THE UNIVERSITY
OF
NORTH CAROLINA
W A T E R R E S O U R C E S R E S E A R C H I N S T I T U T E
Office of the Director 124 Riddick Building
North Carolina State University Raleigh, North Carolina, 27607 Telephone: 919:755-2815
September 19, 1972
TO:
WHOM
IT
MAY CONCERN
FROM:
DavidH.
Howells, D i r e c t o rSUBJECT:
P r o j e c t Completion Report (A-004-NC)"A Comparative Study of S t a t e Water P o l l u t i o n Control Laws and Programs," by Professor Milton S. Heath,
Jr.,
Associate D i r e c t o r , I n s t i t u t e of Government
The a t t a c h e d r e p o r t reviews t h e development of water p o l l u t i o n c o n t r o l
programs i n t h e United S t a t e s w i t h emphasis on t h e s t a t e s of Maine, Michigan, New York, North C a r o l i n a , and V i r g i n i a . It w i l l be
a
u s e f u l r e f e r e n c e f o r those attempting t o g a i n h i s t o r i c a l and comparative p e r s p e c t i v e concerning t h e s t a t e r o l e i n water p o l l u t i o n c o n t r o l - - p a r t i c u l a r l y t h a t of North C a r o l i n a , which i s covered i n g r e a t e r d e t a i l as t o laws and r e g u l a t i o n s . The r e p o r t i n c l u d e s a check l i s t f o r s t a t e water p o l l u t i o n c o n t r o l adminfs- t r a t o r s f o r program e v a l u a t i o n .DHW : va
A COMPARATIVE STUDY OF STATE
WATER POLLUTION CONTROL
LAWS
AND PROGRAMSJanuary, 1972
by
Milton
S.
Heath, Jr.The work upon which this publication is based was supported in part by funds provided by the Office of Water Resources Research, Department of the Interior, through the Water Resources Research Institute of The University of North Carolina as authorized under the Water Resources Research Act of 1964.
Project A-004-NC
Agreement No. 14-01-0001-978,
FY
1967Water Resources Research Institute of the University of North Carolina
TABLE OF CONTENTS
ACKNOWLEDGMENTS
SUMMARY AND CONCLUSIONS
CHAPTER 1--THE EVOLUTION OF WATER POLLUTION CONTROL PROGRAMS
Introduction
The Constitutional Foundation
The Common Law Element
State Water Pollution Control Programs
Interstate Measures
Federal Programs
CHAPTER 2--STATE WATER POLLUTION CONTROL ORGANIZATION AND LEGISLATION IN GENERAL
Introduction
Historical Background
CHAPTER 3--A PRELIMINARY COMPARISON OF SELECTED STATE WATER POLLUTION CONTROL PROGRAMS
Introduction
Organization
Program Approach
Scope
State Aid Programs
CHAPTER 4--A DETAILED REVIEW OF THE WATER POLLUTION CONTROL PROGRAMS OF MAINE, MICHIGAN, NEW YORK, NORTH CAROLINA, PENNSYLVANIA AND VIRGINIA
North Carolina
Michigan
New York
Pennsylvania
Virginia
Some Concluding Observations
CHAPTER !%-THE
CHANGING WORLD OF THE POLLUTION ABATEMENT
ADMINISTRATOR
The State-Federal Relationship
The State Political Climate
Professional Influences
CHAPTER 6--IN CONCLUSION: A CHECKLIST FOR STATE WATER
POLLUTION CONTROL ADMINISTRATORS
Forty-Six Questions for Every State Water Pollution
Control Administrator
APPENDICES
APPENDIX A--A SUMMARY OF THE LITERATURE ON THE WATER
POLLUTION CONTROL LAWS
AND
PROGRAMS OF PARTICULAR
STATES
APPENDIX B--NORTH CAROLINA WATER POLLUTION LAWS AND
REGULATIONS
1.
The North Carolina Stream Sanitation Law, as
amended
2.
The North Carolina Water Quality Standards and
Stream Classifications
APPENDIX C--A DEMONSTRATION IN THE USE OF CITIZENS' SUITS
FOR POLLUTION ABATEMENT: A REPORT ON THE ENVIRONMENTAL
POLLUTION STRIKE FORCE OF PENNSYLVANIA
APPENDIX D--RESPONSES FROM THE STUDY STATE AGENCIES TO A
QUESTIONNAIRE ON PROGRAM STATUS
APPENDIX E--REFERENCES TO POLLUTION CONTROL LEGISLATION
OF THE STUDY STATES
ACKNOWLEDGMENTS
Many persons have contributed generously of their time and comments
in response to my inquiries in connection with this study. An especially
large debt of gratitkde is owed to the personnel of the state water pollution
control and health agencies, and their directors at the time of my field
investigations--Ray McDonald and Earl Tibbetts in Maine; Loring Oeming and
John Vogt in Michigan; Robert Hennigan in New York; Earle Hubbard in North
Carolina; Walter Lyon in Pennsylvania; and
A.
C. Paessler andE.
C. Meredithin Virginia. In every state visited useful insights were gained from local
health officers and from personnel in state agencies concerned with such
fields as fish and game, forestry, water resources, state planning, mining,
and industrial development. Allen Hersch, Robert Burd and their associates
in F.W.Q.A. were most generous with their time and resources. Helpful
comments were received at various stages of the project from a variety of
sources--David Howells, Dan Okun and James Lamb of the University of North
Carolina; Blair Bower and Matthew Holden of Resources for the Future; Ralph
Fuhrman of the Water Pollution Control Federation; Mitchell Wendell and
Charles Schwann (formerly of the Council of State Governments); Tom Powers
of Dow Chemical Company; Olga Madar of the United Auto Workers; and
George Bennett of S. D. Warren & Co. Three research assistants made important
contributions in aid of this project--Dale Gramley, Fuad Quebein and John
Schweitzer.
The generous assistance of all of these persons is greatly appreciated.
None of them, however, is responsible for this report or for my findings
and observations.
Milton S. Heath, Jr. Associate Director Institute of Government University of North Carolina at Chapel Hill
SUMMARY
AND
CONCLUSIONSThis study was initiated at the Institute of Government of the University
of North Carolina in 1966. It was made possible by a grant from the United
States Office of Water Resources Research through the Water Resources
Research Institute of the University of North Carolina.
A
previousWRRI report has dealt with an earlier phase of the study.
*
Most of the states have been at least moderately committed to water
pollution control programs for some years--ranging from a decade or two
up to a half century or longer. These activities have usually been
administered at least competently, and not infrequently with distinction.
In the eastern states the water pollution control agency has often operated
the oldest and strongest of state water resources activities, and thus has
been a logical foundation stone for more comprehensive water resources
management programs. During the last decade the federal government has
moved to a much larger and more active role in pollution control than hitherto.
But notwithstanding this federal growth, the states are still in the business
of water quality management--and are inherently likely to remain so. The
problem of water pollution in the United States is so large, widespread,
varied, complex, and fluctuating that it defies centralized management and
control. And the federal government is by nature ill equipped to effectively
regionalize an exclusively federal water quality management program.
For all of these reasons, a comparative study of selected state water
pollution control programs (or water quality management programs, as the
Jc
term is becoming increasingly applied) seemed a worthwhile venture, when it
was conceived in the early 1960's. Having now completed the task, the
author can confirm that it was a worthwhile venture, despite some frustra-
tions and unexpected obstacles.
A
study of this nature might fruitfully center upon engineering,biological, economic or other such scientific or professional aspects.
Being a lawyer, the author is ill-equipped for an inquiry along any of these
lines. Accordingly, this study focusses upon administrative, legal and
organizational aspects of water quality management.
Before the study states were selected, a number of leading professionals
and scientists in the field were contacted, In the actual selection a group
of states was included that would reflect variations in location, size,
population, and pollution problems. These states came recommended as having
relatively strong pollution control programs and including states
illustrating several different approaches and emphases in water quality
management strategy. Though originally the inclusion of some western and
midwestern states was intended, and of a larger number of states in the
southeast, this proved infeasible.
At this point a brief resume of the report in in order.
Chapters
1
and 2 of this study are introductory. They seek to setcontrol programs generally, and then reviewing state organization and
laws as
a
whole.Chapter 3 offers a preliminary look at the laws and programs of the
study states of Maine, Michigan, New York, North Carolina, Pennsylvania
and Virginia. There follows in Chapter 4 the detailed examination of
water pollution control in these six states that is the heart of this
study. The program of each state (and its history) are reviewed and some
of its strengths and weaknesses noted. The analysis is more descriptive
than judgmental, however, and (for reasons made plain subsequently) no
effort at systematically ranking the states has been made.
Chapter 5--"The Changing World of Pollution Abatement Administration1'--
seeks to convey a sense of the striking rate of change in this field
during the past decade. And, finally, Chapter
6
compiles a checklist ofsome of the best features of state water quality management programs, as
reflected in the actual experience of the study states.
The report concludes with several appendices (1) summarizing the
literature on water pollution laws and programs of particular states;
(2) presenting the text of North Carolina's statutes and regulations as
an example of state pollution control laws; (3) illustrating the use of
1 1 citizen suits1' against pollution in Pennsylvania; and (4) presenting
responses from the states to a brief current progress report questionnaire.
The author emerges from this study with great admiration for the water
The conviction remains that--in order to realize the legitimate goals and
expectations of the American people today--the states, and all levels of
government, must greatly strengthen their efforts and improve their
results in the abatement of water pollution.
A
part of this effort involvesbringing home to all of us that we must pay in many ways far more than we
now pay for environmental quality--through taxes and other public exactions,
through increased prices for goods and services, and through the cost
of compliance with regulations. Fortunately, we do not really pay a very
high price for these values now. We should be prepared, however, for a
considerable increase in the total price of maintaining a quality
environment (aquatic and otherwise). We should be prepared also to see this
cost spread to every household and business in our society.
The recognition and acceptance of these environmental quality goals
is one thing. The timing of their implementation may be quite another.
In this regard it is well to keep in mind Leonard Dworsky's recent
cautions :
While the public demand for water pollution control remains loud, the political response has become deafening. The respon- sible political leadership in both parties has avoided the
temptation to engage in competitive promises. But those seeking instant solutions and those whose political response has been guided by the pressure of Earth Day have created an image about the pollution problem that is difficult for the public to under- stand. This is a serious matter and unless the problem is
clarified and the achievements that are likely to take place during the next five to ten years are clearly explained, the American people will be disappointed and their faith in govern- ment and technology will continue to diminish.
. .
.
We can achieve control over water pollution in the not too distant future (1980+) to meet high public expectations, also at an acceptable price.
But water clean enough to meet current public expectations will not be achieved within the next five years.
*
One original objective of this project has proven to be unattainable
at this time: a meaningful, systematic comparison of the effectiveness
of state pollution control programs. In the course of this study it has been
found that the basic data necessary for such comparisons either do not
exist or are not expressed so as to permit comparison, and that adequate
analytical concepts for comparison have not been developed. (The details
are set forth in Chapter IV, pp. 118-121.) At this point it is merely
observed :
First that the states ought to be in a position to compare
-9
the relative effectiveness of their own programs with those of
other states, and to appraise their own ability to achieve and
maintain goals of water quality;
Second, that, generally speaking, the states cannot with
present knowledge, information systems, and analytical concepts
make such comparisons and appraisals--that is, they cannot properly
evaluate their programs in these respects; and
Third, that, in order to improve this evaluative capacity,
the development of the needed data, information systems, and
analytical concepts ought to be given a high priority.
CHAPTER 1
THE EVOLUTION O F WATER POLLUTION CONTROL PROGRAMS
I n t r o d u c t i o n
The e a r l i e s t l e g a l t o o l s used t o p r o t e c t w a t e r q u a l i t y i n t h e United
S t a t e s i n c l u d e d c i v i l s u i t s by p r i v a t e c i t i z e n s t o e n f o r c e p r i v a t e prop-
e r t y r i g h t s , and l o c a l i z e d p r o s e c u t i o n of a c t i o n s i n t h e c o u r t s t o a b a t e
n u i s a n c e c o n d i t i o n s . The p r i v a t e l a w s u i t s were u s u a l l y based e i t h e r upon
a t h e o r y of v i o l a t i o n of w a t e r r i g h t s , u s u a l l y r i p a r i a n r i g h t s , o r upon
a n u i s a n c e t h e o r y . U n t i l around t h e end of t h e 1 9 t h c e n t u r y t h e s e were
almost t h e o n l y l e g a l weapons used t o combat w a t e r p o l l u t i o n i n t h i s coun-
t r y .
The second phase of t h i s e v o l u t i o n , b e g i n n i n g around t h e t u r n of t h e
c e n t u r y , brought s e v e r a l changes. There was a s h i f t from t h e l o c a l l e v e l
t o t h e s t a t e l e v e l of government a s t h e focus of a c t i o n . There was a l s o a
s h i f t from r e l i a n c e on t h e c o u r t s a s t h e p r i n c i p a l forum f o r t h e s e m a t t e r s
t o r e l i a n c e on a d m i n i s t r a t i v e a g e n c i e s a c t i n g under l e g i s l a t i v e a u t h o r i z a t i o n
as t h e p r i n c i p a l forum. The l a t t e r p r o c e s s involved moving from an emphasis
on p r o t e c t i n g p r i v a t e p r o p e r t y r i g h t s and l o c a l i n t e r e s t s ( f o r which t h e
c o u r t s a r e w e l l adapted) t o a n emphasis on choosing and a c h i e v i n g p u b l i c
p o l i c y g o a l s ( f o r which a d m i n i s t r a t i v e a g e n c i e s a r e g e n e r a l l y b e t t e r
s u i t e d ) . This s o r t of p r o c e s s , i n c i d e n t a l l y , h a s been c h a r a c t e r i s t i c of
Anglo-American n a t u r a l . r e s o u r c e law, and e s p e c i a l l y of w a t e r r e s o u r c e law.
I n t h e e a r l y s t a g e s of development we have u s u a l l y r e l i e d on court-made
r e l a t i v e l y few d i s p u t e s t h a t have a r i s e n . With t h e passage of time and
w i t h t h e growth of developmental p r e s s u r e s , we have u s u a l l y found i t
n e c e s s a r y a t some p o i n t t o c r e a t e and a d a p t new a d m i n i s t r a t i v e agencies--
i n o r d e r n o t o n l y t o r e s o l v e d i s p u t e s of i n c r e a s i n g numbers and complexity,
b u t a l s o t o p r o v i d e a p l a c e where conscious p o l i c y c h o i c e s c a n b e made t h a t
w i l l keep pace w i t h development.
This second phase saw, a l s o , t h e emergence of two i n t e r e s t s t h a t have
e v e r s i n c e played a n e s p e c i a l l y v i t a l r o l e i n w a t e r p o l l u t i o n c o n t r o l
a c t i v i t i e s : t h e p u b l i c h e a l t h movement and t h e c o n s e r v a t i o n movement,
s p e c i f i c a l l y t o f i s h and game c o n s e r v a t i o n . Hazards t o p u b l i c h e a l t h o r
t o f i s h l i f e c o n s t i t u t e d t h e l e g a l s t a n d a r d s used i n e a r l y s t a t u t e s pro-
h i b i t i n g t h e p o l l u t i o n of r i v e r s ; t h e s e s t a n d a r d s p e r s i s t i n many of our
s t a t u t e s today. P u b l i c h e a l t h and c o n s e r v a t i o n were t h e r a l l y i n g c r i e s
f o r t h e f i r s t U. S. w a t e r p o l l u t i o n c o n t r o l l e g i s l a t i o n , and t h e s e two
movements have c o n t i n u e d t o s u p p l y t h e most v i g o r o u s advocates of s t r o n g
l a w s on t h e s u b j e c t . The e a r l i e s t organized programs of s t a t e government
were p l a c e d i n t h e s t a t e h e a l t h departments, where many of them s t i l l
remain. I n all of t h e s e ways, p u b l i c h e a l t h and c o n s e r v a t i o n played impor-
t a n t r o l e s .
The t h i r d phase of t h e e v o l u t i o n o f w a t e r p o l l u t i o n c o n t r o l a d m i n i s t r a t i o n
brought t h e e n t r y of t h e f e d e r a l government i n t o t h e f i e l d of r e g u l a t i n g
w a t e r q u a l i t y . For many y e a r s t h e f e d e r a l government h a s m a i n t a i n e d a
s t r o n g r e s e a r c h program, b u t i t s r o l e a s a n a c t i v e r e g u l a t o r i s of r e l a t i v e l y r e c e n t o r i g i n . Experimental l e g i s l a t i o n l a u n c h i n g t h e c u r r e n t f e d e r a l
r e g u l a t o r y program was e n a c t e d i n 1948. But t h e amendments t h a t l a r g e l y
f i x e d t h e p r e s e n t shape and d i r e c t i o n of t h e f e d e r a l program were n o t e n a c t e d
Some o b s e r v e r s b e l i e v e t h a t t h e f e d e r a l government may e v e n t u a l l y
assume most of t h e r e g u l a t o r y f u n c t i o n s c o n c e r n i n g w a t e r p o l l u t i o n c o n t r o l
i n t h e United S t a t e s , a l t h o u g h t h e r e i s r e a s o n t o doubt t h i s i f o n l y
b e c a u s e of t h e s h e e r numbers of new f e d e r a l p e r s o n n e l t h a t would b e
r e q u i r e d , and t h e s t r a i n s p l a c e d on t h e f e d e r a l e s t a b l i s h m e n t by any pro-
gram which ( l i k e w a t e r p o l l u t i o n c o n t r o l ) i s l i k e l y t o r e q u i r e a s u b s t a n t i a l
measure of r e g i o n a l i z a t i o n . As of now, i n any e v e n t , t h e p r i n c i p a l f e d e r a l
r o l e i s t h a t of d e v i l ' s a d v o c a t e t o s t i m u l a t e t h e s t a t e s t o d e v e l o p a d e q u a t e w a t e r q u a l i t y s t a n d a r d s and v i g o r o u s enforcement work. Always i n t h e back-
ground l i e s t h e p o s s i b i l i t y t h a t t h e f e d e r a l government w i l l move i n and
i n s t i t u t e f e d e r a l p r o s e c u t i o n s based on f e d e r a l s t a n d a r d s i f t h e s t a t e s do
n o t move e f f e c t i v e l y . Whether d i r e c t l y o r by i n d u c i n g s t a t e a c t i v i t y ,
t h e n e t e f f e c t of t h e emerging f e d e r a l i n t e r e s t seems l i k e l y t o b e a
s t r e n g t h e n i n g of t h e t r e n d s t h a t were p r e v i o u s l y underway toward b r o a d e r
and s t r o n g e r w a t e r p o l l u t i o n c o n t r o l laws and programs.
The f o u r t h and l a t e s t phase of t h i s e v o l u t i o n i s t i e d t o t h e burgeoning
p u b l i c concern o v e r e n v i r o n m e n t a l q u a l i t y t h a t h a s u s h e r e d i n t h e 1 9 7 0 ' s .
I t i s f a r t o o e a r l y t o t e l l whether t h i s new t u r n of e v e n t s w i l l b r i n g a
quantum change i n t h e d i r e c t i o n o r magnitude of w a t e r p o l l u t i o n c o n t r o l
e f f o r t s , o r merely a c o n t i n u a t i o n of t h e t r e n d s a l r e a d y underway. B u t , among
o t h e r t h i n g s , i t h a s a l r e a d y b r o u g h t about a renewed i n t e r e s t i n p r i v a t e
l a w s u i t s a s a s t i m u l u s f o r p o l l u t i o n abatement. T h i s development,
which i s symbolic of t h e d e m o c r a t i z a t i o n of many a r e a s of p u b l i c i n t e r e s t
and p u b l i c l i f e t o d a y , h a s brought u s f u l l c i r c l e t o t h e o r i g i n s of t h e
p o l l u t i o n c o n t r o l movement.
The C o n s t i t u t i o n a l Foundation
A s i s t y p i c a l of o u r d u a l system of f e d e r a l - s t a t e government, t h e r e a r e
p o l l u t i o n c o n t r o l laws. The s t a t e s through t h e i r s o v e r e i g n o r p o l i c e
powers may e n a c t such laws f o r t h e p r o t e c t i o n of t h e h e a l t h , s a f e t y and
w e l f a r e of t h e i r
citizen^.^
The f e d e r a l government h a s no such g e n e r a l p o l i c e powers, b u t i t may e n a c t r e g u l a t o r y laws a s a n i n c i d e n t of i t sd e l e g a t e d powers, c h i e f of which f o r o u r p u r p o s e s i s i t s power t o r e g u l a t e
i n t e r s t a t e and f o r e i g n commerce. By s u c c e s s i v e i n t e r p r e t a t i o n s of t h e
Supreme Court t h i s h a s been c o n s t r u e d t o g i v e t h e United S t a t e s j u r i s d i c -
t i o n o v e r a l l n a v i g a b l e r i v e r s , e x t e n d i n g t o t h o s e c a p a b l e of b e i n g made
n a v i g a b l e a s w e l l a s t h o s e a c t u a l l y n a v i g a b l e . 3 I n a d d i t i o n t o t h e commerce
c l a u s e , f e d e r a l p o l l u t i o n c o n t r o l programs may d e r i v e s u p p o r t from t h e
g e n e r a l w e l f a r e and p r o p e r t y c l a u s e s . ( A r t . I , § 8 and A r t .
IVY
§ 3 ) . F i n a l l y , t h e compact c l a u s e o f t h e F e d e r a l C o n s t i t u t i o n s e r v e s as t h eb a s i s f o r i n t e r s t a t e compacts i n v o l v i n g water ( A r t . I , § 1 0 ) . Somewhat i n
t h e manner o f t h e t r e a t y making a u t h o r i t y , t h e compact c l a u s e s u p p l i e s a framework f o r i n t e r - g o v e r n m e n t a l agreements under which t h e s t a t e s may
i n c u r b i n d i n g o b l i g a t i o n s , sometimes even o v e r r i d i n g p r i v a t e r i g h t s b a s e d
upon s t a t e law. 4
I n s h o r t , t h e f e d e r a l and s t a t e c o n s t i t u t i o n s and t h e i n h e r e n t s o v e r -
e i g n powers of t h e s t a t e s p r o v i d e a b r o a d f o u n d a t i o n f o r w a t e r p o l l u t i o n
c o n t r o l programs a t s t a t e , f e d e r a l and i n t e r s t a t e l e v e l s - - s o broad
i n d e e d t h a t i n e v i t a b l y i t b e a r s t h e s e e d s of some p o t e n t i a l o v e r l a p p i n g ,
d u p l i c a t i o n and c o n f l i c t . On t h e p o s i t i v e s i d e , though, t h i s c o n s t i t u t i o n a l
s t r u c t u r e s u p p l i e s a needed f l e x i b i l i t y t h a t p e r m i t s an a t t a c k upon k n o t t y
problems from s e v e r a l d i r e c t i o n s a t once, and t h a t a f f o r d s o p p o r t u n i t i e s
f o r t r i a l - a n d - e r r o r w i t h o u t r i s k i n g a l l of t h e eggs i n one b a s k e t . I f t h i s
does n o t produce n e a t and t i d y r e s u l t s i t i s p r o b a b l y j u s t a s w e l l , f o r t h i s
C o n s t i t u t i o n s of c o u r s e p l a c e r e s t r i c t i o n s on t h e e x e r c i s e of a u t h o r i t y
a s w e l l a s s u p p l y i n g a s o u r c e of a u t h o r i t y , and t h e r e a r e i m p o r t a n t c o n s t i -
t u t i o n a l r e s t r i c t i o n s t h a t impinge upon r e g u l a t i o n of w a t e r p o l l u t i o n - -
i n c l u d i n g t h e r e q u i r e m e n t s of s u b s t a n t i v e and p r o c e d u r a l due p r o c e s s and
e q u a l p r o t e c t i o n of t h e laws; and t h e p r o h i b i t i o n a g a i n s t t a k i n g of p r o p e r t y
w i t h o u t compensation. While t h e s e r e s t r i c t i o n s and some r e l a t e d g e n e r a l
p r i n c i p l e s of a d m i n i s t r a t i v e law p l a y a n i m p o r t a n t r o l e i n s h a p i n g t h e
r e g u l a t i o n of w a t e r p o l l u t i o n , t h e y a r e f o r t h e most p a r t p r i n c i p l e s which
a r e common t o a l l r e g u l a t o r y programs and need n o t b e d e t a i l e d h e r e . A
number of d e c i s i o n s have e s t a b l i s h e d t h a t w a t e r p o l l u t i o n i s s u b j e c t t o
r e g u l a t o r y c o n t r o l s under p r o p e r l y d r a f t e d s t a t u t e s
,
a l t h o u g h t h e a p p l i c a t i o nof such c o n t r o l s may r a i s e c o n s t i t u t i o n a l q u e s t i o n s under some c i r c u m s t a n c e s .
5
The Common Law Element
The s t a r t i n g p o i n t i n t h e l e g a l h i s t o r y of w a t e r p o l l u t i o n abatement
i s i t s common law e l e m e n t , c o n s i s t i n g mainly of t h e r i g h t s of r i p a r i a n landowners ( i n r i p a r i a n r i g h t s j u r i s d i c t i o n s ) , and of o t h e r landowners
a f f e c t e d by n u i s a n c e c o n d i t i o n s , t o b r i n g c i v i l s u i t s f o r t h e v i o l a t i o n
of t h e i r p r o p e r t y r i g h t s . During t h e 1 9 t h Century t h e c i v i l damage o r
i n j u n c t i o n s u i t t o g e t h e r w i t h l o c a l p r o s e c u t i o n o r p u i s a n c e abatement
a c t i o n under powers d e l e g a t e d by t h e s t a t e were t h e l e g a l t o o l s a v a i l a b l e
f o r c o n t r o l l i n g w a t e r p o l l u t i o n . The c i v i l s u i t remains a r i g h t of i n j u r e d
landowners today, and o c c a s i o n a l l y s t a t e l e g i s l a t u r e s r e c u r t o t h e c i v i l
s u i t a s a method f o r e n f o r c i n g s t a t e p o l i c y , a s i n t h e c a s e of " f i s h k i l l "
l e g i s l a t i o n t h a t h a s been e n a c t e d i n some s t a t e s r e c e n t l y . 6 I n t i m e i t
became a p p a r e n t t h a t c i v i l l i t i g a t i o n and l o c a l a c t i o n would n o t a l o n e
e p i s o d i c q u a l i t y of p r i v a t e l i t i g a t i o n , i t s i n a b i l i t y t o p r e v e n t damage,
problems of proof and l o c a l i s m - - a l l of t h e s e c o n t r i b u t e d t o t h e e v e n t u a l
d e c l i n e of t h i s 1 9 t h Century system of p o l l u t i o n abatement and h e l p e d t o
engender t h e momentum f o r modern s t a t e laws r e g u l a t i n g w a t e r p o l l u t i o n . 7 The v e r y r e c e n t r e v i v a l of t h e u s e of c i v i l l i t i g a t i o n t o i n f l u e n c e
d e c i s i o n s on w a t e r p o l l u t i o n and o t h e r e n v i r o n m e n t a l q u a l i t y i s s u e s a t t e s t s
t o t h e c o n t i n u e d v i a b i l i t y , however, of c i v i l l i t i g a t i o n a s one of t h e
i m p o r t a n t weapons i n t h e a r s e n a l of p o l l u t i o n c o n t r 0 1 . ~
S t a t e Water P o l l u t i o n C o n t r o l Programs
Around t h e t u r n of t h e c e n t u r y t h e s e a r c h f o r more e f f e c t i v e c o n t r o l s
began t o produce r e s u l t s i n t h e form of s t a t u t e s p r o h i b i t i n g t h e d i s c h a r g e
of s p e c i f i c w a s t e s of an e s p e c i a l l y damaging character--e.g., dangerous
t o p u b l i c h e a l t h o r t o f i s h l i f e . The same p e r i o d saw t h e b e g i n n i n g s of
t h e f i r s t major e f f o r t by s t a t e governments t o t a c k l e t h e w a t e r p o l l u t i o n
problem on a l a r g e s c a l e - - t h r o u g h t h e s t a t e h e a l t h departments w i t h emphasis
upon t h e p r o t e c t i o n of p u b l i c h e a l t h and p a r t i c u l a r l y on p r o t e c t i n g t h e
s o u r c e s of p u b l i c w a t e r s u p p l i e s a g a i n s t c o n t a m i n a t i o n from sewage. I n
t h e i n t e r v e n i n g y e a r s two t r e n d s have developed i n t h e s t a t e laws and
programs. One of t h e s e i n v o l v e d o r g a n i z a t i o n ; t h e o t h e r , l e g a l s t a n d a r d s .
I n t h e a r e a o f a d m i n i s t r a t i v e o r g a n i z a t i o n t h e r e h a s been a movement
away from r e l i a n c e on p u b l i c h e a l t h a g e n c i e s toward g r e a t e r u s e of autonomous
w a t e r p o l l u t i o n c o n t r o l o r g a n i z a t i o n s o r toward a combination of w a t e r
p o l l u t i o n c o n t r o l programs w i t h o t h e r w a t e r r e s o u r c e s o r n a t u r a l r e s o u r c e
o r e n v i r o n m e n t a l p r o t e c t i o n programs. T h i s h a s r e s u l t e d i n a s i t u a t i o n
where l e s s t h a n o n e - t h i r d of t h e s t a t e w a t e r p o l l u t i o n c o n t r o l programs a r e
p o l l u t i o n c o n t r o l s t a t u t e s t h e s e a g e n c i e s t y p i c a l l y perform a v a r i e t y of
r e l a t e d f u n c t i o n s , i n c l u d i n g s u p e r v i s i o n of t h e f e d e r a l sewage t r e a t m e n t
g r a n t s , r e p r e s e n t a t i o n of s t a t e i n t e r e s t s b e f o r e f e d e r a l a g e n c i e s , p a r t i -
c i p a t i o n i n g e n e r a l w a t e r r e s o u r c e p l a n n i n g and r e s e a r c h , e t c . The l a s t
s e v e r a l y e a r s h a s b r o u g h t e x p e r i m e n t a t i o n w i t h f u r t h e r c o m b i n a t i o n s ,
such a s combined w a t e r and a i r p o l l u t i o n c o n t r o l a g e n c i e s and d e p a r t m e n t s
of n a t u r a l r e s o u r c e s and t h e environment.
I n t h e a r e a of l e g a l s t a n d a r d s t h e r e h a s been
a
tendency towardb r o a d e n i n g t h e b a s i c c r i t e r i a f o r v i o l a t i o n of w a t e r p o l l u t i o n c o n t r o l
laws and b r o a d e n i n g t h e s c o p e of t h e s e laws. Some of t h e s t a t e s t a t u t e s ,
f o r example, now e x p l i c i t l y p r o t e c t r e c r e a t i o n a l o r r e s e a r c h u s e s of
w a t e r , s o t h a t w a s t e s which r e n d e r a s t r e a m u n f i t f o r r e c r e a t i o n o r r e s e a r c h
may b e r e g u l a t e d . Most, i f n o t a l l , of t h e s t a t e laws h a v e been broad-
ened t o cover d i s p o s a l of i n d u s t r i a l w a s t e s a s w e l l a s sewage. Also, some
of t h e laws have been extended t o ground w a t e r s a s w e l l a s s u r f a c e w a t e r s .
I n summary, t h e c u m u l a t i v e impact and d i r e c t i o n of t h e s e changes i s toward
p r o t e c t i n g a l l r e c o g n i z e d u s e s of ground and s u r f a c e w a t e r s from p o l l u t i o n
of any kind--not merely p r o t e c t i n g s t r e a m s from p o l l u t i o n by sewage t o
such an e x t e n t a s t o endanger p u b l i c h e a l t h o r f i s h l i f e . 9
I n t e r s t a t e Measures
I n t h e a r e a of i n t e r s t a t e a c t i o n , t h e r e a r e two major avenues t h a t
h a v e been f o l l o w e d by t h e s t a t e s : t h e s u i t between two o r more s t a t e s
w i t h i n t h e o r i g i n a l j u r i s d i c t i o n of t h e U. S . Supreme Court (under A r t .
111, § 2 of t h e C o n s t i t u t i o n ) , and t h e i n t e r s t a t e compact. lo A s u i t
i n t e r s t a t e p o l l u t i o n problems. The i n t e r s t a t e compact, which r e q u i r e s
s t a t e l e g i s l a t i v e s a n c t i o n and a p p r o v a l by Congress, h a s o f f e r e d a more
e f f e c t i v e means f o r promoting r e g i o n a l w a t e r p o l l u t i o n c o n t r o l programs.
When Edward C l e a r y reviewed t h e t o p i c of i n t e r s t a t e a g e n c i e s a t t h e
N a t i o n a l Conference on Water P o l l u t i o n i n 1960 he r e p o r t e d t h a t t R e r e . w e r e
s e v e n i n t e r s t a t e a g e n c i e s r e c o g n i z e d by USPHS a s engaged i n w a t e r p o l l u t i o n
c o n t r o l , i n c l u d i n g t h e l e a d i n g example, ORSANCO, which has f l o u r i s h e d under
C l e a r y ' s l e a d e r s h i p (Ohio R i v e r V a l l e y Water S a n i t a t i o n Commission), 11
The most r e c e n t example of t h e s p e c i e s i s t h e Delaware R i v e r Basin Compact,
which p r o v i d e s t h e f i r s t American example of a p o l l u t i o n abatement compact i n t h e c o n t e x t of a basinwide program f o r comprehensive w a t e r r e s o u r c e
development and c o n t r o l . The Delaware compact a l s o b r e a k s new ground by
two o r g a n i z a t i o n a l i n n o v a t i o n s : i t p r o v i d e s f o r f e d e r a l r e p r e s e n t a t i o n on
t h e Commission w i t h f u l l v o t i n g powers, and i t a l l o w s t h e Commission t o
a c t on t h e b a s i s of a simple m a j o r i t y v o t e , f o r e g o i n g t h e u s u a l v e t o power
g i v e n t o t h e r e p r e s e n t a t i v e s of e a c h p a r t i c i p a t i n g s t a t e i n p o l l u t i o n
compact a g e n c i e s . 1 2
/ F e d e r a l Programs
F e d e r a l Water P o l l u t i o n C o n t r o l Act--Federal l e g i s l a t i v e i n t e r e s t i n
w a t e r p o l l u t i o n d a t e s from 1899 when a p r o v i s i o n of t h e R i v e r s and H a r b o r s
Act p r o h i b i t e d d i s c h a r g e s of r e f u s e i n t o n a v i g a b l e w a t e r s t h a t might s e r v e
a s a n impediment t o n a v i g a t i o n . 1 3 While t h i s s t a t u t e h a s been u t i l i z e d
i n some i n s t a n c e s t o c o n t r o l p o l l u t i o n by i n d u s t r i a l w a s t e s , i t d e a l s w i t h
o n l y a l i m i t e d a s p e c t of w a t e r p o l l u t i o n c o n t r o l . l4 I n t e r e s t i n t h e u s e
of t h i s s t a t u t e h a s i n c r e a s e d r e c e n t l y , however, w i t h t h e r e c o g n i t i o n t h a t
t h a n t h e comprehensive F e d e r a l Water P o l l u t i o n C o n t r o l A c t s ~ f t h e p a s t
two d e c a d e s . An E x e c u t i v e Order of December 25, 1970 (E.O. No. 11574)
e s t a b l i s h e d a Refuse Act p e r m i t program, r e q u i r i n g t h a t a p e r m i t be
s e c u r e d from t h e S e c r e t a r y of t h e Army f o r d i s c h a r g e of p o l l u t a n t s o r
r e f u s e m a t t e r i n t o n a v i g a b l e w a t e r s . The S e c r e t a r y i s d i r e c t e d t o f o l l o w
t h e i n t e r p r e t a t i o n s and f i n d i n g s of t h e A d m i n i s t r a t o r of t h e Environmental
P r o t e c t i o n Agency i n a d m i n i s t e r i n g t h e p e r m i t program.
Comprehensive f e d e r a l p o l l u t i o n c o n t r o l l e g i s l a t i o n i s of v e r y r e c e n t
o r i g i n , stemming from e x p e r i m e n t a l l e g i s l a t i o n i n 1948, t h e f i r s t permanent
Water P o l l u t i o n C o n t r o l Act i n 1956, and i t s 1961 and 1965 amendments (33 U.S.C.
466-4668). The r e g u l a t o r y f e a t u r e s of t h e Act a r e s e t i n t h e c o n t e x t of
a comprehensive program i n c l u d i n g r e s e a r c h and i n v e s t i g a t i o n , t r a i n i n g and
g r a n t s i n a i d . O r i g i n a l l y t h e s e f u n c t i o n s were lodged f o r a d m i n i s t r a t i o n
i n t h e P u b l i c H e a l t h s e r v i c e 1 5 b u t d u r i n g 1965 and 1966 t h e y were t r a n s -
f e r r e d t o a s e p a r a t e b r a n c h of HEW, t h e F e d e r a l Water P o l l u t i o n C o n t r o l
A d m i n i s t r a t i o n , which i n t u r n was removed from HEW t o I n t e r i o r by a n
E x e c u t i v e R e o r g a n i z a t i o n P l a n . The l a t e s t R e o r g a n i z a t i o n P l a n , i n 1970,
has t r a n s f e r r e d t h e agency (renamed t h e " F e d e r a l Water Q u a l i t y A d m i n i s t r a t i o n " )
t o t h e Environmental P r o t e c t i o n Agency.
The r e g u l a t o r y j u r i s d i c t i o n of t h e F e d e r a l Water P o l l u t i o n C o n t r o l
A d m i n i s t r a t i o n under t h e Act i s a s f o l l o w s :
F i r s t on a n i n t e r s t a t e s t r e a m where t h e r e i s p o l l u t i o n i n
-9
one s t a t e t h a t endangers h e a l t h o r w e l f a r e i n a n o t h e r s t a t e , t h e Act
can b e invoked i n e i t h e r of two ways: on a r e q u e s t by S t a t e a u t h o r i t i e s
w i t h o u t a s t a t e r e q u e s t upon t h e b a s i s of r e p o r t s o r s t u d i e s a v a i l a b l e
t o t h e S e c r e t a r y .
Second, t h e Act can a l s o b e invoked i n i n t r a s t a t e s i t u a t i o n s
by r e q u e s t of a s t a t e governor only--where t h e p o l l u t i o n b o t h o c c u r s
i n h i s s t a t e and a f f e c t s h e a l t h o r w e l f a r e w i t h i n t h a t same s t a t e .
Under t h e s t a t u t e t h i s could t a k e p l a c e e i t h e r on i n t e r s t a t e s t r e a m
o r a n a v i g a b l e i n t r a s t a t e s t r e a m .
T h i r d , t h e Act can b e invoked on e i t h e r i n t e r s t a t e o r i n t r a -
s t a t e w a t e r s by f e d e r a l i n i t i a t i v e i f t h e S e c r e t a r y f i n d s t h a t t h e
p o l l u t i o n i s c a u s i n g s u b s t a n t i a l economic i n j u r y t o t h e m a r k e t i n g of
s h e l l f i s h i n i n t e r s t a t e commerce.
The p r o c e d u r e t h a t must b e f o l l o w e d , assuming t h e r e i s j u r i s d i c t i o n ,
i n v o l v e s , f i r s t , a conference w i t h t h e s t a t e and i n t e r s t a t e a g e n c i e s ; t h e n ,
i f n e c e s s a r y , a p u b l i c h e a r i n g ; and f i n a l l y , i f n e c e s s a r y , a f e d e r a l c o u r t
a c t i o n t o s e c u r e abatement.
A s a r e s u l t of 1965 amendments, t h e FWPCA was empowered t o e s t a b l i s h
s t a n d a r d s of w a t e r q u a l i t y a p p l i c a b l e t o i n t e r s t a t e w a t e r s , and t o a p p l y
t h e s e s t a n d a r d s i n i t s enforcement p r o c e e d i n g s . These changes s h o u l d
' s t r e n g t h e n enforcement a c t i v i t i e s by g r e a t l y s i m p l i f y i n g t h e t a s k of t h e
FWPCA i n p r o v i n g v i o l a t i o n s . The 1965 amendments d i d n o t l e a v e t h e f u n c t i o n
of a d o p t i n g s t a n d a r d s e x c l u s i v e l y t o t h e FWPCA, however. Indeed t h e i n i -
t i a t i v e on s t a n d a r d s w a s l e f t t o t h e s t a t e s , which may adopt t h e i r own
c r i t e r i a i f t h e y wish. S t a t e s t a n d a r d s and enforcement p l a n s , i f s a t i s -
The h i s t o r y of t h e 1965 amendments r e v e a l s a n i n t e r e s t i n g i f anomalous
s i d e l i g h t . A s o r i g i n a l l y i n t r o d u c e d t h e s e amendments would have g i v e n t h e
s t a n d a r d making a u t h o r i t y d i r e c t l y t o t h e FWPCA a s a means of s t r e n g t h e n i n g
i t s enforcement p r o c e e d i n g s . T h i s p r o p o s a l m e t w i t h v i g o r o u s o p p o s i t i o n
from t h e s t a t e w a t e r p o l l u t i o n c e n t r a l a g e n c i e s , whose spokesmen h e l p e d
t o e v o l v e t h e compromise b i l l t h a t was f i n a l l y p a s s e d , g i v i n g t h e i n i t i a t i v e
on s t a n d a r d s - s e t t i n g t o t h e s t a t e s , s u b j e c t t o FWPCA review. The e f f e c t
of t h e review p r o v i s i o n of t h e compromise, however, h a s been t o v a s t l y
expand f e d e r a l s u p e r v i s i o n o v e r s t a t e programs. A s a r e s u l t , t h e s t a t e
agency a r c h i t e c t s of t h i s compromise may w e l l b e much more s u b j e c t t o f e d e r a l
s u r v e i l l a n c e t h a n would have been t h e c a s e under t h e o r i g i n a l 1965 p r o p o s a l .
T h i s , t h e n , i s t h e b a s i c f e d e r a l r e g u l a t o r y s t a t u t e a s i t now s t a n d s .
As of t h e S p r i n g of 1968, i t had been a p p l i e d i n some f o r t y - t h r e e c a s e s
which had reached t h e c o n f e r e n c e s t a g e , of which o n l y f o u r had gone t o t h e
h e a r i n g s t a g e and o n l y one of which went t o c o u r t . 1 6 According t o c h i e f
enforcement o f f i c e r Murray S t e i n , a s of mid-1964, t h e r e g i o n a l o f f i c e s
of t h e agency were k e e p i n g some 220 c a s e s under s u r v e i l l a n c e , of which
a b o u t 90 a p p e a r t o need a t t e n t i o n now.'' A c o n s i d e r a b l e u p g r a d i n g of
FWPCA enforcement a c t i v i t i e s h a s r e s u l t e d from t h e a g e n c y ' s r e o r g a n i z a t i o n
and t h e standards'amendments, and i s l i k e l y t o r e c e i v e f u r t h e r impetus
from t h e c u r r e n t e n v i r o n m e n t a l a c t i v i s m .
M i s c e l l a n e o u s P o l l u t i o n C o n t r o l Actions.--Further amendments adopted
i n 1966 extended t h e S e c r e t a r y ' s power t o i n s t i t u t e enforcement p r o c e e d i n g s
t o c a s e s where p o l l u t i o n i n t h e U n i t e s S t a t e s endangers h e a l t h o r w e l f a r e
Several Executive Orders, including one issued by President Johnson in
1966 and one issued by President Nixon in 1969 (modified in 1970), have
sought to cope with the problem of water pollution resulting from federal
activities. The Johnson order established a general standard of secondary
treatment for federal installations and prescribed procedures to be
followed with respect to both existing and new facilities.19 The Nixon order
fixed responsibility for review of and compliance with water pollution
control standards on heads of federal agencies, and set a compliance dead-
line of December 31, 1972.~' The responsibility of agency heads for compliance
of their agency activities with applicable water quality standards is pin-
pointed by the Federal Water and Environmental Quality Improvement Act of 1970,
P.L. 91-224.
The National Environmental Policy Act of 1969 (P.L. 91-190) should
strengthen water pollution control efforts in some respects. The Act
created a 3-member Council on Environmental Quality in the Executive Office
of the President, with responsibility to assist the President in preparing
an annual Environmental Quality Report to Congress, and to review and
appraise federal programs and policies in light of the environmental quality
enhancement policies set forth in the Act. (The Environmental Quality
Improvement Act of 1970, P.L. 91-224, supplemented the 1969 Act by estab-
lishing an Office of Environmental Quality in the Executive Office and by
designating as its Director the Chairman of the C.E.Q.) Henceforth, under
the terms of this 1969 Act, all federal policies and laws are to be inter-
preted in light of these policies, and all federal agency reports and
recommendations on legislation are to include a statement concerning en-
vironmental impact, adverse environmental consequences and alternative
courses of action. Litigation-minded environmental protection groups are
already forcing the issue upon the agencies by bringing lawsuits to ensure
F e d e r a l Power Act.--There a r e o t h e r s o u r c e s of f e d e r a l a u t h o r i t y f o r
c o n t r o l l i n g w a t e r p o l l u t i o n , t h e most s i g n i f i c a n t of which i s t o b e found
i n t h e h y d r o e l e c t r i c l i c e n s i n g p r o v i s i o n s of t h e F e d e r a l Power Act. The
FPC l i c e n s i n g f u n c t i o n e x t e n d s t o a l l non-Federal h y d r o e l e c t r i c p r o j e c t s
on government l a n d s and on s t r e a m s o v e r which Congress h a s j u r i s d i c t i o n
under t h e commerce c l a u s e . Under t h e Power Act i t i s t h e Commission's
j o b , whenever t h e development of a w a t e r r e s o u r c e f o r h y d r o e l e c t r i c power
i s proposed, t o d e c i d e w h e t h e r t h e power development i s c o m p a t i b l e o r can b e made c o m p a t i b l e w i t h a comprehensive p l a n t o develop t h e w a t e r r e s o u r c e
t o s e r v e t h e o v e r - a l l p u b l i c i n t e r e s t , and t h e Commission i s g i v e n b r o a d
d i s c r e t i o n t o p r e s c r i b e implementing c o n d i t i o n s i n l i c e n s e s . 21 T h i s
l i c e n s i n g power can b e a s t r a t e g i c l e g a l t o o l f o r r e g u l a t i n g w a t e r
p o l l u t i o n t h r o u g h r i v e r c o n t r o l measures. I t e n a b l e s t h e FPC t o s c r u t i n i z e
a l l major non-Federal h y d r o e l e c t r i c impoundment p r o p o s a l s ; t o c o n s i d e r
t h e long-range p h y s i c a l , b i o l o g i c a l and chemical consequences f o r t h e r i v e r ;
and t o t a k e t h e s e f a c t o r s i n t o account i n d e c i d i n g whether t o l i c e n s e t h e
p r o j e c t and i f s o , upon what terms.
Every FPC l i c e n s e i n c l u d e s c e r t a i n s t a n d a r d form c o n d i t i o n s t h a t have
been evolved. 22 To supplement t h e s t a n d a r d c o n d i t i o n s t h e Commission o f t en
p r e s c r i b e s s p e c i a l p r o v i s i o n s i n a l i c e n s e , sometimes e n t a i l i n g l a r g e expendi-
t u r e s by t h e l i c e n s e e . For example, i n o r d e r t o improve t h e q u a l i t y of
w a t e r r e l e a s e d from s t o r a g e a t t h e Gaston and Roanoke Rapids p r o j e c t s of
t h e V i r g i n i a E l e c t r i c Power Company of t h e Roanoke R i v e r , t h e Commission
p r e s c r i b e d c e r t a i n minumum flow and D. 0 . c o n t e n t r e q u i r e m e n t s t h a t r e s u l t e d
i n a n $850,000 i n v e s t m e n t i n submerged w e i r s by VEPCO. 2 3
O i l P o l l u t i o n . - - T h e O i l P o l l u t i o n Act of 1924, f o r m e r l y a d m i n i s t e r e d
by t h e S e c r e t a r y of t h e Army, was p l a c e d under t h e j u r i s d i c t i o n of t h e
a p p l i e s t o t h e s e a w i t h i n t h e t e r r i t o r i a l j u r i s d i c t i o n of t h e U n i t e d S t a t e s
and t o i n l a n d w a t e r s t h a t a r e n a v i g a b l e i n f a c t . Persons d i s c h a r g i n g o r
p e r m i t t i n g t h e d i s c h a r g e of o i l a r e r e q u i r e d t o remove i t from n a v i g a b l e
w a t e r s and a d j o i n i n g s h o r e l i n e s o r t o pay t h e c o s t of removal by t h e
S e c r e t a r y . H i s t o r i c a l l y t h e Act h a s n o t a p p l i e d t o a c c i d e n t a l s p i l l s ,
b u t amendments approved by Congress i n A p r i l 1970 make o i l companies
a b s o l u t e l y l i a b l e up t o $100 p e r g r o s s t o n (of t h e t a n k e r c a u s i n g t h e
s p i l l ) o r $14 m i l l i o n i n t o t a l c o s t . The 1970 amendments a l s o p r o v i d e d
f o r c o n t r o l s t o e n s u r e t h e removal of hazardous s u b s t a n c e s d e s i g n a t e d by
t h e P r e s i d e n t from n a v i g a b l e w a t e r s and c o a s t a l w a t e r s , and f o r F e d e r a l
s t a n d a r d s t o p r e v e n t sewage d i s c h a r g e from v e s s e l s .
F e d e r a l G r a n t s i n id. - - 2 5 ~ e d e r a l w a t e r ' p o l l u t i o n c o n t r o l g r a n t s i n
a i d a r e a v a i l a b l e t o s t a t e s , l o c a l governments, i n t e r s t a t e a g e n c i e s , and
o t h e r s i n s e v e r a l c a t e g o r i e s , i n c l u d i n g :
*Sewage and w a s t e t r e a t m e n t works c o n s t r u c t i o n
* S t a t e and i n t e r s t a t e agency program g r a n t s
*Comprehensive b a s i n p l a n s
*Research and development.
Sewage and w a s t e t r e a t m e n t g r a n t s a r e a u t h o r i z e d f o r 30% of e l i g i b l e
c o s t s of t r e a t m e n t p l a n t s , i n t e r c e p t o r s and o u t f a l l sewers. (There i s no
g e n e r a l f e d e r a l sewer s y s t e m g r a n t program.) B e f o r e 1967 t h e s e g r a n t s had
maximum l i m i t s o n i n d i v i d u a l p r o j e c t amounts, b u t t h e s e l i m i t a t i o n s h a v e
been removed. The f e d e r a l g r a n t p e r c e n t a g e may b e i n c r e a s e d t o 40% i f
t h e r e i s a n a p p l i c a b l e s t a t e g r a n t program t h a t s u p p l i e s a t l e a s t 30%
of t h e c o s t s . It may b e i n c r e a s e d t o 50% i f t h e S t a t e pays a t l e a s t
25% and e n f o r c e a b l e w a t e r q u a l i t y s t a n d a r d s have been e s t a b l i s h e d f o r
t h e a f f e c t e d w a t e r s . C u r r e n t a n n u a l a u t h o r i z a t i o n s under t h e t r e a t m e n t
and $1.25 b i l l i o n f o r ' £ i s c a l y e a r 19 71. Under t h e Appalachian R e g i o n a l
Development program,26 W C A sewage t r e a t m e n t g r a n t s may b e i n c r e a s e d
t o a s much a s 80% f o r l o c a l i t i e s i n t h e Appalachia a r e a .
G r a n t s a r e a v a i l a b l e f o r a s s i s t a n c e t o S t a t e w a t e r p o l l u t i o n
c o n t r o l programs under t h e Clean Water R e s t o r a t i o n Act of 1966, t o t a l l i n g
$10 m i l l i o n p e r y e a r . They a r e a l l o t e d under a formula t h a t t a k e s i n t o
account p o p u l a t i o n , e x t e n t of p o l l u t i o n problems and f i n a n c i a l need.
The Clean Water R e s t o r a t i o n Act of 1966 and t h e Water Q u a l i t y Act
of 1965 a l s o made a v a i l a b l e ( s u b j e c t t o s p e c i f i e d t o t a l a u t h o r i z a t i o n s )
two a d d i t i o n a l g r a n t c a t e g o r i e s : g r a n t s f o r comprehensive b a s i n p l a n s
of w a t e r q u a l i t y c o n t r o l and abatement, and g r a n t s f o r r e s e a r c h and
development c o n c e r n i n g s t o m and combined s e w e r s , f o r advanced w a s t e t r e a t m e n t and i n d u s t r i a l - m u n i c i p a l s y s tems
,
and f o r i n d u s t r i a l w a s t et r e a t m e n t . The b a s i n p l a n n i n g g r a n t s p e r m i t payment of up t o 50% of
a d m i n i s t r a t i v e expenses of an approved b a s i n p l a n n i n g agency f o r n o t
l o n g e r t h a n t h r e e y e a r s , f o r t h e p u r p o s e of d e v e l o p i n g a p l a n of w a t e r
q u a l i t y s t a n d a r d s , recommended t r e a t m e n t works and sewer s y s t e m s , and
reconmended maintenance and f i n a n c i n g measures. The R & D g r a n t s a r e
a v a i l a b l e ( i n the c a s e of s t o r m and combined sewer p r o j e c t s , advanced
w a s t e t r e a t m e n t s y s t e m s , and j o i n t i n d u s t r i a l - m u n i c i p a l t r e a t m e n t s y s t e m s )
t o s t a t e s , m u n i c i p a l i t i e s , and i n t e r s t a t e and i n t e r m u n i c i p a l a g e n c i e s f o r
up t o 75% of p r o j e c t c o s t s . R & D g r a n t s f o r i n d u s t r i a l p o l l u t i o n p r o j e c t s
a r e a v a i l a b l e t o p r i v a t e p e r s o n s (such a s i n d u s t r i a l c o n s u l t a n t s ) as w e l l
1970 amendments also authorized demonstration projects concerning acid mine
wastes and pollution control in the Great Lakes and Alaskan Villages, as
well as expanded training grants.
Some of the subjects touched upon in this chapter will be revisited
and enlarged in later chapters. For example, the next two chapters will
review in much greater detail the statutory basis of some state activities.
CHAPTER 2
STATE WATER POLLUTION CONTROL ORGANIZATION
AND LEGISLATION I N GENERAL
I n t r o d u c t i o n
I n t h e p r e c e d i n g Chapter t h e o r i g i n s and h i s t o r i c t r e n d s i n S t a t e
w a t e r p o l l u t i o n c o n t r o l laws and programs were b r i e f l y n o t e d ( s e e pp. 6-7).
I t was observed t h a t t h e b e g i n n i n g s of t h e s e s t a t e programs can be t r a c e d
t o t h e t u r n of t h e l a s t c e n t u r y ; t h a t t h e e a r l y , a l m o s t e x c l u s i v e r e l i a n c e
on p u b l i c h e a l t h a g e n c i e s a s t h e v e h i c l e f o r w a t e r p o l l u t i o n c o n t r o l h a s
been m o d i f i e d , though n o t t o t a l l y abandoned; and t h a t t h e l e g a l s t a n d a r d s
u n d e r g i r d i n g t h e s e programs have been broadened and s t r e n g t h e n e d by a p r o c e s s
of e v o l u t i o n d u r i n g t h e p a s t h a l f c e n t u r y , b o t h i n scope of a p p l i c a t i o n
( e . g . , adding coverage of i n d u s t r i a l w a s t e s a s w e l l a s sewage) and i n
c r i t e r i a of p r o t e c t e d u s e s ( e . g . , adding r e c r e a t i o n a l u s e s t o t h e p r o t e c t e d
c a t e g o r y ) .
I n t h i s Chapter t h e l e g i s l a t i o n and o r g a n i z a t i o n f o r t h e s t a t e programs
w i l l b e reviewed i n g r e a t e r d e p t h . Much of t h i s ground h a s been w e l l covered
i n p r e v i o u s l i t e r a t u r e , s t a r t i n g w i t h t h e f a m i l i a r and e x c e l l e n t C a l i f o r n i a
2 7
"blue-book" of McKee and Wolf, Water-Quality C r i t e r i a , and c o n t i n u i n g
through t h e work of Murphy, H i n e s , G i n d l e r and o t h e r s . This Chapter w i l l r e l y
h e a v i l y on t h a t p r e v i o u s l i t e r a t u r e . Appendix A summarizes i n some d e t a i l
t h e l i t e r a t u r e c o n c e r n i n g t h e laws and programs of p a r t i c u l a r s t a t e s .
H i s t o r i c a l Background
I n t h e e n t h u s i a s m of t h e c u r r e n t movement f o r e n v i r o n m e n t a l p r o t e c t i o n
i t i s e a s y t o assume t h a t concern f o r e n v i r o n m e n t a l q u a l i t y s p r i n g s from
, w e l l aware, t h i s i s n o t t h e c a s e . On t h e c o n t r a r y , s i g n i f i c a n t e f f o r t s t o
i d e n t i f y and develop e f f e c t i v e means of w a t e r p o l l u t i o n abatement i n t h e
United S t a t e s have been underway f o r a t l e a s t a c e n t u r y . The e a r l i e s t s t e p s
emphasized l o c a l enforcement and p r i v a t e l i t i g a t i o n , and i n v e r y r e c e n t t i m e s
t h e r e h a s been an i n c r e a s i n g f e d e r a l r o l e . But i n t h e i n t e r v e n i n g y e a r s and
c o n t i n u i n g t o t h e p r e s e n t d a y , t h e major burden of p o l l u t i o n c o n t r o l a c t i v i -
t i e s has been c a r r i e d by t h e s t a t e governments.
The 1 9 t h Century L o c a l Emphasis.--The f i r s t e f f o r t s t o cope w i t h
w a t e r p o l l u t i o n problems i n t h i s c o u n t r y l a i d heavy s t r e s s on l o c a l c o n t r o l .
"The p o l l u t i o n c o n t r o l movement," a s E a r l F i n b a r Murphy observed i n h i s
28 I ,
remarkable s t u d y of w a t e r q u a l i t y c o n t r o l i n Wisconsin, c a r r i e d a n e a r l y
emphasis upon l o c a l e f f o r t , upon change a t m u n i c i p a l o r township o r even
p r e c i n c t l e v e l . The r e f o r m e r s b e l i e v e d everyone i n t h e community had t o
c o o p e r a t e f o r s a n i t a r y reform t o b e e f f e c t i v e .
. . .
Water s u p p l y and w a s t ed i s p o s a l were p o p u l a r l y r e g a r d e d a s p e c u l i a r l y l o c a l i n c h a r a c t e r . This
p a r o c h i a l p r e j u d i c e was b u t t r e s s e d f u r t h e r i n t h e United S t a t e s by s t a t e
c o n s t i t u t i o n a l p r o v i s i o n s l i m i t i n g s t a t e i n d e b t e d n e s s i n such a way a s t o
f o r c e most p u b l i c e x p e n d i t u r e down t o t h e l e v e l of l o c a l government. For
g e n e r a t i o n s i n t h i s c o u n t r y t h e major method of f i n a n c e f o r w a t e r s u p p l y and
sewage d i s p o s a l systems was t h u s through m u n i c i p a l bonds p a y a b l e o u t of l o c a l
r e a l p r o p e r t y t a x e s o r , i n t h e t w e n t i e t h c e n t u r y , through sewerage s e r v i c e
c h a r g e s . By American custom t h e u n i t of government, which a r r a n g e d t h e b u l k
of t h e f i n a n c i n g , c o n t r o l l e d t h e p r o j e c t t o b e f i n a n c e d under t h a t program.
Methods of f i n a n c e , p o p u l a r p r e j u d i c e , and r e f o r m i s t a g i t a t i o n a l l a g r e e d
upon t h i s b a s i c c o n d i t i o n - - t h a t l o c a l government o r v o l u n t a r y a c t i o n t a k e
L o c a l e f f o r t as' t h e s o l e o r p r i m a r y f o c u s of c o n t r o l was p l a i n l y doomed
t o f a i l u r e f o r p o l i t i c a l , economic and t e c h n i c a l r e a s o n s . N o n e t h e l e s s , a
g r e a t d e a l of l e g i s l a t i o n l o o k i n g toward l o c a l s o l u t i o n s t o w a t e r p o l l u t i o n
problems was e n a c t e d i n t h e 1 9 t h c e n t u r y . A s Murphy w r o t e , r e f e r r i n g t o t h e
e x p e r i e n c e of Wisconsin, 2 9
A c o n s i d e r a b l e q u a n t i t y of s t a t u t o r y law e x i s t e d , and a number of a d m i n i s t r a t i v e a g e n c i e s were c r e a t e d t h r o u g h o u t t h e p e r i o d t o d e a l w i t h t h e problems of w a s t e d i s p o s a l , w a t e r p o l l u t i o n c o n t r o l , and w a t e r p u r i f i c a t i o n . A c o n t e n t a n a l y s i s of n i n e t e e n t h - c e n t u r y Wisconsin s t a t u t e s shows s o much w a t e r p o l l u t i o n law t h a t t h e
r e a d e r marvels a t i t , u n t i l a f u r t h e r examination r e v e a l s t h a t , whatever t h e l e g i s l a t i v e i n t e n t , t h e l e g i s l a t i v e t e c h n i q u e s f o r h a n d l i n g t h e problem were w o e f u l l y i n a d e q u a t e . Throughout t h e
c e n t u r y c o n t r o l was s o u g h t by t h r e e means: d e l e g a t i o n t o l o c a l u n i t s of government of t h e power t o p r e v e n t o r a b a t e t h e p o l l u t i o n n u i s a n c e ; l e g i s l a t i v e mandate e n f o r c e a b l e by c r i m i n a l p r o s e c u t i o n by l o c a l p r o s e c u t o r s , w i t h t h e f u l l p a r a p h e r n a l i a of f i n e s , f o r - f e i t u r e s , and s e n t e n c e s ; and a u t h o r i z a t i o n of c i v i l s u i t s f o r damages by a g g r i e v e d i n d i v i d u a l s . These r e p r e s e n t e d t h e cheap means of law e n f o r c e m e n t , i f emphasis was p u t upon t h e cheap
r a t h e r t h a n upon t h e enforcement. With i n s t i t u t i o n s and p r o c e s s e s such a s t h e s e any hope of e f f e c t i v e c o n t r o l was i d l e . G r a d u a l l y , a r e a l i z a t i o n of t h e v a l u e of c e n t r a l d i r e c t i o n d e v e l o p e d , b u t t h i s was a s l o w , p a i n f u l p r o c e s s i n Wisconsin, a s e l s e w h e r e .
Even where t h e s e l o c a l e f f o r t s were s u c c e s s f u l i n c o p i n g w i t h l o c a l
problems, t h e i r s u c c e s s was l i k e l y t o b e purchased a t t h e expense o f o t h e r s ,
a s Hines h a s o b s e r v e d :
Although t h e s e l o c a l a g e n c i e s [ t h e l o c a l board of h e a l t h ] were u s u a l l y c r e a t e d under a u t h o r i t y g r a n t e d by s t a t e l e g i s l a -
t i o n , t h e y were s i n g u l a r l y l o c a l i n c h a r a c t e r . The c o n t r o l s e x e r c i s e d were d i r e c t e d a t p r o t e c t i n g t h e h e a l t h and w e l l b e i n g of t h e l o c a l community. A l l t o o o f t e n t h e l o c a l governmental u n i t was f a i r l y e f f e c t i v e i n c l e a n i n g up i t s own w a t e r s u p p l y , o n l y t o t u r n around and f l u s h i t s own w a s t e s downstream t o t h e m a n i f e s t harm of i t s n e i g h b o r s . A s t h e s t a t e s moved i n t o t h e
20th c e n t u r y , e x p e r i e n c e proved t h a t t h e c u m u l a t i v e e f f e c t of l o c a l r e g u l a t o r y programs was n o t s u f f i c i e n t t o p r o t e c t t h e p u b l i c ' s h e a l t h and s a f e t y .
Common Law Remedies: P r i v a t e L i t i g a t i o n . - - W a t e r p o l l u t i o n may
remedies a t law by way of damages o r i n j u n c t i v e r e l i e f a r e a v a i l a b l e .
Thus, a s McKee and Wolf n o t e , " t h e a u t h o r i t y t o c o n t r o l w a t e r p o l l u t i o n
began w i t h t h e common law.
.
. .
The b a s i c d o c t r i n e t h r e a d i n g i t s way throught h e numerous c o u r t d e c i s i o n s on t h e s u b j e c t a f f i r m s t h e p r i n c i p l e t h a t no
r i g h t can b e a c q u i r e d f o r a n u n r e a s o n a b l e abuse of a w a t e r t o t h e e x t e n t
t h a t a downstream u s e r s u f f e r s l o s s o r h a r d s h i p . 1130 I n p o i n t of p r i n c i p l e ,
i t may be n o t e d , l i t t l e improvement can be made on t h i s p r o p o s i t i o n , But
i n p r a c t i c a l a p p l i c a t i o n , a s Murphy h a s o b s e r v e d , " n i n e t e e n t h - c e n t u r y
judge-made law s u f f e r e d from i n h e r e n t l i m i t a t i o n s . I t p r o v i d e d r u l e s
e n f o r c e d o n l y i n l i t i g a t i o n , o f f e r e d a remedy o n l y a f t e r damages were done
o r impended, and o f f e r e d remedies t h a t c o u l d b e employed o n l y where harm
was m e a s u r a b l e i n money terms. l f 3 1 (Or--as t h e l a t e S e n a t o r V i v i a n W h i t f i e l d ,
long-time Chairman of North ~ a r o l i n a ' s Stream S a n i t a t i o n Commission o f t e n
remarked--"The l o n g e s t way t o c o n t r o l l i n g p o l l u t i o n i s through a c o u r t -
house door ! ")
been
The o b s t a c l e s t o e f f e c t i v e p r i v a t e remedies f o r w a t e r p o l l u t i o n have
e l a b o r a t e d i n g r e a t e r d e t a i l by William H i n e ~ : ~ ~
I f e v e r y p e r s o n harmed by p o l l u t i o n can b r i n g a damage a c t i o n a g a i n s t t h e p o l l u t e r t o r e c o v e r f o r h i s l o s s and a l s o h a s a p o s s i b i l i t y of e n j o i n i n g t h e p o l l u t i n g a c t i v i t y i n an
e q u i t y s u i t , a r e t h o s e p r i v a t e remedies n o t a s u f f i c i e n t r e s t r a i n t t o keep w a t e r p o l l u t i o n w i t h i n t o l e r a b l e bounds? The answer t o t h i s q u e s t i o n i s a c a t e g o r i c a l no. T h e e x p l a n a t i o n r e q u i r e s t h e c o n s i d e r a t i o n of two e s s e n t i a l r e a s o n s .
F i r s t , a c t i o n s based on p o l l u t i o n a r e n o t e a s y t o win. Everyone a d v e r s e l y a f f e c t e d by p o l l u t i o n does n o t have s t a n d i n g t o s u e t h e p o l l u t e r . Even i f a p e r s o n does have s t a n d i n g t o s u e , t h e burden of p r o v i n g a c a s e may be awesome. The d e f e n s e s open t o t h e p o l l u t e r a r e many and v a r i e d . F u r t h e r , a f i n d i n g t h a t t h e p o l l u t e r i s r e s p o n s i
