, there were 51 HQ CAA Mobile Source NOVs with penalties.
 	




Annual Report on Enforcement and EPA Compliance Assurance Accomplishments in 1999

EPA Administrative Penalty Settlements

FY96 FY97 FY98 FY99

CAA 103 139 127 154

CERCLA 39 33 3 1

CWA 169 205 324 365

EPCRA 184 366 259 244

FIFRA 107 161 173 223

RCRA 119 154 149 134

SDWA 76 44 43 40

TSCA 207 248 167 197

TOTAL 1,004 1,350 1,245 1,358

EPA Field Citations

FY96 FY97 FY98 FY99

UST 115 240 194 311

EPA Field Citations

UST 115 240 194 311

New EPA Civil Referrals to DOJ

FY96 FY97 FY98 FY99

CAA 70 89 113 109

CERCLA 127 154 138 148

CWA 48 98 81 87

EPCRA 9 11 11 12

FIFRA 3440

RCRA 19 49 49 39

SDWA 17 13 15 5

TSCA 2803

TOTAL 295426 411 403

Source: Docket

FY97 CERCLA cases were for section 103.

Source: Docket

Source: Docket
	


 

EPA Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

EPA Civil Judicial Settlements

FY96 FY97 FY98 FY99

CAA 62 45 46 48

CERCLA 121 159 148 124

CWA 60 35 33 24

EPCRA 10 3 3 1

FIFRA 5241

RCRA 22 18 14 11

SDWA 7926

TSCA 5330

TOTAL 292 274 253 215

Source: Docket

Referral to DOJ Defendants Charged Months Sentenced

FY84 31 36 6

FY85 40 40 78

FY86 41 98 279

FY87 41 66 456

FY88 59 97 278

FY89 60 95 325

FY90 65 100 745

FY91 83 104 963

FY92 107 150 1,135

FY93 140 161 892

FY94 220 250 1,188

FY95 256 245 888

FY96 262 221 1,116

FY97 278 322 2,351

FY98 266 350 2,075

FY99 241 322 2,500

 	&   ' 
 
# ()	

Source: OECA/OC/EPTDD/TEB
 	




Annual Report on Enforcement and EPA Compliance Assurance Accomplishments in 1999

CAA CWA CERCLA RCRA TSCA/FIFRA/

EPCRA

TOTALS

FY75 5 20 0 0 0 25

FY76 15 67 0 0 0 82

FY77 50 93 0 0 0 143

FY78 123 137 2 0 0 262

FY79 149 81 5 4 3 242

FY80 100 56 10 43 1 210

FY81 66 37 2 12 1 118

FY82 36 45 20 9 2 112

FY83 69 56 28 5 7 165

FY84 82 95 41 19 14 251

FY85 116 93 35 13 19 276

FY86 115 119 41 43 24 342

FY87 122 92 54 23 13 304

FY88 86 123 114 29 20 372

FY89 92 94 153 16 9 364

FY90 102 87 157 18 11 375

FY91 86 94 164 34 15 393

FY92 92 77 137 40 15 361

FY93 80 84 129 30 15 338

FY94 141 97 144 35 13 430

FY95 37 54 102 14 7 214

FY96 70 65 127 19 14 295

FY97 89 111 154 49 23 426

FY98 113 96 138 49 15 411

FY99 109 92 148 39 15 403

	)'%*
+
,#-.	

Source: OECA/OC/EPTDD/TEB

FY98 CAA and National totals include 8 HQ Mobile Source referrals.

FY99 CAA/CWA totals include one HQ Mobile Source and one CWA HQ referral.
	


 	

EPA Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

Annual Report on Enforcement and

Compliance Assurance Accomplishments in 1999

CAA CWA/

SDWA

RCRA CERCLA FIFRA TSCA EPCRA TOTALS

FY75 0 738 0 0 1,614 0 0 2,352

FY76 210 915 0 0 2,488 0 0 3,613

FY77 297 1,128 0 0 1,219 0 0 2,644

FY78 129 730 0 0 762 1 0 1,622

FY79 404 506 0 0 253 22 0 1,185

FY80 86 569 0 0 176 70 0 901

FY81 112 562 159 0 154 120 0 1,107

FY82 21 329 237 0 176 101 0 864

FY83 41 781 436 0 296 294 0 1,848

FY84 141 1,644 554 137 272 376 0 3,124

FY85 122 1,031 327 160 236 733 0 2,609

FY86 143 990 235 139 338 781 0 2,626

FY87 191 1,214 243 135 360 1,051 0 3,194

FY88 224 1,345 309 224 376 607 0 3,085

FY89 336 2,146 453 220 443 538 0 4,136

FY90 249 1,780 366 270 402 531 206 3,804

FY91 214 2,177 364 269 300 422 179 3,925

FY92 354 1,977 291 245 311 355 134 3,667

FY93 279 2,216 282 260 233 319 219 3,808

FY94 435 1,841 115 264 249 333 307 3,544

FY95 232 1,774 92 280 160 187 244 2,969

FY96 242 998 238 234 83 178 198 2,171

FY97 391 1,642 423 305 181 185 300 3,427

FY98 499 1,590 398 234 205 218 237 3,381

FY99 542 1,390 558 247 302 208 285 3,532

	.   /% 
 0# -.	

* Includes: Administrative Compliance orders issued, Administrative Penalty order complaints, Field Citations and HQ CAA

Mobile Source NOVs with penalties.
 	




Annual Report on Enforcement and EPA Compliance Assurance Accomplishments in 1999

Administrative Actions

Statute FY89 FY90 FY91 FY92 FY93 FY94 FY95 FY96 FY97 FY98 FY99

FIFRA 6,698 4,145 3,245 3,095 4,172 3,528 2,486 2,333 1,101 1,163 1,272

SDWA/

CWA

3,100 3,298 3,180 2,748 3,960 4,063 4,231 4,598 7,051 6,960 3,602

CAA 1,139 1,312 1,687 1,411 2,005 2,050 1,833 1,534 1,919 2,410 2,036

RCRA 1,189 1,350 1,495 1,389 1,744 1,609 1,235 841 444 727 1,278

Totals 12,126 10,105 9,607 8,643 11,881 11,250 9,785 9,306 10,515 11,260 8,188

Judicial Referrals

Statute FY89 FY90 FY91 FY92 FY93 FY94 FY95 FY96 FY97 FY98 FY99

SDWA/

CWA

489 429 297 204 383 162 169 169 151 146 223

CAA 96 156 190 258 174 325 124 198 164 146 158

RCRA 129 64 57 112 133 91 104 66 64 60 126

Totals 714 649 544 574 690 578 397 433 379 352 507

	- %
1 
/%
 / ,/ 	- %
1 
/%
 / ,/

*# (	

Source: IDEA

	$2 3'
+


0

200

400

600

800

1,000

1,200

1,400

1,600

1,800

FY 91 FY 92 FY 93 FY 94 FY 95 FY 96 FY 97 FY 98 FY 99

TSCA

SDWA

RCRA

FIFRA

EPCRA

CWA

CERCLA

CAA