WATER POLLUTION, THE FEDERAL WATER POLLUTION CONTROL ACT, AND THE RIVERS AND HARBORS ACT OF 1899: EXERCISES IN FUTILITY BRUCE ROBERSON WATER POLLUTION, THE FEDERAL WATER POLLUTION ' CONTROL ACT, AND THE R~VERS AND' HARBORS ACT OF 1899: EXERCISES IN FUTALITY AN OVERVIEW OF THE PROBLEM ~f t~e ' industrial In analyzing the role polluter of the public waterways, one must realize what has for too long been ignored by government, tndustry and the public at large, that there is a limited amount of water., ' For too long 'America'S , water supply has been, the victim ' of over optimism. To most people, the water'supply has consisted' of a never. ending com., , modity, to ,be used ~ ' ~ndiscriminately , for drinking, for farm- ing and for manufacturing, and i't has not been until the last 10 or 20 years, when the effects of ': pollution became apparent on the face of America's cherished and yet to of_ten neglected waterways, that most Americans realized that there were limits on the burden that could be borne by America's water supply. This attitude 'of neglec~ is ch~racterized clearly by authors su~h as John V. Kritilla, uAmerican culture and character have been influenced profoundly by the open rural country side and the wilderness beyond. further we remove from the conditions of a more The prim~tive America, the greater is our nostalgia for the conditions of , earlier times. , But despite the many influential and eloquent 1 2 advocates for preserving the American scene, the assaults upon the American landscape and the erosion of its ~natur~l en- vironment continue ... l \ The urgency of the situation is best dramatized in Sigurd Grava's, The ~ Planning Aspects of Water Pollution ~ \ Control, where he states, ... (T) he time has come to apply this knowledge of pollution control not as the basis for stop gap' and emergency measures in crisis situations but in a systematic and preventive way for all urban settlements, regions the President of the and the environment as a whole." 2 , Even I • United States', when out).ining t~e legislative proposals and administrative ac~ions to improve envi.ronmental quality, ~ noted the methodical past and ·the necessity for immediate corrective action. "(L)ike tilled a plot of land to tho~e in the last century who e~haustion and the moved on to an- other, we in this country have too casually and too long abused our enviro~~ent • . ,The ti~e no longer to repair the damage has come when we can wait ~lready done, and to estab- lish new criteria to guide us in· the future ... 3 advise of the preside ~t, it 'is not ~he Heading the objective of this writer or this paper to search for villians among the rank and file of industry, but to recognize that-industry, like other parts of the American pollution of ,the so~iety, public , water~ays, have contributed to the and once having estab- lished that industry is responsible ·to some degree, to analyze 3 the possible effectiveness of two systems of enforcing acceptable standard short of zero pollution. THE EXTENT OF THE WATER POLLUTION PROBLEM AND THE NECESSITY. FOR ACTION \ ~ According to Harvey Lieber, director of ·the Washington Semester Program, of the American "University, "The leading I source of man-made water po.i1ut~mts in the Unite,d States is manufacturing, fo11o~ed by domestic or municipal wastes.,,4 The January 26, 1970 . issue of News.week: report,s that, "[N] ationa11y, Federal government experts' estimate the food, textile, paper and c1;lemica1, coal, iro~, . ,rubber, metals, machin- .\ ery and transportation iridustries ' spill a staggeri'ng 25 tri1lion gallons of waste water c: ann~a11y."J In 1963 manufacturing generated about three time's the amount of waste produced by the 120 million people who were served by sewers in the United States. Today it ,~s est;i.mated ~hat this estimate would ap- proach four to on~.6 Another consideration when'd~a1ing with the.prob1em of water pollution at the indu$tria1 level is t~at industrial " pollution is more likely to ammonia arsenic barium boron cho1oride chromium copper iron . c~ntain complex compounds such as: lead manganese phosporous su1phates zinc phenols cyanide 4 It has also been noted that pollution control is complicated by the 400 to 500 new chemical substances createG each year.' It should be remembered that in . addition to these comparatively new wastes, that in 'many cases defy present methods of treatment and or o removal,~ that increasing production of goods increases the amount of common industrial waste products that are dumped into the waterways. 'Estimates of the , services dramatically protr~ys, 'in billions of ~ublic g~llons health per day, 'j the increasing demand · for water . and e~perienced by all sectors of , the American society, Municipal Industrial , especially industry: 1900 1920 1940 1950 1960 1970 1980 3.0' 6.0 10.1 14.1 22.0 27.0 37.2 15.0 27.2 52·.0 14.0 159.9 218.3 394.2 74.l" 104.6 141.0 165.9 165.7 .. Agricultural 22.2 58.4 The net effect of this increasing demand among all sectors of the societ}!" for . Americ~s limited water resourc-e, is that there has been a dramatic increase in the· amount of pollutants "dumped" into a demin~s~ing supply of ~'usable" water. POSSIBLE SOLUTIONS TO THE PROBLEM: THE PRIVATE SECTOR Having established that some action is necessary to pro·· tect the water supply, the next question then is what agency 5 is the proper channel to deal with the problem. be considered is the private sector (i.e. the The first to in~tatio~ of action by the individual citizens or private interest groups). It is apparent from even a cursory reading of material available on the subject that the private sector lacks both the willingness ,and the financial abil{ty to cop~ with the problem. "Although some industriaYwastes are very difficult to I advance~ remove from water and technOlogy has not sufficiently ~ to handle such a· problem, most to control. iO in~ustrial The problem is cost. ll wastes are subject Next is the proposi- tion that industry itself can effectively deal with the problem. Again the f~nancial considera~io~ comes into play~ but this time its effect is substantially 'different •. ~ndustry, I , like practically all other , segments of the American economy is based on the cornerstone of competitive 'advantage, and it would be foolish to conceive of any industrialist, no matter how well intentioned, who would _sacrifice a competitive-ad! - vantage no matter how small, and thereby jeopardize the very existence of his 'company, for the goal of pollution control or elimination. Secondly, there is the very real probability . "' . that many industrialists don't, feel that it is , their obligation to deal with the problem. l2 ized by statements like: 'This attitude is character- "Some degree of pollution is part of the cost involved in achieving benefits made possible by a technologiC~l society.~~3 "Industry can spend nothing on 6 water pollution control it does not first earn in profit. nl4 npublic enthusiasm for pollution control 'is matched by ,reluctance to pay even a modest share of the cost.n lS Therefore it would seem unrealisti9 to assume that industry will, without a significant change in the attitude of either, the public, \ or an improbable reversal in the American economic structure, make more than a publicity orientated effort to ~eal with the problem of industrial P9llution of the public waterways. The final possible solution to the water pollution problem is the government, and ~merica has seen a , defini~e response from the governmental sector, with v~rying levels of achievement. I POSSIBLE &OLUTIONS TO T~E ' PROBLEM: TH~ GOVERNMENT AND CONFLICTING INTERESTS It is because of these varying degrees of success that it became important that this paper deal with the pollution problem. Not only/is it ,necess~ry 'th~t something be done about the problem of pollution, ,but it is additionally necessary that the problem be deal~ wltbon a ~niversally equal plane. To do otherwise woul'd , be to '_place an impossible bur- " den on certain industries which, although they do contribute to the problem, contribute no more and no less than any other industry. In addition to the necessity of evenhandedness, that must be an overriding consideration,' is the additional con- ? sideration that was observed by Roscoe Pound when he stated, "the end of law is the adjustment or harmonizing of con.flicting or overlapping desires and ~laims, so as to give effect to as, much as possible -'with the least sacrifice. ,,16 What then are the conflicting and overlapping.desires and claims that'JDust be harmonized by any solution to the ' pollution problem? First there is the desire of the various inI The tradi~.ional ap- dustries involved to maximize profit. -~ proach to the goal of , maximum pro~it has been to lower the costs of production by disposing industrial wastes in the most inexpensive manner possible, which in many cases necessitates disposal in public waterways.l? I As was noted by Arnold W. ' , Rei tze, Jr., in "Was'tes, Water., and Wishful Thinking: . The , Battle of Lake Erie," in Vol. 20, Case Western Reserve L.R., "(I)n the extreme case, .a businessman faced · with removing a building might burn it down rather than remove it piece by piece even though tfe burni~g p ~ocess would destroy a town. This is not very different from ~hat is presently being done to our environment by industrial·.w~ter pollution. ,!18 And as is noted later in the article: by Mr. Reitze, "the capitol , - ' requirements of dealing with the ·pollution problem are astronomical, and any attempt to regulate pollution would likely bring a cry of anguish followed , by "scientific" proof that it would drive the company out of business and cost-many workers their jobs.,,19 8 On the other side of the coin of conflicting interests that will need to be balanced by any action that 'is in~tiated to deal with the problem of water pollution,' is the necessary quali.ty of life that is to be: maintained by citizens of the united States and the world. Conservationists are quick to;point out that unless some action is' taken within the immedi~te ' future, no amount of I action will suffice to meet.; the ' needs of future generations. " As was pointed out by Rene' Dubos,in the Environmental Handbook, "Man has a remarkable ability to: develo~ some form of tolerance to conditions~extreme~y different from those under which he evolved. . This ' has , led to the . belief that through ~ \ social and technological 'innovations, 'he can endlessly modify his ways of life without risk. But the facts do not justify - this euphoric attitude. : Modern man can adapt biologically to the technological environment · only in so far as the mechanisms of adaptation are }fotentially For this reason, we can almost cannot achieve successful p ~ esent ~ake biologic~l in his generic code. it for granted that he adaptation to insults with which he has had ,no experience. with in h~s biological past, such as the shrill noises of modern equipment, the exhausts of automobiles and factories, the countless new synthetic products that'get into t?e air, water and food. The limits that m~st be imp~sed o~ social and technological innovations are determined 'not by scientific knowledge or 9 practical know how, but by the biological and mental nature of man which is essentially unchangeable. ,,20 This seems t;.o re- present the attitude of many of . the ecologists, in that they are Of the opinion that ~he ecosystem of the United States has reached the point of diminishing returns and that unless effective aQtion is taken man will 'no longer 'b e able to adapt to the environment which he has" p~oducted for himself. r In addition to this co~sideration it seems ~at many believe that efforts to produce the technology to deal with the problem will only result in further additions to the problem and thereby compound the situation. Jon Breslaw in th~ As was noted by Environmental HaItdbpok, "Market economies ~ are effective instruments' for ·organizing production and al1 locating resources insofar . as th~ utility functions are as- sociated with two-party .transactions. But 'in connection with waste disposal, the utility functions involve third parties, and the automatic ~arket exchan<J:e process fails.,,21 THE GOVERNMENTAL APPROACH: VARYING DEGREES OF SUCCESS It is this failure of the\market exchange process that has precipated governmental intervention into the field of water pollution control. The PFocess . of effecting change within the sy~tem has evolved .on many different levels with varying approaches, and with these varying approaches have 10 corne varying degrees of success (as previously noted). The unifying factor has been that legislators have refused to conceive any new enforcement approaches and have stuck doggedly with ~pproaches that have worked in the past in other areas, with blind faith that they will work in the future. These \ approaches are best emphlified in two acts; the Federal water Pollutioh "Control Act as amended,2,2 and the Rivers· and HarI bors act of 1899 as amend~d.~ 23 'i These acts, and their respec- tive enforcement provisions,have·been the major tools of congress and its enforcement agencies ~ike th~ Environmental '" Protection Agency in dealing with the water pollution prob- lem. Each has stated objectives or ~ enforcement provisions ~ which makes obvious the goal o~ achieving a high standard of \ water quality. The first '·of these acts, the Federal Water Pollution Control Act point~ to this priority in section One, the "Declaration of Policy," wherein it states, "The purpose of this act is to enhance the q~ality and value of water re- sources and to establish a national policy for' prevention, control, and abatement of water pollution." Further in the act, at Section · 1 (B),.., it states,' "j..n consequ~nce of the benefits resulting to the publlc ' health and welfare by the prevention and control of water pollution, rt is hereby declared to be the policy of cong.ress to recognize, preserve, and protect tpe primary ,responsibilities and rights ' of the states in preventing and 'controlling water pollution, ,,24 11 Unlike the Federal Water Pollution Control Act the Rivers and Harbors Act of 1899 has no declaration of po~icy but its goals and objectives become obvious with a careful reading of section 407 of the act, which states, "It shall not be lawful to throw, discharge, or deposit or cause, suffer, or procure to ~e thrown, discharged, ~r deposited either from or out of any ship, barge, or ot.her floating craft ~fi any kind, I or from the shore, warf, ma~ufa6turing establishment, ~r mills 'j of any kind, any' refuse matter of.any kind or description ,, 25 whatever • • • , into any navigable water, These two statements quoted from the texts of the respective acts dra~atize·the .almost ~niyersal concern for the quality of America I ~ water supply,' and · yet the effectiveness I ~ of the two 'm ethods of enforcemen~ is severely limited and hampered by the legislative construction of the enforcement provisions, with net result of almost universal ineffectiveness of the acts. .IThe. two acts ...provide for approaches to the problem of water pollution which are different' and the effectiveness of each will be analyzed t.o determine which is most capable to deal with t?e wat~r poll~tion prob~em as it exists in the United States. THE FEDERAL WATER POLLUTION CONTROL ACT The first approach ~hat has been utilized is that of abatement, embodied in section 10 (A) of the Federal Water 12 Pollution Control Act, and it states: "The pollution of in- terstate or navigable waters in or adjacent to any stat~ • • • , which endangers the health or welfare of any persons shall be , ~~ subject to abatement as provided by the act." ~ - This statement of determination seems at first to be a clear statement directing action on a broad scale to restrain polluters and pollution. However, the last five words of the f quoted section are the limiting 'factor which has, up to this point, and logically will in the future, limited the overall effectiveness of the act. The procedure of the act, which must be followed, provides loopholes, and opportunities for delay unequaled in, contemporary leg;sl~tion. The primazyloop- hole in the enforcement provision ~s contained in section 10 (H), wherein it states: "The court shall receive into evi- dence in any such suit a transcript of the proceedings before the board and a copy of the recommendations and shall receive such further evidence as the proper. co~rtin - its discretion deems The court, giving due consideration to the practcal- ity and the physical and economic abatement of any pollu~ ion proved, ~easibility ~hall of securing have jurisdiction to enter such judgment and order enforcing such judgment, as the public interest and the equities of the case require.,,27 This loophole, of magnificent proportions, allows wholesale disregard for the general policy of the act., Simply by establishing a production' facility of enorrnouscost which re- 13 lies on, to a large extent, the use of water, either for production or waste disposal purposes, in such manner to ppllute the water, the industrialist avoids the necessity of complying with the provisions of the Federal Water Pollution Control Act. This f~ature is doubly true i~ light of provisions 10 (0) of the act which relates to initiating action to bring about abatement under the terms of the act. vides in part: Section 10 (0) (1) pro- "whenever requested by the governor of any af- fected state or a state water pollution control agency, or • • • the governing body of any municipality, the secretary shall. • • give fO,r mal notification thereof to the water pollution control agendy • • • if any • • • and shall'call a 1 conference. ,,28 The significant language is, "whenever re- quested by the governor of , any affected state." This pro- vides an immediate out for industries to locate in states where the priority" for one , or C?ne of any number of reasons, is on short run economic advantage as opposed to long term ecological stability. Without the request of the governor or the state water pollutfon control a~ency or the governing body of a municipality, the secretary has no means to enforce the provisions of the act. The immediate response to ~his argument is two fold; first, that the governor of a state, or the state water pollution control agency or the governing body ofa municipality, 14 has a more intimate knowledge of the problems and the requirements of that state's economic system, and should· there,fore have the final veto over agency action to regulate the industry that.is involved, as such regulation might have an effect on the economy of that state; secondly that the provisions mentioned and referred to above apply only where' the water pollution problem is confined in bot~ origin and effects to one ! state, and it should therefore be up to that state to police itself, without the interference of a higher governmental agency. In reply to this argument it should be noted that the time has long since passed where either the economic system or the problems of anyone state are confined in ultimate effect to that state, and ' so with water pollution problems and their effects. If an economic problems arises within a state, then its effect will determine, to some degree, the policies and progr~ms their eco-systems. lution. of the other 'states in dealing with The same is true in cases of water pol- When one state sacrifices its vital water resources, it places an additional burden on the water jacent states. r~sources of ad- " While a governor might have intinate knowledge of his state, it cannot be said that the water pollution problems of that state must therefore be automatically within his exclusive "domain, it simply isn't, and this should be recognized. 15 Like the previously discussed loophole of requiring gubernatorial sanction to proceed under the terms of-the Federal Water Pollution control Act, another road block to the effectiveness of the act is found in the second part of section 10 (D) (1), wherein it provides that the secretary, at the request of the governor or the designated agency shall call a conference under the provisions of the act, " . . . . . unless, in t the judgment of the Secretary, the effect of such pollution on the legitimate uses of the water is not of sufficient significance to warrant exercise of Federal jurisdiction under this section.,,29 While 'it was probably the intent of congress , by including this phrase, to eliminate vexacious proceedings when there is little' or no effect on the water regulated under the terms of the act, the words chosen by congress to impliment this intent do far more. Not only does the secre- tary have the power to refuse to pursue compliance with the provisions of the ~ct in the instances mentioned above but also the secretary is cloaked with the power to make determinations, independent of any approved state or federal water pollution standards, that a water pollution problem doesn't exist in such substantial proportion to warrant action under the jurisdiction conferred by congress. seemingly innocuous power grant~d This to the secretary is para- mount to that granted to the , governor of a state, or 't he designated agency, to refuse to request action under the act, 16 for even if a governor or the appropriate state or local agency were to request the initiation of procedures to bring about abatement under the terms of the act, the secretary has a veto, and can refuse on the; basis of his subjective determination that the problem is not of sufficient significance. The fuhdamental stumbling blodk to effective action under the provisions of the Federal Water Pollution Control , Act is that there are time requirements that are. unrealistic in light of the urgency of the water pollution problem. In considering the Federal Water Pollution Control Act, as it presently stands, it takes a minimum of twelve months before the secretary can .initiate anything other than jawbone diplomacy to deal with industrial polluters of the public water ways. While there are undoubtedly examples of voluntary compliance with the pollution standards that have been promulgated under the auspices of the act or because of the secretaries jawbon~ tactics, mo~e than likely this form of voluntary compliance will not be forth coming from those polluters in industries which operate with high cost risk fac- , tors as an integral part of the industry struyture. This high cost risk factor makes voluntary compliance, on other than an industry wide scale, economic suicide, and yet it is in many cases these very industries that contribute to the urgency of the water pollution problem. In sum the Federal Water Pollution Control Act is fraught 17 with inconsistencies that make it's application difficult if not impossible at times. If the Federal Water ' Po~lutio~ Con- trol Act is anything more than an example of the water pollution control acts that attempt to utilize abatement as the att~mpts enforcement device, if it does exemplify those to control water pollution, then the entire effort is doomed to ' less than spectular results. If on the other hand· some of the problems of the Federal Water Pollution Control Act have ~een cured with additional legislation or could be~ured with additional legislation then abatement procedures would in fact be a significant tool in dealing with the water pollution problem. However, it is the proposition of tbis writer that it' is a tool that is \ best saved and utilized only as a last resort, for the effect of abatement as is devastating on the industry involved as it is dramatic in the results that it can achieve. It should be further remembered ,abatement does nothing about the pollution that already exists. In addition there is the ' problem that systems like the Federal Water Pollution Control Act have no power to generate operating funds and depend ~n the gener- osity of the congress to supply its operating capitol. In this respect legislation like the Rivers '· and- Harbors Act of 1899 have the advantage. THE RIVERS AND HARBORS ACT OF 1899 Under the terms of the Rivers and Harbors Act much of 18 the operating capitol that is needed to make the program successful is made available through the fines that are imposed on the polluters, secondly as much as one-half of the fines that are collected goes to the individual that provides the information necessary for the conviction of the polluter. This second'provision that one-half of the fine goes to the individual or group responsible , f~r the conviction. has the additional advantage that a 'much smaller enforcement staff is necessary. It should be stressed that because the Rivers and Harbors Act has the advantage in these two respects that it i J;Without disadvantages, or that it is the ultimate solution to the water pollution problem. \ Like the Federal Water Pollution Control Act the Rivers and Harbors Act has utilization. disadvantage~ and obstacles to effective The first of ' these obstacles is that the Rivers and Harbors Act provides for fines that, while they might have been appropriate in 1899 passed, are unrealistic today. w~enthe act was initially While the fines may have been a deterrent in the early 20th century when the united States had a gross national product' on One Hundred Billion Dollars " . ' today when the GNP is soon to exceed One Trillion Dollars, and major industries regularly have net earnings' in excess of Five Hundred Million Dollars it is hard to expect that a fine of Twenty-five Hundred Dollars would have more than ' an annoying effect on a polluter.' This is especially true when the 19 polluter is faced with the prospect of spending millions of dollars in order to comply with the terms of the 'act. This compliance with the terms of the act brings to mind another problem, that being the setting of standards under the Rivers and Harbors Act. As the act stands there are no standards by which to judge the actions of the polluters. There are no definitions in the' act, thereby necessitating , the expenditure of large,'unrecoverable sums in proving that there is a pollution problem or t~e extent that anyone in- dustry or factory contributes to a pollution problem. until this problem can be solved, there is ' little prospect that the administrator of t ,h e Environmental Protection Agency, in effect the alter ego of the government in matters concerning the environment, will undertake expensive litigation in cases where the question will be difficult. An additional limiting factor on the effectiveness of the Rivers and Har~ors , Act of 1~99, is found in Executive Order 11574, which deals with the Rivers and Harbors Act. Section one of the Executive Order provides for a system of , permits to allow industries to deposit waste products in the waters that are subject to the · provisions of the act. Sec- tion Two (A) of the Executive Order, by using inverse logic, implies that such a permit shall be issued when section 21 (B) of. the Federal Water Pollution Control Act has been complied with. Section 21 (B) of the Federal Water Pollution 20 control Act provides that: • shall provide "Any applicant the licensing or permitting agency with a certificatio~ from the state in which the discharge originates or will originateA • • • that there ' is reasonable assurance, as determined by the state .' that such activity will be conducted in a manner which will not violate the applicable standards." fac~s ~ the This provision ~ater quality same difficulty that was I faced by the Provisions of the Federal Water Pol~ution Control 'j Act that were mentioned previously, in that it is up to the state to make the deter~ination that a industry or factory will be subject to the provisions of" the act. If the state . has made the determination that it will sacrifice long run , ' ecological stability for short ruri economic gain then. there \ is little if anything that,can b~ done to prevent the pollu- tion, except that the administration of the EPA can veto, a power discussed earlier. The net effec-ty. of,the, prov~sions outlined above is·that the Rivers and Harbors Act is fa?ed with many of the same difficul ties that faces the Federal',Water Pollution Control Act, in some cases out of necessi~y' in · that it uti~izes many of the ' .' same provisions, and in some cases makes direct reference to the Federal Water Pollution Control Act. Orr the other hand the difficulty arises in part because the Rivers and Harbors Act is a product of the same limited in scope thinking that produced the Federal Water Pollution Control Act. Both acts 21 are devoid of a dirth of creative thinking so necessary if there is to be an approach developed with any rea~onable chance of success. This is not to say that all of the pro- posals that are incorporated in the two acts are ineffective but only that the methodology through which they have been employed lacks the requisite creativity to make the acts effective tools to deal with the pollution problem. SOME CLOSING OBSERVATIONS Perhaps the most eloquent statement of what is needed to effectuate change within the present structure under which polluters have found an apparent haven in which to operate appeared in the message of the President of the United States outlining legislative proposals and administrative actions taken to improve the environmental quality,. wherein he stated, "I propose that we take an entirely new approach: one which concerts Federal, s~ate .'and private .efforts, which provides for effective nationwide enforcement, and which rests on a simple but profoundly significant principle: waterways belong to us all, , nor an industry should be ~nd that the nation's that neither a municipality allo~ed to discharge wastes into those waterways beyond their capacity to absorb the wastes without becoming polluted." It was at this point that the President outlined a series of proposals to effectively deal with the water pollution