FY 2006


OECA Accomplishments Report


Office of Enforcement and Compliance Assurance

U.S. Environmental Protection Agency 

Office of Enforcement and Compliance Assurance (2201A) 

Washington, D.C. 

EPA-300-R-07-001 

Spring 2007 

www.epa.gov/compliance 

Recycled/Recyclable—Printed with vegetable oil based inks on 100% postconsumer, process chlorine free recycled paper. 
Contents 

Message from the Assistant Administrator . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 

What We Do . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 

OECA’s Mission . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5


Compliance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5


Enforcement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7


OECA’s National Priority Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9


Engaging the Public . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12


Fiscal Year 2006 Environmental Results at a Glance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13


Message on Behalf of State Environmental Commissioners. . . . . . . . . . . . . . . . . . . . . . . . . 21


Update on State Enforcement and Compliance Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22


Appendix A. OECA Organizational Chart . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26


Appendix B. Selected FY 2002-FY 2006 Trends. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27


1
Message from the Assistant Administrator


I

am proud to present the fiscal year (FY) 2006 

accomplishments of the U.S. Environmental Protection 

Agency’s (EPA’s) Office of Enforcement and Compliance 

Assurance (OECA). These results demonstrate that we are 

making significant progress in protecting the nation’s 

environment and public health, and achieving lasting 

environmental results. The OECA FY 2006 accomplishments 

rank among the top three years in the Agency’s history. 

Environmental results are apparent through America’s 

cleaner air, purer water and better-protected land. This 

report highlights a variety of areas in which significant 

environmental accomplishments and results were obtained. 

In FY 2006, our noteworthy results included precedent-setting civil and criminal 

enforcement actions addressing serious environmental problems. These results were 

obtained through a combination of strategic national civil and criminal enforcement 

priorities, including targeted compliance assistance, monitoring, and incentives. 

Our priority enforcement activities are responsible for nearly 75 percent of the 890 

million pounds of pollutant reductions achieved, as well as more than 70 percent of 

the $4 billion worth of investments in pollution prevention and control obtained in 

injunctive relief. 

Most of EPA’s enforcement and compliance assistance activities are conducted by 

our regional offices. The regional offices serve as the Agency’s first point of contact 

for the regulated community. The regions are critical in achieving the results we 

highlight. They play a vital role in the enforcement process, from providing compliance assistance and conducting inspections to negotiating settlements or litigating 

cases. The results we report are a direct result of our regional offices’ fine efforts. 

Additionally, our counterparts in the states conduct front-line environmental 

enforcement and compliance activities. In recognition of this fact, and based on 

a strong desire to strengthen and expand our federal-state enforcement relations, 

2 OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE Ð OECA Accomplishments Report 
I extended to the Environmental Council of the States (ECOS)1 an opportunity to


include state accomplishments in this report. I am pleased that they have accepted this


opportunity, and I trust that the information on the states’ efforts, in addition to the


OECA accomplishments we are reporting, will provide a richer and fuller picture of the


significant environmental enforcement activities taking place across our nation.


Criminal enforcement, with its potential for incarceration and fines, represents the


strongest tool in EPA’s enforcement arsenal. The criminal enforcement program has


been strengthened by a strategic focus on cases that have the largest environmental


impact. This focus has maximized our impact in protecting human health and the 


environment. Our message for criminal violators is clear: those who knowingly ignore


our nation’s environmental laws and regulations, whose actions cause or threaten harm


for the sake of profit, will put both their fortune and their liberty at risk.


One of EPA’s most important goals is to achieve environmental justice. Environmental


justice means ensuring the fair treatment and meaningful involvement of all people


regardless of race, color, national origin, or income with respect to the development,


implementation, and enforcement of environmental laws, regulations, and policies. 


This report includes OECA’s environmental justice activities and progress made in 


FY 2006 in this vital area.


The public plays a pivotal role in EPA’s mission. Just as the public relies on EPA to 


protect the air, water, and land, EPA relies on the help and support of the public in 


protecting the environment. Our nation’s environment has improved through the 


commitment and involvement of its citizens. Historically, the broader the public 


participation, the greater the environmental gain.


The Environmental Council of the States (ECOS) is the national non-partisan, nonprofit association of state 

and territorial environmental commissioners. ECOS’ members, environmental commissioners, are responsible at 

the state level for implementation of environmental programs delegated to them under federal statutes by 

EPA. Commissioners also are responsible for implementing state laws, reporting to the governor, and working 

with state legislatures, and are accountable to the public in their state. 

3

1 
Our enforcement toolkit now includes an easy-to-spot badge icon 

on EPA’s home page—marking our site for reporting potential environmental violations. The Report a Violation Web site (www.epa.gov/tips) 

invites you to be a partner in our work by providing an effective venue 

for the public to report suspected environmental violations. 

Further, OECA’s Web site (www.epa.gov/compliance) provides a wealth of information on 

environmental enforcement and compliance assistance. This Web site is a powerful tool 

that enables citizens to partner with EPA in our mutual efforts to be good environmental 

stewards of our air, water and land. 

We continue building a vigorous enforcement program by using all of the enforcement 

and compliance tools available; by developing new, more user-friendly tools; encouraging 

partnerships with states and tribes; integrating environmental justice into the Agency’s 

overall efforts; and engaging the public. I invite you to read this report and join in this 

important effort. 

GRANTA Y. NAKAYAMA 

EPA Assistant Administrator for Enforcement 

and Compliance Assurance 

4 OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE Ð OECA Accomplishments Report 
What We Do 

OECA’s Mission 

OECA’s mission is to improve the environment and protect human health by 


ensuring compliance with environmental requirements, preventing pollution, and


promoting environmental stewardship. The national enforcement and compliance


assurance program is characterized by its multimedia scope and breadth. The national 


program is responsible for maximizing compliance with 10 distinct federal environmental


statutes that address prevention and control of air pollution, water pollution, hazardous


waste, toxic substances, and pesticides. Criminal enforcement’s special agents are fully


authorized law enforcement officers who not only enforce all the federal environmental


statutes but also enforce U.S. Criminal Code (Title 18) violations often associated with 


environmental crimes (e.g., conspiracy, false statements). OECA oversees compliance and


enforcement activities in 28 separate program areas.


Compliance 

Compliance Assistance 

OECA uses a variety of tools to achieve compliance—assistance, incentives, monitoring, and


civil and criminal enforcement. OECA’s compliance assistance program provides detailed


information to hundreds of thousands of regulated entities, helping them understand and


meet their environmental obligations. It is a vibrant, multi-faceted program that delivers


compliance assistance ranging from electronic materials to workshops and onsite visits.


Through partnerships with other compliance assistance providers (e.g., trade associations,


academic institutions, nonprofit organizations, state and local governments) OECA has


enlarged the inventory of resources available to regulated entities, developed specialized


sources of in-depth information, and created forums for exchange of “best practices.” 


In FY 2006 alone, OECA provided compliance assistance to more than 878,000 individuals


and businesses. OECA staff also develops and delivers compliance assistance resources that


are used by other assistance providers. Additionally, each of EPA’s 10 regional offices has


developed compliance assistance, pollution prevention, and innovation resources targeted


toward the compliance needs of its region.


OECA targets areas where environmental regulations are potentially misunderstood.


Compliance assistance resources include virtual Compliance Assistance Centers, comprehen­


sive Web sites, compliance guides and training materials, as well as diverse outreach efforts


aimed at specific business communities or industry sectors. OECA is constantly expanding


5
both the number and scope of these valuable tools in order to reach other areas of 

compliance problems, additional business sectors, and more individuals. These efforts are 

yielding results. In FY 2006, 88 percent of the centers’ regulated entity survey respondents 

reported that they increased their understanding of environmental requirements; 82 percent 

reported that they improved their environmental management practices; and 55 percent 

reported that they reduced, treated or eliminated pollution as a result of center assistance. 

Compliance Monitoring 

OECA monitors activities to ensure that the regulated community is complying with 

environmental laws and regulations. Monitoring is achieved through onsite visits by 

qualified inspectors and by reviewing the information that EPA, a state, or a tribe requires 

the regulated party to submit. A broad spectrum of data is collected, reflecting the diverse 

requirements of the various federal environmental laws. 

Edwin Piñero 

Federal Environmental Executive


About 2004 EPA partnership with federal agencies:


“As the Federal Environmental Executive, my office


and I are very pleased to work with EPA and the


Army Corps of Engineers Construction Engineering


Research Laboratory on FedCenter (www.fedcenter.gov),


the new environmental stewardship and compliance


assistance center designed for U.S. government 


facilities. FedCenter enables federal facilities to pool


expertise and resources, collaborate toward better 


environmental performance and take a leadership role


in environmental stewardship. We look forward 


to continuing our partnership with EPA, the Corps


and other agencies as FedCenter evolves into an 


environmental resource owned, operated and used 


by the entire federal community.”


In FY 2006, OECA conducted more than 23,000 compliance inspections 

and performed more than 352 complex civil investigations under nine 

statutory programs. If inspections reveal evidence of a potential criminal 

violation of environmental law, or if a review of data indicates possible 

fraud, the criminal enforcement program is asked to investigate. The 

criminal program investigated 305 new environmental crime cases in 

FY 2006 and helped successfully prosecute significant cases. 

Compliance Incentives 

EPA uses its compliance incentive policies to promote self-policing, 

improve environmental management practices, and reduce pollution in 

the environment. In exchange for mitigation of civil penalties, EPA’s 

compliance incentive policies—the EPA Audit Policy and Small Business 

Policy—encourage regulated entities to proactively audit their compliance 

status, disclose their violations to EPA, return to compliance, and do 

whatever is necessary to maintain compliance. Self-auditing and selfdisclosure under the Audit Policy help EPA and industry to conserve 

resources by avoiding costly litigation. The Small Business Policy also 

promotes compliance specifically for small businesses (100 or fewer 

employees) by providing incentives for disclosure and correction of 

violations that include elimination of penalties entirely. In FY 2006, 

tailored incentive programs in particular sectors (e.g., colleges/universities 

and healthcare) and corporate-wide auditing agreements improved 

compliance and environmental management. In FY 2006, OECA resolved 

a five-year record number of voluntary disclosures (1,475). 

6 OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE Ð OECA Accomplishments Report 
Enforcement 

A strong commitment to civil and criminal enforcement is vital to our program. OECA and


its partners—the U.S. Department of Justice, states, tribes, and local governments—work


together to ensure that our nation’s environmental laws are followed and achieve 


environmental improvements needed to protect human health and the environment. 


Civil Enforcement 

Civil enforcement actions can be administrative or judicial. Administrative actions are a


form of civil action brought before an Agency decision-maker, rather than a federal court


judge. In judicial actions, EPA is represented by the Department of Justice.


OECA brings administrative and judicial actions that are usually resolved by settlements


which often can require polluters to:


◆ Pay penalties 

◆ Implement, repair, and upgrade pollution control Animal Feeding Operations (AFO) technologies	 Air Compliance Agreement 

◆ Correct compliance problems More than 2,500 animal feeding operations (AFOs) entered 

◆ Clean up waste and/or take action to reduce pollu- into consent agreements with OECA under EPA’s AFO Air 

tion and prevent problems from recurring Compliance Agreement in FY 2006, which covered nearly 

14,000 farms, including swine operations, dairy operations, 

Civil actions can achieve significant health and environ- egg-laying operations, and broiler chicken operations. Under 

mental protections—addressing illegal contamination of these agreements, participating AFOs will take part in a twoair, water, and land by businesses, governments, individ- year, nationwide monitoring study to evaluate air emissions 

uals, and other entities, curing violations and preventing from AFOs, and EPA will use these data to develop a method 

future contamination. for estimating air emissions. Additionally, OECA is settling 

liability for certain potential past and current violations by 

In many settlements, Supplemental Environmental these AFOs. The agreements recover nearly $2.9 million in civil 

Projects (SEPs) are environmentally beneficial actions penalties. Following the completion of the monitoring study 

that a violator agrees to perform as part of an enforce- and the publication of the emission-estimating methodologies, 

ment settlement. SEPs go beyond compliance and pro- participating AFOs will utilize these methodologies to determine 

vide significant additional benefits to public health and applicable regulatory requirements and then must certify 


the environment. In FY 2006, violators in 220 civil compliance with all applicable requirements.


enforcement cases agreed to implement SEPs with a


value of more than $78 million.


7
Mobile Sources 

Mobile source pollutants include smog-forming volatile organic 

compounds and nitrogen oxides, toxic air pollutants such as Superfund Enforcement 

cancer-causing benzene, and particulate matter or “soot” that Cleanup of Superfund sites is paid for either by the parties 

are responsible for asthma and other respiratory illnesses. OECA responsible for contamination or by the Superfund Trust 

enforces the Clean Air Act provisions governing motor vehicles Fund. Under the Superfund law, OECA is able to make those 

and engines, including emissions standards for manufacturers of companies, individuals, or federal agencies responsible for 

new motor vehicles, passenger cars and light trucks, and heavy- contamination at a Superfund site perform and pay for the 

duty motor vehicle engines. The requirements are designed to cleanup work at the site. OECA has a longstanding policy to 

limit harmful emissions from these vehicles. In FY 2006, pursue “enforcement first” throughout the Superfund 

DaimlerChrysler agreed to repair defective emissions controls on cleanup process. This policy helps to conserve the resources 

nearly 1.5 million Jeep and Dodge vehicles from model years of the Superfund for cleanup of those sites where viable 

1996 through 2001 at an estimated cost of $90 million. This responsible parties do not exist. In FY 2006, OECA secured 

action will resolve alleged Clean Air Act violations of failing to private party and federal agency commitments for cleanup 

properly disclose defective catalytic converters. The company and cost recovery that exceeded $555 million. 

also will pay a $2 million civil penalty and spend at least 

$3 million to implement a Supplemental Environmental Project Criminal Enforcement 

to reduce emissions from diesel engines currently in use.	 Criminal enforcement is brought against those who knowingly disregard or are criminally negligent in violating environmental laws. Combining state-of-the art forensic analysis 

and case support, OECA’s Office of Criminal Enforcement, 

Forensics, and Training (OCEFT) investigates violations of federal environmental laws and associated crimes (e.g., mail 

fraud, smuggling, money laundering, conspiracy). 

OCEFT pursues environmental crimes against major national and international corporations, 

as well as small businesses who violate the law. OCEFT works closely with the Department of 

Justice to take appropriate and necessary legal action in federal court to bring polluters into 

compliance with federal environmental laws. Prosecutors can charge individuals, as well as 

the facility and corporation, with environmental crimes. Indictments against culpable corporate executives provide significant deterrence, which is one of the primary goals of criminal 

enforcement. Senior decision-makers for the regulated community will think twice about 

deliberately breaking the law if they understand that they face incarceration, rather than 

only corporate fines, for their criminal conduct. 

The OCEFT Homeland Security Division provides criminal investigative support to other law 

enforcement agencies in response to suspected terrorist incidents involving releases of pollutants to the environment. This support includes laboratory analysis and scientific support 

(e.g., forensic evidence collection at crime scenes involving hazardous materials). 

8 OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE Ð OECA Accomplishments Report 
The National Enforcement Investigations Center (NEIC), OECA’s Forensics Science Division, 

is a state-of-the-art, accredited forensics center. NEIC scientists, engineers, and environmental professionals provide expert support to both EPA’s civil and criminal enforcement 

programs through compliance monitoring and engineering evaluations, forensic laboratory 

analysis, information management, computer forensics, and courtroom testimony. NEIC 

continues to provide scientific forensic support to the enforcement program’s national 

enforcement priorities. 

OECA’s National Priority Activities 

OECA established national priorities for FY 2005—FY 2007 and announced these priorities 

through the National Program Managers Guidance in May 2004. OECA uses several criteria 

to determine whether an activity is appropriate for selection as a national priority. 

◆ Significant Environmental Benefit: Can significant environmental benefits be gained, or 

can risk to human health or the environment be reduced, through focused EPA action? 

◆ Pattern of Noncompliance: Are there identifiable and important patterns 


of noncompliance?


◆ Appropriate EPA Responsibility: Are the environmental and human health risks or the 

patterns of noncompliance sufficient in scope and scale such that EPA is best suited to 

take action? 

In support of EPA’s 2003-2008 Strategic Plan, OECA designated several important problems 

as national priorities for compliance and enforcement activities. In FY 2006, the cumulative 

efforts under the national priorities were responsible for 74 percent of the total air and 

water pollutant reductions and 71 percent of the value of injunctive relief achieved by 

OECA. Performance-based strategies were developed to address the national priority 

problems listed in the following sections. 

Clean Air Act Priorities 

Air Toxics 

Toxic air pollutants are those pollutants that are known or suspected to cause cancer or 

other serious health effects (e.g., reproductive or birth defects) or adverse environmental 

impacts. These pollutants come from a wide variety of sources, including industrial and utility operations, as well as smaller manufacturing and commercial sources. 

9
New Source Review 

Modifying an existing source of emissions to increase production or to extend the life of a 

facility has the potential to increase considerably the amount of pollution emitted from the 

source or facility. The New Source Review/Prevention of Significant Deterioration (NSR/PSD) 

national priority strategy aims to achieve maximum compliance with environmental regulations to protect human health and the environment. 

Petroleum Refining 

Annual air emissions from the petroleum refining sector include volatile organic 

compounds, sulfur dioxide, nitrogen oxide, carbon monoxide, and particulate matter. 

These air pollutants contribute to respiratory illness and heart disease, contribute to 

formation of acid rain, reduce visibility, and can be transported over long distances 

before falling on land or water. 

Wet Weather Priorities 

Concentrated Animal Feeding Operations 

During wet weather events, water flows from concentrated animal feeding operations 

(CAFOs) transport nutrients such as nitrogen and phosphorus, as well as other pollutants 

including bacteria, pesticides, antibiotics, hormones, and trace elements including metals, to 

local waterways. Impacts on ecosystems and human health include contamination of public 

drinking water sources and private well water, recreational and commercial fish kills and 

advisories, and beach closings. 

Combined Sewer Overflows and Sanitary Sewer Overflows 

Combined sewer overflows and sanitary sewer overflows cause environmental problems 

when heavy rainfall or snow melt exceeds the storage capacity of pipes and/or water 

treatment plants, discharging untreated sewage, stormwater, toxic materials, and industrial 

wastewater into rivers, lakes, and oceans. Bacteria, pathogens, nutrients, untreated 

industrial wastes, oil, pesticides, wastewater solids, and debris enter waterways when 

overflows occur, causing human health risks such as diseases that range in severity from 

mild gastroenteritis to life-threatening ailments (e.g., cholera and infectious hepatitis). 

Stormwater 

Stormwater runoff transports water carrying contaminants directly over land into 

waterways from large urban areas, construction sites, and municipal separate storm sewer 

systems and is one of the leading causes of water quality impairment. Typical stormwater 

pollutants that impair waterways include sediment, bacteria, organic nutrients, hydrocarbons, metals, oil, and grease. 

10 OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE Ð OECA Accomplishments Report 
Waste Program Priorities 

Mineral Processing 

The mineral processing and mining sectors generate more wastes that are corrosive or 


contain toxic metals than any other industrial sector. Over the past decade, EPA has found


that many of the facilities that manage these wastes have contaminated ground water, 


surface water, and soil, either through failure to comply with state or federal environmental


requirements or legally permissible waste management practices. Large-scale mineral 


processing and mining operations often severely affect water


supplies and wildlife and create environmental damage. Many


facilities are located in populated areas, making health risks a


significant concern for EPA.


Financial Responsibility 

Financial responsibility provisions in federal law require an


operator of a treatment, storage, or disposal facility to have


adequate funds to address the closure of such a facility. The


funds provide for the ability to manage the hazardous wastes,


hazardous substances, toxic materials, or other pollutants that


these facilities handle so they do not contaminate soil, ground


water, surface water, or the air. Having the financial resources


to perform closure and cleanup are an important part of 


protecting human health and the environment from solvents,


dioxins, oils, heavy metals, polychlorinated biphenyls (PCBs), 


and other dangerous pollutants that contaminate soils, ground Rosa Hilda Ramos


water, surface waters, and sediments. Puerto Rican community activist


Additional Priorities About 1999 EPA settlement with the Puerto Rico 

Tribal Electric Power Authority (PREPA): 

OECA works with federally recognized Indian tribes to address “All of us were sick. We raised our voices and EPA 

significant human health and environmental problems associated Region 2’s Caribbean Environmental Protection 

with drinking water, solid waste, and environmental risks (e.g., Division, and OECA representatives truly addressed 

lead-based paint) in tribal schools through capacity building our concerns. They initiated and completed a process 

that improved communication and formed a strong and compliance monitoring. partnership that changed everything for us. The air 

Environmental Justice is clean now. A $3.4 million Supplemental EnvironEnvironmental justice is the fair treatment and meaningful mental Project to protect a butterfly and bird sanctuary 

is now in process, empowering us to be in charge of our involvement of all people regardless of race, color, national 

own lives. The partnership has grown as to even origin, or income with respect to the development, implementa- include the polluters! It is a unique project.” 

tion, and enforcement of environmental laws, regulations, and 

11
policies. EPA’s goal is to provide an environment where all people enjoy the same degree of 

protection from environmental and health hazards and equal access to the decision-making 

process to maintain a healthy environment in which to live, learn, and work. 

The Office of Environmental Justice (OEJ) coordinates the Agency’s efforts to integrate 

environmental justice into all policies, programs, and activities. EPA’s environmental justice 

mandate extends to all of the Agency’s work, including setting standards, permitting 

facilities, awarding grants, issuing licenses and regulations, and reviewing proposed 

actions by the federal agencies. OEJ works with all stakeholders to constructively and 

collaboratively address environmental and public health issues and concerns. OEJ also 

provides informational, technical, and financial resources to assist and enable the Agency 

to meet its environmental justice goals and objectives. 

Engaging the Public 

OECA enlists the public’s help in identifying potential civil and criminal environmental 

violations in their communities and workplaces. Public reporting has led to state and federal 

enforcement cases and ultimately serves environmental protection well. 

In January 2006, OECA unveiled the National Report a Violation Web site at 

www.epa.gov/tips for the public to report possible environmental infractions. A highly 

visible enforcement badge on EPA’s home page invites the public to access OECA’s tips 

and complaints form online. With more than one million people visiting EPA’s home page 

monthly, OECA significantly increased the public’s opportunity to protect human health and 

the environment. The number of tips and complaint submissions more than doubled since 

the Web site’s inception in January 2006. 

In striving to reach a broader audience, the Web site includes both an English and Spanish 

Reporting Environmental Violations Form. OECA also developed a brochure in English and 

Spanish (Reporting Environmental Violations and Denunciando Violaciones Ambientales) 

to educate the public about the Web site and potential environmental infractions. 

12 OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE Ð OECA Accomplishments Report 
Fiscal Year 2006 

Environmental Results at a Glance 

OECA Continues a Strong Five-Year Record 

of Substantial Pollution Reductions 

I

n FY 2006, OECA obtained commitments from industry, governments, and other 

regulated entities to reduce pollution by nearly 900 million pounds. Regulated entities 

will invest a total of $4.9 billion to install pollution controls, reduce pollution, and 

achieve compliance with environmental laws. This reflects a sustained five-year record of 

pollution reductions totaling almost four billion pounds, and investments of almost 

$27 billion in pollution control equipment and other actions to reduce pollution. 

Pounds of Pollutants Reduced Investments in Pollution Control 

(millions) ($ billions) 

FY 2006 Data Source: Integrated Compliance Information System (ICIS), October 28, 2006; FY 2002 to FY 2005 Data Source: Annual ICIS data. 

Disclaimer: Minor corrections may have been made to previous years’ data. 

13
Civil Enforcement Activity Increases 

In FY 2006, OECA’s civil enforcement and cleanup enforcement programs concluded a total 

of 173 judicial cases and 4,624 final administrative penalty order settlements, a significant 

increase from FY 2005, and resolved self-disclosed violations for 1,475 facilities. OECA 

referred 286 civil cases to the U.S. Department of Justice, the highest total in five years. 

EPA Civil Judicial Case Conclusions EPA Civil Judicial Referrals to DOJ 

FY 2006 Data Source: Integrated Compliance Information System (ICIS), October 28, 2006; FY 2002 to FY2005 Data Source: Annual ICIS data. 

Disclaimer: Minor corrections may have been made to previous years’ data. 

Enforcement Focus on National Air and Water 

Pollution Priorities Produces Significant 

Environmental Results 

During FY 2006, OECA continued to focus on key air and water pollution problems that 

were identified as national enforcement priorities for FY 2005-FY 2007, including overflows 

from combined and sanitary sewer systems (CSOs and SSOs), contaminated stormwater 

runoff, water contamination from concentrated animal feeding operations (CAFOs), refinery 

air emissions, toxic air pollutants, and excessive air emissions from sources that failed to 

comply with the Clean Air Act’s New Source Review and Prevention of Significant 

Deterioration (NSR/PSD) requirements. This focus has produced significant results in 

environmental and public health benefits. Overall, 74 percent of the total pollution 

reductions and 71 percent of the total pollution prevention and control investments 

obtained by the civil enforcement program in FY 2006 were in national priority areas. 

14 OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE Ð OECA Accomplishments Report 
FY 2006 Civil Enforcement Results From Priority National Initiatives 


To Reduce Air and Water Pollution


Priority Pollution Reduced 

(pounds) 

Investment in Pollution 

Control 

Civil Penalties 

CAFO 12,197,786 $9,706,449 $400,750 

CSO/SSO 26,291,797 $928,795,370 $1,834,512 

Stormwater 194,807,116 $149,813,726 $6,574,958 

Total Wet Weather 233,296,699 $1,088,315,545 $8,810,220 

NSR/PSD 134,616,000 $310,100,000 $525,000 

Toxic Air Pollutants 356,945 $1,315,442 $1,214,768 

Refining 292,054,000 $2,073,221,396 $14,161,163 

Total Air 427,026,945 $2,384,636,838 $15,900,931 

Total 660,323,644 $3,472,952,383 $24,711,151 

FY 2006 Data Source: Integrated Compliance Information System (ICIS), October 28, 2006. 

Civil Air Enforcement Protects Public Health 

OECA actions to enforce Clean Air Act requirements in FY 2006 resulted in a total of more 

than 583 million pounds of pollutants reduced. This reduction will have substantial benefits 

for public health. The top 11 air enforcement actions alone will result in annual reductions 

of harmful air emissions of sulfur dioxide (SO2) and nitrogen oxides (NOx

) totaling 379 

million pounds and 92 million pounds, respectively. When the consent decrees entered in 

FY 2006 are fully implemented (e.g., all required pollution controls are installed and in 

operation), the annual human health benefits from these air emission reductions are valued 

at $3.5 billion. The health benefits include reducing premature deaths among people with 

heart or lung disease, preventing hundreds of cases of bronchitis and nonfatal heart attacks, 

as well as preventing thousands of cases of respiratory ailments, including aggravated 

asthma. The most significant air pollution reductions from enforcement actions concluded 

in FY 2006 resulted from OECA’s work in national priority areas. 

15
FY 2006 Results From Air Priority Initiatives 

16

Priority Pollutants Reduced (pounds) Investments in Pollution 

Control 

NSR/PSD 135 million $310 million 

New source review/prevention of significant deterioration requirements of the Clean Air Act 

requires industrial facilities to obtain permits for plant modifications that increase air pollution 

emissions. 

Toxic Air Pollutants 0.4 million $1 million 

Toxic air pollutants are known or suspected to cause cancer or other serious health effects such as 

reproductive or birth defects, or adverse environmental impacts. 

Petroleum Refining 292 million $2,073 million 

Air emissions from petroleum refineries such as volatile organic compounds, sulfur dioxide, nitrogen oxide, carbon monoxide and particulate matter contribute to respiratory illness and heart disease and can travel long distances before falling on land and water. 

Total 427.4 million $2,384 million 

FY 2006 Data Source: Integrated Compliance Information System (ICIS), October 28, 2006. 

OECA’s multi-year focus (FY 2005-FY 2007) on reducing pollution from petroleum refineries 

resulted in a total of 85 refineries (representing 77 percent of domestic refining capacity) 

being subject to enforceable orders and consent decrees requiring substantial pollution 

reductions. Negotiations are ongoing with refiners representing an additional 11 percent 

of capacity. 

Civil Water Enforcement Reduces Discharges and 

Improves Sewer Systems 

OECA’s actions to enforce Clean Water Act requirements in FY 2006 resulted in more than 

283 million pounds of pollutants reduced. Most of these reductions are the result of EPA’s 

national priority efforts to control overflows from CSOs and SSOs and contamination caused 

by surface runoff from stormwater and CAFOs. Water pollution from these sources, including sediment, bacteria, raw sewage, untreated industrial wastes, and animal wastes, will be 

reduced by more than 230 million pounds as a result of enforcement actions concluded in 

FY 2006. 

One of the most critical water enforcement priorities on which OECA focused is the 

reduction of overflows and discharges of untreated sewage from CSOs and SSOs into the 

nation’s waters. Working in partnership with states, OECA concluded major settlements with 

OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE Ð OECA Accomplishments Report 
dozens of the nation’s cities to bring critical sewer systems back into compliance. 

The settlements require comprehensive plans to improve the maintenance and operation 

of systems to reduce overflows, and long-term capital construction projects to expand 

treatment capacity to ensure that sewage is properly treated before being discharged. 

The settlements concluded in FY 2006 will reduce overflows of untreated or inadequately 

treated sewage by 26 million pounds, with an estimated investment of $930 million in 

sewer system upgrades and improvements. 

FY 2006 Results From Water Priority Initiatives 

Priority Pollutants Reduced (pounds) Investments in Pollution 

Control 

Stormwater 195 million $150 million 

Stormwater runoff from large urban areas transports contaminants directly over land and into 

waterways. 

CAFO 12 million $10 million 

Water discharges and runoff from concentrated animal feedlots (during wet weather events), 

transport nutrients, bacteria, pesticides, antibiotics and hormones to local waterways. 

CSO/SSO 26 million $930 million 

Combined sewer overflows and sanitary sewer overflows discharge untreated sewage, industrial 

wastewater, and other pollutants into rivers, lakes, and oceans when wet weather events exceed 

the storage capacity of pipes and treatment plants. 

Total 233 million $1,090 million 

FY 2006 Data Source: Integrated Compliance Information System (ICIS), October 28, 2006. 

Toxic Substances Control Act (TSCA) 

Civil Enforcement Results in Largest 

Administrative Penalty 

In FY 2006, OECA reached a significant settlement with DuPont, a large chemical 

manufacturing company, for TSCA violations. The administrative enforcement action 

against DuPont for failing to report substantial risk information about the synthetic 

chemical perfluorooctanoic acid (PFOA) resulted in a settlement under which DuPont 

agreed to pay a $10.25 million penalty, the largest civil administrative penalty EPA has 

ever obtained under any federal environmental statute. The TSCA settlement includes 

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two Supplemental Environmental Projects valued at $6.25 million that are expected to 

result in the disclosure of previously unreported information that will help the scientific 

community better understand the presence of toxic substances in the environment and 

potential risks they pose to the public. 

Criminal Enforcement Focuses on 

High Impact Cases 

During FY 2006, OECA’s Criminal Enforcement Program increased its number of national 

enforcement priority investigations almost five-fold by opening 24 cases (up from five last 

year) in six national priority areas. OECA participated in the successful prosecution of 

several high-impact cases that secured large sentences, enhanced deterrence, and reduced 

environmental pollution. Following the longest environmental crimes trial (seven months) 

since the criminal environmental enforcement program was established in 1982, the 

Atlantic States Cast Iron Pipe Company and four individual defendants were found guilty 

of numerous violations. Sentencing is scheduled for later in 2007. As a result of all of the 

criminal sanctions assessed in FY 2006, defendants will serve a total of 154 years in jail 

and pay almost $43 million in fines, as well as an additional $29 million in environmental 

projects imposed as part of the sentences. 

FY 2006 Criminal Enforcement Program Results 

Environmental crime cases initiated 305 

Defendants charged 278 

Sentences (years) 154 

Fines and restitution $43,000,000 

Judicially mandated projects (cost in dollars) $29,000,000 

Pollutant reductions (pounds) 17,000,000 

FY 2006 Data Source: Integrated Compliance Information System (ICIS), October 28, 2006. 

Superfund Enforcement Gets Sites Cleaned Up 

As a result of OECA’s Superfund enforcement actions in FY 2006, parties responsible for 

hazardous waste pollution at Superfund sites will pay $391 million to study and clean up 

contamination, including 15 million cubic yards of contaminated soil and approximately 1.3 

billion cubic yards of contaminated ground water. In addition, potentially responsible parties 

agreed to pay $164 million to reimburse EPA’s past expenditures at Superfund sites, 

allowing additional sites to be cleaned up. OECA continues to follow an "enforcement first" 

strategy to preserve Superfund funds for sites where there are no viable responsible parties. 

OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE Ð OECA Accomplishments Report 
Federal Facilities Enforcement 

In FY 2006, EPA’s Federal Facility Enforcement Office (FFEO) Superfund enforcement efforts


resulted in federal agency commitments to clean up more than 850 million cubic yards of


soil, sediment, and water at facilities they operate. Federal agencies also committed to 


significant improvements in environmental compliance, preventive measures or management


improvements at their facilities. The total cost of direct environmental benefits and 


corrective action that the federal agencies committed to is more than $125 million. Federal


facilities also will pay close to $400,000 in penalties as a result of enforcement actions


taken this year.


NEPA Review and Tracking of 

International Shipments 

FY 2006 was the sixth year in which OECA’s Office of Federal Activities (OFA) collected data on


the effectiveness of EPA’s reviews of other agencies’ environmental impact statements (EISs)


required under the National Environmental Policy Act (NEPA). The data continue to show that


EPA’s review is helping agencies identify mitigation measures that can avoid or minimize the


potential adverse environmental impacts of their proposed projects. For FY 2006, agencies


agreed to mitigate 70.7 percent of the significant environmental impacts identified by EPA in


its review of their draft EISs, meeting and exceeding our goal of 70 percent.


In FY 2006, OFA reviewed and processed 972 hazardous waste notices and 9,024 waste


streams for imports and exports of hazardous waste. These actions ensured environmentally


sound management of both hazardous wastes entering the United Sates and U.S.-generated


hazardous wastes destined for foreign countries. For example, OECA’s objection to a notifi­


cation of intent to import hazardous waste prevented the importation of 20,000 liters of


hazardous waste to a U.S. facility that could not properly manage it.


OECA Strengthens Commitment to 

Environmental Justice 

In FY 2006, EPA Administrator Stephen L. Johnson reaffirmed the Agency’s commitment to


environmental justice by directing Agency staff to establish measurable outcomes that


address the eight national environmental justice priorities. The priorities are:


◆ Reducing asthma attacks 

◆ Reducing toxic air pollutants 

◆ Reducing blood lead levels 

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◆ Ensuring that companies meet environmental laws 

◆ Ensuring that fish and shellfish are safe to eat 

◆ Ensuring that water is safe to drink 

◆ Revitalizing brownfields and contaminated soils 

◆ Collaborative problem solving 

EPA renewed the charter of the National Environmental Justice Advisory Council, the federal 

advisory committee that provides the Administrator with advice and recommendations on 

broad environmental and/or public health policy issues. In FY 2006, OECA developed an 

Environmental Justice Action Plan and identified opportunities to integrate environmental 

justice considerations into day-to-day operations. OECA is developing the Environmental 

Justice Smart Enforcement Assessment Tool (EJSEAT) for use in OECA’s enforcement and 

compliance programs. The EJSEAT desktop tool (available to OECA staff in 2007) will assist 

OECA in focusing on communities with the greatest need. 

Coal Fired-Electric Utilities 

Since 1999, EPA and the Department of Justice have filed a number of 

lawsuits against coal-fired electric utilities alleging that these companies 

made major modifications to their plants without installing equipment to 

control pollution that causes smog, acid rain and soot and that contributes 

to severe respiratory problems and childhood asthma under the New Source 

Review provisions of the Clean Air Act. 

OECA litigated and resolved several of these lawsuits and negotiated 

settlements with 11 companies: Tampa Electric Company; PSEG Fossil; 

Southern Indiana Gas and Electric Company; Virginia Electric Power 

Company; Alcoa; Wisconsin Electric Power Company; Santee Cooper; Illinois 

Power and Dynegy Midwest Generation; Ohio Edison; Alabama Power 

Company James H. Miller, Jr. Plant; and Minnkota Power Cooperative 

and Square Butte Electric Cooperative. These settlements will result in the 

removal of approximately one million tons of pollution from the air annually 

and an expenditure of about $5.8 billion to install state-of-the-art air 

pollution controls. 

20 OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE Ð OECA Accomplishments Report 
Message on Behalf of State

Environmental Commissioners 

On behalf of the states, the Environmental Council of the States (ECOS) is pleased 

to present information on the states’ efforts to enforce and ensure compliance 

with the nation’s environmental laws for the EPA OECA FY 2006 Accomplishments 

Report. The states work closely with EPA across the country to ensure better protection for 

human health and the environment, and we look forward to continuing our strong partnership for years to come. 

ECOS and EPA are helping the public to understand the role of the states in ensuring 

compliance with environmental laws. This report offers the chance to both clarify our role 

for the public and present some of the recent accomplishments from state efforts. A little 

known fact about state efforts is that the states collect about 94 percent of the environmental quality data that reside in EPA databases. Most of these data are generated from 

state issued permits and state air, water, and waste monitoring programs. In addition, the 

states make extensive use of voluntary programs, economic incentives, and information dissemination through compliance assistance programs, to prevent pollution before it occurs. 

This is the first time information documenting the role of the states’ enforcement and 

compliance activities has been included in the OECA Accomplishments Report, in part 

because it is difficult to collect, summarize, and analyze data for all 50 states. The information that we present is drawn from 1995-2003 survey data from the June 2006 ECOS report 

entitled State Environmental Agency Contributions to Enforcement and Compliance: 2000­

2003 and its predecessor (April 2001) of the same title. We are working hard with EPA to 

meet the challenges of comprehensive and better reporting on behalf of the states and hope 

to be able to present more recent information in future reports. 

Enforcement and compliance programs are an integral part of state programs designed to 

protect human health and the environment. We encourage you to contact state agencies to 

learn more about what the states and local governments do and to learn more about what you 

can do as a citizen and individual to ensure a safe and healthy environment for the future. 

ROBERT W. KING, JR. 

President, Environmental Council of the States 

Deputy Commissioner, South Carolina Department of Health and Environmental Control 

21
Update on State Enforcement 

and Compliance Results 

Background 

The state programs play a significant role in ensuring compliance with environmental 

laws. Programs that carry out requirements of the major national environmental 

laws can be authorized or delegated to the states. To be authorized or delegated to 

implement a federal program, a state must demonstrate the capacity to administer all 

aspects of the program—one of the most important being the capacity to enforce the law. 

Federal law establishes national standards of compliance. The states are permitted, and 

often do, pass laws with requirements more stringent than federal standards. 

With authorization or delegation, the states are integral partners in the nation’s environmental protection system. State agencies write rules, set standards, issue permits, conduct 

monitoring, provide information to the regulated community and the public, assess environmental quality, provide compliance assistance, conduct inspections, and take enforcement 

actions leading to even greater overall protection of the environment. 

In carrying out these activities, the states collect about 94 percent of the environmental 

quality data retained in each of six major EPA national data systems. State enforcement 

Total Penalties Collected by States 1995—2003 programs are robust and contribute substantially to 

protecting the nation’s environment. ($ millions) 

The states also believe it is important to ensure that 

the regulated community achieves and sustains compliance. The states have made substantial investments 

in non-traditional enforcement and compliance tools 

and technical assistance to provide clear and consistent information to industry. Many state compliance 

assistance programs are designed to prevent pollution 

before it occurs. 

Data Source: June 2006 ECOS Report, State Environmental Agency Contributions to 

Enforcement and Compliance: 2000-2003 – Table 3-7. 

OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE Ð OECA Accomplishments Report 22
State Enforcement 

The states, like EPA, employ a broad range of tools in their enforcement programs, including 

the assessment and collection of fines and penalties. For the period 2000-2003, both the 

number of states utilizing enforcement mechanisms and the number of programs using 

these tools increased. The greatest increases include 203 percent for field citations and 

178 percent for stipulated penalties. Between 1995 and 2003, states increased the total 

penalties assessed by 49 percent. The penalties totaled more than $892 million. 

State Use of Supplemental Environmental Projects 

In negotiating penalties in enforcement cases, 49 states have the ability to mitigate a 

portion of the penalty in exchange for Supplemental Environmental Projects (SEPs). SEPs not 

only provide tangible improvements where a violation has occurred, but they frequently 

engage community stakeholders and address environmental justice concerns. For example, 

SEPs can provide diagnostic, preventative, and/or remedial health care for members of an 

exposed community; clean up and restore contaminated buildings and sites; or restore 

damaged stream banks and wetlands. 

In the period 2000-2003, state respondents agreed to perform SEPs totaling $96.2 million 

and were assessed $62.3 million in penalties. From 1995-2003, states secured 

$171.3 million in SEPs under enforcement settlements. 

State Compliance Assistance Programs 

The states deliver compliance assistance either directly from the state agencies, or through 

third parties such as contractors or grantees. The information provided to the regulated 

community and others is designed to help find cost-effective ways to improve environmental 

performance, including the use of pollution prevention and improved or innovative management practices or technology. The respondents to the 2001-2003 survey reported: 

◆ Extensive use of workbooks, onsite visits, Web sites, educational seminars, and permit 

assistance. 

◆ 56 percent now accept electronic permit applications in more than one program and 

28 percent issue one or more program permits electronically. 

◆ 46 percent include reporting pollution prevention results. 

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Additional State Compliance Assistance Facts 

◆ 91 percent of state survey respondents have compliance assistance programs. 

◆ 30 percent have compliance assistance programs in all applicable delegated programs. 

◆ 90 percent use compliance assistance programs to address facilities and/or industry sectors that core program targets do not address (e.g., minor sources, pollution prevention). 

◆ 77 percent of respondents are supporting compliance assistance activities with grants, 

loans, and tax incentives, or some combination of the same.2 

State Compliance Monitoring 

The number of regulated facilities that require state agency oversight is quite large. In 

2003, the states reported more than 3 million regulated facilities, an increase of 46 percent 

from 1999. Between 2000 and 2003, the total number of regulated facilities increased from 

326,960 to 439,941 in all five major environmental programs—air, drinking water, surface 

and ground water, hazardous waste, and solid waste. 

For the same period and for the same program areas, the overall number of compliance 

inspections increased by 19 percent, from 114,295 to 135,644. The number of inspections 

for solid waste facilities more than doubled. In addition, the number of reviews of sampling 

and testing records submitted by facilities increased from 400,914 to 522,495. 

Regulated Facility Sites for Major Programs – 2000 to 2003 

Program States 

Reported 2000 2001 2002 2003 

Air 26 80,858 90,021 96,459 118,665 

Drinking Water 21 66,453 66,841 68,181 78,742 

Surface and Ground Water 21 38,329 40,724 44,239 58,803 

Hazardous Waste 21 135,885 138,873 141,131 165,415 

Solid Waste 13 5,435 5,286 6,903 18,316 

Total 102 326,960 341,745 356,913 440,420 

Data Source: June 2006 ECOS Report, State Environmental Agency Contributions to Enforcement and Compliance: 2000-2003 – Table 2-2. 

2	 39 of the 42 states responded to the compliance assistance portion of the survey for 2000-2003. The definition and scope of compliance assistance can vary between the states and EPA. 

24 OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE Ð OECA Accomplishments Report 
Compliance Inspections for Major Programs – 2000 to 2003 

Program States 

Reported 2000 2001 2002 2003 

Air 26 34,870 33,768 31,780 31,441 

Drinking Water 21 36,915 36,524 46,415 50,735 

Surface and Ground Water 21 29,192 36,342 37,558 35,619 

Hazardous Waste 21 9,206 9,812 10,160 9,099 

Solid Waste 13 4,112 5,443 9,583 8,750 

Total 102 114,295 121,889 135,496 135,644 

Data Source: June 2006 ECOS Report, State Environmental Agency Contributions to Enforcement and Compliance: 2000-2003 – Table 2-4. 

Offsite Record Reviews for Major Programs – 2000 to 2003 

Program States 

Reported 2000 2001 2002 2003 

Air 26 32,235 51,943 48,959 64,279 

Drinking Water 21 241,172 220,787 348,040 294,294 

Surface and Ground Water 21 121,289 135,328 148,445 154,165 

Hazardous Waste 21 3,896 3,658 6,578 6,384 

Solid Waste 13 322 936 1,169 1,370 

Total 102 400,914 414,653 555,193 522,495 

Data Source: June 2006 ECOS Report, State Environmental Agency Contributions to Enforcement and Compliance: 2000-2003 – Table 2-6. 

25
Appendices 

A. OECA Organizational Chart 

26 OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE Ð OECA Accomplishments Report 
B. Selected FY 2002-FY 2006 Trends

Entities Reached with EPA Compliance Assistance 

FY 2006 Data Sources: Integrated Compliance Information System (ICIS), October 28, 2006 and online usage report; data source for


previous fiscal years: annual ICIS data and online usage reports.


Disclaimer: Minor corrections may have been made to previous years’ data.


Compliance Monitoring Number of Inspections/Evaluations Conducted by EPA 

FY 2006 Data Sources: Integrated Compliance Information System (ICIS), October 28, 2006 and online usage report; data source for


previous fiscal years: annual ICIS data and online usage reports.


Disclaimer: Minor corrections may have been made to previous years’ data.


27
EPA Referrals of Civil Judicial Enforcement Cases to Department of Justice 


Total and by Statute


FY 2006 Data Source: Integrated Compliance Information System (ICIS), October 28, 2006; data source for previous fiscal years: annual


ICIS data.


Disclaimer: Minor corrections may have been made to previous years’ data.


EPA Civil Judicial Enforcement Case Conclusions 

Total and by Statute 

FY 2006 Data Source: Integrated Compliance Information System (ICIS), October 28, 2006; data source for previous fiscal years: annual


ICIS data.


Disclaimer: Minor corrections may have been made to previous years’ data.


28 OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE Ð OECA Accomplishments Report 
Help Us Protect the Environment 

Report Environmental Violations at: 

www.epa.gov/tips 

I

t is EPA’s mission to protect human health and the natural environment—the air, land 

and water on which life depends. As citizens, each of us can help protect the environment by reporting suspected environmental violations in our communities to 

the proper authorities. We want to make this as easy as possible on our Web site. 

Press the badge on our enforcement and compliance assurance home page to report 

a suspected environmental violation in your community. 

Many of our enforcement actions originate from information provided by citizens. Not all 

are violations of federal law, but we work closely with state, local and tribal authorities to 

protect the environment. If we are unable to address your problem at the federal level, 

we will pass the information along to a state or local authority. 

Know the signs of environmental trouble: 

◆ Strong, offensive, or unusual chemical odors 

◆ Large numbers of dead animals, including birds or fish 

◆ Pipes or valves that bypass waste water treatment systems 

◆ Tank trucks discharging into drains, manholes or surface waters 

◆ Oily slicks on bodies of water 

◆ Corroded, leaking waste containers 

◆ Barrels dumped at odd hours or in out-of-the-way places 

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