advanced environmental crimes training program m3
DESCRIPTION
Reviews significant aspects of the Clean Water Act and Resource Conservation and Recovery Act and its associated criminal provisions.TRANSCRIPT
MODULE THREE
The Majors
Resource Conservation and Recovery Act
Clean Water Act1
Protect human health and environment
from improper waste disposal
Conserve energy and natural resources
through recycling and recovery
Reduce the amount of waste generated
Ensure wastes are properly managed
RCRA (42USC §6901)Congressional Intent
2
RCRA: Our Comprehensive national
waste management program
3
The Solid Waste Disposal Act of 1965 and its Amendments
4
Cradle to grave
Active facilities
Generate
hazardous waste
5
RCRA at Federal Facilities
Public
Vessel Exempt
ion
transferred or offloaded to a shore facility
Military Munitions Rule
Applies to ‘unserviceable munitions’
Regulators a
re em
powered t
o use
enforcem
ent tools against
federal facilities
Federal Employee Protection
and Exposure
Protects employees from personal liabilities yet are subject to all laws
6
Divided into 10 subtitles A-J
Solid Waste (Subtitle D)Hazardous Waste (Subtitle C)
Underground storage tanks (Subtitle I)
RCRA Im
plementation
RCRA is not a self-implementing statuteExtensive regulation
40 CFR 261-299
7
RCRA may apply if...generate, transport,
store, treat and/or
dispose of...
...solid, special and/or
hazardous wastes
8
RCRA
Sub
title C
Identification
Management
Corrective Action9
Waste Management Topic 40 CFR
Definitions, Petitions, and Variances Part 260
Waste Identification Part 261
Generator Standards Part 262
Transporter Standards Part 263
TSDF Standards Part 264 (permitting)Part 265 (interim status)
Specific Waste and Facility Standards Part 266
LDRs Part 268
Permit Program Part 270 and 124
State Programs/Authorization Part 271
Universal Waste Standards Part 273
Used Oil Standards Part 27910
RCRA hazardous waste requirements will change based
on activities
11
Generators
Identify hazardous wasteslisted or characteristic
Contain, store, label properly
Obtain generator EPA ID#
Prepare manifests
12
Transp
orters
Obtain EPA and State ID
Secure and store properly
Hazardous Waste Manifest*
DOT 49CFR
13
TSDFPerformance Standards
Permitting
14
Interim status prior to permitting
Delegates RCRA program to states*
(Alaska & Iowa)
Authorizes site inspections & enforcement
Groundwater monitoring
Air emission controls
Corrective actions
Land disposal prohibition*
*for untreated HW
Performance StandardsPermitting
15
RCRA Investigations:
Is there a RCRA defined
Hazardous Waste?
Investigators must understand
RCRA regulatory universe
16
Initial RCRA Investigation
What is it?
How was it produced?
How will it be managed?
Lookout for: spent material, sludge, reuse, reclaim &
commercial chemical product17
Hazardous Waste Determination Basics
Step 1: Is material excluded from solid waste definition?
Step 2: Is the material a solid waste?Step 3: Is the solid
waste excluded from hazardous waste definition?
Step 4: Is the solid waste actually a hazardous waste?
18
Step 1: Is material excluded from solid waste definition?
Exclusions from definition
of solid waste
40 CFR 261.4(a)19
Domestic sewage
CWA Industrial wastewater
Irrigation return flows
Special nuclear material
In situ mining wastes...
Excluded Solid Waste
20
Hazardous Waste Determination Basics
Step 1: Is material excluded from solid waste definition?
Step 2: Is the material a solid waste?Step 3: Is the solid
waste excluded from hazardous waste definition?
Step 4: Is the solid waste actually a hazardous waste?
21
Step 2: Is the material a solid waste?
Definition of solid waste
40 CFR 261.222
Materials, not excluded from the definition
of solid waste or by a variance granted by EPA or an authorized state program, are solid
wastes if they are discarded.
40 CFR 261.2solid waste is discarded materials
23
Discarded material
Abandoned: includes materials that are
disposed of, burned or incinerated, or accumulated, stored or treated prior to or in lieu of abandonment:(40CFR 261.2(b))
24
Disposed of
Burned or incinerated
Accumulated, stored, or treated (but not recycled) before or in lieu of being
abandoned by being disposed of, burned, or incinerated
40CFR 261.2(b)Materials are solid waste if they are abandoned by being:
25
Discarded material
Military Munitions: 40CFR 266.202
Considered inherently waste like
(determined by EPA): 40CFR 261.2(d)
Recycled in certain ways: 40CFR 261.2(c)
26
Solid Waste Definition: 2008 Revisions
Excludes hazardous secondary materials that are
legitimately reclaimed under the control of the generator
Clarifies legitimate recycling versus sham recycling
and requires that a generator make reasonable
effort to determine legitimacy of a recycler
27
Hazardous Waste Determination Basics
Step 1: Is material excluded from solid waste definition?
Step 2: Is the material a solid waste?Step 3: Is the solid
waste excluded from hazardous waste definition?
Step 4: Is the solid waste actually a hazardous waste?
28
Step 3: Is the solid waste excluded from hazardous waste definition?
Exclusions from definition of hazardous waste
40 CFR 261.4(b)
29
A list of solid wastes excluded from RCRA regulations is set forth in 40 CFR261.4(b)
Congress and EPA have excluded
certain wastes as hazardous wastes
30
Household wasteAgricultural wastes that will be returned as fertilizer
Mining overburden returned to mineUtility wastes from coal combustion
Oil and natural gas explorationCertain tannery wastes that may fail the toxicity characteristic for
chromium, but contains exclusively trivalent chromium Wastes from ore processing (the mining waste exclusion)
Cement kiln dust wasteCertain arsenical-treated woods
Certain petroleum-contaminated media with toxicity characteristicInjected ground water that exhibits the RCRA toxicity characteristic at
certain hydrocarbon recovery operationsUsed chlorofluorocarbon (CFC) refrigerants that have been reclaimed
Empty used oil filtersCertain chromium bearing wastes
Leachate or condensed gas condensate collected from certain landfills
31
Hazardous Waste Determination Basics
Step 1: Is material excluded from solid waste definition?
Step 2: Is the material a solid waste?Step 3: Is the solid
waste excluded from hazardous waste definition?
Step 4: Is the solid waste actually a hazardous waste?
32
Definition of hazardous waste
40 CFR 261.3Characteristics of hazardous waste
261.20-261.24Lists of hazardous wastes
261.30-261.22
Step 4: Is the solid waste actually a hazardous waste?
33
Listed hazardous waste
Characteristic hazardous waste
Mixture rule: Mixture of solid waste & listed haz-waste
Derived-from rule: Derived from treatment, storage, or disposal of other hazardous waste
40 CFR261.3Definition of hazardous waste
includes solid waste that exists as
34
Listed Hazardous Waste
F-Listed Wastes
from non-specific sources: 40 CFR261.31
K-Listed Wastes
from specific sources: 40 CFR261.32
U & P-Listed Wastes
are discarded commercial chemical products: 40 CFR261.33
NOTE: P-Listed are acutely hazardous wastes
35
Listed Hazardous Waste
Listed v. Characteristichazardous wastes
Basis for listing wastes
Acutely hazardous wastes
36
Characteristic Hazardous
Waste
Key RCRA investigative activity
37
ignitable liquids using flash point specific
EPA-approved method
oxidizers as defined in 49 CFR 173.115(a)
ignitable compressed gas as defined in 49 CFR 173.127
ignitable solids is described as the following:
“It is not a liquid and is capable, under standard temperature and pressure, of causing fire through friction, absorption of moisture or spontaneous chemical changes and,
when ignited, burns so vigorously and persistently that it creates a hazard.”
D001 Ignitibility: 40 CFR261.21
38
Corrodes steel at certain rate & conditions
D002 Corrosivity: 40 CFR261.22
pH ≥12.5pH≤2
39
Extremely unstable substances -or-
Tendency to react or explode during mgmt.
Narrative definition established by EPA
D003 Reactivity: 40 CFR261.23
40
Toxicity Characteristic Leaching Procedure D004-D043
40 CFR261.24
6 insecticides/herbicides
Identifies wastes that leach hazardous
concentrations of specific toxics
Extracts toxics from wastes similar to landfill leaching action
25 organics8 inorganics
39 TCLP/D-listed waste codes41
Other Hazardous
Waste Provisions
Mixture Rule
Contained-In Principle
Derived from Rule
42
Mixture doesn’t have hazardous
characteristics
Discharges subject to CWA
Mixture contains discarded commercial
chemicals products from de minimis
losses during manufacture
Mixture Rule Exemptions
43
Soil, ground & surface water debris
that is contaminated with hazardous
waste (listed or characteristic)
Contained-in Principle
44
If derived from listed waste,
considered hazardous until de-listed
If derived from characteristic, only
hazardous if characteristic is exhibited
‘Derived from’ Rule Exemptions
45
Universal Hazardous Wastes Alternative Regulatory program 40 CFR273
Batteries
not to include lead-acid batteries covered by 40 CFR266
Pesticides
includes cancelled, unused, or suspended pesticides
Lamps
including fluorescent, mercury vapor, neon, high intensity discharge, high pressure sodium, and metal halide
Mercury-containing equipment
46
Does RCRA
APPLY?
Used oil located in tanksPipe insulation containing friable asbestos
Decontaminated tank shellsSeveral drums containing used solvents
Several drums of paint thinnerA plastic drum containing a mixture of alkaline and
rechargeable batteries (Ni-Cad)Pipe racks contaminated with BTEX & PCBs (>50ppm)
Drums containing used paint spray cans
47
RCRA Regulated Entities
TSD-Fs
Generators Transporters
48
Generator Requirements
RCRA related records retained for
minimum 3 years
EPA ID Number
O Bulking/storage requirements on-site
Initiate Hazardous Waste Manifest with
Hazardous Waste Identification
DoT requirements
Manifest signatories
49
Generator Quantity RegulationOn-Site
Accumulation Times
On-Site Quantity Limit
Large Quantity Generator
(LGQ)
≥ 1,000 kg/month(approx. 2200 lbs.)
> 1 kg/month acute(approx. 2.2 lbs.)
> 100 kg residue or contaminated soil from
cleanup of acute hazardous waste spill
All part 262 reqs
≤ 90 days on site
No limit
Small Quantity Generator
(SQG)
Between 100-1,000 kg/
month
Part 262, Subparts A, B, C (§262.34(d) is specific to SQGs); and Subparts E, F,
G, H if applicable; and portions of Subpart D as
specified in §262.44
≤ 180 days on site or ≤ 270 days if
shipped 200 miles or more
6,000 kg
Conditionally Exempt Small
Quantity Generator (CESQG)
≤ 100 kg/month
≤ 1 kg acute
≤ 100 kg residue or contaminated soil from
cleanup of acute hazardous waste spill
§261.5 N/A
1,000 kg
1 kg acute
100 kg residue or contaminated soils
from cleanup of acute hazardous waste spill
50
Uniform Hazardous Waste Manifest
51
52
53
Transporter Requirements
Hazardous waste can hold at transfer
facility for 10 days without permitting
Engaged in the off-site
movement of hazardous waste
by air, rail, highway or water
54
Implications for transporter definitions ‘on-site’ & ‘off-site’
Along roadway v. across public or private right of way
Transporters Generators
Mixed wastes of different DOT classes
Accumulates waste
Liable for spill response
55
Criminal Investigations of RCRA Violations
RCRA regulates hazardous wastes;
does not regulate hazardous materials
56
Essential to criminal prosecution under
RCRA is the requirement that the
waste material involved be a
hazardous waste
57
First Investigative
Inquiry
58
No RCRA jurisdiction
Is the material subject to the
investigation a solid waste?
If yes: Then...
Is it hazardous waste? If no:
59
Recyclability Claims
Not a waste until it can no longer be recycled or reused
Common RCRA
Investigative Issues:Product
Not a waste until used, abandoned, outdated spilled or no longer fit for original purpose
60
Common
RCR
A Criminal Violation
s42 USC6928(d)(1) and (5): To knowingly
transport hazardous waste without a
manifest or to a facility that does not
have a permit
42 USC6928(d)(2): To knowingly treat, store,
or dispose of hazardous waste without a
permit or in violation of a permit
To knowingly dump a hazardous waste into
the ocean without a permit
61
Common
RCR
A Criminal Violation
s42 USC6928(d)(3) and (4): To knowingly make a
false material statement or omit material
information in the documents filed,
maintained, or used in compliance with EPA
or state RCRA regulations
To destroy, alter, conceal, or fail to file a
document required under EPA or state
RCRA program
42 USC6928(d)(6): To export hazardous waste
to a foreign country without consent
62
RCRA Criminal Violations
Knowing Violations are felonies
No negligent or misdemeanor violations
Penalties
2 to 5 years imprisonmentFines to $50K/day of violation
2nd offenses double the penalty
63
RCRA Criminal Violations
Knowing Endangerment
Provides for more substantial felony penalties for any person who commits egregious acts
Penalties
Up to 15 years imprisonmentFines to $250K/day of violation
Corporate defendants max fine $1M
64
RCRA Criminal Enforcement Concepts
Knowing element of an environmental crime:
Defendant requires only knowledge of his/her activities not that actual knowledge of EPA regulations
65
DoJ & EPA have aggressively applied knowing
endangerment provisions via two prong test
Responsible Corporate officer Doctrine
Acted knowingly, had knowledge of the general hazardous character
Knew that the chemical had potential to be harmful of others
66
Defendants can be any individuals, corporations,
partnerships, associations, municipalities, state, or any
department or agency of the United States
67
Criminal provisions of RCRA make it a federal
offense to violate regulations promulgated “by a State in the case of an authorized program”
68
RCRA Challenges
regulated community
Use innovative and emerging technologies, as well as modifications to production processes and raw materials
Incentivizes not producing waste of any kind
69
CWA (33USC §1251)Federal Water Pollution Control Act
as amended by the Clean Water Act
or“Don’t put it out the Pipe!”
or“Why is that fish swimming upside down?”
70
It is the national goal
that the discharge of
pollutants into the
navigable waters be
eliminated by 1985
33 U.S.C. Section 1251 (a)(1)71
The objective of the Federal
Water Pollution Control Act as
amended by the Clean Water Act
and the Oil Pollution Act is to
restore and maintain the
chemical, physical, and biological
integrity of the Nation’s waters.
72
CWA Pollutants
dredged spoil, solid waste, incinerator residue, sewage, garbage, sewage
sludge, munitions, chemical wastes, biological materials, radioactive materials,
heat, wrecked or discarded equipment, rock, sand, cellar dirt and industrial,
municipal, and agricultural waste
CW
A Key Defin
itions
73
CW
A Key Defin
itions
Point Source
Any discernible, confined and discrete conveyance, including, …any pipe, ditch, channel, tunnel, conduit, well, discrete
fissure, container, rolling stock, concentrated animal feeding operation, or vessel or other floating craft, from which
pollutants are or may be discharged
Note: This term does not include return flows from irrigated agricultural fields
74
Non-Point Source Discharges
Major source of pollution of nation’s waters
Largest source is agricultural runoff
Impacts to surface waters
Siltation, salinity, pesticides, and nutrient discharges75
CWA Framework
Title IV: National Pollution Discharge Elimination System
Permit sets limitations on authorized discharges
Required for any discharge
No permits issued for discharges into territorial
seas unless permitee complies with special criteria
76
Pretreatment Program
Industrial Users (IUs) must discharge intoPublicly Owned Treatment Works (POTWs)
Imposed limitations documented via municipal POTW permit
Direct industrial-sector effluent
discharges are prohibited
77
Nat’l general & specific discharge prohibitions
National categorical standards
Local limits developed by POTWs
Pretreatment Program
Three part
system for IU:
78
Causes pass through or interference on sludge
processes
Specific explosion hazards, corrosivity issues, solid
or viscous material that obstruct flow
Prohibition on any pollutant that
79
C. A. F. O.
80
33 USC §1321
There should be no discharges of oil
or hazardous substances into or
upon the navigable waters of the United States, adjoining shorelines, or into or
upon the waters of the contiguous zone
Spill Prevention, Reporting &
Responding to Spills
81
Spill Prevention, Reporting &
Responding to Spills
Spill Prevention and Control Countermeasures (SPCC)
Facility Response Plans (FRP)
40CFR Part 112
82
83
OPA-90 Amendments
Oil pollution prevention
Liability & compensation regime
Increased tanker safety and oil spill liability provisions
Promulgated by USCG
84
Big Oil + More Regulation=
85
Water pollution violations
are the most common
criminal environmental
prosecutions
86
NPDES permitees are required to report any anticipated noncompliance
Any noncompliance not required to be reported under any other specific provision
Any noncompliance that permitee failed to report as required within regulations or permit
Further...
87
Negligent violation
$2,500 to $25K fine per day, imprisonment for not more than one year, or both
Knowing violation
$5K to $50K fine per day, imprisonment for not more than three years, or both
Maximum penalties for subsequent
convictions are doubled
CWA Criminal Violations
88
CWA Criminal Violations
Knowing Endangerment
33 USC§1319(c)(3): Defendant knew at the time that he/she placed another person in imminent
danger of death or serious bodily injury
15 years imprisonment or $250K$1M for an organization
89
Wetlands Violations
CWA Criminal Violations
Knowingly discharge a pollutant into a water of the US (i.e., wetland) without a permit or in violation of a
permit (NPDES or 404 permit)*
*Involves destruction of wetlands by filling with dredged or other materials
Wetlands perform fundamental ecological
functions: fish nurseries and trap pollutants
90
CWA Criminal Violations
Knowing Falsification
42 USC §1313(c)(4): Tampering with monitoring device or method
2 years imprisonment or $10K finePenalties double for subsequent violations
Most commonly involves falsification of discharge
monitoring reports (DMRs) by NPDES permitees
91
Knowingly making a false material statement representation, or certification in any application, record, report, plan, or other document filed or
required to be maintained
Effectiveness and integrity of CWA program
depends upon truthful and accurate self-
reporting by the regulated community
Falsification and Tampering:
Closely exam dmr’s and other permit docs
92
For a pollutant discharge to be lawful, the discharger must
have an NPDES permit and the discharge must be in
compliance with that permit
93
CWA Criminal Violations
Direct Discharge Violations
Knowingly or negligently discharging a pollutant directly to water either without
a permit or in violation of a permit
NPDES permits may be issued by EPA
Programs generally delegated to states
94
Indirect Discharge: Pretreatment Violations
Knowingly or negligently introducing a pollutant or
hazardous substance into POTW*
CWA Criminal Violations
*POTWs lack capacity to treat every type of industrial waste (particularly toxic pollutants)
95
effluent will Significantly impact
surface water quality
Large quantities of industrial
waste waters and domestic wastes
are discharged “indirectly” into
surface waters via sewer systems
96
Knowing discharge of oil or
hazardous substance
Fines and imprisonment vary depending on source (facility/vessel), size of spill, spill history
Knowingly (or negligently) discharging oil or hazardous substance into waters of the US, in a harmful quantity
CWA Criminal Violations
97
CWA Criminal Violations
Knowing discharge of oil or
hazardous substance
33 U.S.C. § 1321(b)(5): Failure to immediately notify the government about an
oil spill (harmful quantity) or hazardous substance in a reportable quantity
5 year felony
98
CWA Delegation to States
States must demonstrate adequate
enforcement program
Feds can initiate action even if state doesn’t
Feds can bring parallel action with state
EPA can suspend state program if necessary
99
Clean Water Act
100
The Importance of Regulatory Work...
...and The Potential Consequences101