United States Office of Solid Waste and EPA/68-01-7259
Environmental Protection Emergency Response March 1990
Agency Washington, DC 20460
Office of Solid Waste and
Emergency Response:
Annual Report, Fiscal Year 1989
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Annual Report for
Fiscal Year 1989
Office of Solid Waste and Emergency Response
U.S. Environmental Protection Agency
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FOREWORD
I am pleased to provide a summary of the many accomplishments of the Office of
Solid Waste and Emergency Response of the U.S. Environmental Protection Agency for
Fiscal Year 1989. Across the board, 1989 was a year of significant strengthening in
overall program management. For example, OSWER put in place a national, integrated
matrix for establishing program priorities and developed a national system for setting
priorities for site cleanup based explicitly on health and environmental risk. Building on
a solid record of achievement in 1988, OSWER made impressive gains over the past year
in both the Superfund and RCRA programs.
FY 1989 is also noted for the completion of the 90-day Superfund Management
Review. With the bulk of the study's fifty recommendations assigned to OSWER and our
Regional counterparts, implementation of the ensuing tasks began immediately over and
above an already abundant workload.
EPA Headquarters and Regional staff, as well as our State partners, are commended
for their efforts and dedication to the Solid and Hazardous Waste Management programs.
While the workload in front of us will certainly be challenging, we have in place a solid
infrastructure to build upon.
The following pages are not an exhaustive review of the past year; however, they do
provide a good summary of some of the more significant accomplishments for FY 1989.
ministrator
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TABLE OF CONTENTS
Page
FOREWORD ." i
SIGNIFICANT ACCOMPLISHMENTS v
CHAPTER 1 SUPERFUND PROGRAM 1
RESPONSE ACTIVITIES 1
Overview of Response Actions 1
Response Accomplishments 2
ENFORCEMENT ACTIVITIES 7
Overview of Enforcement Activities 8
Enforcement Accomplishments 8
SUPERFUND MANAGEMENT INfTIATlVES 12
90-Day Study 12
Strategic Planning Initiative 13
Worst-Sites-First Strategy 13
Environmental Indicators 14
REGULATIONS, GUIDANCE, AND OTHER ACnvmES 15
National Contingency Plan 15
Hazard Ranking System 16
Reportage Quantity Adjustments for Hazardous Substances 16
Extremely Hazardous Substances Designation and
Reportable Quantity Adjustments 16
ROD Guidance 17
Removal Program Guidance 17
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TABLE OF CONTENTS
Page
Enforcement Guidance 18
Technical Assistance Grants 18
Superfund Innovative Technology Evaluation Program 20
CHAPTER 2 RESOURCE CONSERVATION AND RECOVERY ACT 21
SUBTITLE C HAZARDOUS WASTE PROGRAM 21
Permitting 21
Corrective Action 23
Compliance Monitoring and Enforcement 23
Data Management 24
SOLID WASTE MANAGEMENT INITIATIVES 25
MEDICAL WASTES 25
LARGE VOLUME WASTES 26
CHAPTER 3 FEDERAL FACILITIES 27
CHAPTER 4 CHEMICAL EMERGENCY PREPAREDNESS AND PREVENTION
PROGRAM 29
BUILDING REGIONAL AND STATE EMERGENCY PREPAREDNESS
CAPABILITY 29
PREVENTION PROGRAM ACTIVITIES 31
ENFORCEMENT ACTIVITIES 31
INTERNATIONAL ASSISTANCE AND LIAISON ACTIVITIES 32
REGULATORY ACTIVITIES 33
OUTREACH ACTIVITIES 33
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TABLE OF CONTENTS
Page
CHAPTER 5 UNDERGROUND STORAGE TANKS 34
Franchising 35
Continuous Improvement 35
REGULATORY ACTIVITIES 35
Technical Standards 35
State Program Approval Standards 35
Financial Responsibility Standards 36
Financial Assurance for Municipalities 36
Report to Congress on Exempt Tanks , 36
IMPLEMENTATION ACTIVITIES 37
Building State and Local Programs 37
LUST Trust Fund Activities 39
Outreach Activities , . . 40
Measuring OUST's Progress 41
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- V -
;1GMIFICANT ACCOMPLISHMENTS
THE 90-DAY STUDY ARTICULATED A NEW STRATEGY FOR SUPERFUND
During FY 1989, EPA issued A Management Review of the Superfund Program, generally
referred to as the 90-Day Study, which lays out a strategy for implementing the Superfund
program and procedures for improving program performance. Key components of the strategy
are listed below:
Integrate Superfund priorities to achieve a "one Superfund Program" approach that
emphasizes enforcement first but that also enables the Agency to initiate clean-
up actions to induce PRPs to undertake more cleanups;
Use permanent remedies where possible and aggressively seek innovative
treatment technologies that reduce the toxicity, mobility, or volume of wastes at
Superfund sites;
Accelerate response activities by developing prototypes for operable units to narrow
the range of remedial alternatives more quickly; and
Promote greater community participation by broadening public outreach programs
and allowing the public to be more involved in remedy selection.
Key Superfund managers and staff in EPA Headquarters and the Regional Offices have
developed a comprehensive implementation plan to move forward with the recommendations
made in the 90-Day Study. EPA expects to complete 90 percent of the tasks outlined in the
implementation plan during FY 1990.
ACHIEVEMENT OF SARA GOALS
The Superfund program met the SARA goal of starting RI/FSs at 275 new sites by
October 1989 three months ahead of schedule. By the end of the fiscal year, the program had
initiated over 358 RI/FSs since the enactment of SARA in 1986. The SARA goal of completing
preliminary assessments on all sites in CERCLIS prior to passage of SARA was also met by
January 1988. In addition, the program was on track to meet the SARA requirement to start
remedial action (RA) at 175 new sites and actually surpassed the goal with 178 RA starts by
mid-October. By the end of the year, there was a backlog of projects waiting to enter the
remedial construction phase. As a result, the Agency for the first time has had to prioritize
construction projects for the funding available.
VALUE OF SUPERFUND SETTLEMENTS EXCEEDED $1 BILLION
FY 1989 was a most successful year for Superfund enforcement. The total estimated
dollar value of all settlements in FY 1989 exceeded $1 billion. The total number of settlements
reached was 218, covering removals, RI/FS, remedial design, and remedial actions. Superfund
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enforcement numbers reflect increased PRP participation through the use of de minimis and
mixed funding settlements as well as conventional settlements. Consequently, the Agency is
on target with the President's goal for responsible parties to undertake remedial projects at 50
percent of the sites by September 1990.
IMPLEMENTATION OF THE ENVIRONMENTAL PRIORITIES INITIATIVE
The RCRA program put the Environmental Priorities Initiative (EPI) into practice in
FY 1989. Under the EPI, over 550 high priority RCRA facilities received CERCLA preliminary
assessments (PAs) during FY 1989. This number is expected to increase in FY 1990.
CONTINUED FOCUS ON SOLID WASTE MANAGEMENT
OSW made substantial progress in implementing its Agenda for Action for solid waste
management. EPA has entered into a partnership with the States to promote integrated waste
management planning at the State and local levels and to disseminate technical and
educational materials to encourage recycling and improved waste management practices.
NEW EMPHASIS PLACED ON MEDICAL WASTE
OSW and OWPE began implementing the new Medical Waste Tracking Act (MWTA),
Subpart J of RCRA, which was enacted on November 1, 1988. OSW promulgated an interim
final rule on March 24, 1989 and prepared several booklets to explain the MWTA and educate
the public that medical waste washups are attributable to individual actions as well as to large
organizations, such as hospitals. OWPE developed an enforcement strategy and an inspector
training program.
SIGNIFICANT FEDERAL FACILITIES ACCOMPLISHMENTS
The Federal Facilities Hazardous Waste Compliance Office (FFHWCO) worked with the
EPA Regional Offices to complete 28 lAGs covering 35 sites in FY 1989. Ten other Federal
facility cleanup and/or compliance agreements were also completed in FY 1989. Several of the
agreements were landmarks for the Agency and contributed significantly to the formulation of
Agency policy issues such as State and Federal roles at Federal facilities, the applicability and
integration of RCRA and CERCLA authorities at these facilities, and the development of
workable enforcement strategies. Two of the most notable agreements included those for the
Letterkenny Army Depot in Pennsylvania and the Hanford facility in Washington.
CHEMICAL EMERGENCY PREPAREDNESS AND PREVENTION PROGRAM
The CEPP prevention program initiated the Chemical Safety Audit Program, which is
designed to make facilities aware of the need for improved chemical safety practices. The
program offered three training courses for Regional and State personnel on how to conduct
chemical safety audits.
The CEPP program continued to build Regional, State and local emergency
preparedness capability by assisting States and localities to plan for and respond to chemical
emergencies. The program provided assistance in the form of guidance, training, and technical
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assistance to the 56 State emergency response commissions (SERCs) and over 3,800 local
emergency planning committees (LEPCs) in FY 1989.
In the International arena, the CEPP Office has been working with the Organization for
Economic Cooperation and Development (OECD) in developing programs to define long-term
policies for chemical accident prevention and emergency response, with an emphasis on
international exchange of information on measures designed to improve industrial safety
practices and emergency plans throughout the world. The office has also been working with
the United Nations Environment Programme (UNEP) in its effort to implement Awareness and
Preparedness for Emergencies at the Local Level (APELL), which is a program designed to
improve awareness of hazardous installations and prepare emergency response plans in
developing countries.
CONTINUED PROGRESS IN IMPLEMENTING AN EFFECTIVE UNDERGROUND STORAGE
TANK PROGRAM
The UST program completed putting its national regulatory framework in place in
FY 1989. OUST supported publication of the final rules with major outreach campaigns to
explain the program requirements in simple language. For example, it distributed over 200,000
copies of a booklet entitled "Musts for USTs" when the final technical standards rule was
published; 200,000 copies of the booklet "Dollars and Sense" were distributed to explain the
financial responsibility requirements; and OUST prepared a State Program Approval Handbook
to assist State officials to develop State UST programs in accordance with the State Program
Approval rule.
By the end of FY 1989, The Regions had negotiated LUST Trust Fund cooperative
agreements with 54 out of 56 States and Territories. During the fiscal year, the Regions
awarded approximately $52.5 million from the LUST trust fund. To date, States have begun
more than 220 corrective actions using trust fund monies. Over 16,000 cleanups have been
initiated by responsible parties, and nearly 5,700 have been completed.
OUST undertook a number of innovative approaches to support Regional and State
implementation activities in FY 1989. For example, it conducted pilot projects to assist several
States and counties in establishing "expedited" enforcement programs, designed a major
outreach campaign to promote compliance with the leak detection requirements, served as a
clearinghouse for transferring technologies and ideas developed by other organizations,
developed a health and safety training program for UST inspectors broadcast via satellite, and
funded several State projects through its Targeted Improvement Projects (TIPs). FY 1989 TIPs
included supporting Connecticut in analyzing its UST workload and projecting future resource
needs; assisting New Jersey to develop and implement its UST permitting system; and
providing an UST inspector training course for fire marshals and building inspectors in Alaska.
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CHAPTER 1
RESPONSE ACTIVITIES
During FY 1989, the Superfund program made substantial progress in expanding the
amount of clean-up activity underway. More sites entered and progressed through the
incremental stages of the Superfund "pipeline" than in any previous fiscal year. In July, three
months ahead of schedule, EPA met the Superfund Amendments and Reauthorization Act of
1986 (SARA) deadline to start remedial investigations/feasibility studies (RI/FSs) at 275 new
sites. Additionally, at the close of the fiscal year, the Agency was on schedule to meet the
SARA requirement to start remedial action (RA) at 175 new sites and actually surpassed the
goal with 178 RA starts by mid-October. By year end, there was, in fact, a backlog of projects
waiting to enter the remedial construction phase. As a result, the Agency for the first time has
had to prioritize construction projects for the funding available.
The Superfund program also made substantial progress during the fiscal year in terms
of regulatory and guidance efforts. In FY 1989, EPA issued proposed revisions to the National
Oil and Hazardous Substances Contingency Plan (NCP) and the Hazard Ranking System
(HRS), the core regulatory documents of the Superfund program. As a result, the Agency was
then able to issue the supporting guidance materials necessary to round out the
implementation framework for the program. The Agency is in the process of issuing final
guidance pending the final promulgation of these rules.
Also during FY 1989, EPA Administrator William Reilly issued the report promised at his
confirmation hearing, A Management Review of the Superfund Program. This report (generally
referred to as the 90-Day Study), is intended to provide realistic strategic direction for the
Superfund program. As the year drew to a close, the Agency issued a comprehensive plan
to implement the recommendations of the 90-Day Study. The Agency also pursued other
management initiatives to improve the effectiveness and efficiency of the program and worked
toward a greater Regional role in implementing the program's management systems.
The program is now poised, as funding permits, to increase the rate of program clean-
up activity and demonstrate significant progress in addressing the problem of uncontrolled
hazardous waste sites.
Overview of Response Actions
Under the authority of the Superfund program, two types of response activity may be
taken - removal and remedial actions. Removal actions are short-term actions taken to
address acute or imminent dangers from the release, or threat of release, of hazardous
substances, pollutants, or contaminants into the environment. Remedial actions are longer-
term measures taken alone or in addition to removal actions, to prevent, minimize, or remediate
the release of hazardous substances, pollutants, or contaminants. These response actions are
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carried out as ©ithtr Fund-lead or enforcement-lead activities, depending upon the availability
of responsible parties and other considerations.17
Once a site is recorded in the Comprehensive Environmental Response, Compensation,
and Liability Act (CERCLA) information system (CERCLIS), it goes through "pre-remedial" steps
that determine if the likelihood of a risk to human health or the environment exists. As the first
phase of pre-remedial activity, EPA conducts a preliminary assessment (PA) of existing site
information. The PA provides a site profile used to determine whether the site requires a site
inspection (SI), which includes site sampling. Following the SI, a site is scored using the MRS.
If the MRS score the site receives is above 28.50, the site moves to the National Priorities List
(NPL) listing stage and into the remedial "pipeline."
Sites listed on the NPL are candidates for remedial actions. Remedial actions require
extensive study to select the most effective remedial alternative, and may cost millions of
dollars to implement. Remedial actions consist of several steps. After a site is listed on the
NPL, a remedial investigation/feasibility study (RI/FS) is conducted on the site. Alternative
approaches for long-term site remediation are developed and evaluated, and a recommended
approach is identified. A Record of Decision (ROD) is signed, and the site then passes to the
remedial design (RD) stage. Once the RD is completed, the remedial action (RA) begins at the
site. Upon completion of the RA, but before the site is deleted from the NPL, EPA monitors
the site to ensure that the clean-up standards remain in effect.
The Agency will generally determine at the PA phase whether a removal action should
be performed, however, the Agency may also conduct a removal action on a site at any stage
in the remedial pipeline. Further, removal actions are not limited to sites listed on the NPL;
they may be taken at sites that are not listed on the NPL, as well. SARA Section 104(e)
imposes limits of one year and $2 million upon removal actions, although exemptions may be
granted in some cases. Removals may be undertaken to temporarily stabilize or clean up an
incident or site until longer-term response actions can be implemented. In some cases, no
further response action is necessary. Removal actions are an integral part of the Superfund
clean-up program.
In the past, th© success of the Superfund program has generally been determined by the
number of sites that have been deleted from the NPL However, given the complexity and
resulting long-term nature of the problems at most NPL sites, it takes many years before a site
can be deleted from the NPL. Therefore, the success of the Superfund program is better
measured by th© rate at which sites pass through the incremental stages in the Superfund
remedial pipeline.
Response Accomplishments
Pre-Remediai Actions. Overall, Supertund's pre-rernedia! program substantially increased
its productivity in FY 1989. A total of 2,755 PAs were conducted in FY 1989. There are now
29,714 sites listed in CERCLIS that have completed PAs. Exhibit 1 illustrates the cumulative
^ For purposes of this Report, enforcement-lead activities are those carried out by potentially
responsible parties (PRPs). All federally-financed Superfund activities are referred to as 'Fund-lead.'
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Exhibit 1
Percent of CERCLIS' Sites With Preliminary
Assessments Completed Through FY '89
(Cumulative)
Total CERCLIS - 31.904 (estimate)
Remaining
2,190(7%)
FY'89
2.755(9%)
inventory of potential Superfund Sites
SOURCE: Superfund Progress Report
percentage of PAs completed through FY 1989. The FY 1989 S! target of 1,250 was exceeded
by 39 percent for a total of 1,732 completions. Approximately 34 percent or 10,863 of the
sites entered in CERCLIS through FY 1989 now have completed Sis. Exhibit 2 compares the
numbar of Sis conducted in FY 1989 with tha number completed in previous years.
An additional 64 sites were proposed for listing on the NPL during FY 1989, and 109
were promulgated, bringing the total number of sites on the NPL to 1,226.
Remedial Actions. As described earlier, selection of a long-term remedy for a Superfund
site is a multi-step process involving many factors. Remedial alternatives are developed by
carefully examining site conditions and screening all potentially applicable technologies and
process options (including innovative technologies) on the basis of effectiveness,
implementability, and cost. Technologies and process options are screened out using site
characterization data from the Rl. The Rl and FS often are conducted concurrently.
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Exhibit 2
Number of SSte investigations Completed
12000
11000
9000
8000
7000
5000
4000
3000
2000
1000
10,8©3
FY'89
(1.781)
FY '81 - FY
(9,102)
SOURCE: Superfund Progress Report
The following SARA-mandated schedule governs RI/FSs at facilities placed on the NPL
prior to October 1986:
« RI/FSs must be commenced for at least 275 sites by October 1989; or
RI/FSs must be commenced for at least 450 sites by October 1990 and for an
additional 200 sites by October 1991 for a total of 650 sites by October 1991.
By year-end FY 1989, EPA had commenced 358 RI/FSs since SARA and exceeded the
SARA prescribed goal of initiating RI/FSs at 275 sites by October 1989. Exhibit 3 illustrates
the RI/FS accomplishments in FY 1989. These included 114 "first start" RI/FSs and 43
subsequent RI/FSs. A national goal of completing most RI/FSs within 18 months continues
to be a high priority.
Each remtdial alternative is evaluated with respect to nine criteria developed by EPA to
address the statutory requirements of CERCLA Section 121. The criteria include: (1) overall
protection of human health and the environment; (2) compliance with applicable or relevant and
appropriate requirements; (3) long-term effectiveness and permanence; (4) reduction of toxicity,
mobility, or volume through treatment; (5) short-term effectiveness; (6) implementability; (7) cost;
(8) State acceptance; and (9) community acceptance.
Based on the results of th© evaluation, the Regional Administrator or Assistant
Administrator, in consultation with appropriate State personnel, selects the remedy for the site.
EPA's proposed plan for remediating the contamination is then announced to the affected
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community at a public meeting. After the public has had a chance to comment on the plan,
a ROD is prepared. The ROD formalizes the selection of a remedy from the alternatives
analyzed in the FS. The ROD also describes the ways in which the selected remedy satisfies
the statutory requirements of CERCLA Section 121. As shown in Exhibit 3, a total of 140 RODs
(100 initial RODs and 40 subsequent RODs) were signed in FY 1989.
The types of remedies selected in FY 1989 are summarized in Exhibit 4, which illustrates
the types of treatment technologies selected and the number of RODs that required pump and
treat or other non-source control remediation techniques. Many RODs required a combination
of remediation techniques.
SARA Section 116(e) required EPA to start remedial actions at 175 NPL sites by October
1989 and to initiate such activities at an additional 200 sites within the following two years.
By year end, the program had initiated a total of 182 remedial actions (178 of these were "first
starts," which count against the goal of 175). Exhibit 3 shows that 108 RA starts were achieved
in 1989. In addition, 157 remedial designs were initiated during FY 1989. NPL deletions were
accomplished at 10 sites in FY 1989 (see Exhibit 3).
Removal Actions. Since the inception of the Superfund program, the removal program
has been highly successful. As Exhibit 3 illustrates, 322 removal actions were initiated in
FY 1989. About 236 actions were completed using CERCLA funds or enforcement authorities.
Exhibit 3
Major Superfund Program Accomplishments
700
630
560
490
420
360
280
21C
140
70
654
293
92
43 ?!
256
184
10&
10
45
55665J
tamovate
ra/ra
First SUrta
SutNMM*
^/FS«
ROOt
HD State RA State*
Wortc
and NPL Dtldtam
RD antf RA Starts include both first and subsequent starts.
(NOTE: Only first starts' count towards statutory goal of 175 by October 1989.)
SOURCE: Superfund Progress Report
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Exhibft4
FY 1989 ROD Technology Summary
As of January 18, 1990^
Total Number of
Occurrences
Source Control Remediation^
Treatment Technology 90
Incineration/Thermal Destruction17 30
Solidification/Stabilization 17
Vacuum/Vapor Extraction 14
Volatilization/Soil Aeration 6
Soil Washing/Flushing 6
Biodegradation/Land Application 9
Solvent Extraction 6
Other Treatment Technologies 2
Containment Only 26
Onsite 20
Offsite 6
Other Source Control Remedies 5
Temporary Storage 1
Non-Source Control Remediation
Technology Selections^
Pump and Treatment 58
Alternate Water Supply 8
Other 2
Leachate Treatment 3
I/ Numbers represent 133 signed RODs out of a total of 140 RODs signed during FY 1989.
£/ More than one remedy may be associated with a site.
3/ Incineration includes an amended ROD which replaces Outboard Marine, IL 5/15/84
ROD.
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Exhibit 5 shows that over 1,900 removal actions have been initiated since the enactment of
CERCLA Fiscal year 1989 accomplishments contributed to the program's good record.
Removal actions are characterized according to the urgency of the response required.
Incidents or sites requiring immediate attention are considered emergencies. Those that require
attention within six months are time-critical, and those that can be postponed for more than
six months are non-time-critical. Classic emergencies, such as fires and explosions, and time-
critical situations that cannot be addressed by other authorities are the removal program's
highest priorities. Approximately one-third of the removal actions carried out each year are
classic emergencies. Of the remaining removals, time-critical removals comprise the vast
majority.
ExhibKS
Number of Removal Actions Initiated*
2000
1800
1600
1400
1200
1000
800
600
400
200
0
* Includes PRP
-
1
1.926
f/////////
w&
::: . ::: ':::::::::.:
I
Y
Fvae
(322)
FYBI-FYBS
(1.604)
and fund-lead removals at both NPL and
non-NPL sites
ENFORCEMENT ACTIVITIES
The Superfund program consists of integrated enforcement and fund-financed activities to achieve
clean-up at hazardous waste sites. The enforcement program is responsible for identifying potentially
responsible parties (PRPs) that may be liable for response actions and attempting to negotiate
agreements with the PRPs to perform studies or response actions. If negotiations are successful, the
enforcement program is then responsible for entering into settlements with the PRPs, If negotiations
are unsuccessful, the enforcement program has lead responsibility for any follow up action, such as
issuing Unilateral Administrative Orders or pursuing litigation.
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Overvlew of Enforcement Activities
CERCLA provides a broad range of enforcement authorities that EPA can use to enlist
PRP involvement in cleaning up sites. These authorities include the ability to order PRPs to
perform response activities if negotiations fail and to secure injunctive relief and receive treble
damages for non-compliance if the PRPs refuse to perform and/or pay for response actions.
Negotiations are used to reach agreements with PRPs so that the PRPs will perform or
finance the work and pay for any past and future costs. The outcome of successful
negotiations is a settlement. Settlements are either administrative or judicial. Judicial
settlements must be filed in Federal District court and approved by a judge before they are
considered final. Administrative settlements are final when they are signed by proper EPA
personnel and consenting PRPs. Both types of settlements are signed by the PRP and
enforceable by the Federal District Court. If negotiations are unsuccessful, EPA may issue a
unilateral order to compel the PRP to perform response activities and/or recover EPA's cost.
If PRPs do not comply with a unilateral order, EPA may initiate litigation to compel PRPs to
comply with the order or use Superfund monies to begin response activities and then pursue
litigation to compel the PRPs to take over the work and/or recover EPA costs.
EPA can compel PRPs to perform the work under the authority of Section 106 of
CERCLA and the settlement provisions of Section 122. Section 107 of CERCLA allows EPA
to assess penalties and treble damages if a PRP is not in compliance with a unilateral
administrative order. Section 107 also allows EPA to recover from PRPs government costs
incurred while performing response work and costs incurred while overseeing PRP response
actions.
Enforcement Accomplishments
Settlements. FY 1989 was an excellent year for Superfund enforcement. The total
estimated dollar value of all response settlements in FY 1989 exceeded $1 billion, as illustrated
by Exhibit 6. Exhibit 7 demonstrates the increase in the number of response settlements
during the past three fiscal years. During FY 1989, EPA reached 218 settlements for PRP
response activities (removal, RI/FS, remedial design, and remedial action). This includes 67
unilateral administrative orders that are in compliance with a value of approximately $211.7
million. Forty-nine Consent Decrees were lodged in FY 1989, with an estimated response value
of approximately $620 million.
Superfund enforcement increased PRP participation during FY 1989 through the use of
conventional settlements as well as de minimis and mixed funding settlements. In FY 1989,
there were a total of 13 de minimis settlements in the form of a consent decree or
administrative order on consent. This represents a 160 percent increase in the number of de
minimis settlements from FY 1988. During FY 1989 there were 4 mixed funding consent
decrees worth $69 million.
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Exhibits
Value of PRP Response Settlements (All Activities)
(FY '87 - FY '«
1100
1050
1000
950
900
« 800
| 750
I 700
S 650
1 600
3 560
500
460
400
350
300
250
200
150
100
1
-
_
L«
-
-
2.
$12
2M
$175.2
1 $83 M
$45 K
846*
!.4
M
B
j
!
$1!
M
l.4(t
4
$678. 3 M
$248. 6H*
, :< -
|3OZ 9 M
$1,029.4M
$661. 5M
' t "' "'',
I S68MI
yxxxxx>
$234. 3 M ;
n
M
Consent Decreee
for RD/RA
Mixed Finding Consent
Decrees for RD/RA
Urdateral Admfrittrativo
Order* In Compliance
for RD/RA
Othw Reeporae Sstttementa
(Rfifnovaie. Rl/FS)
MEKons
FYW
FV89
Exhibit?
Number of PRP Response Settlements by Activity
(FY '87 - FY '89)
220
200
180
160
140
ISO
1CO
60
40
20
0
213
218
101
Coneenl Decree*
tor RD/RA
MU«d Fundng Coraont
Decreee for RO/RA
Unletend AtSmWstrative
Orders JnC
for RD/RA
Ottwr Rooponse Setttonwnts
(Retnovato, R1/F8)
FV87
FYtS
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Three of the significant settlements in FY 1989 are described below:
French Umfted, TX. EPA and 85 PRPs entered into a consent decree whereby
the PRPs will implement and finance 100 percent of the selected remedy (bio-
remediation) for an estimated value of $50 million. The settlement included the
reimbursement of EPA's recoverable costs, which total $1.28,million and included
a de minimis agreement. Major and de minimis parties agreed to establish a $55
million trust fund to finance the remedial activity and provide funds for the
reimbursement of oversight costs. The settlement also provides for the PRP to
conduct additional remedial measures should the selected remedy fail. This is the
first site where bio-remediation will be used on a large scale.
» Operating Industries, Inc., CA. EPA reached a partial settlement with
approximately 113 of the estimated 4,000 PRPs at this site to conduct the remedial
activities and reimburse the Trust Fund for costs associated with the two discrete
stages of response activity covered by this settlement. Response activities include
installation of site control and monitoring systems and construction and operation
of an on-site treatment facility to treat the leachate and other hazardous liquids
collected at the site. The estimated cost for this project is $34 million. The group
of settling PRPs is divided into two groups: a group to perform the work and a
"cash out1 group. The "cash out" group of PRPs has agreed to provide funds for
the remedy in this settlement based on the total waste contributed by this group.
This value is estimated to be $25 million. This money will be used to pay for past
costs and additional site work. Under the consent decree, EPA has the ability to
allocate the monies received between past costs, oversight costs, and the "cost
overrun fund".
e Re-Solve Inc., MA. EPA and 224 PRPs reached an agreement for the remedial
activity at this waste chemical reclamation facility. The remedy involves excavation
of contaminated soils and ground water treatment. EPA has reached a
preauthorization agreement with settling PRPs for reimbursement of up to $7.2
million or 31.2 percent of the estimated $22 million in remedy costs. The consent
decree contains a de minimis settlement that allows de minimis parties to cash out
for their Nonbinding Preliminary Allocation of Responsibility (NBAR) share plus a
premium. This was the first site where an NBAR was prepared by EPA to facilitate
the settlement process. The settling PRPs will establish a trust fund to provide
funds for the response work. In addition, EPA will be reimbursed for $7.8 million
in past costs. The Commonwealth of Massachusetts will be reimbursed $500,000,
which represents all of the Commonwealth's past costs.
EPA and the State entered into a Memorandum of Agreement (MOA) that
establishes formal procedures for resolving conflicts that may arise between EPA
and the State. In addition, the MOA asserts that EPA must consult with the State
prior to approving work plans and other deliverables.
Unilateral Enforcement. Section 106 of CERCIA authorizes the Agency to issuo
unilateral administrative orders (UAOs) to compel PRP response. EPA views the timely, routine
and predictable use of UAOs as an integral part of the CERCLA enforcement process, both to
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11 -
help bring settlement negotiations to a successful conclusion and to compel PRP response or
set the stage for further enforcement, such as collection of statutory penalties and/or treble
damages. UAOs are used primarily for removals and RD/RA, although some UAOs are issued
for RI/FS.
The 102 UAOs issued in FY 1989 represent a 57 percent increase over the number
issued in FY 1988. Likewise, the number of UAOs in compliance rose to 67 in FY 1989,
representing a 64 percent increase from FY 1988. Twenty-two of the UAOs in compliance are
for RD/RA and have an estimated work value of $175 million. In addition to these numerical
accomplishments, the Agency prepared an FY 1990 strategy for enhancing the use of CERCLA
Section 106 enforcement authorities, focusing on UAOs for RD/RA. This strategy will help
ensure the continued successful use of UAOs in the Superfund enforcement program.
Cost Recovery. Cost recovery actions occur when the Fund finances response activities
at a site where there are financially viable PRPs. Cost recovery can be pursued for removals,
remedial investigation/feasibility studies, remedial designs, remedial construction, and oversight
of PRP responses. Enforcement actions used to recover government costs include
negotiations, settlements, and litigation.
Exhibit 8 highlights the key accomplishments of th© cost recovery program during
FY 1989 as compared to accomplishments during FY 1988. In FY 1989, EPA Regional offices
prepared a total of 83 Section 107 referrals greater than $200,000, representing a total value
of $146.6 million for past costs plus any future Fund financed expenditures. Of these 83
referrals, 66 represent pre-construction (i.e., removal, RI/FS, and RD) costs, totalling $99 million,
and 17 represent construction (i.e., RA costs, which may include removals, RI/FSs, and RD)
costs totalling $47.6 million. Th© number of Section 107 referrals to recover costs increased
by 48 percent from FY 1988 to FY 1989.
Exhibits
Section 107 Cost Recovery Referrals Greater Than $200,000
FY't
80
86
80
78
70
m
K)
93
90
43
40
36
30
26
20
16
10
5
0
83($143.8 M)
680-J9.0M).
FYWT
FYtB
Prw-Conetrustteo ReferrKts
(Ramovsto. RI/FS, and RD)
Construction
(RA taa start*! - may atso
££<] AiRataraJa
M MBcsw
During FY '88 there was no distinction between pre-construction and construction costs.
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- 12 -
SUPERFUND MANAGE^EMT INITIATIVES
During FY 1989, in an attempt to define a clear cut strategy for the Superfund program
and to assist managers in increasing the effectiveness and efficiency of program activities, the
Agency pursued a number of Superfund management initiatives. The most significant of these
Superfund management initiatives are described below.
90-Day Study
In FY 1989, the Agency undertook A Management Review of the Superfund Program
(known as the 90-Day Study) to establish a strategy for the Superfund program and identify
procedures to improve program performance. The 90-Day Study, completed in May of 1989,
articulates a clear, straightforward vision for the Superfund program that has received broad
acceptance both within and outside the Agency. It places greater emphasis on ensuring that
the Superfund remedial pipeline is filled to capacity at all times and that the sites in the pipeline
are flowing from one stage to another as quickly as possible. The strategy set forth in the
Study directs the Superfund program to attack the worst sites first, removing the sources of
immediate threat and then, on a priority basis, dealing with the sources of long-term risk. In
addition, the Study encourages the Agency to take several actions, which are listed below:
« Emphasize enforcement to induce PRPs to undertake more cleanups under EPA
direction;
« Integrate Superfund priorities of expediting site cleanup and maximizing
PRP-lead field work, resulting in a "One Superfund Program" approach
that emphasizes enforcement first, but that also enables the Agency
to initiate clean-up actions quickly;
» Use permanent remedies where possible and aggressively seek innovative
treatment technologies that reduce the toxicity, mobility, or volume of wastes at
Superfund sites;
Accelerate response activities by developing prototypes for operable units to
narrow the range of remedial alternatives more quickly;
Promote greater community participation by broadening public outreach programs
and allowing the public more involvement in remedy selection; and
» Build solid relationships with States, Natural Resource Trustees, and the Agency
for Toxic Substance and Disease Registry (ATSDR) to ensure that the Superfund
process is working as efficiently and cooperatively as possible.
Since the publication of the 90-Day Study, key managers and staff in EPA Headquarters
and the Regional offices have developed a comprehensive implementation plan to move
forward with the recommendations made by the 90-Day Study. In particular, the Agency has
begun implementing actions to control acute threats immediately, clean up the worst sites first,
and emphasize enforcement in the Superfund program.
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- 13 -
Strategic Planning Initiative
During FY 1989, the Office of Emergency and Remedial Response (OERR) continued its
use of a strategic planning process to establish and articulate its mission, goals, objectives,
and tasks. The overall purpose of the OERR Strategic Planning Initiative (OSPI) is to lay the
ground work for future Agency action under the Superfund program in FY 1990 and beyond.
OSPI was particularly important during FY 1989 because the current three-year budget cycle
includes preparation for Superfund reauthorization in 1991.
In August of 1989, key OERR managers and staff met to discuss and develop the goals
and objectives for Superfund implementation in the next fiscal year and beyond. Several major
goals for the Superfund program were developed during this OSPI meeting:
Address high priority sites and releases first;
Implement effective remedies at Superfund sites;
Increase the role of others; and
» Achieve a well-managed, efficient Superfund program.
These Superfund program goals and objectives are consistent with the recommendations
contained in the 90-Day Study.
Consistent with a greater emphasis on strategic planning during FY 1989, the Agency
began a series of strategic analyses of Superfund program experience. These analyses are
intended to assist managers in making mid-course27 corrections (if necessary), and provide an
opportunity to evaluate and revise the strategic directions for the program.
Worst-Srtes-First Strategy
Projects are entering the Superfund remediation process at an increasing rate and, as
the numbers suggest, the Superfund pipeline is essentially full. This trend is expected to
continue and will place increasing pressure on the existing resources of the Superfund
program. The 90-Day Study recognized the growing demands on the Superfund pipeline and
consequently recommended that the program attack the worst sites first, removing the sources
of immediate threat and then, on a priority basis, deal with the sources of long^erm risk.
In response to this recommendation, the Superfund program expanded and formalized
its "worst-sites-first" strategy to include the Superfund remedial program during FY 1989.
Under this strategy, EPA is emphasizing treatment and innovative technology transfer to clean
up sites, while focusing its resources on those sites at each stage of the pipeline where
conditions pose the greatest risks to human health and the environment. This strategy is
comprised of three major steps:
FY '89 marked the midpoint between the enactment of SARA and the 1991 reauthorization.
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- 14 -
Immediately control acute threats to human health and the environment at all NPL
sites;
9 After abating immediate threats, address worst sites first; and
Carefully monitor the long-term effectiveness of selected remedies to ensure the
protection of human health and the environment.
During the fiscal year, the Agency ranked 83 projects in terms of their environmental
priority, and earmarked $1 billion to fund these projects in 1990.
Environmental indicators
The primary goal of the Superfund program is the protection of public health, welfare,
and the environment by reducing exposure to hazardous substances and reducing the hazards
posed by the toxicity of these substances. EPA's assessments of Superfund program progress
to date have been concerned primarily with administrative milestones, such as the number of
RI/FSs begun, the number of RODs signed, or the number of operable units completed. This
type of evaluation of program progress, however, does not account for the progress made
toward human and ecological risk reduction during the clean-up process, but before the entire
task is complete.
In response to this perceived problem, EPA developed the Superfund Environmental
Indicators project. The purpose of this project is to develop a flexible system of performance-
based environmental indicators of progress for all Superfund sites, making use of existing data
to reduce cost and burden to the program. In fulfilling the purpose of this project, the Agency
has been mindful of the need to have a system of indicators that is scientifically credible,
understandable by Congress and the public, and applicable to the wide range of sites and
approaches to cleanup that characterize the Superfund program.
During FY 1989, the Agency continued to collect Superfund site data from the Regional
offices in order to evaluate environmental indicators. OERR and the Office of Management
Systems and Evaluation (OMSE) used this site data to complete a study on the feasibility of
implementing an environmental indicators system for the Superfund program. This study
evaluated eight different environmental indicators. Based on the results of the study and other
factors, the Agency reduced the overall number of environmental indicators being considered
from eight to three, with each new indicator comprising elements from the old environmental
indicators. The three new indicators being evaluated are:
« Achievement of reduction in concentration of environmental contaminants, with
comparison to public health standards and/or ecological standards;
Achievement of reduction of immediate human exposure to contaminants and/or
control of contaminant exposure and migration through interim measures; and
Volume of waste/contaminated material treated or contained compared to
percentage risk reduction.
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- 15-
In FY 1990, each of the ten Regions will be visited by a data collection team. This
collection of data will enable OERR and OMSE to analyze and summarize the environmental
results of Superfund clean-up actions completed to date, with the first full report on Superfund
program progress measured by environmental indicators available in FY 1990. The Agency will
also continue to develop and evaluate additional environmental indicators of Superfund
program progress in the coming fiscal year.
REGULATIONS, GUIDANCE, AND OTHER ACTIVITIES
Concurrent with a significant amount of site activity, there was substantial regulatory and
guidance development in the Superfund program during FY 1989. Some of these activities
were mandated by SARA, while other efforts stemmed from the need to improve the pace of
the Superfund program. Proposed revisions to the NCR and the HRS were published in
FY 1989. Guidance for preparing RODs and proposed plans was also issued in FY 1989. The
following sections outline these and other regulatory and guidance activities undertaken by the
Superfund program staff during the past fiscal year.
National Contingency Plan
In December of 1988, EPA published proposed revisions to the National Oil and
Hazardous Substances Pollution Contingency Plan (53 FR 51394, December 21, 1988). The
NCP contains the regulatory blueprint for Superfund response actions. In addition to
incorporating the changes mandated by SARA, the NCP was revised to:
More accurately reflect the sequence of response actions taken pursuant to the
NCP;
Clarify existing language on roles, responsibilities, and activities of affected parties;
and
Incorporate changes indicated by program experience.
The proposai also reflects the Agency's bias toward active remedies for Superfund cleanups.
The publication of the proposed revised NCP commenced a 60-day public comment
period, which was extended an additional 30 days. During this public comment period, the
Agency also held several public meetings throughout the country on the proposal. EPA
received more than 150 comment letters, which contained more than 2,800 individual
comments from State and local governments, other Federal agencies, industry, environmental
groups, and the general public. During the fiscal year, the Agency undertook and completed
the considerable task of analyzing and responding to these comments. Responses to
comments will appear in the preamble to the final revised NCP or an accompanying
background document.
Based on analysis of these comments and other considerations, EPA made a number
of revisions to the proposed NCP. The final revised NCP began Agency Red Border Review
in September 1989. The revised NCP is expected to be published as final early in calendar
year 1990.
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16 -
Hazard Ranking System
EPA published the proposed revisions to the HRS in FY 1989 (53 FR 51962,
December 23, 1988). The HRS is the scoring system Superfund uses to identify sites that
warrant listing on the NPL The proposed revisions to the HRS make it a more
comprehensive ranking system that is more accurate in assessing contaminant concentration,
contaminant toxicity, and the potential for exposure. The revised HRS takes into consideration
new exposure pathways - the human food chain and direct exposure - and makes the
definition of "sensitive environments" more inclusive. In addition, the revised HRS considers
both acute and chronic health effects.
The Agency also completed Phase I of a two-stage field testing project to test the
implementability of the HRS provisions. The results of this field testing project were made
available to the public for review and comment.
EPA received over 150 comment letters on both the proposed revisions to the HRS and
the results of the field testing project. During FY 1989, EPA began the task of analyzing and
responding to these comments. The Agency expects to complete the process of responding
to comments and publish the revisions to the HRS as final by early calendar year 1990.
Reportable Quantity Adjustments for Hazardous Substances
On August 14, 1989 in two final rules (54 FR 33418 and 54 FR 33426), EPA promulgated
reportable quantity (RQ) adjustments for 264 hazardous substances. Of the 264 hazardous
substances, 260 had RQs proposed for adjustment by EPA in a proposed rule published on
March 16, 1987 (52 FR 8140). The remaining four hazardous substances are waste streams
that were listed as hazardous under Section 3001 of the Resource Conservation and Recovery
Act (RCRA) and, therefore, were designated as CERCLA hazardous substances (51 FR 37725,
October 24, 1986). By making these adjustments, EPA relieved the regulated community of
the burden of reporting releases that are unlikely to pose public health threats.
Extremely Hazardous Substance Designation and Reportable Quantity Adjustments
Pursuant to Title III of SARA, EPA published a list of extremely hazardous substances
(EHSs) for the purposes of emergency planning activities. Although 134 of the 366 substances
listed as EHSs ar© already CERCLA hazardous substances, the remaining 232 EHSs are not.
In FY 1989, th© Agency published a proposed rule that would designate these remaining 232
EHSs as CERCLA hazardous substances (54 FR 3388, January 23, 1989). The designation as
a CERCLA hazardous substance indicates a level of concern about a given substance
sufficient to require a report to the National Response Center (NRC) in the event of a release
in an amount equal to or greater than the reportable quantity (RQ) for that substance.
Also in FY 1989, the Agency published a proposed rule that would adjust the RQs of the
232 EHSs discussed above (54 FR 35988, August 30, 1989). Under Section 102 of CERCLA,
an RQ of one pound is established for releases of CERCLA hazardous substances. By
adjusting the one-pound reporting triggers for these 232 substances, EPA will reduce the
reporting and response burdens on the regulated community and on Federal, State, and local
governments. The RQ adjustments proposed rule also proposed to adjust the RQs of 19
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- 17-
EHSs that are already listed as CERCLA hazardous substances. To adjust the RQs of these
251 substances, EPA proposed to apply the methodology used to establish threshold planning
quantities for EHSs as part of the RQ adjustment methodology for those CERCLA hazardous
substances meeting the EHS screening criteria.
The publication of these proposed rules commenced a 60-day public comment period
for each. During the fiscal year, the Agency worked on responding to the comments received
on these two proposals. EPA expects to respond to all comments and to finalize and publish
both the EHS designation rule and the RQ adjustment rule in late 1990.
ROD Guidance
In FY 1989, EPA completed revisions to its guidance on preparing RODs and proposed
plans. These revisions reflect the proposed revisions that were made to the NCP. Among
other changes, the interim final ROD guidance provides more specific direction in three areas:
Implementing remedies organized into several operable units;
Proposing sites for deletion from the NPL; and
Selecting a "no action" alternative.
The interim final ROD guidance was distributed to the EPA Regional Offices for use by
Regional staff to prepare RODs and proposed plans beginning late in FY 1989.
Removal Program Guidance
In order to promote the most efficient use of limited removal program funds and
resources, the Emergency Response Division (ERD) issued several guidance documents in
FY 1989. These guidance documents assist the Regions in setting priorities so that the most
serious threats to human health and the environment can be addressed. In FY 1989, ERD
drafted revisions to the Superfund Removal Procedures Manual. This manual describes all of
the procedural and administrative requirements for removal actions, and provides step-by-step
directions for preparation and approval of documentation. ERD revised the conceptual
approach of the manual, making it easier to read and use. When completed, the Superfund
Removal Procedures Manual will consist of 12 separate volumes and a field guide.
ERD also issued Final Guidance on the Implementation of the Consistency Exemption
to the Statutory Limits on Removal Actions. SARA contains an exemption that allows removal
actions to exceed the statutory time and money limits of one year and $2 million where
necessary to achieve consistency with the remedial action to be taken. This final guidance
discusses the procedures for using the consistency exemption and elaborates on the approach
adopted in the proposed revised NCP.
Prior to the initiation of removal actions taken at non-NPL sites where the proposed
action is of national significance or precedent-setting, the concurrence of EPA Headquarters
(i.e., AA for OSWER or OERR Office Director) must be obtained. The purpose of this
concurrence requirement is to promote national consistency in the implementation of the
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18
Superfund removal program. In FY 1989, ERD issued Guidance on Non-NPL Removal Actions
Involving Nationally Significant or Precedent-Setting issues. This guidance identifies non-NPL
removal actions that may be nationally significant or precedent-setting and establishes
procedures for requesting Headquarters concurrence.
Enforcement Guidance
Superfund enforcement's FY 1989 accomplishments included the issuance of guidance
to help Agency staff implement key areas of the enforcement program. Three of these
documents are of particular importance to the program and are described below.
The interim Guidance on Administrative Records for Selection of CERCLA Response
Actions covers the purpose and scope of the administrative record, the policy and procedures
governing the compilation and maintenance of the administrative record, and the involvement
of those outside EPA in establishing the record. Adherence to this guidance will ensure the
Administrative Record meets the necessary legal standards to document the Agency's remedy
selection process.
EPA issued guidance on conducting Potentially Responsible Party (PRP) searches for
sites in the Superfund remedial program to supplement the PRP Search Manual published in
FY 1987. The supplementary guidance provides assistance in conducting complex PRP
searches and preparing PRP search reports for sites in the Superfund remedial program.
In addition to the previously mentioned guidances, the Agency also developed a model
Statement of Work for a Remedial Investigation and Feasibility Study (RI/FS) conducted by
PRPs. Generally, a statement of work is attached to the settlement document for the RI/FS
and describes the tasks and deliverables required of the PRPs. The model also provides
PRPs direction in performing the tasks required for completing an RI/FS.
Technical Assistance Grants
Section 117(e) of SARA authorizes EPA to provide technical assistance grants (TAGs) of
up to $50,000 to groups of individuals to obtain assistance in interpreting information related
to activities at Superfund sites. In March 1988, EPA issued an interim final rule that discussed
the requirements of the TAG program. During FY 1989, the Agency reviewed and made a
number of changes to the interim final rule. At the close of FY 1989, EPA prepared to issue
amendments to tha interim final rule.
During FY 1989, EPA awarded 28 grants to 23 different citizen groups associated with
sites listed on the NPL Many more grant awards are in progress. Exhibit 9 lists the 26 grants
awarded in FY 1989 by Region. Both the citizen groups and EPA have benefited from the
independent advisors' input - the citizen groups have a greater understanding of the
Superfund process, and there is enhanced communication between EPA and the citizens.
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Exhibit 9
NPL Sites Where TAGs Were Awarded in FY '89
Region
1
II
' ^ *'-'
IV
V
VI
; .VU .:.&'.
VIII
IX
X
Name of Stte
Central Landfill Site. Rl
Marathon Battery Site. NY
St. Regis Mohawk Reservation, G.M. Massena Site. Hogansburg. NY
Vega ArttWe, Puerto Wco
Ciba Gelgy. Toms River. NJ
Maxey Rats, KY
Butterworth Landfill Site. Ml
Primd! flnart Landfill fltti Huher HataMt OH
Vertac. Rogers Road, and Jacksonville Landfill Sites,
Jacksonville. AR
,.'.': ....-.. : _ , . , - .'.'.'..'.
Cotter Corporation Site. CO
Burlington Northern $ojfi«r*TI*Wan.MT
Rocky Flats, CO
Lawrence LNwmore National Labs Site, CA
IBM San Jose. San Jose. CA
Hewlett-Packard, Palo Alto, CA
Slrlnglellow Site, Riverside. CA
Wycoff Eagle Harbor Site, WA
Grant Recipient
Greater New Bedford Environmental Community Work Group :
W.A.T.E.R.
Wlnthrop Undflll CWzans Action Group
Citizens Concerned About Removing Toxins
Fulton Safe Drinking Water Action Committee
Akwesone Task Force on the Environment
Committee for the Rescue o» the Health and Environment
Ocean County Citizens for Clean Water
Concerned Citizens for Foster Township
Concerned Citizens for Maxey Flats. Inc.
Munfeport Dump Coalition
John Ball Park Community Association
Miami Valley Landfill Coalition
Jacksonville People with Pride Cleanup Coalition (3 grants)
St. Chart* CpunOans Against Hazardous Wastes
Lincoln Park Area Concerned Citizens
Rathead Lake Protection Association
Citizens Against Lowry Landfill
Trl Valley Care
Silicon Valley Toxics Coalition
Barren Park Association Foundation
Glen Avon Residents Technical Assistance Committee
Association of Balnbrldge Communities
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20
Superfund Innovative Technology EvaSoation Program
The purpose of the Superfund Innovative Technology Evaluation (SITE) Program, which
was established pursuant to SARA, is to: (1) accelerate the development, demonstration, and
use of new or innovative technologies; and (2) demonstrate and evaluate new, innovative
measurement and monitoring technologies. The overall goal of the SITE program is to develop
technologies that provide permanent remedies.
In January 1989, the Agency issued its fourth solicitation for innovative technologies
under the SITE Demonstration Program. To qualify for the demonstration program, a new
technology must be at the pilot or full scale stage of development and offer some advantage
over existing technologies. Also in FY 1989, field demonstrations were completed for two new
treatment technologies:
9 A technology that destroys organic compounds in water using ultraviolet radiation
combined with ozone and/or hydrogen peroxide for photo-oxidation of organics;
A process that stabilizes high molecular weight organic and inorganic constituents
in waste slurries.
The SITE Emerging Technologies Program (ETP) encourages the investigation and
development of technologies that may be useful for remediation at Superfund sites, but that
are not yet ready for full-scale demonstration. The goal of ETP is to validate such innovative,
alternative remediation technologies and prepare them for demonstration.
ETP is interested in developing cutting-edge technologies for recycling, separation,
detoxification, destruction, and stabilization of hazardous wastes. Two year funding is available
to technology developers through competitive cooperative agreements. An individual developer
may receive up to $150,000 per year for a maximum of $300,000 over two years to bring a
promising technology from laboratory scale to the pilot stage.
In FY 1989, seven ETP projects were underway, examining technologies ranging from
freeze crystallization to laser-stimulated photochemical oxidation. In July 1989, EPA issued a
request for proposals. Forty-seven preproposals were submitted to the Agency by
September 7, 1989 and are currently under review.
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Chapter 2
RESOURCE CONSERVATION
AND RECOVERY ACT
The Resource Conservation and Recovery Act (RCRA) Program made substantial
progress in addressing the priorities outlined for FY 1989. Consistent with national policy and
direction, EPA and the States focused on achieving environmental results by issuing high
quality permits, enforcing to return handlers to compliance, and initiating corrective action at
facilities which pose significant threats to human health or the environment. Specifically, the
Regions and States issued 63 incineration permits and denied another 19 in an effort to meet
the November 1989 incinerator deadline established in the 1984 Hazardous and Solid Waste
Amendments to RCRA. Correspondingly, during FY 1989, EPA and the States initiated
corrective action at 199 facilities.
Complementing the Agency's accomplishments in the Subtitle C hazardous waste
program, is EPA's progress in implementing the "Agenda for Action" for solid waste
management under Subtitle D of RCRA. The Agency has made great strides over the past
year to facilitate resource recovery and source reduction activities by all sectors of society.
In particular, the Agency has joined in partnership with the States to improve solid waste
management planning and disseminate technical and educational materials. Of special
importance, is EPA's progress in implementing the new Subpart J of RCRA by promulgating
regulations that establish a demonstration tracking system for medical waste. Summaries of
key activities are provided below.
SUBTITLE C HAZARDOUS WASTE PROGRAM
Permitting
Exhibit 10 compares RCRA permitting activity in FY 1989 with activity in FY 1988. The
exhibit illustrates the change in emphasis away from land disposal permits towards incinerator
permits as the Agency worked to meet the November 1989 deadline for issuing all incinerator
permits. EPA and the States issued 63 permits for incinerators and denied another 19 such
permits. In addition, EPA and the States completed 63 final permit determinations for land
disposal facilities, and 95 final permit determinations for storage and treatment facilities. The
Agency and States have also increased their efforts in issuing post-closure permits for land
disposal facilities. During FY 1989, EPA and the States issued 47 post-closure permits.
Exhibit 11 shows closure plan approvals for both FY 1988 and FY 1989. The exhibit shows
that EPA approved 158 closure plans for land disposal facilities, 23 closure plans for
incinerators and 315 closure plans for storage and treatment facilities.
-------
Exhibit 1©
220
200
180
160
140
120
100
80
60
40
20
0
38,
117
75
J FY'88
Indrrarators
Lard Disposal
Facilities
Storage and
Treataent Fadfttes
Exhibit 11
(FY '88 and FY '89}
600
550
500
450
400
350
300
250
200
150
100
50
0
incinerators
396
23^
565
56^ FV89
111! FV88
FaeEttee
Storage arc*
Treatment Fadttes
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- 23 -
Corrective Action
During FY 1989, the Regions established corrective action priorities across the closing
land disposal universe and storage/treatment universe by implementing the Environmental
Priorities Initiative (EPI). FY 1989 was the first year of operation for EPI. Getting started
required considerable coordination between the RCRA corrective action and the CERCLA
preremedial programs. Over 550 EPI facilities received CERCLA preliminary assessments
(PAs) in FY 1989. This number is expected to increase in FY 1990. Those facilities that
appear to be more environmentally significant based on a preliminary MRS score will receive
screening site investigations (SSIs) as well before they are reassigned to the RCRA program
for corrective action. The PA/SI will provide the RCRA program with information about the
relative environmental threat presented by these facilities so that corrective action can be
imposed at the worst sites first.
In addition, RCRA Facility Assessments (RFAs) were conducted at 18 land disposal
facilities, 16 incinerators, and 84 storage facilities. In addition, RCRA Facility Investigations
(RFIs) were initiated or in progress at 50 land disposal facilities, 6 incinerators, and 13 storage
facilities. In FY 1989, the Regions issued 119 permit schedules of compliance and 77 Section
3008(h) orders imposing corrective action requirements. In addition, three States were
authorized for corrective action, and three States submitted their applications for corrective
action in FY 1989.
A corrective action course for permit writers was offered in FY 1989 to Regional and
State staff in Regions IX and X. The training consists of presentations and interactive case
studies, and focuses on the technical and procedural aspects of the corrective action program.
OSW will provide the training in the other eight Regions in FY 1990, and will also offer it upon
request.
The OWPE Corrective Action Order Workshop was presented in five Regions in early FY
1989. The workshop includes a description of the Corrective Action process, a review of the
scope and applicability of Corrective Action authorities, a discussion of the development of CA
orders, and instruction in the use of the Corrective Action Plan (CAP).
Compliance Monitoring and Enforcement
In addition to corrective action orders, FY 1989 enforcement priorities included:
conducting required high-priority inspections; enforcing land ban disposal restrictions, and
ensuring the availability of appropriate Superfund treatment and disposal capacity through
continued implementation of the CERCLA Off-site Policy.
In FY 1989, EPA proposed a rule, "Amendment to the NCP; Procedures for Planning and
Implementing Off-site Response Actions, to codify the Off-site Policy. This rule will ensure that
wastes from CERCLA sites are sent only to facilities capable of handling them in an
environmentally sound manner. The rule also formalizes EPA's commitment to according due
process to facilities that are potential recipients of CERCLA wastes.
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- 24 -
EPA and the States conducted 1,330 inspections at land disposal facilities. These
inspections wer© comprised of Comprehensive Monitoring Evaluations (CMEs), Operation and
Maintenance Inspections (O&M), and Compliance Evaluation Inspections (CEIs). In addition,
EPA and the States performed 1,196 inspections at treatment and storage facilities and 424
inspections at Federal, State, and local facilities, as required by HSWA.
Emphasis continued to be placed on assuring enforcement against SNCs (i.e., land
disposal facilities that have Class I violations of groundwater monitoring, closure, or financial
responsibility requirements). At the beginning of the year, there were 139 SNCs that required
formal enforcement action. At the end of FY 1989, all but one facility had been addressed by
EPA or the States with enforcement actions or had returned to compliance.
To enhance the quality of Regional and State inspections, the Office of Waste Programs
Enforcement (OWPE) and the National Enforcement Investigation Center (NEIC) initiated the
RCRA Inspector Institute. In FY 1989, three training sessions were conducted in February,
May, and September 1989. Students included EPA Regional inspectors, State inspectors, and
various Federal agency staff responsible for RCRA compliance at their facilities.
Beginning in September 1988, Headquarters developed and presented the Hazardous
Waste Incinerator Inspection (HWII) training workshop in seven EPA Regions from May through
August 1989. The workshops presented information on current regulations and the latest
regulatory developments; provided a general overview of equipment designs, functions, and
operational problems; provided step-by-step inspection procedures and preparation; and
offered discussions on potential enforcement actions. The workshop was Headquarters' first
effort to train inspectors on procedures for conducting hazardous waste incinerator inspections.
Other workshops, guidances, and training courses focused on enforcing the land
disposal restrictions rule, and implementing the §3008(h) case development guidance.
Data Management
RCRIS, the Resource Conservation and Recovery Information System, is the new
computerized management information system for providing information about major aspects
of the hazardous waste program mandated by RCRA.
A pilot effort was conducted in March - June 1989 with Region IV and the States of
Kentucky, Mississippi, Georgia, and Florida. The pilot effort tested the viability of the RCRIS
software, documentation, and training efforts.
The RCRIS staff and Regional and State pilot participants communicated the successful
results of the RCRIS pilot through panel discussions and live question/answer sessions in a
national satellite teleconference. The teleconference was broadcast to Regions and States and
shown in 44 sites nationally. As a result of the successful pilot efforts, RCRIS began a phased
implementation of the production software in October 1989. Region VI, Region IV and the
States of Arkansas, Louisiana, Kentucky, Mississippi, Georgia, and Florida began national
implementation in 1989. By the end of Federal fiscal year 1991, RCRIS implementation will be
completed in all Regions and States.
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SOUD WASTE MANAGEMENT INITIATIVES
During FY 1989, the Agency's "Agenda for Action" became operational. EPA took
concrete steps to meet each of the six specific objectives discussed in the Agenda. To
increase available information to all segments of society, EPA awarded numerous grants to
disseminate technical and educational materials. For example, in cooperation with the U.S.
Conference of Mayors, EPA produced a television video for the Learning Channel on integrated
waste management. Similarly, EPA awarded a grant to GRCDA to operate a municipal solid
waste information clearinghouse. EPA also established a peer matching program, thereby
enabling special skills and expertise to be shared nationwide.
In support of improved State and local solid waste management planning, EPA is
working with the Council of State governments and the National Conference of State
Legislatures to design workshops for State legislative and executive branches on integrated
waste management planning. The Agency also undertook several initiatives to foster source
reduction. In particular, EPA awarded a grant to the Conservation Foundation to convene a
focus group for interaction with manufacturers on source reduction issues, with particular
emphasis on reducing the amount of waste generated with the design of products and
packaging.
Correspondingly, the Agency is actively trying to encourage recycling. An important
component of this effort includes the stimulation of markets for secondary materials. During
FY 1989, EPA prepared a series of market development studies on selected commodities in
municipal solid waste, including paper, glass, aluminum, tires, and compost. EPA also
instituted a procurement guidelines hotline. In addition, EPA conducted numerous public
education and outreach activities designed to encourage recycling. Specifically, EPA funded
EOF to work with the National Ad Council on a recycling media campaign. This program also
established a recycling hotline, which provides a brochure on recycling and the name and
address of the nearest recycling center.
The final objectives of the Agenda addressed the need to improve the design and
operations of municipal solid waste combustors and landfills. In FY 1989, EPA worked with
the Office of Air to upgrade combustor performance standards and is working with GRCDA to
develop training materials for sanitary landfill owners and operators. Final rules governing the
disposal of municipal solid waste are scheduled for publication in March 1990.
MEDICAL WASTES
The Medical Waste Tracking Act (MWTA) was signed into law on November 1, 1988,
amending RCRA. The MWTA was enacted as a response to the public health and environ-
mental concerns over the degradation of shoreline areas from washups of medical waste and
sewage. This Act requires EPA to enact a two-year demonstration program to track medical
waste from the point of generation to the point of disposal. New York, New Jersey, and Con-
necticut were required to participate; the Great Lake States were specifically requested to
either opt out or petition in; and any other State could request to participate in the program.
EPA promulgated the interim final rule and request for comment on March 24, 1989, in 54
FR 12326. The rule became effective on June 22, 1989 in New York, New Jersey, and
Connecticut and effective July 24, 1989 in Rhode Island and Puerto Rico.
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In addition, EPA developed several booklets on the medical waste washups for the
general public. These booklets explain the Medical Waste Tracking Act and are designed to
educate the public that medical waste is attributable to individual actions, as well as to large
organizations, such as hospitals.
LARGE VOLUME WASTES
In FY 1989, EPA narrowed the universe of Bevill-exempt mineral processing wastes. The
Agency published three proposed rules and one final rule. The final rule, which was published
in the Federal Register on September 1, 1989, establishes a mineral processing waste
definition, low hazard criteria, and high volume criteria, which are applied to specific processing
waste streams to determine whether they remain subject to the Bevill Exclusion. The rule
removed from the Bevill Exclusion most mineral processing wastes, except for 25 specific
waste streams. Of these 25 waste streams, EPA made decisions to retain five wastes within
the Bevill Exclusion and to conditionally retain the remaining 20 wastes within the Exclusion,
pending collection of additional information. On September 25, 1989, EPA published a
proposed rule on the status of the 20 conditionally-retained wastes. EPA proposed to remove
seven of the wastes from the Bevill Exclusion and to retain the other 13 wastes within the
Exclusion. As part of determining the status of the 20 proposed wastes, a sampling effort was
conducted during the summer of 1989, the results of which indicated that some of the wastes
failed the low hazard and/or high volume criteria. The final action on the rule proposed
September 25 is scheduled for January 15, 1990.
Those wastes that remain within the Bevill exclusion as a result of the September 1,
1989, and January 15, 1990, rulemakings will be studied in a Report to Congress, currently
underway. In FY 1989, ground work was laid for the Report. EPA conducted a survey of the
industry, and the results of the survey provide a data base on the facilities that generate
mineral processing wastes. EPA also collected samples during the summer of 1989 in support
of the rulemaking, which will provide additional data for the Report. In FY 1990, the focus will
shift from rulemaking to the Report to Congress, which is due July 31, 1990. By the end of
January 1991, the Agency will make a final regulatory determination on those wastes studied
in the Report to Congress.
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CHAPTER 3
FEDERAL FACILITIES
The Federal facilities enforcement and compliance program built a solid foundation in
FY 1989 for implementing an effective approach to managing and cleaning up solid and
hazardous waste at Federal facilities. The Federal Facilities Hazardous Waste Compliance
Office (FFHWCO) made significant progress in addressing policy issues, establishing
enforcement and compliance programs in EPA Regional offices, negotiating cleanup
agreements, and addressing legislative initiatives.
In August 1989, the Office of Solid Waste and Emergency Response (OSWER) issued
the Federal Facilities Negotiations Policy to institute new principles and procedures for
expediting the negotiation process for Federal facility RCRA compliance and CERCLA cleanup
agreements. This policy was developed to strengthen EPA's role as a catalyst and facilitator
for obtaining three-party agreements with the States and other Federal agencies. It
incorporates the model provisions, negotiated in FY 1988 with both the Department of Energy
(DOE) and the Department of Defense (DOD), and establishes procedures for negotiating time
frames and elevating compliance disputes to assist the Agency in negotiating site-specific
agreements with Federal facilities.
The policy encourages State participation in all phases of the clean-up process and
promotes the integration of State concerns, as appropriate, into the final site-specific
agreement. EPA anticipates that this policy will facilitate and expedite clean-up negotiations
for CERCLA Interagency Agreements (lAGs), RCRA Federal Facility Compliance Agreements
(FFCAs), and RCRA Section 3008(h) orders.
FFHWCO's CERCLA universe expanded as more Federal facilities were listed on the
National Priorities List (NPL). By the end of FY 1989, a total of 115 Federal facility sites were
listed or proposed for listing on the NPL. The Federal facilities enforcement program has
established a goal to negotiate CERCLA Interagency Agreements with all of these sites by the
end of FY 1991.
Twenty-eight lAGs covering 35 sites were completed in FY 1989. An additional 26 lAGs
are currently being negotiated. Ten other Federal facility clean-up and/or compliance
agreements were ateo completed in FY 1989. Negotiating these initial agreements assisted the
Agency in resolving fundamental policy issues, including clarifying State and Federal roles at
Federal facilities, the applicability and integration of RCRA and CERCLA authorities at these
facilities, and development of workable enforcement strategies.
EPA negotiated several landmark clean-up agreements in FY 1989, including agreements
at the Letterkenny Army Depot facility in Pennsylvania (Region III) and the Hanford facility in
Washington (Region X). Both agreements cover RCRA and CERCLA units and clean-up
actions. The Hanford facility is the first major weapons production complex to have a clean-
up agreement. The DOE Hanford facility cleanup agreement is significant largely because of
the size of the facility, the complexity and scope of the clean-up, and the complex
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RCRA/CERCLA jurisdietional issues. Contamination at the 570 square mile site results from
releases of high level radioactive waste as well as mixed radioactive and hazardous waste.
The initial estimated cost of cleaning up the site ranges from $30 to $50 billion dollars. The
Agreement splits responsibility for overseeing the cleanup between the State and EPA.
In addition, at five Federal facilities, FFHWCO supported RCRA enforcement actions
against the companies (GOCO's) that operate these facilities. These facilities are: DOE Feed
Materials Production Center (Fernald) in Ohio (Region V); Ravenna Army Ammunition Plant in
Ohio (Region V); DOE Rocky Flats Plant in Colorado (Region VIII); the Lone Star Army
Ammunitions Plant in Texas (Region VI); and the General Dynamics Ft. Worth Air Force
Plant #4 in Texas (Region VI).
In FY 1990 and FY 1991, the Federal facilities enforcement program will continue to
negotiate CERCLA and RCRA enforcement agreements and to ensure that these agreements
work well. EPA Headquarters will focus more on assisting the Regions to address
implementation issues as more agreements are executed and basic legal and policy issues are
resolved. These implementation issues include:
9 Obtaining the resources that the Regional offices need to negotiate and oversee
agreements;
Resolving disputes that are elevated to Headquarters;
Facilitating discussions among Regional Offices and Headquarters to enhance
consistency and promote innovative approaches to Federal facility compliance
and cleanup;
Addressing remaining policy issues;
Working with DOE and DOD on the development of their priority systems;
» Developing training programs; and
Continuing to address legislative initiatives.
The Regions are expected to assume more responsibility for implementation in FY 1990.
Seven Regional Offices have established Federal facility enforcement and compliance units.
The other three Regions manage their Federal facility programs as part of their CERCLA
enforcement program.
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The principal objectives of the Chemical Emergency Preparedness and Prevention
(CEPP) Office during FY 1989 were to build Regional, State, and local emergency
preparedness capability, reduce chemical accidents by improving chemical process safety
practices, and complete rulemakings in accordance with the Emergency Planning and
Community Right-to-Know Act (Title II! of the Superfund Amendments and Reauthorization Act
(SARA)). FY 1989 was the third year of implementation for Title III.
BUILDING REGIONAL AND STATE EMERGENCY PREPAREDNESS CAPABILITY
As Exhibit 12 illustrates, EPA continues to pursue a "cascading" approach to Title III and
CEPP implementation. This approach assigns lead responsibility for implementation to State
and local agencies and places EPA Headquarters and the Regions in a support role. In
accordance with this approach, the CEPP Office focused its FY 1989 efforts on assisting States
and localities to plan for and respond to chemical emergencies. The Office provided
assistance to the 56 State emergency response commissions (SERCs) and over 3,800 local
emergency planning committees (LEPCs) in the form of guidance, training, and technical
assistance.
To assist the LEPCs in implementing Title III, a guidance document, Its Not Over in
October, was developed and distributed widely. Technical guidance was developed, in
cooperation with the Federal Emergency Management Agency and the Department of
Transportation, including the Handbook for Chemical Hazards Analysis Procedures, which
addresses hazardous substances, flammables, and explosives. In the training area, the CEPP
Office sponsored hazards analysis training courses throughout the Regions. Another highlight
was CEPP Office participation in a State hazardous materials training conference held in March
1989. The Regional Offices provided direct technical assistance to LEPCs and SERCs in
conducting over 80 emergency exercises and numerous hazards analyses. Information on
protective actions needed in responding to chemical accidents (including in-place protection
procedures) was provided to State and local officials in a video teleconference co-sponsored
by EPA, DOT, and FEMA.
As part of the CEPP Office's general preparedness activities, the Office participated in
national simulation exercises involving a catastrophic earthquake and national security incident.
In August 1989, the Response '89 exercise tested EPA's role in a major earthquake in the San
Francisco Bay area. In June 1989, EPA played a major role in the Transbord 111 exercise,
which addressed terrorists hijacking a barge containing hazardous chemicals and causing a
release of the chemicals.
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Exhibit 12
Major Responsibilities Under Title ill
EPA/Federal
Provides support to
States and local
agendas by:
Q Issuing regulations and
maintaining list ol
regulated chemicals;
Q Maintaining the Toxic
Chemical Release
inventory data base
(Section 313);
a Developing policy and
guidance; and
a Providing technical
assistance to States,
SERCs. and LEPCs.
States
Provide support to SERCs
and LEPCs by:
Q Appointing SERCs;
a Receiving and dissemi-
nating Information; and
Q Under certain circum-
stances, designating
additional facilities or
chemicals as subject to
Titte Itl requirements.
State Emergency
Response
Commissions
(SERCs)
Provide support to LEPCs
by:
Q Designating local emer-
gency planning districts;
(J Appointing LEPCs lor each
district;
U Reviewing local emergency
plans; and
a Receiving and disseminat-
ing information.
Local Emergency
Commissions
(LEPCs)
Foster emergency prepared-
ness assistance to local
communities by:
Q Developing and maintain-
ing emergency plans; and
Q Receiving and disseminat-
ing Information.
Facilities
Plan for and respond ap-
propriately to chemical
emergencies by:
Q Designating emergency
coordinators;
Q Providing inventory Infor-
mation to LEPCs and
SERCs;
a Notifying LEPCs and
SERCs of emergency
chemical releases; and
aProviding information
about chemical releases
to the community.
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The National Incident Coordination Team (NICT) was established as a mechanism for
coordinating Agency response to incidents and emergency situations of national significance.
In FY 1989, the NICT provided technical assistance in the response to the Exxon Valdez oil
spill and helped develop the Report to the President submitted by EPA and the US Coast
Guard on recommended actions and lessons learned from the accident. Also, the NICT
provided limited support in the aftermath of Hurricane Hugo, particularly with respect to water
supply issues.
Because the Director of the CEPP Office is the chairman of the National Response Team
(NRT), the Office provided ongoing support to the NRT during FY 1989. This support included
coordinating the oil spills conference held in February 1989 and the CERCLA interagency
budget. The Office provided assistance in developing the NRT annual report in January 1989.
PREVENTION PROGRAM ACTIVITIES
The CEPP Office complemented its preparedness efforts by seeking ways to foster
industry efforts to prevent chemical accidents. In FY 1989, the prevention program focused
on developing an understanding of the problem, encouraging facilities that manufacture, use,
or store hazardous chemicals to improve their safety practices, and identifying the role of
government in addressing prevention issues.
One highlight of the prevention program was the Chemical Safety Audit Program. The
Office offered three training courses for Regional and State personnel on how to conduct
chemical safety audits. Over 100 persons were trained, and 32 audits were conducted in
FY 1989. The audits are intended to make facilities aware of the need for improved chemical
safety practices, to supplement data being collected through other data-gathering efforts, and
to continue the investigation of post-release activities. Work on a training course to provide
LEPCs and SERCs with information on the audit program and its benefits was begun in
FY1989.
One of the prevention program's primary information gathering efforts during FY 1989
was the Accidental Release Information Program (ARIP), a national database on the causes of
chemical accidents and actions taken to prevent recurrences. ARIP also encourages corporate
attention to chemical hazards and provides information on prevention practices. A technical
assistance bulletin summarizing ARIP was developed and distributed to State and local officials.
The Offiot organized a conference to discuss chemical accident prevention issues with
smaller operations In July 1989. The goal of this conference was to improve the awareness
of hazards and encourage prevention practices among smaller operations that handle
hazardous substances.
ENFORCEMENT ACTIVITIES
In FY 1989, EPA developed an Interim Strategy for Enforcement of Title III and the
CERCLA Section 103 Notification Requirements. This strategy sets EPA's focus on cases
involving violations of the emergency notification provisions and violations concerning reporting
of chemical hazards and inventories of hazardous chemicals stored at facilities. During FY
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1989, eleven administrative cases were filed for violations of the reporting and emergency
notification requirements. These cases carry potential penalties of over $600,000.
EPA also developed "A Guide to Chemical Use in Industry; Extremely Hazardous
Substance/Standard Industrial Classification (SIC) Code Crosswalks for EPCRA." This
document identifies chemicals used by various industries, as identified by their SIC codes.
The information is used to identify companies that are likely to have notification and reporting
obligations under Title III.
To help State and local governments ensure that facilities covered by Title fli are
complying with the law, EPA published a pamphlet entitled "Enforcement of the Emergency
Planning and Community Right-to-Know Act." This pamphlet outlines the enforcement
authorities granted to citizens, local governments, States, and EPA under Title III.
INTERNATIONAL ASSISTANCE AND LJAISON ACTIVITIES
The CEPP Office also coordinated in FY 1989 with emergency response, preparedness,
and prevention organizations around the world. Together with the U.S./Mexico Joint Response
Team (JRT), the Office assisted in developing a Sister City plan as well as a simulation
exercise.
The Office has also been working with the Organization for Economic Cooperation and
Development (OECD) in developing programs to define long-term policies for chemical accident
prevention and emergency response, with an emphasis on international exchange of
information on measures designed to improve industrial safety practices and emergency plans
throughout the world. In May 1989, the Office participated in the OECD meeting in Berlin to
discuss the role of industry management practices. The Office also participated in another
OECD meeting in Stockholm, Sweden, in September 1989, on the role of labor and the public
in chemical accident prevention. In addition, the office has been working with the United
Nations Environment Programme (UNEP) in its effort to implement Awareness and
Preparedness for Emergencies at the Local Level (APELL), which is a program designed to
improve awareness of hazardous installations and prepare emergency response plans in
developing countries.
In coordination with the International Programs for Chemical Safety, a joint effort of the
World Health Organization (WHO), the United Nations Environmental Programme (UNEP), and
the International Labour Organization (ILO), the Office has assisted in developing 25
international chemical safety cards (ICSCs). ICSCs provide standardized safety information on
chemicals to all nations, particularly developing nations. CEPP Office staff participated in a
peer review of the ICSCs in Bologna, Italy, in September 1989.
In September 1989, the CEPP Office participated in the Fourth International Training
Course in "Preventive Toxicology: Industrial and Household Chemicals" held in Leningrad,
USSR. The status of preparedness and prevention activities in the United States was
discussed.
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REGULATORY ACTIVITIES
The CEPP Office met all FY 1989 statutory deadlines under Title III. On March 29, 1989,
the office published a proposed rule revising existing Sections 302-304 regulations and
establishing permanent thresholds for reporting under Sections 311-312. In this rulemaking,
EPA proposed to delete six extremely hazardous substances (EHSs). In another effort to
coordinate and reduce confusion between the release reporting requirements under Title III
(Section 304) and under CERCLA, EPA proposed rules in January 1989 and August 1989 to
designate EHSs as CERCLA hazardous substances and to adjust their reportable quantities
using the methodology established under CERCLA.
OUTREACH ACTIVITIES
The outreach subcommittee of the Title III Workgroup coordinated various publications
in FY 1989 to assist in educating State and local officials, the public, and the regulated
community concerning Title III provisions. The subcommittee coordinated development of the
booklet, Chemicals in Your Community. Over 500,000 copies of this booklet have been
distributed to the public. Two issues of the technical assistance bulletin series on successful
State and local Title III implementation practices were published in FY 1989. Another bulletin
was published that lists all computer software commercially available to assist in emergency
planning and response.
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CHAPTER 5
UNDERGROUND STORAGE TANKS
Over five million underground storage tanks (USTs) containing petroleum products or
hazardous chemicals are in use in the United States. Approximately two million of these tanks
have come under RCRA Subtitle I regulations; about 15 percent of these regulated tanks
(300,000) are estimated to be leaking (see Exhibit 13). The Office of Underground Storage
Tanks (OUST) has worked with local and State governments to develop a national program to
address this problem.
During FY 1989, the major regulatory framework for the national UST program was
completed: technical standards, State program approval, and financial responsibility
requirements went into effect. OUST's primary regulatory activities during FY 1989 consisted
of developing a proposed rule that provides local governments with an assurance mechanism
to comply with financial responsibility requirements. AJso during 1989, OUST undertook a
variety of activities to build and implement an effective UST program nationwide. This report
describes OUST's major efforts this fiscal year in the areas of regulatory activity and program
implementation. The description of these activities focuses on two underlying principles on
which OUST believes that the UST program must be built - "franchising" and "continuous
improvement".
Exhibit 13
Number of Regulated and Leaking
Underground Storage Tanks In U.S.
5 million
40% (2 million)
15% (300.000)
Total USTs in United States 5 million
Regulated under RCRA Subtitle I
Regulated USTs estimated to be leaking
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Franchising
OUST's application of franchising principles to the UST program is based on the belief
that the work done by State and local governments is the key to improving tank management
over the next decade. In the long run, State and local government regulation of UST systems
will be more successful than Federal regulation. This is true for several reasons: the large
number of facilities to be regulated; the special characteristics of the regulated community; and
the nature of the regulatory work to be performed. Franchising works by using the strengths
and knowledge of both the franchisees - the State and local programs that "run the business"
day-to-day - and the franchiser - in this case, EPA, who delivers national advertising, policy,
and crucial support services. The franchising approach differs from most other EPA regulatory
program approaches in that it emphasizes the States' role in enforcing regulations and
developing innovative ways to further improve the national program, while placing EPA in a
role that emphasizes support of the State programs.
Continuous Improvement
The other cornerstone on which the OUST program is being built is "Continuous
Improvement," or, 'Total Quality Management" (TQM). Continuous Improvement is based on
several key concepts that OUST believes will contribute significantly to improving UST
management. These include focusing on the customer - those for whom EPA or a State or
local agency is providing a service or product; relying on the experts - those in the office or
in the field who actually do the work; analyzing work processes - understanding how the real
work of tank regulation and management gets done; and continuously improving those work
processes to eliminate wasteful activities and thereby reduce time spent on the process.
REGULATORY ACTIVITIES
Technical Standards
The Federal technical standards rule for UST systems went into effect on December 23,
1988. This rule establishes standards for design, construction and installation; general
operating requirements; release detection standards; release reporting, investigation, and
confirmation; release response and corrective action requirements, and out-of-service UST
systems and closure requirements. The release detection requirements for tanks installed
before 1965 took effect December 23, 1989; those for tanks installed between 1965 and 1969
become effective hi December 1990. Publication of the new requirements was accompanied
by a major outreach campaign that included numerous slide presentations and the distribution
of over 200,000 copies of a booklet entitled "Musts for USTs," which summarized the
requirements In simple language.
State Program Approval Standards
The State Program Approval rule also went into effect December 23, 1988. This rule
establishes requirements for the approval of State UST programs to operate in lieu of the
Federal requirements. The criteria for approval of State programs are designed to result in as
little unnecessary disruption to ongoing State initiatives as possible. To meet program
approval requirements under the rule, States must have in place requirements that meet
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Federal objectives for each of seven program elements. The regulation provides flexibility for
evaluating tht stringency of State regulations and the adequacy of enforcement under State
programs. Through this approach, OUST is seeking to maintain its flexibility to approve a
variety of State programs and to encourage States to use innovative as well as traditional
approaches in achieving compliance.
Financial Responsibility Standards
The final financial responsibility rule was published in the Federal Register on
October 26, 1988, and went into effect in January 1989. This rule requires owners and
operators to have sufficient resources to pay for the clean up of leaks and spills. In addition,
the rule requires that funds be available to pay for the costs of third-party damages associated
with petroleum releases. In January 1989, the requirements were in effect for all petroleum
marketing firms owning 1000 or more USTs, and all large ($20 million or more net worth) non-
petroleurn-marketing firms. In October 1989, the requirements became effective for all
petroleum marketing firms owning 100-999 USTs; in April 1990, firms owning from 13 to 99
USTs will be included, and in October 1990, all remaining facilities. Publication of these
requirements was accompanied by a major outreach campaign that included, among other
activities, the distribution of over 200,000 copies of the booklet "Dollars and Sense," which
summarized the requirements in easy to understand language.
Financial Assurance for Municipalities
Under the schedule for phased compliance published in the October 1988 financial
responsibility rule, local government entities were given 24 months from the promulgation date
to comply. In the rule, the Agency stated its intention to develop a financial test in the interim
that would aliow local governments to demonstrate that they have the requisite financial
strength and ability to pay for the costs associated with UST releases. The main regulatory
work this past fiscal year has been the development of such a financial test for municipalities.
The Agency recognized that there were important differences between governmental and
private entities: unlike private entities, municipalities have taxing authority as an assured
source of revenue; municipalities are geographically fixed - they cannot leave the State to
avoid an obligation; and furthermore, municipalities have a very low incidence of bankruptcy.
In developing the rule, the Agency sought to keep the rule as flexible as possible to allow local
governments a variety of choices in demonstrating financial responsibility, and to keep the
mechanisms as simple as possible to reduce the administrative burden on local governments
as well as th@ Stfit© or local agency responsible for implementing the regulation. OUST
anticipates that the rule will be proposed this winter and hopes to promulgate the final rule
before the end of FY 1990.
Report to Congress on Exempt Tanks
A large number of heating oil and motor fuel tank systems are exempt from regulation
under Subtitle I of RCRA. OUST completed a background document containing information
about heating oil and motor fuel tanks that are exempt from regulation under Subtitle I of
RCRA. This report presents information on the technical characteristics of exempt tanks and
the risks these tanks pose to human health and the environment. In addition, OUST has
submitted a report to OMB that summarizes the findings of the background document,
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discusses additional non-technical considerations, and presents recommendations as to
whether these tanks should also be regulated under Subtitle I.
IMPLEMENTATION ACTIVITIES
Building State and Local Programs
UST program activity has increased substantially in recent years, as reflected by State
legislative and regulatory programs, as well as by State progress in having funding available
for cleanups. The number of States with enabling legislation for regulating USTs has grown
from three in 1980 to 42 in 1988. In addition, hundreds of counties and municipalities have
developed local UST ordinances and programs that often operate independently of the State.
Additionally, 54 (of 56) States and Territories have entered into Cooperative Agreements that
allow them to take advantage of the LUST Trust Fund, which was established by the 1986
SARA amendments to fund cleanups from leaking USTs under certain conditions. States may
use the Trust Fund, which is financed by a 1/10 of a cent per gallon excise tax on motor fuels,
to order cleanups of leaks by owners or operators, conduct cleanups, and to recover costs
of enforcement activities and cleanups. Overall, EPA expects the current high level of UST
program activity to continue to increase rapidly.
OUST, in its role as franchiser, continues to work closely with the Regions and States
to assist them in developing strong UST programs. Examples of OUST's efforts to implement
this approach include:
OUST developed a handbook (State Program Approval Handbook. OSWER
Directive 9690.8, March 1989) to assist State officials who are building and
implementing State UST programs that will be no less stringent than the Federal
UST requirements and will operate in lieu of the Federal UST program. This
handbook is designed to increase the States' understanding of how EPA intends
to implement the regulations for State program approval that were promulgated last
year. This handbook seeks to encourage State applications by making the
application process as easy and straightforward as possible; describing clearly
EPA's expectations and criteria for State program approval; and encouraging a
wide range of State UST programs tailored to meet their specific needs while
providing for adequate protection of human health and the environment.
To supplement the State program approval handbook, OUST prepared another
document, Suggested Procedures for Review of State UST Application. OSWER
Directive 9650.9, March 1989. This document proposes a set of procedures for
EPA Regional review of individual State UST applications. Although OUST does
not expect the first State applications to be submitted to the EPA Regional offices
until next year, it is already directly involved in assisting States with their
applications. OUST has worked with New Mexico and Region VI, for example, to
assist them in resolving program approval issues.
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« OUST, together with a number of representatives of the regulated community and
States, developed effective outreach materials that States, trade associations, and
suppliers are using to alert owners and operators of the first compliance deadline
for leak detection.
OUST provides States with technical assistance and enforcement backup as necessary,
and supports them in the development of unique approaches and innovative tools for
managing their UST programs. OUST also conducted pilot projects during FY 1989 to assist
several States and counties in establishing "expedited" enforcement programs. Expedited
enforcement programs have been demonstrated in UST and other environmental programs to
enhance compliance using a minimum of resources. Such programs endeavor to reduce the
number of costly and time-consuming enforcement efforts by employing a process similar to
issuing traffic tickets at the scene of the violation. OUST has developed the tools needed to
build and implement expedited enforcement for dissemination to other interested States and
localities.
One important role for OUST in a franchise-based program is to serve as a
clearinghouse for transferring technologies and ideas developed by other organizations. In
one project established to assist States in ensuring compliance with leak detection
requirements, OUST studied the methods States and localities have used to achieve
compliance and is providing specific help to three pilot States who will be comprehensively
enforcing the leak detection requirements. Research on the pilot projects demonstrated that
many States and localities are developing innovative approaches to achieving compliance.
OUST employs the principles of continuous improvement in providing technical and
implementation assistance to Regions, States, and local governments. For example:
OUST staff worked with staff of Region I's UST program to identify and analyze
ways to improve the Region's process for negotiating its LUST Trust Fund
Cooperative Agreements; the newly developed process will result in labor savings
of one full-time employee over a two-year period.
OUST is working with a number of States to identify obstacles to spending LUST
Trust Fund monies and reporting their activities. Next steps will include
improvement projects to overcome these obstacles and to design processes that
are conducive to effective spending and reporting.
« OUST is working with States to study and improve the process used for site
investigations. OUST is seeking to assist States and responsible parties to
conduct sit© investigations quicker, faster, cheaper, and better.
In another project, OUST is studying how consideration of human and
environmental health affects the clean-up process and what OUST can do to
adequately consider human and environmental health while minimizing disruption
to the clean-up process.
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* The Office also developed a health and safety training program for UST inspectors,
which was presented in all EPA Regions and broadcast via satellite to over 100
additional UST investigators.
EPA Regional Offices continue to work closely with States to enhance their program
development capabilities and performance levels. Again this year, the Regional Offices
awarded UST grants to the States to assist with program development. OUST has
substantially increased its financial support to the Regions to address State problem areas
through specific Targeted Improvement Projects (TIPs). FY 1989 TIPs included supporting
Connecticut to analyze its UST workload and project future resource needs; assisting New
Jersey to develop and implement its UST permitting system; assisting Utah to analyze
proposed financial responsibility legislation and liability issues; and providing an UST inspector
training course for fire marshals and building inspectors in Alaska. OUST also prepared a
compendium covering all the TIPs undertaken to make it easier for States and Regions to
exchange information and program tools.
OUST highlighted its efforts to foster strong communication between States by
sponsoring the second annual All-States Conference, entitled "Making It Work." The
conference brought together over 250 UST program staff from local, State, Regional, and
Federal levels to discuss all aspects of UST program management. The major focus was to
allow States to share information with each other; most of the sessions at the conference were
moderated by Regional representatives and featured presentations by State staff. Discussion
topics ranged from the technologies that influenced technical standards to financial
responsibility requirements to implementation issues such as program costs. Overall, the
conference was a great success, with participants requesting that this type of information
exchange continue in the future.
LUST Trust Fund Activities
At the end of FY 1989, the Regions had negotiated cooperative agreements with 54 out
of 56 States and Territories. One additional State is currently working toward a cooperative
agreement and EPA anticipates that it will be awarded during FY 1990. Cooperative
agreements between the States and EPA enable the States to spend trust fund resources for
cleanups and associated program costs. During the fiscal year, the Regions awarded
approximately $42.5 million from the LUST trust fund.
To date, 0ver 16,000 cleanups have been initiated by responsible parties, and nearly
5,700 have been completed. In addition, States have begun more than 220 corrective actions
using trust fund monies. States will continue to encourage owners and operators to conduct
corrective actions, and will take appropriate response and enforcement actions where owners
and operators are unable or unwilling to perform corrective actions.
This year OUST has worked toward improving the cooperative agreement negotiation
and award process. OUST developed a new process for allocating trust fund money designed
to encourage States to work toward program goals. In addition to the base allocation and
allocations based on need, a third allocation component -"readiness to proceed" - examines
the State's ability to implement a program (e.g., conduct State-lead cleanups and oversee RP-
lead cleanups). States therefore have an incentive to develop a strong and active program.
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Several Regions have extended the time frame over which awards are granted to three years,
thereby reducing th© level of effort required to process State applications in subsequent years.
In addition, ensuring consistent levels of funding over several years allows States to budget
for long-term cleanups. Currently, OUST is conducting a study to analyze LUST trust fund
spending and reporting patterns in five States in three EPA Regions to help States improve
performance under the trust fund.
Outreach Activities
Because OUST considers "advertising," or making the regulated community aware, to be
one of the major responsibilities of a franchiser, the Office has developed an outreach strategy
that identifies various potential audiences (e.g., owners and operators, State and local officials,
trade associations, Congress) for UST outreach materials and aggressively provided materials
to these audiences. Consistent with the principle that UST regulatory activities should occur
at the State and local levels, OUST prepares the materials and then, generally, makes them
available to States, trade associations, and other groups who, in turn, deliver the materials to
the audience of concern. In some cases, OUST provides camera-ready copy to States who
can add State-specific information and then reproduce and distribute the materials.
During FY 1989, OUST continued producing materials to help owners and operators
understand and comply with the new requirements and help specific audiences, such as
inspectors, States, and local officials, to do a better job of implementation. In FY 1989, OUST
developed the following materials about the UST Program:
Brochures:
Musts for USTs - A simple, easy to understand summary of the technical
requirements for USTs;
Dollars and Sense - An easy to understand summary of the financial responsibility
regulations for USTs;
Commitment To Cooperation: Franchising the UST Program - A description of the
UST program franchise approach for State UST staff; and
Oh Noi - A simple, easy to understand summary of how to respond to UST leaks
for owners and operators.
Video:
Tank Closure Without Tears - Depicting proper closure techniques for inspectors;
and
Doing It Right - Demonstrating proper tank installation for installers.
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Handbooks:
« Tank Tour - A guide to the Federal UST program;
« Financial Assurance Programs - A handbook for State officials;
« UST Work-A-Budqet - A worksheet package for State program officials to help in
estimating program costs;
Petroleum Tank Releases Under Control - a handbook for States and remediation
contractors;
« Detecting Leaks - a handbook for State officials on the leak detection methods
allowed in the Federal regulations; and
» Leak Detection Compliance Tool Kit - a compilation of short, easy to understand
materials on the Federal leak detection requirements and methods to assist owners
and operators to come into compliance.
Bulletin and Newsletter:
« LUSTLINE - A quarterly bulletin aimed at State officials that discusses the latest
UST issues and developments; produced under a grant by the New England Water
Pollution Control Commission;
» Tank Technology Update - A technical newsletter focusing on technical information
exchange; produced under a grant by the University of Wisconsin; and
« Compliance Alliance - enforcement information for State and Regional staff.
Measuring OUSTs Progress
This year OUST undertook a project to define the baseline of performance, track the
extent of the leaking UST problem, identify areas where performance could be improved, and
measure progress on implementing OUST's strategic plan for the next four years. OUST
worked with Regional program managers and workgroup members from seven States to
develop meaningful progress measures that minimized costs and difficulty of data collection
and to define the measures so that data collection would be consistent across States. Forty-
seven measures were developed. Data on 26 of the measures will be collected through
Regional reporting or State reporting (i.e., notification data, Trust Fund reporting, and grant
reporting). Information on the remaining 21 measures will be collected through special studies
using data compiled from pilot States and industry. Although data for some of the reporting
measures were collected during FY 1989, formal data collection for all measures will begin
during FY 1990. Once collected, the data will be compiled into an OUST annual report to
highlight the National UST Program's progress toward meeting the goals of the OUST strategic
plan.
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