UN ITED STATES ENVIRONMENTAL PROTECTION AGEN

                         WASHINGTON, 0.C. 20460
                          DDrary
                          Environmental Protection Agents        OFFICE OF
                          •Washington. D. C, 2046Q   POLICY, PLANNING AND EVALUATION
 MEMORANDUM
 SUBJECT:   FY  1987  Strategic Planning and Management  System (SPMS)
            Measures and Commitments
                                     .
 FROM:      Bruce  T.  Barkley, DirectorYW
            Office of Management Systems and Evaluation

 TO:        Assistant Administrators
            Associate Administrators
            General Counsel
            Inspector General
            Regional  Administrators
            Staff  Office Directors


      This  memorandum transmits the final FY 1987 SPMS  measures
 for all programs requiring Regional, commitments and  the  schedule
 for completing commitment negotiations.  As you ar$  well .aware,,
 a lot of work has gone into measures development and a number , of
 drafts have been circulated.  Jim Barnes reviewed  the  proposals
 and endorsed the attached measures.  They are the  final  .measures
 and replace all  other versions you' may have seen.  Please  factor
 these final measures into your commitment negotiation's.

      Before discussing commitment negotiations, I  want,, to  comment
 on the delays in finalizing the measures and ask for your  assist-
 ance in the future.   It took longer to complete the  measures this
 year than  planned.   While several programs were ready,  to have their
 measures submitted  to Jim for approval last February as  planned,
 others were not.  Unfortunately, we had to delay those t.hajt w$re,
 ready in order to .ensure consistent . treatment of all £.±pg:;tams.   We
 will be starting work on the FY 1988 gui-daince and  measures', soon and
 we will need everyone's help to complete them on time..  We wi,H
 be discussing various ways to finalize th« measures  sooner next
 year in order to provide enough time for meaningful  commitment
 negotiations .

      In your commitment negotiations for the coming  year,  please
 use FY 1987 budget  and workload model numbers as a starting point
 where applicable.   Jim Barnes has indicated .that he  wants  our
 budget and SPMS  commitments to be; as consistent as possible.  We
 recognize  how difficult it is to project activity  levels ov-er a
 year in advance  and that your performance targets  may  d'i,f.fer from
 those in the budget and/or workload models.  We need your  rationale
 for significant  variances with budget targets when you Submit
c
c^
gj
                         HEADQUARTERS LIBRARY
                         ENVIRONMENTAL PROTECTION AGENCY
                         WASHINGTON, D.C. 20460

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                               -2-
your commitments.  Also, please remember that we want to set
realistic yet challenging targets. - In those areas where you have
consistently exceeded your targets, your 1987 commitments should
reflect the need to establish the highest performance levels
possible.

     It is important that the Assistant and- Regional Administrators,
are personally involved in the commitment setting process and that
you are comfortable with the commitments you are making.  They want
the commitments to-be developed from the bottom up with good nego-
tiations at all levels.  I encourage you to take a personal
interest in the discussions between your staff and their counter-
parts in Headquarters or the field.  You should make sure that
your staff understands that the commitment setting process is a
negotiations process and that any differences they can not resolve
should be elevated to your attention.  Jim will make final decisions
where you and the Regions are unable to reach agreement but he
wants to make sure that you have personally tried to resolve the
differences before you submit your commitments.

    In order to have commitments in place and published prior to
the beginning of the fiscal year, we will need your commitments
by September 1, 1986.  Formats for reporting your commitments
will be forwarded by .August 8, 1986.  Each Assistant Administrator
is free to develop his or her own process for working with the
Regions to reach agreement on the SPMS targets before they are
submitted to the Office of.Management Systems and Evaluation (OMSE).
The Assistant Administrators will need commitments from the Regions
before they are due to OMSE in order to identify the areas of dis-
agreement requiring their personal attention.  I encourage the
Regions to pay close attention to the AAs' due dates in order to
allow sufficient time for review and negotiations before the
September 1 deadline.  OMSE and the Office of Enforcement and
Compliance Monitoring will review the September 1 submissions,
assist in mediating any differences and elevate remaining issues
to Jim Barnes for resolution.  Our detailed schedule for finalizing
the commitments is attached for your information.

     We appreciate your assistance in the FY 1987 commitment
setting process.  We know that the timeframe is tight but we must
have commitments in place before the beginning of the fiscal year.
If you or your staff have any questions concerning the FY 1987
SPMS measures or the commitment setting process, please call
Cynthia Puskar at FTS 382-5439.

Attachments

cc:  HQ SPMS Contacts
     Regional SPMS Contacts
f
                                                                      i

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                      DETAILED SCHEDULE FOR
                  FINAL FY 1987 SPMS COMMITMENTS
TASK                                                      DATE

o  OMSE distributes reporting formats for FY 1987         8/8/86
   SPMS conunitme-nts.

o  AAs and RAs FY 1987 commitments due to OMSE.           9/1/86

o  OMSE and OECM. complete analysis of commitments  (de-    9/5/86
   termine discrepancies 'between AA and RA commitments
   and between commitments and budget projections).

o  OMSE completes efforts to resolve.differences.        '9/19/86

o  Deputy Administrator (DA) talks to AAs and RAs  to      9/23/86
   resolve differences and reach agreement on final
   SPMS commitments.

o  OMSE sends the Goals, Objectives, Commitments and      9/25/86
   Measures (GOCMs) document to the printers.

0  DA issues the GOCMs.                                   9/30/86

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OFFICE OF AIR  AND RADIATION

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                                            OFFICE  OF  AIR  AND RADIATION
     OBJECTIVE
                        MEASURE
Correct deficient SIPs and
implement applicable SIP require-
ments.  Determine the nature and
extent of nonattainment of
NAAQS, with emphasis on ozone.
Describe causes of nonattainment
and track actions to correct the
causes.  Ensure that reasonable
further progress is being made
toward meeting NAAQS in these
areas
SPMS COUt FREQUENCY
                                                         OAR
° Report on indicators of ozone air quality provided by
  Regional  Offices.

0 Report on ambient levels of lead for all counties
  violating the NAAQS in either 1985 or 1986
  provided  by the National Air Data Bank, possible
  reasons for violations (e.g., stationary source?
  not fully controlled), and status of SIPs~.
  Report nonattainment areas on a pollutant-by-pollutant
  basis and identify classification changes.
                                      Provide a  status  report  on all  high  priority areas
                                      with deficient  SIP's  and the actions to be taken to
                                      correct SIP's.
  A-l(H)


  A-2(H)
  A-3(H)
                                                             A-4(H)
Q4


Q4
Q1.3
           Ql

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                                            OFFICE OF  AIR AND RADIATION
     OBJECTIVE
                      MEASURE
                                                         SPMS COOL FRLQOENCY
Correct deficient SIPs and
implement applicable SIP require-
ments.  Determine the nature and
extent of nonattainment of NAAQS,
with emphasis on ozone.  Describe
causes of nonattainment and track
actions to correct the causes.
Ensure that reasonable further
progress is being made toward
meeting NAAQS in these areas.
                                                       REGIONAL OFFICE
Verify by pollutant the list of nonattainment counties
and Identify any counties changing classification
(e.g., from nonattainment to attainment, from attainment
to nonattainment)^

For each ozone nonattainment or SIP call area with a
                                         Regions wil
design value > 0.15 ppm. report to OAR.
review information provided by OAR.
a.  Exceedances--Populat ion-Oriented
    .The number of expected exceedances* of the ozone
    NAAQS at the population-oriented NAMS site during
    State-designated ozone season averaged over
    1984-86.**

b.  Exceedances--H1ghest Site
    The number of expected exceedances* of the ozone
    NAAQS at the- NAMS site with the highest ozone con-
    centration during the State-designated ozone season
    averaged over 1984-86.  This number may be identical
    to the numoer for the population-oriented NAMS
    site.**

c.  Concentrations
    The highest five daily maximum 1-hour concentrations
    from the NAMS mr SLAMS site with the highest second
    highest ozone concentration during the State-desig-
    nated ozone season  for 1986.
                                     *   See  Definitions  Tab

                                     **  This will  be  reported  as  a  rolling  average  for  the
                                        tnree years prior  to the  FY  in which the measure  is
                                        reported.
                                                           A-3(R)
                                                           A-l(R)
Q1.3
Q4

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                                           OFFICE
     OBJECTIVE
AND RADIATION

  MEASURE
                                                         SPMS COPE  FREQUENCY
(continued)

Correct deficient SIPs and
implement applicable SIP
requirements.  Determine
the nature and extent
of nonattainment of NAAQS
with emphasis on ozone.
Describe the causes of
nonattainment and
track actions to correct the
causes.  Ensure that
reasonable further progress
is being made toward meeting
NAAQS in these areas.
              REGIONAL OFFICE
Actions on deficient SIPs.*

a.  For all high priority areas*, describe the actions
    being taken* to correct deficient SIPs and the
    dates by which these actions are scheduled for
    completion.  OAR, in consultation with the
    regions, will identify these areas during the
    negotiation period as established by OMSE. (F)*

 b. Report on those areas with deficient SIPs and
    actions identified under (a) for which targets
    are established.  Where a targetted action is
    missed, report to OAR the reason for the delay
    actions being taken to complete the activity, and
    the quarter when delayed action will be completed.
                                    * See Definitions Tab
                                      A-4(K)
                                                                                                        Ql.2,3,4
                                                                                                      J_

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                                               OFFICE OF AIR AND RADIATION
     OBJECTIVE
                         MEASURE
SPMSCOUt   FREQUENCY
Establish and maintain state and
local programs to ensure that
in-use vehicle emissions are
controlled.
Use the National Air Audit
System to identify critical
and serious I/M program
operation problems.
                      REGIONAL OFFICES

   Report  number of new State and local  anti-tampering and
   fuel  switching programs^(T)
  Identify critical  and serious I/M program operating problems
  identified  during  previous audits.
  -List of critical  and serious I/M program
  operating problems identified duriny previous  audits.
  -List critical  and serious program operating problems
   identified during the FY 19tib/1987 audits.
  -Remedy critical and  serious  program operating problems.  (T)
0 Conduct  and  complete initial  audits  for I/M programs.
  -Complete  follow-up  audits  for I/M programs.(T)
(T)
                                     (T)  This measure  requires  a  Regional  target.
  A-b(R)
  A-b(R)
                                                                                                     A-7(R)
                     Ql.2,3,4
             0.2,3
             Ql.2,3,4

             0.3
             Q3

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       OBJECTIVE
                   MEASURE
SPMS CODE
FREQULWCY
Use the biennial National
Air Audit System to
identify obstacles
to program
e ffectivenes s
                REGIONAL OFFICE

Complete and report on National Air Audits.

- Negotiate and submit audit schedules.   (T)
- Complete audits. (T)
- Submit audit reports by quarter and no later than
  July 31, 1987.
                               Report to OAR on the status  of efforts to correct
                               State-specific audit deficiencies1.

                               - Provide list of all State-specific priority
                                 deficiencies outstanding from 1985/1986 audits.
                               - Identify the priority deficiencies to be corrected
                                 in FY 1987.  (T)
                               - Identify [by name} the priority deficiencies corrected
                                 during the quarter.
                             1  See Definitions Tab

                            (T)  This measure requires a Regional target.
 A-8(R)
                                                           A-9(R)
             Ql
             Q3
             Q2,3,4
                                                                        Q2,3,4
                                                                                                               OAR-5

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                                                 OFFICE  OF  AIR  AND  RADIATION
       OBJECTIVE
                 MEASURE
SPMS CODE  FREQUENCY
Establish and/or
support effective State
and local programs
to address toxic air
pollutants
Establisn and/or support
effective State and local
programs to address toxic
air pollutants.
                      OAR

Develop and Issue Guidance for Multi-Year Development
Plan Activities for FY 1988
                                           REGIONAL  OFFICES
 Complete and approve State Multi-year Development Plans
   Report the initial  results in obtaining
   adequate FY 1987 multi-year development plans  (MYUP)
   In conjunction with OAR make final  determinations
   regarding adequacy  of initial MYDP  submittdls
   Report additional progress achieved in obtaining
   adequate MYDP's for FY 1987.
 A-ll(H)
 A-ll(R)
Q3
             Ql
                                                                                                       Q2.3.4
                                                                                                            •AR-8

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             OFFICE OF  /.'
                                                            RADIATION
       OBJECTIVE
                    ME-ASURE
SPMS CUDE  FKLQULICY
Complete a national
source/emissions data
base for calendar year
1985 that meets the
requirements of the NAPAP
and OAR.
                                               OAR
° Complete Final  National  Source/Emissions Data Base
  and deli ver to  ORD
- Complete point  source update and data base
- Complete area source data base
                                           REGIONAL  OFFICE

                                Review and  Submit  Data  from National  Source
                                Emissions Data  Base

                                - Edit,  check,  correct,  and submit  required  data*
                                  (National  Emission Data System/confirmation  status)
                                  to OAR for point sources  with  actual  emissions of
                                  sulfur dioxide,  nitrogen  oxides,  or VOCs greater
                                  than 100  tons per  year.
                                - Complete  tr-ansmittal  to OAR of state responses
                                  to quality assurance  problems  by  May 16, 1987
                               The schedules  for  required  data  will  pertain  to data  to
                               be submitted to  OAR  during  FY  1987  and  will be  based  on
                               schedules  submitted  to  OAR  at  the end of  the  second
                               quarter, FY 1986.  A draft  of  these schedules reflecting
                               revisions  and  other  changes negotiated  with OAR will
                               be sent  to each  Regional  Office  by  June 16, 1986.  By
                               July 15, 1986, OAR will  provide  each  Regional Office
                               with a  final listing of the schedules for submitting
                               data from  each State.
 A-I^(H)
                                                             A-l^(R)
              Q4
                                                                                                           QAR-9

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                                               OFFICE OF AIR AND RADIATION
       OBJECTIVE
                  MEASURE
SPMS CODE  FREQUENCY
Establish State programs
to assess indoor air
radon levels and assist
homeowners with
mitigation efforts.
Short report on States'  progress in identifying areas where
elevated levels of indoor radon are likely to occur and in
setting up programs to provide information and assistance to
homeowners (no Regional report).
  A-15(H)
01,2,3,4
                                                                                                                'AR-12

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                                            OFFICE OF !
                      AND RADIATION
       OBJECTIVE
                   MEASURE
Attain and maintain high levels
of compliance with the require-
ments of the Clean Air Act.
               REGIONAL OFFICES

Regional Offices will report tne following compliance
statistics to OAR on a quarterly basis:

COMPLIANCE
                                    Compliance status  of major sources  (Class  A SIP,  Class  Al
                                    SIP,  NSPSs,  NESHAPs, federal  facilities).   The compliance
                                    status of  Class  A  VOC sources (Class  A SIP and NSPS).
                                    INSPECTIONS (T)

                                    Percent of Class  Al,  SIP,  NSPS,  and NESHAPs  sources
                                    inspected out  of  the  total  which should  be inspected  based
                                    on the Inspection Frequency Guidance.  The inventory  of
                                    sources monitored for inspection is the  fixed  list  identi-
                                    fied at the beginning of the fiscal year.   The percentage
                                    is cumulative;  reported quarterly with a one quarter  lag.
                                    (First quarter FY 1987 data will  be reported in second
                                    quarter.)  In  addition, the percentage of  sources  inspected
                                    (cumulative number) that are VOC sources will  be reported.
                                    (T)   This  measure requires Regional  targets.
SPMS CUUt  FREQUENCY
                                                                                                  A/ER-1
            0.1,2,3,4
                                                                         Ql,2,3,4
                                                                                                            OAR-13

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                                                SPMS  DEFINITIONS
                                                                               *
                                           OFFICE OF  AIR AND RADIATION

(A-l)   Expected Exceedances;  The statistic defined by  regulation for determining the number of  exceedances
       that account for missing data.

(A-4)   1.   High Priority Deficient SIP Areas;  Report as metropolitan area by  rulemaking jurisdiction with
           list of counties, where possible; otherwise  report by county.

           a.   All areas that received calls for SIP'revisions where the  SIP has  not received final,  complete
               approval;

           b.   All areas with conditionally approved  SIP's  for 03,  00,  SO2,  or NSR (not TSP) with currently
               outstanding serious and germane conditions;*

           c.   All areas with SIP's for 03, 00,  SO2,  Pb,  or NSR  (not TSP)  that have  been approved "with  the
               understanding that additional measures* will be submitted, but which  have  not  been subinitted;

           d.   All  areas with partially approved or incomplete SIP's  for 03, CO, SO2, Pb, or NSR  where addi-
               tional measures*  must be "submitted;

           e.   All  areas that require SIP revisions to conform to stack height  regulations.

               *List of  serious  and germane conditions and additional measures:

               —VOC regulations to conform to CTG's.
               —I/M legislation,  regulations,  or procedures.
               —Anti-tampering/fuel evaluation regulations and procedures.
               —Any other  new or revised regulations required by EPA for a fully approved SIP.

               NOTE;  1.  Areas with disapproved Part D SIPs with sanctions in place will generally be
                         construed as having undergone final  rulemaking and should be listed as a deficient
                         SIP but with  no planned activity associated.  However, the  Region should list
                         activity for any State  that  is expected  to  revise its  SIP to eliminate the disapproval
                         and sanctions.
                     2. The list of these  areas  represents  an update and refinement of  the  deficient SIP
                         list developed in'FY 1986 and will  include  VOC regulations  adopted  in contonrvance
                         with CTG's.
                                                                                                            AR-18

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                                    SPMS DEFIN
                                 OFFICE OF AIR


2.  Targets for high priority deficient SIP areas—Regional Office quarterly targets will
    be negotiated during the negotiation period as established by OMSE.  Targets will be one or inoie
    of the following actions:

    a.  Submission to Regional Offices in FY 1987 by States of SIP revisions due in FY 1987;

    b.  Submission to Headquarters in FY 1987 by Regional Offices of proposed rulemaking on revisions
        that had been received before  FY 1987 by quarter; and

    c.  Submissions to Headquarters in FY 1987 by Regional Offices of final rulemaking on SIPs on
        which EPA has proposed rulemaking before 1987.

3.  Actions to Correct High Priority Deficient SIPs;  (This will focus on adoption and approval of
    measures as part of SIPs).

    a.  Use FY 1986 missed milestones as the starting point,

    b.  Use the following categories of actions; group or subdivide as appropriate (establish date
        for completion of each activity).

         State Action

         — Adopt and/or submit to EPA new or revised regulations.
         — Start-up of t/M or anti-tampering program/TCM.
         — Obtain enabling legislation.

         EPA Action

         — Regional Office submit proposed rulemaking to HQ.
         — Regional Office submit final rulemaking to HO-

     c.  Use the following counting conventions for reporting:

         — CTG's - Count 1 per CTG category for each high priority ozone SIP (unless the area is made up
            of more than one jurisdiction).
         — Other regulations or regulatory revisions - Count 1 per regulation per jurisdiction.
         — Start-up of I/M ant i-tamper ing program or TO! - Count 1 per each distinct pr
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                                           SPMS DEFINITIONS

                                       OFFICE OF AIR AND RADIATION


(A-9)  State-Specific Priority Deficiencies;   All deficiencies  that the Regional Offices  have  identified
       during the audit process in the Executive Summary of the audit report.  Commitments to  correct
       these can be a result of negotiating through  the  section 105 grant,  SEA's,  or  other appropriate
       mechanisms.   This list is to include the outstanding priority deficiencies  from  the FY  1985  audits.

(A-10)  a.   EPA required SIP actions;   Includes only  State-submitted corrections to deficient SIP's,  State-
           submitted regulations and programs  for attainment and maintenance of national  ambient air
           quality standards, section  lll(d)  plans,  and  Regional Office prepared promulgations  for  implement-
           ing requirements of the Act or litigation settleinents.

       b.   All other SIP actions;  Includes State-initiated actions (e.g.,  emission trades, attainment
           area redesignations, SIP relaxations,  compliance date extensions.)

       c.   Newly due,  previously due Headquarters SIP actions;   If the 2-month Headquarters processing
           period ends within the reporting quarter,  then the SIP  action is newly  due;  if this  2-month
           period ends before the beginning of the quarter,  then it is previously  due.

(A-ll)  Multi-Year Development Plans;

       a.   The term "adequate FY 1987  Multiyear Development Plan (MYDP)" means any multiyear development
           plan that contains quantitative milestones consistent with OAR guidance on MYDP submittals
           and a commitment to implement  these milestones in a  reasonable timeframe.

           (1)  Plans which contain commitments for  implementing the following milestones (or equivalent
                milestones) in FY 1987 shall be presumed  to be  adequate for FY 1987 purposes:

                a.   Development of a workplan  (if applicable) for  at least  one large  urban area which is
                    consistent with relevant OAR guidance and ongoing PM/Ozone SIP activities.

                b.   Identification for each MYDP a principal point of contact for  air toxics concerns.

                c.   Identification and initial  screening  of  candidate high  risk point sources,  commensurate
                    with applicability and resources.

                d.   Evaluation of current technical,  legal,' and resource capabilities to  perform technical
                    analyses, such as  collecting relevant data;  and requiring new  and/or  existing sources
                    to submit information and/or install  additional control.
.l^jdi
                                                                                                             R-20

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                          SPMS DEFINITIONS

                        OFFICE OF AIR AND RADIATION


 e.  Initiation/expansion of an air toxics emissions inventory and use of the inventory to
     set priorities for the remaining air toxics problem(s).

 f.  Support of the national program through submittals of requested data to the national
     air toxics information clearinghouse, making requested presentations at a limited
     number of workshops, and providing occasional assistance to other S/L progtarns.

 g.  Evaluation of the methods for incorporating air toxics objectives into existing
     procedures for reviewing new and modified stationary sources.

 h.  Evaluation of their current program effectiveness in addressing defined ptoblems and
     a workplan for future-enhancement of present program coverage/implementation.

 i.  Accept implementation responsibility for any previously undelegated NFCSHAP
     and make any necessary improvements in the enforcement of current NESHAP.

The adequacy of plans which do not meet all the requirements in paragraph (1) shall be
determined on a case-by-case basis by the Regional Offices in conjunction with Headquarters,
taking into account several factors including:  consistency with the four major, themes
contained in the FY 1987 OAR Guidance, current status of the program, existing commitments
established within previously submitted plans, available funding and resources, applicability
of any presumptive milestones, potential air toxics payoff of substitute activities, and
the severity of remaining problems.
                                                                                             OAR-21

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                                           SPMS DEFINITIONS

                                        OFFICE OF AIR AND RADIATION


(AER 3)  State Administrative Actions Requirements;   Administrative actions should contain  provisions
        that, at a minimum:

        o  Explicitly require recipient to take some corrective/remedial action,  or refrain  from certain
           behavior,  to achieve or maintain compliance;

        o  Explicitly are based on the issuing Agency's  determination that a violation has occurred;

        o  Require specific  corrective actions, or  specify a  desired result that  may be accomplished
           however the recipient chooses,  and specify a  timetable  for completion;

        o  May impose requirements in addition to ones related  directly to correction (e.g.,  specific
           monitoring, planning or reporting requirements); and

        o  Contain requirements that are independently enforceable without having to prove original
           violation  and subject the person to adverse legal  consequence for noncompliance.

        Fixed and Dynamic Base EPA Administrative Actions;

        o  Formal actions taken under the  following sections  of the Clean Air Act  will be  credited as  an
           enforcement response to a significant noncomplier:  §113(a); §113(d);  §167; §120.

(AER 5)  Federal Facility Compliance Agreements;

        o  Federal Facilities Compliance Agreements are  equivalent to "formal enforcement  actions."  The
           term compliance agreement refers to the  mechanism  under Executive Order 12088 for  solving
           compliance problems between EPA and other federal  agencies.   A Compliance Agreement must  specify
           the corrective action to be taken, the schedule for  achieving compliance, and the  requirements
           for reporting progress.   The listing of  a GOCO as  a  Federal  facility does not automatically
           activate the 12088 process.  Most GOCOs  will  be subject to the normal enforcement  process as
           other non-government facilities (see April 24,  1985  memorandum from S^CD to the Regions entitled
           "Achieving VOC Compliance from-DOD Contractor Facilities.")
                                                                                                                -22

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                                                           DEFINITIONS
                                                OFFICE OF AIR AND RADIATION
(AER 5-6) Definition of Significant Violator;
     One of the objectives of the Strategic Planning and Management System for FY 1987 is that resources
be used to address significant air violators and return them to compliance.  This is designed to ensure
that resources are used in the most environmentally-beneficial manner.  A violator is deemed a significant
violator if it meets any one or more of the following criteria:

     1.  A source in violation of a NESHAPs, other than a source violating asbestos demolition and renova-
tion requirements. (Because of the transitory nature of asbestos demolition/renovation activities, they
are not easily susceptible to tracking under the significant violator program.  However, because of their
environmental significance, they are being tracked in a separate SPMS reporting requirement.);

     2.  A source in violation of new source requirements, including NSPS, PSD, and Part D nonattainment
permitting requirements;

     3.  A Class A source in violation of a SIP if the source is located so as to impact a nonattainment
area and is in violation for the pollutant for which the area is nonattainment;

     4.  A source in violation of federal consent decree or administrative order; or

     5.  A Class A federal facility violator.

     The significant violator program is intended to identify the highest priority sources foi the air
compliance program and to provide a special tracking system for resolving violations by these sources.
The criteria listed above are in no way intended to preclude EPA enforcement activity against violating
sources which do not meet the criteria (e.g., violating Class Al SIP sources in attainment areas) if the
State has not taken or is not taking appropriate action and if such actions will not detract from the
significant violator program.
                                                                                                            OAR-23

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OFFICE OF WATER

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                                                     OFFICE OF WATER
                                        Program Area:   Water Enforcement and Permits
            OBJECTIVE
                          MEASURE*
SPMS CODE
Reissue major industrial NPDES
permits in a timely fashion.
Reissue major municipal NPDES
permits in a timely fashion.
Identify, by Region, the number of major industrial permits
for which EPA is respoiisible that have or will expire by the
end of FY 1987.

Track, by Region,  progress against quarterly targets for the
number of major industrial permits reissued by EPA.

Identify  by Region, the number of major industrial permits
in NPDES States that have expired or will expire by the end
of FY 1987.

Track, by Region,  progress against quarterly targets for the
number of major industrial permits reissued by NPDES States.

Identify, by Region, the number of major municipal permits
for which EPA is responsible that have or will expire by the
end of FY 1987.

Track, by Region,  progress against quarterly targets for the
number of major municipal permits reissued by EPA.

Identify, by Region, the number of major iiunicipal permits
in NPDES States that have expired or will expire by the end
of FY 1987.

Track, by Region,  progress against quarterly targets for the
number of major municipal permits reissued by NPDES States
                                 * Definitions covering these measures can be found in the
                                   Office of Water Evaluation Guide.
:s
ihe
Jie
:s
id
ihe
2S.
Jie
Jie
3
id
:he
3
WQ-1
WQ-2
WO- 3
WQ-4
WQ-5
WQ-6
WO- 7
1C
Ql
1C
01
U
Q
11
U
            10/15/86



            QL,2,3,4


            10/15/86




            Ql.2,3,4


            10/15/86



            UL,2,3,4


            LO/15/86



            Ul, 2,3,4
                                                                                                                 OW-1

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                                                     OFFICE OF WATER
            OBJECTIVE
     Program Area:  Water Enforcement and Permits

                       MEASURE
Modify major industrial/
municipal permits to oonplete
BAT and water quality control
requirements
Issue NPDES permits to "envi-
ronmentally significant" minor
dischargers in a timely fashion.
Assure NPDES permits are fully
in effect and enforceable.
Effectively inplement approved
local pretreatment programs.
Identify, by Region, the number of revisions of major
industrial permits planned during FY 1987 (Report EPA
and NPDES States separately).

Track, by Region,  progress against quarterly targets for the
number of planned revisions of major industrial permits
(Report EPA and NPDES States separately).

Identify, by Region, the number of revisions of major
municipal permits planned during FY 1987 (Report EPA
and NPDES States separately).

Track, by Region,  progress against quarterly targets for the
number of planned revisions of major nunicipal permits
(Report EPA and NPDES States separately).

Track, by Region,  progress against targets for the number
of permits issued to "environmentally significant" minor
NPDES dischargers by EPA and the number issued by NPDES
States.

Identify, by Region, the number of pending evidentiary
hearing requests for which EPA is responsible and the num-
ber for which NPDES States are responsible as of the begin-
ning of FY 1987.

Track, by Region,  progress against quarterly targets for
the evidentiary hearing requests pending at the beginning
of FY 1987 resolved by EPA and for the number resolved by
NPDES States.

Track, by Region,  against quarterly targets,  the manlier of
audits of approved local pretreatment programs conducted by
EPA and the number conducted by approved pretreatment States.
SPMS CODE
  WQ-9
                                                                                                  WQ-1U
                                                                                                  WO-11
                                                                                                  WQ-12
  WO-13
  WO-14
                                                                                                  WQ-15
  WO-16
FREQUENCY

 10/15/86




 01,2,3,4




 LO/15/86




 01,2,3,4




 01,2,3,4
 LO/15/86-
             01,2,3,4
 01,2,3,4
                                                                                                                 OW-2

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                                                    OFFICE OF WATER
                                          Program;  Water Enforcement and Permits
            OBJECTIVE
                          MEASURE
SPMS CODE   FREQUENCY
Implement the National Municipal
Policy
Identify, by Region,  the number of nonconplying major mani-
cipal facilities needing construction and the number of
nonconplying minor municipal facilities needing construction
(i.e., needing MCP enforceable schedules) an of iO/1/06.

Track, by Region, against quarterly targets, the number of
major and the number of minor nuiucipal facilities needing
construction placed on enforceable schedules (i.e.,  MCP
enforceable schedules).

Identify, by Region,  the number of major irunicipal facilities
on MCP enforceable schedules that are not in compliance with
their schedule (report EPA and NPDES States separately).

Report,  by Region, the number of enforcement actions taken
against major nunicipal facilities that are not conplying
with their schedules (report EPA and NPDES States  "
separately).
 WQ-17
                                                                                                 WQ-19
                                                                                                 lVQ-20
10/15/06
                                                                                                            QL,2,3,4
            01,2,3,4
            01,2,3,4
                                                                                                                 OW-3

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                                         OFFICE OF WATER
                           Program Area;   Municipal Pollution Control
OBJECTIVE
MEASURE
SPMS CODE   FREQUENCY
Manage Transition to State/
Local Self-sufficiency

E xpediticusly Complete and
Closeout Projects









Improve Program Management

Irrprove Facility Performance



Track, by Region, progress against quarterly targets for the
number of Construction Grants IsMP projects which initiate
operation daring FY 1987.
Track, -ty Region, progress against quarterly targets for
the number of assistance disputes (arising under 40 CFR
Part 30, Sub-part L) filed before FY 1987 which are either
settled or withdrawn or for which decisions are issued by
the RA. (This measure includes all Part 30, Sub-part L
disputes across Regional programs. It is included in the
Water section because the majority of disputes involve
construction grants. )
Track, by Region, progress against quarterly targets for
administratively completing Step 1, Step 2, and backlogged
Step 3, 2+3, and PL 84-660 projects.
Track, by Region, progress against quarterly targets
for net outlays.
Track, by Region, progress against semi-annual targets for
the number of minor POTW's returned to compliance or meeting
schedules for corrective actions to return to carpliance as
a result of an Operations Management Evaluation (OME).
•

WO-21


WQ-22







WQ-23


WQ-24

WQ-25



Q 1,2,3,4


U 1,2,3,4







U 1,2,3,4


0 1,2,3,4

U 2,4


                                                                                                      OW-4

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                                                    OFFICE OF WATER
                                      Program Area; Marine and Estuarine Protection
            OBJECTIVE
                          MEASURE
SPMS CODE   FREQUENCY
Expedite 301 (h) decisions and
permit issuance.

Prepare environmental
assessments or impact
statements and rule making
packages for ocean dumping
site designation.
Track, by Region, progress against quarterly targets for the
number of permits reflecting decisions.

Track, by Region, progress against quarterly targets for;
-  number of draft environmental assessments or
   impact statements,
-  number of final environmental assessments or
   impact statements, and
-  number of sites designated.
  WQ-26
  WQ-27
0 1,2,3,4
Q 1,2,3,4
                                                                                                                 OW-5

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                                                     OFFICE OF WATER

                             Program Area;  Water Quality Standards, Planning and Assessment
            OBJECTIVES
                          MEASURE
Incorporate toxic pollutant pro-
visions of Water Quality Stan-
dards Regulations into State
water quality standards.

Support and assist States and
local agencies in developing
comprehensive NFS management
programs and in implaienting
NPS controls within specific
priority waterbodies.

Conduct water quality assess-
ments to identify problems.
Identify waters needing water
quality based controls.
SPMS CODE   FREQUENCY
Track, by Region, against quarterly targets, the number of
States which incorporate new or revised numeric and/or nar-
rative' criteria for toxic pollutants into State water quality
standards which are approved by .the Regional Office.

Track, by Region, against quarterly targets, the number of
adequate NPS management programs,  consistent with WQM Regula-
tion and EPA's Nonpoint Source Strategy,  developed by each
State.
Identify the number of stream miles,  lake acres,  estuary
square miles, coastal miles,  and Great Lake shore miles in
each Region,  the number assessed, and the number supporting/
partially supporting/not supporting designated uses as re-
ported in the FY 1986 305(b)  Report and 205(j) updates.
Identify, by nonpoint source category,  the number of stream
miles, lake acres,  estuary square miles,  coastal miles and
Great Lake shore miles not fully supporting designated uses
due to nonpoint source pollution.

Identify, the number oi waterbodies that are water quality
limited for:   (1) toxics and nontoxics,  (2) toxics only,  (3)
nontoxics only,  and the number of each of these still needing
water quality based controls;  the number of waterbodies where
available data shew they are not water quality limited for
toxics;  and the number of waterbodies for which available data
or analyses does not allow a  decision on the need for toxic
 WQ-29
 WQ-30
 WQ-31
 WQ-32
Q 1,2,3,4
Q 1,2,3,4
0 3
Q. 3

-------
                                                    OFFICE OF WATER

                             Program Area:  Water Quality Standards, Planning and Assessment
            OBJECflVE
                          MEASURE
SPMS CODE   FREQUENCY
Develop needed water quality-
based controls.
Track, by Region,  against quarterly targets,  the number of
waterbodies for which all known needed water quality based
controls for toxics and nontoxics have been approved by EPA.
Expectation is that 20% or nore of the waterbodies known to
need controls as of the beginning of FY 87 will be targeted
for carpietion.
  WU-33
Q 1,2,3,4
                                                                                                                 a;-?

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                                                     OFFICE OF WATER
                                  Program Area;  Office of Water Enforcement and Permits
            OBJECTIVE
                          MEASURE
SPMS CODE   FREQUENCY
Achieve and naintain high levels
of compliance in the NPDES
Program.
COMPLIANCE;  Data are lagged one quarter.

Track, by Region, the number and percent of major industrial
facilities in NPDES and non-NPDES States in significant non-
compliance with final effluent limits.  (Report NPDES and
non-NPDES States separately.)

Track, by Region, the number and percent of major industrial
facilities in NPDES and non-NPDES States in significant non-
compliance with construction schedules and/or with interim
effluent limits.  (Report NPDES and non-NPDES States
separately.)

Track, by Region, the number and percent of major municipal
facilities in NPDES and non-NPDES States in significant non-
ccmpliance with final effluent limits.  (Report NPDES and
non-NPDES States separately.)

Track, by Region, the number and percent of major imnicipal
facilities in NPDES and non-NPDES States in significant
non-compliance with construction schedules and/or with
interim effluent limits.   (Report NPDES and non-NPDES States
separately.}

Track, by Region, the number and. percent of major Federal
facilities in NPDES and non-NPDES States in significant
non-compliance with final effluent limits.   (Report NPDES and
non-NPDES States separately.)

Track, by Region, the number and percent of major Federal
facilities in NPDES and non-NPDES States in significant non-
compliance with construction schedules and/or with interim
effluent limits.  (Reports NPDES and non-NPDES States
separately.)
                                                                                                  WQ/E-
li-1
E-2
bI-3
li-4
i-5
J-6
01,2,3,4
Ql,2,3,4
01,2,3,4
01,2.3,4
01,2,3.4
01,2,3,4
                                                                                                                  OW-8

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                                                     OFFICE OF WATER

                                  Program Area; Office of Water Enforcement and Permits
            OBJECTIVE
                          MEASURE
SPMS CODE   FREQUENCY
Achieve and maintain high levels
of ccnpliance in the NPDES
Program,  (continued)
EXCEPTIONS REPORTING;  Data are lagged one quarter.

Identify, by Region, the name and number of major industrial
facilities in significant non-compliance on two or more
consecutive QNCRs without returning to compliance or being
addressed by a formal enforcement action (persistent
violators), and the number of consecutive quarters each
facility has appeared on the QNCR.

Report, by Region, the number of major industrial facilities
that are persistent violators which have returned to
compliance during the quarter, the number not yet in
compliance but addressed by a formal enforcement action
during the quarter (civil action or criminal referral),
and the number that were unresolved as of the end of
the quarter.   (After a facility has been reported as
returned to compliance or addressed by a formal enforce-
ment action,  it should be dropped from subsequent lists.)

Identify, by Region,  the name and number of major municipal
facilities in significant non-compliance on two or more
consecutive QNCRs without returning to compliance or being
addressed by a formal enforcement action (persistent viola-
tors), and the number of consecutive quarters each facility
has appeared on the QNCR.
WQ/E-7
                                                                                                  WQ/E-8
                                                                                                  l\JQ/E-9
01,2,3,4
            01,2,3,4
            01,2,3,4
                                                                                                                  OW-9

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                                                     OFFICE OF MATER

                                  Program Area; Office of Water Enforcement and Permits
            OBJECTIVE
                          MEASURE
SPMS CODE    FREQUENCY
Achieve and maintain high levels
of compliance  in  the NPDES
Program,  (continued)
Achieve and maintain high rates
of compliance in the NPDES
Program through enforcement
action.
Report, by Region, the number of major municipal facilities
that are persistent violators which have returned to
compliance during the guarter, the number not yet in
compliance but addressed by a formal enforcement action during
the guarter (civil action or criminal referral), and the
number that were unresolved as of the end of the guarter.
(After a facility has been reported as returned to compliance
or addressed by a formal enforcement action, it should be
dropped from subsequent lists.)

Identify, by Region, the name and number of major Federal
facilities in significant non-conpliance on two or more
consecutive QNCRs without returning to compliance or being
addressed by a formal enforcement action (persistent
violators), and the number of consecutive quarters each
facility has appeared on the QNCR.

Report, by Region, the number of"major Federal facilities
that are persistent violators which have returned to
compliance during the quarter, the number not yet in
compliance hut addressed by a formal enforcement action
during the quarter (civil action or criminal referral),
and the number that were unresolved as of the end of
the guarter.   (After a facility has been reported as
returned to compliance or addressed by a formal enforce-
ment action,  it should be dropped from subseguent lists.)

ENFORCEMENT ACTIVITY;   Data are for current quarter.

Report, by Region, the total number of EPA Administrative
Orders and the total number of State equivalent actions
issued.
WQ/E-10
                                                                                                  WQ/E-11
                                                                                                  WQ/E-12
lJQ/E-13
01,2,3,4
            01,2,3,4
            01,2,3,4
01,2,3,4
                                                                                                                  OW-10

-------
                                                     OFFICE OF MATER

                                  Program Area;  Office of Water Enforcement and Permits
            OBJECTIVE
                          MEASURE
SPMS CODE   FREQUENCY
Achieve and naintain high rates
of ccnpliance in the NPDES
Program through enforcement
action.  (continued)

Effectively enforce the
pretreatment program.
Identify compliance problems
and guide corrective actions
through inspections
Report,  by Region,  the total number of civil referrals sent
to State Attorneys General and the number of criminal actions
filed in State Courts.  (OECM will report EPA referrals.)
Track, by Region,  against quarterly targets the number of
pretreatment inspections conducted by EPA and the
number conducted by the States for:
 -  POTWs
 -  Industrial users

Report, by Region,  the number of pretreatment Administrative
Orders issued by EPA and the number of pretreatment
equivalent actions issued by States.

Report, by Region,  for pretreatment cases,  the number of
State civil referrals sent to State Attorneys General and the
numbef of criminal actions filed in State Courts.   (OECM will
report EPA referrals).

Track, by Region,  against quarterly targets,  the number of
najor NPDES  permittees inspected at least once. (Report EPA
and States separately.)
WU/E-14
WQ/E-15
                                                                                                 WQ/E-16
                                                                                                  WQ/E-17
WQ/E-18
Ql,2,3,4
01,2,3,4
            01,2,3,4
            01,2,3,4
UL,2,3,4
                                                                                                                 OW-11

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                                                            OF WATER
                         Program Area:  Drinking Water,   Public Water System Supervision Program
       OBJECTIVE
                         MEASURE
SPMS CODE   FREQUENCY
Ensure compliance with existing
drinking water standards.
POPULATION AT RISK;

Report, by Region,  the populations served by comnunity water
systems that are significant nonconpliers (SIMC) of a micro-
biological, turbidity, TTHM, organic chemical other than
TTHM, inorganic chemical, or radiological requirement.
Report populations in two groups:  a) microbiological,
turbidity, and TTHM,  and b) organic chemicals other than
TTHMs, inorganic chemicals and radiological requirement.
(Note: data are lagged two quarters.)

SETTING THE SNC BASES;

1. Track, by Region,  against targets, the numter and percent
of cormunity water systems that are significant nonconpliers
of a microbiological, turbidity,  or TTHM, requirement.
Report as one number.  (Note; Data are lagged two quarters.)

2. Track, by Region,  the number and percent of cofmunity
water systems that are significant nonconpliers of an organic
chemical other than TT.IIM, an inorganic chemical, or a
radiological requirement.  Report as one number.  (Note:
Data are lagged two quarters.)

FOLLOW-UP ACTIVITY ON SNCS; (EXCEPTIONS REPORTS)

1. Microbiology,  Turbidity, and TTHM;
   a. Track, by Region, the number of SNCs in the previous
   quarter's base which have returned to compliance,  had a
   formal enforcement action taken against them or were
   operating under and adhering to a formal compliance
   schedule.  (Note:  Data are lagged two quarters.)
                                                                                                    DW-1
                                                                                                   DW/E-1
                                                                                                   DW/E-3
               U 2
            10/15/86
               and
            U 1,2,3,4
                                                                                                                 Q 2
            Q 1,2,3,4
                                                                                                                  OW-12

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                                                     OFFICE OF WATER

                         Program Area;  Drinking Water,   Public Water System Supervision Program
       OBJECTIVE
                         MEASURE
SPMS CODE   FREQUENCY
Ensure compliance with existing
drinking water standards.
FOLLOW-UP ACTIVITY ON SNCS (EXCEPTIONS REPORTS); cont'd

   b. Identify, by name and ID number, the community water
   systems contained in the previous quarter's base which
   have not returned to compliance, did not have a formal
   enforcement -action taken against them or were not oper-
   ating under and adhering to a formal compliance schedule.
   (Note:  Data are lagged two quarters.)

2. Qrganics other than TTHM, Inorganics, and Radiologicals:
   a. Track, by Region, the number of SNCs in the second
   .quarter base which have returned to compliance, did not
   have a formal enforcement action taken against them, or
   were not operating under and adhering to a formal com-
   pliance schedule.  (Note:  Data are lagged two quarters.)
   b. Identify, by name and ID number, the community water
   systems contained in the second quarter base which have
   not returned to compliance, did not have a formal enforce-
   ment action taken against them, or were not operating
   under and adhering to a formal compliance schedule.
   (Note: Data are lagged two quarters.)

CIVIL/CRIMINAL CASE ACTIONS:

Track, by Region, the number of civil case referrals, and
criminal case filings initiated against any community water
systems during FY 87.  Report the civil and criminal activity
separately.  (Note: data are lagged two quarters.)

SANITARY SURVEYS;

Track by Region, against quarterly targets, the number of
State and EPA routine sanitary survyes conducted on cctnmunity
water systems.   (Note: data are lagged two quarters.)	
                                                                                                   DW/E-4
                                                                                                   DW/E-5
                                                                                                   DW/E-6
                                                                                                   DW/E-7
                                                                                                   DW/E-8
            0 1,2,3,4
            0 3,4
            0 1,2,3,4
            0 1,2,3,4
            0 1,2,3,4
                                                                                                                  OW-13

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                                              OFFICE OF DRINKING WATER
                        Program Area:  Drinking Water,   Underground Injection Control Program
     OBJECTIVE
                      MEASURE
SPMS CODE  FREQUENCY
Issue Underground Injection
Control (UIC) permits expedi-
tiously.
Assure the mechanical integrity
of existing wells.
Track, by Region,  progress against quarterly targets for the
number of UIC permit determinations for existing and new
Class I wells made by EPA and the number made by primacy
States.  (Report permit determinations for new and existing
wells separately.   Provide for information the number of
wells affected by these determinations.  Note: one quarter
lag for primacy States.)

Track, by Region,  progress against quarterly targets for the
number of UIC permit determinations for existing and new
Class II, III, and V wells (as applicable) made by EPA and
the number made by primacy States.  (Report permit
determinations for new and for existing wells and for each
well class separately.  Provide for iiifomation the number
of wells affected by these determinations.  Note:  one
quarter data lag for primacy States.)

Track, by Region,  progress against quarterly targets for
the number of existing UIC Class II permit file reviews com-
pleted by EPA and the number completed by primacy States.
A file review should be counted as "coripleted" only if the
file is found to neet regulatory requirements or, if the
file is found to be deficient,  appropriate follow-up action
has been initiated.  (Note:  one quater data lag for primacy
States.)

Track, by Region,  progress against quarterly targets for
the number of mechanical integrity tests of existing Class IJ
wells performed by operators and verified by EPA in direct
implementation States and the number performed by operators
and verified by the States in primacy States. (Note one
quarter lag for primacy States.)
 DW-2
                                                                                                 DW-3
                                                                                                 DW-4
 DW-5
Q,1,2,3,4
          0 1,2,3,4
            1,2,3,4
Q L,2,3,4
                                                                                                              OW-14

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                                                  OFFICE OF WATER

                        Program Area_   Drinking Water,   Underground Injection Control  Program
     OBJECTIVE
                       MEASURE
SPMS CODE  FREQUENCY
Achieve and maintain high levels
of compliance in the UIC
Program.
COMPLIANCE

Track, by Region, for primacy and for direct implementation
States, the number and percent of major wells in violation of
permit or rule requirements, and the number and percent of
Class II, III, & V wells in significant violation of permit
or rule requirements.  (Note: data are lagged one quarter.)
                                             LIST UNIVERSE
                                  Identify by name and UIC I.D.  number,  for primacy  and for
                                  direct implementation States,  major wells (I  &  [V)  and Class
                                  II,  III, and.V wells reporting significant violations and
                                  appearing on two or more consecutive Quarterly  Noncompl iance
                                  Reports without being returned to compliance  or addressed
                                  with a formal enforcement action (list separately  by  State
                                  and by well class).  (Note;  data are  lagged  one quarter.)
                                  EXCEPTIONSJJST TRACKINQ

                                  Identity by  name  and UIC I.D.  number the total  number ot
                                  major wells  (I  &  IV) and Class II,  III,  and V wells  listed
                                  in the exceptions list  universe for the  previous  quarter
                                  which have  (1)  returned to compliance or (2)  have not yet
                                  returned to  compliance  but have been addressed  with  a formal
                                  enforcement  action.  (Note: data are lagged one  quarter.)
 DW/E-9
                                                               DW/E-10
                                                               DW/E-11
Majors:
0 1.2,3,4

All others
0 2,3,4
          Majors.
          Q 1,2,3.4

          A11 others
          0 2..3,.4
          Ma jors;
          0 2,3,4

          Al1 others
          0 3,4
                                                                                                             OW-15

-------
                        Program Area.	Prj.nkj.ng_Water,   Underground Injection Control Program
Achieve and maintain high level
of compliance in the UIC
Program.          .       ,
                                                        MEASURE                                 SPMS CODE  FREQUENCY
INSPECTIONS

Track, by Region,  progress against quarterly targets for Liu
number of field inspections conducted by EPA and the number
conducted by primacy States.  (Note:  data are lagged one
quarter for primacy States.)
                                  FORMAL ENFORCEMENT ACTIONS

                                  Report number of EPA or  State administrative orders or
                                  equivalent State actions issued by type of  action,  by well
                                  class (list separately EPA and States).  (Note;data are
                                  lagged one quarter tor primacy States.)

                                  Report number of Sec.  1423 and Sec.  1431 referrals  or
                                  equivalent State actions generated:

                                         - civil action sent to HQ/SAG;
                                         - criminal referrels sent to HQ/SA3
                                         (Note;  data are lagged one quarter tor primacy  States,
                                                OECM will report EPA data.)
                                                                                                 DW/E-12
                                                              DW/E-13
                                                              DW/E-14
0,1.2,3,4
0,1,2,3,4
0,1,2,3,4
                                                                                                             OW-16

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OFFICE OF  SOLID WASTE AND  EMERGENCY RESPONSE

-------
                                    OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
                                              Program;   Superfund
        OBJECTIVE
                          MEASURE
SPMS CODE   FREQUENCY
Complete identification and
assessment of uncontrolled
hazardous waste sites in a
timely manner.
Focus removal action on
the most serious incidents
that require Federal
Government participation
and leadership.
Effectively utilize both
Fund resources and PRP
participation to support and
implement RI/FS activities.
Implement an integrated
Superfund effort that '
focuses both programs (OERR
and OWPE) toward selection
of remedy following the
completion of the RI/FS
stage.
Number of sites with completed Preliminary Assessments (PA)/.
Year-to-date*.

Number of sites with completed Site Inspections (Slji/.
Year-to-date*.

Number of removal first starts at NPL sites.
Report against combined target for Fund-financed and PRP/.
Year-to-date*.

Number of removal restarts at NPL sites.
Report for Fund-financed and PRP/.  Year-to-date.

Number of NPL sites stabilized via a removal action.
Report against combined target for Fund-financed and PRP/.
Year-to-date*.

Number of NPL sites where RI/FS has been started.
Report against combined target for Fund-financed and PRP/.
Year-to-date.

—  First funding or settlement for first RI/FS at site.*
—  First funding or settlement for subsequent RI/FS at site.*

Number of remedies selected at NPL sites.  Report agamst
combined target for HDDs and EDDs/.  Year-to-date.

— First ROD or EDO at NPL site.*
— Subsequent RODs or EDDs at NPL site.*
                              _/  Definition at end of program measures.

                              * Ttus measure requires Regional targets.
S/F-1


S/F-2


S/C-3(a)



S/C-3(b)


S/C-4



S/C-5
S/C-6
Q 1,2,3,4
By Region

Q 1,2,3,4
By Region

Q 1,2,3,4
By Region
U 1,2,3,4
By Region

U 1,2,3.4
By Region
U  1,2,3,4
By.Region
0 1,2,3,4
By Region
                                                                                                          OSWER-1

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                                      OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
                                                Program:   Superfund
        OBJECTIVE
                         MEASURE
SPMS CODE   FREQUENCY
Inplement a cost-effective
remedial construction
program.
Complete clean-up and delete
sites from the NPL.
Number of NPL sites where remedial action activity has been
started/.   Year-to-date.

— First funding or settlement for the first remedial
   action at an NPL site.

   0  Fund financed*
   0  PRP financed*

— First funding or settlement for a subsequent remedial
   action at an NPL site.

   0  Fund financed*
   0  PRP financed*

Number of sites where all remedial implementation has been
completed/.  Year-to-date* and program-to-date for EXind-
financed and PRP clean-ups.

Number of sites where the NPL deletion process has been
initiated.  Report on both Fund-financed and PRP-financed
NPL deletions.  Year-to-date.*
                               _/ Definition at end of program measures.

                               *  This measure requires Regional targets.
S/C-7
                                                                                              S/C-7(a)
                                                                                              S/C-7(b)
                                                                                              S/C-7(c)
                                                                                              S/C-7(d)

                                                                                              S/C-8
S/C-9
U 1,2,3,4
By Region
                                                                                                          By Region
0 1,2,3,4
By Region
                                                                                                            iWL'R-2

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                                    OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
                                           Program; Superfund Enforcement
        OBJECTIVE
                         MEASURE
SPMS CODE   FREQUENCY
Achieve and maintain maximum
levels of clean-up activity
through enforcement.
Formal Administrative Orders

Specify the total number and names of sites at which a
§106 Administrative Order, unilateral and consent,
(including Federal facility agreements) was issued this
quarter for both NPL and non-NPL sites.  (Access orders
are not included.)
                               1. Remedial

                               2. Removal


                               Civil Referrals
                  (Separate NPL and non-NPL.)
                               Reporting on judicial actions will be done through OECM's
                               automated DOCKET system.

                               - Number of §107 cost recovery actions referred to
                                 Headquarters this quarter.*

                               - Number of §106 civil actions referred to Headquarters
                                 this quarter.

                               Cost Recovery

                               Reporting on settlement achieved via cost recovery action.

                               The amount of reimbursement (accounts receivable and amounts
                               collected) of Trust Fund money by PRPs, under terms of a
                               settlement or a judicial actiop.  Year-to-date.


                              *  This measure requires Regional target.	
                                                               S/bl-2
                                                               S/E-2(a)
                                                               S/E-2(b)
                                                               S/E-3
            0 1,2,3,4
            By Region
            0  1,2,3,4
            By Region
            0 1,2,3,4
            By Region

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                            OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE

              Program; Chemical Emergency Preparedness Program and General Preparedness
OBJECTIVE
MEASURE
SPMS CODE   FREQUENCY
Improve the status of
Federal, State, and local
emergency preparedness by
supporting the Chemical
Emergency Preparedness
Program and related
emergency preparedness
activities.





Report number of Chemi'cal Emergency Preparedness. Program
'State Memos updated or revised./

Report number of contingency plans in CEPP designated
priority areas that are in the following status category
(1) under development or revision; (2) completed (includes
simulation exercise); or non-participating area.

Target and report number of localities EPA has assisted in
conducting "table-top" and/or simulation exercises of
acutely toxic chemical emergency incidents in CEPP
designated priority areas.*
* This measure requires Regional targets.
CEP-1


CEP- 2




CEP- 3




                                                                                                   0 1,2,3,4
                                                                                                   By Region

                                                                                                   0 1,2,3,4
                                                                                                   By Region
                                                                                                   0  1,2,3,4
                                                                                                   By Region
                                                                                                       •1R-4

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                                    OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE

                                  Program:  RCRA Permitting and State Authorization
        OBJECTIVE
                         MEASURES
 SPMS CODE    t'tttlQUENCY
Work with States to seek
HSWA Authorization
Make final RCRA permit
determinations by the
statutory deadlines.
. State Authorization Measures

 State submits official application for HSWA cluster/.
 EPA makes  final authorization decision  for HSWA cluster/.

 Permitting Measures  (Report on the  following information
 for land disposal, incineration, and storage and treatment.

 Public notice of draft RCRA permit  issued/.
                              Notice of intent to deny RCRA permit issued/.
                              Notice of availability of closure plan issued/.
                              RCRA permit issued/.  *t
                              RCRA permit denied/.  *f-
                              Closure plan approved/.  *
                               /  Definition at end of program measures.
                              *   This measure requires Regional targets for land disposal
                                  facilities only.
                              t   Permits issued and permits denied are combined for one
                                  target.  They will, however, be reported separately
                              	toward the combined target.	.	
                                                                                             R/C-l(a)


                                                                                             R/C-l(b)
 R/C-2(a)


 R/C-2(b)


•R/C-2(c)


 R/C-2(d)


 R/C-2(e)


 R/C-2(f)
              Q 1,2,3,4
              By Region

              U 1,2,3,4
              By Region
U 1,2,3,4
By Region

Q 1,2,3,4
liy Region

U 1,2,3,4
By Region

0 1,2,3,4
By Region

Q 1,2,3,4
By Region

U 1,2,3,4
By Region
                                                                                                           05MER-5

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                            OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE

                          Program;  RCRA Permitting and State Authorization
OBJECTIVE
MEASURES
SPMS CODE   KREQUENCY
                      Corrective Action Measures (applies to facilities'seeking
                      operating permits and closing facilities)

                      RCRA Facility Assessment (RFA) completed for entire facility
                      remedial investigation decision made/.

                      Remedial investigation imposed/. (Separate by entire facility
                      or partial facility.)

                      RCRA corrective measures plan approved/. (Separate entire
                      facility and partial facility.)
                      __/ Definition at end of program measures.
                                      R/C-3(a)


                                      R/C-3(b)


                                      R/C-3(c)
            0 1,2,3,4
            By Region

            0 1,2,3,4
            By Region

            0 1,2,3,4
            By Region
                                                                                                       :u-6

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                                    OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
                                             Program:  RCRA Enforcement
        OBJECTIVE
                          MEASURES
SPMS CODE   FREQUENCY
Improved compliance of
hazardous waste handlers
with appropriate require-
ments under RCRA.
Universe of facilities

Specify the .total number of land disposal facilities that are
regulated/.

Specify total number of TSDFs, other than land disposal, that
are regulated. (Do not include underground storage tanks,
generators, transporters, notifiers carrying non-regulated
status codes or state-only regulated handlers unless they are
also TSDF.j/
                             •
Inspections

Target and report, year-to-date, the number of land disposal
facilities that have received an inspection in FY 87,
(Combined EPA/State target.J/*

Target and report, year-to-date, the number of TSDFs, other
than land disposal, that have received an inspection in FY 87,
(Combined EPA/State target.)/*

Target and report, year-to-date, EPA inspections of Federal,
State, and local government TSDFs (including land disposal)
that received an inspection in FY 87. (EPA target.^/*

Class I Violations

Report the number of land disposal facilities identified,
year-to-date, as having one or more Class I violations./
                              __/  Definition at end of program measures.
                              *   This measure requires Regional targets.
 R/E-l(a)


 R/E-l(b)
                                                                                               R/E-2(a)
                                                                                               R/E-2(b)
                                                                                               R/E-2(c)
                                                                                               R/E-3(a)
0 1
By Region

0 1
By Region
            0 1,2,3,4
            By Region
            0 1,2,3,4
            By Region
            0 1,2,3,4
            By Region
            0 1,2,3,4
            By Region
                                                                                                           OSWER-7

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                                    OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
                                             Program;  RCRA Enforcement
        OBJECTIVE
                          MEASURES
SPMS CODE   FREQUENCY
Return significant noncom-
pliers to compliance.
Report the number of TSDFs, other than land disposal,
identified year-to-date, as having one or more Class I
violations^/

Significant Nonoompliance - Fixed Universe

Specify the number of land disposal facilities in significant
noncompliance (SNC) at the beginning of the year (fixed
universe)._/
                                                 •
Specify the number of these facilities.that received formal
enforcement action, prior to FY 1987, addressing all SNC
violations._/

Report the number of these facilities that have received an
initial formal enforcement action addressing all SNC violat-
ions. (Report EPA and State separately.)_/

Report the number of these facilities that are under a final
formal enforcement action that addresses all outstanding SNC
violations '(Report EPA and State separately.)

Report the number of these facilities in physical compliance
for all SNC violations regardless of how accomplished. (EPA
and State combined report.)

Target and report, the number of these facilities that have
not returned to compliance with all SNC violations and have
not had a formal enforcement action initiated against them
resolve all SNC violations. (Separate EPA and State targets.)*

*  This measure requires declining targets from the first
   quarter through the fourth quarter.  All facilities must
   be addressed prior to the end of the fiscal year through
   enforcement and/or have returned to physical compliance.
                                                                                             R/E-3(b)
                                                                                             R/E-4(a)(l)
                                                                                             R/E-4(a)(2)
                                                                                             R/E-4(b)
                                                                                             R/E-4(c)
                                                                                             R/E-4(d)
                                                                                             R/E-4(e)
            Q 1,2,3,4
            By Region
            0 1,2,3,4
            By Region
            Q 1,2,3,4
            By Region
            Q 1,2,3,4
            By Region
            0 1,2,3,4
            By Region
            Q 1,2,3,4
            By Region
            0 1,2,3,4
            By Region

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                            OFFICE OF SOLID
OBJECTIVE
                              D EMERGENCY RESPONSE
               Program;   RCRA Enforcement

                          MEASURES
SPMS CODE   FREQUENCY
                                                                                                  0  1,2,3,4
                                                                                                  By Region

                                                                                                  0  1,2,3,4
                                                                                                  By Region
Significant Nonccmpliance - Snapshot _/

Report the number of land disposal facilities in SNC at this
point in time. __/

Report the number of land disposal facilities in SNC at this
point in time that have not had formal enforcement action
initiated against them to resolve all violations that are
causing the facility to be in SNC.  Report by time elapsed
from inspection.

     0  13-5 days or less.
     0  136 - 180 days.
     0  181 days or more.

Federal Facilities - Snapshot

Report the number of Federally owned or operated land disposal
facilities (including contractor-operated Federal facilities)
that are in SNC, at this point-in-time.

Report the number of these facilities against which there is
one or more formal enforcement action(s) addressing all SNC
violations.
                       / Definition at end of- program measures.
R/E-5(a)


R/FJ-5(b)
                                                                                     R/K-5(b)(l)
                                                                                     R/K-5(b)(2)
                                                                                     R/E-5(b)(3)
                                                                                      R/E-6(a)
                                                                                      R/E-6(b)
            0  1,2,3,4
            By Region
            0  1,2,3,4
            By Region
                                                                                                 OSl ,l:R-

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                            OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
                                   Program Area;  RCRA Enforcement
OBJECTIVE
MEASURE
                                                                                     SPMS CODE
FREQUENCY
                      Enforcement Actions

                      Report the number of formal administrative enforcement
                      actions issued, year-to-date, to TSDFs, not including
                      §3008(h), §3013, and §7003_./ (Report separately by EPA
                      and by State.)

                      Report the number of formal administrative enforcement
                      actions issued, year-to-date to TSDFs, under §3008(h),
                      §3013, and §7003_./ (Report separately by EPA and State.)

                      Specify the number of State civil and criminal cases filed
                      this quarter against Subtitle C handlers.

                      Note; EPA civil referrals will be taken from the OECM docket
                            system.  EPA criminal actions will be tracked' by NEIC.
                      Violation of Corrective Action

                      Specify the number of facilities that are not in compliance
                      with corrective action requirements in a final administrative
                      order, court judgment, or consent decree, or permit schedule
                      of compliance^/
                       _/ Definition at end of program measures.
                                      R/E-7(a)
                                      R/E-7(b)
                                      R/E-7(c)
                                      R/E-8
Q 1,2,3,4
By Region
0 1,2,3,4
By Region
0 1,2,3,4
By Region
O 1,2,3,4
By Region
                                                                                       	1
                                                                                                       iK-10

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                                    OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
                                         Program:  Underground Storage Tanks
          OBJECTIVE
                         MEASURE
SPMS CODE
FREQUENCY
Complete notification
requirements and have
operational data base in
each State by 9/30/87.
Identify and investigate
all violations of the
Interim Prohibition.
Develop enabling legisla-
tion and draft UST regula-
tions in each State that
would lead to programs "no
less stringent than"
Subtitle I.
Notification

Report on the following by State:

Estimated number of underground storage tanks^/

Number of tanks reported by notifications^/

Operational notification data management system./

Interim Prohibition

Report on the following by State and Region separately:

Number of violations identified.

Number of tanks taken out of operation, retrofitted
or properly installed, or not installed as a result of
actions taken by EPA, and by the States leading to enforce-
ment referrals for interim prohibition.

State Program Development

Report on the following by State:

States with enabling legislation in place.

States with draft UST regulations developed.
                                                  •
States implementing UST programs.

__/  Definition on following page.
                                                                                              UST-l(a)

                                                                                              UST-l(b)

                                                                                              UST-l(c)
                                                                                              UST-2(a)

                                                                                              UST-2(b)
 UST-3(a)

 UST-3(b)

 UST-3(c)
             0 1,4
             15y Region
             0 1,2,3,4
             By Region
             O 1,2,3,4
             By Region
             0 1,2,3,4
             By Region
             0 1,2,3,4
             By Region
                                                                                                          0 1,2,3,4
                                                                                                          By Region
                                                                                                          O 1,2,3,4
                                                                                                          By Region
                                                                                                           OSWER-11

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                                           SUPERFUND DEFINITIONS
S/F-1   Number of sites with completed Preliminary Assessments (PA).

        A PA is completed when:  1) a PA report has been received by the Region from FIT or the State; and
        2) the PA report has been reviewed and approved by the appropriate Regional official; and 3) the PA
        report has been recorded in CERCLIS.

S/F-2   Number of sites with completed Site Inspection (SI).

        A SI is completed when:  1) a SI report has been received by the Region from FIT or the State; and
        2) the SI report has been reviewed-and approved by the appropriate Regional official; and 3) the SI
        report has been recorded in CERCLIS.

S/C-3a  Number of removal first starts at NPL sites.

        Fund-financed;  A Fund-financed removal action starts when 1) an OSC or PCMD has signed a contract
                        for an EPA or Coast Guard-lead.removal action; 2) the obligations have either been
                        recorded in FMS or have been reported and documented in supplemental Regional
                        reports; 3) there is no settlement with a PRP and no compliance with a unilateral
                        order; 4) on-site work has begun; and 5) there has been no previous removal
                        activity at the site.

        PRP financed;   A PRP financed removal action starts when an administrative order on consent, consent
                        decree, or consent agreement with PRPs requires a removal action and there has been
                        no previous removal activity at the site.  Also, the number of NPL sites where PRPs
                        are in compliance with a unilateral order or judgement requiring a removal action
                        and there has been no previous removal at the site.

S/C-3b  Number of removal restarts at NPL sites.

        Fund-financed;  A Fund-financed removal action starts when 1) an OSC or PCMD has signed a conttact
                        for an EPA or Coast Guard-lead removal action; 2) the obligations have either boen
                        recorded in FMS or have been reported and documented in supplemental Regional
                        reports; 3) there is no settlement with a PRP and no compliance with a unilateral
                        order; 4) on-site work has begun; and 5) there has teen previous removal activity
                        at the site.
                                                                                                              SR-12

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 Superfund  Definitions (cont'd.)


 S/C-3   PRP financed;  A PRP financed removal action starts when an administrative order on consent,
(con't.)                 consent decree, or consent agreement with PRPs  requires a  removal action.   Also,
                        the number of NPL sites where PRPs  are  in compliance with  a unilateral order or a
                        judgement  requiring a removal action and there  has been previous removal activity
                        at the site.

 S/C-4   Number of  NPL sites stabilized via a removal action.

         Fund-financed;  A site is stabilized when the  first emergency  response or removal activity has been
                         completed by EPA, even if the  OSC  determines that additional  removal on remedial
                         work may  be necessary.  A site counte  as an NPL stabilization only  Lf  it  was  on
                         the Final or Proposed NPL list the day the removal ended.  A  removal ends the day
                         the clean-up contractor demobilizes at the site and completes the scope- of work
                         identified in the original or  modified action.memorandum.  In the event of a
                         restart at an NPL site, the site is no longer  considered  "stabilized" until the
                         restart has been completed.

         PRP financed;   A site is stabilized when the  government has certified that potentially responsible
                         parties have completed a removal action under  the terms of an administrative  order,
                         consent decree, consent agreement  or a judgement, even if the OSC determines  that
                         additional removal or remedial work may be necessary.

 S/C-5   Number of  NPL sites where 'the RI/FS has been started.

         First funding or settlement for first RI/FS at site.

         Fund-f inanced;  A RI/FS is started when 1) either  a contract has been signed  by the PCMl),  an  TAG
                         has been  signed, or GAD or a cooperative agreement has been signed by the Regional
                         Administrator to conduct a RI/FS activity; 2)  obligations have either been recorded
                         in FMS or have been reported and documented in supplemental Regional reports  as
                         of the end of the reporting period or  have been reported  in Technical Enforcement
                         Support contract status reports; and 3) there  is no settlement with a PUP and no
                         compliance with a unilateral order.

-------
 Superfund Def initions (cont'd.)

 S/C-5   PRP financed;   (Includes Federal  facilities)  A RI/FS  is  started when  an  administrative order on
(con't.)                  consent,  consent decree, or consent  agreement with PRPs includes  an  RI/FS  and
                         there has been no  obligation of  Trust Funds  for  a RI/FS.   A RI/FS at a  Federal
                         facility  is started when the Federal entity  has  agreed  to  conduct an RI/FS under
                         the terms of a Memorandum of Understanding,  Inter-Agency Agreement,  Administrative
                         Order,  or Consent  Agreement.

         Subsequent funding or settlement of RI/FS;

         Fund-financed;   A subsequent RI/FS begins the date the  RI/FS obligation is made Cor  the second of:
                         subsequent RI/FS at an NPL site.  There can  be more  than one RI/FS at a site,  but
                         only  the  RI/FSs after the first  RI/FS count  toward this measure.

         PRP financed;   A subsequent PRP RI/FS begins when an administrative order on consent,  consent
                         decree, or consent agreement with PRPs  requires  a second or subsequent  RI/FS  at the
                         site.

 S/C-6   Number of remedies selected at NPL sites.

         First  ROD or EDO at NPL site;   Sites where initial Record  of Decision (ROD),  Enforcement Decision
         Document  (EDD),  or no action alternative (NAA) has been signed by either the Regional Administrator
         or Assistant Administrator for Solid Waste and Fjnergency Response.

         Subsequent RQDs  or EDDs at NPL site;  RODs 01 KDDs that have been signed by the Regional Administt ator
         or Assistant Administrator for Solid Waste and Emergency Response that  are in addition  to  the
         initial ROD or EDD signed for the  site.

 S/C-7   Number of NPL sites where remedial action activity has  been  started.

         First  funding or settlement for first remedial action at an  NPL  site.

         Fund-financed;   Sites where 1)  an  Inter-Agency Agreement has been approved by GAD or a  cooperative
                         agreement been signed by the Regional Administrator  to  conduct the Cir.st construct ion
                         activity  at the site and 2) the  first obligation has either been  recorded  in  FMS or
                         reported  and documented in supplemental Regional reports as of the end  of  the  tej>;t ting
                         period.
                                                                                                              R-14

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 Superfund Definitions (cont'd.)

 S/C-7   PRP financed;   A PRP financed remedial action  resulting  from an administrative  order on consent,
(con't.)                  -consent  decree, consent agreement, or where  PttPs are  in compliance with a  unilateral
                         order, or judgement requires a  remedial action, starts at  the  approval of  the
                         remedial design by the Agency as  evidenced by receipt of milestone memo.*

                         * a boilerplate memo  to be developed  by OWPE documenting where activity currently
                           stands.

         First funding or settlement  for subsequent remedial action at an NPL site.

         Fund-financed;  Sites where  an Inter-Agency agreement has been approved by GAD or a cooperative
                         agreement has been signed by the  Regional Administrator to conduct a construction
                         activity contained in a subsequent ROD or EDD.  The obligation has eithor  been
                         recorded in  FMS or reported and documented in supplemental Regional reports  as of
                         the end  of the reporting period.

         PRP financed:   A PRP financed subsequent remedial action resulting from an  administrative order
                         on consent,  consent decree, consent agreement, or when PRPs.  are  in compliance  with
                         a unilateral order, or judgment requires  a subsequent remedial action, starts  at
                         the approval of the subsequent  remedial design by the Agency as  evidenced  by the
                         receipt  of a milestone memo.*

                         * a boilerplate memo  to be developed  by OWPE documenting where activity cunentJy
                           stands.

 S/C-8   Number of sites where all remedial implementation has been completed.

         Number of sites where all construction operable units and final construction inspection lias  been
         completed.


 S/C-9   Number of sites where the NPL deletion process  has been initiated.

         The deletion process is  initiated at  Fund-financed or responsible party (RP) financed sites  on the
         NPL when Regional Administrator transmits a complete  deletion recommendation package to the  Assistant
         Administrator of Solid Waste and Emergency Response for formal concurrence.
                                                                                                            OSWER-15

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                                     PREPAREDNESS PROGRAMS DEFINITIONS
CEP-1  Chemical Emergency Preparedness Program (CEPP) State Memo* is an agreement developed with each State
       to focus Federal and State assistance to designated priority areas within each State and to track
       the status of preparedness.  Ihe memos should include the names of designated priority areas and a
       schedule of preparedness activities (i.e., contingency planning, training, technical assistance, and
       related activities).  Designated priority areas include those areas designated under the NRT/RRT prepaied-
       ness initiative relative to chemical emergency response.  (Note: RRT designated priority areas
       related to oil spills should not be included in CEPP activities.)

CEP-3  Simulations are table-top or field excercises conducted to test or evaluate a contingency plan.
   Guidance and reference information on the CEPP State Memos is forthcoming and will include information on
   developing both the format and content of these agreements as well as suggested factors lo consider  when
   determining which areas will become "designated priority areas".

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                            RCRA PERMITTING AND STATE AUTHORIZATION DEFINITIONS
R/C-l(a)  State submits official application for HSWA cluster;  The date the Region receives the complete
          official application.  Where more than one application is submitted for different provisions in
          the HSWA cluster, the date reported is the date of the last application necessary to cover all
          provisions in the HSWA cluster.

R/C-l(b)  EPA makes final authorization decision for HSWA cluster;   The date notice appears in the Federal
          Register that final authorization for HSWA cluster is granted or denied.  Where final authorization
          is granted at different times for different provisions in the HSWA cluster,  final authorization
          is the date of the last authorization decision covering all provisions in the HSWA cluster.


R/C-2(a)  Public notice of draft permit issued;   The date the public notice of draft permit is issued.

R/C-2(b)  Notice of intent to deny RCRA permit issued;  The date the public notice of intent to deny RCRA
          permit is issued.

R/C-2(c)  Notice of availability of closure plan issued;  The date the public notice is issued.

R/C-2(d)  RCRA permit issued;  The date the RCRA permit is issued.

R/C-2(e)  RCRA permit denied;  The date the RCRA permit is denied.

R/C-2(f)  Closure plan approved>  The date State or EPA approves the closure plan following an inspection
          of the facility, a public notice of the plan and response to comments.


R/C-3(a)  RCRA facilty assessment (RFA) completed for entire facility;  When a decision is made to initiate
          a remedial investigation or that a remedial investigation is not necessary.

R/C-3(b)  Remedial investigation imposed;   When a permit or permit modification is issued which incorporates
          a requirement for a remedial investigation; or EPA or authorized State takes formal enforcement
          action to require a remedial investigation.  Where a complete remedial investigation is required
          for an entire facility, report as a entire facility.  Where the remedial investigation is phased
          to address different parts of the facility or different environmental media, "imposed" means to
          legally obligate the owner/operator to initiate the first phase of the remedial investigation;
          report as partial facility.
                                                                                                         OSWER-17

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RCRA Permitting and State Authorization Definitions (con't.)
R/C-3(c)  RCRA corrective measures decision made;   Following completion of a remedial investigation,  when
          a decision has ibeen made either to initiate corrective measures (i.e. remedy selected)  or that
          corrective measures are not necessary.   Where corrective measures are determined to l)e  necessary/
          corrective measures decision is considered made when the owner/operator has characteiized the natute
          and extent of all releases at the facility and EPA or the authorized State has approved appropriate
          corrective measures (i.e. remedies) for all identified releases.  Where corrective moasures have
          been determined to be necessary:  permit or permit modification is issued incorporating cortective
          measures program, or owner/operator is  notified in writing by EPA or authorized States  that the
          corrective measures plan prepared pursuant to an existing permit condition has been approved, or
          owner/operator receives EPA or authorized State approval to initiate cortective measures program,
          pursuant to an enforcement order.  Report entire facility if the permit/order addresses the entire
          facility; report partial facility if the permit/order addresses less than the entire facility.
                                                                                                            3WER-18

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                                        RCRA ENFORCEMENT DEFINITIONS


R/E-l(a)    Land Disposal Facility Universe:  Does not include Class I UIC wells, certified clean closed
            facilities, and pre-HSWA State delisted and EPA delisted land disposal facilities.
                         I
R/E-l(b)    Universe of TSDF's other than Land Disposal Facilities;  Does not include underground storage
            tanks, generators, transporters, notifiers carrying non-regulated status codes or State-only
            regulated handlers,

R/E-2(a)    Inspections:  Once inspected in FY 1987, a facility should not be recounted in this category.
            This measure is intended to evaluate whether every facility has been addressed with a full
            compliance inspection under RCRA §3007 (c), (d) and (e).  Inspections to be counted are CMEs
            and CEIs.  (Includes Federal, State and local facilities.)

R/E-2(b)    Inspections;  Once inspected in FY 1987, a facility should not be recounted in this categoiy.
            This measure is intended to evaluate whether every facility has been addressed with a tull
            compliance inspection under RCRA §3007 (c),(d), and (e).  Inspections to be counted are CEIs.
            (Includes Federal, State and local facilities.)

R/E-2(c)    Federal, State and local TSDF's;  These numbers are a subset of the numbers targeted and
            reported in.(a) and (b).

R/E-3(a,b)  Discovery of Violations; This includes violations discovered through 'any means. (A facility
            can be counted only once, the first time a violation is discovered in FY 1987.)

R/E-4       SNC-Fixed Universe! SNC includes those land disposal facilities (operating, closing, and
            closed) in significant noncompliance for Class I violations related to groundwater, closure,
            post-closure, and/or financial responsibility requirements.  This universe is set at the begin
            ning of the fiscal year (FY 1987).  Facilities do not enter or exit the fixed universe aftet
            October 1.  Note that the FY 1987 definition is the same as in FY 86. Submit facility najnes in
            support of data.

R/E-4       For the purpose of R/E 4-7 "formal enforcement action" includes: §3008 (administrative
thru        or judicial), §3008(a) final orders, § 3013 Orders, §3008(h) orders, §7003 orders, other
R/E-7       formal actions identified in the definition for R/E-4(b), and all equivalent formal State
            actions.  To be "equivalent", a State action must be equal to Federal §3008(a) complaint or be
            legally binding.  This excludes notices of violations, warning letters or agreements, etc.
                                                                                                          OSWER-19

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RCRA Enforcement Definitions (cont'd)

R/E-4(b)     Initial formal enforcement action includes;  Filed administrative complaint or order, or
             judicial complaint, criminal action or State equivalent that addresses all violations that
             placed them in SNC.

R/E-5        SNC Snapshot; This measure is designed to identify the total number of land disposal
             facilities with at least one SNC violation at the end of each quarter.  Include in the
             measure, the fixed universe, minus those facilities that have returned to and remained in
             compliance, and all SNCs identified to date in FY 1987. (Report by name the new tacilities
             identified in SNC.)

R/E-5(a)     A facility can be counted only once as being in SNC.

R/E-7(a)     Includes State actions comparable to formal actions under §3008(a) but does not include State
             actions comparable to actions under §3008(h), §3013, §7003.

R/E-7(b)     Includes State actions comparable to actions under §3008(h), §3013, and §7003.

R/E-8        Compliance with corrective action; Those facilities subject  to corrective action requirements
             are reported in R/C 3(b).

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                                               UST PROGRAM DEFINITIONS


UST-l(a) Estimated number of USTs;  means that each State will provide an estijnate of the universe of USTs
         affected by the notification requirements.  This estimate will be examined at the end of the
         first and last quarters.

UST-l(b) Number of tanks reported by notification;  means the number of tanks reported to the designated
         State agency in order to meet the notification requirements. (Quarters 2, 3, and 4 ate reported
         cumulatively.)

UST-l(c) Operational notification data management systems:  means that the designated State agency can answer
         all of the following questions based on notification data within 15 working days of an EPA
         request.
         1.  How many tank notifications have been received?
         2.  What is the type, size, use, age, and location of tanks that have notified?
         3.  For each tank taken out of operation after 1/1/74 provide:
             - age, size, type and location of tank.
             - type and quantity of tank contents.
             - date taken out of operation.
         4.  How many notification orders were sent back to the owner and will neecl to be resubmitted?
         5.  What is the age, size, type, location, and use of tanks that have been brought into use aftei
             5/8/86?
         6.  Number of tanks installed after 5/8/85 in compliance with the interim prohibition.

UST-2(a) Number of violations identified;  means that the Region with authority to enforce the Interim
         Prohibition has determined via an inspection-or examination of records that a violation of the
         Interim Prohibition as defined in §9003(g)(l) has occurred.  (Show number of violations identified
         by State and EPA separately.) (Quarters 2, 3, and 4 are reported cumulatively.)

UST-2(b) Number of tanks taken out of operation, retrofitted, properly installed, or not installed as a
         result of Interim Prohibition enforcement actions taken by EPA means that tanks in violation of
         Interim Prohibition requirements have been removed from the ground or emptied and cleaned accotdinq
         to acceptable industry practices; have been retrofitted or otherwise replaced with a tank in
         conformance with Interim Prohibition standards; or the tank in violation was not installed.
         Examples of enforcement actions that may lead to these results are:  documented communications,
         Administrative Orders, Consent Orders, Unilateral Orders, temporary restraining orders, civil
         referrals, and civil judicial actions pursuant to RCRA §7002 (citizen suit provision) or State
         equivalent such as a formal warning letter similar to EPA's AOs.  Written documentation of
         actions taken and the result should be maintained. (Quarter 2,3,4.)
                                                                                                           OSWER-21

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UST Program Definitions (con't.)


UST-3(a) States with enabling legislation in place;   means that State legislative action necessary for the
         adoption of an UST program no less stringent than Subtitle I has been completed.

UST-3(b) States with draft UST regulations developed;  means that State regulatory action needed to adopt
         the Subtitle I program has been drafted and proposed for appropriate review (public notice),  but
         need not be promulgated as a final regulation.

UST-3(c) States implementing UST programs;  means that the State has the framework to implement an UST program
         "no less stringent than" seme or all of the elements of a State program described in §9004(a).
         (This does not necessarily require enabling legislation and regulations to be in place).

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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES

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                                     OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
                                               Program:  Pesticides
            OBJECTIVE
                          MEASURE
                                                  SPMS CODE  • FRFniFNCY
Protect health and the
environment from arty
unreasonable effects fron
pesticides currently in use.
Restrict or ban the use of
pesticides posing unreason-
able effects to human health
and the environment.
Issue 	 data call-in letters to obtain key exposure data
for existing pesticides.
Establish
 Registration Standards covering
percent
                              of total pesticide usage in the United States.
Implement the following Intermediate Health and Safety
Reguirements for 	 chemicals covered by Registration
Standards issued before October 1, 1985.

  o  Submission by the registrant of an EPA approved draft
     label.

  o  Agreement to submit all studies reguested by EPA within
     a time frame acceptable to both the registrant and EPA.

Make ___ Special Review decisions and indicate pesticides
planned for Special Review (per budget numbers).
Complete
reviews of studies called in by Registration
                              Standards or data call-in letters, or received as a result of
                              6(a)(2) Adverse Effects.
                                                  P-l
P-2
                                                                                              P-3
                                                  P-4
            P-5
                        O 1 ,2,3,4
O 1,2,3,4
                                                              O 1,2,3,4
                        0 1,2,3,4
            O 1,2,3,4
                                                                                                            OFI'S-1

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                                     OFFICE OF PESTICIDES AND TOXIC SUBSTANCES

                                               PROGRAM:  Pesticides
            OBJECTIVE
                          MEASURE
SPMS CODE   FREQUENCY
Prevent unreasonable risk
fran pesticides active
ingredients and products and
encourage use of safer
products.
Complete final actions 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 Biochemical/
   Microbiological Reviews):   	

-  Old Chemical Applications: 	
                                 Amended Registration Applications:

                                 New Uses Applications:
                              Process
             tolerance petitions within guarterly targets
                              and report on the backlog of overdue petitions.*

                              Complete action on 	 emergency exemptions.*
                              * These numbers may vary based on the number of petitions and
                                exemptions received by EPA.   OMSE will compare the number of
                                petitions and exemptions actually processed each guarter
                                with the number adminstratively targeted to be processed.
P-6
P-7
                                                                P-8
0 1,2,3,4
0 1,2,3,4
            Q 1,2,3,4
                                                                                                            kOPTS-2

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                                      OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
                                              Program Area:   Pesticides
       OBJECTIVE
                          MEASURE
SPMS CODR   FRROIJRNCY
Protect public health and
the environment by working
with states to strengthen
programs for training and
certifying pesticide
applicators.  Update State
Certification and Training
Plans, which document the
States' programs.
Review State Certification and Training plans and programs.
Determine what corrective action is needed to upgrade 	*
State plans and programs.  Identify and report the number of:
a) programs with priority needs**;  b) programs with secondary
needs (i.e. programs with needs which are not "priority
needs"); and c) programs which are without needs.
(This information will be used in an SPMS graph displaying
the status of each state.)

Develop and approve final schedules for corrective action for
	* programs with priority needs.**

Verify that 	* States have updated programs with priority
needs according to approved final-schedules.** (Measure may
not take effect until FY 1988.)
                               * Regional targets will be set following discussions with the
                                 Regions.  For Regional and guarterly breakout,  see
                                 Appendix.  Targets for P-9 will be set prior to FY 1987.
                                 Targets for P-10 will be negotiated with the Regions and
                                 set before the end of the second guarter,  FY 1987.
                              **
                                 See Appendix for definitions.
P-9
                                                                                              p-in
                                                                                              p-n
O 1,2
            O 3,4


            O 1,2,3,4
                                                                                                            oprs-3

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                                       OFFICE OF PESTICIDES AND TOXIC SUBSTANCES

                                         Program Area:  Pesticides Enforcement
            OBJECTIVE
                               MEASURE
SPMS CODE   FREQUENCY
Achieve and maintain a high
level of compliance.
Inspections for Significant Activities and Compliance Rates

Specify the cumulative number of State inspections conducted
in the following categories identified on EPA form 5700-33H
and the number of EPA inspections (Regions 7 and 8 only)
in comparable categories:**

0 agricultural use and follow-up
0 nonagricultural use and follow up
0 restricted use pesticide dealers

0 specify the.cumulative number of State and EPA enforcement
  actions and/or proceedings in the same categories (above)
                                  EPA Enforcement Actions
                                  Specify on a cumulative basis:
                                    numbers of administrative complaints issued
                                    numbers of warning letters,  SSURO's, recalls,  and
                                    import detentions
                                    civil and criminal referrals (retrieved from OECM Docket)
                                  * All Federal  data will be reported guarterly in real time.
                                    All State data will be reported guarterly,  one guarter <>jt
                                    of phase.
                                 ** Reguires guarterly targets for inspections.
P/E - 1
                                                                P/E - 2
Q 1,2,3,4*
            0 1,2,3,4
                                                                                                             OPTS-4

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                                       OFFICE OF PESTICIDES AND TOXIC SUBSTANCES

                                         Program Area:  Pesticides Enforcement
            OBJECTIVE
                          MEASURE
SPMS CODE   FREQUENCY
Achieve and maintain a high
level of compliance.
Significant Violator - State Primacy (Dynamic Base)*

For referrals' under Section 27 designated as significant in
accordance with the procedures set forth in 40 CFR 173 (pro-
cedures governing referrals), specify on a cumulative basis:

0 total number of referrals
0 number of referrals pending (timeframe not elapsed)
0 number of referrals addressed within timeframe
0 number of referrals addressed beyond timeframe

Significant Violator - EPA (Dynamic Base)*

For significant use cases and suspension/cancellation
actions referred from States to Regions or based on
EPA inspections, report on a cumulative basis:

0 total number of cases referred/identified
0 number of cases addressed
0 number-of cases closed
                                  * See "Definitions."
P/E - 3
                                                                                                  P/E - 4
0 1,2,3,4,
            Q 1,2,3,4
                                                                                                             OPTS-5

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                                      OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
                                           'Program Area;  Toxic Substances
      OBJECTIVE
                          MEASURE
                                                  SPMS CODE
Identify and evaluate
potential risks of suspect
existing chemicals.

Initiate and promulgate
actions to reduce the risks
fron hazardous existing
chemicals.
Subject all new chemicals to
a meaningful review and
take action to control those
that pose an unreasonable
risk.
Provide quarterly disposition of existing chemical evaluations
covering phases I, II, and III.
Complete
existing chemical risk managanent actions
(includes chemical advisories, §6 actions, §9 referrals, and
significant new use rules).

Take initial action on the 18th ITC list within the
statutory deadline of one year (DNT, NPRM, Consent Orders).
                              Complete
              post-initial-ITC responses (includes final
decisions not to test and proposed/final test rules).

Report quarterly on the number of TSCA §8 Information
Gathering Rules and on the number of chemicals covered by
those rules.

Complete chemical analyses of the 1986 National Human Adipose
Tissue Survey (NHATS) (status report).

Report on the number of new chemical notices received and
processed each quarter.

Report on the number of new chemical control actions (includes
voluntary testing, voluntary controls, consent or formal 5(e)
orders, 5(f) orders or withdrawal due to EPA concerns).
                                                  T-l
T-2
                                                                                              T-3
                                                  T-4
                                                                                              T-5
                                                                                              T-6
                                                  T-7
                                                  T-8
FREQUENCY

O 1,2,3,4




0 1,2,3,4




O 3



O 1 ,2,3,4



0 1,2,3,4




O 4



O 1,2,3,4



O 1,2,3,4
                                                                                                            OPTS-6

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                                      OFFICE OF PESTICIDES AND TOXIC SUBSTANCES

                                             Program:  Toxic Substances
      OBJECTIVE
                          MEASURE
Protect society from future
risks which may develop as
new chemicals develop in
the market place.

Protect public health and
the environment by providing
assistance in abating
hazardous asbestos materials
in the nation's schools.
Complete
follow-up actions taken on new chemicals
(includes SNURs or §8 (a) rules).
Conduct
 pre-award site inspections to verify hazardous
asbestos conditions in designated schools arid to certify local
educational agencies (LEAs) for ASHAA award eligibility.*
Conduct
 close-out site evaluation inspections to con-
                              firm that abatement assistance was expended on designated
                              school projects and that abatement was properly
                              accomplished.
                              Establish
                 State programs for contractor asbestos abate-
                              ment training and certification.

                              Reduce asbestos hazard levels for
                                         designated priority
                              #1 school projects unfunded by ASHAA, through abatement
                              consultations and follow-up visits.
                              * T-10 will be targeted prior to the third guarter.  Measure
                                is contingent on congressional approval of funding.	
                                                  SPMS CODR
T-q
T-10
T-ll
                                                  T-12
                                                  T-13
            FREn1ENCY
 O 1,2,3,4
 O  3,4
 By Reel ion
O 1,2,3,4
By Region
           () 1,2,3,4
           By Region

           O 1,2,3,4
           By Region
                                                                                                            OPfS-7

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                                     OFFICE OP PESTICIDES AND TOXIC SUBSTANCES

                                    Program Area:  Toxic Substances Enforcement
            OBJECTIVE
                  FY 1987 MEASURE
SPMS CODE   FREQUENCY
Achieve and maintain a high
level of compliance
Inspections and Compliance Rates

0 Specify the cumulative number of EPA and State inspections
  conducted*
0 Specify the number of inspections for which case review
  is completed
0 Specify the number of inspections found in violation

Enforcement Actions

Specify on a cumulative basis:

0 number of administrative complaints issued
0 number of notices of noncompliance.issued
0 number of civil and criminal referrals (retrieved from OECM
  Docket)

Significant Noncompliance Fixed Base** (Pre-FY87 open cases)

Identify the number of significant noncomplier cases issued
prior to FY 1987 which have been open 6 months or less, and
those which have been open more than six months.  Each
quarter, report on the status of this BOY inventory:

0 number of cases open 6 months or less
0 number of cases open more than 6 Months
0 number of cases closed
                                  * This measure requires quarterly targets.
                                 ** See "Definitions."
T/B
                                                                                                  T/E -  2
                                                                                                  T/E - 3
0 1,2,3,4
            0 1,2,3,4
            0 1,2,3,4
                                                                                                              OFl'S-8

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                                     OFFICE OF PESTICIDES AND TOXIC SUBSTANCES

                                    Program Area:   Toxic Substances Enforcement
            OBJECTIVE
                        MEASURE
SPMS CODE   FREQUENCY
 Achieve and maintain a high
 level of compliance
Achieve and maintain a high
level of compliance in Federal
Facilities.
Significant Noncompliance - Dynamic Base*  (new cases)

For SNC cases based on FY 1987 inspections (and any FY 1986
inspections pending enforcement action at beginning of year)
specify on a cumulative basis:

0 number of SNC cases identified
0 total number of SNC cases opened
  0 number opened within 120 days of inspection
  0 number opened within 180 days of inspection**
0 number of SNC cases closed
Federal Facilities

Specify separate data on Federal Facilities for T/E-1,
T/E-3 and T/E-4, as a subset of totals.
                                    * See "Definitions."
                                   ** Regional targets will be set for opening 90%  of cases
                                      within 180 days of the date of inspection.
T/E - 4
 T/E - 5
0 1,2,3,4
Q 1,2,3,4
                                                                                                             OFfS-9

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                       DEFINITIONS FOR THE OFFICE OF PESTICIDES AND TOXIC SUBSTANCES


Definition of Key Terms and detailed quarterly commitments for the Pesticide and Toxic Substances Programs.


                                        OFFICE OF PESTICIDE PROGRAMS


P-l  Indicate the number of data call-in letters (exposure) that will be issued by quarter:

     o 1st quarter         	 data call-in letters
     o 2nd quarter         	 data call-in letters
     o 3rd quarter         	 data call-in letters
     o 4th quarter         	 data call-in letters

P-2  Indicate the number of registration standards that will be established by quarter:

     o 1st quarter          	 reqistration standards coverinq 	
                                of total pesticide usaqe in U.S.
     o 2nd quarter          	 reqistration standards covering 	
                                of total pesticide usaqe in U.S.
     o 3rd quarter          	 reqistratio'n standards coverirt) 	
                                of total pesticide usaqe in U.S.
     o 4th quarter	 reqistration standards coverirq 	
                                of total pesticide usaqe in U.S.

     Establish Registration Standard - A Registration Standard is considered established when the Registration
     Division Director siqns a letter transmitting the guidance package to registrants for supplying requited
     data and the technical Registration Standard document is ready for printinq and mailing to registrants.
                                                                                                              fS-10

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P-3  Indicate the number of chemicals by quarter for which intermediate health and safety requirements
     have been implemented.

     o 1st quarter      	 chemicals
     o 2nd quarter      	 chemicals
     o 3rd quarter      	 chemicals
     o 4th quarter      	 chemicals

     Implementation of the intermediate health and safety requirements of chemicals covered by a reqistra-
     tion standard will be considered complete when 80 percent of the products which contain the chemical
     as an active ingredient are "accounted for".  The term "accounted for" will be defined as:

     o  Either the registrant has aqreed to submit all the studies requested by EPA and has suhnitted an
        EPA approved draft label, or

     o  The product has been suspended.

P-4  Indicate number of Special Review decisions to be made by quarter:

     o 1st quarter      	Special Reviews.
     o 2nd quarter      	 Special Reviews
     o 3rd quarter      	Special Reviews
     o 4th quarter      	 Special Reviews

     Pesticide Special Review Decisions - Special Review decisions include the issuance of the position
     documents listed below or the following final resolutions:

     1) returning the application to the pesticide registration process,
     2) voluntary cancellation by the applicant,
     3) cancellation or suspension of the Special Review by EPA, or
     4) a negotiated settlement on modifications to the terms and conditions of the registration with the
        registrant.
                                                                                                            OFfS-11

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(P-4 continued) —

The position documents are:

PD-1:    reviews the available scientific data and addresses whether a chemical has met or exceeded Special
         Review risk qriteria (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-2/3:  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.

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 sane 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.

P-5  Indicate number of Reviews of Studies to be completed by guarter:

     o 1st guarter           	 Final Reviews
     o 2nd guarter           	 Final Reviews
     o 3rd guarter           	 Final Reviews
     o 4th guarter           	 Final Reviews

     Review - a Review of studies called in by either a registration standard or a data-call-in letter or
     b(a)(2) adverse effects is considered complete when each response (study received, etc.)  has teen
     analyzed and a written review prepared.
                                                                                                              .-TS-12

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P-6  Complete action on new active ingredients and applications for Registration:

     Complete Action on New Active Ingredients and Applications for Registration and Tolerances:  OPP defines
     the following as "completed actions" for purposes of measuring performance in the pesticide registration
     program:

     a) withdrawal by applicant
     b) denial of registration
     c) unconditional registration
     d) conditional registration

P-6A  Report on the number of final decisions on New Active Ingredients (New Chemical/Biochemical/Microhio-
      logical administratively targeted to be completed within the guarter.

New Chemicals — Applications for registration of a pesticide active ingredient that is not cut rently
registered under FIFRA.  Final decisions may result in denial, full registration, (i.e., determination of
insufficient data), conditional registration or administrative withdrawal.

NOTE:  Registration of food-use chemical, i.e. of 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 or non-food use.  Included under those activities
are:

-  Biochemical (pheromones, insect or plant growth regulators and hormones used as pesticides).

-  Microbial (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 undet
   FIFRA).

-  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.
                                                                                                            OFfS-13

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P-6B  Provide number of Old Chemical Applications administratively targeted to be completed within the
      quarter, and the number actually completed.

      Old Chemicals - 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 a 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.

P-6C  Provide number of final decisions on Amended Registration Applications administratively targeted to be
      completed within the guarter and the number actually completed.

      Amended Registrations — Any changes in an existing registration.  This refers to lesser changes
      such as product name changes.


P-6D  Provide number of final decisions on New Use Applications administratively targeted to be completed
      within the guarter, and the number actually completed.

      New Uses — Any major changes involving new uses, of old products.


P-7   Provide number of final decisions on Tolerance Petitions targeted to be processed during the guarter:

      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 reguired by law to process tolerance petitions in 180 days;  however,
      OPPE has set an administrative deadline of 240 days to better reflect increases in the complexity of
      submissions.

P-8   Provide number of final decisions on Emergency Exemptions to be completed by quarter:

      Emergency Exemption - An exemption from the normal registration requirements of FIFRA which is granted
      a Federal or State agency if EPA determines that emergency conditions exist, (e.g., a pest  outbreak is
      identified arid no effective pesticide is registered for the particular use).

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P-9  These measures refer, in part/ to State programs with "priority needs."  State programs with priority
P-10 needs would include:
P-ll
     —  programs which do not comply with 40 CFR Part 171.7 and, in genera],  with the rest of 40 CFR
         Part 171;
     —  programs which do not require completion of training, or offer completion of training as an
         option, for initial certification of private applicators;
     —  programs which do not require completion of training, or offer completion of training as an
         option, for initial certification of commercial applicators, in addition to requiring the
         completion of an exam;
     —  programs which do not require periodic renewal of certification either through reexamination or
         continuing education;
     —  programs with certification renewal periods which exceed 5 years;
     —  programs which do not require, or offer as an option, completion of training/continuing education
         for renewal of certification;
     —  programs in which training sessions and/or examinations have not been reviewed in the past 5 yeat s;
     —  other programs as agreed upon by an EPA Regional Office and EPA Headguarters as having a priority
         need (which we did not foresee and list above).

     In instances where an EPA Regional Office guestions whether or not a program has a priority need,
     the Regional Office should contact EPA Headquarters and a decision will be reached jointly on a caso-
     by-case basis.

     The definition of priority needs may be revised based on comments of SFIREG representatives who will
     be reviewing these measures and the above definition.

P-10 These measures refer, in part, to "final schedules" for corrective action.  A "final schedule" is
P-ll the schedule agreed upon by the EPA Regional Office, the State, and EPA Headguarters.
                                                                                                            OPTS-15

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  PESTICIDES ENFORCEMENT DEFINITIONS


A "Significant Violator" is any violation which meets the criteria for significant cases set forth in
40 CFR 173 (interpretive rule governing FIFRA Section 26 and 27 referrals).  In general, priority areas
will consist of those state pesticide activities which present greatest potential for harm to health or
the environment. EPA will determine on a case-by-case basis which allegations in the priority areas agreed
to by EPA and the State in the cooperation agreement involve sufficiently "significant" violations to be
formally referred to the State and traced.

"Addressed," with reference to State action, is defined in accordance with the Final Interpretive Rule:
and includes "referral of the case to a pesticide control board or State's Attorney for action."

"Timeframe," with reference to State action is the timeframe negotiated between the Region and each State
for completion of investigation plus the timeframe agreed upon by the Region and each State for initiation
of prosecution.

An "appropriate State Enforcement action" is an action which meets the criteria in 40 CFR 173.  In
general, the severity of the proposed enforcement action must correlate to the gravity of the violation.
Specifically, each state cooperative agreement will identify "appropriate" action relative to the remedies
available to the state.

An "appropriate Federal Enforcement action" for a "significant violator" is one of the following:

           0  Administrative Complaint
           0  Civil Judicial Action for penalty collection
           0  Criminal Action
                                                                                                              PfS-16

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                                        OFFICE OF TOXIC SUBSTANCES


T-l Report on Disposition of Chanicals in Risk Identification and Risk Evaluation Phases

    Risk Identification Phase

    No. of chemicals currently in this phase	
    No. of chemicals that entered during the quarter 	
    No. of chemicals referred to Risk Evaluation phase 	
    No. of chemicals for which further analysis is required 	
    No. of chemicals for which no further action is indicated.

    Risk Evaluation Phase

    No. of chemicals currently in this phase 	
    No. of chemicals that entered durinq the quarter 	
    No. of chemicals referred to Risk Management phase  _ '
    No. of chemicals for 'which further analysis is required 	
    No. of chemicals for which no further action is indicated.

    Risk Management Phase

    No. of chemicals currently in this phase 	

    No. of chemicals that entered durinq the quarter 	
    No. of chemicals currently th phase means the number of chemicals in the phase as of the end of the
    quarter.

    No. of chemicals entered durinq the quarter means the number of chemicals that entered during  the
    quarter.

    No. of chemicals for which further analysis is required means those chemicals that require further analysis or
    action in their phase or in non-process activities.

    No. of chemicals for which no further action is indicated means those chemicals for which further analysis is
    not deemed necessary at this time.

                                                                                                            OPFS-17

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T-2 Report on the number of completed Risk Management Actions by quarter.

    o 1st quarter           	 actions
    o 2nd quarter           	 actions
    o 3rd quarter           	 actions
    o 4th quarter           	 actions

    Risk Management encompasses phase IV (risk reduction) and V (risk manaqement) activities as identified
    in the "Existing Chemicals Quarterly Report".

T-3 Report during third quarter on the number of 18th list ITC substances to be acted on.
    Provide name of substance, action taken and Federal Register citation.

    o 3rd quarter        	 actions

    ITC - Interaqency Testing Committee as defined in Section 4(e) of TSCA.

    Action;  The signature of the Administrator, or someone properly delegated responsibility to act for
    the Agency on an ANPR, on a Proposed Rule, on a Final Rule, or on a notice of decision not to test
    constitute "action" on ITC designated chemicals.  .

T-4 Provide the number of post-initial-ITC responses to be completed by quarter.  Identify chemicals and
    report on the actions taken.

    o 1st quarter       	 decisions
    o 2nd quarter       	 decisions
    o 3rd quarter       	 decisions
    o 4th quarter       	decisions

T-5 Provide the number of TSCA §8 Information Gathering Rules and number of chemicals covered by those
    rules to date.

    o 1st quarter       	TSCA §8 Rules covering    ' chemicals
    o 2nd quarter       	 TSCA §8 Rules covering 	 chemicals
    o 3rd quarter       	TSCA §8 Rules covering 	• chemicals
    o 4th quarter       	 TSCA §8 Rules covering 	 chemicals
                                                                                                              TS-18

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    TSCA §8 provides the agency with broad information gathering and recordkeeping authorities; including
    the authority to reguire the submission of health and exposure data; to reguire the submission of
    unpublished health and safety studies; and to reguire maintenance and submission of records of allegations
    of significant adverse reactions to health or the environment.

T-6 Provide a status report of the chemical analyses of the 1986 National Human Adipose Tissue Survey (NHATS).

    The National Human Adipose Tissue Survey (NHATS) provides baseline data on the incidence and levels of
    toxic substances in human tissues.  Survey data will support a variety of efforts under TSCA including the
    establishment of an exposure-based approach to Section 4 testing.  Broad scan chemical analysis of
    specimens is performed to identify and confirm the chemicals and levels found.

T-7 Report on the number of New Chemical Notices received and processed to date.

    New Chemical Notices "received" - Defined as those PMNs received and logged in OTS.

    New Chemical Notices "processed" - Those PMNs that have been received, logged and reviewed.

T-8 Report on the number of New Chemical Control Actions to date.

    New Chemical Control Actions - Defined as voluntary testiiig by the submitter, withdrawal of a PMM(s) due to FPA
    concerns, issuance of Section 5(e) orders that allow EPA to regulate manufacture of a new chemical, pending the
    development of more information; issuance of Section 5(f) orders that allow the Administrator to protect against
    unreasonable risks by issuing either a proposed rule under Section 6 to limit the amount manufactured or a
    proposed order prohibiting the manufacture of a-chemical.

T-9 New Chemical follow-up actions are being tracked against an annual target of 	.
    New Chemical follow-up actions - Defined as one of the following: (1) a Significant New Use Rule which
    reguires persons to notify EPA of their intent to manufacture or process a chemical for a significant
    new use, arid report data relevant to that use or (2) a Section 8(a) rule which reguires peisons to keep
    data on a chemical and to maintain records in support of that data.
                                                                                                             OPTS-19

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T-10* Pre-award site inspections consist of the following:

     o  On-site hazard inspections
     o  Application reviews and evaluations
     o  Interviews with LEA and school officials  .
     o  Inspection reports
     o  Technical assistance counseling

     Purposes

     o  To verify asbestos hazard conditions claimed by applicant schools
     o  To certify Local Education Agencies (LEAs) for ASHAA award eligibility

     Count;  Qualified abatement projects

T-ll* Close-out site evaluations consist of the following:

     o  On-site abatement inspections
     o  Interviews with LEAs and school officials
     o  Technical assistance counseling
     o  Final inspection reports
                         I
     Purposes

     o  To confirm that asbestos abatement assistance was/is being properly expended on designated projects
     o  To assure that the approved abatement technique was/is being applied
     o  To confirm that abatement was/is being accomplished properly

     Count;  Abated projects
                                                                                                              •PTS-20

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T-12* Grants to State programs for contractor asbestos abatement training and certification consist: of the following

      o  Program monitoring
      o  General technical assistance
      o  Evaluation reports

      Purposes

      o  To create a qualified pool of trained contractors in the states to perform asbestos abatement activities.

      Count;  Established state programs


T-13* Hazard level reduction will consist of the following:

      o  Building evaluations
      o  Distribution of technical assistance documents
      o  Abatement counsel ir*j
      o  Abatement evaluation and reports

      Purposes

      o  To provide guidance on contractor selection
      o  To advise on proper abatement methods and techniques
      o  To offer counsel on proper sampling procedures
      o  To distribute relevant technical assistance documents
      o  To provide any other abatement assistance

      Count;  Priority #1 school projects with reduced hazards
                                                                                                            OPTS-21

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TOXIC SUBSTANCES  ENFORCEMENT DEFINITIONS

Formal Enforcement Action -  Noncompliance is addressed by an administrative complaint or  ly  a  civil or
criminal  judicial action.  All SNC's must be addressed by a formal enforcement action—at minimum an
administrative complaint.

Minor Enforcement Action - Nonconpliance is addressed by a Notice of Noncompliance..

Significant Nonconpliance (SNC) - SNC is a violation for which the level of enforcement action is, at
a minimum, an administrative complaint, in accordance with the appropriate TSCA Enforcement  Response
Policy (ERP), and includes but is not limited to the following:

0 Any PCB violation  involving a) improper disposal, b) manufacturing, c) processing, d) distribution,
  e) improper use, f) storage, g) record-keeping and/or h) marking violations.

0 Any PCB disposal resulting in contamination of surface or ground water, food or feeds.

0 Any Asbestos-in-Schools violation involving failure to inspect, sample, analyze, post warnings,  notify/
  and/or keep records where  asbestos is present.

0 Any violation of testing requirements under Section 4.

0 Any violation of premanufacturing notification under Section 5.

0 Any violation of Section 13 including: failure to either 'certify that all imported chemical  substances
  are in compliance with TSCA or are not subject to TSCA, and falsification of a certification report.

0 Any violation of Section 8 including:  failure to submit required records and/or reports; falsification
  of records and/or reports; and incomplete reporting and/or recordkeeping.

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 extreire
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 OKCM and
monitored using the OECM Docket System.

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's Fed'jral
Facility Compliance Program guidance (June 1984)..


                                                                                                          fS-22

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TSCA definitions (cont'd)

SMC Fixed Base (Pre-FY1987) - Refers to reducing the number of pre-FY1987 SMC cases on the Beginning-of-Year
(BOY) inventory.  Each quarter, Regions report the status on the number of cases open 6 months or less,
the number open more than 6 months, and the number closed.

BOY Inventory - Consists of all SNC cases, including Federal Facility actions, opened prior to FY1987 and not
closed as of 10/1/86.  The inventory consists of open cases only and does not include cases pending an
enforcement action.  The BOY inventory should not change in FY1987.

SNC Dynamic Base (FY1987 Cases) - Refers to taking action against newly identified FY1987 cases based either
on inspections conducted in FY 1987 or on FY 1986 inspections for which the enforcement action is issued in
FY 1987.

Open - Cases for which an administrative complaint has been issued, but the case has not t>±en closed.

Closed - The case is either withdrawn or a consent agreement and order has been issued.

     Note;  A Federal facility SNC will be considered closed when EPA receives a letter from the facility
     verifying compliance or when a compliance agreement with an acceptable schedule for returning facility
     to compliance is signed.

Federal Facilities Compliance Agreements - are equivalent to "formal enforcement actions."  The term
compliance agreement refers to the mechanism under Executive Order 12088 for solving compliance problems
between EPA and other Federal agencies.  A Compliance Agreement must specify the corrective action to l>e
taken, the schedule for achieving compliance, and the requirements for reporting progress.
                                                                                                       OPTS-23

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OFFICE OF EXTERNAL AFFAIRS

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                                                 OFFICE OF EXTERNAL AFFAIRS
                                                Program;   Federal Activities
            OBJECTIVE
                          MEASURE
SPMS CODE   FREQUENCY
Federal Facilities Compliance
  Program
Achieve and maintain
high rates of compliance
at Federal facilities
through the A-106
pollution abatement
planning process.
Improve Federal facility
compliance program
management.
Develop name lists in each Region of those Federal facilities
included in the media program priority areas jointly
identified by OFA and the HQ program offices and selected by
the Region.

Report the number of identified facilities in each selected
program priority area which have been addressed through
adequate A-106 projects proposed by each Federal agency.

Report the total number of identified facilities in each
selected program priority area which have been addressed
through adequate A-106 projects in the Federal agencies'
final A-106 pollution abatement plan submissions.
Develop individual name lists,  by Region,  for each media
program,  of those Federal facilities minor sources which
do hot meet the media program's definition of a major source,
but which are determined to be potentially environmentally
significant source(s) for an individual program.   (Limited
to no more than 10% of the Federal facility minor sources
in each media program.)

Develop a name list in each Region of those Federal
facilities which are environmentally significant when
considered on a multi-media basis.  (Limited to no more
than 10 facilities per Region.)

Develop Federal Facility Compliance Management Plans in
cooperation with appropriate media program offices,  for
up to three of the top environmentally significant Federal
facilities -in each Region from a multi-media perspective.	
 OEA-l/E
 OEA-2/E
                                                                                                  OEA-3/E
 OEA-4/E
                                                                                                  OEA-5/E
                                                                                                  OEA-6/E
Q i
U 2
            Q 4
0 1
            0 2
            Q 4
                                                                                                                OEA-1

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                                                   OFFICE OF EXTERNAL AFFAIRS
                                                  Program;   Federal Activities
              OBJECTIVE
                          MEASURE
SPMS CODE   FREQUENCY
  Environmental Review Program

  Reduce environmental impact of
  Federal projects through
  inproved project design.
  Dredge and Fill Program -
  Non-enforcement

  Manage the Headquarters and
  Regional process for Section
  404 discharge of dredged or
  fill material permit review.
Protect the most important
wetlands.
Report for each quarter,  by Region,  the percentage of Federal
projects for which EPA has resolved concerns with the final
Environmental Impact Statement.
Track the status of 404 proposed permits with which EPA
raises concerns and progress made toward resolution.   For
permit applications with which EPA has raised significant
issues, report by Region the number of §404 resolutions
during this quarter:

       a.  due to Corps or applicant acceptance of EPA com-
           ments,  leading to issuance;

       b.  due to Corps acceptance of EPA cormvents,  resulting
           in permit denial;

       c.  due to Corps issuing permit over EPA recomnsndation
           for denial or without inclusion of EPA recommended
           permit modifications of conditions; and

       d.  due to applications withdrawn.
Track progress against targets for the number of advanced
identification actions initiated (under §230.80,  §404(c)  or
a Special Area Management Plan) for the protection of wet-
lands.  (Report by number and type.)
 OEA-7
 OEA-9
                                                                                                     OEA-9a
                                                                                                     OEA-9b
                                                                                                    OEA-9c
                                                                                                     OEA-9d
 OEA-10
Q 1,2,3,4
Q 1,2,
Q 1,2,3,4
                                                                                                                   'EA-2

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                                                 OFFICE OF EXTERNAL AFFAIRS
                                                Program;   Federal Activities
          OBJECTIVE
                         MEASURE
SPMS CODE   FREQUENCY
Protect the most important wet-
lands.

Dredge and Fill Program -
  Enforcement

Manage an effective §404 com-
pliance/enforcement program.
Each quarter report the number of advanced identification
actions completed.
SIGNIFICANT VIOIATORS - Fixed Base (Pre-FY 1987 cases)
Identify the number of pre-FY 1987 SV sites addressed by
enforcement action and the number of pre-FY 1987 SV sites
for which enforcement action is pending (case develop-
ment is ongoing).  Each quarter, report progress against
targets in addressing the beginning of.year (BOY) inventory
of SV cases:

       a.  significant violations detected for which formal
           enforcement action has not yet been taken;

       b.  sites addressed by formal enforcement action
           (either EPA or Corps);

       c.  sites resolved by formal enforcement action by
           site; and

       d.  sites otherwise resolved (e.g. returned to
           compliance,  after-the-fact permit).
 OEA-11
 OEA-12/E
                                                                                                   OEA-12a/E


                                                                                                   OEA-12b/E



                                                                                                   OEA-12c/E


                                                                                                   OEA-12d/E
Q 1,2,3,4
Q 1,2,3,4
                                                                                                                OEA-3

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                                                 OFFICE OF EXTERNAL AFFAIRS
                                                Program;  Federal Activities
            OBJECTIVE
                          MEASURE
SPMS CODE   FREQUENCY
Manage an effective §404
corrpliance/enfor cement program.
Indian Program

Extend EPA's program coverage
to Indian reservation lands.
 SIGNIFICANT VIOLATORS - Dynamic Base (FY 1987 enforcement
 actions).  For FY 1987 newly identified SV, each quarter,
 report cumulative total year-to-date of:

        a.  number of enforcement field investigations;

        b.  significant violations detected for which formal
            enforcement action not yet taken;

      •  c.  sites' addressed by formal enforcement action
            (EPA or Corps);

        d.  sites resolved by formal enforcement action
            by site; and

        e.  sites otherwise resolved.
Track, by Region,  against targets, the number of tribal/EPA
Agreements developed.
 OEA-13/E
 OEA-13b/E


 OEA-13c/E


 OEA-13d/t:


 OEA-13e/E



 OEA-17
0 1,2,3,4
Q 1,2,3,4
                                                                                                                  >EA-4

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                                               QEA Definitions
o  Federal Facilities Conpliance Program (OEA 1/E - 6/E)

   "Program priority areas" - Areas which have been identified by each media program as compliance and
   enforcement priorities for Federal facilities during FY 87 (e.g.  Class B VOC sources in the Air Program).
   These priorities will be selected by the programs,  in cooperation with OFA,  during FY 86,  cind the Regions
   will be notified of these selected priorities in the third quarter of FY 86.  It is anticipated that these
   priorities will be limited to a total of three in FY 86,  one for  each of three selected media programs
   (e.g. Air, Water and Solid/Hazardous Waste).  Regions will be able to select their program priorities from
   the areas provided to reflect individual Regional emphasis on national priorities.

   "Adequate A-106 projects" -  Federal agency pollution abatement projects which have been submitted to ill'A
   Regions for review and determined by EPA to be adequate in terms  of engineering,  cost and timeliness to
   prevent or correct compliance problems.

   "Potentially environmentally significant minor sources" - Federal facility minor sources which do not meet
   media programs' definitions of major sources but,  which due to certain complexities,  locational factors,
   facility type, compliance patterns or other unique features have  been determined to be potentially environ-
   mentally significant in an individual media program area.  This determination will be made jointly by OI-'A
   and the respective program offices in each Region based upon guidance to be-.issued on this subject by OFA
   in FY 86.  Each list will be limited to no more than 10%.

   "Environmentally significant Federal facilities" - Those Federal  facilities in each Region which are the
   most potentially environmentally significant facilities when considered on a multi-media basis.  A maximum
   of ten (10) Federal facilities should be identified for this purpose in each Region.

        Factors to be taken into account in making these determinations include:

        1)  whether the facility is a significant violator or in significant noncorrpliance in one
            or more media program

        2)  the number of major sources in each program at the facility;

        3)  whether the facility is a repeat violator or has a history of non-compliance;

        4)  the number of potentially environmentally significant minor sources in each program
            at the facility;
                                                                                                            OEA-5

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        5)  whether the facility is included in an Agency geographic enforcement initiative; and

        6)  whether the facility has received a high priority rating under the NEIC .multi-media
            ranking system.                                               .,.','
                                                                                1     !  "
        Further guidance on the criteria to be used in making these determinations willibe issued in FY 86.

   "Federal Facility Conpliance Management Plan" - Strategic plan for improving the overall environmental
   management structure and capability of selected environmentally significant federal facilities in each
   Region.  These plans are to be developed by the Regional Federal Facility Coordinators in cooperation with
   the media program offices.  Plans should address identified needs of these facilities in the areas of
   technical assistance, training for Federal agency personnel, environmental auditing guidance, additional
   inspections, potential compliance agreements or MDUs,  periodic meetings and workshops, etc.  More detailed
   guidance on development of these plans will be issued by QFA in FY 86.
                                                 ,,f                   j,
                        * i                                               *-
o  Environmental Review Program ^(OEA-7)
   ,_          ._          -•• __L f- _,—••-?_-,i--                             (* ,  r "         '        " *

   Report percentage of final Environmental Impact Statement reviews completed in the current quarter, for
   which EPA had no objections (final rating LO).

                                                         -.1-                '  '
o  Dredge and Fill Program .T- Non Enforcement (OEA-9, 10,  11)

   "Significant issues" are those requiring resolution to bring discharges into compliance with the 4Q4(b)(l)
   Guidelines.  The term signifies EPA recommendations for permit denial,  modification or conditions to which
   the Corps must respond before issuing a permit.  Significant issues are reported ONLY IN THOSE CASES WHERE
   THE DISTRICT ENGINEER IS REQUIRED TO RESPOND TO EPA BEFORE ISSUING A NOTICE OF INTENT TO ISSUE under
   paragraph 6(d) of the 1985 404 (q) Menorandum of Agreement^.We are interested only in coinnents where EPA
   recommendations are related to individual characteristics of the proposed discharge, not those where we
   recommend adoption of standard conditions,  such as best management practices.

   "Resolutions" equals dispositive action.  Decisions made on permits include permit issuance or denial,
   modification, addition of permit conditions,  or application withdrawal;  some decision (explicit or implicit)
   has been made on the application in regard to EPA concerns,  but not necessarily favorable to EPA.

   "Advanced Identification" for comnitmant purposes are  those §230.80 actions,  404(c)  advanced designation
   actions and Special Area Management Plans (SAMPs) which meet one of the following criteria:
        1)  area is on the Region's priority list;  or
          v\      1   t ' "  v •"   '
          • *         '•«
                                                                                                             •EA-6

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        2)  there.is reason to believe the advanced identification will result in the strengthening of
            State and/or local programs for protecting wetlands.

   As5 guidance, advanced identification efforts within a Region should constitute a program conponent that
   represents one-tenth or more of the Region's 404 Program (using qualitative or quantitative indicators such
   as environmental results, dollar and staff allocation,  management attention).

   "Initiate" an advanced identification action (major or minor)  means:   1)  to identify and delineate the
   geographical area or wetland type that will be evaluated for designation,  and 2) to have the approval  of
   management at the division director level to pursue the advanced identification.

   "Complete" an advanced identification action (major or minor)  means to have signed the final document
   which specifies the areas suitable and/or unsuitable for discharge.


o  Dredge and Fill Program - Enforcement .(OEA-12/E,  13/E)

   The .term "sites" is, a broad term used to identify discharges.   Measures OEA-12/E and 13/E account for  all
  'discharges discovered that are unpermitted although they are required under CWA §404 to have a permit,  or
   are not in compliance with permit conditions.  Related discharges in one  geographic area are treated as one
   "site."

   The term "sites addressed by formal enforcement action" means an Administrative Order issued by  EPA, a
   cease and desist order issued?by the Corps, or a civil  or criminal referral.   Corps enforcement  actions are
   to be reported only if EPA participation in the action has been substantial,  normally including  site work,
   technical case preparation, and participation in the litigation proceedings (where applicable).

   The term "sites resolved by formal enforcement actions" means the discharger has,complied with the
   Administrative Order or Cease and Desist Order or,  in the case of a referral,  the court has entered a  final
   order.

   The term "enforcement field investigations" includes all field trips made to monitor for unpermitted
   discharges.  These trips include routine field activity in which unpermitted discharges are discovered,
   routine monitoring/enforoement field checks,  and trips undertaken due to  specific infonrtition received
   (whether based on EPA-gathered information or on information received frcm outside parties on possible
   violations).  If an aerial overflight-discovered violation is followed by a field trip,  it will  be counted
   as one enforcement field investigation. -                          ''.'•-
                                                                                                            OEA-7

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The term "significant violators (SV)" is one that requires formal enforcement action and neets one or iiore
of the following criteria:

     1)  An illegal discharge into a wetland or other water body on the Region's priority list,
         or designated by a Federal, State or local authority as a critical resource (e.g.  Wildlife
         Refuges or a component of the Wild and Scenic Rivers System) .

     2)  An illegal discharge which endangers habitat and cover for an endangered species (on the U.S.  tV/S
         Endangered Species List or on a State list).

     3)  An illegal discharge into waters identified by EPA under §230.80 as being an area  generally
         unsuitable for disposal or having 404 (c) advanced designation status.

     4)  An illegal discharge upon which an enforcement action is taken as part of a Regional initiative to
         achieve broader compliance by deterring similar illegal discharges [should include an effort to
         ensure adequate public awareness of £he action(s)].

     5)  An illegal discharger which has violated a previous administrative or judicial order.

     6)  An illegal discharge with individual or cumulative adverse impacts of a significance comparable to
         permit cases the Region has elevated under Section 404 (q) or 404 (c).

The definition of SV is used for two measures:  1) compiling the list of pending FY 86 cases for the BOY
inventory,  and 2) for new cases reported in FY 87 under SV Dynamic Base.

The term "significant violations detected for which formal enforcement action has not yet been taken" ireans
those cases for which a SV is determined, but issuance of the enforcement action is pending~(case development
is ongoing).  (Determinations of violations made as of 10/1/86 are included in the BOY inventory).

Beginning of year (BOY) Inventory - consists of two categories:

     1)  a list of all pending action cases,  as of 10/1/86 which meet the new FY 87 definition of SV,  and

     2)  a list of §309 administrative cases,  and or civil or criminal  judicial cases.   Administrative
         Orders issued or referred to Headquarters (referrals) prior to FY 87 (where the FY 87 SV definition
         applies) and not closed as of 10/1/86.

THE,. BOY IlWEJSr^Y.^HOfcp. NOT CHANGE DURING FY 87.
                                                                                                          1-1A-8

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o  Indian Program (OEA-17)

   A "Tribal/EPA agreement" is similar to a State/EPA Agreement, identifying priority environmental problems and
   measures to address them.
                      *»•
                                                                                                            OFA-9

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