United States Policy, Planning EPA 230-B-92-001
Environmental Protection And Evaluation July 1992
Agency (PM-219)
v>EPA Agency Operating
Guidance
FY1993
Printed on Recycled Paper
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U.S. Environmental Protection Agency
Region 5, Library (PL-12J)
77 West Jackson Boulevard, 12th Floor
Chicago, IL 60604-3590
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TABLE OF CONTENTS
I . OVERVIEW
II. ASSISTANT ADMINISTRATOR'S OVERVIEW FOR
Office of Air and Radiation
Office of Water
Office of Solid Waste and Emergency Response
Office of Prevention, Pesticides, and Toxic Substances
— Office of Administration and Resources Management
Office of Enforcement
II. APPENDIX: Strategic Targeted Activities for Results System
(STARS) — FY 1993 Measures
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OVERVIEW
This Agency Operating Guidance (AOG) is a component of EPA's
planning and management system. It outlines the direction and
strategic priorities for EPA's programs in fiscal year 1993. The
AOG has three parts: a general overview of Agency direction; a
program-by-program description of each Assistant Administrator's
goals and strategies for the year; and definition of specific
measures that will be used to monitor and evaluate program progress
through the Strategic Targeted Activities for Results System
(STARS). The AOG serves as important guidance for regional EPA,
state, and local program officials in setting priorities in light
of current Agency policy. For senior Agency managers, STARS serves
as an important source of information on our accomplishments and as
an early warning system for problems requiring further attention.
EPA has achieved many successes as the primary federal agency
responsible for protecting and improving the environment. Congress
has enacted over a dozen major laws aimed at protecting the
environment, giving EPA the lead in addressing air and water
pollution, hazardous waste disposal, and toxic and pesticide
contamination. Despite notable progress, many environmental
problems are not fully resolved and others continue to emerge. We
face daunting scientific and resource challenges as we pursue those
actions most critical to reducing risk to human health and the
environment.
To meet these challenges, we have made important changes in
the way we define environmental problems and their solutions. In
public fora, as well as within the Agency, we are asking ourselves
fundamental questions: What is the nature of the risk to human
health and/or the environment? Are we spending our resources
to take advantage of the best opportunities for reducing the most
serious remaining risks? Will our actions be viewed as credible by
the public and the Congress? How will we measure our progress in
reducing risk?
Over the past five years, we have been improving our ability
to set priorities based on risk and risk reduction potential at the
national, regional, and state levels. As recommended in the
Science Advisory Board (SAB) report, Reducing Risk: Setting
Priorities and Strategies for Environmental Protection, EPA is
working to set priorities by weighing the relative risks associated
with different environmental pollutants, sources, and geographic
areas. All ten regions have conducted comparative risk projects to
analyze and rank regional environmental issues, and all are using
that information to complete risk-based strategic plans. Also, a
growing number of states have initiated or completed comparative
risk projects.
EPA regional staff should use the results of these comparative
risk studies along with the recommendations of the SAB report as
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they develop strategies with states for the use of the FY 1993
grant funds. Prior to the grant negotiations, regional and state
officials should discuss ways to integrate existing grant
authorities in order to effectively address top environmental
risks. State work plan review should include broad cross-media
review of proposed grant allocations to ensure that risk-based
priorities are adequately addressed. Staff should also consider
opportunities for disinvestment which take risk information into
account. These steps work toward ensuring that state grant
negotiations focus on the most serious remaining risks while
responding to statutory requirements.
The SAB report also challenged EPA to make greater use of all
tools available to reduce risk, and to approach environmental
protection based on cooperation across program offices and between
Headquarters and regional offices. As a central component of the
Agency's emphasis on risk reduction, we will continue to develop
and implement a cross-media/multi-media perspective and capability
into all stages of environmental enforcement planning and case
development. FY 1993 cross-program initiatives on ground water
protection, contaminated media, and other concerns involve the
efforts of several offices in EPA. Such approaches meet the SAB's
challenge to move away from reliance on mandated, end-of-pipe
controls, and develop integrated approaches that focus on
opportunities for environmental improvement.
Our first Agency-wide strategies and framework document,
EPA...Preserving Our Future Today, is designed to further promote
the collaborative behavior needed to define and address
environmental priorities. The plan identifies risk reduction as
EPA's principal measure of success, and outlines ten key themes
around which the Agency is organizing its work. The AOG reflects
the application of these themes. For example:
- Strategic Implementation of Statutory Mandates; Program
offices are defining strategies to address the greatest health
and environmental risks first and to achieve greater
efficiencies in program operations.
- Science/Data: EPA's Knowledge Base; Work on monitoring and
assessment activities, treatment technologies, data management
and integration, and environmental indicators will improve the
quality and application of scientific tools that support
Agency decisions.
- Pollution Prevention; Program offices, regions, and states
will develop and promote pollution prevention technologies and
practices to better implement statutes and meet environmental
goals. Use of pollution prevention conditions in enforcement
agreements will be expanded.
- Geographic Targeting; EPA and the states will continue to
target resources to geographic areas facing the greatest
health or ecological risks. Agency-wide multi-media
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geographic initiatives include the Great Lakes, the Gulf of
Mexico, and the Mexican Border, as well as many smaller
geographic-specific initiatives.
Market Mechanisms and Economic Incentives; New ways to
promote efficiency through pollution prevention and innovative
technologies will be explored.
Multi-Media Enforcement: With Office of Enforcement
management and coordination, EPA and the states will target
special cross-media enforcement to a limited number of
national enforcement initiatives that focus on specific sites,
areas, pollutants, and/or industrial sectors with noteworthy
environmental problems. In order to facilitate a multi-media
perspective, starting in FY 1993, the regions are to develop
and employ multi-media checklists for use in all EPA
inspections at facilities that have multi-media obligations or
impacts. Additionally, the regions will be increasing their
use of consolidated and coordinated multi-media inspections.
- State and Local Program Capacity: Efforts to strengthen
state and local capacity and capability to act as effective
environmental managers include training, technical assistance,
data sharing, and support for innovative technologies.
International Cooperation; Make EPA a global leader in
addressing environmental problems by sharing technical
knowledge and coordinating international efforts to prevent
and control pollution and reduce risk.
- Education and Outreach; Public support for the protection
and stewardship of the environment will be mobilized through
traditional outreach tools, as well as special pilot projects.
- Management and Infrastructure; A variety of human resource
and facilities management actions are planned to create and
market a working environment that attracts, develops, and
retains highly trained and motivated employees.
We have made great progress in improving the planning and
management processes within the Agency. Of special note are the
efforts underway to drive future budget choices based on
initiatives tied to the Agency-wide planning themes. Although many
obstacles remain, management and staff continue to work with their
stakeholders to further improve the Agency's ability to "preserve
our future ... today."
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Office of Air and Radiation
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FY 1993
OFFICE OF AIR AND RADIATION
ASSISTANT ADMINISTRATOR'S
OVERVIEW
AGENCY OPERATING GUIDANCE
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TABLE OF CONTENTS
INTRODUCTION 3
NATIONAL AMBIENT AIR QUALITY STANDARDS 10
AIR TOXICS 13
ACID RAIN 14
STATE AND LOCAL OPERATING PERMIT PROGRAMS 15
STRATOSPHERIC OZONE DEPLETION 15
RADON 16
INDOOR AIR 17
RADIOACTIVE WASTE STANDARDS 17
GLOBAL WARMING 18
COMPLIANCE AND ENFORCEMENT 18
GEOGRAPHIC INITIATIVES 19
IMPLEMENTATION PRINCIPLES APPENDIX A
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INTRODUCTION
Our highest priority for FY 1993 will be continued implementation of the Clean Air Act
Amendments of 1990, signed into law by President Bush on November 15, 1990. These
amendments provide the basis for a comprehensive nationwide program that will ensure
cleaner air for all Americans. Our implementation of the new Act is based on a two-year
plan that we update annually. EPA is committed to implementing the new Act in a cost-
effective manner, while ensuring consistency with national energy and economic
policies. The implementation of the amendments will not only employ traditional
approaches for controlling air pollution, but will use the power of the marketplace,
encourage local initiatives, and emphasize pollution prevention (Appendix A).
This overview describes the activities needed in FY 1993 to effectively implement the
Clean Air Act Amendments of 1990 and other air and radiation priorities.
Our most important environmental goals include;
Attain healthy air in all our cities.
Cut air toxics emissions by 70 percent.
Reduce sulfur dioxide emissions by 10 million tons.
Phase out chlorfluorocarbons (CFCs) and other ozone depleting
substances.
Reduce public exposure to radon and other indoor air pollutant
Environmental Priorities - Building on our Successes. FY 1993 will be our third year
in implementing the new Clean Air Act, and making significant headway toward
cleaning the nation's air and preserving the environment for succeeding generations. Our
two year plan includes a total of 52 actions for FY 1993, compared to the 41 completed
in FY 1991. Our focus in FY 1993 will be moving implementation of the Act out to all
the states.
In the year since the Clean Air Act has been signed we have developed clean air rules
that will achieve two-thirds of the entire pollution reduction envisioned in the Act. We
have proposed 35 clean air rules and completed nine. When fully implemented, the rules
that we have proposed or completed will remove 35 billion pounds of a total of 56 billion
pounds of air pollutants (Figure 1). We are required to promulgate more than 120
regulations by 1995, an average of 24 rules per year. Previously, we have averaged five
to eight rules a year. In addition we must conduct major research programs and carry out
over 90 studies. Figure 2 shows the number of actions included in our revised two-year
implementation plan.
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In addition to implementing the Clean Air Act, we will continue to develop and
implement innovative, non-regulatory programs to reduce risks from radon and other
indoor pollutants, ranked in the Science Advisory Board's "Reducing Risk" report as
among the most serious health risks addressed by the Agency. We will promote public
in-home radon testing, problem solving, and pollution prevention initiatives, as part of an
assertive citizen outreach effort. In FY 1993 we will continue our non-regulatory
approach to public health protection and continue strengthening our partnership with
states and the private sector.
Clean Air Act Accomplishments
Figure 1
56 Billion Pounds
to be Reduced
By All Act Provisions
Proposals and FtorrUgationsto Date
Figure 2
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FY 91
FY92
FY 93
Number of
Major Regulatory Actions
of the 1990 Clean Air Act
Amendments
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Our FY 1993 priorities in working with states includes:
Clean Air Act Implementation
• Encourage state and local agency use of consensus building processes and
market based approaches to implementation.
National Ambient Air Quality Standard for Ozone
• Develop state rules for volatile organic compounds that will reduce emissions
by 15 percent per year and achieve the health standard.
• Establish new and enhanced vehicle inspection and maintenance programs.
• Address monitoring and emission inventory issues raised by the National
Academy of Sciences.
State and Local Operating Permit Programs
• Enact state enabling legislation still outstanding.
• Complete development of state and local programs.
Acid Rain
• Review Phase I permit applications and continuous emissions monitor
certifications.
Compliance/Enforcement
• Identify and initiate actions to resolve significant violations, particularly in
ozone nonattainment areas.
Air Toxics
• Implement the early reductions program.
Radon/Indoor Air
• Target state and local programs to high-risk areas.
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Implementation principles. We are currently working diligently to meet the challenges
we face to implement the new Clean Air Act. In FY 1993 we will continue to organize
our work and plan our analyses to ensure that we meet key deadlines. We will also set
priorities based upon environmental and health benefits (risk reduction) and the ability to
leverage our resources.
EPA is currently forming partnerships with state, local, and tribal governments and
recognizes the pivotal role they will play. We are working and communicating
effectively with, and seek the involvement and assistance of, all affected parties
including public interest groups, industry, and other federal agencies. We must
encourage a two-way process of communication with local, governments, recognizing
the importance of involving people early and providing them with opportunities to
participate. We must actively use formal and informal negotiation processes to explore
issues and, where possible, achieve consensus among interested parties. A key element
in our strategy, as the program shifts more into field implementation, is to encourage
state and local agencies to adopt consensus building and market-based strategies in their
implementation efforts.
We must continually look for and employ methods that accomplish our environmental
goals through the use of market-based incentives. Our initiatives and policies must
make sound economic sense and sustain economic growth alongside a healthy and
productive environment. We are reviewing strategies and programs that reduce or
eliminate the sources of pollution so that costly remedial action will not be required. Our
implementation principles are summarized in Appendix A.
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We are continuing to issue rules and start initiatives that will meet environmental goals
and give American industry the flexibility to achieve these goals economically. In
addition to implementing the Clean Air Act, we will continue to develop and implement
innovative, non-regulatory programs to reduce risks from radon and other indoor air
pollutants and to achieve energy conservation. Also, we will continue to support efforts
to safely handle and dispose of radioactive waste.
Key Actions From FY1991
• Clean Fuels. We negotiated regulatory agreements on reformulated gasoline
and oxygenated fuels. The result of this negotiation will reduce tail pipe
emissions requiring areas with carbon monoxide nonattainment to use
oxygenated fuel by Novemberl992; and with severe ozone levels to use
reformulated gasoline starting in 1995.
• Acid Rain. We proposed a clean air rule that will cut emissions of sulfur
dioxide, a major contributor to acid rain, by 50 percent. This is a product of
Our Acid Rain Advisory Committee, a diverse group representing utilities,
state regulators, environmental and consumer groups, the coal and gas
industry, and others.
• State Capacities. We proposed a permit rule that will provide an integrated
framework for implementation of the Clean Air Act, and funding to make
state programs self-sufficient.
• Visibility. On September 18, 1991 EPA promulgated controls on the
Navajo Generating Station located in Arizona. EPA also established a
visibility transport commission for the region affecting the visibility of the
Grand Canyon National Park. In addition, EPA and the National Park
Service will be preparing an interim report that identifies and evaluates
sources and source regions with visibility impairment.
' Multi-State Partnership. The new Clean Air Act established a mechanism
for forming a multi-state commission to address the interstate transport of
airborne ozone and ozone precursors. The Northeast Ozone Transport
Commission includes 11 northeast states, and Metropolitan Washington, DC.
These states must adopt certain control measures, such as enhanced vehicle
inspection/maintenance (I/M) programs and reasonably available control
technology (RACT) for VOC control. In addition, the commission provides
a forum for the states to coordinate air quality modeling, planning, and
control measures on a region-wide basis.
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Form Strong Partnerships with
State, Local, and Tribal
Governments.
Agency themes for FY 1993 OAR's long- range strategic plan lays out key goals for our
programs. These goals are cross-cutting and address the critical challenges our programs
face over the coming years. The frame work for improving the linkage between EPA's
planning, budgeting, and management processes lies in a set of ten Agency themes, that
describes EPA's strategic objectives for the future. Our FY 1993 priorities and activities
stem directly from the objectives we have laid out for ourselves in order to accomplish
these goals.
STRATEGIC IMPLEMENTATION THEMES FOR
THE OFFICE OF AIR AND RADIATION
Strategic Implementation of Statuatorv Mandates. Implement our statutory
mandates by coordinating state, local, and EPA compliance activities; target areas of
highest health and environmental risks. Ensure that the Agency's themes are
incorporated into OAR's activities for our two key statutes; the Clean Air Act
Amendments of 1990 and the Indoor Radon Abatement Act.
State and Local Program Capacity. Move implementation of statutes to the field by
supporting state developmentNimplementation of operating permit and fee programs;
building state capacity to implement market-based programs; and establishing self-
sufficient, non-regulatory programs for radon and indoor air.
Geographic Targeting. Target resources to the problem and geographic areas with
the greatest risks from air pollution and radiation. Support agency-wide, multi-media
geographic initiatives that focus on high health or ecological risks.
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Market Mechanisms and Economic Incentives. Encourage pollution prevention and
cost-efficiency and foster development of innovative technologies that promote
efficiency, through increased use of market-based approaches and economic incentives
as a routine part of rule development and build state and local capacity to carry out
these approaches.
Science/Data: EPA's Knowledge Base. Use the EPA research committee process to
establish a balanced program of research that recognizes the priorities among
established programs and emerging programs. Improve understanding of
environmental problems through systematic collection and analysis of data.
Education and Outreach. Use OAR principles for education, outreach, and
negotiation. Develop public education and risk communication programs to carry out
non-regulatory programs for indoor air, radon, and energy conservation. Initiate a
pilot consumer environmental action program to maximize EPA's effectiveness in
reaching private citizens.
Pollution Prevention. Identify opportunities for pollution prevention in implementing
the new Clean Air Act amendments and other statutes. Make pollution prevention a
routine consideration in carrying out air and radiation programs.
Multi-Media Enforcement. Increase Agency and state capacity for multi-media
enforcement that deters potential violators and inhibits transfer of pollution among
media. Participate in cross-office efforts to integrate regulatory and enforcement
activities, particularly in the "clusters" effort.
International Cooperation. Contribute to the EPA effort to become a global leader
in addressing air and radiation problems by providing technical knowledge and
coordinating international activities. Address transboundary air quality problems in
cooperation with Mexico and Canada. Support the North America Free Trade
Agreement.
Better Management and Infrastructure. Emphasize staff development to meet
future challenges in attracting and retaining a talented workforce through programs
such as an intensive orientation, career development programs, and establishment of
long-term relationships with minority academic institutions. Support agency initiatives
to improve program effectiveness through use of Total Quality Management and other
management techniques. Establish a vehicleNfuels laboratory and a radiation laboratory
with world-class analytical capabilities.
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ATTAINMENT OF NATIONAL AMBIENT AIR QUALITY STANDARDS
In FY 1993 we will continue our goals to meet National Ambient Air Quality Standards
(NAAQSs) in all areas by 2011, to achieve substantial near-term reductions in criteria
pollutants and precursors, and to attain standards in most urban areas by 2001. The new
Act provides EPA, state, local, and tribal governments a larger arsenal of tools to help
achieve NAAQSs. The new Act also authorizes EPA, state and local agencies to harness
the power of the marketplace to implement the most cost-effective methods for reducing
air pollution. We will emphasize the development of new technologies and fuels. We
will empower state, local, and tribal governments by providing increased grant funds and
support the development of permit fee programs.
Ozone/carbon monoxide. Exposure to high ozone and carbon monoxide levels place
individuals at risk to harmful health effects. The Nation's ozone problem is possibly
worse today then when the.original framework for control was established. With further
growth in population and vehicle miles of travel (VMT) and the absence of additional
controls in major metropolitan areas, higher levels of both ozone and carbon monoxide
are possible.
The basic thrust of the new Clean Air Act is to provide for attainment of the
NAAQSs through control of; ________^^_
Existing stationary sources through applications of reasonably available
control technology (RACT).
New or modified major stationary sources through Source Performance
Standards (NSPSs) and new source review.
Vehicle emissions through the Federal Motor Vehicle Control Program, new
fuels requirements, and associated state efforts such as vehicle
inspection/maintenance (I/M) programs.
Vehicle emissions through transportation and air quality planning processes
to assure that gains achieved through cleaner vehicles and cleaner fuels are
not lost to uncontrolled increases in vehicle miles traveled.
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In FY 1993, the third year of implementation for the new Clean Air Act, EPA,
state, and local agencies will focus on the following:
Mobile Sources
• State and local agencies will submit baseline emissions inventories for
ozone/carbon monoxide nonattainment areas.
• EPA will issue guidance to state and local jurisdictions to develop the trans-
portation control measures for inclusion in state implementation plans (SIPs).
• EPA will issue guidance for Clean Fuel Fleet programs.
• States will develop SIPs to enhance their I/M programs to make them more
effective in identifying high polluters.
• States and local agencies will implement the oxygenated fuels program in
moderate and serious carbon monoxide nonattainment areas.
Stationary Source Control
• State and local agencies will submit revisions to their SIPs addressing RACT
for Major VOC sources, stage II vapor regulations, new source review
requirements.
• Stae and local agencies will continue their enforcement program addressing
VOC sources.
• State and local agencies will add enhanced ozone monitors and continue to
systematically replace worn-out monitors.
Particulate Matter (PM-10). In 1993 EPA will continue reviewing SIP submittals and
revising existing guidance. In addition, EPA will continue to implement and enforce the
Federal Motor Vehicle Control Program as it applies to emissions of paniculate matter
and nitrogen oxides that impact PM-10 problems. State and local agencies will continue
developing SIPs for serious and new moderate nonattainment areas.
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The basic components of the PM-10 program required by the 1990
amendments to the Clean Air Act include:
• States develop SIPs for areas redesignated as serious.
• EPA reviews, approves, and disapproves PM-10 SEPs submitted by states .
• EPA rcdesignates locations as honattainment areas where new violations of
NAAQSs are identified; states develop SIPs for areas.
• EPA continues development and publication of guidance for reasonably
available control measures and best available control measures.
• EPA implements expanded enforcement inspection program.
• EPA continues review/revision of emission factors.
Sulfur Dioxide. We will work with state and local agencies to implement changes to the
NAAQSs for sulfur dioxide. We will also designate new sulfur dioxide nonattainment
areas. We will also complete the program for enforcing on-highway diesel fuel sulfur
limits required by the new Clean Air Act.
During FY 1993, we will work with state and local agencies to implement the
following sulfur dioxide activities;
• Designate new sulfur dioxide nonattainment areas.
• Provide technical and policy support to states, enabling them to prepare viable
SIP revisions.
• Correct SIP deficiencies that hinder enforceability and adversely affect
operating permits.
• Revise state source emission limits.
• Ensure that all large utility steam generating units have installed the proper
continuous emission monitoring systems to minimize excess emissions.
• Establish a record of continuous compliances and facilitate implementation of
acid rain provisions in the new Clean Air Act.
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AIR TOXICS
Ambient air monitoring has detected over 3,000 compounds considered to be potential
air toxics and possible danger to human health. Many of the documented health problems
are alarming, and the full effects of air toxics exposure are unknown. The control of air
toxics is a priority for EPA and state and local agencies because of the seriousness of the
health consequences and the large number of people at risk.
The Clean Air Act Amendments of 1990 include significant changes for the national air
toxics program. EPA must publish a list of source categories and subcategories that emit
one or more of 189 compounds listed in the new Act. EPA will accept petitions to add or
delete pollutants from the list. The Act provides a two-step process for regulating
sources that emit any of the 189 compounds. EPA first must promulgate technology-
based standards and then later review the residual health risks after the standards have
been applied. Within two years from enactment, EPA must promulgate MACT standards
for 40 source categories. EPA must then promulgate standards for 25 percent of the
source categories within four years, an additional 25 percent within seven years, and the
remainder within 10 years. The NOX emissions will be achieved through a combination
of stationary and mobile source controls.
Air Toxics program activities planned for FY 1993 include:
• Proposed standards for "second round" of air toxics sources needed to
achieve 25 percent requirement by November 1994.
• Follow up on the mobile sources Air Toxics Study to determine need for
additional controls.
• Promulgate coke oven rules.
• Grant or deny petitions to add or delete pollutants from the list of 189
compounds.
• Implement existing radionuclide National Emission standards for Hazardous
Air Pollutants; compleat evaluations of adequacy of Nuclear Regulatory
Commission material licensees program to meet Clean Air Act requirements.
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ACID RAIN
Acid rain causes damage to lakes, forests, and man-made structures; contributes to
reduced visibility; and is suspected of causing damage to human health. The acid rain
provisions in the Clean Air Act Amendments of 1990 provide for reducing acid rain
precursor emissions using a "cutting edge" program that may serve as the prototype for
new, more cost-effective ways of addressing health and environmental benefits in the
future.
The long-term goal of the Act is to reduce sulfur dioxide emissions by 10 million tons
and nitrogen oxide emissions by two million tons. EPA will achieve the sulfur dioxide
emission reduction goals through an integrated trading program, which is composed of
an allowance allocation program, a permitting program and continuous emissions
monitoring program.
Emission Monitors
installed
In FY 1993 Acid Rain activities will include:
Activate the allowance tracking system and record trades.
Hold the first allowance auction and fixed price sales.
Revise Phase I permit applications and prepare permits.
Review and take action on applications for allowances from the conservation and
renewable energy reserve.
Review monitor certifications for Phase I units.
Advance federal/state partnership and conduct training.
Begin program evaluation.
Monitor Canadian acid rain program through US-Canadian Air Quality Accord.
Promote the issuance of Phase n allowances.
Provide election source Opt Ins.
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In FY 1993 we will continue to work with the regions to develop operating permits that
will assist state and local agencies. State permit programs are due to EPA by the end of
1993. We will issue comprehensive guidance and model permits and undertake out reach
and training efforts to help state and local agencies establish their permitting programs.
In FY 1993 Regions will assist in the Acid Rain Program through the
following activities:
Participate on the Acid Rain Implementation Work Group.
Participate in the permit application review teams.
Issue permits.
Participate on monitoring plan review teams.
Conduct field inspections and monitor audits.
Serve as the liaison with State air agencies and public utility commission.
Provide out reach materials to the regulated community and the general public.
STATE AND LOCAL OPERATING PERMIT PROGRAMS
The FY 1990 Clean Air Act Amendments provide for state and local operating permit
and fee programs to enhance the effectiveness of the acid rain, NAAQSs attainment, and
air toxics provisions in reducing pollutant emissions. The permit and fee programs will
increase source accountability, provide information to carry out regulatory and market-
based programs, facilitate inspections, and provide adequate funding for state efforts.
In FY 1993 we will work with state and local agencies to develop operating permit
programs. State permit program plans are due to EPA by the end of 1993. We will issue
comprehensive guidance and model permits and undertake outreach and training efforts
to help state and local agencies establish their permitting programs. States will be
working with their state legislatures to obtain operating permit program authority. We
will design an adequate audit program to assure that the permit programs are working.
The permit program will require modifications in the Aerometric Information and
Retrieval System (AIRS) Facility Subsystem to handle the data collected. Lastly, in
order to be enforceable, permits must include appropriate test methods and procedures.
We will provide assistance in these areas to state and local agencies and small sources.
STRATOSPHERIC OZONE DEPLETION
Depletion of the ozone layer leads to increased penetration of ultra-violet light (UV-B)
from the sun which will result in potentially harmful health effects. In addition to health
effects, limited studies show that increased UV-B could cause damage to crops and
aquatic organisms.
Current activities are designed to facilitate the transition away from ozone-depleting
chemicals. Recent scientific information suggests that ozone depletion over period 1979-
1989 is substantially greater than what was previously estimated. As a result of this new
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scientific data, we will be accelerating our efforts to establish earlier domestic and
international elimination of ozone depleting substances.
Key elements of this strategy include;
Implementing Title VI of the Clean Air Act Amendments of 1990.
Encouraging other countries to participate in reducing the use of ozone
depleting chemicals.
Encouraging the development of ozone-safe, energy-efficient alternatives and the
transfer of technology to lesser developed countries.
Implementing the Montreal Protocol, an international treaty that limits the
production and consumption of chlorofluorocarbons (CFCs) and halons. Signatory
countries agree to halt the production of CFCs and halons by the year 2000.
In FY 1993 we will promote development of;
• Safe and energy-efficient substitutes to replace CFCs and halons in the
refrigeration, foam blowing, fire prevention, and solvent industries.
• Alternatives that are safe and environmentally acceptable, and that they provide at
least the same level of energy efficiency as the chemicals they are replacing.
RADON
Our national radon program goal is to reduce public health risks by reducing exposure to
elevated radon levels in existing structures and by preventing exposure in new structures.
Current program activities include:
Promote radon testing and mitigation through consumer protection programs and
grassroot public information activities.
Operating voluntary industry proficiency programs and consumer protection
programs.
Developing effective state radon programs.
Promoting radon action during real estate transaction.
Encouraging the use of radon prevention in new construction.
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In FY 1993 the radon program will provide states and industry support for;
Providing public information, education, and technical assistance to understand
and respond to radon problems.
Testing and mitigation by working with local organizations, particularly in high
risk areas.
Promotion and adoption of local building codes that provide for radon resistant
construction across the country.
Application of radon resistant building practices.
developing policies and standards for radon in houses and to recommend radon
testing during real estate transactions.
Our FY 1993 program will also include the implementation of radon measurement and
mitigation programs for large buildings, schools, and homes. We will continue to
evaluate and demonstrate new mitigation and prevention techniques. These new
techniques will include special emphasis on multi-family housing and workplaces. We
will continue to use the regional training centers to transfer new technologies to state and
local governments and the private sector. The centers will be one of our primary tools
for providing training on indoor air and radon. In addition, we will work with financial
institutions to develop policies and standards for radon in houses and to recommend
radon testing during real estate transactions.
INDOOR AIR
Assuming that the indoor air programs will continue in a non-regulatory milieu, we will
increasingly turn our attention to the creation of more specialized information products,
training courses, and technical assistance. We will expand our regional training center
network to include targeted courses for specific indoor air quality audiences. Guidance
has been developed and disseminated to suppliers of particular services or products and
will be recast into suitable guidance for consumers of those services or products.
RADIOACTIVE WASTE STANDARDS
Disposal of radioactive wastes. EPA is a major participant in the federal program for
the disposal of radioactive wastes. Radioactive waste includes a wide variety of
materials of different origins, concentrations, and volumes that are categorized as high-
level waste, low-level waste, mixed waste, and residual radioactivity. Agency priorities
include issuing high-level waste standards in 1993 and low-level waste standards by
1994. Guidance to limit human exposure to radiation will also continue to be refined.
The primary health effects from exposure to radiation increases the risk of cancer and
deleterious genetic changes.
Further, as we come to the end of this century after 40 years of nuclear power,
radioactive waste disposal, management, and clean-up are generating increasing public
concern. Nearly every state in the nation struggles with ever-increasing amounts of
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nuclear waste and technically and politically complex siting issues. In FY 1993, OAR
will support federal, state, and international efforts to dispose of nuclear waste,
participate in nuclear accident emergency planning, support the clean-up of federal
facilities, and increase public outreach and educational efforts.
GLOBAL WARMING
The goal of the global warming program is to limit the increase in global temperatures
and associated changes in climate. Current strategies for accomplishing this goal
include: developing options that will reduce emissions of greenhouse gases at some level
of profit, coordinating with industry to ensure necessary concerns are addressed, and
identifying obstacles and designing solutions, where possible.
In FY 1993 we will initiate methane and energy conservation projects to reduce
greenhouse gases. Methane is second in its overall contribution to global wanning, next
to carbon dioxide. We will devise a strategy to cost-effectively stabilize emissions of
methane by the year 2000. We will also continue to develop options to reduce emissions
of methane from enteric fermentation, animal wastes, coal mining, and natural gas
systems. The regions will coordinate responses to inquiries from the public and industry,
participate in "Green Lights" programs, disseminate EPA information materials, and
inform state governments about the global warming program.
COMPLIANCE AND ENFORCEMENT
New programs will require
innovative approaches to
Enforcement
During FY 1993, EPA will continue an aggressive enforcement program, in cooperation
with states, to identify stationary sources that are in violation of air emissions
requirements, return the sources to compliance, and assess appropriate penalties to
mitigate against further violations. To accomplish this more effectively, the agency will
extend implementation of new and revised compliance strategies for development of state
compliance plans, inspection strategies, and multi-media enforcement programs. EPA
will also maintain an active program to implement the requirements of the Clean Air Act
Amendments of 1990 and of the Montreal Protocol to protect stratospheric ozone.
Substantial efforts will continue in developing and implementing rules and guidance to
satisfy the requirements of Title VII of the new amendments.
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GEOGRAPHIC INITIATIVES
Great Lakes. OAR will strive to reduce atmospheric deposition of pollutants that
account for a significant percentage of total loading in the Great Lakes eco-system. We
will conduct a program to assess the hazardous air pollutant deposition and evaluate its
impact on humans and the environment; and work closely with federal and state partners
to enhance modeling efforts. A report to Congress will be issued in November 1992 that
will address the deposition of air toxics to the Great Lakes.
The Clean Air Act requires the Agency to
identify pollutants to the Great Lakes.
Mexico Border. OAR will work with states and Mexico's Secretariat of Urban
Development and Ecology (SEDUE) to improve air quality along the US/Mexico border
as part of EPA's Mexico Border initiative. Two chief objectives are to meet the
NAAQSs for ozone, PM-10, and carbon monoxide in border cities; and improve
visibility in clean air (Class I) areas. We will also maximize the technical expertise of
several federal, state and local organizations; emphasize a consensus-building
methodology, especially with SEDUE. We will undertake a cooperative effort among
EPA, SEDUE, Texas, and border cities to refine emissions inventories and perform
dispersion modeling; sponsor grants to New Mexico and Texas for ambient air quality
monitoring in urbanizing border cities; work with Mexico to reduce ozone precursor
emissions. We will also work with Mexico to enhance their mobile source emissions
control programs.
Indian Tribes. Our assistance to tribes will build on the success of past efforts in key
geographic areas. We will continue to support tribal air quality monitoring that provides
a basis for evaluating and addressing air quality problems on tribal lands. We will
continue to provide assistance in measuring levels of indoor radon.
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Appendix A
IMPLEMENTATION PRINCIPLES FOR THE CLEAN AIR ACT
of 1990
Promise of the Clean Air Act
• "Every American expects and deserves to breath clean air "
President Bush
• These principles will guide us as we turn the promise of the Act into legacy of
clean air.
Policy
• g3: Achieve and maintain a healthy environment, while supporting strong and
sustainable economic growth and sound energy policy.
• Market-based: Use market-based approaches and other innovative strategies to
creatively solve environmental problems.
Build Consensus
• Joint Venture: Recognize the essential role played by state and local
governments.
• Negotiate: Use negotiation techniques to resolve critical issues with other
interested parties, including other government organizations, industry,
environmental groups, and academics.
• Federal Coordination: Work closely with other EPA offices, other federal
agencies, and the Congress to ensure a coordinated approach that will achieve
environmental objectives in the most efficient manner possible.
Management
• Deadlines: Establish and meet commitments to effectively implement key
provisions of the Act.
• Team Effort: Work together; attract and retain a diverse and talented
workforce.
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Office of Water
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OFFICE OF WATER
ASSISTANT ADMINISTRATOR'S OVERVIEW
I. INTRODUCTION
The water portion of the Agency's FY 1993 Operating Guidance
provides national direction to EPA, States, Indian Tribes and the
regulated community in implementing programs mandated under
Federal water protection statutes. These statutes include: the
Safe Drinking Water Act (SDWA), as amended by the Lead
Contamination Control Act of 1988; the Clean Water Act (CWA), as
amended by the Water Quality Act of 1987; the Marine Protection,
Research and Sanctuaries Act (MPRSA), as amended by the Ocean
Dumping Ban Act of 1988; the Shore Protection Act; the Marine
Plastics, Pollution, Research and Control Act; the Coastal Zone
Management Act, as amended; and the Great Lakes Critical Program
Act. The Agency and the States also implement programs to
protect ground-water quality through provisions under several
different statutes. Unless otherwise noted, the word "State"
also means "Tribe" or "Tribal," wherever such a connotation is
appropriate and relevant.
FY 1993 is a critical year for implementing many activities
within the water program. Today's problems are different from
those of the past and we need to design and implement new
solutions and creative approaches. However, we must do so while
recognizing and building upon the accomplishments achieved by our
base programs. Consequently our strategy, as reflected in our
strategic plan, recognizes that existing controls must be
maintained if the gains we have achieved are not to be eroded.
At the same time, we need additional initiatives which are
targeted for solving problems in critical watersheds and
aquifers. Approaches such as geographic targeting allow us to
better focus our resources on high priority areas. We will work
with Regions and States, using tools available across the
Agency's programs, to identify specific problems and solutions.
Our FY 1993 activities are closely linked to the Agency's
strategic directions and priorities. We emphasize the reduction
of human health and ecological risk and have designed initiatives
to address both areas in accordance with the Science Advisory
Board's (SAB) recommendations. We are also working to improve
the science of ecological and public health protection by
developing environmental indicators, criteria, standards and
predictive modelling to improve our ability to identify, manage
and reduce risks. We will work to improve the scientific basis
for future actions by applying research in such key areas as
surface-water toxics, ground-water contamination and cleanup,
drinking water contaminants, sediments and wetlands.
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We will continue to focus our enforcement efforts on human health
and ecological risks from significant noncompliers. We will also
focus on the duration of noncompliance. OW will support the
Agency's multi-media enforcement theme by supporting multi-media
inspections, the FY 1993 multi-media initiatives and cluster
efforts endorsed by the Agency's Enforcement Management Council
(e.g., noncompliant industry groups, Mexican Border, compliance
data quality and Federal facilities). Regions and States will
continue to use all appropriate sanctions, including civil,
judicial, administrative and criminal sanctions.
The Office of Water will also support non-enforcement efforts to
achieve compliance. One initiative is State-based municipal
pollution prevention programs which focus on preventative
measures such as water use efficiency, pollutant reduction and
compliance maintenance. Other efforts will include: the
development and dissemination of new technical solutions; support
for improved operation and maintenance of municipal wastewater
treatment facilities; development and dissemination of innovative
financing mechanisms such as public private partnerships; and
targeting State Revolving Funds on priority activities.
This guidance reflects the water programs' efforts to promote
cross-program initiatives and partnerships with other Federal
Agencies, States, local governments and private groups. We will
increase the integration of our activities with these groups by
using their expertise and resources to develop multi-faceted and
cost effective solutions. We stress effective use of the
information we collect by sharing data across EPA programs and
with other Federal, State and local agencies. We seek to
complement and balance existing Federal/State regulatory programs
with activities to empower State and local governments and the
public. The fundamental objective of this expanded orientation
is to mobilize public support for protection and stewardship of
water resources with Federal and State governments offering
technical, scientific, and educational assistance to support and
reinforce grassroots efforts.
II. PROGRAM DIRECTIONS AND PRIORITIES
The FY 1993 water programs' directions and priorities are
presented in terms of the Agency's Themes.
THEME: GEOGRAPHICAL AMD ECOLOGICAL
The fundamental philosophy and goal of the 1993 water quality
program is a risk-targeted approach to pollution prevention and
control. EPA will direct activity not just geographically but
strategically. This will be accomplished by integrating relevant
EPA, State and local programs in selected watersheds with high
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environmental and human health risks or resources of outstanding
value which deserve special protection. To do this we will use
both traditional regulatory and non-traditional approaches.
We will carry out several legislatively mandated programs and
focus on cross-media geographical activities. EPA and the States
will continue to carry out strong permitting and enforcement
activities in the NPDES, pretreatment, UIC and PWSS programs.
For example, the NPDES program will continue to incorporate
water-quality based limits into its permits. The NPDES program
will also continue developing the capacity to incorporate sludge
controls and sediment quality-based limits into permits.
In FY 1993, Headquarters will begin encouraging States to adjust
their permit issuance cycles so that permits within a watershed
can be issued in the same year. The NPDES program will also
assist States in efforts to identify low cost, practical measures
that are effective in controlling the non-traditional sources of
pollution such as storm water and CSOs. The nonpoint source
program will place particular emphasis on controlling NPS
pollution in coastal areas with degraded water quality.
Geographic Areas
The geographic areas discussed in this section, especially the
Great Water Bodies, are a high priority for the Agency and in
particular for the Office of Water. We must be ready to take
advantage of opportunities to combine the tools we have available
to address and control risks.
Great Lakes: We will focus on an interagency Great Lakes habitat
program demonstrating practices and tools for accelerating the
restoration of aquatic and transitional zone habitats in
conjunction with follow-on to the Assessment and Remediation of
Contaminated Sediments demonstration projects. The program will
expand information management and data integration to aid in
implementation of Lakewide Management Plans, Remedial Action
Plans and habitat restoration plans. In FY 1993, increased
emphasis will be placed on the Great Lakes Atmospheric Deposition
network as well as nonpoint source pollution control.
Information will be provided on the scientific basis of sediment
criteria, the use of sediment standards in setting water quality
based permit limits for point sources and loading limits for
nonpoint sources. Permitting and enforcement efforts will be
directed toward non-traditional sources of pollution including
CSOs and storm water.
Chesapeake Bay Program: Priority activities for the Bay Program
include development of a "tool chest" of computerized information
assistance, facilitating the ability of local governments to meet
environmental goals. Outreach efforts will expand public
involvement in programs to reduce the effects of nonpoint sources
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of pollution. The Agency will escalate the pace of the nutrient
reduction program to meet the goal of a 40 percent reduction in
nutrient levels by the year 2000.
Special permitting and enforcement efforts in the watershed will
target communities which are covered by the combined sewer
overflow and storm water management requirements. We will
continue the highly successful NPDES and Federal facility
compliance initiatives to assess and improve the multi-media
compliance status of these facilities. Toxics loadings will be
reduced by extending the voluntary reduction approach of the
33/50 Project to the 14 chemicals on the Bay's "Toxics of
Concern" list. This effort seeks the cooperation of Federal
installations in the Bay watershed to report under the Toxics
Release Inventory (TRI), identical to Federal TRI requirements.
This will provide a baseline for further pollution prevention
efforts.
Gulf of Mexico: The Office of Water is supporting the program to
characterize problems in the Gulf and to develop long-term plans
for improving environmental quality with a special emphasis on
near-coastal waters. Technical subcommittees have been
established to address several problem areas including:
1) Habitat Degradation, 2) Nutrient Enrichment, 3) Toxics and
Pesticides, 4) Marine Debris, 5) Freshwater Inflow, 6) Public
Health, 7) Coastal and Shoreline Erosion, 8) Data Information and
Transfer, and 9) Public Education and Outreach (including "Year
of the Gulf" activities).
Through implementation of a comparative risk project,
environmental problems will, for the first time, be
systematically ranked according to health, ecological and welfare
risks. These results will then be used to set the long-term
strategic direction for the Gulf of Mexico Program.
Ongoing program support includes work in nonpoint source
management, restoration of shellfish beds, and oil spill
contingency planning and response. We will continue existing
support of BAYWATCH, beach cleanup activities and the Florida
Marine Key Sanctuary water quality plan. The Agency will also
continue to identify the most important and vulnerable wetlands
resources and work to establish a sound wetlands inventory.
Special efforts will be undertaken in the Gulf Watershed to
identify and bring into compliance unregulated point sources.
Resources will be directed toward building the capacity to
develop, issue, and enforce permits for nontraditional sources
(CSOs and stormwater), sludge use and disposal and toxic
discharges.
Mexican Border: The Office of Water will initiate and support
activities to assist communities, called colonias, adjacent to
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the U.S./Mexican Border. Colonias are neighborhoods,
subdivisions, and clusters of housing areas along the border,
which generally are without municipal services because they are
located outside incorporated areas. They are populated by lower-
income families, primarily Hispanic-Americans. Over 300,000
colonia residents do not have modern wastewater disposal
facilities; many do not have safe drinking water supplies.
The Office of Water will join with the USDA's Farmers Home
Administration and the State of Texas Water Development Board in
carrying out three different types of projects in colonias. The
first are projects for planning, design, and construction of
sewer systems in these disadvantaged communities. Completion of
these projects will mitigate pollution of the watercourses and
shallow ground water in the vicinity of the colonias, thereby
reducing the incidence of hepatitis and other waterborne
diseases. The second type of project will focus on providing
indoor plumbing. The third will, support drinking water system
construction.
Making real progress on the colonias problems will take a
cooperative effort by all levels of U.S. government and between
the U.S. and Mexican governments, including; EPA, the Texas Water
Development Board, the Farmers Home Administration, the Mexican
Secretariat of Urban Development and Ecology, the National Water
Commission and the International Boundary and Water Commission.
Targeted Watershed Protection Projects (WPPs): The water quality
program will encourage, assist and support the Regions and States
in the development and implementation of action plans for
Watershed Protection Projects. These projects are to be
comprehensive in nature (integrating both surface and ground
water components of the watershed), strategically selected for
reducing risks and involve all stakeholders. We will give these
projects priority consideration for reserved program resources,
including intramural and extramural funds.
We will also establish watershed assessment and targeting
programs based on both human health and ecological protection.
These will include the identification of priority water-quality
impaired watersheds, the application of ecologically-based, total
maximum daily load (TMDL) techniques. Additionally, through
watershed management we will protect sources of drinking water.
Nontraditional Sources and Ecological Protection
We have achieved considerable success using our regulatory
programs to protect waterbodies. Addressing the remaining risks
will increasingly require the use of nontraditional approaches.
These remaining risks, primarily to ecosystems and habitats, are
from smaller and more dispersed sources which, in aggregate,
constitute the most significant source of impairment to our
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waters and the living resources which depend on them. Urban and
rural nonpoint sources, storm water, combined sewer overflow
(CSO) discharges and physical destruction of habitat are the
largest and most important broad categories of "non-traditional
sources." The emphasis will be on using a mix of tools and
approaches, both regulatory and nonregulatory, tailored to the
site specific needs of the waterbody and delivering these
controls to the appropriate source to achieve optimum results.
States should continue to develop and implement biological
criteria based on regionalized reference sites to help identify
impairment by such "non-traditional" sources. We recognize that
existing controls must be maintained at needed levels if the
gains we have achieved are not to be eroded, but we also
recognize that the national regulatory approach, by itself, is
not adequate to address site-specific problems in critical
watersheds for resource protection.
Stormwater and CSOs: The implementation of the storm water
program will be in full swing with the issuance of municipal
storm water permits to large and medium sized cities and counties
with populations of 100,000 and above. In addition, baseline
general permits for sources of storm water associated with
industrial activity will be issued.
The implementation of the CSO permitting strategy will also be
underway resulting in the incorporation of CSO limits into
expiring NPDES permits and expanding compliance monitoring and
enforcement activities. This strategy focuses on the CSOs that
contribute most significantly to water quality problems.
Nonpoint Sources (NFS): We are increasing support to the
Agricultural Pollution Prevention Strategy by formulating new
national initiatives with key Federal agencies. The focus will
be to reduce NPS nutrient loadings through voluntary action,
market-based incentives and nutrient management plans which can
be implemented through the President's Water Quality Initiative
and State Nonpoint Source programs (section 319). Projects
selected for NPS grant funding will be guided, in part, by State
priorities for ground water protection.
Work will continue with other Federal Agencies to identify the
best available management measures economically achievable for
NPS sectors (such as agricultural or commercial). We will assist
States in implementing necessary management measures for the
highest risk nonpoint sources in critical watersheds and ground
water/aquifers. NPS grants will support the targeted NPS program
including agricultural and other NPS pollution controls and
management measures.
EPA, in coordination with NOAA, will work with States to assure
development of approvable coastal nonpoint source programs as
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required in the 1990 Coastal Zone Act Reauthorization Amendments.
Lessons learned will be transferred to non-coastal watersheds.
Wetlands: A highlight of this initiative will be implementation
of the President's wetlands protection plan. In FY 1993, this
will include finalization of the interagency technical study on
wetlands characterization and the wetlands mitigation banking
systems. These systems are designed to provide compensation for
the unavoidable loss of wetlands in which compensatory mitigation
for more than one project is aggregated and effected in advance
at a single large site.
The Agency will increase its efforts to work with States to
assume the regulatory program. We will also support States as
they build on anticipatory approaches to wetlands protection with
increased use of advance identification, special area management
plans and comprehensive State wetlands plans, among others.
Education/outreach activities to the agricultural community and
other regulated sectors will be expanded to counter the high
level of misinformation regarding scope and authority of the
regulatory program. A coordinated, cohesive, and consistent
dredge material testing, use, and disposal strategy will be
prepared to ensure appropriate protection of all aquatic
ecosystems.
THEME: STRATEGIC IMPLEMENTATION OF STATUTORY MANDATES
The Office of Water is charged with numerous statutory mandates
which we strive to meet and which serve as the Nation's baseline
for environmental protection. FY 1993 is a pivotal year for some
of these mandates and they will receive added attention. The
following discussion identifies these priority areas and presents
the water programs' approach to implementing these mandates.
Public Water System Supervision Program (PWSS): A major
challenge in FY 1993 is implementation of the drinking water
program and its new requirements. The Public Water System
Supervision program will shift its focus in FY 1993 to building
the support, expertise, and institutional mechanisms to implement
the many new drinking water regulations at the State and local
levels. As a part of this transition we will be setting
implementation priorities within each regulation to ensure that
States address the most important components of the program first
and add others as they build capacity.
In FY 1993, the lead and copper rule and the 38 new and revised
inorganic and synthetic organic standards will be in effect. In
addition, the statutory deadline for installing filtration at
unfiltered surface water sources is June 1993, which poses major
compliance problems for large and small systems and the need for
increased enforcement activity by the States and EPA.
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We must work with the States to develop and implement the new
components of the drinking water program, to build State capacity
to manage the expanded complex new program and to gain compliance
with the new requirements. This will be accomplished through a
combination of training, technical assistance, support for
affordable technologies and new institutional arrangements (e.g.,
regionalization), and a stronger enforcement program. Within the
drinking water program, both Headquarters and the Regions are
developing a set of national priorities for State primacy
programs. These priorities recognize the resource limitations
States are experiencing while trying to implement an expanded and
more complex drinking water program. Regions should incorporate
these priorities into negotiated FY 1993 State work programs.
Underlying the implementation challenge to the drinking water
program will be initiatives to reduce the resource burden on the
States and water systems through closer cooperation and
integration of related programs. This includes strong support
for development of the comprehensive ground water protection
program in each State that will help to prevent pollution of
drinking water sources.
Underground Injection Control Program (UIC): The Underground
Injection Control (UIC) program focuses primarily on front end
controls that are key to determining the presence/absence of
potential contamination. This program will be strengthened in FY
1993 as EPA promulgates two sets of regulations: (1) Class II
regulations pertaining to area of review and construction
requirements for new and converted Class II wells; and
(2) Class V regulations pertaining to best management practices
for certain categories of Class V wells.
THEME: CLUSTERS
Ground Water Protection: In FY 1993 EPA will be working closely
with States as they develop and begin implementing Comprehensive
State Ground Water Protection Programs, a key component of EPA's
1991 ground water protection strategy. The strategy directs the
Agency to shift program emphasis from individual source control
programs to a resource-based approach for protecting ground
water. The Office of Water will maintain its leadership role,
working with OSWER, OPPTS, and other Agency programs to protect
ground water. OW will coordinate Agency efforts to develop and
implement consistent programmatic and grant guidance to support
Comprehensive State Ground Water Protection Program development.
OW will also be working with other Federal agencies to assure
that ground water considerations are reflected in the
implementation of other Federally assisted programs.
In FY 1993, States will continue to develop and implement
wellhead protection programs. Special attention will be given to
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the identification and elimination of unsafe injection practices,
particularly for Class IV and V injection wells that pose the
greatest threat of ground-water contamination.
THEME: POLLUTION PREVENTION
Increased emphasis on pollution prevention is integral to our
water quality program. Prevention offers the tools which will
help us move beyond what is achievable with end-of-pipe fixes,
giving us greater capability — and flexibility — to address
localized problems requiring more stringent control. Our
ultimate goal is to fully institutionalize pollution prevention
into all water programs, both regulatory and non-regulatory.
The effluent guidelines program will continue to include process
changes and other pollution prevention technologies as the basis
for effluent limitations. State-based Municipal Water Pollution
Prevention programs will foster pollution prevention and
compliance maintenance at Publicly Owned Treatment Works through
application of the pollution prevention hierarchy and a
preventive management approach to problem solving.
THEME: IMPROVING EPA'8 KNOWLEDGE BASE — SCIENCE AND DATA
The water quality program will support the Agency's Improved
Knowledge Base theme by improving the quality and application of
our scientific and technical tools. These tools, which underlie
the water programs, support water quality assessment and decision
making and are essential to protecting human health and the
environment. Our efforts will focus on scientific improvements
in the following areas: assessing human and ecological risk and
contamination of fish and sediment; obtaining data of known
quality; standardizing methods for fish contamination advisories
(which enable us to communicate risk to the public in terms they
can understand and act upon); controlling and preventing
industrial toxic releases; assisting and guiding implementation
of these tools; and measuring the success of our prevention and
control programs.
Risk Assessment: As part of the Agency's initiative to reduce
health and ecological risks, the water quality program will
enhance its scientific capabilities for developing consistent
risk assessment methodologies. This focus will support
development of improved methodologies for assessing exposure to
contaminants in surface water and hazards that account for a
chemical's mechanism of action as well as improved methods to
quantify and describe risks. The program will support
application of new risk assessment methodologies for specific
contaminants; the epidemiological study; research on
microbiological water quality; microbial methods development;
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increased collection of biological data; and selection, use, and
improvement of environmental indicators.
Drinking Water Program: The information management challenge in
the drinking water program will become critical in FY 1993 as
new requirements accelerate monitoring by State and local
governments. In the drinking water program we are moving beyond
regulating the 83 original contaminants and the first round of 25
additional contaminants. We are now dealing with contaminants
for which data are sparse and where fundamental research and
analyses are critical. We have several major data initiatives
underway that will improve implementation activities in FY 1993.
Occurrence studies will continue where data are available on
additional contaminants. These data, along with necessary risk
and cost data, are vital to determining which contaminants need
to be controlled and at what levels. Just as importantly, the
study will identify which contaminants do not need to be
controlled. We will work with the States to improve the quality
and timeliness of reporting drinking water data, including the
development of a generic-type software to facilitate both
compliance determinations and State reporting to the national
data system.
Water Quality Program: The water quality program will support
activities to improve monitoring and assessment, data management,
data integration and environmental indicators. We will assist
States in operating base water quality monitoring programs. The
Regions will continue to provide support for accurate and
consistent State monitoring and assessment programs, reporting
for the National Water Quality Inventory (section 305(b)),
quality assurance management, technical and field sampling
support and biological criteria development. The quality of
information in, and access to, PCS and STORET/BIOS/ODES and other
water quality systems will be improved to facilitate public use
of these systems and ensure national consistency. To enhance our
ability to make better decisions, we will accelerate our
modernization of STORET/BIOS/ODES including better linkages to
USGS and NOAA systems and improved CIS capabilities. The
contribution to increasing the knowledge base will be continued
by pushing for greater consistency in resource monitoring and
assessment procedures under Section 305(b). Improving this data
will strengthen our basis for future choices on where to target
Agency resources among different watersheds and geographic areas.
Our ability to defend project selections and demonstrate project
accomplishments based on environmental data will largely dictate
our successes and directions in these efforts in the future.
THEME: BUILDING STATE AND LOCAL CAPACITY
Protecting our drinking water, ground water, surface water and
ocean resources demand shared responsibilities among all affected
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parties. In FY 1993, we will continue to build and improve our
partnerships with Federal, State, and local governments.
Implementation priorities will be established in new regulations
to ensure that States address the most important components of
programs first and add others as their capacity increases.
Public Water System Supervision (PWSS): In FY 1993, our highest
priority will be building State capacity to tackle the expanded
and more complex programs the States must adopt to retain
primacy. Through our Regions, we expect to have activities
underway in virtually every State to develop new funding
mechanisms, to build expertise in the States through expanding
training programs, and to effectively implement the new
requirements. We will also be involved with a series of
initiatives to support small system compliance with the new
regulations, particularly the surface water treatment rule and
lead and copper rules.
Groundwater: In FY 1993, we will provide the States with
guidance and technical assistance to characterize their ground
water resources and to identify their most valuable and
vulnerable aquifers. States will use this improved knowledge to
set priorities for their ground water protection efforts and
target geographical areas where ground-water contamination poses
the highest human health and environmental risks or where special
efforts are needed to protect ground waters of particular
vulnerability.
NPDES: Assistance will be provided to States for the development
of NPDES programs and for expansion of presently approved State
NPDES programs to add authority for sludge management programs,
pretreatment programs, Federal facility permitting and issuance
of general permits. Permit quality reviews and State audits will
be conducted to promote national consistency.
We will continue to conduct strong municipal community outreach
programs through municipal water pollution/prevention, small
community outreach and education, operator training, technical
assistance for operations and maintenance, technology transfer
and public education. The principle goals of these programs are
to enable municipalities to plan, design, finance, construct,
operate and maintain affordable wastewater treatment facilities
and to encourage municipalities to integrate pollution prevention
principles into wastewater management activities. To meet these
goals, we will continue to enlist the participation of State and
local governments, national organizations, and other Federal
Agencies.
Monitoring: Water quality monitoring is another area in which
significant coordination with other Federal, State and local
groups, as well as private citizens, is essential if we are to
have the information on water resource quality we need to assess
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the effectiveness of our program. Several other Federal agencies
such as NOAA and USGS have monitoring capabilities and resources
which will be integrated with EPA's water quality focus,
particularly in targeted watersheds. Volunteer monitoring can
also provide us with important information which can, if quality
assured, increase the number of assessed waters in the States.
Construction Grants/SRF: In FY 1993, we will continue our major
commitment to accelerate the phaseout of the construction grants
program. This includes full implementation of the Agency's
construction grants program completion/closeout strategy which
was initiated in FY 1991. Our objective is to maintain high
quality management of the program and ensure fiscal integrity of
the anticipated 4,000 construction grants projects that will
still be active at the beginning of FY 1993. We will also
support activities with State and local sponsors to correct
environmentally sensitive municipal pollution problems in several
coastal cities (Boston, New York, Los Angeles, San Diego,
Seattle, Baltimore) and Tijuana, Mexico.
All 51 States and Territories have established State Revolving
Fund (SRF) programs. In FY 1993, we will continue to capitalize
existing SRFs. Through technical assistance we will enable
States to assist communities in building new and upgraded POTWs
to comply with the Clean Water Act, ensuring the long-term
viability of the program .
Tribal Capacity: EPA will meet the challenge of establishing
tribal primacy for environmental programs through multi-media and
program-specific financial assistance to Tribes. We will
encourage and utilize intergovernmental cooperative relationships
to leverage available resources such as the cooperative
agreements between Tribes and States. The recently executed
four-party Memorandum of Understanding among EPA, Bureau of
Indian Affairs, Indian Health Service, and Housing and Urban
Development allows each agency to jointly undertake and fund
specific projects, thus maximizing Federal efforts and
complementing Tribal, State and local initiatives.
THEME: INTERNATIONAL LEADERSHIP
The water quality program will support the Promotion of
Technology Innovation/Technology Transfer and the Eastern Europe
initiatives. Activities to support the Agency's Eastern Europe
initiative will include: an expansion of the Technical Exchange
program initiated in 1991 to cover additional countries and a
larger number of exchange opportunities in Eastern Europe, as
well as bringing Eastern Europeans to the U.S. for first-hand
observation of treatment facilities and technologies for drinking
water and wastewater; an expansion of efforts to introduce
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constructed wetlands as a control technology; and technical
assistance to address highest priority water quality problems.
Technical and economic analysis capabilities will be improved by
activities to develop guidelines for high priority unregulated
industries and to update obsolete guidelines. Strengthening the
effluent guidelines program will provide important pollution
prevention and control technologies which will be available to
the many other nations that rely on U.S. guidelines in their own
environmental protection programs.
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Office of Solid Waste and Emergency Response
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FY 1993
OSWER ASSISTANT ADMINISTRATOR'S OVERVIEW
TABLE OF CONTENTS
Page
Introduction 1
OSWER Goals and Objectives 2
Agency Themes 3
Cross-Program Initiatives 4
PROGRAM HIGHLIGHTS
Superfund 5
Oil Pollution Prevention 9
RCRA Solid and Hazardous Waste 10
RCRA Underground Storage Tanks 14
Chemical Emergency Preparedness and Prevention 15
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
ASSISTANT ADMINISTRATOR'S OVERVIEW
INTRODUCTION
The FY 1993 Agency Operating Guidance for the Office of
Solid Waste and Emergency Response addresses the solid and
hazardous waste programs mandated by the following statutes:
o The Comprehensive Environmental Response, Compensation and
Liability Act of 1980 (CERCLA), as amended by the Superfund
Amendments and Reauthorization Act of 1986 (SARA);
o The Emergency Planning and Community Right-to-Know Act
(EPCRA), also known as SARA Title III;
o The Resource Conservation and Recovery Act (RCRA), as
amended by the Hazardous and Solid Waste Amendments of 1984
(HSWA), including Subtitle C (hazardous waste), Subtitle D (solid
waste), Subtitle I (underground storage tanks), and Subtitle J
(otherwise known as the Medical Waste Tracking Act of 1988).
o The Oil Pollution Act of 1990 (OPA).
o The Clean Air Act of 1990 (CAA), as it relates to
accidental chemical releases; and
o The Hazardous Materials Transportation Uniform Safety Act
(HMTUSA), as it relates to EPA activities and support for the
Department of Transportation.
In FY 1993 OSWER's programs will continue to address risk-
based priorities building upon strategic planning efforts in
Headquarters, the Regions and States. The framework for the
direction of OSWER's programs is found in our four-year strategic
plan, the goals and objectives of which are consistent with the
Agency's Strategic Direction. OSWER's FY 1993 budget request is
based on the priorities laid out in our strategic plan, on the
priority activities and high-risk geographic areas identified by
the Regions and States, and on the Agency's themes stemming from
the Strategic Direction.
This overview to the Agency Operating Guidance for OSWER
highlights our priority objectives and activities for each of
OSWER's programs and forms the basis for the more detailed
program specific guidance to be issued in the Spring of 1992.
This overview also includes the STARS measures we will use to
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track progress in meeting our strategic plan's goals and
objectives. Some of the RCRA STARS measures are not yet final;
OSWER will include final measures with the FY 1993 RCRA
Implementation Plan and is providing interested parties
opportunities to comment on the measures and their definitions.
OSWER GOALS AND OBJECTIVES
OSWER's long-range strategic plan lays out four key goals
for our programs. While OSWER's programs are mandated by a
number of statutes and encompass a wide range of wastes and waste
management practices, these goals are cross-cutting and address
the critical challenges our programs face over the coining years.
Our FY 1993 priorities and activities stem directly from the
objectives we have laid out for ourselves in order to accomplish
these goals.
Goal 1: Minimize the quantity and toxicity of waste created
by commercial, industrial and governmental activities. To
accomplish this goal we will work to increase source reduction
activities by industry and municipalities; to increase the number
of markets for secondary materials; to foster effective State
source reduction and recycling programs; and, to induce pollution
prevention through permit and enforcement activities.
Goal 2: Ensure the environmentally sound management of solid
and hazardous waste. Our objectives under this goal are to
create a more effective and rational RCRA Subtitle C program; to
foster State planning for adequate capacity to safely manage
wastes; to ensure the proper management of Subtitle D special,
industrial and municipal wastes; to make greater use of
innovative technology for site remediation; and, to ensure the
long-term effectiveness of response actions under Superfund.
Goal 3: Prevent harmful releases of oil and hazardous
substances into the environment. Key objectives to accomplishing
this goal are improving release prevention practices and
technologies and reducing catastrophic or harmful releases of oil
and hazardous substances.
Goal 4: Prepare for and respond in a timely manner to
releases of hazardous substances into the environment. To
achieve this goal we will better integrate our clean-up programs;
improve the identification and remediation of hazardous and
petroleum waste sites; enhance State capabilities to clean up
hazardous and petroleum waste sites; and, improve the
preparedness of Federal, State and local entities to respond to
releases of petroleum and hazardous material into the
environment.
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AGENCY THEMES
OSWER's four goals and the objectives that stem from them
form the basis for our FY 1993 waste management activities that
contribute to addressing the Agency's themes:
Theme: Pollution prevention. Developing, encouraging and
promoting technologies and practices that prevent pollution is
key to OSWER's goals of waste minimization and prevention of
harmful releases. Most of OSWER's FY 1993 activities have a
direct link to pollution prevention - municipal solid waste
recycling, accidental release prevention, and eliminating
barriers to source reduction - to name a few.
Theme: Geographic targeting of health and ecological risk.
In FY 1993 we continue our emphasis on minimizing health and
ecological risk by working on highest priority facilities and
sites first and on concentrating those efforts in key geographic
areas.
Theme: Improve science and data. In FY 1993 we will enhance
our use of environmental indicators to track program progress and
relate program successes to the public. We and ORD will also
further the development of innovative treatment technologies and
risk assessment protocols.
Theme: Cross-program integration and multi-media
enforcement. We are focusing on integrating our programs within
OSWER through our cross-cutting strategic plan and activities
thereunder. We are looking at integrated, multi-media solutions
to problems through the targeting of specific industries for
enforcement and high-risk geographic areas for a variety of
actions.
Theme: Education and outreach. We will continue our efforts
to educate and enable the public and our various constituencies
to fully participate in protecting the environment from the
effects of improper waste management. We will begin a pilot
environmental extension service to provide education and outreach
on waste management.
Theme: International cooperation. OSWER's goals of waste
minimization, sound waste management and prevention and response
to releases can not be accomplished by focusing solely on
domestic activities. OSWER will enhance its international
leadership role in these areas in FY 1993.
Theme: Management and infrastructure. Accomplishing our
strategic goals and objectives in this time of tight resources
demands that we expand our incorporation of TQM principles within
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OSWER in FY 1993, both in terms of our human resources and
improved management of our programs.
Theme: Strategic implementation of statutory mandates.
Statutory and court-ordered deadlines will continue to drive much
of OSWER's agenda in FY 1993. We have mapped out a strategy for
addressing the greatest risks first and for reforms to our
programs that will yield greater efficiencies without
compromising environmental protection.
Theme: More reliance on market and economic approaches. We
will continue to look for ways to achieve results using market
mechanisms and economic incentives, wherever feasible,
particularly with regard to fulfilling OSWER's goals of waste
minimization and environmentally sound waste management.
Theme: Building State and local capacity. Our long-range
goals can only be met through the combined efforts of EPA and
State, Tribal and local governments. Accordingly, a number of
our objectives, as well as our planned activities for FY 1993,
are aimed at enhancing State, Tribal and local capacity for
managing our nation's waste. Note: the word "State" in this
overview should be read to include Indian Tribes as well.
CROSS-PROGRAM INITIATIVES
OSWER has the lead responsibility for the four cross-program
initiatives described below for FY 1993. In addition, OSWER will
support a number of other cross-Agency and multi-media
initiatives and strategies, such as the ground water strategy.
Initiative: Oil Pollution Act. In FY 1993 we will complete
the regulatory framework for OSWER's responsibilities under this
Act, review oil storage facility response plans, sponsor new
technological approaches to oil spills, and target our expanded
enforcement program at the highest risk facilities.
Initiative: Contaminated Media. OSWER is supported by OPPE
and OE on this initiative which will begin implementing in
FY 1993 a strategy for developing a consistent remedial decision
process for contaminated media clean-ups, for accelerating
remedial actions, for identifying worst sites first and more
flexible use of resources and application of laws.
Initiative: Environmental labeling. OPTS, OPPE and ORD are
cooperating with OSWER on this project to establish voluntary
guidelines for environmental labeling.
Initiative: RCRA Reauthorization. Most major Headquarters
offices and several Regions are participating on work groups to
analyze proposed changes to RCRA. In FY 1993 OSWER will provide
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increased technical support and analyses to Congressional staff
and promote dialogue with affected parties.
PROGRAM HIGHLIGHTS
I. SUPERFUND PROGRAM
In FY 1993 the Superfund program will direct activities in
support of OSWER's goals of providing environmentally sound
management of wastes, preventing harmful releases and responding
to hazardous releases. The specifics of how the Superfund
Program will address the OSWER goals derive in large part from
the Agency's program to revitalize Superfund, building upon the
results and recommendations of several internal reviews of the
program.
The elements of the Superfund revitalization program
include: consolidating management accountability, using a
troubleshooting team to quickly identify and resolve problems,
speeding site cleanups and completions, reducing contract
management costs, and improving risk-based decision making.
Two FY 1991 studies looked at ways to speed cleanups,
evaluate risks and improve contracting. Their recommendations
are found in (1) the Superfund 30-Day Task Force Report on
Accelerating Superfund Cleanups and Evaluating Risk at Superfund
Sites and (2) the Report of the Administrator's Task Force on
Implementation of the Superfund Alternative Remedial Contracting
Strategy (ARCS). Activities to implement these studies'
recommendations and to address the revitalization program's goals
are discussed below, followed by other high priority Superfund
program initiatives.
Expediting Cleanup
The Superfund 30-Day Task Force Report's lead recommendation
is to set firm annual targets for completing cleanup at NPL
sites. At the end of FY 1991, the Agency had completed cleanup
at 63 NPL sites; the Agency has publicly committed to completing
clean up of 130 NPL sites by the end of FY 1992, 200 by the end
of FY 1993, and at least 650 by the end of FY 2000. Attainment
of these targets is the most crucial Superfund goals for the next
few years.
The program will further develop and promote an integrated
timeline and Regional project-specific initiatives. As part of
developing the timeline, the program will analyze trends in the
following key timeframes: RI/FS, ROD to RD/RA negotiations
completion, ROD to RD start, and ROD to RA start. The Regional
project-specific initiative is an ongoing effort to conduct
projects more efficiently and effectively.
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In conjunction with these efforts, early in FY 1992, the
Superfund Accelerated Cleanup Model (SACM) was introduced as a
means for streamling and accelerating site cleanup. The model
specifically focuses on reducing the number of risk assessments
done for pre-remedial, remedial, and removal phases into a single
process. From the site assessment phase, the model emphasizes
the use of either the remedial or removal authorities to take
early cleanup actions. The model will be piloted during FY 1993.
Contract Management
In FY 1991, the Agency developed a long-term contracting
strategy for the Superfund program. This strategy identifies the
long-term contracting needs of the program and designs a flexible
portfolio of Superfund contracts to meet those needs over the
next ten years. During FY 1993, implementation of the strategy
will focus on the phase-in of new contracts, most of which are
delegated to the Regions. Implementation of the recommendations
of the ARCS Task Force study will continue with the goal of
reducing program management costs.
Dealing with Worst Sites. Worst Problems First
In FY 1993 the Superfund Site Assessment Program will
implement a Site Assessment Four Year Evaluation Strategy
requiring all sites designated as high priority to be evaluated
for inclusion on the NPL within four years of entry into CERCLIS.
To identify NPL candidate sites, the Regions will: 1) begin to
revise site priorities (with completed site inspections) to
determine if further action is warranted; and, 2) implement the
revised Hazard Ranking System. In addition, the Regions will
continue to perform RCRA preliminary assessments under the
Environmental Priorities Initiative (EPI).
All new remedial investigations/feasibility studies (RI/FSs)
will be prioritized by the Regions based on risk to ensure that
sites entering the RI/FS process represent the worst problems at
the worst sites. Regions will focus on the worst problems at all
points in the pipeline, and in the event of a potential queue for
fund financed construction projects, all such projects will be
ranked in accordance with environmental priorities. The
Superfund Program will closely monitor sites throughout the
remediation process to further our objectives of addressing the
worst problems first and maximizing NPL site completions.
Developing Better Integrated Cleanup Programs
Development of better integrated cleanup programs is one of
the objectives under OSWER's goal of preparing for and responding
to hazardous releases. In FY 1991 and 1992 OSWER took advantage
of many opportunities to coordinate key RCRA and CERCLA policies
and initiatives, such as the Environmental Priorities Initiative,
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joint policy development on lead in soil and DNAPL cleanups, and
technical training for staff. Activities in FY 1993 will
continue work to integrate cleanup program guidances. The SACM
pilot illustrates another effort to integrate cleanup programs by
merging Superfund and RCRA site assessments.
Also, in FY 1991 and FY 1992, OSWER participated in
activities under the Agency Contaminated Media Cluster to focus
regulatory efforts under every Agency program office involving
contaminated media, such as soil, debris, and ground water, along
a consistent set of principles. Superfund activities in FY 1993
in the Contaminated Media Cluster will focus on OSWER regulations
that affect contaminated media, such as Corrective Action and the
BOAT standards for contaminated soil, to ensure that they meet
contaminated media principles.
Improving Remediation of Hazardous Waste Sites
Another objective in OSWER's strategic plan is to improve
the identification and remediation of hazardous waste sites. The
Superfund program's first priority at such sites is to reduce
near-term risk to public health. In FY 1993 uncontrolled
releases at hazardous waste sites will be identified and
addressed in a timely manner through site inspections,
evaluations, and removal actions (where necessary), focusing on
high risk/volume sites. National Priorities List (NPL) sites
will be reviewed and evaluated both to determine if immediate
threats exist at these sites and to identify opportunities for
quick response that may result in immediate risk reductions
(either removal or remedial). In order to better implement a
program that reacts quickly and effectively in addressing
uncontrolled releases of hazardous wastes, the Superfund program
will continue to utilize a combination of response actions and
enforcement activities which will improve response time as well
as recovery of costs.
The National Contingency Plan (NCP) establishes expectations
that remedies selected will: 1) treat principal-threat wastes; 2)
contain low-level threat wastes; and, 3) restore, where
practicable, contaminated ground water to its beneficial use
within a reasonable time frame. Several initiatives have been
established to ensure that these expectations are consistently
met. These initiatives include (1) the establishment in FY 1991
of a risk-management group to resolve issues and establish policy
relating to risk management and remedy selection, (2) efforts in
FY 1992 to standardize the remedy selection process at similar
types of sites (e.g., wood preservers, battery recyclers), and
(3) continuing analyses of ground-water extraction/cleanup
methodologies. Efforts in all of these initiatives will continue
in FY 1993 and ultimately will contribute to the more expeditious
and consistent selection of remedies across the country.
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In addition, the Superfund program will continue to bring
innovative technology and experience to bear on the remedy
selection process. Efforts in FY 1993 will facilitate the
transfer of treatment technologies.
Ensuring Long-Term Effectiveness of Response Actions
In FY 1993 the Superfund program will again conduct an
analysis of RODs issued in FY 1992 to assess improvements in
their quality and consistency. In addition, efforts will
continue to assure that remedies selected satisfy statutory
requirements to utilize permanent solutions and treatment to the
maximum extent practicable. FY 1993 efforts will also emphasize
five-year reviews of completed Superfund sites to assure that
remedies are effective and protective.
OSWER will be conducting a number of activities towards
building public confidence and enhancing the public's ability to
participate in the Superfund Program. Continued emphasis on and
refinement of Superfund environmental indicators is central to
this objective. FY 1993 will be the first year that
environmental indicators are fully integrated with existing
program measures.
Improve Enforcement Techniques to Accelerate Private-Party
Cleanup
In support of OSWER1s objective to improve site
remediations, Superfund's enforcement goals are to:
1) accelerate the use of CERCLA and SARA authorities to expedite
Potential Responsible Party (PRP) settlements and site cleanups;
2) continue to set aggressive PRP lead cleanup targets;
3) identify and elevate EPA/DOJ and EPA/State issues causing site
specific cleanup delays; 4) communicate Superfund enforcement
program successes and accomplishments; and, 5) improve cost
recovery case selection and claim resolution to maximize
reimbursement of monies to the Trust Fund. We will also increase
our use of mediation and alternative dispute resolution.
Regions will use "Enforcement Smart" tools and techniques to
obtain judicial and administrative settlements. These tools and
techniques include: settlements for RD/RA, mixed funding
settlements, de minimis settlements, administrative orders (UAOs
and AOCs), and referrals to the Department of Justice (DOJ) of
Section 107 cases, penalty cases, treble damage cases, and non-
settlor/non-complier cases. Accelerated CERCLA enforcement will
necessitate greater interagency (EPA/DOJ) coordination, and
greater intra-Agency (OWPE/OE/OERR/OGC/ORC) cooperation. Regions
are urged to quicken the pace of cleanups at PRP lead sites
(e.g., by encouraging remedial design starts prior to entry of
consent decrees) and to continue vigilant oversight of PRP work.
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Enhancing State Capabilities to Cleanup Hazardous Waste Sites
In FY 1992 the Superfund program began an evaluation of the
CORE grants to States to develop State Superfund capabilities.
The evaluation will result in recommendations in FY 1993 on
future funding of State Superfund programs, a key component of
OSWER's efforts to build State and local capacity.
Also, the Superfund program supports development of
Comprehensive State Groundwater Protection Plans, as recommended
in the Agency's 1990 Groundwater Task Force Report. Core program
cooperative agreements may enable Regional Offices to fund
appropriate tasks in interested States. Examples might include:
development of groundwater sampling protocols and design of risk
assessment criteria and procedures.
II. OIL POLLUTION PREVENTION PROGRAM
OSWER's Oil Pollution Prevention Program will conduct
activities in FY 1993 in support of our strategic plan goals of
preventing harmful releases and preparing for and responding to
releases of petroleum. Activities will focus on implementing the
Oil Pollution Act (OPA) of 1990 and strengthening our oil
pollution prevention efforts.
Implementing the Oil Pollution Act
In FY 1993 OSWER will focus on several of the OPA's
requirements, including developing guidance for the review and
approval of Facility Response Plans and expanding EPA's response
activities in oil spills. The guidance is needed so that EPA may
address the OPA's requirement to approve by February 1995
response plans for all oil storage facilities which pose a threat
of "significant and substantial" harm to the environment. OSWER
will also work with the Regions to develop risk-based decision
criteria for a range of EPA responses (from consulting to
directing) to oil spills.
Strengthening Oil Pollution Prevention
In FY 1993 OSWER will continue to work with the Regions and
OE to decrease the environmental damage caused by oil spills. We
will expand our activities to prevent oil spills by increasing
the numbers of inspections and targeting these at the highest
risk facilities. Where inspections disclose violations,
enforcement actions will be taken in an effort to prevent
problems before they occur.
OSWER will also support the Regions in planning and
conducting responses to oil spills and enforcement actions, with
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a goal of minimizing pollution and subsequent environmental
damage. We will evaluate the Agency response to spills,
including the issuance of removal orders, to determine the most
appropriate response to spills of varying severity. OSWER will
additionally work to improve the science of oil spill response
through our efforts with other EPA offices and industry groups to
sponsor new technologies including bioremediation.
III. RCRA SOLID AND HAZARDOUS WASTE PROGRAM
In FY 1993 the RCRA program will support OSWER1s goals of
waste minimization, environmentally sound waste management, and
proper response to releases. The hazardous waste program will
focus resources on high priority facilities and activities,
implementing the Strategic Management Framework established in
FY 1992. The solid waste program will work with States and
Tribes to implement the new landfill requirements and take other
steps to properly manage our solid wastes.
Reporting on Environmental Progress
During FY 1993, OSWER will collect and report on
environmental indicators which measure the RCRA program's
environmental progress. Indicators dealing with hazardous waste
will be collected primarily through the RCRIS and Biennial Report
national data systems for the major RCRA categories of waste
minimization, sound management and corrective action. Indicators
dealing with municipal solid waste will come from periodic
surveys. Such indicators also can serve as a vehicle to improved
program accountability.
Indian Lands
The Office of Solid Waste's Indian Strategy has three
objectives: (1) to assist Tribes in safely managing solid and
hazardous waste; (2) to promote Tribal capability; and (3) to
enhance EPA's RCRA presence on Indian lands by leveraging
resources with other Federal agencies having responsibilities in
Indian lands. In FY 1993, we will continue to emphasize
communication, technical assistance, regulatory development, and
training.
A. RCRA SUBTITLE C HAZARDOUS WASTE PROGRAM
Environmental Priorities under the Strategic Management Framework
In FY 1992, Regions and States should have completed the
environmental priority rankings for all RCRA facilities. In
FY 1993 they will complete the transition begun in FY 1992 to
focus resources and activities on environmental priorities.
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Our permit and corrective action programs will continue to
emphasize two major activity themes in FY 1993. The first is
demonstrating progress in issuing post-closure and operating
permits. By the beginning of FY 1993, Regions and States should
have a clear understanding of environmental priorities among
facilities requiring post closure permits and a strategy for
addressing them most effectively. We will also emphasize the
need to demonstrate progress for the entire RCRA facility
universe in completing permitting and closure activities that
will yield the greatest environmental results. In particular,
Regions and States should have a strategy for addressing interim
status boilers and industrial furnaces. New facility permitting
and permit modifications that fill capacity shortfalls identified
in State capacity assurance plans are also important
considerations in setting permit priorities.
The second activity theme is achieving timely risk reduction
at the greatest number of facilities through focused corrective
action. Continued emphasis on stabilization activities is key to
these efforts. We will continue to focus in FY 1993 on
evaluating high priority facilities for stabilization
opportunities and implementing stabilization measures. We will
begin to monitor risk reduction at facilities as a result of
stabilization efforts. At the same time, we will highlight the
need to ensure timely progress in moving facilities that remain
high priority after stabilization through the corrective action
process.
Comprehensive State Groundwater Protection Plans will be a
strong tool for defining environmental priorities in the RCRA
program. Certain Subtitle C activities may be integrated into
the development of State assessments of their overall groundwater
protection programs. Examples include developing State
groundwater protection and remediation capabilities, and data
collection on groundwater quality and facility specific
groundwater impacts. In addition, to better support the
establishment of State Groundwater Protection Programs, OSW will
seek to strengthen coordination of and consistency among the many
groundwater related programs and initiatives of EPA and other
Federal agencies, States, Tribes, Territories and local
governments.
Compliance Monitoring and Enforcement
In FY 1993, we will continue to implement the RCRA
Implementation Study recommendations for an effective RCRA
enforcement program that detects violations, compels their
correction, ensures that compliance is achieved in a timely
manner, and deters other violations. The program will continue
to focus on obtaining voluntary compliance by ensuring that the
regulated community perceives a greater risk and cost in
violating a requirement than in complying with it.
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We will accomplish these goals by: 1) providing a flexible
process for Regions and States to tailor their national
enforcement priorities to achieve the greatest environmental
benefit; 2) maintaining an inspection program that maximizes
awareness and deterrence through continued presence at TSDFs and
an increased presence at generators, transporters and waste
"brokers", and places increased emphasis on detecting non-
notifiers and others who have escaped the RCRA system; 3)
providing timely and appropriate enforcement responses that
achieve deterrence; 4) strategically targeting enforcement
actions, seeking higher penalties, effectively publicizing
enforcement actions, utilizing innovative enforcement techniques
such as permit suspension/revocation, participating in multi-
media enforcement efforts and incorporating pollution prevention
into enforcement settlements (see also below).
We will also enhance the compliance monitoring and enforcement
capability of States through expanded and innovative training.
Accountability
The Strategic Management Framework and the flexible
enforcement process provide Regions and States considerable
latitude to determine how best to address environmental
priorities and achieve environmental results. However,
accountability must accompany flexibility. The RCRA program must
provide an accounting of choices and results, both in terms of
quality and numbers of activities. In FY 93 the number of STARS
targets and report measures has been significantly reduced. As a
result, in addition to STARS, the RCRA Program will rely
increasingly on environmental indicators and other select
performance measures to enable us to gauge progress while
supporting flexibility. Ensuring the quality of data in RCRIS is
critical to accounting of our activities.
Enhanced Federal/State Relationship
In FY 1993 we will reinforce our commitment to authorization
of State programs and otherwise enhance the EPA/State
relationship through: tailored EPA/State work sharing that uses
Federal and State resources most effectively; State capability
enhancement; and, a results-based approach to assessing State
implementation, consistent with strategic management
accountability mechanisms.
Pollution Prevention/Waste Minimization
Our goal for FY 1993 and beyond is to fully integrate waste
minimization into the RCRA program both through regulatory and
non-regulatory opportunities. The RCRA Waste Minimization Action
Plan highlights a number of specific activities. Enforcement
components include: enforcing the Biennial Report requirement to
certify waste reduction; identifying the role of RCRA inspectors
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in pollution prevention; and enforcing HSWA requirements that
each RCRA hazardous waste generator and facility owner/operator
must certify that it has a waste minimization program. In
addition, we will incorporate pollution prevention strategies
into permit provisions and enforcement case settlements.
The Agency will also pursue regulatory opportunities to
incorporate waste minimization into the listing and Best
Demonstrated Available Technologies for fourteen newly listed
wastes. In FY 1993 we will increase emphasis on outreach and
education programs, innovative technology development, and
information transfer and exchange.
SARA Capacity Assurance Plans
Capacity assurances will be due in FY 1994. In FY 1993,
States will describe their current and projected waste management
systems, including waste minimization, and continue to develop
interstate agreements.
B. RCRA SUBTITLE D SOLID WASTE PROGRAM
Development and approval of State/Tribal Municipal Solid
Waste (MSW) landfill permit programs and implementation of the
revised criteria for municipal solid waste landfills (40 CFR Part
258) remain the first priorities for FY 1993. EPA promulgated
the revised landfill criteria on October 1, 1991. In Spring
1992, EPA will propose the State/Tribal Implementation Rule
(STIR). The STIR establishes the criteria and procedures for
program approval. To ensure effective implementation of these
rules, OSWER will develop and issue outreach materials, conduct a
series of training seminars on both the criteria, and provide
technical assistance. Although a Federal permit program will not
be established, EPA has the authority to enforce the criteria in
States/Tribes whose MSW landfill permit programs are determined
to be inadequate to ensure compliance with Part 258.
While development and approval of State/Tribal MSW landfill
permit programs remain the highest priority for FY 1993, EPA also
will focus its efforts on source reduction activities and
enhancing markets for recyclables. Finally, EPA will continue to
enhance the communication network established in the municipal
and industrial solid waste program. The network is designed to
facilitate information exchange among all participants, including
Headquarters, Regions, States, Tribes, local governments,
business/industry, and the public. This has been an extremely
effective way of ensuring input from all sectors, identifying
program needs, transferring new technologies and methodologies,
and promoting the goals of the municipal and industrial solid
waste program.
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IV. RCRA SUBTITLE I, UNDERGROUND STORAGE TANKS
As in previous years, the Underground Storage Tank (UST)
program will continue to rely on State and local implementation
of the national underground storage tank program to meet OSWER's
goals of preventing harmful releases and prompt response to
releases. The emphasis of EPA's program implementation is on the
long-term, and on the continuing growth and improvement of State
and local programs. Major UST activities for FY 1993 are as
follows:
Develop and Approve State UST Regulatory Programs
The UST program's long-term goal is for all States to have
effective programs that prevent and remediate releases from USTs
and are approved to operate in lieu of the Federal program. The
UST program will continue to build State capacity by working with
the States to develop applications for program approval. In
those States without approved programs, we will emphasize
building basic program capability and making progress toward
approval while promoting compliance with Federal regulatory
requirements. In States that have approved programs, the focus
will be on improving program performance.
Focus on Compliance and Enforcement Requirements
Over the next several years, the UST program will increase
efforts in all areas of prevention for petroleum tank releases.
During FY 1993 the phase-in of release detection requirements
will begin to apply to all tanks installed prior to 1980, and the
UST program will continue to use these requirements as the focus
for developing strong State compliance and enforcement programs.
For FY 1994-98, the UST program will expand and increase
pollution prevention efforts in a number of areas including
proper installations and closures and meeting upgrade
requirements.
EPA will support States in identifying and adopting tools
such as field citations and self-certification programs,
enhancing the effectiveness of compliance and enforcement
efforts. As an interim step toward the long-term goal of
building strong State, local and Tribal programs, EPA will
continue some direct compliance and enforcement efforts,
particularly on Indian lands or for portions of the regulations
not fully implemented by the States. Our assistance and direct
enforcement efforts will target health and ecological risks by
focusing on geographic areas of vulnerable groundwater and on
States with large tank populations and low compliance and
enforcement activity.
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Improve the Quality of Corrective Actions
In FY 1993 EPA will emphasize quicker starts for petroleum
UST remediations, applying more effective and less expensive
technologies, and reducing conflict between regulators and
industry. EPA will expand the use of total quality management
(TQM) techniques in our work with States, local governments,
Tribes and industry groups to reduce delays and backlogs in the
clean-up programs through process streamlining, and we will make
available training, demonstration and performance information on
new technologies and methods.
Cross-Program Initiatives
*
In support of the Agency's policy of better integrating
groundwater protection efforts at the State level, during FY 1993
OUST will encourage coordination of State UST program activities
with State groundwater protection programs. A primary goal of
this effort is to achieve more efficient and effective use of
resources by avoiding duplication of effort and identifying
common information needs. The UST program will continue its many
activities aimed toward achieving greater protection of the
nation's groundwater resources. Among these activities are
maintaining inventories of potential sources of contamination
from UST's, and work in the priority areas described above. It
should be noted that, by statute, in pursuing any coordinated
activities, monies from the Leaking Underground Storage Tank
Trust Fund may be used only for enforcement, corrective action
and necessary administrative expenses related to known or
suspected releases from underground petroleum storage tanks.
During FY 1993 the UST program will also continue its active
involvement in Agency efforts to address problems associated with
contaminated media, particularly through the Agency-wide
Contaminated Media Cluster.
V. CHEMICAL EMERGENCY PREPAREDNESS AND PREVENTION
Two of OSWER's goals are to prevent harmful releases of oil
and hazardous substances and to prepare for and respond quickly
to those releases which do occur. To these ends, OSWER will
continue to provide technical assistance, guidance, training and
computer application for hazard analysis and emergency planning.
The activities of our Chemical Emergency Preparedness and
Prevention (CEPP) program are geared toward building State and
local capacity while preparing groups to receive planning-related
information generated as a result of the Clean Air Act
Amendments, the Oil Pollution Act and the Hazardous Materials
Transportation Uniform Safety Act (HMTUSA). In particular, the
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16
CEPP program will emphasize and focus program activities in areas
of high risk for chemical accidents.
In FY 1993 EPA will place increased emphasis on Community
Right to Know activities such as public awareness, public
participation in local emergency planning committees (LEPCs), and
local uses of Title III data in addition to emergency planning
(e.g., prevention, risk reduction, zoning). The CEPP program
will also support DOT's emergency planning and training grants to
States under the HMTUSA. In addition, CEPP plays an important
role internationally in dealing with chemical emergencies.
During FY 1993 CEPP will focus on the following activities:
Determine the Causes of Chemical Accidents and Prevention
The CEPP program will strive both to determine the causes of
chemical accidents and to seek public consensus on how they can
best be prevented. Improving science and data, increasing public
education and empowering State, local and Tribal agencies are key
to achieving success in these endeavors. The Chemical Accident
Prevention (CAP) Advisory Committee will identify information
gaps, success measures, needed guidance, means of information
transfer and incentives. CEPP will aim education efforts at
communicating information on inspection methodologies, hazard
assessment techniques and releases. We will assist emergency
planning officials at the State, local and Tribal levels in risk
reduction discussions with industry.
Develop State Programs for Section 112(r) of the Clean Air Act
As work progresses on regulations and guidance for the
chemical accident prevention provisions of the Clean Air Act,
CEPPO will work closely with the Regions and States to develop
lines of communication, legislative authority and State programs
to implement these provisions. OSWER's long-term goal is
effective implementation of these regulations in all States,
thereby reducing the number and severity of accidental releases
of hazardous substances.
International and Outreach Role
The chemical emergency, prevention and preparedness program
plays a key role in enhancing the Agency's international
leadership efforts. We will improve our abilities to provide
international assistance as we continue to share information on
prevention, preparedness and response with other countries,
working with multi-national organizations such as the U.N.
Environment Program and the OECD. We will continue our bilateral
efforts as well, especially with Mexico and Canada.
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Special Preparedness Program
OSWER will continue to coordinate the Agency's response to
significant emergencies internally through the National Incident
Coordination Team or the Emergency Preparedness Advisory
Committee, and externally through the National Response Team and
inter-agency forums. CEPPO has major responsibility for
implementing the hazardous material annex of the Federal Response
Plan. Also, the staff continues to manage the Agency's Emergency
Operations Center.
Compliance and Enforcement Activities
The CEPP program supports Local Emergency Planning
Committees (LEPCs) and State Emergency Response Commissions
(SERCs) in developing the tools necessary to identify facilities
not in compliance with SARA Title III. Using various targetting
techniques, we will assist the SERCs and LEPCs with compliance
sweeps and conduct other activities to increase compliance and
conduct enforcement.
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Office of Prevention, Pesticides,
and Toxic Substances
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OFFICE OF PREVENTION, PESTICIDES AND TOXIC SUBSTANCES
FY 1993 OPERATING GUIDANCE
TABLE OF CONTENTS
ASSISTANT ADMINISTRATOR'S OVERVIEW
Page
A. INTRODUCTION 1
I. MOA Process 1
B. MANAGEMENT THEMES
1. Regional/State/Tribal Capacity 2
Building
2. Enhanced Enforcement 2
3. Pollution Prevention/Risk Reduction 4
4. Environmental Indicators & STARS 6
Measure Development
5. International Leadership 7
6. Indian Programs 7
7. Antimicrobial Compliance 8
8. Pesticide Exports 8
C. FIELD IMPLEMENTATION PRIORITIES
1. Asbestos Abatement 8
2. EPCRA - Section 313 8
3. Polychlorinated Biphenyls (PCBs) 9
4. Lead Strategy 9
5. 33/50 - Toxics Use Reduction 9
6. Multi-Media 9
7. Other Toxics Enforcement Priorities T& '
8. Groundwater Protection 10
9. Endangered Species Protection 11
10. Pesticide Worker Protection 11
11. Certification and Training 11
12. Food Safety 11
13. Pesticide Container Regulation 11
D. PESTICIDE AND TOXIC PROGRAM STRATEGIES —
FY 1992 PRIORITIES
1. New Chemicals 12
2. Existing Chemicals 13
3. Field Operations 17
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FY 1993 Prevention, Pesticides and Toxic Substances
Operating Guidance
Assistant Administrator's Overview
A. Introduction
The FY 1993 operating guidance is intended to build on Agency-
wide discussions that were held at the FY 1993 Baltimore planning
meeting. This guidance provides general program direction to EPA,
States and Tribes in carrying out programs under the following
statutes: Toxic Substances Control Act (TSCA), Federal
Insecticide, Fungicide, and Rodenticide Act (FIFRA), as amended in
1988) , Emergency Planning and Community Right-To-Know Act (EPCRA),
Asbestos Hazard Emergency Response Act (AHERA), Asbestos School
Hazard Abatement Act (ASHAA), Asbestos Information Act (AIA), and
Federal Food, Drug, and Cosmetic Act (FFDCA). The pesticides and
toxics programs also implement programs authorized under other
statutes to protect ground water and endangered species.
This guidance outlines the FY 1993 major management themes,
field implementation priorities including enforcement and
compliance monitoring, and the FY 1993 program priorities that
support the pesticide and toxic 4-year strategic plans. OPPTS
STARS measures and environmental indicators are attached.
OPPTS is in the initial stages of developing a process by
which HQ and Regional Offices will prepare and enter into
individual Memorandums of Agreement (MOA). The intended purpose of
the HQ-Regional MOA is to provide the opportunity for HQ and the
Regional Offices to work together to shape Regional programs. The
goal is to fully utilize available resources to address regional
and national priorities to the fullest extent possible. The spirit
of this effort is one of improving HQ-Regional teamwork, not
increasing HQ centralized control over regional programs. HQ and
Regions recognize that the growing demand on regional resources to
meet an ever increasing array of priorities and the most effective
use of existing resources.
Guidelines for the development of these agreements have been
discussed by senior management from Headquarters and the Regions.
OPPTS anticipates that the MOAs, when complete, will provide a
clearer and more defined operating guidance for each region. This
current operating guidance document has an uncertain future, but
for FY 1993 it remains important as a baseline for establishing the
MOAs. Further prioritization across OPPTS priorities is expected
in late spring, to early summer. Measurement and accountability
systems will be incorporated in the MOA process with some minor
changes anticipated.
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Special Note: Since the Agency's operating guidance format
has been changed to a more general, less program specific document,
comments (other than editorial comments) received from Regions,
States, Tribes, and other EPA program offices will be addressed in
the following manner. 1) STARS Comments — OPPTS has a formal
review process each spring and summer which includes discussions
and recommendations for improvements on each OPPTS measure. STARS
comments on the Agency Operating Guidance (AOG) are addressed
during this process. 2) Program Specific Comments — OPPTS has
consolidated cooperative agreement guidance for pesticides and
toxics field implementation. Program specific comments are
addressed in the development of both of these guidance documents
during the winter, with final guidance documents issued in March
each year for the upcoming year.
B. Management Themes
The following management principles, and FY 1993 budget
themes, will guide the FY 1993 Prevention, Pesticides and Toxics
Program.
1. Regional/State/Tribal Capacity Building
Implementation of the major pesticides and toxics program is
dependent on effective, decentralized field delivery systems. To
get where we want to be requires new, dynamic roles for the Regions
and States. In order to accomplish this, we need to continue a
dramatic enhancement of Region, State and Tribal capabilities.
With Regional technical assistance and oversight, we are strongly
encouraging the States to take on the following major tasks and
Tribes to begin to become involved in these areas: 1) develop and
implement tailored, site-specific management plans for ground water
and endangered species; 2) assume responsibilities for pesticide
worker protection, asbestos abatement, PCB disposal, food safety,
and pesticide container disposal; 3) assist the States in expanding
the use of TRI data in local risk reduction decision-making as well
as expand data quality enforcement; 4) develop and implement new
and expanded State enforcement authorities and enhance traditional
inspection and compliance monitoring efforts; and 5) promote multi-
media activities, and pollution prevention/toxic use reduction
initiatives. To effectively accomplish these tasks, technical
assistance and additional resources will continue to be necessary
for Regions, States, and Tribes.
2. Enhanced Enforcement
A focused and coordinated compliance monitoring and
enforcement effort is critical for successful implementation of the
pesticides and toxic substances programs. OPPTS1 compliance
program has developed its strategy in tandem with the strategy of
the Office of Enforcement (OE). Successful implementation of the
strategy will require more coordination between Headquarters,
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Regions, and States and Tribes to incorporate better targeting and
screening for violations based on risk and to implement appropriate
enforcement responses across environmental media lines. Highlights
of OPPTS1 FY 1993 compliance program vis-a-vis the OE strategic
plan are as follows:
o Targeting for maximum environmental results. The food safety
enforcement initiative will focus on targeting pesticide
enforcement activities toward food-use chemicals. The
Laboratory Data Integrity program will track compliance with
all data submission requirements and target inspections to
er~ure that data is developed pursuant to the Good Laboratory
Practice (GLP) regulations.
The EPCRA Toxics Release Inventory (TRI) data base will
continue to mature as part of the enforcement program. TRI
will begin to target false reporting, late reporting, and data
quality issues while maintaining base enforcement capability
against non-reporters. This initiative will increase the
integrity of the chemical emissions data.
OCM is screening TSCA cases based on their multi-media
applicability. In this way OCM can effect greater source
reduction across media through the incorporation of pollution
prevention measures into case settlements.
o Creative use of environmental authorities. The EPCRA
enforcement initiative will support the use of the EPCRA data
in order to incorporate pollution prevention measures into
case settlements.
The penalty policies are being revised to be more flexible and
to facilitate the incorporation of Environmentally Beneficial
Expenditures (EBE) in case settlements. The EBEs will also
be analyzed as part of a process to establish a more standard
approach to formulating EBEs. Such a standard will increase
the effectiveness of EBEs as a means to settle cases and
reduce pollution sources while maintaining national
uniformity.
The pesticides in groundwater enforcement initiative will
require enhanced compliance monitoring as states develop
groundwater management plans to ensure adequate enforcement.
The Agency will provide guidance in the development of
localized enforcement strategies to protect groundwater from
pesticide contamination.
o Improving EPA relationships with other governmental units.
The Food Safety initiative will establish programs of
cooperation with USDA and FDA to promote effective, efficient,
and coordinated Federal regulatory activities. Cooperation
between these agencies through the exchange of information and
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coordinated inspections and enforcement actions is important
to enhance targeting and tracking systems to specifically
identify food use chemicals. The TSCA decentralization
initiative, begun in FY 1990, will continue to encourage
states to develop comprehensive and expanded TSCA legislative
authorities that would allow states to assume a wide range of
TSCA enforcement responsibilities, including case development
and multi-chemical control.
To ensure the development of state capacity to administer
pesticide container disposal, worker protection, and
pesticides in groundwater enforcement programs, the Agency
requires the development of extensive interaction among
Headquarters, Regions, and states. The development of this
interaction will continue in FY 1993 through guidance,
training, and outreach programs.
o Improving the infrastructure/training. Inspector training
materials will be developed for the new pesticide container
disposal program. This training will provide the knowledge
base on which inspectors can effectively monitor compliance.
The TSCA decentralization initiative is specifically designed
to enhance State infrastructures for TSCA enforcement by
encouraging States to develop comprehensive authorities. The
multi-media program will provide for a more responsive and
flexible enforcement workforce through cross-media training
and deployment. The EPCRA TRI enforcement program will build
an appropriate infrastructure where only a skeleton exists
currently.
o Federal facilities. Where appropriate, OPPTS will include
Federal facilities in its FY 1993 enforcement activities.
3. Pollution Prevention/Risk Reduction
While other EPA programs focus primarily on end of pipe
controls or on cleanup of pollutants already disposed of in the
environment, OPPTS1 programs focus primarily on preventing risks
through front-end controls on pesticide and toxic chemical use.
The three components of our toxic chemical use controls are: 1)
preventing risky chemicals from entering commerce and encouraging
safer substitutes through our new chemicals programs; 2) developing
and making available adequate data to assess risks and taking
appropriate action to remove risky chemicals from commerce through
our existing chemicals programs; and 3) enhancing risk reduction in
the field by building Regional and State and tribal programs,
providing technical assistance, and providing a credible
enforcement presence. Enforcement outreach and technical
assistance promoting pollution prevention includes encouraging
broader participation by industry and the public in activities
designed to change production use and recycling habits and working
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with violators to expand their environmental programs.
As a unifying force to OPPTS1 pollution prevention efforts,
the Agency's Pollution Prevention Strategy will tie together a
number of ongoing OPPTS activities, such as greater dissemination
and utilization of TRI data; outreach and training to States,
Tribes, industry and the public; incentives to States and Tribes
through grants to enhance pollution prevention activities; and the
institutionalization of pollution prevention in EPA's regulatory,
permitting and enforcement activities. A major component of OPPTS1
pollution prevention strategy is the 33/50 Program. This is a
voluntary pollution prevention program targeting 17 TRI (EPCRA
section 313) chemicals for reductions in environmental releases by
participating companies. The goal is a 33 percent reduction of
emissions by the end of 1992 and a 50 percent reduction by 1995.
OPPTS has a leadership role in coordinating this activity which
includes the development of the implementation plan and working
with the Regions to carry it out. This activity helps to integrate
pollution prevention into OPPTS1 ongoing chemical assessment and
management activities.
The OPPTS-EPCRA programs in Headquarters and the Regions
include several significant pollution prevention initiatives. The
EPCRA program will play a major role in the implementation of both
the Pollution Prevention Act and amendments to the Clean Air Act.
Implementation of the Pollution Prevention Act calls for the
collection of much more detailed in-plant data on activities in
data integration and pollution prevention with respect to the TRI
database. OPPTS has gained critical experience in providing public
access to chemical information, and we believe there are
substantial pollution prevention benefits to be gained by linking
this experience with both the expanded TRI database and with the
chemical knowledge and expertise OPPTS has. OPPTS will seek to
develop the tools to allow the public access to chemical
information and the ability to use that information effectively.
Under the Pollution Prevention Act of 1990, OPPTS will be
gathering data that will highlight whether part of a facility's TRI
chemical releases are due to catastrophic circumstances. OPPTS
will use its TRI database in coordination with OSWER to identify
potential problem locations and chemicals in implementing a
catastrophic releases initiative. This initiative will support
provisions of the Clean Air Act Amendments that place new emphasis
on emergency preparedness and prevention of accidental releases.
OPPTS will crosswalk TRI data with other data on the presence and
releases of hazardous substances maintained by OSWER and by state
officials. OPPTS will provide technical assistance by identifying
chemicals of concern and supporting technology transfer and risk
management through conventional regulatory approaches.
An important component of the Agency's pollution prevention
initiative is the promotion of state pollution prevention programs
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through the funding of state demonstration grants. These
demonstration programs will provide innovative pollution prevention
applications for specific industries, geographic environments, or
pollutants that are transferable to states and localities. Grants
will be targeted to specific sectors or areas with high potential
for risk reduction, and for significant gains in pollution
prevention.
OPPTS1 "set-aside projects" are pollution prevention projects
involving virtually every program in a broad array of pollution
prevention approaches. Potential projects include: (l)
implementing pollution prevention sectoral strategies, (2)
supporting pollution prevention initiatives identified by HQ
program offices, (3) supporting regional prevention activities.
OPPTS will also support the Agency efforts to reduce pollution
caused by use of high risk pesticides in the agricultural sector,
thereby reducing environmental risk. One of the methods by which
the Agency is seeking to reduce pollution in the agricultural
sector is by providing leadership in the nation's science,
research, and assessment efforts, prohibiting or restricting
agricultural use of unreasonably risky pesticides and encouraging
the registration of safer alternatives.
OPPTS will coordinate with ORD, OPPE, and USDA in our efforts
to reduce pollution in the agricultural sector. ORD, OPPE, and
OPPTS are cooperating with USDA in the implementation of
environmental changes in the 1990 Farm Bill, on research for
environmentally responsible agricultural production practices.
4. Environmental Indicators and STARS Measure Development
OPPTS has formed workgroups to develop improved output
measures for the pesticides program for environmental problem areas
emphasized in our 4-year strategic plan. Preliminary workgroup
efforts yielded usage data information and toxicity ranking factors
for chemicals most frequently used on seven major crops. In
addition, OPPTS has a formal environmental measure review process
each spring and summer. Key staff and managers from the Regions
and Headquarters form the review team. The results of the review
are incorporated in the OPPTS measures for each upcoming fiscal
year. The toxics program measures were substantially revised in FY
1992 to provide improved measures of environmental success.
Our investigation of potential indicators continues, and those
with the most promise will be pilot-tested with the goal of
identifying meaningful STARS measures or surrogates that are more
indicative of our environmental successes. We anticipate that our
best candidates will not be ready until late FY 1992 or beyond.
Progress on these indicators are reported in the Agency's Action
Tracking System (ATS).
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5. International Leadership
Increasingly, pesticide and chemical production, testing, use,
and regulation affect and are affected by actions taken
internationally by one or more countries or international
organizations. Our international activities are an integral part
of our pesticide and toxic programs. We have several opportunities
in OPPTS to apply our scientific expertise to international
environmental issues. OPPTS will contribute to the Agency's
emphasis on international cooperation by exporting the TRI program
concepts and data to support other countries' pollution prevention
and risk reduction programs, and working towards international
consensus on responses to specific chemicals or chemical classes.
International agreements on testing, development of standards, and
hazard assessment will contribute to our domestic pollution
prevention and risk reduction goals, and provide world-wide health
and environmental benefits.
6. Indian Programs
FIFRA authorizes EPA to enter into cooperative agreements with
Indian Tribes to ensure compliance with FIFRA on Tribal Lands and
support certification and training of Tribal pesticide applicators.
The use of this authority, is essential if we are to manage
potential risks from pesticides to people and the environment on
Tribal Lands. OPPTS has implemented this authority through use of
compliance and certification cooperative agreements in EPA Regions
V, VII, VIII, IX and X. The" types of activities implemented under
these agreements are the same as those addressed under State
cooperative agreements.
In order to strengthen implementation of Tribal cooperative
agreements, Tribal pesticide workshops have been coordinated by
both Headquarters and Regional representatives. These workshops
also serve an important outreach role to Tribes that do not
presently have pesticides cooperative agreements. Coordination of
Tribal activities and discussion of Tribal concerns will continue
to be emphasized in the future to further the benefits received
from Tribal cooperative agreements.
The Asbestos Program also coordinates their implementation of
ASHAA and AHERA with the Bureau of Indian Affairs. In this way
Tribes are assured of notification of asbestos loan and grant
opportunities as well as statutory and regulatory requirements and
deadlines.
Under the EPCRA program, tribal emergency planning and
community right-to-know training continues. Tribes are encouraged
to participate in §313 grant programs and training sessions. OPPTS
continues to gather information on the status of §313 facilities on
tribal lands in order to better target our resources. Technical
assistance continues to be provided as needed on FIFRA, TSCA and
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EPCRA. OPPTS is always looking for alternative ways to improve its
Indian program communications and program focus. A study completed
in FY 1989 will assist in this effort.
7. Antimicrobial Compliance
A disinfectant testing program was initiated in December,
1990, both under the direction of the Compliance Division, OCM and
the Registration Division, OPP.
The EPA, FDA, states and laboratories are proceeding with
performing chemical efficacy analysis on currently registered
antimicrobials. Enforcement actions will be coordinated with FDA
and FTC for those products that do not meet the registration
standards of 40 C.F.R. Part 158. In addition, the regions and
State Lead Agencies under the FIFRA Cooperative Agreements will
assist Headquarters in the compliance and enforcement efforts of
this initiative.
8. Pesticide Exports
In FY 1993, OPPTS will mount an aggressive program to monitor
compliance with the FIFRA Pesticide Export Policy which will have
been issued by EPA in FY 1992. The focus of the compliance program
will be exporters who are not complying with the labeling
requirements for all exported pesticides and the purchaser
acknowledgement requirements-for unregistered pesticides.
C. Field Implementation Priorities
In FY 1993 the pesticides and toxics field programs will focus
on the following environmental problem areas:
1. Asbestos Abatement: In FY 1993, we expect to extend
accreditation to workers in public and commercial buildings,
increase training laws, and revise the agency's model accreditation
plan, as required by the ASHAA reauthorization bill. The
enforcement efforts will focus on the overall coordination of
asbestos activities.
2. EPCRA - §313: In FY 1993, promoting the use of the TRI data
will be a major goal of this program. We will work to encourage
the use of the data at the Federal, State, Tribal, and local levels
to support pollution prevention efforts. Section 313 compliance
assistance and enforcement efforts will continue to focus on non-
reporter compliance while expanding efforts to seek late reporter
and data quality compliance.
3. Polychlorinated Biphenyls (PCBs): In FY 1993, the Toxics
Program will continue to review and issue PCB disposal approvals
for mobile disposal facilities and high volume Research and
Development (R&D) projects, implement the notification and
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manifesting rule, provide technical and policy support to the
Regions and operate a clearinghouse for PCB disposal activities.
Work continues on the PCB disposal amendments, as we move towards
promulgation of these amendments in FY 1993. PCB compliance
assistance and enforcement priorities in FY 1993 will continue to
focus on the compliance of permitted disposal sites, intermediate
handlers and brokers.
4. Lead Strategy: OPPTS will expand the lead risk management
program to the Regions. The lead strategy requires a principle
focus for implementation at the local level. The Regional offices
will play leading roles in identifying and responding to geographic
hot spots of lead exposure, implementing public awareness and
education programs, and encouraging and implementing
environmentally sound recycling programs.
5. 33/50 - Toxics Use Reduction: The 33/50 program fosters
voluntary industry pollution prevention efforts to realize a 33%
emissions reduction in 17 specified chemicals by 1992 and a 50%
reduction by 1995. The Regions are particularly important (1) in
working closely with industries within their jurisdictions, (2) in
developing state toxic-use reduction program linkages, and (3)
advancing pollution prevention activities in general, each based in
this instance, on encouraging the 33/50 program. This program was
developed at a national level in order to demonstrate its
importance; however, full implementation on a broader scale
requires regional resources. The cooperative and voluntary nature
of the pollution prevention approach used in the 33/50 Program will
serve as a model for the development of Regional implementation
strategies for reducing the risks of other chemical emissions.
6. Multi-Media: Where appropriate, OPPTS programs will support
the Agency's Multi-media Enforcement theme by supporting
appropriate use of multi-media inspections and cases and by
participating in and supporting the FY 1993 multi-media initiatives
and case cluster efforts endorsed by the Agency's Enforcement
Management Council (EMC) (e.g., noncompliant industry groups,
Mexican Border, compliance data quality, and Federal facilities.)
The TSCA multi-media initiative would continue a program begun
in FY 1991 to develop structures at the Federal and State levels
for enhancing administrative, civil, and criminal enforcement
within and across media by developing improved screening
capabilities for data, information, and evidence of violations. If
the Agency determines that a state has not developed an enforcement
program for the container disposal provisions of FIFRA by December,
1993, that state's primacy to enforce pesticide use violations
could be revoked, thus requiring direct Federal pesticide use
enforcement activities. OPPTS will endeavor to assure that state
programs meet the statutory standard by the deadline.
7. Other Toxic Substances Enforcement Priorities (§§4, 5, 8, 12,
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13 and Hexavalent Chromium): The TSCA 5 and 8 program in FY 1993
will continue to control entry and obtain information on toxic
chemicals by reviewing premanufacturing notifications (PMN), by
identifying chemicals subject to Significant New Use Rules (SNURs) ,
and by biotechnology. Regions will continue to enforce TSCA §§5
and 8 as efforts are made to address the increasing complexity of
technical data submitted under these regulations. Regional staff
will be trained to effectively conduct new chemical assessment
inspections and to analyze the complex data in support of case
development. The TSCA §4 program will require companies to conduct
tests of chemical substances. The §12 program will enforce rules
regarding the export of toxic substances, and §13 program will
enforce rules regarding import of toxic substances. An Enforcement
Response Policy for hexavalent chromium will be issued in FY 1992.
In FY 1993, hexavalent chromium compliance activities will be
conducted at the Regional level.
8. Groundwater Protection: In FY 1993, the program will continue
to address concerns regarding pesticides and groundwater. Phase I
and Phase II of the National Pesticides Survey, released in FY 1991
and FY 1992 respectively, will assist the Agency in evaluating the
extent of pesticides in community and rural domestic drinking water
wells.
In FY 1992, EPA issued the "Pesticides and Ground-Water
Strategy" which emphasizes preventing contamination, and gives the
States a primary role in tailoring programs to local conditions to
prevent adverse effects to human health and the environment. The
"Pesticides and Ground-Water Strategy" carries out the principles
outlined in the document released in FY91, "Protecting the Nation's
Ground Water: EPA's Strategy for the 1990's" which presents the
Agency-wide philosophy of pollution prevention and EPA's intention
to support the States in efforts to integrate a full range of
ground water protection activities. Implementation of the
Pesticides and Groundwater Strategy and development of strong State
and appropriate Tribal ground water protection programs through
participation in the Comprehensive State Ground Water Protection
Program will be important goals in FY 1993. These efforts will be
closely coordinated with the Office of Water.
In FY 93, States, Territories, and Tribes receiving FIFRA
6ground-water protection grants should strive to coordinate
activities to protect ground water from pesticide contamination
with all involved agencies in support of comprehensive groundwater
protection programs.
In addition, to better support the establishment of
Comprehensive State Ground Water Protection Programs, OPPTS will
seek to strengthen the coordination, consistency, and coherence
among and between the many ground-water related programs and
initiatives of EPA, other Federal agencies, the State, Tribes and
Territories, and local governments. OPPTS will provide assistance
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for the development of State Management Plans under the Pesticides
and Ground-Water Strategy by supporting States, Tribes and
Territories in developing the following aspects of overall
comprehensive protection programs: (1) philosophy and goals toward
protecting ground water, (2) roles and responsibilities, (3) legal
authority, (4) resources, (5) basis for assessment and planning,
(6) monitoring, (7) prevention activities, (8) response to
detections of pesticides, (9) enforcement mechanisms, (10) public
participation, (11) information dissemination, and (12) records and
reporting.
9. Endangered Species Protection: The Agency's goal is to advance
from a largely voluntary program to an enforceable Federal Program
in FY 1993.
10. Pesticide Worker Protection: In FY 1993, the Agency goal will
be to continue developing the training materials required by this
program and to disseminate information on the worker protection
standards and training materials as they are completed. Until
promulgation of the Worker Protection Rule, compliance efforts
will focus on informing the regulated community (during
inspections) about the probable provisions of the upcoming rule.
11. Certification and Training Part 171: In FY 1993 the Agency
will work with the states to address the changes to state plans
required as a result of the revised Part 171 Regulations.
12. Food Safety: In FY 1993 the program will continue to advance
Agency pesticide and food safety initiative through improved risk
assessment and communication and through pesticide regulatory
processes. The food safety enforcement initiative will focus on
targeting pesticide enforcement activities toward food-use
chemicals.
13. Pesticide Container Regulations: In FY 1993 the Agency will
begin implementing the revised regulations on storage, disposal,
transportation, and recall of pesticides and pesticide containers.
The Agency will prepare guidance and strategies to assist States
and Tribes to enforce the new requirements of container design.
D. Pesticide and Toxic Program Strategies — FY 1993 Priorities
As described in Section B above, OPPTS directs its attention
primarily to the use and pesticide registration of toxic chemicals.
As end of pipe controls reach their technological or economic
limits, toxic chemical use controls increase their attractiveness
as supplements or alternatives. Caution must be exercised when
removing an existing chemical from widespread use, however, to
prevent any adverse environmental impact. An essential part of any
toxic chemical use regulatory program is to ensure that the
controls do not result in unintended adverse effects during their
implementation. Toxic chemical use control as implemented by OPPTS
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and its Regional and State counterparts is an essential part of the
nation's pollution prevention strategy.
In FY 1993, OPPTS will intensify its commitment to involve the
States and Tribes as full partners in toxic chemical use control
programs. States and Tribes have demonstrated a strong interest in
such programs. With very limited funding or no funding, at least
40 States have taken on significant responsibilities in the
asbestos program, particularly in schools, and 18 States have
included PCBs in their Resource Conservation and Recovery Act
(RCRA) program. For enforcement of TSCA §6, asbestos and PCS
requirements, EPA has entered into enforcement cooperative
agreements with 40 States. For enforcement of FIFRA, EPA has
entered into cooperative enforcement agreements with 71 States,
territories, Indian Nations, and other political entities.
1. Control of Risks from New Chemical Products: The first leg of
the triad of OPPTS toxic chemical use control programs is
preventing use or controlling exposure to chemicals which pose an
unreasonable risk to public health or the environment if
unregulated. The emphasis of this component of toxic chemical use
control programs is on collecting and analyzing information to
determine whether each new chemical represents an unreasonable
risk. Those chemicals that do pose an unreasonable risk are
prevented from entering commerce which encourages the development
of safer substitutes.
The toxics programs designed to control entry of toxic
chemicals into the environment include reviewing premanufacturing
notifications to identify chemicals of concern, adding to the list
of chemicals subject to Significant New Use Rules (SNUR), and
regulating the development and testing of microbial products of
biotechnology. This screening process depends heavily on receiving
notice from industry of their intent to manufacture new chemicals
and their providing EPA with data to use in the screening process.
Regional compliance efforts are an integral part of making the
process work. "Voluntary" compliance by the industry needs to be
backed up by a strong outreach, inspection, and enforcement effort
to drive home the importance of 100% compliance. As part of this
effort inspections will be conducted and enforcement actions taken
against companies failing to submit a PMN or SNUR information,
withholding or submitting false/misleading information or violating
exemption restrictions or violating other TSCA §5 requirements.
The Pesticide Program mechanism for controlling the entry of
pesticides (active ingredients) into the environment is the use of
the registration and re-registration process. The registration
process is a national licensing program whereby potential
registrants petition the Agency, provide health and environmental
data, and the Agency then analyzes the risk associated with the
chemical's use. If there are no unreasonable adverse effects to
humans or the environment, the product is registered. Additional
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pollution prevention efforts by the pesticide program includes
encouraging the development of safer pesticides including
microbials and biochemicals and encouraging use of alternative
agricultural practices such as LISA (low input sustainable
agriculture) and IPM (integrated pest management).
The Pesticide Registration Tracking Enforcement Program's
mandate is to monitor new and existing pesticide product analyses
submitted by companies in compliance with FIFRA §3(c)(2)(b). The
increased number of studies being submitted under the
reregistration program of the 1988 Amendments to FIFRA have greatly
expanded the activities of this program in FY 1992. A computer
database system called the Pesticide Registration Enforcement
system (PRES) was initiated in FY 1990 and is used to facilitate
the management of data collected during the registration process.
The compliance program tracks compliance with data submission
requirements for registration/reregistration and ensures its
accuracy and reliability. In FY 1993, OCM will enhance its ability
to monitor good laboratory practice compliance through improved
facility and field site targeting and auditing procedures.
As an additional element of routine comprehensive inspections,
delegated States and Tribes will conduct inspections to ensure
compliance with the label requirements, suspension/cancellations,
use restrictions and other restrictions and precautions imposed as
a result of the registration and re-registration process. The
Regions will provide guidance-and oversight for these activities.
2. Control of Risks from Existing Chemical Products: The second
leg of the triad of OPPTS toxic chemical use control programs deals
with chemicals already in use in the environment. Controlling the
use and disposal of these chemicals involves three activities: 1)
obtaining information about potentially risky chemicals already in
use and sharing that information with environmental decision-makers
at all levels; 2) reducing risk by controlling use and disposal of
chemicals which have been determined to present unreasonable risks
and/or reduce unnecessary exposure; and 3) selectively removing
certain chemicals from current use or rendering them harmless in
place while ensuring that we do not exacerbate the hazard or
substitute one hazard for another.
The toxics program continues its "revitalization" of its
existing chemicals program to maximize program productivity. OPPTS
will reduce risk and eliminate unreasonable risk through a variety
of regulatory and non-regulatory actions. The existing chemicals
program in toxics plans to achieve its goals by establishing
priority screening methods and proceeding with chemical testing,
risk assessment, and risk management activities.
The toxics program obtains information on chemicals which
leads to priority screening. Under TSCA §8, which requires
manufacturers of chemicals to provide data for EPA to do further
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analysis, §4 which can require additional data to be generated, and
under EPCRA (Title III), §313, which requires facilities that
manufacture, process, or use chemicals to report their emissions to
the air, water, and land. OPPTS will use these authorities to
prioritize chemicals and identify those possible risk reduction
candidates. In addition to focusing on existing methods for
obtaining data and screening chemicals, the existing chemicals
program plans to increase communication and coordination with other
EPA offices, states, tribes, and other public sector constituents.
By tapping into these sources, OPPTS will be more effective in its
efforts to implement priority screening.
In FY 1993, in addition to managing the risk review of
hundreds of chemicals, the existing chemical review program
incorporates two important initiatives expanding its risk reduction
and pollution prevention emphases. The first involves a
significant increase in the level of support for the lead risk
abatement effort. While EPA will continue to support the ongoing
lead-in-paint program that EPA and the Department of Housing and
Urban Development have implemented, the additional resources will
be directed to several new areas. First, OPPTS will establish a
system to identify and respond to geographic-specific instances of
unusually high lead exposures to children. Second, OPPTS will
implement public outreach and education programs with respect to
reducing human exposure to lead. Third, through both regulatory
and non-regulatory approaches, OPPTS will restrict the use of lead
in specific products and encourage safe lead recycling. Finally,
OPPTS will issue standards, guidelines and technical assistance for
the abatement or in-place management of lead. OPPTS will work
cooperatively with Regional Office staff, with other EPA offices,
other Federal agencies and departments, and the states.
The second initiative focuses on pollution prevention in the
industrial sector. OPPTS will direct efforts to identify and
promote pollution prevention in instances where chemical use
choices are made by industry. Specifically, OPPTS will identify
certain industry sectors and processes, such as paint stripping,
for possible pollution prevention applications. OPPTS will examine
the risks associated with the chemicals used in these sectors and
processes and define opportunities (e.g., chemical substitution,
process changes) for pollution prevention to effect safer uses
wherever possible. This information will then be used as a basis
for hazard communications, technology transfer and possible
regulatory development.
Chemical Testing will enhance the programs ability to reduce
risk and eliminate unreasonable risk by developing a master testing
list. OPPTS plans to develop multi-chemical test rules for a
variety of chemical clusters, improve international coordination by
sharing test information, and conduct compliance activities
focusing on aggressive enforcement of the Good Laboratory Practices
rules to ensure the scientific accuracy of test studies, and
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bringing manufacturers into compliance with dioxin/furan test rules
as well as TSCA §§4 and 8.
Risk assessment and risk management activities will include
publishing the Chemical Control List that will feed into the
overall system to set priorities and encourage voluntary risk
reduction. OPPTS plans to strengthen links to other EPA program
areas to foster an Agency-wide multi-media approach to chemical
problems. As an additional part of the OPPTS revitalization, the
existing chemicals program will propose a product stewardship rule
to require producers to control lifecycle risks. OPPTS is also
developing an Environmental Hazard Communication rule to require
manufacturers, processors and distributors to apprise their
customers of health and environmental risks at the time of the sale
of commercial chemicals.
Other risk management activities include implementing the
dioxin pollution prevention strategy, the lead(Pb) strategy,
evaluating the uses of TSCA to support the Agency's Great Lakes
projects. OPPTS plans to investigate using TSCA, §6 authority to
reduce risk from toxics in a specific geographic area. The use of
this authority will lend itself to multi-media, multi-chemical
approaches to risk reduction in sensitive areas. To complement
this goal, OPPTS will integrate the results of the Regional
Comparative Risk projects into the revitalization programs and
consider the uses of TSCA and EPCRA, §313 to facilitate
implementation of Regional priorities.
Regional compliance efforts are crucial for the successful use
of §§8, 5, and 4. Outreach, inspections, and enforcement are
essential to give the information collection effort integrity.
The Regions and delegated States and Tribes will conduct
compliance monitoring activities to ensure that chemicals that have
been banned are no longer manufactured and distributed in commerce
and are phased out of use within the mandated timeframes. The
compliance effort is directed at preventing hazards from chemicals
found to present unreasonable risks such as PCBs.
The pesticide program has several mechanisms to control the
use of pesticides in the environment. First the Agency can
restrict the use of certain pesticides (i.e., restricted use
products) that have the potential to cause adverse effects to man
or the environment when applied incorrectly. Sale or distribution
is limited to applicators that have been trained and certified by
a State, Tribe, or U.S. Territory. With this training the program
assures that private and commercial applicator's have reached an
acceptable level of competency. The Agency then is assured that
the applicator has demonstrated knowledge of safe pesticide
handling practices and is more likely to apply the potentially
hazardous product correctly.
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The re-registration process revisits the initial decision that
registered older products as new technology and improved scientific
methods have evolved since these decisions were made. This process
entails: 1) reevaluating the data that initially supported a
product's registration against current toxicological standards; 2)
conducting risk assessments for humans and wildlife, 3) evaluating
the fate of the chemical in the environment, and 4) reevaluating
food tolerances and adjusting them as necessary.
The primary focus for the FIFRA 1988 amendments is the re-
registration of the older chemicals. These chemicals have the
potential to pose more of a risk to humans or the environment than
the "newer" pesticides, because "modern" testing requirements and
risk analyses have not been completed for these chemicals. Under
the new amendments, re-registration of all older products will be
completed in a five phase process.
Compliance monitoring activities will be conducted in order to
ensure that use restrictions imposed by EPA are followed. The
Regions and delegated States and Tribes will conduct inspections to
ensure compliance with the revised regulations and with various
use-related restrictions.
Pesticide products can be removed from the market through a
variety of mechanisms including voluntary cancellation, failure to
meet the Agency's data requirements for registration, or as a
result of the Agency's special review process. The special review
function is the process whereby EPA evaluates a product's
registration in light of information that leads the Agency to
believe that the risk/benefit balance is skewed towards the risk
side of the equation. This process is used to do an in-depth study
of the risks associated with a product's uses, and the benefits
associated with those uses. When the risks are too high, some or
all of a chemical's uses can be restricted or canceled or
suspended.
Prior to the FIFPA 1988 amendments, the Agency was responsible
for the indemnification and disposal of the suspended products
which were subsequently canceled. As a result of suspension and
cancellation actions, the Agency still has two products to dispose
of in 1992: 2,4,5-T/silvex and any remaining stocks of dinoseb that
were not destroyed in 1990 and 1991. In 1990, the Agency gained
the ability to require registrants to recall products and dispose
of them. The Agency will be responsible for indemnifying citizens
who were not able to sell their products back to distributors or
retail merchants. Pollution prevention is also a major focus with
regulations currently being drafted for pesticide container designs
and recycling requirements.
Headquarters will develop compliance monitoring strategies, as
needed, to address actions such as cancellations and suspensions,
including requirements for companies to recall products. The
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Regions and delegated States and Tribes will implement appropriate
provisions of such strategies, once finalized. States will
complete inspections, as part of routine comprehensive inspections
when appropriate, and both the Regions and States will take
enforcement actions, as appropriate, to ensure compliance with
cancellation and suspension orders and use restrictions imposed by
special reviews, as well as recalls required by EPA for suspended
and canceled pesticide products.
3. Field Operations: Meaningful program coordination with
pesticides and toxics field components at the Regional and
State/Tribal levels is essential to risk reduction. OPPTS1
Compliance Monitoring Office initiated a Strategic Dialogue in FY
1992 which is continuing to make the compliance program more risk-
based, increase the program's contribution to pollution prevention,
and to improve capabilities to measure the impact of the program.
We are involving the States and Regions as proactive participants
in these long term planning efforts, identifying toxic and
pesticides priorities and developing model toxics and pesticides
related documents (legislation, guidance). OPPTS will continue to
focus on obtaining positive environmental results in geographic
specific areas such as the Great Lakes program. By promoting
partnership in the development of new programs where necessary, and
furthering education and outreach, we will accomplish the goals of
our programs. Highlights of the specific 1993 field implementation
priorities are discussed in Section C above.
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Office of Administration and
Resources Management
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OFFICE OF ADMINISTRATION AND RESOURCES MANAGEMENT
I. ASSISTANT ADMINISTRATOR'S OVERVIEW
The FY 1993 Operating Year Guidance for the Office of
Administration and Resources Management (OARM) is comprised of
thirteen programmatic objectives. Two programs, Financial and
Management Integrity, the Integrated Contract Management System,
are new to our FY 1993 guidance.
This guidance also includes a top priority of the Agency and the
Administrator — improving Contracts Management at EPA to ensure
that the Agency maintains integrity in the procurement process and
ensures appropriate spending of federal funds.
One activity, Human Resources Management, reflects the Admini-
strator's priority to create and market the kind of working
environment that attracts, develops and retains the highly trained
and motivated employees and manages the Agency needs. Information
Management supports Agency-wide goals to work collectively with
State and local governments to make environmental data available
through technology innovations, data sharing partnerships, and new
methods in systems development. In addition, the guidance includes
an initiative to build Public-Private Partnerships in our common
pursuit of improved environmental quality; improve and provide safe
and healthful working conditions for Agency personnel; improve the
Buildings and Facilities planning and appropriation and space
planning process so that we will be able to fund EPA's critical
facilities requirements; and an Agency-wide effort to improve
Property Management.
Other important program activities are: Organizational Conflict of
Interest; Assistance Management which will identify management
initiatives to assure the integrity of assistance funding awarded
through interagency agreements, cooperative agreements, and grants;
and Suspension and Debarment which will ensure EPA's full
participation in the government-wide system for suspension and
debarment.
OARM's key programmatic objectives discussed in the FY 1993
Guidance are summarized below.
O CONTRACTS MANAGEMENT
As an Agency with growing responsibilities but with only minimal
growth in its federal workforce, EPA continues to rely heavily on
contractor support. This method of doing business requires strong
and active contract management to ensure that we maintain integrity
in the Agency's procurement process and ensure appropriate spending
of federal funds. Throughout recent years, EPA has continued to
receive scrutiny in various areas of its contracts management
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program. The Agency will work to implement initiatives begun in
earlier years with an emphasis on management accountability and the
Contract Management Workforce.
o CONTRACT INFORMATION MANAGEMENT
Because of EPA's inability to report timely, accurate procurement
and contract management information, the Agency has undertaken the
effort to replace its current suite of national and local automated
procurement tools with one integrated system. The purpose of the
Integrated Contract Management System (ICMS) is to eliminate the
current reporting problems while increasing the efficiency of the
acquisition and contract management workforce. Unlike the CIS and
APDS, the ICMS will be used by the total EPA procurement community,
both contracts and program personnel.
O ORGANIZATIONAL CONFLICT OF INTEREST
To preserve the integrity of the federal contracting process and to
support the soundness of Agency decisions in Superfund enforcement
and cost recovery efforts, it is imperative that EPA take necessary
precautions in determining appropriate use of contractors in the
Superfund program and other EPA programs.
Organizational Conflict of Interest (COI) and the way it is handled
under Superfund contracts has been an issue of mounting concern
over the past three years. Increasing concerns are also being
directed at how COI should be managed in other Agency programs. In
FY 93, initiatives that the Agency began in connection with the
Superfund Management Review will continue to be given significant
emphasis.
o HUMAN RESOURCES MANAGEMENT - EPA's most important resource is
its people. The chief concern of all supervisors, managers and
executives should be creating and maintaining a culture and work
environment that allows employees to make their maximum
contribution to mission accomplishments. The 1993 Human Resources
Program supports this objective by focusing on enhancing a
partnership between the Human Resource community, managers and
employees to recruit, develop and retain a culturally diverse and
highly qualified workforce.
As environmental problems are defined more globally, EPA will be
called upon to exert strong leadership. We need to address a
variety of human resource issues including: hiring enough
scientific and technical people to keep pace with demand;
continuing management and employee development; and helping with
staff creativity an improvement in productivity, supporting
training in cultural diversity, in total quality management, and
career counseling.
O FINANCIAL AND MANAGEMENT INTEGRITY
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Initiatives in this area are on supporting EPA's Senior Council on
Management Controls and its emphasis in ensuring: 1) that EPA's
declared material weaknesses are corrected; 2) that offices
continue to fully disclose existing material weaknesses; 3) that
safeguards are in place for prevention of future problems; and 4)
that early warning of emerging issues occurs. Officials
accountable for implementation of corrective actions should work
with the Office of the Comptroller to provide executive
correspondence on their progress.
O INFORMATION MANAGEMENT
OIRM' s FY 1993 Activities Contribution to the Accomplishments of
the Agency' s Goals Objective by providing leadership in the
nation' s environmental science, research, and assessment efforts.
We will be: gathering and analyzing the data needed to evaluate
environmental risks and trends; promoting and supporting innovative
technological solutions to environmental problems; and providing
objective, reliable, and understandable information that helps
build trust in EPA' s judgement and actions.
We intend to effectively carrying out our programs and policies by:
Maintaining a vigorous and credible enforcement program; B. prorating
cross-media and interstate initiatives; enabling state and local
governments to implement and enforce environmental programs;
conveying clear, accurate, and timely information to the public,
and incorporating information from the public in EPA activities;
and involving other government agencies, public interest groups the
regulated community, and the general public in achieving nation and
global environmental goals.
Our work in improving the global environment will include working
with other government agencies and nations, the private sector, and
public interest groups to identify and solve transboundary
pollution problems and providing techrfical assistance, new
technology, and scientific expertise to other nations.
O BUILDING PUBLIC-PRIVATE PARTNERSHIPS
P3 looks at environmental problems from a cross-program and an
intergovernmental perspective. Its goal is to build the Federal,
State and local financing capacities and linkages needed for a
quality environment. P3 seeks increased environmental investment
by leveraging public and private assets.
O GRANTS/COOPERATIVE AGREEMENT/INTERAGENCY AGREEMENT MANAGEMENT
Consistent with the 1992 Administrator's Operating Guidance,
Regions should assure the effectiveness of the consolidation of all
grants administration functions in the Grants Management Office
(GMO) of the Management Divisions under the Assistant Regional
Administrator. Regions should continue to evaluate their grants
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management activities to provide adequate internal controls. In
addition, GMOs shall continue to use the Regional Automated Grant
Document System/Interagency Agreement System (RAGDS/IAMS) for all
assistance programs and lAGs. Headquarters program offices and the
regions shall use the Grants Information and Control System (GIGS)
for administrative assistance information and reports.
o SUSPENSION AND DEBARMENT
All Executive branch Federal agencies have been under a uniform
suspension and debarment system for procurement since 1982, and
assistance since 1988. In 1993, we anticipate implementing a
consolidated government-wide rule for suspension and debarment
incorporating both procurement and assistance programs.
In FY 1993, we will continue an aggressive effort to investigate
poor performance and misconduct on EPA specific projects as well as
auditing settlement agreements on previous actions. In FY 1993,
continued emphasis will be placed on Superfund Contract Laboratory
program contractor actions and on criminal environmental violation
based causes of action. The Division will focus on building a
Federal-State Partnership in the suspension and debarment program,
and develop a coordination strategy with DOD and other agencies
concerning lead agency action against multi-agency contractors.
O SAFETY. HEALTH AND ENVIRONMENTAL MANAGEMENT
It is critical that EPA's internal occupational and environmental
risk management programs be the best in the Federal government. To
further that objective, program efforts in FY 1992 expanded the
Agency's national leadership role, policy and program development
activities, and national oversight. In both FY 1991 and 1992 there
has been increases in resources for the regional and laboratory
programs and an additional workyear and dollar increase is
projected for FY 1993. Our guidance provides direction for those
improvements expected in regional and laboratory programs during FY
1993.
o PERSONAL PROPERTY MANAGEMENT
EPA has expended significant resources in an effort to make major
improvements in the area of property management. Improvements and
enhancements continue to be made in the system in an attempt to
assist property managers in performing their mission of protecting
the Agency's assets. In spite of these improvements, audit
findings continue to highlight the inability to trace property
items to the system, the failure to sign and submit custodial
officer responsibility letters, and the failure to complete and
reconcile year-end inventories. Headquarters will continue to work
with all accountable areas to ensure that all Superfund and non-
Super fund property is properly tracked and controlled.
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O BUILDINGS AND FACILITIES
In spite of our substantial investment of Buildings and Facilities
(B&F) funds, EPA facilities continue to require increasing
resources. We have received significant increases in Repairs &
Improvements (R&I) funding from FY 1984 to FY 1991. During this
time period we emphasized critical health and environmental
compliance projects and have addressed many major problems in these
areas. However, our funding for basic repair and upkeep, space
alterations, and facility modernization required by our ever
changing programs has not kept pace. To emphasize and address
these basic requirements, which are not currently being adequately
met, we are implementing an Agency-wide facilities Strategic
Masterplanning initiative in FY 1992.
O SPACE PLANNING
With many leases expiring over the next few years, we need to
coordinate and streamline our space planning process and review our
housing policies for contractors. This is particularly important
in order to maximize the use of scarce support and buildings and
facilities funds.
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II. OARM PROGRAM PRIORITIES
A. CONTRACTS MANAGEMENT
As an Agency with growing responsibilities but with only minimal
growth in its federal workforce, EPA continues to rely heavily on
contractor support. This method of doing business requires strong
and active contract management to ensure that we maintain integrity
in the Agency's procurement process and ensure appropriate spending
of federal funds. Throughout recent years, EPA has continued to
receive scrutiny in various areas of its contracts management
program.
The Agency will develop and implement a formal Contracts Management
Improvement Plan. Some actions currently underway include:
Agency-wide senior management involvement and accountability; clear
distinction between Contractors and EPA employees; contract policy
review; organizational accountability; and elevating the Agency's
procurement functions from an division to an office level to report
directly to the Assistant Administrator for OARM. OARM will play
a key role in leading and organizing these efforts. The Agency
will continue its effort/ implementation of decentralization of
Superfund contract programs to the Regions. This will entail
careful transitioning and resource support to the Regions.
Management Accountability - It is the responsibility of EPA
managers and supervisors to familiarize themselves with the
principles and the contracts management process in general, and to
become personally involved in the contract activity of their
organizations. Managers need to know the status of their contracts
and senior managers should be prepared to discuss their contracts
during quarterly SPMS meetings. Prohibited contracting practices
will not be tolerated and the Agency's managers must understand the
procurement process well enough to condone only legal and proper
procurement practices in their organizations.
Contract Management Workforce Recognition - To recognize the
excellent combination of technical and business skills that EPA's
contract managers must develop in order to excel, the Agency will
continue to recognize and reward its top contract managers through
a monetary award sponsored by OARM. Each region and Headquarters
program office should nominate its best project officers and other
task officers to ensure that we continue to recognize the role
these individuals play in EPA's ability to achieve its mission.
Development - The Agency must continue to develop its contract
managers to prepare them to manage EPA's large contracts. In
addition to formal classroom training, it is essential for these
contract managers to receive on-the-job training and support in
their own offices.
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Communication - OARM and Regional Management Division will continue
to develop better communication mechanisms (e.g. electronic
bulletin boards, support groups, news bulletins) for sharing
information with the Agency's contract management community.
Financial Monitoring Program
The Financial Monitoring Program is an EPA innovation that provides
critical financial services proven to be essential in managing its
complex, high dollar contracts. This highly successful program has
allowed PCMD to better manage its active contracts to avoid or
minimize problems before they become serious; identify actions
needed to limit, avoid, and recover contract payments on a timely
basis; resolve contractor accounting and billing deficiencies;
direct audits needed to troublesome issues; and assure the adequate
contractor documentation of invoices, reports, and accounting
records.
To assure responsible contract management, this function will be
developed into a nationwide program that covers all major contracts
regardless of where they are placed or managed, i.e., Headquarters,
RTF, Cincinnati, or the Regions. This expansion will provide
coverage for the increased number of contracts that will be in
place in FY 93 as the result of the Long Term Superfund Contracting
Strategy and the growing ADP contracting program. The total number
of contracts subject to these reviews will grow from 210 currently
to 365 by FY 93. In addition, expansion to contracts placed and
managed by RTF and Cincinnati is necessary to ensure that the
benefits of this program are available for all of EPA's major
contracts. Reliance on external audit resources for these services
is not an option since these resources are not centrally managed,
do not have sufficient insight into the requirements and
complexities of EPA's contracting programs, and cannot assure an
immediate response when necessary. The General Accounting Office
and the Congress have been very supportive of EPA's financial
monitoring program. The Report of the Administrator's Task Force
on Implementation of the Superfund Alternative Remedial Contracting
Strategy (ARCS) recommended performing these reviews every one to
two years for each contract, which would be a significant
additional expansion of reviews which are currently performed every
three to four years.
B. CONTRACT INFORMATION MANAGEMENT
Because of EPA's inability to report timely, accurate procurement
and contract management information, the Agency has undertaken the
effort to replace its current suite of national and local automated
procurement tools with one integrated system. The purpose of the
Integrated Contract Management System (ICMS) is to eliminate the
current reporting problems while increasing the efficiency of the
acquisition and contract management workforce. Unlike the CIS and
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APDS, the ICMS will be used by the total EPA procurement community,
both contracts and program personnel.
ICMS System Development - ICMS is currently in the "Design" phase
of the system life cycle. If continued funding is received, we
will begin the system coding in the second quarter of FY 93. The
Administrative Systems Division (ASD) in the Office of Information
and Resources Management (OIRM) will be the lead office in this
part of the ICMS effort. OIRM has separately requested FTE and
contract dollar support in their FY 93 budget submission. The PCMD
ICMS Project Manager will coordinate the OIRM effort with the other
aspects of ICMS work.
ICMS Policy and Procedures Analysis - PCMD will lead the effort to
review and revise Agency procurement policies and procedures that
will affect and be affected by ICMS. This effort is critical
because of the many technological advances anticipated to be
delivered with ICMS (such as; electronic signatures, electronic
routing and approvals, and electronic data interchange with EPA's
contractors). Unless Agency procurement policies are revised,
these capabilities cannot be used. Representatives from Program,
Regional, and Contracting offices will be involved in this
activity.
Workforce Training - The implementation of ICMS will require a
massive EPA-wide training effort for this new and complex automated
system. We anticipate the need to train over 350 people in the
contracting and related fields. Over 1,000 people will be trained
in the project officer and related positions. Training planning
and coordination will begin in FY 93 and continue into FY 94 and FY
95. In FY 93, the emphasis will be focused on developing the
training methodology and material for all areas of the procurement
community.
C. ORGANIZATION CONFLICT OP INTEREST
To preserve the integrity of the federal contracting process and to
support the soundness of Agency decisions in Superfund enforcement
and cost recovery efforts, it is imperative that EPA take necessary
precautions in determining appropriate use of contractors in the
Superfund program. In addition, EPA continues to carefully review
all EPA procurement that may pose significant potential for
conflict, particularly those involving in regulatory support.
Organizational Conflict of Interest (COI) and the way it is handled
under Superfund contracts has been an issue of mounting concern
over the past two years. In FY 93, initiatives that the Agency
began in connection with the Superfund Management Review will
continue to be given significant emphasis. Several of the key
activities that will take place over the course of FY 93 are as
follows:
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OARM will continue to implement the COI database system that was
established in FY 91 and ensure its effective use by Headquarters
and Regional contract management staff.
We will continue to conduct on-site reviews of contractors' COI
avoidance procedures to provide a check and balance to the self-
disclosure of COI matters that contractors must perform as work is
assigned to them.
OARM will also continue to provide training to Agency staff on
matters related to COI in all Agency programs. A significant
portion of the training will be conducted in the regions to ensure
that Regional staff charged with managing the Superfund and other
contracts have a full understanding of the controversial and
sensitive issues surrounding COI.
D. HUMAN RESOURCES MANAGEMENT
1. Hiring the best - EPA will continue to develop a recruiting
relationship with an extensive network of colleges and
universities. Schools are selected on the basis of their ability
to produce top quality culturally diverse candidates in disciplines
needed by the Agency. Under the "Campus Executive" concept, senior
EPA managers will coordinate recruitment, research assistance,
equipment sharing, and curriculum input with each sponsored school.
Regions, labs and AAships will need to provide senior executives as
campus executives and support them in this role.
The Agency will continue to take advantage of OPM hiring and
position classification flexibilities to streamline the recruitment
and employment process. In 1993, we will be exploring and
utilizing many provisions of the Federal Employees Pay
Comparability Act of 1990 (Pay Reform) to attract and retain the
best employees. Managers must become more knowledgeable of the
tools now available to them and must work with their human
resources offices to make the best use of those tools.
2. Investing in people - In the coming years, the retention of a
quality workforce will require that we focus on the total worklife
of employees. That means we must move beyond traditional
incentives (compensation, insurance, leave, etc.) and continue to
work on less traditional initiatives. We will continue to support
flexitime, compressed workweek, flexiplace and leave banks, We
also will continue to develop such services as daycare, health and
fitness facilities, eldercare support, employees counseling and
support groups. We must also provide career counseling and
development activities that will encourage employees and managers
to strive for long-range careers at EPA.
In 1993, OHRM will continue implementation and coordination of
training activities to encourage the Agency's training community to
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think about the role of training in implementing the Agency's
Strategic Plan. Recognizing the impact of training on our ability
to carry out our mission, the Agency will budget the equivalent of
at least three percent of PC&B totals for training. A curriculum
of the 90's will be made available through the EPA Institutes's 15
HQ, Regional and Laboratory locations. Courses on current topics
(e.g. pollution prevention) will figure prominently as well as
those on transportable skills (e.g. negotiation). An expanded
orientation program will be designed and piloted.
OHRM, in cooperation with the Agency's scientific community will
develop cross-media Career Competency Menu's for engineers and
scientists as part of a strategy for maintaining and enhancing
technical skills at the state-of-the-art level.
Other development activities include:
Supervisors and managers will have Individual Development Plans
and will take training courses and/or developmental assignments
on a regular basis.
For EPA's new supervisors and managers, transition courses
including "Framework for Supervision" and "Keys to Managerial
Excellence", have been revised to include segments on Cultural
Diversity, TQM, etc.
- Assessment services are being offered to our managerial
workforce.
Investment in the development of people and intergovernmental
relationships that will enhance our Agency's ability to operate
effectively in the global arena.
3. Capitalize on Diversity - Looking forward to Workforce 2000,
EPA and OHRM are launching a comprehensive initiative to analyze
the issues of working with a culturally diverse workforce. A
Taskforce is conducting an assessment of the issues and will be
developing recommendations and strategies to position the Agency to
meet the challenges of diversity and the reduced applicant pool.
Organizations must pursue meeting the Agency's 52% hiring goal for
hiring of minorities and women into management positions,
especially into the SES ranks. Minority candidates in particular
should be selected in greater numbers, since current data shows
that minorities are under-selected for management positions.
Valuing diversity in our workforce is related to a larger
principle, that our Agency will work aggressively to make policies,
procedures and decisions that insure fair treatment for all
segments of the population. Environmental equity should be an
ongoing concern of all EPA decisionmakers.
4. Focus on Quality - In order to make EPA's quality management
initiative successful, it is critical that Agency managers and
employees be kept informed of current thinking, plans and Agency
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experiences with TQM. Organizations must support OHRM as it
collects and communicates TQM information so that the Agency
workforce can make enlightened decisions as they integrate quality
into their everyday work.
As EPA's quality effort matures, it is important that we keep track
of our progress in a quantifiable manner. Organizations need to
measure the perceptions of both their internal and external
customers to gauge whether they are in fact being successful in
their attempts to improve quality at EPA. During 1993, OHRM will
continue to refine our measurement systems to make sure that we
know where we are and where we are going with our quality
initiative.
Operating office will need to expand TQM efforts and increasingly
bring employees into the work processes and decision-making that
affect them daily. OHRM will continue to provide advice and
guidance to those offices in the area of quality education and
implementation.
E. FINANCIAL AND MANAGEMENT INTEGRITY
Initiatives of the Office of the Comptroller (OC) in FY 93 are
primarily focused on supporting the Administrator's Financial and
Management Integrity initiative. The concept of Financial and
Management Integrity refers to those controls that are in place to
ensure: 1) that Federal laws are carried out effectively and
efficiently, 2) that safeguards are in place for prevention of
problems and 3) that early warning of emerging issues occurs. The
concept encompasses the full accountability of those officials
entrusted with the appropriate management of public funds and
programs.
The Office of the Comptroller activities are designed to not only
detect and prevent problems (such as audits) but also to assist and
enable program offices and regions to meet Financial and Management
Integrity goals (such as IFMS enhancements). The major change in
focus for OC in FY 93 along these lines will be the implementation
of the Chief Financial Officers Act (CFO). The key activities of
this implementation which will affect the program offices and the
regions are:
Preparation of accurate and timely financial statements for audit.
EPA is required beginning in FY 93 to prepare a complete set of
financial statements that reflect the overall financial position
of the Agency's funds and activities including assets and
liabilities, results of operations, cash flows, changes in
financial position, and appropriate reconciliations to budget
reports. The financial statements will include an overview of the
Agency's programs. The statements and the overview will be audited
by EPA's Inspector General.
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Development of a comprehensive analysis of the status of financial
management within the Agency. This analysis, required by the CFO
Act for OMB, will discuss important aspects of the Agency's
financial statements, relate financial data to other measures of
performance such as program accomplishments, and provide insight
into financial indicator trends.
Identification and measurement of program performance measurements.
Work towards developing a meaningful performance measurement system
which: 1) integrates program and financial data; 2) is consistent
with EPA's strategic plan; 3) meets the needs of clients in
decision or policy making positions; and, 4) allows for comparative
evaluation across government programs.
Development and expansion of Agency user fees. Review Agency user
fees and propose adjustments as necessary. Continue development of
scheduled user fees and encourage new ones.
The following are examples of ongoing OC activities that support
Financial and Management Integrity and will affect the program
offices and regions in FY 93:
Quality Assurance reviews of offices' audit follow-up
activities;
Tracking of audit follow-up and completion of corrective
actions;
- Audit Management program to strengthen use of the audit process
and audit reports as positive management tools;
FMFIA/Management Controls program with the documentation of
controls, regular review of these controls, and the reporting
and correcting of weaknesses in the controls;
Tracking of corrective actions to remedy management control
weaknesses;
Management Assistance Reviews (MARS) to evaluate administrative
activities;
- Maintain and operate an integrated financial management system
(IFMS) with appropriate internal controls that meets the user's
financial and management needs;
Continually enhance the IFMS to provide better financial
controls and improved capabilities such as the recently
introduced the Management and Accounting Reporting System
(MARS) ;
- Continually update financial policy and procedures to ensure
consistent and appropriate financial management activities;
- Provide guidance and ensure compliance with financial policies
and procedures through reviews such as Quality Assurance Reviews
(QARS) and Financial Assistance Reviews (FARS); and
Oversee the Agency's Superfund Cost Recovery Process as it
relates to financial documentation.
Continue installation of Superfund Cost Recovery Image
Processing System (SCRIPS) in Regional offices.
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- Provide periodic review of Imaging Technology hardware/software
in support of SCRIPS.
Budget Process Objectives
The Agency intends to improve the budget process by concentrating
on the following objectives: 1) increasing Agency resource managers
as well as the public's knowledge of environmental needs; 2)
continue close working relationships with OMB and Congressional
staffs; 3) utilizing alternative/creative funding options whenever
possible; 4) producing budget requests that incorporate pollution
prevention, cost-effective risk reduction, and risk assessment; 5)
improving automated financial and data management systems to the
latest state of the art methods; 6) increasing Regional Office
participation in the budget process; and 7) utilizing the most
effective combination of in-house and contract support operations.
1) Increasing both the Agency's resource managers as well as the
public's knowledge of environmental needs: The Agency must ensure
that the Congress, OMB, and the public all understand the
importance and scope of the nation's environmental needs. Success
in articulating these needs to the Congress and OMB must be
realized, so that they will support our funding requests. In turn,
Congress and OMB will cooperate more fully with the Agency's budget
requests when they realize that these requests are supported by the
public. Therefore, it is critically important that we communicate
to all parties involved the differences between public perceptions
of environmental needs vice actual scientifically supported
environmental needs.
2) Continue close working relationships with OMB and Congressional
staffs; We must continue our close relationships with the Congress
and OMB. Only then can the Agency expect to receive sympathetic
response for the resources so desperately needed to fund the
growing list of environmental programs. In order to develop these
improved relationships, contacts with the Congress and OMB must be
as professional and productive as possible. We must be a reliable
partner in the overall government effort to address environmental
needs, by providing data, information, and technical assistance
promptly and courteously.
3) Utilizing alternative/creative funding options whenever
possible: We must be as flexible as possible in proposing ways to
fund the Agency's programs. We must utilize all possible means of
funding, as there will be increasing strains on the availability of
the federal government's general revenues. The Agency is already
being pressured to utilize alternative funding methods. These
methods may take the form of user fees, polluters taxes,
public/private partnerships, state/local government matching funds,
etc. The Agency's program and resource managers must make every
effort to do more with less, by leveraging existing resources and
encouraging state/local government, international, and private
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funding support for the Agency's programs. The Agency must
establish both guidance and support whereby these alternative
funding sources and mechanisms can flourish.
4) Producing budget requests that incorporate pollution prevention.
cost-effective risk reduction, and risk assessment: The Agency
must develop and implement detailed, structured planning processes
that ensure that pollution prevention, cost-effective risk
reduction, and risk assessment are incorporated into defined budget
priorities at all stages of the budget process. This can be
achieved by an effective strategic planning process, which will
translate long-term environmental goals into achievable budgetary
priorities.
5) Improving automated financial and data management systems to the
latest state of the art methods; The Agency must address the
exponentially increasing demand for better environmental data and
information, both for Congress, OMB, and the public. EPA has been
at the forefront of the federal government community in developing
an integrated financial management system (IFMS), but improvement
is still desperately needed- The improvement must take place both
for both in-house and contract financial, data, and information
systems. These systems must be as accessible as possible, to the
rest of the federal government, to state/local governments, to
university based research centers, and to the demanding public.
The vehicles for providing the availability of information and data
must be improved in order for the Agency to continue to be
responsive in the future.
6) Increasing Regional Office participation in the budget process;
The Agency will continue to place the majority of new resources in
the Regional Offices. The split of employees is now about 50/50,
and the momentum toward the Regions should continue. Therefore, it
makes sense to provide the Regions with greater participation in
the budget process. We also must recognize the unique needs and
responsibilities of each Region, and support those needs
accordingly.
The Agency will continue to support the Lead Region media process,
as well as to invite greater regional participation through the
investigation of various forms of independent budgeting for the
Regions. The strategic planning process role for the Regions will
also be expanded. The Comptroller will also support the
establishment of a permanent Regional employee position rotations.
7) Utilizing the most effective combination of in-house, grants.
and contract support operations; The Agency must develop a
monitoring criteria for contracts, as well as selective processes
for maximizing performance under grants provided by EPA. These
actions will require rigorous training in federal procurement
procedures, contract administration, grants administration, and
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contracts information systems. These systems must be readily
assessable to appropriate users. Through these efforts, the Agency
can implement programs that are responsive and effective in
addressing environmental needs.
F. INFORMATION MANAGEMENT
1. Information Integration - EPA's policy of environmental
federalism has achieved an excellent measure of success in the wide
range of activities that support information management and
cross-media integration. The Agency's thrust to disseminate
environmental data and information to the broadest possible
audience has challenged the way the Agency has traditionally done
its business. To broaden our base of users, our information
management programs are attempting to make environmental data
available through technology innovations, data sharing
partnerships, and new methods in systems development.
OIRM is committed to providing leadership in managing and
delivering information resources and services to further the
Agency's mission. This commitment emphasizes IRM's role as EPA's
information broker where success is measured by the extent that
data and information products are available for productive use by
EPA staff, the States and local governments, other national
governments and international organizations, the scientific
community, and the American public. During FY 93, we expect to
have in place MOUs with the Department of Commerce, Interior,
Agriculture, Energy, and NASA that are focused on the exchange of
data sets. These documents will provide a cooperative framework
for local data exchanges.
Increasingly, the accomplishment of the Agency's mission requires
the capability to utilize information and information technology
effectively. The Agency is continuing to use risk analysis as well
as geographic and cross-media approaches to evaluate environmental
problems in more comprehensive and institutional manner. The shift
from single-media environmental management to a more integrated and
holistic approach is also dictating a change in how the Agency
manages its information resources. Specifically, the Agency
recognizes the need for an integrated approach to managing
environmental information and is beginning the long-term process of
developing an integrated information infrastructure to progress
toward this goal.
OIRM's top priority will be initiating EPA's Information
Integration Project. This project begins the process of building
the integrated information infrastructure that the Agency needs.
One of the major goals of this project is to integrate data from
individual program systems into a data repository (ENVIROFACTs)
and provide users of this repository easy access to its
environmental data through a common user interface (GATEWAY). As
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currently envisioned, ENVIROFACTs will contain data extracts from
existing program systems. These data will be augmented by
additional programmatic, monitoring, and base geographic data, from
both internal and external sources, to support sound environmental
decision-making. EPA will continue its strategic initiative,
defining a methodology for the integration of national
administrative systems; e.g., Finance, Grants, Contracts, etc. Our
ultimate goal is to provide major productivity gains through single
source data entry practices and to ensure consistent, accurate data
across OARM's organizations and systems.
2. Implementation of the New Systems Development Center (SDC) -
OIRM will continue to provide EPA with comprehensive information
systems life-cycle services through the establishment of an EPA
Systems Development Center (SDC). The SDC is intended to be EPA's
Center of Excellence for Systems Engineering. The SDC will be a
contractor managed facility, housing MOSES1 prime contractor,
subcontractors, and a potentially small number of EPA staff for
contract and technical management purposes.
The SDC gives EPA a central location for developing and
coordinating the development of EPA information systems under this
contract. The SDC is also charged with establishing a systems
engineering environment consisting of systems development methods
and tools for application to EPA systems development projects.
3. Systems Modernization and Maintenance - OIRM continues to be a
strong advocate for modernizing EPA's mission critical national
program systems. OIRM will reinforce this message through its
Agency-wide outreach programs, activities, and one-on-one meetings
with clients. The Office of Water's, Water Systems Modernization
Initiative, is one example of how OIRM will seek to forge a
partnership with EPA's media offices to support the goal of systems
modernization.
On the project or systems level, OIRM will play a significant role
in modernizing the STORET data system. It will also continue its
efforts to modernize FINDS to enhance its updating process and meet
new user requirements. Furthermore, OIRM will continue its
commitment to maintaining and providing strong user support for
several critical EPA data systems.
4. Global Geographic Initiatives - Over the last several years,
the Agency's use of geographic analyses has increased dramatically
and become an important means of assessing potential threats to
critical ecosystems, natural resources, and public health. From an
information management perspective, these analyses and sponsoring
programs (e.g., The Gulf of Mexico and Great Lakes National
Programs) are collecting, generating, and managing significant
amounts of valuable data.
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These initiatives require increased information resources
management (IRM) services and support in order to develop and
implement sound information management practices and systems. As
a result, OIRM is increasing its support to these geographic
initiatives. These efforts are designed to provide each Region the
capability to conduct geographic based analyses that help States
and EPA target resources to the most significant environmental
problems. Increased efforts will also be made to provide
technology and user support for cross-media analysis.
OARM, with concurrence by all Program Offices and Regions, has
developed a set of essential Agency data standards. We will
continue to educate Agency components about the data standards,
their utility, and the necessity to create data in conformance with
the standards.
5. Information Management - We have developed a comprehensive Data
Sharing approach. This strategy is intended to promote a free and
appropriate flow of the Agency's vast data resources to interested
parties, consonant with the Agency's right and responsibilities as
data steward. EPA is committed to promoting mechanisms, systems
and services which support data sharing activities. EPA, acting as
data steward, shall ensure cost-effective, equitable sharing of the
Agency's data resources. Three major directions are part of the
Data Sharing strategy: the State/EPA Data Management Program;
increased public access and a full range of information services;
and the International Data Sharing Program. In FY 1993, we will
continue to focus our efforts on cross-media analysis to promote
data integration and achieve environmental results through the
following activities:
6. State/EPA Data Management Program - EPA's commitment to
environmental federalism requires that we strengthen the methods
and technology we use to manage and share data with State
environmental and health agencies. If we are to continue to
delegate program responsibility to States without sacrificing
accountability and be responsible stewards of environmental data,
we must have timely, complete and reliable data to monitor State
progress in implementing and enforcing Federal environmental
statutes. In addition to being the source, State agencies are also
the initial and primary users of the data required by EPA to manage
delegated programs. Thus, our own ability to obtain these data, as
well as the ultimate success of the State-EPA cooperative
relationship, depends on our success in devising data management
policies and systems that support State efforts to achieve our
common goals of overall risk reduction and pollution prevention.
The emphasis on geographical information systems analysis, data
standards, data integration techniques and complete quality data
bases will provide the Regions and States with tools and resources
to conduct comprehensive regional strategic planning, regional and
sub-regional analysis, enforcement targeting, and risk based
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ranking/priority setting. Cross-media integration efforts will
also assist in evaluating effective strategies in the pollution
prevention area.
7. International Data Sharing - Environmental information is the
key to sound development practices. EPA has effective information
services and systems and a wealth of environmental data to share
with the world community. Recognizing that the development of
effective international data-sharing mechanisms is among the most
valuable contributions EPA can make to the global effort to improve
environmental quality.
The International Data Sharing Program was initiated in FY 1989 to
support the new global challenges and opportunities outlined in the
Administrator's "International Strategy for the Environment" as
well as the strategic plans of the Office of International
Activities (OIA) and the Office of Enforcement (OE). The goals of
the International Data Sharing Program include: establishing the
United States as a reliable partner in international information
exchange relationships; ensuring the availability of significant
datasets in formats that are useful to our international partners;
and assisting developing nations in establishing effective local
information management capabilities.
The International Data Sharing Program will continue to serve as a
key IRM partner in EPA's expanding cooperative activities with
foreign governments and international organizations. The Program
promotes professional exchange programs, as well as technology
transfer and technological assistance to support sustainable
development goals. It actively participates in the development of
regional information management capabilities through the INFOTERRA
Companion Program and implementation of regional environmental
centers. It actively supports the United Nations Environment
Programme's (UNEP) International Information Exchange Networks
(INFOTERRA) and the International Register for Potentially Toxic
Chemicals (IRPTC) and others.
8. Public Access to Agency Information - EPA has experienced an
increasing demand by the public for both electronic and printed
information. In addition, legislative requirements to disseminate
information to the public have provided impetus to augments
services for information access and dissemination. The development
of the Public Access Program involves working with EPA Program
Offices to provide support and guidance on public access. The
Program includes aggressive outreach efforts to communicate the
Federal public access trends, activities, policies and procedures.
Support and guidance to Program Offices will help to improve EPA's
ability to fulfill its mission to provide environmental information
to the public.
9. Office Productivity Tools - OIRM is committed to providing the
Agency with applications to support the administrative needs of the
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Agency via both Mainframe and PC technologies. This commitment
includes support and expansion of AdminLan, which is a suite of
software for use in a generic office setting that enhances worker
productivity via personal computers on their desktop. New releases
of the AdminLan Office Form Facilitator will provide additional
forms production capabilities and a pilot of electronic
signature/rout ing of forms. It will also provide a system to track
FOIA requests called the Freedom of Information and Tracking System
(FOIMATS) and to manage correspondence called the Correspondence
Tracking and Information Management System (CTIMS). Additional
applications will be built using integrated software called Lotus
Notes, which will enable workgroup computing, such as
schedule/calendar management, inventory tracking, and shared
discussion databases.
10. Computing Infrastructure - The Agency maintains two levels of
computing architecture. These can generally be described as
mainframe processing and LAN-based personal computers. The Agency
is committed to linking the data and data processing power at each
of these levels through the desktop personal computer. During
FY93, OAKM-RTP will continue to provide mainframe data processing
capacity for major applications and will be working with OIRM to
provide a stable desktop and LAN environment for administrative and
programmatic applications. Particular emphasis will be on
continuing to provide contractual vehicles through which the Agency
can acquire technology and the implementation of valued added
backbone LAN services and additional productivity support software.
The single largest initiative in FY93 will be establishment of the
Agency's National Environmental Supercomputer Center in Bay City,
Michigan.
6. BUILDING PUBLIC-PRIVATE PARTNERSHIPS
P3 looks at environmental problems from a cross-program and an
intergovernmental perspective. Its goal is to build the Federal,
State and local financing capacities and linkages needed for a
quality environment. P3 seeks increased environmental investment
by leveraging public and private assets. Our strategy involves:
o Improving EPA financial skills for better decision-making;
o Developing effective public financing approaches;
o Building state and local financing capacity; and
o Promoting private investment in environmental services.
Maior Activities and Responsibilities - Program implementation is
planned and coordinated by headquarters staff in the Office of the
Comptroller. Regional coordinators implement P3 in their offices
and the States and localities. Headquarters coordinators handle
media offices' involvement.
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EPA Regional Offices - In FY 1993 we will deepen Regional
involvement by designating lead Regions for particular P3
activities. Leads will develop policy, implement pilot programs
and help other Regions. They will run franchises in their
specialties. This change is crucial to integrating P3 in Agency
operations and building support.
The States - State cooperation, assistance and participation is
integral to the success of P3. States have a crucial role in
looking at incentives and impediments to partnerships. They are
central to building relationships with local officials and
networking.
EPA Media Offices - Media Offices have an important role in
providing input for financing strategies being developed. There is
no substitute for their technical expertise and institutional
knowledge. These offices must take the lead in outlining the
challenges, examining options and presenting innovative and
creative solutions.
Supporting Cross-Program and Other Priority Initiatives
1. Improving Cross-Program Integration - P3 is a multi-media
program. Through its emphasis on partnerships and financing, it
focuses and integrates the work of EPA across program lines to
solve environmental problems.
2. Building State and Local Capacity - We have funded twenty P3
demonstration projects covering every Region. The projects show
creative ways to finance environmental protection in small
communities. This effort will continue in 1993. We will be
implementing an innovative environmental finance advisory program
for State and local officials. Local officials will be asked to
present financing problems to a panel of experts who will advise
them on possible solutions.
3. Pollution Prevention - Four demonstration awards to date
support pollution prevention activities. We will continue to
emphasize pollution prevention in FY 1993.
4. Geographic Targeting - We will develop a geographic information
system to track where environmental investments are made. Such
information will strongly support the geographic initiatives and
help him allocate resources and promote EPA activities and
accomplishments.
5. International Cooperation - We are developing an environmental
fund in Puerto Rico to promote public-private cooperation in
addressing the area's environmental problems. The fund would
leverage EPA monies with matching private contributions.
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In 1993, P3 will also support improving the marketing of U.S.
environmental technology goods and services in Europe and Mexico.
This effort is directed at improving competitiveness through the
expansion of environmental exports.
6. Market and Economic Incentives EPA's Environmental Financial
Advisory Board has issued an advisory on Incentives for
Environmental Investment. This paper contains noteworthy ideas on
using economic incentives to prevent pollution and reduce costs.
In FY 1993, we will continue working with the Board to focus on
priorities such as market-based incentives and pollution
prevention.
7. Education and Technical Assistance - We plan a program to
recognize communities that address environmental financing
problems. States will nominate candidates by submitting case
studies of success stories. EPA will recognize a winner from each
State and share the case studies with communities facing similar
problems.
We will work with designated lead Regions and selected major
colleges or universities to establish pilot environmental finance
centers that will become focal points for education and technical
assistance to states and localities. The centers could also serve
as valuable training resources and recruitment pools for EPA.
8. Environmental Eouitv - In line with EPA's efforts to develop
linkages with historically black colleges and universities, P3 has
begun to work with Morgan State University in the area of
environmental finance. We will broaden this effort in FY 1993.
We will be focusing our 1993 P3 demonstration program on small and
economically disadvantaged communities. Environmental equity will
be a project selection criteria.
H. GRANTS/COOPERATIVE AGREEMENT/INTERAGENCY AGREEMENT MANAGEMENT
General Assistance Management
Regions should evaluate their grants administrative management
activities to assure they provide adequate internal controls. In
addition, GMOs shall finalize the implementation of the RAGDS and
IAMS which are sub-systems of GIGS and which are used to generate
all EPA assistance agreements and interagency agreements (lAGs).
The GMOs should support activities related to the Administrator's
priority areas, e.g., state capacity building efforts, multimedia
assistance, and international cooperation.
Headquarters Role - The Director, Grants Administration Division
(NPM) will chair the Grants Information Management Council of
senior program/grant managers who will determine the priority of
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enhancements to the Administrator's official database for managing
EPA assistance. This Agency wide database, GIGS, will provide the
basic assistance management data along with program specific
information to manage all EPA assistance programs. To guarantee
data of the highest integrity, RAGDS and IAMS sub-systems of GIGS
will be properly supported in each Regional GMO. During FY 1993,
the NPM will ensure that the basic grants management training
course developed during FY 1991 is presented to regional grants
management staff. GAD intends to present the course three times
during the year. GAD will continue to develop a grants management
curriculum. If appropriate training is not available commercially,
the NPM will begin development of additional courses.
Regional Role - During FY 1993, GMOs shall use the Regional
Automated Grant Document System/Interagency Agreement System to
generate assistance agreements and lAGs and the grant offices shall
continue to recommend modifications and improvements to GIGS. GMOs
shall support activities related to the Administrator's priority
areas, e.g., state capacity building efforts, multimedia
assistance, and international cooperation. GMOs should continue to
perform periodic on-site review of State systems.
Superfund Assistance Management
This guidance identifies assistance agreement and IAG management
initiatives which support programs authorized by the Comprehensive
Environmental Response, Compensation, and Liability Act, as amended
(CERCLA). Through 1994, approximately $5.1 Billion will be
available for the Superfund program. Of this amount approximately
$10 Million per year will be awarded to States, political
subdivisions, thereof, and Federally-recognized Indian Tribal
governments in the form of cooperative agreements and grants. EPA
will also provide almost $100 Million per year to other Federal
agencies through lAGs. The size and complexity of the program
requires effective and efficient management to assure its integrity
and adequate internal control. To assure this needed integrity and
internal control the NPM and regions should:
o Continue to build Regional, other Federal agency, and
capability to manage Superfund assistance consistently and
effectively;
o Provide training to ensure Regions, other Federal agencies, and
recipients understand Superfund requirements and can thus
perform responsibly.
These initiatives will be the foundation for assistance and IAG
management integrity in the Superfund program nationally.
Headquarters Role - The NPM will provide updated policies and
procedures for the award of Superfund cooperative agreements and
lAGs, process and manage Headquarters awarded Superfund grants and
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lAGs, maintain adequate grants management information in GICS, and
provide policy guidance for and oversight of the Regions. The NPM
will also provide training programs for Superfund grants
specialists and assure appropriate communication and outreach
strategies between Headquarter's program offices and the Regional
GMOs.
EPA Regional Office - The regions should support the NPM by
continuing to provide effective, efficient, and consistent
administration of the complex Superfund assistance and TAG program.
The GMOs must ensure proper administrative management and oversight
of Superfund cooperative agreement and grant recipients and
management of lAGs. The GMOs are responsible for ensuring that
every assistance agreement and IAG complies with EPA's Superfund
administrative and management regulatory and policy requirements.
They must also ensure that each assistance agreement and IAG is
negotiated, processed and awarded in compliance with all
appropriate laws, regulations, Executive Orders, Federal circulars,
and other requirements. Data related to all Superfund assistance
awards and lAGs will be entered in GICs and used for management
reports.
Assistance Support for Alternative Financing/Public-Private
Partnership Activities
Regional GMOs must continue to fully support EPA's alternative
financing and Public-Private Partnership activities.
During FY 1993 this includes GMO management of State Revolving Fund
(SRF) grants consistent with Agency policy on grants administration
roles and responsibilities. SRF grants are authorized by the 1987
Amendments to the Clean Water Act. The Act authorizes a total of
$8.4 Billion through FY 1994. The major SRF objectives for GMOs
include:
- Continuing or instituting effective, efficient, and consistent
regional assistance management practices in the SRF program;
Helping States develop the capability to administer the SRF
program consistently and effectively;
- Assuring compliance with the SRF regulation and assuring that
nonstatutory/nonregulatory requirements are not imposed on
States.
- Participating in the Annual Review required in the SRF program.
- Obtaining staff with appropriate finance skills.
GMOs should also consider other opportunities to involve the
private sector in environmental management activities. GMOS should
be prepared to support alternative financing for Public-Private
Partnership programs (P3) by innovatively assisting management to
enhance the Agency's capability to deal with future assistance
programs and develop relationships with private sector
organizations.
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Headquarters Role - During FY 1993, the NPM, in cooperation with
the Resource Management Division, will continue to pursue ways to
improve financing of environmental needs. The NPM will provide
policy and procedural guidance and assure appropriate communication
with regional GMOs. In addition, the NPM will oversee the regional
GMOs to assure they continue appropriate management responsibility
for the SRF program.
Regional Role - Regional GMOs should continue to cooperate with the
Grants Administration Division and other regions to develop and
share consistent solutions to problems. Regions should take full
advantage of OARM systems to support resource needs, internal
control efforts, communications, and information management
opportunities through RAGDS, IAMS, and GIGS and the GIGS Management
Council.
I. SUSPENSION AND DEBARMENT
All Executive branch Federal agencies have been under a uniform
suspension and debarment system for procurement since 1982, and
assistance since 1988. In 1993 we anticipate implementing a
consolidated government-wide rule for suspension and debarment
incorporating both procurement and assistance programs.
In FY 1993 we will continue an aggressive effort to investigate
poor performance and misconduct on EPA specific projects as well as
auditing settlement agreements on previous actions. Continued
emphasis will be placed on Superfund Contract Laboratory program
contractor actions and on criminal environmental violation based
causes of action. The Division will focus attention on building a
Federal/State Partnership in the suspension/debarment program, and
develop a coordination strategy with DOD and other agencies
concerning lead agency action against multi-agency contractors.
The Grants Administration Division is EPA's central office
responsible for the suspension and debarment program. The Offices
of General and Regional Counsel and the Office of the Inspector
General are also responsible for performing key tasks associated
with the government-wide suspension and debarment program. In
order that these offices can carry out their duties under the
government-wide effort, it is important that EPA management
officials understand that suspension and debarment is an important
part of their responsibilities as well.
The suspension and debarment program has and is continuing to
experience unevenness in the activities reported, investigated and
pursued from Region to Region. In FY 1993, the following efforts
should be included in preparing workplans:
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All program office managers, both Regional and Headquarters,
should emphasize the importance of their responsibility in
implementing the Federal effort to combat waste, fraud and abuse
through suspension and debarment, and their responsibility to
report suspect activity and problem participants to the
Compliance Branch, Grants Administration Division, or their
Divisional Inspector General.
The Offices of Regional Counsel should utilize appropriate
management tools, including performance standards, to recognize
and emphasize activities with associated suspension and
debarment.
Encourage Regional, delegated States, and program offices to
obtain training from the Grants Administration Division, as part
of their conferences, meetings in an effort to inform and
sensitize the various officials responsible for managing EPA
funds.
J. SAFETY, HEALTH AND ENVIRONMENTAL MANAGEMENT
It is critical that EPA's internal occupational and environmental
risk management programs be the best in the Federal government. To
further that objective, program efforts in FY 1992 expanded the
agency's national leadership role, policy and program development
activities, and national oversight. In both FY 1991 and 1992 there
have been an increases in resources for the regional and laboratory
programs and an additional increases are projected for FY 1993.
This guidance provides direction for those improvements expected in
regional and laboratory programs during FY 1993.
NATIONAL ROLE - OARM has developed a long-term strategic plan to
improve the credibility of EPA's safety, health and environmental
management program and to assure that they become the best in the
Federal government.
Those major Safety Health and Environmental Management Division
projects that will have a significant impact on regional and
laboratory programs during FY 1993 include:
1. Updating Policies and Developing Model Programs. EPA currently
does not have policies that establish national programs for some
statutory and regulatory mandates, including: Asbestos Management,
Diving Safety, Biohazard Management, Radiological Safety, Risk-
Based Medical Surveillance Program and Safety, Health and
Environmental Management requirements for Real Property
Acquisition, Construction, Repair, Improvement and Close Down.
During FY 1993, SHEMD will establish national programs in those
areas. Emerging areas of concern include development of an
internal pollution prevention program for our laboratories and a
medical program for EPA employees involved in international
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activities. In addition, quality teams will update and review and
improve 50% of EPA's safety, health, and environmental program
directives/issuances to ensure that they protect the health and
safety of our employees and the environment.
2. Systems Development. An automated medical surveillance system
will be implemented which will track populations with a high risk
of exposure and will be designed to accommodate EPA's unique
subpopulations, including older workers and divers.
3. Resource Development and Training. During FY 1992, through our
"Center of Excellence" in Region 7, a review and upgrading of EPA's
training programs, using multi-media and interactive materials was
initiated. In FY 1993, using the information developed during this
task, SHEMD will move forward to provide longer-term solutions to
EPA's risk-based training needs in the area of safety, health, and
environmental management. In addition, we will develop training
strategies for senior managers within headquarters offices,
regions, and laboratories related to the Agency's internal safety,
health, and environmental management programs. With proper
training, managers will understand the benefits and value that
comprehensive safety, health, and environmental management programs
provide.
4. Technical Support and Consultative Services. This includes
advice and tools to assist safety, health, and environmental
compliance managers in the implementation of environmental
statutes, rules and regulations. In FY 1991, SHEMD formed the
National Technical Services Center (NTSC) to provide rapid response
to technical issues or problems arising at the individual Regional
or Laboratory level which have national implications. The NTSC was
expanded in FY 1992 to enhance managers' ability to meet the goals
and objectives of their local programs efficiently through this
centrally supported and funded resource. In FY 1993, the Center
will be expanded further through the allocation of additional
resources to provide an even greater level of technical support for
the regions and laboratories. In addition, SHEMD will put into
place a contract to provide the Regions a mechanism to dispose of
hazardous waste in an environmentally sound, timely manner in
accordance with all federal, state, and local requirements.
5. Audits and Program Evaluations. SHEMD has been conducting
technical environmental compliance program audits, safety and
occupational health program audits, and fire safety audits of EPA
facilities and programs on a three-year cycle (one-third of the
agency's facilities and programs are reviewed each year). In FY
1993, we will improve and streamline this process by conducting
comprehensive management systems evaluations which combine all
these reviews. In addition, a program will be developed to review
the implementation of corrective action plans submitted in response
to these audit findings.
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Regional and Laboratory Role - To complement the additional the
additional in FY 1993 resources, regions and laboratories are to
increase management commitment, establish standards for managerial
and supervisory accountability, and enhance the organizational
placement and visibility of safety, health, and environmental
management staffs. The major laboratory improvements expected in
FY 1993 are:
1. Management Commitment. Regional Administrators and Laboratory
Directors are expected to issue updated practices and procedures
for their safety, occupational health, and environmental management
program. The updated practices and procedures should clarify
management's commitment, establish three-five year program goals,
and enhancement of program resources and program performance.
2. Managerial and Supervisory Accountability. Performance
standards for managers and supervisors are to establish
management's role and commitment to providing safe and healthful
working conditions and to comply with environmental regulations.
Supervisors are to ensure that their employees' position
descriptions accurately detail the role of employees in the
regional and laboratory safety, health and environmental management
program.
3. Organizational Structure and Placement of Program Staff. It is
expected that management accountability for the safety,
occupational health, and environmental management programs be
assigned to one senior management official within the region or
laboratory. That assignment is to be in writing and communicated
to employees.
4. Self-Assessment to Determine Program Effectiveness and
Compliance with Statutory and Regulatory Mandates. It is expected
that beginning in FY 1993 each region and laboratory is to conduct
an annual internal control review of its safety, occupational
health, and environmental management programs to determine the
effectiveness of the program and determine if the programs are
being implemented in accordance with statutory and regulatory
mandates.
5. Program Priorities. Regions and laboratories are to focus their
program efforts on the following priorities:
a. Health and Safety Automated Data Systems;
b. Risk-based Medical surveillance program;
c. Automation of inventory systems for hazardous
chemicals;
d. Securing and maintaining updated MSDSs for employees;
e. Waste minimization, pollution prevention and waste disposal
programs;
f. Risk-based training programs for employees potentially
exposed to toxic substances, biological agents, and physical
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agents;
Evaluation of the effectiveness of Chemical Hygiene Plans for
laboratories and hazard communications programs for employees.
K. PERSONAL PROPERTY MANAGEMENT
EPA has expended significant resources in an effort to make major
improvements in the area of property management. As a follow-on to
the establishment of the Personal Property Accountability System
(PPAS) in 1989, improvements and enhancements continue to be made
in the system to assist property managers in performing their
mission of protecting the Agency's assets. In FY 1991, we
increased the threshold of accountable property from $300 to $1,000
to focus attention on the most significant assets. We also
upgraded the data base management software to the current version
(FOCUS 5.5), which should be completely installed at all
accountable areas by the end of FY 1992. This will be followed by
the implementation of an enhanced PPAS capability that will permit
the system to operate in a local area network environment.
In spite of these improvements, audit findings continue to
highlight the inability to trace property items in the system, the
failure to sign and submit custodial officer responsibility
letters, and the failure to complete and reconcile year-end
inventories. All accountable areas must redouble their efforts to
ensure that all Superfund and non-Superfund property is properly
inventoried, tracked and controlled.
HEADQUARTERS ROLE - Headquarters will conduct quality assurance
reviews at regional and field offices, and selected laboratories in
FY 1992. These reviews will determine compliance with the Personal
Property Management Policy and Procedures Manual. Headquarters
will prepare reports of required actions and recommendation that
result from these review and the annual Superfund audit and monitor
the actions taken by accountable areas to correct any deficiencies.
In order to ensure continued compliance in this area, headquarters
will conduct the same level of oversight on an ongoing basis in
subsequent fiscal years.
REGIONAL ROLE - All regional and field property management officers
are required to perform a comprehensive physical inventory of
personal property assigned to their accountable areas. These
inventories should be properly reconciled and all outstanding
issues resolved. Written certification that these inventories have
been completed are now required and will continue to be required
until each accountable area has successfully completed the above
tasks. Regional personnel should continue to participate in
ongoing training in PPAS and property management policy and
procedures.
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L. BUILDING AND FACILITIES
In spite of our substantial investment of Buildings and Facilities
(B&F) funds, EPA facilities continue to require increasing
resources. We have received significant increases in Repairs &
Improvements (R&I) funding from FY 1984 to FY 1991. During this
time period we emphasized critical health and environmental
compliance projects and have addressed many major problems in these
areas. However, our funding for basic repair and upkeep, space
alterations, and facility modernization required by our ever
changing programs has not kept pace. To emphasize and address
these basic requirements, which are not currently being adequately
met, we are implementing an Agency-wide facilities Strategic
Masterplanning initiative in FY 1992.
HEADQUARTERS ROLE - Programs and regions should specifically
identify the impact of program changes through the B&F/Data
Telecommunications/Space Call Letter on facilities and adequately
request critical projects. This tall letter from Headquarters will
be the vehicle for the field to advise and report the impact of
planned changes back to the budget process so that leases and
building and facilities projects can be coordinated.
Headquarters will implement a number of initiatives in order to
accomplish these goals more effectively. They include:
- Management Evaluations, New Facilities, Masterplanning and
Site Planning
- Fine Tuning the B&F Projects Approval and Outreach Process
- Identification of Funding Requirements and Improved Oversight of
the Project Execution Process.
REGIONAL ROLE;
Building and Facilities Project Submissions - To meet our goals,
regional justifications for the repair and improvement of
facilities must explain how they will: 1) provide a safe and
healthful working environment for EPA employees; 2) ensure that EPA
facilities meet pollution abatement regulations; 3) provide
maintenance of facilities that is essential to prevent and halt
deterioration; 4) improve capabilities at research, program, and
regional laboratories, so that we can respond to new or existing
legislation; and 5) meet the costs required by headquarters, field,
and regional office and laboratory, and lease renewals.
Prioritization of B&F projects - Regional projects will be
submitted through programs and regions for prioritization by their
top management. All projects will also be evaluated and
prioritized by OARM from a facilities and resources standpoint and
a consideration of resources.
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M. SPACE PLANNING
With many leases expiring over the next few years, we need to
coordinate and streamline our space planning process. This is
particularly important in order to maximize the use of scarce space
and buildings and facilities needs.
HEADQUARTERS ROLE - Programs and regions should specifically
identify future space needs through the B&F/Data
Telecommunications/Space Call Letter on facilities and adequately
request critical projects. This call letter from Headquarters will
be the vehicle for the field to advise and report the impact of
planned changes back to the budget process so that leases and
building and facilities projects can be coordinated.
OARM will focus on not only Agency-wide but site specific planning
as well to determine the long range investment opportunities
available to the Agency. Also, support for specific sites will be
considered in the implementation of the Facilities Masterplan and
the Agency's strategic plan.
REGIONAL ROLE - With OARM Headquarters lead, all programs and
regions will conduct an improved process that integrates space and
buildings and facilities planning. This process improves project
submissions and planning related to changing programs, missions,
and lease conditions.
Space planning submissions must consider 1) move costs; 2) new or
expiring leases; 3) needs for special use space; 4)
telecommunications needs; 5) buildout needs; and 6) above standard
costs.
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Office of Enforcement
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OFFICE OF ENFORCEMENT
ASSISTANT ADMINISTRATORS OVERVIEW
I. AGENCYWIDE ENFORCEMENT GOALS
The Office of Enforcement's (OE) FY 1993 Operating Year Guidance
continues to implement the risk-based and targeted approach to
enforcement contained in the Enforcement Four-Year Strategic Plan
(February 1991), the Enforcement in the 1990's Project (October
1991), and the draft Agencywide Strategic Plan. All three
documents maintain an integrated, multi-media focus designed to
identify violations involving the most significant environmental
and health risks and serve as the foundation for an aggressive
cross-media enforcement capability.
Historically, the "core" enforcement program, as well as
initiatives, have been media-specific. By FY 1993, however, the
core program will have an increasingly multi-media character.
Because of its national and multi-media perspective, OE is
uniquely positioned to identify environmental national multi-
media priorities, to coordinate with the national program offices
to develop strategies for addressing them, and to help facilitate
their implementation by the Regions and States. OE has to date
managed several multi-media program initiatives beyond its
traditional support function (e.g., the lead enforcement
initiative). These initiatives or enforcement "clusters" will be
a key component of EPA's future enforcement program.
Besides working to maintain the record levels of enforcement of
the last several years, OE will continue to work to expand the
use of innovative enforcement tools (e.g., the use of pollution
prevention conditions in enforcement settlements), develop a
greater capability to measure and describe the environmental
impact of enforcement successes, enhance State/Indian tribe
environmental enforcement capabilities, as well as those of other
countries, and continue to develop policy and case elevation
procedures that strengthen federal facilities enforcement.
OE also will continue working with the media programs to ensure
that regulations are clear and readily enforceable. The Agency
plans enforceability "field tests" for several proposed
regulations in FY 1992, and will continue such efforts in FY
1993.
All of the specific FY 1993 enforcement activities described
below directly support the Agency's enforcement themes,
priorities, and initiatives, and significantly enhance OE's
civil, criminal, and Federal facility enforcement capabilities.
In addition to these activities, OE will continue to implement
the findings and recommendations resulting from the Enforcement
in the 1990's Project.
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II. FY 1993 PRIORITIES
A. TARGETING INITIATIVES
1. MULTI-MEDIA
Multi-media enforcement provides great potential for addressing
health or environmental risk-based enforcement priorities on a
comprehensive basis. In addition to on-going core program
efforts, OE will continue to undertake management and
coordination efforts with the Programs, Regions, and States to
target a limited number of special national enforcement
initiatives" that focus on specific sites, geographic areas,
pollutants, or industrial sectors with particularly noteworthy
environmental problems. Once specific enforcement initiatives are
identified, the Agency may "cluster" (i.e., group) individual
cases contained within the initiative for filing. The purpose of
case "clusters" is to gain maximum deterrence through publicity
and facility-specific impact, achieve efficiencies in the case
development process, and coordinate settlement options among all
participating programs.
In addition to regional geographic priorities, FY 1993 national
geographic priorities will continue to include the Chesapeake
Bay, the Gulf of Mexico, and the Great Lakes. OE expects
enforcement to be a component of the activities related to these
geographic priorities. In addition to these enforcement
activities, a Multi-Media Workgroup formed by the Agency's
Enforcement Management Council (EMC) developed a number of
candidates for FY 1993 national initiatives, which have been
endorsed by the EMC and which also will be discussed in the near
term by the Steering Committee on the State/EPA Enforcement
Relationship. These include national initiatives which are
already under way and which will continue in FY 1993, including
noncompliant industries and the Mexican Border area, and two new
initiatives focused on compliance data quality and federal
facilities. The opportunities for and level of participation by
compliance programs and Regions will depend upon the nature of
the initiatives and the presence and detection of pertinent
violations.
The Agency is committed to working with the States in planning
and implementing these case clusters. State roles will be
defined in the Multi-Media Addendum to the Policy Framework for
State/EPA Enforcement Agreements, which will be finalized during
FY 1992.
The Agency's Multi-media Workgroup, an offshoot of the
Enforcement Management Council, which includes members from OE,
the compliance programs, and Regions has developed specific
multi-media STARS measures beginning with FY 1992, and
discussions will continue as to whether the measures will be
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applicable to States in FY 1993.
2. MEDIA-SPECIFIC INITIATIVES
In addition to multi-media activities, OE, including the Regional
Counsels and criminal and civil investigators, will continue to
work with the compliance programs to support FY 1993 single-media
initiatives, which have been mutually discussed via the planning
process. OE and the media programs will identify specific
initiatives in the Spring of 1992 during the annual planning
process. Media-specific initiatives will be integrated as part
of the national multi-media initiatives where possible.
3. IDEA
Regional and State targeting and screening needs will be
supported by the continued enhancement and refinement of the
interactive, integrated enforcement data capability, IDEA
(Integrated Data for Enforcement Analysis), which will be fully
operational in FY 1993 in an easier to use format. IDEA can be
used to screen and target multi-media or media-specific
enforcement efforts and to identify opportunities for innovative
enforcement approaches, such as listing and/or debarment,
environmental auditing and pollution prevention.
In FY 1992, the Agency set up a user advisory group, with State
participation, and develop procedures for State access. In FY
1993, the Agency will emphasize data quality improvement needs
identified by the group; improvements in the overall capability
of IDEA; and expanded training and technical support for State
users.
B. CASE SCREENING
The Regional case screening process is an important mechanism for
implementing the enhanced enforcement approach. Screening
ensures that identified violations are assessed for their multi-
media potential, appropriate enforcement response (i.e.,
administrative, civil judicial, or criminal), or innovative
enforcement settlement potential. During FY 1992, OE will
evaluate the functioning of the Regional case screening
procedures and identify ways to best achieve its objectives while
minimizing any burdens on the normal case development process.
In FY 1993, OE will continue to oversee the operation of the case
screening system and develop any new guidance which may be
necessary to improve its efficient and effective implementation.
OE also will emphasize improving the integration of Federal
facilities in the case screening process.
C. BUILDING INSTITUTIONAL RELATIONSHIPS IN ENFORCEMENT
Improved coordination among the levels of government is crucial
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to more effective use of compliance and enforcement information
and more effective use of enforcement resources.
1. STATES
a. STRATEGIC PLANNING
EPA will continue to work the States more completely into its
strategic planning and priority setting process. States will
participate in strategic planning. The Agency will discuss and
review national and regional single and multi-media priorities as
well as State priorities, and explore specific procedures for
State participation in the identification and implementation of
enforcement initiatives and case clusters.
As noted, the Agency will complete the Multi-Media Addendum to
the Policy Framework in FY 1992. While the Addendum does not
alter the formal relationship between EPA and States regarding
delegated programs, the Agency's increased emphasis on multi-
media activities does require enhanced Federal/State
relationships. Beginning in FY 1993, the Agency's process for
multi-media strategic planning will help ensure that States are
involved in the formulation of national multi-media priorities.
EPA will solicit State (along with national program and regional)
input in the prior fiscal year regarding new multi-media
strategic planning or targeting priorities.
EPA also will make the maximum effort to involve States in the
actual planning and implementation of enforcement clusters. In
FY 1993, each Region should try to undertake and coordinate at
least one multi-media enforcement action with one of its States.
In order to facilitate this activity, Regions and the individual
States should in FY 1992 identify Region or State-specific multi-
or single media priorities through their strategic planning
process. OE will provide guidance for coordination and
communication on multi-media enforcement issues in its FY 1993
State/EPA Agreements Guidance.
OE also will provide technical assistance to States in carrying
out their responsibilities under the State revolving loan
program.
b. OVERSIGHT OF PENALTIES
During the last several years, many States have expanded their
administrative and judicial penalty authorities. As both EPA and
State penalties have increased, the Congress, General Accounting
Office (GAO) and the public have raised their expectations
regarding EPA oversight of State penalty assessments.
During FY 1992, EPA will consider a pilot project, working with
two States represented on the Steering Committee on the State\EPA
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Enforcement Relationship, to see whether comprehensive
information on state penalty performance can be collected and
reported. Also in FY 1992, the Steering Committee will recommend
whether the Agency should develop a more explicit and rigorous
oversight standard based on recouping the economic benefit of
noncompliance. Depending on the outcome of the Steering
Committee's deliberations, the programs and States could be asked
to revise their respective enforcement response policies and/or
penalty policies, as appropriate, in FY 1993, to be consistent
with any new requirements.
2. TRIBAL GOVERNMENTS
A number of Indian tribes have their own law enforcement and
regulatory agencies, courts and environmental codes. These are
unique systems that combine traditional tribal values and customs
with the practice of modern environmental regulations and
enforcement. The Multi-Media Addendum also is applicable to
Tribes, and OE-OFA will seek opportunities to use its multi-media
grant authority to identify and fund appropriate multi-media
projects on Indian reservations in order to gain experience in
this new and evolving area of environmental protection.
3. LOCAL GOVERNMENTS
Environmental laws are regulating more and smaller sources,
and support from expanded local environmental enforcement is
critical. In FY 1992, OE, with the Programs, Regions and States,
will be identifying environmental programs which may be amenable
to an expanded local role and which local programs/agencies may
be amenable to taking on civil and criminal compliance monitoring
and enforcement activities. Each Region was asked to develop one
new relationship in FY 1992 with a local government in one of the
following areas: 1) reporting violations to Federal or State
agencies; 2) gathering evidence in support of Federal or State
enforcement actions 3) enforcing Federal regulations; and 4)
providing additional compliance "outreach" to the regulated
community.
In FY 1993, OE will work with Programs and Regions and States to
evaluate the relationships established the previous year and
disseminate information to State associations. OE also will
encourage the Regions to work with State regulatory agencies to
identify the role that local governmental units should play in
enforcing the requirements of state environmental programs. Such
studies of state-specific programs, authorities, structures, and
state/local relationships will form the groundwork for
establishment of new enforcement relationships.
4. INTERNATIONAL ACTIVITIES
Both the Aqencvwide Strategy and the OE Four-Year Strategic Plan
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recognize the transnational aspects of environmental protection.
OE has developed an international strategy which emphasizes U.S.
leadership in, among other things, activities to stop the illegal
transboundary movements of hazardous and toxic substances, and
increased international cooperation and capacity building.
To support this last aspect of the strategy, for example, OE co-
sponsored International Enforcement Workshops on the Environment
in the Netherlands in May 1990 and will hold another such
conference in Budapest in September 1992. Additionally, OE has
developed a course on the "Principles of Environmental
Enforcement" at the request of the Polish government. In FY 1993,
OE, in cooperation with OIA, will identify and train U.S.
facilitators to meet international requests for training "in-
country" facilitators for this course.
In FY 1993, OE also will support international enforcement
initiatives on both a program-specific and multi-media basis. OE
will emphasize environmental problems along the U.S.- Mexican
border by training both U.S. and Mexican investigative personnel,
and undertaking enforcement actions coordinated with Mexico.
OE will continue working with international organizations and the
multi-lateral development banks on environmental assessment
processes, and will work with CEQ, the State Department and the
Government of Canada to implement the international covenant on
transboundary impacts that has been negotiated under the auspices
of the U.N.Economic Commission for Europe and signed by both the
U.S. and Canada.
D. INNOVATIVE ENFORCEMENT
The Enforcement in the 1990's Project has identified a number of
approaches which "leverage" the deterrent or environmental impact
of individual enforcement actions which the programs and Regions
will employ in FY 1992 and FY 1993. During the remainder of FY
1992, OE will establish a series of "Innovative Enforcement
Networks", consisting of Headquarters, Regional, and State
personnel, that will disseminate information about these
approaches. Some of the major approaches that will be expanded
in FY 1993 include:
a. POLLUTION PREVENTION
In FY 1991, the Agency issued two policies relating to the
systematic use of pollution prevention in the enforcement
process: the Policy on the Use of Supplemental Environmental
Projects (SEPS) in Enforcement Settlements, and the Interim
Policy on the Inclusion of Pollution Prevention and Recycling
Provisions in Enforcement Settlements. During FY 1992, OE and
the participating compliance programs will complete the "two
percent" enforcement pilot project on negotiating pollution
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prevention conditions in Agency settlements. In addition, ORD is
developing an enforcement "mini-exchange" as part of the
Pollution Prevention Electronic Information System (PPEIS). The
mini-exchange will contain copies of all consent orders and
decrees containing pollution prevention settlement conditions,
along with an aggregate data base, and is a tool the Regions can
use to help develop or evaluate pollution prevention settlement
options. In order to develop the data base, Regions will complete
case-settlement data forms for all pollution prevention
settlements, which will then be entered into the mini-exchange by
ORD/OE.
Following the completion and evaluation of the "two percent
project," OE will, in FY 1993, revise and make final the interim
settlement policy. The Regions will be encouraged to continue to
expand the use of pollution prevention conditions in enforcement
settlements, and to provide, as resources may permit, technical
support to States so that they also may utilize pollution
prevention in their enforcement programs.
b. CONTRACTOR LISTING/SUSPENSION AND DEBARMENT
Contractor Listing authority prohibits Federal contracts, loans
or grants to facilities violating the Clean Air or Clean Water
Acts. The Federal Acquisition Regulation (FAR) includes
procedures for barring contractors from participating in Federal
procurement based on offenses such as fraud or lack of
performance integrity. Both are powerful deterrent tools to
reinforce environmental compliance.
In FY 1992, the contractor listing program will continue regional
review of ongoing violations for listing possibilities. In FY
1993, the Regions should continue to look for opportunities for
both discretionary and mandatory listing, especially for serious
violations of Administrative Orders and Consent Decrees. The
Regions should also make more use of suspension/debarment for
violators of all environmental statutes, repeat violators, and
multi-media violators.
c. Field Citations
During the last year, the UST program issued final guidance
for Federal field citations in enforcement, and the Stationary
Air program is currently developing a field citation program
after receiving this authority in the 1990 Clean Air Act
amendments. The experience using this tool under the Clean Air
Act will guide its use in other program areas.
E. TRAINING
The National Enforcement Training Institute (NETI) will be
operational in FY 1993. NETI will equip Federal, State, Tribal,
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8
and local enforcement personnel — inspectors, investigators,
technical experts, civil attorneys, and prosecutors — with the
tools necessary to implement the Agency's goal of a multi-media,
multi-disciplinary approach to enforcement. NETI will continue
course development and delivery, particularly of a basic
enforcement course covering all phases from planning for
inspections through negotiations and litigation.
The NETI will expand delivery of the Agency's basic inspector
training program to reach as many States and Tribes as possible,
develop and deliver new training for the civil and criminal
investigator programs, and assist in the development of
enforcement program-specific training. NETI also will use the
four Regional State Associations to expand delivery of
enforcement training, including BEN/ABEL and IDEA training.
F. ENVIRONMENTAL MEASURES/COMMUNICATIONS
While the Agency's traditional "quantitative" enforcement
measures (e.g., total number of inspections, administrative,
civil, and criminal referrals, aggregate penalty amount, etc.)
are one means of measuring the vitality of the enforcement
program, the Agency's recent emphasis on risk reduction and
the most environmentally significant cases highlights the
corresponding need for more "qualitative" measures of enforcement
success. The programs have already taken several steps in this
area, beginning with a reevaluation of their definitions of
"significant noncompliance" in order to ensure that they
emphasize environmentally significant priorities. Similarly,
with respect to Federal facilities cases, DOD and DOE have
expressed significant interest in working with the Agency on
measuring environmental results, and are willing to devote
resources to this task.
The Agency's Accountability Task Force and Environmental
Indicators Work Group are currently evaluating how the Agency
should transition towards improved environmental measures.
Beginning in FY 1992 and continuing in FY 1993, each compliance
program, in conjunction with OE and OPPE, will attempt to develop
indicators of the environmental impact of its enforcement
activities. Key characteristics of environmental indicators
include grounding in sound scientific knowledge, reliance on an
adequate data base, and the ability to identify and track
environmental progress. The programs also will attempt to
develop case-by-case indicators, e.g., the amount of pollution or
emissions reduced, eliminated or prevented by the enforcement
action, ecosystem restoration and enhancement, etc., as well as
analyzing the results of effectiveness studies of enforcement
initiatives. EPA also will encourage and test the use of
environmental results measures with some States as it implements
its system for reporting and recording the results of individual
actions.
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A related aspect of measuring environmental success is to
effectively communicate the results of enforcement activity to
the public. Following the development of environmental measures
and indicators, both the annual OE Accomplishments Report and
Regional accomplishment reports will, to the maximum extent
practicable, describe the environmental "impact" of enforcement
actions. OE also will seek to include more comprehensive
information on State enforcement accomplishments in its annual
report. This may signal a need for additional information from
the States and a process and schedule for making the information
available to EPA.
III. CRIMINAL ENFORCEMENT PROGRAM
Criminal prosecution is the Agency's most powerful enforcement
sanction and creates the strongest deterrence. The continued
expansion of the criminal enforcement program also serves as the
most dramatic and public affirmation of the Agency's continuing
resolve to "be tough" with violators. In FY 1993, the criminal
enforcement program will continue to support the Headquarters
and Regional enforcement priorities by becoming fully integrated
with the compliance programs.
In addition to supporting the program-specific enforcement
priorities, The Office of Criminal Enforcement, which
participates in the EMC, also will support multi-media
enforcement initiatives and clusters endorsed by that group.
A key mechanism to implement this goal is the continued
involvement of the Special Agents and criminal enforcement
attorneys in the Regional Case Screening process to exchange
information regarding program priorities and suspected violators.
In FY 1993, the Office of Criminal Enforcement (OCE) will work
closely with the media programs to implement the new Guidelines
of the U.S. Sentencing Commission for Organizational Defendants
(primarily corporations) convicted of environmental crimes.
Implementing these Guidelines will call for extensive Regional
program technical input and coordination to develop recommended
conditions of corporate probation including restitution,
remediation, and compliance-related relief. As part of the
implementation of the Guidelines, OCE and the programs will
consider whether to develop a non-targeted STARS measure for FY
1993 to recognize the technical support the programs provide. The
goal is smooth coordination within the limited timeframes, so
that EPA can provide support to sentencing judges and probation
officers.
With the passage of the Pollution Prosecution Act of 1990. EPA's
criminal enforcement program will grow dramatically in the
numbers of Special Agents and support personnel (e.g., the Act
requires the Agency to have not less than 110 criminal
investigators on board during FY 1993). In addition to recruiting
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10
experienced law enforcement professionals, the program also will
recruit from experienced EPA civil inspectors and other program
personnel those individuals who meet the qualifications for
selection as EPA criminal investigators. OCE also plans to
recruit, hire, and retain qualified applicants including
minorities and women. The careful selection, training, and
orientation of all new Special Agents and support personnel will
be an annual priority for the program.
Through a network of Regional Criminal Enforcement Counsels
(RCECs) under the Offices of Regional Counsel, the Special Agents
in the field have direct access to EPA legal support. The Regions
will be delegated more responsibility, while the case-specific
role of Headquarters attorneys will be limited to cases which
are precedential, international, or nationally significant.
Because of the multi-media, complex, and high-stakes (and thus
sensitive and visible) nature of criminal enforcement, it will
remain a national program.
The Office of Criminal Enforcement at Headquarters will also
support the field by providing top-level management of the
Special Agents, improving the criminal enforceability of
legislation and regulations, maintaining liaison with
international, interagency, and intra-agency (EPA Headquarters)
offices with an interest in criminal enforcement, and assuring
that training is provided for field personnel. Like the Regional
contingents of criminal enforcement personnel who operate as
part of the Regional case screening process, the Headquarters
unit will share the goal of assuring the fullest possible
participation by all EPA personnel who would improve the
application of criminal enforcement in support of Agency
enforcement priorities.
The Agency will continue its efforts to enhance the criminal
enforcement capabilities of States, local governments, and Indian
tribes. In FY 1992, the Agency will complete a Criminal
Enforcement Addendum to the Policy Framework for EPA/State
Enforcement Agreements. This Addendum will encourage more
regular and comprehensive communication and coordination among
Federal, State and local criminal law enforcement officials.
In FY 1993, EPA's special agents will expand their participation
in Federal/State Law Enforcement Coordinating Committees to
coordinate case-related activity and the four Regional State
Associations to enhance institutional relationships. Each SAIC,
in conjunction with the DRA, also will work with each of their
States to designate a State criminal enforcement contact to serve
as a focal point for exchanging information regarding the status
of criminal investigations and cases, cross referral of cases,
technical support and training, and coordination of State/Federal
civil and criminal proceedings.
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11
Finally, OE will work through the four Regional State Association
law enforcement networks in FY 1992 to seek more complete and
accurate reporting of non-Federal environmental crimes data, so
that this information will be fully available for FY 1993.
The criminal enforcement program and NEIC will also continue to
provide training in criminal enforcement techniques to State,
local and tribal personnel through the association networks,
FLETC, and NETI, including the tribal investigator training pilot
developed by OE-FLETC and OFA.
IV. FEDERAL FACILITIES ENFORCEMENT
The Office of Federal Facilities Enforcement (OFFE) is a multi-
media enforcement office devoted to environmental cleanup and
compliance at Federal facilities. In FY 1993, OFFE, working with
the media program offices, Regions, States, and other Federal
agencies, will work to significantly reduce the environmental and
public health risks and create adequate incentives to ensure that
Federal facilities become models of compliance. OFFE will work
with the Regions to formulate effective enforcement strategies
and with appropriate Headquarters offices in coordinating multi-
media and media-specific case development, in developing multi-
media budgeting incentives, in defining pollution prevention
opportunities, assessing technology development options, and in
establishing personnel monitoring programs.
In FY 1993, OFFE will continue to implement these major program
areas:
1. ENVIRONMENTAL RESTORATION
Environmental restoration under CERCLA and RCRA will continue to
be a primary program emphasis. All 116 Federal facilities on the
final National Priorities List in FY 1992 will be subject to
an enforceable Interagency Agreement (IAG), the fundamental
enforcement vehicle for Federal facilities under the Superfund
program. Regions should continue to provide aggressive oversight
through the IAG to ensure that Federal response efforts are
thorough and on schedule. As sites proceed to the remedial
action phase, Regions must also work with Federal Agencies to
utilize expedited response actions (ERA's) in order to streamline
the process.
Regions must also pay close attention to the statutory
requirement for initiation of the remedial action within 15
months of completion of the Record of Decision (ROD). OFFE will
be considering development of accountability measures to ensure
this requirement is met.
To promote leveraging of Agency resources, Regions should seek
enforceable cleanup agreements, such as CERCLA section 106 orders
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12
and RCRA section 3008(h) orders, wherever responsible Federal
agencies can be identified. These tools will be used at non-NPL
Federal facilities and third party sites involving Federal
facilities (e.g., DOD surplus materials sites) when warranted.
By applying the lessons learned from the Superfund program, the
Federal facilities program will seek to leverage limited
resources. Several important working groups have also been
established to identify the barriers to increased program
performance. These groups include the EPA Leadership Council and
the Federal Facilities Interagency Experts Group. These bodies
will continue to meet throughout FY 1993 to develop effective
solutions to complex program issues.
Cleanup at DOD bases on the base closure list will also be a high
priority. EPA supports reutilization of the bases in
coordination with fulfilling statutory responsibilities under
CERCLA. OFFE will continue to work with the regions on
procedures to streamline the cleanup process and implementing
policy on EPA's involvement in transfer decisions.
Finally, in conjunction with ORD, ORP, other Federal agencies,
and States, OFFE is pursuing the development and testing of
innovative technologies at Federal facilities. While there are
numerous benefits associated with innovative technology
development, the most important include reduced costs, expedited
cleanups, and more effective environmental solutions.
2. ENVIRONMENTAL COMPLIANCE
A major goal of the program is to ensure that Federal facilities
compliance rates are at least equal to that of the private
sector. In FY 1992, OFFE, in cooperation with the regions,
developed the Federal Facilities Tracking System (FFTS), a
computerized data base which links enforcement data from each
of the eight primary media data bases. FFTS, operating in
conjunction with the IDEA capability, TRI, and regional targeting
programs, tracks compliance at Federal facilities and enables
Regions to target high priority facilities.
Federal facilities will also be targeted through various
strategic planning processes. For example, if there is a high
concentration of Federal facilities within an area identified as
a Geographic Initiative, the development of a special Federal
facilities component will be encouraged.
Joint EPA and state multi-media inspections at targeted
facilities will constitute the second phase of the enforcement
strategy in FY 1993. Interdisciplinary regional and, as
appropriate, State teams should then develop timely enforcement
responses at non-compliant facilities. Settlements will, to the
maximum extent practicable, incorporate pollution prevention
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13
principles and consider efficiencies that can be created through
Agency or Department-wide solutions. Proper communication and
tracking of enforcement actions are critical for leveraging
limited resources. Regions and States are expected to take all
necessary steps to ensure accurate data on compliance and the
status of enforcement actions in the media data bases.
To foster compliance prior to formal enforcement, inspectors will
be encouraged to provide information on pollution prevention
principles and OFFE will continue to promote environmental
auditing and pollution prevention through annual multi-media
conferences for Federal facilities in each of the ten Regions,
consistent with the separation of the enforcement and technical
information functions for inspectors.
Regional Federal Facilities Coordinators (FFC's) will continue to
play an integral role in all phases of the Federal facilities
multi-media enforcement program, e.g., through including
extensive outreach efforts, conducting multi-media Federal
facilities conferences and roundtables, and supporting targeting,
inspections, and enforcement responses at Federal facilities.
OFFE also will continue to work with FFC's, OMB and other Federal
agencies to improve the A-106 budget planning reviews.
V. FEDERAL ACTIVITIES PROGRAM
The Office of Federal Activities (OFA) is responsible for
coordinating with Federal agencies on major projects and
ensuring that those agencies conduct their activities in as
environmentally sound manner as possible, ensuring EPA compliance
with the National Environmental Policy Act (NEPA), cross-cutting
statutes (e.g., the Endangered Species Act), environmental review
requirements which are functionally equivalent to NEPA,
coordinating EPA programs as they relate to Indian tribes and
developing environmental control capacity on Indian lands through
implementation of the Indian multi-media grants program. It will
emphasize these programs in FY 1993:
1. ENVIRONMENTAL REVIEW PROGRAM (ERP)
The focus of this program is on prevention of environmental
problems and ecological damage from proposed major Federal
projects and activities. Priority activities which will be
maintained in FY 1993 include: 1) reviewing all draft
environmental impact statements (EISs); 2) targeting final
EISs and follow-up activities to ensure that resources are
concentrated on those projects with significant environmental
problems; and 3) targeting EPA high priority areas that are
affected by Federal agency activities.
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In FY 1993, OFA will conduct initiatives consistent with the
Strategic Plan. First, OFA will continue to target pollution
prevention in those Federal agency activities that will result in
significant environmental impacts, emphasizing two primary
criteria: 1) sensitive environmental areas for special
consideration and 2) high priority problem areas where the
Agency's direct regulatory authority is weak and Federal agencies
are significant players. On the basis of the second criterion,
the FY 1993 ERP program will target raining activities and non-
point source pollution on Federal lands. Second, OFA will work
with the Council on Environmental Quality (CEQ) to emphasize
implementation of NEPA's pollution prevention goals. Third, OFA
will work to ensure that environmentally significant issues are
dealt with as a first priority and ensure early communication of
Agency concerns to Federal agencies.
2. NEPA COMPLIANCE
The focus of this program is on ensuring EPA compliance with
the goals and/or requirements of NEPA and related laws and
regulations. Major FY 1993 activities include: providing
technical assistance to State environmental agencies carrying
out reviews for State Revolving Funds; assisting other EPA
program offices with site-specific evaluations; acting as a
cooperating agency with lead Federal agencies proposing projects
that impact EPA's regulatory responsibility areas; increasing
efforts to assure that EPA complies with NEPA on its new source
NPDES permits, research and development and facilities
activities; improving communication with other Federal agencies
responsible for implementing environmental laws and orders with
which EPA must comply and assisting EPA programs in
that compliance; and evaluating the effectiveness of NEPA
compliance efforts on selected projects (this comprehensive list
is not meant to reflect any priority order).
OFA will continue to focus on ensuring that EPA avoids
unanticipated environmental impacts from its decisions promoting
information exchange with the public about the impacts of
proposed EPA actions and assisting in the development of Agency-
wide and program-specific ecological risk assessment procedures.
Further, under the NEPA compliance program, OFA works with the
EPA Office of International Activities to assist the Treasury
Department in nurturing the environmental review capabilities of
developing countries and multilateral lending agencies.
In the international environmental assessment area, OFA will
continue to build upon the EA opportunities in the Eastern
European Block, developing countries, and particularly with
Mexico, following its successful development of the NAFTA
Environmental Trade document.
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3. INDIAN PROGRAM
The Indian Program will build upon the successes of the multi-
media grant program to ensure environmental protection on Indian
lands through capacity development efforts with selected tribes.
The FY 1992 objective is to continue to develop the Program with
an emphasis on tribal capacity building to identify and respond
to current and potential environmental problems and to enforce
tribal ordinances as well as Federal statues upon their
delegation to the tribes.
Some of the significant FY 1993 activities under this program
include: increasing direct programmatic activity on
reservations; providing direct technical assistance to tribal
governments; assisting tribes with the development of tribal
environmental management plans; strengthening outreach and
liaison activities with tribal governments; strengthening
external liaison with Indian tribal organizations and other
Federal agencies; and conducting an inventory of environmental
conditions and needs on Indian lands (this comprehensive list is
not meant to reflect any priority order).
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Appendix: Strategic Targeted Activities for Results
Systems (STARS) FY 1993 Measures
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OFFICE OF WATER
FY 1993
Program Area; Office Of Ground Water and Drinking Water
GOAL: PUBLIC WATER SYSTEM SUPERVISION PROGRAM (PWSS): PROTECT THE QUALITY OF DRINKING WATER
OBJECTIVE: Protect public health through ensuring compliance
with drinking water standards.
MEASURE: (a) Negotiate, with each State, annual targets for the
number of Significant NonCompliers (SNCs) and the
number of exceptions that will be appropriately
addressed through State or Regional actions, or
returned to compliance by June 1, 1993, and reported to
OGWDW by June 22, 1993 for each of the two categories
listed below. The target numbers will be based on the
number of SNCs occurring as of the compliance period
ending March 31, 1992, and the number of exceptions
existing as of June 1, 1992 (both will be contained on
the July 1992 SNC/Exception Report):
1) micro/turbidity SNCs and exceptions; and
2) chem/rad SNCs and exceptions
(Note: data are lagged one quarter.)
MEASURE: (b) Report, using the SNC/Exception Report format,
those systems identified as SNC/Exceptions that:
returned to compliance; had an appropriate enforcement
action taken against them; or remained unaddressed.
Report separately for each of the following groups:
1) micro/turbidity SNCs and exceptions
2) chem/rad SNCs and exceptions
MEASURE; Report by State those which have adopted new
regulations, States which have received EPA approval of
a primacy revision application, and States which have
received approvals for an extension.
STARS CODE: DW/E-1
TARGETED: Q 3
REPORTED ONLY:
SUNSET:
STARS CODE: DW/E-2
TARGETED:
REPORTED ONLY: Q
SUNSET:
2,3,4
STARS CODE: DW/E-3
TARGETED:
REPORTED ONLY: Q
SUNSET:
2,3,4
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OFFICE OF WATER
FY 1993
Public Water System Supervision Program
PW/E-1 Each Region shall negotiate with each State, annual targets for the number of
SNCs and the number of exceptions that will be appropriately addressed or
returned to compliance by June 1, 1993. These annual targets shall include both
State and Regional commitments for the number os SNCs and execptions that will
be appropriately addressed or returned to compliance. States and Regions shall
set two targets, one for the microbiological/turbidity SNCs and exceptions, and
one for the chemical and radiological SNCs & exceptions. The baseline for the
targets shall be the number of systems contained on the July 1992 SNC/Exception
Report which will be provided by OGWDW to the Regions in mid to late July 1992.
This report will include the systems identified as SNCs for the first time as of
the compliance period ending March 31, 1992, those previously identified for
which "timely and appropriate11 has not expired and the systems identified by the
Regions as exceptions as of June 1, 1991. Targets shall be set based on the
number of those SNCs and exceptions that will be appropriately addressed or
returned to compliance by June l, 1993. Regions are to negotiate each State's
target based upon the State's current compliance statistics and capabilities for
violation reduction. HQ will allow Regions/States to substitute higher priority
systems for those on the "fixed base list" on a case by case basis. An SNC is a
public water system which meets any of the criteria listed on the following
chart:
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Significant Noncompliance - (SNC) Definitions
Total Coliform Rule (TCR) MCL
MONTHLY MONITORING: * 4 acute/monthly
MCL violations in any ^2 consecutive months.
QUARTERLY MONITORING: 2 3 acute/monthly MCL
violations in any 4 consecutive quarters.
ANNUAL MONITORING: * 2 acute/monthly MCL
violations in any 2 consecutive periods.
Total Coliform Rule fTCRl M/R
MONTHLY MONITORING: In any ^2 consecutive
months, meeting one of the following criteria:
* 4 major repeat M/R violations
2 4 combined major repeat M/R and MCL violations
* 6 combined major repeat M/R, major routine M/R,
and/or MCL violations
2 10 combined major/minor routine/repeat M/R and/or
MCL violations
QUARTERLY MONITORING: In any 4 consecutive
quarters, meeting one the following criteria:
« 3 major repeat M/R violations
* 3 major repeat M/R. major routine M/R and/or MCL violations
ANNUAL MONITORING: In any 2 consecutive one-year periods.
meeting one of the following criteria:
2 2 major repeat M/R violations
2 2 combined major repeat M/R, major routine M/R, and/or
MCL violations
Turbidity MCL
MONTHLY MONITORING: * 4 MCL violations in any 12
consecutive months.
QUARTERLY MONITORING: 2 2 MCL violations in any 4
consecutive quarters.
Turbidity M/R and Combined M/R and MCL
Monthly MONITORING: In any 12 consecutive months, having
either of the following:
* 6 major M/R and/or MCL violations
i 10 major/minor M/R and/or MCL violations
QUARTERLY MONITORING: * 3 major M/R and/or MCL
violations in any 4 consecutive quarters.
ANNUAL MONITORING: * 2 major M/R and/or MCL
violations in any 2 consecutive one-year periods.
Chemical/Radiological MCL (excluding Nitrate)
Exceeds the short term acceptable risk to health level.
Nitrate MCL
>lOmg/l.
Chemical/RadioloQicai M/R
Fails to monitor for. or report the results of any regulated
contaminant for * 2 consecutive compliance periods.
Public Notification
Failure to provide public notification of the violation which
caused the system to become a SNC.
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Significant Noncompliance • (SNC) Definitions
Surface Water Treatment Rule fSWTRl
UNFIL1ERED SYSTEMS:
A system informed of the requirement to filter before January
1982 that does not Install filtration by June 29,1993,
-OR-
A system informed of the requirement to filter after December
1991 that does not instatt filtration within 18 months of being
informed that filtration is required.
-OR-
A system that has 3 or more major M/R violations in any 12
consecutive months.
FILTERED SYSTEMS:
A system that has 4 or more treatment technique violations in
any 12 consecutive months,
-OR-
A system that has a combination of 6 violations including
treatment technique violations and major M/R violations in any
12 consecutive months.
FOOTNOTES
(1) A "major" M/R violation (except for SWTR) occurs when no
samples are taken or no results are reported during a compliance
period. For SWTR, a major M/R violation occurs when at least 90%
of the required samples are not taken or results reported during a
reporting period.
(2) A "minor* M/R violation (except for SWTR) occurs when an
insufficient number of samples are taken or incomplete results are
reported during a compliance period. For SWTR, a minor violation
occurs when less than 100% but more than 90% of the required
samples are not taken or results reported during a reporting period.
(3) SNC definition is modified to cover new regulations as they are
promulgated. At this writing, the SNC definition for the Lead and
Copper regulation has been proposed and discussed with the
regions. The definition will be finalized shortly and issued in a
memorandum.
(4) For details on the SNC definition, please see the following
memorandum:
(a) "Revised Definition of Significant Noncomplier (SNC) and the
Model for Escalating Responses to Violations in the PWSS
Program." May 22.1990. {Water Supply Guidance #70]
(b) "Final SNC Definition for the TCR and proposed SNC
Definition for the SWTR' December 19,1990. [Water Supply
Guidance #80]
(c) "Final SNC Definition for the SWTR." February 28,1991.
[Water Supply Guidance #82]
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OFFICE OF WATER
FY 1993
Public Water System Supervision Proqram
DW/E~2 This measure will report those systems, which met any of the SNC/exception
criteria, which returned to compliance, had an appropriate enforcement action
taken against them, or remain unaddressed. In addition to reporting system by
system follow-up information, Regions are to report summary numbers, one for
each of the following categories: 1) micro/turbidity SNCs; 2)
chemical/radiological SNCs; 3) micro/turbidity exceptions; and 4)
chemical/radiological exceptions.
"Returned to Compliance" for SNC/exceptions of a microbiological MCL and/or M/R
requirement, a. turbidity MCL and/or M/R requirement, a turbidity MCL and/or M/R
requirement, or a TTHM M/R requirement, is having no months of violations
(either MCL or M/R), of the same contaminant which caused the system to become a
SNC, during the six month period after the system was identified as a SNC.
"Returned to Compliance" for SNC/exceptions of a chemical or radiological
analytical level is conducting analyses that demonstrate that the system no
longer exceeds the MCL.
"Returned to Compliance" for SNC/exceptions of a chemical (other than TTHM) or
radiological monitoring requirement is conducting the required monitoring and
determining that the system does not exceed the MCL.
An "appropriate enforcement action" for SNC/exceptions is any of the following:
(a) the issuance of a bilateral, written compliance agreement signed by both
parties, which includes a compliance schedule (only appropriate for use by
States).
(b) the issuance of a State or final Federal Administrative Order, or
Compliance Order.
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OFFICE OF WATER
FY 1993
Public Water System Supervision Program
DW-E-2
cont.
(c) the referral of a civil judicial case to the State Attorney General, or
DOJ.
(d) the filing of a criminal case in an appropriate State or U.S. District
court.
Timeliness for SNCs is eight months after the system became an SNC. (Two months
for the State to determine, and become aware of, the system's SNC status and six
months in which to complete the follow-up/enforcement action).
An "exception" is a system which was: a) a SNC which has not returned to
compliance or was not addressed timely and/or appropriately, b) a SNC previously
addressed appropriately which fails by more than 60 days to meet a milestone of
a compliance schedule, or c) a SNC system appropriately addressed by referring a
civil or criminal case to the State AG but which has not been filed within 120
days of the referral.
DW/E-3 Regions will report those States which have adopted newly promulgated drinking
water regulations and the date these rules were adopted. Regions will also
report those States which have received EPA approval of their primacy program
revision application and the States which have received approval of any
extension.
Note: OGWDW will provide the form for this report.
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Program Area;
OFFICE OF WATER
FY 1993
Underground Injection Control
GOAL: PROTECT UNDERGROUND SOURCES OF DRINKING WATER FROM ENDANGERMENT BY SUBSURFACE EMPLACEMENT OF
FLUIDS THROUGH WELLS.
OBJECTIVE: Ensure that wells are operating safely and take
appropriate enforcement action where necessary.
MEASURE: Report, by Region and State, progress against quarterly
targets for the number of wells that have mechanical
integrity tests (MITs) performed by operators and
verified by EPA, States and Indian Tribes with primacy.
STARS CODE: DW-1
TARGETED: Q 2,3,4
REPORTED ONLY:
SUNSET:
MEASURE: Identify, by Region, for EPA, States and Indian Tribes
with primacy, the number of wells in significant
noncompliance and the number of wells that appear on
the Exceptions List from the date the violation becomes
an exception through the date the violation is
resolved, noting the date the final enforcement action
was taken, if any.
STARS CODE: DW/E-4
TARGETED:
REPORTED ONLY: Q 2,3,4
SUNSET:
MEASURE; Report, by Region, for EPA, States and Indian Tribes
with primacy the number of Class IV and endangering
Class V injection well closures (by well type) achieved
under UIC authority or in conjunction with other
regulatory programs such as RCRA, UST, CERCLA, for
example, or under well head protection efforts.
STARS CODE: DW/E-5
TARGETED:
REPORTED ONLY: Q 2,3,4
SUNSET:
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OFFICE OF WATER
FY 1993
Underground Injection Control Definitions
DW-1 A complete MIT is composed of a test for significant leaks in the casing, tubing or packer
and a test for significant fluid migration into a USDW through vertical channels adjacent
to the well bore. A MIT consists of a field test on a well or an evaluation of a well's
monitoring records (i.e., annulus pressure, etc.) or cement records.
DW/E-4 This measure tracks those wells in significant noncompliance, where timely and appropriate
enforcement actions have not been taken. The term "significant noncompliance" means: (a)
any violation by the owner/operator of a Class I or a Class IV well, (b) the following
violations by the owner/operator of a Class II, III or V well: (1) any unauthorized
emplacement of fluids (where formal authorization is required); (2) well operation without
mechanical integrity which causes the movement of fluid outside the authorized zone of
injection if such movement may have the potential for endangering a USDW; (3) well
operation at an injection pressure that exceeds the permitted or authorized injection
pressure and causes the movement of fluid outside the authorized zone of injection if such
movement may have the potential for endangering a USDW; (4) failure to perform an MIT when
requested; (5) the plugging and abandonment of an injection well in an unauthorized
manner; (6) any violation of a formal enforcement action, including an administrative or
judicial order, consent agreement, judgement of equivalent State or Indian Tribe action;
(7) the knowing submission or use of false information in a permit application, periodic
report or special request for information about a well. NOTE: in the absence of
information to the contrary, MIT failures and pressure exceedances are presumed to be
SNCs.
The State or Region should take one of the following actions within 90 days after the SNC
is identified: (1) verify that the owner/operator has returned to compliance; (2) place
the owner/operator on an enforceable compliance schedule and track to ensure future
compliance; or (3) initiate a formal enforcement action against the owner/operator, A
formal enforcement action is any of the following: (a) the issuance of a proposed
Administrative Order by EPA; (b) the referral of a civil judicial case to the State
Attorney General or to DOJ by EPA; (c) the filing of a criminal case in an appropriate
State or U.S. District Court; or (d) the issuance of an equivalent State enforcement
action which meets the criteria for a formal action, e.g. pipeline severance.
The performance expectation is that all facilities on the Exceptions List should be
removed as quickly as possible. Only in unique situations should any facility appearing
on the Exceptions List in the first quarter remain on the list through the entire fiscal
year, and in such cases Regions and States should provide adequate documentation in each
case file regarding reasons for lack of resolution.
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OFFICE OF WATER
FY 1993
Underground Injection Control Definitions
DW/E-5 (See: UIC Program Guidances #62 on ranking endangering Class V wells and #66 on Class IV
and the TC Rule.)
Class IV includes any unauthorized hazardous waste (defined under RCRA) injection practice
that typically discharges directly into or above a USDW or violates CFR 144.13.
Endangering Class V well types ranked by priority for permit and enforcement actions
include industrial drainage, industrial waste disposal, motor vehicle facility waste
disposal and any other Class V well(s) that the Region has identified as special problems.
Well closure describes a process to permanently discontinue injection of an unauthorized
and endangering fluid contaminant which is in violation of RCRA or SDWA or applicable
regulations. At this time, closure must include immediate cessation of injection of
unauthorized waste stream to satisfy SDWA requirements. To satisfy both SDWA and RCRA,
well closure may require additional actions:
— Remove injection fluids deposited in well, sludge and any visibly contaminated soil.
— Segregate hazardous waste streams from sanitary waste streams (septic system) and
redirect HW to holding tank.
— Restrict injection to authorized waste stream.
— Seal floor drain.
— Obtain authorized sewer hook-up.
— Remove well, injectate and contaminated soil; dispose in authorized facility.
— Imminent threat to USDW may require monitoring and ground-water remediation.
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GOAL:
OFFICE OF WATER
FY 1993
Program Area: COMPREHENSIVE STATE GROUND-WATER PROTECTION PROGRAMS
PROMOTE COMPREHENSIVE STATE GROUND-WATER PROGRAMS
OBJECTIVE: Strengthen States' capability to develop/implement
programs which focus on the comprehensive protection of ground water
resources.
MEASURE:
Report, by State, progress made toward developing and
implementing activities that address identified gaps
in the elements established in the Comprehensive
Ground Water Protection Guidance. This report must
also include the designation of a coordination point
for overall activities related to the development and
implementation of a Comprehensive State Ground Water
Protection Program (CSGWPP).
STARS CODE: GW-1
TARGETED:
REPORTED: Q 4
SUNSET:
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OFFICE OF WATER
FY 1993
Program Area; COMPREHENSIVE STATE GROUND WATER PROTECTION PROGRAMS
GW-l Each State will be moving forward during FY 93 to fill the gaps identified between
its ground water program profiles and the Comprehensive Ground Water Protection
Guidance, which will be developed in FY 92 based upon the EPA/State Roundtables.
This measure tracks progress on a State by State, element by element level to
determine progress toward a complete and comprehensive ground water protection
program. While not every State may complete all activities fully in FY 93, our
expectation is that considerable progress should be achieved with all States fully
implementing a comprehensive program by November 2, 1996. For the key element
required for FY 93, we expect the following information:
Coordination Point; Each State needs to identify a coordination point, which
may be an agency, an advisory or coordinating committee, with responsibility
for oversight, coordination and implementation of CSGWPP. The selected
approach need not necessarily be the formal designation of the respective
governors, however, it should reflect the agreement of the principal entities
involvedl A committee of agencies in lieu of a single agency, is acceptable
only when there are clear cut lines of responsibility for coordinating and
implementing efforts aimed at establishing a CSGWPP, both within the State
and with EPA.
Performance Expectation; Given that the designation of a coordination point
is one of the earliest milestones in achieving a CSGWPP, at least 25% of the
state's 106 grant should be invested in formally establishing and maintaining
such a mechanism. For States where such mechanisms are already in place,
these funds may be utilized for other high priority CSGWPP activities.
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OFFICE OF WATER
FY 1993
Program Area: Wellhead Protection
GOAL: PROTECT DRINKING WATER SUPPLIES USING GROUND WATER FROM CONTAMINANTS WHICH MAY HARM
THE HEALTH OF PERSONS.
OBJECTIVE: Develop and implement a Wellhead Protection Program in
all States and Territories.
MEASURE; Track against targets, by Region, the number of States STARS CODE: WH-1
and Territories that have an approved Wellhead Protection TARGETED: Q 2,3,4
Program. REPORTED:
SUNSET:
Report annually for States with (1) approved and (2)
unapproved WHPPs respectively, the number of PWSs and the
population served by these systems that have been
protected by (1) an approved local WHPP or (2) local
initiatives that afford equivalent resource protection
approaches.
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OFFICE OF WATER
FY 1993
Program Area; Wellhead Protection Definitions
This measure tracks the number of State Wellhead Protection Programs that have been
approved during the 1993 fiscal year against Regional commitments for such
submissions. The 1986 amendments to the Safe Drinking Water Act requires that all
States have an approved WHP Program (WHPP) . An approved program is one that is
adequate in the six elements stated in the statute and includes a public
involvement process.
This measure further requires an annual report on the number of PWSs, relying on
ground water sources, that have implemented a formal local wellhead protection
program. A formal local WHPP is only possible in a State with an approved program.
However, even in States not yet approved, local initiatives are underway that
essentially replicate the protective nature of a formal program in all but name.
Since these initiatives meet the objectives of the WHPP, it is worthwhile to track
their progress in extending resource protection despite the absence of an approved
State program. These data are viewed as key Agency environmental indicators. To
maximize the utility of these data and interface with FRDS, this information will
be reported for (1) approved States and (2) local initiatives in categories by size
of system using the PWSS program's population categorization scheme, as follows:
Large, Very Large Systems > 10,000
Medium " 3,300 - 10,000
Small » 500 - 3,300
Very Small M 25 - 500
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OFFICE OF WATER
FY 1993
Program Area; PUBLIC WATER SYSTEM SUPERVISION PROGRAM ^_
National Program Environmental Indicator
GOAL: REDUCE POPULATION EXPOSED TO CONTAMINANTS IN DRINKING WATER.
ENVIRONMENTAL INDICATOR: Identify number and percent of population exposed to contaminants
in drinking water from community and nontransient public water systems during the fiscal
year.
DEFINITION: Report by State the number of and population served by community water systems
and nontransient noncommunity water systems where SNCs are due to violations of MCLs or
treatment technique requirements.
DATA SOURCE: The information for this indicator will be taken directly from the Federal
Reporting Data System (FRDS) . Since the FRDS data base is lagged one quarter, data for the
end of the fiscal year will be reported in the first quarter of the following fiscal year.
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Program Area;
OFFICE OF WATER
FY 1993
Wastewater Enforcement and Compliance
GOAL: Reduce and eliminate pollution to the Nation's waters from point sources through aggressive
implementation and enforcement of Federal and State standards under the Clean Water Act.
OBJECTIVE:
Assess toxicity control needs and reissue major
permits in a timely manner.
MEASURE; Track, against targets, the number of permits
reissued to major facilities during FY93 which have
had water quality based toxic limits included or
found to not need toxic limits through a water
quality based evaluation for toxics.
STARS CODE: WQ-13
TARGETED: Q 2,3,4
REPORTED ONLY:
SUNSET: FY 96
OBJECTIVE:
Effectively implement approved local pretreatment
programs.
MEASURE: Track, by Region, against quarterly targets, for
approved local pretreatment programs: 1) the number
audited by EPA and the number audited by approved
pretreatment States; and 2) the number inspected by
EPA and the number inspected by approved
pretreatment States.
STARS CODE: WQ-14
TARGETED: Q 2,3,4
REPORTED ONLY:
SUNSET: FY 96
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Proaram Area:
OFFICE OF WATER
FY 1993
Wastewater Enforcement and Compliance
GOAL: Reduce and eliminate pollution to the Nation's waters from point sources through aggressive
implementation and enforcement of Federal and State standards under the Clean Water Act.
OBJECTIVE:
MEASURE;
Reissuance of priority municipal permits which
contain applicable sludge conditions.
Track, against targets, the number of permits issued
to priority sludge facilities containing sludge
conditions necessary to meet the requirements of CWA
Section 405. (Track and report against specific
identified universe)
STARS CODE: WQ-15
TARGETED: Q 2,3,4
REPORTED ONLY:
SUNSET: FY 96
OBJECTIVE:
MEASURE:
Encourage general permit activity.
Track, by Regions and State, the number of regulated
industrial storm water categories for which a
general permit is issued, and the number of NOIs
submitted under those general permits.
STARS CODE: WQ-16
TARGETED:
REPORTED ONLY: Q
SUNSET: FY 96
2,3,4
OBJECTIVE:
MEASURE;
Issue NPDES permits to Combined Sewer Systems with
Combined Sewer Overflow (CSO) discharges.
Track, by Region and State, the number of Combined
Sewer Systems which have been placed on a compliance
schedule (through either a permit or an enforcement
action) to address CSO discharges and put CSO
controls in place.
STARS CODE: WQ-17
TARGETED:
REPORTED ONLY: Q
SUNSET: FY 96
2,3,4
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Program Area;
OFFICE OF WATER
FY 1993
Wastewater Enforcement and Compliance
GOAL: Reduce and eliminate pollution to the Nation's waters from point sources through aggressive
implementation and enforcement of Federal and State standards under the Clean Water Act.
OBJECTIVE:
MEASURE:
MEASURE:
MEASURE:
MEASURE:
Maintain baseline program that ensures integrity of
Federal investment in municipal pollution control
and Federal grant program is phased out in an
expeditious and orderly manner.
Track, by Region, progress against quarterly targets
for net outlays for State Revolving Fund (SRF) and
construction grants.
Track, by Region, progress against quarterly targets
for the number of Step 3, Step 2+3, Marine CSO and
PL 84-660 projects administratively completed.
Track, by Region, progress against quarterly targets
for the number of Step 3, Step 2+3, Marine CSO and
PL 84-660 project closeouts.
Track, by Region, progress against quarterly targets
for the number of Step 3, step 2+3, Marine CSO and
PL 84-660 projects beginning to achieve
environmental results. (include BOD load
reductions, where appropriate).
STARS CODE: WQ-18
TARGETED: Q 2,3,4
REPORTED ONLY:
SUNSET: FY 96
STARS CODE: WQ-19
TARGETED: Q 2,3,4
REPORTED ONLY:
SUNSET: FY 96
STARS CODE: WQ-20
TARGETED: Q 2,3,4
REPORTED ONLY:
SUNSET: FY 96
STARS CODE: WQ-21
TARGETED Q 2,3,4
REPORTED ONLY:
SUNSET: FY 96
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Program Area:
OFFICE OF WATER
FY 1993
Wastewater Enforcement and Compliance
GOAL: Reduce and eliminate pollution to the Nation's waters from point sources through aggressive
implementation and enforcement of Federal and State standards under the Clean Water Act.
OBJECTIVE:
MEASURE:
MEASURE:
Achieve and maintain high levels of compliance with
the NPDES program.
Report, by Region and State, the number of major
NPDES facilities, as well as the number of POTWs
with approved pretreatment programs. Of these,
track by Region and State the number and percent in
significant noncompliance for each universe.
Report, by Region and State, the number of major
NPDES facilities, as well as the number of POTWs
with approved pretreatment programs in significant
noncompliance on two or more consecutive quarters
without returning to compliance (Active Exceptions
List) — list both new facilities (those in SNC for
two or more quarters) and unresolved facilities
(those facilities whcih are in SNC for three or more
quarters).
STARS CODE: WQ/E-5
TARGETED: N
REPORTED ONLY: Q 2,3,4
SUNSET: FY 96
STARS CODE: WQ/E-6
TARGETED: N
REPORTED ONLY: Q 2,3,4
SUNSET: FY 96
'MEASURE: Report, by Region and State, the number of major
NPDES facilities, as well as the number of POTWs
with approved pretreatment programs that are on the
previous exceptions list which have returned to
compliance, the number addressed by a formal
enforcement action (Resolved Exceptions List).
Identify reported Exceptions List facilities by name
and NPDES number and number of quarters in
significant noncompliance.
STARS CODE: WQ/E-7
TARGETED: N
REPORTED ONLY: Q 2,3,4
SUNSET: FY 96
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Program Area;
OFFICE OF WATER
FY 1993
Wastewater Enforcement and Gomellance
GOAL: Reduce and eliminate pollution to the Nation's waters from point sources through aggressive
implementation and enforcement of Federal and State standards under the Clean Water Act.
OBJECTIVE:
MEASURE;
MEASURE;
OBJECTIVE:
iMEASURE;
Achieve and maintain high levels of compliance in
the NPDES program. (continued)
For NPDES, Sludge and Pretreatment violators,
report, by Region, the total number of (a) EPA
Administrative Compliance Orders and the total
number of State equivalent actions issued; of these,
report the number issued to POTWs for not
implementing pretreatment; (b) Class I and Class II
proposed and final administrative penalty orders
issued by EPA; and (c) Administrative penalties
imposed by states.
Report, by State, the active civil and criminal case
docket, the number of civil and criminal referrals
sent to the State Attorneys General, the number of
civil and criminal cases filed, the number of civil
and criminal cases concluded (identify the penalty
amount obtained by the State in the cases
concluded).
Identify compliance problems and guide corrective
action through inspections.
Track, by Region and State, against quarterly
targets, the number of major facilities with NPDES
inspections; the number of Class I facilities
receiving sludge management inspections; and the
number of pretreatment POTWs receiving pretreatment
compliance inspections, (combine EPA and State
inspections and report each of the above three
categories separately).
STARS CODE: WQ/E-8
TARGETED: N
REPORTED ONLY: Q 2,3,4
SUNSET: FY 96
STARS CODE: WQ/E-9
TARGETED: N
REPORTED ONLY: Q 2,3,4
SUNSET: FY 96
STARS CODE: WQ/E-10
TARGETED: Q 2,3,4
REPORTED ONLY:
SUNSET: FY 96
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OFFICE OF WATER
FY 1993
Program Area; Wastewater Enforcement and Compliance
WQ 13 Measure WQ-13 is all major permits that include a water quality based
evaluation (i.e., whether limits on specific chemicals and whole effluent
toxicity are necessary with toxic limits established where necessary) and
with issuance dates (i.e., date signed by EPA or State permit authority)
during FY 93.
WQ-13 is specifically designed to measure permits reissued which have had a
water quality based evaluation for toxics. Reissued permits can count
under WQ-13 if they have had either an evaluation and include toxic limits
or have had an evaluation and do not need toxic limits based on that
evaluation. A water quality based evaluation for toxics is an evaluation
by EPA or the State (or possibly by EPA through State overview) to
determine if a facility causes, contributes to, or has the reasonable
potential to cause an exceedance of a State numeric or narrative water
quality standard.
A water quality-based permit limit is a limit that has been developed to
ensure a discharge does not violate State water quality standards. Such
limits are expressed as maximum daily (or seven day average) and monthly
average values in Part I of the NPDES permit. They can be expressed as
concentration and/or mass values for individual chemicals and/or pollutant
parameters such as effluent toxicity. Effluent toxicity can also be
expressed in toxic units. Limits should be reflective of data available
through water quality-based assessments and should protect against impacts
to both aquatic life and human health.
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OFFICE OF WATER
FY 1993
Program Area: Wastevater Enforcement and Compliance
PCS will be used (major permits reissued) to track this measure where
either procedures are in place to review all permits for water quality
based toxics by the Region or the State or the Region provides oversight of
every major State-issued permit to ensure that standards are in effect.
Where this is not the case, the information must be reported manually.
As a matter of policy, EPA regards the 2/4/87 statutory requirements to
control point sources as a component of the ongoing national program for
toxics control. In the national toxics control program, all known problems
due to any pollutant are to be controlled (using both new and existing
statutory authorities) as soon as possible, giving the same priority to
these controls as for controls where only 307(a) pollutants are involved.
Known toxicity problems include violations of any applicable State numeric
criteria or violations of any applicable State narrative water quality
standard due to any pollutant (including chlorine, ammonia, and whole
effluent toxicity), based upon ambient or effluent analysis. States and
Regions will continue to issue all remaining permits, including those
requiring the collection of new water quality data where existing data are
inadequate to assess WQ conditions.
Performance Expectation: The goal of the State and EPA NPDES program is to
have reissued major and minor permits in effect on the date the prior
permit expires. Permit applications are due and should be acted upon
during the last six months of a permit's term. Most States and Regions,
should be able to reissue 100% of their expiring major permits. In cases
where unusual, complex and difficult issues prevent timely permit
reissuance, Headquarters is encouraging alternative approaches to address
the increasing backlog. These approaches include targeting a specific
watershed or attempting to even out the backlog by reissuing 20% of the
universe of majors for the State per year. These strategies are to be
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OFFICE OF WATER
FY 1993
Program Area: Wastewater Enforcement and Compliance
negotiated on a State-by-State basis and must include Headguarters in the
approval process.
Regional guarterly reports for these measures will be reported to the
Director of the Office of Wastewater Enforcement and Compliance.
WQ-14 A local pretreatment program audit is a detailed on-site review of an
approved program to determine its adeguacy. The audit report identifies
needed modifications to the approved local program and/or the POTW's NPDES
permit to address any problems. The audit includes a review of the
substantive reguirements of the program, including local limits, to ensure
protection against pass through and interference with treatment works and
the methods of sludge disposal. The auditor reviews the procedures used by
the POTW to ensure effective implementation and reviews the quality of
local permits and determinations (such as implementation of the combined
wastestream formula). In addition, the audit includes, as one component,
all the elements of a pretreatment compliance inspection (PCI).
In certain cases, non-pretreatment States will be allowed to conduct audits
for EPA. If a non-pretreatment State has the experience, training,
resources and capabilities to effectively conduct audits, these audits
could be counted. A determination of whether a non-pretreatment State
could conduct the audit for EPA will be worked out between EPA HQ and the
Region during the commitment negotiation process on a case-by-case basis.
The pretreatment compliance inspection (PCI) assesses POTW compliance with
its approved pretreatment program and its NPDES permit requirements for
implementation of that program. The checklist to be used in conducting a
PCI assesses the POTW's compliance monitoring and enforcement program, as
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OFFICE OF WATER
FY 1993
Program Area: Wastewater Enforcement and Compliance
well as the status of issuance of control mechanisms and program
modifications. A PCI must include a file review of a sample of industrial
user files. Note that this measures tracks "coverage" of approved
pretreatment programs, not the number of audits or inspections conducted,
which may be greater than the number of programs since some programs may be
inspected/audited more than once a year.
Performance Expectation; At a minimum, audits should be performed at least
once during the term of the POTW's permit. Although an audit includes all
the elements of a PCI, as one component, the activity should not be counted
as both an audit and a PCI; it should be counted as an audit. In any given
year, all POTWs that are not audited should have a PCI as part of the
routine NPDES inspection at that facility, i.e. audits plus inspections
should equal 100 percent of approved POTWs, except where mitigating
circumstances prevent this. Mitigating circumstances will be approved
during negotiation process and could include the need to target audits to
support watershed initiatives or to conduct an in-depth audit. For
purposes of reporting, both audits and pretreatment compliance inspections
should be lagged by one quarter, i.e. same as NPDES inspections. Also,
where both an audit and an inspection are conducted for a POTW, for
purposes of coverage, only that audit will be counted.
WQ-15 Priority sludge facilities or "Class I Sludge Management Facilities" are:
1) pretreatment POTWs; 2) POTWS that incinerate their sludge; and 3) any
other POTWs with known or suspected problems with their sludge quality or
disposal practices. Non-pretreatment POTWs that incinerate sewage sludge
may be considered non-priority if such decision is supported by information
showing no cause for concern (i.e., existing controls adequately implement
existing federal requirements and otherwise protect public health and the
environment). The sludge conditions are to be included in permits as the
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OFFICE OF WATER
FY 1993
Program Area; Wastewater Enforcement and Compliance
NPDES permit expires and is reissued. The sludge conditions may be in
another permit (such as a permit issued under the Clean Air Act, or a State
permit) and incorporated by reference in the NPDES permit. NPDES permits
issued by a State may be counted if pursuant to an EPA/State agreement and
the Region has certified the permit as meeting CWA requirements. "Sludge
conditions necessary to meet CWA section 405" are those conditions required
by the sludge permitting and state program regulations (May 2, 1989),
adequate monitoring requirements; existing federal regulations, where
applicable (e.g., 40 CFR Part 257 and after promulgation, 40 CFR, Part 503)
and any additional case-by-case conditions necessary to protect the public
health and environment.
WQ-16 While there may be some States that will have not received general
permitting authority nor issue general permits, this measure will begin to
measure the activity of those States who have begun to work on their storm
water general permitting. A baseline general permit is a permit issued
focusing in on regulating storm water discharges associated with industrial
activities. This measure will track the number of regulated storm water
industries for which a general permit has been issued. In addition, the
measure will track the number of Notices of Intent (NOIs) submitted under
those general permits (report by NPDES State with general permitting
authority and non-NPDES States where the EPA general permits is issued).
WQ-17 EPA Regions and approved NPDES States issue NPDES permits to owners and
operators of combined sewer systems to control combined sewer overflow
(CSO) discharges to surface waters. Combined sewer systems are systems
designed to transport both sanitary and industrial wastewaters as well as
storm water runoff to POTW treatment facilities for treatment prior to
discharge to receiving water bodies. CSOs are discharges from a combined
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OFFICE OF WATER
FY 1993
Program Area; Wastewater Enforcement and Compliance
sewer system in excess of the interceptor or regulator capacity and occur
before the headworks of the POTW's treatment facility. CSO discharges do
not receive primary or secondary treatment at the treatment facility.
WQ-18 Percents of cumulative net outlays for construction grants and State
Revolving Fund (SRF) to program commitment - the net sum of payments made
and recovered from PL 84-660 projects, PL 92-500 contract authority
projects, as well as projects funded with Talmadge/Nunn, FY 1977
supplemental, FY 1978 through FY 1992 budget authority, Section 205(g)
funds, Section 205(m) funds, 604(b) funds, including all Title VI funds
appropriated expressly for SRF.
Performance Expectation - The cumulative Regional commitment will consist
of construction grants and SRF. The performance expectation for the
commitment will be + 5%.
WQ-19 Number of Step 3, Step 2+3, Marine CSO, and PL 84-660 projects
administratively completed - A project is considered administratively
complete when a final audit is requested; or, for projects that cannot be
sent to OIG because of related ongoing projects, when all of the
administrative completion requirements have been satisfied.
Performance Expectation - The goal will be to begin FY 1994 with no
backlogged projects. An acceptable commitment would be the number of
projects that must be completed in FY 1993 in order to enter FY 1994 with
no backlogged projects, minus those projects the Region and Headquarters
mutually agree are not able to be administratively completed during FY
1993.
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OFFICE OF WATER
FY 1993
Program Area; Wastewater Enforcement and Compliance
A "backlogged" project is defined as:
o A Step 3, Step 2+3, or PL 84-660 project awarded before 12/29/81
which has been physically complete for more than 12 months* but
has not yet been administratively completed.
o A Step 3, Step 2+3, or Marine CSO project awarded after 12/29/81
which had initiated operations for more that 18 months, but has
not yet been administratively completed.
WQ-20 Number of Step 3, Step 2+3, Marine CSO and PL 84-660 project closeouts - A
closeout occurs after: (1) An audit has been performed and all audit
findings have been resolved or a determination has been made by OIG that an
audit will not be performed; (2) Any disputes filed under 40 CRF , Parts
30 and 31 have been resolved; (3) Funds owed the Government by the grantee
or vice versa) have been recovered (or paid); (4) A closeout letter has
been issued to the grantee.
Performance Expectation - Project closeout is expected to occur within 6
months of final audit resolution, project "screenout" or, for projects
under $1 million, within 6 months of administrative completion. However,
the time-based goal does not apply with:
o The grantee appeals a final decision in accordance with 40 CFR,
Parts 30 and 31; or
o The action official has referred the project to the servicing
finance office to establish an accounts receivable based on the
audit findings.
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OFFICE OF WATER
FY 1993
Program Area; Wastewater Enforcement and Compliance
The estimated number of Step 3, Step 2+3, Marine CSO and PL 84-660 projects
awaiting closeout or awaiting audit resolution at the beginning of the
fiscal year plus any project planned for "screen out" by OIG during the
fiscal year should be planned for closeout by the end of the fiscal year.
WQ-21 Number of Step 3, Step 2+3, Marine CSO and PL 84-660 projects beginning to
achieve environmental results. A Step 3, Step 2+3, Marine CSO or PL 84-660
project is considered to have begun to achieve environmental results when
the project initiates operations; i.e., when one of the following occurs:
(i) For projects awarded after 12/29/81, tbe date of "Initiation of
Operation": N7 = "Ab" or "Bb" or "Pb".
(ii) For projects awarded before 12/29/81, the date of "Physical
Completion1*: N5 = "Ab" or "Bb" or "Fb".
(iii) For end-of-pipe projects, either (i) or (ii) and reduction in BOD
load (amount to be provided. This can be a reduction from an
existing discharge, or if a new discharge, reduction from what
would be discharged without this project.
Performance Expectation; An acceptable commitment would be 85% or greater
of the number of projects projected to begin operations during FY 1993.
WQ E-5 A facility is reported to be in significant noncompliance for failure to
comply with NPDES permit requirements if it meet the criteria in the QNCR
Guidance Manual, 1985. An approved pretreatment program should be
identified as in significant noncompliance when it meets the criteria for
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OFFICE OF WATER
FY 1993
Program Area: Wastewater Enforcement and Compliance
SNC identified in the FY 1990 Reporting an Evaluating POTW Noncompliance
with Pretreatment Requirements, issued September 27, 1989.
WQ E-6/7 NOTE: For STARS report the number only. As part of OWAS, report both the
number and the name and the number of quarters the facility has been in
SNC.
Also, the name list must be submitted with the numbers; only the fact
sheet, with justification, will be reported by the 15th day of the
beginning of the next quarter. In regard to all major permittees listed in
significant noncompliance on the Quarterly Noncompliance Report (QNCR) for
any quarter, Regions/NPDES States are expected to ensure that these
facilities have returned to compliance or have been addressed with a formal
enforcement action by the permit authority within the following quarter
(generally within 60 days of the end of that quarter). In the rare
circumstances where formal enforcement action is not taken, the
administering Agency is expected to have a written record that clearly
justifies why the alternative action (e.g.,enforcement action, permit
modification in process, etc.) was more appropriate. Where it is apparent
that the State will not take appropriate formal enforcement action before
the end of the following quarter, the States should expect the Regions to
do so. This translates for Exceptions List reporting as follows:
Exceptions Lists reporting involves tracking the compliance status of major
permittees listed in significant noncompliance on two or more consecutive
QNCRs without being addressed with a formal enforcement action. Reporting
begins on January 1, 1993 based on permittees in SNC for the quarters
ending June 30, and September 30, that have not been addressed with a
formal enforcement action by November 30. Regions are also expected to
complete and submit with their Exceptions List a fact sheet which provides
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OFFICE OF WATER
FY 1993
Proaram Area: Wastewater Enforcement and Compliance
adequate justification for a facility on the Exceptions List. The fact
sheet should be submitted by the 15th day of the beginning of the next
quarter. After a permittee has been reported as returned to compliance or
addressed by a formal enforcement action, it should be dropped from
subsequent lists.
Reporting is to be based on the quarter reported in the QNCR (one quarter
lag).
Returned to compliance (refer to the QNCR Guidance for a more detailed
discussion of SNC and SNC resolution) for Exceptions List facilities refers
to compliance with the permit, order, or decree requirement for which the
permittee was placed on the Exceptions List (e.g., same outfall, same
parameter). Compliance with the conditions of a formal enforcement action
taken in response to an Exception List violation counts as an enforcement
action (rather than return to compliance) unless the requirements of the
action are completely fulfilled and the permittee achieves absolute
compliance with permit limitations. The Exceptions List includes
pretreatment SNC.
Formal enforcement actions against non-federal permittees include any
statutory remedy such as Federal Administrative Order or State equivalent
action, a judicial referral (sent to HQ/DOJ/SAG), or a court approved
consent decree. A section 309(g) penalty administrative Order (AO) will
not, by itself, count as a formal enforcement action since it only assesses
penalties for past violations and does not establish remedies for
continuing noncompliance. Unless the facility has returned to compliance,
a 309(a) compliance order should accompany the 309(g) penalty order.
Formal enforcement actions against federal permittees include Federal
Facility Compliance Agreements, documenting the dispute and forwarding it
to Headquarters for resolution, or granting them Presidential exemption.
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OFFICE OF WATER
FY 1993
Program Area: Wastewater Enforcement and Compliance
WQ E-8 Headquarters will report EPA Administrative Compliance Orders (AOs) and
State equivalent actions from PCS. All AOs must be entered into PCS by the
2nd update of the new quarter to be counted in the report. For
pretreatment, only AOs issued to POTWs should be counted here. AOs issued
to industrial users are counted in OWAS under pretreatment measure 2(a).
Where an AO or APO includes both pretreatment and NPDES violations, the
AO/APO should be counted once and considered a pretreatment AO/APO. For
purposes of counting State penalty orders, any order which proposes the
assessment of a cash penalty against a violator may be counted. Where the
State has a two step process (similar to EPA's process) the proposed order
should be counted.
WQ E~9 The active case docket consists of all referrals currently at the State
Attorney General and the number of referrals filed in State Court. A case
is concluded when a signed consent decree is filed with the State Court;
the case is dismissed by the State Court; the case is withdrawn by the
State Attorney General after it is filed in a State Court; or the State
Attorney General declines to file the case. OE will report the same data
for Federal referrals; State referrals will be reported to the Regions.
WQ E-10 As the inspections strategy states, all major facilities should receive the
appropriate type of inspection each year by either EPA or the State. As
part of the NPDES inspection for at least Class I facilities, verification
of sludge management practices should be conducted as appropriate. EPA and
States collectively commit to the number of major permittees inspected each
year with a Compliance Evaluation Inspection (CEI), Compliance Sampling
Inspection (CSI), Toxic Inspection (TOX), Biomonitoring Inspection (BIO)
Performance Audit Inspection (PAI), Diagnostic Inspection (DIAG), or
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OFFICE OF WATER
FY 1993
Program Area; Wastewater Enforcement and Compliance
Reconnaissance Inspection (RI). Reconnaissance Inspections will only count
toward the commitment when they are done on facilities that meet the
following criteria:
(1) The facility has not been in SNC for any of the four quarters prior to
the inspection.
(2) The facility is not a primary industry as defined by 40 CFR, Part 122,
Appendix A.
(3) The facility is not a municipal facility with a pretreatment program.
Commitments for major permittee inspections should be quarterly targets and
are to reflect the number of major permittees inspected at least once. The
universe of major permittees to be inspected is defined as those listed as
majors in PCS. Multiple inspections of one major permittee will count as
only one major permittee inspected (however, all multiple NPDES inspections
will be included in the count for the measure that tracks the total number
of all inspections, see next paragraph).
The measure for tracking total inspection activity will not have a
commitment. CEI, CSI, TOX, BIO, PAI, RI, and DIAG of major and minor
permittees will be counted. Pretreatment inspections for lUs and POTWs
will be counted only toward pretreatment inspection commitments. Multiple
inspections of one permittee will be counted as separate inspections;
Reconnaissance Inspections will be counted. It is expected that up to 10%
of EPA resources will be set aside for neutral inspections of minor
facilities.
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OFFICE OF WATER
FY 1993
Program Area; Wastewater Enforcement and Compliance
When conducting inspections of POTWs with approved pretreatment programs, a
pretreatment inspection component (PCI) should be added, using the
established PCI checklist. An NPDES inspection with a pretreatment
component will be counted toward the commitments for majors, and the PCI
will count toward the commitment for POTW pretreatment inspections. (This
will be automatically calculated by PCS.) Regions are encouraged to
continue CSI inspections of POTWs where appropriate. Industrial user
inspections done in conjunction with audits or PCIs or those done
independent of POTW inspections will be counted as IU inspections.
Tracking of inspections will be done at Headquarters based on retrievals
from the Permit Compliance System (PCS) according to the following
schedule:
INSPECTIONS RETRIEVAL DATE
The First working day
after the second update in:
July 1, 1992 through Sep. 30, 1992 Jan. 1993
July 1, 1992 through Dec. 31, 1992 April 1993
July 1, 1992 through March 31, 1993 July 1993
July 1, 1992 through June 30, 1993 Oct. 1993
Inspections may not be entered into PCS until the inspection report with
all necessary lab results has been completed and the inspector's reviewer
or supervisor has signed the completed 3560-3 form.
Note; STARS only tracks the number of major permittees inspected. OWAS
tracks the number of inspections. Regional and State inspection plans
should be established by FY 1993 in accordance with guidance on inspection
plans.
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OFFICE OF WATER
FY 1993
Program Area; Wastewater Enforcement and Compliance
Inspections may not be entered into PCS until the inspection report with
all necessary lab results has been completed and the inspector's reviewer
or supervisor has signed the completed 3560-3 form.
Note; STARS only tracks the number of major permittees inspected. OWAS
tracks the number of inspections. Regional and State inspection plans
should be established by FY 1993 in accordance with guidance on inspection
plans.
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OFFICE OF WATER
FY 1993
Program Area; Ocean and Coastal Protection
GOAL: To protect, restore and maintain the nation's coastal and marine waters to sustain living
resources, protect human health and the food supply, and recover full recreational use of
shores, beaches and waters.
OBJECTIVE;
ACTIVITY;
MEASURE:
Improve the management of dredged materials.
Prepare environmental impact statements and rule
making packages for Ocean Dumping site designation.
Track, by Region, progress against quarterly targets
for:
number of final environmental impact statements,
and
- number of sites designated.
STARS CODE: WQ-1
TARGETED: Q 2,3,4
REPORTED ONLY:
SUNSET:
OBJECTIVE:
ACTIVITY:
MEASURE:
Build joint Federal/State capacity to meet
environmental objectives.
Complete Comprehensive Conservation and Management
Plans (CCMPs) based on commitments in the State/EPA
Conference Agreements for each estuary project in
the National Estuary Program.
Track, by Regional progress, against semi-annual
accomplishments:
- completion of draft CCMP
- completion of final CCMP
As scheduled in EPA/State Conference agreement.
STARS CODE: NEP-1
TARGETED:
REPORTED ONLY: Q,2,4
SUNSET:
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OFFICE OF WATER
FY 1993
Program Area; Oceans and Coastal Protection
WQ-1 OCEAN DISPOSAL PERMITS
The number of final environmental impact statements fEISs} - It is expected that the Regions will
prepare EISs for dredged material disposal sites based on the priorities set forth in the Memorandum
of Understanding (MOU) between the Region and the Corps of Engineers District Office, and will
prepare EISs for other disposal sites based on national priorities. The preparation of final EISs
includes incorporating response to all comments received, and making necessary changes to finalize
the EIS, which may include updating any of the surveys or special interagency activities, such as
endangered species considerations.
The number of ocean dumping sites designated - It is expected that the Regions will designate
dredged material disposal sites as set forth in the Memorandum of Understanding (MOU) between the
Region and the Corps of Engineers District Office, and designate other disposal sites based on
national priorities. In the preparation of a site designation documents, if the EIS Record of
Decision selects ocean dumping as preferred alternative, the site designation activity includes
promulgation of proposed rules and final rules. Also, it includes consultation with other Federal
and State agencies, preparation of Federal Register notices, hearings, and response to public
comments.
NEP-1 NATIONAL ESTUARY PROGRAM
It is expected that the Regions with estuary projects in progress will support the continuing
activities of the Management Conference as specified in the CWA. They are to manage the conduct of
the scientific and technical work necessary to the development of a Comprehensive Conservation and
Management Plan for the named estuary project in a timely and effective manner. Completion of the
draft and final CCMP is to be reported by the Office of Water to the Deputy Administrator on a semi-
annual basis.
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OFFICE OF WATER
FY 1993
Program Area; Wetlands Protection
GOAL: NO NET LOSS OF THE NATION'S WETLANDS (BY FUNCTIONS AND ACRES)
OBJECTIVE: To build a stronger constituency for wetlands
protection and improve dialogues with affected sectors. Use
geographic targeting to address specific ecological problems,
take advantage of state and local capabilities.
ACTIVITY: To utilize non-regulatory and anticipatory approaches
in protecting wetlands
MEASURE: Number of public education and outreach initiatives
completed
MEASURE: Number of geographically targeted efforts completed,
(e.g., component of a Watershed Protection Approach project,
Section 404 enforcement initiative, etc.)
MEASURE; Number of comprehensive management and planning
initiatives completed, e.g., advance identifications,
greenways/river corridor management plans, special area
management plans
STARS CODE: WQ-2A
TARGETED:
REPORTED ONLY: Q 2,3,4
SUNSET: FY96
STARS CODE: WQ-2B
TARGETED:
REPORTED ONLY: Q 2,3,4
SUNSET: FY96
STARS CODE: WQ-2C
TARGETED:
REPORTED ONLY: Q 2,3,4
SUNSET: FY96
MEASURE; Number of State Wetlands Comprehensive Plans
initiated/funded/otherwise assisted
STARS CODE: WQ-2D
TARGETED:
REPORTED ONLY: Q 4
SUNSET: FY96
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OFFICE OF WATER
FY 1993
Program Area; Wetlands Protection
GOAL: NO NET LOSS OF THE NATION'S WETLANDS (BY FUNCTIONS AND ACRES)
OBJECTIVE: Enforce the Section 404 program to improve rates of
compliance with program requirements
ACTIVITY: Manage an effective Section 404 complance/enforcement
program
MEASURE; Number of wetlands enforcement cases initiated
MEASURE: Number of wetlands enforcement cases resolved
STARS CODE: WQ/E-11
TARGETED:
REPORTED ONLY: Q 2,3,4
SUNSET: FY96
STARS CODE: WQ/E-12
TARGETED:
REPORTED ONLY: Q 1,3,4
SUNSET: FY96
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OFFICE OF WATER
FY 1993
Wetlands Protection. Definitions
WO-2 STRATEGIC INITIATIVES (GENERAL DEFINITION FOR FOLLOWING FOUR NON-REGULATORY/ANTICIPATORY
APPROACHES MEASURES)
The following four WQ-2 measures represent specific categories of activities that have historically
been combined under the title "Strategic Initiative (SI)," which can continue to be used as a
blanket descriptor. The SI encompasses a fairly wide range of strategic activities undertaken by a
Region to improve protection of wetlands and/or other critical aquatic habitats on a broad
(temporal/spatial) scale. An SI may be extensive involving increased EPA action on a broad
geographic scale in a major program activity area (e.g. increasing public outreach throughout a
State) . Alternatively, it may be intensive in being targeted to a more limited geographical area
(e.g. enforcement in that area). At a minimum, an SI must include problem analysis, identification
of goals for the target wetlands, evaluation of options to achieve the goals, an action plan,
implementation, and evaluation of results. An SI should be a non-recurring project that is beyond
the scope of what are generally considered to be "normal," day-to-day activities. As a guide, an SI
should constitute a program component that represents one-tenth or more of the Region's wetlands
program resources. To "complete" an initiative means to have (1) implemented all components of the
action plan, with no more than the evaluation of results remaining to be done; and (2) submitted to
Headquarters a brief (e.g., one-page) summary of the project, including start- and end-dates,
approximate resources expended, activities undertaken, and anticipated benefits of the initiative.
These summaries will provide useful data to Headquarters on Regional activities and can serve as
valuable information-transfer vehicles among Regions.
It is understood that specific projects can cut across the definitions below, e.g., an Advance
Identification can, and should, involve a substantial public outreach component. Regions are
requested to avoid "double-counting" by choosing the most appropriate category under which to report
the completion of an initiative.
WQ-2A NUMBER OF MAJOR PUBLIC EDUCATION AND OUTREACH INITIATIVES COMPLETED
Completion of a educational effort directed either to a specific sector of the regulated community
(e.g., agricultural community, fishing industry) or to residents of a particular geographic area
(e.g., communities in prairie pothole regions.)
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OFFICE OF WATER
FY 1993
Wetlands Protection. Definitions
.WQ-2B NUMBER OF GEOGRAPHICALLY TARGETED EFFORTS COMPLETED (E.G.. COMPONENT OF A WATERSHED
PROTECTION APPROACH PROJECT. SECTION 404 ENFORCEMENT INITIATIVE. ETC.)
Completion of a geographically targeted approach to wetlands protection issues. Examples include:
Completion of a wetlands protection component in a larger Watershed Protection effort,; Completion
'of a Regional "hot spot" strategy; Completion of an intensive §404 enforcement/compliance effort in
'a specific geographic area. Enforcement Initiatives are generally undertaken for their deterrent
value in areas with histories of particularly poor compliance or with particularly vulnerable
resources.
,WO-2C NUMBER OF COMPREHENSIVE MANAGEMENT AND PLANNING INITIATIVES COMPLETED. E.G.. $404 ADVANCE
IDENTIFICATIONS. GREENWAYS/RIVER CORRIDOR MANAGEMENT PLANS. SPECIAL AREA MANAGEMENT PLANS
Completion of an Advance Identification as defined in 40 CFR P.art 230.80 of the CWA §404(b)(l)
Guidelines and further described in the 1989 "Guidance to EPA Regional Offices on the Use of Advance
Identification Authorities Under Section 404 of the Clean Water Act."
Completion of a management or planning initiative designed to provide the Region with a
Comprehensive strategy for addressing a variety of wetlands protection issues. Examples include
development of greenway/river corridor management plans and special area management plans,
development of water quality standards for wetlands, and development of strategies for improved
interaction with State, Tribal, local, and/or other federal government bodies.
WQ-2D NUMBER OF STATE WETLANDS COMPREHENSIVE PLANS INITIATED/FUNDED/OTHERWISE ASSISTED
Significant EPA assistance through a grant and/or technical assistance to a State that has initiated
the development of a state Wetlands Comprehensive Plan or Strategy.
WQ/E-11 NUMBER OF WETLANDS ENFORCEMENT CASES INITIATED (TOTAL OF ALL OF THE FOLLOWING ACTIVITIES)
Section 309(a) administrative compliance orders issued by EPA. As a general rule, such orders
should require the violator not only to stop the illegal discharge, but also where feasible to take
affirmative action to remove the fill/or restore the site.
Section 309(g) administrative penalty complaints issued by EPA.
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OFFICE OF WATER
FY 1993
Wetlands Protection. Definitions
Civil section 404 cases that a Region refers, either independently or jointly with the Corps, to DOJ
for judicial action.
Criminal section 404 cases that a Region refers to DOJ for prosecution.
WQ/E-12 NUMBER OF CASES RESOLVED (TOTAL OF ALL OF THE FOLLOWING ACTIVITIES)
Number of cases resolved through voluntary compliance, which occurs where the Region has not
initiated any formal enforcement action against an illegal discharger, but instead achieves
compliance through informal processes.
.Number of section 309(a) compliance orders where the violator has complied with the terms of the
order.
Number of section 309(g) administrative penalty actions in which the respondent has paid the penalty
to the Region or, in those situations where payment is due and not forthcoming, where a federal
district court has issued a final order requiring payment of the assessed penalty.
Number of civil judicial referrals which have resulted in a federal district court entering a final
order in the case.
Number of criminal judicial referrals which have resulted in a federal district court entering a
final order in the case.
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OFFICE OF WATER
FY 1993
Program Area: Wetlands Protection
GOAL: NO NET LOSS OF THE NATION'S WETLANDS (BY FUNCTION AND ACRES)
ENVIRONMENTAL INDICATOR: Wetlands Acreage
DEFINITION: Physical inventory—acreage as aggregated nationally, regionally and per community
type. Data is collected every ten years. Data is at such a macro-level that it is not now
universally useful below a national level. EPA will be exploring the feasibility and costs of
making the data more useful as an environmental indicator at the state, regional or watershed level,
An annual report will be made on the status of this project.
DATA SOURCE: National Wetlands Inventory Status and Trends, U.S. Fish and Wildlife Service
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OFFICE OF WATER
FY 1993
Program Area; Watershed Assessment and Protection
GOAL: RESTORE, MAINTAIN AND PROTECT THE ECOLOGICAL INTEGRITY OF THE NATION'S WATER RESOURCES
OBJECTIVE:
MEASURE;
OBJECTIVE;
ACTIVITY:
Reduce pollutant loadings from nonpoint sources to
State-identified priority waterbodies, including
coastal waters.
Identify, by State, against targets, the number of
priority waterbodies identified in approved State
nonpoint source management programs with watershed
control programs actively underway. Report
separately the number of coastal priority
waterbodies with watershed control programs actively
underway and the number of all other priority
waterbodies with watershed control programs actively
underway. For at least one waterbody in each State,
the Region will identify the anticipated pollutant
loading reductions or quantified water quality
improvement expected from the watershed control
program underway.
Assess Regional/State progress in achieving
schedules for establishment of targeted TMDLs (total
maximum daily load) and begin to determine the
extent to which nonpoint sources, ecological
restoration and habitat protection are being
incorporated into the TMDL process.
Identify and track compliance with the FY92 303(d)
schedule and begin to measure the extent to which
nonpoint sources, ecological restoration and habitat
protection are being incorporated into the TMDL
process.
STARS CODE: WQ-7
TARGETED: Q2, 4
REPORTED ONLY:
SUNSET: FY94
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OFFICE OF WATER
FY 1993
Program Area: Watershed Assessment and Protection
GOAL: RESTORE, MAINTAIN AND PROTECT THE ECOLOGICAL INTEGRITY OF THE NATION'S WATER RESOURCES
MEASURE; Report, in the fourth quarter: (1) by State, the
total number of complex and the total number of non-
complex TMDLs submitted in accordance with the 1992
State list of water-quality limited waterbodies
targeted for TMDL development, and (2) by Region,
information about one TMDL that includes one of the
following: combined point and nonpoint source
pollution problems, point and nonpoint source trade-
offs, ecological restoration or habitat protection.
STARS CODE: WQ-5
TARGETED:
REPORTED ONLY: Q4
SUNSET: FY96
OBJECTIVE!
ACTIVITY:
MEASURE:
OBJECTIVE!
ACTIVITY;
MEASURE;
Assess progress in implementing the Coastal Zone
Management Act to control NPS pollution in coastal
waters.
State submission and EPA/NOAA approval of Coastal
NPS Programs
Identify, against targets, the number of coastal
States actively and directly assisted by EPA Regions
in developing their Coastal NPS Programs for
submission to EPA and NOAA.
Promote Watershed Protection Approach
Progress toward implementing watershed protection
projects and developing comprehensive framework
documents.
Report on selection and development of watershed
protection projects and the development of
comprehensive Regional Framework documents for
targeting and implementing watershed protection
projects.
STARS CODE: WQ—6
TARGETED: Q4
REPORTED ONLY:
SUNSET: FY94
STARS CODE: WQ-3
TARGETED:
REPORTED ONLY: Q4
SUNSET:
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OFFICE OF WATER
FY 1993
Assessment and Watershed Protection. Definitions
WO-7 NONPOINT SOURCE POLLUTANT CONTROLS This measure tracks the degree to which States are
actively implementing NFS controls and management practices in the watersheds of the priority
waterbodies which they have identified in their approved NFS management programs as needing
protection from or abatement of NFS pollution. All States have approved management programs which
identify priority waterbodies requiring actions to abate or prevent NFS pollution. (As noted in the
§319 grant guidance, the 319 priority waters should be as consistent as possible with the §303(d)
targeted waters.) States have had available to them three annual Section 319 grant awards,
technical and financial support from other EPA programs such as the National Estuaries Program and
Clean Lakes Program and from other Federal agencies such as the Soil Conservation Service and Forest
Service of the U.S. Department of Agriculture and the Bureau of Land Management of the U.S.
Department of the Interior, as well as funding and technical support from State and local sources
enable them to initiate and expand implementation of controls and preventive actions.
This measure requires the Regions to identify the number of each State's priority watersheds in
which the State is actively implementing NFS controls or activities to prevent NFS pollution. This
measure further requires Regions to separately report the number of priority watersheds impacting
coastal waters with watershed control programs actively underway and the number of priority
watersheds affecting all other waters with watershed control programs actively underway. In order
to begin identifying pollutant loading reductions, the Regions will also note for one priority
waterbody in each State the anticipated load reductions or quantified water quality improvement that
should result from the watershed control program being actively implemented.
For the purpose of this measure, "active implementation" means that landowners/land managers
within the watershed have adopted or have formally committed to adopting approved best management
practices (BMPs) and/or BMP systems. Regions and States should note that this is a narrower
definition of "active implementation" than was used for FY 1992, reflecting the assumption that
States have had more time and resources with which to accomplish implementation and now should have
controls or prevention strategies in place "on the ground" in a significant number of priority
'watersheds.
WO-5 TMDLs This measure continues a process started in FY 92 STARS measure WQ-5 for
measuring environmental results in a subset of impaired and threatened waterbodies. Pursuant to CWA
Section 303(d) and Office of Water program guidance issued in 1990, every two years starting in
April 1992, States are identifying water-quality limited waterbodies still requiring TMDLs and a
subset of these waterbodies for which TMDLs will be developed during the subsequent two years. This
FY 1993 TMDL measure is a status report on the progress States and Regions are making toward
developing the TMDLs for targeted waterbodies. Not all TMDLs are expected to be completed by the
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OFFICE OF WATER
FY 1993
Assessment and Watershed Protection. Definitions
end of FY 1993; therefore, Regions should also provided narrative information about progress against
schedules.
States should use the Waterbody System (WBS) Waterbody Identification Number to identify the
Section 303(d) targeted waterbodies. In FY 1992 Regions reported on water quality conditions for
the targeted waters. Regions will ensure that they can determine the status of water quality in the
individual targeted waterbodies using either the WBS or an independent information system. We
anticipate using a four year cycle for comparison of water quality conditions (e.g., the FY 1992
targeted waters will be re-evaluated in FY 1996). In FY1994, a different set of targeted
waterbodies will be identified and similarly evaluated for environmental results on a four year
cycle.
A complex TMDL includes multiple dischargers, use of sophisticated WQ models, situations
requiring specific Regional consideration, and situations where nonpoint source loads are critical
factors in developing the TMDL. For each waterbody there should be one TMDL.
As a means to determine progress in incorporating the watershed approach in TMDL development,
each Region should provide, by the end of the fourth quarter, information on a TMDL in progress or
completed that addresses either a combined point source and nonpoint pollution problem, point source
and nonpoint trading, ecological restoration or habitat protection.
CONTROLLING COASTAL NONPOINT SOURCE POLLUTION Under requirements of Section 6217 of the Coastal
Zone Act Reauthorization Amendments of 1990, States will be developing and then submitting (to EPA
and NOAA) coastal nonpoint pollution control programs. EPA and NOAA have six months following State
submission to jointly review and approve such programs.
If approvable programs are not submitted by FY 1996, certain funding penalties will be levied
against States both on section 306 coastal management grants and section 319 nonpoint source grants.
FY 1993 will be the first full fiscal year during which States will begin developing their coastal
NPS programs for subsequent submission to EPA and NOAA. This measure will be used by Regions both
to project which States will be actively assisted in developing their programs. (In FY 1994, EPA
may track the actual submission and approval of coastal NPS programs. However, for FY 1993, we do
not anticipate many [if any] submissions. This measure therefore begins the process of encouraging
and helping States to address the development of needed coastal NPS programs.)
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OFFICE OF WATER
FY 1993
Program Area: Watershed Assessment and Protection
GOAL: RESTORE, MAINTAIN AND PROTECT THE ECOLOGICAL INTEGRITY OF THE NATION'S WATER RESOURCES
ENVIRONMENTAL INDICATOR: Designated Use Support in Waterbodies Assessed Under Section 305 (b)
DEFINITION:
Report, in the fourth quarter, the total size of Waterbodies assessed and whether they
are fully, partially or not supporting designated uses. States base this reporting on either
monitoring or evaluated data, according to EPA Guidance for Section 305(b) reports.
This measure requires that States report the total size of stream miles, lake acres,
estuary square miles, coastal miles, and Great Lakes shoreline miles assessed by the States,
Territories, Interstate Commissions, and qualified Indian Tribes. In addition, States report
the water quality status of the waters; i.e., whether designated uses are fully, partially,
or not supported, or whether the waters are fully supporting uses but threatened.
The Section 305(b) guidelines establish two categories of assessed waters: monitored
waters for which current site-specific monitoring data exist, and evaluated waters for which
there are other types of data such as land use information and ambient data older than five
years. These two categories provide a general level of confidence for most of the water
quality data. A waterbody is defined as a fixed hydrologic unit as designated by the State.
Waterbodies are limited to one type of water (e.g., river, lake, estuary). Consult the
Waterbody System (WBS) User's Guide for additional guidance.
Regions must work with states and OW to ensure consistency in 305(b) reporting, accurate
measures of attainment/or designated uses, correct reporting of total state waters, and use
of the waterbody system. States should report to Regions on the changes in the designated
use support based on early information in the waterbody system.
DATA SOURCE: Guidelines for the Preparation of the 1992 State Water Quality Assessment and
future editions. Relevant data contained in State 305(b) Reports, the WBS,
and other State documents including State NFS Management Programs and
Assessments and Sections 106/604(b) Work Programs.
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Program Areas:
OFFICE OF WATER
FY 1993
Water Quality Criteria. Standards and Guidelines
GOALS: RESTORE, MAINTAIN AND PROTECT THE ECOLOGICAL INTEGRITY OF THE NATION'S WATER RESOURCES.
OBJECTIVE:
MEASURE:
Strengthen the scientific basis of Water Quality
Standards to protect critical aquatic resources.
Identify against targets, the States/Tribes completing
a Section 303(c)(l) triennial review for which EPA
takes a formal action (approval or disapproval and
request for promulgation). Triennial reviews are to
include, as appropriate, development of human health
criteria, aquatic life criteria, biological criteria,
salt water criteria, water quality standards for
wetlands, water quality standards for coastal/estuarine
waters and antidegradation policy implementation
methods.
STARS CODE: WQ-8
TARGETED: Q 2, 4
REPORTED ONLY:
SUNSET: FY 94
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OFFICE OF WATER
FY 1993
Water Quality Criteria. Standards, and Guidelines
CONDUCT WATER QUALITY STANDARDS TRIENNIAL REVIEWS
The water quality standards program requirements reflect priorities in the Science Advisory Board
Report, "Reducing Risk: Setting Priorities and Strategies for Environmental Protection" and the
Office of Water's "Strategic Plan." The emphasis of these documents and of the water quality standards
program is the reduction of ecological risk in critical surface waterbodies.
The water quality standards program requirements for the FY 1991 - 1993 triennium were published in the
FY 1991 Agency Operating Guidance. States are to continue to adopt criteria to protect aquatic life
and human health for pollutants, the discharge or presence of which may interfere with the uses of the
waterbody. States also are to adopt narrative biological criteria, salt water criteria, as
appropriate, and antidegradation implementation methods into water quality standards to further protect
the nation's waterbodies. The critical waterbodies that must be addressed include wetlands and
coastal/estuarine waters, but also may include lakes, streams and rivers. The requirements are
designed to enhance the ability of States to adopt water quality standards that will serve as the
foundation for programs to reduce the ecological risks facing our critical aquatic resources,
particularly from nonpoint sources, combined sewer overflows and stormwater runoff.
In particular, the requirements include:
o By September 30, 1993, States and qualified Indian Tribes, as appropriate must adopt criteria to
protect human health for pollutants, the discharge or presence of which may interfere With the
uses of the waterbody.
o By September 30, 1993, States and qualified Indian Tribes, as appropriate, must adopt criteria to
protect aquatic life for pollutants, the discharge or presence of which may interfere with the
uses of the waterbody.
.*•
o By September 30, 1993, States and qualified Indian Tribes also must*adopt narrative biological
criteria. The biological criteria shall be developed in accordance with either the Biological
Criteria Program Guidance Document (April, 1990) or another scientifically valid method. Criteria
shall be developed that define the structure and function of biota inhabiting minimally impaired
reference waters, including species richness, diversity, trophic composition and abundance and/or
biomass, that relate to the designated uses in the water quality standards. Such criteria may be
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OFFICE OF WATER
FY 1993
Water Quality Criteria. Standards, and Guidelines
used in refining the uses of the water and in determining if the designated uses have been
attained.
By September 30, 1993, water quality standards must contain salt water criteria, if appropriate.
These criteria are for pollutants for which EPA has published Section 304(a) criteria guidance.
Also, by September 30, 1993, water quality standards must contain acceptable antidegradation
policy implementation methods. This requirement is discussed in the FY 1988 National Water
Quality Standards Program Guidance.
In addition, by September 30, 1993 States and qualified Indian Tribes must adopt narrative water
quality standards that apply directly to wetlands. Wetlands water quality standards shall be
established in accordance with either the National Guidance. Water Quality standards of Wetland
(July, 1990) or by another scientifically valid method. In adopting water quality standards for
wetlands, States and qualified Indian Tribes, as a minimum, shall: (1) define wetlands as "State
waters"; (2) designate uses that protect the structure and function of the wetlands; (3) adopt
aesthetic narrative criteria (the "free froms") and appropriate numeric criteria in the standards
to protect designated uses; (4) adopt narrative biological criteria into the standards: and (5)
extend the antidegradation policy and implementation methods to wetlands. Unless results of a use
attainability analysis show that the Section 101(a) goals can not be achieved, States and
qualified Indian Tribes shall designate uses for wetlands that provide for the protection of fish,
shellfish, wildlife, and recreation. When extending the antidegradation policy and implementation
methods to wetlands, consideration should be given to designating critical wetlands as Outstanding
National Resource Waters. As necessary, the antidegradation policy and implementation methods
should be revised to reflect the unique characteristics of wetlands.
Finally, by September 30, 1993, States and Indian tribal water quality standards must apply
directly to estuaries, as appropriate. In accordance with existing regulations and guidance,
water quality standards for estuaries shall include designated uses, salt water criteria for
pollutants for which EPA has published Section 304(a) criteria guidance, narrative biological
criteria to protect the designated uses of the estuaries, and an antidegradation policy and
implementation methods. When applying the antidegradation policy and implementation methods to
estuaries, consideration also should be given to designating the estuaries as Outstanding National
Resource Waters.
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OFFICE OF WATER
FY 1993
Water Quality Criteria. Standards, and Guidelines
For States and qualified Indian Tribes included in the targets for this measure, the State or qualified
Indian Tribe must complete a triennial review of water quality standards and EPA take formal action by
September 30, 1993. Formal action includes approval, or disapproval and a request that the
Administrator promulgate Federal standards. Targets for this measure have to be developed for the
second and fourth quarters of FY 1993.
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OFFICE OF WATER
FY 1993
.Program Area; Water Quality Criteria. Standards and Guidelines
GOAL: RESTORE, MAINTAIN AND.PROJECT ECOLOGICAL INTEGRITY OF THE NATION'S WATER RESOURCES
OBJECTIVE: Provide a comprehensive scientific basis for State STARS CODE: WQ-9
use in protecting the ecological integrity of TARGETED:
aquatic resources. REPORTED ONLY: Q4
SUNSET: FY 94
MEASURE: Identify the ecological criteria
guidance Headquarters will publish.
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OFFICE OF WATER
FY 1993
Program Area; Water Quality Criteria. Standards and Guidelines
GOAL: RESTORE, MAINTAIN AND PROTECT THE ECOLOGICAL INTEGRITY OF THE NATION'S WATER RESOURCES.
OBJECTIVE: Support Agency focus on geographically targeted watersheds by issuing effluent guideline
regulations that control pollutant discharges from industries concentrated in targeted
areas.
MEASURE: Publish two regulations in the Federal Register; Final STARS CODE: WQ-10
Amendments in response to the 5th Circuit Remand for TARGETED:
the Organic Chemicals, Plastics and Synthetic Fibers REPORTED ONLY: Q 4
industry categories; and final rule for the pesticide SUNSET: FY 94
manufacturing categories.
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OFFICE OF WATER
FY 1993
WATER QUALITY CRITERIA. STANDARDS AND GUIDELINES
WQ-9 DEVELOP ECOLOGICAL CRITERIA GUIDANCE
A key theme in the Science Advisory Board Report, "Reducing Risk: Setting Priorities and Strategies
for Environmental Protection," and the Office of Water's "Strategic Plan" is to reduce ecological risks
facing critical aquatic resources. We also need to view the integrity of the water environment
holistically — the sum total of the complex biological, chemical and physical dynamics necessary to
sustain long-term processes — ecological integrity — of a healthy aquatic ecosystem. Over time,
criteria guidance will provide a comprehensive basis on which to design programs that prevent and
control pollution and habitat alteration and destruction and loss of species, particularly from
nonpoint sources, combined sewer overflows and stormwater runoff. Chemical-specific sediment criteria
to protect aquatic life and numeric biological criteria for streams, rivers, lakes, wetlands and
estuaries are the most pressing priority needs. Then, as resources allow, criteria will be published
to protect habitat in critical waterbodies.
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OFFICE OF WATER
FY 1993
WATER QUALITY CRITERIA. STANDARDS AND GUIDELINES
WQ-10 DEVELOP EFFLUENT GUIDELINE REGULATIONS (HEADQUARTERS1
This measure tracks the development in Headquarters of two regulatory projects that will enhance the
control of wastewater discharges to surface waters and municipal wastewater treatment systems. The
majority of Organic Chemicals, Pesticide Chemicals, Plastic and Synthetic Fiber Industry Categories
(OCPSF) and Pesticide manufacturing facilities are located in the industrialized, highly-populated
areas that typically coincide with the geographically targeted areas of the US. The current schedules
call for promulgation of the OCPSF amendments in May 1993 and promulgation of the pesticide
manufacturing regulation in August 1993.
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OFFICE OF WATER
FY 1993
Program Area: Water Quality Criteria. Standards and Guidelines
National Program Environmental Indicator
GOAL: RESTORE, MAINTAIN AND PROTECT ECOLOGICAL INTEGRITY OF THE NATION'S WATER RESOURCES
ENVIRONMENTAL INDICATOR:
Fish Consumption Advisories
DEFINITION:
DATA SOURCE:
Report in the fourth quarter, by State, fish consumption advisories. Environmental
agencies and health departments at the State level are responsible for protecting the
public from the risks of consuming contaminated fish that are harvested locally by
issuing consumption advisories or bans when necessary. The public health advisory is
a management tool available to regulators to warn the public of high levels of toxic
substances in fish. EPA will develop guidance to promote the use of consistent risk
assessments in determining the potential risk ^:o humans from the consumption of
contaminated fish and will encourage the States to generate fish tissue monitoring data
for this purpose. This data can then be used for a risk assessment to determine if a
fish advisory is necessary. Initially, States will be required to: Report in the
Waterbody system and in the Electronic Bulletin Board the names of waterbodies for which
fish consumption advisories have been issued. The Section 305(b) report should indicate
the pollutants covered in the advisory, the type of advisory issued (i.e., fish
consumption ban, a consumption ban only for pregnant women and children, a fish advisory
which recommends so many meals/ounces of fish per month), the risk assessment approach
used in the determination to issue a fish advisory (i.e., EPA risk assessment
methodology, FDA action level, etc.), the extent of the advisory, and the common name
of the fish covered by the advisory.
Guidelines for the Preparation of the 1990 State Water Quality Assessment and future
editions and Fish Consumption Advisory Electronic Bulletin Board.
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FY 1993 OSWER STARS MEASURES
TABLE OF CONTENTS
Page
Superfund 1
Superfund Enforcement 8
Oil Pollution Act 13
Chemical Emergency Preparedness and Prevention ... 16
RCRA Hazardous and Solid Waste 22
RCRA Enforcement 33
Underground Storage Tanks 38
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1993
Program Area: Superfund
GOAL: Ensure sound management of solid and hazardous wastes.
OJECTIVE: Ensure long-term effectiveness of response actions
under Superfund.
ACTIVITY: Remedial Action activities.
MEASURE: Report the number of Remedial Action Contract Awards
at NPL sites. This measure will be reported against
a combined Fund and Enforcement target.
MEASURE: Report the number of Remedial Actions completed at
NPL sites. This measure will be reported against a
combined Fund and Enforcement target.
MEASURE; Report the number of NPL sites that have completed
all response actions. The reporting vehicle for
this measure is completion of the site through
remedial or removal action.
STAR CODE: S/C-1
TARGETED: Y
REPORTED ONLY: N
SUNSET: 1993
STARS CODE: S/C-2
TARGETED: Y
REPORTED ONLY: N
SUNSET: 1993
STARS CODE: S/C-3
TARGETED: Y
REPORTED ONLY: N
SUNSET: 1993
01
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GOAL:
OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1993
Program Area: Superfund
Prepare for and respond in a timely and effective manner to releases of hazardous substances
into the environment.
OBJECTIVE:
ACTIVITY:
MEASURE;
ACTIVITY;
MEASURE;
Improve identification and remediation of hazardous
waste sites.
First NPL Removal Actions and Remedial
Investigations and Feasibility Studies (RI/FS).
Report the number of NPL sites where either a first
Removal action or RI/FS has started. This measure
is reported against a combined Fund and Enforcement
target.
Decision Document Development.
Report the number of remedial program remedies
selected and action memoranda signed for removal
actions at NPL sites. This is a combined, Fund and
En f orcement, target.
STAR CODE:
TARGETED:
REPORTED:
SUNSET:
S/C-4
Y
N
1993
STARS CODE: S/C-5
TARGETED: Y
REPORTED ONLY: N
SUNSET: 1994
02
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1993
Program Area; Superfund
National Program Environmental Indicator
GOAL: Identify progress toward permanent site cleanup and controlling threats to people and the
environment.
ENVIRONMENTAL INDICATOR: Progress through Environmental Indicators
DEFINITION:
The Progress through Environmental Indicators reporting measure documents the number of
sites where the following types of results have been achieved:
Reducing Immediate Threats: Controlling Threats to People and the Environment
Progress Toward Permanent Cleanup Goals
These results may be achieved through implementing emergency removal and/or remedial
action projects. Results are reported for each of the media affected at a site. These
media include contaminated Land, Surface Water, and Ground Water.
Progress toward final cleanup goals applies where the cleanup actions taken will not
require further action for the wastes addressed. This progress is reported as Media
Clean, part of Media Clean, and Media Cleanup Underway. Reduction of acute threats
applies where the action taken will require additional action for the wastes addressed
or where the action taken reduces exposures but does not treat, remove or contain
contaminated materials.
DATA SOURCE: The data will be reported through CERCLIS.
03
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Office of Solid Waste and Emergency Response
FY 1993
Superfund Definitions
S/C-1 Number of Remedial Action (RA) Activities started through Award of Contract at NPL
Sites.
Fund-Financed: Sites (as recorded in CERCLIS) where the EPA, a State, the
Corps of Engineers or Bureau of Reclamation has awarded a
contract to initiate Fund-financed Remedial Action.
PRP-Financed; Sites (as recorded in CERCLIS) where the PRP has begun
substantial and continuous physical action, which is
equivalent to an EPA contract award, or where the PRP has
taken equivalent action with its own work force.
S/C-2 Number of Remedial Action activities completed at NPL Sites. - An RA is complete when
final construction activities are complete, a final inspection has been conducted, the
remedy is operating, and is operational and functional and the final RA Report for an
Operable Unit has been prepared and approved by the Region.
S/C-3 Number of NPL Sites that have completed. - An NPL site is considered complete
when conditions specified in the Action Memorandum or Record of Decision (ROD) have
been met and further remediation is not necessary. Remedial/removal implementation is
complete as a result of a final RA or a final ROD stating all necessary remediation is
complete. A removal completion that cleaned up the site and documented by a ROD
stating that all necessary remediation is complete also qualifies a site for
completion.
The RA implementation is complete when RA construction activities at the final
Operable Unit are complete, and a final construction inspection for the site has been
conducted. For the final RA, a Superfund Site Close-Out Report must be prepared which
summarizes the site condition and construction activities and demonstrates the NCP
criteria for deletion has been met or that the only activity remaining is performance
monitoring (long term response).
04
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Office of Solid Waste and Emergency Response
FY 1993
Superfund Definitions
For a ROD stating all necessary remediation is complete, the date the ROD is signed by
the AA OSWER or Regional Administrator/Deputy Regional Administrator is the
accomplishment date and is recorded in CERCLIS. There should be no RD or RA
activities at this OU.
A Fund-financed removal is complete on the day the contractor has demobilized and left
the site, as documented in a POLREP. A PRP-financed removal is complete when a Region
has certified that the PRPs or their contractors have completed a removal action and
fully met the terms of the AO, CD or judgment.
S/C-4 Number of Sites Where Activity has Started - Number of NPL sites (Final and Proposed)
where on-site activity has begun. On-site activity is characterized by either a
removal action under the direction of EPA or through an: Administrative Order,
Consent Decree, or judgment; or implementation of a first RI/FS at the site but not
both.
Fund-Financed; A Fund Removal counts toward this target when:
1) The Action Memorandum has been approved by the On-Scene
Coordinator (OSC), Regional Administrator (RA), or Assistant
Administrator (AA); and, 2) a contract has been signed for an
EPA or U.S. Coast Guard (USCG) on-site removal; and 3) an
obligation has either been recorded in the Integrated
Financial Management System (IFMS), or has been reported and
documented in CERCLIS or when the OSC activates $50,000; and,
4) there is no current or previous on-site Fund-financed or
PRP removal activity; and 5) on-site removal work has begun.
The date the on-site work began is the start date for the
removal action.
PRP-Financed; A Potentially Responsible Party (PRP) Removal counts toward
this measure when: 1) there is no current or prior on-site
Fund-financed or PRP removal activity; and 2) there is on-
site removal activity financed by the PRP in compliance with
05
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Office of Solid Waste and Emergency Response
FY 1993
Superfund Definitions
an Administrative Order (Unilateral or On Consent) or Consent
Decree, or judgment. The date the on-site work began as
entered in CERCLIS will be considered the start date for the
PRP removal. If the PRP does not comply with a Unilateral
Order, credit is not given. Where the PRP is in substantial
non-compliance, credit will be withdrawn.
Site status (NPL or Non-NPL) will be determined by the status indicated in
CERCLIS when accomplishment reports are pulled. A First RI/FS start means that
there has been no prior RI/FS activity at that site.
Fund-Financed; A Fund Program first RI/FS start is counted when: 1)Either a
contract has been signed by the Procurement and Contracts
Management Division (PCMD), or a Cooperative Agreement has
been signed by the Regional Administrator or the official
designated by the Regional Administrator to conduct a RI/FS,
and 2) obligations have been recorded or documented in
CERCLIS as of the end of the reporting period and 3) there is
no prior settlement with a PRP for a RI/FS.
The Fund-financed Start is defined as the date of first obligation for a: RI/FS
at a site, obligations for forward planning activities, community relations
planning and/or similar support activities which do not constitute an RI/FS
start. Fund-financed RI/FS include: Federal (F), State (S), and in-house (EP)
lead projects as they are used in the FY 1993 Program Management Manual. The
appropriate dates must be recorded in CERCLIS.
PRP-Financed; A PRP lead RI/FS Start occurs when an Administrative Order on
Consent is issued, an Unilateral Administrative Order is
issued or a Consent Decree is referred to Headquarters or the
Department of Justice (DOJ) for a RI/FS, and there has been
no Fund obligation and no previous settlements for: RI, FS,
or RI/FS (see above). The start date is defined as the last
signature date by the appropriate official or party (e.g.,
the RA, DOJ or Headquarters of a Consent Decree for the PRP
06
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Office of Solid Waste and Emergency Response
FY 1993
Superfund Definitions
to conduct the RI/FS. If the PRPs are performing the RI/FS
under a State Order or comparable Enforcement document, and
the site is covered by a State Enforcement Cooperative
Agreement, Superfund Memorandum of Agreement (SMOA), or other
EPA/State agreement, credit will be given based on the date
the State order is signed by the last appropriate official or
party. (If there is a Settlement for Multiple Operable
Units, the start date for the first RI/FS would be the last
signature date by the appropriate Federal agency or party.)
The appropriate dates must be recorded in CERCLIS.
PRP-financed RI/FSs include: Responsible Party (RP), Mixed Funding (MR), and
Responsible Party under State order with Federally funded oversight (PS).
A shift between a Fund, or PRP RI/FS, can occur when there
has been a Fund obligation, and work has not proceeded beyond
the RI/FS Work Plan approval stage. If a PRP takes over a
RI/FS before or at this juncture, the RI/FS lead at this site
should be changed from the Fund to PRP. If the PRP begins
the RI/FS and is subsequently taken over by the Fund the same
criteria apply.
S/C-5 Number of Remedial Program Remedies Selected and Action Memoranda Signed for Removal
Actions at NPL Sites - A remedy is selected when a Record of Decision (ROD) has been
signed by either the Regional Administrator or Assistant Administrator for OSWER, and
the appropriate date has been recorded in CERCLIS. The signature date by the RA or AA
represents the ROD completion date. Remedies selected include: Federal (F) and
Federal Enforcement (FE), and State Enforcement (SE).
To receive credit for a Fund-financed removal action, an Action Memorandum must be
approved by the On-Scene Coordinator, the Regional Administrator or the AA-OSWER. The
date of the approval of the Action Memorandum must be recorded in CERCLIS. A PRP-lead
removal will be counted when the date of the approval of the Action Memorandum is
recorded in CERCLIS or the removal follows the instructions outlined in the
Administrative Order of Consent (AC), Unilateral Order (UO) or Consent Decree (CD).
The date of the AC, UA or CD must be recorded in CERCLIS.
07
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1993
Program Area: Superfund Enforcement
GOAL:
Prepare for and respond to hazardous releases.
OBJECTIVE:
ACTIVITY:
MEASURE:
Under Objective 4.2 of the draft OSWER Strategic
Plan (FY94-97 , improve the remediation of hazardous
waste sites bv maximizing Responsible Party
participation in the RD/RA process through the use
of enforcement tools.
Target and report enforcement actions for RD and/or
RA. (The overall target for this activity is the sum
of measures S/E-l(a) and S/E-l(b) below.)
RD/RA Settlements: Consent Decree Referrals under
Section 106, 107 and 122(d) for RD and/or RA,
Unilateral Orders issued under Section 106 for RD
and/or RA that are in Compliance, and lAGs for RD/RA
at Non-Federal Facility sites.
STARS CODE: S/E-l(a)
TARGETED: Y
REPORTED ONLY: N
SUNSET:1995
MEASURE: RD/RA Injunctive Referrals: Referrals, under Section
106 or 106/107, to compel PRPs to conduct RD/RA.
STARS CODE:
TARGETED:
REPORTED ONLY:
SUNSET:1995
S/E-l(b)
Y
N
08
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1993
Program Area: Superfund Enforcement
GOAL:
OBJECTIVE:
ACTIVITY:
MEASURE;
MEASURE;
Prepare for and respond to hazardous releases.
Under Objective 4.2 (16) of the OSWER Strategic Plan
"increase reimbursement/cost recovery of Superfund
Trust Fund dollars," by encouraging Regions to use
alternative approaches to resolving cost recovery
claims.
Report and target the number of Cost Recovery
Actions/Decisions Taken greater than or equal to
$200,000. Report the number of Cost Recovery
Actions/Decisions Taken less than $200,000.
Cost Recovery Actions/Decisions Taken >$200K. Target
and report: the number of §107 or §106/107
injunctive referrals for cost recovery, the numb'er
of consent decrees for RD/RA that include a cost
recovery component, the number of cashout
settlements for cost recovery, the number of
decision documents prepared not to pursue cost
recovery claims, the number of adminstrative cost
recovery settlements, the number of cost recovery
claims submitted to Alternative Dispute Resolution
(ADR), and the number of bankruptcy case filings.
Cost Recovery Actions/Decisions Taken <$200K.
Report: the number of §107 or §106/107 injunctive
referrals, the number of consent decrees for RD/RA
that include a cost recovery component, the number
of cashout settlements for cost recovery, the number
of decision documents prepared not to pursue cost
recovery clairis, the number of adminstrative cost
recovery settlements, and the number of cost
recovery clains submitted to Alternative Dispute
Resolution (ADR), and the number of bankruptcy case
filings.
STARS CODE: S/E-2(a)
TARGETED: Y
REPORTED ONLY: N
SUNSET:1995
STARS CODE: S/E-2(b)
TARGETED: N
REPORTED ONLY: Y
SUNSET:1995
09
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1993
Program Area: Superfund Enforcement
GOAL:
OBJECTIVE:
ACTIVITY:
Prepare for and respond to hazardous releases.
To obtain de minimis settlements as early as
posssible at NPL sites. To encourage de minimis
settlements with as many qualified parties as
possible prior to the selection of remedies at
appropriate sites.
Report the number of de minimis settlements under
Section 122(g), and the number PRP signatories to
the settlements. Report the number of §122(g) de
minimis settlements, and PRP signatories, prior to a
ROD at the site.
MEASURE; Report by site the number of de minimis §122(g)
settlements and the number of potential responsible
parties (PRPs) signatories to each agreement.
MEASURE; Report by site the number of de minimis settlements
and the number of PRP signatories to each
settlement, reached under §122(g), prior to a first
remedy selection (ROD signature) at the site. Post
ROD de minimis settlements will not count towards
this measure.
STARS CODE: S/E-3(a)
TARGETED: N
REPORTED ONLY: Y
SUNSET:1995
STARS CODE: S/E-3(b)
TARGETED: N
REPORTED ONLY: Y
SUNSET:1995
10
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
F¥ 1993
Superfund Enforcement Definitions
S/E - Ifa); RD/RA Settlements
This measure includes all Consent Decree Referrals under Sections 106, 107 and 122(d) for
potentially responsible parties (PRPs) to conduct or pay for Remedial Design and/or Remedial Actions
(RD/RA). It includes mixed funding and cash out settlements for RD and/or RA. Credit for the
Consent Decree referral is the date on the Regional Administrator's transmittal memo to Headquarters
(HQ) or to the Department of Justice (DOJ) as recorded in CERCLIS. AOCs for Remedial Design (RD)
only do not count toward this measure.
Regions also receive credit for this measure for Unilateral Administrative Orders (UAOs) issued
under Section 106 for RD and/or RA that are in Compliance. Credit for UAOs is the date PRPs provide
notice of intent to comply with the order as recorded in CERCLIS. (Should a PRP initially comply
with a UAO, and later a consent decree is agreed to for the same work, credit will be for the UAO
only.) Credit for lAGs for RD/RA at non-Federal Facility sites is based on the signature date (as
entered in CERCLIS) of the Waste Management Division Directors or their designees.
S/E - Kb); RD/RA Iniunctive Referrals
This measure includes injunctive referrals, under Section 106 or 106/107, to compel PRPs to conduct
RD and/or RA. Credit for the referral is the date on the Regional Administrator's transmittal memo
to HQ or DOJ as recorded in CERCLIS. (Referrals for preliminary relief or penalties do not count
toward this measure.)
S/E - 2 fa & b); Cost Recovery Actions/Decisions Taken (>=$200K & <$200K)
This measure is divided into two categories. The two categories of Cost Recovery Actions/Decisions
Taken are for estimated past costs greater than or equal to $200,000, and for past costs less than
$200,000. Cost Recovery Actions/Decisions >$200,000 will be targeted. Cost Recovery
Actions/Decisions are for: 1) injunctive (§107 or §106/107) referrals for Fund-financed removals,
RI/FS, RD or RA. 2) settlements for past costs under a consent decree, 3) settlements for past costs
through a cashout, 4) preparation of a decision document not to pursue cost recovery,
5) administrative cost recovery settlements (including RI/FS and Removal consent orders where past
costs are recovered), 6) initiation of Alternative Dispute Resolution for cost recovery, and
7) Bankruptcy filings.
11
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1993
Superfund Enforcement Definitions
S/E - 2 Con't.
Credit for settlement referrals will be given for only those cases where there has been no previous
injunctive referral. Credit for the referral is the date on the Regional Administrator's
transmittal memo to HQ or to DOJ as recorded in CERCLIS. (It is possible for a Region to receive
credit for a referral under S/E-1 as well as this measure). Where a judicial referral is targeted
and an administrative settlement greater than $200,000 is achieved, credit will be given on the date
of issuance or the date the administrative settlement is transmitted to HQ or DOJ for concurrence
(total anticipated site costs greater than $500,000). Credit is given for each referral and not the
number of sites covered by the referral. Credit for Alternative Dispute Resolution (ADR) is based
on the actual start date entered in CERCLIS. No additional credit will be given for an
administrative settlement reached as a result of ADR. Credit for bankruptcy filings is based on the
date (as entered in CERCLIS) when the creditor committee holds its first meeting with the bankruptcy
trustee, or the date (as recorded in CERCLIS) when the strategy package is assembled.
S/E - 3(a) and (b): De Minimis Settlements
De minimis settlement reached under Section 122(g) only. S/E-3(a): These are the number of
settlements (AOCs/CDs) by site, and the number PRP signatories to each settlement, reached under
Section 122(g). Credit for a final settlement is identified when: an AOC is issued to the PRPs (as
recorded in CERCLIS), and for a Consent Decree, when the Regional Administrator (RA) or designee
signs the transmittal memo to Headquarters or to the Department of Justice (as recorded in CERCLIS).
S/E-3(b): These are the number of de minimis settlements, and the number PRP signatories to those
settlements (AOCs/CDs) by site, reached under Section 122(g) prior to the first operable unit remedy
selection at the site. Credit for a final settlement is identified when: an AOC is issued to the
PRPs (as recorded in CERCLIS), and for a Consent Decree, when the RA signs the transmittal memo to
Headquarters or to the Department of Justice (as recorded in CERCLIS).
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1993
Program Area: Oil Pollution Act
GOAL: Prevent harmful releases of oil and hazardous substances into the environment.
OBJECTIVE:
ACTIVITY:
MEASURE:
Reduce catastrophic or harmful releases of oil and
hazardous substances.
SPCC Inspections
Report the number of facilities with a planned SPCC
inspection completion.
STARS CODE: OPA-l(a)
TARGETED: N
REPORTED ONLY: Y
SUNSET: 1995
MEASURE:
ACTIVITY:
MEASURE;
Report the number of facility inspections completed
as a result of a spill violation.
SPCC Violations
Report the number of violations of Section 311(j) of
the Clean Hater Act (CWA), as amended by the Oil
Pollution Act (OPA), identified by EPA.
STARS CODE: OPA-l(b)
TARGETED: N
REPORTED ONLY: Y
SUNSET: 1995
STARS CODE: OPA-2
TARGETED: N
REPORTED ONLY: Y
SUNSET: 1995
13
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GOAL:
OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1993
Program Area; Oil Pollution Act
Prepare for and respond in a timely and effective manner to releases of oil and hazardous
substances into the environment.
OBJECTIVE:
Improve preparedness of Federal, State and local
entities to respond to releases of petroleum and
hazardous material into the environment.
ACTIVITY:
MEASURE:
MEASURE:
MEASURE:
ACTIVITY:
MEASURE:
Oil Spill Responses
Report the number of EPA responses to oil or CWA
Section 311 hazardous substance spills.
Report the number of responsible party responses
conducted under an order issued pursuant to OPA.
Report the number of incidents where EPA directs
responses and EPA participates on-site for responses
against the total number of oil or CWA Section 311
hazardous substances spills reported.
Enforcement actions
Report the number of violations of Sections 311(j)
and 311(b)(3) of CWA, as amended by OPA, addressed
through an enforcement action including
administrative complaints issued and judicial
referrals.
STARS CODE:
TARGETED:
REPORTED ONLY:
SUNSET:
STARS CODE:
TARGETED:
REPORTED:
SUNSET:
STARS CODE:
TARGETED:
REPORTED:
SUNSET:
STARS CODE:
TARGETED:
REPORTED ONLY:
SUNSET:
OPA-3(a)
N
Y
1995
OPA-3(b)
N
Y
1995
OPA-4
N
Y
1995
OPA-5
N
Y
1995
14
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Office of Solid Waste and Emergency Response
FY 1993
Oil Pollution Act Definitions
OPA-1 Number of Facilities With Completed SPCC Inspections - This measure includes planned
inspections and those resulting from a spill violation. SPCC inspections involve
review of required SPCC plans and inspection of facilities and equipment. Credit will
be received when the inspection has been completed and recorded in CERCLIS.
OPA-2 Number of SPCC Violations - This measure counts the number of violations identified by
EPA as a result of inspections conducted.
OPA-3 Number of Oil Spill Responses - This measure counts both EPA and other party
responses. EPA participation may involve using OPA funds to clean up a spill,
directing the response activities, or consulting with the responders. This measure
also counts removals conducted by a responsible party as a result of orders EPA issues
to a responsible party to conduct a removal of an oil spill in violation of Section
311(b) of the Clean Water Act, as amended by the Oil Pollution Act. The removal shall
be counted on the date the order is issued to the responsible party.
OPA-4 Percentage of Responses directed bv EPA or EPA participates on-site against the total
number of oil spills reported - This measure counts the number of responses EPA
directs and other response participation against the total number of oil and CWA
Section 311 hazardous substance spills reported in the Emergency Response Notification
System (ERNS).
OPA-5 Number of Enforcement Actions - This measure counts the number of violations that
result in an enforcement action. An administrative complaint shall be counted on the
date it is issued to the respondent. A judicial case shall be counted on the date of
the referral letter/cover memo to the Department of Justice.
15
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Office of Solid Waste and Emergency Response
FY 1993
Chemical Emergency Preparedness and Prevention Office
GOAL: To prepare for and respond in a timely and effective manner to releases of hazardous substances
into the environment.
OBJECTIVE:
ACTIVITY:
MEASURE:
To improve the preparedness of Federal, State and
local entities to respond to release of petroleum
and hazardous material into the environment.
Technical assistance and training activities
Report and describe technical assistance and training
activities which EPA conducted, sponsored, developed,
assisted in developing, participated in, or
presented.
STARS CODE: CEP-1
TARGETED: YES
REPORTED ONLY: NO
SUNSET: 1991
GOAL: To prevent harmful releases of oil and hazardous substances into the environment.
OBJECTIVE:
ACTIVITY;
MEASURE:
ACTIVITY:
MEASURE:
Improve release prevention practices and technologies.
Accidental Release Information Program questionnaires
Report number of Accidental Release Information
Program (ARIP) questionnaires returned by
facilities having releases.
Chemical safety audits
Report on number of chemical safety audits conducted.
STARS CODE: CEP-2
TARGETED: No
REPORTED ONLY: Yes
SUNSET: 1991
STARS CODE: CEP-3
TARGETED: Yes
REPORTED ONLY: No
SUNSET: 1991
16
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
Office of Waste Programs Enforcement
FY 1993
Program Area; CERCLA/EPCRA ENFORCEMENT
GOAL: Prevent harmful releases of oil and hazardous substances into the environment.
OBJECTIVE: Reduce catastrophic or harmful reslease of oil and hazardous substances.
ACTIVITY: Penalty Enforcement Actions. Report the number of:
MEASURE; Administrative complaints referred to Office STARS CODE: C/E-1
of Regional Counsel. TARGETED: YES
REPORT ONLY: NO
SUNSET:
17
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1993
CHEMICAL EMERGENCY PREPAREDNESS AND PREVENTION DEFINITIONS
CEP-1 TECHNICAL ASSISTANCE
The provision of expertise to improve preparedness capabilities and to stimulate
initiatives taken by SERCS, Tribes, LEPCs, and labor, environmental trade and professional
organizations to prevent accidental releases of chemicals. It includes consultation (in
the field with the recipient), workshops, or other means. It does not include formal
training courses; the provision of equipment; telephone conversations, except where the
assistance involves a series of lengthy calls and written material is prepared or provided
as a follow-up to the call; or update reports provided at conferences or meetings. This
assistance includes, but is not limited to:
o Assistance in organizing, developing, and implementing preparedness, prevention, or
community right-to-know programs and activities;
o Assistance in organizing and conducting CEPP-related workshops;
o Assistance in development and review of emergency plans (including hazards analysis);
o Assistance in the exercise of table-top, full field, or functional exercises conducted
to test or evaluate a contigency plan;
o Assistance in information management or risk communication;
o Assistance in development of haz-mat teams;
o Assistance in dispersion modeling and air-monitoring;
o Assistance in evaluation or installation of alarm/alerting systems;
o Assistance in developing and conducting projects for enhancing chemical process safety;
o Assistance in projects which increase the integration or preparedness efforts and
response activities such as participation in a multi-party local planning/response team,
such as EPA, Coast Guard and local industry;
o Assistance in projects which enhance capabilities of SERCs/Tribal Emergency Response
Cominissions/LEPCs which are not fully functioning such as a review of an LEPC, followed
by the assistance described above.
TRAINING ACTIVITIES
Formal educational presentations using instructional materials and techniques. In-house
EPA training for EPA employees or EPA contractors will not count toward meeting this
measure. In order to meet this measure, EPA must have developed and/or presented the
training activity. The term "EPA" refers to the CEPP office.
18
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CEP-2 ACCIDENTAL RELEASE INFORMATION PROGRAM
Program designed to:
a) To focus high-level management attention on facilities having repeated or "serious"
releases, which may stimulate them to undertake prevention initiatives on their own;
and
b) To provide EPA with accurate information on the causes of releases and the activities
currently underway in the private sector to prevent them from occurring.
TRIGGERED RELEASES
The Accidental Release Information Program (ARIP) is focusing on releases which are
"serious". Currently, the criteria or triggers being utilized to identify "serious"
releases are:
o Starting with the fourth release and ending with the tenth release in a twelve-month
period.
o A release greater than 1,000 Ibs. for hazardous substances having RQs =1, 10 or 100
Ibs. and a release greater than 10,000 Ibs. for hazardous substances having RQs = 1,000
or 5,000 Ibs.
o Any release resulting in death, injury, or severe environmental damage.
o A release of an extremely hazardous substance above the RQ.
LETTERS/QUESTIONNAIRES
Once a facility has met a trigger, the Region is required to draft a letter combining the
authorities of CERCLA, SARA, CAA, and RCRA, send it to the plant manager, along with the
questionnaire EPA has developed. A copy of the response must be sent to Headquarters.
CEP-3 ON-SITE CHEMICAL SAFETY AUDIT
An on-site review of a particular process/handling and management operations at a site
from a chemical process safety standpoint and includes the preparation of and submittal to
Headquarters of a final report of the on-site review. It is an audit of safety
procedures, facility equipment, training and contingency planning, as well as management
commitment.
19
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
OFFICE OF WASTE PROGRAMS ENFORCEMENT
FY 1993
CERCLA/EPCRA ENFORCEMENT DEFINITIONS
C/E-1: PENALTY ENFORCEMENT ACTIONS
Referred means that the administrative complaint being submitted to the Office of Regional
Counsel is in near final form, that all evidence supporting the counts alleged in the complaint
be documented in the case file, that all penalty calculations be documented in the case file,
and that a memorandum be sent from the division requesting ORC review of the complaint.
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1993
PROGRAM AREA; CHEMICAL EMERGENCY PREPAREDNESS AND PREVENTION
National Program Environmental Indicator
GOAL: To prevent harmful releases of oil and hazardous substances into the environment.
ENVIRONMENTAL INDICATOR: Reduction in the number and/or severity of accidental releases of
hazardous substances that have a negative impact on human health and the environment.
DEFINITION: "Accidental releases" of hazardous substances (as regulated under CERCLA Section
103, under CAA Section 301) refers to accidents that are severely damaging, large, or
frequent. "Negative impact on human health" refers to the loss of life, serious
injuries in the community, and/or catastrophic impacts on the environment (e.g., damage
to property, natural resources, or both, amounting to $100 million or more).
DATA SOURCE: Accidental Release Information Program (ARIP) data collection, as well as other
date systems, will be evaluated as a starting point in the development of an indicator that
reflects the number and/or severity of accidental releases. Also, the Chemical
Accident Prevention Advisory Committee has established a subcommittee to evaluate
measures of success for prevention practices and programs. Based on their and EPA Regional
Office input, we expect to revise this indicator in FY 94. To the extent possible, we will
work toward developing an indicator/STARS measure that reflects environmental progress or
results.
21
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Office of Solid Waste and Emergency Response
RCRA Program
FY 1993
NOTE: Measures and definitions marked "draft" are under development in conjunction with the
FY 1993 RCRA Implementation Plan (RIP). Regional and State comments are being solicited
through the RIP development process.
22
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OFFICE OF SOLID WASTE
FY 1993
RCRA Subtitle C; Permitting and Closure
Goal;
Ensure the environmentally sound management of solid and hazardous waste.
OBJECTIVE:
ACTIVITY;
MEASURE;
Create a more effective and rational RCRA Subtitle C program.
Track operating permit final determinations and
permit modifications at RCRA TSDFs.
Number of RCRA TSDFs to receive operating permit
final determinations during fiscal year.
STARS CODE: R/C-la
TARGETED: NO
REPORT ONLY: YES
SUNSET: 2/93
ACTIVITY:
Track progress of closure activity at RCRA TSDFs
MEASURE;
Number of RCRA TSDFs to receive closure plan
approval during fiscal year.
STARS CODE: R/C-2a
TARGETED: NO
REPORT ONLY: YES
SUNSET: 2/93
23
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OFFICE OF SOLID WASTE
FY 1993
RCRA Subtitle C: Permitting and Closure
ACTIVITY:
MEASURE:
Track progress of Post-Closure permitting
activity at closed and closing Land Disposal
units at RCRA TSDFs
Number of Post-Closure Part B applications
called in for high priority facilities.
STARS CODE: R/C-3a
TARGETED: NO
REPORT ONLY: YES
SUNSET: 2/93
MEASURE:
Number of Post-Closure final
determinations
STARS CODE: R/C-3C
TARGETED: YES
REPORT ONLY: NO
SUNSET: 2/93
24
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OFFICE OF SOLID WASTE
FY 1993
RCRA Subtit1e C; Permitting And Closure Definitions
R/C-la
Number of RCRA TSDFs to receive operating permit final determinations during fiscal year.
Count only one permit per facility per date. A single permit covering multiple processes
(e.g., Land Disposal and Storage and Treatment) at a single facility will be counted only
once. Facilities receiving two permits, each on separate dates, will be counted twice.
R/C-2a
Number of RCRA TSDFs to receive closure plan approval during fiscal year. Count only one
closure plan approval per facility per date. A single closure plan covering multiple
processes (e.g., Land Disposal and Storage and Treatment) at a single facility will be
counted only once. Facilities receiving two closure plan approvals, each on separate dates,
will be counted twice.
R/C-3a
Number of RCRA TSDFs Post-Closure applications called-in for high priority facilities during
fiscal year. Count only one Post-Closure application called-in per facility per date.
Facilities with two separate Post-Closure applications called-in, each on separate dates,
will be counted twice.
R/C-3c
Number of RCRA TSDFs Post-Closure final determinations made during fiscal year. Count only
one Post-Closure final determination during fiscal year per facility per date. Facilities
with two separate Post-Closure final determinations during the fiscal year, each on separate
dates, will be counted, twice.
25
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Goal:
OFFICE OF SOLID WASTE
FY 1993
RCRA Subtitle C; Corrective Action
Prepare for and respond to in a timely and effective manner to releases of
hazardous substances into the environment.
OJECTIVE: Develop an integrated cleagnup program
ACTIVITY : Track progress of facilities through the corrective action pipeline's three
targeted stages.
MEASURE; STAGE I: Information Collection and Study at
High NCAPS Priority Pipeline Facilities
MEASURE; STAGE II: Remedy Development and Selection at
High NCAPS Priority Pipeline Facilities
STARS CODE:
TARGETED:
REPORT ONLY:
SUNSET:
STARS CODE:
TARGETED:
REPORT ONLY:
SUNSET:
R/J-la
YES
NO
2/93
R/J-lb
YES
NO
2/93
ACTIVITY; Track progress toward completing key activities
in the corrective action program
MEASURE; Number of TSDFs evaluated for near term actions
to reduce risk and control containment releases
(i.e., stabilization evaluations)
STARS CODE: R/J-2
TARGETED: NO
REPORT ONLY: YES
SUNSET: 2/93
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OFFICE OF SOLID WASTE f^D A CT
FY 1993 Lsl\/\r 5
RCRA Subtitle C: Corrective Action
MEASURE: Number of TSDFs with actions initiated to reduce STARS CODE: R/J-3
and control the spread of containment releases. TARGETED: NO
Actions are Stage III at High NCAPS priority REPORT ONLY: YES
facilities and near term risk reduction (i.e., SUNSET: 2/93
stabilization measures underway at H/M/L
NCAPS facilities.)
(This measure may be revised)
-------
D.
0
OFFICE OF SOLID WASTE
FY 1993
RCRA Subtitle C: Corrective Action Definitions
R/J-la
Stage I: Information Collection and Study at NCAPS high priority pipeline facilities.
Consider the following activities to be part of this Stage of the corrective action
process: RFI Workplan Approved, RFI completed. This measure will count the number of
facilities which have moved into this stage for the first time. Facilities should only
move into this stage if they are not feasible candidates for stabilization and are still
of high corrective action priority OR stabilization is underway but the facility must
continue through to final remedy for other acceptable reasons.
R/J-lb
Stage II: Remedy Development and Selection at NCAPS high priority pipeline facilities.
Consider the following activities to be part of this Stage of the corrective action
process: CMS Workplan Approved, CMS Completed, Remedy Selected, Corrective Measures
Design Approved. Count facilities which have moved into this stage of process for the
first time. Facilities should only move into this stage if they are not feasible
candidates for stabilization and are still of high corrective action priority OR
stabilization is underway but the facility must continue through to final remedy for other
acceptable reasons.
R/J-2
Definition is being developed.
R/J-3
Definition is being developed
28
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DRAFT
OFFICE OF SOLID WASTE
FY 1993
RCRA Subtitle C; Waste Minimization
Goal: Minimize the quanity and toxicity of waste created by commercial, industrial and
governmental activity.
ACTIVITY: Number of facility specific waste minimization
programs reviewed by EPA or the States.
(Definition under development)
STARS CODE:
TARGETED: NO
REPORT ONLY: YES
SUNSET: 2/93
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DRAFT
OFFICE OF SOLID WASTE
FY 1993
RCRA Subtitle C; Biennial Report
Goal; Ensure the environmentally sound management of solid and hazardous waste.
OBJECTIVE; States actively plan for adequate capacity to ensure the safe management of their
wastes.
ACTIVITY; Timely completion of Biennial Report data.
MEASURE: Number of States for which the Region provides
a final and complete Biennial Report data
submission to Headquarters by 11/30/92.
(Definition under development)
STARS CODE: R/PM-2
TARGETED: NO
REPORT ONLY: YES
SUNSET: 2/93
30
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OFFICE OF SOLID WASTE
FY 1993
Program Area; Municipal Solid Waste Program
GOAL: Ensure the environmentally sound inanaqeraent of solid and hazardous wastes.
OBJECTIVE:
ACTIVITY:
MEASURE;
ACTIVITY:
MEASURE;
Ensure the proper management on municipal solid wastes (MSW) in all
States/Tribes.
Submittal of State/Tribal application for determination
of adequacy of MSW landfill permit program.
Number of States/Tribes submitting applications
for determination of adequacy under Section 3.
STARS CODE: R/D-la
TARGETED: NO
REPORTED ONLY: YES
SUNSET: 2/93
Regional determination of adequacy of State/Tribal
permit program.
Number of Regional determinations of adequacy
completed (include both determinations of
adequacy and determinations of inadequacy).
STARS CODE: R/D-lb
TARGETED: NO
REPORTED ONLY: YES
SUNSET: 2/93
31
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OFFICE OF SOLID WASTE
FY 1993
Municipal Solid Waste Program Definitions
R/D-la
Number of States/Tribes submitting complete applications for determination of adequacy.
R/D-lb
Number of determinations Region publishes in the Federal Register; report number of
determinations by adequate and inadequate.
32
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DRAFT
OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1993
Program Area: RCRA Enforcement
GOAL:
Ensure the environmentally sound management of solid and hazardous wastes.
OBJECTIVE:
MEASURE;
MEASURE;
MEASURE:
MEASURE i
Create a more effective and rational RCRA Subtitle C Program.
Report the number of formal administrative actions
issued year-to-date (including 3008(a), 3008(h),
3013, and 7003).
Report the number of SNCs in existence as of
October 1, 1992 (as a result of an inspection
conducted prior to October 1, 1988), that have had
formal actions and have not returned to compliance
with all violations which caused them to be in
SNC.
Report, year-to-date, the number of enforcement
settlements which incorporate pollution prevention
or pollution reduction activities (administrative
and judicial orders).
Report, year-to-date, the number of TSDFs in
compliance.
STARS CODE: R/E-1
TARGETED: N
REPORTED ONLY: Y
SUNSET: 1994
STARS CODE: R/E-2
TARGETED: N
REPORTED ONLY: Y
SUNSET: 1994
STARS CODE: R/E-3
TARGETED: N
REPORTED ONLY: Y
SUNSET: 1994
STARS CODE: R/E-4
TARGETED: N
REPORTED ONLY: Y
SUNSET: 1994
33
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DRAFT
OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1993
Program Area: RCRA Enforcement
GOAL:
Ensure the environmentally sound management of solid and hazardous wastes.
OBJECTIVE:
Create a more effective and rational RCRA Subtitle C Program.
OPTION 1 FOR DETERRENCE MEASURE
MEASURE:
NOTE:
Report the number of facilities out-of-compliance
with a Consent Agreement and Final Order (CAFO)
issued in FY 91.
The purpose of this measure is to establish the
universe of facilities that are out-of-compliance
with issued CAFOs.
STARS CODE: R/E-5a
TARGETED: N
REPORTED ONLY: Y
SUNSET: 1994
MEASURE:
NOTE:
Report the number of subsequent administrative
actions or civil referrals issued to enforce
provisions of each CAFO identified in R/E-5a.
The purpose of this measure is to determine the
deterrent effect of CAFOs.
STARS CODE: R/E-5b
TARGETED: N
REPORTED ONLY: Y
SUNSET: 1994
34
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DRAFT
OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1993
Program Area; RCRA Enforcement
GOAL:
Ensure the environmentally sound management of solid and hazardous wastes.
OBJECTIVE:
Create a more effective and rational RCRA Subtitle C Program.
MEASURE;
NOTE:
MEASURE;
OPTION 2 FOR
Report the ratio of TSDs with subsequent violations
of the same type after a FY 91 final enforcement
action to TSOs without subsequent violations of the
same type after a FY 91 final enforcement action.
(within 3 years).
The purpose of this measure is to determine whether
formal enforcement actions deter non-compliance
subsequent violation of the same type.
Report the ratio of TSDs with subsequent violations
of the same type after a FY 92 final enforcement
action to TSDs without subsequent violations of the
same type after a FY 92 final enforcement action.
(within 3 years).
STARS CODE: R/E-5a
TARGETED: N
REPORTED ONLY: Y
SUNSET: 1994
STARS CODE: R/E-5b
TARGETED: N
REPORTED ONLY: Y
SUNSET: 1994
35
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DRAFT
OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1993
Program Area; RCRA Enforcement
GOAL:
Ensure the environmentally sound management of solid and hazardous wastes.
OBJECTIVE:
Create a more effective and rational RCRA Subtitle C Program.
NOTE:
MEASURE;
MEASURE i
The purpose of these measures is to determine
whether formal enforcement activities deter non-
compliance with subsequent violations of any
type.The measures are broken down by FY 91 & 92 to
determine deterrence trends over a two-year period.
Report the ratio of TSDs with subsequent violations
of any type after a FY 91 final enforcement action
to TSDs without subsequent violations of any type
after a FY 91 final enforcement action. (within 3
years).
Report the ratio of TSDs with subsequent violations
of any type after a FY 92 final enforcement action
to TSDs without subsequent violations of any type
after a FY 92 final enforcement action. (within 3
years).
STARS CODE: R/E-5a
TARGETED: N
REPORTED ONLY: Y
SUNSET: 1994
STARS CODE: R/E-5b
TARGETED: N
REPORTED ONLY: Y
SUNSET: 1994
36
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1993
RCRA Enforcement Definitions
Definitions for the new STARS Measures are being developed. Regions will be given
the opportunity to comment on the definitions before the definitions are finalized.
37
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GOAL:
OFFICE SOLID WASTE AND EMERGENCY RESPONSE
FY 1993
Program Area; Underground Storage Tanks
Prepare for and respond in a timely and effective manner
to releases of hazardous substances into the environment.
OBJECTIVE:
Enhance State capabilities to clean up hazardous and
petroleum waste sites.
MEASURE:
Number of States submitting complete applications for
State program approval.
STARS CODE: UST-l(a)
TARGETED: N
REPORTED ONLY: Y
SUNSET: FY 1993
MEASURE; Number of States with authorized programs.
STARS CODE:
TARGETED:
REPORTED ONLY:
SUNSET:
UST-l(b)
N
Y
FY 1993
OBJECTIVE:
Improve identification and remediation of hazardous
and petroleum waste sites.
MEASURE;
Number of site cleanups for petroleum releases
initiated, by either responsible parties or States
(Report separately for responsible party lead, State
lead with Trust Fund money, and State lead with no
Trust Fund money).
STARS CODE: UST-2(a)
TARGETED: N
REPORTED ONLY: Y
SUNSET: FY 1993
MEASURE!
Number of petroleum releases under control, by either
responsible parties or States (Report separately for
responsible party lead, State lead with Trust Fund
money, and State lead with no Trust Fund money).
STARS CODE:
TARGETED:
REPORTED ONLY:
SUNSET:
UST-2(b)
N
Y
FY 1993
38
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OFFICE SOLID WASTE AND EMERGENCY RESPONSE
FY 1993
Program Area: Underaround Storage Tanks
MEASURE; Number of site cleanups for petroleum releases
completed, by either responsible parties or States
(Report separately for responsible party lead, State
lead with Trust Fund money, and State lead with no
Trust Fund money.)
MEASURE; Number of sites where a release has been confirmed.
STARS CODE: UST-2(c)
TARGETED: N
REPORTED ONLY: Y
SUNSET: FY 1993
STARS CODE: UST-3
TARGETED: N
REPORTED ONLY: Y
SUNSET: FY 1993
39
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1993
Office of Underground Storage Tanks Definitions
UST-KA) Number of States submitting complete applications for State program approval.
The State has submitted an application for program approval and the Region has determined that the
application is "complete" in accordance with the application components required by the regulations.
Information reported should indicate whether the State application is for a partial program (either
petroleum or chemical USTs) or a complete program (both petroleum and chemical USTs). Quarters 2,3,
and 4 are reported cumulatively.
UST-lfB) Number of States with authorized programs.
The State program has been approved by the Regional Administrator according to the regulations to
operate in lieu of the Federal program. This measure includes interim authorizations. Information
reported should indicate whether the State program authorization is for a partial program (either
petroleum or chemical USTs) or a complete program (both petroleum and chemical USTs). Quarters 2,3,
and 4 are reported cumulatively.
UST-2fAl Number of site cleanups for petroleum releases initiated, bv either responsible parties or
States (Report separately for responsible party lead. State lead with Trust Fund money, and State
lead with no Trust Fund money).
The total number of specific sites at which the State or responsible party under its supervision has
initiated management of petroleum-contaminated soil, OR removal of free petroleum product, OR
management or treatment of dissolved petroleum contamination caused by a release from an UST. Site
investigations and emergency responses do not qualify as cleanup actions. Report responsible party
lead, State lead with Trust Fund money, and State lead with no Trust Fund money, cleanups
separately. This measure includes all cleanups initiated by a State, whether involving Federal
funds under a LUST Trust Fund cooperative agreement or involving only State funds. (This is a
cumulative measure. The number in the first quarter of FY 1993 should include those sites with
actions initiated from FY 1988 through FY 1992.)
UST-2(B) Number of petroleum releases under control, by either responsible parties or States (Report
separately for responsible party lead, state lead with Trust Fund money, and State lead with no
Trust Fund money).
The total number of petroleum releases from an UST at which the State or responsible party under
State supervision has performed ALL the following tasks: 1) stopping the flow of free product into
the environment; 2) mitigating any fire and safety hazards (e.g., abating dangerous levels of fumes
in basements of homes and other affected buildings); 3) managing contaminated soils as directed by
40
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1993
Office of Underground Storage Tanks Definitions
UST-2(B) con't.
the State; 4) determining the presence of free product floating on the water table and beginning
removal of it according to a plan submitted to the State; and 5) determining whether drinking water
supplies are contaminated and assuring that alternative supplies of potable water are available when
the State determines that the water supplies should not be used. Report responsible party lead,
State lead with Trust Fund money, and State lead with no Trust Fund money, cleanups separately.
This measure includes all releases under control by a State, whether involving Federal funds under a
LUST Trust Fund cooperative agreement or involving only State funds. (This is a cumulative measure.
The number in the first quarter of FY 1993 should include those sites with action completed from FY
1988 through FY 1992.)
UST-2(C) Number of site cleanups for petroleum releases completed, by either responsible parties or
States (Report separately for responsible party lead. State lead with Trust Fund money, and State
lead with no Trust Fund money).
This means the total number of specific sites of a petroleum release from an UST at which the State
has determined that no further cleanup actions are necessary at the site. Report responsible party
lead, State lead with Trust Fund money, and State lead with no Trust Fund money, cleanups
separately. This measure includes all releases completed by a State, whether involving federal
funds under a LUST Trust Fund cooperative agreement or involving only State funds. (This is a
cumulative measure. The number in the first quarter of FY 1993 should include those sites with
cleanups completed prior to FY 1993.)
UST-3 Number of sites where a release has been confirmed.
Confirmed releases are the number of sites where the owner/operator has identified a release,
reported the release to the State/local or other designated implementing agency (e.g., fire
department) arid the State/local implementing agency verifies the release according to State
procedures such as a site visit (including State contractors), or a phone call, follow-up letter or
other reasonable information that confirms the release (e.g., failed tank tests).
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1993
Program Area; Underground Storage Tanks
National Program Environmental Indicator
GOAL:
ENVIRONMENTAL INDICATOR: At present, the Office of Underground Storage Tanks has not developed any
environmental indicators. Progress towards proper environmental management
is gauged through previous measures.
DEFINITION:
DATA SOURCE:
42
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OFFICE OF PESTICIDE PROGRAMS
FY 1993 MEASURES AMD DEFINITIONS
FOR THE
STRATEGICALLY TARGETED ACTIVITIES FOR RESULTS SYSTEM (STARS)
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1993
Program Area: Pesticides
GOAL: Risk Reduction
OBJECTIVE: Protect health and the environment from any unreasonable effects from
pesticides currently in use.
MEASURE: Establishment of
comprehensive data
requirements in data call ins.
Stars Code: P-l
Targeted: Ql, Q2, Q3, Q4
Reported Only: N
Sunset: N
OBJECTIVE: Restrict or ban the use of pesticides posing unreasonable effects to human
health and the environment.
MEASURE:
Publication of
reregistration eligibility
documents or "other appropriate regulatory
actions."
MEASURE: Reregister
specific products (determination
that a pesticide meets the requirements of
section 3(c)(5)). This step does not take place
until up to 14 months after the determination of
eligibility for reregistration.
MEASURE: Comp1ete
special review decisions.
Stars Code: P-2
Targeted: Ql, Q2, Q3, Q4
Reported Only: N
Sunset: N
Stars Code: P-3
Targeted: Ql, Q2, Q3, Q4
Reported Only: N
Sunset: N
Stars Code: P-4
Targeted: Ql, Q2, Q3, Q4
Reported Only: N
Sunset: N
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1993
Program Area: Pesticides
GOAL: Risk Reduction
OBJECTIVE: Prevent unreasonable risks from pesticide active ingredients and products and
encourage use of safer pesticides.
ACTIVITY:
MEASURE:
Complete final decisions on new active ingredients and applications for
registration in a timely manner and report on the overdue active ingredients
and applications.
New Active Ingredients (New Chemicals/New
Biochemicals/Microbiological Reviews):
MEASURE: Old Chemical Applications:
MEASURE: Amended Registration Applications:
MEASURE: New Use Applications:
Stars Code: P-5
Targeted: Ql, Q2, Q3, Q4
Reported Only: N
Sunset: N
Stars Code: P-6
Targeted: Ql, Q2, Q3
Reported Only: N
Sunset: N
Q4
Stars Code: P-7
Targeted: Ql, Q2,
Reported Only: N
Sunset: N
Q3, Q4
Stars Code: P-8
Targeted: Ql, Q2, Q3
Reported Only: N
Sunset: N
Q4
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OFFICE OF PESTICIDES AMD TOXIC SUBSTANCES
FY 1993
Program Area: Pesticides
GOAL: Risk Reduction
MEASURE: Complete final decisions on emergency
exemptions. (Note: These may vary based on the
number of petitions and exemptions received by
the EPA. The Office of Pollution Prevention will
compare the number of petitions and exemptions
actually processed each quarter with the number
administratively targeted to be processed.)
MEASURE: Process final decisions on tolerance
petitions within quarterly targets.and report on
the backlog of overdue petitions. '(See above
note for emergency exemptions.)
MEASURE: Ground Water
Stars Code: P-9
Targeted: Ql, Q2, Q3, Q4
Reported Only: N
Sunset: N
MEASURE: Endangered Species
MEASURE: Worker Protection
Stars Code: P-10
Targeted: Ql, Q2, Q3, Q4
Reported Only: N
Sunset: N
Stars Code: P-ll
Targeted: Ql, Q2, Q3, Q4
Reported. Only: Y
Sunset: Y
Stars Code: P-12
Targeted: Ql, Q2, Q3, Q4
Reported Only: Y
Sunset: Y
Stars Code: P-13
Targeted: Ql, Q2, Q3, Q4
Reported Only: Y
Sunset: Y
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P-l Establishment of Comprehensive Data Requirements in Data Call Ins
Comprehensive data requirements will be developed for chemicals:
List A consists of pesticide active ingredients for which Registration Standards
have been issued as of December 24, 1988; and the other three lists (Lists B, C
and D) are to include all other active ingredients contained in a product first
registered before November 1, 1984, for which Registration Standards have not
been issued.
Reregistration of these chemicals will be accomplished in the following phases:
Phase 1: EPA is required to publish lists of pesticide active ingredients
subject to reregistration and to ask registrants of pesticide products
containing those active ingredients whether they intend to seek reregistration.
Phase 2; Registrants inform EPA of intent tb seek reregistration, comply with
data requirements and pay first portions of reregistration fee.
Phase 3; Registrants submit require'd existing studies and pay final
reregistration fee.
Phase 4: Independent EPA review of registrant submissions and identification
and call in of any additional data requirements.
Phase 5; EPA conducts reregistration review of each active ingredient and takes
appropriate regulatory action.
Definition; For List A chemicals, this would be the mailing of a Data Call In (DCI)
as a result of the inventory. For Lists B, C and D, this would be the Phase 4 DCI
mailing.
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p-1 Establishment of Comprehensive Data Requirements in Data Call Ins
Quarter
1
2
3
4
Total
FY 93
Targets
-------
P-2 Publication of Reregistration Eligibility Documents (RED) or "Other Appropriate
Regulatory Action"
Definition: For all lists, this would be the Phase 5 determination required by
Section 4(g)(2)(A) as to whether pesticides containing a given active ingredient are
eligible for reregistration. For chemicals deemed eligible for reregistration, the
document would be the equivalent of a registration standard and would also call in
product specific data. For those List B, C and D chemicals, and List A chemicals
following the inventory based DCI, which are deemed ineligible there may be a range
of actions from another DCI to a referral to special review. Whatever the "non-
eligibility" determination is, it would be announced in the Federal Register and
would be a completion under this measure.
Quarter
1
2
3
4
Total
FY 93
Targets
-------
P-3 Product Specific Reregistration
Definition: A determination that a pesticide meets the requirements of Section
3(c)(5). This step does not occur until up to 14 months after the determination of
eligibility for reregistration.
Quarter
1
2
3
4
Total
FY 93
Targets
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P-4 Special Review Decisions
Definition: Special Review accomplishments include those actions which require
intensive resources for Agency resolution in addition to Position Documents. Major
Federal Register status reports, similar to those prepared for 2,4-D, are resource
intensive and serve much the same purpose as Position Documents in keeping the public
informed of our findings. Therefore, the definition of Special Review
accomplishments includes actions of this type as well as Position Documents.
Tolerance revocations (proposed and final) also will not be counted as Special Review
accomplishments.
In addition to issuance of Position Documents, the following types of resolutions are
included in Special Review decisions:
1) returning the chemical to the pesticide registration process:
a) after deciding not to initiate a Special Review before a Grassley-Allen
letter is issues, or
b) after deciding not to initiate -a Special Review subsequent to the issuance
of a Grassley-Allen letter;
2) voluntary cancellation by the applicant;
3) cancellation or suspension of the Special Review by EPA;
4) a negotiated settlement on modifications to the terms and conditions of the
registration with the registrant whether the chemical:
a) is in Special Review, or
b) is being consider for Special Review;
5) proposed and final Notices of Intent to Cancel; and
6) a major status report explaining the Agency's position on a chemical or class of
chemicals, either in Special Review or being considered for Special Review, or
interpretation of Special Review criteria.
The position documents are:
PD-1: reviews the available scientific data and addresses whether a chemical has
met or exceeded Special Review risk criteria (if a chemical does not exceed
the criteria, it is typically returned to the registration process). A PD-
1 is considered completed when the Federal Register notice has been signed
by the AA;
PD-2: terminates the Special Review because the risk of concern has been
rebutted;
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PD-2/3: analyzes the risks and benefits of the Special Review chemicals and any
alternatives to the various uses of the chemical, identifies feasible
regulatory options and proposes a decision. A PD-2/3 is considered
completed when the Federal Register notice has been signed by the AA; and
PD-4: reflects the Agency's final decision. The PD-4 incorporates comments
received on the PD-2/3 from the FIFRA Scientific Advisory Panel, the
Department of Agriculture and other public responses, along with
appropriate analysis of the comments. The PD-4 typically calls for
continued registration with certain terms and conditions or cancellations
for some or all uses of the pesticide or pesticides. A PD-4 is considered
completed when the Federal Register notice has been signed by the AA.
Quarter
1
2
3
4
Total
FY 93
Targets
''
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P-5 New Active Ingredients
OPP defines the following as "final decisions" for purposes of measuring performance
in the registration program:
a) withdrawal by applicant;
b) denial or registration;
c) unconditional registration; and
d) conditional registration.
New Chemicals - Applications for registration of a pesticide active ingredient that
is not currently registered under FIFRA. Final decisions may result in denial,
unconditional registration, conditional registration or administrative denial.
NOTE: Registration of a food-use chemical, i.e. a chemical that might leave a
residue on a food or feed item, requires the establishment of a tolerance or
exemption from tolerance.
New Biochemical/Microbiological - Application for registration of new biochemical or
microbial products not currently registered with the Agency, whether for food use of
non-food use. Included under these activities are:
biochemical products (pheromone, insect or plant growth regulators and hormones
used as pesticides);
- microbial products (viruses, bacteria, protozoa and fungi — any living organism
introduced into the environment to control the population or biological
activities of another life form that is considered a pest under FIFRA); and
- biotechnical products (genetically engineered microbial pesticides, or GEMP).
Each biotechnical product will undergo a risk assessment and risk/benefit
analysis.
NOTE: As with other new pesticides, registration of a new food-use biochemical
requires the establishment of a tolerance level or an exemption.
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P-5 New Active Ingredients
Quarter
1
2
3
4
Total
FY 93
Targets
-------
P-6 Old Chemicals
OPP defines the following as "final decisions11 for purposes of measuring performance
in the registration program:
a) withdrawal by applicant;
b) denial or registration;
c) unconditional registration; and
d) conditional registration.
Old chemical applies to applications for registration of new products containing
pesticide active ingredient chemicals and biologicals which have previously been
registered. Old chemical "change" applies to applications in which there is
significant change in formula or use pattern. "Me too" applications deal with
chemicals and biologicals whose formulation and use patterns are identical or
substantially similar to those previously registered.
Quarter
1
2
3
4
Total
FY 93
Targets
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P-7 Amended Registrations
OPP defines the following as "final decisions" for purposes of measuring performance
in the registration program:
a) withdrawal by applicant;
b) denial or registration;
c) unconditional registration; and
d) conditional registration.
Amended registrations include any change to an existing registration, except
notifications or significant new uses.
Quarter
1
2
3
4
Total
FY 93
Targets
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P-8 New Uses
OPP defines the following as "final decisions" for purposes of measuring performance
in the registration program:
a) withdrawal by applicant;
b) denial or registration;
c) unconditional registration; and
d) conditional registration.
New uses includes any major change involving new uses of an old product.
Quarter
1
2
3
4
Total
FY 93
Targets
>
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P-9 Emergency Exemptions
An exemption from the normal registration requirements of FIFRA which is granted by a
federal or state agency if EPA determines that emergency conditions exist (e.g., a
pest outbreak is identified and no effective pesticide is registered for the
particular use).
Quarter
1
2
3
4
Total
FY 93
Targets
.
«
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P-10 Tolerance Petitions
An FFDCA tolerance petition decision applies to all requests for tolerance levels and
exemptions from requirement of a tolerance for pesticide residues in or on raw
agricultural commodities, processed foods and minor uses. EPA is required by law to
process tolerance petitions in 180 days; however, OPP has set an administrative
deadline of 240 days to better reflect increases in the complexity of submissions.
Quarter
1
2
3
4
Total
FY 93
Targets
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P-ll Ground Water
Headquarters;
Publish the final Groundwater Strategy and support documents.
Regions (Cumulative Numbers);
a. Number of states developing generic plans (goal equals the number of states with
cooperative enforcement agreements).
b. Number of states that include acceptable management plans that include all
required components (goal equals 100% of states identified in #1 above).
c. Number of states that have identified sensitive/priority management areas, i.e.,
mixing/loading sites, abandoned wells/ sandy soils, etc. (goal equals the number
of states with cooperative agreements).
d. Number of states that are implementing (prescribing) Best Management Practices
(BMPs) for sensitive/priority areas (goal equals the number of states that have
identified priority areas).
e. Number of states that are training private and commercial applicators in
groundwater prevention measures (goal equals the number of certification and
training cooperative agreements). Alternatively, one could track the percentage
of applicators trained per state (goal would be 100%).
f. Number of states that use/adopted state-developed or federal groundwater standards
(goal equals the number of states with cooperative enforcement agreements).
Note: A breakout by Indian Tribe/Nation will be provided each quarter.
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P-12 Endangered species
Headquarters;
Publish the final Endangered Species Strategy and support documents.
Regions (Cumulative Numbers):
a. Number of states that have accepted base funding for a state endangered species
program (goal equals the number of enforcement cooperative agreements in the
region).
b. Number of states that have included endangered species information in their
private and commercial applicator classes (goal equals the number of certification
and training cooperative agreements in the region).
c. Number of states that have an accepted "pilot" program(s) to protect endangered
species (number will be negotiated based on need/jeopardy opinion within a state).
Note; A breakout by Indian Tribe/Nation will be provided each quarter.
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P-13 Worker Protection
Headcaiarters;
Publish the final Worker Protection Rule.
Regions (Cumulative Numbers);
a. Number of states that have accepted base funding for a worker protection program
(goal equals the number of states with a cooperative enforcement agreement).
b. Number of states that have identified organizations to assist with outreach and
education programs.
c. Number of states that have begun to implement the worker protection standards.
Note: A breakout by Indian Tribe/Nation will be provided each quarter.
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GOAL:
OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1993
Program Area; Office of Pesticides Proqri
ENVIRONMENTAL INDICATOR: Feasibility assessments for establishing or refining environmental
indicators are in progress. Consensus on final indicators will depend
heavily on available resources. Possibilities for sharing resources with
other programs such as EMAP for several potential indicators are currently
being investigated. Following is a list of indicators that will be
considered for implementation:
DEFINITION:
Ecological Indicators:
Ecological Hazard Risk Index and Usage Patterns, Pesticide
Poisoning and Incidents, Pesticide Residue Monitoring
DATA SOURCE:
Human Health Indicators: Food Safety - Dietary Residue levels (per AI per crop on
selected commodities, Drinking Water (ground water) quality
Worker Protection - Number of Poisonings and Specific Health
Effects, Pesticide Usage by Toxicity, Evaluation of
Compliance Data as potential basis for indicators
Environmental Exposure - Disposable/Refillable Containers,
Recycling of Pesticide Containers
Urban - Trends in Usage, Lawn Care (commercial and non-
commercial) , Indoor Exposure, Government Sponsored/Licensed
Programs (e.g., fogging)
The feasibility assessments have identified a variety of data sources for each
indicator. Implementation of environmental indicators will take into consideration
the type, quality, and cost of data available, as well as its compatibility with
related data.
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OFFICE OF TOXIC SUBSTANCES
FY 1993 MEASURES AND DEFINITIONS
FOR THE
STRATEGICALLY TARGETED ACTIVITIES FOR RESULTS SYSTEM (STARS)
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1993
Program Area: Office of Toxic Substances
GOAL: TO REDUCE RISK FROM NEW AND EXISTING CHEMICALS AND TO PROMOTE POLLUTION PREVENTION.
OBJECTIVE: Stimulate pollution prevention by reviewing new
chemicals and imposing controls as necessary prior to their
entering into commerce.
ACTIVITY: New Chemical control activities - regulatory.
MEASURE; Report the number of valid new chemical notices
received: PMN's, Biotech-PMN notices, Low Volume
Exemptions, Polymer Exemptions, Test Market Exemptions.
MEASURE: Report th number of PMNs received with Pollution
Prevention Practices/Activities reported.
MEASURE; Report the number of new chemical notices targeted for
regulatory review/action.
MEASURE:
ME AS. ;E:
Report the number of PMN cases resulting in final
action: # Dropped from further review; # §5(e) orders
issued; # §5(e) orders modified/revoked; # §5(e) SNURs
promulgated; # non-§5(e) SNURS promulgated; # notices
withdrawn in the face of regulatory action.
Receipt of Test Data as a result of triggered §5(e)
consent order and "Ban pending upfront testing"
decisions.
STARS CODE: T-la
TARGETED:
REPORTED ONLY: Quarterly
SUNSET: Annually
STARS CODE: T-lb
TARGETED:
REPORTED ONLY: Quarterly
SUNSET: Annually
STARS CODE: T-lC
TARGETED:
REPORTED ONLY: Quarterly
SUNSET: Annually
STARS CODE: T-ld
TARGETED:
REPORTED ONLY: Quarterly
SUNSET: Annually
STARS CODE: T-le
TARGETED:
REPORTED ONLY: Quarterly
SUNSET: Annually
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1993
Program Area; Office of Toxic Substances
GOAL: TO REDUCE RISK FROM NEW AND EXISTING CHEMICALS AND TO PROMOTE POLLUTION PREVENTION.
ts.93 OBJECTIVE: Initiate and implement actions to reduce the
risks from hazardous existing chemicals. Initiate actions to
review significant uses of chemicals, and, where appropriate, take
regulatory or non-regulatory actions to control exposure to
existing chemicals which may pose an unreasonable risk from their
use.
ACTIVITY: Existing Chemicals control activities.
MEASURE; Report on the number of cases where an RM1 disposition is
held, and the disposition of each case.
MEASURE: Report on the number of cases entering the queue for RM2.
Report on the number of cases completing RM2 and
disposition of each case. Case dispositions may involve
voluntary, non-regulatory actions or regulatory control
actions taken under TSCA sections 4, 5, 6, and 9.
STARS CODE: T-2a
TARGETED:
REPORTED ONLY: Quarterly
SUNSET: Annually
STARS CODE: T-2b
TARGETED:
REPORTED ONLY: Quarterly
SUNSET: Annually
Note: The term "case" refers to either a single chemical or a
chemical cluster. For cases that are clusters, the approximate
number of chemicals addressed in the cluster should be provided.
These numbers will always be approximate, as the makeup of clusters
is fluid; chemicals may be added or deleted at any time.
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1993
Program Area: Office of Toxic Substances
GOAL: TO REDUCE RISK FROM NEW AND EXISTING CHEMICALS AND TO PROMOTE POLLUTION PREVENTION.
OBJECTIVE; To significantly expand the base of toxicity data on
chemicals to support risk reduction decisions by EPA and others.
ACTIVITY: Chemical Testing program
MEASURE; Report on the number of tests being conducted, and the
number of chemicals undergoing testing, as a result of
TSCA §4 actions taken this fiscal year.
MEASURE; Report on the number of tests being conducted, and the
number of chemicals undergoing testing, as a result of
EPA involvement in non-regulatory actions. The
chemicals will undergo review to determine what data
gaps exist, and additional testing will then begin.
This includes the Organization for Economic Cooperation
and Development's (OECD's) Screening Information Data
Set testing program.
MEAUSURE; Report on the number of chemicals added to the Master
Testing List. Report on the number of chemicals
deleted from the Master Testing List.
MEASURE: Report on the number of chemicals for which final
testing reviews have been completed; the number of
testing sets reviewed; and the outcome of each review.
STARS CODE: T-3a
TARGETED:
REPORTED ONLY: Quarter 4
SUNSET: Annually
STARS CODE: T-3b
TARGETED:
REPORTED ONLY: Quarter 4
SUNSET: Annually
STARS CODE: T-3c
TARGETED:
REPORTED ONLY: Quarter 4
SUNSET: Annually
STARS CODE: T-3d
TARGETED:
REPORTED ONLY: Quarter 4
SUNSET: Annually
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1993
Program Area; Office of Toxic Substances
GOAL: TO REDUCE RISK FROM NEW AND EXISTING CHEMICALS AND TO PROMOTE POLLUTION PREVENTION.
OBJECTIVE; Promote the implementation of State accreditation
programs pursuant to AHERA Section 206(c)(2) and the Revised
Model Accreditation Plan.
ACTIVITY: Asbestos State Accreditation Program. STARS CODE: T-4
TARGETED:
MEASURE; Specify the number of EPA-approved State programs in REPORTED ONLY: Quarterly
the Region. Include the number of States with partial SUNSET:
EPA approval, and the number of States with full EPA
approval.
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1993
Program Area: Office of Toxic Substances
GOAL: TO REDUCE RISK FROM NEW AND EXISTING CHEMICALS AND TO PROMOTE POLLUTION PREVENTION.
OBJECTIVE; Assess State enhancement progress and activities.
ACTIVITY; Overall State Enhancement.
MEASURE: Provide a three-part narrative report summarizing
implementation activities for asbestos accreditation
efforts, asbestos programs in general, PCB activites,
and other efforts that involve decentralization of
toxics program and enforcement activities (i.e., Pb).
STARS CODE: T-5
TARGETED:
REPORTED ONLY:
SUNSET:
2nd quarter
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1993
Program Area; Office of Toxic Substances
GOAL: TO REDUCE RISK FROM NEW AND EXISTING CHEMICALS AND TO PROMOTE POLLUTION PREVENTION.
OBJECTIVE; Assess Regional activities in implementing the 33/50
project and the EPCRA Toxic Release Inventory Program.
ACTIVITY; 33/50 and TRI activities.
MEASURE: Provide a narrative report on Regional 33/50 and TRI
activities, emphasizing outreach efforts.
STARS CODE: T-6
TARGETED:
REPORTED ONLY:
SUNSET:
Quarterly
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1993
Program Area; Office of Toxic Substances
GOAL: TO REDUCE RISK FROM NEW AND EXISTING CHEMICALS AND TO PROMOTE POLLUTION PREVENTION.
OBJECTIVE: Highlight Regional outreach efforts and provide a
forum to report new innovative Regional projects.
ACTIVITY: New innovative Regional activities.
MEASURE; Provide a narrative report on new innovative Regional
initiatives, with a focus on cross-program or program-
specific outreach activities.
STARS CODE: T-7
TARGETED:
REPORTED ONLY:
SUNSET:
Quarterly
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1993
Program Area; Office of Toxic Substances
T-l NEW CHEMICAL CONTROL ACTIVITIES - REGULATORY
Chemical companies are required to notify EPA prior to the manufacture of any new
chemical. This premanufacture notification (PMN) provides EPA with an opportunity to
review the chemical and impose whatever controls or restrictions are necessary to protect
human health and the environment, prior to the chemical entering into commerce.
Consequently, the PMN review process provides the Agency's major opportunity for pollution
prevention with respect to toxic chemicals in commerce.
This measure reports on the number of new chemical notices received which includes: PMNs;
Biotech - PMN notices; Low Volume Exemption applications; Polymer Exemptions; and Test
Market Exemptions. It provides a report on tl^e number of PMNs received with the pollution
prevention form completed. This measure also 'reports on the number of notices that are
targeted for regulatory review or action and on the number and type of control actions
taken on new chemicals which pose a threat to public health or the environment. Risk
estimates associated with PMN chemicals are based on intended uses specified in the PMNs.
However, once a chemical is in commerce it becomes an existing chemical and other uses
could be adopted that would be unaddressed by the PMN review. To prevent this occurrence
EPA can issue a significant new use rule (SNUR) to require a PMN submission for any uses
not identified in the original PMN submission. As a second pollution prevention tool for
new chemicals, OTS intends to issue a SNUR following each TSCA 5(e) order. Finally, OTS
will report on the Test Data received as a result of 5(e) consent orders and "banned
pending upfront testing" decisions.
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1993
Program Area; Office of Toxic Substances. (HQ>
T-2 EXISTING CHEMICAL CONTROL ACTIVITIES
The Existing Chemicals Program in EPA's Office of Toxic Substances (OTS) screens, tests,
assesses, and manages risks posed by chemicals currently in production. Risk management
encompasses any actions, regulatory or nonregulatory, to reduce or eliminate the
likelihood of harm to human health or the environment. Prior to having a full
characterization of risk on which to base regulatory actions, a number of actions can be
taken which encourage risk reduction on the part of manufacturers and users of toxic
chemicals. Examples include letters to manufacturers or users alerting them of the risk
and listing of chemicals on the Master Testing List. These types of non-regulatory
actions can be particularly effective in encouraging voluntary pollution prevention.
In this measure OTS will provide reports on regulatory and non-regulatory control actions
taken on existing chemicals. The actual reporting unit will be the number of cases
affected by these actions. Proposed as well as final regulatory actions are being
reported because a significant amount of risk management action can occur as a result of
proposal to the point that no promulgation is necessary or justified. Rules emphasizing
ecorisk will be noted as they occur.
Measure T-2(a) will report on the RM1 dispositions of cases as follows: 1) number of
chemicals dropped due to no concern; 2) number of chemicals (dropped by TSCA but) referred
to another program or Agency for consideration/action; 3) number of chemicals sent for
testing or testing follow-up; 4) number of chemicals forwarded for risk management or risk
management follow-up.
Measure T-2(b) will report on the number of cases entering the queue for RM2 Decision. We
will report on the number of cases completing RM2, and the disposition of each case.
Potential outcomes include: 1) initiation of a public awareness campaign; 2) calls for
voluntary action by industry; 3) referral of the case to another EPA program office,
regional office, or other Federal agency for action; 4) stepping up enforcement of
existing regulations; 5) development of new regulations; 6) dropping case from further
consideration if warranted.
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1993
Program Area: Office of Toxic Substances. (HO)
T-2 EXISTING CHEMICAL CONTROL ACTIVITIES fcont.l
Description of regulatory control actions which may be taken under TSCA sections 4(f),
5(a)(2), 6, and 9:
TSCA §4(f) - Upon receipt of any test data required to be submitted under TSCA or any
other information available to the Administrator, which indicates that there may be a
reasonable basis to conclude that a chemical substance or mixture presents or will present
a significant risk of serious or widespread harm to human beings from cancer, gene
mutations, or birth defects, the Administrator shall, within the 180-day period beginning
on the date of the receipt of such information/data, initiate appropriate action under
section 5, 6, or 7 to prevent or reduce such1 risk^
TSCA §5(a)(2) provides a mechanism to define significant new uses for an existing chemical
that would be subject to §5 notification requirements when specific criteria are met.
TSCA §6 provides EPA with the authority to control a chemical as a hazardous substance if
the Agency finds that there is a reasonable basis for concluding that the chemical
presents or will present an unreasonable risk.
TSCA §9 authorizes EPA to refer regulation of chemical risks to other agencies.
NOTE: A "case" refers to either a single chemical or a cluster of chemicals. Review of
chemical clusters provides an opportunity, for example, to examine the risks associated
with chemicals used in particular industry sectors or processes and define opportunities
for pollution prevention (such as process changes or chemical substitution) to minimize
risk associated with activities using these chemicals. This information can then be used
as a basis for hazard communication, technology transfer, and possible regulatory actions.
In reporting on cases which are clusters, OTS will provide the approximate number of
chemicals addressed in the cluster. These numbers will be approximate, as the makeup of
chemical use clusters is fluid, with chemicals being added or deleted at any time during
the review process.
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1993
Program Area: Office of Toxic Substances
T-3 CHEMICAL TESTING. MASTER TESTING LIST ACTIVITIES
The Master Testing List will be EPA's mechanism for identifying and prioritizing chemicals
in need of testing. Chemical testing may be required as a result of TSCA Section 4
actions, or prompted by EPA involvement in non-regulatory actions. Test results will
provide EPA with information used to determine whether risk management actions are
necessary for specific chemicals.
This measure reports on: (1) the number of chemical tests being conducted as a result of
TSCA §4 actions, (2) the number of chemicals undergoing testing as a result of TSCA §4
actions, (3) the number of chemicals undergoing testing as a result of non-regulatory
activities, (4) the number of chemicals newly.entered on the Master Testing List and, (5)
the number of chemicals removed from the Master Testing List through testing under TSCA §4
or other means, (6) the number of chemicals for which a completed set of testing
information is available, (7) the number of sets reviewed, and the outcome of the reviews.
NOTE: The full range of OTS1 testing activities includes not only the information
gathered in this measure, but also that testing information compiled for measure T-l
regarding the New Chemicals program activities.
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1993
Program Area: Office of Toxic Substances
T-4 ASBESTOS STATE ACCREDITATION
Specify the number of EPA-approved state programs in the Region. Each quarterly report
should include: 1) the number of states within the Region that have full EPA approval of
all five accredited disciplines; and 2) the number of states within the Region that have
only partial EPA approval of their state accreditation program (for less than all five
disciplines). This information should be separate for schools and the extension to public
and commercial buildings.
T-5 STATE ENHANCEMENTS
In general, highlight the successes and problems for each Regional program in
decentralizing Toxics program and enforcement activities. Highlight tools or processes
that have facilitated success in certain programs or specific states (i.e., the OCM grant
program activities, enabling legislation, up-front Regional or state involvement in
program planning). Note obstacles that may include regional resource or state budget
impediments, political/legislative barriers, or poor coordination in planning processes.
Asbestos Accreditation: Highlight activities that have successfully encouraged full or
partially-approved state accreditation programs, including TSCA grant activities. Explain
on a state-by-state basis what the impediments of state accreditation in each of the
disciplines has been.
Asbestos: Address the following categories of activities: a) state plan for assumption
of additional responsibilities, b) planning/drafting, promoting, and/or implementing state
enabling enforcement legislation and/or associated regulations; c) state mechanism for
returning penalties to State programs; d) strategies/ERPs for implementing administrative
or criminal enforcement program in States that are developing enforcement activities; (e)
planning/development and/or implementation of State coordination asbestos inspection
programs; (f) development and implementation of case development program; g) other
innovative activities, including innovative compliance activities such as new approaches
to inspection targeting, use of databases, or settlement conditions; and h) asbestos ban
and phase-out activities.
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Highlight multi-media inspections (i.e., coordinated inspections with NESHAPS). If your
States are not involved with the grant program, attempt to evaluate why. Highlight
successes and failures of asbestos decentralization efforts, including AHERA, programmatic
barriers, and others.
PCS; Provide a list of state PCB activities, which may include innovative
compliance/enforcement activities (e.g., new approaches to inspection targeting, use of
databases, multi-media cases), clean-ups, and other initiatives.
Provide any agreements, other than OCM and OTS cooperative agreements, that the Regions
may have with your States, including coordinated inspections.
Better define your regulatory assessment, to include what the definitions in State
regulation mean in practice, and determine if it is a similar level of protection than
that provided under federal standards, highlight trends and key issues.
Attempt to evaluate facilities' likelihood o'f. participating in the FY93 permit-by-rule
program; include outreach activities, if any.1
If your States are not involved with OCM and/or OTS grant programs, attempt to evaluate
why or why not.
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1993
Program Area; Office of Toxic Substances
T-6 33/50 AND TRI ACTIVITIES
Provide a discussion of each criterion where activity occurred during the current quarter.
These are suggested criteria only, and not all criteria must be reported on.
33/50; Establish network of State 33/50 Coordinators.
Track and highlight outreach activities to States, including brief summaries of State
concerns, similar State programs, State award programs, or any other State activities that
have 33/50 implications that you are made aware of through outreach efforts. Also include
general coordination activities (i.e., notification to all States of which parent
companies are participating, or State coordination if a company in their State is being
considered for an EPA award for performance oh commitments).
Track and highlight outreach activities to industry and industry trade groups, including
encouraging companies not participating to take part in the program, follow-up activities
to the companies that have chosen to participate, and coordinated technical assistance
activities.
Highlight any cross-program activity (i.e., coordinated activities with pollution
prevention, air, water offices).
Target facilities based on risk screening, state priorities, and the leadership position
of the company. Target in coordination with Headquarters.
Include outreach efforts to local communities and special interest groups that may help
leverage participation and reduction of emissions, even if in the planning stage.
TRI: Highlight outreach activities to industry on the new pollution prevention reporting
requirements.
Highlight outreach activities to States and briefly summarize State concerns on the new
pollution prevention reporting requirements.
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Include activities that foster awareness and input from States, the general public,
special interest groups, and industry on SIC code expansion.
Include activities that foster awareness and input from States, the general public,
special interest groups, and industry on the TRI chemical list expansion.
Highlight data use activities in your Region (program activity), in your States, or other
special interest groups.
Highlight progress and problems related to efforts of State grantees to implement their
grant projects.
Include innovative targeting and multi-media inspections.
Combined Outreach Efforts: Highlight combined outreach efforts.
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1993
Program Area: Office of Toxic Substances
T-7 REGIONAL OUTREACH ACTIVITIES
Any Regional efforts that inform industry, State or local government, special interest
groups, or the general public about the Toxics program, including innovative technical
assistance activities. Examples include (but are not limited to) seminars, meetings,
publications, and training.
Include Regional initiatives that include innovative mechanisms to involve States and
special interest groups in program planning or initiative development i.e., involvement in
pollution prevention initiatives n the OTS1 Existing Chemical Program, letters of concern,
etc.)
Highlight innovative targeting or multi-media inspection activity and innovative EBE
settlements, if any.
Emphasize cooperative pollution prevention initiatives with States or special interest
groups.
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GOAL:
OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1993
Proqr*"* Area: Office of Toxic Subst*»ce8
TO REPORT ON THE NET INCREASE OR DECREASE OF PCS'8 WHICH CONTRIBUTE TO UNREASONABLE RISK.
ENVIRONMENTAL INDICATOR: PCB Indicator
DEFINITION:
DATA SOURCE!
This indicator compares the amount of PCBs retired from service (and placed in
storage) with the amount of PCBs properly disposed of. These numbers can then be
used to calculate the net increase/decrease of PCBs contributing to unreasonable
risk. OTS will report annually.
Section 761.180(b)(3) of the PCB Notification and Manifesting Rule requires the owner
or operator of a PCB disposal or commercial storage facility to submit an annual
report to the Regional Administrator which summarizes information on the types and
quantities of PCB waste disposed of or placed into storage for disposal during the
calendar year. This report is to be submitted each year (by July 15 for the previous
calendar year) until the facility is closed.
From these reports, EPA will be able to determine how well PCBs are being managed on
a nationwide basis, by analyzing and reporting data on the quantities of PCBs slated
for disposal and the actual amounts disposed of during each calendar year.
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
PY 1993
Program Area: Office of Toxic Substances
GOAL: TO REDUCE RISK FROM NEW AND EXISTING CHEMICALS AND TO PROMOTE POLLUTION PREVENTION.
ENVIRONMENTAL INDICATOR: Toxic chemical Release Index
DEFINITION: This indicator is a national figure based on the aggregated annual release of
selected TRI chemicals. OTS will release this figure annually.
DATA SOURCE: Facilities covered by the TRI reporting rule submit annual reports to EPA on the
emissions of TRI chemicals. By chqosing a select set of "indicator chemicals" OTS
will develop an empirically-driven indicator that will reflect chemical emission
trends, much like the Dow-Jones Average reflects the behavior of the stock market.
The metric will be the aggregate measure of the emission of the indicator chemicals
calculated on an annual basis. This indicator can capture emissions across media, as
well as reductions voluntarily achieved by industry and those that result from
government action.
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1993
Program Area; Office of Toxic Substances
GOAL: TO REPORT ON THE NET INCREASE OR DECREASE OF PCB*S WHICH CONTRIBUTE TO UNREASONABLE RISK.
ENVIRONMENTAL INDICATOR: PCS Indicator
DEFINITION: This indicator compares the amount of PCBs retired from service (and placed in
storage) with the amount of PCBs properly disposed of. These numbers can then be
used to calculate the net increase/decrease of PCBs contributing to unreasonable
risk. OTS will report annually.
DATA SOURCE: Section 761.180(b)(3) of the PCB Notification and Manifesting Rule requires the owner
or operator of a PCB disposal or commercial storage facility to submit an annual
report to the Regional Administrator which summarizes information on the types and
quantities of PCB waste disposed of or placed into storage for disposal during the
calendar year. This report is to be submitted each year (by July 15 for the previous
calendar year) until the facility is closed.
From these reports, EPA will be able to determine how well PCBs are being managed on
a nationwide basis, by analyzing and reporting data on the quantities of PCBs slated
for disposal and the actual amounts disposed of during each calendar year.
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1993
Program Area; Office of Toxic Substances
GOAL: TO REDUCE RISK FROM NEW AND EXISTING CHEMICALS AND TO PROMOTE POLLUTION PREVENTION.
ENVIRONMENTAL INDICATOR: Toxic Chemical Release Index
DEFINITION: This indicator is a national figure based on the aggregated annual release of
selected TRI chemicals. OTS will release this, figure annually.
DATA SOURCE: Facilities covered by the TRI reporting rule submit annual reports to EPA on the
emissions of TRI chemicals. By choosing a select set of "indicator chemicals" OTS
will develop an empirically-driven indicator that will reflect chemical emission
trends, much like the Dow-Jones Average reflects the behavior of the stock market.
The metric will be the aggregate measure of the emission of the indicator chemicals
calculated on an annual basis. This indicator can capture emissions across media, as
well as reductions voluntarily achieved by industry and those that result from
government action.
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OFFICE OF COMPLIANCE MONITORING
FY 1993 MEASURES AND DEFINITIONS
FOR THE
STRATEGICALLY TARGETED ACTIVITIES FOR RESULTS SYSTEM (STARS)
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1993
Program Area: Pesticide. Toxic Substance and EPCRA Section 313 Enforcement
GOAL: Achieve and maintain an effective compliance/enforcement program.
OBJECTIVE: Promote creative approaches to environmental protection through the use of
pollution prevention settlement terms.
ACTIVITY: Cases settled with Pollution Prevention provisions.
STARS CODE: P/E - 1; T/E - 1; E/E - 1.
MEASURE; Specify, on a cumulative basis, the following information for each settled (closed)
case containing one or more settlement term that is an Environmentally Beneficial
Expenditure (EBE):
o Total number of cases closed with one or more EBE
o Average cost incurred by the company to implement all of the EBE settlement terms
in a settlement agreement*
o Average penalty reduction, per closed case, directly associated with the settlement
term(s) identified as EBEs*
o Total number of settlement terms identified as EBEs
o Total number of EBE settlement terms negotiated by Pollution Prevention category**
* The FTTS/NCDB systems will calculate the data.
** Pollution Prevention categories are Environmental Audits, Environmental
Studies, Outreach, Source Reduction, Toxics Disposal, Training, Waste
Minimization, and Other. (Waste Minimization and Source reduction can be
achieved via either process modification, technological improvement or
recycling.) Definitions will be provided.
REPORTING METHOD: Quarterly. No targets.
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1993
Program Area; Pesticide. Toxic Substance and EPCRA Section 313 Enforcement
GOAL: Achieve and maintain an effective compliance/enforcement program.
OBJECTIVE; Assure timely processing of the most egregious violations of FIFRA, TSCA and
EPCRA 313
ACTIVITY: Significant Noncompliance (SNC)
STARS CODE: P/E - 2; T/E - 2; E/E - 2.
MEASURE: For all outstanding SNCs (those that were not closed as of 10/01/91) and all SNCs
detected during the current FY, specify the cumulative number of:
o Violations detected
o Cases issued within 180-days of the inspection date*
o Cases issued beyond 180-days of the inspection date*
o Cases closed
* For FIFRA cases from referrals, the 180-day calculation will be performed
based on the date the referral was received in the region.
Note: SNC's identified at Federal Facilities are included in these data categories.
A separate breakout of the federal facilities data will generated on the FTTS
and NCDB STARS charts
REPORTING METHOD: Quarterly. No targets.
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1993
Program Area; Pesticide Enforcement
GOAL: Achieve and maintain an effective compliance/enforcement program.
OBJECTIVE; Establish and maintain a strong compliance/enforcement presence in the
regulated community.
ACTIVITY; Inspections for Significant Activities
STARS CODE; P/E - 3.
MEASURE; Specify the cumulative number of State inspections, including inspections at
Federal Facilities, in the following categories identified on EPA form 5700-33H and
the number of EPA inspections (Regions 7 and 8 only) in comparable categories:
o Agricultural use
o Agricultural follow-up
o Nonagricultural use
o Nonagricultural follow-up
o Restricted use pesticide dealers
o Producer Establishments
o Exports
REPORTING METHOD: Quarterly. Targets are required for total EPA & State inspections.
Note: All Federal data will be reported in real time. State data will be reported
one quarter behind (i.e. First quarter state accomplishments are included in
the second quarter STARS report).
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1993
Program Area: Pesticide Enforcement
GOAL: Achieve and maintain an effective compliance/enforcement program.
OBJECTIVE: Establish and maintain a high level of compliance in the regulated community.
ACTIVITY: State Enforcement Actions and Compliance Rates
STARS CODE: P/E - 4.
MEASURE; Specify the cumulative number of' State formal enforcement actions and/or
proceedings for the same inspectional categories as those in measure P/E - 3. The
five actions to be included in this number include:
o Civil Complaints Issued
o Criminal Actions Referred
o License/Certificate Suspension
o License/Certificate Revocation
o License/Certificate Conditioning or Modification
In addition, separately specify the cumulative number of Warning Letters Issued and
Stop-Sale Orders Issued resulting from the group of inspectional categories in measure
P/E - 3. These should be two separate numbers.
REPORTING METHOD: Quarterly.
Note: State data are reported one quarter behind (i.e. First quarter state
accomplishments are included in the second quarter STARS report).
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1993
Program Area: Pesticide Enforcement
GOAL: Achieve and maintain an effective compliance/enforcement program.
OBJECTIVE; Respond to noncompliance and promote future compliance through issuance of
appropriate enforcement actions.
ACTIVITY: EPA Enforcement Actions Under FIFRA
STARS CODE: P/E - 5.
MEASURE: For the enforcement actions listed, specify on a cumulative basis, the total number
of:
o Civil Complaints issued
o Warning letters issued
o SSUROs issued
o Recalls issued
o Import Detentions issued
o Civil Referrals issued
o Criminal Referrals issued
REPORTING METHOD; Quarterly. No targets.
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1993
Program Area; Toxic Substances Enforcement
GOAL: Achieve and maintain an effective compliance/enforcement program.
OBJECTIVE; Establish and maintain a strong compliance/enforcement presence in the
regulated community.
ACTIVITY: Inspections Conducted
STARS CODE; T/E - 3.
MEASURE; Separately specify, on a cumulative basis, the number of TSCA inspections conducted
by EPA and State inspectors.
Note: Inspections conducted at federal facilities are included in the above data.
A separate breakout will be provided on the FTTS and NCDB STARS charts. The
breakout of inspections by TSCA program (originally proposed for inclusion in
STARS) will instead be provided as non-STARS management information.
REPORTING METHOD; Quarterly. Targets are required for the TSCA Total EPA and State
inspections.
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1993
Program Area; Toxic Substances Enforcement
GOAL: Achieve and maintain an effective compliance/enforcement program.
OBJECTIVE: Respond to noncompliance and promote future compliance through issuance of
appropriate enforcement actions.
ACTIVITY; EPA Enforcement Actions Under TSCA
STARS CODE: T/E - 4.
MEASURE: For the enforcement actions listed below, specify on, a cumulative basis, the number
of:
o Administrative Complaints issued
o Notices of Noncompliance issued
o Civil Referrals
o Criminal Referrals
Enforcement actions taken against federal facilities are included in the above
data. A separate breakout of this information will be provided in the FTTS and
NCDB STARS charts.
REPORTING METHOD: Quarterly. No targets.
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1993
Program Area: EPCRA Section 313 Enforcement
GOAL: Achieve and maintain an effective compliance/enforcement program.
OBJECTIVE: Establish and maintain a strong compliance/enforcement presence in the
regulated community.
ACTIVITY; Inspections Conducted.
STARS CODE: E/E - 3.
MEASURE: Specify, on a cumulative basis, the "number of EPCRA inspections conducted.
REPORTING METHOD: Quarterly. Targets are required.
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1993
Program Area; EPCRA Section 313 Enforcement
GOAL: Achieve and maintain an effective compliance/enforcement program.
OBJECTIVE; Respond to noncompliance and promote future compliance through issuance of
appropriate enforcement actions
ACTIVITY; EPA Enforcement Actions Under EPCRA
STARS CODE: E/E - 4.
MEASURE; For the enforcement actions listed below, specify on a cumulative basis, the number
of:
o Administrative Complaints issued
o Civil Referrals
o Criminal Referrals
o Notices of Noncompliance issued from Headquarters
REPORTING METHOD; Quarterly. No targets.
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1993
Program Area; Office of Compliance Monitoring
PESTICIDES ENFORCEMENT DEFINITIONS
Environmentally Beneficial Expenditure (EBE) (P/E-1) - is any expenditure that a violator
incurs beyond the costs of returning to compliance that the participants in the case
settlement expect will provide an immediate or future environmental benefit.
Note: The new STARS chart will count the number of cases closed during the reporting period
in which one or more settlement terras are EBEs.
"Significant Noncompliance" (SNC) (P/E-2) - is any Federal violation that has an associated
Gravity Level equal to either "1" or "2", based on Appendix A of the FIFRA Enforcement
Response Policy. Note; The FIFRA ERP sets ,the gravity levels based on "an average set of
circumstances which considers the actual or potential harm to human health and/or the
environment which could result from the violation, or the importance of the requirement to
achieving the goals of the statute."
"SNCs Detected" (P/E-2) - are Federal violations that meet the SNC criteria (see above) . The
case review must be completed in order to make the SNC determination.
"SNCs Issued" (P/E-2) - An SNC detected with a case issued.
All cases are issued in either 0 - 180 days from the inspection/referral date or 181+ days
from the inspection/referral date.
"SNCs Closed" (P/E-2) - All SNCs issued that have been either closed or withdrawn.
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1993
Program Area; Office of Compliance Monitoring
TOXIC SUBSTANCES ENFORCEMENT DEFINITIONS
Environmentally Beneficial Expenditure (EBE) (T/E-1) - is any expenditure that the violator
incurs beyond the costs of returning to Compliance that the participants in the case
settlement expect will provide an immediate or future environmental benefit.
Note: The new STARS chart will count the number of cases closed during the reporting period
in which one or more settlement terms are EBEs.
"Significant Noncompliance" (SNC) (T/E-2) - is a violation under TSCA for which the level of
enforcement action is, at minimum, an administrative complaint in accordance with the
appropriate Enforcement Response Policy (ERP), and for which the
penalty is, at minimum, $25,000.
•
The SNC determination is made prior to calculating penalty adjustment factors such as
voluntary disclosure, culpability, etc. In matters involving multiple violations, the case
will be considered SNC if the total penalty is $25,000 or more.
Note: For Federal facilities, SNC is a facility where the violation(s), as defined above,
would normally result in a formal enforcement action. These actions, however, are handled
in accordance with the EPA Federal Facility Compliance Strategy.
An administrative civil complaint is issued for SNC violations where a violation: presents
a real (but not an extreme or imminent) risk to human health or environment; is likely to be
an isolated occurrence; and is apparently the result of ordinary negligence, inadvertence,
or mistake. In those cases involving extreme or imminent risk to human health or the
environment, the Regions may initiate judicial action (e.g., injunctions, seizures, civil and
criminal actions). In these instances, the case is referred to OE and monitored using the
OE Docket System.
"SNCs Detected" (T/E-2) - are Federal violations that meet the SNC criteria (see above) . The
case review must be completed in order to make the SNC determination.
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1993
Program Area; Office of Compliance Monitoring
TOXIC SUBSTANCES ENFORCEMENT DEFINITIONS (cont.)
"SNCs Issued" (T/E-2) - An SNC detected with a case issued.
All cases are issued in either 0-180 days from the inspection date or 181+ days from the
inspection date.
"SNCs Closed" (T/E-2) - All SNCs issued that have been either closed or withdrawn.
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1993
Program Area; Office of Compliance Monitoring
EMERGENCY PLANNING/COMMUNITY RIGHT-TO-KNOW (EPCRA) ENFORCEMENT DEFINITIONS
Environmentally Beneficial Expenditure CEBE) (E/E-1) - is any expenditure that the violator
incurs beyond the costs of returning to compliance that the participants in the case
settlement expect will provide an immediate or future environmental benefit.
Note: The new STARS chart will count the number of cases closed during the reporting period
in which one or more settlement terms are EBEs.
"Significant Noncompliance" fSNC) (E/E-2) - EPCRA Significant Noncompliance (SNC) is a
violation of the EPCRA regulations for non-reporting/failure to report a chemical, or
falsified report, for which the level of enforcement action is, at minimum, an administrative
complaint, in accordance with the EPCRA Enforcement Response Policy (ERP).
"SNCs Detected" (E/E-2) - are Federal violations that meet the SNC criteria (see above). The
case review must be completed in order to make the SNC determination.
"SNCs Issued" (E/E-2) - An SNC detected with a case issued.
All cases are issued in either 0 - 180 days from the inspection date or 181+ days from the
inspection date.
"SNCs Closed" (E/E-2) - All SNCs issued that have been either closed or withdrawn.
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OFFICE OF ENFORCEMENT
FY1993
STARS MEASURES DEFINITIONS
E/C-1 Judicial Consent Decree Tracking and Follow-up
For Agency consent decree tracking and follow-up procedures, please refer to the OE Directive on Consent Decree
Tracking and Follow-up (January 11, 1990, memorandum from James M. Strock)
Regions will report on the compliance status of EPA consent decrees each quarter. This includes both the name and
number of: (a.) active consent decrees; (b.) active consent decrees in compliance; (c.) active consent decrees in violation
where formal enforcement action has commenced; (d.) active consent decrees in violation where formal enforcement
action is planned but has not yet commenced; and (e.) active consent decrees in violation with no action planned or
deemed necessary at this time (e.g.. facility is expected to return to compliance without enforcement action).
For the purposes of reporting on consent decree tracking and follow-up, the following definitions apply:
1. Reportable Violation - A decree will be reported as in violation if any term or condition of the decree is not complied
with as of the end of the quarter.
2. Appropriate Enforcement Action - Formal enforcement actions include motions for contempt, motions to enforce the
order, motions for specific performance, collection of penalties, decree modifications and contractor listing.
3. Final Compliance Determinations - Cases where the final compliance date in the decree has been reached and the
source is not meeting the final compliance limits or conditions of the decree, the decree shall be reported in category (c),
(d) or (e) of measure E/C-1, depending on the circumstances. If the Region has determined that the source will not be
able to meet the final terms of the decree, and enforcement action is planned, the Region will continue to report the
decree in category (d) until one of the acceptable enforcement actions previously defined has been commenced. At that
time, the decree will be reported as violation with enforcement action commenced and shall remain in that category
until it is returned to compliance with the decree. If the Region has determined that the final terms of the decree will
be met, the Region will report the violation in category (e) in violation with no action planned at this time. When the
final terms of the decree are met, the decree will be reported in the compliance category.
4. Consent Decree Tracking for Multiple Facility Consent Decrees - Consent decrees covering more than one facility will
be reported as a single consent decree. Actions taken to address violations at more than one facility covered by the same
decree will be reported and counted individually for internal Agency accountability and resources distribution
purposes. Actions against multiple facilities covered by the same decree will be accounted for in the significant
noncomplier lists and the enforcement actions tracked in STARS.
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E/C-2 Monitor judicial enforcement activity levels - The "new referrals to HQ from Regions" category reports the
number of civil judicial cases referred to HQ from the Regions during the fiscal year, irrespective of whether they have
also been referred to DO J during the year. Over the last few years, the number of referrals to HQ has decreased as most
cases are referred directly to DOJ. The number of (a) referrals to HQ and (b) the number of direct referrals to DOJ
added together equal the total number of newly initiated Regional referrals during the year, and show what type of
referrals (direct and indirect) were made. These two outputs are drawn from the DOCKET by selecting Regional cases
using the "date to DOJ" field and the RFIN (referral indicator) field which is coded either RD (referral [direct] to DOJ),
RH (referral to HQ).
Also reported in this measure are the number of PRN-type cases which were newly initiated (mini-lit report to DOJ)
during the fiscal year, but which were not later also referred to DOJ, (i.e.. no full litigation package or signed consent
decree was referred subsequently during the year). PRNs which were initiated during the year and later also referred
would be counted in the "direct referrals to DOJ" category. In effect, PRN cases are counted as PRNs until the Region
refers a full litigation package or a signed consent decree; at that point they are counted as direct referrals. (If the
Region completes a full litigation report in the place of a mini-lit report, but for the purposes of handling the case as a
PRN, it is counted as a PRN.)
The last category of referral activity reported in this measure is the number of referrals made to DOJ to enforce against
consent decree violations. These cases are not counted as new civil referrals (in DOCKET they are amendments to
previous (existing) cases) but are credited as consent decree enforcement (actions) cases and reported separately from
new civil referrals.
(Note that the above categories are mutually exclusive and together represent the new Regional civil judicial activity
during the year.)
E/C-4 Follow-though on active case docket. - Dynamic Universe - This measure reports the number (and status) of new
civil judicial cases referred to DOJ during the fiscal year (i.e..for FY 1993 from 10/1/92 to 9/30/93). This referral total
includes: (a) all direct referrals to DOJ during the year; (b) Regional referrals to HQ which were referred to DOJ during
the year, irrespective of what year the case was originally referred to HQ; and (c) all PRNs re-referred to DOJ during
the year irrespective of what year they were initiated. This often means that cases referred by the Region to HQ late in
one fiscal year are credited as new civil referrals to DOJ in the following year when the EPA referral to DOJ occurs.
The number of new referrals to DOJ reported in this measure is used as the official Agency count of referrals to DOJ
since it, in fact, measures the actual number of referrals to DOJ that occur during the year.
Starting in FY91, the method of counting all civil referral categories was adjusted to provide appropriate referral credit
for both multi-media and multi-facility cases. In these cases, violations under different programs/Statutes are
combined in multi-media referrals so that a holistic enforcement response can be made by EPA. Since these violations
are discrete problems which were historically generally enforced separately, each discrete enforceable separate
program component counts as a civil referral credit. Similarly, cases which combine actions against separate facilities
in a unified referral package are given referral credit for each facility with a discrete enforceable violation.
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E/C-8 Multi-Media Enforcement
Background - Multi-media referrals are those civil judicial cases where: (a) more than one statute is cited in the
complaint, and (b) the different citations pertain to discrete environmental violations. Examples of "discrete"
environmental violations are: the same facility has smokestack emissions in violation of applicable SIP limits, and a
hazardous waste storage area with leaking drums, and an recent discharge into a river for which it holds no NPDES
permit. For the purposes of this report CWA/NPDES and CWA/404 will be considered different statutes.
Specific Definitions for Multi-Media Enforcement Measures:
1. (E/C-8 (l.a. & I.e.)) A consolidated inspection occurs when a single inspection covers two or more programs. A
consolidated inspection might be conducted by one fully trained inspector. Single program inspections using a multi-
media checklist should not be credited.
2. (E/C-8 (l.b. & l.d.)) Report, for each program, the number of that program's inspections which were completed as
part of one of the consolidated multi-media inspections counted in measure la.
3. (E/C-8 (2.a. & 2.c.)) To count as a "coordinated" inspection or action, no more than three months may have elapsed
between inspection by one program and subsequent inspection by another program. The coordinated inspection must
be a result of prior collaboration and planning between programs.
4. (E/C-8 (2.b. & 2.d.)) Provide, for each program, the number of that program's inspections which were completed as
part of one of the coordinated multi-media inspections counted in measure 2a.
5. (E/C-8 (4.a. & 4.b.)) A consolidated referral is a referral in which at least two discrete environmental problems,
from different programs, are combined into one referral package or an additional violation (from a different program)
is added as an amendment to an existing judicial referral or complaint. A coordinated referral is a separate referral
package related to an existing referral or complaint for which the consent decree negotiation/resolutions are to jointly
resolved but for which the referral or complaint have not been combined.
6. (E/C-8 (4.a. & 4.b.)) Civil judicial referral counts will be reported by OE using the Agency civil DOCKET and OE
reporting method. Referral credit will be given for each program which has a discrete environmental violation
included in the civil judicial multi-media case.
7. (E/C-8 (5.a. & 5.b.)) The type of administrative actions to be credited are actions which meet the STARS criteria of the
program for which credit is included, generally administrative orders. (For example, warning letters and NOVs are
not usually counted as administrative actions in STARS). Federal facility compliance agreements are creditable
actions.
8. (E/C-8 (4,5, and 6)) Enforcement actions (civil or administrative) brought under more than one statutory authority,
but which address an environmental problem in only one program are not to be included in the count of multi-media
actions.
9. (E/C-8 (7)) Includes single-media settlements with multi-media Supplemental Environmental Projects, multi-media
pollution prevention projects, and/or settlement provision addressing an environmental problem under a different
program that was not part of the original case referral.
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E/C-9 Criminal Enforcement
1. Open Investigations - The agent determines that evidence may exist that shows the violation of an environmental
statute or regulation. A preliminary investigation results in the opening of a case. A project number is requested
from OCI and all investigatory activities are charged to that number. An OCI docket number is assigned and a case
form is submitted for entering the investigation in the EPA Criminal Docket. Subsequent activities are charged against
the project number and described in the EPA Criminal Docket.
2. Investigations Closed Prior to Referral to EPA-OCE - Investigation has shown: that the allegations were unfounded;
the case should be referred for administrative civil action, the case should be referred to another agency or law
enforcement office; or there is lack of prosecutorial merit. Includes cases in which the investigation is suspended and
the information in the closed investigations retained for intelligence purposes.
E/C-10 Criminal Enforcement - Follow-Through on Active Case Docket
1. Fixed Universe - All criminal cases at DOJAJSA or filed in court at the beginning of FY1993 are included in fixed
universe. Cases do not enter or exit the fixed universe after October 1, 1992. The purpose is to measure the federal
government's progress in moving cases through DOJ and the court system to conclusion (i.e., closed following
prosecution and closed without prosecution) by taking a snapshot of the fixed universe at the beginning of year and at
the end of each quarter.
2. Dynamic Universe - All cases referred the DOJ after the beginning of the fiscal year are included in the dynamic
universe. The measure reports at the end of each quarter the cumulative number of new cases referred to DOJ (i.e., the
dynamic universe to date) and the status of these cases in the DOJ/judicial process.
FEDERAL FACILITIES ENFORCEMENT DEFINITIONS
MEASURE: FFE -1
Executive Order 12088 requires each agency to submit A-106 pollution abatement plans to OMB through the
Administrator of EPA. Class I includes projects that are out of compliance, have been subject to enforcement actions,
or involve the provisions of a signed consent order or compliance agreement with the EPA or a state government
agency. Class II projects include those that are required to meet a compliance deadline other than those identified as
Class I. Class III projects include those that are important to an agency, but are not an imminent compliance
requirement. Compliance requirements apply to all statutory and media program laws and regulations. Projects
recommended by EPA, a state, or an agency can be deemed inadequate if the project will not maintain compliance with
environmental statutes and regulations, the project will not correct violations identified during inspections, the project
will not satisfy the provisions of a signed compliance agreement or consent order, or the project will not satisfy the
priority areas established by specific EPA programs. Credit is given for each needed or inadequate project reported by
the Region to Headquarters.
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MEASURE: FFE - 2
1. Report the number of single statute inspections performed, including those that used multi-media screening
checklists.
2. Report the number of facilities that are in non-compliance with all environmental statutes and regulations.
3. Report the number of completed single-media administrative enforcement actions at Federal facilities. Federal
Facility Compliance Agreements are creditable administrative enforcement actions. Warning letters and NOVs
should not be counted as completed administrative enforcement actions in STARS.
MEASURE: FFE-3 Federal Facilities Interagency Agreements
Under CERCLA Section 120, Federal agencies are required to enter into a Interagency Agreement (LAG) (or
Federal Facilities Agreement (FFA)) with EPA within 6 months of completing the RI/FS. EPA policy is to enter into an
LAG with the Federal agency and, to the extent feasible, the State, upon listing on the National Priorities List. This
measure is intended to promote protection of human health and the environment through response actions performed
by Federal agencies. Accordingly, credit is given for any of the following:
1) Execution of the final draft CERCLA Section 120 IAG/FFA or a letter of intent to execute a LAG/FFA by both EPA and
the Federal agency, prior to the start of the public comment period;
2) Issuance of a RCRA Section 3008(h) corrective action order that addresses all releases at a facility;
3) Referral of a CERCLA Section 106 or RCRA Section 7003 Administrative Order to DOJ for concurrence;
4) Issuance of a RCRA permit addressing all releases and all CERCLA requirements at a facility; or
5) A formal referral has been made to the AA of OE for dispute resolution regarding one the matters described above.
A site can only receive credit once under this measure. For the first definition provided, above, this measure will
usually be tracked in CERCLIS as the LAG Completion date.
MEASURE: FFE-4 Federal Facilities Records of Decisions
Federal facilities are required to complete a Record of Decision (ROD) to select a remedy. The EPA must agree
with the Federal facility on the remedy, or the Administrator must select the remedy. Credit for this measure is given
on the date the Regional Administrator or the AA for OE signs the ROD. This date is tracked in CERCLIS as the RI/FS
Completion date.
MEASURE: FFE-5 Federal Facilities Remedial Actions
A remedial action is the implementation of response measures intended to ensure protection of human health
or the environment. Federal facilities conduct remedial actions to reduce potential or actual threats pursuant to a ROD.
Credit is given for this measure when the Federal facility initiates substantial continuous physical onsite remedial
action pursuant to a ROD or other decision document under an IAG/FFA or other enforceable agreement. Interim
response actions and expedited response actions can be credited to this measure.
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MEASURE: FFE-6 Federal Facilities Removal Actions
Removal actions are conducted in response to emergency, time-critical, and non-time-critical situations at NPL
and non-NPL sites. A Federal facility removal action is credited when on-site removal activity is initiated pursuant to
an Action Memorandum or other appropriate decision document.
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OFFICE OF ENFORCEMENT
FY1993
PROGRAM AREA: CIVIL JUDICIAL ENFORCEMENT
GOAL: Ensure vigorous enforcement against violations of environmental statutes.
OBJECTIVE: Track compliance with the terms and conditions of judicial consent decrees and
address instances of noncompliance with appropriate actions.
MEASURE: Provide a quarterly report on the compliance status of EPA consent decrees STARS CODE: E/C-1
by Region and statute. TARGETED: NO
REPORTED: Ql,2,3,4
Regional reports include both the names and numbers of: SUNSET:
a. Active consent decrees
b. Active consent decrees in compliance
c. Active consent decrees in violation where formal enforcement action has
commenced
d. Active consent decrees in violation where formal enforcement action is planned
but has not commenced
e. Active consent decrees in violation with no formal enforcement action planned
or necessary
f. Active consent decrees for which current status is unknown or not reported
OBJECTIVE: Monitor judicial enforcement activity levels
MEASURE: Report quarterly on the cumulative number of EPA civil actions. Report the STARS CODE: E/C-2
cumulative totals for all programs for the following: TARGETED: NO
a. New referrals to HQ from Regions REPORTED: Ql, 2, 3,4
b. New direct referrals to DOJ from Regions (including re-referred PRN's) SUNSET:
c. New pre-referral negotiations cases initiated
d. Consent decree enforcement cases
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OFFICE OF ENFORCEMENT
FY1993
PROGRAM AREA: CIVIL JUDICIAL ENFORCEMENT
GOAL: Ensure vigorous enforcement against violations of environmental statutes.
OBJECTIVE: Follow-though on active case docket. Provide support to program offices,
Regions, and the Department of Justice in bringing high quality cases to a
timely conclusion.
MEASURE:
MEASURE:
For pre-FY 1993 cases (fixed universe) specify the number of civil cases
pending at the Department of Justice or filed in the Courts at the beginning
of the fiscal year (including direct referrals). Each quarter, report current
status of cases by statute:
a. Cases concluded after filing
b. Cases concluded before filing
c. Cases filed in court
d. Cases pending at the Department of Justice or
at the U.S. Attorney
e. Cases not concluded more than 2 years since filing
For 1993 case referrals (dynamic universe) specify the number of new civil
cases referred to the Department of Justice since the beginning of the fiscal
year (including direct referrals and re-referred PRNs). Each quarter, report
cumulatively by statute:
a. Cases concluded after filing
b. Cases concluded before filing
c. Cases filed in court
d. Cases pending at the Department of Justice or at the U.S. Attorney
e. Cases returned to Regions
STARS CODE: E/C-3
TARGETED: NO
REPORTED: Ql, 2, 3,4
SUNSET:
STARS CODE: E/C-4
TARGETED: NO
REPORTED: Ql, 2, 3, 4
SUNSET:
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OFFICE OF ENFORCEMENT
FY1993
PROGRAM AREA: CIVIL JUDICIAL ENFORCEMENT
GOAL: Encourage timely processing and settlement of enforcement actions.
OBJECTIVE: Ensure timely processing of proposed judicial consent decrees.
MEASURE: Report quarterly on the average review time by HQ for proposed consent
decrees (by Statute) (target = 35 days). OE will provide quarterly reports on:
a. Number of consent decrees reviewed by OE and forwarded to DOJ
STARS CODE: E/C-5
TARGETED: Ql,2,3,4
REPORTED: Ql, 2,3,4
SUNSET:
b. Number of consent decrees reviewed by OE and declined or returned to Region.
c. Average review time in days
d. Range of time needed to review consent decrees (minimum and maximum)
OBJECTIVE: Provide information on the timely disposition of cases.
MEASURE: Report the average time from initiation to disposition of cases concluded (with
a consent decree or litigation) in FY 1993 (Q4 only).
STARS CODE: E/C-6
TARGETED: NO
REPORTED: Q4 only
SUNSET:
OBJECTIVE;
MEASURE:
Provide support to Program offices, Regions, and the Department of Justice
in achieving high quality settlements.
Of the Superfund cases concluded since the beginning of the year, report the
total number of 106 and 107 case conclusions and joint 106 and 107 case
conclusions
STARS CODE: E/C-7
TARGETED: NO
REPORTED: Q4 only
SUNSET:
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OFFICE OF ENFORCEMENT
FY1993
PROGRAM AREA: MULTI-MEDIA ENFORCEMENT
GOAL: Integrate a cross-program/multi-media perspective into all stages of environmental enforcement planning
and decision-making.
OBJECTIVE: Encourage application of multi-media/cross-program enforcement
approaches to achieve additional health and environmental protection STARS CODE: E/C-8
results, deterrence, and efficiency which could not have been achieved by TARGETED: NO
traditional single-media approaches alone. REPORTED: Ql, 2, 3,4
MEASURE: SUNSET:
Inspections l.a. The number of consolidated multi-media inspections at privately-owned
facilities.
b. The number of times each program participated in a consolidated inspection
reported in l.a.
c. The number of consolidated multi-media inspections at Federal facilities.
d. The number of times each program participated, in a consolidated inspection
reported in I.e.
2.a. The number of coordinated multi-media inspections at privately-owned
facilities.
b. The number of times each program participated in a coordinated inspection
reported in 2.a.
c. The number of coordinated multi-media inspections at Federal facilities.
d. The number of times each program participated in a coordinated inspection
reported in 2.c.
3. The number of single-media inspections where a multi-media checklist has been completed.
Enforcement Activity
4. a. The number of consolidated or coordinated civil judicial referrals to DOJ at privately-
owned facilities.
b. The number of consolidated or coordinated civil judicial referrals to DOJ at Government
Owned Contractor Operated (GOCO) Federal facilities.
5.a. The number of consolidated or coordinated administrative enforcement actions at privately-
owned facilities.
b. The number of consolidated or coordinated administrative enforcement actions at Federal facilities
(including GOCOs).
6.a. The number of civil judicial referrals and civil administrative enforcement actions
coordinated at privately-owned facilities.
b. The number of civil judicial referrals and civil administrative enforcement actions
coordinated at Federal facilities.
Settlements 7. The number of single-media cases with settlements containing multi-media elements.
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OFFICE OF ENFORCEMENT
FY1993
PROGRAM AREA: CRIMINAL JUDICIAL ENFORCEMENT
GOAL: Ensure vigorous, timely, and high quality enforcement against violations of environmental statutes.
OBJECTIVE: Provide support to program offices and Regions in developing criminal
enforcement actions.
MEASURE: Report cumulatively by principal statute on the status of EPA criminal actions.
Report will include the following:
a. Number of new investigations opened.
b. Number of open investigations as of end of quarter.
c. Number of investigations closed prior to referral to OCE.
d. Cumulative number of new referrals to from the Regions to OCE.
e. Cumulative number of new referrals to DOJ from OCE.
f. Cumulative number of cases returned withdrawn.
g. Number of individuals arrested by apprehension or indictment during the
fiscal year (Q4 only).
h. Number of individuals charged during the fiscal year (Q4 only).
OBJECTIVE: Provide support to program offices, Regions, NEIC/Office of Criminal
Investigations, and the Department of Justice in bringing high quality cases to
a timely and successful conclusion.
STARS CODE: E/C-9
TARGETED: NO
REPORTED: Ql, 2,3,4
SUNSET:
MEASURE:
For pre-FY 1993 cases (fixed universe) specify the number of criminal case
referrals in progress at DOJ at the beginning of the fiscal year. Each quarter,
report the current status of cases by principal statute.
a. Number of referrals to DOJ by OE
b. Number of referrals under review at DOJ
c. Number of referrals under a grand jury investigation
d. Number of referrals in which charges have been filed
e. Cumulative number of referrals closed following prosecution
f. Cumulative number of referrals closed by DOJ without prosecution
STARS CODE: E/C-10
TARGETED: NO
REPORTED: Ql, 2,3,4
SUNSET:
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OFFICE OF ENFORCEMENT
FY1993
PROGRAM AREA: CRIMINAL JUDICIAL ENFORCEMENT
GOAL: Ensure vigorous, timely, and high quality enforcement against violations of environmental statutes.
MEASURE: For 1993 case referrals (dynamic universe) specify the number of
new criminal referrals at DOJ since the beginning of the fiscal year. Report
cumulatively by principal statute:
a. Cumulative number of referrals to DOJ by OE
b. Number of referrals under review at DOJ
c. Number of referrals under a grand jury investigation
d. Number of referrals in which charges have been filed
e. Cumulative number of referrals closed following prosecution
f. Cumulative number of referrals closed by DOJ without prosecution
OBJECTIVE: Encourage timely processing of criminal enforcement actions.
MEASURE: Of the criminal cases referred to DOJ during the fiscal year, report the:
a. Average time from opening of criminal investigation to referral to OCE
b. Average time from referral to DOJ until charges are filed
OBJECTIVE: Monitor the quality and strategic value of criminal cases.
MEASURE: For all criminal cases which are concluded during the fiscal year, report
the following cumulative totals by principal statue:
a. Number of referrals resulting in a conviction (plea or verdict)
b. Number of referrals for which all charges were dismissed or all defendants
were acquitted
c. Number of defendants charged
d. Number of defendants convicted
e. Number of defendants acquitted or dismissed (after charges)
f. Number of defendants sentenced
g. Amount of fines assessed (before suspension)
h. Months of incarceration ordered (before suspension)
STARS CODE: E/C-11
TARGETED: NO
REPORTED: Ql, 2,3,4
SUNSET:
STARS CODE: E/C-12
TARGETED: NO
REPORTED: Q4 only
SUNSET:
STARS CODE: E/C-13
TARGETED: NO
REPORTED: Q4only
SUNSET:
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OFFICE OF ENFORCEMENT
FY1993
PROGRAM AREA: CRIMINAL JUDICIAL ENFORCEMENT
GOAL: Ensure vigorous, timely, and high quality enforcement against violations of environmental statutes.
OBJECTIVE: Monitor State enforcement activity on cases referred to States by EPA's criminal enforcement program.
MEASURE: The following measures refer only to cases in which EPA has performed a STARS CODE: E/C-14
significant amount of the criminal investigatory work prior to referral to a State TARGETED: NO
(State is intended to include States, other nations, Indian tribes, and local REPORTED: Q4 ONLY
governments). SUNSET:
a. Number of EPA referrals to States
b. Number of individuals arrested
c. Number of defendants charged
d. Number of defendants convicted
e. Number of defendants acquitted or dismissed
f. Number of defendants sentenced
g. Amount of fines assessed
h. Amount of fines assessed (after suspension)
i. Months of incarceration ordered
j. Months of incarceration ordered (after suspension)
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OFFICE OF ENFORCEMENT
FY1993
PROGRAM AREA: FEDERAL FACILITIES ENFORCEMENT
GOAL: Carry out a vigorous Federal facilities compliance and enforcement program.
OBJECTIVE: Achieve and maintain high rates of compliance at Federal facilities through the
OMB A-106 pollution abatement process.
MEASURE: 1. Report total number of needed or inadequate OMB A-106 projects for STARS CODE: FFE-1
each media program by compliance class category (i.e., class I, II, or III). TARGETED:
REPORTED: Q2,4
SUNSET:
OBJECTIVE: Establish and implement cross-program/multi-media enforcement
program at Federal facilities to achieve additional protection of human
health and the environment, deterrence, and timely and appropriate
enforcement with greater efficiency than the traditional single-media
approaches.
MEASURE: Federal Facility Inspections and Enforcement Actions STARS CODE: FFE-2
TARGETED:
1. The number of single-media inspections performed at Federal facilities.
2. The number of Federal facilities that are in non-compliance with any
environmental statutes and regulations.
3. The number of single-media administrative enforcement actions.
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OFFICE OF ENFORCEMENT
FY1993
PROGRAM AREA: FEDERAL FACILITIES ENFORCEMENT
GOAL: Ensure a protective and efficient response program at Federal agency Superfund sites.
MEASURE:
MEASURE:
Target and report Interagency Agreements. Credit is given for lAGs
signed at NPL or proposed NPL sites for RI/FS/RD/RA or RD/RA only.
Target and report number of sites where a Record of Decision has been
signed by either the Regional Administrator or the Assistant Administrator
for OE for a Federal facility.
MEASURE: Target and report number of remedial action activities initiated at Federal
facilities. Credit is given where substantial continuous physical onsite
remedial action has been initiated pursuant to a ROD or other decision
document under an IAG/FFA or other enforceable, agreement.
MEASURE:
Target and report number of removal actions initiated at Federal facilities
pursuant to a IAG/FFA or other enforceable agreement.
STARS CODE: FFE-3
TARGETED: Q 1,2,3,4
REPORTED: Ql,2,3,4
SUNSET:
STARS CODE: FFE-4
TARGETED: Ql,2,3,4
REPORTED: Ql,2,3,4
SUNSET:
STARS CODE: FFE-5
TARGETED: Ql,2,3,4
REPORTED: Ql,2,3,4
SUNSET:
STARS CODE: FFE-6
TARGETED: Ql,2,3,4
REPORTED: Ql,2,3,4
SUNSET:
•fcU.S. Government Printing Office : 1992 - 312-014/40150
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U.S. Environmental Protection Agency
Region 5, Library (PL-12J)
77 West Jackson Boulevard, 12th Floor
Chicago, II 60604-3590
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