&EPA
United States
Environmental Protection
Agency
Office Of
Water
(WH-5415)
January 1993
Office of Wastewater
Enforcement Ancl
Strategic Plan
•': •£."{ 'C ;:;;e- 1 fid f>,-i try «•= ".'.'•.
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OFFICE OF WASTEWATER ENFORCEMENT AND COMPLIANCE
STRATEGIC PLAN
FOREWORD
In August of 1991, the Office of Wastewater Enforcement
and Compliance (OWEC), (created as a result of an overall
reorganization of the Environmental Protection Agency (EPA's)
Office of Water), began a process for identifying its vision for
the future of EPA's surface water control programs. This
document is the result of that process, which also involved other
key stakeholders in our programs, including States and
municipalities. We in OWEC do not consider this.to be a final
document in any way. As program realities change over the coming
years and the priorities of the incoming administration are
incorporated, this document will certainly change to reflect
those shifts. As such, we consider it to be a "living document"
to help guide us in the future rather than a detailed blueprint.
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TABLE OF CONTENTS
Summary of OWEC Strategic and -Operation Principles
Strategic Program Directions and Summary of Policy Goals
Policy Goal 1 - Permitting Priorities
Policy Goal 2 - Integrated Compliance
Policy Goal 3 - Pollution Prevention
Policy Goal 4 - Funding Leadership
Policy Goal 5 - Effective Coordination w/Other Organizations
Policy Goal 6 - Developing An Empowered Workplace
Policy Goal 7 - State and Local Capacity Building
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Detailed Description of Policy Goals
Permitting Priorities
I
Integrated Compliance
Pollution Prevention - .[ .
Funding Leadership
Effective Coordination w/Other Organizations
Developing an Empowered Workforce
j
State and Local Capacity Building
1
3
3
5
6
7
8
9
10
11
11
20
26
31
36
40
43
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SUMMARY OF OWEC STRATEGIC AND OPERATING PRINCIPLES
Introduction
Over the past several months OWEC, through its strategic planning
and team building efforts, has been going through a process to
identify a basic vision and mission statement, a series of
strategic directions for its major programs, and a series of
basic operating principles which would define how we do our
business and how we relate to outside customers, both within and
outside.the Agency.
OWEC Vision |
OWEC'S Vision is "Clean Water A Better Environment"
OWEC Mission Statement
OWEC's mission is restore, maintain, and protect the Nation's
waters by reducing and preventing point source
pollution. !
Basic Operating Principles , '
" " ' !
l. consultation; We will take all reasonable steps to develop
and implement our programs in consultation with the appropriate
customers. This consultation will result in a sounder, more
responsive product that meets both our needs and the needs of our
customers. -•
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2> Flexibility and Innovation; in developing and. implementing
our programs at all levels, we will take all necessary steps to
define the most flexible and innovative means of doing so, using
a wide variety of tools, in ways that meet the intent and
requirements of the Clean Water Act. This way of doing business
W1i ^ help ensure tnat consistent base programs are in place
and that scarce resources at all levels of government are most
effectively used.
3- Risk Reduction and Pollution Prevention; To the maximum
extent practicable, we will implement our programs in ways that
contribute to the overall goals of maximizing risk reduction and
preventing pollution. These principles will be integrated both
within and across of our programs. , ' •
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4. Enforcement: We will maintain a vigorous and effective
enforcement program, focusing on those violators in significant
noncompliance with Clean Water Act requirements. At the same
time, we will explore and use, as appropriate, innovative
approaches to dealing with the underlying causes of noncompliance
for those facilities not in significant noncompliance, with an
increased emphasis on minor facilities.
5. Developing Effective Partnerships; The expertise and
resources of all relevant outside parties will be used to both
educate the public on the importance of our programs, and to
assist us and our co-regulators in ensuring that these programs
are effectively implemented.
6. Measures of Success; We will develop and use effective
measures of success for our programs using the best scientific.
and technical information available. This mix will include, over
time, measures that document the true environmental benefits of
our programs supplemented, in the short term, by timely and
realistic programmatic measures.
7. Total Quality Management; We will make maximum use of Total
Quality principles and practices as we carry out our
responsibilities. TQM will not be a convenient slogan within
OWEC; rather it will be an integral part of our operating style.
8. Developing an Empowered Workforce; Finally, we will take
steps to ensure that the OWEC workforce at all levels feels
empowered to take innovative steps to do the job better, are
given all appropriate support to meet their short term and long
•term career goals, and are excited about working together at all
levels of the organization. s
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Strategic Program Directions; \
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The following section summarizes.the basic directions embodied in
each of the existing policy goals in the OWEC Strategic Plan. It
is not intended to summarize the entire policy goal, but rather
to capture the essential points of each one.
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Policy Goal #1—Permitting Priorities
o our basic priority setting system will emphasize addressing
first those problems presenting the greatest y-i «^k to the
environment and maintaining a credible national program
which is responsive to statutory mandates. The intent is to
ensure that, as a starting point. Regions and States have in
place consistent and credible programs based on clear
guidance from Headquarters. As additional resources become
available, additional activities will be undertaken based on
relative risk to the environment.
0 High priority to be placed on issuing enforceable permits to
new facilities or activities not vet addressed in the NPDES
system (e.g. CSOs. stormwater. and sludged and incorporating
new water quality standards in NPD3S permits. Generally,
this will mean a shift of emphasis and resources into wet
weather programs.
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0 CSO permitting will be conducted consistent with thg
Expanded Combined Sewer Overflow Policy. This policy, which
is an extension of the 1989 CSO Strategy, is intended to
provide guidance to all relevant parties on coordinating the
planning, selection, sizing, and construction of CSO
controls.
o Permitting for Phase I stormwater sources win he conducted
consistent with the strategy previously laid nut for the
program. Actions for Phase II stormwater- Eirmrv^g ™i n be
defined based on information from a variety of sources
including the Rensselaerville Project, the .general Federal
Register Notice which seeks comments on a number of options
for addressing these sources, and information gathered for
the Reports to Congress required under Section 402 (p)(5).
We will also work closely with the nonpoint source program
in identifying cost-effective strategies for addressing
Phase II sources.
o The fundamental objective of the sludge program is to help
get effective State programs in place that promote, to the
maximum extent practicable, the beneficial reuse of sludge.
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Priority for sludae-permitting will be first targeted to
sludge incinerators, facilities posing a threat to human
health and the environment, and facilities where permits are
necessary to support: or promote beneficial reuse.
The sludge program will also make extensive use of education
and outreach tools to inform the public of the importance of
beneficial reuse and effective treatment to ensure high
quality sludge.
We will continue aggressive implementation of the National
Pretreatment program, placing significant emphasis on
controls, industrial, commercial and domestic sources
causing or contributing to problems at POTWs. We will also
incorporate comprehensive requirements in NPDES permits
requiring POTW program implementation and enforcement.
Finally, we will establish new measures of performance for
local pretreatment programs, with greater emphasis on
environmental measures and indicators.
We will encourage watershed initiatives where watershed
management plans have been developed, including, increased
attention to minor permittees where they are a significant
cause of a failure to meet water quality objectives.
Permitting authorities should require automatic reopeners in
order to synchronize permit issuance with watershed
permitting strategies.
Finally, we will examine ways to facilitate permit issuance
through the expanded use of various innovative wavs of
"working smarter" such as expanded use of general permits,
administrative continuance of low risk permits, use of
alternative dispute resolution techniques in permit appeals,
and possible elimination of evidentiary hearings (appeals
would instead be referred to civil court).
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Policy Goal #2— Integrated Compliance Approach
o We will continue to implement a vigorous and Affective
enforcement program which is fully consistent with the
requirements of the Clean Water Act.
o Overall thrust of this goal is to maximizes compliance
through an integrated program using all available tools
(enforcement, assistance, training, education, etc) based on
the nature of the noncompliance;
0 Mai or permittees in SNC will continue to be addressed
exclusively through formal enforcement actions. Majors in
RNC will continue to be addressed primarily thirough
enforcement, but, based on an examination of the underlying
causes of these lesser violations, other app-roaches mav be
employed to address these violations.
o Similarly, we will undertake an extensive analysis of
alternative wavs to address noncompliance by ™-inr»-
permittees focusing on a wide variety of potential tools and
a better understanding of the relative risk they pose. In
the meantime, we will seek opportunities to focus compliance
efforts on minors found to be a barrier to water quality in
State or local watershed plans.
Public outreach and generic training will
used extensively, especially in emerging programs like
stormwater and sludge to promote initial eompl ianr-*..
OWEC will systematically explore options for making the
enforcement process more efficient such as expedited penal t-.v
orders f" traffic tickets") . use of ADR technirjn*g_^» -
resolving penalty disputes, use of inspect-, i rm strategies in
sludge and stormwater designed to focus on the most
environmentally significant facilities and create maximum
deterrence. We will also analyze the feasibility of
promoting the use of compliance assurance systems by major
industrial facilities or for an entire industry.
Finally, we will emphasize the need for moi-e aggressive and
efficient enforcement programs at the stat-.a level and at the
local level in the case of pretreatment . Specific
objectives may include having all States with administrative
penalty authority, EPA and States implementing policies
which define criteria for EPA overfilling of State
enforcement actions, and having all States with written
penalty policies generally consistent with EPA policies.
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Policy Goal #3—Pollution Prevention
o Basic intent is integrate pollution prevention into all
appropriate OWEC activities in order to reduce pollutant
loadings, conserve resources, and improve compliance.
o Effective integration of pollution prevention will involve
such things as ensuring that P2 approaches are considered to
the maximum extent possible in developing effective NPDES
permit limits and in POTW implementation of local
pretreatment programs, negotiating administrative and
•judicial settlements, and ensuring that MWPP programs
designed to assist municipalities identify and address
potential noncompliance problems early on are
institutionalized in all States, and seeing that
municipalities and industries are routinely performing P2
self audits.
o Other areas of our programs where pollution prevention will
be a major factor include implementation of 106 and 104 (b)
grants, our Water Use Efficiency strategy, and our
industrial stormwater permitting program.
o Critical components of our outreach and education efforts
include guidance and assistance from Regions and States for
pollution prevention in both voluntary and regulatory
actions, including heavy emphasis on training for permit
writers. Other components include working with national
organizations (e.g. ASIWPCA and AMSA) to foster and promote
P2 approaches, and encouraging POTWs to assume a leadership
role in providing technical assistance to industries, small
businesses, and individuals.
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Policy Goal *4— Trader ship for QW Funding Tasn^g
«
o
theotru^ to cofflEl(ite_^nd_close_out
the Construction Grants program as efficiently anH -
expeditiously as possible -
i
Where appropriate, private firms will be directly involved
in providing capital for expanding and upgrading facilities
previously funded through the CG and/or SRF programs
To this end, regulations, policies. *„* procedures win
revised to remove barrJPrs to the implication of
Private Partnerships <"P3s)7 ~ --
Beyond this, we will work closely with spates to use
as a funding source for not only wastewafrer construction^
but also for a variety of other needs ~~ -
Lrr?nd'?!terflWa1'far n°nSerVatl'°nf Poll nf ion prevention. *nH
wet lands restoration . This will be done under both current
law and through any legislative amendments that may be
forthcoming. T
the role of Pers°nnel (HQ and Regions) in the CG
a;£ S^ Programs will be examined to determine ways to more
effectively integrate these individuals over the long term
into a wider variety of point source activities
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Policy Goal #5—Effective Coordination with Other Offices
o A major component of this effort will to improve
communication efforts among various programs at the Federal
and State level in con-junction with regular outreach. ,
training, and indoctrination programs to ensure that all
relevant staff can more effectively coordinate their
activities.
o Specific areas for improving coordination within OW include
effluent guidelines and water quality criteria development.
development and promotion of effective nonpoint source
controls, to complement the Phase II stormwater program, and
specific analytical tools such as Total Maximum Daily Loads
fTMDLs).
o This effort will also focus on other Federal agencies. For
example, we will work closely with the Department of the
Interior to address stormwater permitting issues related to
abandoned mines.
o Improved coordination will be extended to the regulated
community as well, through such efforts as working to see
that water gualitv criteria are developed based on the best
possible scientific analysis and tools.
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Policy Goal #6—Developing an Empowered Workforce
o Purpose of this goal is to take actions f.0 empower OWEC
employees at all levels to take innovative actions to <*
the lob done as effectively as possible, pT-oyjde the
necessary tools to help employees meet the
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Policy Goal #7 — State and Local Capacity Building
Ensure the
adequate.
predictable resources to meet current and future
requirements under the CWA. This will be done initially
through a detailed characterization of these needs in order
to target our efforts to the greatest needs first.
We will take steps to improve communications and outreach in
order to inform and educate State and local governments on
innovative approaches in the areas of technology transfer,
funding approaches, elimination of institutional barriers to
more efficient program implementation, and building public
and political understanding of the environmental benefits
derived from these programs.
As we identify more specific implementation approaches, we
will make a major effort to target more resources to them as
well as incorporate their accomplishments into the budget
and State grants processes, the relevant OWEC or OW
accountability systems, and future OWEC and OW strategic
Planning deliberations.
In addition. Regions will work with States to develop their
own strategic plans, providing the flexibility necessary to
meet the needs of each while providing sufficient
accountability and consistency with the OWEC strategic
directions described in this document.
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DETAILED DESCRIPTION OF POLICY flQM.S
POLICY GOAL #1: ISSUE AND REISSUE ALL PERMITS IN A TIMELY MANNER
BASED ON A PRIORITY SYSTEM ESTABLISHED TO PROTECT HUMAN HEALTH
AND THE ENVIRONMENT AND USING ALL AVAILABLE CLEAN WATER ACT
AUTHORITIES.
ABSTRACT . j •
o The purpose of this policy goal is to establish a set of
permitting priorities for the next five years which
consolidates and builds on accomplishments to date in the
NPDES, Sludge, and Pretreatment programs, while adapting to
new statutory, regulatory, and policy initiatives. The
overall thrust of the priority-setting system is to ensure
that EPA, States, and municipalities address first those
problems presenting the greatest risk to human health and
the environment while maintaining a credible national
program which is responsive to statutory mandates.
Additional activities would be undertaken in the various
program areas as resources allow.
o This approach assumes no substantial increases above present
resource levels. Thus, Agency and State priorities may need
to be adjusted to accomplish the five year objectives The
approach also assumes some near'term disruption of existing
program plans, etc. as permitting authorities make any
necessary adjustments to existing priori typesetting
mechanisms; particularly in the area of newer national
initiatives.
o Permitting priorities would be implemented through approved~
strategies developed by EPA and State permitting authorities
which would establish an appropriate balance between
national and local objectives.
i
o Permitting priorities will be a significant part of the
priority for the development of technical guidance which
would define the means for appropriate permits.
FIVE YEAR PROGRAM OBJECTIVES
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Development of National Priority-Setting Mechanic
o Five year program .objectives associated with this policy
goal entail using the existing major/minor classification
system as a fundamental basis for priority setting. This
system would be complemented by the various! strategies
associated with newer program initiatives as well as by
overall policy objectives to help identify high priority
permits which will be the immediate focus of attention for
permitting authorities.
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o In addition, as resources allow, NPDES and Pretreatment
activities will be undertaken beyond those high priority
activities identified above. This additional level of
activity will include both greater numbers of permits
addressed as well additional conditions examined in
connection with various permits.
Permitting Priorities by- Program Area
o In general, a high priority will be placed on issuing
permits to new facilities or facilities not yet addressed in
the NPDES system (e.g., storm water, combined sewer
overflows, and sludge). In addition, a high priority will
be assigned to incorporating newly developed water quality
standards in NPDES permits.
o The precise ordering of priorities among the various program
areas will be based on an appropriate balance of national
policy initiatives and Regional and State discretion.
However, the following priority setting considerations will
be reflected in permitting authority work plans for the
respective program components.
o Permit backlogs will be kept as low as possible in view of
resource constraints.and priority activities.
Major NPDES Permitting
o In general, NPDES permits will be issued in accordance with
the following priority order:
1) Major or minor dischargers know to be causing water
quality problems (i.e., WQS violations, fishing bans,
etc.)
2) Major discharges on water quality-impacted receiving
waters.
3) New sources.
4) Major priority sludge facilities.
5) Major facilities which do not have current assessments
for in-stream aquatic toxicity and human health
impacts.
6) Major discharges which require only technology-based
requirements and where new or revised effluent
limitations guidelines need to be reflected in these
permits.
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have not been
7) Major discharges which require only technology-based
requirements and for which guidelines;
revised or recently issued.
Combined Sewer Overflows
As a first priority, ensure that the minimum technology-
based CSO controls (set forth in EPA's August 1989 strategy)
are reflected in all CSO permits as they aire reissued;
Include monitoring requirements in permits where necessary
to identify water quality impacts caused by these
discharges.
In addition, implement the expanded CSO policy which is
designed to include requirements to correct water quality
problems on a phased basis — worst water quality problems
addressed first and others addressed as resources allow.
Additional controls will be implemented, a!s necessary,
through permits or enforcement orders with compliance
schedules which consider size, scope, and cost of abatement
based on technical feasibility and economic impact.
Technology assessments which allow Regions and States a
basis for determining costs and technologies feasible for
individual permittees will be compiled and disseminated.
Storm Water
Issuance of baseline general permits, by the regulatory
deadlines, to cover the majority of dischargers of storm
water associated with industrial activity will be a high
priority.
Data on water quality impacts will be geithered, where
appropriate, during the first round of permitting for
industrial sources; this information will be used to
develop certain tailored general permits as necessary
(by industrial category or by watershed) and individual
permits in future rounds of storm water permitting as
described in the four tier permitting strategy.
Guidance on establishment of Pollution Prevention Plans
and Best Management Practices to implement the general
permits will be developed and provided to all
permittees. j
Technology assessments for structural arid non-
structural BMPs will be compiled and disseminated in
order to allow Regions, States, municipalities, and
industries to have the economic and technical knowledge
to prevent pollution through storm water permits.
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o Individual permits for municipal separate storm sewer
systems will be developed in accordance with the regulatory
deadlines based on information supplied in Part II
applications.
o Those dischargers from municipal separate storm' sewer
systems covered under the moratorium _(i.e., serving a
population of less than 100,000) would not be permitted,
unless data exist to indicate that a permit is necessary to
protect human health and the environment. In these cases
the authority of CWA Section 402(p)(2)(E) would be used to
develop permits.
o Actions for Phase II storm water sources will be defined
based on information from a variety of sources including the
Rensselaerville Project, the general Federal Register
notice, which seeks comments on a number of options for
addressing these sources, and information gathered for the
Reports to Congress required under Section 402(p)(5). These
actions will also be closely coordinated with the nonpoint
source program.
Sludge Permitting
o The fundamental objectives of the sludge permitting program
are to work with States to get quality programs in place
that promote, to the maximum extent practicable, the •
beneficial reuse of sludge.
o In the first round of slxidge permitting, permitting
authorities will rely, to the maximum extent possible, on
the self-implementing aspects of the 503 technical
standards. Permits would be issued to those "treatment
works treating domestic sewage" in one of the following high
priority categories:
Sludge incinerators (these facilities will likely need
site-specific analyses in order to fully apply the
Part 503 technical standards).
- Facilities designated by the permitting authority as
.posing a threat to human health and/or the environment
and which need to be fully evaluated in the context of
permit development.
- Facilities for which a permit is deemed to be necessary
in order to fully support or promote beneficial use and
the use and disposal requirements under our national
sludge regulations.
- Facilities whose NPDES permit comes up for reissuance
during the normal permitting cycle.
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of "sludge-only" permits will be
• Permit cycle following promulgation of
^w^r^H1^1 standards to treatment worki treating domestic
sewage that are not also NPDES permittees. £5uch permittees
accordin9 to the permitting authority's
»*
o Outreach to POTWs and the rest of the regulated community
will be provided in order to foster understanding of the
Part 503 regulations and to facilitate compliance with the
seit-implementing and permitting requirements of the
regulation.
o Implementation guidance and training for Regions, States
and POTWs will be provided in order to: (1) alJow a common
understanding of the Part 503 regulations; and (2) allow
municipalities the ability to meet the self-implementing
requirements prior to obtaining a permit. |
° ?°,,*-te Kaxinun extent possible, general permits (in lieu of
individual permits) will be developed and issued to broad
categories of "treatment works treating domestic, sewage."
o Guidance will be provided to septate haulers so that they
can comply with the regulations in the absence of a permit.
•
Minor NPDES Permits
o Development of permits for minor facilities will developed
in accordance with the following general priority order:
New sources (see national initiatives described above)
Minor sources determined to have a significant impact
on particular watersheds.
Permits and other time-saving techniques (e.g
possiblePermit issuance) wil1 be used to the maximum extent
Pretreatment
o
As permits are reissued for Pretreatment POTWS, approval
authorities should require control authorities to examine
and improve, as necessary, local limits to better achieve
the goals of the National Pretreatment program.
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o As permits are reissued for Pretreatment POTWS, include all
necessary chemical-specific limitations, whole effluent
limits, and sludge requirements that are needed to serve as
a basis for local limitations.
o Establish measures of environmental effectiveness of local
pretreatment programs (e.g., water quality and sludge
quality). Incorporate these measures into ongoing
implementation activities (such as audits, PCIs, or POTW
annual reports.
o Employ revised pretreatment oversight strategy to allow
"tailored" oversight of those portions of local pretreatment
programs requiring oversight that reflects the new measures
of performance.
o Establish guidance on the control of commercial and other
sources of toxics where they are found to significantly
contribute to or cause problems at POTWs.
Watershed permitting
o To the maximum extent possible, OWEC will encourage
watershed initiatives where water quality management plans
have been developed and approved or where particular sources
are causing a major problem in a particular watershed.
t
o Permitting authorities should include, at time of permit
reissuance, automatic permit reopeners, to allow revocation
and reissuance of the permit in order to synchronize permit
issuance with a basin-wide permitting strategies.
Permit Quality
o All permits issued or reissued should be of high quality and
developed in accordance with certain requirements and
principles applied consistently by all permit-issuing
authorities. .
Permits developed will reflect all applicable statutory
and regulatory requirements. In addition, to the
maximum extent possible, permits will include those
conditions identified as necessary in accordance with
national initiatives.
o Develop permit limits in all areas that are clearly
expressed and enforceable.
Facilitating Permit Development and Issuance
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A number of tools should be fully explored and utilized to
the maximum extent possible in order to be able to help to
manage the workload. Some of these tools may take longer
than the time frame envisioned by this strategy in order to
be fully developed. These include:
Expanded use of general permits in conjunction with a
compliance and enforcement regime bassed on spot-
checking and publicizing violations when they are
discovered;
Administrative continuance of low-risk permits; In
addition, consider seeking statutory change to allow
permit terms greater than 5 years (e.g. 7 or 10) for
certain types of permits. These longer term permits
would have mandatory reopener clauses.
Certification by permittees that they employ
appropriate best management practices in lieu of some
or all on-site monitoring.
Use of alternative dispute resolution mechanisms in
permit appeals in order to avoid delays experienced in
the current Administrative Law. Judge process.
Limited use of permit modifications to those
circumstances where absolutely necessary. In addition
seek to expand the definition of minor modification to
encompass many of the actions that are now considered
" "
Measures
Explore elimination of evidentiary hearings (e.g.,
appeals would be referred instead to civil court) .
Complete delegation of the following activities to
Regions: general permit issuance, PDF variance
requests, and SMCRA.
i
Revisions in requirements and procedures with respect
to Regional review of State permits.
Develop direct measures and indirect indicators of
environmental impact of permit issuance.
[
Explore the use of PCS to document loadings reductions from
permittees.
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o Quantifiable long term measures of success could include
some percentage of all priority watersheds assessed each
year for achievement of applicable criteria. Other measures
can include percentage reduced loadings of particular
pollutants to specific watersheds from point sources and
specified percentages of compliance with pollutants or
pollutant parameters of concern.
Compliance/Enforcement
o Enforcement initiatives will be taken in conjunction with a
strategy which recognizes time lag between developing new
permit conditions and compliance/enforcement activities.
o Compliance tools such as Discharge Monitoring Reports (DMRs)
and Significant Noncompliance (SNC) will be evaluated for
the need for any revisions.
SHORT TERM ACTIONS
o Develop, by 2/93, national policy and associated guidance to
articulate the priority-setting mechanism addressing all
elements discussed in the five year program objectives;
including coordination with all relevant Agency initiatives.
o Require State permitting authorities to develop and
implement permitting strategies in consideration of national
priorities and initiatives. Strategies would need to be
approved and the permitting authority would be held
accountable for the commitments contained in the strategy.
(All permit backlogs would need to be justified on this
basis.)
o Develop regulatory and administrative tools to support the
priority setting mechanism discussed above. Implement, at
both the EPA and State levels, those tools to facilitate
permit development and issuance which can be implemented
rapidly. Explore those mechanisms which need to be further
evaluated before they can be implemented.
o Determine technical tools necessary to support any watershed
permitting initiatives including revised environmental
criteria, revised water quality models, revised ambient
monitoring strategies, and conventional and innovative
technologies available; articulate goals and receive
commitments from sister offices and agencies to support
these initiatives.
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LONG TERMS ACTTON.g
Continue to implement priority setting mechanisms developed
above. These longer term permitting actions would generally
.involve development and issuance of permits beyond those
initially identified as the highest priorities as which are
addressed in the short term.
Employ those tools for facilitating permit development and
issuance which were explored as part of the short term
actions.
Longer term actions would also involve further refinement of
all program elements, particularly in the area of watershed
initiatives.
i . -
Procedures developed and in place to allow review and
revision of priority-setting on a regular basis.
Direct monitoring of receiving waters to determine whether
they ,are meeting environmental criteria will be an important
measure of the success of both existing programs and new
initiatives, but will be particularly important for new
initiatives based largely on reducing risk. Such ambient
monitoring will be balanced with end-of-pipe monitoring in
order to determine whether water quality objectives are
being achieved. '
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POLICY GOAL #2: TO MAXIMIZE COMPLIANCE WITH THE REQUIREMENTS OF
THE CLEAN WATER ACT AND PROTECTION OF ECOSYSTEMS AND HUMAN HEALTH
THROUGH AN INTEGRATED AND EFFECTIVE PROGRAM OF ENFORCEMENT AND
ASSISTANCE.
BACKGROUND
The EPA and approved States have at their disposal a number
of mechanisms/tools which can be used to promote the compliance
of regulated entities with statutory and regulatory requirements
and the expeditious resolution of noncompliance events when they
occur. First, the Agency has the authority and responsibility to
bring enforcement actions, with or without penalties, to require
compliance. The Agency has established policies identifying when
noncompliance must be addressed through enforcement. Additional
tools which are available include financial assistance, generic
training for the regulated public, public information campaigns,
facility-specific technical assistance, POTW operator training,
and outreach and mobilization of interested constituent groups.
While permittees have a legal obligation to notify EPA or States
of noncompliance, currently, the response to that noncompliance
will vary depending on the risk posed, the size of the permittee
(major or minor), and the length and severity of the violations.
The objective of this paper is to establish an overall integrated
strategic approach which recognizes the substantial number of new
programs and new initiatives which must be addressed and which
promotes the maximum level of consistent compliance with
regulatory requirements. In setting five year objectives, the
Office of Wastewater Enforcement and Compliance assumes that the
level of resources available to do these tasks will remain stable
and that EPA and approved States will give priority —to the
extent possible--to addressing noncompliance problems in water
bodies not meeting designated uses or where water quality
standards are consistently violated. It builds on the existing
major/minor classification of permittees but acknowledges that
the approach to noncompliance by minors needs to be examined.
Finally, it assumes that, as resources allow, monitoring and
enforcement activities will be extended to a wider universe of
permittees than may be identified in the objectives.
FIVE YEAR PROGRAM OBJECTIVES
o The overall approach taken by EPA will continue the use of
formal enforcement as a requirement to resolve significant
noncompliance by major permittees. Major permittees in
noncompliance, but not significant noncompliancef must also
be addressed through enforcement action, either formal or
informal. However, the Agency expects to undertake an
examination of the reasons for the large incidence of lesser
violations and may devise other strategies for addressing
such violations as the reasons may dictate.
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No more than 5% of major permittees appears on the
Exceptions List during the fiscal year.
As a yearly average, (of four quarters) no more
than seven percent of municipal and five percent
of industrial permittees are in significant
noncompliance.
i
On an annual basis the level of significant
noncompliance of significant industrial users will
be no greater than 25%.
Likewise, EPA will undertake a review of its existing
approach to improving compliance by minor permittees.
Currently, EPA addresses noncompliance by minors
selectively and may use enforcement or assistance. The
review will attempt to identify whether there are subsets
of the minors universe where noncompliance is likely to
produce significant environmental impact and to identify
where enforcement or assistance may be the preferred
alternative. EPA expects to identify a more effective
efficient approach to noncompliance by minors as a result of
this review.
'By the end of FY 1993,. complete study and develop
recommendations as to the appropriate priority for
permitting minors, providing assistance,
addressing the noncompliance of minors, and
tracking and reporting on the compliance status of
minors.
EPA will continue its policy of providing generic training ~
and assistance to municipal permittees, regardless of
compliance status. EPA now provides substantial training to
a broad base of municipal permittees in areas such as
pretreatment, operator training, whole effluent toxicity and
other areas. EPA will continue to assess those operational
areas where .training appears to be needed and to invest.in
such training. EPA will assess where assistance is critical
to obtain compliance by minors and will develop a strategy
to maximize the effectiveness of training available to
m*norf- EPA will also use training and public outreach
efforts to promote initial compliance with new statutory
requirements by the compliance deadline. Public outreach
and training is expected to be a major component of the
effort to secure compliance with new storm water and sludae
requirements by the. statutory deadline.
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- Implement-an effective training program for POTWs
with approved pretreatment programs which focuses
on new regulatory requirements, effective
development of local limits, enforcement of
pretreatment standards, and proper application of
categorical standards and local limits.
Target outreach and training efforts on storm
water at municipalities with toxicity problems
with a goal of encouraging these municipalities to
oversee the compliance of industrial dischargers
in their communities with storm water
requirements.
Target outreach and information efforts on non-
NPDES facilities which are subject to Section 503
sludge technical regulations to ensure that they
apply for permits as required and that they comply
with statutory requirements by the deadline.
- Develop new or revise existing guidance documents
and/or design manuals followed-up by
seminars/workshops to assist the regulated
community to comply with applicable regulations.
(Sludge, Storm Water)
Develop/implement education/outreach materials to
explain the regulations to the public and
regulated community. (Sludge, Storm Water)
Provide on-site technical and/or financial
assistance when appropriate. (Sludge, Storm Water)
Develop technical guidance documents for BMPs—
structural and non-structural. (Combined Sewer
Overflows)
Performance data on all major permittees will continue to be
entered and tracked through the Permit Compliance System as
is now the case. Decisions on tracking of performance data
by minors will await conclusion of the study on minors. As
new statutory requirements such as sludge and storm water
are implemented, every effort will be made to allow for
maximum State flexibility and keep data required for
reporting and tracking to the absolute minimum necessary to
maintain the integrity of the program. In determining how
data for new programs shall be maintained, OWEC will review
all options and will not limit consideration to exclusive
use of the PCS system.
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EPA and affected States will consistently enter at
least 95% of DMR data on major permittees within 30
days of receipt of data.
•
EPA will continue to identify and develop indicators of the
environmental, effectiveness of the NPDES program using
existing or new data. In particular, EPA will develop and
implement approaches for measuring the loadings of toxic and
conventional pollutants to water bodies and those of concern
to CSOs as a means of measuring the impact of the NPDES
program and for use in targeting assistance, enforcement and
permitting priorities.
EPA will systematically explore options and opportunities
for making the enforcement process more efficient, thus
allowing the Agency to undertake more enforcement. Examples
of new approaches which may be developed include the use of
expedited penalty orders or "traffic tickets"1 and the use of
alternate dispute resolution techniques to reduce the amount
of time and resources required to resolve judicial actions.
More efficient techniques become particularly important as
performance on new statutory requirements must be monitored
and compliance maintained. With no significant increase in
resources expected, approaches must be developed which
maximize the impact of each enforcement action and reduce
the'time required to take such action.
I
Pilot test alternate dispute resolution techniques to
determine whether or which techniques are most
effective and efficient in the enforcement context.
Issue appropriate guidance and support Regions in the
use of these tools.
. i
Identify obstacles to use of administrative penalty
authority in the traffic ticket context and seek
necessary policy or statutory changes to facilitate use
of that mechanism. At a minimum, incorporate as a
major component of the sludge enforcement strategy.
Devise an inspection strategy for both sludge and storm
water which focuses on the most environmentally
significant subsets of each universe and is
strategically targeted to create the greatest degree of
deterrence in the regulated community.
EPA will emphasize the importance of more aggressive and
effective enforcement programs at the approved State level.
We will work with States to secure administrative penalty
authority where they do not now have such authority, In
addition, a study of State penalty practices will be
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undertaken to assess their effectiveness and to identify
approaches which seem to be working well. Such information
will be shared with States as a concerted effort is made to
ensure that States have both the tools and the determination
to ensure that noncompliers are returned to compliance as
expeditiously as possible.
All NPDES States actively seek to obtain administrative
penalty authority.
- Approved States have written penalty policies which are
generally consistent with the principles of the EPA's
general penalty policy guidance.
SHORT TERM ACTIONS
o Complete by 10/93 a strategy for addressing compliance
problems experienced by minor permittees identifying how
assistance and enforcement tools should be coordinated and
whether or how performance data should be tracked nationally
for this universe.
o Complete, by 10/94, a study of the reasons for the very high
incidence of noncompliance by NPDES permittees and identify
whether or what changes are needed to current compliance
and enforcement policies.
o Identify several judicial actions through which to test
alternate dispute resolution techniques. Complete tests
by 3/93.
o Identify obstacles to using administrative penalty orders on
an expedited basis. Seek legislative/regulatory changes
where necessary. Ensure that proposed Class I consolidated
rules facilitate use of APO as a "traffic ticket."
o Conduct study of penalty practices in NPDES States. Identify
impediments to use of cash penalties as well as other
sanctions utilized. Develop model legislative language for
administrative penalty authority.
o Complete pilot test of the methodology for computing
loadings of toxic pollutants in the Great Lakes drainage
basin. As resources allow, implement changes to PCS data
base and quality assurance measures identified through a
national data quality assessment to support loadings
analysis.
o Work with States and municipalities in developing strategy
documents and ensure that the approaches arrived at are
factored into 106 grant agreements.
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Revise existing and -develop new policy, guidance and
performance measures as needed to implement new strategies.
Implement, at both the EPA and State levels, those new
tools/policies as they become available and can be readilv
implemented. • ,
Identify roles and establish commitments within OWEC and the
Regions to implement the strategies.
Plan and initiate data management and compliance tracking
systems for new statutory programs, including stormwater and
CSOs, as part of the regulatory development process.
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POLICY GOAL #3: TO FULLY INTEGRATE POLLUTION PREVENTION CONCEPTS
INTO ALL OWEC REGULATORY AND NONREGULATORY ACTIVITIES TO REDUCE
POLLUTANT LOADINGS, CONSERVE RESOURCES, AND IMPROVE COMPLIANCE.
ABSTRACT
o Summary/Purpose: integrate pollution prevention into
overall OWEC mission and program activities to reduce
pollutant loading, conserve resources,, and improve
compliance. Provide outreach and training to foster
implementation of pollution prevention techniques by
industry and municipalities.
o Change in program direction: Shift from emphasis on
compliance to achieving environmental benefits through
pollution prevention that go beyond compliance.
o Needs from other offices: Support needed from Pollution
Prevention Division and Pollution Prevention Information
Clearinghouse. Coordination with Office of Environmental
Education (training); Office of Research and Development
(technology transfer); Office of Enforcement and Department
of Justice (procedures for Supplemental Environmental
Projects); and Office of Science and Technology
(technologies to meet effluent guidelines and categorical
standards).
FIVEYEAR PROGRAM OBJECTIVES
Integration;
o Pollution prevention approaches are being used to the
maximum extent possible in permits, pretreatment programs,
CSO and stormwater control programs, sludge management
programs, and administrative and judicial settlements, and
in grant programs.
o Municipal Water Pollution Prevention (MWPP) programs are
institutionalized in all 50 States and participation by
POTWs is increasing annually.
o Municipalities and industries are routinely performing
pollution prevention self audits to identify pollution
prevention solution and are using prevention techniques to
the maximum extent possible to reduce/eliminate both toxic
and conventional pollutants from waste streams.
o Water use efficiency techniques and energy conservation have
been evaluated. Appropriate measures, which do not
adversely impact effluent, sludge usage or collection, and
pretreatment system operation, are being implemented by
municipalities and industries.
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Outreach and Training; • ' !
o Guidance and assistance are being provided at Regional and
State levels for pollution prevention in both voluntary and
regulatory actions. Permit writers and technical assistance
providers are trained to identify pollution prevention
opportunities at industrial and municipal facilities.
o Enforcement and POTW mini-exchanges within the Agency's
Pollution Prevention Information Clearinghouse (PPIC) are
well established arid being utilized to efficiently identify
pollution prevention opportunities for implementation.
o POTWs are taking a leadership role in providing technical
assistance to industries, small business, and individuals on
pollution prevention options.
SHORT-TERM ACTION fl-3 years\ ;
Integration
!
o Determine pollution, prevention requirements that can be
included in permits and grant programs under current law and
develop model language.
o Develop model language/case examples to facilitate inclusion
of pollution prevention requirements in settlements and
judicial orders.
o Complete study for evaluating the impacts of water use
reduction on POTW systems and operation (including effluent
and sludge usage). As appropriate, conduct further studies
and initiate needed changes in policies or regulation to
promote water use reduction. ;
o Work with ORD on development of the waste minimization
assessment manual and promote integration of efficient use
and waste minimization techniques into state and local water
programs. :
o Evaluate and consider support or propose provision to the
Clean Water Act that addresses pollution prevention with
respect to permit authority^ pretreatment,'waste
minimization, grants, and enforcement settlements.
Outreach and Training; ,
I
i
o Develop .and provide pollution prevention guidance and
training for permit writers , compliance and enforcement
personnel, technical and financial assistance providers,
inspectors, and operators at the Regional, state, and POTW
levels. ••:..•
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o Encourage POTWs to promote pollution prevention with
indirect users:
Promote use of pollution prevention in sewer use
ordinances, in local pretreatment program, household
hazardous waste reduction programs, and other
innovative approaches.
Develop training for POTWs to conduct indirect user
pollution prevention/waste minimization audits and
^distribute Slug Control Guidance to pretreatment POTWs.
o Make OWEC-related program information (from both regulatory
and voluntary programs) available through information
clearinghouses and/or other appropriate mechanisms:
Incorporate model language/case examples for permits,
enforcement settlements and TREs/TIEs into
clearinghouse.
Provide examples/information to Regions and States on
approved Supplemental Environmental Projects addressing
pollution prevention.
Develop models and other informational materials that
include costs and cost savings associated with
pollution prevention and water/energy conservation.
o Promote and foster pollution prevention through national
meetings and symposia and participate in conferences
sponsored by other organizations (e.g., AMSA, WEF).
o Use incentive grants to promote pollution prevention
programs.
o Facilitate establishment of pollution prevention trust
funds, which receive contributions from Supplemental
Environmental Project (SEP) penalties, and make grants for
pollution prevention activities and programs (similar to
Mass Bay project in Region I).
LONG-TERM ACTION f3-5 vears^
Integration
o Evaluate all major grant workplans and reissued permits for
pollution prevention and best management practices
conditions.
o Revisit enforcement penalty policy to explore additional
ways to promote pollution prevention.
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I
Work with the Office of Enforcement and Department of
Justice to simplify procedures for evaluating and
approving pollution prevention Supplemental
Environmental Projects.
Consider allowing some of the economic benefit portion
of penalties to be used for pollution prevention not
directly benefiting the dischargers. In effect, the
penalty would still be paid by the violators, but would
be used for pollution prevention elsewhere. Currently
only the gravity component of penalties can be used for
SEPs.
i
o Undertake evaluation of the effectiveness of spill control
program in achieving toxic pollutant reductions. Identify
extent to which SIUs are required to develop spill control
programs.
,
o Identify toxic volatile organic controls for POTWs that will
be regulated under the Clean Air Act and identify pollution
prevention opportunities.
o Work with ORD/CERI to integrate OWEC-related pollution
prevention into technological development, technology
transfer, and technical assistance.
Outreach and Training: : .
i
o Ensure incorporation and encourage dissemination of OWEC-
related program information into existing clearinghouse:
Develop and maintain national inventory of sludge
beneficial use activities using existing clearinghouses
and other appropriate information dissemination
mechanisms.
Promote development and identification of wastewater-
oriented pollution prevention materials.. Ensure
complete dissemination on pollution prevention
technologies for all industries (including both
industries covered and not covered by effluent
. guidelines and categorical standards) to all
appropriate information clearinghouse.
o Ensure that training is provided to all POTWs; regarding
pollution prevention self audit activities.
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Coordinate with the -new Office of Environmental Education
and the Pollution Prevention Division to develop and
implement long-term training on pollution prevention
information that is being generated in OWEC programs.
Integrate basic pollution prevention criteria into financial
support programs, including grants and loans.
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POLICY GOAL #4: TO PROVIDE FINANCIAL AND PROGRAM LEADERSHIP AND
EXPERTISE TO ENSURE THE FISCAL AND PROGRAMMATIC INTEGRITY OF THE
STATE REVOLVING FUND (SRF) AND CONSTRUCTION GRANTS PROGRAMS.
INTRODUCTION !
I *
The Construction Grants Program had its final appropriation in
1990. Some $57 Billion in grants to thousands of communities
made a significant contribution to improvements; in water quality
over the years and to helping municipal dischargers meet the
requirements of the Clean Water Act (CWA). Yet some 4,600
projects representing a Federal investment of over $30 billion
still need to be completed and closed out.
A strategy for completing the program developed by the Office of
Water in consultation with the Office of Inspector General (OIG)
and the Office of Administration and Resources Management (OARM)
is in its second year of implementation. This goal emphasizes
the importance of successfully implementing the-, strategy which
will continue and enhance the credibility of the Agency in
carrying out multi-billion dollar assistance programs. It is
essential that we maintain a strong program.
Currently, the State Revolving Fund (SRF) Program is authorized
through FY 1994. This program provides capitalization grants to
States to establish State-wide funds as a source of local
financing. The SRF program has already proven to be the
principal financing program for the future. During the next five
years, OWEC and the Regions need to support the States to assure
that the funds are appropriately managed and that they are-used
to effectively meet the highest priority water quality needs.
During the next five years, increasing attention will be placed
upon financing options to meet other environmental needs and
other public infrastructure needs. OWEC will provide leadership
in exploring the potential transferability of the SRF program as
well as the applicability of alternative financing approaches for
other water quality management programs; In addition, OWEC will
provide leadership to efforts to increase private sector
involvement in environmental infrastructure financing.
FIVE YEAR PROGRAM OBJECTIVES: |
I
i
o States will use the SRF to comprehensively address water
quality problems such as nonpoint source and ground water
and support other objectives such as water conservation and
pollution prevention.
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SRFs will meet all necessary Title VI and other cross-
cutting Federal requirements, as applicable, and be
financially sound.
States will have moved beyond simple loan programs to the
adoption of more innovative financing approaches, including
leveraging the fund where appropriate.
Experience gained in managing the Construction Grants and
SRF Programs will be shared with other offices in developing
programs to meet other environmental needs. As appropriate
support will be provided in the design of financing
m-rim-amc . 3
programs.
o Where appropriate, private firms will be directly involved
in providing needed capital to support expansion/upgrade of
facilities constructed under the grants and SRF programs.
o EPA and the States will successfully complete the
Construction Grants Program as expeditiously as possible.
Projects should be constructed and operating and the grants
administratively completed and closed out in five years.
EPA will continue to manage special programs such as
"coastal cities" grants.
LONG TERM ACTIONS r3 - 5 year*)
o Maintain priority for successfully completing the
Construction Grants Program.
Continue financial/technical support to States to
enable them to complete the administration of the
program.
Orderly shift experienced personnel and possibly use
retired EPA staff and contractors, while maintaining
experienced core staff to manage on-going complex and
new special appropriations projects.
Continue use of the Corps of Engineers (COE) through
the completion phase.
o Support SRF program directions indicated by appropriate
guidance, revised regulations, and/or interpretation of
program materials (e.g., SRF Questions and Answers).
o Maintain leadership in evaluating the effectiveness of the
SRF program and in identifying necessary or recommended
changes.
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" • -• I ' .
o Provide support for the consideration of SRF-like approaches
for other infrastructure initiatives.
SHORT TERM ACTIONS fl-2 years)
o Continue the capitalization of the SRFs and provide
technical support and training as needed to ensure the long
term viability of the program. Encourage and support
Regions in their efforts to enhance financial analysis
capabilities. . • .
o Participate in activities regarding reauthorization of the
CWA as it may affect the SRF program (e.g., funding and
technical changes and expansion of eligibilities). Develop
revisions to SRF Program guidance and regulations as
necessary.
o Continue to support Regional Office SRF Annual Reviews to
provide feedback to States to enhance their programs.
o Encourage States to develop SRF goals and objectives and
Intended Use Plans which reflect risk-based analyses
geographic targeting, and other approaches to assure that
SRF assistance is supporting high priority water quality
activities. Encourage States to improve funding
coordination with other Federal and State infrastructure
programs.
o Encourage States to adopt incentives within their SRF
programs to foster increased local community support of
initiatives sUch as water use efficiency, pollution
prevention, compliance, and water conservation.
o As appropriate, provide timely resolution of SRF /
implementation issues, including defining appropriate Agencv
oversight activities after the end of capitalization grants!
o . Provide assistance to. other water program offices regarding
the applicability of alternative financing mechanisms to
support implementation of water quality management
activities.
D Revise regulations, policies, procedures, and other program
materials associated with the Construction Grants and SRF
Programs as necessary to remove barriers to the
implementation of Public-Private Partnerships (P3s).
3 Develop guidance and training materials related to the
implementation of P3s and provide support to States and
other organizations in order to facilitate implementation of
P3 arrangements. Support P3 demonstration projects.
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Develop and implement a strategy to develop the capabilities
of the Regions and States to provide information and support
to local communities regarding alternative financing.
Participate in the development and implementation of several
national centers of environmental financial expertise.
Maintain continued oversight of the construction grants
program, including on-site COE inspection activities and
appropriately manage the disputes and audit resolution
processes. Re-emphasize adequate O&M of completed
facilities.
Manage implementation of special grant programs, including
"coastal cities", U.S.-Mexican border projects, and Indian
and Alaskan Native Villages projects.
Continue full implementation of the Agency's Construction
Grants Program completion/closeout strategy.
Manage and enhance information systems to support the
Construction Grants and SRF Programs. Improve management
reporting of the status of program implementation. Develop
methodology to measure the environmental effectiveness of
the SRF and Construction Grants Programs.
Enhance the Needs Survey (CSO, storm water, sludge, toxics,
NPS) to provide information to support risk-based SRF
funding decisions.
PROGRAM GAPS
Expeditious completion of the Construction Grants Program
presents challenges. A shift of personnel to compliance/
enforcement and other programs gives the Agency added
benefits of experienced people to bolster its overall goals.
However, retention of those same people is essential to
expeditious completion of the Construction Grants Program as
well as management of new projects funded by special
appropriations.
The vulnerability of the program to waste, fraud, and abuse
will increase as the program winds down. This vulnerability
will occur both in terms of.financial integrity and
successful start-up operations of completed projects.
Careful attention must be paid to this area; highly
qualified staff must be retained for the duration. We
cannot afford to experience problems in the Construction
Grants Program that would reduce confidence in our ability
to manage our programs.
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The role of personnel involved in initial SRF capitalization
grant efforts may need to be redefined for later periods of
SRF implementation. This could impact relationships between
the Regions and the States (e.g., type and extent of
technical support and oversight). Gaps in Regional
financial analysis staff skills could impede appropriate
review of proposed more complex SRF financing approaches and
limit acceptable Regional oversight of State programs.
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POLICY GOAL #5: TO MORE EFFECTIVELY COORDINATE OUR ACTIVITIES
WITH OTHER OFFICE OF WATER AND AGENCY PROGRAMS TO SUPPORT OW
PRIORITIES AND MINIMIZE ADVERSE CROSS-PROGRAM IMPACTS.
ABSTRACT
o This goal addresses the need to ensure effective and timely
coordination of OWEC programs with those of other OW and
Agency offices. The goal discusses both giving and
receiving assistance, as needed to minimize adverse cross-
program impacts. Changes to existing procedures are
contemplated and would be reflected in work plans, MOAs,
guidance and other documents to help ensure such
coordination. Examples of the kinds of activities requiring
coordination include obtaining needed environmental criteria
and water quality models to allow watershed permitting and
ensuring that NPDES limitations and conditions do not cause
adverse cross-media impacts.
o Successful development and implementation of OWEC's programs
and initiatives will depend directly on successful
communication and coordination with other offices within OW
and across the Agency. In addition, various activities
undertaken by OWEC will have impacts on other OW and Agency
programs. It is therefore extremely important that timely
and effective coordination and communication among offices
occurs at all levels in order to facilitate program
implementation and minimize adverse cross-media impacts.
o This goal assumes that activities requiring coordination
among offices and programs can be clearly articulated. It
also assumes a high level of support of such coordination by
managers of various offices and programs. Support from
groups outside of OWEC will be necessary to implement the
objectives will include OSW, OAR, OPPE, OGC, and all
appropriate OW offices — particularly OST and OWOW.
FIVE YEAR PROGRAM OBJECTIVES
o Procedures/agreements in place and operating to obtain
support from other OW/Agency offices for OWEC programs and
initiatives where needed. Such support maximizes OWEC
program capabilities and resources. In addition, full
compliance is being obtained with all OWEC statutory and
regulatory requirements administered by program offices
whose activities have the potential to impact these
programs; results measured by media-specific monitoring and
permit compliance (where applicable).
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j
o Procedures/agreements in place and operating to ensure OWEC
support of other offices where needed. These procedures are
designed to utilize OWEC resources, where necessary and
appropriate, to support these program areas. These
activities are designed to ensure full compliance by OWEC
programs with all statutory and regulatory requirements
administered by other OW/Agency program offices-; results
measured by media-specific monitoring and permit compliance
(where applicable).
o Other OW/Agency actions outside this plan ;will have limited
support using OWEC resources. \
o Innovative solutions.involving multiple programs and media
being implemented (e.g., include activities such as
point/nonpoint source trading, use of wetlands to filter
storm water discharges, and research and development of
innovative tools).
SHORT TERM ACTIONS
Identification of Areas Requiring Coordination
o Various high priority OWEC programs whose successful
implementation requires cooperative efforts on the part of
other offices will be identified and any specific needs
communicated. These may include, but are not limited to:
i -
Wet weather and sediment standards.
Wet weather and sediment water quality models and
methodologies for developing TMDLs.
l
I
Development of needed effluent limitations guidelines
and categorical pretreatment standards.
Research and development related to new or innovative
approaches to various aspects of OWEC^s programs.
o High priority activities of other OW offices and Agency
programs which have potential impacts on OWEC programs and
those which OWEC programs may affect will be identified.
These include, but are not limited to:
All activities and initiatives of the Office of
Pollution Prevention.
All relevant activities of sister OW program offices
such as criteria development, development of new water
quality models, monitoring reports such as 305(b),
guidelines promulgation, and the National Estuary
program. . .
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RCRA facility assessments and corrective actions.
CERCLA records of decisions.
CAA statutory requirements related to POTWs.
Environmental funding: activity of Environmental
Finance Advisory Board, public-private partnerships,
funding of expanded uses under SRF program, transfer of
alternative funding approaches to other environmental
infrastructure programs.
•Information distribution: Environmental Finance
Information Network (EFIN)
o It may be necessary to undertake formal studies of
institutional structures and functions across water and
other media programs in order to document problems which
prevent or impair effective communication and coordination.
Surveys of existing practices, together with interviews
of key organizational members may be necessary to fully
document existing problems. In addition, these studies
could lead to summary reports with findings and
suggested remedies.
Develop Work Plans. Guidance, and Communication Plans
o Based on identification of areas requiring communication and
coordination, develop work plans by all concerned offices
which assure mutually supportive approaches to common
challenges.
Program plans of various offices coordinated and '
include commitments in cases where program outputs from
one office are needed by another.
Direct assistance being provided by one program office
to another, where necessary for effective program
imp1ementation.
o Develop guidance where necessary to foster clear
understanding by implementation officials of program
requirements of related program areas.
Guidance designed to apprise those involved in
implementation of a particular program of the points of
interface with other programs.
o Develop communication and outreach plans which incorporate
cross-media concerns and which foster clear understanding of
program requirements.
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LONG TERM ACTTQM.g
o Implement work plans and communication plans developed as
part of near term activities; apply new guidance developed
as part of near term activities.
o Develop tools identified in the near term as necessary to
undertake cooperative and coordinated efforts to
environmental problems (e.g., new water quality models,
improved monitoring, and criteria necessary to set
priorities in watersheds, etc.)
o Long term policies, MOAs, and standard operating procedures
may need to be revised or developed, where none currently
exist in order to correct identified problem areas for the
long term. The purpose of such policies would be to ensure
that timely and appropriate communication occurs. Key
underlying principles of such coordination are as follows:
Coordination among offices must occur at a point where
input of concerned parties can be most helpful in terms
impacting the quality of a product; sufficient time
must be allowed for the commenting offices to review
and provide comments or take other appropriate actions.
i.
Communications and coordination should riot occur with
respect to all aspects of the mission of a particular
program office, but only those elements where
communication is helpful or necessary; standard
operating procedures should articulate the types of
activities for which coordination must occur.
o Form standing formal committee to address cross-media
program objectives.
o Strongly encourage and facilitate program of IPAs and
Rotational Assignments to ensure "cross-fertilization" and
foster appreciation of the challenges faced by both the
receiving and sending offices.
3 Mandatory training, particularly in cross media program
areas, will play an important role in sensitizing existing
staff and in apprising new staff of the importance of
communications and coordination.
3 Improved coordination will be extended to the regulated
community as well, through such efforts as working to see
that water quality criteria are developed based on the best '
possible scientific analysis and tools.
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POLICY GOAL #6: DEVELOPING AN EMPOWERED WORKFORCE
The fundamental theme of this goal is to take actions to empower
OWEC employees to get the job done as effectively as possible
provide necessary tools and other support to help them achieve
their short and long-term career goals, and create workplace
environment where people are excited about working together at
all levels of the organization.
Ob-jective
± Foster the empowerment and recognition of OWEC
employees.
A key to a successful workforce is the empowerment and
recognition of valued employees. Fostering a challenging,
stimulating and rewarding atmosphere contributes to the mental
health and personal and professional well being of employees.
OWEC is committed to pursing actions and policies that empower,
support and reward individual efforts and provide the diversity
of work opportunities people enjoy:
o OWEC supports effective planning "retreats"
by Sections and Branches as a vehicle for
staff to contribute to decisions on
distribution of work and responsibilities.
o OWEC recognizes the unique needs and desires
of individuals and fully supports the
Agency's consideration and pursuit of
flextime, compressed work weeks, part time
status, flex-place and other Agency programs
to meet the special needs of people.
o OWEC supports the concept of rotations and
details to offer employees different
opportunities within and outside the
organization.
o OWEC recognizes the value of "empowerment" in
an organizational culture. OWEC will pursue
efforts to shift responsibilities, control,
and accountability downward to the lowest
levels possible. OWEC recognizes that
empowerment promotes individual pride of
ownership, enthusiasm, creativity, self
confidence, and a sense of partnership among
staff and management.
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o OWEC recognizes the importance of rewarding
success and commits to using all the means available,
from day to day verbal recognition to the OWEC Awards
and other Agency award programs to acknowledge the
efforts of OWEC team members.
Objective #2: Foster Better Communication at all Levels of OWEC.
Successful communication is an ongoing process with constant
needs. The Human Resources Council for OWEC will play an
important role in improving communication at all levels in OWEC.
OWEC is committed to expanding the communications from the Human
Resources Council(s).
j
o OWEC supports a more effective use of the Human
Resource Councils (OWEC, OW and Agency) to aid in the
task of improving communications. Specific areas where
this could be done include:
Promote newsletter within OW and advertise
activities and meetings within various
newsletters. j
Periodically hold all hands meetings with each
Division within OWEC to generate ideas and
communication to the HRC.
Advertise meetings of HRC and open attendance to
those that may be interested on a short term
basis.
Increase communications a scheduled activities
(i.e, bulletin boards in all areas of OWEC
employees
Increase attendance at OW HRC meetings and
increase level of involvement.
j
i
Objective #3: Establish an Aggressive and Coordinated
Recruitment Strategy, Especially for Minorities.
i
Recruiting a quality workforce is essential if we are to maintain
the high standards that have already established within OWEC. In
many cases, our needs are similar, thus making a coordinated
approach feasible.
I
o Establish active networks with selected schools and
universities
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o Use contacts effectively through actions such as
linking interviews with other travel, seminars,
meetings, using one division to initially screen
applicants for other divisions
o Designate hiring coordinators in each division and have
them share information on needs, prospects, etc.
o Strengthen interviewing process through use of peer
interviews as well as interviews with potential
supervisor, training in interviewing techniques, etc.
.o Develop a PROMOTIONAL PACKET of basic information for
prospective interviewees.
Objective $4; Establish a meaningful career development program
in OWEC
Effective career development is essential not only for employee
morale but also as a mechanism for developing a balanced
workforce with useful perspectives on other programs.
In pursuit of this objective, we will pursue the following
activities:
o Publicize training opportunities from within EPA and
outside organizations and maintain an up-to-date set of
relevant training materials.
o Require and follow up on annual training plans for each
employee
o Provide annual training budgets for each Division and
the Immediate Office
*
o Establish/encourage mentor/coaching programs for all
employees who are interested.
o Develop a training/orientation program for new
employees
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POLICY GOAL #7: TO ENHANCE THE CAPABILITIES OF THE STATE AND
LOCAL GOVERNMENTS SO THAT THEY MAY FULFILL THE REQUIREMENTS OF
THE CWA PROGRAMS MANAGED BY OWEC.
Our goal is to assist State and Local governments in
maintaining past environmental gains while attempting to meet
emerging environmental mandates in a time when tight- fiscal
constraints have created a perennial financial shortfalls. Our
assistance will forge a new State/EPA relationship through
institutional change where EPA will be flexible in accommodating
State priorities, and will provide administrative and program
relief in order for States address their greatest environmental
needs. Our partners must obtain adequate, predictable sources of
funding to meet their responsibilities under the point source
programs and must transform existing programs to become more
efficient and effective.
I *
Challenges to Environmental Management
In the 1990's, State and local water quality agencies face
resource shortfalls that may jeopardize their ability to meet
their programmatic responsibilities under the CWA., All levels of
government face severe budget constraints and possible reduction
as environmental mandates continue to grow.
These programs include NPDES, enforcement, construction
grants (SRF), pretreatment, sludge, combined sewer overflows and
stormwater. QWEC's efforts are directed at assisting States in
meeting environmental challenges in an new era characterized by
highly prescriptive and costly new Federal environmental
legislation; emerging environmental problems associated with a
large universe of small sources; and a tight economy in which
governments experience serious revenue shortfalls.
States. State governments that are authorized to implement
permitting or enforcement programs, or that have been delegated
construction grants and SRF programs face serious resource
constraints.because of increasing workload.
I
In permitting, the increased workload will derive, in
large part, from the need to regulate storm water and
CSO discharges, and sludge disposal. In addition to
the current emphasis on regulating major municipal and
industrial discharges and regulating users through
pretreatment programs, more attention is also being
focused on permitting the large universe of minors.
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In enforcement, the workload will follow the permitting
initiatives (storm water, CSOs, sludge, and minor
discharges). More emphasis will be placed on improving
environmental data as we focus on environmental
results.
In construction grants, as the close-out strategy is
implemented, there may be a short-term resource crisis
as States try to accelerate the close-out process.
States are beginning to feel the disappearance of 205g
funds.
Local governments. Local governments face the challenge of
complying with new Federal and State requirements in the areas of
pretreatment, storm water, CSOs, and sludge. They also will be
urged to undertake initiatives to reduce pollutant loadings and
conserve water. These initiatives will substantially increase
capital and operating costs.
Competing program needs. These new water quality program
challenges must be viewed in the context of: (l) fiscal
constraints at the State and local levels; and (2) competing
demands for scarce resources. At the State level, for example,
water quality programs must compete for resources with other
high-priority environmental and public health programs. At the
local level, capital construction needs compete for resources
with drinking water, solid waste, and-hazardous waste programs.
The need to address competing program needs are encouraging
holistic environmental approaches such as multi-media and
comparative risk. These approaches pose further challenges to
environmental management.
The Strategy
OWEC will adopt a three-pronged approach:
o focus on increasing state and local
program resources through continuing
efforts to increase Federal grant
support and through assistance to
State/Local governments in adopting/
implementing alternative funding
mechanisms;
o promote institutional change to use
existing resources more efficiently and
effectively through streamlining
administrative processes; building upon
innovative State and Local management
approaches through technology transfers;
identifying/developing and promoting
resource-efficient program tools such as
general permits, administrative
penalties, alternative dispute
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45
resolution, etc., funding pilot programs
and promoting cooperative training
programs; and
o establish a strong and. active communi-
cation network through an aggresssive
outreach and education effort to reach
the public, the regulated community,
environmental groups, executive and
legislative branch officials, other
Federal agencies, and other State
programs.
OWEC will implement this part of the Strategy by:
(1) Striving to increase federal financial assistance to
the States. OWEC will address this abjective, by up-
grading our assessment of State funding needs and
priorities in order that we will better be able to
support increased Federal financial assistance.
(2) Providing direct contractor assistance to States that
are considering alternative financing mechanisms for
these point source programs. OWEC contractors will
work with States to evaluate options available to the
States, present comparative state data for use by Sates
in their presentation, etc. !
(3) Encouraging the States to direct their resources toward
solving environmental problems with the highest
priority and risks. OWEC will be flexible in reaching
agreement with the States as to priorities and
commitments.
(4) Working with the states and local agencies to establish
a network for communication. OWEC will organize
systems of communication for exchange of technical,
management and programmatic information to be shared
between State, Local and Federal environmental
regulatory agencies. OWEC will work with organizations
such as ASIWPCA, AMSA, ICMA, etc. to develop and
coordinate its communication and outreach efforts.
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