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
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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
-------
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
-------
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
-------
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;-?
-------
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
-------
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
-------
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
-------
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
-------
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
-------
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
-------
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
-------
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
-------
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
-------
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
-------
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
-------
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
-------
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
-------
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
-------
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-
-------
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
-------
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
-------
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
-------
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".
-------
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
-------
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
-------
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
-------
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).
-------
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
-------
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).
-------
OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
-------
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
-------
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
-------
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
-------
(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).
-------
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
-------
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
-------
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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