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s
.;-"f
- OSWER DIRECTIVE 9630.10
I- . . " - :.','.' -''.
applied for State Program Approval are expected to make reasonable progress toward
submitting a completed application to EPA for approval of their UST prevention, corrective
action, and financial responsibility programs under Section 9004 of RCRA. A Region may
decide to reward a State's success in receiving State Program Approval with funds from the
LUST Trust Fund.
i. ''.' ' '," .""-.
i The solution to the problem of leaking USTs is for States to implement prevention
programs and to streamline their cleanup programs which, over time, will, result in a drastic .-$
reduction in the number of leaking USTs. The emphasis of EPA's long-term implementation f'^f
strategy is to develop strong State and local programs. EPA focuses its resources and efforts , ..'-J
on building and improving State programs while providing flexibility in approaches and :S
striving for constant improvement. EPA will work in tandem with Stales to improve ''^f
performance, streamline procedures, promote Total Quality Management and ensure if
environmental justice in specific program areas such as enforcement, inspections, site 4
assessments, and corrective actions. j it
: ' . ' ' '".-'.' \''," ; ' ' ' . . ' . '---;*"
HI. NATIONAL PRIORITIES. GOALS. AND FUND/*" " "«"»* -1
A. National Priorities
j EPA has identified four priority areas that are critical to successful implementation of
the national UST program. These priority areas highlight activities thalt States should
conduct. The four priorities are: Corrective Action Streamlining, Leak Detection Compliance
and Enforcement, State Program Approval, and early compliance with the 1998 Upgrading
Deadline. The goals and fundable tasks for each of the priority areas are discussed below^
j The Office of Underground Storage Tanks (OUST) and EPA Regions will continue to
hold annual strategic planning discussions on the status of State programs, and progress in
the priority areas. These discussions will result in a document called the "regional strategic
overview" (RSO). The RSO, along with this guidance, are expected to provide the basis for
granj: negotiations with States. . -.-_ !
B. Goals ' ,_ '. ,' ' " ,r ''. .' '~ ; ... ' ;',; " >.\,:-' ,"'/. ..-' '-:'_ \> rSI !
1) Corrective Action Streamlining . , -, ,.'--' ' " ;X->^^ ,
S To promote scientifically-sound, rapid, and cost-effective action at all UST sites >!l ;
I requiring corrective action through the use of streamlined processes, effective , :' .:'^ I
i technologies, and improved cross-program coordination. , L , ^i t::^
f *^ * f-.& : .../-"'...,-. '"!'" ~-;.-'" "' * -.-".*£
Note: OUST recognizes that accomplishment of the streamlining corrective action goal will
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. . OSWER DIRECTIVE 9630.10
be addressed primarily under the LUST Trust Fund cooperative agreements because of a
greater level of resources available from the fund. Corrective action quality improvements
include streamlining administrative and field processes, promoting the use of alternative
technologies to traditional pump and treat and excavation, employing risk-based decision
making in the corrective action process, and building strong state assurance funds. While
these activities are eligible activities under an UST grant, they will not be addressed
specifically in this guidance. Nevertheless, corrective action quality improvement activities
are in concert with prevention program activities and wiU augment the growth and
effectiveness of State UST prevention programs. -
2) Leak Detection Compliance and Enforcement
>' . ' L - '.
To ensure owners and operators routinely and correctly monitor all regulated tanks
and piping for leaks in accordance with the regulations.
3) State Program Approval
To encourage and ensure that all State programs develop sufficient authorities and
enforcement capabilities (to apply for approval from EPA) to operate in lieu of the «
Federal program. , --.:~.v^
. - .-.'.',. ..'.-"'V:^
' - ,-> ' '' -, '<»«%,.» *'-*%
4) Encouraging Early Compliance with 199?; Re^iirpmen^ ; : i ^|
'-. "'.- ~?"?$ju
' - r; '. ' . . '£ -
To encourage owners and operators to upgrade or replace their tanks well in advance - ^^S
of the December 1998 deadline. . fe- -isl
."..... .- ''-' ' - -:' ..''--.:..- ".'--' .^s,;it;
C. Fundable Tasks - ' ' .; .; ' ... . ;-.-'.,; / ;;'/ /f \°;'; ^: -.^/"HS'-^H
TO ' . ;;. ' "".- - - ' '.:-;-.' . "- : " -k:, '-'. :-;;^^?S
EPA recognizes that completion of many of these tasks is a process requiring a multir W13
year effort. For each task specific outputs for individual States will be determined by -^^f
negotiations between the State and the EPA Regional Office. Required activities are only : "' f^?^^
those actually negotiated between an EPA Region and State. Negotiated tasks will take into ^
account the nature and extent of program needs in each State and the national priorities. The "
following tasks are eligible uses of UST grant funds. . , . _._- ,:>;.;;
v; .'"'"/ :- V:L-' -:?V-- ^&£3jg
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Corrective Action Streamlining -:v -. . ft
- develop adequate statutory and regulatory authorities , / '.;:'..'.'I'' J?~'"''; --.'.V'
- establish cleanup policies and write clear guidance for owners and operators
- streamline corrective action procedures , .< '
- establish mechanisms to determine and process high, medium and low-risk sites
- consider environmental justice as a qualitative factor in developing priority ranking
systems for state-lead cleanup and enforcement strategies
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OSWER DIRECTIVE 9630.10
- maintain data management system for notification information and STARS reporting
- conduct outreach (e.g., training/technical assistance) for State and local personnel,
consultants, owners and operators
- conduct formal and informal corrective action enforcement
- track the solvency ofState funds (refer to document "Monitoring the Financial
Soundness of Approved State Assurance Funds," OSWER Dif ective 9650.14)
- identify need for streamlining and opportunities for nbn-tradilional technologies and
risk based approaches
j - consider the use of qualified minority contractors and consultants on state-lead
i cleanups
2) lieak Detection Compliance and Enforcement ,
: - develop adequate authorities and procedures I
- identify, investigate, and enforce State/Federal regulations j
I - establish a well-trained field presence ] ;
; - develop and use alternative compliance mechanisms (e.g., field citations)
j - establish and maintain a leak detection compliance tracking system
, - maintain a data management system for notification information and STARS
reporting ,
; - develop and use an enforcement targeting scheme
- I - consider environmental justice in developing compliance/enforcement strategies
j - conduct effective outreach (e.g., training and technical assistance) to local agencies
', and owners and operators '
- streamline enforcement procedures
3) State Program Approval
- implement transition tasks (for States that have notyet received State program
i approval) ,
; - develop/revise State authorities and regulations to meet Federal standards
- establish enforcement capabilities and procedures : j . : :..v
i > develop draft State Program Approval application , j - *-..
I - complete final State Program Approval application ;; l
- investigate additional mechanisms to fund State programs ~\ " ,
4> Encouraging Early Compliance with 1998 Requirements ^ A': ; ,
! - Obtain statutory authority and develop and promulgate regulations necessary to
{ monitor and enforce compliance with State or Federal requirements (whichever are
| applicable) to upgrade or replace UST systems by December 1998-including
i authority and regulations under which substantial penalties can !be imposed for failure
! to meet the deadline . . '-.-.-f V'; '"
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. OSWER DIRECTIVE 9630.10 f;
- Design programs to monitor and enforce compliance with the upgrade/replace /,;
requirementsincluding programs involving cooperation with State agencies <
responsible for enforcing compliance with other health, environmental, and consumer ;£
protection requirements applicable to UST owners and operators ;£
_ i - - ' v ....,- '"^f
- Conduct outreach activities (either alone or in collaboration with trade associations J.'*J-
serving UST owners and operators, equipment vendors, and other stakeholders) to . .,,-1^
ensure that UST owners and operators are aware of the upgrade/replace requirements, ;|
help them understand what they must do and what options they have, and encourage ^
them to come into compliance as early as possible at all facilities, including those in -|
environmental justice communities . ; .1
- Build or improve State capability to track compliance with the upgrade/replace ;ff
requirements, maintain complete and accurate data on compliance, and use the data to ;;."'.-'11
periodically summarize and assess the status of compliance state-wide. f&-
'. C <*
- Explore the potential value and feasibility of setting up State financial assistance ; ji
programs for upgrading or replacement of UST systems 'Cf
- Design programs to ensure that UST systems that are not upgraded or replaced are tj
properly closed ".-"'?%
Other Tasks- ' " '.. ; - ... ,',; . '. , . .... .,_. ., ',,.,, «VfM
The national program supports efforts on the State level to integrate Comprehensive : ^ * ';-'|||
State Groundwater Protection Program efforts with UST prevention program activities. The -' v " / A|
primary goal of this plan is to avoid duplication of effort.and identify common information % ,:U.^
needs. , , .-,'.' .... -'." -.- .. .' ":, \ , :. "" ,; y. ""s *? "I'J'jjsFsi
. .' .'"" ' :: ' " '--: " ' : ' ." "''- ; '' '.-'. "" "'--:..:.'.'/; ^."S\Sil"
The national program also supports State efforts to achieve environmental justicejby r, ; j^g
developing outreach materials and targeting programs to low income and minority j . " r^
communities. ' . , .. .-\ ' ' ' . ' " ', ':: ./'>."; ':~' :':.":x,4^
IV. ALLOCATION OF STATE GRANT FUNDS .;.. - > *,- _ ^ .'.'.: , T -^ ^-..' -.4 r^%$^
For planning purposes, assume that the total State grant allocations remain at $9 r r -; H*;|
million a year. If this changes in tliis year or in future years, a memorandum regarding
Regional UST grant allocations will be sent to the Regional Program Managers. r
Assuming $ 9 million is the total allocation, the grant funds will be allocated to the
Regions at the rate of $162.5 thousand per State (plus Puerto Rico and the District of
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I OSWERDIRECItVE9630.10
Columbia) and $137.5 thousand for the Virgin Islands and Pacific Trust Territories. Regions
have the ability to move funds among their States and territories. The; following table
illustrates how much each Region will be allotted based upon this formula.
Regional Allotments for State UST Program Grants
Region 1
Region 2
Region 3
Region 4
RegionS
Region 6
Region 7
Region 8
Region 9
Region 10
Total
I
$975k
625k
975k i
1300k
975k
812.51k
650k
975k
1062.5k
650k
$9000k
V. ' STATE MATCH - !
"-« . . " . '! :
I ; .' . ' .... ' ;; ". .-' - ; :; . -. -. v r*v. - ...r--: '
; State UST program grants will continue to require a minimum of 25 % grant match
from the States. Of course, the State match may include in-kind contributions. States are
encouraged to provide information on the size of their commitment of total resources to the
program, even when this exceeds 25%. i _;
VI. GRANT ADMINISTRATION
\ - ,
Grant Anolication , :
j The State or Region may initiate the grant process. A State may submit a draft grant
application to the Region, or the Region may provide a draft work plan to its States for
consideration. . ; ' - . , / . >..,,
^
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OSWER DIRECTIVE 9630.10
Grant Negotiations
Specific activities funded under each State's grant work plan will be determined
through negotiations with the Region. In accordance with the Agency's policy on
performance-based grants, each State will be expected to make specific task and resource
commitments as part of its grant agreement. Commitments should reflect the priorities stated
in the RSO and in this guidance.
.3
3
-*-:1*
Designated State agencies may enter into intergovernmental agreements with sub-state |
or local government agencies and thereby provide funds for the performance of specific tasks , ^
(40 CFR Section 31.36). The designated State agency retains the ultimate responsibility for
ensuring that such funds are expended properly, in accordance with Federal requirements.
Sub-state agencies that intend to contract out for services must comply with applicable
procurement requirements (40 CFR Part 31), and should also consider the use of qualified
minority contractors and consultants.
(grant Awards .
All available grant funds should be obligated to the State in the fiscal year in which
the grant is awarded. States should make every effort to use grant monies during the allotted, ,
period. Otherwise, carryover funds may be awarded at the Regional Administrator's
discretion, but only for the purposes specified in this guidance.
UST program grant funds may be used only for eligible activities, e.g., those which
are: (1) necessary to develop and implement an approvable State UST program, and (2)
activities which are allowable for funding (see OMB circular A-87 and CFR 31.22).
.-M
When a State does not seek program approval or make sufficient progress toward ' -t ; l|
State Program Approval, the Regional Administrator may use funds not awarded or - :~t ; k-1
committed to that State to supplement awards to other States or to support a Federal program
to be conducted in a state in which an acceptable State program does not exist. "*
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OSWER DIRECTIVE 9630.10
Suggested Grant Award Schedule (may vary by Region)
As scheduled
by the Region
i
April-June
August
By Sept. 30
i - . ,. '
October
Hold RSO discussions with HQ
Develop draft grant applications (Regions and States)
Regions begin grant .negotiations with States
States submit final grant applications
Regions have processed grant up to point of award
Regions begin to award grants
Grant Oversight
! '.- ' . ' ' ' " ; -. . - - ...'. i -
j In accordance with Agency policy, the Region must conduct at least one on-site
review. Regions should plan a mid-year and/or end-of-year review wilh each State, and
forward to OUST/HQ a copy of each State's performance evaluation final report. Regions
may arrange for more frequent reviews with States. .
I The comprehensive program review for each State should discuss progress toward
completion of funded tasks. Reviews should identify:
| 1. areas of success including approaches that could be shared v/ith other States;
2. areas for improvement in the UST program;
^3. areas where EPA assistance could be helpful, including a plan for action;
! 4. areas where EPA or other Federal agencies are a barrier or icreate problems for the
| State program, creating a need for EPA to address, such areas, j
j ' '."'.' : i: ..'....'
i Copies of all State program evaluation reports and end-of-year grant reports should be
sentjto Dana Tulis, Chief, Operations Branch, OUST, within 30 days of completion of the
report.' . .' . .;. , . V :. < .; '.. - .
State Reporting Requirements and Schedule ' _"' ' j :. .;
! ' ' " ..",. - '' ^"'' i-'C',1 " '" -"'..-.-
| States must report required program activities to the Regions (see Attachments 1 &
2). In addition, all states are to report in a timely and accurate fashion the data needed for
quarterly activities reports and the STARS reports for the EPA UST program. Regions will
need to relay this data to OUST/HQ within 10 working days of the end of each fiscal
8
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OSWER DIRECTIVE 9630.10
quarter. Regions and States must develop reporting schedules that allow them to meet these
deadlines. Regions shall request that States add annual data concerning total number of
petroleum tanks and number of hazardous substance tanks (existing and closed) to the
quarterly activities report. States only need to report the information concerning the number -. j
of tanks (G-4) once a year on the second quarter report. ,
OUST is requesting that Regions validate that States are updating their UST database ..; J;-^
information, including the total number of federally-regulated tanks and the number of .
hazardous substance USTs, prior to submittal of STARS data. Please refer to February 19, J
1993 memorandum: "Follow-up to the IG Audit on the National Tank Inventory" for further '-J'*
details.
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OSWER DIRECTIVE 9630.10
State
ATTACHMENT 1 I
. -I
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
OFFICE OF UNDERGROUND STORAGE TANKS
STARS REPORT
Region
Quarter
Corrections
Ip previous
data
G-l
' 1 ,
G-2
G-4
TF-1
t
TF-2
TF-3
t
\
TF-3
TF-3
TF-5
USTrlA
UST-1B
UST-2A1
UST-2A2
UST-2A3
UST-2C1
States submitting
complete applications
for State program
approval.
Number of states with
authorized programs.
Number of closed
tanks.
Number of reported
confirmed releases.
Number of emergency
responses taken.
LUST cleanups
initiated: petroleum,
Responsible Party
lead.
LUST cleanups
initiated: petroleum,
State lead with TF
money.
LUST cleanups
initiated: petroleum,
State lead with State
money.
Site cleanups
completed: petroleum,
Responsible party
lead.
,
; . *
1
" 1 '
1
1 ^
'
4
>:$
,; j&~
'3
(
':*
'.' 'I
",'*
10
V
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OSWER DIRECTIVE 9630.10
1F-S
EF-5
TF-5
UST-2C2
UST-2C3
Site cleanups
completed: petroleum,
State lead with TF
money.
Site cleanups
completed: petroleum,
State lead with State
money.
Sites with
enforcement actions.
Cumulative
last quarter
Actions
this
quarter
Corrections
to previous
data
Cumulative
total
,.855
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ATTACHMENT 2 ^ .
" ','." ." ' if"'
U.S. ENVIRONMENTAL PROTECTION AGENCY
OFFICE OF UNDERGROUND STORAGE TANKS
LEAK DETECTION COMPLIANCE AND ENFORCEMENT REPORTING
Fiscal Quarter
1234
Region
State:
MEASURES
I
Number of Leak Detection
Inspections
Number of Infonnal Enforcement
Cases !
Number of Fonnal Enforcement
Cases j
Corrected numbers for last
quarter
... - ,'
- " v; ''-:- ':"' " "
Actions taken this quarter
. 'r '>".
\
'! J ' ,
' '
Items of note . '". ',r....":.
» Count actions which occurred during the current quarter. ' |-
» Regional and State information will be reported separately - States continue to report to the Regions,
which will then forward separate Regional and State totals to OUST. ,; _ . ..
<*
LP Measures* Definitions: " v
1. Number of Leak Detection Inspections: An inspection is defined as a visit to a single facility by a State
employee or designated State agent who checks equipment performance and condition, as well as the quality
of records management. Count general compliance inspections as long as leak detection methods and records
are checked. Count installation inspections if leak detection systems are checked as part of the inspection.
Do not count inspections for piping only. Count the number of facilities inspected, not the number of UST
systems. (Must be used by all States and Regions). . .- L;
I ' ' . ". . . ; ,...-. .-' .-.'""'.";'.;-.»- --" &;?...;?""_'..-; -->/'-- . " "'/,.
2. Number of Infonnal Enforcement Cases: These are any series of actions that sire taken to notify an
owner/operator (O/O) of the O/O's responsibilities after the State has made a preliminary determination that
an UST iystem(s) is out of compliance. These may cite a punitive authority or potential penalty, but do not
actually exercise mat authority to require the O/O to return to compliance. Generally these infonnal cases
may include a series of: warning letters, field citations without penalties, show-caiuse meetings, re-inspections,
etc. For! the Regions, these informal cases include warning letters, NOV's, and QQQ5 Information Request
Letters; all other tools should be considered fonnal. If this infonnal case is later escalated to become a
fonnal enforcement case (as defined below), it should be counted twice: once as informal and once as formal.
(Must be used by all Regions, States may either use or negotiate a modified definition with the Region,
which must be submitted to HQ in writing). ,-,. v. ^. ,.Ls - >
3
.
3. Number of Formal Enforcement Cases: These are any series of formal administrative, civil, or criminal
notices or regulatory actions (depending on the State's authority) that rely on punitive authority (e.g. penalty,
arrest, permit revocation, etc.) to require an Q/O to return to compliance. Generally, these formal cases may
include a series of: notices of violation, administrative complaints, field citations with penalties, formal .
referral to State counsel, arrest, etc. (Must be used by all Regions, States may either use or negotiate a
modified definition with the Region, which must be submitted to HQ in writing). '
REPORTS DUE TO OUST- Within 10 working days of the end ofjgach fiscal quarter. "-'--- -
| ' «* ' ***<; -T
12
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