EPA
100 /
1982.2
1989
3rd
United States Office of June 1989
Environmental Protection The Administrator
Agency Washington DC 20460 100R89104
&EPA Strategic Planning and
.. , ^ , HEADQUARTERS LIBRARY
Management System ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20*60
Third Quarter FY 1989 Report
-------
4
U.S. ENVIRONMENTAL PROTECTION AGENCY
STRATEGIC PLANNING AND MANAGEMENT SYSTEM
THIRD QUARTER 1989 REPORT
) PREFACE
r
This quarterly report reviews Agency progress in meeting its priority program
commitments. The report is a major component of the Agency Strategic Planning and
Management System (SPMS). SPMS provides a process for the Agency to identify national
goals and priorities, issue timely guidance to the field, identify measures of success
and track progress against them. Each quarter the Office of Management Systems and
Evaluation (OMSE) publishes the report using information provided by Headquarters,
Regional Offices, and State agencies. The Office of Compliance Analysis and Program
Operations is responsible for the enforcement section of this report.
We gratefully acknowledge the assistance and cooperation of the many people through
the environmental protection management network who have made timely production of this
report possible.
~ HEADQUARTERS LIBRARY
-------
HEADQUARTERS LIBRARY
ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
TABLE OF CONTENTS
SEP 6
OFFICE PAGE
OFFICE OF AIR AND RADIATION 1
OFFICE OF WATER 19
OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE 57
OFFICE OF PESTICIDES AND TOXICS SUBSTANCES 97
OFFICE OF ENFORCEMENT AND COMPLIANCE MONITORING 123
OFFICE OF ADMINISTRATION AND RESOURCES MANAGEMENT 135
OFFICE OF POLICY, PLANNING AND EVALUATION 145
OFFICE OF EXTERNAL AFFAIRS 149
OFFICE OF GENERAL COUNSEL 155
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Office of Air and Radiation
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OFFICE OF AIR AND RADIATION
THIRD QUARTER HIGHLIGHTS
o Six (three primary and three secondary areas) Total Suspended Particulates (TSP) non-attainment
areas were redesignated to attainment in Region V. This redesignation from nonattainment to
attainment was allowable because the request for redesignating these areas was published prior to
the promulgation of standards for Paniculate Matter smaller than 10 microns (PM10).
o Regions exceeded their targets for States to correct deficiencies in Ozone/CO State
Implementation Plans (SIPs). Two CO nonattainment areas were redesignated to attainment and
one Ozone nonattainment area was redesignated to attainment this quarter.
o Regions have surpassed their targets for receiving revised Multi-Year Development Plans
(MYDPs), including five Regions which have already met their fourth quarter goals.
o Eight states plus Indian lands in Regions VI and VII concluded the FY 1989 State/EPA Radon
Survey this quarter. The majority of these states have also placed alpha track detectors and
seasonal charcoal canisters to conduct long-term follow-up measurements. The results are being
analyzed and will be announced by the Administrator in September.
o The air program is ahead of schedule for meeting inspection and significant violator
commitments.
-------
OZONE/CARBON MONOXIDE SIP REMEDIES
o Through the end of the third quarter, a total of 50 final rules to correct deficiencies in Ozone/
CO State Implementation Plans (SIPs) were received against a target of 46. The bulk of this
activity takes place in the fourth quarter. By the end of the year, EPA expects to have received
corrections to 336 SIP regulations.
Three Regions (II, IV, and V) exceeded targets and two Regions did not meet their targets
for final submittals for deficient regulations.
Three Regions (II, V, and VI) surpassed their targets for receiving submittals for missing
regulations.
VOLATILE ORGANIC COMPOUNDS (VQQ ENFORCEMENT
o Compliance Rates - There are 4,861 Class A SIP and NSPS VOC sources in ozone
nonattainment areas. OAR reports that 688 sources (14%) are either in violation, in violation
but meeting a compliance schedule, or the compliance status of the source is unknown.
o Inspections - The Regions and states accomplished 194% of their cumulative second quarter
FY 1989 inspection commitment for VOC Class A SIP and NSPS sources in ozone nonattainment
areas. (NOTE: inspection data for all pollutant categories are lagged one quarter)
o Significant Violators - Of the 290 VOC significant violators, 100 (35%) had commenced remedial
action prior to BOY. Of the 190 remaining significant violators, 142 are scheduled to be
addressed this year. The program exceeded its cumulative third quarter target of 98 by
addressing 111 violators. In addition, 61 of the 155 new significant violators identified through
the third quarter have been addressed.
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300
250
200
150
100
50
0
OZONE/CO SIP REMEDIES AND VOC ENFORCEMENT
As of June 30, 1989
OZONE/CO SIPs
FINAL STATE SUBMITTALS
/u
60
60
40
30
20
10
x\
_
^
s
191
Js^
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u I H II IV V VI VH VIII
REGIONS
I 1
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ra
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<>xx
<*x9
IX X
Q3 PERFORMANCE
Q4 TARGET
VOC SIGNFICANT VIOLATORS
INSPECTIONS (EPA & States)
(Second Quarter FY 1989)
2 3
QUARTERS
Diverse: 4.861 Class A VOC Sources
OAR-18. 108 to 119
LEGEND
CUD N COMPLIANCE (67)
EZB ON SCHEDULE (26)
ENF. ACTION (118)
PENDiNQ(79)
111 IV V VI VII VII IX X
REGIONS
Reporting on Inspections is lagged one quarter.
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PARTICULATES
o This quarter, six (three primary and three secondary) Total Suspended Particulate (TSP) non-
attainment areas were redesignated to attainment. Currently there remain 127 TSP primary
nonattainr;ent areas and 180 TSP secondary nonattainment areas nationally.
o Collectively Regions exceeded their third quarter targets for completing PMj0 control strategy
demonstrations (documentation that a control strategy for a nonattainment area should meet
attainment); 11 were completed (157% of those targeted).
Region IX is pursuing a Regional Initiative using selective interim control measures contained
in EPA's "Controls for Open Fugitive Dust Sources" in lieu of measures from the Phase 1
SIP SPMS commitments. Six out of seven interim control measures targeted were completed.
The seventh agency has decided to pursue final rules. The Region has not yet given its
approval.
o Regions had five SIPs enter 5/2-5/2 review (i.e., the start of Regional/Headquarters review of
Group I SIPs being prepared for proposed action in the FR), exceeding their target of three.
PARTICULATES ENFORCEMENT
o Compliance Rates and Inspections - There are 4,140 major particulates sources in Group I and II
areas, of which 223 (6%) are either in violation, in violation but meeting a compliance schedule,
or the compliance status of the source is unknown. The Regions and states accomplished 160%
of their cumulative second quarter inspection commitment for TSP Class A SIP and NSPS
sources in Group I and II areas.
o Significant Violators - Of the 132 TSP significant violators in Group I and II areas, 27 (20%) had
commenced remedial action prior to BOY. Of the 105 remaining significant violators, 76 are
scheduled to be addressed this year. The program exceeded its cumulative third quarter
commitment of 46 by addressing 56 violators. Twenty-five of the 60 violators newly identified
through the third quarter have also been addressed.
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PARTICULATES SIP DEVELOPMENT AND ENFORCEMENT
As of June 30, 1989
CONTROL STRATEGY DEMONSTRATIONS
u
8
6
4
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0
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K
K
X
X
K
X
X
X
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*
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X
X
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U III IV V VI VI VBI IX X
REGIONS *
ADDRESSING SIGNIFICANT VIOLATORS
150
100
BOY
OAR-51.55.121-132
1 2 3
QUARTER
SPs ENTERWQ 5/2 - 5/2
10
8
I I Q3 TARGET 6
I Q3 PERFORMANCE
ES9 Q4 TARGET
* REGIONAL NTIATIVE
0
125
100
75
50 -
N COMPLIANCE (35) 2g
ON SCHEDULE (16)
ENF. ACTION (32) °
PENDING (49)
I I IV V VI VI VII IX X
REGIONS
INSPECTIONS (EPA & States)
(Second Quarter FY 1989)
IV V VI VI VB IX X
REGIONS
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SULFUR DIOXIDE ENFORCEMENT
o Compliance Rates - There are 251 sulfur dioxide (SO2) sources in SO2 nonattainment areas, of
which 32 (13%) are either in violation, in violation but meeting a compliance schedule, or the
compliance status of the source is unknown.
o Inspections - The Regions and states accomplished 347% of their cumulative second quarter
inspection commitment for SO2 Class A SIP and NSPS sources in SO2 nonattainment areas.
o Significant Violators - Of the 52 significant violators, 10 (19%) had commenced remedial action
prior to BOY. Of the 42 remaining significant violators, 19 are scheduled to be addressed this
year. Ten violators were targeted for action through the third quarter and nine have been
addressed. Twenty-three new SO2 significant violators have been identified and two have been
addressed.
The SO2 Non-Enforcement Program does not report items for the Third Quarter.
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SULFUR DIOXIDE SIP ENFORCEMENT
As of June 30, 1989
S02 SIGNFICANT VIOLATORS
60
40
20
0
BOY 1
QUARTER
Universe: 251 SO2 Sources h N/A Areas
LEGEND
CZZ) IN COMPLIANCE (4)
ON SCHEDULE (3)
ENF. ACTION (12)
mm PENDING (33)
OAR-134to145
125
100
75
50
25
NSPECT1ONS (EPA & States)
(First Quarter FY 1989)
I I I IV V VI VI VH IX X
REGIONS
Reporting on inspections Is lagged one quarter.
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AIR TOXICS
o In total, Regions exceeded their third quarter targets for receiving revised Multi-Year
Development Plans (MYDPs). These plans define the state or locality's strategy for assessing and
addressing air toxics problems. Forty-nine acceptable MYDPs were completed against a target of
38 (representing 129%).
ENFORCEMENT OF NESHAPs
o Compliance Rates - Of the 939 NESHAP (non-transitory) sources, 155 (17%) are either in
violation, in violation but meeting a compliance schedule, or the compliance status of the source
is unknown.
o Inspections - The Regions and states accomplished 167% of their cumulative second quarter
inspection commitment for NESHAP sources.
o Significant Violators - Of the 37 non-transitory NESHAP significant violators, 12 (32%) had
remedial action commenced prior to BOY. Of the 25 remaining significant violators, all are
scheduled to be addressed this year. The program exceeded its cumulative third quarter
commitment of 17 by addressing 22 violators. Thirty-six new NESHAP significant violators have
been identified and 13 have been addressed.
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40
30
20
10
0
AIR TOXICS PROGRAMS AND NESHAP ENFORCEMENT
As of June 30.1989
MULTI-YEAR DEVELOPMENT PLANS
I I I IV
NESHAP SIGMRCANT VIOLATORS
V VI
REGIONS
VI
Sal
2 3
QUARTERS
BOY 1
Uhiveraa: 939 Operating Non-Tranaftory Sourcaa
LEO£ND
VI
125
100
75
50
25
0
IX
j | Q3 TARGET
Q3 PERFORMANCE
04 TARGET
INSPECTIONS (EPA & States)
(Second Quarter FY 1989)
OAR-100.147 to 158
NCOMPUANCE(17)
ON SCHEDULE (4)
KX3 Of. ACT)ON(13)
PENDNQ(3)
I I IV V VI VI VI IX X
REGIONS
Reporting on tapecfana to lagged one qtuitr.
-11-
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AIR ENFORCEMENT COMBINED REPORT
SIGNIFICANT VIOLATORS
o There are 696 significant violators on the fixed base, of which 187 (27%) had commenced
remedial action prior to BOY. Of the 509 unaddressed significant violators, 390 (77%) are
scheduled to be addressed this year. The program exceeded its cumulative third quarter
commitment of 257 by addressing 308 violators (120%).
o One Hundred and Eighty-five significant violators are not a part of the pollutant-specific reports
discussed previously. Of the 185 violators, 38 had commenced enforcement action at BOY. The
program has exceeded its cumulative third quarter commitment of 86 by addressing 110.
o Of the 443 new significant violators identified through the third quarter, 150 have been addressed.
ENFORCEMENT ACTIONS
o Forty-seven civil judicial actions have been referred to DOJ and an additional 21 Pre-Referral
Negotiations cases have been initiated. The Regions have also issued 115 administrative orders.
The states report the referral of 14 civil cases and issuance of 503 administrative orders.
o Six Clean Air Act criminal referrals have been sent to Headquarters in FY 1989.
FEDERAL FACILITIES
o The air program identified 11 federal facilities as significant violators at the beginning of the year,
and four have been addressed through the third quarter.
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800
AIR ENFORCEMENT COMBINED REPORT
As of June 30, 1989
ADDRESSING SIGNFICANT VIOLATORS
PENDING AS OF 10/1/88
BOY 1 2 3
QUARTERS
12
ADDRESSING FEDERAL FACUTES VIOLATORS
(PENDING AS OF 10/1 /88)
8
LEGEND
| | N COMPLIANCE (197)
ON SCHEDULE (71)
ENF. ACTION (227) 4
PENDING (201)
BOY
1 2 3
QUARTERS
CIVIL REFERRALS
(CUMULATIVE - STATE DATA LAGGED 1 QUARTER)
80
60
40
20
2 3
QUARTERS
LEGEND
CHI MADE BY STATES 400
Hi MADE BY EPA 300
200
100
0
ADMINISTRATIVE ORDERS
(CUMULATIVE - STATE DATA LAGGED 1 QUARTER)
700
600
500
OAR-195to199
2 3
QUARTERS
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ASBESTOS DEMOLITION AND RENOVATION PROGRAM
(NOTE: Data are lagged one quarter)
o Through the second quarter of FY 1989, the EPA Regions report receipt of 7,089 notifications of
asbestos demolition, and the states report receipt of 21,196 notifications.
o The Regions have conducted 330 asbestos demolition and renovation inspections through the
second quarter and report identification of 42 substantive violations. The states have conducted
7,321 inspections through the second quarter and report 106 substantive violations.
o EPA has issued 56 administrative orders and referred 25 civil actions through the second quarter,
and the states have issued 425 administrative orders and referred 20 civil cases.
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30000
25000
t
10000,
5000
ASBESTOS DEMOLITION AND RENOVATION
As of March 31, 1989
(AU Data Lagged One Quarter)
DEMOLITION AND RENOVATION
ACTIVITY
NOTFICATKDNS NSPECTONS VIOLATIONS
LEGEND
OAR-185to 198
STATES
EPA
500
400
300
200
100
0
CIVIL REFERRALS
ADMINISTRATIVE ORDERS
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RADON
EPA's national Radon Program continues to address the radon problem by coordinating state
participation in EPA projects such as the State/EPA Surveys, House Evaluation Program (HEP),
Radon Diagnosis and Mitigation Training Course, and the State Grants Program.
TRAINING
o Regions are assisting in the development of a 4-day course to be used as a training preparation
for the Contractor Proficiency Examination which will combine elements of "Reducing Radon in
Structures" and the House Evaluation Program.
o All Regional Offices evaluated applications from colleges and universities within their Regions to
host the Radon Training Centers. The Regions recommended the best application from their
region to a headquarters review panel.
o Two Regions presented courses this quarter; one was offered on "Reducing Radon in Structures",
and two others were offered to building contractors on radon mitigation.
o Region V is developing a course, "Indian Nations Radon Reduction Training" which is scheduled
to be presented in September.
PROBLEM ASSESSMENT
o In preparation for the EPA National Residential Radon Survey, Regional offices have been
contacting their states to request assistance in coordinating the survey with county health officials.
o Eight states (AK, GA, I A, ME, NM, OH, VT and WV) and Indian lands in Regions VI and VII,
concluded the FY 1989 State/EPA Radon Survey this quarter (24 states total to date). All states,
-------
except for NM, have also placed alpha track detectors and seasonal charcoal canisters to conduct
long-term follow-up measurements. The results are being analyzed and will be announced by the
Administrator in September.
o Six Regions initiated a yearlong measurement program in 21 schools as part of the EPA School
Protocol. Currently two states require radon testing in schools.
o Twenty-five 'states continue independent radon measurement activities of varying designs.
PROGRAM DEVELOPMENT
o Most Regions sent letters to the Governors of each state informing them of the State Grants
Program and have requested each Governor to designate a lead agency for radon.
o Four States enacted radon legislation and other states continue to propose radon legislation this
quarter. Enacted legislation includes: regulations requiring testing for radon in schools,
registration of measurement and mitigation companies, and certification of radon measurement
and mitigation companies.
MITIGATION
o Two states in Region IV participated in the FY 1989 House Evaluation Program (HEP) this
quarter bringing the total number of states participating in HEP in FY 1989 to 11.
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Office of Water
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OFFICE OF WATER
THIRD QUARTER HIGHLIGHTS
o There were mixed results in the water programs this quarter, as 11 of 26 targets were met.
o Water quality protection is organized into three program areas at EPA: drinking (and ground)
water; critical habitats (oceans, near coastal waters, and wetlands); and surface water.
o There were successes in all three areas:
Regions assisted states in developing 24 full or partial wellhead protection programs, and
met their targets for underground injection control (UIC) wells.
Regions started 15 wetlands strategic initiatives and resolved 78 wetlands cases.
Regions approved 55 final lists submitted by states and territories of waters where water
quality standards cannot be met; and 31 states (three with second grants) received
capitalization grants for State Revolving Funds (SRFs).
The Regions and states met targets in resolving evidentiary hearing requests for NPDES
permits, and in auditing pretreatment programs. The percentage of major municipal
facilities on final effluent limits rose from 67% to 83% over the last three years, and the
number of EPA AOs issued is significantly higher this year than last.
o There were shortfalls in all three areas:
States reported no compliance data for public water systems for the second quarter in a
row, and fell behind in issuing permits for UIC wells.
Regions are behind schedule for designating ocean dumping sites for material dredged by
the Corps of Engineers.
Cumulative net outlays for construction grants and capitalization grants to SRFs are 91% of
target (below their + or - 5% window).
The Regions and states missed their targets for reissuing NPDES permits due to §304(1)
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DRINKING WATER PROGRAMS
Drinking Water Programs include Wellhead Protection (WHP) within the Office of Groundwater
Protection, Underground Injection Control (UIC) wells and Public Water Systems Supervision
(PWSS) within the Office of Drinking Water.
o The Wellhead Protection program provides technical assistance to states and localities. EPA's
work includes:
promoting the development of state plans for the protection of critical groundwater sources
of drinking water. Each state is responsible for the development of their own program. To
date, EPA's assistance includes guidelines for WHP area management and delineation
techniques, training of state/local officials on WHP data management and other technical
issues.
o The UIC program is almost entirely delegated to states who are responsible for:
!
- making permit determinations for both existing and new wells;
- verifying that mechanical integrity tests are performed to ensure that the drilling process was
accomplished correctly and injected fluids are not migrating along the well bore;
taking enforcement action against those wells with inappropriate injection
practices.
o The PWSS program is delegated to all states except WY, IN, and DC. The work includes:
- monitoring to ensure compliance with maximum contamination levels for microbiological
contamination, trihalomethanes, turbidity, and chemicals/radioisotopes;
taking enforcement actions (based upon monitoring data results) against those public water
systems in significant noncompliance.
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WELLHEAD PROTECTION PROGRAMS
The 1986 amendments to the Safe Drinking Water Act (SDWA) direct states to submit proposed
Wellhead Protection (WHP) programs for review/approval by June 1989.
o Many of the states in vhich Regional initiatives are being carried out have submitted WHP
programs/workplans to EPA.
o Regions reported 24 Regional initiatives for assistance in developing WHP programs, exceeding
their third quarter target of 22.
o To date, EPA has received WHP programs/workplans from 27 states and Puerto Rico. The
number of these that fulfill EPA's requirements for an official WHP program and their
subsequent approval, partial approval or disapproval will be tracked in SPMS in FY 1990.
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REGION X
REGION IX
o
o*
GW-1
WELLHEAD PROTECTION (WHP) PROGRAMS
As of June 30, 1989
REOONVIII
O
REGION
REGION I
REGION I
States with Regional initiatives for WHP
which have submitted programs/workplans to EPA.
Other States which have submitted WHP programs/workplans to EPA
16
12
Total StaUs with WHP programs/workplans submitted to EPA.
Other States with Regional initiatives for WHP.
Total StaUs with WHP activities.
States without Regional initiatives or WHP programs/
submitted to EPA.
28
_1
36
15
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UIC CLASS I. II. III. AND V PERMIT DETERMINATIONS
To protect underground sources of drinking water, EPA requires all new underground injection
wells and some existing wells to undergo a permitting process. This measure tracks permit
determinations for both new and existing wells.
Primary Approx
Well Class Purpose Location Number
I Deep Injection of Hazardous Waste Regions V,VI 550
II Oil and Gas Production Region VI 140,000
III Mineral Extraction Regions VI,VII,IX 24,000
V 30 Types including Agricultural Drainage,
Sewage-related and Geothermal Reinjection Nationwide 180,000
MADE BY EPA
o The Regions have committed to making 599 permit determinations for this year.
o Through the third quarter, EPA completed 442 permit determinations, 101% of their target of
437.
MADE BY PRIMACY STATES
(Since data for primacy states are lagged one quarter, this report covers second quarter activity.)
o The states have committed to making 6,539 permit determinations for this year.
o Through the second quarter, the primacy states completed 3,031 permit determinations, 94% of
their target of 3,217.
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UIC CLASS I, II, III, AND V PERMIT DETERMINATIONS
(NEW AND EXISTING)
EPA
As of June 30. 1989
1 2 3
QUARTERS
Target .Actual
DW-1
Rl
Rl
Rll
RIV
RV
RVI
RVI
RVII
RIX
RX
0
44
18
126
152
60
0
33
4
0
0
43
5
159
139
54
0
42
0
0
PRIMACY STATES
As of March 31. 1988
4 -o- TARGET
-*- ACTUAL
REGIONAL PERFORMANCE
Those Regions showing
no targets (or this
measure do not have the wed
classes dealt with here.
or have no responsbitiea for permit
determinations in the given
EPA or State programs.
IVAAAJ
8000
6000
4000
2000
0
O
O
1
2
3 4
QUARTERS
Rl
Rl
Rl
RIV
RV
permit pyj
RVI
RVK
RIX
RX
Ififflet
34
28
14
80
287
2.055
199
96
404
20
Actual
14
45 +
17 +
185 +
154
1.483
511 +
101 +
485 4
36 +
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UIC CLASS II MECHANICAL INTEGRITY TESTS
UIC mechanical integrity tests (MITs) are performed to ensure that the well casings and tubings are
sound and injected fluids do not migrate along the well bore. All existing Class II wells must
demonstrate mechanical integrity within the first five years, and every five years thereafter.
VERIFIED BY EPA
o For FY 1989, the Regions have committed to verify 2,494 MITs.
o Through the third quarter, six Regions verified 1,797 MITs, 112% of their target of 1,601.
VERIFIED BY THE PRIMACY STATES
(Since data for primacy states are lagged one quarter, this report covers second quarter activity.)
o For FY 1989, primacy states have committed to verify 28,226 MITs.
o Through the second quarter, the primacy states verified 13,623 MITs, achieving 99% of their
target of 13,771.
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UIC CLASS II MECHANICAL INTEGRITY TESTS (MITs)
(EXISTING)
EPA
As of June 30. 1989
2000
O
Q1
Rl
Rl
RIM
RIV
RV
RVI
RVI
RVItt
RIX
RX
Q2
largit
0
100
300
426
325
150
0
300
0
0
Q3
Actual
0
255 +
405 +
443 +
251
141
0
302 +
0
0
30000
20000
10000
Q4
O TARGET
-*- ACTUAL
REGIONAL PERFORMANCE
Those Regions showing
no targets for this
measure do not have Class K
wels, or have no responsibilities
for MITs in the given EPA
or State programs.
PRIMACY STATES
As of March 31. 1989
Rl
Rl
Rll
RtV
RV
RVI
RVI
RVII
RIX
RX
/
1
Target
0
0
0
20
1J286
9.232
1.120
273
1.800
40
O
O
/*
234
Actual
0
0
0
17
746
8.591
2.338 *
488 +
1.345
100 +
nw-2
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UNDERGROUND INJECTION CONTROL ENFORCEMENT
SIGNIFICANT NQNCQMPLIANCE
o Based on field inspections. MITs,and self -reporting^. 168 wells were identified us being in SNC
(1.681 by the states and 1.487 by EPA). Last quarter there were 1.969 wells in SNC.
- 2.667 (84 «2) of the wells in SNC are in Region V.
ADDRESSING SIGNIFICANT NQNCOMPLIANCE
o Last quarter, there were 1.336 wells listed on the exceptions report as being in SNC for two or
more consecutive quarters. Of this number. 296 wells were returned to compliance and 90
received an enforcement action for a pending balance of 950 wells to be addressed.
ENFORCEMENT ACTIONS
o Through the third quarter. EPA has issued 94 final administrative orders and two civil judicial
cases have been referred to DOJ. EPA's active UIC civil docket is 12 cases.
o Through the second quarter of FY 1989. the States have issued 700 final orders. The states also
referred 19 civil cases and filed one civil action and concluded one case in State courts.
NOTE: State data are lagged one quarter.
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UNDERGROUND INJECTION CONTROL
RESPONSE TO SIGNIFICANT NONCOMPLIANCE EXCEPTIONS REPORT
As of June 30, 1989
3000
2500
2000
1500
1000
500
SNC
RETURNED TO
COMPLIANCE
RECEIVED
ENFORCEMENT
ACTION
PENDMQ
DW-8
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PUBLIC WATER SUPPLY SYSTEMS
COMPLIANCE
No data was reported for this measure for the second consecutive quarter.
ADDRESSING PWSS SNC EXCEPTIONS REPORTING
o At the beginning of the second quarter FY 1989, 701 systems were listed on the exceptions report
for SNC violations of microbiological, turbidity, total trihalomethane. chemical and/or radiological
maximum contaminant levels (MCLs) and/or monitoring and reporting (M&R) requirements.
Facilities on the exceptions report have been in SNC tor two or more consecutive quarters
without returning to compliance or being addressed by an enforcement action. At the end of the
quarter, only 76 systems had returned to compliance and only 36 were addressed by an
enforcement action. The remaining 589 violators constitute the new exceptions report to be
addressed.
ENFORCEMENT ACTIVITY
o Through the third quarter, the Regions have issued 53 administrative orders including two
complaints for penalty. The EPA civil case docket currently contains 11 cases.
o Through the second quarter, the states have issued 309 administrative/compliance orders and
referred 55 civil cases to State Attorneys General. In addition, the states have filed 42 civil cases.
Nine civil state cases were concluded.
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PUBLIC WATER SYSTEMS
RESPONSE TO SNC
EXCEPTIONS REPORT
As of June 30, 1988
MICRO/TURBIDITY
CHEMCAL/RAD
600
500
400
300
200
100
600
500
400
300
200
100
SNC RETURN TO ENF. PENDNG
COMPL. ACTIONS
SNC RETURN TO ENF. PENDING
COMPL. ACTIONS
DW/E-3
-------
CRITICAL HABITAT PROGRAMS
Critical habitats include the nation's oceans, near coastal waters (i.e. tidal waters and ocean areas
affected by land-based pollution), and wetlands. For FY 1989, three Critical Habitat programs are
tracked in SPMS:
o The Ocean Dumping program regulates the disposal of all types of material that may adversely
affect the marine environment.
o The Wetlands Strategic Initiatives program identifies and protects valuable and threatened
wetlands with the assistance of federal, state, and local agencies.
o §404 of the Clean Water Act authorizes EPA to assess the environmental impact of all
discharges of dredged or fill material into U. S. waters and to bring civil and criminal
enforcement actions against illegal dischargers.
While not tracked in SPMS, EPA has a number of other Critical Habitat programs, including the
Great Lakes, Chesapeake Bay, National Estuary, Near Coastal Waters, and Ocean Discharge
programs.
-------
OCEAN DUMPING
EPA is responsible for the designation and maintenance of ocean dumping sites, most of which are
used by the Corps of Engineers (COE) to dispose of dredged material. The site designation and
maintenance process, shown below, takes two to three years to complete through the final action
stage. This process includes an assessment (EIS) of the effects ocean dumping would have on the
local marine environment to determine if ocean dumping is the preferred disposal option. Under a
1987 Agreement with COE, EPA plans to take final action on all existing proposed sites by 1991.
o Final actions tracked here are defined as proposed dredged material sites approved or
disapproved for designation and previously designated dredged material sites cancelled (i.e., de-
designated) or allowed to expire.
o
o
FINAL ENVIRONMENTAL IMPACT STATEMENT ISSUANCE
The Regions have committed to issuing nine final EISs in FY 1989, seven by the end of the
third quarter. Regions VI and IX issued five final EISs through the third quarter.
FINAL ACTIONS
In FY 1989 the Regions have committed to completing 18 final actions, 15 by the end of the
third quarter. Regions IV and VI completed four final actions through the third quarter.
Region II plans to complete eight final actions on their package of proposed sites in the fourth
quarter.
-------
14
12
10
a
6
4
2
0
FNAL BS ISSUED
OCEAN DUMPING
As of June 30, 1989
25
20
15
10
WQ-1
LEGEND
3 TARGET
ACTUAL
FINAL ACTIONS
* NATIONAL
200
150
100
50
PROPOSED FNAL
SITES ACTIONS
* DATA SOURCE NCLUDES
1989 REPORT ON OMEP
ACTIVTHES AND PROGRAMS.
-------
WETLANDS STRATEGIC INITIATIVES
In recent years, EPA has been working to develop more comprehensive and anticipatory approaches
to wetlands protection that complement the §404 dredge and fill program. Accordingly, strategic
initiatives are developed to carry out long-term, geographically-focused protection efforts in
conjunction with federal, state and local agencies. A strategic initiative includes one or more of the
following types of activities: advance identification, multi-objective planning, enforcement,
jurisdiction delineation, public education, or wetlands restoration. A strategic initiative is completed
when all aspects of the activity have been implemented (excepting evaluation of results) and usually
takes 2 1/2 years to complete.
o The Regions committed to starting 13 strategic initiatives during FY 1989. Through the third
quarter, 10 initiatives were targeted. By the end of the quarter, 15 strategic initiatives were
started: 13 major and two minor (exceeding the target of 10).
o There were 15 wetlands advance identifications started in FY 1988 of which seven have been
completed to date.
WETLANDS §404 (DREDGE AND FILU ENFORCEMENT ACTIONS
o Through the third quarter, EPA issued 81 wetlands administrative orders including 12 for
penalties. Also, EPA has referred one civil case to DOJ.
-------
WETLANDS
As of June 30, 1989
20
15
z 10 -
o
STRATEGIC INITIATIVES
STARTED
WQ-2. WQ/E-1
90
60
30 -
ADMINISTRATIVE ORDERS
COMPLETED
2 3
QUARTERS
-------
SURFACE WATER PROGRAMS
Surface Water programs for FY 1989 include Surface Water Quality, Municipal Pollution Control,
and National Pollutant Discharge Elimination System (NPDES) Permit programs.
o Surface Water Quality programs include work done by states to:
evaluate surface waterbodies to determine if numeric criteria for toxic pollutants are needed
to protect designated uses; submit lists of surface waterbodies where water quality cannot be
attained or maintained after technology based controls for point sources are met; adopt
numeric criteria (or a procedure to develop derived numeric criteria from a narrative
standard) for §307(a) priority toxic pollutants for water quality standards (second and fourth
quarters); and
assess whether waterbodies are meeting designated uses; whether nonpoint source (NPS)
pollution is causing designated uses not to be met; and report the progress made by states
in implementing Best Management Practices for nonpoint source control (fourth quarter).
o Municipal Pollution Control programs include:
providing construction grants to build or improve Publicly Owned Treatment Works
(POTWs) to prevent point source pollution; and
providing capitalization grants to State Revolving Funds (SRFs) for states to make loans to
local governments for various water quality control programs.
o NPDES Permit programs include issuing, renewing, and enforcing permits for facilities which are
point sources of pollution. An important part of controlling point sources of pollution are
pretreatment programs which are included in permits for POTWs where needed.
-------
MUNICIPAL POLLUTION CONTROL PROCESS
Congress appropriates
Monies lor FY 1989
| Construction Grants
Fund (50%)
|
1
State Revolving Loans
Fund (50%)
Legend:
Tracked
in SPMS
j
}
Obligations lor CGs and SRFs
|
1
v
Obligations for
Construction Grants (POTWs)
I Obligations lor
I Capitalization Grants (SRFs)
Net Outlays (90%)
lor Construction
Grants
Net Outlays (10%)]
from Slate
Revolving Funds
f Waler Projects j
I Engi
Engineering Design (1-2 years)
(
iX.
Construction (3-5 years)
f Ini
Initiate Operation (12 months)
X
1
f Administrative Completion (0 months) j
£_
T'Audit (up lo 3 ^\ ^^Audil Resolution and
1 years lo decide)! ^Ctoseout (6 months)
)
t
f
Operation & Maintenance (ongoing...)
J
NPDES PERMITTING AND ENFORCEMENT PROCESS
Effluent
Guidelines
lor Industries
Water Quality
Standards
Waste Load
Allocations/Total
Maximum
Daily Limits
Water Quality
Based Assessments
lor Toxics
A
Draft I Final
Permit I Permll
S *
Evidentiary
Hearing
Prelrealment
POTWs Programs
^Audited
Inspected
Facility
Inspected
Discharge
Monitoring
Reports
(Monthly)
Mn Compliance
Not In Compliance
Prelreatment
N
J
/
I
Comp§anc«
Formal
Enlor cement
Action
Administraliva
Order
/AdministralivaN
\Order _ J
/'AdmlnlsUativaN
XPenallyprder/
f No Action \-
Returned lo
Compliance
Exceptions List
(In SNC lor
2 or more
Quarters)
-------
SURFACE WATER QUALITY PROGRAMS
STATE WATERBODIES EVALUATED
o States were to evaluate waterbodies to determine if numeric criteria for toxic pollutants are
needed to protect designated water uses. In FY 1989, states in all 10 Regions committed to
evaluate 1,858 waters, some of which may be on the final §304(1) lists below.
Through the third quarter, states in seven Regions have evaluated 1,327 waters, against a
target of 374 waters.
STATE LISTS OF WATERS REQUIRED BY §304(1) OF THE CWA
o
States were required to submit, by February 4, 1989, lists of waters where water quality cannot
be attained or maintained after technology based controls for point sources are met. Regions
were to approve or disapprove of these lists by June 4, 1989.
To date, 55 states and territories submitted final lists of waters, and sources and amounts of
pollutants discharged. Through public notice, Regions proposed adding waters and point
sources to the lists, and approved them.
- Nationally, the long lists (water quality not attained/maintained) comprised about 17,000
waters; the short lists (water quality standards not achieved) about 600 waters; and the point
sources lists (discharging §307(a) priority pollutants into these waters) about 900 facilities.
' "N
dta* WMM«
Evaluated to
Determine if
Numeric Criteria
afe Needed lor
8.307--
V )
Legend
1 Tracked ]
| toSPMS 1
->
/ X
Slates
Adopting
Numeric Crileria
fnr ^ in?fal
Priority
Pollutants
Human Health
Aquatic Lite
^. i
Kno a 4ln OlrS.)
f -
State Lists of
Waters where
Water Quality
cannot be Attained
after Technology
Based Controls foi
Point Sources are
Met
(1 nnrt ~\
Long y
C*\
Short y.
/_ *»
^
-
^-
f
Bog tonal
Acttorx on
State Lists <
Water*
(^ Review
+
(Additions^
1
_T_...
[^ Approval
^
v
>l
)
f
V
/
f \
ICS Developed
^ on Point Sources
-------
SURFACE WATER QUALITY PROGRAMS
As of June 30, 1989
STATE WATERBODES EVALUATED
2000
1500
<
1000
500 -
SUMMARY OF S. 304(1) USTS OF
WATERS IMPAIRED AND FACUTES
(June 12,1989)
VTA WATERWAYS WPARED FOR ANY REASON
WATERWAYS SPARED BY TOXICS FROM FACUTES
FACUTES W/TOXIC DISCHARGES
WQ-4.5
-------
MUNICIPAL POLLUTION CONTROL PROGRAMS
CUMULATIVE NET OUTLAYS FOR CONSTRUCTION GI
STATE REVOLVING FUNDS
o Since 1972 EPA has outlayed about $45 billion in grants to build or improve POTWs. In
FY 1989, EPA continues to track cumulative net outlays for construction grants (CGs) and for
the first year outlays from State Revolving Funds (SRFs). Of the total $2.58 billion projected
outlays for FY 1989, about 90% will be expended for CGs, and 10% for SRFs.
Through the third quarter cumulative net outlays for CGs and SRFs totaled $1.68 billion,
91% of the target (below the + or - 5% window for spending), compared to 94.7% last
year and 105% in FY 1987. Regions II, IV and VIII were within their + or - 5% window
for spending this quarter. Regions V and X were below 80% of their target.
STATES RECEIVING STATE REVOLVING FUND GRANTS
o The Clean Water Act of 1987 provided a transition from the Federal Construction Grants
Program to self-sufficient SRFs. Of the 57 states and territories eligible, 40 are targeted to have
established a SRF program by the end of FY 1989. Projected SRFs obligations are about
$1 billion.
In FY 1989, through the end of the third quarter, 31 grants totaling about $757 million were
awarded. Including the eight states which received capitalization grants in FY 1988, 30
states had SRF programs established by the end of the third quarter of FY 1989.
BACKLOGGED ADMINISTRATIVE COMPLETIONS
o All CGs projects should be administratively completed within 12 or 18 months after initiating
operations. In the past, this was not considered a high priority function and a large backlog was
allowed to develop. In FY 1989, 967 projects out of a universe of 1,585 (61%) are targeted for
administrative completions. About half of this universe is in Regions III, IV and V.
- Through the third quarter, the Regions and states have accomplished 547 administrative
completions, 80% of the 684 projects targeted.
-------
MUNICIPAL POLLUTION CONTROL
As of June 30, 1989
120 r
CUMULATIVE NET OUTLAYS
FOR CONSTRUCTION GRANTS AND
STATE REVOLVING FUNDS
STATES RECEIVING SRF GRANTS*
I I I IV V VI VI VII IX X Nd.
BACKLOGGED ADMINISTRATIVE COMPLETIONS
<:uu
2
o 150
"i
o
£ 100
fc
w 5°
Si
*5
2 r\
-
° I
1
1
pi
1
"i
?x
i|
>?i
(V»
itiil!
'i
Ci
V
,iV,
r ]
1
>'!
t
*
i
1
' i
'1
U II IV V VI
UNIVERSE 107 191 230 206 302 145
.H rffl TL ,-,
|I -41 ^ i Lfln
. H |i : H 1 n H
VH VII IX X *|_
131 113 112 49 ST
WQ-8.9.10
LEGEND
CU PLANNED THS YEAR
63 NOT PLANNED THIS YEAR
ED TARGETED THRU THE QUARTER
B DONE THRU THE QUARTER
* LEGEND IS FOR GRAPHS:
STATES RECEIVING SRF GRANTS
AND BACKLOGGED ADMINISTRATIVE
COMPLETIONS
-------
NPDES PERMIT PROGRAMS
The Clean Water Act (CWA) requires EPA to issue permits to facilities discharging effluent into
U. S. waters. National Pollutant Discharge Elimination System (NPDES) permits may last up to five
years. There are about 70,000 facilities with NPDES permits, of which some 7,000 are major. The
NPDES permit program is operated by the Regions and 39 approved states.
PERMITS REISSUED
o There are 1,872 major facilities with permits due to be reissued this year. Of these, the Regions
are responsible for 480, and approved states for 1,392. Regions and states committed to reissue
permits to 86%, or 1,619 facilities (398 by the Regions and 1,221 by the states).
The Regions and states have reissued 686 NPDES permits (76% of 907 targeted) through
the third quarter. Regions reissued 150 permits and states reissued 536 permits, both below
their targets! Both Regions and states used permitting resources for satisfying CWA §304(1)
requirements for lists of waters, which impeded issuing major NPDES permits.
PERMITS REISSUED REFLECTING WQ BASED ASSESSMENTS FOR TOXICS
o EPA is tracking the number of NPDES permits reissued or modified for major or §304(1) minor
facilities reflecting water quality based assessments for priority toxic pollutants.
Through the third quarter, 856 major and §304(1) minor permits were reissued or modified
to reflect water quality based assessments. Of these, 197 (23%) include toxic limits as
individual control strategies (ICS) as specified under §304(1) of the CWA.
EVIDENTIARY HEARINGS RESOLVED
o Facilities may object to permit conditions and seek a review by an Administrative Law Judge.
EPA tracks progress made in resolving pending evidentiary hearing requests. Of the 195 cases
pending (87% in the states), Regions and states committed to resolve 49 this year.
This quarter, Regions resolved 10 and states resolved 30 evidentiary hearings, exceeding
their targets. In Region III (with 115 state cases pending), only two evidentiary hearings
were resolved by states, and PA and WV are awaiting new hearing board members.
-------
OC
It!
80
60
40
20
0
CO 200
h-
150
100
c
50
0
NPDES PERMIT PROGRAM
As of June 30, 1989
MAJOR PERMITS ISSUED
EPA
400
300
200
100
0
1234
QUARTERS
I N I IV V VI VI VIM IX X
REGIONS
MAJOR PERMITS REISSUED
STATES
-
IOUU
1000
500
0
-ft
p
o
0 jS^
1234
QUARTERS
flUfL
I II II IV V VI VI VIII IX X
REGIONS
CH TARGETED THRU THIS QUARTER
BB DONE THRU THIS QUARTER
WQ-11,12.13
CO
DC
100
75
50
25
0
NPDES PERMITS REISSUED/MODIFIED
EPA AND STATES
168
450
856
39%
23%
1234
QUARTERS
WITH WQ BASED ASSESSMENTS
EVDENTIARY HEARINGS RESOLVED
EPA & STATES
ou
40
30
20
10
0
_ tt
/
j/
^-****^ C\ '"
1 2 3
QUARTERS
-© TARGET
-*- ACTUAL
y
4
-------
PRETREATMENT PROGRAMS
The Regions, and the states approved to administer the pretreatment program, together determined
that 1,429 POTWs currently meet criteria for needing pretreatment programs with local effluent
limits for significant industrial users. Of these, the Regions are responsible for 621 and approved
states for 808. It is EPA policy that every pretreatment program is either audited or inspected
every year. A pretreatment POTW should be audited at least once during the term of its NPDES
permit (normally five, years).
AUDITS AND INSPECTIONS
o In FY 1989, EPA continues to place priority on auditing these pretreatment programs to ensure
that they are implemented effectively. The audit includes a site visit, document review, interview
with selected staff, and facility inspection. Of the 1,429 pretreatment programs, 306 are
scheduled for audits this year.
Through the third quarter, 213 pretreatment audits were carried out, 111% of those
scheduled. The Regions completed 99 pretreatment audits, and the states completed 114,
both exceeding their targets.
o The remaining 1,123 pretreatment programs not audited are to be inspected this year.
Through this quarter, 623 inspections were done, 116% of those targeted. The Regions
conducted 186 pretreatment program inspections (96% of their target of 192), and the states
conducted 437 pretreatment program inspections (89% of their target of 489).
-------
60
50
CO
40
£30
20
10
1
PRETREATMENT PROGRAMS
As of June 30, 1989
AUDITS
EPA & STATES
330
220
110
1234
QUARTERS
rid
TARGET
ACTUAL
I II III IV V VI VH VII IX X
REGIONS
250
200
DC
< 150
100
50
INSPECTIONS
EPA & STATES
1200
BOO
400
1234
QUARTERS
o TARGET
--ACTUAL
I II IV V VI VH VII IX X
REGIONS
WQ-14
LEGEND
TARGETED THIS QUARTER
DONE THIS QUARTER
-------
NPDES SIGNIFICANT NQNCOMPLIANCE
o Overall, 93% of major industrials are not in Significant Noncompliance (SNC). For major
industrials. 3.263 of 3.507 facilities (93%) have^achieved Final Effluent Limits (FEL). Of 3,263
facilities on FEL. 211 (6%) are in SNC. Of 244 facilities on Construction Schedules or Interim
Effluent Limits (CS/IEL), 29 (12%) are in SNC.
o Overall, 86% of major municipals are not in SNC. For major municipals, 3,106 (83%) of 3.733
facilities have achieved FEL. For comparison, in the third quarter of FY 1986. only 67% of
major municipals had achieved FEL. Of 3,106 facilities on FEL, 336 or 11% are in SNC. Of 627
facilities on CS/IEL, 175 (28%) are in SNC. Under the National Municipal Policy, there are 450
(100 EPA and 350 States) major facilities with municipal compliance plan (MCP) schedules. Of
this number. 109 (16 EPA and 93 states) or 24% of them are in SNC with their schedules (an
improvement from last quarter's 37%).
o Overall. 83% of major federal facilities are not in SNC. For major federal facilities, 142 (95%) of
150 facilities have achieved FEL. Of 142 facilities on FEL. 21 (15%) are in SNC. Of the eight
facilities on CS/IEL. three (38%) are in SNC.
NPDES INSPECTIONS
o For coverage of major NPDES facilities, the Regions and states conducted 4.878 inspections
against a target of 4.680. Regions VI. VII, IX and X missed their third quarter target.
-------
NPDES SIGNIFICANT NONCOMPLIANCE
As of June 30, 1989
MDUSTRIAL
MUNICIPAL
12
10
8
6
25
20
15
10
I I IN IV V VI VI V« IX X NAT
REOONS T°TAL
I 1 I IV V VI VI VI IX X NATIONAL
REGIONS
LEGEND
% SNC CS/EL
SNCFEL
WQ/E-4.5
-------
RESPONSE TO SIGNIFICANT NONCOMPLIANCE
EXCEPTIONS REPORT
o The percentage of major industrial and municipal facilities in SNC for two or more consecutive
quarters without being addressed or returned to compliance is at 2%. There are 49 facilities (11
industrial and 38 municipal) that have been in SNC tor a year or more without being addressed.
This is a decrease from 61 last quarter and represents 30% of the exceptions report. Region II
accounted for 17 (34%) of the facilities in SNC for a year or more.
For major industrials, of 41 facilities from last quarter's exceptions list, 11 have returned to
compliance (RTC) and 14 have enforcement actions initiated. The remaining 16 plus 23 new
significant violators on the exceptions report constitute the pending balance of 39. One
percent of 3,507 major industrial facilities are pending on the exceptions report.
For major municipals, of 110 facilities from last quarter's exceptions list, 27 have returned to
compliance and 19 have had enforcement actions initiated. The remaining 64 plus 78 new
significant violators on the exceptions report constitute the pending balance of 142. Four
percent of 3,733 major municipal facilities are pending on the exceptions report.
o Of the nine federal facilities from the last quarter's exceptions list, none were returned to
compliance and two had enforcement actions initiated. The remaining seven plus five new
significant violators on the exceptions report constitute the pending balance of 12 facilities. Eight
percent of all major federal facilities are pending on the exceptions report, an increase of 5%
from last quarter. Six of the nine facilities have been in SNC for at least a year.
-------
15
12
9
6
RESPONSE TO SIGNIFICANT NONCOMPLIANCE
EXCEPTIONS REPORT
As of June 30, 1989
MAJOR INDUSTRIALS MAJOR MUNICIPALS
NATIONAL
NATIONAL
WQ/E-6.7
35
30
25
20
15
10
5
I I II IV V VI VI VII IX X I I B IV V VI VI VII IX X
REGIONS REGIONS
LEGEND
I I RETURNED TO COMPLIANCE
Y77\ ENFORCEMENT ACTION
BB UNADDRESSED
-------
NPDES ENFORCEMENT ACTIVITY
o Through the third quarter. EPA has issued 1.176 administrative orders (447 in the third quarter),-
compared to 830 (364 in the third quarter) tor the same period last year. These orders include
74 for failure to implement a pretreatment program and 129 proposed penalty orders. Also, the
states have issued 768 orders (302 in the third quarter) compared to 817 (282 in the third
quarter) tor the first three quarters of last year.
o Through the third quarter, the Regions have referred 47 (12 for the third quarter) civil cases to
DOJ (compared to 39 tor the quarter and 64 cumulative last year) plus seven Pre-Reterral
Negotiations Cases. The states have referred 291 civil cases this year compared to 426 through
the third quarter last year.
o The Regions have referred 18 criminal cases and the states have filed 122 criminal cases in state
courts.
o Nationally, EPA has an active civil docket of 193 referrals. Through the third quarter, 47 cases
were referred to DOJ. 103 cases were filed by DOJ and 43 cases were concluded.
o The states have an active civil docket of 738 referrals. Through the third quarter, 291 cases were
referred to State Attorneys General (SAG). 180 cases were filed by SAG, and 214 cases were
concluded.
-------
z
600
500 -
400
300
200
100
NPDES ENFORCEMENT ACTIVITY
CUMULATIVE
As Of June 30, 1989
ADMINISTRATIVE ORDERS
I I IV V VI VI VM IX X
REGIONS
CIVIL REFERRALS
125
100
75
50
25
NATIONAL
y
y
300
200
100
y
i
Q1 Q2 Q3
1
LEGEND
EPA
I I I IV V VI VI VIM IX X
REGIONS
STATES
WQ/E-8.9
-------
Office of Solid Waste and
Emergency Response
-------
OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
THIRD QUARTER HIGHLIGHTS
Superfund
o The Regions have made excellent progress toward the 275 RI/FS starts deadline in October
1989. The Regions have nearly met this deadline by the end of third quarter.
o The statutory deadline for 175 remedial action starts is also October 1989. The Regions are
making slow progress toward this deadline, with 119 RA starts through the third quarter.
o The Regions fell short of remedial implementation targets by issuing 35 first RODs (43% of
target), 30 final RODs (46% of target), and three remedial action completions (43% of target).
RCRA
o The Regions continue to exceed the targets for all permitting and closure measures.
o Regions and States continue to work toward the November 8, 1989 incinerator permitting
deadline. Twenty-eight final permit determinations have been made through the third
quarter. As of July 13, 1989, approximately 125 incinerators remain to be determined.
o The Environmental Priorities Initiative and the RCRA Regional Initiatives are highlighted
in this quarterly report.
CEPP/UST
o In the Chemical Emergency Preparedness and Prevention program, the Regions
substantially exceeded targets (636%) for providing technical assistance or training to State
Emergency Response Commissions and Priority Areas.
o LUST cleanups initiated and LUST cleanups brought under control are overwhelmingly
being paid for by the responsible parties, 96% and 98% respectively.
-------
THE SUPERFUND PROGRAM
OVERVIEW
o The Superfund Program addresses the government's response to:
Hazardous substance releases or substantial threat of release into the environment,
and;
Pollutant or contaminant releases or substantial threat of release which may present
an imminent or substantial danger to the public health or welfare.
o The Superfund Program encompasses several major areas of activity: Remedial actions,
Removal actions, Enforcement, and Chemical Emergency Prevention and Preparedness
(CEPP). The programmatic activity status, as it is tracked in SPMS, will be discussed in this
report, for each of these areas.
i
SUPERFUND REMEDIAL PROGRAM OVERVIEW
o The remedial program can be divided into the three activity stages: Pre-Remedial
Investigation, Remedial Alternative Evaluation, and Remedial Action Implementation,
shown to the right. These three stages track a Superfund site from discovery through clean-
up. The activities which comprise the Remedial process are detailed under each stage. Most
of these activities are tracked in SPMS.
o Each of these stages will be presented in more detail in the following pages.
o As each is presented, information from the handbook, "CERCLA Orientation: Superfund;
What it is? How it works?", will be used to describe and define activities.
-------
The Superfund Remedial Program in Perspective
Superfund
Removal
Program
Preliminary
Assessment
National
Priority
Listing
Alternatives £
Evaluation v?
Remedial
Investigation
I
Feasibility
Study
I
Record of
Decision
Operation and
Maintenance
Removal activities can be initiated at any stage in the remedial program '
LJ Activity is tracked in SPMS
-------
REMEDIAL PROGRAM OVERVIEW
o Using SPMS data through the third quarter of FY 1989, the chart at the right shows a
national performance summary toward the major stages in the Superfund Remedial
Program pipeline.
o While the comparison between the progress at certain stages in the pipeline is not
appropriate, this diagram does indicate areas where progress is slow. These slow stages may
ultimately cause a backlog as more sites move through the earlier stages of the pipeline.
o Through the third quarter each remedial stage shows varying progress. The pre-remedial
activities are nearly at or above target. In the remedial alternative evaluation stage, the
Regions are making good progress toward the statutory deadline for RI/FSs on October 1989.
The Regions are far behind their targets for Record of Decisions. In the remedial
implementation stage, all steps are slow. Completion of Remedial Action starts is the
slowest, with minimal progress toward the October deadline of 175 First RA Starts.
-------
DC
LU
o
QC
200
180
160
140
120
100
80
60
40
20
0
SUPERFUND REMEDIAL PROGRAM
NATIONAL PERFORMANCE SUMMARY
As of June 30, 1989
A
1181/835
1578/1615
\ 90/114
65/103
17/21
*
32/45
4/7
V''
35/82
3/7
PA SI FRST AND
COMP COMP SUBSEQUENT
RI/FS
START
FIRST FIRST FIRST FNAL COMPLETION NPL
ROD RD RA RA OF ALL DELETION
STARTS STARTS REMEDIATION HTIATION
REMEDIAL ACTIVITY
PERFORMANCE DATA/TARGET DATA - PERCENT OF 3rd QUARTER TARGET
-------
SUPERFUND PRE-REMEDIAL INVESTIGATIONS
Site Discovery
or
Notification:
31,292 sites
Preliminary
Assessment:
28,359 sites
Site
Inspection:
10,124 sites
^^ Scoring: X:
1
National
Priority
Listing:
1,172 Sites
PRELIMINARY ASSESSMENTS
The preliminary assessment (PA) is an attempt to evaluate the magnitude of the
potential hazard, to identify the source and nature of the release, and to identify the
potentially responsible parties.
The Regions completed1* 1,578 PAs through the third quarter, narrowly missing the
national target of 1,615. Forty of the PAs completed were performed at Federal
facilities. The end-of-year PA target is 2,500.
Of the 31,292 Superfund sites which have been discovered, the Regions have
completed preliminary assessments at 28,359 (91%) as of May 31,1989.
SITE INSPECTIONS
A site inspection (SI) further characterizes the problem at a site to determine what, if
any, further action is necessary.
Through the third quarter, the Regions have completed 1,181 Sis, exceeding the
target of 835. Thirty-four of these Sis were performed at Federal facilities.
As of May 31,1989, the Regions have conducted Sis at 10,124 facilities, representing
36% of those facilities which have had a PA. To date, 12,517 sites have shown no
current evidence that they require further action.
Program to date, 2,060 sites have been scored by the Hazard Ranking System, 10 of
which have been scored in FY 1989. The number of sites which are currently on the
NPL or are proposed for the NPL is 1,172. Federal facilities account for 5% of the
NPL facilities to date.
-------
PRE-REMEDIAL SUPERFUND
As of June 30, 1989
PRELIMINARY ASSESSMENTS
550
500
450
400
350
300
250
200
150
100
50
0
i i
\ t
I II III IV V VI VII VII IX X
REGIONS
NATIONAL
1600
1200
800
400
3rdQ
FY89
300
250
200
150
100
50
SITE INSPECTIONS
I
i
17
»--\
i t
' tl
/
NATIONAL
I I
-- TARGET FOR 3rd QUARTER
ACTUAL 3rd QUARTER
IV V VI VI VI IX X
REGIONS
S/F-1.2
ACTUAL 2nd QUARTER
1600
1000
600
3rdQ
FY89
-------
as of May:31, 1
"
Remedial
Investigation
and
Feasibility
Study:
851 sites
Record of
Decision:
353 sites
REMEDIAL ALTERNATIVE EVALUATION
REMEDIAL INVESTIGATION/FEASIBILITY STUDY (RI/FS) STARTS
o Although the Remedial Investigation and the Feasibility Study have different
purposes, the former being to define the extent of the problem at the site and the
latter being to develop and evaluate remedial alternatives, they are often completed
simultaneously.
o First RI/FSs were initiated at 67 NPL sites through the third quarter, missing the
target of 91. Of these, 47 or 70% were PRP-financed. The end-of-year target is 104.
Twenty-three subsequent RI/FSs were also stalled, meeting the third quarter target.
Of these, 17 or 74% were fund-financed.
o In the Superfund Program as of May 31, 1989, RI/FSs have been initiated at 851 sites.
RECORD OF DECISION (RODs)
The Record of Decision document provides the basis for the remedial decision and
describes the selected remedy.
Through the third quarter, 35 first RODs were signed at NPL sites, for 43% of the
target of 82. Twelve of these RODs were financed by PRPs. In addition, 30 final
RODs were signed against a third quarter target of 65. Of these, 15 were PRP-
financed.
o In the Superfund program to date, remedies have been selected at 353 NPL sites (19
of which were no action alternatives).
-------
SUPERFUND REMEDIAL ALTERNATIVE DEVELOPMENT
As of June 30, 1989
FIRST AND SUBSEQUENT RI/FS
FRST ROD
25
20
15
10
20
15
10
L_J
i
I II IV V VI VI V« IX X
REGIONS
--- COfvBNED TARGET FOR 3rd Q
S/C-4{a),4(b).5(a).5{b)
FIRST RI/FS
SUBSEQUENT RI/FS
I I II IV V VI VI VI IX X
REGIONS
--- TARGET FOR 3rd QUARTER
>OT FIRST ROD
-------
REMEDIAL ACTION IMPLEMENTATION
REMEDIAL DESIGN ACTIVITY
Progress
Remedial
Design:
309 sites
This measure tracks funding or PRP contract awards for first and final remedial
design activity. The remedial design is the detailed plan for conducting the
remedial action.
Through the third quarter, the Regions initiated first remedial design activity at 65
NPL sites, missing their target of 103, and began final remedial design at 46 NPL
sites, missing their target of 62. As of May 31, 1989, remedial design activity has been
initiated at 309 NPL sites.
Remedial
Action:
205 sites
1
Operation and
Maintenance
A"
Post-Closure
Monitoring
REMEDIAL ACTION ACTIVITY
The Regions initiated 32 first remedial action starts through the third quarter,
missing the target of 45. Of these starts, 18 were PRP-financed and 14 were fund-
financed. Final remedial action was initiated at 17 NPL sites, missing the third
quarter target of 21. Nine of these actions were PRP-financed. As of May 31, 1989,
there are 205 NPL sites with remedies implemented or in progress. Of these 205
sites, 115 or 56% are fund-financed.
Since SARA was enacted, the Regions have initiated on-site remedial action at 119
NPL sites. OSWER's third quarter target was 140.
Remedial implementation has been completed at three NPL sites thus far in FY 1989.
The Regions targeted seven completions through the third quarter and have an end-
of-year target of 15. As of May 31, 1989, 41 NPL sites have been cleaned up.
Post-closure monitoring provides the remedy verification needed to delete a site
from the NPL. Three Regions have initiated a total of four NPL site deletions. The
third quarter target was seven. As of May, 27 sites have been deleted from the NPL.
-------
REMEDIAL IMPLEMENTATION AT NPL SITES
As of June 30, 1989
FIRST REMEDIAL ACTION STARTS
12
10
8
6
4
2
0
i
i
j
S/C-7.8,9
\\
Vs
. _ J
L_ J
I I II \V V VI W VII IX
REGIONS
REMEDIAL ACTION WORK
POST SARA
30
20
10 -
I
-4
.A
FINAL REMEDIAL ACTION STARTS
IU
a
n
i
i
i
'
i
i
~
'VV
\^\
\
\
\
\
\v
\\
' //
^//
r-i
'//
//
//
//
\
\
i
\
\
\
i
i
i
'/s
fS
i
i
i
tVs
"S^y
NX^
O^
\\
'//
//
\
\
\
\ >~ ~ ^
1
i VS.1i '
1 V\J ' ,
I II III
V VI
REGIONS
VII \\
V V\ VI VII
REGIONS
~ ~ TARGET FOR 3rd Q
S3 ACTUAL 3rd Q
P~1 ACTUAL 2nd Q
V7?( ACTUAL 1st Q
-------
SUPERFUND REMOVAL PROGRAM
o The Supcrfund Removal Program involves short-term actions taken to prevent or mitigate
significant risk to human health, welfare or to the environment. Situations which warrant
immediate removal action may include: drinking water contamination, human and animal
food chain exposure, fire/explosion threat, or other acute situations.
o The SPMS removal measures track activity at NPL sites only, even though removal actions
are not exclusive to NPL sites.
o The Regions initiated 43 removal actions at NPL sites through the third quarter. Of these 20
were PRP funded. In the Superfund Removal Program to date 1,397 sites have started
removal action, 279 or 20% of these represent NPL removal starts.
o The Regions completed removal actions at 38 NPL sites through the third quarter. Twelve
of these were PRP-financed. As of May 31, 1989,1,155 sites have completed removal action,
252 or 22% of which were at NPL sites.
-------
SUPERFUND ENFORCEMENT
o During the first three quarters of FY 1989, the Regions referred 34 Section 107 cost recovery
actions for removals, RI/FSs and remedial design (RD) against a target of 40. There were eight
Section 107 cost recovery referrals for remedial action (RA) versus a target of 17, bringing the
total number of cost recovery referrals (greater than or equal to $200.000) to 42 against a target
of 57. The total number of Section 107 cost recovery referrals, including those less than $200.000
and/or those involving proof of claim bankruptcy issues, was 45 for three quarters.
o The Regions had 22 Section 106 referrals for RD/RA with settlement (consent decree) and issued
ten unilateral administrative orders for RD/RA (for a total of 34 against a target of 39). There
were no Section 106 referrals without settlement (against a target of six). The Regions referred
seven cases under Section 104 seeking access.
o The Regions issued 67 Section 106 removal orders (22 NPL/45 Non-NPL) during the first three
quarters, compared to 53 for the same period last year.
o Thirteen administrative Section 107 cost recovery cases were resolved against a target of 22.
These actions pertained to sites where the Region has executed an administrative settlement with
PRPs that provides for reimbursement of Trust fund money under Section 107 and 122(h)(i) of
CERCLA.
-------
SECTION 107
COST RECOVERY REFERRALS
(CUMULATIVE)
10
SUPERFUND ENFORCEMENT
As of June 30, 1989
SECTION 106 CIVIL
REFERRALS
(CUMULATIVE)
SECTION 106
REMOVAL ORDERS
(CUMULATIVE)
LEGEND
CUMULATIVE TARGET
S/E-1(a)
CUMULATIVE ACTUAL
-------
CHEMICAL EMERGENCY PREPAREDNESS AND PREVENTION
The CEPP program goals are to reduce chemical accidents by promoting community awareness of chemical
hazards, and to assist states and localities to prevent and respond to chemical accidents. CEPP is authorized
under Title III of SARA.
o There are 49 states with State Implementation Memos (SIMs) in place; of these, 5 states had SIMs being
updated or revised in third quarter. These memos establish joint work between states and EPA in priority
areas where chemical emergency preparedness plans will be developed and tested. Seven states currently
intend not to complete a SIM.
o Through third quarter 670 CEPP contingency plans were developed, tested, or revised. EPA directly assisted
80 communities with chemical emergency simulations, against a target of 36 (222%). Simulations serve to test
the effectiveness of contingency plans.
o EPA provided technical assistance or training in 458 instances to State Emergency Response Commissions
(SERCs) and SIM-designated priority areas, against a target of 72 (636%). Assistance provides technical and
scientific expertise to improve preparedness, and program development and management.
PREVENTION PROGRAM
The CEPP Accidental Release Information Program (ARIP) focuses management attention on facilities with
repeated or "serious" chemical releases, and provides EPA with detailed information on the causes, and the
activities undertaken to prevent subsequent releases. Safety audits include on-site inspections of facilities.
o During third quarter, there were 259 ARIP questionnaires sent from Regions to facilities with releases, and
210 responses were received from these facilities. Facilities have 30 days to respond to ARIP questionnaires
after which the Region may undertake non-compliance action. In third quarter 24 non-compliance actions
were taken against facilities.
o Eight on-site chemical safety audits were conducted, 44% of the third-quarter target of 18. Regions have
targeted to complete 40 audits by the end of the year.
-------
CHEMICAL EMERGENCY PREPAREDNESS
EPA TECHNICAL ASSISTANCE OR TRAININGS
As Of June 30, 1989
46
STATE RECEIVED
LARGE NUMBER
OF ASSISTS.
CEP-2B
HAWAl DISTRICT OF COLUMBIA. AND
DELAWARE RECEIVED NO EPA ASSISTS.
-------
LAND DISPOSAL FACILITIES
As of July 13,1989 the land disposal facility (LDF) universe numbered 1,451. Of these facilities,
164 LDFs were on the permit track, 1,025 were on the closure track, 115 were on both tracks, and
147 LDFs were not classifiable.
PERMITTING TRACK
o As of July 13,1989, 90% or 251 of the 279 facilities on the permitting track (including those
facilities on both tracks) have been determined. Twenty-eight LDFs remain to be
determined.
o Through the third quarter, the Regions made 56 final permit determinations. This
performance exceeds the third quarter target of 32.
o Of these 56 final permit determinations, 49 permits were issued, and seven were denied.
o The Regions issued 13 draft LDF permits and published one notice of intent to deny.
CLOSURE TRACK
o Of the 1,140 land disposal facilities on the closure track as of July 13, 1989, (including those
facilities on both tracks), 800 have approved closure plans.
o Through the third quarter, the Regions approved 101 land disposal facility closure plans,
exceeding the target of 76. Region X, through their RCRA Regional Initiative (See Regional
Initiatives Page), has agreed to complete seven LDF post-closure permits during FY 1989,
instead of LDF closure plans. Through the third quarter, Region X has completed three post-
closure permits.
o The Regions also issued 70 notices of land disposal facility closure plan availability.
-------
30
20
10
LAND DISPOSAL FACILITIES
As of June 30, 1989
FINAL PERMIT DETERMINATIONS
NATIONAL
60
50
40
30
20
10
0
3rdQ
1989
IN IV
VI VII VII IX
REGIONS
NUMBER OF PERMITS DENIED
NUMBER OF PERMITS ISSUED
TARGET FOR 3rd QUARTER
30
20 -
10 -
CLOSURE PLANS APPROVED
I I I IV V VI VI VI IX X
REGIONS
I I TARGET FOR 3rd QUARTER
KS ACTUAL
R/C-KD&E)
R/C-KF)
-------
PROGRESS TOWARD INCINERATOR PERMIT DETERMINATION DEADLINE
o November 8, 1989 is the RCRA (Section 3005) incinerator permit issuance deadline. By this
date the Agency must make a final permit determination on all incinerator permit
applications received before November 8, 1986.
o These graphs use permitting data as of July 13,1989 to track the Agency's progress toward
the permit determination deadline. This data, taken from an internal OSW document,
"Summary Report on RCRA Permit Activities, June 1989", is different from the SPMS data
shown previously, because the SPMS data is a subset of the universe shown here.
o While not all of the incinerator facilities represented here are subject to the permit
determination deadline, approximately 175 are. In addition, the graphics highlight a trend
toward incinerator facility closings. As a larger percentage of the incinerator universe
chooses to close instead of following the permitting process, serious disposal capacity issues
will arise.
o Progress toward the incinerator deadline appears to be slow. A projected number of 20-30
facilities are not expected to meet the permitting deadline. As of July 13,1989, 32% of the
undetermined facilities on the permit track, were at very early stages in the permitting
process (i.e. prior to the declaration of a complete application).
-------
STATUS OF INCINERATOR FINAL PERMIT DETERMINATIONS
GIVEN NOVEMBER 8, 1989 DEADLINE
As of July 13, 1989
PERCENT OF PERMITTING TRACK
FACILITIES DETERMINED
100
75
50
25
0
NATIONAL
43%
II
IV V VI VII VII IX X TOTAL
* DETERMINED: 1 12 14 18 23 20 4 0 21 95
* PERM! TRACK: 3 24 20 28 39 68 11 5 18 4 220
PD-1
SOURCE Summary Report on RCRA Permit Activities
June 1989. OSW
PERCENT OF NCNERATOR UNIVERSE
ON THE CLOSURE TRACK
100
75
50
25
NATIONAL
52%
I I I IV V VI VI VII IX X TOTAL
* CLOSURE TRACK: 2 4 2 18 13 56 5 1 10 4 115
*NCN. UMVERSE: 5 28 22 46 52 12416 6 28 8 335
-------
INCINERATORS
As of July 13, 1989, the incinerator universe, which includes both stand alone incinerators and
incinerators at disposal facilities, numbered 360. Of these facilities, 205 incinerators were on the
permit track, 100 were on the closure track, 15 were on both tracks, and 40 were not classified as
being on either track.
PERMITTING TRACK
o On the permitting track, 43% or 95 of the facilities have been determined as of July 13, 1989.
This leaves approximately 125 facilities currently on the permitting track (including those
facilities on both tracks) which must be determined by the November 8, 1989 incinerator
permit issuance deadline.
o The Regions made 28 final permit determinations through the third quarter. This
performance exceeds the third quarter target of 18.
o Twenty of the 28 determinations resulted in issued permits, while eight were denied.
o In addition, 21 draft permits were issued and five were denied.
CLOSURE TRACK
o Of the 115 incinerators on the closure track as of July 13, 1989, including those facilities on
both tracks, 47 have approved closure plans.
o Through the third quarter, the Regions approved seven incinerator closure plans, exceeding
the target of three.
o The Regions also issued five notices of incinerator closure plan availability.
-------
12
10
8
2
0
INCINERATOR DATA TRACKED IN SPMS
As of June 30, 1989
FINAL PERMIT DETERMINATIONS
NATIONAL
30
20
10
3rdQ
1989
III IV V VI VII VIII IX X
REGIONS
NUMBER OF PERMITS DENIED
NUMBER OF PERMITS ISSUED
-- TARGET FOR 3rd QUARTER
CLOSURE PLANS APPROVED
NATIONAL TOTAL - 7
I I « IV V VI VI VIM IX X
REGIONS
HI NUMBER OF CLOSURE PLANS APPROVED
-- TARGET FOR 3rd QUARTER
R/C-1(D&E)
R/C-1(F)
-------
STORAGE AND TREATMENT FACILITIES
As of July 13,1989, the storage and treatment (S/T) facility universe, which includes only
facilities without disposal or incineration processes, numbered 2131. This universe was
comprised of 1584 S/T facilities on the permit track and 547 facilities on the closure track.
Regions and states are working toward the November 8, 1992 storage and treatment facility
permit determination deadline.
PERMITTING TRACK
o As of July 13, 1989, 583 S/T facilities or 37% of the permit track facilities were determined.
o Through the third quarter, the Regions made 38 final storage and treatment facility permit
determinations, 34 of which resulted in issued permits, while four were denied. The
storage and treatment facility permitting measures have no SPMS targets for FY 1989.
o The Regions also issued 41 public notices: 38 draft permits and three notices of intent to
deny a permit.
CLOSURE TRACK
o Of the 547 storage and treatment facilities on the closure track, as of July 13,1989, 332 have
approved closure plans.
o The Regions approved 212 storage and treatment facility closure plans and issued 206
notices of closure plan availability through the third quarter.
-------
10
8
6
STORAGE AND TREATMENT FACILITIES
As of June 30, 1989
FINAL PERMIT DETERMINATIONS
NATIONAL
40
30
20
10
0
3rdQ
1989
I I II IV V VI VII VIII IX X
REGIONS
I I NUMBER OF PERMITS DENED
gX2 NUMBER OF PERMITS ISSUED
120
100
80
60
40
20
CLOSURE PLANS APPROVED
NATIONAL TOTAL - 212
I HI IV V VI VI VH IX X
REGIONS
NUKBER OF CLOSURE PLANS APPROVED
R/C-1(D&E)
R/C-1(F)
-------
CORRECTIVE ACTION ACTIVITY
Corrective action activities may be conducted during interim status, permitting, and closure
stages. The corrective action process is shown in the graphic below. Highlighted are the
corrective action steps which are tracked by SPMS: RCRA facility assessments (RFAs), RCRA
facility investigations (RFIs), corrective action remedies, and corrective action designs.
Program information, as of July 31, 1989, is shown for several of these steps.
Three states, Georgia, Utah ancf Minnesota, are authorized for the RCRA corrective action
program. Several other states expect to be authorized in the coming months.
Proposed regulations for the procedural and technical requirements for corrective action at
solid waste management units have been under review at OMB since October 1988.
The Regions completed 92 RFAs through the third quarter of FY 1989. As of July 31, 1989,
1,438 RFAs have been completed through the corrective action program.
Through the third quarter, 153 RFIs were imposed. These RFIs account for 33% of the total
459 RFIs imposed to date.
One corrective action remedy was selected for an entire facility and one for a partial facility.
No corrective action designs were approved during the third quarter. Program to date, ten
facilities have had remedies selected.
Conducted by EPA
Review of the facdity
and relevant record*
Determination of
corrective action need
Conducted by
Owner/Operator
with Agency
oversight
Determination of
nature/extent
of release*
Corrective
Measures Study
(CMS) .
^_.._. __ __ _ ___ _v__^S
Conducted by
Owner/Operator
with Agency
oversight
Identification of
potential remedies
V J
implemenUtioo
Implemented by
Owner/Operator
with Agency
oversight
-------
CORRECTIVE ACTION PROGRAM STATUS
RFAs COMPLETED
I I IH IV V VI VM VII IX X
REGIONS
SOURCE: CARS
3
1 -
As Of July 31, 1989
Program to Date
RFIs IMPOSED
125
100
FACLITIES WITH REMEDY
SELECTED
IV V VI VI VI IX X
REGIONS
RRs WPOSED BY:
VTA PERMITS
I I 3008(h) ORDERS
BB OTHER ORDERS
III IV V VI VII VIU IX X
REGIONS
-------
RCRA/CERCLA INTEGRATION:
THE ENVIRONMENTAL PRIORITIES INITIATIVE
o The Environmental Priorities Initiative (EPI) is a new effort to focus limited corrective
action resources on the identification and evaluation of those sites which present the
greatest threat to human health and the environment, so that they might be cleaned up
first.
o Over the three year period from FY 1989 to FY 1991, EPI will focus on 3,000 closed or closing
RCRA storage, treatment, and land disposal facilities.
o Two primary goals of EPI are to promote consistency and compatibility between the RCRA
and CERCLA programs and to prevent RCRA facilities from becoming future Superfund
sites.
o The EPI process, charted at right, shows the integration of CERCLA and RCRA activities.
The sites chosen to participate are first entered into CERCLIS. The sites then follow the
Superfund pre-remedial screening process. At the conclusion of the screening, the sites are
returned to RCRA for corrective action.
o Facilities which are unable or unwilling to pay for corrective action may become eligible for
Superfund Response funding if they qualify for the National Priorities List.
o FY 1989 is the first year for the EPI. The Regions have been given flexibility in the
implementation of the EPI process. However, all Regions have received some reduction in
funding for RCRA Facility Assessments in the anticipation that they will be utilizing
CERCLA funds and the CERCLA pre-remedial process to evaluate RCRA sites.
-------
The Environmental Priorities Initiative:
An Integrated RCRA/CERCLA Approach to Corrective Action
Potential RCRA Sites, Including:
Closed or Qosing LDFs, and
Storage and Treatment Facilities
c
I
Enter sites into CERCLIS
(_) Shading indicates Superfund funded activity
Issue order for
RCRA Corrective
Action
RCRA Corrective
Action
ive |
-------
RCRA REGIONAL INITIATIVES
The FY 1989 RCRA Implementation Plan presented an option for regional flexibility. Regions
were invited to trade-off 10-15% of their RCRA program resources to address environmentally
significant priorities, which differ from the national priorities. Five Regions submitted
initiatives under this flexibility plan: I, V, VI, IX, and X. Some of the initiatives have affected the
SPMS commitments for the Regions. The following is a brief summary of the flexibility
activities in each Region, as presented in their mid-year status reports.
Region I initiatives include: Establishment of a corrective action peer review process to prioritize
RCRA corrective action candidates; emphasis on 30-40 facilities receiving corrective action under
the Environmental Priorities Initiative; conducting a data management workgroup; clean
closure reviews at 30 Connecticut sites; and a lead in soil initiative to abate the hazards presented
by high levels of lead known to exist in the urban areas of Massachusetts.
Region V initiatives include: Reduction in required facility inspections in order to address
higher priority handlers; increases in State criminal investigation support; a focus on several
environmentally significant permits and corrective action; and conducting case work for two
civil actions.
Region VI initiatives include: Providing comprehensive assistance to the Secretariat Urban
Development and Ecology of Mexico in the permitting of a PCB/Hazardous Waste Incineration
facility; joint inspections of Mexican generators, disposal, and storage facilities, increasing
effective monitoring of international shipments of hazardous waste, and development of an
enforcement strategy concerning hazardous waste importers.
Region IX initiatives include: Reduction of inspection targets for low priority facilities; approval
and/or modification of three RCRA Facility Investigation workplans; and continued
management and oversight of a landfill closure.
Region X initiatives include: Increased post-closure permitting; reduction in low priority
inspections; emphasis on corrective action and PCB disposal; investment in waste minimization
activities; identification of Oregon generator universe; and increased on-site generator visits.
-------
RCRA ENFORCEMENT
o Addressing Significant Noncompiiance - The RCRA program has identified 674 treatment, storage
and disposal facilities (TSDFs) as significant noncompliers, with 563 having had formal
enforcement action initiated prior to FY 1989. The program exceeded its cumulative second
quarter target for addressing SNCs. Twenty-three were pending at the end of the third quarter
against the program goal of having 28 pending.
o Of the TSDFs in SNC at the end of the third quarter (BOY plus newly identified SNCs minus
SNCs returned to compliance), 105 were not subject to formal enforcement action. Nine (9% of
the 105 had been in SNC for 136-180 days since the inspection that identified the SNC, 62 (59%)
had been in SNC for more than 181 days and 34 (32%) had been in SNC less than 135 days.
o Of the 51 federal facility TSDF SNCs, 42 are subject to formal enforcement action.
o Inspections - Both EPA and States performed well on third quarter inspections targets: for land
disposal facilities 864 of 843 (103%); for TSDFs 1,374 against 1,141 (120%) and for federal, state
and local TSDFs 288 against 255 (113%). Of those generators generating over 1.000 kg of waste
and subject to land disposal restrictions, 2,966 have received a land ban inspection. Twelve high
priority violations were reported based on these inspections.
o Judicial and Administrative Enforcement Activity - The Regions and states issued 153 formal
enforcement orders/permits at environmentally significant facilities that require RCRA Facility
Investigations (RFI), against a target of 48. Overall, the Regions have issued 287 formal
administrative actions during the first three quarters, and there were nine EPA civil referrals.
EPA also referred 22 RCRA criminal cases to DOJ during the first three quarters. By the end of
the third quarter, the states had issued 753 formal administrative actions and had 13 TSDFs that
had a referral for filing of a judicial action.
-------
RCRA ENFORCEMENT
As of June 30, 1989
ON ADDRESSNQ TSDFs IN SNC
TSDF NSPECTIONS
BOY
1 2 3
QUARTERS
LEGEND
CD RET TO COMP (51)
EUD ON SCHEDULE (308)
ENFORCEMENT ACTION (291)
PENDNQ(23)
125
100
75
50
25
0
TARCET
ADMINISTRATIVE COMPLAINTS
1200
1000
800
600
400
200
0
R/E-1(b).2
1 2 3
QUARTERS
LEGEND
STATES
EPA
25
20
15
10
5
0
IV V VI VI VII IX X
REGIONS
EPA & STATES
CIVL REFERRALS
-------
UNDERGROUND STORAGE TANKS STATE PROGRAM APPROVAL
The Underground Storage Tanks (UST) State Program Approval tracks the status of states'
readiness for their own UST programs with respect to the federal regulations. The-UST Technical
Standards rule was published in September 1988, and the UST Financial Responsibility rule in
October J988. The rules became effective in December 1988 and January 1989, respectively.
o In third quarter, there were no states with authorized UST programs, and no states submitted
applications for program approval. To complete an application, a state must already have
legislative authority for corrective action and to enforce financial responsibility for spills. States
can have programs covering chemical or petroleum tanks or both.
o Through third quarter there were:
47 states with corrective action authority for petroleum tanks;
44 states with corrective action authority for chemical tanks;
39 states with financial responsibility authority for petroleum tanks; and
33 states with financial responsibility authority for chemical tanks.
State activity to establish UST authorities has been consistent to date.
IMPLEMENTATION OF FEDERAL UST PROGRAM
There were 34 states with formal agreements to implement the federal UST program during the
transition period. These states are in all Regions except V, VII, VIII. The transition period is the
time between the date when the federal UST regulations became effective and the date the state
UST program is approved. The transition period varies by state.
-------
CLEANUP OF LEAKING UNDERGROUND STORAGE TANKS (LUST}
o There were 48 states with LUST Trust Fund cooperative agreements, 123% of the third quarter
target of 39 states. These agreements include FY 1989 monies, and agreements are
renegotiated each year for all states. A LUST cooperative agreement provides the state with
funds to conduct cleanups in the absence of a responsible party (similar to Superfund).
o In the process of qualifying for LUST cooperative agreements, 50 states have authority for
corrective action, 50 states have authority for enforcement, and 46 states have authority for cost
recovery. The state must have the authority in place for the activity (e.g., enforcement) before
it can use LUST Trust funds for that activity.
o There were 1,878 LUST cleanups initialed in third quarter (13% of the 15,142 to date). Of
these,
1,823 (97%) were initiated with responsible party le.'id;
21 (1%) were initiated with stale lead with LUST Trust Fund monies; and
34 (2%) were initialed with state lead without LUST Trust Fund monies.
The number of cleanups initiated in third quarter is consistent with the average FY 1988 rate.
o There were 2,046 LUST cleanups brought under control (29% of 7,139 to date). Of these,
2,009 (98%) were by responsible party lead;
31 (1%) were by state lead with LUST Trust Fund monies; and
6 (<1%) were by state lead without LUST Trust Fund monies.
o LUST cleanups completed will be tracked in SPMS in FY 1990.
NATIONAL LUST CLEANUP ACTIVITY
16000
10000
0000
STATE LEAD WITHOUT
TRUST FUND MOY
STATE LEAD WTTH
TBUSTFUNDMQgY
RESP PARTY LEAD
NTtATED UTCER
-------
LUST CLEANUPS: STATES WITH
TRUST FUND COOPERATIVE AGREEMENTS
As Of June 30. 1989
FUST QUARTER
Jttli
I I I IV V VI VIVIIX X
SECOND QUARTER
1
I I INVVIVIVIIXX
THIRD QUARTER
TARGET
ACTUAL
(/>
50
40
H 30
fe 20
10
i
0
UST-2
I II III IV V VI VII VIII IX X
REGIONS
NATIONAL
. 1988
1
ll
r
19£
1
1
19
\
7
Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4
LUST TRUST FUND
AGREEMENTS ARE RENEGOTIATED
EACH YEAR FOR EVERY STATE.
-------
Office of Pesticides and
i
Toxic Substances
-------
OFFICE OF PESTICIDES .AND TOXIC SUBSTANCES
THIRD QUARTER HIGHLIGHTS
o OPTS continues to exceed their targets for Completion of Review of Pesticide Studies. Thus far
they have completed 645 reviews exceeding their fiscal year target of 590.
o Pesticide Registration Application backlog continues to decrease (from 3,966 to 3,454) at end of
third quarter.
o OPTS has issued 216 emergency exemptions this fiscal year, exceeding their third quarter target
of 200.
o OPTS indicates many tolerance petitions have not been addressed (93 petitions are currently
overdue) due to an issue which prevents any new tolerances for raw agricultural commodities to
be granted until we have received data sufficient to perform a reassessment of the tolerance.
OPTS is reviewing this issue.
o At the end of third quarter, the Regions have completed 212 ASHAA close-out site evaluations.
378 projects will need to be closed-out during fourth quarter in order for the Regions to meet
their end of year target.
-qq-
-------
ESTABLISHMENT AND IMPLEMENTATION OF
REGISTRATION STANDARDS
The stages and definition for the establishment and implementation of a registration standard were
revised this year. The three stages now are as follows:
Stage 1 - Establishment of a Standard.
Stage 2 - Issuance of the Second Round Review (previously called FRSTR).
Stage 3 - Generic Closure.
o Fourteen RSs are in Stage 1 against a target of eleven. All 14 RSs entered Stage 1 during first
quarter.
o Five RSs are in Stage 2 against a target of seven. Two RS entered Stage 2 during third
quarter.
o No RSs are in Stage 3 so far this year. Generic Closure will be addressed as a requirement of
FIFRA 88 Amendments, which is now an ongoing process (List A Pilot Inventory).
-------
ESTABLISHMENT AND IMPLEMENTATION OF REGISTRATION
STANDARDS - NUM3ER OF STANDARDS
As of June 30, 1989
LEGEND
23 TARGET
ACTUAL
STAGE 1 - ESTABLISH REGISTRATION STANDARD
STAGE 2 - COMPLETE SECOND ROUND REVIEWS
STAGE 3 » GENERIC CLOSURES COMPLETED
P-1
-------
PESTICIDES SPECIAL REVIEWS
o A "Special Review" is a review of pesticides whose data indicate a potential for unreasonable
adverse effects to public health or the environment.
OPTS has completed eight special reviews this year against a target of nine.
Three special reviews were completed during third quarter, against a target of three. (P-2)
REVIEW TYPE OF DECISION
Daminozide PD-2/3 (when risks and benefits have been analyzed,
feasible regulatory options identified and a decision is
proposed)
Bromoxynil Negotiated agreement between Company and EPA.
Daminozide Negotiated agreement between Company and EPA.
PESTICIDES REVIEW OF STUDIES COMPLETED
o A "Review of Study" is initiated by either a registration standard, a data call-in letter, or a
6(a)(2) adverse effects notification. It is considered complete when each study received has
been analyzed and a written review is prepared. (P-3)
OPTS has completed 645 reviews of studies during FY 1989, exceeding their third quarter
target of 440 and also exceeding fiscal year target of 590.
During the third quarter, 221 reviews were completed against a third quarter target of 140.
-------
PESTICIDE REVIEWS
As of June 30, 1989
PESTICIDE SPECIAL REVIEW DECISIONS
CUMULATIVE NUMBER COMPLETED
0 L
QUARTERS
700
LEGEND
>- TARGET
I-ACTUAL
PESTICIDE REVIEW OF STUDIES
CUMULATIVE NUK«ER COMPLETED
QUARTERS
P-2.3
-------
PESTICIDE "REGISTRATION APPLICATIONS
o OPTS has exceeded targets for three categories and missed the target for one category through
the end of second quarter.
New Uses - 44 final decisions have been made against a target of 45. Nineteen of these
were made during third quarter.
New Active Ingredients - Nine final decisions have been made against a target of seven.
One (Savey) was made during third quarter and one (N-ethyl Perfluorooctane) was
registered on March 23, 1989, (end of second quarter) but did not get reported in second
quarter.
Amended Registrations - 2,776 final decisions have been made against a target of 1,985.
870 were made during third quarter.
Old Chemicals - 1,360 final decisions have been made against a target of 1,035. 367 were
made during third quarter.
o The pesticide registration application backlog continues to decrease from 3,966 to 3,454 for most
categories. Decreases during third quarter were:
New Uses from 60 to 59
Amended Registrations from 2,505 to 2,124
Old Chemicals from 1,397 to 1,263
t
The only category increasing during third quarter was:
New Active Ingredients from 4 to 8
-------
PESTICIDE REGISTRATION APPLICATIONS
NUN/BER OF FINAL DECISIONS
(CUMULATIVE)
As of June 30, 1989.
3000
2500
2000
1500
1000 -
500
ACTIVE INGREDIENT NEW USES
LEGEND
TARGET
AMENDED
REGISTRATION
OLD
CHEMICALS
OVERDUE ACTIONS
5000
3750
2500
1250
89 1 2 3 4
QUARTERS
P-4
ACTUAL
-------
EMERGENCY EXEMPTIONS FOR PESTICIDES
An emergency exemption is granted by a Federal or state agency if EPA determines that emergency
conditions exk. (e.g., pest outbreak is identified and no effective pesticide is registered for a
particular use).
o This fiscal year 216 final decisions have been made against a target of 200. Of these, 185
exemptions were issued and 31 were denied. Twenty-two actions were overdue at the end of
third quarter.
o During third quarter, final decisions were made on 123 emergency exemption applications
against a target of 100. Of these, 101 exemptions were issued and 22 were denied.
PESTICIDE TOLERANCE PETITIONS
A tolerance petition decision applies to all requests for tolerance levels and exemptions from
requirement of a tolerance level for pesticide residues in or on raw agricultural commodities,
processed foods and minor uses.
o This fiscal year 44 final decisions have been made against a target of 55. 93 actions are
currently overdue, compared to 80 overdue at the end of second quarter. The increase is due
to an issue which prevents any new tolerances for raw agricultural commodities to be granted
until EPA has received data sufficient to perform a reassessment of the tolerance.
i
o Final decisions were made on 15 tolerance petitions meeting their third quarter target of 15.
-------
JOINT EPA/USDA REVIEW OF TRAINING PROGRAM FOR PRIVATE
APPLICATORS
The Regional Offices are to complete a joint EPA/USDA review of private applicatpr training
programs for each state according to established evaluation guidelines.
i
o Seven of the Regions had commitments through the first three quarters of this year, with five
regions having commitments in third quarter.
Region I met the third quarter target. Reviews were completed for Connecticut, Vermont
and Maine. Massachusetts' review is expected to be completed during fourth quarter.
Region II met its third quarter commitment by completing private applicator reviews for
New York, New Jersey, and Puerto Rico.
Region IV exceeded its third quarter commitment of two by completing reviews for
Kentucky, Tennessee, North Carolina and Mississippi. The latter two were completed aiiead
of the fourth quarter commitment.
Region VI had a third quarter commitment of two for Arkansas and Louisiana. Arkansas is
in the process of revising their program and Region VI delayed their review until FY 1990
when their new program is initiated. Louisiana's final report is not expected until fourth
quarter. The review for Texas, which was a fourth quarter commitment, was completed in
third quarter.
Region IX had a third quarter commitment of two. Nevada's review was completed.
Arizona's final report will not be completed until fourth quarter.
-------
TSCA NEW CHEMICAL REVIEWS
o Valid New Chemical Notices Received - 1,102 new chemical notices have been received this
year. This is approximately 39% of the 2800 new chemical notices anticipated this fiscal year.
The user fee rule and subsequent large number of notices received late during fourth quarter
FY 1988 (1,117 in fourth quarter and 3,039 for entire year) appear to be the cause for decrease
in submissions this year. OPTS expects the trend in increases for PMNs to resume next year.
Of the 1,102 received, 774 are PMNs including five biotechnology PMNs. 328 were valid
exemption notices (i.e., polymer exemptions, low volume exemptions, and test market
exemption applications).
During the third quarter, 445 valid new chemical notices were received. Of these, 264 were
premanufacture notices (PMNs). 181 were valid exemption notices (i.e., polymer
exemptions, low volume exemptions, and test market exemption applications).
o Control Actions - 114 control actions (action taken on new chemicals which pose a threat to
public health or the environment) have been taken this year. OPTS expects to take 140 actions
by the end of the year. 67 were PMNs which were withdrawn in face of regulatory action, 38
were PMNs with consent orders issued, two were biotechnology PMNs with consent orders
issued, and seven were exemptions which were withdrawn in the face of regulatory action.
During the third quarter, 38 control actions were taken on new chemicals. Of these, 19
were PMNs which were withdrawn in face of regulatory action, 16 were PMNs with consent
orders issued, two were biotechnology PMNs with consent orders issued, and one was an
exemption denied which was withdrawn in face of regulatory action.
o Notices of Commencement (NQQ - 874 NOCs have been received this year, including 300
during third quarter.
-------
ASHAA CLOSE-OUTS STATUS
o The Regional Offices are to conduct close-out site evaluation inspections of all outstanding
ASHAA awarded projects (i.e., all projects awarded ASHAA loan and grant money during
FY 86, 87 or 88) by confirming that abatement assistance was actually disbursed to designated
school projects and that abatement work was accomplished.
EOY CLOSE-OUTS
REGION TARGET COMPLETED
I 246 83
II 17 11
III 15 4
IV 42 24
V 128 30
VI 72 24
VII 18 18
VIII 8 0*
IX 26 3
X 18 15
TOTAL 590 212
o Forty-two close-outs were conducted during third quarter. Although the majority of close-outs
are expected to occur in fourth quarter (when schools are closed), 378 of the EOY targeted close-
outs (590) remain at end of third quarter.
Reporting error~In Quarter 1 OPTS/Region reported Region VIII had completed one close-out.
To date, Region VIII has not completed any close-outs.
-------
ASHAA CLOSE-OUTS
CUMULATIVE STATUS - THIRD QUARTER
As of June 30, 1989
LEGEND
ACTUAL
X TOTAL
ALL REGIONS
T-5
X/A TARGET (YEAR END)
-------
AHERA LOCAL EDUCATION AGENCIES (LEA) INSPECTION AND
EXCEPTION REPORTS
This measure identifies completed technical assistance efforts for LEAs with approved deadline
deferrals and includes those LEAs with unfunded priority ASHAA projects. Technical assistance
efforts include visits or contacts by Regional technical assistance staff (or AARPs) filing for a
deferral of the May 9, 1989 deadline to assist LEAs in complying with AHERA inspection
requirements.
o At the beginning of the fiscal year 16,728 LEAs with approved deadline deferrals and 217
ASHAA unfunded projects were identified as the universe.
At the end of third quarter, the Regions have completed inspections of 3,863 LEAs with
approved deadline deferrals and 195 ASHAA unfunded projects.
In addition, during third and fourth quarter, the Regions are to report on the exception reports
received. Exception reports identify the LEAs and the reason they were unable to complete an
inspection/management plan by the May 9, 1989, deadline.
o At the end of third quarter, three Regions report receiving 266 exception reports: Region III
(1), Region VII (67) and Region IX (198).
Reporting error--In Quarter 2 OPTS/Region II reported 19 ASHAA unfunded'projects with
completed inspections. This was a typographical error and ASHAA unfunded projects for
Region II should be 9. Total number of ASHAA unfunded projects (195) through third quarter
reflects correction.
-------
REVIEW AND AUDIT OF AHERA ACCREDITATION COURSES
The Regions are to report progress in reviewing and auditing AHERA accreditation courses for
inspector and management planner, contractor, worker, project designer, and refresher courses.
o Progress continues in reviewing and approving asbestos program courses designed to accredit
personnel under AHERA.
At the end of third quarter, approximately 806 courses had been reviewed and received
either contingent or full approval. Regions II, VI, VII, VIII, and X have conducted quality
assurance audits for most of the courses (e.g., contractor, worker and project designer).
-------
FIFRA COMPLIANCE MONITORING INSPECTIONS
AND COMPLIANCE LEVELS
(""NOTE: State data are lagged one quarter.)
o Through the second quarter of FY 1989, the states completed 9,738 FIFRA use and restricted use
pesticide dealer inspections, completing 158% of their state grant targets. Based on these
inspections, the states reported taking 3,395 enforcement actions through the second quarter,
representing a violation rate of 35% for "use" inspections.
o In the third quarter, Regions VII and VIII, with non-delegated programs, completed a total of 293
use and restricted use dealer inspections, achieving 140% of their targets.
ADDRESSING FIFRA SIGNIFICANT NONCOMPLIANCE
o By the end of the third quarter, the Regions had referred 64 significant use violations to the states
for investigation and enforcement action. Sixty-four cases had also been referred through the
third quarter of FY 1988.
o The Regions also identified 136 significant violator cases for EPA action through the third quarter.
FIFRA ENFORCEMENT ACTION
o The Regions issued a cumulative total of 227 administrative complaints through the third quarter,
compared to 212 a year ago. Three Federal FIFRA civil cases have been referred through the
third quarter. No FIFRA criminal cases have been referred during FY 1989.
-------
125
100
75
50
25
0
70
60
50
40
30
20
10
0
FIFRA COMPLIANCE AND ENFORCEMENT
As Of June 30, 1989
'USE' INSPECTION LEVELS
125+
TARGET
9.738 USE
INSPECTIONS
CONDUCTED
(35%)
(65%)
COMPLIANCE STATUS
IN IV V VI VI VII IX X
REGIONS
REFERRALS TO STATES
1
2 3
QUARTERS
P/E-1,3,4
(45) CD ADDRESSED WITHN TIMEFRAME
(17) KZJ PENDNQ WFTHN TMEFRAME
(2) Z2 ADDRESSED BEYOND TWEFRAME
(0) M NOT ADDRESSED BEYOND TMEFRAME
VIOLATION WITH ACTION TAKEN
NO ACTION WARRANTED OR
COMPUANCE DETERMINATION
PENDING.
EPA CASES AND REFERRALS FROM STATES
S
250
200
150
100
50
VIOLATION PENDNQ
DETECTED ENFORCEMQ
ACTION
(136) (40)
CASES CASES
ADDRESSED CLOSED
(96)
(35)
-------
TSCA INSPECTIONS AND COMPLIANCE LEVELS
o The Regions and Headquarters accomplished 94% of their third quarter target for TSCA
compliance inspections by conducting 2,318 inspections versus a target of 2,465. States with
inspection grants conducted 1.361 inspections, or 87% of the states' third quarter target. Of the
total 3.679 inspections completed, 1.329 (369c) were in compliance. 1,675 (46%) were pending a
compliance determination, and 675 (18%) were in violation.
o The number of initial EPA Regional and state grant inspections conducted for PCB disposal
facilities was 44, or 85% of the third quarter target. Initial inspections conducted for
broker/storage facilities total 172. or 96% of the third quarter target*.
RESPONSE TO TSCA SIGNIFICANT NONCOMPLIANCE
o At the beginning of year, the Regions had 452 open significant noncomplier cases on the fixed
base, and by the end of the third quarter 291 (64%) had been closed. A year ago, the BOY
inventory was 686 with 518 (76%) closed by the end of the third quarter. (There is no SPMS
target for the fixed base cases.)
o In the third quarter, the Regions identified 28 new significant violators based on Pre-FY 1989
inspections, bringing the cumulative total to 264. Sixty-seven cases were issued-within 180 days of
inspection. 112 beyond 180 days of inspection and 52 were closed. (There is no SPMS target for
issuing cases based on Pre-FY 1989 inspections.)
o In the third quarter, the Regions identified 76 new significant violators based on FY 1989
inspections, bringing the cumulative total to 158. Eighty-one cases were issued within 180 days of
inspection. 14 issued beyond 180 days of inspection and ten were closed. The Regions issued 85%
of the cases issued with 180 days of inspection. The SPMS target is 90% of the cases issued must
be issued within 180 days of inspection.
*Only initial inspections are targeted.
-------
TSCA COMPLIANCE AND ENFORCEMENT
As Of June 30, 1989
TSCA FEDERAL AND STATE NSPECTONS PCB INSPECTIONS
&$
oc
I
125
100
75
50
25
125
75
50
25
125+
TARGET
Bi EPA
77A STATE
HI IV V VI VI VI IX X HQ
SIGNFICANT VIOLATORS FIXED BASE
500
I I I IV V VI VI VI IX X
REGIONS
PCB DISPOSAL FACUTY
I I PCB BROKER/STORAGE FACLJTY
T/E-1.3.6
2 3
QUARTERS
(291) C=» PRE '89 CLOSED
(161) OPEN MORE THAN 6 MONTHS
(0) EZ) OPEN 6 MONTHS OR LESS
-------
TSCA ENFORCEMENT ACTIVITY
o By the end of the third quarter, the Regions issued 346 administrative complaints compared to
451 a year ago. During the first three quarters, the Regions referred three TSCA civil referrals.
One TSCA criminal case had been referred at the end of the third quarter.
RESPONSE TO TSCA SIGNIFICANT NONCOMPLIANCE
IN FEDERAL FACILITIES
i
o The Regions had a heginning-of-year inventory of eight TSCA federal facility SNC cases,
compared to six last year. At the end of the third quarter, six of these cases were closed.
Through the third quarter, the Regions identified a cumulative total of 15 new significant violators
based on FY 1989 inspections and 27 based on Pre-FY 1989 inspections.
-------
STATUS OF REMAINING OPTS MEASURES
Other OPTS measures with third quarter targets or reports and a status follows:
(T-3) Activities Related to Regulatory Investigations And Risk Management Actions. OPTS
reports three actions have been taken this year against a target of six. Two of these were
completed during third quarter: NFRM for SNUR Pentabromoethylbenzene (PEB) was
signed by the AA/OPTS on 4/20/89 (54 FR 18283) and section 9 referral to OSHA on
Paradichlorobenzene was signed by the AA/OPTS on 6/23/89.
(T-4) Public Access to Section 313 Toxic Release Inventory (TRI). OPTS reports continued
activity since TRI was made available in March. The most significant activities include:
Issuance of TRI National Report and National Library of Medicine (NLM) Database at a
Press Briefing in June.
(T-8) Title III Outreach and Technical Assistance Activities continue. The Regions' activities in
this area increased dramatically during third quarter. Effort in industry and public outreach
areas, e.g., workshops held, speaking engagements and State/local government meetings
doubled in some regions. In addition, public outreach contact activities, e.g., contacts with
public groups and news media increased during third quarter.
-------
8
7
6
5
4
3
2
1
0
REGULATORY INVESTIGATIONS AND RISK MANAGEMENT ACTIONS
(CUMULATIVE)
As Of June 30, 1989
.....-O
T-3
QUARTERS
LEGEND
G TARGET
ACTUAL
-------
Office of Enforcement and
Compliance Monitoring
-------
PROPOSED CONSENT DECREE REVIEW TIME
o OECM has reviewed and forwarded 91 consent decrees to DOJ through the third quarter.
o The average review time for their reviews has been 20 days, meeting the 35 day average target.
The review times ranged from one to 139 days.
CIVIL REFERRAL ACTIVITY
o Through the quarter, the Regions have referred 15 new civil cases to HQs and 168 direct
referrals to DOJ for a total of 183; this compares with 215 a year ago.
o There have been 37 new pre-referral negotiation cases opened so far this year.
o There have been eight consent decree enforcement cases initiated this year.
-------
FOLLOW-THROUGH ON ACTIVE CIVIL CASE DOCKET
o OECM reports that there were 775 active civil cases at the start of FY 1989 (i.e. cases referred
to DOJ before 10/1/88, but not concluded before 10/1/88). As of the end of the third quarter,
the 775 cases had the following status:
- 114 (15%) were pending at the DOJ.
43 (5%) were returned to the Region.
20 (2%) had been concluded before filing.
- 439 (57%) were filed in U.S. Court.
159 (21%) had been concluded after filing.
(188 (24%) of these cases have been ongoing for more than two years since being filed.)
o There have been 184 new civil cases referred to DOJ through the third quarter, compared to
228 a year ago. As of the close of the quarter:
- 132 (72%) were pending at the DOJ.
3 (2%) were returned to the Region.
2 (1%) had been concluded before filing.
- 34 (18%) had been filed in U.S. Court.
13 (7%) had been concluded after filing.
o Of the 959 civil cases active during FY 1989 (775 start plus 184 new), 194 have been closed
leaving 765 active cases at the end of the third quarter.
-------
FOLLOW-THROUGH ON ACTIVE CIVIL CASE DOCKET
As of June 30,1989
CIVL CASE DOCKET
600
600
400 -
200 -
150
100
50
CZ3
234
QUARTERS
LEGEND
CASES PENDNG AT DOJ
CASES RETURNED TO THE REGION
CASES CONCLUDED BEFORE FUNQ
CASES FLED N COURT
CASES CONCLUDED AFTER FLNQ
NEW FY 1989
REFERRALS TO DOJ
CASES:
V
184 REFERRALS (CUMULATIVE)
E/C-4,5
-------
CONSENT DECREE TRACKING
o At the end of the third quarter the Regions report that there are 564 active consent decrees
compared to 449 a year ago. (Note graph and current status are based on universe of 507
decrees since there were 57 Region V cases for which status was not provided.)
o Consent decree compliance for the quarter was 78%, an increase from 74 - 76% average over
the past two years.
Of the 114 consent decrees in violation:
59 (52%) had a contempt action, a decree modification referred, or a stipulated penalty
collected.
38 (33%) had formal enforcement action planned but not commenced.
17 (15%) had no formal enforcement action planned.
-------
120
100 -
80 -
CO
I
O 60
2 40 -
20 -
EPA CONSENT DECREE TRACKING
As Of June 30, 1989
VI VI Vffl IX
NATIONAL
uj 350
o
u. 300
°250
1234
QUARTERS
E/C-1
Y7A N COMPLIANCE WITH THE TERMS OF THE DECREE
R%3 M VIOLATION WITH FORMAL ENFORCEMENT ACTION NTTIATED
Bi N VIOLATION WITH FORMAL ENFORCEMENT ACTION PLANNED BUT UNCOMMENCED
I I N VIOLATION WITH NO FORMAL ENFORCEMENT ACTION PLANNED AT THIS TME
-------
CRIMINAL REFERRAL ACTIVITY
o There were 89 new criminal investigations opened through the third quarter of FY 1989
compared to 143 a year ago. Twenty-one investigations were closed prior to referral to the
Office of Criminal Enforcement. There were 172 open investigations at the end of the quarter.
o Year to date, the Regions have referred 47 new cases to HQs and 44 cases have been referred
from OECM to DOJ. A year ago the Regions referred 36 cases to HQs, and 33 cases were
referred from OECM to DOJ.
-------
FOLLOW-THROUGH ON ACTIVE CRIMINAL CASE DOCKET
o There were 97 active criminal cases pending as of 10/1/88, compared to 67 a year ago. As of
the close of the third quarter:
- 27 (28%) were under review by DOJ.
14 (14%) were under grand jury investigation.
- 23 (24%) had charges filed.
22 (23%) had been closed following prosecution.
11 (11%) had been closed without prosecution.
o There have been 44 new criminal cases referred to DOJ in FY 1989 compared to 33 at the end
of the third quarter a year ago. As of the close of the quarter:
25 (57%) were under review by DOJ.
12 (27%) were under grand jury investigation.
- 3 (7%) had charges filed.
1 (2%) had been closed following prosecution.
3 (7%) had been closed without prosecution.
o The total number of active cases was 104 compared to 89 last year.
-------
FOLLOW-THROUGH ON ACTIVE CRIMINAL CASE DOCKET
As of June 30, 1989
CRIMINAL REFERRALS PENDING
CO
o
o-
100
75
50
25
2 3
QUARTERS
STATUS OF NEW
FY 1989 REFERRALS
45
40
35
30
25
20
15
10
5
0
1
234
QUARTERS
CUMULATIVE # OF NEW REFERRALS - 44
E/C-7.8
LEGEND
TO DOJ BY OECM
UNDER REVEW AT DOJ
UNDER GRAND JURY INVESTIGATION
WITH CHARGES FLED
CLOSED FOLLOWING PROSECUTION
CLOSED BY DOJ WITHOUT PROSECUTION
-------
Number of New Criminal Referrals to EPA-OCEC
(cumulative through third quarter FY89)
Region I
Region II
Region III
Region IV
Region V
Region VI
Region VII
Region VIII
Region IX
Region X
NEIC
Total
RCRA
0
1
1
6
4
2
2
0
1
3
2
22
CLEAN
AIR
0
3
1
1
0
0
0
0
0
1
0
6
CLEAN
WATER
5
1
2
0
1
2
2
0
3
2
0
18
FIFRA
0
0
0
0
0
0
0
0
0
0
0
0
TSCA
0
0
0
0
0
0
0
1
0
0
0
1
CERCLA
0
0
0
0
0
0
0
0
0 '
0
0
0
Total
5
5
4
7
5
4
4
1
4
6
2
47
-------
Office of Administration and
Resources Management
-------
PERSONNEL SERVICES
o OARM processed a total of 1,659 personnel actions during third quarter. Of these, 1,622 were
processed on time.
Internal Actions
299 of 307 were processed on time. OARM reports that of the eight not processed within
the standard, six delays were attributed to OARM, and two to OPM.
External Recruitment Actions
291 of 300 were processed within the standard. OARM was responsible for the nine delays.
Non-competitive Actions
358 of 368 were processed on time. The ten delays were attributed to OARM.
Administrative Actions
674 of 684 were processed on time.
Awards
OARM continues to process all award actions on time. 83 actions were processed during
third quarter.
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GRANTS SERVICE ACTIONS
o 566 grant service actions were processed or awarded during the third quarter. Of these, 522
were processed on time.
Grants and Cooperative Agreements
310 of 352 were processed on time. Delays in processing all Grants and Cooperative
Agreements on time during third quarter is due to rotational assignments within the Grants
Operation's Branch of two grant specialists.
Interagency Agreements
All interagency agreements (179) were processed on time.
Determinations for Requests for Deviation from Regulatory Requirements
9 of 11 were processed on time. OARM reports there is presently a backlog of 30
deviation determinations from previous quarters, and they have developed a management
plan which should reduce the backlog.
Determination if Snsp^nsion/Debarment Cases
All suspension/dt bainieiit cases (24) were processed on time.
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PROCUREMENT SERVICE STANDARDS
o Major Negotiated Procurements
During the third quarter OARM awarded 63 new competitive, new sole source, and new
advertised contracts. Forty-four of these were awarded within the standard or negotiated
schedule.
New Competitive Contracts
30 of 40 were awarded on schedule.
New Sole Source Contracts
6 of 12 were awarded on schedule.
New Advertised Contracts
8 of the 11 new advertised contracts were awarded on schedule.
o Purchase Orders
3,186 of 3,985 competitive and sole source purchase orders were issued on schedule during
the third quarter.
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HEADQUARTERS RESOURCE UTILIZATION
s
o In the third quarter S&E workyear usage was below target (at 73.1%) while Superfund usage
was above target (76.1%).
o Dollar utilization for Headquarters through the end of the third quarter (75% of the year) are:
S&E dollar utilization ($495.1) is above its target ($456.7).
Superfund usage was $382.9, below the target of $430.3.
- AC&C dollar utilization was $282.2, below the target of 344.4.
R&D dollar expenditures were $160.2 compared to the target of $179.8.
B&F dollar usage was the lowest ($6.4) compared to a target of $16.5.
LUST dollar expenditure was $3.8, below the target of $5.6.
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HEADQUARTERS RESOURCE UTILIZATION
(THIRD QUARTER = 75% OF YEAR)
76.1%
75%
73.1%
$495.1
($ IN MILLIONS)
$456.7
S&E SF
FTEUSE
NOTE: Due to errors In the IFMS database associated with site-specific travel.
travel utilization figures are not available for this chart.
OP PLAN
ACTUALS
S&E SF AC&C R&D B&F LUST
DOLLAR UTILIZATION
AS COMPARED TO
QUARTERLY PLANS
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REGIONAL RESOURCE UTILIZATION
o In the third quarter (75% of the year), S&E workyear usage was 72.9% and Superfund usage
was 72.5%.
o Dollar utilization for the Regions for the year are within targeted levels.
- S&E dollar utilization ($183.6) is within its target ($188.8).
Superfund usage was $499.6, below the target of $825.0.
- AC&C dollar utilization was $295.3, below the target of $345.3.
LUST dollar expenditure was $31.5, below the target of $44.9.
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REGIONS RESOURCE UTILIZATION
(THIRD QUARTER = 75% OF YEAR)
75%
72.9%
72,5%
S&E SF
FTEUSE
$825.0
($ IN MILLIONS)
OP PLAN
ACTUALS
S&E SF AC&C R&D B&F LUST
NOTE: Due to ecrors in the IPMS database associated with site-specific travel.
travel utilization figures are not available tor this chart.
DOLLAR UTILIZATION
AS COMPARED TO
QUARTERLY PLANS
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Office of Policy,
Planning, and Evaluation
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RED BORDER REVIEW
o OPPE is completing Red Border in a timely fashion. In third quarter, 33 documents were
reviewed within the 4-week deadline.
»
32 of these were reviewed within the three-week review period;
1 was not completed within the four week review period.
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Office of External Affairs
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VIOLATION RATES
(NOTE: Data are lagged one quarter)
o In the second quarter of FT 1989, 332 inspections of federal facilities were conducted. Violations
were found in 70 (21%) of the inspections. The first quarter rate for violations was 24%.
For the Air media, three violations were detected in 111 inspections for a 3% rate.
For NPDES, nine violations were detected in 77 inspections for a 12% rate.
For RCRA, 50 violations were detected in 102 inspections for a 49% rate.
For TSCA, 10 violations were detected in 23 inspections for a 43% rate.
For SDWA, one violation was detected in 11 inspections for a 9% rate.
For Multi-Media, no violations were detected in eight inspections.
o In the second quarter, 46 enforcement actions were taken against previous violations.
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FEDERAL FACILITIES VIOLATION RATE
BASED ON INSPECTIONS
As of March 31, 1989
AH NPDES DW RCRA TSCA MULT1 OVERALL
111 77 11 102 23 8 332
NUMBER OF INSPECTIONS
% NOT N VIOLATION
% N VIOLATION
OEA-1/4E
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RESPONSE TO SIGNIFICANT FEDERAL FACILITY
NONCOMPLIANCE
o OAR identified 11 federal facilities at the beginning of the year (BOY) as significant violators,
and four have been addressed through the third quarter.
o OW identified nine federal facilities on the exceptions list that were carried over from the
previous quarter. None were returned to compliance and two had an enforcement action
initiated. The remaining seven, plus five new significant violators on the exceptions report,
constitute the pending balance of 12 facilities.
o OPTS identified eight federal facilities in SNC at the BOY. Through the third quarter, six cases
were closed. The remaining two were opened more than six months.
o OSWER compliance snapshot in the third quarter shows 51 federally owned or operated TSDFs
in SNC. Of these facilities, 42 have one or more formal enforcement actions.
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12
10
8
6
4
2
0
10
8
6
4
2
0
RESPONSE TO SIGNIFICANT FEDERAL FACILITY NONCOMPLIANCE
As Of June 30, 1989
AIR RXED BASE WATER EXCEPTIONS REPORT
16
BOY
1 2 3
O ADDRESSED
PENDING
TSCA RXED BASE
OEA-SNC1
SNC 1 2 3
EZ) OPEN 6 MONTHS OR LESS
S3 OPEN MORE THAN 6 MONTHS
PRE '89 CLOSED
12
8
60
50
40
30
20
10
0
SNC ENFORMCENENT RETURNED TO PENDNQ
ACTION CCmiANCE
I I SNC 2 CONSECUTIVE QUARTERS
SNC FOR MORE THAN 2 QUARTERS
RCRA COMPLIANCE SNAPSHOT
SNC/ADDRESSED/END OF QUARTER
SNCAJNADDRESSED/END OF QUARTER
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Office of General Counsel
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RED BORDER REVIEW DEADLINES
i
o OGC received 97 Red Border documents for review through the third quarter of
FY 1989. Thirty-one documents were received for review during the quarter.
o The cumulative total of completed reviews for the quarter was 31 (100%). At the close of the
quarter:
27 (87%) reviews were completed within three weeks, compared to a target of 80%.
4 (13%) reviews were completed within four weeks, compared to a target of 100%.
STATE DELEGATION AGREEMENT REVIEW DEADLINE
o OGC received four applications for review through the third quarter, and two applications for
review during the quarter. OGC concurred within the 15-day target.
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OGC CUMULATIVE REVIEW OF RED BORDER PACKAGES
As of June 30, 1989
~-"_"
cc
&
25
20
15
10
G/C-2
OAR
OARM OSWER OPTS
PROGRAMS
LEGEND
COMPLETED WITHIN 3 WEEKS
OW
COMPLETED WITHIN 4 WEEKS
INCOMPLETE AFTER 4 WEEKS
CO
30
20
10
&
100
! 80
»
I
ft
! 60
40
20
THIRD QUARTER
SUMMARY
PROGRAM SUMMARY
1 2 3
QUARTERS
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