FY 1993 Enforcement Accomplishments Reporl .. 

The FY 1993 Enforcement Accomplishments Report was prepared by the Compliance 

Evaluation Branch within the Office of Enforcement. Information contained in the 

report was supplied by the EPA Regional Offices, Headquarters program offices 

and the Office of Enforcement. 

Printed on recycled paper 
FY 1993 Enforcement Accomplishments Report 

Dedication to Paul G. Keough 

The Fiscal Year 1993 EPA Enforcement Accomplishments Report is dedicated to 

Paul G. Keough. Paul was the Acting Regional Administrator of EPA Region I in 

New England at the time of his sudden death on January 17,1994. Paul served EPA 

since its inception in 1971, and had held the position of Acting Regional 

Administrator since January 1993. It was the third time he had served as Acting 

Regional Administrator. Since 1983, Paul’s offtaal position was as the Deputy 

Regional Administrator, and in that role he had lead responsibility for Region I’s 

enforcement programs. 

With his background in journalism, Paul also was a national leader in EPA’s 

efforts to better communicate the successes of our enforcement program. He chaired 

a national Agency workgroup on communications with the media during the late 

1980’s. Among other things, this workgroup recommended a major expansion of 

the scope and distribution of the annual Enforcement Accomplishments Report. 

EPA Administrator Carol Browner recognized Paul Keough’s contributions to 

EPA in her announcement of a national award in his name as follows: “Paul was 

the toughest of defenders of the environment and EPA, fighting passionately for 

what he believed to be the correct course of action.” 

Dedication of this Enforcement Accomplishments Report to Paul Keough 

recognizes his national leadership in both enforcement and communications. 

We are grateful for his efforts and we miss him very much. 
FY 1993 Enforcement Accomplishments Repoporl 

Table of Contents 

I. 

11. Environmental Enforcement Activity 

111. Major Enforcement Litigation and Key Legal Precedents 

An alphabetized summary of important civil and criminal judicial case settlements, 

administrative actions, and key court decisions that occurred during the year. 

FY 1993: Maintaining Enforcement Priorities 

CAA Enforcement Cases 

CWA Enforcement Cases 

MPRSA Enforcement Cases 

SD WA Enforcement Cases 

RCRA Enforcement Cases 

CERCLA Enforcement Cases 

TSCA Enforcement Cases 

EPCRA Enforcement Cases 

FWRA Enforcement Cases 

Multi-media Enforcement Cases 

Federal Facility Cases 

Criminal Enforcement Cases 

page 3-1 

page 3-9 

page 3-16 

page 3-19 

page 3-21 

page 3-31 

page 3-53 

page 3-58 

page 3-63 

page 3-71 

page 3-73 

page 3-66 

IV. 

V. 

Federal Facilities Enforcement and Federal Activities 

Building and Maintaining a Strong National Enforcement Program 

Summaries of major enforcement program strategies, initiatives, guidance, and management studies. 

Subsections on local enforcement, cooperative work with environmental groups, relationships with 

other Federal agencies and international issues. 

VI. Media Specific Enforcement Highlights and Regional Accomplishments 

Brief summaries of each National program and each Region’s FY 1993 highlights. 

Appendix: 

Historical Enforcement Data 

List of Penalties by Media 

List of EPA Headquarters and Regional Enforcement Information 

Contacts 

i 
FY 1993 Enforcement Accomplishments Reporl (9 

I. FY 1993: Maintaining Enforcement Priorities. 

enforcement programs in each state and the Department of Justice, worked hard to 

maintain its strong traditional, media-focused enforcement programs and assure 

that violations of environmental rules and regulations were addressed swiftly and 

in an appropriate manner. At the same time, EPA accelerated its implementation of 

innovative multi-media, risk-based enforcement approaches to solving compliance 

problems and environmental risks, approaches which are described in the 

Enforcement Four-Year Strategic Plan and the Enforcement in the 1990's Project. 

Two additional high priority areas for FY 1993 Agency enforcement were 

environmental justice impacts and our international enforcement program. 

During FY 1993, EPA's enforcement program, in partnership with the 

1 

The FY 1993 enforcement priorities for each of the Agency's traditional 

enforcement programs are detailed in Section Three of this Report. In addition, that 

section highlights significant enforcement cases supporting those priorities. Section 

Two of this Report and the Appendix provide quantitative statistics on the 

accomplishments of EPA's media-specific enforcement efforts; these data provide 

strong evidence that the Agency continues to enforce environmental laws 

forcefully. 

During FY 1993, the Agency continued the expansion of the criminal program 

under the Pollution Prosecution Act of 1990, increasing the number of field offices 

and agents. Criminal sanctions resulting from the expansion in the capacity of our 

criminal program provide a clear message to those engaged in criminal behavior 

that those actions will not be tolerated. (For examples, see Section Three criminal 

cases write-ups.) With increased authority also to assess penalties administratively, 

the Agency continued to screen cases to ensure use of the appropriate mix of 

administrative, civil judicial and criminal enforcement authorities to prosecute and 

resolve violations. Civil enforcement continues to be the primary mechanism for 

establishing program precedents and resolving complex technical issues. Civil 

injunctive relief and administrative settlements compel industry to invest in 

environmental cleanup, pollution controls, and new technology to mitigate 

environmental damage resulting from noncompliance. 

Innovat ive Enforceme nt ADDrod 

Major elements of the innovative enforcement approach which the Agency 

continued to implement in FY 1993 are: targeting enforcement at sources and 

pollutants of particular risk or compliance concern, or at geographic areas of 

concern; multi-media compliance assessments and multi-media enforcement 

responses; and developing settlements which include pollution prevention, waste 

minimization and other innovative solutions to environmental problems. 

1-1 
(9 FY 1993 Enforcement Accomplishments Report 

Multi-med ia. Risk-based En forceme nt Targeting 

As part of its multi-media, risk-based strategy, beginning in FY 1991 the 

Agency has emphasized annual national 'targeted' enforcement initiatives. 

National enforcement initiatives can focus on specific pollutants, industries, and 

sensitive geographic zones which present a national risk from the standpoints of 

human health, the environment, and the maintenance of the integrity of agency 

regulatory programs. This effort continued during FY 1992 when the Agency filed 

nine benzene cases, prosecuted twenty-four previously filed lead cases, and filed a 

total of sixty-four cases against the primary metals, pulp and paper, and industrial 

organic chemical industries. These three industries were targeted on the bases of 

toxic releases and historical noncompliance. These cases have resulted in significant 

settlements in FY 1993, many of which are discussed in detail in Section Three. 

During FY 1993, the agency commenced two additional two-year long 

national initiatives. One, a Data Integrity/Data Quality initiative, focussed 

principally on non-reporters and false reports of data that are required under 

national and delegated programs. The goal is to send a positive, consistent message 

to the regulated community on the importance to EPA and the states of obtaining 

complete and accurate data to determine compliance and to assess environmental 

progress. Each Agency enforcement office is participating in this effort. 

The second FY 1993 initiative is a comprehensive program to address multimedia enforcement and compliance issues at federal facilities. At least forty high 

priority federal facilities across the all EPA regions are being inspected for multimedia compliance. Selection of the facilities was based upon preestablished criteria 

that include compliance history, EPA regional risk rankings, pollution prevention 

opportunities, and compatibility with EPA national or regional/state program 

priorities. States have been encouraged to participate in the inspections. 

As part of the initiative process, EPA and states, to the extent possible, 

"cluster" or group individual cases for filing. The purpose of case "clusters" is to 

gain maximum deterrence through capturing the attention of the media and the 

regulated community. EPA is analyzing the impact of completed initiatives to assess 

"what works best and what doesn't work" so that future enforcement activity can be 

carried out in the most efficient manner. As EPA expanded its use of initiatives and 

case clusters, state participation in both the formulation and execution of these 

activities is taking on added significance. The process for multi-media strategic 

planning ensures that states are directly involved in the formulation of national 

priorities and will have sufficient time to plan for this involvement. National 

initiatives for FY 1994 and beyond will be identified in conjunction with a broadbased multi-media team, including state representatives. 

' 

1-2 
FY 1993 Enforcement Accomplishments Repon 

One of the major tools for identifying enforcement initiatives is the 

agency's IDEA (Integrated Data for Enforcement Analysis) computer capability. 

IDEA, which links the agency's compliance, toxic release inventory (TRI), and 

geographic (GIS) data systems, is used to screen and target single and multi-media 

enforcement efforts. EPA has already demonstrated the IDEA capability to several 

states and has worked to more widely deliver IDEA training to states. 

Environmental 

A central tenet of our enforcement philosophy is that citizens receive full and 

equal protection under our environmental laws and regulations, regardless of 

race, nationality, or social standing. Environmental equity concerns are being 

institutionalized as a core component of our enforcement program and throughout 

the Agency as a whole in rulemaking. research, and policy. 

The Agency has taken specific steps to ensure that the enforcement program 

supports the health and welfare of minority populations. For example, the national 

enforcement initiative to reduce lead exposure was implemented in large part 

because of the understanding that lead is one of the most pervasive chemicals 

impacting minority populations, especially children. Our Federal Facilities 

Enforcement Program is beginning a comprehensive study of environmental equity 

issues as they relate to pollution generated and emitted at federal facilities. 

The EPA regional offices are taking specific enforcement actions to protect 

minority populations. For example, Region 11 is performing a study of Superfund 

enforcement at minority/low income communities using geographic information 

system (GIS) mapping, and Region V implemented a geographic enforcement 

initiative to reduce pollution exposure to Southeast Chicago residents and the 

Wisconsin Native American Indian Tribes. Similarly, Region VI and Headquarters 

are coordinating compliance and enforcement actions in a geographic initiative 

targeted at the Mexican border area (in conjunction with Mexico), and Region IX has 

implemented an enforcement initiative targeted for drinking water sources at 

migrant farmworker camps. 

Innovative Settlements 

Over the last several years, the Agency has looked for ways to expand the 

impact of enforcement settlements by securing additional environmental benefits 

beyond that which can be required through injunctive relief. One of the major tools 

used by the agency has been the use of Supplemental Environmental Projects (SEPs), 

especially ones which emphasize pollution prevention and waste minimization. 

Over the last two years, the inclusion of SEPs in settlements have increased 

substantially and the environmental benefit resulting from them has indeed far 

exceeded the benefits available through injunctive relief. A review of case 

summaries in Section Three of this report will demonstrate the frequent use of 

1-3 
1 

14 

, "", *: *Ylm+ 

(9) FY 1993 Enforcement Accomplishments Report 

these projects and illustrate their innovative solutions to solving pollution 

problems. 
+:“ ”.< 

“B FY 1993 Enforcement Accomplishments Repon 

11. Environmental Enforcement Activity 

A. Federal Judicial and Administrative Enforcement Activity 

During FY 1993, EPA continued to implement the strategic approaches called for in the Agency‘s 

Enforcement Four-Year Strategic Plan through through cross-program/multi-media and multi-facility 

enforcement actions which seek to bring about comprehensive solutions to complex interrelated 

environmental problems. With this perspective, EPA intends to achieve additional public health and 

environmental protection results, deterrence, and efficiency which might not be achieved through use 

of traditional single-media approaches alone. In FY 1993, EPA fully implemented modifications to its 

activity counting methodologies that track and account for civil referral activity. These adjustments 

were recommended by an Agency-wide workgroup 2nd are intended to account for the greater magnitude 

of cross-program/multi-media actions, and to remove any accounting-related disincentives to bringing 

more complex cases. 

EPA is also implementing other enforcement indicators that are intended to provide a more 

complete and balanced picture of the quality and magnitude of its enforcement efforts. In this and other 

sections of this report, more information is provided on EPA’s use of Administrative Penalty Orders, 

which are an effective complement to civil judicial enforcement tools, along with information on the 

value of injunctive relief and Supplemental Environmental Projects, which complement information 

reported on civil penalty assessments. 

B. Federal Civil Judicial Enforcement 

In FY 1993, EPA referred 338 civil judicial cases to the Department of Justice, down six percent 

from FY 1992. Program-specific increases were recorded for the Clean Water Act and the Safe Drinking 

Water Act, which when combined, increased 9% from FY 1992. Clean Air Act civil referrals declined by 

12 cases, however, use of Clean Air Act Administrative Penalty Order (APO) authorities increased by 

154 cases, an increase of 67% over the FY 1992 level. Agencywide, issuance of APOs increased by 180 

cases from FY 1992, an increase of 12%. The Office of Enforcement expects that the trend toward greater 

use of APO authorities will continue, and in the future the civil judicial referral and APO indicators 

will need to be viewed together in assessments of civil enforcement activity levels. 

I I I/ 1 =WATER E TOXICSI RCRA ssl SUPERFUND AIR 

PESTICIDES 

1 i 

2-1 
--*-I Q3 FY 1993 Enforcement Accomplishments Report 

C. Monitoring Judicial Consent Decrees 

The high levels of civil judicial enforcement activity over the last several years have resulted 

in accompanying large increases in the number of consent decrees which the Agency has entered into 

with violating facilities. EPA places high priority on ensuring that defendants live up to the 

obligations assure that are spelled out in consent decrees. At the end of FY 1993, the Agency reported 

that 968 active judicial consent decrees were in place and being actively monitored to ensure 

compliance, an increase of 153 (up 18%) from FY 1992. Where noncompliance with a decree is found, 

EPA may initiate proceedings with the court to compel the facility to live up to its agreement and seek 

penalties for such noncompliance. EPA referred 18 cases to DOJ for enforcement of the consent decree 

compared to 19 cases in FY 1992. 

D. Federal Criminal Judicial Enforcement I 

EPA's criminal program established records in FY 1993 for several categories of activity. New 

records included referring 140 cases to DOJ (the previous record was 107 in FY 1992), bringing charges 

against 161 defendants (the previous record was 150 in FY 1992), and the number of months of jail time 

defendants served with 876 months (the previous record was 744 months in FY 1992). Seventy-seven 

criminal cases concluded during the year, in which 135 defendants were convicted. In addition, 57 of the 

defendants convicted were sentenced to incarceration. 

Incarceration and probation are key parts of the criminal program, including serving a strong 

deterrent role. Probation is very effective because in the event that an individual commits another 

crime (not limited to environmental crimes), the provisions of the probation normally call for the 

automatic imposition of the prison sentence that was suspended in lieu of probation. Since 1982, 

individuals have received prison sentences for committing environmental crimes totaling 429 years, and 

1,261 years of probation have been imposed. 

EPA's increased emphasis on the criminal enforcement program over the past five years, 

coupled with passage and implementation of the Pollution Prosecution Act of 1990, has significantly 

raised the profile of criminal enforcement both within EPA and in the regulated community. By the end 

of FY 1993, EPA had increased the number of criminal agents to 110 compared to 47 in FY 1989. This 

additional investment in agents has yielded significant increases in most of the key outputs of the 

ICriminal Enforcement Increases: FY 89 to FY 93b 

3Wfl I 

400 

300 

200 

100 

n 

~ 

FY1989 FY1990 FY1991 FY1992 FY1993 

Cases Initiated Referrals 0 Defendants 1 

2-2 
FY 1993 Enforcement Accomplishments Report 

._.,I.. i . 

E. Administrative Enforcement 

EPA posted its third highest annual total for administrative enforcement activities in FY 1993 

with 3,808 actions. The Agency record of 4,136 was set in FY 1989. The totals for FY 1993 demonstrate 

that although judicial actions (both civil and criminal) have been the most visible indicators of EPA's 

performance, other indicators need to be considered to fully ascertain EPAs effectiveness in enforcing 

environmental laws and regulations. In recently enacted or reauthorized statutes, Congress has 

expanded EPA's authority to use administrative enforcement mechanisms to address violations, compel 

regulated facilities to achieve compliance, and assess penalties. Many of these administrative 

authorities provide for injunctive relief and penalties that are comparable to those which can be 

obtained through civil judicial enforcement. EPA programs issued 1,614 administrative penalty orders 

(APOS) in FY 1993, an increase of 180 (12%) from FY 1992. 

'77 '78 '79 '80 '81 '82 '83 '84 '85 '86 '87 '88 '89 '90 '91 '92 '93 

E EPA Contractor Listing 

In FY 1993, fifty-seven facilities were added to EPAs List of Violating Facilities (List) under 

the authorities provided to EPA by Clean Air Act 5 306 and Clean Water Act 5 508, to bar facilities 

that violate clean air or clean water standards from receiving Federally funded contracts, grants or 

loans. Federal agencies are prohibited by statutory mandate from entering into contracts, grants or 

loans (including subcontracts, sub-grants or subloans) to be performed at facilities owned or operated by 

persons who are convicted of violating air standards under CAA §113(c) or water standards under CWA 

5309(c) (and involved in the violations), effective automatically on the date of the conviction. 

Facilities which are mandatorily listed remain on the List until EPA determines that they have 

corrected the conditions giving rise to the violations. Fifty-seven facilities were listed in M 1992 

based on criminal convictions. Nine facilities were removed from the List in FY 1993. Since FY 1986, 

175 facilities have been placed on the mandatory list. One hundred eighteen facilities remained on 

the List as of the end of FY 1993. 

Facilities with records of civil violations may also be listed, at the discretion of the Assistant 

Administrator for Enforcement, upon the recommendation of certain EPA officials, a State Governor, or a 

member of the public (referred to as discretionary listing). A facility may be recommended for 

2-3 
FY 1993 Enforcement Accomplishments Repon 

discretionary listing if there are continuing or recurring violations of the CAA or CWA after one or more 

enforcement actions have been brought against the facility by EPA or a state enforcement agency. 

Facilities recommended for. discretionary listing have a .right. to an informal administrative 

proceeding. In FY 1993, one proposed discretionary listing was settled. Also, the possibility of 

disuetionary listing helped to achieve settlements in.numerous other civil enforcement cases. 

G. Federal Penalty Assessments 

Delaying or foregoing capital investment in poUution controls, as well as failure to provide 

resource9 for annual pollution control operating expenditures, can allow undeserved economic benefits to 

accrue to a regulated entity. As part of the effort to deter noncompliance, EPAs enforcement program 

have developed penalty policies designed to assess penalties which recover any economic benefit that 

a noncomplying facility has realized, and assess additional penalties commensurate with the gravity 

of the violation(s): 

In FY 1993,5115.1'miilion in civil pe&ties we& assessed, an all-time record ($65.9 million in 

civil judicial penalties, a record, and $29.2 million in administrative penalties). The overall increase 

was in part a result of a substantial increase in CERCLA 5 104,106,107 penalties (from $6.7 million in 

FY 1992 to $24.3 million in FY 1993). Since 1974,'EPA has assessed $435.9 million in civil and judicial 

penalties, with over sixty percent of this total being aSSeSSea in the last three years. Criminal fines 

totaled $29.7 million in FY 1993. Since 1984, $139 million in fines have been levied in EPA criminal 

cases. 

In FY 1993, $22.9 million in Clean Air Act civil penalties were assessed ($20.4 million for 

stationary source violations and $2.5 million for mobile source violations); $27.8 million in Clean 

Water Act penalties were assessed ($23.1 million in civil judicial penalties and $4.7 million in 

administrative penalties); over $6.9 million in Toxic Substances Control Act penalties were assessed; 

$22.8 million in Resource Conservation and Recovery Act penalties were assessed ($14.2 million in civil 

judicial penalties and $8.6 million in administrative penalties); ind $24.3 million in CERCLA civil 

judicial penalties were assessed. The Federal Insecticide, Fungicide, and Rodenticide Act and Safe 

Drinking Water Act programs are largely delegated to the States; however, EPA assessed $632 

thousand, and $5.6 million, respectively, under these statutes. .The Toxic Release Inventory program 

assessed nearly $2.6 million. The Emergency Planning and Community Right-to-Know Act (EPCRA) 

had $1.6 million in assessed penalties (including CERCLA 5103). 

ok$$$LcEcEcEEEE:: bi; 4. & $9 & g &! - 6 

24 
r""-+ 6.g) FY 1993 Enforcement Accomplishments Reporf 

H. State judicial and Administrative Enforcement Activity 

Several hundred thousand facilities are subject to environmental regulation, and the job of 

ensuring compliance and taking action to correct instances of noncompliance with federal laws is 

entrusted both to EPA and to the States through delegated or approved State programs. EPA and the 

States must rely on a partnership to get the job done, with State environmental agencies shouldering a 

significant share of the nation's environmental enforcement workload. In FY 1993, the States referred 

690 civil cases to State Attorneys General and issued 11,881 administrative actions to violating 

facilities. The major portion of State administrative actions occur in the FIFRA and water programs, 

35% and 33% respectively. (Additional data on State administrative orders and referrals is contained 

in the Appendix.) 

8000 loo00 12ooO 14000 

M 93 

FY92 

FY91 

FY90 

M89 

FY87 

M86 

0 200 400 600 800 

WATER 0 AIR W RCRA I 

2-5 
.. . 

FY I993 Enforcedlent Accompli.ihments Report 

I. S,upplemental Environmental Projects 

The analysis of FY 1993 settlement data indicated that the EPA regional offices~negotiated 229 

Supplemental Environmental Projects (SEPs). These SEPS, which had an estimated total value of 

$73.8M; were negotiated in EPCRA, RCRA, CERCLA, TSCA, FIFRA, AHERA, OPA, CWA, SDWA, 

stationary source CAA and multi-media cases. Forty-eight percent of the SEPs were in the category of 

pollution reduction, and another 18% were in the category of pollution prevention. In addition to these 

figures, the Nationally Managed Mobile Sources Air program negotiated an additional 62 SEPs, the 

majority of which were in the Public Awareness category.' More detailed information on SEPs can be 

found in the FY 1993 National Penalty Report, which will be published separately. 

J. Cross-ProgradMulti-Media Enforcement and Targeted Enforcement Initiatives 

While maintaining strong traditional enforcement programs, EPA stressed implementation of 

the cross-program/multi:media perspective and use of targeted and innovative enforcement 

approaches. The Agency's primary goal in implementing these approaches it to obtain .additional 

public health and environmental protection results, greater deterrence, and efficiency which might not 

be achieved through use of traditional approaches alone. Highlights of Regional performance in these 

areas include: 

I 

Cross-progradmulti-media inspections and enforcement actions - The Regions implemented 

the cross-program/multi-media perspective through use of workgroups which targeted crossprogram/multi-media inspections, conducted case screening on single media enforcement cases, and 

coordinated case management against facilities with cross-program violations. FY 1993 was the second 

year for which the Agency has collected data on cross-program/multi-media activities, and the data 

are very encouraging. In FY 1993, the Regions conducted 209 consolidated (simultaneous) crossprogram/multi-media inspections and 71 additional coordinated inspections (inspections conducted in 

follow-up to concerns raised during an inspection by another program). In all, 858 individual program 

compliance assessments occurred in these 280 inspections. During FY 1993, the Agency initiated 24 crossprogram/multi-media administrative enforcement actions, referred 12 multi-media judicial cases to 

DOJ and completed 18 cross-program/multi-mediasettlements which grew out of a single media case. 

In addition to these inspections the Regions reported conducting 2700 single-median inspections using a 

multi-media inspection checklist. .. 

2-6 
111. Maior Enforcement Litigation 

and Kev Leva1 Precedents - 

Protectine Public Health and 

the Environment through 

Enforcement 

This chapter provides highlights of 

major environmental litigation in FY 1993. These 

cases support EPA and state enforcement 

priorities and demonstrate innovative 

approaches in the enforcement process. FY 1993 

was an exciting and challenging year for EPA's 

and the states' enforcement efforts. EPA 

continued implementation of the new 

enforcement approaches, described in the 

Agency's Enforcement Four-Yenr Stratexi 'c Plan 

and Enforcement in the 1990s Proiect by which 

federal and state governments could better 

promote compliance with, and effective 

deterrence against violations of, environmental 

laws. 

Clean Air Act Enforcement 

Stationary Sources 

The 1990 Clean Air Act (CAA) 

amendments generally expanded EPA's 

enforcement authorities and tools, providing for 

a more flexible enforcement program. For 

example, in Mny 1992, the program undertook a 

coordinated nntionwide filing of fifty-two CAA 

administrative penalty cases under the new 

authorities granted by the act. These cases 

covered a variety of regulations, including new 

requirements for continuous emissions monitoring 

equipment at petroleum refineries, benzene and 

uranium mining waste piles, and state standards 

for smoke density and airborne particle emission. 

The 1990 amendments also expanded contractor 

listing snnctions, authorized a. new field 

citations program and tougher criminal 

enforcement provisions, and provided for citizen 

suits. In nddition, the CAA necessitnted 

implementation of the revised Significant 

Violatorllimely and Appropriate Guidance, 

which applies to all major sources as defined by 

the amendments. The air program continues to 

place high priority on supporting 

implementation of the guidance. 

In FY 1993, the program's general 

compliance monitoring and enforcement efforts 

continued to place high priority upon 

implementation of the 1990 amendments. The 

program, working with the states, also 

emphasized the compliance of sources with 

State Implementation Plans (SIPS), New Source 

Performance Standards (NSPS), and the 

National Emissions Standards for Hazardous 

Air Pollutants (NESHAP) and compliance with 

the dry cleaning rule, permits enforceability 

review under Title V, and the benzene 

wastewater rule. The program maintains an 

active effort to implement the requirements of 

the Montreal Protocol to protect stratospheric 

ozone. Enforcement actions were taken against 

persons who import CFCs without first obtaining 

the allowances necessary to ensure that overall 

U.S. consumption of these chemicals does not 

exceed the limits imposed by the protocols. 

The air program continues to focus 

enforcement activity on criteria pollutants. It 

also emphasized compliance for pollutants 

specific to certain industries and geographic 

areas that, pose the greatest health and 

ecological risk. For example, the program has 

previously implemented lead and benzene 

NESHAP initiatives and will continue to target 

for violations involving asbestos and vinyl 

chloride. As part of the geographic initiatives 

for the Mexican Border area, the program 

emphasizes compliance with air quality 

standards for ozone, PM-IO, and carbon monoxide. 

The program also emphasizes compliance with 

volatile organic compound limitations in ozone 

nonattainment areas. 

With passage of the 1990 Clean Air Act 

amendment, the air program will be developing 

a host of new rules that are heavily dependent 

on data accuracy and integrity (e.g., enhanced 

monitoring. continuous emission monitoring. 

hazardous air pollutants). As part of the FY 1993 

National Data Quality Initiative, the air 

program ensured the quality of air emission 

reports submitted by stationary sources to 

regional, state, and local air agencies, and 

compliance with emission monitor certification 

requirements. 

On July 22,1993, Applied Magnetics agreed to pay 

3-1 
FY 1993 Enforcement Accomplishments Report 

a civil penalty of $67,525 resolving EPA's first 

administrative enforcement action initiated to 

address violations of CAA requirements governing 

the importation of chlorofluorocarbons (CFCs). 

The CFC regulations help protect the 

stratospheric ozone layer and are an important 

element of the US. government's implementation 

of the Montreal Protocol on Substances that 

Deplete the Ozone Layer. 

mber Comu4nJ! (D.Mass.): On October 

12, 1993, the U.S. District Court approved a 

settlement between EPA and Archer Rubber 

Company of Milford, Massachusetts settling an 

action initiated by EPA in July 1990 alleging 

violations of §113 of the CAA and the 

Massachusetts State Implementation Plan (SIP). 

EPA's complaint alleged violations at Archer's 

Milford facility since 1985 involving uncontrolled 

emissions of volatile organic compounds (VOCs) 

from the company's fabric surface coating 

operations. Under the settlement, Archer is 

obligated to, among other things: (1) pay a 

$200,000 penalty; (2) install, test and operate 

VOC capture and control equipment in compliance 

with the SIP; (3) keep extensive written records 

concerning VOC emissions and the use of emission 

controls; (4) report to EPA on a quarterly basis; 

and (5) pay significant stipulated penalties for 

each day of each violation of the consent decree 

terms. The settlement allows Archer to admit no 

liability for the alleged violations. 

Under the settlement, EPA agreed to withdraw a 

contractor listing action against Archer, under 

5306 of the CAA, based on Archer's record of 

continuing or recurring noncompliance with clean 

air standards and on prior EPA enforcement 

actions taken against the company. While 

agreeing to withdraw the listing action, EPA 

expressly reserves the right to initiate a second 

listing action in the event of any future violation 

by Archer of the CAA, the SIP, or the consent 

decree. 

Y.S. v. Bethlehem Steel et. 

W On September 7, 1993, the United States 

entered into a settlement with Bethlehem Steel 

and several asbestos contractors in which these 

companies agreed to pay a civil penalty of 

$560,000, the largest penalty ever collected for 

violations of the asbestos NESHAP. The consent 

decree requires Bethlehem and the contractors to 

implement asbestos abatement programs to ensure 

all future asbestos removal operations follow the 

requirements of the asbestos NESHAP. One of 

the abatement contractors, Safe Air 

Environmental Group (now defunct) and its 

president, James Long, were convicted in 1992 of 

criminal violations in connection with their 

work at this Bethlehem Steel facility. 

Y.S. v. B.F. Goodrich( W.D. Kent.): OnSeptember 

13, 1993, the court entered a consent decree 

resolving a CAA civil enforcement action against 

B.F. Goodrich for violations of the benzene and 

mercury NESHAPs at Goodrich's plant in Calvert 

City, Kentucky. Goodrich agreed to pay a civil 

penalty of $160,000, implement an 

environmentally beneficial project to reduce 

mercury emissions beyond the NESHAP 

requirement, and conduct environmental audits at 

several of its facilities. 

U.S. v. City of C&aeo. et aL (N.D. Ill.): On 

February 16, 1993, the court, after a trial, found 

Colfax liable on all of the 11 CAA violations 

alleged in the complaint. The court also found 

Metropolitan Structures liable for all nine 

violations alleged at the two sites which it 

owned. The penalty assessed against Colfax was 

$95,000 and against Metropolitan Structures was 

$2O,OOO, for a total of $115,000. 

Y.S. v. Consol idated Ed ison Co- (E.D.N.Y.): 

The complaint in this action, filed in 1988, 

charged that asbestos had been removed from Con 

Ed facilities in New York City in violation of the 

CAA, including both failure to notify and work 

practice infractions. After extensive litigation 

involving, & numerous depositions and 

summary judgment motions from both parties, the 

case was resolved with Con Ed's agreement to pay 

$219,500. The consent decree was entered by the 

court on October 7,1993. 

Y.S. v. Consol idated Rail Coruor (N.D. 

Ohio): On October 14, 1992, the US. District 

Court entered a Second Amendment to Consent 

Order resolving EPA's CAA contempt action 

against Consolidated Rail Corporation (Conrail). 

The amendment requires Conrail to pay $165,000 

in penalties for its past violations. In addition, it 

allows the company to apply encrusting agents in 

lieu of water to control fugitive dust. 

EPA and Conrail had negotiated a consent order in 

1986 which resolved violations of Ohio's CAA 

3 -2 
FY 1993 Enforcentenr Accomplishments Repon 

SIP at the company's Ashtabula, Ohio coal 

facility. Among theconsent order provisions was 

a requirement that Conrail utilize a water 

spraying system to suppress fugitive dust 

emissions from its coal piles. In 1988, the Agency 

filed a Motion to Enforce the Consent Order, citing 

Conrail's failure to comply with the order's 

watering requirements on more than 200 days. 

Soars Bre a Comoanwton. Vu : On 

August 10, 1993, Coors Brewing Company, Inc. 

executed a consent decree with EPA, which 

requires Coors to pay a civil penalty of $245,000. 

The decree resolved violations of the Prevention 

of Significant Deterioration (PSD) regulations 

under the CAA that require a valid PSD permit 

before construction commences on a new major 

stationary source. In March 1981, EPA Region 111 

issued Coors a PSD permit for the construction of a 

10 million barrel-per-year brewery. The permit 

was reissued and extended on numerous occasions 

by the State, who required, as a condition of the 

extension, that Coors complete a new PSD review 

prior to initiating construction of the brewery. 

However, Coors initiated construction of certain 

brewery elements without meeting the terms and 

conditions of its PSD permit extensions. The 

consent decree requires Coors to send a letter to the 

Virginia Department of Environmental Quality 

and EPA certifying that it has abandoned plans to 

construct the brewery as a major stationary source, 

as defined under PSD regulations, for a five-year 

period. As a result, Coors now proposes to use 

natural gas instead of coal as its boiler fuel, and 

will relinquish all rights it now has to available 

Shenandoah Park class I sulfur dioxide 

increments, held solely by Cmrs for over 12 years. 

Y.S. v. Crown. Cork 8~ Seal Company 

(N.D.Miss.): On September 30, 1993, the US. 

Attorney filed a consent decree in settlement of 

EPAs pending enforcement action against Crown 

Cork and Seal Company, Inc. (Crown) for CAA 

violations. On or about June 1987, Crown 

commenced operations of a new two-piece can 

coating facility in Batesville, Mississippi, 

without first obtaining a PSD permit or testing 

and reporting pursuant to requirements of the 

CAA. Under this decree, Crown will pay 

$343,000 for PSD and NSPS violations. 

In addition to the penalty, Crown agreed to 

perform three supplemental environmental 

projects (SEPs) valued at more than $2,000,000, 

after tax. These SEPs consist of the following: a 

new regenerative incinerator at the Batesville 

plant to further reduce VOC emissions below 

legal requirements; a pilot project at Crown's 

Cheraw, South Carolina facility to test the use of 

a bio-filter to control VOC emissions; and a 

management environmental awareness training 

program for Crown's corporate managers and for 

managers at all Crown can coating facilities in 

the United States. 

Y.S. v. Ent e- (S.D. Tex.:) 

On August 25, 1993, the court entered a consent 

decree settling the CAA civil penalty action 

against Enterprise Products Company. On August 

30, 1993, Enterprise paid a civil penalty in the 

amount of $86,000 to resolve NSPS violations at 

its Mont Belvieu, Texas storage facility. The 

violations occurred due to the release into the 

atmosphere of unauthorized amounts of natural 

gasoline vapor from a storage vessel. The vapor 

recovery system that had been installed was 

insufficient to collect and/or process all volatile 

organic compound vapors and gases discharged 

from the storage vessel. 

Wo Panhandle W-: .. . 

During fiscal year 1993, Region X completed a 

two-year enforcement initiative in Northern 

Idaho ("Idaho panhandle"). The shift of wood 

product operations from the coast of Washington 

and Oregon to Northern Idaho has resulted in 

increased production at existing facilities and the 

start-up of many new facilities. Since the State 

of Idaho had limited resources to inspect this 

large universe of major stationary sources, EPA 

agreed to conduct field inspections of 25 wood 

products facilities in the Idaho panhandle. As a 

result of violations documented during these 

inspections, Region X issued nine administrative 

penalty actions and made two referrals to the 

DOJ (one involves a Louisiana-Pacific facility, 

included in the national settlement discussed 

below). In addition to substantial penalties, the 

settlements included both extensive injunctive 

relief provisions and supplemental environmenhl 

projects requiring reduced emissions through 

improved operations, better maintenance, 

installation of continuous emission monitors, and 

source testing. These provisions are expected to 

reduce emissions of particulate matter by 1,398 

tons per year and volatile organic compounds by 

239 tons per year. 

3-3 
FY 1993 Enforcetilent Acconlplishments Report 

us. 

(M.D. 

v. 

FLk 

P 

On December 7,1992, the court entered 

a consent decree to settle an action against 

Kimmins Contracting Corporation for violations 

of the asbestos NESHAP demolition and 

renovation regulations. Under the decree, 

Kimmins agreed to pay a $25,000 penalty and to 

develop both Asbestos Control and Asbestos 

Training Programs. On December 5,1988, Kimmins 

had removed asbestos pipe insulation from a 

phosphorus and sulfuric acid plant, later owned 

by U.S. Agri-Chemicals Corporation in Polk 

County, Florida, prior to demolition of the 

facility. Kimmins failed to give at least ten days 

notice to the proper agency prior to 

commencement, and had failed to keep the 

asbestos insulation wet during stripping, as 

required under 40 C.F.R. 5 61.147(d). 

Under the terms of 

a consent agreement and consent order filed July 

30, 1993, LaRoche Chemicals of Gramercy, 

Louisiana, agreed to pay a $25,000 civil penalty 

and expend an additional $158,400 to purchase, 

install and operate equipment for recovery of 

residual chlorofluorocarbons (CFCs) in used 

cylinders returned by customers. Recovery of 

these CFC residues will reduce the amount of 

CFCs released into the atmosphere by an 

estimated 50,000 pounds per year more than 

current regulatory requirements. This agreement 

resolved CAA violations by LaRoche for 

facilities utilizing asbestos during manufacturing 

processes. EPA accepted the company's proposal 

to reduce CFC releases in lieu of paying 

additional sums to resolve violations of the 

unrelated asbestos rules. 

Y.S. v. Lo- .. 

( W.D. La.): The penalty in 

this case represents the largest CAA civil 

penalty ever collected by EPA, and the second 

largest penalty recovered under any 

environmental statute. Under the terms of a 

consent decree entered on September 30, 1993, 

Louisiana-Pacific (LP) was required to pay an 

$11.1 million civil penalty and to install state-ofthe-art pollution control equipment, valued at 

approximately $70 million, in eleven of its 

facilities. Louisiana-Pacific also agreed to 

implement an extensive CAA compliance program 

including: compliance and management audits; 

obtaining PSD or NSR permits; complying with 

existing state permits; installing enhanced 

monitoring equipment at 11 facilities; and 

maintaining records and reporting to the 

government as required under the CAA. 

On May 24, 1993, EPA Administrator Carol 

Browner and Attorney General Janet Reno held a 

joint press conference announcing settlement of this 

action which involved numerous violations of 

SIPS, PSD, NSR, and state permit requirements at 

fourteen of LP's wood panel facilities located in 

eleven states. The Administrator and the 

Attorney General stressed the Agency enforcement 

themes which were addressed in this national 

case, including: the environmental benefits and 

deterrent effect of the settlement; data and PSD 

program integrity; advancing the pollution 

control technology used in an industry; and 

federal-state cooperation in coordinating a 

nationally managed enforcement action. 

est Susven sion and (E.D. Mi.) 

On June 16,1993, the court ordered the defendant 

in this civil judicial enforcement action to pay a 

civil penalty of $50,000 for violations of the 

asbestos NESHAP at its brake refurbishing plant. 

The court's opinion clarified key terms under the 

asbestos NESHAP. The court opined that a 

"visible emissions" violation must be proven 

without the aid of instruments and that 

circumstantial evidence is sufficient to establish 

the violation. In determining the appropriate 

civil penalty, the court followed a 1992 CAA 

holding that, when calculating civil penalties 

under 5113 of the CAA, a court must start by 

imposing the statutory maximum penalty and 

then must apply the appropriate penalty 

assessment criteria to determine if penalty 

mitigation is justified. 

Y.S. v. Mobrl 011 COT (E.D. Ca.): On 

February 4, 1993, the court entered a consent 

decree ordering Mobil Oil Corporation to pay a 

civil penalty of $950,000, the second largest 

penalty levied by EPA for CAA violations in 

California. In its complaint, the government 

alleged that between November 1983 and 

December 1985, Mobil violated the CAA at its 

polystyrene foam manufacturing facility. The 

complaint charged that Mobil had emitted more 

isopentane, a volatile organic compound that is a 

precursor to ground level ozone pollution, than 

was permitted by Kern County Air Pollution 

Control District Rule 414.4, which is part of the 

federally enforceable SIP for California. 

.. or 

3-4 
,I 

FY 1993 Enforcement kccomplishments Report ,., (... . .. . .. . 

US. v. Nabisco Bwc- (D.NY): On 

January 20, 1993, a consent decree was entered 

resolving this case. Under the decree, Nabisco is 

enjoined from further violations of the CAA and 

will pay $358,000 in civil penalties. The decree 

also requires Nabisco to retrofit new catalytic 

incinerators onto the manifolded stacks of its 

primary baking ovens and then perform stack 

testing after receiving a permit and protocol 

approval from the State. Nabisco's facility 

produces baked leavened products for the 

wholesale market. While making its bread 

products, the facility was emitting ethyl alcohol, 

a volatile organic substance which is a precursor 

to the formation of ozone, in excess of applicable 

emission requirements. 

US. v. New York City (S.D. N.Y.): On April 22, 

1993, a consent decree was entered in this case 

which involves gasoline dispensing stations 

leased and/or operated by the City of New York. 

There are over 300 such stations at sites 

throughout the City's five boroughs. 

Approximately 55 of these facilities were not 

equipped with Stage I and/or Stage I1 vapor 

collection systems as required by the New York 

SIP. The consent decree requires the City to 

award contracts to construction managers who 

will in turn provide enforceable work schedules to 

bring all of the affected facilities into 

compliance. The settlement also requires the City 

to complete an extensive capital improvement 

work program, with stipulated penalties for 

failure to complete work on schedule; and the 

decree requires the City to pay $200,000 in civil 

penalties. 

U.S. v. New York City Board of Education. et al, 

(E.D.N.Y.): On various dates during 1993, judicial 

consent decrees were lodged with respect to the 

Board of Education and two of the seven asbestos 

abatement contractors which are defendants in 

this multi-party action. Defendants were 

charged with violating EPA's asbestos 

"notification" rule, which forms an integral part 

of the NESHAPs regulations. The action serves 

notice on the regulated community that the 

notification rule is essential to the integrity of 

these regulations and will be strictly enforced. As 

part of a nationwide EPA asbestos enforcement 

initiative, a complaint was filed against the 

Board of Education and seven contractors for 

failure to notify EPA of renovations involving 

asbestos removal in many City schools. 

.. Approximately 126 such failures were at issue in 

this case. These consent decrees finalize 

settlements with the Board, as owner, for all 

violations, and with two of the asbestos 

abatement contractors involved in the violations, 

Jack's Insulation and Philson Painting Co. The 

combined penalties provided for in these decrees, 

and in several others for which consent decrees 

have been negotiated but not yet lodged, total 

$175,000. 

we Placid IM.nu.g .. CompanJL Port Allen, La.; h 

Westlake, La: As part of a hydrogen 

sulfide monitoring initiative, Region VI signed 

two consent agreement/consent orders (CACO) 

during June 1993, concluding administrative 

enforcement complaints against Placid Refining 

Company (Placid) of Port Allen, Louisiana and 

Conoco of Westlake, Louisiana. These two 

agreements required penalties of $68,000 and 

$60,000 respectively. EPA had alleged that 

Placid violated NSPS rules by failing to conduct a 

performance evaluation of a hydrogen sulfide 

continuous emission monitor (CEM) in a timely 

manner as required. Conoco was alleged to have 

failed to install a hydrogen sulfide CEM and also 

failed to conduct the performance evaluation. 

?he rules requiring petroleum refineries to install 

and certify hydrogen sulfide CEMS on their fuel 

gas systems were promulgated on October 2,1990, 

and became effective 12 months later. Both 

complaints were filed as part of a national 

initiative to enforce the new hydrogen sulfide 

monitoring requirements of NSPS Subpart J. 

: On September 27,1993, 

EPA Region N filed a consent agreement settling 

an administrative asbestos NESHAP case against 

Republic Industries, Inc. for $32,824. 

Republic is an asbestos abatement company that 

conducted asbestos renovation projects at the 

Marine Corps Recruit Depot on Parris Island, S.C. 

and at the Inbordan Elementary School in 

Enfield, N.C., in August 1991. EPA inspections 

revealed that Republic had failed to adequately 

wet asbestos-containing material (ACM) at both 

sites and failed to properly label containers of 

asbestos-containing waste material at the l'arris 

Island site, in violation of the CAA asbestos 

NESHAP regulations. 

Shenanago. Inc: The consent decree in this CAA 

case is the first to have the new dispute 

3-5 
FY 1993,Enforcement Accomplishments Report 

resolution section patterned after the dispute 

resolutions used in RCRA decrees. Shenanago, Inc. 

will pay $540,000 and install innovative 

desulfurization control technology at it Neville 

Island Coke Plant. The consent decree, which was 

entered on August 24, 1993, had been lodged 

against Shenango in response to violations of its 

1980 and 1987 consent decrees. As part of the 

decree, Shenango must undertake specified 

remedial actions, one of which is the installation 

of an innovative desulfurization process, which 

has been successfully employed in the petroleum 

industry to desulfurize gas to very low levels. 

Shenango was also placed on an schedule to study 

the transferability of this process technology. 

EPA believes that this process holds promise for 

the steel industry and, if successfully transferred, 

is likely to establish a new LAER standard for 

desulfurization plants. 

On July 23, 1993, EPA 

entered into a consent agreement with Texas 

Instruments, Inc. of Attleboro, Massachusetts for 

violations of several NSPS provisions applicable 

to small boilers. The company engages in the 

manufacture of various pressure bonded metal 

products. Texas Instruments also operates a 

utility plant which houses six boilers. In January 

of 1992, Texas Instruments began operating a new 

boiler. On January 26, 1993, EPA issued an 

administrative penalty order to Texas Instruments 

for notification, performance testing, and 

reporting violations. 

The case was settled for $49,900 and an agreement 

by Texas Instruments to perform a supplemental 

environmental project in which Texas Instruments 

will replace a vapor degreaser unit, which emits 

approximately 6,800 pounds per year of Freon-113, 

an ozone depleting chemical, with a closed-loop, 

zero-emissions degreaser unit. The project will 

cost Texas Instruments over $170,000, and is the 

first application of this technology to the metal 

finishing industry. 

Watson Electn 'cal Construction Co, : On August 16, 

1993, EPA settled a case against Watson Electrical 

Construction Company with a penalty of $30,107, 

the largest penalty to date received by EPA for 

violations of 5608 of the CAA. EPA initiated the 

action against Watson as part of the Agency's 

initial effort to enforce the new stratospheric 

ozone protection requirements established by the 

CAA of 1990. Watson is a large electrical and airconditioning service contractor with offices 

located throughout North Carolina and Virginia. 

EPA discovered that Watson had done service 

work on air-conditioners in a manner which 

violated the stratospheric ozone protection 

requirements. The violations consisted of failure 

to use refrigerant capture equipment to prevent 

chlorofluorocarbons (CFCs) from being released to 

the atmosphere. 

Y.S. v. World Color (S.D. Ill.): On 

December 5, 1992, the court entered a consent 

decree against World Color Press, Inc. for CAA 

violations at three facilities in southern Illinois. 

The decree requires World Color to pay a civil 

penalty of $500,000, perform stack tests and 

install afterburner systems to control emissions of 

volatile organic compounds at its two remaining 

facilities. (The company closed its Mt. Vemon 

facility in March 1991.) In addition, World Color 

agreed to maintain compliance with its permits, 

demonstrate continued compliance through 

various monitoring and reporting, and pay 

stipulated penalties for violations of the consent 

decree. 

EPA action in this matter had begun in February 

1991 with a complaint alleging that World Color 

had violated the CAA and regulations governing 

the prevention of significant deterioration of air 

quality. The company had allegedly failed to 

obtain permits for the construction of eleven 

printing presses at two facilities and failed to 

install pollution control equipment pursuant to a 

PSD permit at a third facility. 

Clean Air Act Enforcement 

Mobile Source Program 

For mobile sources, EPA increased efforts 

to control emissions from motor vehicles and 

vehicle fuels under the new Clean Air Act 

amendments. EPA will promulgate new 

compliance regulations for reformulated fuels, 

will promulgate regulations requiring detergents 

in gasoline, and began implementing and 

enforcing regulations (effective October I, 1993) 

which will control the amount of sulfur in diesel 

fuel. In addition, EPA enforces the volatility 

standards for gasoline as well as the antitampering and defeat device prohibitions. The 

amended act also provided administrative 

enforcement authority which EPA has begun to 

3 -6 
. n, 

FY 1993 Enforcement Accomplishments Repon 

implement. EPA also continued existing 

enforcement programs such as the recall progrim 

(which results in the recall and repair of 

emissions systems of about one third of all new 

vehicles) and will ' initiate a compliance 

program for heavy duty engines. 

Lead Phasedown Cases 

U.S. v. CENEX (D.Minn.): In November 1992, 

the U.S. District Court entered a civil consent 

decree in which Farmers Union Central 

Exchange, ' Inc. ("CENEX), a refinery located 

in Montana, agreed to pay $571,000 for multiple 

violations of the lead phasedown regulations. 

The purpose of these regulations is to reduce 

ambient lead levels. Airborne lead has been 

found to interfere with normal mental 

functioning and synthesis of blood hemoglobin. 

The penalty approximates the actual economic 

benefit realized by CENEX's from the illegal 

lead transactions, as adjusted for interest and 

taxes from December 1987 to the present. 

Volatility and other Fuel Cases 

. (E.D. 

lered a 

consent decree requiring Keystone Terminal 

..Operating Corporation to pay $12,500 for 

multiple violations of . the volatility 

regulations and $1,000 for refusal to allow EPA 

inspectors entry to inspect its premises. 

Ga&&JJ& In May, 1993, EPA settled a 

major enforcement action against Gas City for 

extensive violations of 5211 of the CAA. The 

settlement requires Gas City, a Frankfort, 

Illinois gasoline blender and retailer, to paya 

$450,000 penalty, the largest penalty collected 

by EPA for violations of this nature. 

An EPA investigation during 1991 and 1992 

revealed that Gas City blended nearly 1.6 

million gallons of methanol with unleaded 

gasoline, at concentrations in excess of federal 

limits, 'for sale at various Gas City retail 

outlets located in Chicago, ' Illinois and Gary, 

Indiana. Excess methinol can damage emission 

control components in vehicles not designed for 

methanol. By using inexpensive methanol to 

dilute gasoline, Gas City realized an economic 

benefit of over $300,0. EPA increased the 

amount it waswilling to settle for when it was 

discovered that Gas City continued to blend 

methanol gasoline in violation after EPA had 

notified it of the violation. The investigation 

further revealed that Gas City had sold, or 

offered for sale, gasoline in violation of the 

volatility regulations which limit summertime 

fuel volatility (a measure of a liquid's 

evaporative characteristics) to reduce urban 

smog levels. Finally, Gas City was found to 

have violated several requirements of the 

unleaded gasoline regulations, which are 

designed to ensure that unleaded vehicles are 

not misfueled with gasoline containing lead, 

thereby deactivating catalytic converters. 

Y.S. v. Ali Yh.aj d/b/a Pit Stop (S.D. Texasl; (3n 

October 7, 1993, the court' entered a civil 

consent decree in which Ali Wrani d/b/a Pit 

Stop, an unbranded retail gasoline station in 

Galveston, Texas, aped to pay $6,000 for a 

violation of the volatility regulations. Random 

inspections of retail outlets in the Galveston, 

Texas area in August 1989 revealed that Pit 

Stop was selling gasoline that exceeded the 

95 pounds per square inch standard applicable 

in Galveston at the time. Ali Wrani's attempt 

to deny ownership of the .retail outlet during 

the time of the inspection was thwarted after 

EPA discovered he had paid for a food service 

permit application with a personal check before 

the inspection. 

Fuel Misdelive y Initiative 

.As a result of inspections' in and 

around various ozone nonattainment areas during 

the 1992 volatility control season, EPA 

discovered extensive misdeliveries of high 

RVP 'gasoline into nonattainment areas requiring 

low RVP gasoline. Further investigations 

revealed that certain regulated parties 

upstream of those that actually made the 

deliveries, either had knowledge of the 

deliveries or had information available that 

provided them with a reason to know that 

such deliveries had occurred. Consequently, 

during FY 1993, EPA issued 24 NOVs, with 

proposed penalties totaling . nearly one million 

dollars, to these parties as well as to those 

more' directly involved in the actual 

misdeliveries. These enforcement actions 

generated significant attention by those cited for 

the violations and other regulated parties, 

3-7 
FY I993 Enforcement Accomplishments Repon 

many of which have subsequently instituted 

more aggressive monitoring and qirnlity control 

programs to prevent and remedy such 

violations. Similar violations were not 

discovered during the 1993 volatility control 

season due, in part, to EPA's aggressive 

enforcement. 

Aftermarket Catalytic Converter Policy 

Cases 

Y.S. v. (N.D. New York): In 

January 1993, Cole Muffler entered into a 

settlement with the EPA agreeing to pay 

$238,000 for its violation of the tampering 

prohibition of the Clean Air Act. This is the 

largestpenalty ever awarded for a violation of 

this nature. Cole Muffler, Inc., a New York 

corporation with 51 muffler shops inNew York, 

Pennsylvania and Florida, incorrectly installed 

aftermarket catalytic converters on at least 

3,160 vehicles. The converter is the most 

effective emission control component on motor 

vehicles. Misapplications can dramatically 

increase a vehicle's emissions of hydrocarbons, 

nitrogen oxides and carbon monoxide. The 

violations were discovered upon a routine 

review of warranty cards submitted by repair 

shops to catalytic converter manufacturers. 

In addition, the settlement requires Cole Muffler 

to pay stipulated penalties for certain future 

violations if they occur and file quarterly reports 

with the EPA for each and every catalytic 

converter installation over the next two years. 

Bends Piue and Muffler o (E.D.Tenn.): On 

September 7, 1993, EPA won a partial summary 

judgment against Benny's Pipe and Muffler 

Shop, Inc. ("Benny's'') on the issue of Benny's 

liability for at least 43 violations of the 

tampering prohibition of the CAA. Benny's, a 

corporation with four repair shops in the 

Bristol, Tennessee area, violated the Act by 

installing aftermarket catalytic converters on 

vehicles with converters still under the 

manufacturer's 5 year/50,000 mile warranty 

and/or by installing two-way catalytic 

converters on vehicles which required threeway catalytic converters. 

The decision was significant because it was the 

first judicial opinion stating that installation 

of an aftermarket catalytic converter on a 

warranty eligible vehicle violates the 

tampering prohibition. 

A. Loock. et d. (E.D. California): 

On September 16, 1993, the court entered a 

default judgment ordering James A. Loock, doing 

business as Muffler Man, to pay a$12,500 civil 

penalty for five violations of the tampering 

prohibition of the CAA. Muffler Man, an 

automobile repair business, installed two-way 

catalytic converters on five vehicles requiring 

three-way catalytic converters. Such 

installations are prohibited because they 

increase emissions of nitrogen oxides which are 

major contributors to urban smog and acid rain. 

The violations were discovered upon a routine 

review of warranty cards submitted by repair 

shops to catalytic converter manufacturers. 

Muffler Man filed a motion to set aside the 

default. In response, the US. alleged that 

Muffler Man's motion contained fabricated 

evidence and constituted a fraud upon thecourt. 

An EPA attorney discovered, in researching 

Muffler Man's claim that it had submitted 

numerous documents to EPA during the settlement 

process by certified. mail, that the green 

certified mail slips attached to these documents 

had not been printed by the US. Postal 

Service at the time .that Muffler Man had 

swomthey had mailed these documents. The 

court denied Muffler Man's motion holding that 

it had not rebutted the government's initial 

allegations or^ subsequent allegations of fraud. 

Tampering Cases 

Leith leeu-Eaele. Inc. (E.D. N.C.): On June 21, 

1993, the court entered a civil consent decreein 

which Leith Jeep-Eagle, Inc. (Leith) agreed to 

pay $15,000 for three.violations of the tampering 

prohibition of the CAA. Leith, a new car dealer 

in Raleigh, North Carolina, violated the Act by 

plugging the vacuum hoses to the exhaust gas 

recirculation ("EGR) valve on three motor 

vehicles. An EGR valve recirculates exhaust 

gases thereby reducing a vehicle-s emissions of 

nitrogen oxides. The violations were discovered 

during an EPA inspection on January 31, 1990, 

made as a follow-up to a customer complaint. 

In addition to the penalty, the settlement 

requires Leith to implement a comprehensive 

recall program which includes the distribution 

of a "recall letter" to certain customers of 

3 -8 
FY 1993 Enforcement Accomplishments Report 

Leith and an agreement to repair all plugged 

EGR systems which are brought in by those 

customers at no charge.The recall program is 

expected to cost more ,than $15,000. 

Defeat Device Cases 

MSA Manufacturincr Comuanv. Inc; On August 

27, 1993, the U.S. District Court entered a 

consent decree requiring MSA Manufacturing 

Company, Inc. to pay $28,500 for manufacturing 

and installing catalytic converter replacement 

pipes. This was the first enforcement action 

undertaken pursuant to the defeat device 

provisions of the CAA Amendments of 1990. 

In addition to the penalty, the decree 

prohibits MSA from manufacturing, selling, 

trading, or otherwise supplying test pipes. The 

decree further requires MSA to issue a recall 

letter to all customers who purchased test 

pipes on or after the effective date of the 

defeat device provision (November 15, 1990), 

through the date of entry of the decree. 

Finally, the decree prohibits MSA from 

referring to test pipes in its advertising or 

sales-related documents. 

Eckler Industries, Inc.: On December 16, 1992, 

Eckler Industries, Inc. entered into a settlement 

agreement withEPA requiring it to pay $3O,aw) 

for selling or offering to sell 49 catalytic 

converter replacement pipes and mufflers in 

violation of the defeat device provision of the 

Clean Air Act. The violations, which occurred 

throughout the U.S., were discovered during a 

directed inspection. This was one of the first 

administrative actions taken for violations of 

the defeat device provision added by theCAA 

Amendments of 1990. 

Other cases 

Weroillar. Inc.; On February 2, 1993, EPA 

entered into a settlement agreement with 

Caterpillar, Inc., (Cat) in which Cat agreed to 

pay a penalty of $220,500 for violations of the 

Clean Air Act. Cat also agreed to perform a 

recall program yielding a 76 percent response 

rate, with costs to Cat estimated at $370,400. 

The penalty arose out of Cat's introduction into 

commerce of three hundred ninety-seven 1991 

model year heavy-duty engines which were not 

covered by a certificate of conformity and Cat's 

failure to report changes made to the engines 

during production. 

An investigation of the violations began during a 

heavy-duty Selective Enforcement Audit (SEA). 

SEAS are routinely conducted by EPA on 

production line engines and vehicles to determine 

whether these engines and vehicles comply with 

federal emission requirements. While conducting 

an SEA at Cat's engine assembly plant, EPA 

discovered that the engines subject to testing were 

not manufactured according to the design 

specifications in the application for certification 

submitted to EPA. 

On July 14,1993, EPA and 

Chrysler Corporation signed a settlement 

agreement in which Chrysler agreed to pay 

$51,200 in civil penalties. The settlement 

agreement resolved 16 separate violations which 

were the result of Chrysler's introduction into 

commerce of sixteen Dodge Daytonas that did not 

meet EPAs motor vehicle emission requirements. 

Clean Water Act Enforcement 

In FY 1993, the Clean Water Act (CWA) 

NPDES permit program, regulating direct and 

indirect point source discharges to the nation's 

navigable waters, continued to focus 

enforcement efforts on human health and 

ecological risk from significant noncompliers. 

The program continued civil judicial and 

administrative penalty actions against both 

municipalities and industry to reduce signifcan t 

noncompliance with pretreatment requirements. 

This effort builds on pretreatment enforcement 

initiatives against municipalities initiated in 

October 1989, and against both industries and 

municipalities begun in May 1991 and in October 

1992. EPA and the states continued to build 

municipal facilities' capacity to enforce against 

Industrial Users (IUsl. However, where there is 

an approved program and the Publicly Owned 

Treatment Works (POTW) has not taken all 

actions available under its authority to secure 

compliance by an IU, action against both the 

POTW and the IU usually is appropriate. The 

program enforces requirements for Combined 

Sewer Oveflows (CSOs) for municipalities. 

EPA released a draft permitting and enforcement 

CSO strategy for comment in the first half of FY 

3-9 
FY 1993 Enforcement Accomplishments Repon 

1993. The program is developing enforcement 

strategies for new storm water and sludge 

regulations and will begin enforcement in these 

areas in N 1994. 

Through the national and state-based 

Municipal Wa fer Pollir t ion Prevention Programs 

(MWPPP), EPA and states foster pollution 

prevention and coinpliance maintenance at 

POTWs. These programs are designed to prevent 

future pollution that could result from capacity 

limitations and operation and maintenance 

problem at POTWs that are now in compliance. 

The program continued to focus 

compliance monitoring and enforcement efforts on 

industries that are required to meet best 

available treatment and water quality-based 

efluent limits to control toxic pollutants, such as 

the pulp and paper industry and organic 

chemicals. As part of the effort to control toxic 

pollutants, the regions and states enforce permit 

requirements for reductions in Whole Effluent 

Toxicity (WET). 

The program was supportive of several 

agency-wide, multi-medin priorities in FY 1993, 

including initiatiJes on the Mexican Border, at 

federal facilities, and regarding data quality. 

The program also participated in geographicbased initiatives, as defined by the regions and 

the Office of Water, such as the Puget Sound and 

the Gulf of Mexico. 

U.S. v. (E.D. TX): 

The Aluminum Company of America (ALCOA) 

agreed to settle a Clean Water Act case for 

$750,000 in civil penalties shortly after the trial 

of the case had commenced in US. District Court. 

An enforcement case involving effluent violations 

of the National Pollutant Discharge Elimination 

System (NPDES) permit had been filed against 

ALCOA for violations that occurred during 1987 

at its aluminum smelting plant located near 

Palestine, Texas. The violations, demonstrated in 

the facility's self-reported data, included 

exceedances of the permit limits at an internal 

outfall of certain chlorinated organics, 

specifically hexachlorobenzene and 

decachlorobiphenyl, a PCB. No injunctive relief 

was included since the facility has been 

dismantled. 

Y.S. v. Ciw of Bossier City and the State ef 

Loulsrana (W.D. LA): On February 11, 1993, a 

consent decree was entered in settlement of 

violations by Bossier City. The complaint 

alleged that Bossier City failed to properly 

operate and maintain its publicly owned 

treatment works, failed to comply with effluent 

limitations in its NPDES permit, and failed to 

implement fully its industrial pretreatment 

program. Bossier City agreed to pay a civil 

penalty of $200,000 and to conduct a supplemental 

environmental project (SEP) which promotes 

EPA's policy of providing for the beneficial use of 

municipal wastewater sludge. The projected cost 

of the SEP is approximately $375,000. In the 

past, Bossier City transported its municipal 

wastewater sludge to a landfill. Under the SEP, 

Bossier City will install sludge treatment 

facilities which will produce a reusable final 

product. 

Y.S. v. City of Cocoa. W: On February 10, 

1993, the EPA Region IV Regional Administrator 

ratified a consent agreement and final order 

(CAFO) between EPA and the City of Cocoa 

which included a mitigated penalty of $32,593 

and several supplemental environmental projects 

valued at approximately 51,963,600. 

EPAs complaint alleged that Cocoa had violated 

§301(a) of the CWA by failing to monitor pH on a 

continuous basis and by exceeding several other 

NPDES permit limitations at various times from 

October 1988 through August 1990. The SEPs 

include: installation of 5,000 feet of storm water 

swales; expansion of the City's wastewater reuse 

system; restoration of a 300,000 gallon elevated 

storage tank; and accelerated compliance with 

the Florida Indian River Lagoon Act. 

Y.S. v. Crown Cork (D. P.R.1: On 

October 15, 1992 a consent decree was lodged in 

U.S. District Court which required Crown Cork to 

pay a civil penalty of $750,000, attain 

categorical pretreatment standards for discharges 

to PRASAs Carolina wastewater treatment plant 

(immediately), and comply with PRASA's local 

pretreatment limit for aluminum by June 1, 1993. 

The complaint in this action was filed in 1988, 

alleging that Crown Cork, a can manufacturer 

located in Carolina, Puerto Rico, had violated 

the CWA by discharging pollutants into 

navigable waters without a permit, discharging 

pollutants to navigable waters in excess of permit 

.. 

3-10 
FY 1993 Enforcement Accomplishrnents Repon 

limits once a permit was obtained, and violating 

applicable pretreatment standards for its 

discharges into a publicly owned treatment 

works. 

Y.S. v. CSX TIB11Sportation. L(M.D.FL): On 

May 6, 1993, CSX Transportation, Inc. (CSX) 

signed a consent decree for alleged violations of 

the Clean Water Act at six railroad yards owned 

by CSX in Florida and North Carolina. The 

consent decree requires CSX to pay a $3,000,000 

civil penalty and perform four SEPs valued at 

over $4,000,000. The four projects are: an NPDES 

compliance audit at 21 active CSX yards in 

Region IV; a multi-media risk assessment audit at 

61 inactive CSX facilities nationwide; an 

environmental awareness training program for 

CSX managers throughout the corporation; and 

the development of a best management practices 

manual and a seminar on storm water runoff at 

railroad yards. 

The .civil complaint was filed on April 10, 

1992, alleging that discharges from six CSX 

railyards exceeded limits in the respective 

NPDES permits for these facilities. The consent 

decree was filed with the U.S. District Court 

on September 27, 1993. 

A consent decree was entered in U.S. 

District Court, Eastern District of Pennsylvania, 

on July 20,1993. The decree required Easton Area 

Joint Sewer Authority to pay a civil penalty of 

$389,030 to the US. for past violations of its 

NPDES permit. The decree also required them to 

maintain compliance with their permit effluent 

limitation and to implement a pretreatment 

program subject to stipulated penalties. 

Defendant Harcros Pigments, Inc., which had 

purchased the manufacturing unit from Pfizer 

Pigments, a contributing industry, was required to 

maintain compliance with its industrial user 

permit subject to stipulated penalties. The decree 

required the Authority to pay $120,000 to the 

Coalition of Religious and Civic Organizations, 

Inc. (CORCO), and required Harcros to pay $7,500 

to CORCO for attorneys' fees and costs. CORCO 

initiated the suit in 1988 and was joined by the 

U.S. in 1989. 

The City of Easton, a previous holder of the 

permit, was required to pay a $45,000 penalty for 

permit effluent and pretreatment violations. 

COOP/ CEW 

(Bllllnes.: EPA issued an NOV to the 

State of Montana on November 11, 1990, for 

violation by CENEX of its NPDES permit limits 

for oil and grease dating back to December 1986. 

The State replied on January 29,1991, that due to 

a lack of resources, the State would not pursue 

enforcement against CENEX. On June 26,1991, EPA 

Region VI11 referred the CENEX case to DOJ. 

Over the last year,EPA has negotiated with the 

company and has agreed in principle to settle the 

case for $316,000. Final settlement of this case 

sets a standard for the State of Montana which 

should help the State in future negotiations. 

Further, once concluded, it will send a strong 

message to all of the regulated NPDES 

community that EPA will overfile in a delegated 

State when necessary. CENEX was a FY 1993 

targeted inspection. 

-. (M.D. FL): (3 

April 26, 1993, Florida Tde Industries, Inc. signed 

a consent decree for alleged violations of the 

CWA at the Lakeland, Florida facility. The 

consent decree requires Florida Xle to pay a 

$493,070 civil penalty, requires construction of a 

system to eliminate the discharge of 

contaminated storm water as described in a 

NPDES permit, and to perform two supplemental 

environmental projects (SEPs) valued at $333,930. 

The SEPS are a plan to reduce the levels of zinc 

oxide used in a portion of the Florida lile's 

glazes, and the construction of a zero discharge 

stormwater management system on 13 acres of 

Florida lile's property not currently subject to 

"DES permit requirements. 

A civil complaint was filed on March 17, 1992, 

alleging that storm water discharges 

contaminated by fugitive air emissions exceeded 

limits in the NPDES permit. Florida lile is the 

third largest manufacturer of ceramic tile in the 

U.S. 

Tprm of Fort Gav. WV A consent agreement and 

consent order (CACO) was issued to the Town of 

Fort Gay, WV, on June 25,1993, requiring payment 

of $10,000 for NPDES permit violations. This 

case was referred to EPA by the West Virginia 

Department of Environmental Protection after the 

Town refused to enter into an enforceable 

compliance schedule to correct violations at the 

Town's POTW. Violations included numerous 

effluent limitations violations, failure to submit 

.. 

3-11 
FY 1993 Enforcement Accomplishments Report 

timely discharge monitoring reports (DMRs), 

failure to report bypasses and Combined Sewer 

Overflow (CSO) discharges, and operation and 

maintenance problems. Fort Gay has now met all 

compliance schedule requirements of the 

administrative order to address the violations at 

this facility. 

Y.S. v. G.E. Caribe.lnc- OnNovember 24,1992, a 

consent decree was entered in the U.S. District 

Court (D. PR) pursuant to which G.E. will pay a 

civil penalty of $500,000, and will cease the 

discharge from its facility in Puerto Rico. EPA 

initiated this action based on G.E.'s violations of 

its NPDES permit. The settlement was reached 

during pre-referral negotiations; a civil 

.complaint was filed simultaneously with the 

consent decree. 

U.S. v. Coroom (C.D. 

Cal.): On September 17, 1993, the court entered a 

civil consent decree in which McDonnell Douglas 

. agreed to pay $505,000 in civil penalties in 

settlement of an action brought under the Clean 

Water Act for violations at its aerospace 

manufacturing facility in Huntington Beach, 

California. Specifically, McDonnell Douglas 

discharged approximately 7,000 gallons of metal 

finishing waste from its printed circuit board 

manufacturing operations in violation of the 

pretreatment standards. The wastewater. was 

discharged to the County Sanitation Districts of 

Orange County sewers and then conveyed to the 

Orange County Treatment Plant for treatment and 

disposal ,into the Pacific Ocean. 

(N.D. Ill.): On 

May 28, 1993, a consent decree was lodged 

resolving EPAs civil complaint against Modine 

Manufacturing. The consent decree requires 

Modine to pay a $750,000 cash penalty and 

requires it to implement substantial pollution 

control measures at a cost to the company of 

approximately $5,300,000. 

On June 11, 1993 the US. filed a CWA civil action 

.against. Modine, seeking injunctive relief and civil 

penalties for violations of 55 301 and 311 of the 

CWA for discharging pollutants from its 

Ringwood, Illinois facility, in excess of the limits 

in its applicable 1975 and 1986 NPDES permits. 

Since.the permits were issued to the Modine 

facility in 1975 and 1986, Modine had committed 

many violations of the state-issued permits. 

Modine operates an Alfuse production line at the 

facility that Modine has certified is the primary 

cause of the CWA violations. The current 

wastewater treatment process has proven 

unsuccessful in treating the Alfuse wastewater 

prior to discharge from its permitted outfall. This 

decree requires Modine to phase-out the Alfuse 

production process entirely and replace it with a 

nearly pollutant-free production process. Modine 

has also agreed to convert its process on an 

expedited schedule and to undertake additional 

projects that go beyond those needed to achieve 

compliance. The pollution prevention measures 

outlined in the decree shall eliminate all BOD, 

zinc, ammonia, and TSS loading in Modine's 

effluent from the facility. In addition, these 

measures shall eliminate the emission of 

approximately 73,000 pounds of volatile organic 

compounds, 7,800 pounds of particulate matters 

and 1,600,ooO pounds of sludge annually. 

a v. New Albsqy (S.D. Ind.1: On 

June 18, 1993, the court entered a consent decree 

between the United States, the State of Indiana 

and the City of New Albany, Indiana. The decree 

requires that New Albany pay a penalty of 

$140,000 to the U.S. Treasury and $35,000 to 

Indiana, for New Albany's violations of the 

Clean Water Act. New Albany is also required to 

conduct extensive work on its POTW and sewer 

system, including modifications to the secondary 

wastewater treatment and sludge disposal 

facilities, as well as sewer rehabilitation work. 

New Albany estimates the cost of its compliance 

activities at $17,000,000. 

On March 23, 1990, the U.S. filed a six count 

complaint against New Albany, a municipality 

located in Floyd County, Indiana. The complaint 

alleged that New Albany violated the effluent 

limits of its NPDES permit, bypassed wastewater 

in violation of its NPDES permit, failed to 

implement and enforce its pretreatment program, 

failed to provide an adequate alternative power 

source and violated an administrative compliance 

order issued by EPA. 

Y.S. v. Nm Lou isiana. IRE . (E.D. 

La): A barge cleaning facility agreed to the entry 

of a court order to pay civil penalties for its 

violation of the Clean Water Act. On January 12, 

1993, the U.S. District Court entered a civil 

consent decree in which NICOR agreed to pay 

$225,000 in civil penalties. The complaint 

3-12 
FY I993 Enforcement Accomplishments Report 

alleged that NICOR had violated the CWA by 

discharging pollutants into navigable waters 

without a NPDES permit. Also, after receiving a 

NPDES permit, NICOR violated effluent 

limitations in the permit and failed to monitor 

and report in accordance with its permit. NICOR 

was in the business of cleaning and repairing 

barges, tugboats, and oil field supply boats at its 

Belle Chasse, Louisiana shipyard. NICOR has 

ceased operations at this facility. This case is an 

example of an increasing effort to examine 

transportation facilities for violations of 

environmental requirements. 

US. 

w: 

v. Oak Crlv stal Inc. d/b/a Mc Cov ElecCronic 

On November 17,1992 a consent decree 

was entered in the U.S. District Court (M.D. PA) 

in which Oak Crystal Inc. agreed to pay a 

$335,000 up-front penalty and agreed to expend 

$325,000 to install a wastewater recycling system 

which would both substantially reduce their 

discharge flow and significantly improve the 

quality of their effluent discharge to the Mt. 

Holly Springs, PA, Wastewater Treatment Plant 

(WWTP). The current discharge is now 1,500 

gallons per month versus 45,aOO gallons per month 

prior to the project. The effluent quality of the 

current discharge is also far below the limitations 

imposed for metal finishers under Metal 

Finishing Existing Sources Category Regulations, 

40 C.F.R. 433.15 et seq. The effluent violations 

were detected from data which Oak Crystal, Inc., 

submitted to EPA as the pretreatment control 

authority for this industrial user. 

wted States v. Pacific Southwest Airmotive. 

h. (S.D. Calk On October 16, 1992, the court 

entered a civil consent decree in which US. Air, 

successor to Pacific Southwest Airmotive (PSA), 

agreed to pay $335,000 in civil penalties in 

settlement of an action brought under the CWA. 

PSA owned and operated a jet engine overhaul 

facility in San Diego, California from 1974 

through October 1991, at which time US. Air 

purchased PSA. The violations are based on the 

discharge of industrial wastewater in violation 

of the pretreatment standards for metal finishing 

operations. During its operation, PSA discharged 

an average of 73,000 gallons per day of regulated 

industrial wastewater through the sewers to San 

Diego's Point Loma Wastewater Treatment Plant. 

moil and 0-: Two CWA consent 

decrees were lodged in the District Court (W.D. 

PA) in November 1992 against Pennzoil and 

Quaker State Corporation which addressed 

unpermitted discharges of brine from stripper oil 

production. Pennzoil paid an up-front penalty of 

$1,150,000 and Quaker State paid an up front 

penalty of $450,000. Both companies were 

required to cease discharging without a permit. 

Y.S:v. Port of Pow (D. Ore.): On May 12, 

1993, a consent decree was entered in federal 

district court against the Port of Portland. for 

unpermitted toxic discharges posing potential 

hazard to human health and the marine 

environment. The decree requires the payment of 

a $92,000 penalty plus two supplemental 

environmental projects for the analysis and 

removal of contaminated sediments (a $58,000 

study of priority pollutants in sediments near 

storm water drains.) 

Y.S. v. Puerto Rico Aaueduct and Sew- 

-: During M 1993, EPA filed four more 

quarterly Motions to Enforce the terms of the 

judicial consent decree in this long-standing action 

against PRASA. Also during the year, EPA 

collected about $1.1 million in stipulated 

penalties arising out of past motions to enforce 

that decree. To date, over $3.3 million in 

stipulated penalties have been sought, and 

nearly $2 million have been collected. Although 

violations are still being routinely identified, 

PRASA's overall level of compliance with the 

terms of the decree has improved in recent years. 

PRASA remains one of the most serious 

environmental violators in Region 11, not only 

with respect to the Clean Water Act and not only 

at its major sewage treatment facilities, but under 

other statutes and at other facilities as well. 

U.S. v. Puerto Rico Industrial Development 

Comuanv (PRIDCO1: On June 21,1993, a consent 

decree was entered in the US. District Court 

(DPR). Under the terms of the decree, PIUDCO 

must take necessary actions to bring its Las 

Piedras Industrial Park Sewage Treatment Plant 

(STP), Cayay Industrial Park STP and Naguabo 

Industrial Park STP into compliance with their 

NPDES permits by July 1, 1994, July 1, 1993 and 

July 1, 1994, respectively, by ceasing discharge. 

The settlement also requires PRIDCO to pay a 

civil penalty of $1 million for its past violations 

3-13 
FY 1993 Enforcernent Accomplishments Report 

of the Clean Water Act. A complaint was filed in 

this action in August, 1990. 

C.i@ of Rock S& (Wyoming): A Class I1 

administrative penalty order was issued on 

August 11, 1992, against Rock Springs for 

violations of its NPDES permit. The complaint 

cited Rock Springs for failure to properly 

implement and .enforce federal pretreatment 

regulations. This case upholds the preventive 

nature of the pretreatment program promulgated 

pursuant to the Clean Water Act. A compliance 

order was also issued on August 11, 1992, directing 

the City to correct the deficiencies of its 

pretreatment program and comply with its 

NPDES permit. A consent order was issued on 

August 30,1993, that requires Rock Springs to pay 

a civil penalty of $45,000 and undertake SEPs 

totaling $41,000. The SEPs that will be 

undertaken include development of a household 

hazardous waste program, an on-site assistance 

program for small communities, and a workshop 

on pollution prevention assessment" and waste 

minimization for Wyoming state pretreatment 

coordinators. 

Y.S. v. City of Stark e, Flor iQe: Thecityof 

Starke settled an administrative penalty action 

on November 23, 1992. The agreement includes a 

penalty of $10,300 and a SEE The SEI' consists of 

a land application/reuse project which will 

reduce the discharge to Alligator Creek by 40%. 

The project is estimated to cost $1,600,000, and is 

to be completed bySeptember 30, 1995. 

The City of Starke is located in Bradford County 

approximately 45 miles northeast of Gainesville, 

Fla. The City operates a waste water treatment 

plant, having a capacity of 1.25 MGD, which 

discharges into Alligator Creek. The facility has 

a valid NPDES permit with an effective date of 

August 1, 1989. Beginning in August, 1989, and 

lasting through August 1991, the facility 

experienced numerous violations of permit limits 

for biochemical oxygen demand (BOD), total 

suspended solids (TSS), total nitrogen (TN), total 

residual chlorine (TRC), pH and fecal coliform. 

Numerous schedule and reporting violations 

occurred during the same period. 

I of Town of Ta os. Ne- . :An 

administrative penalty under the Clean Water 

Act was assessed on July 8, 1993, for failure of a 

municipality to handle its sewage sludge in 

accordance'with the requirements of regulations 

regarding disposal of solid waste under RCRA. 

The RCRA requirements for handling solid waste 

were the basis for the requirements in the.NFDES 

permit issued to Taos for sludge handling. The 

administrative complaint was issued under the 

CWA because Taos failed ,to adequately treat and 

dispose of its sewage sludge. Specifically, Taos 

failed to treat land-applied sludge with a 

process to significantly reduce pathogens or with 

a process to further reduce pathogens. The case 

was settled with a civil penalty of $125,000 and 

the requirement to immediately install 

temporary means of treating the sludge in order 

to meet the requirements of 40 CFR Part 257. In 

May 1992, Taos initiated lime stabilization to 

meet the requirements. 

US. v.Tennessee Gas Pipeline Co. (W .D. LA): A 

civil action concluded on August 13, 1993 was 

EPAs first enforcement case against a natural gas 

transmission pipeline for . water pollution 

discharges from one of its pumping stations. The 

court entered a final order for dismissal after the 

company and EPA reached agreement on a penalty 

of $725,000 under the CWA for the unauthorized 

discharges of PCBs from a pumping station'near 

Natchitoches, Louisiana. The company had a 

NPDES permit to discharge specific quantities of 

pollutants from its pumping station into the lake 

serving as the public drinking water supply for 

the City of Natchitoches. Tennessee Gas had 

exceeded NPDES permit effluent limitations for 

the pollutant parameters for oil, grease and 

chemical oxygen demand, had failed to submit 

timely self monitoring reports to EPA as required 

by the permit, and had discharged PCBs from the 

station into the lake without NPDES permit 

authorization. 

U.S. v. Texas Tank Car Works, Inc. (N.D. Texas): 

Due to the Agency's increased effort to examine 

transportation facilities for violations of 

environmental. requirements, a rail car cleaning 

facility agreed to a court order to pay civil 

penalties and to prevent unauthorized discharges 

of polluted water. On June 2, 1993, the U.S. 

District Court entered a consent decree in which 

Texas Tank Car Works agreed to pay $60,000 in 

civil penalties in settlement of a civil action 

brought under the CWA. This action arose out of 

Texas Tank Car's failure to obtain a NPDES 

permit for its discharge of hydrostatic test water 

from its San Angelo, Texas rail car repair facility. 

3-14 
FY I993 Enfarceinent Accomplishments Reporr 

The water had been used to determine whether 

the rail car was leak-tight, and the water would 

be contaminated by the material which had been 

in the car previously. In addition to the penalty, 

Texas Tank Car must develop a recycling and 

disposal program for the hydrostatic test water 

and make quarterly reports to EPA on the 

implementation of this program. 

US. v. Wayne (E.D. .. Count- et al. 

Mich): On July 2, 1993, the court entered an 

interim order that requires Wayne County and 12 

downriver communities to implement a Project 

Plan that will significantly expand the carrying 

capacity of the sewer collection system and will 

increase the capacity of the Wyandotte POW. 

Costs are estimated to exceed $150 million for 

this project, construction of which will extend into 

the next century. 

As part of the sewer improvements, the 

defendants will construct a mini "deep tunnel" 

designed to hold rain waters during storm events. 

The order also requires all the 12 downriver 

communities to finance and construct the Project 

Plan, thus reducing the likelihood that any one 

defendant city could refuse to finance the needed 

improvements and thus keep the improvements 

from going forward. 

Terms of the order were negotiated between the 

U.S., Michigan and Wayne County after it had 

become clear that the court intended to issue some 

sort of order to enable the defendants to become 

eligible for loan monies (SRF funding). The case 

was originally filed in 1987 against Wayne 

County; an amended complaint was filed in 1988 

adding the 12 downriver communities as parties 

defendant. 

Oil Pollution Act 

-1 Pioeline C omoau : EPA issued a 

unilateral administrative order pursuant to 5311 

of the CWA, as amended by the Oil Pollution Act 

of 1990, against the Colonial Pipeline Company 

on April 2,1993. 

EPA, with the assistance of state, local and other 

federal representatives directed the response of 

the Colonial Pipeline Company to a March 28, 

1993 spill of over 400,000 gallons of fuel oil 

catastrophically released from a ruptured, 

thirty-six-inch pipeline near Hemdon, Virginia. 

The spill severely impacted Sugarland Run and 

deposited oil and oil sheen on the Potomac River 

as far south as Alexandria. Under the direction 

of the EPA, immediate cleanup efforts by 

Colonial's contractors, the U.S. Coast Guard 

Strike team, and the Navy Supervisor of Salvage 

resulted in the recovery of 343,000 gallons of fluid 

oil. Despite these efforts, areas where oil was 

continually deposited contributed oil and sheen to 

the waterways, and other remedial measures 

were warranted. In accordance with EPA's order, 

Colonial has undertaken measures to address the 

release of oil into the Sugarland Run Creek and 

the Potomac River by way of excavation and 

bioremediation techniques, as well as natural 

attenuation. 

Star: On April 9, 1993, EPA issued a 

unilateral administrative order pursuant to §311 

of the CWA, as amended by the Oil Pollution Act 

of 1990, and S7003 of RCRA against Saudi 

Refining, Inc., Star Enterprise, Texaco, Inc. and 

Texaco Refining and Marketing Inc. Star 

Enterprises is the owner and operator of an 18- 

acre terminal that operates nine 1.4 to 2.8 million 

gallon above-ground oil storage tanks and eleven 

550 to 10,ooO gallon underground storage tanks. 

In the fall of 1990, an oil sheen was discovered at 

a nearby creek. Further investigation revealed 

that a large underground oil plume, estimated to 

contain over 100,000 gallons of oil, extended 

northeast of the Star Terminal across Pickett 

Road into commercial and residential areas. 

The order requires the respondents to study, abate, 

mitigate, and eliminate such threats from oil, 

hazardous substances and/or solid wastes that 

may exist to the public health, welfare and/or 

the environment, at and around the site. The 

respondents shall accomplish this by: operating, 

maintaining, monitoring and modifying the 

existing on-site removal systems; providing data 

for EPAs comprehensive assessment of the current 

and future risk(s); conducting long-term 

monitoring; evaluating long-term corrective 

action alternatives for the comprehensive 

cleanup of oil, hazardous substances and solid 

waste in all media at the site; fully 

implementing the EPA selected remedy; properly 

closing site systems and restoring properties 

affected by the work; and, undertaking whatever 

3-15 
FY 1993 Enforcement Accomplishments Repon 

other actions are necessary to protect the public 

health, welfare and the environment at the site 

from imminent and substantial endangerments or 

threats. The order also requires reimbursement to 

the US. for costs it incurs in association with 

removal action under the order. 

U.S. v. U.S. Oil and US. v.Texaco (W.D. Wash): 

In FY 1993, EPA settled the first two judicial 

penalties assessed under the new Oil Pollution 

Act of 1990. One was against U.S. Oil & Refining 

Co., and arose out of a January 1991 spill of more 

than 600,000 gallons (14,000 barrels) of oil from a 

ruptured pipeline into a drainage ditch that 

ordinarily drains to Commencement Bay in 

Tacoma, Washington. 

The other was against Texaco Refining and 

Marketing Inc., and involved a spill of 

approximately 210,000 gallons (5,000 barrels) of 

oil from a burst pipeline booster pump. A 

significant amount of the oil entered Fidalgo Bay 

near Anacortes, Washington, causing an oil slick 

that killed more than 140 birds. 

Under the settlements, U.S. Oil had civil 

penalties in the amount of $425,000 while Texaco 

had penalties in the amount of $480,000. US. Oil 

andTexaco were both made to acquire and install 

state-of-the-art spill detection and prevention 

equipment at an estimated cost of $800,000 each. 

U.S. Oil is to reimburse federal spill response 

costs of $60,000 and Texaco must reimburse 

$125,000. The estimated complete spill cleanup 

cost for U.S. Oil is $4,000,000 and $8,000,000 for 

Texaco. 

These cases form a very significant landmark in 

the implementation of OPA. They represent the 

nation's first two judicial penalties assessed under 

OPA, and established the maximum civil penalty 

for an oil spill as $1,000 per barrel spilled rather 

than $5,000 per spill. Achieving such significant 

penalty amounts in the first two cases under the 

new act, when one spill (U.S. Oil) caused nearly 

no environmental impact and the other (Texaco) 

involved nearly no fault on the defendant's part, 

establishes the new Act as an extremely powerful 

enforcement tool and a deterrent to future spills, 

as Congress clearly intended. 

Marine Protection Research and 

Sanctuaries Act (MPRSA) 

Ocean Dumping Ban Act Cases 

The New York and New Jersey 

municipalities which were dumping sewage 

sludge at the 106-mile site off the coast of New 

Jersey for many years have now eased dumping 

sewage sludge into the ocean, as required by the 

Ocean Dumping Ban Act of 1988 (ODBA). The 

Office of Enforcement was heavily involved in 

the negotiation and drafting of the federal 

judicial consent orders that were negotiated with 

the municipalities. 

The ODBA amended the Marine 

Protection, Research and Sanctuaries Act, 33 

U.S.C 1401 et seq., and required NY and NJ 

municipalities to cease ocean dumping by 

December 31, 1991. The NJ municipalities were: 

Bergen County Utilities Authority, Joint Meeting 

of Essex and Union Counties, Linden Roselle 

Sewerage Authority, Middlesex County 

Utilities Authority, Passaic Valley Sewerage 

Commissioners and Rahway Valley Sewerage 

Authority. All the NJ municipalities ceased 

dumping by March 17, 1991. New York was 

granted a six month extension of time to comply 

with the statutory deadline. NY ceased 

dumping half of its sludge by December 31, 1991 

and completely ceased dumping by June 30, 1992. 

Ln the Matterort A uthority of N ew York and 

New lersey: Region I1 issued an administrative 

order memorializing a settlement of this ocean 

dumping case brought under 5105 of MPRSA. The 

settlement provided for payment of a $35,000 

penalty, and included a supplemental enforcement 

project under which the Port Authority will 

provide a $15,000 grant to a private, non-profit 

organization for the purpose of purchasing and 

preserving wetlands in the New York Harbor 

area. The maximum penalty available under the 

MPRSA is $50,000 per violation. The Port 

Authority had received a permit from the US. 

Army Corps of Engineers to dredge dioxincontaminated material from Newark Bay, and 

then ocean-dispose of the dredge spoils at a 

specific location within the "Mud Dump Site," 

where it would then be capped with clean 

material. The Port Authority's contractor 

disposed of 500 cubic yards of dredged material at 

3-16 
FY 1993 Enforcemenf Accomplishmenls Repon 

the wrong location in the Mud Dump Site, thus 

violating the Port Authority's permit. The Port 

Authority subsequently capped the improperly 

disposed of dredged material with 30,000 cubic 

yards of clean fill. 

of Oc-ct (ODBM 

Consent: In FY 1993, Region I1 continued 

to ensure compliance with consent decrees entered 

into by municipal sludge dumpers under the Ocean 

Dumping Ban Act. Several enforcement actions 

were brought to penalize municipalities in noncompliance with their ODBA consent decrees. 

The Bergen County Utilities Authority was 

ordered, in December 1992, to pay stipulated 

penalties of $55,000. In a second action against 

Bergen County, it agreed to pay penalties of 

5500,000 and to deposit 5780,000 into an escrow 

account to be returned only if it complies with the 

consent decree. That consent decree amendment, 

which also included revisions to interim dates in 

the schedule of compliance, is before the US. 

District Court for signature. 

A third action was brought against the City of 

New York for its violations of the long term 

schedule for alternative sludge disposal. The 

result was an order in August 1993 shortening the 

schedule for implementation of Phase I of the 

City's long term alternative and adjustment of 

interim dates in the Phase I1 schedule, without a 

change to the final date. Additionally, the City 

was required to pay 51.5 million into an escrow 

account, which can only be recovered if it 

commences construction of Phase I1 facilities by 

August 18, 1995. The City was also required to 

pay $250,000 to the U.S., and $750,000 to an 

escrow account to purchase either wetlands or 

open space in New York City, subject to approval 

by the N.Y. State Department of Environmental 

Conservation. 

Wetlands Enforcement (5 404) 

Section 404 of the Clem Wnter Act 

establishes a joint EPA - US. Army Corps of 

Engineers permit program to regrr'late the 

discharge of dredged or fill material into 

wetlands and other wnters of the United States. 

The two agencies shnre enforcement authority. 

Pursuant to a Memorandrim of Agreement (MOA), 

the Corps retains the lend on violations of 

Corps-issued permits and EPA has the lend on 

specgic categories of permitted discharge cases. 

The Wetlands Program places a high priority on 

enforcement against unpermitted discharges. The 

program utilizes judicial and administrative 

enforcement authorities as well as voluntary 

compliance, as appropriate, to obtain 

environmental results and create deterrence. EPA 

relies on information provided by the Corps, the 

US. Fish and Wildfire Service, the states, and 

the public to plan these enforcement eff0rts. The 

Wetlands Program participated in geographicbased initiatives as they were defined within 

the Ofice of Water. 

-: On September 30, 1993, EPA issued 

penalty orders against three separate casino 

interests who had violated 5404 of the CWA. 

These violations occurred during the movement of 

barges off the Mississippi River into adjacent 

areas for use as waterfront gambling operations. 

All three have entered into consent agreements 

totaling $11O,ooO, as well as separate mitigation 

agreements. A total of seventeen gaming permits 

have been applied for involving similar barges to 

be used in this area of Mississippi. It appears 

that each one will require a separate permit from 

the U.S. Army Corps of Engineers. 

Sand andGravel, (Charles City County, 

VA): An administrative order was issued on 

December 29, 1992, for the unauthorized 

construction of dikes and roadways, and the 

clearing and leveling activities associated with 

this sand and gravel mining operation. This 

facility has operated for at least the past six 

years, significantly impacting a wooded swamp 

adjacent to the Chickahominy River in 

Southeastern Virginia. In response to this order, a 

restoration plan was submitted which will result 

in the restoration of approximately 65 acres of 

wetland habitat. Restoration activities have 

commenced with the planting of woody species in 

a previously cleared, but un-mined area. 

El Dorado G old. Inr, (Utah) On September 30, 

1993, EPA filed a consent order settling a CWA 

administrative penalty action against K. Terry 

Lindquist, the president of El Dorado Gold, Inc., a 

now-defunct Utah corporation that operated a 

placer mining operation on a stream named 

Browns Gulch Creek in Madison County, Montana. 

The mine operated in violation of CWA 5402 and 

9404 from 1989 to 1990, and also violated state 

mining laws. In addition to paying a $10,000 

3-17 
penalty for the CWA violations, the operator of 

the mine assisted in the restoration of the mine 

and Browns Gulch Creek. However, the majority 

of the reclamation work was completed by the 

State of Montana through forfeiture of the 

company's reclamation bond. 

US. v. Ch- (E.D. TX): On 

February 5, 1993, the court entered a consent 

decree in which Charles Hansen agreed to pay 

$32,500 in penalties and perform restoration of 

wetlands. The penalty has been paid. Hansen 

had repeatedly filled coastal wetlands adjacent 

to Keith Lake, a tidally influenced salt water 

lake near Beaumont, Texas, without a CWA 

permit. The original penalty of $24,000 had been 

assessed against Hansen in an administrative 

penalty action, which Hansen appealed to a US. 

District Court. After the court had affirmed the 

penalty, Hansen continued to refuse to pay it. The 

U.S. then filed an action to require Hansen to pay 

the previously ordered penalty and interest and 

costs, and to pay additional penalties for 

additional violations, as well as to restore the 

wetlands 

Kplland Landfill. (Suffolk, VA): An 

administrative order was issued on September 8, 

1993, against John C. Holland Enterprises, Inc. of 

Suffolk, Virginia for the unauthorized filling of 

up to 70 acres of wetlands adjacent to the Dismal 

Swamp in Southeastern Virginia over the last 15- 

20 years . The enterprise has agreed to comply 

with the order and is developing a restoration/ 

mitigation plan to offset the impacts of the 

unauthorized discharges. Approximately 22 acres 

are proposed to be restored on-site, 50 acres of PC 

cropland purchased and reconverted to wetlands 

at a nearby location, and a yet to be determined 

amount of wetlands acquired and put into a 

conservation easement. 

Allen KetukU, Kap Brothers Excau 

Como anv. v L. Shaw Construction Comp;lqy 

(Utah): On June 23, 1993, EPA issued a consent 

agreement and order for compliance under the 

CWA. Under the order, Allen Kendell, owner of 

property along the Weber River in Utah, and two 

contracting companies agreed to remove several 

thousand cubic yards of building demolition 

debris and rubble that had been discharged in the 

Weber River without the authorization required 

under 9404 of the CWA. The impacted reach of 

the Weber River is rated as a high priority 

fishing area by theState of Utah and is valued 

for its considerable natural beauty. In addition to 

its naturally reproducing populations of 

cutthroat, brown and rainbow trout, the river's 

riparian habitats and associated wetlands 

support nesting birds and are corridors for 

wildlife in the urbanizing area near Ogden, 

Utah. The area supports concentrations of 

wintering bald eagles, and the Boy Scouts of 

America have adopted this portion of the river 

as a clean river and a wildlife habitat 

enhancement project. 

Hombedc (S.D. TX): The U.S. District Court, 

after a trial, ordered Van Leuzen to take a number 

of actions to mitigate repeated filling of coastal 

wetlands and to pay a penalty. Hombeck, a truck 

driver who had hauled fill material for Van 

Leuzen, was assessed a nominal penalty of $900. 

Van Leuzen had repeatedly filled wetlands 

adjacent to Galveston Bay in Texas without a 

permit, claiming that he could get away with it 

because he was so old. The court ordered him to 

pay penalties of between $33,600 and $50,4M) over 

the next 8 to 12 years, and to restore the wetlands 

by removing a residence, a septic system, and fill 

material from wetlands over those years. He was 

also ordered to construct a billboard on the 

adjacent highway, explaining his restoration 

activities and the reason that he had to conduct 

the activities. This billboard is currently in 

place, visible to passers-by on the busy coastal 

highway adjacent to the violation site. 

Divers ified Buiu . (Black Hawk, 

CO): On February 24, 1993, EPA entered into an 

administrative order on consent for a CERCLA 

removal action and an order for compliance with 

5404 of the- CWA with Western Diversified 

Builders, Inc., a construction company responsible 

for a major road and parking facility built to 

accommodate visitors to casinos in the Town of 

Black Hawk, Colorado. The project disturbed and 

redirected the flow of the National Tunnel mine 

drain and discharged dredged and fill material 

into natural drainage in the project area. The 

National Tunnel discharge is an acidic mine drain 

included in the Black Hawk/Central City 

CERCLA NPL (National Priorities List) site, and 

it and other drainage affected by the Western 

Diversified project are subject to the requirements 

of 5404 of the CWA. In addition to agreeing to 

cease all unauthorized activities, the firm, will 

3-18 
FY 1993 Enforcement Accomplishments Report @ 

develop and implement a workplan to remedy the 

acid mine discharges from the National Tunnel 

and apply for a Corps of Engineers permit to leave 

the fill material in the natural drainage affected 

by the project. 

Wells Cow tv Water Resources D istrict: On August 

8,1993, EPA filed a consent agreement and order 

for compliance resolving violations by the Wells 

County Water Resources District, a North Dakota 

assessment district that allegedly drained 

approximately 2,400 acres of prairie pothole 

wetlands in north central North Dakota without 

the necessary authorizations under the CWA 

5404. Under the order, the Wells County Water 

Resources District will restore drained wetlands 

on an acre-for-acre basis pursuant to plans being 

developed by a team comprised of the U.S. Fish 

and Wildlife Service, the North Dakota Game 

and Fish Department, and representatives of the 

water resources district. 

Y.S. v. Windward Prooert ies. Inc. (N.D. GA): 

On May 4, 1993, the court entered a partial 

consent decree in which Windward Properties, 

Inc. agreed to settle three CWA wetlands 

violations for: $75,000 in civil penalties; 

$55,000 to fund a wetlands restoration study; 

and up to $60,000 for the purchase and 

preservation of off-site' wetland acreage. The 

restoration study, which will be performed in 

conjunction with the University of Georgia, is 

believed to be the first of its kind in the 

nation. 

Windward is a corporation which specializes in 

development of residential and commercial 

properties and is a related subsidiary of Mobile 

Oil Company. These violations arose out of 

Windward's filling of wetlands without 

obtaining the required CWA permits during the 

construction of its 3,500 acre residential 

development near Alpharetta, Georgia. 

Safe Drinking Water Act (SDWA) 

Enforcement 

Public Water Supply System Program 

I (PWSS) 1 

(including Maximum Contaminant Levels or 

MCLs) for a variety of contaminants. 

Enforcement priorities for FY 1993 emphasized 

compliance with regulations newly in effect, 

including the lead and copper rule, targeting 

lead in water systems, and the surface water 

filtration rule. The program continued to work 

toward measured reductions in the numbers of 

microbiological, turbidity, organic/inorganic, 

and VOC signi/cant noncompliers. 

In FY 1993, the program began an 

enforcement initiative targeting drinking water 

systems serving over 50,000 people which have 

violated the surface water filtration rule. As 

part of the Data Quality Initiative, the 

program emphasized violations involving the 

non-reporting or falsification of compliance 

information by public water systems. The 

program also continued to promote compliance 

through enhanced training and support for 

regional, state, and Indian tribe compliance 

programs. 

Y.S. v. Beth1 e (D. N.H.): 

This past year, EPA settled a civil court action 

against the Bethlehem Village District in New 

Hampshire for violations of the Safe Drinking 

Water Act. This was the first case nationally 

which was referred to enforce the June 29, 1993 

deadline for installing filtration under the 

Surface Water Treatment Rule. 

The District had voted not to provide the 

necessary funding to comply with this rule, but 

has now voted to comply and is cooperating with 

state and federal regulators. About $2.5 million 

will be spent on a filtration plant and other 

system improvements in order to ensure the 

provision of clean drinking water to the residents 

of the district. The District also agreed to p(y a 

$15,000 civil penalty as part of the settlement. 

(Montana): EPA reached a 

%lement (pendG .judicial approval) dith 

Butte Water Company for a $900,000 penaltylfor 

violations of the Safe Drinking Water Act, ,the 

largest penalty ever collected for drinking water 

violations. It is also the only judicial SDWA case 

impacting a population of 30,000. A portion of 

this penalty went to the state for their role in the 

settlement. 

.. 

I 

I utte Wa ter Como 

The PWSS progrnm establishes drinking 

water stnndnrds for public water systems 

3-19 .. 
FY 1993 Enforcetnent Accomplishments Repon 

YS. v. Sehck Wa ter Svst- (W.D. Wash): 

Region X obtained expedited injunctive relief 

against the Selleck Water System, a small 

community water system near Ravensdale, 

Washington, under 51431 of the SDWA. The 

district court granted the motion for a temporary 

restraining order to compel the system to take 

immediate steps to remedy an imminent and 

substantial endangerment to public health caused 

by fecal contamination of the water supply 

provided to about 150 people, including a daycare facility. The system has a long history of 

SDWA violations. Selleck stipulated to a 

preliminary injunction to take the steps necessary 

to remedy the situation. 

In June 1993, Region X received reports of people 

getting sick from drinking the water provided by 

Selleck. On June 22, Region X issued an emergency 

administrative order directing Selleck to, among 

other things, properly operate and maintain its 

treatment system, advise users to boil water until 

a disinfection system was installed and working, 

and submit a corrective action plan. Selleck 

refused to comply with the order. A court action 

followed. 

This case is significant in that it is one of the few 

cases nationwide in which EPA sought injunctive 

relief under the Safe Drinking Water Act. It 

confirmed the effectiveness of the Act in 

providing a means for quick relief to avoid an 

immediate threat to public health from a 

contaminated water supply. 

Y.S. v. v ireins . lsl- ‘t 

lyIIiLil (D. VI): On February 24,1993, the court 

entered an amended consent decree in this case. 

Under the amended decree, VIHA is to undertake 

various capital and O&M improvements at six of 

its housing projects encompassing over sixty public 

water supplies. The decree also imposes a 

monitoring program on VIHA for various 

contaminants subject to MCLs. VIHA is also 

required to pay $12,ooO in stipulated penalties for 

its violation of the original decree, which was 

entered on January 20,1989. 

Underground Injection Control 

Program (UIC) 

The UIC program regulates underground 

injection practices for five classes of wells. The 

FY 1993 enforcement priorities included a ’second 

round’ initiative against national oil company 

service station Class V wells. Other program 

priorities included potential releases to 

groundwater, wellhead protection efforts, and 

oversight of state groundwater protection plans. 

Particular emphasis will be given to compliance 

efforts on wells that have a potential impact on 

water sources and wells subject to the Toxic 

Characteristic Leaching Procedure (TCLP) 

amendments to the RCRA regulations. 

As part of the national Data Quality 

Initiative, the UIC program emphasizes 

reporting requirements involving Class V 

shallow wells at industrial and transportation 

maintenance facility wells. 

(Montana): On December 7,1992, the 

federal judge in Billings, Montana, in a default 

judgment, ordered Balco Inc. to comply with their 

UIC permit and pay a $1 million penalty for its 

violations. The violations occurred at Balco’s 

commercial salt water disposal well located in 

Richland County, Montana and included injection 

without authorization, injection over pressure, 

and failure to submit and maintain financial 

responsibility. Injection at this well has since 

ceased due to actions by the State of Montana. 

The US. has been unable to collect the penalty 

and the company is threatening bankruptcy. Liens 

have been filed against assets the company holds 

in Montana and North Dakota. 

QUy Oil Corpor-oration: 

Administrative orders were issued to both the 

Getty Petroleum Corporation and the Jiffy Lube 

Corporation. These orders were significant 

because they ordered the corporations to take 

action at all of their facilities in Region I11 

having underground injection wells. Since EPA 

Region I11 discovered violations in some of the 

corporations’ facilities, the orders required the 

Corporations to inventory all facilities, to conduct 

necessary remediation activities, and to 

implement waste minimization plans. 

Inc. v. W: In an October 28, 

1992 decision, the Second Circuit Court of Appeals 

affirmed an administrative order issued by EPA 

Region I1 to enforce UIC provisions. The court 

affirmed a district court ruling that the 

administrative order was based on substantial 

evidence and that the $17,000 penalty assessed 

was reasonable and in accord with EPA standard 

3-20 
FY 1993 Enforcement Accomplishments Reporl 

penalty policy. Region I1 had issued the 

administrative order in March 1991, finding 

Hickey in violation of UIC requirements. The 

order required Hickey to cease injecting fluids into 

three Class V wells and to pay the penalty for its 

past violations. Hickey had sought judicial 

review of the order. 

1 Technolneies.. (N.D. OK): 

EPA assessed one of the largest penalties for UIC 

violations occurring under a delegated program. 

On March 25,1992, a complaint was filed against 

Residual Technologies, Inc. (RTI). The company 

had used excessive pressures in its injection of 

hazardous waste and had failed to meet the 

various parameters required for proper injection. 

RTI agreed to the consent decree which assessed a 

monetary penalty of $300,000 and resulted in the 

construction of a monitoring well. The cost of 

construction and monitoring is valued at $58,000. 

Resource Conservation and Recovery 

Act (RCRA) Enforcement 

In FY 1993, the RCRA enforcement 

program emphasized compliance with 

regulations regarding incinerators, boilers, and 

industrial furnaces. The program conducted 

statutorily mandated inspections of Treatment, 

Storage, and Disposal Facilities fTSDFs) to 

ensure compliance with both operating 

requirements and corrective action schedules fif 

any), as well as inspections of transporters and 

large quantity generators. The regions and stales 

also gave high priority to addressing facilities 

that have had significant noncompliance for 

extended periods. 

In FY 1992, the program conducted an 

“illegal operators’ initiative against hazardous 

waste facility owners and operators, generators 

of hazardous waste, and transporters of 

hazardous waste who failed to notify federal 

andlor state authorities as required under 

RCRA. This reflected the importance the 

program attaches to ,identifying and taking 

enforcement action against those who operate 

outside of the regulatory system. Together, the 

regions and states filed over fifty civil and 

criminal enforcement cases in this elfort, twentyseven of which were federal cases. Emphasis on 

those individuals and companies that may be 

operating outside the RCRA program continued 

to be a high priority in FY 1993. 

For FY 1993, the RCRA enforcement 

program implemented the Strategic Management 

Framework for the corrective action program. 

This framework targets the highest priority 

facilities to reduce existing risk and prevent 

future risk. The major criteria the program used 

to evaluate a facility’s overall priority are its 

environmental significance and long term 

environmental benefit. 

The RCRA enforcement program 

continued to use its ImportlExport Data tracking 

system to ensure compliance with notification, 

reporting, and manifest requirements regarding 

the shipment of hazardous waste. In particular, 

the program targeted illegal hazardous waste 

activity and participated in bilateral 

enforcement activities along the USJMexican 

and U.S./Canadian borders. 

The RCRA program emphasized 

deterrence through the assessment of 

appropriate civil penalties, including 

implementation of the revised RCRA Civil 

Penalty Policy. The program also continued to 

in t eg ra t e pollution preventionlwnste 

minimization efforts into program operations, 

including incorporating pollution prevention 

conditions in settlements. 

The RCRA program offers extensive 

training and guidance to states, tribes, and local 

governments through the RCRA Inspector 

Institute, including an Advanced Institute which 

commenced in FY 1993. It also will continue to 

provide support for NAAG and the four state 

regional associations. RCRA attorney training 

through NET1 is an additional area of emphasis. 

The Hazardous Waste Combustion 

Initiative 

On September 28, 1993, EPA announced a 

cluster filing of enforcement actions against 

violators of hazardous waste combustion 

regulations. The actions seek mer $22 million in 

ciuil penalties and, where violations are 

ongoing, to compel the facilities to return to 

compliance. A total of 30 federal administrative 

complaints, one state complaint, and 8 federal 

administrative consent agreements were filed. 

3-21 
FY 1993 Enforcement Accomplishments Repon 

The Combustion Initiative is an 

important component of EPA's ongoing efforts to 

minimize risks associated with the burning of 

hazardous wastes. The initiative will serve to 

penalize and return to compliance boilers and 

industrial furnaces (BIFs) and incinerators 

identified by EPA as operating in violation of 

RCRA requirements, emphasize to the regulated 

community the importance of complying with 

BIF and incinerator rules, and address the 

public's legitimate interest in ensuring that 

facilities burning hazardous waste do so 

properly. Moreover, the initiative is consistent 

with EPA's "Draft Combustion Strategy", 

announced on May 18, 1993. The Draft 

Combustion Strategy reinforces EPA's 

commitment to protecting human health and the 

environment from hazardous waste risks by, 

amongst other things, emphasizing enforcement 

of rules governing the burning of such waste and 

the importance of pollution prevention. 

Io re: Wal Waste Management. InC.: On 

December 31, 1992, EPA signed a consent 

agreement and final order, (CAFO) resolving 

RCRA violations at Chemical Waste 

Management, Inc.'s 'hade Waste Incineration 

facility in Sauget, Illinois. As Chemical Waste 

had ceased its on-site ash stabilization activities 

prior to the filing of EPAs complaint, the CAFO 

required that prior to the initiation of any future 

on-site treatment of incinerator ash, the company 

must submit to Illinois EPA a revised waste 

analysis plan for review and approval as part of 

a Class 2 modification to its permit. In addition, 

Chemical Waste will pay a civil penalty of 

$275,000. 

DSM wcals North America, InL: In 

September 1993, DSM Chemicals North America, 

Inc., agreed to pay a $121,000 penalty for 

violation of §3008(a) of RCRA. On August 31, 

1992, EPA Region IV had issued a complaint and 

compliance order for violations relating to the 

BIF rule. DSM is also required to demonstrate 

compliance with the BIF rule. 

On September 20, 1993, IC1 

~ Acrylics, Inc. of Olive Branch, Mississippi, 

entered into a CACO, agreeing to pay a $104,000 

penalty for violations of RCRA. The settlement 

also calls for the submission of a certification 

stating that the company has ceased the burning 

of hazardous waste in the boiler unit and that the 

company intends to close the unit pursuant to the 

RCRA closure requirements. 

F ee Corn : Pursuant to a CAFO filed on 

Eptz-ber 28;'i993, La Farge Corporation has 

agreed to pay a penalty of $594,000 for violations 

of RCRA. The facility was also required to 

certify closure of its cement kiln dust waste pile 

pursuant to Alabama regulations. La Farge, who 

sold its facility to the Medusa Corporation on 

February 1, 1993, had operated a cement 

manufacturing kiln in Demopolis, Alabama. 

eet Co- A CAFO was filed against 

Nutrasweet Company of Augusta, Georgia, on 

May 13, 1993. The respondent agreed to pay 

$80,000 for violations of RCRA. On August 31, 

1992, an administrative complaint had been filed 

against Nutrasweet alleging failure to 

continuously monitor and record the feed rate of 

feed streams being burned in two boilers, failure to 

make a hazardous waste determination for 

certain wastes which are stored at the facility, 

and accumulating hazardous wastes on-site in 

excess of 90 days. 

3V Che- On September 22, 

1993, EPA signed a CACO requiring the 3V 

Chemical Corporation to pay a $57,500 penalty 

and perform a supplemental environmental 

project estimated to cost at least $960,000. The 

central component of the project is the construction 

of a closed loop non-contact cooling water system 

which would produce significant environmental 

benefits. In addition, the settlement includes 

provisions for the submission to EPA of the 

documents necessary under the BIF rule to 

authorize the facility to again burn hazardous 

waste in the boiler unit. 

The Illegal Operators Initiative 

EPA announced its second RCRA Illegal 

Operators ("ILOP") Initiative, in two "waves", 

on July I and July 16, 1993, respectively. A 

follow-up to the February 1992 lLOP Initiative 

that involved 50 civil actions, this initiative 

against "illegal operators" of RCRA facilities -- facilities that had tried to sidestep the system 

by disregarding RCRA requirements -- included 

41 ciuil actions and 15 criminal actions. 

The success of the RCRA Illegal 

Operator Initiatives highlights a continuing 

3-22 
FY 1993 Enforcement Accomplishments Report 

multimedia enforcement emphasis on data 

integrity violations. Under several statutes, 

€PA relies extensively on self-reporting and 

other data requirements not only to keep track of 

compliance and make regulatory and enforcement 

decisions, but also to identify the regulated 

community. Complete and accurate data are 

essential to EPA's mission and compliance with 

these laws is critical to the Agency's effort to 

safeguard the environment. By targeting these 

violations of reporting and recordkeeping 

requirements, EPA is emphasizing that such 

violations are not just so-called "paper 

violations". Furthermore, this initiative 

demonstrates EPA's commitment to end the 

illegal storage and dumping of hazardous waste 

that results in injury to both people exposed to 

the offending facility and the surrounding 

environment. 

By a CACO entered on 

gptember 27,1993, tie General Electric Company 

agreed to pay a civil penalty of $83,000 to settle 

an administrative action filed under 53008(a) of 

RCRA as part of the July 1993 Illegal Operator 

Initiative. EPA filed a complaint and compliance 

order against GE on July 15, 1993, for failure to 

make a hazardous waste determination on the 

electrostatic precipitator dust as required under 

40 C.ER 268.7(a). GE operates a facility in 

Lexington, Kentucky, that manufactures 

incandescent light bulbs. In 1987, GE installed an 

electrostatic precipitator (EP) on the furnace 

stacks to collect particulate matter generated in 

the furnace. During inspections performed in 

December 1992, the Commonwealth of Kentucky 

learned that GE had not been making hazardous 

waste determinations on the EP dust. As a result 

of this enforcement action, GE is now 

appropriately disposing of the EP dust. 

See -Sherwin-Williams. CQ, (N.D. Ill.) in 

multi-media section of this chapter. 

w. v. Navajo Refinine ComDanv . , Inc, (D. NM): 

As part of the Illegal Operator Initiative, the 

U.S. filed suit against the Navajo Refinery 

Company, Inc., in July of 1993, for injunctive relief 

and civil penalties in the amount of $7,000,000. 

The suit alleges violations at its Artesia, NM, 

refinery that include failure to: notify for the TC 

(Toxicity Characteristic) waste benzene (DON); 

make a proper waste determination; file a Part A 

permit application amendment; certify 

eneral Electric Co, : 

groundwater monitoring or financial 

responsibility; have a closure plan; have an 

adequate groundwater monitoring system; or have 

an adequate waste analysis plan. The facility 

continues to release up to one million gallons per 

day of wastewater through a three mile long 

pipeline to evaporation ponds. The wastewater 

contains regulated levels of benzene, which has 

been regulated under the toxicity characteristic 

rule since September 25, 1990. Sampling by EPA 

and state agencies, upon which the case is based, 

has also found benzene in the groundwater. 

Land Disposal Restriction (LDR) 

Follow-up Initiative 

On May 13, 1993, EPA and DO1 followed ~ 

up on the 1991 LDR Initiative by announcing 

settlements totaling $6.35 million in four major 

cases involving violations of the RCRA LDRs. 

The $6.35 million in RCRA civil judicial 

penalties represents more such penalties 

announced in one day than in the previous fiscal 

year. This initiative illustrates EPA's continued 

commitment to enforcement of the LDR 

requirements and its interest in securing pollution 

prevention commitments that are not otherwise 

required by law. 

US. v. Dana COD oration (S.D. Ind.): On April 20, 

1993, the district court entered a consent decree 

resolving the litigation in U.S. v. Dana. The 

decree requires Dana to pay a penalty of 

$1,300,000 and close surface impoundments and a 

waste pile where lead-bearing sludges were 

allegedly deposited at their facility in 

Richmond, Indiana. The current estimate for the 

injunctive relief based on the estimated cost of 

closure and post- closure care is $3,699,788. 

EPA became aware of the violations after a EPA 

Region V review of state inspection records and 

Dana's response to a RCRA 53007 information 

request. Dana had discharged wastewater 

containing lead from cupolas to several settling 

areas. Dana excavated sludges containing lead 

from the surface impoundments and placed the 

sludges in a landfill elsewhere on the property of 

the Dana Richmond facility, thereby creating a 

waste pile in violation of the land disposal 

restrictions. 

(N.D. 

Ind.): A civil consent decree requiring Group 

3-23 
FY 1993 Enforcemenl Accomplishmenls Reporl 

Dekko International, Inc. to pay a $550,000 civil 

penalty was lodged on May 13,1993. In addition, 

the settlement required Group Dekko to exhume 

and treat approximately 11 million pounds of 

lead bearing waste. Group Dekko must also: close 

the waste pile under a plan that requires either 

exhumation or on-site treatment of an additional 

50 million Ibs. of waste; pay up to $20,000 in 

oversight costs; maintain an in-line treatment 

system that eliminates lead-bearing waste from 

the firm's waste stream; and implement interim 

mkasures to contain the waste pile while 

treatment is proceeding. 

This action arose out of Group Dekko's violation 

of RCRAs land disposal restrictions for its 

disposal of lead-bearing waste in a large on-site 

waste pile at its facility near Kendallville, 

Indiana. This facility is operated through a 

division of Group Dekko called Reclaimers, Inc., 

and is designed to recover copper from scrap wire 

and cable. 

US. v. Grummm..&Aueustine Corp. (M.D. Fla.): 

This consent decree, entered on July 20, 1993, 

settles a RCRA enforcement action as well as 

potential governmental contractor suspension and 

debarment claims against Grumman. The decree 

calls for a civil penalty of $2.5 million. Grumman 

will initially pay $1.5 million in cash. If 

Grumman completes several innovative pollution 

prevention projects, then the settlement amount 

will be reduced by $1 million. 

Grumman strips, paints,and refurbishes aircraft 

at its St. Augustine, Florida facility. The U.S. 

brought this action against Grumman on February 

22, 1991, as part of the RCRA Land Disposal 

Restrictions Initiative. 

The pollution prevention provisions will 

substantially reduce or eliminate several highly 

toxic waste streams, including a paint stripper, 

methylene chloride and ozone-depleting 

chemicals (e.g. CFCs). Substituting a 

nonhazardous paint stripper for methylene 

chloride may set a precedent for paint strippers 

across the country as most of them use hazardous 

solvents in their operations. EPA estimates that 

up to 240,000 pounds of hazardous emissions per 

year will be eliminated and toxic sludge will be 

reduced if Grumman is in compliance with RCRA. 

Furthermore, approximately 2,412,000 gallons of 

potable water will be conserved. 

Y.S v. Sanders Lead G . (M.D. Ala.): Aconsent 

decree was entered on July 15, 1993, requiring 

Sanders Lead to pay $2 million in civil penalties. 

In addition, the consent decree provides for 

injunctive relief whereby affiliated companies 

will treat wastewater as hazardous waste and 

conduct corrective action under the Sanders Lead 

permit to dispose of blast slag, used as fill 

material for parking lots. This consent decree 

resolves alleged violations involving illegal 

disposal of lead-bearing hazardous wastes into 

approximately eight land disposal units for up to 

three years after the facility lost interim status 

by operation of law, as well as for placement of 

lead-bearing acidic waste into a surface 

impoundment in violation of land disposal 

restrictions. 

This was the first civil judicial case that the U.S. 

filed to enforce the land disposal restrictions and 

settles a RCRA enforcement action concerning 

violations at a Roy, Alabama secondary lead 

smelter. The facility manufactures refined lead 

alloys through the smeltering and refining of 

lead-bearing scrap materials, including old lead 

acid batteries. 

Geographic Enforcement Initiative 

An important geographic initiative 

focusing on a heavily industrial area of 

southeast Chicago and northwest Indiana 

continues to target violations of nearly all 

environmental statutes. Collectively, the 

industry in this corridor has contributed to severe 

water quality degradation of both surface water 

bodies -- including Lake Michigan -- and a 

groundwater aquifer, as well as to chronic air 

pollution problons. 

U.S. v. Be- (N.D. Ind.): On August 

31, 1993, the district court ordered Bethlehem 

Steel to pay $6 million in penalties for violation 

of RCRA and RCRA-related aspects of the SDWA 

permit at its facility in Bums Harbor, Indiana. 

Although Bethlehem Steel had argued that the 

waste mixture in question was not regulated due to 

the holding in Shell Oil, the court declined to 

focus on defendant's mixture argument and instead 

focused on whether Bethlehem Steel's waste met 

the F006 hazardous waste listing description. 

The court also denied Bethlehem Steel's motion 

for summary judgment on July 19,1993, holding 

3 -24 
FY 1993 Enforcement Accomplishments Report 

that the Paperwork Reduction Act is an 

affirmative defense that must be timely pled or it 

is waived. 

This case was brought as part of the Great Lakes 

Initiative in response to Bethlehem Steel's 

failure to perform corrective action as required by 

its SDWA permit and its failure to treat its waste 

as hazardous. The penalty judgment was one of 

the highest ever obtained in an environmental 

action under any media. The large penalty was 

influenced by a finding that Bethlehem Steel's 

violations were willful. This case is currently on 

appeal to the Seventh Circuit. 

Y.S. v. Federated Metals. Inc. (N.D. : On 

November 17, 1992, the district court entered a 

consent decree resolving Federated Metals' 

violations of a 1989 consent agreement and final 

order (CAFO). As part of the settlement, 

Federated Metals agreed to pay a $675,000 

penalty and perform a corrective measures study 

and possible corrective action valued in excess of 

$5,000,000. This settlement is the first resolution 

in a cluster of complaints filed against companies 

as part of EPA Region V's Northwest Indiana 

Geographic Enforcement Initiative. The case is 

also part of the Agency's lead and primary 

metals enforcement initiatives. 

EPA and Federated Metals had entered into the 

CAFO on February 1, 1989, in order to resolve 

RCRA violations at the Whiting, Indiana, 

facility. The CAFO required the company to 

provide acceptable evidence of liability 

insurance, clean up lead pollution and other 

hazardous substances, and submit written costs 

estimates, for closing and conducting the annual 

post-closure monitoring and maintenance of the 

facility. Federated Metals failed to fully comply 

with these requirements within the time 

specified in the CAFO. Hence, on October 16, 

1990, the Agency filed a judicial complaint 

seeking civil penalties and injunctive relief for 

the CAFO violations. 

Other Major RCRA Cases 

.&I k2%FYo:f ftgtt2Y%2Ei an 

administrative order on consent resolving a 

complaint alleging that Abbott discharged 

methylene chloride into the headworks of its 

wastewater treatment system in concentrations 

exceeding the 25 ppm limitation in the 

headworks exemption. Under the order, Abbott 

agreed to pay a penalty of $180,000 and perform a 

sampling program to demonstrate that methylene 

chloride had not been released from its 

wastewater treatment system into the 

environment. The agreement further required 

corrective measures if determinative levels of 

methylene chloride were detected. 

Zn the Matte I of Bloomm ' d Refinincr Commmy, 

Bloomfield, New Mexico: A corrective action 

RCRA Administrative Order on Consent was 

signed on December 31, 1992, for the Bloomfield 

Refining Company in Bloomfield, New Mexico. 

Bloomfield had been in operation since 1963. It is 

an active petroleum refinery and consists of 

approximately 287 acres. The facility has 

released or caused to be released hazardous waste 

and hazardous waste constituents to the 

groundwater, surface water, and soil at the 

facility. Surface water contamination consists of 

elevated levels of organics and inorganics. Light 

non-aqueous phase liquids exist in the 

groundwater beneath the facility. The order 

requires interim measures, A RCRA Facility 

Investigation, and a Corrective Measures Study. 

Boeine Helicovter . EPA has entered into an 

administrative consent order with Boeing 

Helicopter of Ridley, PA, requiring the company 

to pay a cash penalty of $800,000 and to make an 

additional payment of $350,000 to a non-profit 

environmental group, for violating hazardous 

waste regulations. The non-profit group, the 

Institute for Cooperation in Environmental 

Management, (ICEM), based in Philadelphia, 

will use the penalty funds to develop 

individually tailored programs for small 

businesses on how to prevent and reduce pollution 

in their daily operations. 

US. v.Buc keve PI- (E.D. Mich.): 011 

January 30, 1991, the district court issued an order 

holding Buckeye Products, Inc. (Buckeye) in 

contempt for failing to comply with a 1987 consent 

decree. The contempt order includes provisions 

requiring defendant to, inter alia: (1) 

immediately commence groundwater monitoring 

on a quarterly basis; (2) fully and timely 

implement post closure care; (3) pay $104,871.26 

as payment of the outstanding civil penalty due, 

plus interest; and (4) pay $5.31 million in 

stipulated penalties for violating the consent 

3-25 
FY 1993 Enforcement Accomplishments Report 

decree. Buckeye did not appeal the contempt 

order. The government subsequently began to 

garnish Buckeye's assets to satisfy the contempt 

order. On October 17, 1991, Buckeye filed a 

Motion to Vacate the Contempt Order, Quash the 

Writ of Garnishment, and Quash the Writ of 

Execution. This action was subsequently settled on 

May 13,1993; however, Buckeye failed to fulfill 

the payment arrangement. On September 15, 

1993, the U.S. District Court for the Eastern 

District of Michigan entered a judgment against 

Buckeye for $5.4 million. 

In the Mgtter of Chm-Met Semi-: Cn 

February 23, 1993, an administrative law judge 

(ALJ) denied Chem-Met Services, Inc.3 motion to 

dismiss an administrative enforcement action. 

Chem-Met argued that the wastes at issue were 

treatment residues derived from hazardous 

wastes and thus not subject to any RCRA subtitle C 

regulations due to the D.C. Circuit's vacatur of 

the "derived from" rule in Shell Oil v. EPA. The 

ALJ, however, confirmed EPAs argument that it 

had the authority to regulate mixtures and 

derived-from residues without relying on the 

specific regulatory provisions known as the 

"mixture" and "derived-from'' rules. 

posal I Co rv.: 

On February 25, 1993, EPA executed a RCRA 

53008(h) administrative order on consent with 

Chemical Waste Disposal Corp. The order 

provides for remediation of contamination at the 

facility located in an urbanized portion of Queens 

County, New York. The order requires a RCRA 

Facility Investigation and various interim 

measures to deal with environmental problems at 

the site. A Corrective Measures Study and 

Corrective Measures must also be carried out if 

EPA determines they are necessary based on the 

Facility Investigation results. The order was 

based on an initial administrative order issued in 

August 1991. Chemical Waste Disposal Corp. and 

a related company had conducted businesses at 

the facility involving both the transportation 

and processing of hazardous wastes. 

h the M-ssAviation: On November 

17, 1992, the Environmental Appeals Board 

(EAB) held that wastes generated during paint 

stripping operations, consisting of wastewater, 

dissolved paint, paint chips, and spent solvent 

(paint stripper), met the description for "Flisted spent solvents. The EAB rejected Cypress 

Aviation's argument that Shell Oil v. EPA should 

result in dismissal of the claims. The holding 

affirmed a $25,000 civil penalty assessed by the 

administrative law judge. 

This case was initiated following an inspection of 

the facility operated by Cypress Aviation in 

Lakeland, Florida which revealed prohibited 

solvent contaminated waste water on the land. 

p.S V. Ekco : On September 20, 

1993, the U. S. District Court granted most of the 

U.S.' Motion for Partial Accelerated Decision 

holding that when Ekco Housewares, Inc. (Ekco) 

caused listed hazardous wastes to be mixed with 

groundwater, the wastes remained RCRA 

regulated under a "contained in"/ continuing 

jurisdiction principle. The court also held that 

when Ekco physically disturbed hazardous waste 

disposed of prior to November 1980, Ekco 

"actively managed the waste, thereby subjecting 

it to RCRA jurisdiction. These holdings are 

significant because they are among the first 

judicial precedents confirming RCRA jurisdiction 

over listed waste mixtures after the Shell Oil 

decision. On January 28, 1994, the US. District 

Court ordered Ekco to pay a civil penalty of $4.6 

million. 

DOJ filed the complaint in the summer of 1992, on 

behalf of EPA, for the company's failure to 

maintain liability coverage and financial 

assurance in connection with an on-site hazardous 

waste surface impoundment, as required by RCRA. 

Ekco owns and operates a bakeware 

manufacturing facility in Massillon, Ohio. As 

part of its manufacturing process, Ekco generated 

waste products which it discharged to an on-site 

surface impoundment. Between 1980 and 1983, 

Ecko pumped on-site groundwater, contaminated 

with, among other things, cadmium, lead, and 

organic constitutes, which it utilized as a cooling 

water. Afterwards, Ekco discharged the 

wastewater back into the surface impoundments. 

In the Matter of Hardin Countv. Oh io do Hardin 

Countv Commissioners: This case involved an 

EPA administrative action alleging that a 

municipality unlawfully received hazardous 

waste without interim status or a permit. 

Administrative Law Judge Nissen dismissed 

EPAs case on the grounds that the Shell Oil 

decision operated to void the mixture rule 

retroactively from the date of its promulgation. 

3-26 
FY 1993 Enforcement Accomplishments Report 

EPA appealed Judge Nissen's decision to the 

Environmental Appeals Board (EAB), which 

held oral argument on the case on September 30, 

1992. In support of its position before the EAB 

that Shell Oil vacates the mixture and derivedfrom rules prospectively only, EPA cited the D.C. 

Circuit's concern with discontinuity in hazardous 

waste regulation, its invitation to reinstate the 

rules without notice and comment, and its remedy 

of vacatur and remand. On November 6,1992, the 

case was remanded to the ALJ for determination 

of whether federal or state law applied to the 

violations, and it did not rule on the retroactivity 

argument. On remand, Judge Nissen reaffirmed 

his earlier position, ruling on May 27, 1993 that 

Shell Oil is retroactive. EPA appealed that 

decision, and the EAB heard oral argument on 

December 8.1993. 

yS. v. ILCO. et. a 1, (11th Cir. 1993): On August 4, 

1993, the US. Court of Appeals for the Eleventh 

Circuit reversed the district court and held that 

lead components from spent automobile batteries 

were discarded and hence could be regulated as 

"solid waste" under RCRA. The Court of Appeals 

affirmed the district court's award of $3.5 million 

in civil penalties and $845,033 in response costs. 

The action arose from the ILCO's former 

operations at its secondary lead smelter in Leeds, 

Alabama, which reprocessed spent lead-acid 

batteries from cars and trucks. 

Y.S. v. Mar ine Shale Process0 rs. InG ( W.D. La.): 

At the close of Fiscal Year 1992, the civil judicial 

action against Marine Shale Processors, Inc. 

(MSP) was reassigned to U.S. District Judge 

Adrian Duplantier of the Eastern District of 

Louisiana. Despite the reassignment to an 

Eastern District Judge, (which was effective 

August 13, 1992), the case is still technically 

within the jurisdiction of the Western District of 

Louisiana. 

On August 2,1993, Judge Duplantier, among other 

things: (1) permitted the intervention of the 

State of Louisiana through the Department of 

Environmental Quality; (2) postponed the trial of 

this matter to April 11, 1994, in New Orleans, 

Louisiana (the trial has since been rescheduled to 

begin on April 18, 1994); (3) granted the United 

States' Motion to Amend its Complaint to include 

additional claims under CERCLA, CAA, and 

RCRA against MSP and the two intervening 

defendants (with regard to the RCRA claims 

only), Southern Wood Piedmont Co. and Recycling 

Park, Inc.; (4) granted the United States' Motion 

for a Protective Order with regard to MSP's 

discovery of matters driven by MSP's "selective 

prosecution" defense; (5) granted the US'S 

Motion to Strike MSP's affirmative defenses of 

double jeopardy, primary jurisdiction and failure 

to exhaust administrative remedies, estoppel, 

laches, statute of limitations, and the defense 

based on the existence of MSP's patent. 

On August 24, 1993, Judge Duplantier dismissed 

nine out of MSP's ten counter claims against the 

US., citing as precedent another RCRA-related 

decision in an underground storage tank 

enforcement action, U.S. v. Ownbey Enterprises, 

h. MSP's counter-claims covered a wide array of 

legal theories based on assertions of negligence, 

takings, and breach of contract by the U.S. The 

court agreed with the reasoning of the District 

Court for the Northern District of Georgia in 

ownbev. which found that a claim for damages is 

not a proper counter-claim to a government 

regulatory enforcement action. The ninth counterclaim, which was not dismissed by the court, 

alleged that the U.S. had failed to sufficiently 

respond to MSP's requests to EPA pursuant to the 

Freedom of Information Act. 

to Chemical : On June 21,1993, 

EPA entered into a consent agrcement and order 

with the Monsanto Company in Springfield, 

Massachusetts. Monsanto will pay a minimum 

cash penalty of $26,750 and perform a SEP at a 

minimum cost of $160,500. Monsanto will receive 

$80,250 credit towards settlement upon 

completion of the SEP. 

As part of the SEP, Monsanto has proposed to 

install equipment to their melamine resin 

manufacturing process which would enable them 

to recover methanol from the methanol-rich 

distillate waste stream which is currently 

generated at a rate of 3 million pounds per year. 

Monsanto estimates that the recovery will result 

in a 60% reduction of the waste stream or a 1.8 

p: 

million pound per year reduction. 

On May 12,1993, 

EPA entered into a consent agreement with Peoria 

Disposal Company (PDC) requiring PDC to pay 

$25,000 in penalties .and to implement a 

Supplemental Environmental Project valued at 

$70,000. The SEI' is a pollution reduction project, 

.. 

3-27 
FY 1993 Enforcemenr Accomplishments Repon 

consisting of: 1) the construction of a containment 

system for storage of loaded roll-off boxes 

containing hazardous waste which are being held 

at PDC's transfer facility for periods of 10 days or 

less; and 2) asphalt paving over the traffic areas 

of PDC's truck terminal to assure that any 

spillage of hazardous waste which might occur is 

prevented from being released to the environment. 

EPA had filed an administrative complaint on 

August 30, 1991 against PDC for violations of the 

transfer facility storage regulations of restricted 

hazardous wastes, under 5 3008(a)(l) of RCRA, as 

amended. 

I ii in In : Aconsent 

agreement and final order providing for a 

$100,000 penalty in settlement of a complaint 

alleging violations of RCRA's Land Disposal 

Restriction Requirements was signed by Precision 

Fabricating and Cleaning, Inc., Cocoa, FL on 

August 24, 1993. On August 12, 1992, EPA had 

filed an administrative action against Precision 

for improper land disposal of acid (DLl02), freon 

(F002), methylene chloride (F002), and acetone 

(F003). and for failure to determine if these 

wastes were restricted as required by 40 CFR 5 

268.7 (c). The violations were discovered as a 

result of an inspection by Florida Department of 

Environmental Protection (FDEP). Since FDEP is 

not authorized to enforce Land Ban violations, 

EPA took the lead in this enforcement action. 

Tn re : A consent ... : Safetv-Kleen Facm 

agreement and final order, concerning RCRA 

import. notification violations at Safety-Kleen 

facilities in Hebron, Ohio, was filed on May 7, 

1993. Safety-Kleen has agreed pay civil a civil 

penalty of $227,925. EPA had filed an 

administrative complaint on April 8. 1993, 

alleging that between 1988 and 1992 SafetyKleen received numerous shipments of hazardous 

waste for which it did not appropriately notify 

EPA. In addition, other violations included 

notifications sent less than four weeks in advance 

of receipt of shipments of waste and notifications 

which incorrectly identified the waste to be 

received. 

Zn the Matter o f Seouovah Fue Is Coruoration, 

Gore, Oklahoma: A corrective action 

administrative order on consent under RCRA was 

signed and made effective on August 3,1993, for 

the Sequoyah Fuels Corporation located in Gore, 

Oklahoma. The facility engaged in the 

conversion of uranium ore to uranium hexafluoride 

and the conversion of depleted uranium 

hexafluoride into uranium tetrafluoride which 

are used to produce nuclear reactor fuel rods and 

armor-piercing bullets, respectively, from June 

1970 to June 1993. This order required corrective 

action activities to be performed at the site to 

address the investigation and remediation of past 

releases of hazardous constituents to the 

environment from the facility. The order was 

developed and is being implemented in conjunction 

with activities of the Nuclear Regulatory 

Commission (NRC). NRC regulates Sequoyah 

because they manage radioactive substances. 

Sequoyah is implementing decommissioning 

activities under the oversight of the NRC. EPA 

and NRC have developed the decommissioning 

and corrective action programs at the site to 

ensure that all activities at the site are 

coordinated. 

Sharon: A unilateral RCRA 53008 (h) 

initial administrative order was issued by EPA 

Region 111 to the Sharon Steel Corporation 

following a breakdown of consent order 

negotiations. The unilateral order was appealed 

on January 22, 1993. An Administrative Hearing 

was held on July 22,1993. On August 5,1993, the 

Regional Judicial Officer (RJO) recommended 

that the order be issued as written, with only a 

few minor modifications. There were several 

disputed issues of fact and law raised by Sharon 

Steel Corp., many challenging the scope of EPA's 

authority to require corrective action under RCRA 

$3008 (h), all of which were decided in EPA's 

favor. 

The RJO concluded that the broad corrective 

action definition of "facility" recently 

promulgated in the Corrective Action 

Management Unit Rule was properly applied in 

this case. Under this definition, property 

separated from the regulated RCRA interim 

status unit by a river, but connected by a trestle 

bridge used and owned by the respondent, is 

included within the scope of the order. The RJO 

further concluded that EPA need only show the 

release of any one hazardous waste into the 

environment to satisfy the statutory requirement 

of a "release of hazardous waste." The RJO also 

agreed with EPAs position that although a 

substance may not be a listed, hazardous waste or 

hazardous constituent, if it may pose a 

substantial present or potential hazard to the 

3 -28 
#*'.R". 

"b FY 1993 Enforcement Accomplishments Report 

environment, then it falls within the statutory 

definition of "hazardous waste': (RCRA 51004 

(5)). As such, it can provide the basis for a 

corrective action order. Finally, the RJO affirmed 

EPAs position that "to compel corrective action 

investigations or studies, EPA need only identify 

a general threat to human health or the 

environment." 

In the Matter of Siwer Stee 1 Coruoration, 

(Bettendorf, Io.): On August 9, 1993, EPA and 

Sivyer Steel Corporation (Sivyer) entered a 

consent agreement and consent order in settlement 

of the RCRA § 3008(a) complaint filed against 

Sivyer on September 30,1991. The complaint had 

alleged failure to conduct a hazardous waste 

determination on hazardous waste stored in drum 

at the facility and on waste arc dust, and also 

alleged storage of hazardous waste for longer 

than 90 days without a permit or interim status. 

The order required Sivyer to: 1) pay a penalty of 

$51,437.50 ($11,617.50 of which is deferred until 

completion of a supplemental environmental 

project, described below); 2) undertake closure of 

its illegal hazardous waste storage area; 3) 

dispose of its waste arc dust as hazardous waste 

until such time as it can show, to EPA's 

satisfaction, that the dust is no longer hazardous; 

and 4) undertake a SEP. The SEP requires Sivyer 

to undertake a waste minimization assessment of 

all waste streams at its facility and to implement 

the findings of the assessment in accordance with 

a time schedule to be approved by EPA. Sivyer 

must also submit a report on the findings of the 

assessment and the implementation of waste 

minimization practices to EPA. 

Y.S. V. Taracorn Industries. Inc.: On June 8,1993, 

the U.S. District Court granted in part and denied 

in part EPA's motion for summary judgment 

finding Taracorp Industries, Inc. (Taracorp) liable 

for the cleanup of a hazardous waste site that it 

bought from the National Lead Company (NLC) 

in 1979. The court rejected Taracorp's claim that 

it was "impossible" to obtain financial insurance 

for the site once it became listed on the NPL, 

reasoning that "impossibility" went to the issue 

of relief not liability. On September 2,1993, the 

court reversed an earlier decision and found the 

Taracorp site to be a landfill. A hearing on 

September 20, 1993 determined civil penalties. 

Teradvne In&: On July 19,1993, Teradyne Inc. and 

EPA entered into a settlement agreement for a 

1991 RCRA enforcement action against the 

company. This matter was settled for a total 

penalty of $120,000. This includes a cash 

payment of $50,000 plus credit towards the 

performance of two supplemental environmental 

projects. Teradyne will expend approximately 

$800,000 for the purchase and installation of 

solvent replacement units, one at the Nashua 

facility (approximate cost of $350,000), and one 

at the Boston facility (approximate cost of 

$450,000). EPA has granted Teradyne a credit of 

$70,000 for the proposed projects. Teradyne has 

certified that it is presently in compliance with 

RCRA requirements. 

Tesoro Alaska Petroleum Comuany. (Kenai, 

Alaskal: In an administrative enforcement action 

involving a series of complex RCRA regulatory 

issues, EPA negotiated a settlement with Taro 

Alaska Petroleum Company in which the 

company agreed to pay a $550,000 penalty. This 

was EPAs largest cash settlement to date in the 

Pacific Northwest in an administrative case 

involving hazardous wastes. The complaint was 

part of the nationwide Illegal Operator's 

Initiative. 

Y.S. v. u nited Tec hnoloeies Corpo ration (D. 

Conn.): The court lodged a consent decree settling 

this case on August 23,1993. The decree provides 

that United Technologies Corporation (UTC) will 

pay a total penalty of $5,301,910, of which 

$4,251,910 will go to the U.S. and $1,050,000 will 

go to the State of Connecticut. The decree also 

incorporated an auditing agreement which 

requires UTC to implement an extensive multimedia environmental audit at all UTC facilities 

located in EPA Region I. 

This case was first referred to the EPA following 

an inspection of UTC facilities. The inspections 

detected a wide range of RCRA violations at 

eight UTC facilities, including its Pratt & 

Whitney, Sikorsky, and Hamilton Standard 

operations. The auditing provisions in the UTC 

settlement are amongst the most extensive ever 

incorporated into the settlement of an EPA 

enforcement action. 

(Spokane, WA.): In 

an agreement with EPA, Washington State 

University (WSU) took the first steps toward 

creation of an on-campus facility to reuse 

chemicals and other substances that previously 

3-29 
FY 1993 Enforcement Accomplishments Report 

required expensive handling as a hazardous 

waste. According to the agreement, WSU would 

start work on developing plans for a waste 

exchange on campus that would allow 

researchers, instructors and students in one 

university department to be able to reuse 

materials that had already been used in other 

departments. Officials at WSU estimated the 

campus waste exchange would cost more than 

$87,500. The agreement resulted from an EPA 

enforcement action involving violations of 

hazardous waste regulations discovered by 

inspectors from EPA and the Washington State 

Department of Ecology. EPA agreed to a penalty 

of only $22,500 because the university will be 

implementing the waste exchange and reduction 

program. 

Weyerhaeuse r Co.. Lone view, Washineton: In a 

settlement reached between Weyerhaeuser and 

EPA in February 1993, it was agreed that unless 

Weyerhaeuser succeeded in reducing the 

hazardous waste generated by certain equipment 

at its Paper Company plant in Longview, 

Washington by 45 percent, the company would 

pay a penalty of $38,948 to settle a EPA 

complaint alleging hazardous waste violations. 

The arrangement in the settlement would allow 

Weyerhaeuser to pay only $20,000 if 

Weyerhaeuser completes the waste reduction 

program and achieves the reduction. The waste 

reduction project involves Weyerhaeuser's 

replacement of 13 devices that have relied on 

solvents to wash parts at the plant. In 1991, the 

use of the solvents produced more than 53,000 

pounds of hazardous wastes. The waste reduction 

project was proposed by Weyerhaeuser during 

negotiations to settle an administrative 

complaint EPA issued to the company in the 

summer of 1992. EPA had alleged that 

Weyerhaeuser failed to follow a number of 

regulations for the proper management of 

hazardous waste. Suspending part of' the 

Weyerhaeuser penalty in exchange for the waste 

reduction project was EPAs first use in the Pacific 

Northwest of such an arrangement in an 

administrative case involving hazardous wastes. 

Regional Initiatives Cases: 

I11 RCRA Data Inteeritv Initiative: On 

September 16, 1993 Region I11 issued five 

administrative complaints, with penalties, 

pursuant to §3008(a) of RCRA in support of the 

Agency Data Integrity Initiative. The Region is 

seeking penalties totaling over $2.5 million. 

&?ion 1 I Lead-Based Pa int Enforcement: During 

FY 1993, the Region initiated three 

administrative enforcement cases, seeking 

penalties totaling nearly $1 million, for RCRA 

violations arising out of the removal of leadbased paints from architectural structures. 

Considerable concern has been voiced by 

residents in New York City and elsewhere 

about the impact of improper disposal of leadcontaining paint chip wastes. 

Reeion I1 Waste 0 il Enforcement Cases. . In FY 

1993, Region I1 settled two waste oil enforcement 

cases. These cases had been filed as part of the 

Region's waste oil enforcement initiative, carried 

out during the past several years. On January 4, 

1993 the U.S. District Court (DNJ) entered a 

consent decree in U.S. v. B & L Corwration. The 

decree requires the company to pay a civil 

penalty of $25,000 and implement a workplan 

intended to insure compliance with the waste oil 

regulations. On January 8,1993 the District Court 

entered the consent decree for US. v. L & L Oil 

Service. Inc. This decree imposes a civil penalty 

of $55,000, and requires L & L to comply with a 

detailed workplan insuring its compliance with 

the waste oil regulations. The workplan includes 

provisions which exceed the scope of the RCRA 

regulations. In both cases, substantial stipulated 

penalties are provided in case of failure by the 

Defendant to comply with the terms of the 

Decrees. 

Underground Storage Tanks 

The UST enforcement program continued 

to be implemented primarily by state, local, and 

tribal governments. EPA provides technical 

support and enhancement of state and local 

enforcement capability as a prerequisite for 

obtaining program approval. 

During FY 1993, the phase-in of release 

detection requirements began to apply to all 

tanks installed before 1980. The federal program 

uses these requirements as the focus for 

developing strong state enforcement and 

compliance programs. 

3-30 
FY 1993 Enforcemenr Accomplishments Report 

The federal program also helped 

develop tools such as self-certifications and the 

use of administrative field citations. During FY 

1993, the EPA continued some direct compliance 

and enforcement efforts for portions of 

regulations which are not fully regulated by 

states. Federal efforts will target health and 

ecological risk by focusing on sensitive 

geographic areas, e.g., ones with vulnerable 

groundwater, large tank populations, and poor 

compliance histories. 

In Re the Circle K Corpo ration. et. a.l .: OnMarch 

29,1993, EPA, DOJ, and the National Association 

of Attorneys General (NAAG), on behalf of thirty 

states, announced a $30 million settlement in 

bankruptcy court with Circle K Corporation 

(Circle K) and affiliated companies. Circle K 

operates convenience stores and gasoline stations 

nationwide. The settlement agreement resolved 

Circle K's RCRA liabilities with respect to 

potential petroleum contamination from the 

underground storage tanks at approximately 1,100 

stores that Circle K no longer operates. The 

settlement amount will be paid in six installments 

into a State trust fund and used to remediate any 

contamination from petroleum leaks at these 

sites. This case represents the growing 

cooperation between EPA and the states in 

enforcing the underground storage tank provisions 

of RCRA. 

In the Matter of F rank Mustafa : On September 1, 

1993, EPA Chief Administrative Law Judge 

Frazier, issued an Accelerated Decision and Order 

in an enforcement action under Subtitle I of RCRA 

governing regulation of underground storage tanks 

(USTs). The decision was the first in the nation to 

conshue EPAs Penalty Guidance for Violations of 

UST Regulations. Judge Frazier found the 

respondent liable for failure to notify the 

designated state agency as to the existence of 

USTs owned by respondent, and for failure to 

provide a method of release detection, and 

assessed a civil penalty of $74,105. Frank 

Mustafa, owns and operates underground storage 

tanks at two (once three) service stations in the 

US. Virgin Islands. The complaint charged 

Mustafa with two counts, failure to notify and 

failure to provide a method of release detection 

for six underground storage tanks. The parties 

stipulated as to respondent's liability, and 

submitted the issue of the amount of the civil 

penalty to the Judge for resolution. 

m. v. Somerset RefinervIn&(E.D.Ky); This case. 

was one of the first judicial actions to enforce the 

newly listed petroleum refinery hazardous waste 

FO37. EPA filed a complaint on July 16,1993, for 

RCRA Subtitle I (underground storage tank) 

violations and for RCRA Subtitle C (hazardous 

waste) violations. The complaint was filed as 

part of the National RCRA Illegal Operators 

Initiative. The defendant is located in Somerset, 

Kentucky. The complaint requests injunctive 

relief and civil penalties for 148 UST violations 

and for violations in conjunction with the 

operation of a hazardous waste 

treatment/storage/disposal facility and for 

corrective action. The majority of these 

violations are for failure to comply with leak 

detection regulations. This case, the first civil 

referral in the nation to enforce the UST leak 

detection regulations, arose as a result of a multimedia inspection performed by Region IV RCRA 

and UST Programs, as well as the Kentucky 

OSHA program. Somerset is the second largest 

UST owner in Kentucky. 

WSX Gam Wob On July 26,1993, EPA and 

USX entered into a consent agreement and final 

order (CAFO) resolving EPAs claims relating to 

violations of RCRA and the underground storage 

tank (UST) regulations at USXs Gary Works 

facility. In the CAFO, USX agreed to pay a 

penalty of $164,550 and undertake significant 

corrective actions at the facility. EPA had issued 

a complaint against USX on January 24, 1992 

alleging numerous violations of RCRA and the 

UST regulations, including violations relating to 

the manner in which USX had closed certain UST 

units. 

Comprehensive Environmental 

Response, Compensation, and 

Liability Act (CERCLA) Enforcement 

(Superfund) 

Superfund potentially responsible party 

(PRP) commitments have increased 

dramatically over the last several years 

(reaching a record high of almost $1.5 billion for 

private party cleanup in FY 1992 and exceeding 

$1.0 billion in the two prior years). Currently, 

responsible parties account for almost fhreequarters of the Superfund response action 

commitments now being obtained. 

3-31 
FY 1993 Enforcement Accomplishments Report 

" 

The Superfund enforcement program 

emphasizes timely and thorough PRP searches 

and negotiation of Remedial Investigation/ 

Feasibility Study and Remedial 

DesignlRemedial Action agreements within 

established firm deadlines. The enforcement 

program supports the implementation of the 

Superfund Accelerated Cleanup Model by 

participating in negotiations on enforcement 

activities for PRP responses at earlier stages of 

the Superfund process. EPA is also emphasizing 

compliance with consent decrees and 

administrative, orders, and takes enforcement 

actions where necessary to compel compliance 

with the terms of settlement agreements, 

unilateral orders, and judgments to implement 

response actions. 

In order to reduce "transaction" costs, 

EPA seeks to resolue'the liability of more parties 

and deal with "collateral" PRPs (e.8.. small 

parties) earlier in the process through the use of 

"de minimis" settlements. To further reduce 

transaction costs, €PA published its final lender 

liability rule in June 1992, making clear that 

lenders with mortgages on contaminated 

properties are not candidates for enforcement 

actions unless they actually controlled 

operations at the facility or foreclosed on the 

property and caused contamination at the site. .I 

The program maintained its emphasis on 

case referrals against noncompliers and nonsettlers to the Department of Justice. The cost 

recovery component stresses targeted case 

referrals and improved claims resolution to 

maximize reimbursement of Trust Fund revenues. 

In addition to pursuing 9107 cost recovery civil 

actions (including treble dumage claims), the 

program also increased the use of Alternative 

Dispute Resolution (ADR) and mediation for 

settling cost recovery actions administratively. 

As part of the FY 1993 Data Quality 

Initiativ.e, the program emphasized compliance 

with information requests pursuant to §104(e) 

and with §203 release reporting requirements. 

Enforcement of CERCLA §104(e)(2) 

information requests continued to be a high 

priority. Compelling compliance with such 

requests helps to generate acceptable 

settlement offers from' PRPs. PRPs will, for 

example, be more willing to settle when they 

are assured that other parties are not escaping 

participation by ignoring EPA's information 

requests or filing incomplete responses. 

During FY 1993, the Agency filed several 

additional cases enforcing CERCLA §104(eJ(2J 

requests as well as continuing to litigate 

previously filed cases. The Agency has now 

filed over 30 such civil judicial actions (not 

including administrative orders it has issued 

pursuant to CERCLA §204(e)(5)(A)J. For 

§104(e)(2) enforcement, FY 1993 was a highly 

successful year in several respects, including 

assessment of a record penalty and development 

of favorable case law. 

CERCLA 104 Cases 

Me Countv NPL SUD erfund Sit& (Kan.): On 

December 19, 1993, EPA Region VI1 issued six 

administrative orders for access pursuant to 

§104(e) of CERCLA to individuals who own 

property at the Cherokee County site in Galena, 

Kansas. In order to conduct the estimated $13 

million remedial action at this NPL mine-waste 

site, EPA needed access to property owned by 

approximately 150 different individuals. Most of 

the property owners voluntarily agreed to 

provide access to EPA. However, six individuals 

denied EPA access to the site, and administrative 

orders were issued requiring them to provide EPA 

with all access necessary to perform the remedial 

action. Each owner complied with the access 

order, and remedial action construction activities 

were able to begin as soon as the design was 

completed. The case exemplifies the Agency's 

commitment to obtaining access quickly and using 

EPA's enforcement tools under CERCLA §104(e). 

U.S. v. Custom Leather Services. b (E.D. 

Penn.): On April 14, 1993, the court issued a 

decision upholding EPAs authority to request 

information from a parent corporation respecting 

its relationship to -- and ability to pay for -- 

the CERCLA liability of a subsidiary 

corporation. The court cited U.S. v. Pretty 

Products Inc.. 780 E Supp. 1488 (S.D. Ohio 

1991) as support for the proposition that 

Congress intended a broad reading of EPA's 

§104(e)(2) authority. Consequently, the court 

directed Katy Industries, Inc. to comply fully 

with EPA's requests related to the American 

Street Tannery site. 

3-32 
FY 1993 Enforcement Accomplishments Report 

m. v. M. Genzale Plating (E.D.N.Y.): In 

November 1992, thecourt issued a judgment for 

$40,000 in penalties against M. Genzale 

Plating, Inc., the estate of Michael Genzale, 

and Pasquale Genzale for the defendants' 

failure to comply with an administrative order 

issued by Region I1 pursuant to 9 104(e)(5) of 

CERCLA. The administrative order, which 

directed the named parties to provide EPAand 

its contractors with access to their property for 

response work, was issued in 1989. When 

defendants refused to comply, EPA promptly 

obtained a court order compelling compliance. 

Thereafter, the U.S. sought a determination 

that the defendants' had unreasonably failed 

to comply with the order, which is a 

jurisdictional prerequisite to the assessment of 

penalties. The court granted that determination 

in October 1991. In October 1992, a hearing 

determined the appropriate penalty amount. 

The court assessed a penalty of $2,000 for each 

day of noncompliance, or a total of $40,000. 

Y.S. V. Petersen Sand & G ravel. Inc. N.D.11): On 

May 12, 1993, the district court approved a 

consent decree relating to EPAs response action 

at the Petersen Sand & Gravel Superfund site 

in Libertyville, Illinois. The settlement require 

Petersen Sand &Gravel, Inc. (PS&G) to pay 

EPA $700,000. Specifically, the decree provided 

for recovery of $590,000 in EPAs past costs,a 

$100,000 CERCLA penalty, and a $10,000 CWA 

penalty for noncompliance with information 

requests. In addition to the penalties, the decree 

obligated PS&G to provide a full response to 

EPAs original information requests and to 

certify the completeness of such response, at 

the risk of incurring liability for stipulated 

penalties if the response is again found to be 

inaccurate or lacking. 

EPAs 5104(e)(2) enforcement action arose from 

PS&Gs failure to furnish accurate and complete 

information relating to its disposal of hazardous 

wastes at the Libertyville site. PS&G mined 

sand and gravel at the roughly 1,000-acre site 

from the 1950s until 1980. Several hundred 

drums of paints, solvents, and other industrial 

wastes were dumped at the site during this 

time. In 1977, the company removed some 400 

drums from the site. In response to a 1980 CWA 

request by Region V, PS&G failed to identify 

certain additional drums that still remained 

buried on the site. In 1983, Lake County Grading, 

Inc., which was operating the site at that time, 

discovered these additional drums. EPA 

subsequentlyoversaw the removal of the drum. 

In 1986, using CERCLA and RCRA authority, 

Region V again requested PS&G to provide 

information relating to these wastes; in 

response, PS&G denied any knowledge of them. 

In 1990, EPA made athird request, but PS&G 

still failed to provide a full history of its past 

disposal of wastes at this site. During a 

subsequent deposition of a PS&G employee, EPA 

finally learned that PS&G's owner and 

president, Raymond A. Petersen, Sr. (now 

deceased), had buried these wastes at the site 

around 1969. 

Y.S. v. Roeer - L. Tan ne% N.D. Tx): The 

$12,475,000 penalty in this case represents the 

largest penalty ever for noncompliance with a 

CERCLA information request, and one of the 

largest penalties in the history of EPA 

enforcement. The court assessed the record 

penalty on December 7,1992 and also ordered the 

defendant to provide a full response to EPA's 

information request. 

EPAs information request arose from Mr. 

Tannery's failure to furnish information relating 

to his involvement with a Superfund site in 

Fort Worth, Texas, known as the American 

ThioChem site. When Mr. Tannery did not 

comply with the information request, the court 

assessed the maximum penalty of $25,000 for 

each day of noncompliance. 

Bankruptcy cases 

p: OnNovember 

9, 1992, and February 16, 1993, the U.S. 

Bankruptcy Court (N.D. Tex.) entered settlement 

agreements resolving environmental claims 

between the U.S. and National Gypsum. Under 

the agreements, National Gypsum will pay EPA 

$2,650,000 for the Millington Portion of the 

Asbestos Dump Superfund Site in New Jersey, and 

$2,000,000 for the Salford Quarry in 

Pennsylvania. Additionally, EPA received an 

allowed claim of $89,259,148 for five sites 

(Operating Unit 2 of the New Jersey Asbestos 

Dump Site, the Coakley Landfill in New 

Hampshire, the H.O.D. and the Yeoman Creek 

Landfills in Illinois, and the Yellow Water Road 

site in Florida) plus legal fees for litigation costs. 

Additionally, pursuant to the agreements, a trust 

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FY 1993 Enforcement Accomplishments Report 

was created for the Salford Quarry site and it 

received an allowed claim of $10 million. The 

agreement also provides a mechanism by which 

the U.S. may make claims against the 

reorganized National Gypsum Corporation in the 

future. 

In May 1990, National Gypsum Company and it's 

parent, Aancor Holding, Inc. filed a voluntary 

petition in bankruptcy under Chapter 11 of the 

Bankruptcy Code in the U.S. Bankruptcy Court for 

the Southern District of New York. The U.S. 

filed a multi-site, multi-region proof of claim in 

May 1991. During May 1992, the court conducted 

an estimation hearing to determine the size of 

EPA's claim at the Asbestos Dump site and the 

Salford Quarry Site. The settlement agreements 

resulted from negotiations between the parties 

before and after the estimation hearing. 

In the Matte I of Tera Id Gersb (D. Kan): On 

September 3, 1993, the bankruptcy judge 

confirmed a settlement agreement and stipulated 

order which settled bankruptcy claims of EPA 

against Jerald Gershon concerning environmental 

response costs incurred and to be incurred by EPA 

at three sites in Kansas. The settlement arises out 

of the filing by EPA of a cost recovery action 

against Chemical Commodities, Inc., a defunct 

corporation in which Gershon was the sole 

shareholder, and Gershon personally. Gershon 

responded by filing a Chapter 7 bankruptcy 

petition. Subsequent to the filing of Gershon's 

bankruptcy, EPA filed a proof of claim for 

response costs incurred and to be incurred by it for 

clean-up activities undertaken and to be 

undertaken by EPA at the sites. In addition, EPA 

filed a Complaint Objecting to Discharge of 

Debtor under 5727 of the Bankruptcy Code and an 

Objection to Claim of Exemptions by Debtor under 

5522 of the Bankruptcy Code. Gershon also filed 

an action in the bankruptcy proceeding requesting 

a stay of the cost recovery action against him and 

requesting that the bankruptcy court make a 

determination as to Gershon's liability for the 

environmental claims EPA had raised in the cost 

recovery action. 

The settlement concludes all of the above pending 

actions. Under the terms of the settlement, 

Gershon is required to pay $200,000 to the 

bankruptcy trustee for distribution to creditors, of 

whomEPA is by far the largest. EPA estimates it 

will receive 70%-75% of the money paid into the 

bankruptcy estate. This settlement represents the 

most significant monetary contribution made by 

Gershon relating to the clean-up of the three 

Kansas sites. This is also the first time that 

proceedings such as an Objection to Discharge and 

an Objection to Exemptions have been pursued by 

EPA in a Chapter 7 bankruptcy. 

Other Superfund cases 

(Aberdeen, 

N.C.): On May 3,1993, EPA Region IV issued 44 

unilateral administrative orders (UAOs) under 

5106 of CERCLA to 44 generator PRPs at this site. 

The UAOs require the PRPs to perform thermal 

desorption on pesticidecontaminated soils at the 

five separate disposal areas which comprise this 

site. The large number of UAOs reflects the fact 

that only certain of the PRPs were involved at 

each of the areas and that probable third-party 

defenses would preclude enforcement of site-wide 

UAOs to each PRP. In an attempt to achieve 

economies of scale, the UAOs allow the PRPs to 

cooperate by constructing and operating a common 

treatment facility. 

Groundwater at the site will be addressed in two 

subsequent RODS. In addition, the site is 

currently the subject of litigation under 5107 of 

CERCLA to recover over $7 million in past 

response costs incurred by EPA for removals and 

the RI/FS. 

.. 

us. v. p (S.D. 

Fla.): On February 24, 1993, the district court 

entered a civil consent decree pursuant to CERCLA 

in which Airco Plating Company, Inc., (Airco) and 

11 other persons agreed to pay a total of $415,158 

to reimburse the Superfund for response costs 

incurred by EPA through October 31, 1991, at the 

Airco Plating Superfund site in Dade County near 

Miami, Florida. One of the eleven other settlors, 

Allied Products Corporation, is a Fortune 500 

company that had for several years owned most 

of the land comprising the site. The remaining 

ten settlors are individuals who were either 

involved with the site as current or previous 

landowners, or are persons who had a past or 

present responsibility for making waste 

management decisions at Airco. 

In the mid-l950s, Airco and its founders began an 

electroplating business at the Dade County 

location where it still continues to operate. 

Airco's metalplating process generated a waste 

3-34 
FY 1993 Enforcement Accomplishments Report 

effluent high in toxic metals such as cadmium, 

copper, and zinc, and from about 1957 until 1972 

Airco discharged this waste effluent directly into 

three unlined pits. In 1971, the State of Florida 

and EPA investigated conditions at the site, and 

the next year Airco altered its disposal practices. 

Nevertheless, in 1990 the site was placed on the 

NPL after an expanded site investigation showed 

serious contamination of soil and groundwater. 

EPA recently selected the remedy for this site, 

and is preparing to undertake negotiations with 

the same settlors for the final site cleanup, and 

reimbursement of response costs incurred by the 

U.S. subsequent to October 31,1991. 

ILS. v. U.T. -, (S.D. Texas): On 

July 23, 1993, Judge Kent granted the U.S. 

motion to enter the MOTCO Consent Decree. 

Parties to the consent decree included the US., 

Amoco Chemicals Company, Amoco Gas 

Company, Amoco Oil Company, Amoco 

Production Company, Marathon Oil Company 

(successor by merger to Marathon Petroleum 

Company), Monsanto Company, Quantum 

Chemical Corporation (formerly National 

Distillers and Chemical Corporation) and 

Texas City Refining, Inc. 

Under the decree, the defendants agreed to 

carry out a combined operable unit (OU) 

remedy (OU-1, Source Control; OU-2, 

Managementof Migration) and to pay the U.S. 

$1.3 million in past response costs and all 

future response costs. The U.S. agrced to 

forgive $2.25 million in past response costs 

in consideration for defendants' waiver and 

termination of all remaining reimbursement 

claims under the 1987 mixed funding 

agreement for source control remediation. 

(W.D.N.Y.);Ch 

December 14, 1992, two judicial consent decrees 

were entered by the district court concerning the 

Kentucky Avenue Wellfield Superfund site 

located near Horseheads, New York. AlliedSignal, Inc. and Purolator Products Company, Inc., 

the current and prior owners and operators of 

what is referred to as the Facet Enterprises 

Facility, executed one consent decree; 

Westinghouse Electric Corporation, the current 

owner of the Westinghouse Facility, 

independently executed a separate decree. Both 

these facilities were determined by Region I1 to 

have contributed to contamination of groundwater 

at the site. 

The Allied and Westinghouse decrees required 

the respective defendants to make payment to 

the U.S. of $1.1 and $3.9 million, respectively, 

for past response costs incurred at the site as well 

as certain future response costs that were to be 

incurred. Those future costs included in the 

settlements are limited to the costs associated 

with the ongoing design and construction of an air 

stripping unit at the Sullivan Street Wellfield, a 

municipal well in the southern portion of the site. 

This response action is being performed by EPA. 

US. v. A merican Seat in-et al. ( W .D. 

Wisc.): On November 25, 1992, the district court 

entered a consent decree in resolution of this 

CERCLA action. The decree, which concerns the 

Mid-State Disposal NPL site in Stratford, 

Wisconsin, requires the defendants to reimburse 

the U.S. for $1,578,958 in past response costs. 

With this settlement, parties other than the US. 

will fund $20,579,000 of the $20,677,000 in costs 

necessary to remediate the site. 

The American Seating consent decree is the second 

decree approved by the court concerning the NPL 

site. The first consent decree was entered by the 

court on March 28, 1990, and contained four 

settlors' commitment to reimburse a portion of the 

Agency's costs and to perform Remedial 

Action/Remedial Design (RD/RA). Two months 

later, the court thwarted three non-settlors' 

attempt to stall the cleanup by denying their 

motions to intervene, vacate, and reconsider the 

entry of the decree. The court's opinion, which is 

highly favorable to the U.S. in denying their 

motion to intervene and in upholding the 

President's discretion in exercising the United 

States' CERCLA 5122(a) settlement authority, is 

published in the Federal Rules Decisions Court 

Reporter, 131 F.D.R. 573 (W.D. Wsc. 1990). 

The Mid-State RD/RA decree was modified on 

November 18, 1992, when the court entered an 

order adding 16 Wsconsin municipalities as 

settling defendants. Three of the non-settlors from 

the earlier RD/RA negotiations, two of whom 

were also denied intervention and vacation of the 

Mid-State Disposal decree, are now settling 

defendants in American Seating. Together, these 

two decrees represent a 99.6% recovery by the 

U.S. of the total cost of remediating this site. 

U.S. v. Anaauest Ca ribe. et al. : On January 8, 

1993, a consent decree between the government and 

3-35 
FY 1993 Enforcement Accomplishments Report 

four PRPs at the Fibers Public Supply Well site in 

Guayama, Puerto Rico was entered in U.S. 

District Court (DPR). The decree provides for 

performance of cleanup activities and for 

reimbursement of costs spent by EPA at the site. 

The PRPs agreed to implement a pump-and-treat 

and excavation remedy, and to reimburse EPA for 

5436,OOO of its $586,000 in past costs spent at the 

site, as well as all future RD/RA oversight costs 

incurred by EPA. The RI/FS for the site was 

performed by several of the PRPs pursuant to 

three administrative consent orders issued by 

Region I1 in 1985, 1986 and 1989. The projected 

cost of the remedy is about $6.7 million. The 

settling defendants are Anaquest Caribe, Inc., 

Phillips Petroleum Company, Chevron Chemical 

Company and American Home Products Corp. One 

PRP, the Puerto Rico Industrial Development 

Company, declined to participate in the decree. 

US. v. Anchor Motor Freieht (N.D. Ohipl: On 

August 27, 1993, the court granted the 

government's motion to enter three consent dccrees 

w. 

lodged last February in U.S. v. Anchor Motor 

Within thirty days of the date of entry, 

the settling parties collectively are required to 

deposit $2.7 million into the Hazardous Waste 

Superfund. This represents a 92.4% recovery of 

the settling defendants' second-round volumetric 

share (the calculation of each settling 

defendant's portion of non-reimbursed response 

costs) of the government's costs, including 

enforcement costs and interest. 

The United States filed this 5107 action to 

recover non-reimbursed response costs incurred by 

EPA in connection with the Laskin/Poplar Oil 

Superfund site in Ashtabula County, Ohio. Two 

decrees had been entered earlier in this 

litigation: the first recovered $1.47 million in 

past costs, and the second for remedial design/ 

remedial action and recovery of $1.4 million. 

Arctic Sum Ius: EPA entered into an AOC with 

the Alaska Department of Transportation 

(ADOT) to conduct removal activities on 

Badger Road which is contiguous and adjacent 

to the heavily contaminated portions of the 

Arctic Surplus site. The ADOT has owned and 

continues to own the portions of the road 

which were contaminated during the operation 

of the Arctic Surplus Scrap Yard. This order, 

entered on November 4, 1992, provides for the 

removal of highly contaminated soil and 

capping of lower levels of contamination both 

under the road and in the adjacent bike 

line/path. The road will be repaved as part 

of this project. 

The ADOT order is being conducted concurrently 

with the RI/FS order with the Defense Logistics 

Agency (DLA) signed on July 24, 1992, which 

provides for the conduct of the RI/FS by DLA, a 

significant contributor of scrap (transformers, 

batteries, vehicles, drummed liquid chemicals) 

to the site. 

Y.S. v. Ariens ( E.D. W isQ On October 20,1992, 

the court entered a consent decree requiring the 

PRPs in this CERCLA action to implement the 

Remedial Design and Remedial Action (RD/RA) 

required by the Record of Decision (ROD) for 

Operable Unit 1 at the site. This remedial work, 

which will cost approximately $20 million, 

includes the construction and maintenance of a 

slurry wall around the landfill's perimeter and a 

clay/soil landfill cap and gas collection system. 

In addition, the decree requires the PRPs to 

reimburse the Agency for $700,000 in past response 

costs, thereby funding over 94% of the past costs 

at this site. . 

Lcmberger Landfill, Inc. and the Lemberger 

Transport and Recycling facilities operated as 

disposal facilities near the Village of Whitelaw 

in Franklin Township, Manitowoc County, 

Wisconsin. The two former landfills are located 

within a quarter mile of each other. 

Arkansas Peace Ce nter. et a 1. v. Arka nsas 

Deoartment of Pollution Conho 1 and Ecolm 

& (Jacksonville, Ark.): In July 1993, the U.S. 

Court of Appeals for the Eighth Circuit ruled 

that a federal district court lacked jurisdiction to 

entertain a lawsuit brought under CERCLA by 

opponents to an incinerator at the Vertac 

Superfund site. Opponents to the incinerator 

sought a permanent injunction against EPA and 

the State because of allegations that the 

incinerator did not comply with federal 

regulations concerning performance. The district 

court judge issued a preliminary injunction on 

March 17,1993, which was stayed by the Eighth 

Circuit court on that same day. In the July 1993 

ruling by the Eighth Circuit, the court found that 

plaintiffs' lawsuit was barred by the plain 

language of CERCLA §113(h) until completion of 

the response action. The appeals court panel also 

3-36 
I li ..",,+ .: . . 

. 1. 

FY 1993 Enforcement Accomplishments Report 

.. . 

stated that, if the panel had jurisdiction to rule 

on the merits of the case, it had no doubt that the 

district court erred in its interpretation of the 

incinerator performance regulation which served 

as the basis for the preliminary injunction order. 

Aueusta/HvdePark.(Augusta, Ga.): EPA Region 

IV expended more than $1 million in response to 

citizens' concerns about contamination of the 

Hyde Park/Virginia Subdivision neighborhoods 

in Augusta, Georgia. EPA had issued an 

emergency order under the SDWA in 1989 to 

address groundwater contamination in the area. 

After receiving additional citizens' complaints 

regarding high incidence of disease in the 

neighborhood in the summer of 1992, EPA held a 

meeting with local, state and other federal 

agencies, including a task force organized by the 

Governor of Georgia, and determined that there 

were legitimate concerns for the health of this 

community. EPA developed a work plan for the 

area during the fall of 1992, and began sampling 

surface soils, surface water, groundwater and 

sediments in February 1993. EPA tested 

residential areas as well as 18 industrial sites 

within the neighborhood. Over 1,000 samples 

were taken and then analyzed for up to 176 

constituents, including dioxin analysis for a 

percentage of samples. 

This effort represents the largest scale site 

assessment in Region IV. This area is a lower 

income and predominantly African-American 

neighborhood, and EPA is very conscious of the 

environmental equity issues inherent in the 

situation. EPA from the beginning included in its 

consultations the Governor's Task Force, which 

includes a number of citizens from the area, and 

met with the community prior to beginning the 

sampling effort and attended a May 15, 1993, 

McKinney-organized community meeting to 

address citizen concerns. 

EPA released the technical report of the data 

collected at a September 10, 1993 meeting of 

interested governmental organizations, and has 

asked ATSDR to analyze the data for health 

implications. EPA held a public meeting in 

Augusta on September 16,1993 to present the data 

to citizens. The data were such that the Region 

did not believe an imminent and substantial 

endangerment exists, and the Region is awaiting a 

reassessment by ATSDR of the possible connection 

between contaminants found and health impacts 

claimed before making final determinations of 

action for the area. 

Y.S. v. AVX Co 100-d. ( D. MA.) :cn 

April 23, 1993, the court entered the consent 

decree for the second operable unit at the 

Sullivan's Ledge Superfund site in New Bedford, 

MA. Simultaneously, the court also entered a 

First Amendment to Consent Decree pertaining to 

the consent decree for the first operable unit. The 

expected cost of the remedy is $5.8 million. 

The site is an old granite quarry, located in an 

industriaVsuburban area of New Bedford. The 

site is owned by the City of New Bedford. From 

about 1935 through the 1970's, the City owned 

and operated the Ledge as a dump for local 

industrial wastes and solid wastes. The site was 

listed on the National Priorities List in 1984. 

The settlement requires the PRPs to excavate an 

ecologically sensitive marsh which lies in the 

midst of a golf course. Excavated sediments are 

then to be disposed of beneath a cap to be 

constructed at the first operable unit. Work at the 

first operable unit is subject to a previous consent 

decree. The remedy to be performed by the PRPs 

is precedent-setting in that it is driven by 

ecological risks, rather than human health risks. 

Under the decree, fifteen entities, including the 

City of New Bedford, agree to perform the 

remedy. However, the responsibilities of the 

parties vary greatly. AVX Corporation agrees to 

perform all the work (consisting of the remedial 

action plus operations and maintenance). The 

City of New Bedford agrees to perform specific 

portions of the remedial action (not including 

O+M) and secure access and institutional controls. 

The consent decree sets up triggers and 

mechanisms whereby AVX must undertake 

unperformed obligations of the City. The 

remaining parties, all of whom, like AVX, settled 

for the first operable unit, agree to accept under 

the cap at the first operable unit those wastes 

that are generated by the second operable unit 

remedial action. litigation to recover further 

past costs for the first and sccond operable units is 

currently underway. 

B & B Chemical Companv Site. (Hialeah, FI.): 

On May 1 1, 1993, a Unilateral Administrative 

Order to Cease Extraction and Treatment of 

Groundwater was issued to B & B T ritech, Inc. 

regarding its activities at the B & B Chemical 

3-37 
FY 1993 Enforcement Accomplishments Report 

Company Superfund site in Hialeah, Florida, 

pursuant to §106(a) and §122(e)(6) of CERCLA. 

B & B is a manufacturer of detergents, oxidizing 

agents, metal cleaners, corrosive inhibitors, and 

paint strippers. The release of hazardous 

substances into the soil and groundwater at the 

site resulted from the company’s former methods 

of handling and disposing of process wastes. Such 

contaminants include vinyl chloride, benzene, 

chlorobenzene, and chromium. These substances 

have been detected in the groundwater at the site 

in concentrations exceeding the allowable MCLs 

under state and federal law. 

Subsequent to EPAs publication of a proposed 

plan for remediation, EPA obtained sampling 

data indicating unexplained increases in 

groundwater contaminant concentrations. B & B 

ascribed these increases to its operation of the 

county-ordered groundwater treatment system for 

30 days prior to EPAs sampling. Accordingly, 

EPA issued the order to B & B requiring it to 

cease groundwater extraction and treatment until 

further notice, remove the groundwater pump, and 

allow EPA to install a lockable well cap. The 

facility agreed to comply, and the sampling is 

proceeding on schedule. This will allow EPA to 

select an appropriate remedy for the site. 

U.S. v. BASF Corupret?pll: Car0 lina Platine . ad 

Stamp ine Coruorat ion: Colon ial Heights 

Packaeine Inc.: E-Svsw. Inc.: Meta 1 Producb 

Coro.: and Sterline Winthrop Inc, (D S.C.): 011 

January 4,1993, the court entered a civil consent 

decree, in which the settling parties agrced to 

perform the remedial design and remedial action 

and pay past costs totaling $71,569. These actions 

arose out of CERCLA violations for improperly 

disposing metal substances in lagoons on-site. The 

site was listed on the NPL in June 1987. 

Under the terms of the decree, the settling parties 

were required to pay past costs to EPA on or before 

February 4, 1993. The settling parties failed to 

make timely payment, and on March 3,1993, EPA 

issued a letter informing them that stipulated 

penalties were accruing. EPA received payment 

for the past costs on March 12, 1993, 36 days after 

the required date in the decree. On April 12, 

1993, EPA sent a demand letter for payment of the 

stipulated penalties and after negotiations on 

May 13, 1993, the settling parties paid EPA 

$83,000 in stipulated penalties. 

U. v. BAS F-Inmont. et a 1, (E.D. Mich.): On 

March 17,1993, the court entered a consent decree 

concerning the Metamora Landfill site in Lapeer 

County, Michigan. The decree requires that 34 

PRPs perform remedial action at the site, 

estimated to cost $50,000,000. This remedial 

action work consists of incinerating barrels at the 

site, capping the landfill, constructing and 

operating a groundwater pump and treat system, 

and remediating site soils. The decree. also 

requires that the settling PRPs reimburse EPA for 

its oversight costs. 

The Metamora Landfill site is a 160 acre site that 

operated from the mid-1950’s until 1980. Both 

municipal and industrial waste was disposed of 

at the site. EPA has incurred response costs at the 

site in excess of $30 million dollars. Because the 

decree does not recover EPAs response costs 

incurred prior to the entry of the decree, EPA’s 

final action at the site is recovery of these costs. 

LLL Baxte r Suoer fund Site, (Weed Ca1.L: On 

September 30, 1993 EPA entered into an 

administrative consent order for 92.5% of EPA’s 

past costs ($2,324,381.10) incurred at the J.H. 

Baxter Superfund site located in Weed, 

California. This is Region Ix‘s first use of 

Alternative Dispute Resolution (ADR) in a 

Superfund context and was proposed for use here 

as part of the Superfund Improvements Initiative. 

The site is located on the northeastern margin of 

the city of Weed, Siskiyou County, California, 

and was listed on the NPL in 1989 due to the 

presence of arsenic, creosote, and PCP in site soils, 

surface water runoff, and groundwater. The PRPs 

to this settlement include J.H. Baxter & Co. 

(Baxter), International Paper UP), Roseburg 

Forest Products Co. (Roseburg), and Beazer East, 

Inc. on behalf of the American Lumber & Treating 

Company Interests (Beazer East, Inc., Chicago 

Bridge & Iron, Inc., and the Aluminum Company 

of America.) In late July 1991, negotiations 

between EPA and the PRPs failed to result in 

settlement for performance of the remedial 

design/remedial action (RD/RA) under the model 

consent decree. To avoid a repetition of the 

unsuccessful RD/RA negotiation experience, 

Region IX proposed mediation for cost recovery 

negotiations to assist in coalescing the PRP group 

and reaching Settlement with EPA. With the use 

of mediation, EPA was able to reach settlement 

quickly. The PRPs continue to perform the cleanup 

3-38 
FY 1993 Enforcement Accomplishments Reporf 

(valued at $40 million and consisting of extensive 

soil and groundwater remediation) under a 

CERCLA 5106 unilateral order issued in August 

1991. 

In the Matte r of Beazer East. & .,: On March 

1, 1993, EPA issued a unilateral administrative 

order for remedial design and remedial action 

(RD/RA) for the Koppers Texarkana Superfund 

site located in Texarkana, Texas. The 62 acre 

site is contaminated primarily with polynuclear 

aromatic hydrocarbons (PAHs). The site was a 

wood treatment facility from 1910 until 1961. 

The respondent, Beazer East, Inc., is performing 

the RD/RA pursuant to the unilateral order. The 

congressionally-mandated residential 

subdivision buyout (approximately $5.6 million) 

and the relocation of residents were completed 

in July 1993. The unilateral order, among other 

items, requires demolition of structures, removal 

and disposal .of structures and debris in an 

appropriate facility, and removal and treatment 

of contaminated soil and groundwater. 

YS. v.To wn of Bedford. et a I, On March 18,1993 

a consent decree was entered by the US. District 

Court (S.D.N.Y.) pursuant to which six 

defendants agreed to pay a total of $1.17 million 

in settlement of pasts costs incurred at the 

Katonah Municipal Well Superfund site. This 

consent decree settles an action which was filed in 

1990. One of the defendants, the Town of Bedford, 

performed the remedial design pursuant to a 1988 

EPA consent order, and completed the remedial 

action construction under the terms of an earlier 

consent decree. The five remaining defendants are 

the owners or operators of dry cleaners or owners 

or sublessors of property where a dry cleaner was 

located. These defendants had previously' 

declined to participate in or contribute to cleanup 

work at this site. 

Y.S. v. Arthur Belaneer et al,(W.D.Mo): On July 

16,1993, a consent decree was lodged in court in 

settlement of this cost recovery litigation' 

initiated in March, 1991. Under the terms of the 

consent decree, defendants and third-party and 

fourth-party defendants (59 of 63) will pay 

$1,215,880 for past response costs incurred by the 

government at the B & B Salvage site located in 

Warrensburg, Missouri. The settling defendants 

include utility companies, corporations, state 

agencies, and two federal agencies. 

In late 1987, EPA responded to a report submitted 

by the City of Warrensburg that PCB 

contamination had been discovered at the B & B 

Salvage Company facility. EPA discovered that 

B & B Salvage had accepted several hundred 

scrap PCB and PCB-contaminated transformers in 

1985 and 1986 from the Martha C. Rose Chemicals 

Company located in Holden, Missouri. EPAs site 

investigation revealed considerable PCB 

contamination in soils and buildings at the one 

acre B & B Salvage facility. EPAconducteda 

removal action at this non-NPL site in the fall 

and winter of 1987 and 1988, resulting in the 

expenditure of response costs. 

EPA has taken prior enforcement actions at the 

Holden site, which is currently being cleaned up 

by a generator steering committee representing 

over 700 generators of PCBs taken to the site. 

Three individuals went to prison as a result of 

EPAs criminal prosecution. 

BFI-Rocki-11 Supe rfund Site: The 

BFI-Rockingham Landfill Superfund site 

represents EPAs first comprehensive application 

of the Superfund Accelerated' Cleanup Model 

(SACM) at an NPL site in Region 1. The use of 

SACM expedited response activities at the site 

by one to two years. Moreover, SACM saved EPA 

and the PRPs substantial transaction costs in 

connection with the performance of an RI/FS and 

the negotiation of an administrative order for a 

non-time critical removal action. 

The BFI-Rockingham site is a municipal landfill 

located in Rockingham, Vermont. The settling 

parties in this case include Disposal Specialists, 

Inc., the owner and operator of the site, and 

Browning-Ferris Industries of Vermont, Inc., the 

transporter of waste to the landfill. Both 

companies are wholly-owned subsidiaries of 

Browning-Fems Industries, Inc. 

The BFI entities entered an administrative order 

to perform the RI/FS in August 1992. During the 

RI/FS, the Region recognized the opportunity to 

apply EPA's new presumptive remedy for 

municipal landfills. In February 1993, the PRPs 

agreed to initiate an engineering evaluation/cost 

analysis (EE/CA) for the source control component 

of the remedy. Based upon the EE/CA, EPA issued 

an action memorandum in September 1993, which 

selected a multi-layer landfill cap as the non3-39 
FY 1993 Enforcemenl Accomplishments Repori 

time critical removal action. With the ultimate 

goal of constructing the cap in the summer of 1994, 

the Region conducted non-special notice 

negotiations on an extremely expedited schedule, 

reaching agreement with the BFI subsidiaries by 

the end of September. The Region has continued 

this expedited approach during the design phase 

of the work. The environment will benefit from 

prompt implementation of the source control 

measures, which will reduce further migration of 

contaminants to the environment, most notably 

ground water. 

This case represents a highly successful use of 

enforcement and response program initiatives to 

expedite cleanup at all stages of a Superfund case, 

including site investigation and development of 

response alternatives, negotiation of a response 

agreement, and performance of the action itself. 

Tn re: H. Brown Supe rfund S ite; On November 20, 

1992, EPA entered into its first pre-ROD de 

minimis settlement with 145 PRPs, in accordance 

with the June 1992 Early De Minimis Settlement 

Guidance, and CERCLA 5122(g). According to the 

administrative order on consent, the settling PRPs 

are required to pay their volumetric share of the 

U.S.' past response costs and estimated future 

response costs for remediating the H. Brown 

Superfund site. in addition, these parties will 

pay a settlement premium of 1.0 (Le. a 2.0 

multiplier) for the estimated future response costs 

for the remediation. Approximately $650,000 was 

recovered by EPA in this settlement, which 

represents 50% of past response costs to date. 

The H. Brown site, located in Walker, Michigan, 

had been placed on the NPL on March 29,1985. It 

is contaminated with lead, antimony, cadmium, 

copper, chromium, and nickel as a result of the H. 

Brown Company having cracked, shredded, and 

scattered battery casings over the entire site 

during its lead reclamation activities. On 

September 30, 1992, EPA issued a Record of 

Decision which called for the following remedy 

components: solidifying, in place, the 

contaminated surface and subsurface soil and 

sediments in a cement-like form; constructing a 

multi-layer cap over the solidified soil; 

surrounding the solidified soil with a 

containment wall; collecting, treating, and 

discharging groundwater and surface water from 

the shallow aquifer; and demolishing buildings 

which are contaminated. 

In the Matter of C- ' : 1111993, 

EPA issued two administrative orders for 

performance of remedial action and groundwater 

investigative work at the Caldwell Trucking site 

in Fairfield, New Jersey. On April 19, 1993, the 

first order was issued to eleven respondents, 

requiring them to perform the remedial action for 

the contaminated soils and sludges at the site. 

The respondents are the current site owner, OKON 

Corporation, the site operator, Caldwell Trucking 

Company, and nine generators of hazardous 

substances found at the site. These parties had 

declined to perform the remedial action 

voluntarily, but work under the order has 

commenced. The remedial action is valued at up 

to $25 million. 

On June 29,1993 Region II issued the second order 

to fifteen recipients requiring them to conduct 

design investigation studies of the contaminated 

ground water plume at the Caldwell site valued 

at about $1 million. The additional parties 

include a second siteowner, Baureis Realty Inc. 

US. V. Charles Geo ree Truck ine Comuanv. Inc.. et 

$1. (D. Mass. ): On May 24,1993, the court entered 

a civil consent decree in which 54 settling 

defendants agreed to pay $34,713,000 for response 

costs at the Charles George Land Reclamation 

Trust Landfill Superfund site in Tyngsboro, 

Massachusetts and $1,378,350 for natural resource 

damages in a cost recovery action brought under 

CERCLA. The original lawsuit was filed in 1985 

seeking past and future costs, responses to 

information requests, and access to the site for the 

remedial action. The court granted summary 

judgment on noncompliance with the information 

requests and imposed civil penalties. The court 

also issued an access order. 

The landfill disposed of hazardous wastes and 

also accepted commercial, municipal, and 

domestic wastes. Estimates are that the full 69 

acre site contains about four million cubic yards of 

refuse. The site cleanup consists of three Records 

of Decision: ROD I issued December 29, 1983 to 

install a pcrmancnt waterline connecting 

Tyngsboro to City of Lowell water system which 

began operation on October 12,1988; ROD I1 issued 

July 11, 1985, was to cap the landfill (which was 

completed in October 1990); and ROD 111 issued 

September 29, 1988, to treat groundwater, 

leachate and landfill gases, which is presently 

being implemented. 

3-40 
, ,* " 

FY 1993 Enforcement Accomplishments Report 

Chevron -, (Orlando 

Fla.): On January 25, 1993, an administrative 

order by consent (Am) for the RI/FS for the 

Chevron Chemical Company site in Orange 

County, Orlando, Florida was entered into by 

Region IV and Chevron Chemical Company. This 

site is unique in that it has been chosen as one of 

the Region's pilot SACM projects. In the spirit of 

SACM, Chevron agreed to conduct the RI/R and 

pay all EPAs past and oversight costs incurred 

with respect to the site although the site has not 

been finalized for the NPL. Further, to keep the 

project moving along, Chevron agreed to conduct 

the RI/FS in only three hundred days. 

The analytical results from the samples collected 

during the site investigation indicated the 

presence of pesticides, benzene, toluene, xylene, 

chlordane, naphthalene, and metals. In addition, 

the analytical results for the groundwater 

samples indicated the presence of metals, 

benzene, trichlorethylene, xylene, pesticides, 

toluene, and chlorobenzene. 

The purpose of the RI/FS is to investigate the 

nature and extent of groundwater contamination 

at the site. Chevron has submitted its 

preliminary findings from the RI. 

y.s. v. chrvs ler CO~D.. et a 1. (E.D. Mich.): On June 

4, 1993, the court entered a CERCLA RD/RA 

consent decree under which the settling 

defendants will clean up PCB contamination at 

the Carter Industrials Superfund site in Detroit, 

Michigan and pay about $3 million in past costs. 

The total cost of the clean up is estimated to be 

$24,000,000. Settling defendants include Chrysler, 

Ford, GM, Michigan's two public utilities, and 

the City of Detroit. Unusual features of the 

decree include provisions for EPA to perform some 

of the work, and a special covenant not to sue in 

accordance with 5122(f)(2) of CERCLA. 

The Carter Industrials facility was the site of a 

scrap metal business where electrical equipment 

was stripped of valuable metals while dielectric 

fluids, including PCB oils, were allowed to drain 

onto the ground. These activities resultcd in high 

levels of PCB contamination on the facility 

property and in an adjacent residential area. In 

1986, EPA undertook a removal action to 

consolidate PCB-contaminated soils and debris 

and contain it on-site. The site was placcd on the 

NPL in 1989. On September 18,1991, EPA issued a 

Record of Dccision, calling for low temperature 

thermal desorption of PCB-contaminated soils. 

m. v. Ciba-Geigyi (D. N.J.) On September 30, 

1993, the EPA signed a judicial consent decree 

between the U.S. and Ciba-Geigy Corporation. 

The decree was lodged on October 18,1593. Under 

the proposed settlement, Ciba-Geigy agreed to 

conduct remedial design, remedial action, 

operation and maintenance and post-remediation 

monitoring for the first operable unit 

(groundwater) for the site, located in Toms River, 

New Jersey. The estimated cost of the work is 

approximately $60 million. Ciba-Geigy also 

agrees to pay all unreimbursed response costs, 

approximately $10 million, incurred by the 

United States for operable unit one and operable 

unit two (source areas), resulting in a total 

settlement value of approximately $70 million. 

The site is on the NPL. Groundwater at the site is 

contaminated with organic and inorganic 

compounds. On April 24, 1989, EPA selected a 

river discharge remedy in a Record of Decision for 

operable unit one. The ROD also called for 

sealing contaminated residential irrigation 

wells, monitoring groundwater and the Toms 

River, evaluating lower portions of the aquifer, 

performing studies on contaminated groundwater 

to determine appropriate cleanup technologies, 

and further studying of source areas. On 

September 30, 1993, the Region also signed an 

Explanation of Significant Differences (ESD) for 

the site. The Region modified the ROD to require 

the recharge of treated groundwater to the upper 

portion of the aquifer underlying the site instead 

of the discharge of treated groundwater to the 

Toms River. 

Y.S. v. Tack and C harles Colbert. et aL 

(S.D.N.Y.); On August 10,1993, a partial consent 

decree was lodged which provides for payment of 

$22,500 in civil penalties for the Signo Trading (11 

Hartford Avenue) Superfund site by defendants, 

Jack and Charles Colbert and four of the Colberts' 

companies. The penalties arise out of those 

defendants' failure to comply with a 1984 

administrative order. The 5106 order required 

the Colberts, and others, to perform a removal 

action at the site, located in Mount Vernon, New 

York. A warehouse located at the site was used 

by the defendants to store hazardous substances 

and other items. When defendants failed to 

comply with the order, EPA Region II conducted 

the removal action itself. In 1992, the government 

341 
FY 1993 Enforcement Accomplishments Report 

entered into a consent decree with several other 

PRPs pursuant to which they agreed to reimburse 

EPA for $71,000 of its past costs at the site. The 

Colbert brothers served several years in prison for 

charges arising out of their mishandling of 

hazardous chemicals. 

Y.S. v. Wwado (990 E2d 1595 (ulth Cir. 19W: 

The Tenth Circuit held that, at least with regard 

to a state authorized to enforce its hazardous 

waste program in lieu of RCRA, the state has the 

independent right to enforce state law, 

administratively or judicially, at CERCLA sites 

within the state's jurisdiction. More specifically, 

the court held that: [11 5113(W does not bar a 

federal court from hearing a state suit to enforce a 

state administrative order that addresses a 

CERCLA site because enforcement of provisions of 

a state-delegated program cannot per se be a 

challenge to CERCLA response action. The court 

also held that the state can always enforce state 

law in state court anyway (to which 113(h) does 

not apply.) (Here the state had ordered the Army 

to submit a closure plan for an Operable Unit that 

was being addressed by a $100 million CERCLA 

removal action, and the state order specifically 

prohibited any cleanup/closure activities unless 

the state first approved); 121 NPL listing has no 

effect on the application of state law; [31 There is 

no conflict between the permit waiver at CERCLA 

5121(e) and a state ordering a party to apply for a 

state TSD or closure permit for cleanup activities 

at an NPL site; 141 EPA's interpretation of 

§122(e)(6) as giving EPA final authority to 

determine what remedial actions can take place 

at an NPL site (and thus there can be no remedial 

action unless EPA approves of it) is "contrary to 

the plain and sensible meaning" of the statute, 

and "we do not afford it any deference"; I51 A 

state may independently order compliance with 

state law whether or not that law.is deemed an 

ARAR; and 161 RCRA specifically authorizes a 

citizen suit to enforce RCRA at any CERCLA site, 

regardless of whether a CERCLA response action 

is ongoing at that site (and the court suggests, but 

does not hold; that a state could enforce a 

delegated state law program as a RCRA citizen 

suit). 

Y.S. v. Commencement Bay - Nearshorel 

mflats (- Water- (W.D. Wash): A 

consent decree for Superfund remedial action was 

signed by the Port of Tacoma, Washington, on June 

1, 1993, and entered in court on October 8, 1993. 

The Port, which previously performed the 

remedial design under an administrative order on 

consent, is the sole settling Potentially 

Responsible Party (PRP) and has agreed not to 

pursue the site's 49 other PRPs for contribution for 

this action. (They may seek contributions for 

additional response actions if such actions become 

necessary.) The remedial action consists of 

dredging contaminated sediments and confining 

them in a nearshore fill in another waterway; 

the estimated cost of this work is $22 million. In 

addition, the Port will perform habitat 

mitigation work at two area wetlands to 

compensate for the adverse environmental 

impacts of dredging and filling. The Port will 

also reimburse EPA for $1.3 million in past costs 

and interest, and settle its liability for natural 

resource damages by paying $12 million in 

reimbursement and implementing development 

restrictions on two properties. Natural resource 

trustees for the site include two federal agencies, 

the state of Washington, and two Indian tribes. 

ID the Matter of Dow Cv 

Hercules Incorporated. Uniroyal Chemical 

Company Ltd.: On June 22, 1993, Region VI 

issued a unilateral administrative order (UAO) 

to Hercules, Dow and Uniroyal for remedial 

design and remedial action (RD/RA) for the 

off-site operable unit at the Vertac Superfund 

Site located in Jacksonville, Arkansas. 

Hercules is conducting the RD/RA under the 

terms of the UAO. The off-site operable unit 

encompasses approximately 36 square miles, and 

is located south of the Vertac Plant site. 

The site is contaminated with dioxin from the 

operation of the Vertac facility to manufacture 

herbicides and pesticides, including Agent 

Orange. 

In= DunnC itv DiSDOSa I LandfiU: On March 15, 

1993, Region V issued a unilateral administrative 

order, pursuant to CERCLA 5106, to Waste 

Management of Wisconsin, Inc. for performance of 

the remedial design and remedial action 

(RD/RA) at the City Disposal Landfill site in 

Dunn, Wisconsin. The remedy for the landfill 

requires a cap, soil vapor extraction of VOCs, and 

groundwater remediation, with an estimated cost 

of approximately $14.7 million. 

The site is a former landfill operated by a 

corporate predecessor of Waste Management of 

Wisconsin, Inc. The order was solely issued to 

3-42 
FY I993 Enjorceinenf Accoinplishmenfs Repon 

Waste Management, despite the presence of other 

viable PRPs due to the significantly stronger 

evidence against Waste Management (which is 

the former site operator and transporter, and 

current site owner). Issuing the order to Waste 

Management alone, also exercises the Region's 

enforcement discretion and may deter other PRPs' 

from relying on the assumption that EPA will 

issue an order to all PRrs following the close of an 

unsuccessful RD/RA negotiation. 

se Re coverv S- s ' e (Byhalia, Ms): 

On September 27, 1993, EPA executed an 

administrative order on consent (Am) with 29 

PRPs regarding a removal action at the Enterprise 

Recovery Systems site in Byhalia, Marshall 

County, Mississippi. Respondents included 

Carrier Corporation, Exxon Company, U.S.A., 

Borg Warner and Teledyne. The AOC required 

the respondents to perform the removal action 

and pay all past and future costs, including 

oversight. The removal action required under the 

order includes arranging for a permanent 

alternative potable water supply to local 

residents whose wells are contaminated by 

releases from the site, disposing of waste 

materials stored in on-site drums and tanks, and 

disposing of contaminated soil and debris. 

The Enterprise Recovery Systems, Inc. facility 

operated from approximately 1979 to 1991 as a 

fuels blending and solvent recycling facility. The 

facility ceased operations in October 1991 when 

its insurer canceled insurance coverage after 

discovering significant soil and groundwater 

contamination. Hazardous substances included 

benzene, xylene, toluene, tetrachloroethylene, 

trichloroethylene, naphthalene, acetone, 1,l.ltrichloroethane, bis(2-ethylhexyl)phthalate, 

methyl ethyl ketone, ethanol, methanol, 

isopropyl alcohol, oils, methylene chloride, 

perchloroethylene, and chlorinated waste water . 

Irr the Ma tter of Ewan PI oDertv S i.&: On 

September 30, 1993, Region 11 finalized an 

CERCLA 5122(h) administrative agreement with 

16 PRPs for 100% of past costs incurred at the 

Ewan Property Superfund site, plus interest, from 

the date of the demand letter, $2,438,295. EPA 

performed RI/FS work and issued RODS for the 

two operable units at the site, located in Shamong 

Township, N.J. EPA identified nineteen PRPs 

which received unilateral administrative orders 

to perform RD/RA work on the first operable unit 

at the site. This unit includes the removal of the 

drums, sludges and soil which contain the source 

contamination. The PRPs are currently in 

compliance with those orders and are completing 

the remedial design work. In August 1991, EPA 

requested reimbursement of its past costs. The 

PRPs initially challenged EPA's cost 

documentation, but finally agreed to pay 100% of 

the past costs plus interest. 

of Fibers Public SUDD~V W& :on 

July 26, 1993, four PRPs paid the Superfund 

$150,000 (plus interest) in full reimbursement for 

the remaining past costs at the Fibers Public 

Supply Wells Superfund site. Under a consent 

decree entered in district court in January 1993, 

those PRPs had agreed to reimburse EPA for 

$436,815.79 of its $586,815.79 in past costs, in 

addition to agreeing to implement a pump and 

treat and excavation remedy and reimburse EPA's 

future response costs. $150,000 in past costs were 

"carved out" of that settlement because the Puerto 

Rico Industrial Development Company 

(PRIDCO), the owner of the property and a PRP, 

refused to enter into the settlement. Subsequent to 

entry of the decree, EPA made it clear to PRIDCO 

that a cost recovery action would likely be filed 

against it if the $150,000 in remaining past costs 

was not paid by September 1993. PRIDCO 

thereafter entered into negotiations with the 

other PRPs. The result was an agreement among 

themselves whereby the four settling PRPs would 

reimburse EPA for the unpaid balance of the costs 

in exchange for PRIDCOs commitment to provide 

in-kind services valued at $465,000. 

US. v. Fle et Fact ors Cow . I, (S.D. Ga.): A bench 

trail was held, in district court concerning Fleet 

Factors Corporation's liability for costs incurred 

in the removal action conducted at the 

Swainsboro Print Works (SPW) facility in 

Swainsboro, Georgia. EPA conducted a two-step 

cleanup of the site which is not on the NPL. From 

February 6 to 26,1984, EPA addressed abandoned 

chemicals that had been left at the site. These 

chemicals included sodium cyanide, xylene, and 

varsol. While the cleanup was underway, the 

presence of asbestos was confirmed at the site. 

EPA undertook the second part of the response 

action, the removal of the asbestos, in 1984. 

On May 12, 1993, following the bench trial, the 

court entered a Memorandum and Order finding 

Fleet jointly and severally liable under CERCLA 

3-43 
%" 

FY IYY3 Enjorce)nenl Accomplishntents Repon 

In 1984, EPA placed the site on the NPL, 

identifying 59 hazardous substances in the site's 

soil and groundwater. A ROD was signed on June 

30,1989, calling for both a landfill cap and ground 

water treatment. The consent decree was filed in 

December 1989, however, in January of 1990, 

Container Corporation of America (CCA), a party 

with the fourth largest allocated share for a 

nongovernmental PRP for the site, filed a Motion 

to Intervene. 

The Court heard oral arguments regarding the 

Motion to Intervene in October of 1989. DOJ filed a 

Motion to Enter the Consent Decree in January of 

1990. Upon the referral of a cost recovery case, 

DO] filed a complaint against CCA in December 

of 1992. CCA filed a third- party complaint 

against eight signatories of the pending consent 

decree. In September of 1992, DOJ filed a Motion 

to withdraw the US'S opposition to CCA's 

intervention on a limited bases. Upon permitting 

CCA limited discovery on the "fairness of the 

settlement," on March 30, 1993, the court entered 

the decree, excluding CCA. With the decree being 

entered, the eight third-party defendants will 

receive contribution protection against CCA, 

thereby terminating CCAs third-party claim. 

Y.S. v. Gould. et al,: In April 1993, a judicial 

consent decree was entered in US. District Court 

(S.D.N.Y.) concerning the Marathon Battery site. 

The settling parties are Marathon Battery 

Company (Marathon), Gould Inc. (Gould) and the 

U.S. on behalf of the Department of the Army 

(Army). Under the terms of the settlement, EPA 

will recover $9 million in past costs and interest, 

$1.5 million in future costs, and oversight costs for 

the remedial action (RA) of up to $3 million. 

Gould has agreed to perform the RA in accordance 

with EPA's design and approved value 

engineering modifications and to conduct longterm monitoring and maintenance at the site. EPA 

estimates the remedial action cost at $91 million, 

making the total value of'the settlement package 

nearly $110 million. 

For the remedy, Marathon will contribute $4 

million and the Army $37 million in addition to 

their previous cash settlements (in a prior partial 

consent decree) of $5.25 million and $5.6 million, 

respectively. This is a complete settlement of all 

EPA's claims against the viable PRPs, and a 

resolution of complicated legal issues. EPA 

agreed to forgive $7.28 million in past costs and 

interest in the settlement, and thus recovered 

about 94% of its costs. The case raised interesting 

and complicated questions of law because 

Marathon and Gould were released from liability 

for "discharges" from the site in a 1974 settlement 

with the US. under the Refuse Act of 1899. 

Hamilton:. Region X negotiated a 

CERCLA 5 I20 Agreement with the US Army 

Corps of Engineers for a comprehensive 

investigation and remediation of the site. This 

is the first such agreement with the Corps of 

Engineers nationally, and it includes an 

expedited schedule for the cleanup. The fil 

cleanup Recordof Decision will be completed in 

1996. 

In the Matter of Imu erial OillChamuioq 

Chemical Site.: EPA received payment in the 

amount of $251,685 as reimbursement for a 

removal action performed at the Imperial 

Oil/Champion Chemical Superfund site in New 

Jersey. The action consisted of the removal and 

disposal of a pile of PCB-contaminated waste 

filter clay sludge. The money was disbursed from 

an escrow account maintained by the Monmouth 

County Probation Department. This escrow 

account was established as a result of a plea 

bargain agreement to settle a criminal action 

between the Monmouth County Prosecutor's Office 

and the Imperial Oil Company, Champion 

Chemical Company, and three corporate officers. 

The purpose of the account was to reimburse 

parties that performed environmental cleanup 

actions at the site. Region I1 had notified the 

Monmouth County Prosecutor's Office that EPA 

had performed this work and requested payment. 

a1 DeDositoru.. Removal Site: In 

the International Depository, Inc. (IDI) removal 

case, EPA achieved an administrative cost 

recovery settlement under CERCLA §122(h) for 

$1.1 million with 56 potentially responsible 

parties. Additionally, after EPA had conducted 

initial response measures, it issued the site owner, 

the Rhode Island Department of Transportation, 

a unilateral administrative order under CERCLA 

§lo6 for approximately half of the necessary 

cleanup activities. 

The ID1 site is located near the Narragansett Bay 

in North Kingstown, Rhode Island. The site was 

an abandoned hazardous waste transfer facility 

that contained approximately 3,000 drums of a 

wide range of improperly stored waste materials. 

3-45 
FY 1993 Enforcement Accomplishments Report 

5107(a)(2), 42 U.S.C. 5 9607(a)(2), for all response 

and enforcement costs (totaling $1,046,541.70) 

associated with the removal of hazardous 

substances at the site. The court found that, 

although Fleet was a secured lender to SPW, and 

the Lender Liability Rule did apply, the actions 

of Fleet's agents voided the statutory exemption 

for secured creditors. Fleet hired Baldwin 

Industrial Liquidators (Baldwin) to auction off 

SPWs equipment and inventory. After the 

auction, Fleet allowed Nix Rigging Company to 

salvage the remaining equipment and machinery. 

It was the actions of Baldwin and Nix that 

voided the protection of the Lender Liability 

Rule and of the statutory exemption. 

Ln the Wr of Chemical: On 

September 30,1993, EPA issued an administrative 

order on consent to some 275 PRPs requiring them 

to conduct a removal action at the Frontier 

Chemical Superfund site, located in Niagara 

Falls, N.Y. The response action is to include the 

removal of over 4,000 drums of waste from the 

site, as well as 6,700 pounds of laboratory 

chemicals. The work is estimated to cost about 

$4.7 million. The consent order also requires the 

consenting PRPs to reimburse the U.S. for $519,219 

in pastcosts incurred by EPA and also pay certain 

additional costs which have been and will be 

incurred by EPA thereafter. 

On September 30,1993, EPA Region I1 also issued a 

parallel unilateral administrative order to 

approximately 103 PRPs which had declined to 

sign on to the consent order. The unilateral order 

requires the recipients to cooperate and 

participate with the settling PRPs in conducting 

the same response actions as those required by the 

consent order. 

Frontier Chemical Waste Process, Inc. operated a 

business at the site from 1974 until 1992, which 

was primarily engaged in hazardous waste 

processing and management, including 

wastewater treatment, fuels blending and bulking 

for off-site disposal. During the course of its 

operations, Frontier was the subject of numerous 

orders issued by the New York State Department 

of Environmental Conservation for regulatory 

violations. EPA initiated response action at the 

site in December 1992. 

cals Site, (Coaling, Alabama): 

On July 20, 1993, EPA Region IV, executed 

"Participate and cooperate" administrative 

orders for a PRP-lead removal action at the Fuels 

and Chemicals site in Coaling, Alabama. The 

site currently is not listed on the NPL. The 

"participate and cooperate" orders represent an 

innovative approach to CERCLA enforcement and 

PRP-lead removals. The orders consist of an 

administrative order on consent with a group of 11 

cooperating PRPs, and a unilateral 

administrative order (UAO) issued to three PRPs 

who chose not to cooperate with EPA and the PRP 

Steering Committee. 

The orders were the first in the nation to use the 

"participate and cooperate" language developed 

in conjunction with DOJ. The UAO requires the 

respondents to work with the cooperating PRPs 

and either perform or pay for part of the work at 

the site. Use of the "participate and cooperate" 

UAO improved the sense of fairness in the 

Superfund process, and the progress of AOC 

negotiations with the cooperating PRPs, by 

requiring response action of the recalcitrant PRPs. 

The Fuels and Chemicals, Inc., facility operated 

from 1981 to 1992 as a fuels blending and treating 

facility and was abandoned in September, 1992. 

The site includes 31 tanks with a total capacity of 

840,000 gallons and approximately 1,200 drums. 

The approximately 800,000 gallons of hazardous 

substances stored on-site in unstable and leaking 

tanks and drums included: lead, chromium, 

mercury; perchloroethene, trichloroethane, 

methylene chloride, and l,l,l-trichloroethane. 

The cooperating PRPs continue the removal 

activities at the site as required in the AOC. In 

anticipation of additional removal activities at 

the site, EPA and the PRP Steering Committee are 

working together to identify additional PRPs. 

EPA also is evaluating options to enforce the 

orders against respondents who did not comply. 

Y.S. v. Gen era1 R efuse. et. a1 . (S.D. Ohio): On 

March 30, 1993, the court entered a RD/RA 

consent decree for the Miami County Incinerator 

site. The decree embodies an agreement between 

the Agency and 120 governmental and industry 

PRPs. It calls for the settling defendants to 

conduct 100% of the selected remedy and to pay 

50% of future Oversight costs. The settling 

defendants are also required to pay up to 50% of 

past response costs after the US. uses "best 

efforts" to recover past response costs from non3-44 
FY 1993 Enforcement Accomplishments Repon 

Numerous containers stored in the open bays were 

exposed to the elements, and there was evidence 

of drum leakage. In some instances, incompatible 

wastes were stacked three drums high, posing a 

threat of explosion and fire. 

EPA staged, sampled, properly containerized the 

waste materials and disposed of the extremely 

hazardous and sensitive materials. Pursuant to 

the unilateral administrative order, the site 

owner is currently disposing of the remaining 

drummed wastes, excavating contaminated soil, 

and decontaminating the buildings and storage 

bays. 

The settling parties under the administrative cost 

recovery agreement are generators and 

transporters of hazardous substances sent to the 

site. The agreement provides that the settlors 

will pay EPA $1.1 million, the majority of EPA's 

costs. In an effort to facilitate settlement, the 

Region developed a volumetric ranking list 

which the PRP group used to develop its internal 

allocation scheme. The majority of the settlors 

are commercial entities. A number of federal, 

state and local entities also participated in the 

settlement. 

(N.D. u: On July 8, 

1993, the court entered judgment for costs and 

treble damages exceeding $10 million against four 

defendants in the CERC.LA cost recovery cases 

involving the I. Jones Rkycling, Clinton Street 

site in Fort Wayne, Indiana. The judgment order: 

(1) holds Aqua-Tech, Inc; I. Jones Partnership; 

Frederick J. Cook, Jr.; and Thomas J. Hanchar 

jointly and severally liable for $784,400.77 in 

anum response costs and prejudgment interest on 

those costs; and (2) holds each of the latter three 

defendants liable for treble damages of 

$9,663,884.94 for their failure to comply with 

three unilateral orders issued for removal actions 

at the site. 

The I. Jones Recycling, Clinton Street site 

collected, stored and treated a wide variety of 

hazardous substances from 1980 through 

September, 1986. The facility was closed after a 

chemical fire emitted potentially toxic fumes and 

required evacuation of adjacent areas, leaving a 

vast number of containers holding hazardous 

substances, and widespread contamination within 

the buildings and soil. EPA filed its cost recovery 

complaint on March 25, 1991, against all 

owner/operators of the site and against the one 

viable generator (Aqua-Tech) that had not 

entered into administrative cost recovery settlements for the site. ,. 

EPA issued unilateral orders on October 14; 1986 

and September 3, 1987, requiring the owner/ 

operators to perform extensive removal actions. 

The owner/operators did not comply and EPA 

performed removal actions costing over 52.3 

million. By the time EPA was ready to initiate 

the final phase of site cleanup, the Agency had 

identified a group of over 150 generators who had 

sent waste to the site. On July 27,1988, EPA issued 

a unilateral order to all generators and 

owner/operators. A group of generators complied 

with that order incurring costs in excess of 53 

million. 

In the Matter of Kin-Buc Landfill1 On Noyember 

11, 1992, EPA'issued a unilateral administrative 

order in connection with the Kin-Buc Landfill site 

in New Jersey. The order requires that eleven 

respondents, responsible parties at the site, 

perform the RD/RA for the second operable unit 

(OU2) component of the remedy which was 

selected in the ROD issued by Region I1 in 

September, 1992. The work required under OU2 

includes excavation of PCB contaminated soils 

and sediment from an area known as the Edmonds 

Marsh located next to one of the fills at the site. 

The excavated material is to be placed onto the 

landfill before it is capped. OU2 also requires 

that mitigation measures be carried out in 

wetlands at the marsh area from which the PCB 

contaminated material is to be excavated. The 

estimated cost for the OU2 work is $4.1 million. 

The respondents were all owners,and/or operators 

of the landfill. 

Lindane Dumu Site, (Harrison Township, Pa): On 

June 28, 1993, in a consent decree entered by the 

court (E.D. PA), Elf Atochem North America, Inc. 

agreed to reimburse EPA 100% of its past costs 

totaling $238,451 and implement the site remedy 

totaling $15 million. Additionally,. the decree 

introduces an alternative dispute resolution 

provision providing for non-binding mediation for 

issues arising under the additional work and 

periodic review provisions of the decree, the first 

such language in a judicial decree. 

Mathis BrotherslSouth Marble TOP Road 

Landfill NPL Site. (Walker County, Georgia): On 

3-46 
FY 1993 Enforcestent Accomplishments Report 

at the Mathis Brothers/South Marble Top 

Landfill NPL site in Walker County, Georgia. 

The order, which was issued after no PRPs were 

willing to enter into a consent decree with EPA 

after a 120-day negotiation period, requires the 

PRPs to implement the remedial action/remedial 

design (RD/RA) for the site. The remedial action 

selected by EPA provides for excavation and 

incineration of landfill wastes and associated 

soil, excavation and bioremediation (an 

innovative technology that will be tested during 

remedial design) of contaminated subsurface soil, 

and trenching to collect contaminated 

groundwater for off-site treatment. The remedy is 

estimated to cost $12.98 million. 

The site is a landfill which was operated under a 

state permit between 1974 and 1980. Wastes at 

the site include wastes from the production of 

dicamba and benzonitrille by Velsicol Chemical 

Corporation, and wastes from the latex and 

carpet industry. Hazardous substances to be 

addressed at the site include benzonitrille, 

dicamba, phthalates, dichlorobenzene, and 

styrene. 

Matter of US. v. won-Ouirk GrFAR-MAR -CO Subs i&, (D.Neb.): On 

April 19, 1993, the court entered a CERCLA 

§107(a) cost recovery consent decree for costs 

incurred in connection with the FAR-MAR-CO 

subsite of the Hastings Groundwater 

Contamination site. The decree required the 

defendant to pay $2,150,000 for investigative 

costs incurred by the U.S. through December 31, 

1990, and entered' declaratory judgment for all 

future costs. The defendant has already paid the 

past costs as required by the consent decree. 

The consent decree settled an action that the U.S. 

had commenced on December 31, 1988. The U.S. 

had won a summary judgment motion on liability 

and was set to go to trial on the amount of costs 

owed to the government. Because the costs were 

incurred in connection with a subsite of the 

Hastings Groundwater megasite, numerous cost 

allocations were performed to arrive at a figure 

representing the FAR-MAR-CO subsite costs. 

Us* V. Motor ala, Inc., (D. Ariz.): On August 11, 

1993, the court entered the second and final 

remedial design/remedial action (RD/RA) 

consent decree for the North Indian Bend Wash 

(NIBW) Superfund site. Together with the first 

settlement, this consent decree provides for 

private sector cleanup of the entire NIBW site, 

including the restoration of the area-wide aquifer 

and provides for the recovery of 95% of EPAs past 

costs and all future costs. 

The Indian Bend Wash Superfund site (IBW) 

encompasses approximately 13 square miles in 

Scottsdale and Tempe, Arizona and consists of two 

study areas - NIBW and South Indian Bend 

Wash. The NIBW site encompasses ten square 

miles and includes land developed for 

residential, commercial, and industrial uses. The 

site was placed on the NPL in 1982 due to the 

presence of VoCs in the groundwater. 

The decree requires the defendants to conduct the 

RD/RA for the vadose zone and shallow 

groundwater as specified in the NIBW Record of 

Decision (ROD) dated September 12, 1991. The 

estimated value of this work, including EPA 

oversight costs, is $11 million to $14 million. 

These remedial actions build upon the remedy 

and corresponding first consent decree for deep and 

middle-depth groundwater selected in the 1988 

Scottsdale Groundwater Operable Unit ROD. 

The decree also requires the payment of EPA's 

past response costs of $5,066,048.44, as well as 

future oversight costs which are estimated at $2.5 

million. 

On December 9, 

1992, EPA issued a unilateral administrative 

order to 46 potentially responsible parties at the 

Muskego Sanitary Landfill Superfund site in 

Muskego, Wisconsin. This order requires the PRFs 

to perform a source control operable unit remedy 

that includes: establishing site controls; 

upgrading the landfill cap; instituting a leachate 

control system; and performing soil vapor 

extraction of a specified fill area. EPA selected 

this remedy in its June 12,1992 Record of Decision 

(ROD), and estimated that the remedy would 

cost $12.9 million. 

After issuance of the ROD, EPA and the PRPs 

cooperated to expedite the cleanup process so that 

the PRPs could begin performing the cleanup in 

1993. In particular, the parties agreed that EPA 

would forego the special notice process and 

simply proceed to issue a unilateral order after 

making an effort to identify additional PRPs. 

EPA also helped facilitate an ADR process to 

help the PRPs develop an allocation process. 

3-47 
FY I993 Enforcement Accomplishmenls Repon 

Establishing this process before compliance with 

the order was required helped EPA obtain broad 

participation by the PRPs; 42 of the 46 PRPs 

agreed to perform the work. 

Dayhoit, Kent.): A unilateral administrative 

order for performance of an interim action remedy 

was issued to Cooper Industries, Inc. on December 

15,1992, after the respondent refused to conduct 

the remedy voluntarily. Cooper operates an 

equipment rebuilding and remanufacturing 

facility at the site in Dayhoit, Kentucky. The 

site is located on the flood plain of the 

Cumberland River and is in close proximity to a 

small mobile home park. Cooper Industries, a 

subsidiary of McGraw-Edison Co., acquired the 

facility from National Electric Coil in 1987. 

Solvents used to clean industrial equipment were 

released to the ground surface on the banks of the 

Cumberland River and through drainage pipes 

leading from the site to the river. PCB laden oils 

were also released. 

In February 1989, the Kentucky Department of 

Environmental Protection (KDEP) detected high 

concentrations of volatile organic compounds 

mainly trichloroethane, dichloroethene, xylene 

and toluene in residential wells near the site. 

The site was proposed for the NPL in July 1991 

and listed in October 1992. Cooper is conducting 

the interim response activities concurrently with 

RI/FS and post-RI/FS activities. 

of N- (E.D. Ky.): Gn 

December 29, 1992, the court entered two civil 

consent demees representing a partial settlement 

of the CERCLA cost recovery litigation for the 

Newport Dump Superfund site, Wilder, Kentucky. 

The decrees involve five of the six potentially 

responsible parties (PRPs) named in the original 

complaint. The settlement collectively provides 

for the recovery of $2.4 million, representing 

approximately 50 percent of the total past costs, 

and also provides for the performance of 

operations and maintenance activities. 

On July 26, 1993, the US. Bankruptcy Court 

lodged a proposed Stipulation of Settlement 

addressing the U.S. claim against the remaining 

PRP, G. Heileman Brewing Company, Inc. Under 

the Stipulation of Settlement, the U.S.' claim 

against the company will be allowed as an 

unwured claim in the amount of $800,ooO. 

, 

Y.S. v. Ni-: On 

January 20, 1993, a consent decree was lodged 

which partially resolved this 1989 action 

concerning the Wide Beach Development 

Superfund site. The decree reflects a de minimis 

settlement with six of seven defendants in the 

lawsuit. The complaint was filed against the 

settling de minimis defendants and Niagara 

Transformer Corporation. Under the decree the 

settlors will pay a total of $575,000 to the U.S., 

and $57,500 to the State of New York, in 

reimbursement of past governmental site 

expenditures. Region I1 intends to pursue the 

action against Niagara Transformer Corporation, 

and will continue to investigate whether 

additional persons may be liable for remaining 

response costs at the site, estimated to be between 

$32 and $40 million dollars. 

Industries. Inc; On April 23,1993, 

an amended default judgment was entered by the 

U.S. District Court (W.D.N.Y.) imposing 

penalties upon a defunct corporation, Orban 

Industries, Inc., under CERCLA 5106 for failure to 

comply with a Region I1 administrative order in 

connection with the Madison Wire Site Superfund 

site located near Buffalo, N.Y. The court 

awarded $925,000 in penalties. Previously, in 

August, 1992, the court had awarded EPA 

$500,000 in response costs and $1.1 million in 

punitive treble damages for failure to comply 

with the order; however, the court did not award 

penalties pursuant to CERCLA 5106(b) at that 

time. The court had erroneously read CERCLA as 

requiring proof of willfulness in ordcr to impose 

5106 penalties. In this amended order, the court 

corrected that error. 

m. v , Ottat i & Goss (D.N.H.): IMCERA Group 

h. v. EPA. et. al (D. NH): In September of 1993, 

the United States lodged a civil consent decree in 

which IMCERA Group, INC. (IMCERA) and 355 

contribution action defendants (sued by IMCERA) 

agreed to pay to the U.S. and the State of New 

Hampshire a total of $4,000,000 as a "cashout" 

settlement, effectively ending approximately 13 

years of litigation. The settlement resolves 

claims initially brought under RCRA 57003, 

seeking injunctive relief for cleanup of the site, 

and under 55310 and 309 of the CWA. In 1983, the 

U.S. amended the complaint to seek injunctive 

relief and recovery of past costs under CERCLA 

55106 and 107 arising from the disposal of 
FY 1993 Enforceinent Accornplishrnents Report 

different chemicals were found at the site, 

including volatile organic compounds, acid and 

base/neutral compounds, metals, cyanide, and 

PCBs. 

The site is located in the town of Kingston in 

southern New Hampshire and was placed on the 

NPL in September 1981. On January 16,1987, EPA 

issued a ROD outlining remedial action for the 

site. The ROD called for on-site incineration of 

contaminated soils and sediments and for a pumpand-treat system for contaminated groundwater. 

Under the terms of settlement, the remedy and 

associated operation and maintenance for the site 

will be completed by the US. and the State. 

In the Matter of PhilOlar Electronicz: On 

September 30, 1993, EPA entered into an 

administrative cost recovery agreement with the 

United States Air Force (USAF) regarding the 

Philmar Electronics site located in Morrisonville, 

New York. Under the Agreement, the USAF will 

pay EPA $864,493 in reimbursement for all of 

EPA's unreimbursed past response costs with 

respect to the site as of July 30, 1993. The 

agreement will become effective after a public 

comment period is held, pursuant to CERCLA 

§122(i). USAF is the major source of the 

hazardous substances at the site. For a number of 

years, 55-gallon drums containing hazardous 

substances, such as cleaning solvents, used oils and 

jet fuel, were picked up from the Plattsburgh Air 

Force Base and disposed of at the site. The past 

costs covered by the agreement were incurred in 

connection with a removal action performed by 

EPA at the site. 

US. v. PuuJidmkoducts Compw: On June 

17, 1993, a judicial consent decree was entered by 

the U.S. District Court (W.D.N.Y.) concerning the 

Facet Enterprises Superfund site. Purolator 

Products Company, Inc., the current and a prior 

owner and operator of what is referred to as the 

Facet Enterprises Facility, executed the decree. 

The consent decree requires Purolator to 

implement the remedy selected by EPA Region 11 

for the site, estimated to cost about $4.8 million. 

In addition, Furolator will pay $625,174.09, plus 

interest, for past response costs incurred by EPA at 

the site, and make payment to the United States 

of future response costs that will be incurred in 

overseeing the implementation of the remedy. 

Carrim Inc. (Saraland) Site 

(Saraland, Ala): On July 16,1993, EPA issued an 

UAO for RD/RA against ten private parties to 

cleanup the Redwing Carriers, Inc. (Saraland) 

Superfund site in Saraland, Alabama. The 

Redwing Carriers, Inc. site is located at 527 U.S. 

Highway 43 in the City of Saraland. From 1961 

to 1971, Redwing Carriers, Inc., operated a 

trucking terminal at the site using the property to 

maintain, clean and park its fleet of trucks and 

tank trailers, which transported chemicals, 

asphalt and other substances. During the 

cleaning process, residual portions of the 

substances transported in the trucks were released 

untreated to the ground. AKZO Chemical, Inc. 

and Olin Corporation used Redwing to transport 

hazardous materials in tanker trucks residual 

portions of which were disposed of at the site. 

A low income housing apartment complex was 

constructed on the site in 1972. Saraland 

Apartments, Ltd, the current owner, rather than 

removing the contamination, contracted with the 

Meador Construction Company who graded the 

property, burying pools of tar and spreading the 

contamination over the entire site. 

The UAO was issued to Saraland Apartments, 

Ltd, its general partners, Roar Company and 

Robert Coit, and its limited partners who exercise 

pervasive control over the partnership, Hutton 

Advantaged Properties and H/R Special. Also 

included in the UAO are Redwing Carriers, 

AKZO, Olin, Meador, and the managing agent, 

Marcrum Management Company. Redwing and 

AKZO gave notice of their intent to comply with 

the UAO. The partners of Saraland Apartments, 

Ltd., and Olin responded that they would not 

comply. Neither Marcrum nor Meador submitted 

a response. 

I1 Road Laa 

Sj& During 1993, EPA issued two unilateral 

administrative orders and one consent order 

regarding the Richardson Hill Road Landfill 

site, located in Sidney, New York. The first 

order, issued unilaterally on June 21 to Amphenol 

Corp., requires the company to deploy absorbent 

booms and pads to remove an organic sheen from a 

pond at the site. The second order, issued on 

consent on September 22 to Amphenol and 

Allied/Signal, Inc., requires the respondents to 

3-49 
(@ FY 1993 Enforcement Accomplishments Report 

install in-house water treatment units at certain 

residences near the site. The third order, issued 

unilaterally September 30, also to Amphenol and 

Allied/Signal, requires respondents to excavate 

and remove waste material and contaminated soil 

and debris from a waste oil pit and two other hot 

spots located within the landfill. The third 

order also requires the respondents to design and 

implement a system that can contain and remove 

light non-aqueous phase liquid from the 

groundwater and that can also remove and treat 

free phase liquid. 

The purpose of the system is to mitigate the 

migration of contaminated water into the "South 

Pond" at the site, which is on the NPL. A RI/FS 

is presently being conducted by the respondents 

under an administrative consent order issued in 

1987. The response actions required by the third 

1993 order are not intended to serve as a 

permanent remedy, but rather as an interim or 

"early" response action. 

In the 196Os, the Bendix Corporation contracted 

with an independent contractor to dispose of 

hazardous substances, including waste oil, at the 

site. Respondents are successors of the Bendix 

Corp., and therefore liable as PRPs under 

CERCLA. The work required under the three 1993 

orders is estimated to cost about $4.54 million. 

ILS, et al. v. On January 

19, 1993, a consent decree was lodged with the 

US. District Court (D.N.J.), partially resolving 

this action concerning the Lipari Landfill, the 

highest scoring site on the CERCLA National 

Priorities List. In this decree, the U.S. and the 

State of New Jersey settled the liability for work 

done pursuant to the first two Records of Decision 

(RODS) and two components of the third ROD at 

this site. The settlors were the three primary 

defendants at this site: Rohm & Haas, OwensIllinois, and ManorCare. These companies have 

agreed to a cash-out valued at nearly $53 million. 

These three defendants sent or transported an 

estimated 92% - 98% of the hazardous wastes 

dumped at the site. The first ROD required the 

construction of a containment wall keyed into the 

The 

second ROD required batch-flushing of the 

contained area and treatment of the wastewater. 

The two components of the third ROD covered by 

this settlement relate to the installation of a 

French drain and an extraction system for an 

, underlying clay, enclosing a 16-acre site. 

underlying aquifer and the treatment of 

wastewater collected from these systems. 

On September 27, 1993, EPA issued an unilateral 

administrative Order requiring Rohm & Haas to 

perform those portions of the third ROD not 

settled in the January consent decree. ROD I11 

addressed the "off-site" portions of the Lipari 

site. In addition to the elements described above, 

that ROD also provided for excavation and 

treatment of marsh soils by low temperature 

volatilization, excavation of sediments from two 

streams adjacent to the marsh and from the 

downstream Lake Alcyon, with treatment of 

those sediments if necessary. Under this order, 

Rohm & Haas is required to implement all of 

these remaining components of the ROD 111 

remedy, work valued at approximately $48 

million. When added to the cash-out under the 

consent decree, the total value of these 

enforcement actions exceeds $100 million. 

Sapp Battea Cottondale, Florida: On 

September 30, 1993, EPA entered into 

administrative settlements with thirteen de 

minimis generator PRPs under §122(g) of CERCLA 

at the Sapp Battery Superfund site located 

outside of Cottondale, Florida. The settlements 

total $152,180, of which $105,746 will be applied 

to EPAs outstanding past costs. This settlement 

had been offered to 39 recalcitrant de minimis 

generators. In addition, five generators accepted 

an earlier de minimis offer made to 25 generators. 

EPA anticipates sending out two more de minimis 

offers to an additional 60 generators. De minimis 

generators were defined in this case as those PRPs 

generating less than 0.1% of the total documented 

waste disposed of at the site. 

The site is contaminated with lead, acid and 

battery casings. An emergency cleanup was done 

at the site by the Florida Department of 

Environmental Resources, in response to citizen 

concerns about the high level of acid and lead in 

nearby Steele City Bay. EPA conducted a 

removal, RI/FS and RD in 1989-1991. The site 

was listed on the NPL in August 1982. A number of 

PRPs are now conducting Operable Unit One (soil) 

under a cunsent decree which will constitute 80% 

of the cleanup. No agreements have yet been 

reached for groundwater remediation under 

Operable Unit. Two, or the cleanup of nearby 

Steele City Bay (Operable Unit Three). 

3-50 
FY 1993 Enforcement Accomplishments Report 

Y.S. V. Shell, (C.D. Call: On September 28,1993, 

the district court granted the Governments' 

Motion for Partial Summary Judgment on 

Liability against four major oil companies in the 

McColl Superfund site cost recovery action. The 

McColl Site is located in Fullerton, California, 

and has been on the NPL since 1983. The 22-acre 

site contains over 100,000 cubic yards of highly 

acidic refinery sludge dumped in the early 1940s. 

The sludge, which contains a variety of 

hazardous substances including benzene, toluene, 

and arsenic, periodically seeps to the surface, 

emitting high levels of sulfur dioxide and posing 

a threat of dermal contact. 

The court ruled as a matter of law that Shell, 

Union Oil, ARCO, and Texaco are liable for past 

and future cleanup costs as arrangers for disposal 

under CERCLA §107(b)(3). The court also ruled 

that McAuley LCX Corporation, a small 

privately-held company, is liable as the owner of 

the site property, rejecting an innocent landowner 

defense. The U.S. and the State of California, as 

co-plaintiffs, are seeking over 525 million in past 

costs. EPA recently selected a remedy valued at 

$80 million. The four oil companies are 

performing remedial design activities pursuant to 

unilateral administrative orders. 

In granting summary judgment on liability, the 

court rejected the oil companies' "act of war" 

defense. This is the first reported decision 

interpreting the defense, which the court held 

should be narrowly construed. The oil companies 

claimed that disposal occurred as part of a 

government-directed war effort. The court also 

granted the Governments' motion to bifurcate the 

case and permit the cost phase to proceed 

immediately. Plaintiffs have now filed a 

summary judgment motion for these past costs. 

The court further stayed the companies' 

counterclaim against the U.S., ruling that the 

contribution action should not interfere with the 

replenishment of the Superfund. 

(D. Ma.): On April 27, 

1993, the court lodged the consent decree for 

the Silresim Superfund site. The consent decree 

consisted of a global settlement with 223 

parties, 179 of those parties were de minimis 

settlors. The parties paid approximately $41 

million for a cash-out settlement. The decree 

also included a re-opener if the remedy costs 

more than $54.8 million. 

.. 

The Superfund site is located in Lowell, Mass. 

The Silresim Chemical Corporation operated a 

chemical waste reclamation facility on the 

site. The original facility consisted of 

approximately 4.5 acres, however the extent of 

contamination includes approximately 16 acres 

and groundwater contamination. The major 

problem at the site is contamination by dense, 

non-aqueous phase liquids in the groundwater. 

(823 E Supp. 873 (D. 

Colo. June 8, 1993)): The court held that the 

defenses provided by CERCLA §107(b) are 

exclusive, and struck all of the equitable defenses 

asserted by defendant Pitkin County. 

Additionally, the court held that defenses which 

alleged that the governments' response costs were 

not "cost effective or prudent" or "reasonable" 

were not valid affirmative defenses because the 

only issue as to recoverability of response costs is 

consistency with the National Contingency Plan. 

The court also held that the defendant could not 

challenge the listing of Smuggler Mountain 

Superfund site on the NPL as an affirmative 

defense in this action. 

Y.S. v. Texaco Ins., (C.D. Calk On August 22,1993, 

the court entered a consent decree for performance 

of the remedial design and remedial action at the 

Pacific Coast Pipeline Superfund site in Fillmore, 

California. Under the consent decree, Texaco, Inc. 

and its subsidiary Texaco Refining and Marketing 

Inc., the sole PRPs, will construct and operate a 

soil vapor extraction system and a groundwater 

extraction and treatment system as required by 

the ROD. The primary contaminant of concern is 

benzene, which is present in the soil and 

groundwater at the site. The remedial action is 

expected to cost $4,000,000. Under the decree, the 

defendants have agreed to reimburse California 

for past response costs and the U.S. for future 

response costs. Texaco, Inc. paid EPAs past costs 

pursuant to an administrative order on consent for 

the RI/FS. EPA has the lead for the site and the 

California Department of Toxic Substances 

Control is the support agency. The Pacific Coast 

Pipeline Superfund site was listed on the NPL on 

October 4, 1989. Texaco, Inc. is currently 

conducting the remedial design of the remedy in 

accordance with the consent decree. 

US. v. Un ion ScraD Iron & Metal. et al. (D. 

M~IUL~ On January 14-15, 1993, the court entered 

three consent decrees under which a total of 65 

3-51 
FY 1993 Enforceinent Acconiplishinents Repon 

defendants will pay approximately $1,450,000 of 

EPAs past response costs for the cleanup of the 

Union Scrap Iron & Metal facility in 

Minneapolis, Minnesota. 

The Union Scrap facility was the site of a battery 

breaking business. During its operation, the 

company purchased spent lead acid batteries from 

numerous customers and reclaimed the lead plates 

by cracking open the plastic battery cases and 

extracting the plates. This process highly 

contaminated the soil at the site and seriously 

threatened human health and the environment. 

In 1986 and 1988, EPA undertook several remedial 

activities to remove the lead-tainted soil and 

debris. Then, in 1989, the Agency initiated 

CERCLA 5107 proceedings against various 

defendants in order to recover the approximately 

$2.1 million expended during the remediation. 

Allocation issues, however, were extremely 

difficult since Union Scrap had declared 

bankruptcy in 1985, and few site records were 

available from which to construct a waste-in list. 

A mediator was subsequently employed to help 

resolve these matters after the conclusion of 

discovery and while the case was on the court's 

trial call. 

-.E. Case & Sons Cutlerv Co, ;a 

November 30, 1992, the U.S. District Court 

(W.D.N.Y.) entered a consent decree in this action 

against W.R. Case & Sons Cutlery Co. (Case). 

The decree required Case to pay EPA $700,000 

toward EPAs past and future response costs at the 

Olean Well Field NPL site and also required Case 

to pay a $50,000 civil penalty to EPA as a result of 

Case's noncompliance with a unilateral 

administrative order issued in 1986 under §106(a) 

of CERCLA. That order, issued to six PRPs 

including Case, required respondents to carry out a 

remedial action at the site. The remaining five 

respondents complied, but Case declined to 

participate. In 1988, the government filed a cost 

recovery action against all six PRPs to recoup its 

past expenditures, and also included a count 

against Case for civil penalties for its 

noncompliance with the order. The five other 

PRPs agreed to pay $1,175,000 of EPAs past costs 

in a partial consent decree entered in August, 1989. 

The 1992 decree settles the remainder of the 1988 

lawsuit. 

d Site: As part of 

the remedial action for the Western Processing 

Superfund site in Washington State, a consent 

decree enterd on October 16, 1986 required the 

PRPs to clean up a creek located on site. The 

site falls within the boundaries of the' City of 

Kent,which demanded that the PRPs obtain a 

city permit for the creekcleanup. EPA ana the 

PRPs responded that, under federal law, no 

permit was required for this work. The city 

then issued a stop work order to the PRPs, and 

the PRPs ceased creek cleanup activity. Inresponse, EPA obtained a declaratory judgment 

from the federal district court stating that no 

permit was required to perform the cleanup 

work The city then lifted its stop work order, 

and cleanup proceeded. 

ouse Su~erfund, (Sunnyvale Ca.): In 

September 1993, EPA issued a unilateral 

administrative order (UAO) for RD/RA to 

Westinghouse Electric Corporation for design of 

the groundwater treatment system for the 

Westinghouse Superfund site. The UAO 

terminated an administrative order on consent 

(AOC) for remedial design negotiated in 1992, 

except for provisions related to payment of .EPA 

response costs. Westinghouse, the sole PRP 

identified for the site, submitted a timely Notice 

of Intent to Comply in November 1993. Issuance of 

the UAO is anticipated to allow remediation of 

soil c0,ntamination to proceed prior to the final 

approval of the design for groundwater 

remediation. Termination &the AOC will allow 

some remedial action to begin prior to the 

completion of all remedial design tasks without 

the complications of overlapping and potentially 

conflicting orders. 

The Westinghouse Site was formerly used to 

manufacture electrical transformers and is 

currently used to manufacture steam generators, 

marine propulsion systems, and missile launching 

systems for the Department of Defense. Releases 

of PCBs, volatile organic compounds and fuel 

compounds have resulted in soil and groundwater 

contamination. The October 1991 Record of the 

Decision for the site requires remediation of PCBs 

in the soil, containment of PCB contamination in 

groundwater in the source area where den& nonaqueous phase liquids are present, and cleanup of 

all other groundwater contaminants throughout 

the site. 

over Labwories SuDe- 

(M.D.Pa.): On November 4, 1993, the consent 

3-52 
8- "& 

"E 

FY 1993 Enforcement Accomplishments Repon .. 

decree between the Estate of Clarence W. 

Whitmoyer, Sr. and the United States for 

reimbursement of $2.9 million in past costs was 

entered in court. This past costs-only settlement 

is significant in that the PRP's estate agreed to 

reimburse the U.S. to resolve the PRYs CERCLA 

liability for the Whitmoyer Laboratories site in 

Jackson Township, Pa. 

Earlier, on February 9, 1993, the consent decree 

between SmithKline Beecham Corporation and 

Rohm and Haas Company and the U.S. for 

reimbursement of $250,000 in past costs and 

implementation of the $124 million RD/M was 

entered in the U.S. District Court (M.D.Pa.). This 

combined settlement, in excess of $127 million, 

represents a 98.3% settlement of all site-related 

costs for one of the largest Superfund cases 

Toxic Substances Control Act 

(TSCA) Enforcement 

The Toxic Substances Control Act (TSCA) 

allows EPA to regulate commercial chemicals-- 

both those already in the market ($6) and new 

chemicals prior to market entry (55 

premanufacture notice), as well as chemicals for 

import anii export ($512 and 13). The act also 

requires reporting about chemicals and their 

eflecfs ($8) and chemical testing (54). 

One focus for FY 1993 was to emphasize 

workplace compliance with chemical controls. 

More than 500 individual chemicals are subject 

to specific EPA administrative orders requiring 

workplace or manufacturing controls. Under a 

Memorandum of Understanding (MOU), €PA and 

the Occupational Safety and Health 

Administration (OSHA) share information and 

target joint inspections to detect noncompliance. 

The program also continued to emphasize PCB 

compliance and enforcement priorities, including 

disposal and commercial storage facilities, other 

high risk facilities, underground mines, pulp 

mills, and natural gas pipelines. Inspections of 

in-progress asbestos abatement activities was 

also a priority. 

TSCA enforcement efforts focused on 

assuring accurate and timely data about 

chemical substances, specifically those 

involving adverse health or environmental 

data. The program is currently implementing an 

ihitiative regarding TSCA $8(e) data 

(information that indicates the chemical may 

cause significant risk) under the CAP 

(Compliance Audit Program) program in which 

123 companies, representing more than 1,000 

facilities, are auditing records for 8(e) data. The 

program targets subpoenas and conducts field 

investigations of selected fims that are not part 

of the CAP program. 

As part of the national Data Quality 

Initiative, the program conducted inspections at 

chemical testing facilities in order to ensure that 

such facilities were in compliance with 

established Good Laboratory Practices, including 

the use of a Quality Assurance Program and 

proper record keeping. It also targeted nonsubmitters of $5 premanufacturing notices 

(PMNs) . 

In the international enforcement arena, 

the program ensures that chemicals imported 

into the United States are properly registered 

under the TSCA Chemical Inventory. In FY 1993, 

EPA continued working with the US. Customs 

Service to evaluate customs declarations and 

shipping manifests to ensure compliance. 

Following the recent favorable decision of the 

US. Court of Appeals for the Second Circuit 

affirming EPA's ability to enforce both TSCA 

and Customs requiremenis in unified enforcement 

actions, EPA expects to step up border patrols for 

non-conforming substances. 

Section 313 of The Emergency Planning 

and Community-Right-to-Know Act (EPCRA) 

requires certain categories of industrial 

manufacturers to provide annual Toxic Release 

Inventory (TRI) data regarding the total 

emissions level of certain toxic chemicals from 

subject facilities. These data are now used by all 

the agency's media compliance programs to help 

target inspections and identify settlement 

conditions. The program will expand enforcement 

against non-reporters. As part of the national 

Data Quality Initiative, the program ensures 

that TRI data are timely, comprehensive, and 

accurate by prosecuting violations of false or late 

reporting discovered during data form reviews or 

facility inspections. 

3 -53 
FY 1993 Enforcement Accomplishments Repon 

During the last several years, the TSCA 

program has been in the forefront of agency 

efforts to foster innovative enforcement 

approaches, including environmental auditing 

and pollution prevention. During FY 1992, 

almost eighty percent of all pollution 

prevention-oriented SEPs were negotiated as 

part of EPCRA 313 administrative settlements. 

During FY 1993, the TSCA program continued to 

negotiate administrative consent orders which 

emphasized source reduction. 

A consent agreement and 

order was signed on December 30,1992, concerning 

Briggs Associates, Inc.’s alleged failure to conduct 

adequate air clearance monitoring at numerous 

asbestos abatement response actions at various 

local education agencies (public schools) in New 

Hampshire. The violations were alleged 

pursuant to Title I1 (the Asbestos Hazard 

Emergency Response Act of 1986) of TSCA. 

The settlement consists of a $34,000 cash penalty 

payment plus a supplemental environmental 

project (SEP) valued at $23,800. The SEP required 

Briggs Associates to offer free asbestos handling 

training to employees of local education agencies. 

The training sessions are to be conducted over a 

twenty-four month period beginning January 1, 

1993, until the value of the training project as a 

whole has reached at least $23,800. The 

settlement also required Briggs to return to the 

locations of violation to conduct the required 

sampling. 

I 1L M m 

h.: On December 7, 1992, EPA executed a 

settlement of an administrative enforcement 

action initiated in 1989 against CWM for 

violations of the TSCA regulations governing 

disposal of PCBs. The complaint alleged that 

CWM operated a mobile PCB disposal unit that 

had an incorporated heating unit which had not 

been approved by EPA. Use of the unit with the 

heater resulted in disposal of PCBs at 

temperatures greater than thsse specified in the 

EPA Approval. CWM has agreed to pay a cash 

penalty of $300,000 and to expend $730,000 on two 

supplemental environmental projects. CWM will 

purchase an emergency response vehicle and other 

related equipment for Niagara County, New York 

and will train local volunteers in their use. The 

vehicle and equipment were to be donated to 

Niagara County, a county with heavy chemical 

transportation and major hazardous waste 

facilities. CWM has also developed and 

implemented a household hazardous waste 

collection and disposal project in Niagara County, 

which includes outreach programs to apprise the 

community as to the nature of household 

hazardous wastes. 

Ciba-Geiev: The Environmental Appeals Board 

approved a consent agreement between CibaGeigy and EPA. Pursuant to this agreement, 

CibaGeigy conceded to EPAs conclusions of law 

and fact as alleged in the complaint and agreed to 

pay a cash penalty of $62,000 and perform a 

TSCA 55 audit to ensure compliance with EPA 

regulations. The stipulated penalties resulting 

from this voluntary audit are capped at $1 

million. This case was part of the TSCA 55 

initiative filed between December 17-18,1992. 

mCompany: In FY 1993, a 

judicial consent decree was entered into under 

TSCA. This decree was an innovative solution 

which addressed the improper use, storage, and 

disposal of PCBs at the Cressona Aluminum 

Company. As part of the decree, Cressona is 

required to remediate the PCB contamination at 

the 115 acre facility. All plant equipment, 

including the hydraulic and wastewater 

treatment systems, will be decontaminated, the 

concrete floors will be removed where necessary, 

and the plant outfalls will undergo a toxics‘ 

reduction evaluation to eliminate the discharge 

of PCBs into the Schuylkill River. 

D o ’ : Dow Corning, of Midland 

M%:anz&d to pay a penalty of $46,000 and 

perform a SEP in settlement of a TSCA 55 PMN 

and TSCA 513 case. EPA filed a complaint 

against the company in 1992 for $172,000. The 

Agency provided a 50% reduction in the proposed 

penalty for timely and voluntary disclosure of the 

violation; 15% for good attitude and a 15% 

reduction for the SEP. The SEP involves the 

installation of a spill control measure which 

involves a skimmer attached to the pipe that 

leads to one of the outfalls in the Carrolton 

plant’s NPDES permit which in turn leads from 

this plant to the Ohio River. Dow Corning 

certified that the project would cost a minimum of 

3-54 
~ ~ 

FY 1993 Enforcement Accomplrshmenrs Reporl 

3 -55 

FY 1993 Enforcement Accomplishmenrs Reporl 

$5oo,OOO and the project would capture spills of 

chlorosilanes or silicones. Dow Coming will begin 

the construction of the project within one month of 

the effective date of the agreement. 

-: On November 9, 

1992, EPA filed a consent agreement and final 

order (CAFO) in settlement of EPAs 

administrative action against General Electric 

Company, GE Aircraft Engines. Pursuant to the 

CAFO, GE must pay, after offset in consideration 

of its having spent over $272,750 on a 

supplemental ,environmental project, a $1,000 

civil penalty and maintain compliance with the 

requirements of TSCA. 

Region V filed a complaint on August 18, 1989, 

alleging in two counts that GE had violated 

TSCAs PCB requirements, 40 C.F.R. §+j 761.20(a) 

and 761.40(a)(7), by failing to reduce the PCB 

concentration in its Building 703 Cell Five 

hydraulic test stand to less that 50 parts per 

million by July 1, 1984; by failing to mark the test 

stand; and by improperly using a PCB 

contaminated oil/water separator and drainage 

collection system. After EPA filed its complaint, 

GE investigated other areas of the facility and 

found extensive PCB contamination' of, among 

other things, compressor systems and piping. As a 

result of this discovery, GE is completing a 

comprehensive cleanup of PCB contamination at 

its Evendale, Ohio, facility at a cost exceeding 

$5,000,000. 

In addition to the above mentioned corrective 

action, GE has undertaken an extensive pollution 

prevention supplemental environmental project. 

Specifically, GE has removed several score of 

PCB transformers not required by law. While GE 

could legally continue to use these transformers, 

removal significantly reduces the risk of 

accidental discharge of PCBs to the environment. 

- II Environmental Sew' 

=ry 1990, EPA Regions 11, V,*< 

and IV filed more than 20 civil administrative 

penalty actions against this Lawrence, Kansas, 

company for violations of the requirements of the 

Asbestos Hazard Emergency Response Act 

(AHERA) and its implementing regulations. The 

violations most often cited against HallKimbrell, one of the nation's largest asbestos 

consulting services, consisted of the failure to 

identify all materials suspected of being asbestoscontaining during Hall-Kimbrell's inspections of 

primary and secondary schools pursuant to 

AHERA. Other alleged violations included the 

failure to properly prepare asbestos management 

plans, also required by AHERA, for certain school 

districts in Regions V and IX. 

All of these cases against Hall-Kimbrell have 

been settled in the past year. In total, the 

settlement of these 20 cases included $445,000 in 

penalties. Prior to settlement, Hall-Kimbrell 

provided EPA with documentation that it had 

already spent more than $5,000,000 during the 

course of negotiations to address problems with 

asbestos inspection reports and management 

plans. All of the settlements require HallKimbrell to revisit schools with deficient 

asbestos management plans. 

-1 This TSCA 

administrative civil penalty action is one of the 

few cases involving alleged violations of the 

substantial risk reporting requirements of §8(e) of 

TSCA. The case arose from a chemical release 

incident exposing two Halocarbon employees at 

the company's Hackensack, New Jersey facility, 

which resulted in one fatality. The settlement 

includes a payment of $60,000, and the conduct of 

a TSCA 58(d)/8(e) compliance audit of 

Halocarbon's facilities. Administrative Law 

Judge Vanderheyden earlier in the litigation 

denied a motion by respondent to compel 

discovery on the grounds that Halocarbon's 

request had not met the prerequisites of the 

Consolidated Rules of Practice governing 

discovery (40 CFR 22.19(f)), and because of the 

attorney work product privilege asserted by the 

APT 

House Ana. lvsis and F red PoweU : On December 16, 

1992, Administrative Law Judge Greene accepted 

EPAs Motion for Default against House Analysis 

and Fred Powell and ordered a civil penalty of 

$51,000 for failing to submit required information 

requested in a 5114 letter and compliance order 

(Asbestos NESHAP) and for not responding to a 

motion for accelerated decision or default. These 

actions stemmed from EPAs discovery in February 

1992 of asbestos containing materials in a garage 

utilized by respondent. 

oritv of New Haven, 

canecticut: On August 10,1993, EPA approved 

the settlement of claims alleged in a civil 

3 -55 
FY I993 Enforcement Accompliskments Report 

administrative complaint issued in December 

1990 against the Housing Authority of the City of 

New Haven, a federally funded low-income 

housing provider. The complaint alleged 

violations of regulations governing 

polychlorinated biphenyls (PCBs) uncovered 

during an inspection, in June, 1990, of an 

unoccupied, seven-building, low-income housing 

complex known as the Elm Haven Extension 

Housing project in New Haven. Speafically, the 

Housing Authority was cited by EPA for failing to 

properly dispose of PCBs, failing to maintain 

records concerning PCBs, and failing to properly 

mark and store ITB transformers. The Elm Haven 

complex was built in the 1950s and demolished in 

1990. 

The settlement requires the Housing Authority, in 

lieu of paying a penalty, to spend at least 

$112,OOO on an environmental compliance program 

designed to protect public housing residents from 

future environmental risks through better 

identification and reporting of potentially 

hazardous conditions involving pollutants such as 

PCBs, asbestos, pesticides, and rodenticides. 

Specifically, the settlement requires the Housing 

Authority to hire an environmental consultant to 

train Housing Authority personnel at all levels in 

recognizing and reporting environmental 

problems, as well as to perform an environmental 

audit of all 32 Housing Authority properties. 

This sort of settlement, known as a supplemental 

environmental project, permits those targeted for 

EPA enforcement to offset penalty payments with 

environmentally beneficial expenditures not 

required by law. 

This settlement evidences EPA's commitment to 

principles of environmental justice and reduces 

the environmental risks to the low-income 

tenants. Because of the age and condition of 

available housing stock, such tenants arguably 

face potential hazards from pollutants commonly 

associated with such housing such as asbestos, 

lead paint, pesticides and rodenticides. 

(Utahl: On November 3, 

1992, Kennecott Utah Copper and the EPA agreed 

to settle a complaint issued by the Agency on 

December 30, 1991, for violations of TSCA, 

CERCLA, and EPCRA in the proposed penalty 

amounts of $1,129,000, $22,500, and $269,850 

respectively, for a total proposed penalty of 

$1,421,350. The respondent agreed to a cash 

payment of $48O,OOO and to purchase an upgraded 

emergency computer system valued at $70,oM) for 

the Salt Lake County Local Emergency Planning 

Committee. As a part of the settlement, the 

respondent agreed to remove and properly dispose 

of all transformers containing fluids with PCB 

concentrations of 50 ppm or more. A significant 

cash payment was insisted upon by the EPA to 

emphasize the seriousness of the violations. This 

complaint corresponds to an instance of the 

ubiquity of PCB use by the mining industry. The 

nationwide use of PCBs in the mining industry and 

the need for regulation has been a concern for some 

time. 

A consent agreement and consent order 

(CACO) was approved by the Environmental 

Appeals Board on August 5,1993 in which Lonza, 

Inc. (Lonza), agreed to pay a civil administrative 

penalty of $240,640 for violations of 55 and 58 of 

TSCA. In 1988, Lonza selfdisclosed that it had, 

on two occasions, manufactured for commercial 

purposes a potentially new chemical substance 

without submitting a premanufacturing notice 

(PMN) to EPA. In 1990, Lonza self-disclosed 

eighty (80) errors including 13 nonreporting 

violations, 6 under-reporting violations, and 61 

over-reporting violations in the original Forms U 

submitted to the EPA pursuant to the TSCA 

Inventory Update Rule (IUR). 

I n re: Mitsui & Compmv (U.S. A .). Inc, [Houston, 

Texas): A CACO under TSCA was signed on lune 

15, 1993, assessing a $58.500 civil penalty against 

Mitsui & Company. The CACO concluded an EPA 

Region VI enforcement action against Mitsui for 

failing to submit to EPA by February 12, 1987, 

Preliminary Assessment Information Reports 

(PAIR) for two imported chemicals, as required by 

g(a) of TSCA. A PAIR is required for chemical 

manufacturers and processors to report production, 

use, and exposure-related information on listed 

chemical substances. 

-: On january 14, 1993, EPA's 

Environmental Appeals Board issued a consent 

order settling the Agency's civil administrative 

enforcement action against PPG Industries, Mazer 

Chemicals Division, of Gurnee, Illinois. PPGMazer was charged with failure to file 

premanufacturing notices (PMNs) 90 days before 

commercial manufacture of five new chemical 

substances, and late submission of TSCA Inventory 

Update Reports for fourteen chemical substances, 

3-56 
FY 1993 Enforcement Accomplishments Repon 

in violation of TSCA. The order requires PPGMazer to pay a civil penalty of $359,550. 

r of Pq.g&! R ico Deoartme nt of 

On August 27,1993, EPA issued an 

administrative consent order requiring the Puerto 

Rico Department of Health to pay a penalty of 

$49,920. The order also includes a supplemental 

enforcement project, requiring the respondent to 

certify that it has retrofilled and reclassified its 

four PCB transformers to non-PCB status; this 

work is estimated to cost approximately $142868. 

The order settles a September 1991 complaint 

which alleged that the Health Department and 

the Arecibo Community Health Care Center had 

not timely registered its PCB transformers with 

appropriate fire response personnel; did not have 

records of inspection and maintenance history for 

four of its transformers; had not begun cleanup of a 

leaking transformer within 48 hours of discovery; 

and did not have annual documents for the 

disposition of its PCBs and PCB items for a 

specified period. The Arecibo Health Care 

Center filed a motion to dismiss the complaint 

against it and,later, for reconsideration of the 

ALJ's adverse ruling. Both motions were denied. 

Puerto Rico filed a motion to dismiss the 

complaint and the motion also was denied. 

Sanncor I ndustx ies. Inc.: In this TSCA 

administrative action, the failure by Sanncor's 

Leominster, Massachusetts, facility to submit 

TSCA 55 premanufacture notifications (PMNs) 

and a TSCA 58(b) notice of commencement (NOC) 

was alleged. The consent agreement and consent 

order settling this case requires payment of a 

$211,050 penalty, a TSCA compliance audit by 

Sanncor with stipulated penalty provisions, and 

the development and implementation of SEPs 

consisting of isocyanate and hydrazine closedloop storage and delivery systems. The 

isocyanate and hydrazine closed-loop storage and 

delivery systems will substantially reduce 

atmospheric emissions, employee exposure and 

handling, and potential spillage of isocyanate 

and hydrazineused by Sanncor, and eliminate the 

isocyanate/hydrazine-contaminated rinse water 

generated from cleaning the transport/storage 

drums which otherwise must be disposed of as 

hazardous waste. These SEPs will cost 

approximately $240,000, and are due to be 

completed in December 1994. 

: Sika Inc. of Lyndhurst, New Jersey, 

settled this TSCA 55 administrative civil 

penalty action for $1,120,700. Sika imported 

chemicals from Europe that were not registered 

with the TSCA Inventory of Chemical Substances 

in violation of TSCA. In the CACO executed by 

the Environmental Appeals Board, Sika agreed 

that it violated TSCA and is liable for the full 

penalty proposed in the complaint of $6,500,000. 

Due to Sika's demonstrated inability to pay the 

full proposed penalty, and remain in business, EPA 

agreed to a reduced payment of $1,120,700 

following an exhaustive analysis of financial 

records. This settlement amount is one of the 

largest penalties ever collected under TSCA 55, 

which requires chemical manufacturers to notify 

EPA prior to manufacturing a new chemical. 

D r : The first 

modification of the Texas Eastern consent decree 

was finalized and submitted to the US. District 

Court in Houston in June 1993. Negotiationson the 

second modification to the Texas Eastern decree 

regarding the integration of the Pennsylvania 

Agreement with the federal decree are nearing 

completion. The intent of the modification is to 

harmonize the existing state and federal 

agreements into one comprehensive agreement. To 

date, 17 of the 49 Texas Eastern sites have been 

characterized and remediated under the consent 

decree for PCBs and other hazardous substances. 

The period of performance of the consent decree, 

estimated to cost more than $750,000,000, is from 

1989 to 1999. 

3M Companv v. EPA (US. Court of Appeals for 

the D.C. Circuit): On March 4,1994 the Court of 

Appeals held that the 5-year federal statute of 

limitations does apply to TSCA penalty actions. 

In 1988, EPA had assessed a $1.3 million fine 

against 3M for importing two new chemical 

substances between 1980 and 1986 without 

submitting a premanufacture notice (PMN) as 

required by 55 of TSCA. After a hearing, the 

Administrative Law Judge (ALJ) reduced the 

penalty to $104,700. EPA appealed the penalty 

reduction on the ground that the ALJ had not 

properly applied EPA's TSCA 55 enforcement 

response policy. During the appeal, 3M argued 

that the ALJ erred in narrowly construing the 

general statute of limitations as not applicable to 

an administrative action for the assessment of a 

3-57 
FY 1 YY3 Enforcement Accomplislments Report 

civil penalty under TSCA. In the last opinion 

from EPAs Chief Judicial Officer (CJO), the CJO 

ruled that the general five-year federal statute 

of limitations does not apply to the assessment of 

civil penalties under TSCA. (The Environmental 

Appeals Board now handles appeals that were 

formerly heard by the chief judicial officer.) 3M 

appealed the CJOs decision to the U.S. Court of 

Appeals for the D.C. Circuit. 

Y.S. v. 

(D.N.M.): On May31, 1990, the U.S. District 

Court entered a consent decree under TSCA 

between the U.S. and Transwestern Pipeline 

Company, Houston, Texas for the characterization 

and remediation of PCB contamination at four 

natural gas compressor stations and, if 

appropriate, ancillary facilities, in New Mexico. 

This was the first Regional consent decree under 

TSCA to address PCB contamination at natural 

gas pipeline compressor stations and ancillary 

facilities. Additionally, the decree required 

groundwater monitoring; submission of procedures 

for the use, handling, storage and disposal of 

PCB-contaminated liquids during pipeline 

operations; installation of source control 

measures; that the company provide an oversight 

contractor to monitor compliance of the terms of 

the consent decree for EPA; and the payment of a 

penalty of $375,000. 

This decree was terminated in US. District Court, 

New Mexico, on March 8,1993, when the company 

met all terms and conditions of the settlement. An 

estimated 144,991 tons of PCB-contaminated soil 

and debris was excavated and disposed of in a 

TSCA landfill. Groundwater monitoring at the 

four sites revealed benzene, toluene, and xylene 

groundwater contamination at two sites. Ongoing 

groundwater monitoring is being overseen by the 

New Mexico Oil Conservation Division. 

.. 

uversitv of N ew HamD (Durham, NH): 

On March 10, 1993, EPA settled a TSCA civil 

action for violation of PCB regulations. The case 

was settled for a penalty of $62,500 and a 

supplemental environmental project with an 

estimated value of $271,000. The project included 

the removal and disposal of three PCB and 28 

PCB-contaminated transformers, and sponsoring, 

organizing, presenting and financing, a one-day 

seminar on the management of PCBs for area 

schools, colleges and universities. 

The removal of all PCB items from the 

University eliminates the possibility of future 

violations and potential releases into the 

environment at this facility. The seminar for 

area schools, colleges and universities will help 

to ensure the future compliance of this portion of 

the regulated community that has exhibited a 

poor compliance history. 

I of 

Tps?; On February 24,1993, EPAs Environmental 

Appeals Board upheld Administrative Law Judge 

Vanderheyden's penalty of $42,000 on Wego 

Chemical and Mineral Corporation. This case 

stems from a June 1988 administrative complaint, 

alleging that Wego had failed to report to EPA 

regarding its importation of chemical substances. 

The EAB decision upheld EPAs application of its 

TSCA penalty policy, and EPAs interpretation of 

"naturally-occurring substances" under 58 of 

TSCA. The decisions followed a two day trial 

held in New York in June, 1990. 

-user Company, (Longview, Wa.): A 

Consent Agreement and Consent Order for 

Payment of Civil Penalties (CACO) was signed on 

May 13,1993, ordering Weyerhaeuser Company to 

pay a penalty of $118,950. This CACO settled an 

August 11, 1992, TSCA complaint for violations of 

the recordkeeping and storage provisions of the 

PCB regulations. $59,075 of the penalty was 

suspended and deferred on the condition that 

Weyerhaeuser Company spent at least $118,950 in 

actual disposal costs for the removal of TSCAregulated PCB equipment from use at its Longview 

facility. Weyerhaeuser has 18 months from the 

date of the CACO to document these 

expenditures. 

Emergency Planning and Community 

Right-to-Know Act Enforcement 

(EPCRA) 

EPCRA establishes a structure at the 

state and focal levels to assist communities in 

planning for chemical emergencies and requires 

facilities to provide information to EPA on 

various chemicals present in the community, 

which shall be made available to the public. 

Under 5313 certain manufacturing facilities must 

provide EPA with annual data on the amounts of 

chemicals that they release into the 

environment, either routinely or as a result of 

3 -58 
FY 1993 Enforcement Accomplishmnl~ Reporl 

accidents. In addition, facilities must report 

accidental releases of "extremely hazardous 

substances" and CERCLA "hazardous substances" 

to state and local response officials, and report to 

state and local officials inventories of chemicals 

on their premises for which Material Safety 

Data sheets exist. 

Bp Oil Re firms! (Ferndale, Wa.): EPA contended 

that BP Oil had failed to provide immediate 

notification of releases of reportable quantities of 

sulfur dioxide in 1992 to the State Emergency 

Response Commission (SERC) and to the Local 

Emergency Planning Committee (LEPC) in 

violation of 5304 of EPCRA. A resulting consent 

agreement and consent order assessed $162,000, 

one of the largest EPCRA 5302-312 penalties ever 

collected. 

of Pu-: On February 24, 

1993, Region I1 filed administrative complaints 

charging four Puerto Rico companies with 

failing to submit hazardous chemical 

information to the Commonwealth and local 

planning and emergency response organizations, 

in accordance with 5311 and 312 of EPCRA. 

Region 11 is seeking $980,220 in total penalties 

for the violations. These complaints are part 

of EPAs multi-media environmental initiative 

in the Catano region of Puerto Rico. 

In the Matter of Crown Metals, Inc.; An EPA 

administrative law judge issued an Initial 

Decision in this case involving three separate 

violations of 5313 of EPCRA. The complaint 

alleged that respondents had failed to timely 

submit its EPCRA Forms R for three chemicals it 

had used at its Kenilworth, New Jersey facility. 

A hearing was held in October 1989, during 

which, pursuant to EPAs oral motion, the judge 

entered a finding of partial liability for reporting 

failures. The hearing then focused entirely upon 

the amount of an appropriate penalty. 

EPA sought $5,000 for each violation. An 

administrative law judge ordered respondent to 

pay $1,500 altogether, $500 per violation. The 

judge's decision was based upon a series of earlier 

decisions that similarly had rejected the 

reasoning in EPA's December 2, 1988 penalty 

policy. Respondent had filed the Forms on 

September 15,1988. Under the 1988 policy, a Form 

R submitted after the July 1st deadline and which 

is also submitted after EPA has contacted the 

facility is nonetheless considered a "failure to 

report" for purposes of assessing a penalty. As 

had several other, administrative law judges, 

this judge refused to enforce this provision. The 

judge's reasoning parallels that of the other ALJs: 

the size of the penalty should be proportionate to 

the extent of the delay in providing the report, 

regardless of whether or not there has been 

intervening EPA contact with the facility. 

Since the reports in question here were ten weeks 

late, the judge assessed the figure that the 1988 

penalty policy matrix assigns for such reports 

where no EPA contact with the facility has 

occurred. In addition, the judge emphasized that, 

at the time of Crown Metal's violation, the 

EPCRA program had just been initiated and that 

respondent had undertaken "significant efforts to 

determine its own responsibilities under the new 

program". 

In June 1993, the ten EPA 

Regions issued civil administrative complaints 

seeking $2.8 million against thirty-seven 

facilities for failures to file Form Rs under 5 313 

of EPCRA. The facilities cited include a wide 

variety of industries, including paper 

manufacturers, motor vehicle manufacturers, 

makers of railroad equipment, makers of 

ammunition, and many others. Region V issued 

eleven administrative complaints as part of the 

initiative, with total proposed penalties of over 

$1 million. EPCRA s313 established the Toxics 

Release Inventory and requires certain U.S. 

facilities to report by each July 1 their releases 

and hansfers of almost 400 listed toxic chemicals. 

In addition, under the Pollution Prevention Act, 

those facilities must include in their reports 

certain toxic chemical source reduction and 

recycling activities. 

.. . 

(Hillsboro, Oregon): Fujitsu 

America is a manufacturer of computer equipment. 

The company was inspected for compliance with 

TRI requirements in September 1992. The 

inspection documented that the company had 

failed to file Reporting Form R for the chemical 

Freon 113 for five years from 1987 to 1991. The 

company was issued an Administrative 

Complaint with a proposed penalty of 577,375. 

The company was given a 25% reduction in 

penalty in consideration of its cooperative 

attitude and the rapid nature in which it came 

into compliance. A CACO was signed on August 2, 

.. 

3-59 
FY 1993 Enforcement Accotnplishments Repon 

1993, which obligated the company to pay a final 

assessed penalty of $58,031 

-: The Environmental 

Hearing Board affirmed Administrative Law 

Judge Harwood's decision to assess $74,812 in 

administrative penalties against Genicom 

Corporation in Waynesboro, VA for its failure to 

immediately report two releases of cyanide to the 

authorities designated pursuant to 5304 of EPCRA 

and 5103 of CERCLA. The Board determined that 

use of the EPCRA/CERCLA penalty policy was 

appropriate and that EPA properly applied that 

policy. 

The Board, expressly rejecting Genicom's appeal, 

ruled that the 5304 (a) EPCRA requirement does 

not require that actual exposure to harmful levels 

of a hazardous substance must be shown to 

establish an EPCRA reporting violation. "Under 

EPCRA 5304 (a), once a facility owner or operator 

has knowledge of a release of a reportable 

quantity of a hazardous substance from the 

facility, the obligation to notify is triggered 

without further consideration of risk." This 

overturns an Order on Motion in 

in which the ALJ found that §304 (a) of EPCRA 

requires some exposure to humans. 

The Board also confirmed that each release 

carries its own reporting obligation, and 5103 of 

CERCLA and 5304 of EPCRA relate to the failure 

to notify, not the failure to prevent a second 

occulrence. 

The Board never reached the issue of whether 

notification to the State Water Control Board, as 

a member of the Virginia Emergency Response 

Commission, could be imputed to satisfy the 5304 

EPCRA reporting. The Board concluded that the 

Region properly objected, in a Motion to Strike, 

pursuant to 40 C.F.R. 5 22.30 (c), that this issue 

had not previously been raised in the proceedings. 

Geneva Steel Company: On August 18, 1993, 

Geneva Steel Company of Orem, Utah and the 

EPA reached a consent agreement resolving all 

issues arising under an administrative complaint 

for violations of EPCRA. The complaint and 

consent agreement were filed simultaneously. The 

respondent agreed to a penalty of $82,600. The 

EPCRA violations dealt with the failure of 

Geneva Steel to file Form Rs for five $313 toxic 

chemicals, and the failure of Geneva Steel to 

adequately notify customers of the presence of 

toxic chemicals above de minimis levels in 

mixtures and trade name products supplied to the 

customers. 

-oods/Go-: On December 15, 

1992, EPA approved a consent agreement and 

consent order (CACO) entered into by EPA and 

Golden Foods/Golden Brands in settlement of 

three administrative complaints issued for 

violations of EPCRA 5311, 312, and 313. The 

initial complaint included violations of 5103 of 

CERCLA and 5304 of EPCRA for failure to report 

a release of sulfuric acid. The CACO provided for 

payment of a civil penalty of $50,000 in addition 

to several supplemental environmental projects 

(SEPs). 

The SEPs included the donation of $90,000 to the 

Local Emergency Planning Committee (LEPC) for 

a Hazmat truck and the expenditure of $120,000 

on a project to install of a clarifier at the 

respondent's facility. The purchase of the 

Hazmat truck was a result of the Region's 

coordination with the LEPC. The installation of 

the clarifier is intended to reduce loading to the 

Metropolitan Sewer District to which the 

respondents presently discharge. 

: On October 21, 

1992, a consent order resolved an administrative 

complaint against J.W. Harris Company, Inc. of 

Cincinnati, Ohio. The order requires the company 

to correct its past violations of EPCRA and 

maintain compliance, to pay a civil penalty 

$10,950, and to expend $180,000 to modify its 

industrial processes. EPA estimates that these 

modifications will reduce the company's total 

metal fume and particulate matter emissions for 

silver by 713 Ibs/yr, for copper by 1,592 Ibs/yr, for 

antimony by 55 Ibs/yr, for zinc (fume) by 5,847 

Ibs/yr, and for nickel by 15 Ibs/yr. 

The Agency's action in this matter had begun on 

December 4, 1991, with a complaint against J.W. 

Harris Company for its failure to file timely the 

required Toxic Chemical Release Inventory 

Reporting Form, for its use of copper and silver at 

its facility in calendar years 1987 and 1988, and 

for its use of antimony and lead at its facility in 

calendar year 1988, in violation of EPCRA S313. 

IrlXdHOn December 30,1992, Region 

V settled its EPCRA administrative action 

3-60 
I ..- %. 

FY 1YY3 Enforceinent Accomplishments Report 

against Inland Steel of East Chicago, Indiana. 

Pursuant to a CAFO, Inland must pay, after offset 

in consideration of its having spent 5165,000 on a 

supplemental environmental project, a 5100,000 

civil penalty and maintain compliance with the 

requirements of EPCRA. 

EPA's action in this matter had begun on 

December 16, 1988, when the Region filed a 

complaint alleging in 33 counts that Inland had 

violated EPCRA 5313 by failing to file Form Rs 

by July 1, 1988, for its releases of toxic materials 

during 1987. 

The supplemental environmental project Inland 

agreed to implement will reduce Inland's use of 

percloroethylene, a toxic chemical, by about 

200,000 pounds per year. The SEI' involves 

modifying a parts cleaning process and replacing 

percloroethylene with a non-toxic cleaning agent. 

0 On November 25, 1992, 

EPA issued a CACO concluding an administrative 

action against Kemira, Inc. (Kemira), of 

Savannah, Georgia, to settle Title Ill CERCLA 

and EPCRA violations pending against the 

company. An administrative complaint was filed 

against the company, a manufacturer of titanium 

oxide for white paint production, for violations of 

55103 and 109 of CERCLA and 55304,311,312, and 

325 of EPCRA. The complaint charged Kemira for 

failure to notify and or provide a written followup notice following a June 25, 1989, release of 

sulfur dioxide that exceeded the reportable 

quantity for sulfur dioxide; for failure to notify 

the National Response Commission following 

nine separate releases of sulfuric acid over the 

1,000 pound reportable quantity limit; and for 

failure to submit material safety data sheets as 

well as Georgia Emergency and Hazardous 

Chemical Inventory Forms for propane and 

Number 2 fuel. 

Kemira agreed to a 525,000 penalty and to 

perform two supplemental environmental projects. 

The major SEI' is a pollution prevention project 

that should result in an average net reduction of 

approximately 135 pounds of sulfur dioxide per 

hour from Kemira's Savannah facility. This 

involves the installation of a 51.4 million sulfur 

dioxide scrubber system in its Savannah facility's 

calciner system. In addition, Kemira agreed to 

make a 5100,000 cash contribution to the Georgia 

State Emergency Response Commission for the 

purpose of establishing a Chatham County Local 

Emergency Planning Committee. 

v & Com: On October 28, 1992, 

EPA signed a consent agreement and final order in 

settlement of the an administrative action 

against Eli Lilly & Company's Clinton, Indiana, 

facility. The company has agreed to pay a 

penalty of $99,025 for violations of EPCRA 

5304(a) and (c) and CERCLA 5103(a). 

Region V had filed its complaint on June 9, 1992 

alleging that Lilly's July 10, 1991 notifications of 

its July 5, 1991 release of an estimated 21516 

pounds of dichloromethane was not "immediate" 

under either CERCLA 51@3(a), which contains a 

knowledge requirement, or EPCRA 5304, which 

does not. The complaint further alleged that 

Lilly's EPCRA §304(c) follow-up notifications, 

submitted between one week and three months 

after the release, were not "as soon as 

practicable." It is extremely important in EPCRA 

enforcement to litigate the issue of immediate 

notification, as the purpose of law is to provide 

for immediate response, if necessary. 

In the Matter of Mobil Oil Cop: On August 13, 

1993, Region I1 executed consent orders resolving 

nearly all counts contained in three 

administrative complaints issued against Mobil 

for violations of EPCRA 5304 and CERCLA 5103 

at its Paulsboro, N.J. facility. The orders provide 

for payment of penalties totaling $35,000. One 

remaining count could not be settled. An 

adjudicatory hearing was held, also in August, 

1993, on both liability and penalty issues with 

respect to that count; a decision is pending. 

The settlements arose out of Region II's successful 

Motion for Partial Accelerated Decision in the 

three cases, which EPA Chief Administrative 

Law Judge Frazier, granted without qualification 

on September 30, 1992. That motion addressed 

two legal questions: (1) what is a "federally 

permitted release," and (2) what is "immediate" 

notification to the National Response Center 

("NRC") pursuant to §103(a) of CERCLA. 

What constitutes a "federally permitted" air 

release was an issue of first impression. Mobil 

argued that so long as a facility has an air 

emissions permit, the EPCRA and CERCLA 

reporting requirements do not apply to it, even 

where the air release exceeds the quantity 

3-61 
FY IYY3 Enforcernent Accomplishments Repon 

authorized by a permit. This argument was based 

on the use of different statutory language to 

define federally permitted air releases, as 

opposed to federally permitted releases into 

other media. While the statute exempts air 

releases that are "stibject to" a permit or control 

regulation, the statute exempts releases regulated 

by other federal regulatory programs, such as the 

Clean Water Act and the Solid Waste Disposal 

Act, only where the subject releases are "in 

coinpliance with permits or control regulations. 

EPA attempted to clarify this apparent 

ambiguity by issuing a 1988 Notice of Proposed 

Rulemaking ("NPRM") which explicitly 

addressed this issue. The NPRM however, does 

not have the force of law, and Mobil accordingly 

challenged EPA's interpretation. Judge Frazier 

dedicated 31 pages of his decision to the 

federally permitted release issue and found EPA's 

interpretation to be eminently reasonable and 

consistent with the purposes of both CERCLA and 

EPCRA. He stated "I find the validity and 

persuasiveness of EPA's reasoning to be 

unassailable". 

On the issue of whether Mobil had immediately 

notified the NRC, Judge Frazier found that Mobil 

delayed approximately 26 hours where the 

statute unambiguously requires immediate 

notification. On this count Judge Frazier 

concluded that Mobil "did not even come close to 

meeting [the immediacy] requirement under the 

circumstances presented in this case". 

auers. Inc. (PW Aconsent 

agreement and consent order (CACO) was signed 

July 15, 1993, concerning Philadelphia 

Newspapers, Inc. (PNI), resolving claims that 

the company failed to report the presence of 

hazardous substances at its production facilities 

as required by 5312 of EPCRA. The CACO 

imposes a fine of $67,500 on PNI for neglecting to 

prepare or submit emergency and hazardous 

chemical inventory forms to state and local 

environmental and public safety authorities for 

1989,1990 and 1991. PNI self-confessed to EPA. 

PNI, publisher of The Ph ilahia Daily NPWL maintains 

supplies of gasoline, diesel fuel and oil-based ink 

at its main plant in Philadelphia. These 

materials are highly flammable and contain 

hazardous chemicals such as the carcinogens; 

toluene, xylene, and hexane. EPCRA requires the 

owner or operator of a facility where these 

materials are stored to submit an inventory form 

to the state emergency response commission, the 

local emergency planning committee, and the 

local fire department for emergency planning and 

preparedness purposes. PNI has now submitted 

emergency and hazardous chemical inventory 

forms for 1989, 1990, and 1991 to the proper 

authorities. 

(Conway, 

Ark.): In an Interlocutory Order issued on March 

18, 1993, Chief Administrative Law Judge Frazier 

ruled on a controversial issue in the EPCRA 5313 

program. Section 313 requires the reporting of the 

releases of certain chemicals for the Toxics 

Release Inventory. The issue was whether a 

facility has violated the 5313 requirements and 

should be penalized when the facility's best 

information, at the time the Form R was required 

to be submitted to EPA, indicated that it was Mt 

required to report for the chemical, although the 

facility later received clear information showing 

that it should have reported. San Antonio Shoe 

admitted that it did know that acetone was in 

the product, but claimed that it did not know the 

percentage of acetone. EPA argued that because of 

this knowledge, San Antonio Shoe knew, or 

should have known, that the acetone in the 

product was "otherwise used", and thus had a 

duty to make an investigation about the 

percentage of acetone in the product. San Antonio 

Shoe claimed to have received a Material Safety 

Data Sheet (MSDS) showing the acetone content 

of the product being used only after the 1988 Form 

R was required to be filed but before the 1989 Form 

R was due. The judge ruled that after receipt of 

the MSDS, San Antonio Shoe was liable for 

penalties. The judge found, however, that San 

Antonio Shoe was not liable for penalties with 

respect to similar failures to report for 1987 and 

1988 for the same substance, and he dismissed the 

complaint with respect to these allegations. In 

dismissing those violations, Judge Frazier noted 

that San Antonio Shoe did not have information 

indicating that it was required to report for 

acetone for 1987 and 1988 until "long after" the 

Forms R were due. He held, "there is no 

requirement in the EPA regulations that 

facilities, which acquire the necessary 

information described in 5372.30(b)(3)(iii) after 

the due date of a Form R, retroactively 

recalculate its releases to include the additional 

amounts of a toxic chemical that may have been 

3-62 
FY 1993 EnJorcenienl Accomplishments Report 

contained in a trade name product." In the 

complaint, EPA had alleged that San Antonio 

Shoe knew or should have known the 

concentration of the acetone being used. 

Sara Lee Colporation: On September 29, 1993, 

EPA Headquarters issued a civil administrative 

complaint against the Sara Lee Corporation for 

self-disclosed violations of EPCRA 5 304, EPCRA 

5 313, and CERCLA 5 103. On the same day, Sara 

Lee and EPA signed a consent agreement which, if 

approved by the Environmental Appeals Board, 

will settle the case for a penalty of $118,83Oand 

the conduct of a corporate-wide compliance audit. 

The self-disclosed violations occurred at three 

different Sara Lee food facilities: one in Forest, 

Mississippi, one in Fort Worth, Texas, and one in 

New London, Wisconsin. The violations included 

failure by the Mississippi facility to report an 

emergency release of ammonia to the National 

Response Center and to file written follow-up 

notification of that release to state and local 

authorities; failure by the same facility to submit 

Toxic Release Inventory forms (Form Rs) for 

ammonia; and failure by the Wisconsin and Texas 

facilities to submit Form Rs for ammonia, sulfuric 

acid, and hydrochloric acid. The complaint 

contained fifteen counts and sought a penalty of 

$139,800; that amount included the maximum 

allowable reductions for voluntary disclosure 

under the EPCRA and CERCLA penalty policies. 

In the agreement, Sara Lee has agreed to a 

supplemental environmental project in which it 

will audit over 140 of its manufacturing and food 

service distribution facilities for compliance with 

all provisions of EPCRA and 5103 of CERCLA, 

and pay stipulated penalties for violations 

detected. The stipulated penalties range from 

$8,000 for violations of EPCRA 55311 and 312 to 

$20,000 for violations of EPCRA 5304 and 

CERCLA 5103. The final adjusted $118,830 

penalty includes a fifteen-percent reduction in 

recognition of Sara Lee's agreement to conduct the 

compliance audit. This case is the first issued by 

Headquarters under EPCRA 5313 or CERCLAS 

103. The Agency hopes to use the settlement as a 

model to encourage voluntary disclosures of 

violations by other corporations. 

Federal Insecticide, Fungicide, & 

Rodenticide Act (FIFRA) Enforcement 

States have primary enforcement 

authority under the Federal Insecticide, 

Fungicide, and Rodenticide Act (FIFRA). EPA 

issues national guidance establishing national 

enforcement priorities and activities which are 

implemented by the states and overseen by EPA 

regional offices. 

The program emphasizes protection of 

the public from pesticides. Priority attention is 

given to ensuring compliance with the new 

farmworker protection regulations (e.g., 

specifications on times that fields must not be 

entered without protective equipment and 

clothing). These requirements require relabeling 

for more than 8,000 commercial products. 

Enforcement of relabeling requirements and, 

ultimately, use restrictions is being phased in 

over a two-year period beginning in FY 1993. 

Training seminars for states and technical 

assistance for public and private groups was 

included in this effort. 

Anti-microbials (chemicals that kill 

viruses or bacteria, including those used in 

hospttals) must be registered with EPA under 

FIFRA EPA has initiated a program to test all 

registered sterilant and disinfectant products 

through EPA and Food and Drug Administration 

(FDA) laboratories. Enforcement efforts against 

violators of registration requirements continued 

throughout FY 1993. The program also continued 

to emphasize enforcement of major cancellation 

and suspension violations; changes in a pesticide 

product's classification or labeling to restrict its 

sale, distribution, and/or use; and FIFRA 

§3(c)(Z)(B) suspensions. 

As part of the FY 1993 national Data 

Quality Initiative, the program targeted 

inspections, tracked compliance with data 

submission requirements, and continued to 

emphasize inspections of registrants and 

contract laboratories under the Good Laboratory 

Practices (GLP) enforcement program to 

identify noncompliance with established lab 

practices. Pesticide testing studies submitted in 

support of product registrations also are 

ataluated as are adverse effects data submitted 

under FIFRA 5 6(a)(2). 

Anti-microbial Initiative 

In FY 1993, the Agency continued the 

aggressive implementation of the anti-microbial 

3-63 
FY 1993 Enforcement Accomplishments Repon 

enforcement strategy through issuance of civil 

,,administrative complnints against major 

prodiicers of ineffective sterilant products, 

including Wcidtn Infernatipnal (proposed 

administrative civil penalty 01 $450,000) and 

fLealtbcnre Products of C& (proposed 

administrative civil penalty of $200,000). 

Under the authority of FIFRA, €PA is working to 

ensure that registered disinfectnnt products are 

snfe and effective. In the past four years, the 

agency hns done much to evaluate the efficacy of 

hospitnl nnd medical office sterilant products to 

ensure that they kill life threatening bacteria 

and .viruses, including tir6erctrlosis, Hepatitis B 

and HI!/ FIFRA requires thnt, such products 

thnt kill microorgnnisms be registered as 

"pesticides" nnd thnt dntn be submitted to 

demonstrnfe effectiveness. 

in 1991, the Agency filed the first of a 

series of cases ngninst ineffective hospital and 

medical office-gmde disinfectnnts including 

nterm Sporocidin is most 

,notnOle , in that it fulfilled an Agency 

commitment mnde to Congress to investigate the 

disinfectant product industry. The 

case is further noteworthy in that it was 

effectively coordinnted with the Department of 

Justice, Food b Drug Administrntion (products 

fniled to sterilize medicnl devices, such as 

kidney dialysis eqrripment) and Federal Trade 

Commission, (fnlse nrid misleading advertising 

claims) which, nlso took enforcement or seizure 

actions ngainst the compnny and its products. A 

settlement wns renched with Sporocidin which 

included payment of nn $86,000 civil penalty and 

cancellation of the product's registration. 

.. 

Bulk Repackaging Initiative 

In its ongoing efforts to prevent the 

distri6;rtion and snle of contnminnted pesticides, 

Region VI1 continued its regionnl initiative, 

commenced during FY 1992, for enforcement of the 

FIFRA bulk rqachging reqtrirements. During FY 

1993, the Region filed 12 ndditional cases which 

name both the repncknger and the original 

pesticide registrnnt as Respondents jointly liable 

for the contnrninntion of repncknged pesticides. 

Two of the cnses have been settled 

through payment in firll of the penalty proposed 

in the complnints by the repackagers. In 

addition, partinl consent ngreements have been 

reached in five cases in which the repackagers 

have paid total cash penalties of $6,900 and 

have agreed to the performance of SEPs valued 

at $343,990, in order to settle total proposed 

penalties of 525,000. The SEPs include conversion 

to equipment dedicated to sole use for bulk 

repackaging activities, thereby eliminating the 

possibility of product contamination, and the 

installation of enhanced diking, storage, and 

loading facilities, which minimizes the 

likelihood of spills of the pesticides into the 

environment. 

Data Quality Initiative 

On April 16, 1993, EPA issued seven civil 

administrative complaints against pesticide 

registrants, seeking a total of $223,000 in 

penalties for violations of the FIFRA Good 

Laboratory Practices Standards (GLPs), $8 of 

FIFRA, and $ 6(a)(2) of FIFRA. Respondents 

include Clarke Mosquito Control Products, Inc., 

Riverdale Chemical Co., Rhone-Poulenc Ag. Co., 

Wexford Labs, Inc., Roussel Uclaf Corp., 

Boehringer Ingelheim, and Dupont. EPA nlso 

issued warning letters citing FIFRA GLP 

violations to other registrants and to 

laboratories which conducted studies supporting 

pesticide registrations. Recipients include 

Cosmopolitan Safety Evaluation, Innovative 

Scientific Services, CBC Biotech Laboratory, 

P.A.C.E. International, Abbott Labs, Plant 

Sciences, Ciba-Geigy, Nichimen America and 

Stillmeadow Inc. Bio Test Laboratory. 

FIFRA g14 authorizes the assessment of 

a civil penalty of up to 55,000 per offense against 

the registrant of a pesticide. Other persons, such 

as pesticide testing facilities, must receive a 

written warning prior to being assessed a civil 

penalty. FIFRA also allows for a Notice of 

Warning to sponsorslregistrants of studies for 

minor violations, if such warning is determined 

to be adequate to serve the public interest. 

Failure to comply with EPA's GLPs and the 

Pesticide Adverse Effects Reporting 

Requirements hinders EPA's ability to 

adequately assess the risks posed by pesticides 

and to ensure that pesticides do not pose 

unreasonable risks to public health or the 

environment. 

Biotrol International. Inc.: EPA and Biotrol 

International settled two existing cases involving 

3-64 
FY I993 Enforcement Accomplishmenrs Repon 

this pesticide producing establishment (1990 and 

1992 civil complaints) for a $21,000 penalty. A 

third civil action was issued on September 30, 

1993, against Biotrol and Stepan Company 

(subregistrant and registrant) seeking $15,000 and 

$5,000 respectively for making unsupported 

claims for the disinfectant Vacusal. 

. Boehringer lngelheim agreed to settle a case 

charging the pesticide regishant with four counts 

of falsifying information submitted to EPA by 

representing that a study complied with the 

FIFRA Good Laboratory Practice Standards 

(GLPS), when in fact the study contained at least 

four significant deviations from the GLPS. 

Boehringer Ingelheim moved to dismiss on the 

grounds that because it only submitted a single 

statement affirming compliance with the GLPS, 

there could only be one unlawful act and only a 

single penalty assessed. EPA argued vigorously 

that Boehringer Ingelheim made four implicit 

representations of compliance with particular 

requirements of the GLPS, which can be proven 

false, and that each of the four violations 

independently affects the quality of data relied 

upon by EPA. Boehringer Ingelheim agreed to 

settle the case for 80% of the proposed penalty 

rather than wait for a decision by an 

Administrative Law Judge. 

Circle of Po ison and wural Pest-; 

Certain pesticides exported from the U. S. may 

return to consumers as toxic residues in imported 

food products. Many of the fruits and vegetables 

consumed annually are produced outside the U.S. 

borders. EPA, with FDA assistance, imposes 

permissible tolerances for pesticide residues on 

food products. FDA is responsible for analyzing 

imported food while EPA is responsible for 

ensuring that any exported pesticides meet 

certain export requirements. In the past, beef, 

winter fruits, and even coffee have been found to 

be contaminated with toxic pesticides. 

Existing pesticide export requirements include 

bilingual labeling instructions (to aid in 

providing appropriate foreign worker protection 

and proper application; methods and allowable 

crops) and foreign purchaser acknowledgements, 

given to EPA and the nation of destination and 

use. This helps to ensure that illegal or unwanted 

pesticides are not illegally exported or 

improperly used. In the past two years, EPA 

.. 

enforcement actions against exporters have 

collected over $700,000 in fines. (see Shield-Brite 

case below) 

On November 20,1992, EPA issued 

Notices of Suspension against Craven 

Laboratories, Inc., Don Craven, Edward Peterson, 

Dale Harris, and Donald Hamerly, based on their 

criminal indictments for violations of the FIFRA 

Good Laboratory Practice Standards. The 

laboratory and each individual are suspended 

from all direct federal procurement and from 

participation in federal assistance, loan and 

benefit programs and activities. Suspension is 

temporary pending completion of investigation or 

ensuing debarment proceedings. 

tdeN-I A 

CAFO was signed on April 27, 1993, assessing a 

penalty of $97,200 for sale/distribution of an 

adulterated pesticide. The settlement represents 

a partial resolution to a civil complaint issued in 

1991 against E.I. DuPont de Nemours and 

Company, Inc., et al, for sale/distribution of a 

herbicide-contaminated fungicide, DuPont's 

p: 

Benlate 50DF. 

on 

October 16, 1992, EPA filed a consent agreement 

and consent order resolving the enforcement action 

brought against Environmental Chemical 

Corporation of Canton, Ohio. The action had been 

initiated on September 30, 1991, pursuant to 

FIFRA §14(a). when EPA filed a complaint 

alleging the company's failure to register an 

establishment, failure to report, and misbranding. 

Environmental Chemical is obligated to maintain 

future compliance with FIFRA and to pay a civil 

penalty of $16,000. 

cal Co.. Inc; (31 

December 16,1992, EPA settled one of its largest 

FIFRA misbranding cases. The FPPF Chemical 

Co. Inc. of Buffalo, New York, agreed to pay a 

civil penalty of $14,400 for violating FIFRA. 

After receiving evidence regarding the sale in 

North Carolina of a diesel fuel product 

manufactured by FPPF, the label of which made 

pesticidal claims, EPA obtained sales records 

from FPPF indicating additional sales of the 

product. EPA issued a complaint charging FPPF, a 

manufacturer fuel propellants, with four counts of 

distributing and selling an unregistered pesticide 

in violation of FIFRA 5 12(a)(l)(A). 

3-65 
FY I993 Enforceinmt Accomplishments Repon 

Y.S. v. Orkin.: EPA assisted DOJ to bring a 

probation revocation action against Orkin.,lnc. for 

violating the terms of a court ordered probation. 

The probation was part of the sentencing in a 1988 

criminal case involving pesticide misuse in which 

two people died when a Galax, Virginia home 

was improperly fumigated by Orkin. A 

probation-revocation hearing was held on June 1, 

1993, in the U.S. District Court in Roanoke, 

resulting in the court finding Orkin had violated 

the terms of its probation and reinstating $35,000 

of the original suspended penalty. Orkin had 

already paid $350,000 in penalties in the case 

prior to this probation-revocation action. This 

was the first time a company, not a person, had 

been placed on probation for a FIFRA violation 

and also the first time a company was being 

accused of violating the terms of its probation. 

In re Rek- Corpcmlim, 

(Albuquerque, N.M.): After an administrative 

hearing on October 14-15, 1992, Administrative 

Law Judge Frazier issued an Initial Decision 

dated May 10, 1993, finding Rek-Chem liable on 

all four counts and assessed a civil penalty of 

$12,996. EPA had issued a FIFRA administrative 

complaint on March 22, 1989, alleging that RekChem Manufacturing Corporation violated 512 of 

FIFRA on four counts. These counts were: 

distribution of an unregistered pesticide; 

distribution of a misbranded pesticide (failure to 

include an EPA Establishment Number on the 

label); failure to submit required reports of 

production or distribution data required under 

§7(c) of FIFRA; and distribution of a misbranded 

pesticide. On August 2, 1993, the Environmental 

Appeals Board dismissed Rek-Chem's appeal of 

the decision since the appeal was filed late. 

Sporicidin International; This case was 

commenced December 13,1991 with the filing of a 

civil administrative complaint and a Stop Sale 

Use and Removal Order against a sterilant 

product with FDA laboratory analysis had 

shown to be ineffective. This was the first case 

filed in the sterilant initiative. The litigation of 

the case was concluded with the signing of a 

consent agreement in June 1993 and voluntarily 

cancellation of "Sporicidin Cold Sterilizing 

Solution." An important ruling came out of the 

litigation; the judicial opinion was that the fact 

that EPA and FDA had followed an abbreviated 

set of laboratory procedures other than the the 

full GLPs did not mean "as a matter of law the 

test results are unreliable and may not be used to 

support the the misbranding alleged in the 

complaint." This was important to EPA which 

had saved resources by eliminating many of the 

non-scientific and record keeping requirements of 

the GLF's in order to expedite the testing process. 

It was also important for all of the ensuing cases 

in the initiative because they were also based on 

WL 

the abbreviated test methods. 

This second civil 

administrative case was filed in October 1992 as a 

result of a GLP laboratory audit which showed 

that the respondent had failed to respect the 

Stop Sale Use and Removal Order issued against 

its product prohibiting the shipment of its 

product. The audit uncovered not only the fact of 

six violative shipments but also produced further 

evidence of the product under the SSUROs 

failure to act effectively as a sterilant. The 

opinion in this case reiterated that FIFRA is a 

strict liability statute and that any shipment of a 

product in violation of the terms of the order was 

a violation of FIFRA per=. 

.. . 

Multi-Media Enforcement 

AVCO Corporation. Textron Lvcoming: On August 

19, 1993, EPA entered into the settlement of 

administrative actions filed under TSCA and the 

RCRA against AVCO Corporation, Textron 

Lycoming of Stratford; CT. The proposed 

agreement requires a penalty payment of $151,625 

($84,500 for the TSCA violations and $67,125 for 

the RCRA violations). The agreement also 

requires respondent to perform a SEP valued at at 

least $434,800. The project consists of the facility 

replacing its current method of parts cleaning 

using l,l,l-trichloroethane with an alternative 

method using an aqueous based cleaner or 

ultrasonic cleaning. The effects of this SEI' will 

be the reduction of the trichloroethane waste 

stream, lessening the potential for spills and 

ground contaminations and reducing the levels of 

hazardous waste generated at the facility. 

US. v. Bethlehem Steel Comoration (N.D. 111.1: 

On August 31, 1993, the court ordered the 

Bethlehem Steel Corporation to pay a $6 million 

penalty for violations of RCRA and SDWA. The 

court found that a $4.2 million penalty was 

appropriate for Bethlehem's RCRA and SDWA 

violations of the corrective action requirements of 

3-66 
- 

FY 1YY3 EnIorceiestcnt Accorrtplishments Report 

its UIC permits, and a $1.8 million penalty was 

appropriate for Bethlehem's various violations 

of RCRA requirements related.to its landfill. This 

is the highest RCRA/SDWA penalty assessed by 

any court. 

The case involved Bethlehem's past and 

continuing noncompliance with the corrective 

action program required under the UIC permits 

which EPA issued to defendant, and also based on 

Bethlehem 's past and continuing failure to 

comply with the applicable RCRA interim status 

performance standards for a landfill and two 

polishing lagoons containing the listed hazardous 

waste F006. 

On March 19, 1993, the U.S.' Motions for Partial 

Summary Judgment was granted, and the court 

ordered the injunctive relief requested by the 

government. After the U.S.' request for injunctive 

relief was granted, the court held a civil penalty 

hearing, which was concluded on July 21,1993. 

Inthe w: Matt er of B urlineton NOn April 1,1993, EPA Region VI1 issued 

a unilateral administrative order, under the 

combined authorities of 57003 of RCRA, 5106 of 

CERCLA, and 5311 of the CWA, as amended by 

the Oil Pollution Act of 1990, to Burlington 

Northern Railroad Company, Inc., concerning its 

Hobson Yard facility located in Lincoln, 

Nebraska. The order required Burlington, among 

other things, to immediately cease the discharge 

of oil and hazardous constituents into an inland 

saline wetland located in the Hobson Yard. 

Burlington's Hobson Yard stretches over four miles 

on the west side of Lincoln where, among other 

activities, the fueling and service of locomotive 

engines takes place. A comprehensive "french 

drain" storm sewer system lies beneath much of 

the Hobson Yard, through which storm water runoff is drained into the wetland area and 

ultimately into a creek bordering the facility. 

The wetland is heavily contaminated with oil 

and chlorinated solvents resulting from the 

release of diesel fuel and various chlorinated 

solvents from the facility into the facility's storm 

sewer system. 

As a result of the issuance of the order, BNRR has 

nearly completed a storm water processing 

facility designed to capture and treat storm water 

run-off before its discharge into the wetland area. 

The order also requires BNRR to conduct a 

removal of the contamination present in the 

wetland area. BNRR has developed a work plan, 

currently under review by EPA, proposing, among 

other things, bioremediation of soils in the 

wetland area. 

In the Matter of Conaera, Inc.: Consent agreements 

and final orders were entered during M 1993 

settling six multi-media complaints which had 

been filed against Conagra, Inc. and its 

subsidiaries for violations of the TSCA PCB 

regulations, TRI reporting requirements under 

EPCRA 5313, and the accidental release 

notification requirements under CERCLA § 103/ 

EPCRA 5 304 at six Conagra facilities in Region 

Vll. The complaints had been filed in May, 1992, 

and sought total penalties of $196,300. In 

settlement of these matters, Conagra and its 

subsidiaries agreed to the performance of 

supplemental environmental projects at a cost in 

excess of $900,000, and involving the six facilities 

named in the complaints as well as six other 

Conagra- owned facilities located in Region Vll. 

In addition, respondents are required to pay cash 

penalties totaling $70,000. with penalties of 

$126,300 deferred pending successful completion of 

the SEPs. 

The SEPs include: 1) installation of ammonia leak 

detection systems at five facilities, which 

systems are designed to detect ammonia leaks in 

an expedient manner, thereby allowing the 

facility to isolate the leak and turn off the 

ammonia flow to that area more quickly than in 

the past; 2) reduction of ammonia usage as 

reportable pursuant to EPCRA 913 at a Conagra 

facility located in Lincoln, Nebraska, to below 

10,OOO pounds per year (usage of ammonia during 

M 1991 for the facility was in excess of 51,000 

pounds); and 3) installation of computerized 

auditing systems to track all EPCRA chemicals 

used at seven facilities. 

U.S. v. Citv of Gam (N.D. 1nd.l: On October 23, 

1992, the court issued an order entering the Second 

Modified Consent Decree in this case, which 

involves both CWA and TSCA claims. Still 

pending before the court is an Agreed 

Modification of Certain Dates in the Second 

Modified Consent Decree, which was filed as a 

part of the United States' Motion to Enter. The 

government will advise the court by letter that 

this Agreed Modification remains unresolved. 

3-67 
FY 1993 Enjorceinent Accomplishments Repon 

The Second Modified Consent Decree is the third 

decree entered into by the City of Gary and the 

Gary Sanitary District since 1978. It requires Gary 

to undertake and complete capital and 

operational improvements at its wastewater 

treatment plant, adequately fund operations and 

maintenance, and pay a civil penalty of 

$1,250,000. In addition, Gary has agreed to 

perform a supplemental environmental project, 

valued at 51,700,000, which consists of a study 

and the development and implementation of a 

remedial plan for sediments located in the Grand 

Calumet River, covering an area of submerged 

lands, from Gary's main outfall to Cline Avenue. 

U.S. v. Georvia-Paafic CorpoEatipn (D. Me.): (3-1 

September 9, 1993, EPA, the State of Maine and 

Georgia-Pacific Corporation lodged a consent 

decree resolving a multi-media enforcement 

action against Georgia-Pacific Corporation's pulp 

and paper mill in Woodland, Maine. The case 

was originally filed as part of EPAs pulp and 

paper mill enforcement initiative in September 

1992. 

The consent decree settles an enforcement action 

against Georgia-Pacific for violations of the CAA 

and CWA at the Woodland, Maine facility. In 

1990 and 1991, Georgia-Pacific intermittently 

violated air emission and water discharge 

standards as well as frequently failed to comply 

with its air license's monitoring requirements. 

The enforcement action arose out of a joint EPAstate inspection and review of emission and 

discharge reports submitted by the company. The 

consent decree requires Georgia-Pacific to pay a 

civil penalty of 5390,OW for these violations, to 

be split between the State of Maine and the 

federal government. The action reflects Region I's 

commitment to coordinate enforcement between 

different media and between state and federal 

governments. Maine was an active participant in 

the development of the case and in the settlement 

negotiations with the company. 

US v. Inland Ste el (N.D. InB. ): On June 10,1993, 

on behalf of EPA, the court entered a consent 

decree against Inland Steel Company worth 

approximately 554.5 million. The decree, which 

assessed a $29.5 million penalty against Inland, 

requires Inland to pay a cash civil fine of $3.5 

million, and perform $26 million on 

environmental projects in Northwest Indiana. 

This large penalty is in addition to the estimated 

.. 

'$25 million Inland will spend to undertake RCRA 

corrective action in an innovative phased 

approach, address' NPDES permit violations 

through treatment upgrades and source 

investigations, and eliminate' air discharge 

'violations through, operational and design 

changes at their coke batteries and no. 405 boiler. 

The injunctive relief package was developed and 

is being overseen by a cross-program team to insure 

that the complex environmental problems at the 

facility are addressed in an efficient manner. 

In August 1990, EPA re-referred three previously 

referred cases under the CWA, RCRA, SDWA 

(UC), and CAA to DOJ. The combined re-referral 

sought the original injunctive relief and 

penalties, and sought to include the previously 

un-obtained sediment remediation as part of the 

injunctive relief in the consolidated complaint. In 

October 1990, DOJ filed this inaugural multimedia case. 

The SEPs obtained will result in measurable 

environmental cleanup in NW Indiana and 

demonstrate EPA bias for action. Inland will 

spend $19 million to clean up contaminated 

sediments adjacent to its property, and to study 

and sample sediments. in the Canal, Grand 

Calumet River and Roxanna Marsh, a wetland 

area in NW Indiana. As much as 750,000 cubic 

yards of sediments will be cleaned up in this 

environmental restoration project. Inland also 

must spend $7 million on pollution prevention and 

waste reduction projects at its facility. Through 

these projects, EPAs pollution prevention goals 

and the reduction of TRI emissions in the Region 

will be emphasized. Overall, the 'holistic 

approach' to the negotiations allowed the case 

team considerable flexibility in designing the 

injunctive relief and considering SEPs. Through 

the decree, the Region obtained a nationally 

significant resolution of the Agency's first multimedia complaint, thereby making an outstanding 

contribution to the Agency's Great Lakes Water 

Quality 

p: 

Initiative.. ' ' , 

The 

Knapheide Mfg. Co. manufactures truck bodies at 

several locations in the Midwest. One facility is 

located in West Quincy, Missouri. The facility 

generates paint waste. ' The RCRA 3008(a) 

complaint, issued as part of the RCRA 1992 

Illegal Operators Initiative, alleged the facility 

failed to conduct a hazardous waste 

3-68 
~ ~~~ ~ 

.I 

FY I993 Enforceinen? Acconiplishmenls Repon 

determination, illegally operated a hazardous 

waste treatment and storage facility without 

obtaining interim status or a RCRA permit, failed 

to label containers as hazardous waste, retain 

copies of land disposal notifications, maintain 

adequate aisle space in storage areas, maintain 

an updated contingency plan, maintain training 

documentation, and properly manifest hazardous 

waste shipments. 

EPA reached a multi-media settlement with the 

facility that included additional EPCRA 

notification violations, for a penalty totaling 

$428,533. The settlement includes SEPs to 

partially offset the penalty. The initial SEP is an 

environmental compliance audit, which in part 

will identify and propose additional SEPs as 

binding commitments under a process defined in 

the settlement. The facility was extensively 

flooded during the 1993 Midwest flooding, and 

work has been delayed. It was featured on 

national news. EPA suggested the enforcement 

schedule extensions to reflect the disruption 

caused by the flood. However, the environmental 

audit will now be expanded to study whether 

contaminants had been transported to or spread at 

the facility as a result of the flood. 

U.S. v. LTV S tee1 (S.D. New Yorkl : On April 15, 

1993, the bankruptcy court approved a settlement 

agreement and stipulated order, resolving 

environmental claims of the U.S. for Superfund 

liability as well as civil penalties pursuant to 

RCRA. CWA, CAA. and TSCA. The agreement 

also provides a mechanism by which the US. 

may make claims against the reorganized LTV 

debtors in the future. Pursuant to the order, EPA 

will receive cash of $1.2 million plus an allowed 

claim of $28.2 million for Superfund claims at 16 

sites in Regions IV, V, VI, and VII, and an allowed 

claim of approximately $2.5 million for prepetition penalty claims under RCRA, CWA, CAA, 

and TSCA for facilities in Regions III and V. 

In July 1986, the 66 related LTV debtors filed a 

voluntary petition in bankruptcy under Chapter 

11 of the Bankruptcy Code in the U.S. Bankruptcy 

Court for the Southern District of New York. The 

U.S. filed a multi-site, multi-region proof of 

claim in November 1987. The U.S., the debtors, 

and certain other interested parties appealed the 

court's opinion of March 1990. In March 1990, the 

court ruled that CERCLA claims arise when there 

has been a release or threaten release of 

hazardous substances, whether or not known to 

either EPA or the debtor. In September 1991, the 

U.S. Court of Appeals for the Second Circuit 

affirmed the district court's decision. 

Negotiations conducted since that appellate 

decision have resulted in the settlement 

agreement and stipulated order approved by the 

bankruptcy court. 

Y.S. v. MTD Products. Inc. and Colurnlzh 

Manufachlrine(D. Mass.): The 

court entered into a consent decree on August 11, 

1993 with defendants MTD Products, Inc. and 

Columbia Manufacturing Company, Inc. for 

violations of RCRA and the CWA. MTD and 

Columbia are the former and present owners and 

operators, respectively, of a bicycle and furniture 

manufacturing facility in Westfield, MA. The 

initial action was filed on February 22, 1991, and 

was amended on November 8,1991. 

The decree provides that defendants pay a civil 

penalty of $100,000 to the U. S. ($90,000 for 

RCRA and $10,000 for CWA). In addition, the 

decree requires the defendants to complete any 

RCRA corrective action determined to be 

necessary at the site and to assess the adequacy of 

the plant's CWA treatment facilities. 

Columbia Manufacturing Company, which owns 

the real property at the site filed a Chapter 11 

bankruptcy petition. Without this consent decree, 

therefore, the site would likely lay unexamined 

for years. Entry of this decree is extremely 

beneficial because it will result in completion of 

an RCRA Facility Investigation and corrective 

action. 

Y.S. v. Murphy Oil USA. Inc. (E.D. LB1: 

Separate air and water enforcement cases were 

combined in one consent decree. On December 16, 

1993, one consent decree was entered to settle two 

enforcement cases under different environmental 

statutes with a civil penalty of $235,000. Under 

the CWA, Murphy Oil USA, Inc., at its Meraux, 

Louisiana, refinery, had discharged water 

pollution in excess of the effluent limitations in 

its NPDES permit. Under the CAA, the same 

facility had constructed two volatile organic 

compound storage tanks subject to New Source 

Performance Standards and had failed to provide 

the required notification to EPA. The CWA 

penalty was $210,000, the CAA penalty was 

$25,000. 

3-69 
FY I993 Enforcernent Accomplishmenfs Repon 

Y.S. v. Shenvin-Wllllams. Cp, (N.D. Ill.): 01 

July 16, 1993, the US. filed a civil complaint 

against Sherwin-Williams for violations of 

RCRA, the CAA, the CWA, and the Emergency 

Planning and Community Right-to-Know Act 

(EPCRA). In addition to demanding substantial 

penalties, the government is seeking to ensure 

that Sherwin-Williams attains and maintains 

compliance with all environmental laws. Of 

specific concern is the possibility that solvents 

and heavy metals from the facility may be 

leaching into the already seriously contaminated 

groundwater in the area. Furthermore, the 

facility may be contributing to the pollution of 

nearby Lake Calumet. 

The Sherwin-Williams facility that is subject to 

this action is a 123-acre facility which is located 

in an area where there are numerous other sources 

of pollution and where the surrounding 

neighborhood is largely populated with African 

Americans as well as people of lower income 

levels. At this facility, Sherwin-Williams 

manufactures both solvent based and latex paints. 

In the past, the company has also manufactured 

or used resins, varnishes, lacquers, and other 

substances that have contributed to the 

environmental problems at the site. This action 

was brought as a result of an inspection which 

revealed violations including the illegal 

management of hazardous waste without a 

permit or interim status, the use of improperly 

closed, marked, and inspected tanks and 

containers, and the failure to maintain adequate 

waste analysis and 'contingency plans. This 

announcement underscores EPA's commitment to 

data integrity enforcement, cleanup of the 

Southeastern region of Chicago, and 

environmental justice. 

U.S. v. UnitedBchnologies Coruoration (D. CT): 

On August 23, 1993, a consent decree was lodged 

and a second amended complaint was filed in 

which United Technologies Corporation (UTC) 

agreed to pay penalties totaling 55,301,910 for 

violations of federal and state hazardous waste 

and water pollution control laws. As part of the 

settlement, UTC will implement an extensive 

multi-media environmental audit at all of its 26 

New England facilities. 

The decree requires the payment of 53,701,910 by 

UTC to the US. for violations of RCRA and 

marks the highest civil penalty ever obtained in 

.. a settlement of a civil RCRA action. UTC will 

also pay a penalty of $1.6 million for violations 

of the federal CWA and state water protection 

laws, with $1,050,000 paid to Connecticut, and 

5550,000 paid to the U. S. 

Central to the settlement is a multi-media 

environmental audit in which UTC must retain an 

independent management consultant to make 

recommendations concerning how UTC can alter 

its management systems in order to improve its 

environmental compliance. After recommended 

changes to its management systems are made, the 

company must retain an outside audit firm to 

conduct a compliance audit. Penalties for any 

violations will be negotiated in accordance with 

the relevant penalty policies, and the company 

will have 60 days to correct the violations. 

Additional annual follow-up compliance audits 

will verify that UTC is complying with all 

environmental laws. The audit process is 

expected to cost millions of dollars and take 

several years to complete, during which time EPA 

and the state DEP will continue to inspect UTC 

facilities for compliance. 

The violations under RCRA included improper 

handling of hazardous waste, storage of 

hazardous waste without a permit, inadequate 

recordkeeping, inadequate training of personnel, 

failure to complete waste analysis, and 

inadequate groundwater monitoring. Under the 

CWA, UTC was cited for the discharge of 

pollutants without a permit, the discharge of 

inadequately treated wastewater to surface 

waters, and the discharge of water with a high 

pH that caused a fish kill in the Connecticut 

River. 

UTC was cited for violations at ten UTC facilities 

located in Connecticut: seven Pratt and Whitney 

Aircraft Division facilities (in the towns of 

Southington, East Hartford, North Haven, 

Middletown, Rocky Hill), a Hamilton Standard 

Division facility in Windsor Locks, the Sikorsky 

Aircraft facility in Stratford, and the United 

Technologies Research Center in East Hartford. 

UTC facilities named in the suit design and 

manufacture jet engines and parts, aircraft and 

spacecraft components, and helicopters. 

W: USX and EPA entered into a consent 

agreement, under §3008(h) of RCRA, on April 20, 

1993, in which USX agreed to conduct a RCRA 

3 -70 
FY 1993 Enforcement Accomplishments Repon 

Facility Investigation (RFI), Corrective Measure 

Study (CMS), and to implement Interim Measures 

at the site. This is a multi-media case since EPA 

is focusing on several media including the cleanup 

and stabilization of PCBs, slag, sediments from 

NPDES discharges, petroleum and other wastes 

potentially threatening human health or the 

environment. The USX site is a steel 

manufacturing and finishing facility located in 

Fairless Hills, PA, along the west bank of the 

Delaware River. The plant occupies 

approximately 3,000 acres of land. Steel 

manufacturing and finishing operations at USX 

have been active since the 1950's. The production 

of coke stopped in the early 1980s and production 

of raw steel ceased in 1991. At present the only 

major steel operation at the facility involves 

steel finishing. 

In the Matter of Wrwin Islands Ala 

-:In FY 1993, Region II executed two 

administrative consent orders with VIALCO, 

resolving violations identified in a 1992 multimedia inspection. One order, issued in March, 

1993 under §113 of the Clean Air Act, arose out 

of a complaint alleging that VIALCO was 

subject to, and had violated numerous federal 

New Source Performance Standards. In the 

settlement, VIALCO committed itself to 

compliance with those requirements, and also 

agreed to install a continuous emissions 

monitoring system on its aluminum oxide kiln 

and comply with the standards set forth in 

the Virgin Island Rules and Regulations. 

VIALCO also agreed to pay a civil penalty of 

$110,000. The other order, issued in February, 

involved violations of the underground storage 

tank (UST) leak detection requirements 

promulgated pursuant to RCRA. VIALCO and 

Texaco, Inc., a co-respondent in this matter, 

agreed to pay a penalty of $12,678 for this 

violation. 

Federal Facilities Enforcement 

In the Matter of Camu Stanlev Storave Activie 

and Lackland Air Force Base, (San Antonio, Tex.): 

Camp Stanley Storage Activity is located just a 

few miles northwest of San Antonio, Texas. 

Lackland Air Force Base is located a few miles 

southeast of San Antonio. Based upon information 

received from the RCRA permits staff, case 

development inspections (CDIs) of these 

facilities were conducted in January 1993. It was 

determined during the CDIs that both facilities 

had existent active Open Burning/Open 

,Detonation (OB/OD) Units that had never 

notified, received a permit, or attained interim 

status under RCRA. Furthermore, Camp Stanley 

had not included the OB/OD in its facility 

closure plans. 

The risk to the environment and human health 

associated with these OB/OD units comes from 

the hazardous constituents of the waste ordnance. 

For instance, trinitrotoluene (TNT), an aromatic 

hydrocarbon, breaks down biologically into 

isomers that are known to be carcinogenic and 

mutagenic, and have been extensively used by the 

military as an explosive for decades. 

Complaints were issued to Camp Stanley and 

Lackland AFB on June 30, 1993, for operation of 

hazardous waste units without a permit or 

interim status. High priority violations mandate 

multi-day penalties. Proposed penalties 

requested were $693,000 against Camp Stanley 

and $346,500 for Lackland AFB. 

Inrer US. D- (Fernald, Oh.): 

On April 9, 1993, EPA signed an Agreement 

Resolving Dispute Concerning Denial of Request 

For Extension of lime to Submit Operable Unit 2 

Documents with the U.S. DOE for the Fernald, 

Ohio site. Pursuant to the agreement, DOE must 

pay a cash penalty of $50,000, spend $2,000,000 

implementing a supplemental environmental 

project, accelerate work on three other operable 

units, and submit the Operable Unit 2 (OU 2) 

Proposed Draft Record of Decision (ROD) by 

Januar) 5, 1995, or pay an additional cash 

penalt); of $25,000. 

On February 9,1993 EPA'notified DOE that it did 

not approve a DOE request for an extension of time 

to submit a Remedial Investigation Feasibility 

Study, Proposed Plan reports, and the ROD for 

OU 2, and further that it intended to assess 

stipulated penalties for U.S. DOE'S failure to 

submit the reports by February~8, 1993. On 

February 16, 1993, DOE invoked the dispute 

resolution provisions of the Amended Consent 

Agreement (ACA) regarding EPAs February 9, 

1993 non-concurrence. 

Implementation of the SEP required by this 

settlement will significantly reduce discharges of 

3-71 
FY 19Y3 Enforcernenf Acconiplishmnts Report 

uranium from the Femald site to the Great Miami 

River. In addition, the assessment of a cash 

penalty will require U.S. DOE to report to 

Congress the reasons for the penalty. The 

combined value of the SEP and penalty amount to 

over 90% of U.S. DOES exposure in this matter. 

In re : U.S. Deoartment of En e= (Portsmouth 

Plant, Oh.): On May 10, 1993, EPA signed an 

Agreement Resolving Dispute Concerning Revised 

Quadrant 111 RCRA Facility Investigation Work 

Plan for the Portsmouth Gaseous Diffusion Plant 

facility in Piketon, Ohio. Pursuant to the 

agreement, U.S. DOE must pay a cash penalty of 

$50,000 for past violations of the AOC; spend 

51,000,000 to implement a supplemental 

environmental project; and perform a EPAapproved modified RFI workplan. In addition, 

the combined RCRA 3008(h) and CERCLA 106(a) 

administrative order by consent (AOC) for the 

facility was amended. 

On December 14, 1992, EPA had issued DOE a 

notice of violation alleging violations of numerous 

requirements of the AOC. EPA agreed to the 

stipulated penalty provisions based largely on 

the Fernald facility AOC with DOE, with the 

express proviso that EPA does not consider the 

provisions to be precedent for other federal 

facility orders, decrees, or agreements, or at other 

federal facilities. 

In the Matter of the Federal Avlatlon 

Bgministration Techn ical Cen- t: 

On August 18, 1993, EPA entered into a Federal 

Facility Agreement with the Federal Aviation 

Administration (FAA) under 5120 of CERCLA. 

The agreement requires FAA to remediate 

approximately 25 areas of contamination at the 

FAA Technical Center Superfund site in Atlantic 

City, New Jersey. The site covers 5,052 acres and 

is contaminated largely due to fire and crash 

testing exercises as well as the testing and storage 

of jet fuels. Section 120 of CERCLA requires that 

agencies, such as the FAA, enter into an agreement 

with EPA to address the contamination at sites 

they own which are on the CERCLA NPL. This is 

the first agreement under CERCLA 5120 for the 

cleanup of a US. Department of Transportation 

facility. The work required under the agreement 

is expected to cost approximately $55,000,000. 

.. 

In the Mat ter of Griffiss Air For ce BaE :on 

January 13, 1993, EPA issued a ten count 

administrative complaint to Griffiss Air Force 

Base for failure to properly classify restricted 

waste, failure to maintain a container of 

hazardous waste in good condition, failure to 

submit notifications for restricted waste shipped 

off-site, failure to mark the accumulation start 

date on containers of restricted hazardous waste, 

failure to develop a complete waste analysis 

plan, failure to properly manifest waste off-site, 

unauthorized storage of hazardous waste, failure 

to maintain adequate personnel records, and 

failure to post a warning sign. The complaint does 

not propose a penalty because the violations 

preceded the effective date (October 6, 1992) of 

the newly enacted Federal Facility Compliance 

Act (FFCA). The violations were detected during 

inspections at the base between 1987 and 1992. 

Previously, a Notice of Deficiency had been 

issued to the Base in December, 1986, regarding a 

deficient Part B permit application. This 

complaint was intended to resolve all outstanding 

violations. 

On July 19, 1993, Region I1 executed a consent 

agreement and consent order with the Air Force 

resolving the matters raised in the January 

complaint. Both the complaint and the consent 

order are among the first such documents to be 

issued in the country under the FFCA. Pursuant to 

the order, the facility submitted a statement 

detailing the remedial actions taken rectifying 

the alleged violations at the site. 

r Force Base Swund Site, (Maine): 

On May 19, 1993, the Air Force agreed to pay 

stipulated penalties in the amount of $50,000 for 

failure to meet enforceable deadlines under the 

Loring Air Force Base CERCLA Federal Facility 

Agreement (FFA). The Air Force also agreed that 

in the future EPA may assess stipulated penalties 

under the FFA for any documents which are 

technically incomplete because they fail to meet 

the requirements of CERCLA, the National Oil 

and Hazardous Substances Contingency Plan, 

applicable EPA guidance, or applicable state law. 

Loring Air Force Base is a federal facility on the 

Superfund NPL. The Air Force is conducting the 

cleanup under the FFA which includes the Air 

Force, EPA and the State of Maine as parties. 

Loring is also a closure base under the Defense 

Base Closure and Realignment Act of 1990. 

On February 1, 1993, the Region assessed the 

3 -72 
FY 1993 Enforcement Accomplishments Report (@) 

penalties for failure of the Air Force to meet the 

enforceable FFA schedule for two deliverables (a 

Remedlal Investigation and a Remedial 

Investigations/Focussed Feasibility Study 

(RI/FFS)) relating to two operable units at the 

facility. InDecember, 1992, the Region with state 

concurrence denied an Air Force request for 

extension of time to submit the documents. The 

Air Force based its request on lack of available 

funds in October and November, 1993, even though 

the Air Force had assured the State and EPA in 

early October that new DOD budget funding had 

already been given to the base. 

The agreement reached with the Air Force 

reflects the Region's efforts to ensure that DOD 

components will submit technically complete 

documents in a timely manner at federal facility 

NPL sites. 

Naval Construction Ba ttalion Cent el: (R.I.): Cn 

September 30, 1993, EI'A issued an administrative 

complaint and compliance order (complaint) to 

the Naval Construction Battalion Center (NCBC) 

located in the town of Davisville, Rhode Island 

for hazardous waste violations. The complaint 

proposes the assessment of a civil penalty in the 

amount of $101,062. 

On March 31, 1993, representatives of EPA 

conducted a RCRA compliance evaluation 

inspection (CEI) at the NCBC. On the basis of 

this inspection, EI'A determined that the 

respondent failed to properly conduct hazardous 

waste determinations, failed to include the EPA 

hazardous waste number and corresponding waste 

treatment standard on the Land Disposal 

Restriction (LDR) Notice, failed to retain copies 

of LDR notices on site for certain shipments of 

waste restricted from land disposal, failed to 

provide annual hazardous waste training to its 

employees who manage hazardous waste, failed 

to maintain a written hazardous waste training 

program and other required records for all 

personnel who handle or manage hazardous 

waste, failed to label hazardous waste 

containers with the dates of accumulation, and 

failed to conduct weekly container inspections. 

In the Matt er of Reese Air Force Base ,(Lubbock, 

Texas): An administrative order under RCRA 

57003 was issued to Reese Air Force Base as a 

result of an imminent and substantial 

endangerment to health resulting from Base 

3-73 

activities. In March 1993, EPA learned that 

Reese had detected trichloroethylene above safe 

drinking water standards in some privatelyowned drinking water wells near the Base. After 

confirming the data, EPA issued an agreed-on 

administrative order under 57003 of RCRA on June 

1, 1993. The order requires the Base to collect 

water samples from water wells in a 36 square 

mile area (within a 2 mile perimeter of the Base) 

in order to determine the extent of the 

contamination, to notify the owners of any 

contamination, to supply an alternate source of 

drinking water to the residents with 

contaminated wells, and to monitor the ground 

water in and adjacent to the plume. Reese has 

completed the initial sampling of about 950 

wells, provided carbon filters for all the 

impacted water wells, and connected some of the 

users to the City of Lubbock's water system. The 

city is in the process of connecting its water lines 

to the residents that live within the city limits. 

The residents living outside the city limits may 

use the water wells after carbon filtering. 

Criminal Enforcement - All Statutes 

Criminal enforcement continues to be the 

fastest growing component of the agency's 

enforcement eflort. New criminal investigator 

offices opened last year in Houston, Los Angeles, 

Buffalo, St. Louis, and Miami. FY 1992 set 

records for criminal Jines ($66.9 million before 

suspension. almost a fivefold increase over the 

previous record year), court-ordered 

imprisonment cases successfully prosecuted, and 

new referrals to the Department of Justice. In FY 

1993, the criminal enforcement program 

continued to support program-specific 

enforcement priorities and was increasingly used 

to support multi-media and international 

enforcement efforts and to address interstate 

violations. In addition, the program referred 140 

new cases to DOJ, a 31% increase over the prior 

record number in FY 1992. 

In FY 1993, the Office of Criminal 

Enforcement (OCE) worked closely with the 

media programs to implement the new 

Guidelines of the U.S. Sentencing Commission. 

for Organizational Defendants (primarily 

corporations) convicted of environmental crimes. 

Implementing these guidelines will call for 
FY I Y93 Enjorcernenr Accomplishments Reporf 

extensive regionnl progrnm technicnl input and 

coordination to develop recornrnended conditions 

of corporate probntion including restitution, 

remedintion, ' nrid complinnce-related relief. The 

goal is smooth coordinntion within the limited 

timefrnme so thnt EPA can provide support to 

sentencing jndges nnd probntion officers. 

The 1990 Polllition Prosecution Act called 

for no less thnn 110 criminal investigators on 

board dirring 1993. This gnve EPA n unique 

opportirnity to seek oiit n new kind of Special 

Agent -- the hiring strntegy in the OCE shifting 

from a focus on experienced law enforcement 

officers (who were then expected to develop 

their expertise in erivirorimentnl law) to n focus 

on recnrits, incltrdirig minorities nnd women, with 

existing technicnl mid scientific environmental 

expertise who are trnined ns law enforcement 

officers. The criminnl enforcement program is 

strengthened by corrrbining the experience of its 

veternn Specinl Agents niid the environmentnl 

bnckgrorind of the neiu recnrits. 

The Criminnl Enforcement Addendum to 

the Policy Frnmeruork for EPA/State 

Enforcement Agreements improves coordination 

and cornmiinicntions among federal, stnte, and 

locnl law enforcement trnits. Its major provisions 

include the designntion of one or more intrastate 

contncts to serve ns n focnl point for exchanging 

information regnrdirtg the stntrrs of criminal 

investigations nnd cnses, cross referral of cases, 

technicnl sirpport nnd trnining, nnd coordination 

of statelfpdernl civil nnd criminal proceedings. 

It also calls for the increased use of Law 

Enforcement Coordinnting Committees and 

environmentnl tnsk forces as npproprinte to 

investigate specific cnses, enhance reporting of 

stnte crirninnl enforcement nccomplishments, and 

continued federal snpport to heighten stnte 

criminal enforcement cnpnbility. 

Stnte, local, nnd tribal criminnl .law 

enforcement cnpnbility nre enhnnced through 

the associntion networks, the Federal Law 

Enforcement Trnining Center (FLETC), and' the 

Nntionnl Enforcement Trnining Institirte (NETI), 

inclirding the tribnl iiivestigntor trninink pilot 

developed by OE-FLETC nnd the Office of 

Federal Activities (OFA). In order to support 

stnte accomplishments, OE worked with the four 

regionnl stnte nssocintion law enforcement 

networks in FY 1993 to collect more 

comprehensive non-federal environmental crimes 

data. One potential use of these data is to 

indicate, in general terms, the level of criminal 

enforcement activity on the state and local level. 

U.S. v. Action Manufacturing . Comuanv (E.D. Pa.L: 

An explosives manufacturer was sentenced to pay 

a $5oo,ooO fine ($400,000 suspended) and $500,000 

in clean-up costs of a hazardous waste disposal 

area contaminated by years of unpermitted 

hazardous waste dumping. Action Manufacturing 

Co. of Atglen, Pa., was sentenced September 2, 

1993. The company paid $100,000 of the fine at 

sentencing, with $400,000 of the fine suspended 

pending completion of a five-year period of 

probation. Terms of probation include clean up of 

the "burn pits" under the direction of EPA and 

compliance with a debarment compliance 

agreement negotiated among Action, EPA, and the 

Department of Defense. Action manufactures 

explosives primarily for the U.S. government, 

and failure to comply with the terms of the 

probation will result in debarment. 

Following a joint criminal investigation by EPA, 

the FBI, and the Army CID, the company was 

charged with illegally disposing of hazardous 

waste for several years by pouring liquid and 

sludge wastes resulting from explosives 

manufacturing into "bum pits" and igniting the 

material. At about the same time, EPA was 

overseeing a CERCLA response action, and EPA 

then negotiated a debarment compliance 

agreement because the company, in shaky 

financial condition already, would go out of 

business if it was debarred, leaving no choice but 

for the government to pay for a site clean up. At 

sentencing, the judge noted that incorporation of 

the compliance agreement and clean up provisions 

in the plea agreement was "a hammer" over the 

company that caused him to approve the terms of 

the plea. 

U.S. v. Action Testina and Consulting (N.D. Ga.): 

A generator of hazardous waste and its owner 

were sentenced for the illegal dumping and 

subsequent runoff from drums of hazardous waste 

at three separate sites in Dekalb County near 

Atlanta, Ga. At the direction of James R. Hunt, 

owner of Action Testing and Consulting, company 

employees had hired workers to transport and 

abandon the drums, many of which contained 

ignitable and corrosive wastes. 

3-74 
FY 1993 Enforcement Accomplishments Report 

On July 8, 1993, the company was sentenced 

pursuant to its guilty plea to a felony violation of 

RCRA. It received three years of probation and a 

fine of $142,749. Hunt, who pled guilty to a 

misdemeanor violation of CWA. was sentenced to 

four months of home detention, a $25,OOO fine, and 

three years of probation. 

This case relates to the conviction and sentencing 

in 1991 of Reginald Max Goldsmith to forty-six 

months of incarceration for two felony violations 

of RCRA for the illegal transportation of the 

drums of hazardous waste. Goldsmith's 

fraudulent company had been hired by Action 

Testing and Consulting to transport and dispose of 

Action's hazardous waste. 

Y.S. v. Ad vance Pla tine - Works 

(S.D. Ind.): On March 24,1993, Eugene 

Doughty and Advance Plating Works, Inc. were 

charged in a four-count indictment alleging 

violations of the CWA and RCRA at two Advance 

facilities in Indianapolis. Doughty, the president 

and an owner of Advance, was charged with 

numerous violations of the pretreatment 

standards for electroplaters, tampering with a 

monitoring device installed by the City of 

Indianapolis, and lying to an Indianapolis 

Department of Public Works employee about an 

unpermitted discharge point. The corporation was 

charged with the pretreatment violations, as 

well as with illegal storage and disposal of 

hazardous waste under RCRA. On October8,1993, 

Doughty was sentenced to one year in jail. 

According to the indictment, Advance Plating's 

Shelby Street facility discharged nickel, zinc, 

copper, and chromium in excess of the 

pretreatment standards between February and 

May 1992. In February 1992, the City installed an 

automatic sampler inside Advance Plating's 

Shelby Street plant. Doughty opened up the 

sampler, and replaced the contents of the sample 

jar with clean water. During the same period, 

Doughty also falsely told a City inspector that 

all waste was routed through a single sample 

point. Finally, Advance Plating stored and 

disposed of FW6, F007, DW2, and D007 hazardous 

wastes at both of its facilities without a permit. 

The case was developed with the assistance of 

the Indianapolis DPW and the FBI, working 

through the Indiana Environmental Task Force, 

chaired by the U.S. Attorney's Office for the 

Southern District of Indiana. 

Y.S. v. A -ome Corpora tien (D. Nev., 

aff'd 9th Cir.2: During 1993, the Ninth Circuit 

Court of Appeals affirmed the 1990 conviction of 

a corporation, despite the acquittal of the 

individual perpetrator, the corporate president. 

The Aerolite Chrome Corporation had been 

convicted on December 11, 1990, for ten felony 

violations of CWA pretreatment requirements, 

involving discharges of large volumes of 

wastewater contaminated by metal processing to 

a public sewer system flowing to the publicly 

owned Reno-Sparks treatment works. It was 

sentenced on July 12, 1991, to a $55,000 fine, six 

years of probation, and as a condition of 

probation, to no longer engage in electroplating 

operations. 

But the company president and sole agent of the 

corporation involved in the illegal acts, Arthur 

Thomas, was acquitted by the jury on all counts, so 

the corporation appealed asserting that it too 

must be acquitted as a matter of law. The Court of 

Appeals disagreed, stating that an apparently 

inconsistent verdict could easily be as wrong 

against the government as against the defendant, 

or could in actuality be the result of jury lenity 

toward the individual defendant, and that there 

was ample testimony supporting the corporation's 

conviction for the illegal acts of its agent Thomas. 

US. v.Taria mad. et &(C.D. Ca1.l: Following 

a jury trial in a case that generated international 

interest, a chemical laboratory owner's scheme to 

burn down his lab for the insurance proceeds and 

his illegal export to Pakistan of hazardous waste 

generated by the lab led to heavy prison sentences 

on the individuals convicted. On August 9,1993, 

Tariq Ahmad, the lab owner, was sentenced to 97 

months of imprisonment upon his conviction on 

April 15,1993, for the illegal export of hazardous 

waste, conspiracy to commit arson, and for money 

laundering and racketeering. Rafat Asrar, 

Ahmad's colleague, was sentenced to 60 months 

following guilty verdicts for conspiracy to commit 

arson, money laundering, and racketeering. An 

appeal is pending. 

This case stemmed from a scheme by Tariq Ahmad 

to burn down his analytical laboratory in 

Southern California for the insurance proceeds in 

1990. In its processes, the lab generated 

hazardous-waste chemicals. To avoid the costs of 

disposal, Ahmad shipped the chemicals to 

Pakistan for incineration and dumping down a 

3-75 
FY IYY3 Enforcement Accoinplishments Report 

mine shaft. When the government of Pakistan 

learned of the shipment from a news reporter, the 

chemicals were refused entry into Pakistan and 

returned to Long Beach, California, where the 

U.S. Customs inspected and sampled the 

container. 

lied Coat-. (S.D. Tex.1: 

The illegal handling of paint and sandblasting 

wastes by an off-shore oil rig painting company 

resulted in the company’s conviction and 

sentencing for violating RCRA. On April 5,1993, 

A jury convicted Applied Coating Services, lnc. of 

transportation without a manifest to its North 

Houston facility, of four counts of illegal storage 

there, and of disposal without a permit. On July 

21, 1993, the company was sentenced to pay a 

$50,000 fine, and ordered to reimburse clean-up 

costs by the payment of $20,000 to Liberty County 

and $105,000 to the Union Pacific Railroad. 

Y.S. v. Ww and Mallhew Gusixh 

LW .D. Pa.L: In a case of special interest to those 

concerned with data quality and information 

integrity provided to meet CWA requirements, 

two former municipal officials have been 

sentenced for NPDES reporting violations 

involving the Penn Hills, Pa., Water Pollution 

Control Department. At one sentencing, the judge 

commented that environmental crimes are very 

serious because the responsible regulatory 

agencies rely so extensively on truthful data, and 

that the message has to get out to the regulated 

community that falsifying data will not be 

tolerated. 

On April 2, 1993, Walter Baker, former Assistant 

Director of the Penn Hills, Pa., Water Pollution 

Control Department, was sentenced to one year of 

incarceration, one year of supervised release, and 

a $5,000 fine for falsifying discharge monitoring 

reports. Baker was convicted on February 3,1993, 

on six counts of falsifying DMRs in the late 1980s 

to cover up “DES permit violations at several of 

the municipality’s sewage treatment plants. 

On March 19, 1993, Matthew Girdich (Baker’s 

predecessor) was sentenced to five years of 

probation, a $5,000 fine, and two years of 

community service. Girdich had pled guilty on 

December 30, 1992, to one count of falsifying 

DMRs. Girdich was responsible for NPDES 

reporting for the five sewage treatment plants in 

the municipality until he retired in 1988. Over 

.. 

several years, violations in reporting were 

uncovered by the Allegheny County Health 

Department, which sought federal assistance in 

investigating and prosecuting the violations. 

Y.S. v. Gordon S. Bird. b. (D. Utah): The 

president and owner-operator of a mineral 

recovery company was convicted and sentenced for 

unpermitted storage and disposal of arsenic and 

cadmium in pits or surface impoundments at his 

gallium recovery operation located in Blanding, 

Utah. On February 12, 1993, Gordon S. Bird, Jr. 

was sentenced to perform 1,ooO hours of community 

service that must be related to environmental 

protection, and he also was placed on three years 

of probation. On December 3, 1992, Bird was 

convicted by a jury of one count of violating RCRA 

and one count of aiding and abetting in violation 

of 18 U.S.C. 5 2. 

Y.S. v. Robert M. BrlttlnPham and LphtlJI .. LoMonaco (N.D. Texasl: Two prominent Dallas 

businessmen, high-ranking former officials of a 

substantial corporation, were convicted and 

sentenced to pay multi-million dollar fines for 

ordering subordinate employees to illegally 

dispose of the hazardous waste in a gravel pit. 

On May 21, 1993, defendants Robert M. 

Brittingham and John J. LoMonaco were sentenced 

to pay a total of $12 million for violations of 

RCRA. Brittingham must pay a $4 million fine, 

LoMonaco must pay a $2 million fine, and 

together they must pay $6 million into a trust 

account set up to administer a lead abatement 

community service project. Each defendant also 

received a five-year term of probation, during 

which they each must spend a substantial number 

of hours weekly to implement the community 

service project. The project is designed to abate 

the City of Dallas’ lead problem and its effects on 

children by funding educational awareness 

programs on lead exposure and by testing children 

who may suffer learning disabilities as a result of 

lead exposure. The defendants must also place an 

advertisement in a widely-circulated trade 

journal describing their violations of 

environmental requirements. 

Brittingham was former chairman of the board 

and part owner, and LOMOMCO was president and 

a former board member, of their former company, 

Dal-Tde Corporation, which was sold to an 

investment group in 1990. Dal-Tile, which makes 

ceramic tiles, has several plants and warehouses 

3-76 
FY 1993 Enforcernenl Accomplishments Reporf .I 

and employs more than 5,500 people throughout 

the United States and Mexico. During 1987, Dallile used lead-based compounds in glazing and 

coloring ceramic tiles at its large plant in Dallas. 

Evidence showed that Dal-Tile's ceramic tile 

process produced waste sludge with high 

concentrations of lead which can cause serious 

health effects, including damage to the central 

nervous system. Although laws require that 

heavy metals, like lead, must be disposed of in an 

approved hazardous waste disposal facility, and 

even after Dal-Tile employees warned 

Brittingham and LoMonaco that the sludge was 

toxic and being disposed of illegally, Brittingham 

and LoMonaco ordered that the toxic sludge be 

dumped in a gravel pit in the Dallas suburb of 

Seagonville. 

us. v . Walter M. Ca1dwd.LJJ.I (W.D. La.): The 

owner of a Louisiana truck stop, who cleared 

approximately twenty-five acres of wetlands, 

filled several acres, and dug a ditch across his 

property to drain the wetlands behind his place 

of business without a US. Army Corps of 

Engineers' CWA 5 404 permit, was sentenced for 

his violation of the CWA. On June 30, 1993, 

Walter M. Caldwell, 111, was sentenced to three 

years of probation, to pay $6,500 for the costs of 

his supervision and a fine of $5,000, and to restore 

the property to its original condition in 

compliance with a restoration plan agreed to 

with EPA. Caldwell had pled guilty on April 21, 

1993, to a CWA misdemeanor charge. Caldwell's 

103Truck Stop is located along Interstate 20, near 

West Monroe, Louisiana. 

US. v. Darrell War (D. Mt.1: The president 

of a precious metals plating business was 

convicted and sentenced for the illegal disposal of 

hazardous waste, namely mixtures of acids and 

heavy metals, into a large, unpermitted 

underground tank located on the business premises 

near Bonner, Montana. On February 2, 1993, 

Darrell W. Caster was sentenced to six months of 

home incarceration, three years of probation, 

$8,000 in restitution, and 100 hours of community 

service. On December 1, 1992, Caster pled guilty 

to one count of unpermitted disposal of hazardous 

waste in violation of RCRA. 

US. v. Craven, et d. (W .D. TX): A criminal case 

involving a contract laboratory for EPA has a 

mistrial in U.S. District Court, an appeal on 

double jeopardy grounds, and affirmation by the 

Fifth Circuit Court of Appeals for a new trial. On 

September 22, 1992, Craven Laboratories, Inc., 

(Craven Labs) Don Craven, Donald Hamerly, 

Dale Harris and E. Stanley Peterson were 

indicted and charged with 20 felony counts in 

connection with pesticide residue analysis 

testing. The charges filed against the defendants 

included violations of 18 U.S.C 51001 (false 

statements to the government), 18 U.S.C. 5371 

(conspiracy), 18 U.S.C. 51341 (mail fraud), and 18 

U.S.C. 51505 (obstructing agency proceedings).' 

The case proceeded to trial on February 1, 1993. 

Four defendants (Craven Labs, Craven, Hamerly 

and Harris) moved for a mistrial after learning 

that one of the Government's witnesses had 

spoken to a juror, and had discussed being nervous 

about testifying. Peterson objected to the 

mistrial, and indicated that he was ready to 

proceed with the case with the jury that was 

sitting. After the court granted the defense 

motion for a mistrial for all defendants, all five 

defendants moved to acquit or dismiss the 

Indictment, claiming that the mistrial was the 

result of bad faith or Government misconduct. The 

court ruled that the mistrial was not the result of 

any bad faith on the part of the Government, and 

denied the defense motions. 

The defendants then filed Motions for Acquittal 

and/or Motions for Dismissal of the Indictment, 

claiming that jeopardy will attach if the 

defendants were retried. When these motions 

were denied, the defendants appealed to the 

Fifth Circuit. On September 9, 1993, the Fifth 

Circuit affirmed the judgment of the district 

court, and sent the case back to the district court 

for retrial. To date, twelve individuals have 

pleaded guilty to charges ranging from FIFRA 

misdemeanors to conspiracy. The case is 

scheduled to be re-tried on November 29,1993. 

Y.S. v. 1 oh- . (D. Alaska, aff'd 9th 

Cit): On March 8, 1993, the Ninth Circuit Court 

of Appeals affirmed the defendant's conviction, 

holding that individual employees of the federal 

government, acting within the course and scope of 

their employment, are subject to criminal 

prosecution for violations of the CWA. On June 7, 

1993, a petition for a writ of rertiorarl ' was filed 

with the Supreme Court. 

John Hoyt Curtis, a civilian, federal employee of 

the U.S. Navy, was the Fuels Division Director 

3-77 
FY 1993 EnJtorcernent Acconiplishments Report 

for the Naval Air Station at Adak, Alaska 

during late 1988 and early 1989. On March 18, 

1992, he was found guilty by a jury of unpermitted 

discharges of jet fuel that he repeatedly ordered 

to be pumped through a pipeline that he knew 

was leaking, thus causing hundreds of thousands 

of gallons of fuel to spill into Sweeper Cove, an 

inlet of the Bering Sea. On May 26, 1992, he was 

sentenced to ten months of incarceration. On 

appeal, the Court of Appeals held that Mr. 

Curtis as a federal employee is a "person" covered 

by the CWA, and that he is not entitled to 

federal sovereign immunity. 

U.S. v. Gale E. Dean (E.D. Tenn., aff'd, 6th Ck, 

cert. deniedl: A conviction and sentence to 40 

months imprisonment were, in effect, upheld on 

April 19, 1993, when a petition for a writ of 

certiorari was denied by the Supreme Court, 

finally concluding this case. On July 8, 1992, the 

Sixth Circuit Court of Appeals had affirmed 

Gale E. Dean's conviction, holding that 

knowledge of a permit requirement is not an 

element of the crime of knowingly treating, 

destroying, or disposing of hazardous waste 

without a permit, and that an employee of the 

owner or operator of a facility could be held 

criminally liable for storing and disposing of 

hazardous wastes without a permit, even though 

only owners and operators are required to obtain 

permits. In August 1991, he had been sentenced to 

40 months imprisonment after being convicted of 

discharging chromic acid rinse water and 

wastewater sludges into an open lagoon in 

violation of RCRA. 

U.S. v. David Del-. (D. R.1.L: A scrap 

hauler, who during rush hour let PCBs spray from 

his truck onto Interstate 95 near Providence, R.I., 

received the longest prison term yet awarded to a 

federal environmental defendant in New 

England. On September 15,1993, David Dellinger 

was sentenced to 27 months of incarceration and 

ordered that he pay a percentage of his future 

salary as restitution toward $50,000 in clean-up 

costs incurred by the City of Cranston, one of the 

affected sites. On June 25, 1993, Dellinger pled 

guilty to one count of disposal of PCBs in violation 

of TSCA and one count of failing to notify the 

federal government of a release of a hazardous 

substance in violation of CERCLA. 

On January 29, 1993, Giacomo Catucci and David 

Dellinger were indicted for violations of TSCA 

for the illegal disposal of PCBs in violation of 

federal law. 

Catucci hired Dellinger to remove PCB-filled 

transformers from his mill in Providence. 

Dellinger let the oil spray on the highway, 

drained more PCBs onto and along a side road, 

stripped the copper wire, and abandoned the 

casings in the woods and at an isolated sandpit in 

Coventry, R.I. Catucci went to trial, and on 

October 22,1993, he was convicted by a jury of two 

counts of violating TSCA and two counts of 

violating CERCLA. Sentencing is pending. 

Y.S. v. Wlularn Dave" Den- 

(S.D. TXl: A "shell game" of moving 

hazardous waste - just before a scheduled 

government inspection would find that the waste 

had been stored in violation of RCRA regulations 

- has ended in the sentencing of the two culpable 

individuals. On August 31, 1993, defendant 

William "Dave" Denison was sentenced to fifteen 

months incarceration and a $5,000 penalty as a 

result of his illegal storage of hazardous waste in 

violation of interim status requirements and the 

illegal transportation of hazardous waste 

without a manifest. On September 15, 1993, codefendant James Gary White was sentenced to six 

months of home detention, two years of probation, 

and 200 hours of community service; no fine was 

imposed because of his poor financial status. On 

June 1,1993, White and Denison pled guilty to one 

and to three RCRA violations, respectively. 

Y.S. v. De- Corp- (D. Conn.1: Dexter 

Corporation, a Fortune 500 company and the 

oldest member of the New York Stock Exchange, 

pled guilty and entered into a large and 

innovative global settlement. In addition to 

payment of a $4 million fine for eight felony 

violations of CWA and RCRA, Dexter agreed to 

the payment of civil penalties totaling $9 million 

for the violations, and to conduct environmental 

audits at all of its divisional manufacturing 

facilities across the country. These and other 

actions resulted in the lifting of EPAs suspension 

and debarment action which precluded Dexter 

from obtaining government contracts. 

. . ,, 

Dexter operates facilities nationwide, and at its 

Windsor Locks, Connecticut, facility Dexter 

manufactures specialty paper products used in the 

production of tea bags, food processing, and 

disposable medical gowns, and operates a co3-78 
FY 1 Y93 Enjorceinent Accontplishments Repon 

3-79 

generation facility. Dexter was charged with 

illegally disposing of carbon disulfide, listed as 

an acute hazardous waste, at its Canal Bank 

Road facility in Windsor Locks. Dexter received 

carbon disulfide in 55 gallon drums. After 

transferring the chemical from the drums to a 

storage tank, the drums were then turned over and 

the residual carbon disulfide was dumped onto 

the ground. The government also charged Dexter 

with discharging carbon disulfide into the 

Connecticut River through an overflow pipe 

which led from the storage tank to the river. 

(The settlement was signed on September 3, 1992, 

but was not reported in OE's 1992 annual report.) 

US v. Electrochemical Co.. U (M.D. Pa.1: 

Frank Leaman, an electroplater was sentenced to 

15 months in prison for illegally disposing of 

hazardous waste, failing to report a release of a 

hazardous substance, making false statements, 

and falsifying documents. This minimum sentence 

was imposed only because of other disastrous 

losses his actions brought upon himself, his 

family, and his company. These include the loss 

of his company that is in bankruptcy, the loss of 

more than $100,000 invested by family members 

in the company, and the loss of his personal 

residence pledged as collateral for bank loans. 

On January 15,1993, Leaman, of York, Pa. and his 

company, Electrochemical Co., Inc., were 

sentenced. The company was engaged extensively 

in cadmium plating as a DOD subcontractor. The 

sentences were imposed for (1) failing to notify 

authorities about an accidental 2,000-gallon spill 

of spent acids in 1989 and for lying to the Pa. 

Department of Environmental Resources (DER) 

about the amount of the spill, (2) pumping the 

contents of a 750-gallon tank of caustic (pH of 13) 

parts cleaner into a "groundhog hole" on company 

property after the City refused to renew the 

company's pretreatment discharge permit, and (3) 

submitting false manufacturing and performance 

certifications to DOD regarding plated parts used 

in military vehicles. 

The company was sentenced to pay a $25O,OOO fine 

for violating CWA pretreatment discharge 

standards in 1989 and 1990. The court suspended 

$225,000 of the fine if the company or its successor 

would enter into a written agreement with the 

DER for cleanup of contaminated areas of 

company property. 

Two company employees were sentenced each to 

one year of probation, a fine of $1,500, and 100 

hours of community service. Russell S. Walker, Jr., 

a company supervisor, was sentenced for failing to 

report the spill. Glenn L. Stover, Jr., was 

sentenced for removing copies of certifications sent 

to DOD and other documents to prevent them from 

being seized during execution of a search warrant. 

The investigation was conducted jointly by EPA, 

the FBI, DCIS and NIS, with the assistance of 

the City of York and the Pa. DER. 

B. Eb (D. Md., aff'd 4th Cir., 

cert. deniedl: On October 5, 1992, a petition for a 

writ of certiorari ' was denied by the Supreme 

Court, finally concluding this case. On April 27, 

1992, the Fourth Circuit Court of Appeals had 

affirmed the defendant's conviction, holding that 

the application to the defendant's prior conduct 

of the definition of "wetlands" from the 1989 

federal wetlands manual did not violate the US. 

Constitution's due process or s past fach 

prohibitions, and that under the guidelines of the 

U.S. Sentencing Commission it was proper to 

increase the sentence for committing an ongoing 

offense and for discharging without a permit. 

On April 15, 1991, Ellen was sentenced to six 

months in prison, one year of probation, and 60 

hours of community service relating to his 

conviction for unpermitted filling of 86 acres of 

wetlands on the Eastern Shore of Maryland. 

Ellen was the project manager for the property 

owner, Paul Tudor Jones, 11, a top Wall Street 

financier, who previously had pleaded guilty, 

paid a substantial fine, and agreed to site 

restoration. 

U.S. v. Environmental Waterwav Manacement. 

hc.. et aL(f4.D. Fla.): Illegal use of the pesticide 

Direx on aquatic areas, a pesticide not approved 

by EPA for use there because it is poisonous to 

aquatic invertebrate organisms (the foundation 

for the food chain) and also directly causes fish to 

suffocate, led Environmental Waterway 

Management, Inc., and its owners, Alan Chesler 

and, Andrew Chesler to sentencing following their 

guilty pleas. The defendants knew that their use 

of the pesticide was illegal, and their sentence 

included the largest criminal fine ever imposed in 

the US. for the unlawful use of pesticides. 

- 

On February 17, 1993, the company (having 

previously pled guilty to five FIFRA and five 
FY 1993 Enforcement Accomplishments Repon 

felony mail fraud counts) was fined $400,000 and 

sentenced to five years of probation. Alan 

Chesler and Andrew Chesler (each having pled 

guilty to five counts of FIFRA) were each fined 

$25,000 and sentenced to five years of supervised 

probation. 

Despite the knowledge that application of Direx 

to waterways was illegal, the defendants 

regularly so used it because of its effectiveness in 

destroying certain types of vegetation. In 

addition to the FIFRA violations, the company 

used the U.S. mails to solicit and attempt to 

solicit customers with written contracts which 

falsely represented that it used only EPA 

approved products in removing and controlling 

unwanted aquatic vegetation and algae growth. 

us. v. vi ctor Fi-m D. CT.L: On September 13, 

1993, two days before trial was to begin, Victor 

Figueroa, a/k/a Victor Figueroa-Soto, pleaded 

guilty to disposing of hundreds of unlabeled bags 

of asbestos in a concealed storage room in a 

basement on Bartholomew Avenue in Hartford, 

Connecticut. During his change of plea, Figueroa 

acknowledged that in the Spring of 1991, he 

assisted others in removing asbestos from the 

upper floors of the Hartford building and placing 

it in a vacant basement storage room. The room 

was then sealed shut with cinder blocks and 

mortar and painted to match the surrounding 

basement walls. His activities resulted in 

asbestos contamination throughout the building. 

Ultimately, the building owner retained other 

asbestos abatement contractors to properly 

dispose of the asbestos in the basement and 

decontaminate the building. As part of the plea, 

the remaining counts against Figueroa and all of 

the counts against the company have been 

dismissed. 

This case began when an EPA received a tip about 

a suspicious removal operation and the possible 

concealment of asbestos. That tip ultimately led 

the government to obtain a warrant to search the 

facility and break into the concealed storage 

room. On July 12,1991, EPA executed the search 

warrant using a sledge hammer to break through 

the cinder block wall. EPA discovered unlabeled 

bags of asbestos, much of it dry, piled to the 

ceiling. 

Y.S. v. Randall Ford ( W.D. Mo..!: A laboratory 

employee has been sentenced for violating the 

CWA by falsifying aquatic toxicology tests. On 

July 1,1993, Randall Ford was sentenced to three 

years of probation, 200 hours of community 

service, and to pay $15,ooO in restitution. Ford 

was charged with falsifying laboratory data 

required by the CWA. He submitted reports 

indicating that he had performed aquatic 

toxicology tests, although the tests were not 

performed. His employer, Cargill, Inc., which 

had not purchased the necessary lab organisms to 

conduct the tests, suspected the falsification, 

conducted an internal investigation, reported the 

situation to EPA, and subsequently terminated 

Fords employment. 

Y.S. v. Ge oree Frew and Salv atore SQ W(E.D. 

Pa..!: The discharge of 14 to 20 tons of sewage 

sludge and related materials into the Delaware 

River resulted in the sentencing on February 26, 

1993, of two individuals, George Frew (the 

supervisor of maintenance) and Salvatore Sortino 

(supervisor of operations) each to fifteen months 

of incarceration, a $1,200 fine, and one year of 

supervised release, following their conviction at 

a trial that ended on November 10, 1992. The 

sentences were deferred pending appeals. 

The two managers at the Easton, Pa., wastewater 

treatment plant, were responsible for an operation 

in January 1991 that cleaned out a chlorine contact 

tank at the plant, using inadequate and illegal 

removal techniques and without sampling. 

During the cleaning, sludge and related materials 

were washed through an outfall pipe directly 

into the river. The incident lasted for six days, 

and was not reported during that time. 

Y.S. v. Frontier Ch emical ' Wa ste Process, Inr, ;on 

September 30, 1993, Frontier Chemical Waste 

Process, Inc. (FCWI') was sentenced on its plea of 

guilty to one count of violating RCRA by making a 

false statement on a hazardous waste manifest. 

In the plea agreement, Gerry Norton, president of 

FCWP, represented, among other conditions, that 

FCWP will no longer be owned, operated, or 

managed by the same persons and or entities that 

were operating it on November 17,1986, when the 

crime was committed. FCWP was fined 

$loO,oOO.oO, and placed on five years probation. 

The investigation was conducted by EPA and the 

FBI. 

Y.S. v. Gaston Copperlky clirr~ ' - Coroorm 

gL (D. S.C.1: After shipping 3,000 tons of toxic 

3 -80 
fertilizer overseas, several corporate executives 

and companies pled guilty to violations of RCRA 

or TSCA, and several have been sentenced. The 

"fertilizer" was made with baghouse dust, a 

hazardous waste removed from air pollution 

control equipment in the United States and toxic 

for lead and cadmium under RCRA regulations. 

Between 1,000 and 2,000 tons of this material was 

applied directly by hand to food crops in 

Bangladesh. Discovery of the incident resulted in 

international controversy involving foreign 

governments, environmental groups, the United 

States government and the Asian Development 

Bank. Although some charges are still pending, 

and any defendant must be presumed innocent 

until proven or pleading guilty, this case is 

reported now. The case is a matter of considerable 

public interest, and it is important to let the 

world know that a number of the perpetrators 

have been brought to justice. 

On November 1, 1993, Gaston Copper Recycling 

Corporation (Gaston) and Southwire Company 

(Southwire) were sentenced. Gaston was ordered 

to pay $600,000, which the judge said may be used 

to treat or dispose of the portion of the fertilizer 

that is still in storage in Bangladesh, and to pay 

$200,000 to the South Carolina Department of 

Health and Environmental Control. Southwire 

was fined $190,000. Both companies were 

sentenced to two years of probation, ordered to 

perform environmental assessment studies on 

their facilities, and ordered to publish in 

newspapers a formal apology to the people of 

South Carolina. On December 22, 1992, Gaston 

and Southwire each pled guilty to eight counts of 

violating TSCA. Southwire executive Bruce E. 

Betterton also pled guilty on December 22, 1992, to 

a single TSCA violation. On November 1, 1993, 

Betterton was fined $10,000 and sentenced to two 

years of probation and 100 hours of community 

service. The three defendants' TSCA violations 

were for failing to report to EPA the distribution 

in commerce of a chemical substance or mixture 

while possessing information that it presents a 

substantial risk of injury to health or the 

environment. 

On August 17,1993, Robert D. Weaver pled guilty 

to two counts of violations of RCRA for illegal 

transportation without a manifest and illegal 

export of hazardous waste, and Arthur G. Heinel 

pled guilty to one count of illegal transportation 

of hazardous waste without a manifest in 

violation of RCRA. Their sentencing is pending. 

Stoller Chemical Company (Stoller) of Jericho, 

S.C., was the manufacturer of micro-nutrients used 

to enhance fertilizer. Weaver was the General 

Manager of Stoller, and the person responsible for 

ordering materials for the plant. Heinel is the 

President and owner of Hy-Tex Marketing, a 

hazardous waste broker, located in Beaufort, S.C. 

In return for a $50,000 kick- back from Heimel, 

Weaver and Heimel caused baghouse dust (with a 

total lead content as high as thirty-one percent) 

to be transported without a hazardous waste 

manifest from Gaston, S.C., to Stoller's Jericho 

plant. Stoller then mixed this hazardous waste 

with other material, some of which was another 

hazardous waste, to produce 3,000 tons of 

contaminated micro-nutrient fertilizer which was 

then exported overseas. The export of the new 

mixture, which was also hazardous waste 

characteristically toxic for lead and cadmium, 

occurred without the required consent of the 

receiving country, Bangladesh. Stoller was 

indicted in 1992 and is now in bankruptcy. 

Southwire is headquartered in Carrollton, 

Georgia and is the primary stockholder of Gaston, 

a company that operates a copper recycling plant 

in Gaston, S.C. Betterton is a corporate executive 

of Southwire and participated in the 

management of the baghouse dust generated at 

the Gaston plant. In September and October of 

1991, Gaston generated and shipped baghouse 

dust to Stoller while having knowledge, 

including their own material safety data sheet, 

that the baghouse dust presented a health 

hazard because it contained high concentrations 

of lead and cadmium; the dust can be toxic by 

ingestion and inhalation. 

This case involved significant federal, state and 

local cooperation. EPA was assisted by the South 

Carolina Department of Health and 

Environmental Control's Criminal Investigation 

Division, by the Charleston County, South 

Carolina, Sheriff's Department, and in Australia 

and Bangladesh by the US. Customs Service that 

obtained key samples and conducted liaison with 

foreign governments. 

Y.S. v. v. (N.D. Tex., 

aff'd, 5th CicL: In the first federal prosecution 

filed (in 1990) in the U.S. for enforcement of a 

city's EPA-approved pretreatment program to 

3-81 
FY 1993 Enforcenwnt Accomplishments Report 

implement the CWA, after the second of two 

appeals, the individual responsible was 

sentenced to 33 months of imprisonment. Both the 

individual and his company, which did not 

appeal, had pled guilty on October 5, 1990, and 

his company was sentenced to pay a fine of 

$i,ooo,oon. 

On March 17, 1993, the Fifth Circuit Court of 

Appeals affirmed the second sentence, 33 months 

of imprisonment, imposed on July 23, 1992, to 

Herman Goldfaden. The court held that a fourpoint offense level increase under the Sentencing 

Guidelines for disposal without a permit applied 

to a defendant convicted of unlawful industrial 

waste discharge, even if he could not have 

obtained a permit for his conduct due to his use of 

improper equipment, and that the vacating of 

defendant's initial sentence did not preclude (at 

the time of resentencing) offense-level 

enhancement for obstruction of justice based on 

perjured testimony given at the original 

sentencing hearing. 

Goldfaden's recent, failed appeal followed his 

earlier appeal in this case, in which Goldfaden 

had successfully obtained a ruling by the Fifth 

Circuit on April 22, 1992, that vacated his first 

sentence (to three years imprisonment and a 

$75,000 fine, imposed July 16,1991) and remanded 

the case for resentencing or withdrawal of his 

plea agreement. 

Goldfaden pled guilty to one CWA felony for the 

1989 unpermitted discharge of industrial 

wastewater into a private sewer in East Dallas, 

from which it flowed into a sewer. His former 

company, Control Disposal Co., Inc., which he 

controlled, was in the business of cleaning grease 

and sludge traps and sewer lines. The company 

pled guilty to the same CWA violation and also a 

RCRA violation for falsifying documents on a 

shipment of hazardous waste. The RCRA 

violation occurred in 1988, when Control D'isposal 

workers hauled waste from the city of University 

Park. Although city officials told them that the 

waste was hazardous used paint thinner, mostly 

methyl chloride, the company misrepresented 

the waste on federal forms as being hydraulic 

fluid that can be disposed of more cheaply. The 

case was investigated in a cooperative effort of 

EPA, the Water Utilities and the Health and 

Human Services Departments of the City of 

Dallas, and the FBI. 

In a closely related case, on February 11, 1993, 

Ronald L. Voda, Sr., owner of Voda Petroleum 

Company of White Oak, Texas, was sentenced to 

60 days of incarceration, 120 days at a halfway 

house, 400 hours of community service, a $3,000.00 

fine, and five years of probation. In 1987, Ronald 

Voda and his company entered into an agreement 

with Goldfaden. In return for a payment by 

Goldfaden of $.lo for each gallon of waste listed 

on the paperwork regardless of whether or not it 

came to the Voda Petroleum plant, Voda signed 

trip tickets and hazardous waste manifests 

falsely certifying that Voda Petroleum Company 

received waste. Much of the waste listed on these 

papers was dumped illegally into sewer system 

in the Dallas area by Control Disposal Company. 

On February 10, 1989, while executing a search 

warrant at Voda Petroleum, EPA agents observed 

a ditch cut through a levee surrounding a process 

area at the plant. Wastewater was being 

discharged from this ditch that exceeded limits 

set for oil and grease in Voda's NPDES permit. 

Voda's plea agreement with the government 

allowed him to plead to a CWA misdemeanor in 

return for his cooperation and testimony in all 

proceedings involving Control Disposal Company 

and Herman Goldfaden. 

Y.S. v. Sa- (E.D. Pa.1: Illegal dumping 

of chemical wastes into a storm drain leading to 

the Delaware River, and illegal transport and 

storage in Philadelphia of extremely hazardous 

waste (phosgene and sodium cyanide), led to 

sentencing on January 26, 1993, for a 

pharmaceutical manufacturer. Samuel Gratz, the 

former President of Lannett Company, Inc., of 

Philadelphia, was sentenced to six months of 

home arrest and three years of probation. He was 

also ordered to pay a fine of about $210,000, 

consisting of $10,000 in cash and 10,000 shares of 

stock (trading at approximately $20 a share) in a 

company Gratz founded. The judge was more 

lenient than the Sentencing Guidelines 

prescribed, based on Gratz's age (he is in his 70s) 

and poor physical condition. At a trial ending on 

September 30, 1992, Gratz was found guilty of one 

count of illegal transportation of hazardous waste 

to an unpermitted facility, one count of illegal 

transportation of hazardous waste without a 

manifest, one count of unpermitted storage of 

hazardous waste, and one count of unpermitted 

discharging of pollutants into navigable waters of 

the United States. 

3-82 
@ FY I993 Enforcement Accomplishments Repon 

The criminal investigation began after the City 

of Philadelphia's Fire Department was unable to 

get Gratz to dispose of the wastes, which to the 

Fire Department presented a safety hazard. His 

company also failed to comply with a state court 

cleanup order. The waste was stored illegally at 

the Lannett facility in Philadelphia from 1987 to 

1991, except for the portion of the waste that 

Gratz had dumped down a storm drain from 1987 

to 1989. Following a hostile corporate takeover in 

which, as a result of the investigation, Gratz was 

ousted from management, Lannett Company has 

disposed of the wastes properly and conducted a 

soil cleanup at the Philadelphia facility. 

Y.S. v. Hansen C- Companv, et pL (D. 

Col.1: The first sentences for opacity violations of 

the CAA were imposed against a drum 

reconditioner and its top officers. The business 

processed many drums by dumping their liquid 

hazardous waste onto the ground and then by 

firing the drums in an incinerator to burn off 

hazardous-waste residue and paint. The 

incinerator was operated illegally and caused 

plumes of black smoke and lead waste to be 

released into the environment. 

The Hansen Container Company, located in Grand 

Junction, Colorado, reconditioned used 55-gallon 

drums from industrial and government sources. 

The company did not have a RCRA permit to 

treat, store or dispose of hazardous waste. The 

company's president, Christian E. Hansen, Jr., and 

its former executive administrative assistant, 

Michael Bilney, each were sentenced on October 

21, 1992, to a one-year sentence composed of 30 

days of incarceration, the balance to be served on 

probation, plus a $10,000 fine. Each had pled 

guilty to a misdemeanor violation of the CAA for 

emissions and smoke in excess of permissible 

limits. The company also pled guilty to violating 

RCRA by conducting illegal treatment, storage, 

and disposal activities, and it was fined 

$250,000. 

Y.S. v. (D. Md.): A real 

estate partnership was sentenced to pay a 

substantial fine and to grant a conservation 

easement for violations in Maryland of the 

wetlands protection requirements of the CWA. 

Hartford Associates, a Berlin, New Jersey 

partnership controlled by Joseph Samost and 

engaged in property development, was sentenced 

on October 7,1993, to pay a $100,000 fine and to 

grant a conservation easement on more than 100 

acres of wetlands. The conservation easement 

will effectively restrict further development of a 

large portion of the property involved. The 

partnership pled guilty to one count of negligently 

discharging excavated fill material without a 

permit into four acres of wetlands on a large tract 

of land that the partnership owns near Elkton, 

Maryland. 

US. v. Hi-T-. (W.D. Ky.): The 

illegal discharge of chemical by-products into 

the Ohio River caused Hi-Tek Polymers, Inc. to 

plead guilty on November 20, 1992, to violating 

the Rivers and Harbors Act. In accordance with 

the plea agreement, Hi-Tek was sentenced to pay 

a fine of $125,000 and to conduct two EPAsponsored public educational seminars. 

Hi-Tek, located in Louisville, KY, is a wholly 

owned subsidiary of the French chemical firm 

Rhone-Poulenc and manufactures industrial 

coatings, resins, and synthetic chemical 

compounds. On May 18,1989, Hi-Tek caused the 

illegal discharge of refuse material into the Ohio 

River during an untested manufacturing process 

that Hi-Tek was undertaking for a new product. 

The process caused chemical by-products, 

including N-Butanol and Xylene, to be discharged 

into the Louisville metropolitan sewer system. 

US. v. K-. (S.D. Tex): 

Sentencing has occurred in a CWA pollution case 

in which a vessel burned and five crew members 

suffered burns and other injuries. The fire occurred 

during the illegal pumping of hexane, styrene, 

xylene, toluene, and benzene from the ship into 

the Houston ship channel. In May 1990, the 

SETB was housed at the New Park Shipyard. 

Crew members began pumping the chemicals into 

the water while a welder was also working on 

the ship's rudder. When the welder attempted to 

light his torch, sparks ignited the vapors from 

the chemicals. 

On April 2, 1993, Kingsport Shipping, Inc., owner 

of the vessel, pled guilty to one count for the 

negligent discharge of a pollutant without a 

permit, and agreed to a fine of $85,000. This 

resolution was acceptable to the government 

because the two most culpable individuals have 

fled to their homeland in the former Yugoslavia. 

.. 

3-83 
FY 1993 Enforceiflent Accomplishments Report 

'., 

U.S. v. Thw 1. Kowa-1. (D. Ohiol: 

Sentences were imposed upon the creators of 

Pennsylvania's "Marcy Road" Superfund 

emergency removal site, and $80,000 was ordered 

paid as restitution to the Superfund. The problem 

was discovered when barrels of hazardous paint 

waste turned up along roadsides in Ohio and Pa. 

during 1991. On August 3, 1993, Thomas J. 

Kowalski, Harry J. Meininghaus, and MCM 

Warehouse, Inc., located in Ohio, were sentenced 

upon their guilty pleas relating to an illegal 

dumping of hazardous waste, and an illegal 

asbestos stripping operation at the Ohio 

warehouse, in violation of CAA and RCRA. 

Kowalski, manager of MCM, was sentenced to 

three years of probation. Meininghaus, an MCM 

foreman who actually disposed of the waste and 

previously had served a year in Ohio state prison 

in connection with the disposal in that state, was 

sentenced to 100 days of federal incarceration and 

one year of supervised release. MCM was 

sentenced to pay $80,ooO to EPA as restitution and 

to probation for five years. 

A joint EPA and Ohio EPA investigation 

identified those responsible for the roadside 

dumping, and the waste was traced to the MCM 

Warehouse, where agents discovered that an 

illegal asbestos stripping operation had also been 

conducted. Meininghaus and two contract workers 

were also convicted in state courts of Ohio and Pa. 

U.S. v. Lake Doctdc.. et 211. (M.D. Fl.) 

Another scheme involving illegal use of the 

herbicides Karmex and Direx in Florida lakes 

has resulted in heavy sentences for those 

culpable, which should have a significant 

deterrent effect on Florida aquatic weed control 

specialists. The misapplication of these 

herbicides can be very profitable for applicators 

and is believed to be widespread in Florida. 

These powerful herbicides are not registered for 

application into water, where they can cause 

considerable environmental harm. 

On September 27,1993, James L. Williams, owner 

of Lake Doctors, Inc., was sentenced to three 

months in a halfway house, followed by six 

months of home detention, and five years of 

probation, to pay a $20,000 fine, and to perform 

750 hours of community service. His company was 

placed on five years of probation, fined $100,ooO, 

and ordered to perform 1,OOO hours of community 

service. Both had pled guilty to use of a pesticide 

inconsistent with the label in violation of FIFRA, 

and with fraudulent use of the mails to 

misrepresent to customers that the application 

was environmentally sound, in violation of 18 

U.S.C. 1341. Company Vice President Albert 

Semago was sentenced to 30 months of probation, 

300 hours of community service, and a $5,W fine. 

Ken Savell, manager of the company's 

Jacksonville office, was sentenced earlier to six 

months of probation, 50 hours of community 

service, and a $500 fine suspended upon successful 

completion of probation. Six company applicators 

are pending sentencing. 

This case was investigated by EPA in conjunction 

with a multi-agency task force which included 

the Florida Department of Agriculture, the 

Florida Fresh Water Fish and Game Commission, 

and the Broward County Sheriffs Office. 

(N.D. Ohio): On April 22, 

1993, Michael Laska was sentenced to serve seven 

months in prison and seven months home 

detention, and pay a fine of $3,000 as a result of 

his illegal asbestos renovation project. Laska is 

the owner of a warehouse in Cleveland, Ohio. 

Laska hired neighbors to strip the asbestos 

insulation from the warehouse, but provided no 

water for their use or training. Laska's plea 

agreement allows him to remain free while he 

appeals a pretrial suppression ruling. He will 

begin his term of imprisonment if he loses his 

appeal. A co-defendant, Steven Howell, was 

sentenced to a term of probation. 

This investigation was initiated when a 

confidential informant contacted EPA with 

information that Laska had hired a crew to strip 

insulation from his warehouse. When the workers 

asked whether there was asbestos in the 

building, Laska informed them that the asbestos 

wouldn't hurt them, and provided paper masks. 

No water was ever used during the operation, 

which lasted approximately six months. EPA, in 

conjunction with the FBI, began a surveillance and 

observed Laska dumping asbestos waste in a mall 

dumpster. EPA then executed a search warrant at 

the warehouse to obtain documents, samples and 

measurements. Laska was charged with CAA 

violations relating to the illegal stripping 

operation, and with a CERCLA charge for failing 

to report the release of asbestos in the dumpster. 

In pretrial motions, Laska challenged the 

constitutionality of the search warrant, arguing 

3 -84 
that the warrant was based on evidence obtained 

through prior warrantless inspections conducted 

by the local air agency and EPA. Ihe government 

won in the trial court, but permitted Laska to 

appeal the ruling as a part of his plea. 

v. Gary (D. Mt.): For the illegal burial 

of thirty-eight drums filled with hazardous 

waste in a gravel pit in Vaughn, Montana, the 

president of a construction company was sentenced 

to five years of probation, including four months 

of electronically monitored home detention, and 

$500,000 in restitution to be paid over the course 

of the five-year probationary period. On March 

26, 1993, Gary Lewis, President of Lewis 

Construction Co., dba Interstate Specialties, Inc., 

was sentenced upon his plea of guilty to a 

violation of RCRA. On January 25,1993, he pled 

to one count of disposal of hazardous waste at an 

unpermitted facility. 

Y.S. v. David kkman. et aL (D.Conn.): The 

discovery by hunters of approximately 3.5 tons of 

asbestos, illegally dumped in a state wildlife 

management area in Tolland, Connecticut, and in 

another wooded site nearby, led to the sentencing 

on July 7, 1993, of the four defendants who 

participated in the crimes. 

David Liebman hired workers to remove asbestos 

from an old mill in Vernon, Connecticut, owned by 

his family, that was to be sold to a developer. 

The asbestos was torn down without any safety 

precautions and dumped in the woods. Liebman 

was sentenced to ten months of incarceration, one 

year of supervised release, and a $3,000 fine, upon 

his plea of guilty to a violation of CERCLA for 

not reporting the release. Louis Lavitt, real 

estate broker to the sale of the mill, was 

sentenced to five years of probation and a $4,ooO 

fine upon his guilty pleas to a charge of 

conspiracy to violate the CAA and to a charge of 

disposal of asbestos in violation of the CAA. The 

two workers hired by Liebman were also 

sentenced. William Janiak was sentenced to six 

months of home detention, 250 hours of community 

service, and five years of probation, upon his 

guilty plea to a charge of conspiracy to violate 

CERCLA. Thomas Janiak was sentenced to five 

years of probation and 250 hours of community 

service upon his guilty plea to a charge of 

conspiracy to violate the CAA. 

Y.S. v. Lone Services Corporstipn (D. Wa.): The 

.. 

dumping of 2,500-3,OOO Ibs. of asbestos down the 

toilets of a public high school led to the 

sentencing on June 18, 1993, of Long Services 

Corporation of Seattle, Washington. The 

company was ordered to pay a fine of $25,000, 

upon its guilty plea to two counts of violating the 

Clean Air Act by illegally disposing of asbestos. 

In July 1989, while Long Services Corporation was 

under contract to remove asbestos from the Castle 

Rock, Washington, High School, the company 

poured large quantities of asbestos and asbestos 

slurry down the toilets and into the sewer system 

leading to a publicity owned treatment works 

(POW). Following discovery of the illegal 

disposal, the sewer system had to be cleaned of 

the asbestos contamination and the contaminated 

POW sludge disposed of appropriately. 

ble Oil Pro- (W.D. 

Ky.): The illegal removal of asbestos from two 

facilities undergoing renovation and the release 

of asbestos to the air led to sentencing of the 

defendants. Louisville Edible Oil Products, Inc. 

(LEOP) was sentenced to pay a $350,000 fine, 

with $50,000 conditioned upon LEOP spending 

$125,000 on clean up of the asbestos. On January 

8,1993, in addition to LEOP, the other 

defendants, Presidential, Inc., Raymond Carl 

Mirrillia, Jr. (a former Vice-President of LEOP), 

and A. Dean Huff (President of Presidential, Inc., 

and a former Vice-president of LEOP) were 

sentenced. The individuals each were sentenced 

to six months of in-home incarceration, to pay the 

cost of their electronic monitoring, to two years of 

probation, and a $2,000 fine. Presidential was 

sentenced to a $50,000 fine. 

This case is significant because of the important, 

precedential decision handed down in 1991 after 

LEOP appealed the indictment to the U.S. 6th 

Circuit Court of Appeals. Because the local air 

pollution control agency had previously fined 

LEOP for the asbestos removal, LEOP argued 

that, because EPA and the local agency worked in 

concert, EPAs subsequent pursuit of criminal 

sanctions violated the U.S. Constitution's 

prohibition against double jeopardy. However, 

the appellate court ruled that EPA and the local 

entity represented separate sovereigns, so that 

EPAs pursuit of criminal sanctions did not 

constitute double jeopardy, thus leaving EPA free 

to pursue criminal enforcement despite prior local 

action. The US. Supreme Court declined to 

review the case. This decision is significant 

3-85 
FY 1993 Enforcemeni Accomplishments Repon 

because it allows EPA to backstop local agencies 

by seeking federal penalties if necessary. 

YL- (N.D. Cal.): The 

unpermitted dredging and disposal by a San 

Francisco boat yard of its dredged spoils into San 

Francisco Bay led to a two-year prison term for 

the individual most responsible. The company 

president knew that he needed a U.S. Army Corps 

of Engineers permit to dredge the channel to his 

boat yard in order to bid for U.S. Navy repair 

work. In addition to a two-year prison sentence, 

Manning was sentenced to pay a fine of 55,000. 

James was sentenced to a six-month prison term 

and a fine of 52,000. The company was sentenced 

to a $10.000 fine and to three years of probation. 

A civil consequence of the convictions has been 

that the boat yard has been placed on the list of 

facilities ineligible.to receive U.S. government 

contracts. 

ennis Mw&&-&& (E.D. Pa.):A 

lawyer-developer was sentenced to two years in 

prison and a 525,000 fine for violations of the 

CAA, CERCLA, and TSCA at a Superfund site 

contaminated with asbestos and PCBs. But the 

sentencing judge only gave half the permissible 

sentence enhancements because the site cleanup 

will involve substantial costs. The court observed 

that the site had asbestos problems at the time 

Marchuk acquired it, and that he had spent more 

than one million dollars removing asbestos from 

buildings. 

Dennis Marchuk, a lawyer and real estate 

developer (president of Strathaven Realty, hc.) 

from Crystal Lake, Illinois, was sentenced for 

illegally disposing of friable asbestos and 

improperly storing PCBs at the East 10th St. 

Superfund site in Marcus Hook, Pa. On July 23, 

1993, ihe sentencing judge concluded that 

Marchuk was guilty of "ongoing, continuous, or 

repetitive" releases of hazardous substances. In 

1986, Marchuk (or his company) had purchased 

the Marcus Hook Business and Commerce Center, a 

40-acre former FMC manufacturing plant. During 

1987 and 1988, Marchuk had contractors Michael 

Kelly and Robert Tam remove asbestos. Marchuk 

and his employees used heavy equipment to bury 

thousands of bags of asbestos on the site. PCB 

violations were committed when he had 

transformers drained and then stored the PCB 

liquid in unmarked drums in various buildings for 

a number of years. Marchuk also submitted false 

leases and other financial information to banks 

financing part of the redevelopment project. 

Two of Marchuk's co-defendants were also 

sentenced. On October 8, 1993, Jeanne Alvarez, 

Vice-President of Marchuk's real estate company, 

was sentenced to 36 months of probation and 100 

hours of community service upon her guilty plea to 

three felonies for one violation of CERCLA and 

two of bank fraud. Robert Tann, a co-owner with 

Michael Kelly of the demolition contractor that 

worked on the site, was sentenced to two years of 

probation and 150 hours of community service for 

failing to remove all asbestos before demolishing 

a building. Sentencing of Kelly is pending. 

(N.D. Tex.): Prison 

sentences were imposed on the businessmen 

culpable for discharging hazardous wastewater 

into the public sewers of the City of Irving, Texas. 

In manufacturing electronic circuit boards, the 

defendants used acids and heavy metals such as 

cyanide, lead, copper and nickel. Employees used 

a temporary "cheater" or by-pass pipe to divert 

wastes directly to the city sewer instead of 

sending them to the city's pretreatment system. 

The scheme was designed to save the expense of 

operating a waste water treatment system and to 

evade the conditions imposed by the municipal 

ordinance prescribing CWA pretreatment 

requirements. Pursuant to a search warrant, CID 

surreptitiously monitored the discharge with the 

use of an automatic sampler. By timing the high 

concentrations of metals and acids being 

discharged without treatment, evidence also was 

obtained which indicated that the "cheater" 

pipe was removed quickly and the waste was 

properly treated whenever a city inspection was 

imminent. 

h February 1993, each defendant had pled guilty 

to one or more CWA violations. On May 7, 1993, 

John Edward Klein, owner of Klein PC, Inc. a 

personal computer company, was sentenced to 

twenty months in federal prison and a year of 

probation. Klein's company was fined $15,000. 

Mark Edward Jones, a foremen at Metro 

Technology, Inc. and the brother of a third 

defendant, was sentenced a year in prison and a 

year of probation. On May 28, 1993, defendant 

Terry Wayne Jones was sentenced to two years of 

imprisonment, but not fined because of his poor 

financial status. His company, T.W. Jones & 

Associates, Inc., formerly Metro Technology, Inc., 

3-86 
was fined $5,000 and sentenced to five years of 

probation. Both companies, Klein PC and T. W. 

Jones, which shared operating premises at the 

time of their violations, were ordered to publish 

advertisements in the Water Federation Journal, 

a trade publication, explaining the nature of 

their offenses and the punishment received. 

Y.S. v. loint Venture (W.D. Wa.): 

Plastics dumped at sea are deadly to marine 

animals that ingest them. On November 8, 1993, 

in the first criminal prosecution ever to enforce 

the provisions of an international treaty that 

prohibits the disposal of plastics at sea, the 

operators of a large "fish-factory'' vessel were 

sentenced to pay a $150,000 fine over a five-year 

period, with $50,000 to be paid on the day of 

sentencing, and to a five-year term of probation. 

On April 13, 1993, the lrene Joint 

Venture, dba Golden Age Fisheries, entered its 

plea of guilty to a charge of knowing disposal of 

plastics into the sea in July 1989. At the time of 

the offense, the Michelle Lreae Joint Venture was 

composed of three Washington-State 

corporations, namely, Westcod 11, Inc., Simonson 

Enterprises V, Inc., and BTI IV, Inc. These business 

partners were held subject to the conditions of the 

five-year term of probation. 

The dumping of plastics by American flag vessels 

was outlawed on December 31, 1988, with the 

impkmentation of Annex V of the International 

Convention for the Prevention of Pollution of 

Ships, known as the MARPOL Protocol, adopted 

in accordance with the Act to Prevent Pollution at 

Sea from Ships. Former crew members provided 

information to EPA that they had dumped 

plastics overboard under orders from management 

while the vessel was at sea beginning in 

December 1988. The vessel is a 253-foot fishprocessor that uses large quantities of plastic 

bags, liners, straps, and containers. Although the 

vessel was equipped with a state-of-the-art 

incinerator capable of burning plastic, a fire 

shortly after it left port in December 1988 

rendered the incinerator virtually inoperable 

during the time of the dumping at sea. 

YS. V. M 0 -L ines. et & (N.D. Ind.): 

Sentences were imposed on those culpable for 

failure to report the April 1987 release of over 

30,000 gallons of hydrochloric acid in Gary, 

Indiana. The spill created a cloud of acid vapor 

that forced the evacuation of over 2,OOO people, 

caused over 100 people to receive medical 

treatment for exposure to the fumes, and caused a 

nearby freeway to be closed. The spill occurred at 

a facility owned by a national truck carrier, 

headquartered in Florida. At the sentencing on 

March 18, 1993, the judge said that earlier 

notification would have speeded up the cleanup 

and helped prevent aggravating the situation. 

Gordon D. Babbitt, a former Vice President of 

MongomeIy Tank Lines, Inc. (MTL), was sentenced 

to one year in jail (nine months suspended), a fine 

of $120,000, and two years of probation. He 

pleaded guilty to a CERCLA felony charge of 

failing to promptly report the spill. MTL also 

pleaded guilty to the CERCLA charge, and was 

sentenced to pay a fine of $150,000, to reimburse 

the government for cleanup costs, resolve citizen 

claims against MTL arising from the spill, and to 

pay a $4,000 fine to the Gary Indiana Sanitary 

District. Three other MTL employees pleaded 

guilty to CWA misdemeanor violations for 

allowing the acid to enter the sewer system, and 

were sentenced to fines of $2,500 each, and in one 

case to a one year term of probation. 

The spill occurred at a tank storage facility 

owned by MTL, and used by the Gary Products Co. 

The president of Gary Products, William Keagle, 

who was indicted in 1990 for his failure to 

immediately report the spill, previously pleaded 

guilty and was sentenced to probation. The 

investigation continued and determined that the 

MTL defendants had tried to hide their 

knowledge of the spill and even their role in 

arranging for the acid to be shipped to the 

facility. 

Y.S. v. MveE (W.D. Mich.L: On July 1,1993, the 

US. District Court for the Western District of 

Michigan, sentenced William Myers for violating 

CERCLA's prohibition against knowingly 

transporting hazardous waste without an 

accompanying manifest. Myers was sentenced to 

one year in prison, and ordered to pay restitution 

in the amount of $50,000 to the EPA. The 

restitution was for costs EPA had incurred in 

disposing of drums of hazardous waste which 

Myers had paid to be shipped in a trailer from 

his property in Cassopolis, Michigan, to a 

parking lot in Ohio, and abandoned. Myers was 

also sentenced to one year of supervised release 

after his prison term, and to 416 hours of 

community service. 

3-87 
FY 1993 Enforceinen1 Accomplishments Repon 

Myers is the owner and lessor of property in 

Cassopolis, Michigan. Myers was also a Trustee of 

the Town of Cassopolis. A lessee of his property 

operated a plastics manufacturing business at the 

site before going out of business and abandoning 

drums of chemicals, including hazardous wastes, 

at the property. Myers unsuccessfully attempted 

to have officials associated with the lessee 

remove the drums. Failing at that, Myers 

purchased a trailer and paid a person to load the 

drums onto the trailer, drive it to the parking lot 

of a facility in Ohio, at which a former manager 

of the plastics manufacturer was then employed, 

and abandon it. Myers did not inform the driver 

that the drums contained hazardous material, 

and did not prepare manifests to accompany the 

wastes. EPAs costs associated with disposing of 

the waste are approximately $180,000 to date. 

US. v. No-(D. 

Wa.): Sentences were imposed on a photo 

chemical milling company in Tacoma, 

Washington and its two top officers, for dumping 

heavy-metal laden wastewater into a storm 

drain leading directly to Puget Sound. After the 

company had been denied an NPDES permit to 

discharge treated wastewater to the sanitary 

sewer system by the City of Tacoma, the company 

made false representations to the City that the 

company would utilize a new closed loop 

wastewater recycling system that would generate 

no wastewater so that it would not need a permit. 

Surveillance established that the company was 

in fact discharging its wastewater into its 

parking lot storm drain before daybreak using a 

portable PVC pipe apparatus. The investigation 

determined that approximately 1/2 million 

gallons of wastewater had been illegally 

discharged during at least one year. The company 

is a subcontractor producing precision metal parts 

for a major contractor with NASA. 

On May 21, 1993, Samuel Edward Emery, Chief 

Chemist for Northwest Etch Technology, Inc., was 

sentenced to two months of home detention 

(monitored electronically), two years of 

probation, and to a fine of $1,000, following his 

plea on February 25,1993, of guilty to one count of 

violating the CWA. On March 29,1993, company 

President Carl Leroy Whinery was sentenced to 

four months of home detention, four years of 

probation, and a fine of $2,000, following his plea 

on February 25,1993 of guilty to CWA violations. 

Whinery had also pleaded guilty on behalf of 

the corporation, which was sentenced to five 

years of probation and fined $25,000. 

Y.S. v. Orkin&& &Q, (W.D. Va.): For 

committing approximately 300 violations of state 

and federal pesticide regulations while on 

probation for prior offenses, and 200 more 

violations that occurred subsequent to the 

completion of probation, and by failing to report 

such violations, a national pest exterminating 

company was found to have violated the terms of 

its probation. In 1993, the US. government 

initiated a proceeding to enforce the terms of 

probation imposed after a 1988 conviction of 

Orkin for FIFRA violations that resulted in the 

death from pesticide poisoning of an elderly 

Virginia couple. On June 1, 1993, the court fined 

Orkin $35,000 for having violated the terms of its 

probation. This case sends the message that 

probation is not a meaningless sanction, and that 

the probationer will face additional penalties if 

environmental compliance is not vigorously 

maintained. 

Orkin Exterminating Company was convicted and 

sentenced in 1988 for violating FIFRA during an 

application of the fungicide Vikane. The court in 

1988 imposed the maximum fine allowed, 

$500,000, but suspended $150,000 of that amount, 

required Orkin to perform 2,000 hours of 

community service, and placed Orkin on two years 

of probation. Among the conditions of probation 

was a requirement to obey federal, state, and 

local laws and to notify the court of any 

violations, which Orkin thereafter failed to do. 

Y.S. v. Pa-, E.D. Wa.): On 

September 15, 1992, Gerhard Herman Zimm, Sr., 

his daughter Brigette Zimm Punch, and Pacific 

Aqua Tech Limited were charged with conspiracy 

to violate CERCLA, conspiracy to violate the 

work practices and operating standards of the 

Clean Air Act, and with violations of CERCLA. 

Zimm and the corporation were charged with a 

knowing endangerment count under CAA. On May 

4, 1993, all three defendants entered guilty pleas, 

as the result of negotiations with the Assistant 

U.S. Attorney. Brigette Zimm Punch entered a 

guilty plea to a pre-1990 misdemeanor violation 

of the Clean Air Act. Gerhard Herman Zimm and 

the corporation were placed on probation for four 

of the charges on the following conditions: they 

must fund a trust annuity having the face value of 

$1,000,000 twenty years from the date of the 

. .. 

.. 

3-88 
.,.1 

FY I993 Enjorcernenf Accomplishments ReporI 

sentencing, naming as beneficiaries the past 

employees of Pacific Aqua Tech Limited from the 

date of purchase or possession of the facility by 

Zimm, with the exception of Zimm, Punch, and 

anyone related to either of them. The trust is to 

pay the cost of medical and associated expenses of 

asbestosis or asbestos-related diseases 

commencing in 20 years and lasting for the life of 

the last beneficiary to die or 60 years from the 

date of sentenckg, whichever is the lesser period 

of time. Zimm and the corporation are also 

required to adequately contain all asbestos in the 

corporation's facility and to pay for all Superfund 

costs in the emergency response action that was 

taken at the corporation's facility in October 

1991. 

Y.S. V. Pacific NW (D. 

Wa.): The chief executive officer of a marine 

terminal company was sentenced to six months of 

home detention, one year of probation, and a 

$2,000 fine. After saying that the asbestos 

removal and disposal regulations was too costly 

and time consuming, he then directed his 

employees to remove asbestos from the pipes of 

his large bulk tank storage facility at the Port of 

Tacoma, to drop the asbestos to the ground and to 

abandon it. The asbestos was subsequently 

cleaned up by Port of Tacoma contractors under the 

direction of EPAs Superfund. 

On March 19, 1993, Pacific NW Terminals, Inc., 

and Ellis (Ray) Kiser, the company's owner and 

chief executive officer, were sentenced. The 

company received a $10,000 fine and was ordered 

to pay approximately $17,000 in restitution to the 

Port of Tacoma. On January 8,1993, Kiser and the 

company each had pled guilty to a one-count 

violation of the Clean Air Act. They admitted to 

the knowing disposal of at least 264 linear feet of 

dry friable asbestos in a concentration of 

approximately 75% in violation of the 

applicable work practices and operational 

standards, during the period April 1988 to June 

1989. 

Y.S. v. Nobert PoU (D. NM): In the first 

environmental criminal case in New Mexico 

resolved with a guilty plea, Nobert Pohl, the 

former owner of Service Circuits, Inc., a circuit 

board manufacturing facility located in 

Albuquerque, New Mexico, entered a guilty plea 

on Wednesday, September 22,1993, to two counts 

of storage and disposal of hazardous waste 

.. 

without a permit in violation of RCRA, and one 

count of violating the City of Albuquerque 

pretreatment ordinance, promulgated pursuant to 

the CWA. Pohl was indicted on April 7, 1993, by 

a federal grand jury for these violations as well 

as the failure to submit quarterly reports to the 

City as required by the wastewater discharge 

permit. 

Pohl generated hazardous waste at the metal 

plating facility in Albuquerque from 1985 to 1989. 

Operations involved the electrolytic plating 

methods used to introduce the metallic phase onto 

circuit boards. The process involved dipping 

boards into acidic solutions containing heavy 

metals. Solvents were used to clean and dry the 

boards and printing inks were used for labels. 

During this time, Pohl stored listed and 

characteristic hazardous wastes'on site. Pohl 

also improperly discharged lead contaminated 

wastewater into the City of Albuquerque's sewer 

system. On several occasions, Pohl received 

information from the State of New Mexico and 

City of Albuquerque regarding the proper 

management of hazardous waste. In 1989, Pohl 

ceased operations and abandoned the facility. 

EPA and the State of New Mexico spent hundreds 

of thousands of dollars removing contaminated 

soils and 150 containers of hazardous waste from 

the site to permitted disposal facilities. Pohl's 

sentencing was scheduled for December 20,1993. 

Y.S. v. P- (S.D. Ca.): A major 

agricultural pesticide applicator was sentenced to 

a $100.000 fie, and to pay $3,000 in restitution to 

the Imperial County Health Department and 

$16,500 to EPAs Superfund, after one of its former 

managers ordered the dumping of at least ten 

truckloads of contaminated soil in a dry arroyo 

leading to the New River near Calexico, Ca. The 

manager ordered that cardboard be taped over 

the company-name signs on the trucks, and he 

instructed the drivers to take circuitous routes to 

the dump site. Elevated levels of the pesticides 

dibromomethane, dichloropropane, and 

trichloropropane, as well as DDT and cadmium, 

were detected there. The company completed an 

EPA-supervised cleanup of the site in July 1992, 

during which over 100 truckloads of contaminated 

soil were removed from the site and disposed of 

properly in a hazardous waste landfill. 

On January 14,1993, I'uregro Company, aka Brea 

Agricultural Services, of Heber, Ca., a subsidiary 
FY 1993 Enforceittent Accontplishmenfs Repon 

of Unocal, pled guilty to one count of knowingly 

transporting a hazardous waste to an unpermitted 

facility and was immediately sentenced. The 

investigation into the former manager's conduct is 

continuing, and further charges are expected. 

U.S. v. W11-d 1. Patrick Dowa(D. 

Del.): The legal odyssey of persons responsible for 

the voyage of the Iulian Sen reached a turning 

point on October 4, 1993, with the sentencing of 

two shipping executives to prison terms for Ocean 

dumping and perjury regarding the events of the 

vessel's voyage. Although the defendants have 

filed appeals and the case has not yet been 

finally concluded as the first successful ocean 

dumping case, it is a case of national and 

international interest. 

The voyage of the Iulian &=a began in 1986 when 

approximately 15,000 tons of Philadelphia's 

municipal incinerator ash was shipped on the 

vessel to an intended disposal location in the 

Bahamas. However, the ship was refused 

permission to dispose of the ash there and in 

various other locations. After seeking to find a 

disposal location during 1987 without success, the 

ship returned to the lower Delaware Bay in 1988. 

From there the ship slipped away against the 

orders of the Coast Guard, dumped its cargo in the 

Atlantic and Indian Oceans, and arrived empty in 

Singapore in November 1988. By that time, the 

ship had been sold at least once to off-shore 

companies and its name had been changed. 

William P. Reilly and J. Patrick Dowd were 

executives with or affiliated with several 

companies which acted, at various times, as the 

charterer, agent, and owner of the Khb.~ &=a. 

Their trial in June 1993 featured testimony of 

three crewmen, including the captain, and a 

photograph taken by a crew member showing the 

ash being bulldozed off the side of the ship. 

Reilly was convicted of one count of ocean 

dumping, one count of lying to a federal judge,and 

one count of lying to a federal grand jury over the 

ash's disappearance. Reilly was sentenced to a 

total of 37 months of imprisonment, a $7,500 fine, 

and 36 months of supervised probation. Dowd, 

convicted on one count of lying to a federal grand 

jury concerning the disappearance of the ash, was 

sentenced to a total of five months of 

imprisonment, five months of home detention, a 

$20,000 fine, and 36 months of supervised 

probation. 

.. 

Y.S. v. Root (N.D. 111): On September 3, 1993, 

James Carl Root, the Village Administrator of 

Plymouth, Ohio was sentenced to one year 

probation and 80 hours of community service for 

mishandling PCBs. Root had admitted that he 

stored three PCB transformers for more than a 

year after the transformers were placed in 

storage, and that he did not dispose of the 

transformers pursuant to law. 

EPAs Special Agents, working with Ohio EPA, 

learned that in 1990, a number of PCB 

transformers had been disposed of illegally 

which were owned by the Village of Plymouth, 

Ohio. An investigation determined that at least 

three of the transformers had been sampled and 

determined to contain PCBs. Thereafter, the 

empty transformers were scrapped, but no one 

admitted knowledge as to who emptied the PCB 

oil. As a result of the investigation, Mr. Root, the 

head of the Village government, admitted his 

mishandling of the transformers, and pleaded 

guilty. 

Y.S. v. Stewart Beth (N.D. Ind.): A former 

wastewater treatment plant superintendent has 

been sentenced for filing four false monthly 

operating reports with the Indiana Department 

of Environmental Management. From December 

1986 through October 1987, Superintendent 

Stewart Roth represented that the treatment 

plant of the Hammond Sanitary District at 

Hammond, Indiana, processed several million 

gallons of waste water, when in reality much of it 

was discharged to the Grand Calumet River 

without treatment. 

On November 17, 1992, Roth was sentenced to 

three years of probation, five hundred hours of 

community service, and a $5,000 fine. On July 13, 

1990, Roth had pled guilty to four counts of 

violating 18 U.S.C. 5 1001. 

Y.S. V. Alfred B en !Waroni. 111. et al, (E.D. 

Cal.): The illegal dumping of 25 truckloads of 

wastewater into storm drains, which empty into 

the Oakland Estuary and San Francisco Bay, led 

to the sentencing of the president of a trucking and 

food company to two years in prison for violating 

the CWA. On April 23, 1993, defendant Alfred 

Benjamin Saroni, 111, was sentenced after he 

pleaded guilty to two counts of knowingly 

discharging industrial wastewater into storm 

drains in 1991. Saroni also was sentenced to a one- 

.. 

3-90 
FY I993 Enforcernenr Accomplishments Repon 

year period of supervised release upon completion 

of his prison sentence. Defendant Saroni Sugar 

and Rice, Inc., pled guilty to one count of 

negligently discharging pollutants and was 

sentenced to a $25,000 fine. Separate from the 

plea agreement, the corporation will pay $50,000 

in restitution to the Oakland Police Department 

and the Alameda County District Attorney's 

office for environmental law enforcement 

purposes. Sarman, Inc., which is now defunct, was 

sentenced to two years probation and no fine. 

Saroni is the president of both Saroni Sugar and 

Rice, Inc., dba Saroni Total Food Ingredients, and 

of Sarman, Inc., dba A&L Trucking, of Oakland, 

California. A&L Trucking transported liquid food 

products in tank trucks to food manufacturers, and 

then, to accommodate its customers, A&L also 

removed and transported their wastewater that 

was too acidic to discharge into local sewer 

systems. Saroni dumped the waste illegally into 

the storm drain on the premises of Saroni Sugar 

and Rice, Inc. 

Y.S. v. Robert H. 

&bd& (D. Ill.): Caught after taking deceptive 

actions to escape detection, the two top officials 

of an electroplater received heavy sentences for 

serious violations of CWA pretreatment 

requirements. On September 10, 1993, Robert H. 

Schmidt, President and owner of Rock Island 

Plating Works of Rock Island, Illinois, who pled 

guilty to three environmental felonies, was 

sentenced to 30 months of incarceration, a fine of 

$50,000, and two years of probation. His son, 

Lawrence B. Schmidt, a supervisor at the firm, 

who also pled guilty to several violations, was 

sentenced to twenty-four months of incarceration, 

a fine of $25,000, and two years of probation. 

Rock Island Plating is a job-shop electroplater, 

which discharges into the Rock Island city sewer 

system. A search warrant was executed at the 

facility in 1992, and covert monitoring was 

conducted, which revealed violations of numerous 

electroplating standards. Witness statements 

revealed that the Schmidts had routinely 

ordered inadequately treated plating wastes to be 

dumped into the sewer. They also directed that 

monitoring probes installed by the City be 

removed in order to disguise their discharges. 

Hazardous electroplating waste was also dumped 

in back of the facility. Furthermore, Robert 

Schmidt submitted a certification to the City 

that contained a forged engineer's certification 

that the pretreatment system was adequately 

designed and operated. 

yS. v. Floyd SFrsggiDs. et aL (W.D. Ok.): For 

disposing of methylene-chloride based paint 

stripper into a lagoon in violation of RCRA, an 

aircraft refurbishing company, its president, and 

its general manager were sentenced on February 3, 

1993. This followed their guilty pleas on 

December 3, 1992, each to the felony of 

unpermitted disposal of hazardous waste. 

Floyd Leon Spraggins is the owner and President 

of Cimarron Aircraft Corporation, located at the 

City of El Reno Municipal Airpark in El Reno, 

Oklahoma. Kenneth Lynn Norris is the general 

manager of operations for Cimarron at the 

airpark. Spraggins and Norris directed that the 

company's hazardous waste, generated from 

stripping paint from aircraft, be disposed in a 

lagoon at the airpark. Spraggins was fined 

$5,000 and sentenced to two years of probation and 

to four hours per week of community service 

washing police vehicles. Norris was fined 

$2,500. The company was sentenced to pay a fine 

of $100,000, of which $50,000 was suspended in 

recognition of its compliance and remedial efforts, 

and if the company completes a term of probation 

without additional violations. 

W. Steckhg: On February 13, 1993, 

John W. Steckling, an attorney in Clarkston, 

Michigan, was suspended from the practice of law 

for 60 days by the Michigan Attorney 

Disciplinary Board. The suspension stemmed from 

Steckling's submittal of false analyses to EPA 

concerning an underground injection well. 

Steckling's partnership, J & J Investments, was 

convicted for the falsifications on August 27,1990. 

Steckling and his partnership owned and 

operated a laundromat. Waste laundry water is 

disposed of through a permitted underground 

injection well. J & J was required to send in 

periodic lab analyses of the wastewater. 

Steckling paid for the first required analysis, and 

submitted the report to EPA. Thereafter, 

Steckling failed to obtain any more analyses. 

Instead, from 1987 through 1989, Steckling 

directed his secretary to change the date and 

report number on the original analysis, and to 

submit the doctored report to EPA. J & J 

Investments was charged with providing false 

3-91 

i 
FY 1993 Enjorcenlent Accomplishments Repon 

statements under the Safe Drinking Water Act, 

and was assessed a fine. The U.S. Attorney then 

brought Steckling's actions to the attention of the 

Attorney Disciplinary Board. 

-(W.D. La.): The false labeling 

of unregistered pesticides resulted in conviction 

and sentencing. Leroy Stem owns and operates 

Stem Chemtech, Inc., of Monroe, Louisiana, that 

manufactures, packages, sells, and distributes 

commercial cleaning supplies and various 

pesticide products. From December 1988 through 

April 1992, Stern manufactured and sold 

pesticides that were not registered with EPA. 

Stern purchased legally registered pesticide 

products from various companies and ordered the 

company chemist to copy formulas off the labels 

of these legal products. The chemist formulated 

the pesticides, which Stern packaged and sold 

under a false FIFRA subregistration number. Stem 

filed annual reports with EPA for the years 1989- 

92 that falsely stated that the company had not 

produced pesticide products when, in fact, the 

company had produced and sold large quantities 

of these products. 

On December 8, 1992, Leroy Stern pleaded guilty 

to a FIFRA misdemeanor charge for the sales of 

unregistered pesticides, and Stern Chemtech 

pleaded guilty to one count of submitting false 

pesticide reports to EPA in violation of 18 U.S.C. 

§lOOl. On March 17, 1993, Stem Chemtech was 

fined $500,000; however, the court suspended 

approximately $455,000 based upon actual 

payment of $45,000 in fines and the costs of 

investigation and prosecution, and contingent upon 

the successful completion of probation and the 

payment of the costs of supervision. Leroy Stem 

was sentenced to five years of probation and was 

ordered to pay the costs of his supervision. 

U.S. v. M ichael Strandquist (D. Md., g&f3 4th 

Ck); On May 13,1993, the Fourth Circuit Court of 

Appeals affirmed the defendant's conviction and 

sentence in a water pollution case, upholding the 

decision of the trial court in all respects. 

In November 1991, Michael Strandquist was 

convicted of violating the CWA by pumping raw 

sewage into a storm grate at the boat basin of 

Halle Marina, Inc., of which he was the general 

manager, in Chesapeake Beach, Maryland. In 

February 1992, he was sentenced to six months in 

prison, six months of home detention, and one year 

of probation. He appealed his conviction, 

asserting that the government did not present 

sufficient evidence proving that the discharge 

reached navigable waters of the United States, 

although he admitted that he pumped raw 

sewage into a storm grate, raw sewage was found 

emerging out of a pipe into navigable waters, and 

red dye, poured into the storm grate, flowed out of 

the same pipe into the waters. He appealed his 

sentence on four grounds, one of which was that 

the sentencing judge improperly increased his 

sentence without specific proof of environmental 

contamination. 

The appellate court affirmed his conviction and 

sentencing in all respects. As to the points 

mentioned, the court ruled that the evidence 

presented and the reasonable inferences arising 

from it support both the conviction based on 

conclusion that sewage discharged by the 

defendant in fact reached navigable waters, and 

also the increased sentence based on the 

inevitable occurrence of environmental 

contamination as the sewage reached the waters. 

Y.S. v. Richard E . Stroq (D. Wy.): The pesticide 

poisoning of bald eagles led to the sentencing of a 

rancher to two years of probation and a $10,000 

fine on February 24,1993. Dick Strom, operator of 

a sheep ranch near Laramie, Wyoming, 

unlawfully distributed and misused pesticides to 

kill coyotes and other predators. He illegally 

laced sheep-bait carcasses with thallium sulfate, 

sodium cyanide, and a chemical named 

"compound 1080," which resulted in the deaths of 

bald eagles. He unlawfully distributed 

pesticides by selling them to others while not 

being a registered dealer. On November 20,1992, 

he pled guilty to five counts of violating FIFRA. 

This case is one of several that developed from an 

undercover investigation of the U.S. Fish and 

Wildlife Service, in cooperation with EPA. 

Y.S. v. Weaver (D. Col.): 

Several individuals received heavy sentences for 

the illegal disposal of PCBs at several locations 

in Colorado, and a company was ordered to pay a 

fine of $200,000 and to spend at least $300,000 

more for environmental remediation at two 

company facilities in Denver. On January 11, 1993, 

Michael Slusser, who was hired by Weaver to 

dispose of the PCBs, was sentenced to one year in 

prison and one year of probation. On December 21, 

1992, Weaver Electric Company, which is engaged 

3 -92 
FY I Y93 Enforcernent Accomplishments Repon 

3-93 

in the business of restoring old transformers and 

other electrical equipment for resale, was 

sentenced as stated above. Clayton Regier, 

Weaver plant foreman, and Bud Rupe, another 

employee, each were sentenced to five months in 

prison, one year of probation (including five 

months of electronically monitored home 

detention), and to pay $5,000 in restitution to the 

Superfund for PCB clean ups. Sentencing is 

pending for another individual, and indictment is 

pending for three other individuals. 

uu 

(D. Ha., aff'd 9th Cir.): On August 3, 

1993, the Ninth Circuit Court of Appeals 

affirmed the defendants' convictions and 

sentences in a water pollution case, upholding the 

decision of the trial court in all respects. 

On October 2, 1991, Michael Weitzenhoff and 

Thomas Mariani were convicted of illegally 

discharging millions of gallons of sewage sludge 

into the waters off Hawaii. Weitzenhoff was the 

former plant manager, and Mariani was the 

former assistant manager, of the municipal 

Hawaii Kai Wastewater Treatment Plant, which 

they operated under contract as employees of 

Metcalf and Eddy Pacific, Inc. On numerous 

occasions during 1988 and 1989, operating at night 

to avoid detection, they bypassed the treatment 

facilities to dispose of the sludge. On February 4, 

1992, they were sentenced respectively to twentyone and thirty-three months of incarceration. 

They appealed, but the appellate court affirmed 

the convictions and sentences in all respects. The 

court held that (1) criminal sanctions are to be 

imposed on individuals who knowingly engage in 

conduct that results in a permit violation, 

regardless of whether the polluter is cognizant of 

the requirements or even the existence of the 

permit, (2) the trial court's admission of expert 

testimony on contested issues of law in lieu of 

instructing the jury was manifestly erroneous; 

however, the error was harmless because, under a 

proper interpretation of the permit, the 

discharges admitted to by the defendants 

necessarily violated the permit, (3) the NPDES 

permit provision that the permittee may allow a 

bypass to occur if it was for essential maintenance 

to ensure efficient operation, was not 

unconstitutionally vague, and the permit's terms 

have an established meaning within the context 

of the EPAs regulatory scheme, (4) the 

prosecutor's repeated raising of the repugnant and 

harmful effects of the discharge was not unfair, in 

part because the defendants attempted to portray 

the discharges as a responsible tactic to 

forestalling environmental disaster, thus putting 

the safety of the public at issue, and (5) the 

judge's upward adjustment of the sentence of a 

defendant who perjured himself was warranted 

by the record and did not unconstitutionally 

interfere with the defendant's right to testify. 

LS. v. Clayton WUu.nu (S.D. Tex.); An 

environmental consultant, who shipped 

hazardous waste without a manifest from 

Tennessee to storage in a mini-warehouse (an 

unpermitted facility) in Houston, Texas, on 

February 9, 1993, was found guilty by a jury of 

violating RCRA. He had been involved in a 

scheme to reduce PCBs in used oil to less than 2 

ppm using a machine developed pursuant to an 

EPA permit. The machine traveled the Midwest 

treating used oil and accumulating hazardous 

waste in the process, which was then shipped 

home tD Houston. 

.. 

On April 30, 1993, Clayton Williams was 

sentenced to six months of home confinement and 

two years of probation. Although he will not 

pay a fine due to his poor financial condition and 

the state of his and his wife's health, he has 

appealed his sentence. His co-defendant, Dr. 

Harold Rockaway, who pled guilty, was in poor 

health and on May 3, 1993, died before sentence 

was imposed. 

US. v. Gerald Wricht(E.D. Ok., aff'd, 10th Cir.): 

In an important decision that upholds the 

authority of ongoing federal enforcement of the 

Safe Drinking Water Act, despite delegation of 

the program to a state health department, on 

March 15, 1993, the Tenth Circuit Court of 

Appeals affirmed the conviction of a public water 

system superintendent and manager. It held that 

the filing of false SDWA data with a state or 

county remains a matter within the jurisdiction of 

the EPA, that a grant to a state of primary SDWA 

enforcement authority is not a grant of exclusive 

authority, that EPA retains its authority to 

federally enforce the SDWA and its regulations, 

and that the defendant's lack of actual 

knowledge of the federal-state-county regulatory 

relationship is immaterial. 

Gerald Wright is a former superintendent and 

manager of a public water supply system, the 
FY I993 Enforceinen1 Accornplishmenls Repon 

Sequoyah County Utility Service Authority, that 

operates the water treatment plant at Lake 

Tenkiller, Oklahoma. In March 1992, Wright 

pled guilty to three counts of violating 18 U.S.C. 

1001 by filing with a county health department 

monthly operational reports containing false 

turbidity data as to the contents of the drinking 

water. In April 1992, he was sentenced to twelve 

months of probation. 

But he reserved the right to appeal his federal 

conviction for submitting false reports through 

the county health department to the Oklahoma 

State Department of Health, on the basis that he 

did not know that a federal agency had 

jurisdiction over the false reports that he 

submitted to the county. He also asserted that 

false statements submitted to the county 

department of health are not a matter within the 

jurisdiction of an agency or department of the 

United States if the SDWA program has been 

fully delegated by EPA to state and county 

officials. He contended that by delegating the 

program, as allowed by federal regulations, the 

federal government lost enforcement authority 

under the SDWA. 

State Enforcement Actions 

Alaska 

Pistrict Courtl: Stewart Smith, a real estate 

broker and owner of an auto repair and towing 

shop, pleaded no contest to seven misdemeanor 

violations of Alaska oil pollution and hazardous 

waste laws. Facts brought out at the sentencing 

hearing were that in the spring of 1992, Smith 

directed an employee to illegally dump 

approximately 12 barrels of contaminated waste 

oil at two sites. Four barrels leaked at one site 

causing over $18,000 in cleanup and site 

remediation costs. Smith also pleaded no contest 

to the charge of illegal management of hazardous 

waste at his auto repair shop. 

The case was significant for the several reasons. 

It was the first State environmental criminal case 

involving actual jail time for the defendant. It 

was the first time in the state that 

"Crimestoppers" was used to publicize the 

problem of illegal dumping and provide a means 

for the public to report suspected environmental 

crimes. It was the first time a business owner was 

Convicted of environmental crimes for directing an 

employee to commit the actual dumping in a 

failed attempt to insulate himself from criminal 

liability. Finally, at the prosecutor's suggestion, 

the court imposed probation requirements 

involving both environmental education for the 

auto shop industry regarding the proper handling 

of waste oil and contaminants, and hands-on 

cleanup of the environment. 

Colorado 

-0 v. CONOCQ (Denver, CO): In 

coordinated multimedia State and EPA actions, 

Colorado Department of Health's NPDES and 

RCRA programs took enforcement actions against 

Conoco to clean up seeps to Sand Creek. The State 

ordered injunctive relief and collected an NPDES 

penalty of $200,000. In a related citizen's CWA 

suit, the Sierra Club settled with Conoco for 

$280,000 per year for five years for a 

Supplemental Environmental Project along Sand 

Creek. EPA supported these settlements as 

recovering Conoco's economic benefit ($200,000 

cash penalty to CDH) and appropriate gravity in 

the SEP negotiated by the Sierra Club. 

Coors (Golden, CO): A 

compliance order assessing a $1,050,000 fine was 

issued by the State of Colorado to Coors Brewing 

Company (CBC) on July 21,1993, citing violations 

of the State SIP resulting from under-reported 

emissions of VOCs from the brewing and 

packaging of beer. VOCs are known precursors in 

the formation of ozone and the Coors brewery is 

located within the Denver ozone non-attainment 

area. The emission of VOCs from CBC is 

estimated to exceed 1,000 tons per year, making 

this a major source of VCC emissions and subject to 

non-attainment area new source review 

permitting requirements. This case is of national 

interest because the actual emissions from the 

facility are substantially higher than previously 

assumed by regulatory agencies and is likely to 

result in the fact that many large breweries across 

the country are major, rather than minor, sources 

of VOCs. This is very significant for such sources 

that are located in ozone non-attainment areas, as 

many older breweries are, as well as for PSD 

permitting in attainment areas. EPA is 

considering a national brewery enforcement 

initiative as a result. 

3-94 
. .. : , I>,. ,. 

FY I993 Enjorcenmt Accomplishments Repon 

Delaware 

AA Waste Oil Service: On August 19,1993, Paul 

Levers, owner, and Jay Morris, employee, of'the 

AA Waste Oil Service were convicted of criminal 

charges (D. De.) for discharge of a pollutant into 

the waters of the US. without a permit. Each 

defendant was sentenced to one year in prison and 

one year probation for the violation. In addition, 

Levers will be required to perform 200 hours of 

community service, and Morns, 100 hours. This is 

a case of "midnight dumping" that occurred in 

broad daylight. Levers directed employee Jay 

Morris to discharge oily water from an AA Waste 

Oil Vehicle into a drain of a wash bay at the 

Harrington Car Wash. The discharge occurred 

when Morris pretended to wash the vehicle, but 

was actually discharging the oily waste water 

from heating oil tanks that had been collected by 

AA Waste Oil. AA customers paid up to $1.00 per 

gallon to have the water removed from their 

underground heating oil tanks. Levers directed 

the discharge of the water so that AA Waste Oil 

would not have to pay $0.50 per gallon to a 

certified company to dispose of the waste water 

properly. The oily water discharge was traced 

from the drain of the car wash to a storm water 

ditch from where it eventually empties into the 

Delaware Bay. Both State and EPA attorneys 

and.enforcement agents worked together on the 

investigation and prosecution of the case. 

Florida 

Smurfit Industries. Inc. dlbig Austill Packaging - vI 

State Department of Environmental Regulation - 

(Fla. 1st Dist. Ct. App.): This is a case involving 

postjudgment proceedings to enforce payment of 

stipulated penalties in a consent final judgment 

against Smurfit Industries, Inc., a Delaware 

corporation. The Austill Packaging Plant in 

Jacksonville is a subsidiary of Smurfit. Air 

Pollution Rules promulgated by the Florida and 

the City of Jacksonville required Smurfit to 

install and operate emission control equipment to 

reduce VOC emissions at the Austill plant in 

Jacksonville by no later than the end of 1982. 

Smurfit did not comply with the rules, and 

installed no pollution control equipment. In 1983, 

the FDER with the City of Jacksonville as coplaintiff sued in circuit court for enforcement of 

the rules and for civil penalties. EPA filed its own 

administrative proceeding against Smurfit. The 

parties agreed to a settlement in the early part of 

1985. EPA, though not a party to the state 

lawsuit, signed the Stipulation. Smurfit was 

required to show compliance with the laws and 

rules regulating air pollution by the end of 1985. 

Smurfit "sold" the Austill plant to Austill 

Packaging Company on October 1,1985. In 1987, 

the FDER along with the City of Jacksonville 

filed a Motion for Penalties, alleging Smurfit had 

violated the consent final judgment by failing to 

pay the stipulated penalties. The circuit court 

rejected Smurfit's defenses, and enforced the 

stipulated penalties provision by awarding the 

face amount of the stipulated penalties. The 

circuit court entered its Order Enforcing Final 

Judgment and Adjudging Penalties on June 13,1991. 

Smurfit appealed the decision, challenging the 

trial court's interpretation of relevant provisions 

of the consent final judgment and the existence of 

competent substantial evidence to support the 

decision. A cross-appeal filed by the FDER and 

the City of Jacksonville challenged the trial 

court's interpretation of the penalties provision. 

The penalties provision called for doubling the 

amount of penalties in the event of non-payment. 

The appellate opinion filed June 15, 1993, 

affirmed the lower court decision. The "sale" of 

the plant did not relieve Smurfit of its obligation 

to demonstrate compliance and pay the 

stipulated penalties. The appellate court held 

there was competent substantial evidence to 

support the factual findings of the trial court and 

that the trial court's interpretation of the 

judgment was not unreasonable. Furthermore, the 

trial court had discretion to decide whether 

doubling of penalties was appropriate. Payment 

in full to the FDER has been made in the amount 

of $1,661,649. 

Deoartment of -ental bulah 'on v. Sm 

GraDhic.Inc.Fla. 17th Cir. Ct.): A consent final 

judgment was filed September 24,1993, concerning 

Sun Graphic's violations of the Florida 

Department of Environmental Regulation (FDER) 

rules regulating the emission of VOCs into the 

atmosphere. This was an action brought under 

the "Florida Air and Water Pollution Control 

Act", Chapter 403, Florida Statutes. In September 

of 1989, Sun Graphic applied to the FDER for 

permits for its lithographic blanket production 

facility in Pompano Beach, Florida. Through this 

action the FDER learned Sun Graphic had been 

operating the facility without air pollution 

operation permits from the date of its purchase in 

3-95 
FY 1993 Enforcement Accomplishments Repori 

1981. It also had constructed several new sources 

of air pollution without permits. Finally it had 

been exceeding the allowable standard for 

discharge of VOC to the atmosphere from its 

coating mixture since July 1, 1982. Operation of 

each source without a permit is a violation of the 

Florida Administrative Code. By failing to 

utilize reasonably available control technology, 

Sun Graphic failed to limit discharge of VOC 

into the atmosphere. By signing a stipulation of 

settlement, Sun Graphic agreed to pay Florida, 

$205,000, and add additional collection devises to 

capture fugitive emissions of VOC at its 

lithographic facility in Pompano Beach. 

iXy of Vero BeacM Indian River County, FL): On 

June 17,1993, a Consent Order between FDER and 

the City of Vero Beach (respondent), a 

municipality engaged in the generation end 

distribution of electric power, was filed allowing 

the respondent to implement an in-kind project in 

lieu of a cash payment in settlement of matters 

arising from violations of the Florida Air and 

Water Pollution Control Act. The respondent is 

the owner and operator of a fossil fuel generatorlocated in Vero Beach, Florida. The facility was 

visited by DER on April 30, 1992, and May 11, 

1992. The recorder for the continuous opacity 

monitoring system had been removed. Subsequent 

reports submitted by the respondent failed to 

mention the downtime of the recorder. In 

settlement of these matters, Vero Beach chose the 

in-kind penalty option that consisted of a 

payment of $71,582.25 to be used in the 

construction of a wet lab for the Learning Center 

located in Indian River County. As a result of this 

project, future generations of citizens will become 

more environmentally conscious. 

I2ER v. Map 

-(Ha. 3rd Cir. Ct.): A stipulation 

and consent final judgment signed February 16, 

1993, addressed alleged violations of state 

hazardous waste, industrial waste, and potable 

water regulations. Martin Electronics, Inc. (MEI) 

is a Delaware corporation authorized to do 

business in Florida. ME1 is the owner of property 

located in Perry, Florida. ME1 manufactures 

pyrotechnic devices such as fuses, grenades, and 

flares. This makes the facility a generator of 

hazardous waste. From December 1991 to 

December 1992, the Florida Department of 

Environmental Regulation (FDER) conducted 

several visits and inspections of the ME1 facility. 

As a result of its investigation, the FDER alleged 

multiple violations of solid, industrial and 

hazardous waste management regulations. The 

alleged violations included, among others, 

failure to comply with the standards applicable 

to operators of hazardous waste treatment 

facilities; positive readings for microbiological 

contamination; and failure to properly train 

employees on handling hazardous waste. 

Violations were also alleged in connection with 

residues left from the burning of reactive 

hazardous waste. In settlement of these matters, 

the ME1 agreed to pay $325,000.00 and install a 

new water plant. 

Georgia 

er Coru-: The Inland 

Container Corporation owns a large pulp and 

paper mill discharging treated effluent into the 

Coosa River in Northwest Georgia. As a result of 

an internal spill, the wastewater system failed 

resulting in significant NPDES permit violations 

and a fish kill. The Georgia Environmental 

Protection Division first issued an emergency 

order closing the mill. After one week of closure, 

the wastewater treatment system stabilized and 

the mill reopened. A final consent order was 

issued which contained a $600,000 settlement. 

The disposition of the settlement was $100,000 to 

the State of Georgia, $250.000 for water pollution 

source reduction prior to September, 1994, and 

$250,000 for water pollution source reduction prior 

to September, 1997. Strict controls were 

established for expenditure of the source 

reduction funds. 

e Sueclaltles..: Packaging 

Specialties, Inc., operates a flexogaphic printing 

press facility in Northeast Georgia. The company 

is a large emitter of volatile organic compounds 

into the atmosphere. An inspection by the 

Georgia Environmental Protection Division 

revealed the company installed and was 

operating four presses without permits or without 

pollution control equipment. The State issued a 

consent order containing a $500,000 settlement to 

be paid to the State of Georgia. The Company 

was also ordered to install the necessary 

pollution control equipment and receive a permit. 

Idaho 

.. - 

n CorporqtLQDgoise and Poca& 

3 -96 
FY 19Y3 Enforcement Accomplishmenrs Repon 

3-97 

m: Three consent orders were signed over a 

four-month period based on inspections performed 

from 1990 to 1992. A RCRA consent order was 

signed March 29, 1993, concerning Safety-Kleen's 

old Boise, Idaho, facility's operation of aboveground storage product and waste tanks without 

secondary containment. The order provides 

conditions outlining final clean closure activities 

at the facility in accordance with 40 CFR 265 

standards, submittal and implementation of a 

Corrective Measures Plan to address cleanup at 

all of the solid waste management units and areas 

of concern identified in the RCRA Facility 

Assessment. 

A consent order was signed on June 25, 1993, 

concerning the release of mineral spirits from an 

underground storage tank and inadequate 

implementation of the Contingency Plan at 

Safety- Kleen's Pocatello, Idaho, facility. The 

order provides for the removal and partial 

closure of product and waste underground storage 

tanks in accordance with Safety-Kleen's 

operating permit. A penalty of $7,000 was 

assessed and collected. 

On July 30, 1993, a consent order was signed 

assessing a $3,900 penalty against Safety-Kleen's 

old Boise facility for five violations of the 

generator and land disposal restriction 

requirements. The order also provides for 

resolution of the violations. 

Maryland 

A multi-media complaint and order was 

issued seeking an administrative penalty of 

'$25,000. The complaint alleged violations of air 

pollution, water pollution, and hazardous waste 

regulations. Kanasco appealed this order and the 

penalty to the State Office of Administrative 

Hearings. After a hearing held in April, 1993, 

the Administrative Law Judge imposed the full 

penalty sought by Maryland Department of the 

Environment (MDE). 

Kanasco Ltd. is a pharmaceutical manufacturing 

firm which employed about 20 people during the 

period in which the violations occurred. 

Violations occurred at the company plant located 

in Anne Arundel County. Synthetic penicillins 

were manufactured at the site. In the water 

pollution area, the company failed to report the 

discharge of wastewater subject to the categorical 

pretreatment standards. These wastewater were 

transported to the Aberdeen WWTP on three 

occasions. Air pollution violations included 

failure to comply with terms of the permit-tooperate, Le., the company failed to perform 

vapor detection surveys as required. The company 

also caused nuisance odors which traveled beyond 

their property lines on three occasions. In the 

hazardous waste area, the company failed to 

comply with the storage requirements for 

generators of hazardous waste, by not 

maintaining overfilling controls on a hazardous 

waste storage tank. The company also failed to 

minimize the release of hazardous waste 

constituents, Le., wastewater contaminated with 

hazardous constituents was discharged to the 

Anne Arundel County sanitary sewer system on 

two occasions. 

MDE entered into a multimedia judicial consent judgment with Eastern 

Stainless Corporation of Baltimore, MD. This 

action resolved certain NPDES, hazardous waste 

and air pollution violations addressed in the 

civil complaint filed on November 27, 1991, and 

imposed numerous obligations on Eastern Stainless 

to achieve and maintain compliance with the 

State's environmental laws. The consent judgment 

requires Eastern Stainless to implement various 

corrective actions regarding NPDES, hazardous 

waste, air pollution, groundwater remediation, 

stormwater management, wastewater reduction, 

effluent toxicity, solid waste reduction and 

recycling issues. In addition, the Department 

assessed a civil penalty of $1,ooO,OOO, to which a 

maximum penalty credit of $702,000 was applied 

for various supplemental pollution prevention 

control measures. The company's total payable 

penalty was $325,450. The company agreed to 

expend a minimum of $1,247,000 for pollution 

prevention projects which include improvements 

to air pollution control equipment, asbestos 

removal, acid piping replacement, solvent 

reduction, process water reuse and sludge 

recycling. The judgment also provided for 

stipulated penalties in the event Eastern 

Stainless fails to comply with any effluent 

limitation or any reporting requirement of the 

judgment. 

In the first criminal 

action brought by Maryland for violations of air 

pollution regulations, Alford Packaging, Inc. was 

charged with various criminal violations. The 
FY 19Y3 Enforcement Accomplishments Report 

company pleaded guilty in court in August of 1993 

to four counts of violation of the air pollution 

regulations of Maryland. In the guilty plea, the 

company agreed to pay a $100,ooO penalty and to 

a probationary period of two years. An 

administrative case was also pursued for the 

violations and a penalty of $25,000 was agreed to 

by the company in September of 1993. 

The company is a rotogravure printing company 

located in Baltimore City, which is in a severe 

ozone non-attainment area. Maryland regulations 

for the control of air pollution for this type of 

facility require a 65% reduction of VOC emissions 

from sources with VOC emissions exceeding 550 

pounds daily. Alfords emissions exceed this 550 

pound level, therefore, they are required to 

reduce emissions by 65%. Alford reduces VOC 

emissions by ducting fumes from their printing 

lines into two afterburners. 

A copy of an internal company memo was 

anonymously received by MDE in the f$Il of 1992. 

The memo indicated that the company was aware 

of some problems with its air pollution control 

system that would cause violations of Maryland 

air pollution regulations. A subsequent inspection 

of the plant by MDE established that an 

insufficient amount of fumes from the printing 

lines were being ducted to the afterburners. This 

resulted in less than the required 65% reduction 

being achieved. Based on this inspection and 

data about the Company’s emissions, a criminal 

case was pursued in the Circuit Court for 

Baltimore City. The violations were corrected in 

the spring of 1993, after the company became 

aware of the MDE investigation. 

Montana 

On July 7, 1992, a Montana Department of 

Agriculture (MDA) inspector observed a FIFRA 

§18 Lorsban application to wheat for Russian 

wheat aphid control. No observable drift was 

noted; however, the inspector soon became ill and 

took refuge in the landowner’s house until the air 

cleared. The inspector proceeded to a hospital 

emergency room where she was treated with 

atropine. The incident was investigated by a 

second inspector and Lorsban was found on offtarget vegetation indicating that drift has 

occurred. A January 4, 1993 consent order 

negotiated between the MDA and the applicator 

included a penalty of $200. 

p: 

New Jersey 

On June 10, 

1993, the Superior Court of New Jersey concluded 

the penalty phase of the trial of Standard Tank 

Cleaning Corporation. The court had previously 

found Standard Tank liable for violating its New 

Jersey Pollutant Discharge Elimination System 

(NJPDES) permit and enjoined Standard Tank 

from discharging in further violation of its 

permit. The court ordered Standard Tank to pay a 

$3,960,000 penalty for 157 violations of the 

effluent limitations in its NJPDES permit and 

$41,825 for reporting violations during the period 

of May 1988 to August 1990. The court further 

found Jane Frank Kresch and Susan Frank 

personally liable for two of the above-noted 

violations and penalized them each $500,000 as 

responsible corporate officials. In addition, the 

court ordered Standard Tank, Jane Frank Kresch 

and Susan Frank collectively to pay a penalty of 

$266,000 for failing to pay a $175,000 

administrative penalty assessed by the New 

Jersey Department of Environmental Protection 

and Energy (NJDEPE). The NJDEPE also revoked 

Standard Tank’s NJPDES permit based upon these 

violations and Standard Tank has withdrawn its 

challenge to the revocation. 

Yitco COT-: On February 24, 1993, the 

U.S. District Court for the District of New 

Jersey signed a Judicial Consent Order (JCO) 

between the NJDEPE, Witco Corporation, Perth 

Amboy and the NJ Public Interest Group 

(NJPRIG). The JCO settled a citizen suit 

brought by NJPIRG in which the NJDEPE 

intervened. Under the terms of the settlement, 

Witco paid a penalty of $10 million for surface 

water violations that occurred seven years and 

agreed to a construction schedule to come into 

compliance. The $10 million payment was 

divided, with $7.25 million to the NJDEPEs 

Clean Water Enforcement Fund for the 

enforcement and implementation of the Water 

Pollution Control Act, $2 million to the 

Environmental Endowment for New Jersey 

Inc. for environmental improvement projects, 

$65O,ooO to the City of Perth Amboy for water 

resource or pollution abatement projects, and 

$1,00O,ooO to the Rarlhn Bay Medical Center, 

located in Perth Amboy, for emergency medical 

training. 

3-98 
FY 1993 Enforcement Accomplishments Reporl 

me Oil Cw: Noble Oil Company, 

located in Tabernacle, N.J, illegally operated a 

hazardous waste storage and treatment facility. 

The facility recovered waste oil to be used as 

a fuel. Since waste oil is regulated as a 

hazardous waste, the facility operations are 

subject to NJDEPE's hazardous waste 

regulations. On January 7, 1993, the Superior 

Court found Noble liable for numerous 

hazardous waste violations, and ordered Noble 

to cease operations at its Tabernacle facility 

until it obtained all necessary permits, paid 

a penalty of $250,000 and remediated 

petroleum hydrocarbon contaminated soil 

throughout its site. ?he NJDEPE subsequently 

revoked Noble's interim authorization to 

operate a storage and treatment facility, and 

denied its application for a permit. The 

facility is currently in Chapter 11 bankruptcy. 

executed an ACO with Exxon providing Exxon 

time to obtain permit modifications for its CO 

boilers, Wet Gas Scrubber and Sulfur Recovery 

Units and comply with the N.J. Air Pollution 

Control Act. The ACO provides startup, 

shutdown and malfunction allowances for a 

specified percentage of annual operation time, 

with stipulated penalties for exceedances of 

these allowable emissions. Under the ACO, 

Exxon will conduct modeling to demonstrate 

non-adverse health effects from allowable 

particulate emissions, and conduct stack tests 

every 12 months to demonstrate compliance 

with allowable particulate emissions. Exxon 

also agreed to pay a penalty of million, and 

stipulated penalties for subsequent emission 

exceedances. Final compliance by Exxon is to be 

achieved by August 29, 1995. 

1 Waste Man-ntlSV F& 

-: As a result of continued clay 

mining operations, more than 25 acres of 

freshwater wetlands had been severely 

damaged in Quinton Township, Cloucester 

County, in violation of the N.J. Freshwater 

Wetlands Act. The NJDEPE initiated an 

enforcement action against Chemical Waste 

Management, a recentpurchaser of the mining 

business. The NJDEPE, through a 

collaborative enforcement effort with the U.S. 

Army Corps of Engineers, the U.S. Fish and 

Wildlife Service, and with the cooperation of 

.. .. 

Chemical Waste Management, executed an 

ACO providing for the restoration of more 

than 25 acres of freshwater wetlands. Under 

the order, Chemical Waste Management 

initiated restoration, including extensive 

grading and filling and the re-establishment 

of former hydrological conditions and biological 

communities. The ACOalso provides for the 

restoration of the previously destroyed swamp 

pink (Helonias Bullata), an endangered species, 

and that is also underway. In addition, the 

restoration of the swamp pink community will 

be monitored and tracked, contributing to the 

scientific knowledge base for this endangered 

species. 

New York 

Wec Image Corp; The Department of 

Environmental Conservation (the Department), 

working with the Departments of Law and 

Health, completed a significant enforcement 

action involving Anitec Image Corp., a division 

of International Paper. 

Under one order, Anitec will perform a wide 

array of measures to clean up all underground 

contamination, reduce toxic chemical air 

emissions, conduct an environmental compliance 

audit, and develop accident prevention plans 

for its Binghamton plant. The company paid a 

civil penalty of $1,450,000 for past violations 

of the ECL. 

According to the terms of the consent order, 

Anitec must: 

Hire an independent auditor to conduct a 

comprehensive environmental audit of the 

company's compliance with state and federal 

pollution control laws; 

Fund an on-site environmental monitor to 

verify compliance with environmental laws and 

the remedial measures required under the 

order; 

Carry out measures to identify and 

significantly reduce sources of air pollution at 

the plant; 

Develop and implement a Best Management 

Practices plan to correct past violations and 

ensure future compliance; 

3-99 
FY 1993 Enforcement Accomplishments Repon 

Complete a comprehensive Environmental 

Improvement Program to reduce significantly 

the risk of releases of hazardous wastes or 

other contaminants to the environment; 

Pay a total of $100,000 to Broome County 

for the purchase of equipment or other resources 

needed to improve the county's emergency 

response capabilities; 

Pay $200,OOO to the Health Department to 

offset costs of future health studies of company 

employees and nearby residents. 

Under a second Order, Anitec is conducting an 

investigation of the nature and extent of all 

hazardous waste contamination at the site, and 

will develop a comprehensive remedial 

program to cleanup all hazardous waste 

contamination. This program has an estimated 

p: 

cost of $15 million. 

The Department 

and Bristol-Myers Squibb Company entered into 

a multimedia enforcement order and a 

Memorandum of Understanding which promote 

significant risk reduction and pollution 

prevention at its facility in the Town of 

Dewitt (Onondaga County). 

The multimedia order provides that Bristol 

will: 

perform a site assessment consisting of a site 

characterization study and a groundwater 

monitoring program. The site assessment 

requires the complete characterization of site 

contamination as well as the implementation 

of appropriate remedial actions; 

implement an approvable air pollution 

control plan which will include point source 

testing, source inventory and permitting, air 

modeling, fugitive emission testing and control 

and an odor control program; and 

fund a compliance audit of its facility by an 

independent consultant approved by the 

Department. 

The MOU, which is enforceable as an 

administrative order on consent, requires: 

an approvable community awareness program, 

to include a community advisory group; 

an approvable accident prevention planning 

program; 

an approvable emergency response program 

which will ensure that local emergency 

response teams are trained and equipped to 

respond to incidents at the facility; and 

implementation of a toxic chemical reduction 

plan which will achieve a 50% reduction of 

total toxic chemical releases at the facility by 

the year 2OOO. 

m: The Department signed a Federal and 

State Facility Compliance Agreement "FSFCA 

and Addendure for the Western New York 

Nuclear Service Center ("West Valley"). A 

FSFCA is the final negotiated document, that, 

under EPA guidance, resolves RCRA compliance 

violations at a federal facility. Parties to the 

FSFCA include USDOE, NYSERDA and EPA 

Region 11. The FSFCA obviates the need for 

literal compliance with RCRA requirements by 

setting forth alternative compliance standards. 

This is the third document the Department 

has negotiated for West Valley. A correction 

action order was finalized in January 1992, and 

work is underway. In February 1993, a 

memorandum of agreement that will provide up 

to $250,000 per year to defray DEC's oversight 

costs was finalized. 

North Dakota 

w: On November 2, 1990, Decom 

Resources Inc., transported seven pallets (13,000 

Ibs.) of off-specification Estee Lauder nail polish 

from Estee Lauder in Toronto, Canada, to Health 

Care Incinerators located in Fargo, North 

Dakota. The off-specification nail polish was a 

characteristic hazardous waste (D001). Health 

Care Incinerators (HCI) is not and has never been 

permitted to receive hazardous waste. EPA, 

through oversight, encouraged the State to pursue 

enforcement at the facility. North Dakota settled 

this major international waste action on March 

24,1993. A $20,000 penalty, of which $15,000 was 

stipulated, was agreed to. 

Oregon 

Fuel ProcegpprS. Inc.. and WLMultnomah County Circuit Court, Oregon): On 

December 29, 1992, Oregon DEQ assessed Fuel 

3-100 
FY 1993 Enforceirtenf Accoinplishments Report 

Processors, Inc., a $548,244 civil penalty for 61 

violations of Oregon's hazardous waste and used 

oil recycling laws, specifically operating a 

treatment, storage and disposal facility without 

a permit. Fuel Processors, an Oregon corporation, 

operates a used oil processing facility in Portland, 

Oregon. ODEQ discovered the violations during 

an inspection after receiving numerous complaints. 

Subsequently, the Multnomah County District 

Attorney filed a 70-count criminal complaint 

against Fuel Processors and its owner, Wilmer 

Briggs, for hazardous waste crimes. On August 5, 

1993, the District Attorney's office and ODEQ 

reached a global settlement with Fuel Processors 

and Wilmer Briggs in which both the corporation 

and Briggs agreed to plead no contest to a single 

hazardous waste misdemeanor. In addition to the 

criminal charges, the corporation agreed to pay a 

civil penalty in the amount of $133,000 for the 

hazardous waste violations; comply with an 

approved Facility Management Plan; implement 

an Inventory and Sampling Plan; compile and 

maintain monthly reports; allow ODEQ access; 

and to contract and pay for an annual 

environmental audit. The plea and settlement 

were entered before the Multnomah County 

District Court, which will oversee compliance. 

mustrial Oils. h, Multnomah County Circuit 

Court, Oregon: ODEQ took an enforcement action 

against another facility owned by Wilmer Briggs. 

On July 12, 1993, ODEQ issued four Notices of 

Violation, Department Orders and Assessments of 

Civil Penalty to Industrial Oils, Inc, for numerous 

environmental violations at Industrial Oils' used 

oil processing facility located in Klamath Falls, 

Oregon. The violations were discovered during a 

December 8, 1992, joint DEQ\EPA multi-media 

inspection in which ODEQ discovered violations 

of the laws governing air pollution, water 

pollution, hazardous waste management, used oil 

management, releases of oil or hazardous 

materials, and on-site sewage disposal. ODEQ 

assessed civil penalties totaling $171,575. On 

August 5, 1993, ODEQ and Industrial Oils signed a 

Consent Order in which Industrial Oils agreed to 

pay a $63,W penalty (which the court can reduce 

to $35,000 at its discretion) and spend a minimum 

of $108,575 toward cleanup at the facility. 

Industrial Oils also agreed to comply with strict 

compliance terms outlinedin the order. 

-(North Bend, Ore.): On 

April 9, 1993, ODEQ entered into a Stipulation 

and Final Order with Weyerhaeuser Company 

( Weyco), a Washington corporation, in which 

Weyco agreed to pay a penalty of $247,738, 

including $71,738 for economic benefit, for 

violating the Air Contaminant Discharge Permit 

issued for operation of its containerboard plant 

located in North Bend, Oregon. The violations 

were discovered when Weyco performed a source 

test and determined that the facility was 

exceeding the plant site emissions limits for 

particulate emissions and sulfur dioxide. Weyco 

agreed to take steps to comply with emissions 

limitations, limit its production to 1992 levels, 

install a scrubber, and achieve best available 

control technology. The Order contains 

additional civil penalties if Weyco fails to 

comply with the compliance schedule. 

p: 

Pennsylvania 

This case was resolved with 

a Consent Decree being filed with the 

Commonwealth Court. The Reading Sewage 

Treatment Plant has had mercury seal trickling 

filters at the plant for years. These filters have 

leaked over the past fifteen years resulting in an 

estimated total amount of mercury released at 5 

tons. This case has been a major concern of DER 

due to the transformation of mercury to methylmercury and its toxic effects. The plant sits on the 

Schuylkill River which is a source of drinking 

water for several cities and towns downstream, 

including the City of Philadelphia. 

This case resulted in four major accomplishments. 

First, the consent decree requires the City of 

Reading to have the Academy of Natural 

Sciences perform a study of the Schuylkill River 

to determine if river fish have been contaminated 

by methyl-mercury. Second, the fate of the five 

tons of released mercury must be determined. 

Third, the mercury seal filters are required to be 

replaced with mechanical seal filters. Fourth, 

DER'S policy on the use of mercury seal filters has 

been changed to prohibit the use of these filters in 

any Pennsylvania sewage treatment plant. 

-In 

what is considered a model settlement for 

negotiated PRPs performed cleanups, DER 

successfully negotiated a Consent Order and 

Agreement, effective August 11, 1993, with 

approximately 70 of the over 900 responsible 

parties :to carry out extensive waste 

3-101 

. ... ,. 
FY 1993 Enforcement Accomplishments Report 

characterization at the Industrial Solvents and 

Chemical Company (ISCC) site. The ISCC site is 

a closed solvent recycling facility which was 

abandoned by its owner in 1990. It is presently the 

number one site on the Pennsylvania Priority List 

for Remedial Response. The site has 

approximately 189 above-ground storage tanks 

containing various amounts of hazardous 

materials in liquid, sludge and solid form. In 

addition, there are approximately 4,266 full or 

partially full drums, and approximately 2,400 

empty drums left on-site. Off-site residential 

wells used for drinking water have been 

contaminated. The site poses a substantial risk to 

public health and the environment. 

The DER issued Pennzoil Products 

Company an order to plug its abandoned oil/gas 

wells (approximately 2,OOO) in one year. Pennzoil 

appealed the administrative order to the 

Pennsylvania Environmental Hearing Board. The 

case was resolved with the entry of a consent 

adjudication before the Environmental Hearing 

Board. Pursuant to the consent adjudication, 

Pennzoil agreed to plug the wells within six years 

and to reclaim the well sites. As a guarantee of 

its obligations, Pennzoil posted an enhanced bond 

of $75,000 contingent upon compliance with the 

requirements of the consent adjudication. (The 

statute limits bond liability to $24,000 and 

guarantees only plugging obligations). Another 

innovative provision of the consent adjudication 

was Pennzoil's agreement to pay a stipulated 

penalty of $8,000 per well for any wells that are 

not plugged according to schedule. 

Wheeling-Pittsburoh Steel a : The EPA, The 

Pennsylvania Department of Environmental 

Resources and the Natural Resources Defense 

Council had originally filed a complaint in 

federal court against Wheeling-Pittsburgh Steel 

Corporation for five years worth of NPDES 

permit violations and spill events at the 

Allenport Plant on the Monongahela River. 

Wheeling-Pittsburgh promised the Department 

that it could settle with the agency if the 

Department would do so outside the Federal suit. 

The Department withdrew from the Federal suit 

and Wheeling-Pittsburgh failed to settle. The 

Department filed a separate complaint before the 

Pennsylvania Environmental Hearing Board for 

$2.2 million. Wheeling-Pittsburgh has agreed to 

settle for $625,M)O, to pay stipulated penalties at 

the rates in the federal settlement which will 

only terminate when the federal settlement does, 

and to include the DER in all of the 

correspondence surrounding the Federal decree 

remediation and improvement programs. 

i 

On June 24, 1993, the USX Corporation 

entered a consent decree addressing violations at 

USX's Mon Valley Works with the US., the 

Commonwealth of Pennsylvania, Allegeheny 

County, and the citizens group, Group Against 

Smog and Pollution (GASP), as a limited 

intervenor. The decree requires USX to pay a 

penalty of $1,800,000 divided equally among the 

three governments. Additionally, USX agreed to 

reduce its emissions at the Clairton Coke Works 

and Edgar Thomson Works basic oxygen process 

shop below applicable limits. Moreover, the 

decree resolved the status of numerous coke and 

steel processing units by declaring them 

shutdown. The processing units were located at 

USXs Clairton Plant, National Works, Duquesne 

Works, Homestead Works, and the Saxonburg 

Sinter Plant. 

-: The Pennsylvania Department of 

Environmental Resources issued two 

Administrative Orders - one to all of the 

passenger carriers and the landowner, Allegheny 

County, and one to all of the cargo carriers, the 

United States Air Force, the Pennsylvania 

National Guard and the landowner, Allegheny 

County to cease the unpermitted discharge of 

spent deicing fluids from the airport. The two 

military organizations voluntarily complied and 

all others appealed from the Orders. The 

Department, the carriers, and Allegheny county 

have a settlement whereby the carriers agreed to 

pay a civil penalty of approximately $60,000, to 

construct remote deicing pads with collection 

systems (some are already complete and in use) so 

that spent fluids may be hauled and treated, and 

agreed to try alternative materials on the 

runways, ramps, and taxiways as anti-skid 

materials. Several exceptions are carved out of 

the document for compliance with FAA 

regulations for safety and emergencies. According 

to the County and the carriers, this is the first 

airport in the country to take such measures. 

South Carolina 

Laidlaw 'ronmental S enrices of Sou th 

Carolina: An Administrative Consent Order 

was signed September 14, 1993, concerning 

3-102 
FY 1993 Enforceinen1 Arcornplishmenfs Report 

Laidlaw Environmental Services alleged 

failure to: properly handle, store, and dispose 

of hazardous wastes; properly operate and 

maintain a hazardous waste landfill; properly 

operate an industrial waste landfill; 

adequately control for fugitive particulate 

matter emissions from the site; and fully 

comply with previously issued orders. Laidlaw 

was cited in violation of the State's Hazardous 

Waste Management Regulations, the Industrial 

Solid WasteDisposal Regulations, and the Air 

Pollution Control Regulations. Laidlaw agreed 

to the following: to institute procedures to ensure 

compliance with all regulations; to submit a plan 

for state approval to address management of 

specific and unique wastes handled at the 

facility; and to pay a penalty in the amount of 

$1.825 million 

Tennessee 

Withersuoon Recvcline Site, (Knoxville, Tenn): 

On October 7, 1993, the Tennessee Department of 

Environment & Conservation, Division of 

Superfund filed a Chancery Order, requesting 

injunctive relief, in.the 12th Judicial District of 

Davidson County, Tennessee. Respondents named 

in the order were David A. Witherspoon, Jr. and 

Jane C. Witherspoon, both individuals, and 

David Witherspoon, Inc. the corporate entity 

under which the facility and operation existed, 

the individual respondents having been owners 

and operators of the facility since 1974. 

The site is located within the Knoxville City 

limits. Residential areas are located adjacent to 

the site in all directions. There are six churches 

and two schools within one mile of the site. Goose 

Creek, which flows through and off the site 

property, also flows through Mary Vestal Park, a 

municipal community playground. 

The facility and site, a salvage company in 

operation since the 1940's, is contaminated by 

radioactive ;U-234, heavy metals (lead, 

mercury), mixed wastes and organic compounds 

such as polychlorinated biphenyls (PCB). During 

the years of operation the facility was not 

licensed or permitted to store, treat or dispose of 

hazardous waste. 

In 1966, the facility came under the State 

permitting authority of the Division of 

Radiological Health. Between 1966 and 1985, 

numerous violations were cited leading to the 

issuance of a Commissioner Order in 1985. In May 

of 1990, following non-compliance, a Final Order 

and an Assessment of Penalty was filed in 

Chancery Court by the Division of Radiological 

Health. 

In March, 1991, the site was found to "pose or may 

reasonably be anticipate to pose a danger to 

public, safety, and environment" and was 

promulgated to the 

Sites of Tennessee. placing the site 

under the authority of the Division of Superfund. 

On April 4, 1991, the State issued an order 

requiring the site be secured (fenced) and the 

owners to submit and implement an investigation 

plan and remedial action plan for the site. By 

April, 1992, Witherspoon, Inc. declared that it 

was unable to clean up the site. Since that time, 

over one million dollars has been spent by the 

State and the Department of Energy in an effort to 

assess and remediate the environmental damage. 

During the time this effort was underway, the 

respondents allowed additional hazardous 

wastes to be released in the environment. As 

recently as August, 1993, the Witherspoon 

respondents have been responsible for the 

disposal of contaminated materials on site. 

The results of the October 1993 injunctive action 

was precedent setting in that this was the first 

judicial action in which Tennessee has taken legal 

possession of property. In the case of the 

Witherspoon Site, this action was taken in order 

to eliminate continuing disposal of contaminated 

materials and to maintain control of the site 

while efforts to investigate and remediate the 

site are underway. The resulting temporary 

restraining order, prevents the Witherspoon 

respondents from accessing the property. 

Utah 

neva Steel Comoa: In the 

largest out-of- court settlement for violations of 

the Utah Water Pollution Control Act and the 

Utah Pollutant Discharge Elimination System 

Permit for its mill at Orem, Geneva Steel 

Corporation paid over $750,000 in stipulated 

penalties between December 1989, and September 

1993. These stipulated penalties, for discharging 

excessive ammonia concentrations, were included 

in two settlement agreements, signed May 31, 

1990, and December 11, 1991. By the end of FY 

3-103 
FY 1993 Enforcernent Accomplishments Report 

1993, the facility had finally achieved 

compliance with its permit limits. 

Virginia 

Administrative Penalty 

Settlement and Consent Special Order was issued 

to Star Enterprises, et al, on April 30, 1993, in 

response to an oil discharge from storage tanks at 

the Fairfax Terminal. The Order includes an 

administrative penalty of $2,750,000 and 

requirements to provide pollution prevention 

measures at the Fairfax Terminal site. 

Approximately, 172,000 gallons of petroleum 

product was discharged from the tank farm over a 

period of years and resulted in an extensive oil 

plume, which significantly impacted nearby 

neighborhoods. 

Commonwealth Laboratory Commonwealth 

Laboratory is a privately-owned laboratory 

located in Richmond, VA that tests water, air, 

and soil samples as required by the CWA, CAA, 

RCRA, and SARA. Prior to a grand jury hearing 

for 50 potential indictments for falsification, the 

Corporation pled guilty as part of a plea bargain 

agreement to a violation of the Virginia Consumer 

Protection Act and paid $100,000 to the City of 

Richmond. The Corporation was alleged to have 

falsified data by altering test results, reporting 

tests not performed, falsifying records for data 

preservation, holding time, and equipment 

calibration. Subsequently, in a civil action, the 

Commonwealth Laboratory paid $50,000 to the 

U.S. Government for allegedly false submittals. 

e 1. Levine: Lawrence J. Levine, who was 

the former manager of Commonwealth 

Laboratory located in Richmond, VA, pled guilty 

to a Virginia Consumer Protection violation. Mr. 

Levine was indicted on 48 counts of submitting 

false statements to the Virginia Water Control 

Board and the Virginia Department of Waste 

Management and pled guilty to three 

misdemeanors in a plea bargain. The defendant 

was sentenced to three years in jail and fined 

$7,500; all but one day in jail was suspended with 

five years' probation. 

Washington 

(PCHB 93-36) : In August 1992, Ecology was 

called to investigate an oil sheen visible on the 

Spokane River in the downtown Spokane, 

Washington area. The investigation revealed 

Washington Water Power Company as the source 

of the oil. The oil sheen was caused when a 

diesel hose broke during a fueling operation. 

Subsequent investigation revealed that 

Washington Water Power failed to report the 

spill to authorities as required by state law. An 

effort was made to contain and clean up the spill. 

In settlement of the case, Washington Water 

Power paid $2,ooO to Ecology and agreed to spend 

an additional $15,000 for innovative projects. - Chehalis. Was- 

(PCHB No. 93-174): In August 1993, 

Klein Bicycle, Inc., a bicycle manufacturer, was 

penalized $242,000 under state dangerous waste 

and water quality laws for illegally discharging 

wastewater and hazardous waste to the ground. 

The company was also cited for 15 hazardous 

waste violations. The violations were observed 

during two inspections conducted in April and 

May 1992. The inspections revealed Klein had 

failed to voluntarily comply with state 

requirements despite technical assistance from 

Ecology and repeated efforts by the agency to gain 

compliance. The resulting penalty and order were 

appealed but later settled. Included in the 

settlement agreement is Klein's promise to pay 

$5O,ooO toward programs or projects that benefit 

water quality locally of statewide. A $50,000 

credit for innovative actions is also allowed for 

hazardous waste management improvements. 

Klein agreed to pay Ecology $40,000. Ecology 

suspended $50,000 of the original penalty 

contingent upon Klein's compliance with state 

hazardous waste and water quality laws during 

the next three years. 

Wyoming 

S! v. HolW Swr Cow. 

(Torrington, WY): Holly Sugar exceeded its 

NPDES permit limitations for BOD and 

temperature for a period of six months and 

nineteen months respectively. As a result, the 

Wyoming Department of Environmental Quality 

filed action in court to seek civil penalties and 

injunctive relief for these violations. On July 14, 

1992, Holly Sugar Corp. paid $70,000 in civil 

penalties and has agreed to an additional $5O,ooO 

in stipulated penalties should it have a 

"significant violation" (40% over its permit 

3-104 
, cI.p 

FY 1993 Enforcement Accomplishments Repon 

.I 

limitation) between then and March 1,1994. The 

Company was able to comply with its permit 

limits during the 1993 campaign. This action, 

along with the Western Sugar case, is a major step 

for Wyoming in aggressively addressing 

noncompliance and seeking penalties for NPDES 

permit violations. 

me of Wvuv. We-, (Lovell, 

WY): Western Sugar exceeded the BOD 

limitations established in its NPDES permit for 

a period of six months. As a result, the Wyoming 

Department of Environmental Quality (WYDEQ) 

filed action in court to seek civil penalties and 

injunctive relief for these violations. On June 29, 

1992, Western Sugar paid $35,000 in civil 

penalties and agreed to an additional $100,000 in 

stipulated penalties should it have a "significant 

violation" (40% over its permit limitation) before 

March 1, 1994. 

In the Underground Injection Control program, on 

August 18, 1993, the Wyoming Oil and Gas 

Conservation Commission issued a final 

administrative order reflecting an agreement 

reached with DNR Oil and Gas, Inc. of Denver, 

Colorado. The order required DNR to pay an 

administrative penalty of $10,000 for numerous 

violations including the unauthorized disposal 

("injection") of produced water from DNRs oil 

field operations into three Class I1 injection 

wells. These wells are located in the Brush Creek 

Field in Converse County, Wyoming. 

3-105 
FY 1993 Enforcement Accomplishments Reporl 

#'-a 

"k 

IV. Federal Facilities Enforcement and Federal Activities 

Office of Federal Facilities Enforcement 

EPA's Federal Facility Enforcement and Compliance Program, managed by the Ofice of 

Federal Facilities Enforcement (OWE), promotes protection of human health and the environment by 

expeditiously cleaning up and ensuring compliance at federal hazardous and radioactive waste sites. 

OFFE is establishing a framework that ensures the federal government is accountable to the public for 

its environmental record. In recognition of the public's vital interests, OFFE will work to further 

engage the public with the federal sector in the decision making process for management and cleanup 

of environmental contamination at federal facilities. 

In 1993, the Office of Federal Facilities Enforcement (OFFE) continued to ensure federal 

government compliance with all environmental laws. The federal government manages a vast array of 

industrial activities at its 27,000 installations. These activities present unique management problems 

from the standpoint of compliance with federal environmental statutes. Although federal facilities 

are only a small percentage of the regulated community, many federal installations are larger and more 

complex than private facilities and often present a greater number of sources of pollution in all media. 

The federal government is investing significant resources in addressing environmental cleanup and 

compliance issues at federal facilities. 

Superfund Cleanuo 

At the start of EPAs federal facilities enforcement program, EPA directed its resources largely to 

the completion of negotiations for CERCLA 5 120 interagency agreements. These agreements made up 

the cornerstone of the enforcement program addressing the 123 final and 20 proposed federal facilities 

listed on the National Priorities List (NPL). Each agreement contained specific schedules for the study 

and cleanup of hazardous substances at these facilities. 

During FY 1993, six additional federal facility CERCLA interagency agreements (IAGs) were 

executed. Of the federal facilities listed on the NPL at the end of FY 1993, 110 are now covered by 

agreements. With the majority of these agreements completed, EPA now concentrates most of its efforts 

on the their implementation. The number of accomplishments reported by the regions reflects that work 

has proceeded into the implementation phase. For example, the Regions reported 50 RODS signed in FY 

1993. In addition, they have reported 43 remedial design starts, 30 remedial design completions, 23 

remedial action starts and 15 remedial action completions. 

EPA anticipates that with more work moving through the study and cleanup phase, more issues 

will arise leading to disputes between EPA and federal agencies. In FY 1993, two major disputes arose 

under IAGs at George and Mather Air Force Bases that were decided by the Administrator. The 

disputes presented difficult issues regarding cleanup standards based on California's non-degradation 

policy. The Administrator's decision resolving these disputes stressed that EPA and the Air Force were 

to apply the state's policy, and the interpretation of the policy. 

Three cases were settled in FY 1993 involving violations of the terms of IAGs at Loring Air Force 

Base in Maine, Fernald in Ohio, and the West Virginia Ordnance Works Site. The settlement of these 

cases included over $500,000 in penalties and, in one case, as supplemental environmental project worth 

$2 million. 

In February, OFFE issued an interim report by the Federal Facilities Environmental Restoration 

Dialogue Committee. The committee is a chartered federal advisory committee and includes forty 

4-1 
FY 1993 Enforcement Accomplishments Report 

representatives of federal agencies, tribal and state governments and associations, and local and 

national environmental, community, and labor organizations. EPA established the committee in 1992 to 

develop consensus policy recommendations aimed at improving the federal facilities environmental 

restoration decision process to ensure that clean-up decisions reflect the priorities and concerns of all 

stakeholders. The interim report contained committee recommendations concerning: improving the 

dissemination of federal facility restoration information; improving stakeholder involvement in key 

restoration decisions with special emphasis on the use of site-specific advisory boards; and improving 

consultation on federal facility restoration funding decisions and setting priorities in the event of 

funding shortfalls. 

Federal Facilitv Comoliance Act 

The Federal Facility Compliance Act (FFCA), amending RCRA, became effective in N 1993. The 

law greatly enhances state and EPA enforcement authorities against federal facilities. For example, 

states and EPA can now assess and collect penalties for violations of RCRA requirements. In addition, 

EPA now has authority to issue administrative orders against federal facilities for enforcement of 

RCRA. 

During FY 1993, EPA took several significant steps in implementing the FFCA and exercising its 

new grants of authority. For example, EPA issued hearing procedures for adjudication and appeals to 

the Administrator for EPA-issued orders against federal agencies. In May, Region IX issued the first 

RCRA 5 3008 complaint and compliance order with penalties to a federal facility following passage of 

the FFCA. The complaint sought $257,580 in penalties for 27 violations at the US. Navy's El Centro, 

California Naval Air Facility. In June, Region VI negotiated and issued the first RCRA 5 7003 order for 

cleanup response ever issued against a federal agency. The order, involving Reese Air Force Base, near 

Lubbock,Texas, also included the first RCRA settlement with stipulated penalties since passage of the 

FFCA. 

In N 1993, EPA took 12 RCRA 533008(a) enforcement actions using the new authority granted by 

the FFCA. Two cases have been resolved, and the remainder are either being negotiated or invoking 

the hearing process. 

Under the RCRA illegal operator enforcement initiative, EPA charged several federal facilities 

with a combined total penalty of over $2 million for RCRA violations. Two Department of Defense 

bases located near San Antonio, Texas, were charged with posing a threat to the city's only source of 

drinking water. The initiative was an effort to stop operation of hazardous waste activities without 

required RCRA permits. 

Base Closure and Reuse 

Pursuant to Congressional mandate, numerous military bases are undergoing realignment or complete 

closure with the potential for,severe economic impacts on the affected local communities. The timely 

reutilization of these installations is essential if the economic consequences to the community of losing 

military and civilian jobs is to be minimized. EPA is currently involved at over seventy of these 

installations. 

A plan to mitigate economic dislocation and speed the economic recovery of communities near 

military bases scheduled for realignment or closure was announced by the Clinton Administration on 

July 2, 1993. Rapid redevelopment and job creation are top goals of the new initiative. A primary 

element of the President's plan is a Fast Track Cleanup Program at bases with a high probability of 

early reuse by the host communities. EPA, DOD, and the states are charged with creating a working 

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FY 1993 Enforcement Accomplishments Report 

partnership to implement the Fast Track Cleanup Program with the objectives of "quickly identifying 

clean parcels for early reuse, selecting appropriate leasing parcels where cleanup is underway, and 

hastening cleanup.'' 

In order for EPA to implement the President's Fast Track Cleanup Program, OFFE developed the 

Model Accelerated Cleanup Program (MAC) and guidance to execute the MAC. The MAC establishes 

environmental teams to provide EPAs technical expertise to streamline and accelerate the cleanup of 

closing and realigning bases. The MAC will be led by a senior project manager who will be empowered 

to make decisions locally and will rely on EPA expertise, breaking from traditional reliance on 

contractors for technical assistance. Although the MAC process will result in a more efficient process, 

EPA's work will be more intense. This intensity, however, will be offset in time savings and ultimately 

more efficient use of EPA and DOD resources. 

Under a very tight time frame, OFFE worked with DOD to develop a BRAC Cleanup Plan (BCP) 

Guidebook that provides guidance to the BRAC Cleanup Teams (EPA, DOD, state members) for 

conducting a 'bottom up review'' of the installation's cleanup program and preparing a comprehensive 

cleanup plan that is sensitive to the reuse needs of the community and the need for accelerated cleanup. 

The Base Closure Team also designed a three day BRAC Cleanup Team training course that focuses on 

teamwork and provides detailed instruction on the conduct of the "bottom up" review and preparation 

of a BCP. 

OFFE produced two conferences on "Military Base Closure: Accelerating Environmental Restoration," 

in Boston, MA and Austin, TX. The focus of the conferences was to develop methods for accelerating the 

cleanup process at closing military installations in order to facilitate the reuse of those installations. 

The conference report prepared by the team received wide distribution and serves as guidance on 

I accelerating cleanup. 

Pollution Prevention 

On August 3, 1993, President Clinton signed Executive Order 12856, "Federal Compliance with 

Right-To-Know Laws and Pollution Prevention Requirements." The Executive Order was signed to 

challenge the Federal government to become a leader in pollution prevention and to be a good neighbor 

by providing local and State authorities with information concerning the federal government's use of 

toxic and hazardous chemicals and extremely hazardous substances. OFFE staff assisted the White 

House in drafting the Executive Order. 

The three main elements of the Executive Order are: 1) incorporation of Pollution Prevention into 

day-to-day operations to "Ensure that all Federal agencies conduct their facility management and 

acquisition activities so that ... the quantity of toxic chemicals entering any waste stream ... is reduced as 

expeditiously as possible through sources reduction .. ."; 2) compliance with the Emergency Planning 

and Community Right-to-know Act (EPCRA) and the Pollution Prevention Act (PPA) to "Require 

Federal agencies to report in a public manner toxic chemicals entering any waste stream from their 

facilities ... and to improve local emergency planning, response and accident notification ..."; and 3) 

federal government support for clean technologies to"He1p encourage markets for clean technologies and 

safe alternatives.." 

There are approximately 40 separate requirements in the executive order and almost half of 

these have a specific deadline set forth in the order. OFFE co-chaired an EPA work group drafting 

interpretive guidance on implementation of Executive Order 12856, including compliance and 

inspections for EPCRA and the Toxic Release Inventory. Over 2,OOO federal facilities will be subject to 

full compliance with EPCRA, PPA and other Executive Order requirements such as the development of 

facility-specific pollution prevention plans by December 1995. 

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FY 1993 Enforcement Accomplishments Report 

Multimedia Initiative 

Federal facilities are a highly visible sector of the regulated community. Their compliance rates 

in all media have traditionally been lower than those of the private sector. Based on the need to 

address the environmental problems in the federal sector, EPA endorsed the Federal Facilities MultiMedia Enforcement Initiative for FY 1993/1994. 

The goal of the initiative is to improve federal agency compliance and reduce environmental 

risks from federal facilities through increased use of multi-media inspections; efficient utilization of 

all available enforcement authorities; and enhanced use of innovative pollution prevention (P2) 

approaches to solving compliance problems. 

Many federal agencies currently use a multi-media approach in their internal auditing and 

compliance evaluations. Multi-media enforcement provides an opportunity for a comprehensive 

evaluation of a facility by identifying threats to the environment where pollutants cross through 

various media. Also, multi-media activities provide for an in-depth opportunity for identifying 

pollution prevention projects that can be implemented as supplemental or beneficial environmental 

projects at the facility or throughout similar government branches, agencies, departments, and even the 

private sector. The emphasis is on projects which take pollution prevention approaches to resolving 

identified violations. 

Federal agencies will benefit from this initiative by clearly defining their environmental 

compliance status and the risks the facility poses to human health and the environment. It will 

provide greater efficiencies for installations by eliminating the resource burden of numerous singlemedia inspections and will serve as an excellent training ground through enhanced EPA technical 

assistance to federal agency environmental staffs. It will increase the level of environmental 

awareness of installation employees at all levels, and will help improve federal facilities compliance 

by providing a comprehensive view of compliance problems and creative opportunities to protect human 

health and the environment. 

In FY 1993, EPA and the states conducted 34 multi-media inspections of federal facilities, 

exceeding by 33% the minimum number of required inspections under the initiative. EPA and the states 

project a similar level of effort of multi-media investigations at federal facilities in FY 1994. 

Education and Outreach 

EPA continued to host the EPA/Federal Agency Environmental Roundtable, where 

representatives of approximately 50 federal agencies meet monthly to exchange information. At the 

Roundtable, EPA media experts discuss existing or proposed regulatory approaches affecting compliance 

by the other federal agencies. The Roundtable also provides a forum for an exchange of technological 

information between agencies. 

In January 1993, to address the specific environmental compliance needs and concerns of civilian 

federal agencies, which have smaller and .generally more nascent environmental programs than the 

Departments of Energy and Defense, EPA organized the Civilian Federal Agency Task Force. The task 

force is addressing problems consistently cited by these civilian agencies, including: inadequate training 

programs; deficient information resources; outdated compliance tracking and recordkeeping system; 

shortage of trained professionals with sufficient knowledge and expertise in environmental 

management and compliance; insufficient assistance from EPA on specific agency issues having a 

national impact; and inadequate communication and coordination and communication among EPA 

headquarters, EPA regions and other federal agencies. The task force has made recommendations to 

address these problem areas and will work, during FY 1994, to implement these recommendations. 

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FY 1993 Enforcement Accomplishments Report 

Office of Federal Activities 

The Office of Federal Activities (OFA) is responsible for ensuring federal compliance with the 

National Environmental Policy Act (NEPA), ensuring that federal agencies conduct their activities 

in an environmentally sound manner by reviewing environmental impact statements (EISs) under the 

Environmental Reuiew Program (ERP), and, in regard to Indian lands, developing environmental 

control capacity through implementation of the Indian multi-media grants program. 

The following summarizes key accomplishments by EPA's Office of Federal Activities (OFA) 

during FY 1993. It is organized according to five major activities for which OFA is the National 

Program Manager. These include: 

Environmental Review Proeram. - OFA reviews environmental impacts of proposed major federal 

actions as required by the National Environmental Policy Act (NEPA) and 5309 of the Clean Air Act. 

OFA aids in pollution prevention by anticipating environmental problems with federal agency 

programs. 

EPA Comdiance with Cross-Cuttine Statutes. OFA ensures that EPAs actions comply with the 

intent of NEPA and other non-EFA administered environmental laws such as the Endangered Species 

Act and the National Historic Preservation Act. 

National Filing Svstem. OFA is the designated agent for the Environmental Impact Statement 

(EIS) filing requirements of NEPA. OFA ensures proper documentation and public review. Additionally, 

OFA is the manager for EPA Memoranda of Understanding (MOW, serving as reviewer and recorder on 

77 active MOUs. 

International Proeram Activities. OFA provides technical assistance for the Agency's 

international activities. Assistance includes Environmental Impact Assessment (EIA) expertise; 

environmental infrastructure development for developing countries; and coordination with the 

Department of State, Agency for International Development, and relevant agencies. 

Indian Proeram. OFA acts as the national program manager for the Multi-Media/Grants 

Assistance Program for 'Ribes (P.L. 102497); and for providing oversight and guidance of EPAs efforts to 

extend the national system of environmental protection to Indian lands. 

Environmental Review Proeram 

Over the past year OFA has experienced significant progress and precedent setting actions. A 

partial listing includes: 

Report on NEPA at EPA. OFA chaired a workgroup which examined EPA programs and the 

National Environmental Policy Act. For the first time in more than two decades, a comprehensive 

study was made of EPA activities in respect to the key criteria of NEPA -- environmental analysis, 

consideration of alternatives, and public participation. OFA also considered how the program offices 

comply with other environmental requirements, such as the Endangered Species Act. The 

Administrator committed the Agency to this review following Senate hearings on the EPA cabinet bill. 

Mid-West Floods. OFA assumed a leadership role in Midwest flood recovery. Serving as EPAs 

representative to the White House Task Force on levee repair and long-term recovery, OFA promoted a 

comprehensive approach to floodplain management practices in the region. The principle established 

by OFA was to learn from past practices to prevent future disasters through long-term floodplain 

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FY 1993 Enforcement Accomplishments Report 

management. Because of OFAs efforts, the White House is pursuing a strategic assessment of federal 

activities in floodplains. 

Everdades. OFA represented EPA at the final negotiations and signing of the multi-agency 

agreement on restoration of the Everglades. OFA continue to coordinate with Region lV, the Office of 

Wetlands, Oceans and Watersheds, and other EPA offices to secure a team of experts to participate in 

the technical and scientific studies of this complex ecosystem necessary to arrive at a solution for 

environmentally sustainable development in the region. 

USGS - BuRec Coordination. As part of its interagency coordination and issue resolution function, 

OFA continued as Co- Chairs of the US Geological Survey (USGS) and the Bureau of Reclamation 

Committees to exchange information on key issues of pint interest. The meetings of the EPA/USGS 

Coordinating Committee held this year were successful in coordinating many programs and research 

efforts. The Bureau of Reclamation/EPA Interagency Coordinating Committee focused on the new 

directions of the Bureau's water resource management programs with particular emphasis on the 

Central California project, The Animus LaPlata project in S. W. Colorado, and the San Francisco Bay 

Delta Water project. 

Forest Conference. In April 1993, President Clinton convened the Forest Conference which was 

designed to break the impasse that had developed over use and protection of the Northwest forest 

resources. From the beginning, OFA has been an active member of the President's Forest Team with 

particular input in ecosystem protection and watershed management. OFA staff have been involved in 

both the review and preparation of the Draft Forest Conference Supplemental EIS. 

Environmental lusticg. OFA provided its expertise on the National Environmental Policy Act 

(NEPA) and its potential to further environmental justice awareness by assisting with the development 

of an Executive Order on Environmental Justice. Independent of that effort, OFA pursued with the 

Council on Environmental Quality, a pilot study evaluating the thoroughness of analysis of 

environmental justice issues and socioeconomic impacts under NEPA. 

Pollution Prevention. OFA developed and issued final guidance to EPA, which was coordinated 

with all federal agencies, on how pollution prevention can be incorporated into the National 

Environmental Policy Act (NEPA) and the Clean Air Act § 309 environmental review processes. The 

guidance provides specific examples of pollution prevention and mitigation measures that distinguish 

between source reduction and treatment technologies. 

Noise Issues. This year began with the completion of an aircraft noise study by the Federal 

Interagency Committee on Noise. The Report by the committee (OFA was the EPA representative) was 

part of the resolution of an Federal Aviation Administration project at the Toledo Express Airport. One 

of the recommendations of this report was to establish a standing Federal interagency committee to 

coordinate aircraft noise issues. The Federal Interagency Committee on Aircraft Noise has been 

established and OFA will represent EPA on this committee. OFAs review of DOD and FAA airport 

EISs is the driving point for their involvement in this issue. 

Clean Air Act Conformitv Rulemakines. Under the amended Clean Air Act (CAA) EPA was 

instructed to develop rules for the conformance for federal actions to the CAA. The rules were divided 

into transportation-related rules and general conformity rules for federal actions which were not 

FHWA or FTA related. OFA played two critical roles: The first was to craft rules which were not 

dependent upon NEPA but were complementary to NEPA. The second was to provide continuous 

feedback on how the rules, throughout their many iterations, might affect the other agencies. 

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FY 1993 Enforcement Accomplishments Report 

Federal Hiphwavs Administration Issues. In the past year, OFA has continued to work with the 

DOT designated-EPA liaison, to resolve several controversial highway projects. The Appalachian 

Corridor H project, a proposed 120 mile highway through West Virginia, which would foster economic 

development for the state was a case in-point. The tiered corridor level approach used by FHWA 

required an EPA stance to select the environmentally preferable alternative and encourage FHWA to 

utilize the tiered corridor approach in future projects. The Route 86 project in Riverside County, 

California required considerable Headquarters attention in order to bridge the pressure to build a 20 

year old project with the need for current environmental analysis. 

Federal Enerw __ Reeulatorv - Co mmission. In an effort to help the Federal Regulatory Commission 

(FERC) improve the environmental soundness of hydropower licensing and relicensing decisions, OFA 

coordinated with federal resource agencies to formulate a unified series of recommendations geared to 

process improvement. Once a consistent view was expressed by federal agencies with an interest in 

hydropower, FERC became convinced of the need for change. OFA continues to provide advice and 

assistance in the course of FERC's current relicensing improvement efforts. 

Outer Continental Shelf Activities. OFA has provided for coordination between EPAs Regions 

IV and VI and the regional and headquarters components of the Minerals Management Service (MMS) 

in the preparation of two Supplemental Environmental Impact Statements (SEIS) to address new source 

general permit issuance for Outer Continental Shelf oil and gas activities. OFA helped the regions and 

MMS to overcome jurisdictional and technical disputes to ensure the timely issuance of the documents. 

EPA could not issue general National Pollutant Discharge Elimination System (NPDES) permits for 

effluent discharges from oil and gas operations in the western, central and eastern Gulf of Mexico until 

the required NEPA reviews were completed. 

NEPA Comuliance 

Endaneered Suecies Activities. As a part of their role to ensure compliance with cross-cutting 

environmental laws, OFA has been coordinating endangered species issues within the Agency. At the 

heart of their activities, OFA has been a lead for the Endangered Species Coordinating Committee 

that was established to describe current activities and obligations, set priorities, establish 

appropriate training, support and liaison functions with the Fish and Wldlife Service and National 

Marine Fisheries Service. ' 

Environmental Assessment Guidance & Training. OFA developed guidance materials on 

environmental assessment to assist both prepares and reviewers of environmental impact assessments. 

This included a "Sourcebook on the EA process and a related computer program developed by EPA 

Region V that was designed for self instruction. OFA also began revision of technical guidelines for 

environmental assessment on proposed fossil fueled steam electric generating stations and coal 

gasification/petroleum refineries. Work was carried out on EISs for industrial facilities in Texas and 

Louisiana, power plants in Maine and Florida, off-shore oil and gas NPDES permitting in Regions IV 

and VI. 

Historic Preservation. OFA, with the lead on ensuring compliance with the National Historic 

Preservation Act, has been consulting with the Advisory Council on Historic Preservation in 

implementing the 1992 Amendments affecting Agency programs delegated to states. Heretofore, these 

programs were not subject to the Act's provisions. OFA has established an agency-wide workgroup to 

evaluate the implications for these requirements on states. OFA has also developed training for 

headquarters and regional staff in the requirements of the law with the cooperation of the Council. 

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FY 1993 Enforcement Accomplishments Report 

National Filine Svste ms 

Environmenta 1 Review: - In FY 1993,469 environmental impact statements (EISs) were filed with 

OFA under OFA's delegation from CEQ (286 draft and 183 final). During W 1993, EPA commented on 259 

draft EISs and 171 final EISs. Of these, 44 draft EISs were rated EO (environmental objections) with 

the remaining either EC (environmental concerns) or LO (lack of objections). 

International Proeram ActivitiQ 

NAFTA Repon. OFA was actively involved in support to the Administrator and the U.S. Trade 

Representative (USTR) on environmental issues concerning NAFTA. OFA took the EPA lead in 

preparation of an environmental report which Ambassador Kantor committed to prepare for the 

November 1 submittal of NARA to Congress. 

Environmenta 1 Assess ment Paining. OFA has responded to requests to brief a number of foreign 

visitors on the environmental assessment process. Formal training on the environmental assessment 

process was provided to Mexico, Turkey, Bulgaria, and World Bank and U.S. Exim Bank staff. Other EA 

technical assistance included participation on a technical taskforce to Russia. 

Indian Proeram - 

Qyelopment of Tribal General Assistance Grant Redation. The Indian Environmental General 

Assistance Program Act of 1992, enacted October 24,1992, directed EPA' to "establish an Indian General 

Assistance Program that provides grants to eligible Indian tribal governments or intertribal consortia to 

cover the costs of planning, developing and establishi,ng environmental protection programs on Indian 

lands" within one year of enactment. 

As part of the regulation development process, public information meetings were conducted to 

solicit informal comment from tribes and other interested parties. With this tribal input further policy 

and implementation issues were resolved. OMB concurred .in the rule and it was published in the 

Federal Register on December 2, 1993. The General Assistance Program replaces the Multi-Media 

Assistance Program (summarized below). 

Peatment as a State Reylations. OFA was requested to lead the effort to revise the Agency's 

"treatment as state" (TAS) procedures by'which Indian tribes become eligible for grants and program 

authorization.' An interagency workgroup chaired by OFA has written regulations which simplify the 

procedure ana make it less burdensome and offensive to tribes. 

Indian Proeram Administration. OFA began the Multi-Media Assistance Program in FY 1990 

with $151,000 for two pilot projects. During FY 1991, $1.m of Agency funds were provided to 29 grants 

to 47 tribes. In FY 1992, 60 new and continuation grants were funded from $5.2M appropriated by 

Congress including Congressional add-ons for two projects: $1,5m to the 26 Washington tribes for the 

Washington State Tribal Initiative, and $500K to the Inter-Tribal Council of Arizona (ITCA). During 

W 1993,100 new and continuation grants were funded from $7.5M appropriated including $35M to the 

two Congressionally-mandated projects ($2.5M for the Washington tribes; $l.OM for the ITCA). For FY 

1994, $8.5 million is available for award to tribal governments and inter-tribal governments and 

consortia. To date, nearly half the tribes and a quarter of the Alaska Native Villages are receiving 

capacity building activities. Additionally, OFA held interagency Indian workgroup meetings between 

EPA and nine Federal agencies. OFA has actively assisted most of the 500+ tribes and Alaskan Native 

villages who are preparing to bring environmental management to their lands. 

4-8 
FY I993 Enforceinenf Accomplishments Repon 

'c! Building and Maintaining a Strong National Enforcement Program 

Proeram DeveloDment 

National Enforcement Training Institute (NETI) 

During FY 1993 NETI made major strides in its continuing effort to develop and offer a 

comprehensive, integrated approach to enforcement training for federal, state and local environmental 

enforcement personnel, as mandated by the Pollution Prosecution Act of 1990 (Public Law 101-592). 

NEWS success for the year is reflected in the impressive training statistics: course offerings increased 

fourfold over the previous year as NET1 offered 200 course sessions, and attendance at NETI-sponsored 

courses increased by over I20 percent, with 8,375 professionals being trained in FY 1993. Of this number, 

4,509 (54%) were state and local employees, and 3866 (46%) were federal employees. 

NET1 provided training in all ten EPA Regional Offices and Headquarters during the year. NET1 

courses were also taught in 20 States: Arizona, California, Florida (3 courses), Georgia, Indiana (2 

courses), Kentucky, Louisiana, Michigan, Mississippi, Nevada, New Jersey, New Mexico, North 

Carolina, Rhode Island, South Carolina, Tennessee (2 courses), Texas, Vermont (2 courses), Virginia, and 

Wisconsin. 

During FY 1993, NETI significantly expanded its training opportunities that were made 

available to the international environmental community. NETI offered courses in Malaysia, Mexico, 

Thailand, Turkey, and Ukraine. 

These significant increases were made possible by the cooperative partnerships and alliances 

that NETI has established and fostered within the environmental enforcement community. Training 

presented under the auspices of NETI in FY 1993 was carried out by the EPA Headquarters and regions, 

the National Enforcement Investigations Center (NElC), the criminal program at the Federal Law 

Enforcement Training Center (FLETC), the EPA program offices, the Northeast Environmental 

Enforcement Project (NEEP), the Midwest Environmental Enforcement Association (MEEA), the 

Southern Environmental Enforcement Network (SEEN) and the Western States Project (WSP). 

In FY 1993 NETI firmly established its organizational structure and network. This network 

includes the NETI Council--a body of 39 high level representatives from within EPA, the U.S. 

Department of Justice (DOJ), state and local governments and academia. It also encompasses seven 

subcommittees of the Council and six independent, standing committees on curriculum development. 

During the year, NETI launched an extensive effort to revise its prototype two-week Basic 

Environmental Enforcement Course and produce an operational version. The second session of the 

prototype was presented in FY 1993 in Washington, D.C., where the focus was upon Region IV. Half of 

the 36 trainees were from Region IV, EPA Headquarters and DOJ, with the remaining half being from 

the State and local environmental enforcement agencies in the Region IV area. 

Following that second presentation, NET1 began an effort to condense the Basic Environmental 

Enforcement Course into a one-week time frame featuring both classroom instruction and clinical 

exercise, which would be suitable for delivery by NETI training providers. This effort began in June 

1993 with a meeting of a subcommittee of the NET1 Curriculum Committee. This subcommittee is 

composed of State and Federal expert training professionals, who will be involved throughout the 

development of the Course. It is anticipated that this Course, which will be offered beginning in June 

1994, will become the "basic training" for all new environmental enforcement professionals in the 

United States. 

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FY I993 Enforcement Accomplishments Report 

NETI also revised its BEN and ABEL training in FY 1993 to reflect the changes made within the 

BEN model's discount rate assumptions, as well as to incorporate a series of improvements to make the 

training more effective. NETI delivered 14 sessions of the BEN and ABEL Course, training a total of 331 

enforcement personnel in EPA Headquarters, 9 Regional Offices, the States of Indiana and Florida, and 

the Northeast Environmental Enforcement Project. In addition, NETI delivered the Cashout and 

Superfund ABEL Course, which is essentially the Superfund version of the BEN and ABEL Course, to 

120 enforcement personnel at four locations. 

The Integrated Data for Enforcement Analysis (IDEA) is a showcase tool in the arsenal of 

environmental enforcers. IDEA is an interactive, high-speed data retrieval and integration capability 

to retrieve data for performing multi-media analyses of regulated facilities for inspection targeting, 

case screening, case development, litigation support, and settlement negotiations. Fourteen sessions of 

the IDEA Training Course were offered nationally in FY 1993 to an audience of 235 environmental 

professionals. 

As a follow-on to NETI's international training provided to Mexican environmental inspectors 

last year, in FY 1993 NETI trained an additional 180 Mexican inspectors in Mexico City and 

Guadalajara. The fiveday Training Course for Mexican Inspectors was especially designed to meet the 

needs of the Mexican audience at each specific location. The inspectors benefited from site visits to 

manufacturing facilities within Mexico. Classroom instruction included in-depth presentations on 

Mexico's environmental laws and regulations, health and safety techniques for field activities, and the 

fundamentals of compliance inspections. In addition, detailed reviews of selected industrial processes 

(e.g., electroplating, printed circuit board manufacturing, furniture finishing, and injection molding) 

were included in the classroom discussion, which served to reinforce the information that the trainees 

gleaned from the site visits. 

The Principles of Environmental Enforcement Course was presented to a total audience of 107 

environmental officials in Kuala Lumpur, Malaysia; Laem Chabang, Thailand; Ankara, Turkey; and 

Kiev, Ukraine. This intensive, three-day training presented fundamental principles for designing and 

implementing environmental enforcement programs. Developed in 1991 by EPA, with participation 

from the Netherlands, Poland, and other countries, this Course is designed for delivery in a wide 

variety of cultural settings. 

NETI made significant progress in reaching out to its domestic and international audiences during 

FY 1993, as well as in making meaningful progress to refine the Institute's internal planning and 

management functions. Among other things, the Institute developed a vision for NETI's long-term goals 

by producing the NETI Strategic Plan. NETI also made important strides in becoming a nationally 

recognized leader in the use of emerging, innovative technologies as vehicles for reaching larger 

audiences. 

The NETI Strategic Plan constitutes a comprehensive, detailed blueprint or design that will 

guide NETI's planning functions in the forthcoming three fiscal years. The Strategic Plan will serve as 

the basis for the development of yearly Operating Plans that will translate the Strategic Plan's 

imperatives into attainable actions for each applicable year. 

NETI aggressively moved forward in FY 1993 into the electronic age of distance education. 

Distance education utilizes emerging technologies for reaching larger, more widely dispersed audiences. 

Interactive videos, CD-ROM, and closed-circuit, satellite television transmission are examples of these 

emerging technologies. During FY 1993, NETI was able to reach simultaneously an audience of 1,000 

trainees in 50 States with the Administrative Hearings and Trials Course, by using closed-circuit, 

satellite transmission with only one instructor for a single day. Also offered via satellite transmission, 

the Environmental Law for Local Law Enforcement Officers Course reached an audience of 2,000. 

5-2 
FY 1993 Enforcernent Accomplishments Reporf 

NETI developed and implemented a Clearinghouse in FY 1993 for keeping constituent groups 

informed about NETI-sponsored training. The user-friendly NETI Clearinghouse is accessible 

nationally through a non-toll telephone number: 1-800 EPA-NETI. It is a major means for disseminating 

information about the availability of environmental enforcement training. In particular, State, local, 

and tribal environmental enforcers, who may not have ready access to computer networks, are only a 

telephone call away from up-to-the-minute information about NETI. 

Finally, NETI took major steps during the year to design and complete the new NETI 

Headquarters Training Center, which is scheduled for its official opening during the summer of 1994. 

The Center will be a model state-of-the-art training facility located in midtown Washington, D.C. (For 

further information contact NETI) 

Inter~overnmental/International Enforcement Activities 

Environmental Side Agreement to the North American Free Trade 

Agreement (NAFTA) 

OE helped develop the North American Agreement on Environmental Cooperation (also known as 

the NAFTA environmental side agreement), which was signed by President Clinton and the heads of 

state of Mexico and Canada on September 14, 1993. The final language contains several strong 

enforcement provisions, including a mandatory annual report of enforcement activity by each country, a 

duty to effectively enforce domestic environmental laws, and a system for resolving allegations of lax 

enforcement by any of the three countries. (For further information contact the OE-International 

Enforcement Program) 

North American Free Trade Agreement Legislative Support 

OE contributed substantially to the Administrator's efforts to respond to Congressional concerns 

about environmental impacts of the North American Free Trade Agreement. OE activities included 

commenting on testimony for several Congressional hearings, responding to Congressional inquiries, and 

participating in EPAs review of the NAFTA legislation and accompanying legislative materials. OE 

also participated in a review of Mexico's environmental laws, and drafted the portion of the resulting 

report pertaining to Mexico's environmental inspection and enforcement program. (For further 

information contact the OE-International Enforcement Program) 

Antarctica Legislation 

OE worked to promote enforcement provisions in the Administration bill to implement the 

environmental protocol to the Antarctic Treaty. This effort involved drafting of legislative language, 

review of Congressional testimony and numerous meetings of the interagency group writing the bill. 

Issues addressed included judicial review of permits, standing, waiver of sovereign immunity, and 

citizen enforcement suits, including scope of the violations covered. The bill was completed on 

November 15,1993. (For further information contact the OE-International Enforcement Program) 

U.S./Mexico Cooperative Enforcement Strategy Work Group 

EPA's Deputy Assistant Administrator for Enforcement served as US. co-chairperson of the 

U.S./Mexico Cooperative Enforcement Strategy Work Group. OE worked to develop cooperative 

5 -3 
FY 1993 Enforcement Accomplishments Report 

enforcement activities with Mexico‘s environmental agency, SEDESOL, while SEDESOL put into place 

a new enforcement program which resulted in more than 16,000 inspections nationwide. OEs National 

Enforcement Training Institute provided training in Multimedia Inspection techniques to 380 SEDESOL 

inspectors. EPA and SEDESOL increased cooperation in the investigation of specific cases, particularly 

involving illegal hazardous waste movements. OE supported efforts to expand cooperation with 

Customs and State environmental agencies to detect illegal hazardous waste shipments, and developed 

a bilingual video to train U.S. and Mexican Customs officials in detecting and responding to illegal 

waste shipments. OE assisted efforts to develop a binational database to track transboundary 

hazardous waste shipments, and the filing of the first four administrative enforcement cases in June, 

1993 which were developed using the database. OE worked with Regional and Mexican counterparts to 

prepare a Progress Report on Work Group activities, and to develop a list of Work Group priorities for 

the coming year. (For further information contact the OE-Inte~MtiOMl Enforcement Program) 

Enhancing Cooperative Enforcement Activity with Canada 

OE met with officials of Environment Canada and the Ontario Ministry of the Environment and 

Energy to discuss ways to augment cooperative enforcement activity between the two countries. The 

participants exchanged information on enforcement statistics and methods of setting priorities. Future 

activity is likely to be bilateral, especially for case-spccific matters, and also trilateral, with Mexico, 

under the auspices of the new North American Commission on Environmental Cooperation. (For further 

information contact the OE-International Enforcement Program) 

Technical Assistance to Russia, Eastern Europe, and Indonesia 

OE participated in missions to Poland and Russia, and assisted in a Polish mission to the United 

States, which included components related to improving enforcement of environmental laws. These 

missions are multi-year efforts. Similar projects are likely in other emerging democracies in the region, 

especially Slovakia. OE also met with visiting officials from Indonesia to provide technical 

assistance on environmental enforcement issues. (For further information contact the OE-International 

Enforcement Program) 

Customs Cooperation 

OE led efforts to increase cooperation between EPA and the U.S. Customs Service in monitoring 

compliance and enforcing environmental laws pertaining to import and export. OEs work stimulated 

dialogue on possible development of computer interfaces with Customs to improve the efficiency of 

interagency cooperation in compliance monitoring and enforcement. (For further information contact the 

OE-International Enforcement Program) 

Transboundary Movement of Hazardous Waste 

OE participated in a number of EPA initiatives regarding the transboundary movement of waste, 

including drafting of a regulation to implement the OECD Decision on Transboundary Movement of 

Wastes Destined for Recovery, and efforts to support Congressional consideration of legislation to 

implement the Basel Convention on Transboundary Movement of Hazardous Wastes and Their Disposal. 

(For further information contact the OE-International Enforcement Program) 

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FY 1993 Enforcement Accomplishments Report 

National ReDorts on FY 1992 EPA and Sta te Performance 

Timely and Appropriate Enforcement Response 

The Timely and Appropriate Enforcement Response concept seeks to establish predictable 

enforcement responses by both EPA and the States, with each media program defining target 

timeframes for the timely escalation of enforcement responses. Tracking of timeframes commences on 

the date the violation is detected through to the date when formal enforcement action is initiated. 

The programs have also defined what constitutes an appropriate formal enforcement response based on 

the nature of the violation, including defining when the imposition of penalties or other sanctions is 

appropriate. Each year, OE compiles an end-of-year report which summarizes the performance by each 

of the media programs. (For further information contact OCAPO) 

National Penalty Report 

Each year, EPA produces a comprehensive analysis of the financial penalties EPA obtained from 

violators of environmental laws. The report contains an Agency-wide overview for each program and 

compares current year performance with historical trends. (For further information contact OCAPO) 

Summary of State-by-State Enforcement Activity for EPA and the States 

Each year, EPA assembles an end-of-year report which summarizes quantitative indicators of 

EPA and State enforcement activities on a state-by-state basis. The FY 1993 report is scheduled for 

publication in May 1994. (For further information contact OCAPO) 

Enforcement Four-Year Strategic Plan 

As part of EPA's Agency-wide strategic planning process, the Office of Enforcement developed a 

comprehensive enforcement plan with both media-specific and cross-media components. The 

Enforcement Four-Year Strategic Plan outlines the capabilities which will be needed to enhance 

enforcement efforts for the future. Several of these efforts are now being implemented on a pilot basis, 

while others will be fully developed over the next several years. The Strategic Plan is a sound guide 

for the Agency's future enforcement efforts. (For further information contact OCAPO) 

Enforcement in the 1990's 

The decade of the 1990s represents a new era in environmental enforcement as the Federal, State 

and local governments and citizen's groups better combine their resources to vigorously enforce the 

nation's environmental laws. The strategic planning reflected in the Enforcement Four-Year Strategic - 

Plan set themes and directions for the Agency's enforcement program. In FY 1991, the Office of 

Enforcement, other EPA personnel in Headquarters and the Regions, and, in some instances, non-EPA 

personnel, produced reports, collected in the Enforcement in the 1990s Project, which complement the 

earlier Strateeic Plan. These final reports provide recommendations for action in six discrete areas: 

measures of success, the State/Federal relationship, environmental rulemaking, innovative 

enforcement techniques, compliance incentives, and the role of local governments. 

The 1990s Project reports establish an agenda that points in new directions and identify numerous 

action steps for EPA staff at Headquarters, the Regions, the States, the local governments, and citizens. 

EPA has begun to implemcnt many of these, and more will be undertaken in the near future. The 

Enforcement in the 1990s Project provided valuable, practical ideas whose implementation will 

strengthen significantly the Agency's enforcement program. (For further information contact OCAPO) 

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FY 1993 Enforcemen1 Accomplishments Reporl 

I 

General Enforcement Policy Compendium 

An essential tool in multi-media enforcement, the General Enforcement Policy Compendium, 

which contains 90 documents issued throughout EPAs history, was the subject of a comprehensive 

review to determine whether specific policies require updating and revision. The review was conducted 

by a Workgroup comprised of representatives from all offices of the Office of Enforcement and several 

Regional Counsel offices. The workgroup has prepared a new master index for the Compendium which 

groups policies by subject matter area and provides a summary of each policy, and has developed 

recommendations for the performance of editorial work which will ensure that the Compendium is upto-date and is more useful as a reference, and for improvements in distribution, electronic access and 

training which will promote its availability and use. (For further information contac! OCAPO) 

Clean Air Act 

Clean Air Act - Stah 'onary Source Comdiance Division 

Administrative Penalty Program 

The administrative penalty order (APO) authority for the air program was established in the 

1990 CAAA. In FY 1993, the second year of APO authority implementation, regional enforcement staff 

continued to aggressively use the administrative penalty authority to bring enforcement actions for 

violations of State Implementation Plans (SIP'S), New Source Performance Standards (NSPS), and 

National Emission Standards for Hazardous Air Pollutants (NESHAP), as well as for violations of the 

Stratospheric Ozone Protection requirements of the CAA. Settlement of these cases during FY 1993 

yielded almost two million dollars in penalties. Additionally, Supplemental Enforcement Projects 

(SEP's) are a part of eight settlements which require the respondents to spend over one million dollars 

on pollution reduction projects. (For further information contact SSCD) 

Stratospheric Ozone Protection Compliance Program 

Three new CFC regulations became effective in FY 1993 that implemented 55 608,610, and 611 of 

the 1990 CAAA. These regulations will enhance the enforcement of the stratospheric ozone provisions 

of the Act. 

The 5 608 regulations, effective in June of 1993, prohibit the release of ozone depleting 

refrigerants when servicing air conditioning and refrigeration equipment. The Stationary Source 

Compliance Division (SSCD) prepared training manuals to train Regional inspectors. The 5 610 

regulations, effective in February of 1993, prohibit the sale of certain nonessential products that contain 

or are manufactured with ozone depleting substances. SSCD prepared a compliance guidance for these 

regulations and one case has been filed against a violator. The 5 611 regulations, effective in May of 

1993, require warning labels on products containing ozone depleting substances. (For further information 

contact SSCD) 

Wood Heater Program 

The wood heater program requires certification of wood heaters manufactured and sold in the 

US. in order to reduce the emissions of particulate matter. In Fiscal Year 1993, SSCD granted 49 wood 

heater certifications and 20 recertifications. Recertifications are required every five years. Other 

enforcement activities included 75 inspections of wood heater retailers and manufacturing facilities 

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FY 1993 Enforcement Accomplishments Report 

I .. 

(using five senior environmental employees) and granting 75 design change requests. (For further 

information contact SSCD) 

Missouri Voluntary Compliance Pilot Program 

The Stationary Source Compliance Division and Air Enforcement Division (AED) assisted Region 

VI1 develop the Missouri Voluntary Compliance Pilot Program (MVCPP) for the New Source 

Performance Standards (NSPS) subpart OOO, nonmetallic mineral processing plants. The MVCPP was 

established to handle a large number of sources in Missouri that were discovered to be in probable 

violation of the subpart 000 requirements for notification and testing. Under the MVCPP, for a 

limited period of time, EPA Region VI1 provided a window of opportunity for the Missouri nonmetallic 

mineral processing industry to disclose information on present and past compliance and noncompliance. 

In return, for voluntarily providing information, sources will receive reduced penalties. Due to the 

large number of potential violators, and the nature of the violations, the program will address the 

majority of cases through the administrative process, rather than through judicial actions. The vast 

majority of the violations addressed by the MVCPP were more than 12 months old and EPA obtained 

the concurrence of the Attorney General to waive the time limit on the administrative penalty 

authority. (For further information contact SSCD) 

Technical Agenda 

In FY 1993, SSCD conducted a series of studies and projects under its Technical Agenda. These 

projects were designed to provide technical assistance to EPA personnel throughout the agency. In FY 

1993, projects were conducted to assist in the control of Volatile Organic Compounds (VK) emissions, 

air toxics emissions, and pollution prevention. 

VOC Proiects -- Three VOC projects were released. They are: 1. "Summary Matrix of Air 

Regulations From Other Pollution Media;" 2. "Development of Engineering and Cost Information and 

Data Pertaining to the Use of Permanent Total Enc1osure;"and 3. "Inspection Manual for Enforcement of 

Proposed NESHAP for SOCMI." One additional study, "Correlation of Reference Method 24 Test 

Results and Manufacturers Formulation Data," was initiated and will be continued as a cooperative 

project among SSCD, regional, state, and industrial partners. 

Air Toxics Proiects -- The three air toxics projects completed are: 1. "Revisions to Inspection 

Manual for Benzene NESHAP for Coke By-Product Recovery Plants, Subpart L;" 2. "Inspection Manual 

for Benzene NESHAP for Waste Operations, Subpart FF;" and 3. "Development of Dry Cleaning Data 

Base." 

Pollution Prevention Proiects -- The five pollution prevention projects completed are: 

l."Agricultural-Based Ink Usage;" 2. "Basic Pollution Prevention for Engineers and Scientists;" 3. 

"Organic Chemical P2 Opportunities;" 4. "Pollution Prevention Case Study Data Base;" and 5. 

"Satellite-Based Pollution Prevention training for Air Regulatory Programs." (For further information 

contact SSCD) 

Acid Rain Program 

Unlike other traditional enforcement programs, the Acid Rain Program is designed as a market 

driven program that creates economic incentives for its participants to comply. Initially, utilities 

receive emissions allowances from EPA that represent their allowable levels of sulfur dioxide 

emissions. These allowances can be bought and sold among the utilities. The SSCD in cooperation with 

the Acid Rain Division, Air Enforcement Division, and the Regions, developed a draft enforcement 

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FY 1993 Enforcement Accomplishments Report 

guidance document for the acid rainexcess emissions, CEMS, and permit rules. This guidance document 

will be used by EPA and the States to address violations and bring violators into compliance. (For 

further infomation contact SSCD) 

NSPS Subpart J - Oil Refinery Industry - Initiative 

SSCD coordinated a two year national initiative to implement the NSPS Subpart J (oil refinery 

industry) requirements to install, certify, and operate continuous emission monitoring systems (CEMS). 

The initiative offered a unique opportunity to emphasize and implement the CEMS program and 

document the program’s benefits in reducing emissions produced from the oil refinery industry. 

The Subpart J initiative consisted of two phases and ended in FY 1993. The initiative resulted in 

an 80 percent compliance rate, 48 enforcement actions (including 37 APOs) with over three million 

dollars in penalties pled, a number of civil judicial cases (some still under preparation) with multimillion dollar penalties, and numerous State enforcement actions with penalties of over $310,000. This 

initiative has led to the identification of additional violations in other air programs and other media, 

as well as to multi-media enforcement actions. (For further information contact SSCD) 

Rule Effectiveness 

Rule effectiveness is a method for determining how effective an environmental regulation is in 

reducing source pollution. Rule effectiveness studies are intended to identify and quantify 

implementation problems which effect attainment of the National Ambient Air Quality Standards. 

The SSCD believes that these studies can greatly assist the states to achieve the 15 percent reasonable 

further progress (RFP) requirements. 

In FY 1993, SSCD issued the revised Rule Effectiveness Protocol Guidance and completed the Rule 

Effectiveness Study Index. At the regional and state level, 12 rule effectiveness studies were completed 

during the year. These were mainly studies of rules regulating volatile organic compounds (VOC). 

These studies focused on such issues as: miscellaneous metal parts coatings; stage I and stage 11 gas 

recovery; transfer of organic compounds into mobile transport tanks; Operations, motor vehicle and 

mobile equipment coating operations; steam generators; and process heaters. (For further information 

contact SSCD) 

Lead Enforcement 

The Lead National Ambient Air Quality Standards (NAAQS) Attainment Strategy is part of 

the Agency-wide Lead (Pb) Strategy to reduce human exposure to lead. In support of the strategy, the 

SSCD implemented a technical guidance document entitled ”Compliance Inspection and Assistance 

Document: Primary and Secondary Lead Smelters and Lead Acid Battery Plants.” This technical 

guidance is designed to provide guidance to regional and state regulators on minimizing fugitive and 

point emissions from lead sources. Several regions use the technical guidance document to address some 

of the lead NAAQs compliance deficiencies. (For further information contact SSCD) 

National Case Initiative - Louisiana-Pacific Corporation 

In FY 1993, EPA concluded a major multi-Regional and multi-State case initiative against 

Louisiana-Pacific. This case was nationally managed and developed in cooperation with eight EI’A 

regional offices. The case was developed because Louisiana-Pacific routinely failed to comply with 

prevention of significant deterioration (PSD) and operating permits requirements. 

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FY 1993 Enforcement Accomplishments Report 

The settlement resulted in Louisiana-Pacific agreeing to pay a civil penalty of $11.1 million, 

the highest penalty collected under the CAA; install state-of-the-art pollution control equipment in a 

total of fourteen facilities; employ an environmental manager at each facility; employ a corporate 

environmental manager; and conduct a comprehensive audit of its management structure and of all the 

practices and procedures at all of its wood panel building products facilities. 

This initiative was instrumental in establishing several national precedents. They are: 1) multiregional and multi-state approach to locate noncompliance; 2) Consideration of existing technology 

applied in other industries as Best Available Control Technology; and 3) Stateof-the art technology 

for this industry with limited supplemental energy requirements. Moreover, this National initiative 

proved to be an outstanding example of coordinated effort among DOJ, EPA Headquarters and regional 

offices and the respective state agenaes. (For further information contact SSCD) 

Compliance Tracking 

The air compliance tracking systems, used by federal, state, and local agencies, continued to be 

revised and enhanced in FY 1993. AIRS Facility Subsystem (AFS) is an integral component of the air 

compliance tracking system and is now used routinely for reporting to the Integrated Data for 

Enforcement Analysis (IDEA) system and to the Strategic Tracking and Accountability System 

(STARS). In FY 1993, AFS became the system for tracking significant violaton by the regions. 

Additionally, AFS data is available to assist states using the Inspection Targeting Model (ITM) in 

planning yearly inspection priorities. 

The National Asbestos Registry System (NARS), used to track asbestos demolition and 

reconstruction violators, is an information system that continues to fulfill two major functions: program 

reporting and evaluation, and inspection targeting and evaluation. The most important improvements 

to NARS, in FY 1993, are on-line availability through the COMPLI Bulletin Board and a major 

upgrade of the local tracking system that serves NARS. (For further information contact SSCD) 

COMPLI Bulletin Board System 

In FY 1993, SSCD initiated the Compliance Information Bulletin Board System (COMPLI - BBS). 

COMPLI is part of the OAQE Technology Transfer Network Bulletin Board System (TM BBS) and is 

available free to any interested party. 

There are three major areas of the COMPLI BBS. They are: 1. Patabase including the 

National Asbestos Register System which lists all asbestos contractors and their compliance history, 

and a woodstove database which lists all certified woodstoves and their manufacturers; 2. 

Determinations which includes EPA rulings on regulation applicability for stationary sources of air 

pollution; and 3. which contains documents and reports on training and other technical areas. (For 

further information contact SSCD) 

Compliance Monitoring Strategy 

The Compliance Monitoring Strategy (CMS) provides a flexible and systematic approach for 

determining state inspection commitments. The strategy recommends the development of a 

comprehensive inspection plan that identifies all sources committed to be inspected by the State agency 

during its fiscal year. 

The SSCD provided continued support of the Inspection Targeting System (ITS) during FY 1993. 

This model (formerly called the Inspection Targeting Model) is used to assist states in developing their 

5-9 
FY 1993 Enforcement Accomplishments Repori 

comprehensive inspection plans. It takes into consideration quantitative factors, qualitative factors, 

emissions, and past compliance history when ranking sources for inspection. In addition, states input 

their available inspection resources in ITS in order to finalize the list of sources to be targeted for 

inspections. 

During FY 1993, new features were added to this system and the Inspection Targeting System 

version 111 was released. Major new features include: The ability to download key identification, 

emissions, and compliance data from AS; to upload inspection data to AFS; and to enter inspection 

commitment flags into AS. Additionally, a number of new State agencies were trained in the use of the 

system and used it to establish their inspection commitments. 

The CMS is in the process of being revised to accommodate the requirements of the 1990 CAAA. A 

greater universe of sources will be covered by the strategy due to the decreased size cut-offs for major 

sources. In addition, titles V and VI1 require sources to keep and submit self-monitoring reports. The 

revised CMS will describe how the review of these self-monitoring reports shall be included in an 

overall inspection plan developed by a state. (For further information contact SSCD) 

I Rule Development 

Enhanced Monitorine (40 CFX Part 641 - The Enhanced Monitoring (EM) program proposal was 

signed by the EPA Administrator on September 30, 1993. This action is intended to satisfy the statutory 

requirement found in 5 114(a)(3) of the Clean Air Act that the Administrator promulgate rules to 

provide guidance and to implement enhanced monitoring and compliance certifications for major 

stationary sources. The EPA intends to require each source subject to Part 64 to submit an annual 

compliance certification and monitoring reports each quarter detailing any deviations from applicable 

requirements in the source's permit. The EM program requires continuous compliance with underlying 

regulations and establishes a direct link between monitoring data and enforceability. 

Citizen Not ice Rule (40 CFR Part 541 - The Citizen Suit Notice Rule, proposed on February 10. 

1993, sets forth the manner in which notice of citizen suits is to be provided as required by § 304 of the 

1990 CAAA. The proposed rule replaces the existing CAA citizen suit regulation at 40 CFR Part 54. 

This rule clarifies the notice requirements for the various types of citizen suits. Moreover, it brings the 

CAA citizen suit notice practice into conformity with the notice practice under other, more recent 

environmental statutes. The regulatory changes made pursuant to the 1990 CAAA include provisions 

governing citizen suits against EPA for actions that are alleged to be unreasonably delayed. (For further 

information contact SSCD) 

Inspection Training and Delivery Demonstrations 

Training is an important component of the air compliance program. The following are the 

highlights of the FY 1993 training accomplishments: I 

The EPA-funded Air Pollution Compliance Training Demonstration Center at Rutgers University 

completed its second year in FY 1993. This is a three-year demonstration project for 15 State and local 

agencies and EPA Regions I, 11, and 111 that features a 24 week per year inspector training curriculum, 

offsite training in Region I, and industry training. The quarterly training is organized into three levels: 

basic and safety; inspection and monitoring; and program specific courses. To date, more than 2,000 

students have becn trained. 

Compliance Program Development Projects are multi-year cooperative agreements among 

OAR/SSCD, the regional offices, and state and local agencies. The program was established to 

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FY 1993 Enforcement Accomplishments Report 

develop, demonstrate, and deliver quality training to the EPA regional offices, state and local agencies, 

and the mapr providers, i.e., APT1 and CARB. Two week training projects have been completed in 

California, Ohio, and Michigan. 

The EPA-sponsored National Air Compliance Delivery Project (CARB 1) utilized the expertise of 

California Air Resources Board (CARB) staff and retired personnel to conduct on-site compliance 

training with basic course videos. Fourteen state and local agencies in EPA Regions VIII, IX, and X 

completed training for more than 2800 students. (For further information contact SSCD) 

Paperwork Reduction Act Compliance 

SSCD obtained OMB reapproval for more than 20 information collection requests in FY 1993. 

Additionally, SSCD, in conjunction with EPA's Office of General Counsel, the Office of Enforcement, and 

the Office of Policy, Planning, and Evaluation, published a display table listing information collection 

request approval numbers in the Code of Federal Regulations. As a result of these efforts, SSCD 

information collection requests meet the requirements for information collections under the Paperwork 

Reduction Act. (For further information contact SSCD) 

Clean Air Act - Mobile Sources 

Cross Border Sales Policy 

With New York's adoption of California's motor vehicle emission standards and requirements, 

the Manufacturers Operations Division (MOD) revised its policy governing the sale of vehicles 

manufactured to meet California standards in bordering states that must comply with Federal motor 

vehicle emission standards. This policy is a major achievement in EPA's attempt to create cooperative 

policies with the states to maximize overall emissions reductions while minimizing any adverse 

affccts on the U.S. motor vehicle sales market. (For further information contact MOD) 

Nonroad Engine Regulations 

To ensure enforceability, MOD participated in the promulgation of proposed emission regulations 

governing nonroad large compression-ignition engines (the NPRM was published on May 17, 1993). 

MOD is also participating heavily in developing phase I regulations for non-road small spark-ignited 

engines. The phase 1 regulations are expected to be promulgated sometime in FY 1994. (For further 

information contact MOD) 

Penalty Policy 

In FY 1993, MOD promulgated a revised penalty policy pursuant to §!j 203,205, and 208 of the 

Clean Air Act. These sections of the Act require manufacturers and/or importers of new motor vehicles 

and new motor vehicle engines to comply with all federal emission standards and requirements. The 

new policy incorporates the 1990 Clean Air Act Amendments which adjusted maximum penalty amounts 

available for violations and added new administrative hearing procedures for pursuing penalties. (For 

further information contact MOD) 

Volatility Enforcement Program 

The volatility regulations, which were promulgated on March 22, 1989, require that 

gasoline sold, offered for sale, dispensed, supplied, offered for supply, transported or introduced 

5-11 
FY 1993 Enforcemenr AccomplishmenrsReporf 

into commerce, during volatility control periods, not exceed the applicable Reid vapor pressure 

("RVF") standard. Since 1990, the volatility control period has been from May 1, through 

September 15. The purpose of the regulations is to reduce evaporative hydrocarbon emissions 

which contribute to ozone pollution levels. 

During the 1992 volatility control season, the volatility standards were made more 

stringent. Two hundred forty-one NOVs were issued for violations detected that season. As a 

result of these NOVs, subsequent settlement activities and a strong enforcement presence in the 

field during the 1993 control period, FOSD saw a significant reduction in volatility violations in 

FY 1993. Despite inspecting approximately the same number of parties in FY 1993 as in FY 1992, 

as of November 9, 1993, only 17 NOVs had beenissued for volatility violations detected during 

the 1993 volatility control season, and approximately 50 more NOVs were expected to be issued. 

It appears that the compliance rate of regulated parties was over 98% for the 1993 season. This 

reduction in violations indicates that the volatility enforcement program has been a great success. 

(For further information contact the Field Operations and Support Division (FOSD)) 

Diesel Desulfurization 

During FY 1993, FOSD prepared for the implementation and enforcement of the new diesel 

sulfur regulations which became effective on October 1, 1993. The purpose of the regulations is to 

substantially reduce the sulfur content in diesel fuel which contributes to the harmful particulate 

emissions from diesel motor vehicles. 

As part of EPAs public outreach efforts, FOSD received approximately 2,000 telephone and 

written inquiries concerning EPAs interpretation and intended enforcement of the regulations. These 

efforts culminated in the issuance of a thirty-three pageQucstion and Answer document on August 

5, 1993. FOSD managers, attorneys and inspectors spoke at twelve industry meetings in order to 

disseminate information regarding the regulations. During this same time, FOSD was developing 

its enforcement plan, which included procurement of field test equipment, training of EPA and 

contractor personnel, formulation of an enforcement strategy, and development of a civil penalty 

policy. 

In the first weeks after implementation of the rule onOctober 1, FOSD received over a 

thousand additional inquiries regarding further interpretation of the regulations. FOSD responded 

to several crises, including supply outages, significant price increases and most recently, alleged 

fuel/engine materials incompatibility problems. 

FOSD is participating in an IRS task force, providing input to the IRS in order to prevent 

any conflicts between EPAs diesel sulfur regulations and the soon to be promulgated IRS highway 

tax collection regulations. FOSD continues to work with the industry, other federal and state 

agencies, and the public to ensure smooth implementation of an aggressive nationwide enforcement 

program. (For further information contact FOSD) 

Reformulated Fuels and Anti-Dumping 

The reformulated gasoline and anti-dumping program rule is scheduled to be published 

duringkember 1993. The rule will provide for the program to commenceon January 1, 1995. The 

reformulated gasoline regulations willresult in the reduction of VOC, and toxic emissions by 15% 

in 1995, with even greater reductions beginning in 2000. These regulations apply to the nine worst 

ozone nonattainment areas in the country, while all other ozone nonattainment areas will allowed 

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FY 1993 Enforcement Accomplishments Report 

to "opt in" to the program. The antidumping regulationswill ensure that the quality of gasoline 

in the remainder of thecountry does not degrade from its 1990 levels. 

EPA continues to work on program issues including: the role of ethanol in reformulated 

gasoline; whether EPA will publish test tolerances for fuel parameters; treatment of foreign 

refiners in establishing baselines; and the use of markers or dyes to distinguish conventional 

gasoline from reformulated gasoline. (For further information contact FOSD) 

Detergent Additized Gasoline 

In FY 1993, EPA drafted and submitted to OMB its proposed detergent regulations and 

Federal Re~ster preamble. The regulations were draftcd pursuant to the mandate of the Clean 

AirAct Amendments of 1990 which require that, by 1995, all gasolinecontain detergent additives 

to prevent the formation of engineand fuel system deposits. These deposits have been shown to 

cause increases in hydrocarbon emissions which are major contributors to urban smog. The 

detergent Notice of Proposed Rulemaking was expected to be signcd by the Administrator and 

published in the Federal Register by the end of 1993. The Final Rule was expected to be 

promulgated by the end of 1994. (For further information contact FOSD) 

Clean Water Act 

Litigation Consideration Guidance for CWA Penalty Policy 

Guidance was developed in FY 1993, setting forth general proccdures, rules of thumb and lists on 

how litigation considerations may be used in establishing or revising bottom-line settlement penalties 

in CWA cases. The guidance was issued on October 10, 1993 and will facilitate Agency closure on 

acceptable settlement positions in connection with NPDES cases. (For further information contact OEWater) 

Supplemental Guidance on CWA §309(g)(6) 

In March 1993, supplemental guidance on EPA policy interpreting 5 309(g)(6) was issued. The 

guidance specifies the circumstances under which federal civil action is limited by prior state or 

federal administrative action. (For further information contact OE-Water) 

C WA §SO4 Emergency Action Guidance 

Guidance concerning CWA 5 504 was issued in July 1993. The guidance provides instructions and 

encouragement on the use of the emergency powers provision of the Clean Water Act in appropriate 

circumstances. Clarity on this issue should facilitate Agency decisions regarding use of CWA emergency 

provisions. 

Water Enforcement Bulletin 

A new issue of the highly acclaimed Water Enforcement Bulletin was released in February 1993. 

Twenty-four administrative and judicial water decisions were summarized and the Bulletin was 

distributed to the Regions, States and interested members of the citizen suit community. (For further 

information contact OE-Water) 

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FY 1993 Enforcement Accomplishments Report 

I C WA Citizen Suits 

The Office of Enforcement continues to review all water enforcement cases filed by citizens. In FY 

1993, the Office of Enforcement reviewed approximately 190 may notice letters filed informing the 

Agency and the violator that citizens were going to file suit. The Office of Enforcement also reviewed 

approximately 50 consent decrees from citizens bringing suits for violations of the Clean Water Act, 

Safe Drinking Water Act, or Ocean Dumping Act. The Office of Enforcement review of citizen suit 

settlements is conducted to determine whether the penalties, supplemental environmental projects and 

injunctive relief achieve Agency goals, promote compliance, follow regulatory requirements, and avoid 

problematic judicial precedents. Where a citizen suit settlement is considered deficient in any of these 

respects, and the parties fail to negotiate a better result, EPA and the Department of Justice may file 

comments or objections with the court or an amicus brief, setting forth the position of the United States. 

(For further information contact OE-Water) 

I Sewage Sludge Record Keeping and Reporting Guidance 

The Office of Wastewater Enforcement and Compliance completed and distributed the first in 

a three document series of the Part 503 Domestic Sewagesludge guidance which explains the 

record keeping and reporting requirement for Sewage Sludge generations/processors. Additional 

Guidance for Land Application and Surface Disposal will be completed by the end of December 

1993. (For further information contact the Office of Wastewater Enforcement and Compliance 

(OWEC)) 

Inspection Training 

Four inspector training videos were completed and distributed to EPA regions and states 

covering the topics of NPDES records review, wastewater sampling, flow measurement with a 

Parshall Flume, and Sludge Sampling. In August a twopart televideo conference which addressed 

inspection training and training resources was linked to EPA/State participants in all ten regions. 

The first draft of the update to the NPDES Comdiance Inswction Manual was completed. 

Twenty contract inspections were conducted involving on-the-job training of EPA/state inspectors. 

(For further information contact OWEC) 

Sludge Compliance Monitoring and Enforcement Strategy 

The Enforcement Division completed a national Strategy for compliance monitoring and 

enforcement of the sludgeregulations promulgated on February 19, 1993. The Strategysets national 

priorities for the universe of facilities in the following areas: inspections, reporting, data 

tracking, and compliance evaluation. The Strategy also establishes minimum target enforcement 

levels for various violations of the regulations. The Strategy balances the need for an effective 

presence on the part of the EPA with the resourceconstraints facing the program. (For further 

information contact OWEC) 

I Feedlots 

OWEC produced and published a background report covering: 1) the magnitude of the 

pollution caused by animal waste, 2) permitting, 3) verification of compliance, and 4) education 

and outreach. OWEC also developed a guidance manual which interprets and clarifies NPDES 

regulations for operations concentrated animal feeding 

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.,*,.",,;I, 

@\ FY 1993 Enforcement Accomplishments Report ** .lac 68 

Finally, OWEC developed a strategy for improving control of pollution from animal waste. 

The strategy incorporates permitting, enforcement, and education and outreach activities; can be 

easily integrated into other EPA initiatives and strategies; and requires few resources. 

Expectations are to begin implementation of the strategy during FY 1994, and finalize the 

guidance in January 1994. (For further information contact OWEC) 

Safe Drinking Water Act 

PWS Penalty Policy 

The Public Water Supply Penalty Policy was issued for interim use on May 3, 1993. The policy 

contains detailed guidance on litigation considerations and how such considerations may reduce the 

Agency's bottom line settlement demands. The policy will facilitate regional decisions on acceptable 

settlement positions in connection with PWS drinking water caws. (For further information contact OEWater) 

Guidance on Enforceability of Filtration Determinations 

Final guidance on the enforceability of filtration determinations was issued November 30, 1992. 

This guidance resolved a number of issues that had stood in the way of effective enforcement of this 

drinking water rule. (For further information contact OE-Water) 

UIC 

Second Round Class V Initiative 

There was a second round UIC enforcement initiative against eleven national oil companies for 

unauthorized injection in Class V (shallow) wells. The relief sought included proper plugging of the 

wells as well as payment of significant penalties. (For further information contact OE-Water) 

Oil Pollution Act 

EPNCoast Guard Oil Pollution Act Enforcement MOU 

A memorandum of understanding (MOW by EPA, the Coast Guard and the Department of Justice, 

concerning enforcement of the Oil Pollution Act, was signed in March 1993 and published in the Federal 

Register in April 1993. The MOU clarifies the roles of each of the Federal parties with respect to Oil 

Pollution Act enforcement. (For further information contact OE-Water) 

SPCClSpill (Oil Pollution Act) Administrative Penalty Policy 

The Oil Pollution Act Administrative Penalty Policy was issued for interim use on September 13, 

1993. The policy contains detailed guidance on litigation considerations that may affect the settlement 

position of EPA in particular cases. The policy facilitates Agency closure on acceptable settlement 

positions in connection with the Oil Pollution Act cases. (For further information contact OE-Water) 

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FY 1993 Enforcement Accomplishments Report 

Resource Co nservation and Recovery Act 

1993 Hazardous Waste Combustion Initiative 

The RCRA enforcement program announced a National Enforcement Initiative focusing on 

violators of the hazardous waste combustion laws. The Regions issued 28 administrative complaints 

against violators of the boiler and industrial furnace regulations, and two administrative complaints 

involving violations of the hazardous waste incinerator requirements. In addition, the State of lllinois 

announced an action seeking a $3 million penalty from one incinerator operator. Penalties assessed in 

federal administrative complaints exceeded $19.8 million. (For further information contact the Office 

of Waste Programs Enforcement /RCRA Enforcement Division (OWPE/RED)) 

Illegal Operators Initiative 

Continuing the emphasis on RCRA waste handlers attempting to avoid the regulatory system, 

the RCRA enforcement program announced a two-phase initiative against RCRA non-notifiers. The 

Initiative included Regional and State enforcement actions against hazardous waste generators, 

transporters, treatment, storage and disposal facilities that had failed to notify EPA or State 

authorities of hazardous waste activities. The Illegal Operators Initiative included 4 civil judicial 

complaints; 26 federal administrative complaints; 12 federal criminal actions. Total penalties assessed 

in cases for the initiative exceeded $10 million. (For further information contact OWPE/RED) 

Off-site RuIe 

The 'Trdures for Planning and Implementing Off-site Response Actions" were promulgated on 

September 22, 1993. This rule was written by OWPE and it codifies the current "Off-site Policy". The 

rule establishes criteria that must be met for waste from a Superfund clean-up to be sent off-site for 

treatment or disposal. The rule is effective October 22, 1993. (For further information contact 

OWPE/RED) 

Conclusion of DuPonVChambers Works Waste Minimization Project 

OWPE and Region I1 concluded the two year waste minimization project conducted at the DuPont 

Chambers Work facility in Deepwater, New Jersey. This project was mandated as part of a $1.85 

million dollar settlement for violations of the Land Disposal Restrictions and began in May 1991. 

Pollution prevention assessments were performed on fifteen chemical processes to accomplish three 

primary goals: 

to identify methods for the actual reduction or prevention of pollution for specific 

chempmesses at Chambers Works, 

pollution which may help assist companies implementing pollution prevention programs, and 

to evaluate and identify potentially useful refinements to the EPA and DuPont methodologies 

for analyzing and reducing pollution and/or waste generating activities. 

The project involved about 150 people at the site who devoted more than 12,OOO person-hours to 

the project. For the fifteen processes investigated, the potential exists to reduce the hazardous wastes 

by 48% and to save $14.9 million each year. DuPont submitted the final report on May 22,1993 and it 

has been published by ORD for public distribution. (For further information contact OWPE/RED) 

to generate useful technical information about methodologies and technologies for reducing 

5-16 
FY 1993 Enforcement Accomplishmenrs Report 

Advanced RCRA Inspector Institute 

OWPE has developed an advanced RCRA Inspector Institute to train state and regional 

inspection personnel. The RCRA Enforcement Division (RED) pmented the Advanced RCRA Inspector 

Institute in San Francisco in June 1993 and in Boston in December 1993. (For further information contact 

OWPE/RED) 

Penalty Policy 

OWPE/RED and OE-RCRA held the RCRA Civil Penalty Policy Workshop and Roundtable. 

RCRA Program personnel and the Regional Counsel staff from all ten Regions attended this Workshop. 

Part of the Workshop was devoted to discussing "Train the Trainer" materials which had been 

prepared for the Regions. With these materials, the Regions can conduct their own RCRA Civil 

Penalty Policy training for Regional personnel and the States. 

Final penalties assessed in FY 1993 remained high, surpassing final penalties assessed in FY 1991 

and FY 1992. Total penalties assessed in 53008 final Consent Orders equaled $8,556,000. The average 

penalty assessed was $79,000. (For further information contact OWPE/RED) 

Alternative Dispute Resolution 

OWPE/RED and OE/Superfund conducted training in all regions on the use of Alternative Dispute 

Resolution (ADR) in enforcement negotiations. The training included an exercise on the differences 

between arbitration and mediation as well as a mediation of a Superfund and RCRA corrective action 

dispute. 

OWPE/RED provided assistance to Region VI to support the use of mediation in an access dispute. 

This represents one of the first uses of ADR in the RCRA program. (For further information contact 

OWPE/RED) 

Boiler and Industrial Furnace Inspection Workshop 

OWPE developed and conducted a one-and-a-half day workshop in six Regions on how to conduct 

inspections at boiler and industrial furnace (BIF) facilities that burn hazardous waste. The workshop 

was attended by approximately 264 state and regional RCRA inspectors and compliance personnel. 

(For further information contact OWPE/RED) 

Superfund 

Supplemental Guidance on Federal Superfund Liens 

On July 30, 1993, EPA released national guidance for providing owners of contaminated 

property with notice and an opportunity to meet with EPA before a Superfund lien is perfected on 

their property. Under the guidance, EPA will notify property owners by registered mail prior to 

perfecting a lien on their property. Property owners will have the opportunity to either make 

written submissions to the Agency (for example, make available documents indicating that they 

are not the owner) ormeet with EPA staff before a neutral EPA official. Under theguidance, the 

neutral official will hear the property owner's presentation, and then, based on a record of 

relevant documents, decide whether or not EPA has a reasonable basis to perfect the lien. 

5-17 
FY 1993 Enforcement Accomplishments Report 

The guidance provides property owners an opportunity to giveEPA information that might 

change the Agency's proposed determination to perfect a Superfund lien. EPA's issuance of this 

guidance is one of the first examples of its larger effort to make administrative improvements to 

Superfund. (For further information contact OE-Superfund) 

De Miaomis Guidance 

On July 30, 1993, The Office of Enforcement and the Officeof Waste Programs Enforcement 

issued a memorandum entitled "Guidance on CERCLA Settlements With De Micromis Waste 

Contributors." The purpose of the memorandum is to provideguidance on using CERCLAs 

settlement authorities to resolve theCERCLA liability of parties who have contributed even less 

hazardous substances to a site than the traditional de minimissettlors the Agency pursues. The 

memorandum describes the typesof situations in which a Region may find that it is in the 

Agency's interest to exercise enforcement discretion by offering de micromis settlements and 

explains how to use EPAs existing settlement authority in an expeditious manner to resolve the 

liability of these de micromis parties and to grant them the fullest contribution protection available 

under the statute. 

The Agency plans to issue a supplemental memorandum that will include a model CERCLA 5 

122(g) administrative agreement, a model CERCLA 5 122(g) consent decree, a model 5 122@ 

Federal Register notice, a questionnaire, a certification, and examples of notification letters to 

send to potential de mieromis settlors. (For further information contact OE-Superfund) 

Alternative Dispute Resolution 

FY 1993 was a watershed year for efforts toward meeting the Agency's stated policy of 

utilizing alternative dispute resolution (ADR) mechanisms in all Agency enforcement actions 

where a more prompt and fair resolution of a dispute could potentially result ("Final Guidance on 

Use of Alternative Dispute Resolution Techniques in Enforcement Actions") and to implement the 

Administrative Dispute Resolution Act and the Executive Order on Civil Justice Reform. 

Significant strides were made in everyaspect of our ADR program including case use of ADR, case 

support systems, training and internal ADR services, and outreach to the regulated community. 

ADR mechanisms, primarily mediation and convening services, were initiated in eighteen 

enforcement actions during FY 1993,almost double thenumber for FY 1992. Regional support for 

the use of ADR grew substantially, with all but one region using ADR to assist settlement efforts. 

FY 1393 also heralded an increased awareness of ADR as a tool for increasing the efficiency of 

future disputes with mediation included in the dispute resolution provisions of eight judicial and 

administrative settlement documents. 

Region I took the lead during 1993 in developing theconsideration and appropriate use of 

ADR as standard procedure for civil actions. Region I initiated an expansive ADR program with 

regional training and the use of ADR in cost recovery and RD/RA actions. The region also 

initiated innovative use of mediation to facilitate public deliberations regarding the 

implementation of Agency Superfund remedial decisions. 

an 

The scope of ADR use was expanded during FY 1993, with the first significant uses of ADR to 

assist disputes beyond Superfund cost recovery and RD/RA cases. Mediation was uscd for the first 

time to resolve a Clean Water Act NPDES violation action and to facilitate public deliberations 

regarding the issuance of an NPDES permit. In the Superfund program, ADR was used for the 

first time to facilitate the settlement of a large removal action and to assist negotiations 

5-18 
FY 1993 Enforcement Accomplishments Report 

involving federal" PRPs. Progress was also made toward developing the use of ADR in RCRA 

enforcement actions through a pilot program initiated during FY 1993. 

Another area of expansion for the ADR program during FY 1993 was the use of ADR to 

facilitate the resolution of PRP allocation disputes. Two major initiatives to provide ADR support 

to I" allocation efforts were included in the Deputy Administrator's Superfund Administrative 

Improvements Project. Regional offices have begun a mapr effort to identify appropriate sites and 

offer ADR assistance to PRPs. 

'Raining in the effective use of mediation and other ADR techniques was provided to all 

regional offices and Headquarters during FY 1993. The intensiveoneday training was designed 

for legal and program staff whoparticipate in enforcement settlement activities. The ADR Users 

Training, taught jointly by EPA ADR staff and ADR professionals who have served as mediators 

in Superfund cases, concentrates on the inherent difficulties in Agency negotiations and how use of 

ADR can facilitate prompt resolution of such disputes. Inaddition, training support was provided 

to several state environmental agencies including presentation of the ADR Users 'Raining for staff 

of the Vermont Department of Natural Resources. An executive ADR training was also designed 

anddeveloped during 1993 for presentation to senior Agency andDOJ enforcement staff next year. 

Several efforts were also completed during FY 1993 to expand the institutionalization of 

ADR into the Agency's enforcement program. Under the auspices of the ADR Liaison, a national 

network of ADR contacts and ADR experienced staff ineach region was organized. The network 

holds monthly conferences calls to exchange information and serves as consultants to Agency staff 

on the effectiveuse of ADR. In response to regional requests, a cost benefitanalysis of the use of 

mediation in support of Superfund actions was undertaken based on results of a Region V pilot project. 

The study indicates that substantial savings in terms of regional staff resources is obtained 

through the use of ADR, withsavings of 30%-50% per case documented. In addition, work was 

begun on an ADR Users Manual to provide a desk reference in theeffective use of ADR. 

Substantial progress was also made during FY 1993 ineducating the regulated community of 

the Superfund ADR programand the potential for use of ADR techniques to reduce PRP and 

government transaction costs. The ADR Liaison, several regional ADR Contacts, and EPA 

management made presentations and provided training programs on effective ADR use for 

numerous professional and PRP organizations and several federal agencies. In addition, a 

workshop exploring opportunities to use ADR to increase the effectiveness and fairness of the 

Superfund program was scheduled for November 1993. (For further information contact OE-Superfund) 

CERCLA Reauthorization 

During FY 1993, EPA prepared for the debate over reauthorization of CERCLA. The Agency 

considered reauthorization proposals spanning a great variety of issues. Among the most prominent 

of these issues was the statute's liability scheme. 

The Office of Enforcement played a leading role in theconception and articulation of a 

variety of potential liability scheme related legislative changes to CERCLA, all intended to 

improve the fairness of the liability scheme and reduce the transaction costs associated with it. 

Areas of fqcus included the liability of small contributors of hazardous substances, contributors of 

Municipal Solid Waste, and prospective purchasers of contaminated property, as well as the 

allocation of cleanup cost shares and the finality of settlements, among other areas. (For further 

information contact OE-Superfund) 

5-19 
FY 1993 Enforcement Accomplishments Report 

Final Off-Site Rule Published in Federal Register 

The Final Off-Site Rule was published in the Federal Register on September 22, 1993 (58 

Fed. -49200). The rule will become effective October 22, 1993. The Off-Site Rule supersedes 

the directive entitled "Revised Procedures for Implementing Off-Site Response Actions" (Porter, 

Nov. 13, 1987), (OSWF. R Directive -9834.11, Nov. 13, 1987.) The Off-Site Rule implements 

CERCLA Section 121(d)(3) requirements to insure that CERCLA wastes are transferred only to 

environmentally-sound facilities, and that they do not add to environmental problems. The rule 

applies to any action, either removal or remedial, taken pursuant to CERCLA authorities (or 

with Fund money) that involvesthe off-site transfer of any hazardous substance, pollutant or 

contaminant. (For further information contact OE-Superfund) 

Foster More Settlements with Small Volume Waste Contributors 

In July 1993, EPA released the "Streamlined Approach for Settlements with &Minimis Waste 

Contributors." The guidance establishes the minimum level of information required before EPA can 

make a &minimis finding. The guidance states that it is no longer necessary to prepare a waste-in list 

or volumetric ranking before considering a party's eligibility for a &minimis settlement. 

In July 1993, EPA released the "Guidance on CERCLA Settlements with De Micromis Waste 

Contributors." The guidance establishes the use of CERCLA settlement authorities to resolve the 

CERCLA liability of parties who have contributed even less hazardous substances to a site than the & 

minimis parties the Agency traditionally pursues. 

In October 1993, EPA released "The First 125 & Minimis Settlements: Statistics from EPAs 

Minimis Database." This report profiles the 125 settlements to date, providing insight into average 

volumetric contributions, payment amounts, etc. 

A communication strategy was also issued for assisting & minimis and "de micromis" parties. 

(For further information contact OWPE-Superfund Enforcement) 

Mixed Funding Activities 

In September 1993, EPA released the "Mixed Funding Evaluation Report: The Potential Costs.of 

Orphan Shares." This report analyzes the implications to the Trust Fund if EPA routinely paid for the 

orphan share of cleanup costs to implement the remedial design/remedial action (RD/RA). (For further 

information contact OWPE-Superfund Enforcement) 

SPCUSpill OPA Draft Administrative Penalty Policy 

The Oil Pollution Act Administrative Penalty Policy was issued in draft form on September 13, 

1993. The proposed policy contains detailed draft guidance on litigation considerations that may affect 

the settlement position of EPA in particular cases. The proposed policy will facilitate Agency closure 

on acceptable settlement positions in connection with OPA cases. 

EPA issued an "enforcement authorities and elements of violations/evidentiary requirements 

under the Clean Water Act s311." This will be used to train and assist Agency personnel in the 

development of OPA enforcement cases. (For further information contact OWPE-Superfund Enforcement) 

5-20 
FY 1993 Enforcement Accomplishments Report 

Toxic Substances Control Act 

TSCA Sections 5 & 8 Initiatives Focus on Data and Data Quality, 

In M 1993, EPA launched and ended the year with two TSCA new chemical and reporting 

initiatives designed to heighten awareness of the need to file quality data on time. On December 17, 

1992, EPA announced a TSCA sections 5 & 8 initiative seeking more than $9 million in administrative 

civil penalties from 22 companies. EPA Headquarters and nine regional offices filed the cases, with 

eight companies selfdisclosing violations and the remaining fourteen companies inspected by EPA. 

Many of the cases are still pending. 

On September 30, 1993, EPA closed the fiscal year by announcing another TSCA sections 5 & 8 

initiative, this time seeking nearly $25 million in administrative civil penalties from 23 companies. 

EPA Headquarters and eight regional offices filed the cases, with thirteen companies self-disclosing 

violations and the remaining ten companies inspected by EPA. (For further information contact OETLD) 

National TSCA IUR Initiative 

During the week ending July 23, 1993, administrative civil penalty complaints were filed by EPA 

Headquarters and four regional offices (Regions 11, 111, V, and VI) against 27 U.S. chemical 

manufacturers which failed to report in a timely and accurate manner, data required by the Inventory 

Update Rule (IUR) regulations, promulgated pursuant to 5 8(a) of TSCA. Approximately $3.1 million 

in penalties were proposed in these complaints. The complaints issued were the result of violations 

detected during Agency record audit reviews and regional inspections. 

The IUR is a regulatory reporting requirement in which facilities report the quantity and site of 

manufacture or importation of chemicals on the Agency's TSCA Inventory List. The IUR provides 

information essential to regulatory and non-regulatory activities, including hazard and risk screening, 

chemical assessment, risk management, pollution prevention, regulatory priority setting and the 

regulatory development process. (For further information contact OE-TLD) 

Case Development Training, and Manual 

During FY 1993, Case Development Training was conducted in KansasCity, Missouri and San 

Francisco California. The course covered topics such as: evidence collection, evidence' evaluation, 

the civil administrative process, and other types of enforcement actions. Approximately 59 state 

and federal case officers, attorneys and inspectors attended. Each attendee received a manual 

covering pertinent TSCA, FIFRA and EPCRA law as well as a TSCA case study in connection with 

a mock settlement conference. (For further information contact the Office of Compliance Monitoring 

(OCM)) 

OPPT Inspection Training Strategy 

In March 1993, OCM and Region IV jointly released the firstnational OPPTS inspector 

training strategy. The strategy was developed over a six month period by a group of 24 

regional, state, and HQ representatives, it addresses pesticides, asbestos, PCBs, core TSCA and 

EPCRA 5 313 inspector training rids. The strategy, which is now being implemented, details the 

content of each training course, timeframes and delivery mechanisms for a three year period. (For 

further information contact OCM) 

5-21 
FY 1993 Enforcement Accomplishments Report 

flk 

FIFRA 5 19 

The FIFRA 5 19(0(2) final policy was published on August 18, 1993. This policy provides 

an Interim Process for stateenforcement programs to be approved as required by the statute in 

order to prevent loss of state authority to certify applicators and primary use enforcement 

responsibility. 

The FIFRA 5 19 Procedural Rule (Phase 1) proposed rule was published on May 5,1993. This 

rule addresses the following requirements related to suspended and canceled pesticides: Mandatory 

Recalls, Voluntary Recalls, Indemnification, Storage Plans and Acceptance for Disposal. (For 

further information contact OCM) 

Exports 

The final Pesticide Export Policy Statement/Rule was published February 18, 1993. This 

policy revised the 1980 pesticide export policy; changes in the policy incorporated many 

recommendations from GAOs rcport on pesticide exports and those recommendcd by the EPA's 

review of its policy at a time of growing public concern over residues in imported foods. An 

Interpretive Workgroup on the Pesticide Policy was established to answer questions regarding the 

1 

interpretation of the new Export Policy. (For further information contact OCM) 

Worker Protection Inspection Guidance, Pocket Guide and 

Inspector Training Course 

During FY 1993, EPA developed the pesticides worker protection inspection guidance, pocket 

guide for inspectors, and the draft worker protection inspector training course, which will be 

delivered in FY 1994. All of these products will be tools used nationally to help ensure 

compliance with the revised worker protection standards. (For further information contact OCM) 

Interim Final EPCRA Section 313 Inspection Guidance 

At the beginning of FY 1993 EPA released the Interim Final EPCRA 5 313 Inspection 

Guidance which addressed conducting nonreporter and data quality inspections. The Guidance 

addressed the EPCRA 5 313 compliance priorities. (For further information contact OCM) 

5-22 
.. .. . 

,, ,. 

FY 1993 Enforcement Accomplishments Report 

VL Media Specific Enforcement Performance and 

Regional Accomplishments 

A. Media Suecific Enforcement Performance 

Superfund Enforcement 

FY 1993 was a respectable year for the Superfund Enforcement Program. The program reached a 

total of 200 settlements (NPL & Non-NPL) with estimated values greater than $950 million with 

potential responsible parties (PRPs). Of this total amount, approximately $810 million was for 5 106 

or 5 106/107 remedial design/action (RD/RA) settlements. The estimated RD/RA settlement values 

were broken down into three categories. The first category was composed of 36 5106 or 5 106/107 consent 

decrees for RD/RA referred by the Agency to the Department of Justice (DOJ), for PRP remedial work 

estimated at $366.3 million. The second category was made up of 42 unilateral administrative orders 

(UAOs) issued under 5 106(a) authority, and for which PRPs notified the Agency of their intent to 

comply. The estimated value of RD/RA work to be performed under these UAOs was put at $420.6 

million. The final category of remedial settlement consisted of eight administrative orders on consent 

(AOCs) for remedial design only, reached through the SACM initiative. The estimated value of.design 

work under these AOCs was estimated to value over $24 million. 

In FY 1993 the Age& issued a total of 126 unilateral administrative orders (UAOs), versus 107 in 

FY 1992, and 108 AWs (versus 128 in FY 1992) were signed with PRPs. Of a total of 126 UAOs issued, 50 

were for RD/RA (42 in compliance), with the balance for other response work at NPL and Non-NPL 

sites. Under 5 107 and 5 106/107 settlements, the Agency referred 41 cases (36 referrals in FY 1992) to 

DOJ seeking and achieving $155 million for past costs incurred by the program (compared to $137.4 

million referred in FY 1992). Since the inception of the Superfund Program in 1980, PRPs have 

committed to response actions estimated at over $8 billion, and the program has achieved settlements 

for over $1 billion in past costs. The percentages of PRP lead at NPL sites in M 1993 for remedial 

design and remedial action responses were 65% for RD and 79% for RA respectively (Federal Facilities 

excluded). In Pi 1992, the percentage of PRP leads at NPL sites was 73% for remedial designs, and 72% 

for remedial actions. 

Superfund Program Accomplishments 

(All Actions) 

200 Total RIIFS Total ROD Total RD Total RA 

w 

180 

160 

120 

100 

80 

60 

40 

20 

0 

0 ' 140 

a 

C 

i 

0 

n 

FY90 FY91 FY92 FY93 M90 FY91 FY92 FY93 FY90 FY91 N 9 2 N 9 3 N90 M91 N5'2 N93 

PRP-Lead Response 0 Fund-Lead Response €PA Selected Remedy 

6-1 
@ FY 1993 Enforcement Accomplishments Report 

u.0 

Clean Air Act - Stationary Sources 

Significant Violators/Xmely and Appropriate Guidance 

The Significant Violators program is central to the air enforcement and compliance program 

because it establishes a structure to identify and correct the most important noncompliance situations. 

FY 1993 was the first full year of implementation of the revised Significant Violators/nmely 

and Appropriate (SV/T&A) Guidance, which revised the definition of a significant violator, thus 

expanding the universe of potential violators. Consequently, significant violator activity has greatly 

increased. By the end of FY 1993, there was a 150 percent increase in the number of significant violators 

identified over FY 1992; the number of significant violators that were addressed (Le., by issuing Civil 

Referral, Administrative Penalty Order, Consent Decree, etc.) increased by 80 percent; and the universe 

of significant violators at the end of FY 1993 doubled. The increase in the number of significant 

violators is an indication of the successful implementation of the SV/T&A Guidance. (For further 

information contact SSCD) 

Significant Violators Data 

The census of significant violators (Sv's) at the end of FY 1993 is 805, which is double the census 

at the end of FY 1992. In FY 1993, 1590 Sv's were added and 1520 Sv's were addressed, which are 

increases of 150 percent and 80 percent respectively over FY 1992. Regarding the timeliness of 

enforcement response to identification of significant violators, issue, 63 percent of Sv's were addressed 

within the 150 day time frame set by the SV/limely and Appropriate Guidance, which is an 

improvement from the previous year. 

Enforcement Activities 

I 

I 

During FY 1993, the regional offices referred 72 civil enforcement cases to the Department of 

Justice, which is slightly lower than in the previous year, and filed 140 administrative penalty orders 

(APOs). Moreover, approximately 61 final settlements of APOs were filed inF( 1993. 

Stratospheric Ozone Protection Compliance Activities 

Over 2000 inspections under the title VI CFC regulations were conducted in FY 1993. Thirty-four 

percent of all the AM3s in FY 1993 were issued for CFC violations. 

Clean Air Act - Mobile Sources 

Manufacture= Operations Division 

The'Manufacturcrs Operations Division (MOD) in the Office of Mobile Sources (OMS) enforces 

the provisions of Title I1 of the Clean Air Act related to the manufacture and importation of new motor 

vehicles and motor vehicle engines. Specifically, MOD ensures that new motor vehicle manufacturers 

and importers comply with all Federal emission standards and requirements. MOD enforcement and 

compliance is conducted by the program office at headquarters. The Division conducts investigations, 

inspections, and testing of new and in-use motor vehicles and motor vehicle engines. i 

6-2 
FY 1993 Enforcement Accomplishments Report 

Motor Vehicle Emissions Recalls 

MODs recall testing program continued to implement Federal emission requirements efficiently 

and effectively in FY 1993. Since the beginning of the recall program, a total of 46 million vehicles 

have been recalled. Thirty-four million of those vehicles were recalled as a direct result of El’A 

investigations. 

In N 1993, the motor vehicle emission recall program continued to play an important role in 

MODs efforts. During FY 1993, MOD investigations resulted in eight influenced recalls involving 

three manufacturers and a total of 370,OO recalled vehicles. In addition, 94,000 vehicles were recalled 

voluntarily by manufacturers without specific El’A action. 

In addition, MOD continued motor vehicle testing in a high altitude area (Denver, Colorado). 

This high altitude program conducted in coordination with the Colorado Department of Health 

(CDH), was initiated to ensure vehicles operated in high altitude areas comply with Federal emission 

standards. Under MODs direction, CDH tested seven engine families representing over one million 

vehicles. MOD expects this testing to result in two influenced recalls. One of these recalls involves 

1989 4.0 liter Jeeps which are part of a larger investigation involving defective Chrysler oxygen 

sensors. This investigation will result in more than 700,000 and being recalled. 

Selective Enforcement Auditing\Banking and Trading Emission Credits 

MODs Selective Enforcement Auditing (SEA) program continued to be a successful and highly 

leveraged program. The program consists of production-line emission testing of new lightduty motor 

vehicles and heavy-duty motor vehicle engines. The less than 170 individual tests ordered by MOD 

induced over 22,ooO additional voluntary emission tests conducted by manufacturers. 

MOD routinely audits the program that allows manufacturers to average, bank and trade 

(A,B&T) particulate matter and oxides of nitrogen emission credits for heavy-duty engines. The 

program authorizes manufacturers who reduce emissions below regulatory requirements for a particular 

engine to raise emissions from another engine in the current model year or offset these reductions against 

emissions in a later model year or to trade credits for these reductions to other manufacturers of similar 

engines. 

In FY 1993, MOD audited four manufacturers representing approximately fifty percent of 

manufacturers using the A,B&T program. Pursuant to these audits, MOD met with manufacturer 

representatives to clarify certain program requirements and reviewed A,B&T records. MOD also 

initiated a rulemaking to clarify certain accounting requirements in the A,B&T program. 

MODs heavy-duty SEA audits focused on engines that manufacturers selected to participate in 

the A,B&T program. SEA audits targeted engines which had family emission limits (FELs) either 

below the Federal standards or close to the engines certification level. In FY 1993, SEA conducted ten 

heavy-duty engine audits and seven light-duty engine audits. As a result of an SEA, one manufacturer 

raised its FEL for an engine family to avoid an audit failure. Another manufacturer suspended 

production for one engine family rather than submit to an audit. 

Manufacturers Investigations 

In addition to the recall and SEA efforts, MOD continued to ensure that motor vehicle and motor 

vehicle engine manufacturers are in compliance with mtle I1 of the Clean Air Act. MOD investigations 

focused on manufacturers that introduced vehicles into commerce without obtaining an EPA certificate 

6-3 
FY 1993 Enforcemenr Accomplishmenfs Repoir 

of conformity demonstrating compliance with Federal emission requirements. FY 1993 efforts yielded 

several full-scale investigations resulting. in substantial settlement payments to EPA. In addition to 

these enforcement actions, MOD is continuing eight manufacturer investigations. 

Nonconformance Penalties 

MOD also enforces the nonconformance penalty (NCP) program. Pursuant to^§ 206(g) of the Act, 

the NCP program was established to facilitate the implementation of technology-forcing emission 

standards. Specifically, NCPs allow a manufacturer of engines or vehicles that do not meet applicable 

emission standards, but are below a designated upper limit, to be issued a certificate of conformity upon 

payment of a monetary penalty. In FY 1993, General Motors paid a NCP for one engine fa&ly totaling 

$3,123. 

Imports Program 

In FY 1993, MOD continued its implementation and enforcement of the Imports program under 

Xtle I1 of the Clean Air Act. This program, permits independent commercial importers (ICIs) that 

possess an appropriate certificate of conformity from EPA to import vehicles that do not comply with 

Federal emission standards and requirements (nonconforming motor vehicles). The program also 

permits designated Canadian importers (DCIs) to import Canadian motor vehicles determined by EPA 

to be identical in all material respects to certified U.S. version vehicles. The IC1 or DCI is solely 

responsible for meeting all Federal emission standards and requirements for all nonconforming motor 

vehicles it imports. 

To determine compliance with the Imports program in FY 1993, MOD conducted in-office document 

audits of all operating ICIs and all shipping company CCPs. In addition, MOD conducted two on-site 

IC1 inspections, one on-site DCI inspection, and one port-of-call inspection. Pursuant to these audits, 

MOD discovered numerous imports regulation violations. In addition, to pursuing enforcement actions 

for these violations, MOD is continuing to investigate two other cases involving imports regulations 

violations. 

MOD also continued to approve and monitor catalyst control programs (CCl’). These programs are 

managed by other federal agencies, manufacturers, and shipping companies, to ensure the presence and 

proper functioning of emission control equipment on US. version vehicles driven overseas that are being 

returned to the U.S.. 

Field Operations and Support Division 

The Field Operations and Support Division (“FOSD) in the Office of Mobile Sources 

(“OMS”) enforces provisions of the Clean Air Act relating to the composition and use of motor 

vehicle fuels and tampering with vehicle emission control devices. FOSD also develops 

enforcement policy for OMS in these areas. FOSDs enforcement program includes: field 

investigations, augmented by state and local efforts and by contractor inspections; issuance of 

Notices of Violations (“NOVs”); negotiation of settlements; preparation for trials, either by 

referral to the United States Department of Justice or by the filing of an administrative 

complaint; and litigation if necessary. This enforcement program has been extremely successful in 

achieving environmental compliance over the years. 

FOSDs aggressive enforcement program led to major enforcement achievements during FY 

1993. Included among these achievements was a significant reduction in volatility violations in 

6-4 
FY 1993 Enforcement Accomplishments Report 

.- 

FY 1993 as compared to FY 1992, and a continued increase incompliance with EPAs policy on 

installation of aftermarket catalytic converters. FOSD also worked hard to prepare for the 

implementation and enforcement of the new diesel sulfur regulation which became effective on 

October 1, 1993, and continued working on development of enforcement provisions for the 

reformulated gasoline/anti-dumping regulations and detergent regulation. 

In FY 1993, FOSD and its contractors conducted a total of 12,2378 inspections of vehicle 

repair shops, vehicle fleet owners, auto parts stores and parties in the fuel distribution system. As 

a result of these inspections and information gathered fromother sources, FOSD issued 311 NOVs 

representing proposed penalties of $4,297,560. The largest number of NOVs were issued for fuel 

violations with 221 NOVs issued and total proposed penalties of $3,666,010. Of these, 210 NOVs 

were issued for violations of EPAs volatility regulations with total proposed penalties of 

$2,313,010, two were issued for violation of the Clean Air Act's substantially similar requirement 

with total proposed penalties of $1,308,000, and nine were issued for other fuel violations with 

total proposed penalties of $45,000. A total of 90 NOVs were issued for violations of the Clean 

Air Act's tampering prohibition with penalties totaling $631,550. Of these, 51 NOVs were issued 

for violations of FOSDs aftermarket catalytic converter policy with total proposed penalties of 

$287,2350 and 39 NOVs were issued for other forms of tamperingwith total proposed penalties of 

$343,700. 

FOSD settled 220 cases in FY 1993 with cash civil penalties totaling $2,257,585. Additional 

payments totaling $93,000 went to alternative payment projects. The largest civil penalty was 

generated from the settlement of one outstanding lead phasedown case with a penalty of 

$571,000. In addition, consent decrees were entered in five FOSD cases during FY 1993 with 

penalties totaling $831,596. 

During FY 1993, there was a significant decrease in violations with respect to the 

installation of aftermarket catalytic converters, as compared to FY 1992. In FY 1992, EPAissued 

73 NOVs for violations of FOSDs aftermarket catalytic converter enforcement policy ("AMCC 

Policy"). In FY 1993, only51 NOVs were issued for violations of the AMCC Policy. FOSD 

attributes this increase in compliance to its aggressive enforcement program, which includes 

investigation of repair shops to determine compliance, the review of aftermarket catalytic 

converter warranty cards, the issuance of NOVs, and education of both the public and the 

regulated community. 

EPA tampering survey data from past years indicates that theneed for catalytic converter 

replacement is as high as 4% of thenational fleet. Because of this substantial need for catalytic 

converters, the demand for new aftermarket catalytic converters has steadily increased in recent 

years. 

Clean Water Act Enforcement - NPDES 

Xmely and Appropriate Enforcement and the NPDES Exceptions Report 

The NPDES enforcement program has defined Significant Noncompliance (SNC to include 

violations of effluent limits, reporting requirements, and/or violations of formal enforcement actions. 

The NPDES program does not track SNC against a "fixed base" of SNC that is established at the 

beginning of the year, rather, the program tracks SNCs on a quarterly basis. During FY 1992,90% of all 

NPDES SNCs were resolved in a "timely and appropriate " manner. 

6-5 
FY 1993 Enforcement Accomplishments Report 

Those facilities that have been in SNC for two or more quarters without returning to compliance 

or being addressed by a formal enforcement action are identified on an "exceptions list". During FY 1993 

287 facilities were reported on the SNC exceptions list including 40 facilities that were unaddressed 

from the previous year and 247 facilities that appeared on the list for the first time during the year. 

Of the 287 facilities on the exceptions list, 144 returned to compliance by the end of the year, 87 were 

subject to formal enforcement action, and 56 facilities remained to be addressed during the upcoming 

year. The number of facilities unaddressed in FY 1993 increased by 10. However, the number of 

facilities appearing as SNC decreased by 16% (2,362 to 1,978). This resulted in a decrease in T&A from 

90% in FY 1992 to 87% in FY 1993. 

During FY 1993, the regional offices filed 256 administrative penalty orders (APOs). Moreover, 

178 final settlements of APOs were filed in FY 1993. 

Toxic Substances Control Act Enforcement (TSCA) 

Over 125 companies have registered for the TSCA 58(e) Compliance Audit Program, which offers 

participating companies the opportunity to voluntarily submit late heath and safety reports from 

chemicals. Stipulated penalties averaging $5,000 per late report will be collected. The stipulated 

penalties are much less that the statutory maximums that could have been imposed. This program has 

been well received by the regulated community an has raised the profile of this important data 

reporting requirement. The CAP has generated a large volume of useful health and safety data. To 

date, more than 1O.OOO late reports have been received by the Agency. 

B. Regional Office Accomplishments 

Region I - Boston 

(Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, Vermont) 

During FY 1993, Region I maintained an active enforcement program and continued to refine its 

management of the enforcement process. In the past year, the Region built on its previous efforts to 

incorporate a multi-media focus into the enforcement program, advanced an important dialogue with 

New England state enforcement officials to better coordinate enforcement efforts, and heightened its 

attention to resolving cases promptly and through innovative mechanisms. 

Region I's Enforcement Workgroup, which includes representatives of all the Region's media 

enforcement programs and the Office of Regional Counsel, continued to play a lead role in developing 

and overseeing multi-media enforcement. As in recent years, the Workgroup held a roundtable 

discussion early in the year at which each of the programs discussed their inspection and enforcement 

plans for the year. During this discussion, opportunities for coordinated and consolidated inspections 

were identified and the possibilities for participation in the various regional and national initiatives 

were surfaced. The workgroup also took up numerous other important multi-media issues including 

refinement of the Region's multi-media inspection checklist, data collection efforts and inspection and 

enforcement targeting. 

The clearest example of the Region's commitment to a multi-media approach is in the federal 

facilities area. In FY 1993, Region I conducted six multi-media inspections at federal facilities in 

connection with the February, 1993 national Federal Facilities Multi-media Enforcement/Compliance 

Initiative and in furtherance of the Region's federal facilities multi-media inspection program, begun 

in 1990. The inspections were conducted by EPA and state inspectors, and resulted in several notices of 

6-6 
FY 1993 Enforcement Accomplishments Report 

noncompliance (federal or state) and one RCRA administrative enforcement penalty action under the 

Federal Facility Compliance Act of 1992. Since 1990, the Region has conducted fifteen federal facility 

multi-media inspections. 

Also to advance a multi-media approach (and with the endorsement of the Region’s leadership 

and the Enforcement Workgroup), training was conducted in the spring of 1993 for all of the Region‘s 

field inspectors on a number of important topics. All inspectors attended a course devoted exclusively to 

the subject of multi-media inspections at which experts from each of the enforcement programs 

discussed the major requirements of their programs so that inspectors would be better able to identify 

problems in areas beyond their individual programs. A separate course was held for all the inspectors 

which discussed ways in which they could promote pollution prevention during their inspections. 

Finally, a course was held for inspectors and others in the Region which covered the litigation process 

and was intended to help them understand how the process works and how they would fit in it. 

FY 1993 was the first full year of operation of the New England State/EPA Environmental 

Enforcement Committee. This committee, which was organized and sponsored by Region I, includes 

high level representatives from the enforcement offices of all the state environmental agencies and 

from the environmental divisions of the state attorneys general offices in Region 1. The Committee 

meets approximately once every four months and addresses topics of mutual interest such as the 

coordination of enforcement efforts, participation in national initiatives, administrative penalty 

programs and mining needs. 

The Region also worked on a number of fronts to ensure the prompt and successful resolution of its 

enforcement cases and to explore the use of innovative settlement tools. A particular emphasis was 

placed on the resolution of the older judicial and administrative cases in the Region. Guidance was 

developed setting out various tools which could be used by regional staff to move negotiations to a 

prompt and successful outcomeor, alternatively, to put them on a track towards litigation. 

During FY 1993, Region I also worked on several fronts to promote the use of alternative dispute 

resolution (ADR) to settle cases and to enhance community involvement in controversial environmental 

decisions. These efforts have taken the form of educating regional management and staff about ADR 

techniques and their possible applications; educating the private bar about EPAs receptivity to ADR; 

representing EPA on an American Arbitration Association task force on environmental mediation; 

actively participating in a national workgroup on ADR to share information and ideas with other 

regions; and continuing to nominate cases for ADR in a broadening range of circumstances. The success of 

these efforts has been evident in increased general inquiries by both EPA case lawyers and members of 

the private bar about the appropriateness of mediating specific cases, as well as by the success of the 

region’s convening efforts in 4 complex superfund cases (Savage Well, Nyanza, Iron Horse Park and Pine 

Street), each with a distinct set of challenges. Building on this experience, the Region is currently 

working with local, state, and congressional representatives to set up a process, with the assistance of a 

neutral facilitator, to address community concerns about the New Bedford Harbor superfund remedy. 

Region I1 - New York 

(New Jersey, New York, Puerto Rico, Virgin Islands) 

Region I1 enjoyed a very strong year in virtually all categories of traditional measurement. For 

example, the Region’s regulatory (non-Superfund) enforcement programs generated over $8.5 million in 

penalties, their second highest annual total. This figure included almost $1.6 million in stipulated 

penalty collections for violations of earlier judicial consent decrees, a demonstration of the Region’s 

long-standing commitment to insuring compliance with settlement instruments. 

6-7 
FY 1993 Enforcement AccomplishmentsReport 

Region II's Superfund enforcement program was again very successful, with enforcement case 

resolutions yielding nearly $340 million in value of work to be performed, cost recovery agreements, and 

penalties assessed. This is the Region's second highest year in terms of both the value of work secured 

from responsible parties ($253.8 million) and penalties assessed ($1.7 million); the $83.3 million in 

past costs which were recovered is three times higher than Region's best previous year. 

In the non-CERCLA arena, judicial penalty assessments resulting from settled and adjudicated 

cases totaled over $5.2 million in FY 1993, the Region's second highest ever. Penalties proposed in FY 

1993 administrative complaints totaled $11.1 million; proposed administrative penalties in four 

separate programs exceeded $1 million (EPCRA, RCRA, TSCA and CWA). Administrative penalty 

assessments (in settlements and adjudicated decisions) totaled nearly $3.2 million. Total judicial and 

administrative penalty assessments were thus about $8.6 million. The value of injunctive relief secured 

through Region I1 non-CERCLA judicial settlements entered in FY 1993 exceeded $12 million. 

Supplemental Enforcement Projects (SEW were included in more than ten settlements, under the 

EPCRA, TSCA, RCRA and CWA programs. The total dollar value of these SEPs was about $1 million. 

In FY 1993, Region II had one of its highest annual outputs in the number of referrals to the U.S. 

Department of Justice for litigation activities. The Region generated some 60 such civil referrals, 

including consent decree enforcement refemals, collection actions, bankruptcy referrals, and pre-referral 

negotiation (PRN) packages. Of these, 29 were in the Superfund arena. 

During FY 1993, Region I1 continued to closely monitor the status of compliance among judicial 

defendants and administrative Respondents with the terms of settlements and orders. Of the 60 

referrals initiated, six were consent decree enforcement referrals and seven were collection actions for 

non-payment of penalties. This output demonstrates the importance that Region I1 assigns to ensuring 

compliance by former violators; the Region is persuaded that follow-through of this sort is essential to 

the overall success of an enforcement program. 

Region I1 continued its aggressive implementation of the Administrator's goals for multi-media 

enforcement. Under the auspices of our Regional Multi-Program Enforcement Steering Committee, major, 

consolidated inspections including nearly every Regional program office were carried out at 13 

facilities, including three federal facilities. A number of these yielded evidence of violations in one or 

more program areas -- although the Region states that fewer very serious violations were detected 

than in past years. 

In addition, Region I1 has carried out a large number of other consolidated and coordinated multimedia inspections involving a smaller number of Regional program offices (usually two or three). In 

fact, based on the Agency's data, through the third quarter of FY 1993 Region I1 accounted for 39% of 

the nation's consolidated multi-media inspections; over 20% of its coordinated multi-media inspections; 

and nearly 88% of single media inspections performed utilizing the multi-media checklist. 

In addition to major multi-media enforcement inspections, and the enforcement activities arising 

from them, the Region has actively pursued a number of other multi-media initiatives, including 

several Regional geographic enforcement initiatives. The Region also pursued geographic initiatives 

in the Cortland and Coming Aquifer regions of New York as well as the Niagara Frontier region of New 

York. 

6-8 
FY 1993 Enforcemenl Accomplishments Report 

Region I11 - Philadelphia 

(Delaware, District of Columbia, Maryland, Pennsylvania, Virginia, West Virginia) 

FY 1993 was a milestone year for enforcement in Region 111. Region 111 had a recordbreaking 

enforcement year as measured by enforcement activity numbers with 54 civil referrals, 16 criminal 

referrals, 11 PRNs, 237 administrative orders, and 102 administrative complaints. This represents a 

35%, 6.6%, and 12% growth over last year's numbers in civil referrals, criminal referrals, and 

administrative complaints, respectively. The criminal enforcement program set a new record in FY 1993 

for Region 111. Furthermore, FY 1993 established a record for the number of civil referrals, when one 

excludes FY 1978. (The civil referral numbers for M 1978 were artificially high because a number of 

civil referrals were fragmented into their parts and referred separately). Programs that witnessed 

impressive growth in the number of civil referrals over last year's numbers were NPDES and 

CAA/Asbestos, which had over a 300% and 500% rate-of-growth, respectively. 

In addition to these record breaking numbers, Region I11 also embarked on several significant 

Special Enforcement Initiatives to focus on specific sites, geographic areas, pollutants, or industrial 

sectors with noteworthy environmental or compliance problems. The goal of these initiatives are to 

gain maximum deterrence through publicity and facility-spccific impact. Continuing its leadership 

role, Region Ill actively developed and pursued regional and national enforcement initiatives in FY 

1993. 

In FY 1993, Region 111 embarked on a strategic planning exercise. As a necessary prerequisite for 

this project, the Region conducted a detailed study of Region 111 environmental data. The study's 

findings were an important resource in the establishment of the Region's Strategic planning goals. The 

goals are Regional Management, Reliance on Data, State Relations, Acid Pollution, and Ozone. They 

were targeted because they: require special Region-wide focus to succeed; take advantage of unique 

Region I11 leadership opportunities; have a high potential for risk reduction, and provide a forum for 

creative leadership. The goals do not define all of the Region's important work. Instead, they are 

areas where the Region feels that it can focus some of its efforts and make important improvements in 

addition to pursuing national priorities. Currently, the Region is actively engaged in devising 

enforcement strategies and objectives to accomplish these goals and to establish measures to measure 

their success. 

Headquarters and Region III have placed increasing importance on the role enforcement should 

play in attaining non-traditional enforcement goals, such as protection of human health, preservation 

and restoration of ecosystems, and ensuring a high quality of public welfare. These are goals that are 

neither media nor program-specific, and to achieve them requires that they be addressed in a holistic 

mer. Multi-media enforcement permits addressing the environmental status of a facility in an 

integrated fashion which recognizes the interconnected relationship between the media and facility 

processes have the potential to be an important tool in this effort. Region 111 has recognized this and 

has placed increased importance on the use of multi-media enforcement as an instrument to achieve its 

goals. 

Over the past three years, the Region has engaged in numerous multi-media enforcement 

initiatives arising from both the Headquarters' level and the Regional level. While there were some 

successes, there was the perception in this Region that multi-media enforcement had not yet lived up to 

its potential. In trying to maximize its effectiveness, the Region's Senior Managers formed a Quality 

Action Team with representatives from the various enforcement programs and offices. After almost a 

year of work by the Enforcement Branch Chiefs, the Region finished developmcnt and started 

implementation of a fully integrated casc-screening and multi-media enforcement process in FY 1993. 

6-9 
FY 1993 Enforcemenf Accomplishmenfs Reporf 

I 

In FY 1993, Region 111 and its States have made significant efforts to strengthen their enforcement 

partnership. This year marked the beginning of an effort between Region 111 and its States to 

strengthen the FederaVState enforcement relationship. On August 10,1993, representatives from both 

the Region I11 and the State/Local enforcement programs met in Region III's Philadelphia office to 

discuss enforcement planning for Fiscal Year 1994. While it is common for each of the Regions' 

enforcement programs to meet with their State counterparts to discuss their specific program goals, this 

meeting marked. the first Region In meeting with its States dedicated to cross-program.enforcement 

issues. This meeting was viewed as a success by all the participants and has lead to the initiation of 

biannually State/EPA Enforcement Meetings to build upon the State/EPA partnership. 

Region IV - Atlanta 

(Alabama, Florida, Georgia, Kentucky, Mississippi, 

North Carolina, South Carolina, Tennessee) 

Region IV continued to emphasize multi-media enforcement during FY 1993 through two highlevel management teams known as the Enforcement Decision Team (EDT) and the Multi-media 

Enforcement Team (MET), and using the expertise of the Enforcement Planning and Analysis Staff (El' 

& A). The EDT is chaired by the Assistant Regional Administrator and comprised of Associate and 

Deputy Division Directors, the Policy, Planning and Evaluation Branch Chief, and the MET 

chairperson. The EDT reports directly' to the Deputy Regional Administrator to assist him in setting 

multi-media policies and priorities. The MET is chaired by a member of the EDT. and comprised 

pri'marily of Section Chiefs, one from each division, and the Enforcement Planning and Analysis Staff 

Chief. The MET reports directly to the EDT and provides support to the EDT by managing and 

conducting multi-media inspections and enforcement activities. In FY 1993 Region IV conducted 34 

mu1ti:media consolidated inspections and initiated three multi-media enforcement cases, including one 

civil referral. A multi-media enforcement initiative in Chattanooga has resulted in a clean-up 

program under Superfund for Chattanooga Creek. 

The El' & A staff supports the RA/DRA's role as principal manager for Region IV's enforcement 

programs. The EP & A staff also supports the EDT and is an active participant in the MET. Activities 

include developing policies and agreements, analyzing data to target activities and evaluate results, 

providing agenda/work products, coordinating and developing multi-media enforcement activities, 

serving as primary multi-media contact with Headquarters and states, and serving as regional 

spokesperson at national meetings and conferences on enforcement. 

Region IV became the first region to initiate multi-year enforcement agreements with its eight 

states to reduce the time and effort expended in negotiating yearly enforcement agreements. The multimedia agreements cover the period from October 1,1993 through September 30,1996, and document 

general enforcement policies, issues and directions regarding enforcement roles, oversight, penalties, 

data, training, targeting efforts, enforcement initiatives, and communications. Each media will 

address specific items as necessary through MOAS and grant workplans that will continue to be 

developed on a yearly basis by each program. 

Region IV continued its strong commitment to multi-media activities at federally-owned sites 

through its Federal Facilities Coordination (FFC) program. The FFC program conducted two OFFE 

federal facilities multi-media compliance inspections at Air Force Plant #6 and Redstone Arsenal, ten 

regional federal facilities multi-media inspections, and five Indian tribal multi-media compliance 

inspections. The FFC program also held a Regional Multi-media Federal Facilities Environmental 

Compliance Conference that was attended by over 300 persons. ! 

6-10 
FY 1993 Enforcemenl Accomplishmenrs Repon 

All Region IV divisions participated in the successful first year of the Tampa Bay Enforcement 

Initiative, which resulted in 103 inspections, 11 permit reviews, five 5 308 letters, 19 NOVs, three AOs, 

and one civil referral. 

Region IV approved twenty-six Supplemental Environmental Projects (SEI'S) in FY 1993. The 

projected costs range from $10,000 to $4,000,000 with the total projected costs exceeding $14.4 million. 

Thirteen of the SEPs are classified as pollution prevention projects and account for $6.2 million of the 

total projected costs. 

Region Ws RCRA program continued to produce high enforcement outputs by issuing 15 new 

complaints and settling 25 administrative cases, with penalties in final administrative orders 

increasing from $900,Mx) in FY 1992 to $2,446,000 in FY 1993. Emphasis was placed on settling older 

cases. Final Consent Decrees were entered for Sanders Lead with a penalty of $2 million and for 

&mlman with a penalty of $2.5 million which included a $1 million pollution prevention project. 

Region IV referred two new judicial cases to Headquarters in FY 1993. 

In FY 1993, Region IV accounted for approximately 20 per cent of all Superfund removal starts 

nationally, including a solid 25 per cent of all EPA funded clean-ups. Region IV obligated nearly $24 

million in clean-up monies to contractors. Major projects completed in FY 1993 included ILCO, AquaTech, Basket Creek, Cherokee Oil, and Escambia Wood (Pensacola). 

Enforcement actions under the NPDES program indudcd eight civil referrals, 54 Administrative 

Penalty Orders (APOs) and 117 Administrative Orders (AOs), all of which exceeded FY 1992 totals. 

For FY 1993 six judicial consent decrees were signed with cash penalties totaling $4.4 million. The 

largest one of these, CSXT, contained $3.0 million in cash penalties and $4.1 million in Supplemental 

Environmental Projects (SEPs). NPDES settled 30 APOs for a total of $569,000, with an additional $5.6 

million in SEPs being agreed to in APO settlements. Region IV became the first region to take an 

"DES civil judicial action under the emergency powers authority granted in 5 504 of the Clean Water 

Act with its action against Dade County, Florida. 

Region Iv's UIC program met or exceeded all their workplan goals for FY 1993. The program 

completed nine AOs and referred two civil and three criminal cases to DOJ. Region IV continued to lead 

the nation in UIC enforcement activity throughout FY 1993. 

Region IVs UST program participated in many of Region IV's multi-media activities for FY 1993, 

one of which was the first civil referral case in the nation taken against a company for UST release 

detection violations. In N 1993 Region IV also took its first administrative action against a hazardous 

substance tank owner for failure to comply with UST release detection requirements. 

Under the Clean Air Act, Region IV filed 14 AFOs with total penalty amounts of $658,790 under 

Section 113(d), which represents a 400% increase in use of this enforcement tool over the initial year of 

availability, FY 1992, and an increase of 289% in the amount of penalties sought. Three civil referrals 

were issued in FY 1993 with penalties totaling $2,492,840. In conjunction with ORC and Headquarters, 

Region IV settled 12 outstanding cases for $4,799,000, including the following: Crown Cork and Seal, 

$343,000; Louisiana Pacific, Clayton, Alabama and Commerce, Georgia; and Olin Corporation, 

$1,000,000. Region IV issued the first immediate compliance A0 under 5 113(d)(3) to require the 

removal of asbestos containing material (ACM). This precedent setting order was issued at the 

uncontrolled release of ACM at Louisville Forge and Gear. 

6-11 
FY 1993 Enforcement Accomplishments Report 

Region V - Chicago 

(Illinois, Indiana, Michigan, Minnesota, Ohio, Wisconsin) 

In FY 1993, Region V achieved a record number (98) and record national share of judicial consent 

decrees and orders after trial. This compares to 54 judicial consent decrees and orders for FY 1992. 

Highlighting the Region's success was a precedential,' multi-media consent decree with Inland Steel, 

which included a $55 million package ($26.5 million for supplemental environmental 'projects, $25 

.Gllion in injunctive relief, and $3.5 million in civil penalties). Other highlights include a $6 million 

penalty judgment after trial against Bethlehem Steel, located in Bums Harbor, Indiana, and the entry 

of a CWA 5309 Order requiring Wayne County, Michigan, to implement plans for a sewer collection 

system a cost of over $180 million dollars. 

Last year, The Geographic Initiative process reached a certain level of maturity. The Region 

currently is operating five initiative areas: Gateway (East St. Louis, IL), Tri-State (Ironton, OH area), 

'SEMI (Detroit, MI, area), Northwest Indiana, and Southeast Chicago. During the year, the Northwest 

Indiana/Southeast Chicago Gcographic Initiative area.was split into two separately functioning units 

along the state line. The reason for this division was to make each of the initiatives more manageable 

since the work being done in the area had grown quite substantially in the years since the creation of 

the original Region V geographic enforcement initiative area. 

Another positive development of the geographic initiatives was the expansion of interaction 

with state and local governments and local community groups. For example, toward the end of the year 

the Region and the State of Indiana took steps to move from periodic meetings held to describe actions 

that have been taken, to much more frequent, specific and detailed meetings to jointly plan, conduct and 

coordinate enforcement actions according to a comprehensive enforcement action plan. Another example 

is the creation of the position of Enforcement Ombudsman to work with local community groups in the 

Southeast Chicago area. .. 

During M 1993, multi-media enforcement became less of an experiment and more of a standard 

and very useful tool in the Region V enforcement arsenal. The creation one year ago of the Multi-Media 

'Branch in the Office of Regional Counsel has significantly helped the coordination of such enforcement 

strategies and actions. During the year, a number of important multi-media actions were concluded and 

others initiated. These specific cases, such as Inland Steel, are described in detail previously in this 

report. The 'cross divisional Multi-Media Litigation Screening Committee met on a monthly basis 

throughout the year and coordinated the development of the multi-media enforcement actions. In 

.. addition, a list of 23 facilities in priority order were targeted for multi-media inspection during FY 

1994. All of these facilities are located in the five geographic initiative areas. It is most unlikely 

that resources will allow for all of these inspections to be conducted, but it is a good sign of the general 

acceptance of the value of the multi-media approach that this many actions would be selected. 

Region V's'wetlands program was very successful in FY 1993. The first criminal indictment for a 

wetland +iolation in Region V was handed down by,a grand jury in June 1993. In addition, through the 

permit process and Superfund coordination, thousands of acres of mitigation were proposed in an 

attempt to comply with the zero net loss of wetland objective. 

Region V continued to encourage innovative forms of relief in negotiating settlements. In M 1993, 

the Region used Supplemental Environmental Projects (SEPs) in settlement of 52 cases. The total value 

for fiscal year 1993 SEPs was nearly 15 times greater than the value of FY 1992 SEPs, reaching 

approximately $42 million dollars. Many of the SEPs focused on pollution prevention, responding to 

EPAs increasing concern with fighting pollution at its source. 

I 6-12 

I 
FY 1993 Enforcement Accomplishments Report 

Region V participated in all of the National Enforcement Initiatives organized by the Office of 

Compliance Monitoring in OPPTS. In two of the three TSCA enforcement initiatives, and in the EPCRA 

Section 5313 enforcement initiative;Region V lead all other EPA regions in the number of complaints 

issued and in the total proposed penalties. 

During FY 1993, the Region continued high levels of activity in the Boiler Industrial Furnace 

(BIF) Initiative. EPA conducted inspections at over twenty BIF facilities which had become subject to 

the new hazardous waste combustion regulations promulgated in August of 1991. The Region's efforts 

culminated in ten administrative enforcement actions being filed as part of EPAs highly successful 

Combustion Initiative.. Total penalties sought in these actions amounted to over $8 million. 

The RCRA Illegal Operators Initiative got underway this year. This Initiative is a cooperative 

effort between EPA Headquarters, EPA Regional Offices and State Environmental Agencies. As part of 

this effort, States focused their inspection activities towards identifying entities engaged in the 

illegal storage or disposal of hazardous wastes. Judicial, administrative and criminal enforcement 

cases seeking injunctive relief and monetary penalties were filed to address the violations detected as 

part of these inspections. Most of the cases, filed as part of the Initiative in June and July of 1993, are in 

preliminary stages of litigation or negotiation. 

Finally, Region Vs criminal enforcement program had a record year. The number of referrals (28), 

indictments (15) and defendants charged (24) exceeded any previous year's totals. 

Region VI = Dallas 

(Arkansas, Louisiana, New Mexico, Oklahoma, Texas) , 

Region VI maintained an active enforcement program in FY 1993. The RCRA program had an 

exceptional year in 1993 by commencing 33 new enforcement actions with total proposed penalties of 

over $12 million. Final orders were issued for 12 cases. In addition, four enforcement corrective action 

orders were finalized and two imminent and substantial endangerment orders were issued, including the 

first 'such order nationwide to a federal facility. The Region also commenced two of the first 

administrative penalty cases against federal facilities under the authority given in the Federal 

Facility Compliance Act. Regional RCRA enforcement initiatives included commencing eight 

enforcement actions against boilers and industrial furnaces, four enforcement actions against facilities in 

the area of the U.S./Mexico Border, and two enforcement actions against foundries. 

Another Region VI RCRA enforcement initiative involved the improper handling of shipments of 

hazardous waste into the United States. A binational Hazardous Waste Tkacking System (HWTS) has 

been developed by EPA RegionVI and the Mexican government to verify compliance with U.S. and 

Mexican laws of transboundary shipments of hazardous waste. The HWTS is capable of merging and 

comparing Mexican hazardous waste shipment data with U.S. manifests to confirm movement of 

hazardous waste from maquiladoras in Mexico to treatment, storage and disposal (ED) facilities or 

recycling facilities in the United States. The system tracks volumes of wastes, waste types, foreign 

generator, and ultimate disposition of the waste. Discrepancy reports generated by the HWTS 

identified US. import violations which resulted in three Administrative Complaints. This initiative 

has received considerable positive national media coverage (eg. Wall Street Journal and Journal of 

Commerce). 

During this fiscal year, the Region VI Office of Underground Storage Tanks (OUST) was very 

active in assisting other Regions in developing and implementing the federal field citation program. 

OUST provided assistance to RegionVI in their federal field citation program by providing on-the-job 

6-13 
FY 1993 Enforcement Accomplishments Report 

training for State UST inspectors in Arizona and California, and conducted classroom training for 

California UST State/County/Local regulators at the University of California. Because of OUSTS 

field initiative, all but two Regions have now begun to implement their own federal field citation 

program. The field citation program developed and implemented by Region VI OUST continues to be an 

effective and efficient enforcement tool. Joint EPA/State inspections, using field citations, were 

conducted in Texas, Arkansas and Louisiana. During FY 1993,50 inspections were conducted and 38 field 

citations were issued. Total penalties collected were $17,850 (field citation penalties ranged from $50- 

$1,500 per facility). 

The New Mexico Environment Department (NMED) will be acting as EPAs oversight 

representative during the Remedial Investigation and Feasibility Study (RI/FS) at the Atchison, 

Topeka, and Santa Fe (Albuquerque) Superfund Site. Over the past several years, NMED has been 

overseeing the Responsible Party’s activities at the site and has provided comments to the Responsible 

Party throughout the initial stages of the investigation. In order to reduce the possibility of 

duplication of efforts and, more importantly, to provide the state with an opportunity to build its 

Superfund capability, EPA has requested NMED act as EPA’s oversight representative during the Rl/FS 

and perform the human health and ecological risk assessments. NMED will be conducting the human 

health and ecological risk assessments in-house. 

On May 14, 1993, EPA issued a Unilateral Administrative Order under the Comprehensive 

Environmental Response, Compensation, and Liability Act to ARCO and El Pas0 Natural Gas (EPNG) 

for the performance of the remedial design and remedial action for the Prewitt Abandoned Refinery 

Superfund Site in New Mexico. As a result of unresolved differences between ARCO and EPNG, and in 

order for both parties to continue to be in compliance with the Administrative Order, both parties took 

it upon themselves to submit separate work plans for the performance of the remedial design (RD). 

Thus, EPA, the New Mexico Environment Department (NMED) and the Navajo Nation Superfund 

Program (NSP) have been conducting dual reviews of the RD work plans. As during the remedial 

investigation and feasibility study and the record of decision writing process, both NMED and NSP 

have provided technical support to EPA during the RD work plan review. Both NMED and NSP have 

cooperated with EPA in providing comments on all of the revisions and have been willing to participate 

in conference calls and meetings when their assistance was needed. 

The Clean Water Act National Pollutant Discharge Elimination System (NPDES) enforcement 

program was very successful in FY 1993. The commencement of 81 administrative penalty actions 

represented approximately one-third of the national total, and the issuance of 735 administrative 

orders (non-penalty) represented over one-half of all such orders issued by EPA nationwide. The Region 

was also very successful in resolving judicial and administrative penalty cases, resulting in the 

payment of over $4.6 million in civil penalties. 

The NPDES program was also successful in maintaining the integrity of the self-reporting 

program and in protecting water quality. Specifically, the Region participated in a national initiative 

to ensure accurate reporting and analysis, by initiating enforcement actions for failure to submit accurate 

discharge monitoring reports, for failure to properly collect and analyze wastewater samples, and for 

failure to re-apply for NPDES permits in a timely manner. 

To address water quality concerns, the Region laid the groundwork for future enforcement actions 

by identifying facilities with serious sanitary sewer overflows and bypasses. A number of enforcement 

actions were commenced to eliminate raw sewage overflows from sanitary sewers. 

6-14 
Region VI1 - Kansas City 

(Iowa, Kansas, Missouri, Nebraska) 

Region VI1 emphasized its Multi-Media Enforcement Committee as the focus of its enforcement 

targeting and coordination efforts, for case selection for reducing risk and implementing enforcement 

initiatives and the Administrator's priorities. The Region targeted three multi-media inspection 

candidates using TRI data, compliance histories, and geographic location. All three have resulted in 

referrals for enforcement. Multi-media enforcement cases are most successfully developed from initial 

targeting for multi-media inspections in a small Region like Region VII. 

The Region's efforts and emphasis on state enforcement activities continued in FY 1993. However, 

the severe flooding in the Midwest resulted in lower numbers of state cases than in prior years. 

Nonetheless, Region VI1 states completed a number of cases and began utilizing press releases to 

announce the successful conclusion to case filings. The Office of Regional Counsel has done significant 

outreach to publicize the pollution prevention/supplemental environmental projects alternative to a 

portion of the assessed penalty. Region VI1 states are beginning to accept alternative environmental 

projects to offset a portion of the penalties. 

Region VI1 is committed to maintaining a strong federal/state enforcement program. Recognizing 

that most of the programs which can be delegated to the states have been in the region, they have 

invested time and resources in helping their states develop and utilize their enforcement capacity. The 

result of this effort has been an improved relationship between EPA and the states, and better 

leveraging of the increasingly scarce state and federal resources. 

Region VI11 - Denver 

(Colorado, Montana, North Dakota, South Dakota, Utah, Wyoming) 

In FY 1993, Region VI11 referred 23 cases to the Department of Justice and took 308 administrative 

actions. Activities in FY 1993 were somewhat lower than FY 1992. FY 1993 numbers appear lower in 

comparison to FY 1992 because FY 1992 activities were higher than is the norm for most programs. 

Other reasons for the somewhat lower numbers were program specific. For example, in the FIFRA 

program the delayed revision of a required form caused the lowered numbers. The UST program 

decrease was due to states receiving increased authority. In other cases, programs with administrative 

authority equal to their civil authority chose to use the former. 

The Region VI11 Multi-Media Program continued to grow, gain momentum, and become 

institutionalized. This year, the Regional Enforcement Officer (REO) also acted as the Multi-media 

Enforcement Branch Chief of ESD and worked directly with the multi-media inspection teams. The 

Region participated in eight targeted multi-media inspections and focused on including states in the 

site selection and inspection process. Additionally, in FY 1993, the Region developed increased 

environmental justice capacity by including census data evaluation and the three "lifestyle clusters" 

suggested by the Office of Enforcement (OE) into both targeting and screening activities. 

In the early stages of its existence, the Enforcement Standing Committee (ESC) addressed both 

enforcement policy and management and facility or case-specific matters. As the Region began to 

institute the multi-media approach and the number of multi-media actions increased, the Region 

realized that a mechanism was needed to discuss and manage facility or case-specific issues. Thus the 

Regional Enforcement Forum (REF) was created to deal with facility and case-specific enforcement 

related activities (see above). The creation of the REF has left the EX as the Regional body 

responsible for discussing and addressing Regional enforcement policy. 

6-15 
FY 1993 Enforcemenl Accowiplishmenls Report 

The Regional Enforcement Forum qes as the primary mechanism for regularly needed crossprogram and qion-wide enforcement communications and coordination. The REF serves as a standing 

committee representing all enforcement programs and coordinates the review and implementation of 

regional, cross-program and multi-media inspection and enforcement activities including inspection 

coordination and review of selected enforcement actions. It is the REF that evaluates cases, forms 

multi-media teams and develops initial strategies and direitions for these. 'It is the REF that works at 

the nuts-and-bolts level of multi-media case work. For example, the REF,det&nines whether or not an 

activity should be addressed regionally and, if so, what program division is the lead. The REF 

prioritizes targeted and untargeted multi-media inspections and ktablishes multi-media inspection 

teams. Another important function of the REF is to resolve case of inspection specific conflicts and, 

where appropriate, elevating all unresolved conflicts to the ESC. The REF also recommends decisions 

regarding inspections and enforcement policies 6r operations to the ESC. 

During FY 1993, the Region improved its multi-media inspection targeting process by adding new 

factors to the "base" process. The base process included all facilities having RCRA IDS and reporting to 

Toxics Release Inventory (TRI), all federal facilities permitted in at least two different media, and 

NEIC's CCRIP report-facilities listed are added to above list if not already .there. Throughout the 

process state and program input/feedback on lists (20 facilities per state). IDEA analysis on each site - 

mres are determined for each site by considering compliance history, multi-media potential, status of 

facility on NPL, N 1993 National/Regional/State initiatives (e.g., Environmental Justice, "DES 

heapleach mining sites, RCRA non-notifiers, pulp &I paper facilities, ND tribal lands initiatives, 

etc.) for the coming year. Scores from above factors lead to list of top five facilities in each state; 

consensus is then reached between the Region and.each State to do two multi-media inspections in the 

next fiscal year in each state. Prior to the insdections, the objective of each multi-media inspection is 

discussed and agreed upon with each state. 

Originating the multi-media concept, the Sand Creek Pilot Project was designed to 

institutionalize the holistic approach to compliance and enforcement 'into environmental protection. 

Region VIII, the Colorado Department of Health, and the Tri-County Health Department 

participated jointly in the 'Pilot Project. Targeted inspections at two large facilities in the area 

resulted in coordinated multi-media State and EPA enforcement actions to address seepage into Sand 

Creek. Following compliance inspections, using data and information gathe& during the Project, the 

three agencies hosted a series of pollution prevention workshops for companies in the area. These 

workshops, consisting of three different half-day pollution prevention workshops, were designed 

around the types of violations found in the area as well as the primary types of industry. 

' During FY 1993, Region VI11 has incorporated environmental equity activities into the following 

Regional processes: Building an Environmental Equity Database, Targeting Multi-Media Inspections, 

and Case Screening. Future environmental equity accomplishments include developing a user-friendly 

equity database that can be used by everyone with a connection to the LAN, so that equity factors can be 

used in everyone's daily work processes. 

Region VIII has had success in integrating pollution prevention into enforcement. Some of the 

activities include: Nephi Rubber Products, Huish Detergent, Denver Metal Finishing Company, City of 

Rock Springs, the Trona Mine Initiative, and projects such as the Sand Creek Pilot Project and Wyoming 

Outreach. The unique aspect of the Nephi Rubber Products case is that a pollution prevention pilot 

project has been proposed and has been agreed upon by the facility, the EPA Regional office, and the 

State agency. Huish Detergent, Salt Lake City, Utah, which was required to put in a safety chlorine 

cleaning system which would clean any spills and set up an isolation system. Denver Metal Finishing 

Company, Denver, Colorado, which was installed a sand filter for use in their production pmess. 

6-16 
, I . ,_ .. 

#“-a 

vk!2 FY 1993 Enforcement Accomplishments Report 

*,,& 

, : 

Region VIII continues to be a leader in developing tribal capacity. For example, the FIFRA 

program supported efforts conducted/hosted two tiaining sessions: National Tribal Workshop and 

Advanced Inspector Training (states/tribes). Also two ‘tribal inspectors were also brought into the 

Regional Office for one-on-one training by regional staff. The Oglala Sioux (Pine Ridge) Tribal 

Enforcement Program submitted a draft Revised Pesticide C6de and Certification Plan to Region VI11 

for approval. This Code and Plan are now being reviewed by Regional and Headquarters staff. Also 

the Cheyenne River Sioux Enforcement Program received approval for an Endangered Species Protection 

Program, the first ltibal Program in Region VI11 to .conduct endangered speaes protection activities. 

Additionally, during M 1993 the Region reviewed a program assumption proposal for the CWA 5 404 

program submitted by the Confederated Salish and KFteriai Tribes of the Flathead Reservation in 

Montana. 

The Region also continues to develop state capacity. For example, the Underground Injection 

Control (SDWA/UIC) program has an annual meeting between all the States, interested Tribes and EPA 

in which information/technicaI exchange occurs regarding better/different ways to implement the 

program. In M 1993 the Region provided grant funds for over $1 million in State program development 

efforts and related wetlands activities. To standardize the Region’s approach to the RCRA program 

oversight of State enforcement programs, EPA negotiated, created and will now implement the 

Appropriate State Oversight Program (ASOP) with its States.’ The ASOP effort emphasizes a base 

line & differential (incremental) approach to oversight in order to focus on states where program 

enhancement is needed as well as disinvest where it is not. In the RCRA program, states are e,ncouraged 

to participate in RCRA enforcement cases as a partner. In some cases, EPA RCRA turns significant 

actions over to the States for capacity and partnership building experiences. For example, in the State 

of Utah, EPA allowed the State laboratory personnel conduct a RCRA Lab audit at Nephi Rubber for 

the purposes of identifying compliance concerns and pollution prevention opportunities. 

Region IX - San Francisco 

(Arizona, California, Hawaii, Nevada, Trust Territories ) 

Region Ix’s enforcement accomplishments during M 1993 were highlighted by multi-media 

compliance activities, implementation of a field citation program, continuing success with significant 

settlements and criminal prosecutions. 

The Region’s multi-media compliance effort focused on Federal Facilities, areas of geographical 

significance and petroleum refineries. The majority of the Federal Facility activity was conducted in 

cooperation with the State of California. The geographical focus was provided by the San Francisco 

Bay Delta as a priority estuary as well as Santa Monica Bay. The refinery interest intersects the 

geographic focus and was performed in cooperation with state and local environmental agencies. 

The Underground Storage Tank field citation program was initiated in Region IX during N 1993. 

This approach enables inspectors to issue citations and gain signed consent agreement- final orders with 

an efficient expenditure of resources. The inducement to the facility is a lower penalty than might be 

the result if a formal CC/CAFO process was pursued subsequent to the inspection. These on-the-spot 

citations are issued for clear cut violations that are easily identified at the time of the inspection. 

Begun during the fourth quarter, results are positive. Of 28 inspections conducted, 24 citations with 

penalties were issued and 21 were settled before the quarter’s end. Penalties ranged from $50 to $800 

with an average between$300 to $400. The citations have achieved expedited compliance from the 

regulated community, with efficient enforcement resource use. 

6-1 7 
FY 1993 Enforcement Accomplishments Report 

In Y.S. v. Mob il Oil Corn ration, (E.D. Cal) a consent decree was entered on February 4, 1993. 

Under the decree Mobil will pay a civil penalty of $950,000 for violations of the Clean Air Act. The 

complaint alleged that Mobil's polystyrene foam manufacturing facility emitted more isopentane, a 

volatile organic compound that is a precursor to ground level ozone pollution, than was permitted by 

the applicable State Implementation Plan. The fine is the second largest penalty levied by EPA for 

Clean Air Act violations in California. 

I 

Region IX continues to aggressively enforce pretreatment requirements. In US. v McDonnell 

Douplas Ca (C.D. Cal) a consent decree was entered on September 17,1993 in which the company 

agreed to pay $505,000 in settlement of the action brought to address violations at its aerospace 

manufacturing facility in Huntington Beach, California. The company discharged approximately 7,000 

gallons of metal finishing waste from its printed circuit board manufacturing operations in violations of 

the pretreatment standards. The wastewater was discharged to the County Sanitation Districts of 

Orange County wastewater system. 

Region X - Seattle 

(Alaska, Idaho, Oregon, Washington) 

In FY 1993, Region X undertook a comprehensive look inward at the enforcement processes and 

outcomes currently associated with their enforcement/compliance activities. This activity is on-going 

and will help shape enforcement and compliance activities in the future. 

Continuing its effort to build an integrated multi-media enforcement program, in FY 1993 Region X 

emphasized the refinement of its riskdriven targeting process. A Targeting Workgroup was set up to 

create a systematic targeting procedure which will be used and improved upon, based on this year's 

success, in future years to ensure a list of multi-media inspection sites which meets the criteria that it 

be risk-based, consider regional and national enforcement initiatives, and incorporate program 

priorities and best professional judgment of state and EPA inspectors. Integrating information from 

several databases was a key element of the process. The Workgroup was aided by a facilitator in 

developing its targeting protocol. 

Consistent with improving its targeting procedures, Region X refined and emphasized its multimedia program by performing ten coordinated multi-media inspections in FY 1993. Setting new 

precedent in State/EPA cooperation and partnership opportunities, was the cross-media inspection at 

the FMC Corporation in Pocatello, Idaho. This inspection involved ten media programs, and was 

performed by inspectors from EPA Region X in Seattle and Operations Office in Boise, Idaho, EPA 

National Enforcement Investigation Center (NEIC), State of Idaho Department of Environmental 

Quality (DEQ), and inspectors from the Shoshone Bannock tribe. In addition, Region X was a full 

participant in the National Federal Facilities Multi-Media Enforcement Initiative, and performed 

multi-media inspections at the Puget Sound Naval Shipyard at Bremerton, Washington, and Ft. 

Richardson Army Base at Ft. Richardson, Alaska. 

In FY 1993, Region X continued its active program for innovative enforcement settlements, 

emphasizing Pollution Reduction, Pollution Prevention, Waste Minimization and Environmental 

Restoration Supplemental Environmental Projects (SEPs). In N 1993 Region X had a total of 20 SEPS, 

mostly in TSCA and EPCRA cases, and will continue to do more. Region Xs FY 1993 SEPs also included 

five administrative Clean Air Act Cases that will result in a significant reduction of particulate 

emissions. Of particular note in Region X are the settlements in two judicial cases involving the Oil 

Pollution Act. These cases were settled for approximately 5970,000 and included the company's 

commitment to install and operate state of the art oil spill prevention and leak detection programs at 

an estimated cost of $1,600,000. 

6-18 I 

I 
FY 1993 Enforcement Accomplishments Report 

Region X Water Division has pioneered the watershed approach in environmental protection. 

This approach is built on three main principles. First, target watersheds should be those where 

pollution poses the greatest risk to human health, ecological resources, desirable uses of the water, or a 

combination of these. Second, all parties with a stake in the specific local situation should participate 

in the analysis of problems and the creation of solutions. Third, the actions undertaken should draw on 

the full range of methods and tools available, integrating them into a coordinated, multiorganization 

attack on the problems. Using these criteria, the National Pollution Discharge Elimination System 

(NPDES) Compliance Program conducted inspections in priority watersheds, clustered enforcement 

actions, and offered technical assistance/outreach in priority areas. 

In March 1993, eight EPA and four state inspectors inspected 33 concentrated animal feeding 

operations (CAFOs) in the mid-Snake River area of south-central Idaho. These inspections were 

planned to occur during the snow-melt and rainfall period of early spring. From these inspections 

twelve administrative penalty complaints were issued in mid-June. These cases were part of a regional 

enforcement initiative in which dischargers to this water quality limited waterbody were targeted. 

Suspension and Debarment are administrative processes which exist for the protection of the 

Government in its business dealings. Even though Suspension and Debarment are not traditionally 

viewed as enforcement tools, they provide an important adjunct to EPAs regulatory programs by 

creating incentives for compliance with EPAs civil and criminal environmental laws. 

In FY 1993 the EPA Office of Grants and Debarment placed the position of Northwest District 

Debarment Counsel in Region X. This position covers both Region X and Region VIII, and currently 

maintains an open caseload of over 125 cases. In N 1993, formal notices of suspension and/or proposed 

debarment were issued in 21 cases, and formal settlements or closures occurred in 13 cases. Region X 

emphasizes the use of suspension and debarment in order to protect the public's interest in the integrity 

of EPA contracting and assistance benefits programs. 

6-19 
,, '.I .' 

FY I993 Enforcement Akomplishnts Report 

Appendix 

Historical Enforcement Data 

List of Penalties by Media 

List of Headquarters Enforcement Contacts 

List of Regional Enforcement Information Contacts 
FY 1993 Enforcemenl Accomplishments Report 

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3 cl 56 
FY 1993 Enforcemenf Accomplishmenfs Report 

t of Civil Tu- and -s III FY 1993 .. .. .. .. 

Clean 'Water Act 

Judicial 

Administrative 

Safe Drinking Water Act 

Judicial 

Administrative 

Stationary Source Air 

Judicial 

Administrative 

Mobile Source Air 

Judicial 

Administrative 

RCRA 

Judicial 

Administrative 

EFCRA § 304-312 - Administrative 

CERCLA § 103 - Administrative 

CERCLA 5 104,106,107 

Judicial 

Administrative 

Toxics Release Inventory - Administrative 

TSCA - Administrative 

FIFRA - Administrative 

TOTAL 

* Clean Water Act includes Sections 311 and 404. 

Total dollars 

$27,834,375 

23,169,948 

4,664,427 

$ 5,567,203 

5,398,500 

168,703 

$20,384,422 

18,384,422 

2,000,000 

$ 2,528,785 

850,596 

1,678,189 

$22,766,695 

14,211,000 

8,555,695 

$ 1,128,560 

$ 489,272 

$ 24,352,324 

23,899,052 

453,272 

$ 2,556,507 

$ 6,892,697 

$ 632,574 

$ 115,133,414 
FY 1993 Enforcement Accomplishments Repon 

U.S. Environmental Protection Agency Regional Offices 

' Enforcement Information Contacts 

Region I - Boston 

Connecticut, Maine, Massachussetts, 

New Hampshire, Rhode Island, Vermont 

Region I1 - New York 

New Jersey, New York, Puerto Rim, 

Virgin Islands 

Region 111 - Philadelphia 

Delaware, District of Columbia, Maryland, 

Pennsylvania, Virginia, West Virginia 

Region IV - Atlanta 

Alabama, Florida, Georgia, Kentucky, Mississippi, 

North Carolina, South Carolina, Tennessee 

Region V - Chicago 

Illinois, Indiana, Michigan, Minnesota 

Ohio, Wironsin 

Region VI - Dallas 

Arkansas, Louisiana, New Mexico, 

Oklahoma, Texas 

Region VI1 - Kansas City 

Iowa, Kansas, Missouri, Nebraska 

Region VI11 - Denver 

Colorado, Montana, North Dakota, 

South Dakota, Utah, Wyoming 

Region IX - San Francisco 

Arizona, California, Hawaii, Nevada, 

Trust Territories 

Region X - Seattle 

Alaska, Idaho, Oregon, Washington 

Office of Public Affairs 

JFK Federal Building - One Congress Street 

Boston,MA M203 

617-565-2713 

External Programs Division 

Jacob K. Javitz Federal Building 

26 Federal Plaza 

New York, NY 10278 

212-264-2515 

Office of External Affairs 

841 Chestnut Building 

Philadelphia, PA 19107 

215-597-6938 

Office of Public Affairs 

345 Courtland Street, N.E. 

Atlanta, GA 30365 

404-347-3004 

Office of Public Affairs 

77 West Jackson Boulevard 

Chicago, IL 60604-3507 

312-353-2072 

Office of External Affairs 

First Interstate Bank Tower at Fountain Place 

1445 Ross Ave. 12th Floor Suite 1200 

Dallas TX 75202-2733 

214-655-2200 

Office of Public Affairs 

726 Minnesota Avenue 

Kansas City, K!3 66101 

913-551-7003 

Office of External Affairs 

999 18th Street Suite 500 

Denver, CO 80202-2405 

303-294-1120 

Office of External Affairs 

75 Hawthorne Street 

San Francisco, CA 94105 

415-744-1585 

Public Information Center 

1200 Sixth Avenue 

Seattle, WA 98101 

206-553-1465 
FY 1993 Enforcement Accomplishments Repon 

EPA Headquarters Enforcement Offices 

Office of Enforcement (OE) 

Assistant Administrator 

Deputy Assistant Administrator 

Director of Civil Enforcement 

Air Enforcement Division 

Water Enforcement Division 

Superfund Enforcement Division 

RCRA Enforcement Division 

Pesticides and Toxic Substances Enforcement Division 

International Enforcement Program 

Office of Criminal Enforcement 

Office of Compliance Analysis and Program Operations (OCAPO) 

Office of Federal Activities (OFA) 

Office of Federal Facilities Enforcement (OFFE) 

National Enforcement Investigations Center (NEIC - Denver) 

Office of Air and Radiation (OAR) 

Stationary Source Compliance Division (SSCD) 

Field Operations and Support Division (FOSD) 

Manufacturers Operations Division (MOD) 

Office of Water (OW) 

Office of Wastewater Enforcement and Compliance (OWEC) 

Office of Groundwater and Drinking Water (ODW) 

Office of Wetlands, Oceans and Watersheds 

Office of Solid Waste and Emergency Response (OSWER) 

Office of Waste Programs Enforcement (OWPE - CERCLA) 

Office of Waste Programs Enforcement (OWPE - RCRA) 

Office of Prevention, Pesticides and Toxic Substances (OPPTS) 

Office of Compliance Monitoring (OCM) 

202-260-5145 

202-260-4137 

202-260-4540 

202-260-2820 

202-260-8180 

202-260-3050 

202-260-4326 

202-260-8690 

202-260-2879 

202-260-5439 

202-260-4140 

202-260-5053 

202-260-9801 

303-236-5100 

703-308-8600 

202-233-9000 

202-233-9240 

202-260-8304 

202-260-5522 

202-260-7166 

703-603-8900 

202-260-4808 

202-260-3807