United States
Environmental Protection
Agency
Office of
The Acfrnrtstrator
Washington DC 2O460
March 1990
&EPA
Agency
Operating Guidance
FY 1991
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TABLE OF CONTENTS
I. ADMINISTRATOR'S OVERVIEW
II. OPERATING GUIDANCE FOR
Office of Air and Radiation
Office of Water
Office of Solid Waste and Emergency Response
Office of Pesticides and Toxic Substances
Office of Administration and Resources Management
Office of Enforcement and Compliance Monitoring
Office of Policy, Planning and Evaluation
III. APPENDIX: Strategic Targeted Activities for Results System
(STARS) FY 1991 Measures
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Administrator's
Overview
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ADMINISTRATOR'S OVERVIEW
This Annual Operating Guidance outlines EPA's programs for
fiscal year 1991. It provides an overview of the main objectives
for our national program and for initiatives to prevent
pollution, improve management, strengthen enforcement, foster
greater public involvement, and bolster science. For EPA and
state program managers in the field, it suggests priorities and
activities that will be tracked by the Strategic Targeted
Activities for Results System (STARS, formerly SPMS). For senior
managers, and for Hank and me, STARS is an important quarterly
indicator of EPA's progress. It helps us measure our
accomplishments, as well as uncover and address problems
requiring greater attention.
The tasks that face us are daunting. We must better manage
our natural resources to ensure that the air we breathe, the
water we drink, and the land we till present no unreasonable
threats to human health and ecological well-being. We must
protect productive ecosystems — wetlands, estuaries, forests and
the like — and work to find and promote the right approaches in
order to assure our nation continues to prosper and grow in
environmentally sound ways. We must extend our base of
knowledge, refine and apply the growing scientific understanding
of the environment to our decisions, and share our insights and
expertise internationally to help make the concept of sustainable
economic development a reality. The challenge befo're us has
never been greater.
We should not lose sight of the fact that great progress
already has been made during the past two decades. As a nation,
we have demonstrated that it is possible to clean up dying lakes
and streams, to improve air quality, to protect food supplies,
and to contain hazardous wastes. These accomplishments have been
possible because of the ceaseless efforts of a good many
Americans in the public and private sectors. As I have come to
know many of the fine people at EPA, I have become more convinced
of this Agency'stability to provide leadership in the
environmental arena, and to address environmental concerns in a
comprehensive, timely and cost-effective manner. Working
together, as an Agency and a country, we can make a real
difference.
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EPA Goals
During my tenure as Administrator, I have articulated
several themes I see as central to EPA's ability to protect human
health and the environment. Among these:
o Pollution Prevention; We must strive to instill a pollution
prevention ethic internally and outside the Agency,
bolstering efforts to prevent pollution at its source before
it becomes a problem in addition to controlling its eventual
adverse impacts. Pollution prevention, with its emphasis on
source reduction and recycling, may be the key to building a
sustainable economy for our country and for the planet.
In all of our work — from rule-making to permitting to
planning — we must become accustomed to exploring,
evaluating and adopting prevention opportunities first; only
as a last resort, if those options prove insufficient,
should we look to treatment and disposal.
We must also go outside EPA, to industry, agriculture,
energy and transportation, to other federal agencies, to
state and local governments, and to the public to encourage,
and, if necessary, require prevention activities through
information transfer, regulation, demonstration projects,
incentives, and training.
o Better Management: We must find ways to do our job better,
by focusing on those problems that pose the highest risk to
human health and the environment. We must approach our
goals strategically, recognizing that while we cannot
accomplish everything at once, we can improve management to
maximize our effectiveness.
We must target our resources to achieve the greatest
possible reductions in risk to human health and the
environment. We must also strive to allocate our resources
more effectively, to obtain pollution control and
environmental quality as economically as possible. Given
the magnitude and growth of society's expenditures for
pollution control, this is essential. It is also consistent
with our objective of minimizing adverse impacts overall, as
opposed to encouraging separate controls that may reduce
pollution in one medium but increase it in another.
Hank and I have launched an Agency-wide strategic planning
process to help us better set priorities and manage more
effectively. My view of strategic planning is that it will
stimulate thinking across our programs and initiatives, in
headquarters and the regional offices, to improve the way we
do our jobs.
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Strategic thinking and good management go hand-in-hand.
Because EPA faces enormous expectations during times of
increasing financial constraints, quality becomes even more
important. Communication, teamwork, flexibility, innovation
— these are concepts that we must integrate into our daily
work lives. We must adopt a philosophy of continuous
improvement, not of business-as-usual, to get the most out
of the resources available to us. This is at the core of
Total Quality Management.
The new Strategic Targeted Activities for Results System
(STARS) is an example of such an improvement. First, it is
an attempt to target activities likely to yield the most
significant environmental results, and to amplify numerical
targets with qualitative information on environmental
impact. Second, we want STARS to acknowledge and reward,
and thereby promote) creative, cooperative solutions to
EPA's challenging problems. Finally, we seek to balance
national program objectives with regional initiatives to
address specific problems. STARS is designed to help us
facilitate and manage this process.
Stronger Enforcement: Enforcement is one of the primary
means by which we can assure that the benefits of
environmental laws and regulations are actually realized.
We must continue to build on the momentum of the record and
near-record levels in every category this past year to
guarantee a strong enforcement effort, one which emphasizes
environmental results, prevents pollution, and enhances
deterrence.
Both federal and state enforcement programs have grown
steadily over the past several years. In FY 1991, we must
continue to integrate criminal enforcement within each
media, and to improve Federal facilities compliance to
assure that the compliance rates of these facilities are at
least as high as other source categories. We need to expand
cooperative efforts with other regulatory agencies (such as
OSHA and the SEC) whose compliance responsibilities cover
some of the same facilities and industries as our own. We
need to make sure that violators are detected, convicted,
penalized, and made to bear the cost of cleanup. We must
create a climate which compels everyone to prevent pollution
and minimize waste.
We need to develop a targeted, cross-media approach to
identifying and correcting violations. During the next
several years, the programs will make use of the Agency's
new and enhanced data systems to develop a more focused
within-media and cross-media targeting capability based on
health and ecological risk. We are beginning to test this
approach through Regional enforcement pilot projects. In FY
1991, the programs and Regions should target initiatives on
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a geographic, industry, or pollutant-specific basis, and to
use the annual Agreements process to encourage the States to
do the same.
o Greater Public Participation; We must involve all members
of society in meeting the country's environmental
challenges. Protecting the environment will require greater
participation by industry, by conservation groups, by local
and state governments, by other agencies of the federal
government, by other countries. Many of the most promising
new ideas are to be found across the country; they are being
developed and tested by state and local governments, private
firms, not-for-profit groups, and others. We must work with
local innovators, listen to their ideas, promote the
successful ones, and foster the transfer of innovative
approaches nationally and internationally.
I encourage every program office to reach out and to
strengthen working relationships with the full range of
interested parties.
o Improved Scientific Understanding; We must improve upon our
efforts in the environmental sciences, from tracking
environmental problems to the measurement of results.
Predicting the environmental and health effects of
pollution, standard setting, enforcement, improving
pollution control technologies, and pollution prevention —
all depend on science. Good science is at the core of
determining how to use our limited resources to achieve the
greatest and most beneficial risk reduction.
Preventing pollution, better management, strong enforcement,
increased public participation, and expanding scientific
knowledge — these will help us protect human health and the
environment now and for future generations.
We have a special opportunity in the years ahead to set the
course and pace of environmental policy in the 1990s and well
into the next century. We have a chance to make a tangible
difference at home and abroad. Let's get to it! Best wishes for
a successful and challenging year.
William K. Reilly
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Office Of Air
And Radiation
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OFFICE OF AIR AMD RADIATION
FY 1991 OPERATING GUIDANCE
TABLE OF CONTENTS
FY 1991 AIR AND RADIATION OPERATING GUIDANCE
APPENDIX I :
A. Envi
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
MAJOR OBJECTIVES AND PRIORITY ACTIVITIES
PM-10
Stratospheric Ozone Depletion
Acid Deposition
Other Environmental Priority Problems .
B. Other OAR Program Activities
1.
2.
APPENDIX IX:
Technology Transfer
Waste Minimization and Pollution
Prevention
STARS MEASURES AND DEFINITIONS ....
. 15
. 16
. 17
. 18
. 19
. 25
. 28
. 32
. 35
. 37
. 38
. 39
. 40
. 41
. 41
.42
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OFFICE OF AIR MID RADIATION
ASSISTANT ADMINISTRATOR'S OVERVIEW
FY 1991 is likely to be the first full year of
implementation of a revised Clean Air Act. This operating
guidance provides direction for 1991 priorities while recognizing
that there are still many uncertainties about the final
requirements of the proposed Clean Air Act amendments.
This 1991 guidance is consistent with the FY 1992-1995
strategic plan for the Office of Air and Radiation. Through the
strategic planning process, OAR has established seven high
priority program areas:
o Stratospheric ozone depletion
o Global warming
o Acid deposition
o National Ambient Air Quality Standards attainment
o Air toxics
o Radon and indoor air
o Radioactive waste and emergency response
For each area, the strategic plan identifies priority
activities for FY 1992 to FY 1995. This operating guidance and
the subsequent Clean Air Act implementation plan are the basis
for accomplishing those priorities. During FY 1991, the focus of
activity to implement the revised Clean Air Act will be
development of regulations and guidelines by headquarters. In FY
1992 the focus will move to the regions and states to begin
implementation.
The FY 1991 President's budget proposes a substantial
increase in resources to implement the revised Clean Air Act.
OAR will continue to work with the regions, and state and local
agencies to define the costs of implementation.
Because of uncertainties about the final requirements of the
amendments, this guidance lacks some of the details that are
normally included. There are no STARS measures or detailed
activities for air activities that will be affected by the Clean
Air Act amendments (ozone/carbon monoxide, PM-10, air toxics, and
acid deposition). However, there are STARS measures and detailed
activities for radiation. There are also detailed activities for
stratospheric ozone depletion, global warming, and indoor air.
The Office of Air and Radiation (OAR) plans to issue grants
guidance by May 30, 1991 for use by regions and states in
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negotiating FY 1991 grants. The grants guidance will contain
detailed descriptions of FY 1991 activities based on our best
understanding of the status of the amendments. When the
amendments are passed, OAR, working with the regions and states,
will complete a multi-year Clean Air Act implementation plan.
This guidance contains two appendices. Appendix I, Major
Objectives and Priority Activities, describes in more detail the
high priority components of national programs and the activities
that must be undertaken by EPA and by state, local and Tribal
agencies to carry out the national strategy for addressing each
problem. The description of national programs is followed by a
discussion of the environmental indicators that will b« used to
assess progress in meeting environmental objectives. The
appendix then lists the major program activities for
headquarters, regions, and states ("state" is often used
generically in the guidance to identify actions that may also be
carried out by local or Tribal agencies). The activities are
coded to indicate a high priority activity (P), a new activity
(N), increased emphasis on an activity (+), or decreased emphasis
on an activity (-). The list of program activities is followed
by a summary of the support that will be provided by EPA's Office
of Research and Development (ORD). Finally, the appendix
summarizes the activities that EPA regional offices will
undertake during FY 1991 to enhance the implementation of
national priorities or address region-specific problems with high
health or environmental risks. Appendix II contains the STAR
measures and definitions for FY 1991.
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FY 1991 AIR AND RADIATION OPERATING GUIDANCE
A. Impact of Proposed Clean Air Act Amendments
President Bush has proposed amendments to the Clean Air Act (HR
3030}. The proposed amendments include revisions to attainment
requirements for National Ambient Air Quality Standards (NAAQSs),
a clean fuels program, revisions to motor vehicle emission
standards, a new approach to addressing toxic air pollutants, new
requirements for state permit programs supported by permit fees,
a new program to reduce acid deposition, and new enforcement
authorities.
These amendments, now being considered by Congress, are likely to
become law during FY 1990 and will have a significant impact on
the FY 1991 air and radiation programs.
Because of uncertainties about FY 1991 Clean Air Act
requirements, EPA is not able to develop detailed air operating
guidance at this time. This guidance therefore focuses on those
air activities that will continue from FY 1990 to FY 1991 and
identifies some possible new FY 1991 activities based on the
Clean Air Act Amendments proposed by the President.
EPA expects to prepare detailed FY 1991 air operating guidance
after Clean Air Act Amendments are passed. This guidance will
most likely take the form of a multi-year Clean Air Act
implementation plan that identifies the roles and
responsibilities of EPA Headquarters Offices, Regional Offices,
and state and local governments.
EPA also plans to issue detailed FY 1991 grants guidance by May
30, 1990. The grants guidance will focus on FY 1991 state, local
and Regional activities and should be used as the basis for
negotiation of FY 1991 air program grants.
B. Major Environmental Priorities
In addition to new priorities that may be established by the
revised Clean Air Act, the FY 1991 air and radiation programs
will continue to focus on the major environmental priorities
ranked as most important by states and EPA Regional Offices in a
1989 survey. EPA's 1987 analysis of comparative risks,
"Unfinished Business: A Comparative Analysis of Environmental
Problems," showed that air and radiation problems represent
health and environmental risks that are among the highest the
Agency faces. These findings were confirmed by subsequent
analyses by Regional Offices. FY 1991 priorities are those
listed below.
Achieve NAAQBs . in FY 1991 EPA will continue to place the
highest national priority on aggressively carrying out programs
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to attain NAAQSs for ozone, carbon monoxide and size-specific
particulate matter (PM-10). Activities under the current post-
1987 nonattainment program will continue. New activities will be
based on requirements of the revised Clean Air Act.
international problems. Stratospheric ozone depletion, indoor
air pollution, and global warming have become major national and
international concerns. In FY 1991 EPA will continue to provide
Federal leadership in developing national and international
policies and programs to address these major environmental
problems.
Reduce the risk of exposure to unhealthful levels of radiation
from indoor radon. In FY 1991 EPA will continue to work in
partnership with the states to develop and implement programs to
reduce levels of radon in homes, schools, and workplaces.
Reduce the health risks from toHio air pollutants. In FY 1991
EPA will implement a national strategy that is consistent with
proposed revisions to the Clean Air Act. EPA will continue to
work to increase the capabilities of states to address local
concerns involving high-risk point sources or multi-pollutant,
multi-source urban problems.
emissions. In FY 1991 EPA will work with other Federal agencies
and with states to reduce the risks of radioactive wastes and
emissions.
Develop and implement progr**"» to reduce acid deposition. The
proposed Clean Air Act Amendments contain new provisions for
sulfur dioxide and nitrogen oxide emission reductions through a
system of allowances. EPA will begin to develop implementing
regulations and a system to track allowances and emissions. EPA
will continue to work with the Department of Energy (DOE) on the
Clean Coal Technology Program and support Administration
activities with Canada to achieve a bilateral accord on emissions
technology, controls, and limits.
c. FY 1991 Strategies for tbe Air and Radiation programs
1. Achieve NAAQSs
Ozone/carbon monoxide attainment. The Clean Air Act Amendments,
once enacted, will affect the ozone/carbon monoxide control
program. However, most of the activities required by the post-
1987 nonattainment program will likely be required under the
amendments. Therefore, states should not delay action under the
current program pending passage of a revised Clean Air Act.
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Additional progress towards attainment of the current NAAQS for
ozone and carbon monoxide will require: (1) continued
implementation and enforcement of existing EPA, state, and local
measures to reduce levels of ozone and carbon monoxide, (2)
completion of additional state actions for areas with state
implementation plans (SIPs) determined by EPA to be
"substantially inadequate," and (3) implementation of new
amendments to the Clean Air Act and/or a new national policy for
post-1987 nonattainment areas.
In May 1988 EPA notified 42 states and the District of Columbia
that their SIPs were substantially inadequate for ozone and/or
carbon monoxide nonattainment areas. In November 1989, EPA
notified 16 states that their SIPs were substantially inadequate
for additional nonattainment areas, based on more recent 1988 air
quality data. These formal notifications, or "SIP calls," caused
the affected states to begin a process to correct any
discrepancies between their current SIPs and EPA guidance,
satisfy any unfulfilled commitments in the SIPs, and update the
base-year emissions inventories. Some states must also monitor
nonmethane organic compounds (NMOCs). States in the first group
were scheduled to submit revised regulations to EPA in late FY
1989 and draft emissions inventories in early FY 1990, while
states in the November 1989 round are scheduled to meet these
targets in FY 1991. The process of securing complete and
adequate state responses to the "SIP call" has been delayed and
some of the work will likely be carried over in FY 1991.
In FY 1991 EPA and the states will need to carry out a number of
activities to further the ozone/carbon monoxide control program.
These include: (1) collection and analysis of air quality data
and assessment of the adequacy of monitoring networks; (2)
assessment of the adequacy of volatile organic compound (VOC)
regulatory portions of SIPs, including the responses to EPA's May
1988 and November 1989 notifications; (3) performance of
compliance investigations, audits, and follow-ups; and (4)
continuation of rule-effectiveness studies.
The enforcement program will maintain its ability to focus
resources in FY 1991 on generic compliance problems through
targeting initiatives, such as by geographic area or industry
category. Such targeting may be region specific or it may result
from identification of a nationwide problem by Headquarters.
In FY 1991 states will maintain and operate their existing
National Air Monitoring System (NAMS) and State and Local Air
Monitoring System (SLAMS) networks and report data according to
established schedules. EPA will evaluate the ozone and carbon
monoxide data collected by state and local agencies and use the
results to help identify any additional areas failing to attain,
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and therefore having deficient SIPs. EPA will continue to issue
"SIP call" notices to states, where appropriate.
Within available resources, during FY 1991 state and local
agencies should conduct evaluations of their carbon monoxide and
ozone networks to determine whether the existing networks provide
adequate surveillance of all areas designated as nonattainment.
For ozone, such evaluations should draw upon available modeling
results and should address the needs of the modeling planned for
each area, including coverage in rural areas impacted by
transport. For carbon monoxide, such evaluations should include
short-term saturation studies using low cost, portable, battery
operated monitors to determine the adequacy of the existing fixed
site networks, and ensure that areas of potentially high
concentrations are being monitored. Based on the results of
these evaluations and saturation studies, modifications to the
NANS and SLAMS network descriptions should be prepared and should
include the acquisition or relocation of samplers and the
establishment of new sites. For both carbon monoxide and ozone,
all monitors should be assessed for age and condition and a plan
prepared for the replacement of monitors found to be in poor
condition.
In FY 1991 EPA expects that states will be completing corrections
to 1987 or 1988 base year ozone/carbon monoxide SIP emission
inventories based on EPA's review of these inventories conducted
during FY 1990. As a result of the November 1989 SIP calls, some
states will be conducting inventories in FY 1990. These will
also be subject to correction activities during FY 1991.
Also during FY 1991, states will continue using EPA's guidance
for development of future year projections of the baseline
inventory. Projection guidance is scheduled to become available
in mid-FY 1990.
The revised Clean Air Act will likely require that the base year
for the ozone/carbon monoxide SIP inventories be the year of
enactment (probably 1990). States will therefore be obliged to
make updates to their 1987 or 1988 inventories. In addition,
checks will be needed to ensure that consistent procedures and
assumptions are used in areas subject to major transport.
However, efforts to build and quality assure the 1987 or 1988
inventories will not be wasted. Soon after enactment, EPA is
planning to issue guidance on how to update the earlier
inventories. Major considerations for this guidance are the
accuracy of the initial inventory, the efficiency of conversion,
consistency of estimation techniques, and the availability of
state, local, and Regional resources to accomplish the work. For
example, EPA expects that only larger point sources will need to
be resurveyed under the new updating guidance. For most sources
the guidance will prescribe less resource-consuming estimation
factors or techniques to reflect activity levels in the new base
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year. States should complete corrections to the 1987 or 1988
inventories before updating them to the year of enactment. Under
a new Clean Air Act, updating of the baseline inventory should
take precedence over the future year projection activity.
The above activities mainly involve the building of basic
inventories of emission sources that are compatible with EKMA-
type model applications. For severe and serious ozone
nonattainment areas, the proposed Clean Air Act Amendments may
require application of an AIRSHED type photochemical model. Such
models have additional data needs beyond what is collected in a
basic inventory (e.g., gridding and speciation). Therefore, for
these areas the inventory development burden would be increased
and, in some cases, preliminary modeling analyses would be
performed. EPA plans to issue specific inventory development
guidance for photochemical modeling in late FY 1990 or early FY
1991. Efforts to provide training and guidance to states
anticipating use of the Urban Airshed Model will be undertaken.
Additionally, special modeling activities, such as those being
conducted in the Northeast and the Great Lakes area, will
continue throughout the fiscal year.
In FY 1991 EPA will provide states with continuing guidance in
the assessment and correction of SIPs. EPA will continue to
coordinate implementation of the program to review the
effectiveness of selected rules. In addition, the Agency will
help states conduct studies, identify and implement corrective
actions to existing regulations, and modify SIP strategies and
demonstrations, if necessary. EPA will maintain technical
support clearinghouses to assist states in development and
implementation of rules.
In FY 1991 EPA will work with states to enhance compliance of
stationary sources of VOCs in ozone nonattainment areas, thus
ensuring that compliance with control requirements remains at a
high level. EPA and the states will give special attention to
identifying and resolving significant violators of VOC emission
requirements. Part of this effort includes implementation of
guidance on defining a Federally reportable violation and the
timely and appropriate enforcement response. States will
continue inspection of Class A sources, consistent with EPA
compliance monitoring strategy guidance.
In FY 1991 EPA will continue work on the development of new
Federal rules for VOC emissions sources that include
consumer/commercial products, marine vessel loading and
unloading, and architectural and industrial coatings. Work will
also continue on the development of control techniques guidelines
(CTGs) for seven new VOC source categories. These rules and CTGs
will provide support to state efforts to identify additional VOC
control measures.
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During FY 1991 EPA will ensure compliance with Federal motor
vehicle standards through its continuing programs for pre-
production certification, assembly line testing, selective
enforcement audits, and recall. The Agency will also implement
and enforce phase II of the fuel volatility rules scheduled for
promulgation in FY 1990. In addition, EPA will continue to work
with states to ensure a high compliance rate with emissions
standards for in-use vehicles through development and operation
of state and local vehicle inspection programs. The Agency will
continue to evaluate the impact of vehicle running losses on
overall hydrocarbon emissions.
PM-10 Attainment. In FY 1991 EPA and the states will continue
the major restructuring of programs for measurement and control
of particulate matter. This restructuring was initiated with the
promulgation of the PM-10 NAAQS in July 1987. During FY 1991,
EPA will continue to provide technical and financial support to
assist states in developing and implementing PM-10 SIPs. As part
of this effort, EPA will develop additional guidance on PM-10
technical support.
For most Group I areas (i.e., areas with the highest probability
for nonattainment), states should be in final stages of
completing their PM-10 SIPs during FY 1990. Most states will
submit PM-10 SIPs in FY 1990. However, control measures will
continue to be added to the SIPs in FY 1991 for areas having
difficulty controlling nontraditional sources of PM-10.
States should have three complete years of PM-10 ambient
monitoring data for most Group II areas (i.e., areas with
moderate probability of nonattainment) by the end of FY 1990.
EPA will review the data to identify areas that are violating the
PM-10 NAAQS. EPA will guide and assist Group II and Group III
areas (i.e., areas with low probability of nonattainment) that
are violating the PM-10 NAAQS in developing SIPs during FY 1991.
On December 20, 1989, the Sierra Club sued EPA for failure to
take action against those states that failed to submit a PM-10
SIP. It appears the Agency may be able to reach a settlement
agreement with the Sierra Club. Such an agreement would require
SIPs to be submitted on specific schedules and for EPA to take
required actions if those deadlines are not met. Those actions
could include imposition of construction bans, withholding of
grant funds, and the promulgation of Federal Implementation Plans
(FIPs). In addition, EPA may be required to process the PM-10
SIPs on specific schedules. During FY 1991 states will be
expected to submit their SIPs in accordance with the requirement
of any settlement agreement. Regional Offices will be expected
to closely monitor the states' progress and provide technical
assistance and other guidance necessary to ensure that the states
meet their deadlines. In addition, Regional Offices will be
expected to process the state submittals in a timely manner.
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High quality data for determining attainment with the PM-10 NAAQS
and identifying potential problem areas are essential to
effective state and local agency control programs. To collect
such data, state and local agencies responsible for NAMS and
SLAMS networks need to comply with the 40 CFR 58 monitoring and
data reporting regulations. During FY 1990 the SLAMS networks
for all Group I areas should be completed. However, additional
areas requiring SIP development are expected to be identified
during FY 1990 and FY 1991 because of NAAQS exceedances that have
occurred since 1987.
During FY 1991 the Regional Offices should work with state and
local agencies to conduct short-term saturation studies to
evaluate the adequacy of siting and completeness of current
networks, and to identify the impact of probable PM-10
contributions such as residential wood combustion, agricultural
tilling, and diesel emissions in current SIP areas where ambient
levels approach or exceed the NAAQS. Based on the results of
these studies, modifications to the NAMS and SLAMS network
descriptions should be prepared and should include plans for
acquisition or relocation of PM-10 samplers. EPA is developing
PM-10 emission factors based on a source testing initiative,
begun in FY 1990, for priority source categories identified by
Regions and states. EPA will also continue to develop better
control efficiency and effectiveness information for traditional
and nontraditional sources of PM-10.
Other Pollutants. In general, EPA will target its resources
toward NAAQS attainment based on the extent of NAAQS violations,
the size of the population exposed, and the feasibility of
control. Although in FY 1991 EPA will emphasize progress toward
attainment of the NAAQS for ozone/carbon monoxide and PM-10,
attainment problems for other pollutants still exist. This is
particularly true for sulfur dioxide and lead. Certain states
still experience significant localized problem areas and need to
correct their sulfur dioxide and lead SIPs. Current Agency
regulations on stack height still have not been fully
incorporated in some SIPs, and improved continuous compliance
techniques need to be implemented. Lead nonattainment is
confined to areas in close proximity to certain major point
sources. The EPA will work with state and local agencies to
correct sulfur dioxide and lead SIP deficiencies contributing to
the violations, to improve source compliance, and to develop
necessary control measures.
In FY 1991 EPA will promulgate revised or reaffirmed NAAQSs for
sulfur dioxide. If the NAAQSs are revised, EPA will have to
develop significant new program guidance and all states will need
to revise their SIPs. However, regardless of whether NAAQS for
sulfur dioxide are revised, EPA will promulgate a revised
significant harm level. This will require states to revise their
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8
SIPs to adopt new contingency plans to address potential short-
term emergency episodes. Consequently, in FY 1991 the Agency
will be revising regulations at 40 CFR 51.116 and associated
guidance. EPA will also promulgate rules in response to the
remand of portions of the stack height rules. The basic elements
of the sulfur dioxide strategy for FY 1991 include: (1) continue
to process SIP revisions consistent with NAAQSs and general
Agency efforts to improve the quality and enforceability of SIPs;
(2) integrate continuous compliance measures more fully into
ongoing compliance programs; (3) continue ambient monitoring
activities consistent with NAHS and SLAMS regulations; and (4)
explore management opportunities to develop, analyze, and apply
programs designed to reduce emissions, and to integrate remedial
efforts to resolve regulatory deficiencies with other programs
affecting the same areas and/or sources, and (5) promulgate new
or reaffirmed sulfur dioxide NAAQSs, new significant harm levels,
and new stack height rules.
The Agency is currently evaluating whether to revise the lead
standard. If it adopts a more stringent standard, it will
probably require stricter control of stationary sources including
battery plants. Programs to attain the existing lead standard
have generally focused on phasedown of lead in gasoline and
control of a few point sources. Thus, the lead monitoring
program has targeted selected metropolitan areas and a few point
sources. Monitoring is not conducted in the vicinity of many
smaller point sources. In FY 1991 states should evaluate the
existing lead monitoring network and deploy monitors around known
lead sources not currently being monitored.
2. Reduce Indoor Radoa Levels
The Indoor Radon Abatement Act (IRAA), signed into law in FY
1989, directs EPA to undertake a variety of activities to address
the growing scientific and public concern over dangers posed by
exposure to radon. This legislation authorizes funding for
financial and technical assistance to states, a national survey
of radon in schools, the establishment of mitigation and testing
proficiency programs, regional training centers, and a Federal
buildings survey.
Through its already-established Radon Action Program and other
statutory responsibilities, the Agency will continue in FY 1991
to work to reduce the health risks of indoor radon through
partnerships with states, other Federal agencies, and the private
sector. EPA will continue its state survey program in FY 1991
and will also continue to transfer technical information and
capabilities to states, Indian Tribes, and the private sector in
the areas of radon assessment, mitigation, and prevention. As
part of this effort, the Agency will make available "A Citizen's
Guide to Radon" and issue national model construction standards
and techniques to prevent radon entry in new construction.
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In FY 1991 EPA will complete data analysis and issue a report for
the national survey of radon in residences, and collect data for
the national school survey. EPA will also continue the National
Radon Measurement Proficiency (RHP) and Radon Contractor
Proficiency (RCP) programs to test the capabilities of public and
private organizations to measure and mitigate indoor radon. The
Agency will promulgate a user fee rule for its radon training and
proficiency programs in FY 1991.
In FY 1991 EPA will continue the grant program for states to
assist them in the development and implementation of radon
programs. Preference will be given to states that have
encouraged the adoption of model construction standards and
techniques. The Agency will also continue its regional training
center program initiated in FY 1989.
3. Address Growing National and International Problems
Stratospheric oaone depletion. In FY 1991 EPA will enforce the
actions.promulgated in August 1988 to address chlorofluorocarbon
(CFC) emissions that cause depletion of stratospheric ozone. In
addition, the Agency will play a leadership role in international
efforts to achieve implementation of the Montreal Protocol.
EPA's domestic and international actions are designed to
significantly reduce the levels of CFCs introduced into the
environment. In FY 1991 the Agency will place greater emphasis
on strengthening relationships among EPA Headquarters and
Regional Offices, and with other Federal, state and local
environmental and public health agencies. FY 1991 efforts will
include development of a CFC recycling program.
Global Warming. In FY 1991 EPA will continue to provide
international leadership in addressing activities that could lead
to global climate change. The Agency will continue
implementation of its global climate change workplan and the
recommendations outlined in its Report to Congress.
Indoor Air. In FY 1991 EPA will continue to provide policy and
research coordination and information dissemination, particularly
on high priority indoor air problems. EPA will undertake
demonstration and exploratory projects to assess indoor air
pollution risks in specific environments and mitigation
techniques.
4. Reduce Air Toxics Exposure
Work will continue on developing national emission standards for
hazardous air pollutants (NESHAPs) under section 112 of the
current Clean Air Act. In addition, regulations will be
developed under the Toxic Substances Control Act and Resource
Conservation and Recovery Act, as appropriate. Standards to be
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developed include chromium from electroplating and industrial
cooling towers; emissions from coke ovens; emissions of 1,3
butadiene, carbon tetrachloride, ethylene oxide, ethylene
dichloride, perchloroethylene, methylene chloride,
trichloroethylene, and chloroform from the production and some of
the uses of the chemicals; degreasing, dry cleaning, ethylene
oxide sterilizers, medical waste incineration, municipal waste
combustors; municipal landfills; and hazardous waste treatment,
storage, and disposal facilities.
In FY 1990 and FY 1991 EPA will shift from a pollutant-by-
pollutant approach for developing these standards to a source
category approach that will address all of the hazardous
pollutants emitted from industrial facilities. This approach is
consistent with proposed revisions to the Clean Air Act. Work
will be completed on a source category ranking system that will
combine health effects, emissions, and numbers of facilities for
different industries. In FY 1991 work will begin on developing
standards for top candidates from the ranking system. This work
will focus on gathering data on hazardous air pollutant
emissions, control technologies, control efficiencies, and the
cost of control technologies associated with these source
categories.
EPA will continue to provide technical and engineering support to
state and local agencies through the Control Technology Center
(CTC), the Air Risk Information Support Center (Air RISC), the
Emission Measurement Technical Information Center (EMTIC), and
the National Air Toxics Information Clearinghouse (NATICH).
Through these centers, EPA will provide support in the areas of
control technology feasibility, efficiency, and costs; modelling,
exposure, and risk assessments; toxicity of different chemicals
and compounds; test methods for hazardous air pollutants; and
availability of Federal, state, and local government reports on
air toxics. State and local agencies can also access the Toxic
Release Inventory System directly through the NATICH database.
Work will continue to review the exposure assessment methodology
to seek ways to improve the estimates of annual long-term
exposures and short-term peak release exposures to air toxics.
In addition, a combined effort between EPA's Office of Air and
Radiation and Office of Research and Development will continue to
develop reference dose levels for toxic air pollutants and their
short-term noncancer health effects. The EPA will begin a study
in FY 1991 to develop estimates of the risks associated with the
use of consumer products. When completed, the information will
be made available to the public to make informed decisions on
which products they wish to use. EPA will continue to review and
analyze air toxics emissions data submitted annually by
industrial facilities to the Toxic Release Inventory.
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EPA will increase efforts to control toxic emissions from motor
vehicles and vehicle fuels. For example, EPA will develop new
regulations for testing fuels and fuel additives prior to
registration, for controlling diesel fuel composition, and for
controlling emissions from alternative fueled vehicles. EPA will
also continue to monitor the effectiveness of the lead phasedown
program and vigorously prosecute violators of the lead phasedown
rules. Implementation of the Federal Motor Vehicle Control
Program to address ozone and carbon monoxide problems will
continue to yield benefits in controlling air toxics.
Another element of the national strategy is to improve the
ability of state and local agencies to address air toxics. In FY
1991 EPA will continue to support development and implementation
of multi-year state and local plans for reducing air toxics
exposures. Nearly all state and major local agencies now have
such plans, which contain specific performance milestones. In FY
1991 EPA will stress implementation of previous commitments,
adoption of new plan milestones, and integration of air toxics
assessment and mitigation activities with ongoing particulate
matter and ozone SIP activities. The Agency will place increased
emphasis on controlling existing sources.
In FY 1991 EPA will give priority to implementing the revised
compliance strategy for the asbestos NESHAP and the compliance
monitoring strategy for non-transitory NESHAP sources. The
Agency is particularly concerned with the present level of
compliance with the asbestos NESHAP and plans several activities
to address this problem in FY 1991.
In FY 1991 EPA will maintain the ability to focus resources on
generic air toxics compliance problems through targeting
initiatives, such as by geographic area or industry category.
These initiatives will be designed to address emissions of toxic
air pollutants, including unregulated pollutants, from potential
high risk facilities.
In FY 1991 Regions and states should develop and implement
programs to identify asbestos non-notifiers. Prompt enforcement
action should be taken when non-notifiers are found to be in
violation of substantive requirements. Regions and states should
inspect radionuclides sources that have not been inspected since
the effective date of the regulations. Regions and states should
develop inventories of all covered benzene sources and monitor
compliance with waivers of compliance.
5. Address Radioactive Wastes Nationwide
EPA is a major participant in the Federal program for the
disposal of radioactive wastes. In FY 1991 EPA will promulgate
disposal regulations for high-level and low-level radioactive
wastes and make recommendations to other EPA organizations that
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cover radioactive materials in their regulations. EPA will also
work with other agencies in their concurrent development of
regulations to implement EPA's standards. Additionally, EPA will
play an important role in the review of other agencies' major
decision documents.
Clean-up of Superfund sites poses unique and difficult problems
when the hazardous materials at those sites are contaminated with
radioactive waste. In FY 1991 EPA will continue to provide
technical assistance in the identification, characterization, and
clean-up of contaminated sites. EPA will continue to support
Superfund activities to develop guidance under SARA that
adequately address radionuclides. EPA will continue development
of the hazard ranking system and implementation of the national
contingency plan, in addition, EPA will continue field
applications of waste volume reduction technologies for naturally
occurring radium/thorium and uranium.
6. Reduce Acid Deposition
During FY 1991 EPA will continue its participation on the
Domestic Policy Council and the U.S. Bilateral Advisory and
Consultative Group with Canada. EPA will use existing state and
Regional organizational networks to identify information needs
and promote increased utilization of energy conservation. EPA
will continue to advise DOE, through the Innovative Control
Technology Advisory Panel, on DOE's $2.5 billion Clean Coal
Technology Program. EPA will attempt to resolve controversial
air permit issues for the Clean Coal Technology program and other
innovative control projects.
Depending on the requirements of a revised Clean Air Act, EPA
will develop guidance and promulgate rules for the allowance,
continuous emission monitoring, clean coal technology
demonstrations, and permit systems proposed under Title V of the
proposed Clean Air Act Amendments.
7. Other Priority Environmental Problems
Emergency Response to Releases of Hazardous Radioactive
Materials. As a major participant in the Federal radiological
emergency preparedness and response program, EPA's principal
duties are to assess hazards, provide recommendations on
protective action, and coordinate Federal monitoring following
the emergency phase.
Visibility Protection. On September 5, 1989, the EPA proposed to
attribute a significant portion of the visibility impairment
observed during the winter months in the Grand Canyon National
Park to the Navajo Generating Station located near Page, Arizona.
In accordance with recent revisions to the settlement agreement
governing this action, EPA must propose new emission limits for
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the Navajo Generating Station by February 1, 1991. The EPA
expects to finalize its September 5, 1989 attribution decision
and promulgate new emission limits for the Navajo Generating
Station in FY 1991.
EPA Headquarters is developing a recommended method for
visibility monitoring. Following completion and review of the
method, guidance will be issued.
8. Other OAR Program Activities
Compliance Oversight. EPA Headquarters will work with Regions
and state and local agencies to improve their compliance
programs. Regions and state and local agencies should implement
the compliance monitoring strategy, including a planning and
oversight program.
New source review task force r*"*l"<'"»Mations. In FY 1991 EPA
will continue to emphasize the establishment and implementation
of effective preconstruction review programs in state and local
agencies. EPA will provide guidance, training, workshops,
auditing, enforcement, and technical support.
Technology Transfer. In FY 1991 EPA will continue its efforts to
build capabilities at the state and local level and to facilitate
the commercialization of new technologies. Planned activities
for FY 1991 include operating major clearinghouses and technology
centers, holding formal training courses, providing self-study
material, and funding the university fellowship program.
Waste Minimisation and Pollution Prevention. Over the past few
years, recognition of the limitations of traditional "end-of-
pipe" pollution controls has focused increased attention on waste
minimization programs. Contingent upon -available resources, EPA
plans to continue work in several areas, including: methods of
avoiding the generation of mixed chemical/radioactive wastes, the
use of alternative fuels, and the development of substitutes and
alternative technologies for CFCs and halons.
Public Involvement and Education. EPA will continue to work to
ensure full opportunity for public involvement and education in
existing programs such as NAAQSs attainment, the Radon Action
Plan, and the Montreal Protocol for stratospheric ozone
depletion. Effective implementation of a revised Clean Air Act
will require substantial public involvement and education. EPA
will explore mechanisms to improve early identification of issues
requiring public involvement and work to develop mechanisms for
providing appropriate participation and education.
Training. The primary goal of this program is to provide
information transfer and training for air pollution control
professionals to enable them to implement requirements and
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programs under the Clean Air Act. New courses are developed, as
needed, and instructional materials are revised and updated and
provided to university training centers. The EPA staff work with
university centers to develop state and local self-sufficiency in
training by offering courses at area training centers.
In FY 1991 the Agency will continue to manage its program of
training persons involved in air pollution control at the state
and local levels. The program will continue to develop, update
and revise short courses. In addition, self-instructional
training will be provided to persons involved in air pollution
control and abatement at the state and local level. Technical
support will be provided to states and Regions that provide
funding for planning specialty workshops and training courses.
Tribal Implementation Plans. EPA will continue to support Indian
Tribes. However, under the present Clean Air Act, it is not
clear if EPA is authorized to approve Tribal Implementation Plans
(TIPs) if submitted. The proposed Clean Air Act Amendments
authorize EPA to treat Tribes as states.
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APPENDIX I; MAJOR OBJECTIVES AND PRIORITY ACTIVITIES
This appendix describes in more detail the high priority
components of national air and radiation programs. The
description of national programs is followed by a discussion of
the environmental indicators that will be used to assess progress
in meeting environmental objectives. The appendix then lists the
major program activities for Headquarters, Regions, and states.
The activities are coded to indicate a high priority activity
(P), a new activity (N), increased emphasis on an activity (+},
or decreased emphasis on an activity (-). The list of program
activities is followed by a summary of the support that will be
provided by EPA's Office of Research and Development.
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A. ENVIRONMENTAL PROBLEMS
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1. Ozone/Carbon Monoxide
Major objectives and priority activities for FY 1991 for
ozone/carbon monoxide NAAQSs attainment will be developed after
passage of Clean Air Act Amendments.
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2. PM-10 NAAQS implementation
Major objectives and priority activities for FY 1991 for PM-
10 NAAQSs Implementation will be developed after passage of Clean
Air Act Amendments.
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3. Indoor Radon
a. overview of National Strategy
Continue Radon Action Program. The EPA Radon Action Program was
instituted in FY 1986 to address the hazard of elevated radon
levels in houses and other structures. The overall goal of this
program is to minimize the health risks of radon through
partnerships with states, other Federal agencies, and the private
sector. To accomplish this, EPA is developing and disseminating
technical information to encourage and support the development of
state and Indian programs and private sector capabilities in the
areas of radon assessment and mitigation.
Data collected during the first three years of the Radon Action
Program through state surveys, the House Evaluation Program,
private vendors, and other sources led the Agency and the U.S.
Public Health Service to jointly issue a radon public health
advisory on September 12, 1988. The advisory stated that indoor
radon gas is a national health problem that causes thousands of
deaths each year. The advisory established a national policy
that most homes be tested for radon. Further, the advisory
recommended that the problem should be corrected if elevated
levels were confirmed. On October 18, 1989 the Advertising
Council launched a national media campaign to publicize the
seriousness of the radon health problem and to urge citizens to
test their residences for radon and take corrective action when
needed.
The Radon Action Program consists of four major elements to
address the hazard of elevated radon levels:
o Problem Assessment: To identify areas with high levels
of indoor radon and to determine the national
distribution of radon levels and associated risks.
o Mitigation and Prevention: To identify cost-effective
methods to reduce indoor radon levels in existing
structures and to prevent elevated radon levels in new
construction.
o Capability Development: To stimulate the development
of state, Indian Tribe, and private sector capabilities
to assess and correct indoor radon problems, and to
help the public to address radon health hazards.
o Public Information: To work with states and Indian
Tribes to provide timely information to the public on
indoor radon, its risks, and means available to reduce
the risks.
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o Federal Coordination: To provide Federal leadership in
reducing national radon health risks through
cooperation with other Federal agencies in identifying
and addressing elevated radon levels in structures for
which the agencies are directly or indirectly
responsible.
Implement radon responsibilities under SARA. The 1986 Superfund
Amendments and Reauthorization Act (SARA) includes provisions
that direct the Agency to undertake a number of activities to
address indoor radon exposures. Under Title IV of SARA, the
Administrator is responsible for coordinating Federal, state,
local and private sector efforts to reduce indoor radon levels
and for determining appropriate Federal actions to mitigate
environmental and health risks from indoor radon. Section 118 of
SARA directs EPA to conduct a national assessment of the indoor
radon problem in schools, workplaces, and residences, and carry
out a mitigation demonstration program. In addition, SARA
requires EPA to prepare status reports for Congress on various
aspects of the Agency's radon and indoor air programs, including
an annual status report outlining progress of all of EPA's
mitigation demonstration efforts.
Implement statutory responsibilities under IRAA. IRAA
establishes as a goal that indoor air should be as free from
radon as the ambient air. It directs EPA to undertake a variety
of activities to address the growing scientific and public
concern over radon. Many of the provisions of the new law were
already being carried out as part of ongoing activities in the
Radon Action Program. Other provisions, however, required that
EPA institute new activities.
The legislation authorizes EPA, for three years (through FY
1991), to issue grants and provide technical assistance to
states, and to establish at least three regional training
centers. The law also authorizes EPA to conduct a national
survey of radon in schools and to establish mitigation and
testing proficiency programs to be later funded through user fee
systems. IRAA also requires EPA to develop model construction
standards and techniques, update EPA's "A Citizen's Guide to
Radon," and survey Federal buildings.
Carry out PY 1991 implementation plan. In FY 1991 the Radon
Action Program will continue to implement its base activities and
the new activities authorized by IRAA. These IRAA activities
include the state grant program, the National Radon Contractor
Proficiency program, regional training centers, an update of "A
Citizen's Guide to Radon," work in schools, development of model
building standards, and technical assistance to build
capabilities at the state and local level.
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b. Environmental and Effectiveness indicators
The Congress and the Agency have placed a high priority on
assessing the magnitude of the indoor radon problem across the
country. EPA will continue in FY 1991 to assist states and
Indian Tribes in conducting surveys and working with private
vendors to compile measurement data in a national data base. EPA
will also continue to acquire new data through its national
surveys of residences and workplaces. Because of the extreme
variability of radon levels from site to site, it is vitally
important that as many houses, schools, and workplaces as
possible be measured. A first environmental indicator of the
extent of public health risk is the number of individual
structures measured that have radon problems. By the end of FY
1989, approximately two million indoor radon measurements had
been made in various parts of the country. Based on these and
other preliminary data, EPA estimates that 10 percent of the
approximately eighty million houses in the United States have
indoor radon problems. As the number of measurements in the data
base increases, our quantitative understanding of the problem
will improve.
The number of houses where indoor radon levels have been reduced
to, or below, the current EPA action level of four picocuries per
liter (pCi/1) is an important environmental and program
effectiveness indicator. EPA will work closely with states to
collect this data. The Agency expects the mitigation data base
to be considerably improved over the next few years.
c. Major Activities
Headquarters
P (1) Complete data analysis and issue the report for
the national survey of radon in residences. (ORP)
P (2) Collect data for the national school survey.
(ORP)
P (3) Allocate grant funds to Regions to be issued to
states through the State Indoor Radon Grants
(SIRG) program to assist in the development and
implementation of programs to assess and mitigate
radon. Provide national oversight of the SIRG
program including assisting Regions in the
evaluation of states' performance. (ORP)
P (4) Continue the National Radon Measurement
Proficiency and Radon Contractor Proficiency
programs to test the capabilities of public and
private organizat ons to measure and mitigate
indoor radon. Publish results from these
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voluntary programs to provide consumers with
valuable information about measurement and
mitigation firms. (ORP)
(5) Continue to provide the states and selected Indian
Tribes with direct radon-related technical
assistance. Headquarters technical assistance
includes geological consultation, design, and
analytic support for approximately five EPA/state
radon surveys on state and Tribal lands. (ORP)
(6) Continue national oversight of the regional
training center program. Update training
materials and assist Regions in their review of
operation of existing training centers. (ORP)
(?) In coordination with the regional training
centers, continue to provide training and support
for Regional and state programs. Offer two to
three courses providing classroom training in
radon diagnosis and mitigation techniques to
develop Federal, state, Indian Tribe, and private
sector capabilities. Focus on specialty topics
and geographical areas without regional training
centers. (ORP)
(8) Issue model building standards and techniques that
should reduce the levels of radon in new houses.
(ORP)
(9) In coordination with the regional training
centers, continue the House Evaluation Program and
mitigation demonstration projects. Issue annual
report to Congress. (ORP)
(10) Continue the mitigation research program to
develop and demonstrate cost-effective methods for
reducing indoor radon concentrations in a variety
of housing types across the country. (ORP)
(11) Continue efforts to develop and disseminate
information materials to the public about indoor
radon. Initiate a clearinghouse to collect and
distribute information on Federal, state, Indian
Tribe, local, private sector, and international
radon activities. Develop a national radon data
base. Continue the Advertising Council's national
media campaign to promote citizen action. (ORP)
(12) Revise "A Citizen's Guide to Radon" and make it
available to states and Indian Tribes. (ORP)
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(13) Promulgate a user fee rule to recover Agency costs
for radon training and proficiency programs.
(ORP)
Regions
(1) Oversee the implementation of the state grant
program to encourage the development of proactive
state radon programs appropriate to individual
state radon problems. Assist states in preparing
their grant applications. Negotiate and award
grants, and evaluate the states' use of grant
funds.
(2) Oversee the operation of regional training
centers. Ensure the proper use of EPA training
materials and proper testing of participants in
the training programs.
(3) Expand public outreach activities by working with
states and Tribes to assist them in developing
public education materials, including public
service announcements, brochures, and posters.
Continue to provide the latest EPA publications to
the states and Indian Tribes so they can meet
public requests for information and answer public
questions on radon issues. Promote the adoption
of model building codes by state and local
governments.
(4) Coordinate Federal radon activities at the
Regional level. Coordinate school and workplace
efforts in the field.
(5) Continue to provide technical support to states
and Indian Tribes to aid them in developing their
technical capabilities and radon programs.
(6) Participate in assessment and mitigation programs.
(7) Respond to inquiries from the public, real estate,
commercial, legal, and construction sectors.
Refer citizens and organizations to state and
Tribal contacts when appropriate.
(8) Continue to represent the Agency in meetings with
state, local, Tribal, and private sector
organizations to discuss EPA's radon program
activities.
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States
P (1) Use Federal grant funds to develop and implement
core and enhanced state programs in the areas of
problem assessment, problem response, public
information, and program management to assess and
mitigate radon. FY 1991 will be the second full
year of this program; states are expected to
provide a 40 percent match of Federal funds.
+ (2) Continue to initiate survey activities to assess
the extent of the radon problem.
+ (3) Coordinate with Local Education Associations
(LEAs) and other appropriate state and local
organization to implement the national school
survey and to identify and reduce radon exposure
in schools and day care centers.
(4) Ensure that state staffs are adequately trained to
understand radon measurement and mitigation
techniques and to properly respond to inquiries on
radon problems and issues.
(5) Coordinate with local governments and
organizations to develop strong outreach programs
that will increase public action in identifying
and reducing radon exposure. Obtain a wide
variety of public information materials on radon
and establish mechanisms to make these materials
available to constituents.
+ (6) Be proactive in the adoption of radon building
codes in state, county, and other jurisdictions
that have building codes.
d. Research and Development support.
ORD performs key functions in support of the national radon
program. lit FY 1991 ORD will continue to demonstrate radon
mitigation techniques in a variety of structures and will use the
results to publish updated handbooks and technical manuals that
detail mitigation techniques for homeowners and builders. ORD
will also expand its current mitigation demonstration program to
address schools with elevated levels of radon.
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4. Stratospheric Ozone Depletion
a. Overview of National strategy
The primary goals of EPA's stratospheric ozone depletion program
are:
o To ascertain the extent of chlorine loadings to the
stratosphere and their effect on ozone depletion.
o To examine global implications of the Antarctic ozone
hole, and corresponding environmental and health
effects at various levels of depletion.
o To reduce the use and production of CFCs and other
ozone depleters, in the United States and world wide.
o To facilitate the development of alternate technologies
and chemicals.
To achieve these goals, the national strategy for addressing
stratospheric ozone depletion includes the following five
components :
o Full implementation of the August 1988 domestic rule
(and its amendments) for the reduction and control of
CFCs and halons.
o Intensified response by the Agency to the International
Protocol signed by 24 nations in Montreal on September
16, 1987. As of the beginning of FY 1990 47 nations
had signed the Protocol.
o Determination of the need for additional rulemakings,
including recycling.
o Assessment of the need to reduce total chlorine
loadings to the stratosphere by completely eliminating
controlled substances in conjunction with limiting
carbon tetrachloride and methyl chloroform.
o Ortater emphasis on strengthening relationships among
EVA offices and with other Federal, state, and local
environmental and public health agencies.
b. Environmental and Effectiveness indicators
Levels of CFC and halon production will be used as indicators to
assess progress in achieving the goals of the stratospheric ozone
depletion program.
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c. Major Activities
Headquarters
Continued implementation of the Administrator's regulatory
decision.
P, + (1) Operate information and program systems to implement
the final rulemaking to control CFCs and halons.
(OAIAP and OAQPS)
P, + (2) Continue to implement systems for enforcement,
verification, tracking and monitoring compliance with
domestic rulemakings. (OAIAP and OAQPS)
+ (3) Subsequent to the public comment period on the Advance
Notice of Proposed Rulemaking (ANPRM) decisions made in
FY 1989 and FY 1990, undertake regulatory activities
such as development of a national recycling program.
(OAIAP)
(4) Revise risk assessments. Analyze implications of
Antarctic ozone holes and global trends. Analyze new
threats to the ozone layer. (OAIAP)
(5) Improve coordination among offices in EPA (e.g., ORD;
the Office of General Counsel; the Office of Policy,
Planning, and Evaluation; and the Office of
International Activities) and with those outside EPA
such as the Department of State, the National
Aeronautics and Space Administration, the National
Oceanic and Atmospheric Administration, the Department
of the Interior, the U.S. Trade Representative, the
Customs Service, and the United Nations Environmental
Program (UNEP). (OAIAP)
(6) Address emerging scientific issues including global
implications of the Antarctic ozone hole and chlorine
loadings to the stratosphere. (OAIAP)
International Agreements.
P, (1) Provide active and participatory leadership in
implementing and renegotiating the Montreal Protocol.
(OAIAP)
(2) Enhance exchange of technical information on CFC and
halon reduction technologies. (OAIAP)
+ (3) Improve outreach through mechanisms such as undertaking
international missions with interested nations to
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encourage maximum participation in Montreal Protocol
agreement. (OAIAP)
(4) Provide for analysis of trade issues in the Montreal
Protocol agreement. (OAIAP)
(5) Improve cooperation with the State Department, and make
arrangements with UNEP for exchange of information
about domestic rulemaking implementation. This
activity includes collection and reporting of
statistics on production, use, enforcement, and
compliance. (OAIAP)
+ (6) Enhance technical assistance to lesser-developed
nations. (OAIAP)
Update risk assessment and management studies.
P (1) Evaluate science and new technologies leading to
revisions to CFC risk assessment documentation.
(OAIAP)
P (2) Continue to evaluate other chemical substitutes for
refrigeration systems, automobile air conditioning
systems, fire-fighting foams, and other CFC uses.
Evaluate toxicological testing of new chemical
substitutes. (OAIAP)
Regions
(1) Coordinate response to inquiries from the public or
industry, disseminate EPA information materials, and
inform state and local governments about the
stratospheric ozone protection program.
(2) Conduct field investigations to insure compliance with
domestic rulemakings and participate in enforcement
proceedings as necessary.
d. Research and Development Support
In FY 1990 EPA significantly expanded its stratospheric
modification research, and this effort continues into FY 1991.
ORD has prepared a long-range research plan for stratospheric
ozone that will guide future research efforts. Essential
components of this plan included research on: ecological and
other ecosystems; control technology for and alternatives to
CFCs and halons; immune and other human health effects;
monitoring and trends analysis; and regional modeling of changes
in stratospheric ozone. ORD will also focus on the impacts of
ozone depletion on rice production and other impacts relevant to
lesser developed countries. ORD's research is closely
coordinated with that being planned and performed by other
Federal agencies, to ensure that Federal government efforts are
carried out in a complementary and economical fashion.
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5. Address Radioactive Wastes Nationwide
a. Overview of National strategy
Complete the regulatory agenda for radioactive waste disposal.
EPA is a major participant with DOE, the Nuclear Regulatory
Commission (NRC), and other Federal agencies in the Federal
program for disposal of radioactive wastes. Several major
regulatory tasks remain for the Agency including promulgation of
standards for low-level and high-level radioactive wastes and
development of criteria for residual radioactivity levels at
decommissioned facilities and sites.
Develop low-level waste standards. EPA's primary goal for the
low-level waste program is to help ensure that all states have
access to adequate disposal facilities, including sites to
dispose of radium-contaminated wastes. To help achieve this
goal, the Agency will promulgate a standard for land disposal of
low-level wastes and work with states to develop their
capabilities to oversee the siting and operation of low-level
disposal facilities.
EPA will propose a standard for land disposal of low-level wastes
in FY 1990 and will continue development work on the standard
through the end of that fiscal year and into FY 1991. The
standard is scheduled for promulgation in FY 1991.
Repropose high-level waste standards. Spent nuclear fuel and
high-level and transuranic radioactive wastes are very hazardous
materials that must be disposed of with special care. In July
1987 the U.S. Court of Appeals for the First Circuit vacated EPA
standards for high-level wastes promulgated in 1985 and remanded
them to the Agency for further consideration. This remand left
the various high-level waste disposal programs without a
regulatory framework, although some Federal and state agencies
have agreed to use the 1985 standards as an informal guide. EPA
will repropose the high-level waste standards in FY 1990 and
promulgate the final standards in FY 1991.
Develop criteria for residual radioactivity. In FY 1991 EPA will
resume its efforts to develop guidance and standards to address
problems associated with residual radioactivity at some 20,000
decommissioned facilities and sites where nuclear materials have
been used. The Agency will also develop a national inventory of
such sites. At least 500 of the facilities and sites are large
and significantly contaminated with radioactivity.
Health protection standards are needed for contaminated
facilities because most will ultimately be decommissioned and
released to the public with no restrictions based upon residual
radioactivity. Individual health risks could be very high.
Current Federal guidance, which was not designed specifically for
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29
residual radioactivity, permits up to a one in 100 lifetime risk.
Because decontamination and decommissioning efforts will cost
hundreds of billions of dollars, this is also an issue of
substantial economic importance.
Support Buperfund ait* eia««-up. investigation and clean-up of
Superfund sites pose unique and difficult problems when the
hazardous materials at those sites contain radioactive
components. In their continuing support of the Superfund
program, Headquarters and Regional radiation staffs will provide
advice and technical assistance to identify and clean up
radioactively contaminated sites in a consistent, protective, and
cost-effective manner.
In FY 1991 the Superfund program will also continue to provide
the following types of technical assistance: (1) evaluations of
site-specific radiation problems, (2) sampling and analyses of
potentially radioactive wastes, (3) implementation of alternative
technologies for physical/chemical separation and volume
reduction of radioactively contaminated wastes, (4) evaluations
of remedial actions at radioactive sites, and (5) radiation
response training. Much of this assistance will be provided to
the Regions to aid them in using uniform procedures for assessing
site radiation problems and in evaluating the viability of
prospective site clean-up/remediation technologies and
procedures. EPA will also implement a training and health safety
program to train and monitor Regional, state, and contractor
personnel working at radionuclide and mixed waste sites.
b. Environmental and Effectiveness indicators
EPA will assess two potential environmental indicators for
application in FY 1991. The first indicator will provide some
measure of states' success in entering low-level waste compacts
and in siting low-level waste disposal facilities. EPA's low-
level waste standards must provide the states and the public with
confidence that potential health risks associated with disposal
sites will be minimized. The second environmental indicator
would provide a measure of the number of radioactively
contaminated Superfund sites that have been successfully
addressed, compared to the total number of sites identified.
c. Major Activities
(1) Low-Level Radioactive Waste
Headquarters
P (1) Respond to public comments on proposed low-level
waste standard; continue final standard
development; promulgate the final rule. (ORP)
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30
(2) Provide assistance to states in the application of
site evaluation guidance and computer models.
Continue to make PRESTO risk assessment model
available to states. (ORP)
(3) Provide technical expertise and coordination to
aid states in site selection and standards
implementation by participating in organizations
such as the Conference of Radiation Control
Program Directors (CRCPD), the Low-Level Waste
Policy Makers Forum, and the Host State Technical
Coordinating Committee. (ORP)
Regions
(1) Assist states in interpreting low-level waste
standards, including groundwater protection
requirements (e.g., applying the EPA groundwater
classification system at prospective low-level
waste sites).
(2) Assist states with locating disposal sites by
providing technical assistance using the EPA risk
assessment models.
States
(1)
Use EPA risk assessment models to evaluate
prospective low-level waste disposal sites.
(2) High-level Radioactive Waste
Headquarters
P (1)
(2)
Respond to public comments on the proposed high-
level waste standard. Promulgate the final rule.
(ORP)
Work with Nevada and New Mexico to assess high-
level and transuranic waste disposal sites. (ORP)
(3)
Residual Radioactivity
Headquarters
(1) Resume development of guidance for clean-up of
residual radioactivity at contaminated sites.
(ORP)
Regions
(1) Identify radioactively contaminated sites.
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States
(1)
31
Assist Regions in identifying radioactively
contaminated sites.
(4) superfund support
Headquarters
(1) Continue field applications of the Volune
Reduction/Chemical Extraction (VORCE) project
(e.g., remediation at National Priority List (NPL)
sites such as Glen Ridge/Montelair. New Jersey).
(ORP)
(2) Implement a training and health safety program to
train and monitor Regional, state, and contractor
personnel working at radionuclide and mixed waste
sites.
Regions
(1) Assist in developing site safety procedures and
training units for radiation contaminated
Superfund sites.
States
(1) Identify problems and suggest solutions for
implementation of Federal Applicable or Relevant
and Appropriate Requirements (ARARS) for clean-up
of radiation contaminated Superfund NPL sites.
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6. Global Warning
a. overview of National Strategy
The goals of the global warning program are (1) to take positive
actions over the next three to five years to increase
understanding of the relationship of trace gases in the biosphere
to an apparent global clinate change; and (2) to reduce the
long-tern health and ecological risks associated with global
wanning.
EPA's approach to addressing the global warning problen includes
the following activities:
o Continue development of analytical capability for
analysis of policy issues and continue preparation and
refinenent of a five-year EPA plan.
o Continue to work in cooperation with other Federal
agencies to shape a total national climate program.
o Use reports requested by the Congress as a focal point
for activities.
o Provide information to Congress about options for
altering the rate of trace gas growth in the atmosphere
and the potential environmental impacts of climate
change in areas of water resources, ecosystems,
agriculture, and human health.
o Provide information that can stimulate other countries
concerned with the global climate change issues.
o Assist in identifying emission reduction strategies and
potential economic impacts for consideration at various
levels of government and in the private sector.
b. Environmental and Effectiveness Indicators
The Agency vill use as environmental indicators reductions of
atmospheric concentrations of gases that are found to cause
global warming. These gases include carbon dioxide and other
trace gases such as carbon monoxide, nitric oxide, nitrogen
oxides, and methane.
c. Major Activities
Headquarters
P (1) Assist in implementation of the global climate change
work plan by participating in environmental effects
analysis, trace gas model development, emission
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33
characterization determinations, general circulation
modeling, and control strategy analysis. (OPPE)
(2) Provide international leadership through the following
actions:
o Participation, along with UMEP and the World
Meteorological Organization (WHO), in World
Climate Conferences.
o Participation in UNEP and WHO studies with other
interested nations such as the U.S.S.R. and
Canada.
o Providing scientific and technical information to
foreign countries on control options.
o Development, in cooperation with other EPA offices
and Federal agencies, of a national uniform global
warming policy.
o Conduct of a study of environmental effect.
o Providing information to UNEP and interested
foreign countries to increase understanding of
global warming.
(3) Complete development of the reports to Congress.
Participate in developing risk assessment and risk
management aspects of global climate change information
for the reports. Evaluate control options and provide
analysis of impacts on water resources, ecosystems,
forests, and human health effects. Assist in
coordinating production of the reports. (OPPE)
(4) Analyze how various air programs relate to global
atmospheric change. Investigate contribution of
traditional emission sources (such as methane) to
greenhouse issues. Examine whether a joint strategy to
reduce emissions in several areas and influence
greenhouse and traditional pollutants is more effective
than pollutant-by-pollutant approaches. (OAIAP)
(5) Develop data and assess economic impacts of global
warming; assess feasibility of meeting reduction goals.
(OAIAP)
(6) Examine control technologies and strategies; emphasize
those technologies and strategies that reduce emissions
at some level of profit; coordinate with industry to
ensure that necessary concerns are addressed. (OAIAP)
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34
Regions
(1) Coordinate response to inquiries from the public and
industry, disseminate EPA information materials, and
inform state and local governments about the global
warming program.
d. Research and Development Support
As with stratospheric ozone research, global warming research is
being coordinated with other Federal agencies. A long-range
research plan is being produced in conjunction with these other
agencies. Future research will be based on the needs identified
during preparation of this plan. Ecological effects research
will be a key feature in ORD's program. ORD will work closely
with OAR to provide information on control options to Congress.
In addition, ORD will provide data needed for policy
decision-making, preparation of EPA's five-year plan, and the
Federal national climate program.
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35
7. Indoor Air
a. Overview of National Strategy
The goals of the program are: (1) to identify the nature and
magnitude of the health and welfare problems posed by indoor air
pollution, and (2) to reduce the risk to human health and
productivity by reducing exposure to indoor air pollutants.
Recognizing the need to develop a more systematic approach to
indoor air quality problems, Congress included provisions in
Title IV of SARA requiring EPA to conduct a research and
information dissemination program and submit a Report to Congress
with "appropriate recommendations" covering the Federal role in
addressing indoor air quality issues.
The indoor air strategy that evolved is designed: (1) to
coordinate EPA and other Federal activities, (2) to guide the
preparation and dissemination of information materials, and (3)
to provide policy direction to the EPA indoor air research
program.
b. Environmental and Effectiveness Indicators
EPA is continuing to work towards developing suitable indicators
of environmental improvement.
e. Major Activities
Headquarters
Coordinate indoor air activities of EPA and other government and
non-government agencies.
p (1) Track and coordinate all EPA research, information
dissemination, and technical assistance programs
carried out by other program offices and ORD. (OAIAP)
(2) Serve as the lead co-chair agency of the Interagency
Committee on Indoor Air Quality (CIAQ); organize the
quarterly meetings and update the chart of Federal
indoor air quality activities. (OAIAP)
(3) Assist EPA Regions and state and local agencies in
addressing indoor air problems. (OAIAP)
Prepare and Disseminate Information on High Priority Problems
P (1) Work with appropriate private and public sector
organizations to develop technical materials including:
a manual on environmental tobacco smoke, a manual on
prevention of indoor air quality problems in
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36
nonresidential buildings, an interim guide to new home
construction, a guide to managing indoor air quality in
schools, and a course on indoor air quality for state
and local officials. (OAIAP)
(2) Disseminate publications targeted at the general public
including: a booklet on indoor air quality, a directory
of state indoor air quality activities, a series of
indoor air quality fact sheets, a manual to conduct
building investigations and a physicians handbook.
+ (3) Begin to establish an indoor air quality clearinghouse.
(OAIAP)
(4) work with appropriate private sector organizations to
develop written materials and training programs on how
to conduct building indoor air quality assessments and
problem investigations, and how to correct indoor air
quality problems. (OAIAP)
+ (5) Use Regional Training Centers as information
distribution mechanisms.
+ (6) Complete an inventory of international indoor air
activities.
Regions
(1) Answer inquiries from the public, disseminate EPA
materials on indoor air quality, and encourage state
and local programs to address indoor air problems.
(2) Assist state and local agencies in developing and
implementing indoor air programs (e.g., surveys and
training).
d. Research and Development support
As authorized by Title IV of SARA, ORD will provide data for
information dissemination, technical assistance, and training
efforts. ORD's indoor research program has an interdisciplinary
focus, that includes identifying major sources of indoor air
pollution, assessing the exposure to pollutant and mixtures of
pollutants found indoors, determining the kind and extent of
health effects from typical exposure, and evaluating mitigation
options. Where appropriate, ORD coordinates its research with
that of other Federal agencies.
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37
8. Air Toxics
Major objectives and priority activities for FY 1991 for air
toxics will be developed after passage of Clean Air Act
Amendments.
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38
9. Acid Deposition
Major objectives and priority activities for FY 1991 for
acid deposition will be developed after passage of Clean Air Act
Amendments.
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10. Other Priority Environmental Problems
a. Emergency Response to Release of Hazardous Radioactive
Materials
EPA is a major participant in the Federal emergency preparedness
program established to deal with radiological emergencies, other
participants include the Federal Emergency Management Agency,
DOE, and NRC. EPA's principal duties are to help assess the
nature and extent of radiation hazard, to provide guidance on
acceptable emergency levels of radiation in the environment, and
to coordinate Federal monitoring following the emergency phase of
an accident.
The primary goals of EPA's radiological emergency response
capability are (1) to maintain personnel and equipment in a state
of readiness, and (2) to upgrade the system where necessary to
improve its performance. EPA has prepared a nuclear accident
strategy that includes a comprehensive program for improved
planning for and execution of response to nuclear accidents.
During FY 1991 EPA Headquarters and Regional radiation staffs
will continue to participate in field exercises and provide
training to the states. Regional staff will continue to review
state and local nuclear accident response plans for fixed nuclear
facilities. The Agency will also continue to operate the 268
station Environmental Radiation Ambient Monitoring System (ERAMS)
and explore ways to Improve the responsiveness of this system.
b. visibility Protection
On September 5, 1989 EPA proposed to attribute a significant
portion of the visibility impairment observed during the winter
months in the Grand Canyon National Park to the Navajo Generating
Station located near Page, Arizona. In -accordance with recent
revisions (July 6, 1989) to the settlement agreement governing
this action, EPA must propose new emission limits for the Navajo
Generating Station by February 1, 1990. The EPA expects to
finalize Its September 5, 1989 attribution decision and
promulgate new emission limits for the Navajo Generating station
in FY 1991.
EPA Headquarters is developing a recommended method for
visibility monitoring. Following completion and review of the
method, guidance will be issued.
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B. OTHER OAR PROGRAM ACTIVITIES
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41
l. Technology Transfer
Businesses and consumers are increasingly concerned about
stratospheric ozone protection. The certainty of international
and national regulation is resulting in rapid development of new
technology to protect against the depletion of ozone. This
technology needs to be commercialized in the United States and
transferred to other countries, particularly lesser-developed
nations.
EPA has several projects to facilitate the commercialization of
new technologies within the United States. For example, EPA and
DOD have joined with representatives of industry to test and
certify the ability of new solvents to clean electronic
assemblies. The Agency has also co-sponsored industry-government
projects investigating alternative refrigeration mixtures,
alternative foam structures and refrigeration cycles.
EPA also has several on-going projects to transfer technology to
nations that have signed the Montreal Protocol. These efforts
include participation in international panels of technology
experts, and cooperative basic research projects to reduce the
effects of ozone depleting chemicals.
2. Waste Minimization and Pollution Prevention
Work is proceeding on the development of alternative technologies
for CFCs and haIons, including: recycling and recovering CFCs,
technologies to reduce emissions from haIons, and the assessment
and development of new chemical alternatives for CFCs and halons.
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Office Of
Water
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TABLE OF CONTENTS
Page
I. ASSISTANT ADMINISTRATOR'S OVERVIEW 1
II. ENVIRONMENTAL INDICATORS 10
III. PROGRAM PRIORITIES 11
A. PROTECTING OUR SOURCES OF DRINKING WATER - ACTIVITIES
1. Public Water System Supervision 11
2. Ground-Water Protection 17
3. Underground Injection Control 21
B. PROTECTING CRITICAL HABITATS - ACTIVITIES
1. Ocean Disposal Site Permitting and
Discharge 25
2. Near Coastal Waters/National Estuarv
Program 28
3-. Chesapeake Bay . . 31
4. Great Lakes 32
5. Lake Management 35
6. Wetlands 36
C. PROTECTING SURFACE WATER — ACTIVITIES
1. Water Quality Standards 40
2. Water Quality Monitoring and Assessment . . 43
3. Water Quality Management 46
4. Nonpoint Source 48
5. NPDES Permitting 50
5. NPDES Enforcement • 53
7. Pretreatment 56
8. NPDES. Pretreatment. and Sludge State
Program Approval. Review, and Oversight . . 59
9. State Revolving Fund Management 60
10. Management of the Ongoing Construction
Grants Program 61
11. Municipal Wastewater Treatment Works
Pollution Prevention and Intrastructure
Protection 63
12. Municipal Technology Transfer and Small
Community Outreach ............. 65
IV. REGIONAL INITIATIVES 68
V. sypPTfRMENT GUIDANCE 69
STARS MEASURES AND STARS DEFINITIONS APPENDIX
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FY 1991 WATER PROGRAMS AGENCY OPERATING GUIDANCE
I. NATIONAL PROGRAM MANAGER'S OVERVIEW
INTRODUCTION
The Hater portion of the Agency's FY 1991 Operating Guidance
provides national direction to EPA, States, Indian Tribes, and the
regulated community in carrying out programs mandated under Federal
water protection statutes.* These statutes include: the Safe
Drinking Water Act (SDWA), as amended by the Lead Contamination
Control Act of 1988; the Clean Water Act (CWA); and the Marine
Protection, Research and Sanctuaries Act (MPRSA) , as amended by the
Ocean Dumping Ban Act of 1988. The Agency and the States also
implement programs to protect groundwater quality through
provisions under several different statutes.
The Office of Water (OW) uses a management accountability system
to set priorities, define performance expectations and track and
assess EPA and State performance. This system is intended to
promote the effective functioning of the Water programs linking a
number of organizations at the Federal and State level (and, in
some programs, local governments as well) to a common set of
objectives and expectations when they are operating under these
Federal statutes. The Office of Water Accountability System (OWAS)
includes the OW portion of the Guidance, the accompanying STARS
measures, the OW program evaluation guide with quantitative and
qualitative measures, and OW Regional evaluations.
PROGRAM DIRECTIONS AND PRIORITIES
In FY 1991 the OW program will continue emphasis on sustaining
ecological resources and protecting human health and welfare
through the protection, restoration, and enhancement of the
Nation's water resources: rivers and streams, lakes, coastal and
marine waters, wetlands, ground water, and public drinking water
supplies. FY 1991 also represents a transition year as preparations
are made to implement the Office of Water's Four Year strategy For
Fiscal Year* 1992-1995. which was developed in FY 1990.
This Strategy stresses that the future health of our water
resources depends not only on our ability to successfully maintain
and improve well established and operated Federal/State/Indian
* The term State does not include Indian Tribes. The terms Indian
Tribes, Indian Tribes treated as States, and Indian Tribes with
Primary are inserted after the term State where it is appropriate
to do so.
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Tribe regulatory programs, but also on our capability to obtain
public support to build partnerships that will work toward
sustainability and renewability of our water resources for future
generations. Therefore, in addition to our traditional programs
that reduce health and environmental risks through control of
pollutant loadings, we will place emphasis on initiatives that
target resources toward conserving and protecting the most
ecologically sensitive, environmentally threatened and valuable
bay, lake, estuary, coastal, watershed, wetland and ground-water
resources. The thrust of these initiatives is to empower the
States, Indian Tribes and local citizens and governments to
undertake geographically-based water resource management projects.
The major role of the Federal, State, and Indian Tribe governments
in these initiatives will be technical, scientific, and educational
support of the efforts of our partners, and evaluation of the
success of these approaches.
The Strategy also places a greater emphasis on measuring
environmental results, such as: improvement in the chemical or
physical condition of a resource, human health risk reduction, and
demonstrable prevention of degradation of a resource. Measurement
of these environmental results will be accomplished through
increased use of environmental and health indicators. The approach
advocated in the Strategy will also require increased attention to
problems associated with the habitat, sediment, and living resource
components of the aquatic resources we protect and manage. This
will be achieved through integrated water quality management that
combines regulatory and non - regulatory approaches to conserve and
protect natural resources and emphasizes cross program cooperation
to ensure maximum protection for each of the natural resources for
which we are responsible.
The FY 1991 guidance is consistent with the overall direction
outlined in the Office of Water FY 1992-1995 strategic Plan. It
will be several years before environmental results oriented
measures are completely integrated into our program. However,
several critical changes in emphasis will continue in FY 1991 as
we prepare for implementation of the Strategic Plan and the
environmental results orientation. The emphasis in both the
traditional and newer components of our programs will shift toward
more efficient targeting of our resources to ensure maximum
environmental results from our program efforts. This philosophy
will necessitate a change in how we view Regional, State and Indian
Tribe implementation of the program activities and performance
expectations laid out in this guidance.
The Operating Guidance provides the whole range of activities
necessary to achieve current program goals. In FY 1991, the
Regions, States, and Indian Tribes will be given more flexibility,
within this range of activities, to target their efforts toward
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activities that they believe will result in the greatest
achievement of the environmental goals and results outlined in the
Office of Water FY 1992-1995 Strategic Plan.
The Regions, States, and Indian Tribes should use this flexibility
to identify and implement the most innovative and cost effective
technologies and methodologies to improve our overall water
resource management. This approach anticipates adjustments, by
mutual agreement, to commitments under the Strategic Targeted
Activities for Results System (STARS) when the Region, State, or
Indian Tribe can describe how such adjustments are expected to
improve water quality. Our STARS commitment negotiation process
will be structured to accommodate this new flexibility.
Although there is increased flexibility, Regional, State, and
Indian Tribe efforts should be directed at both supporting new
initiatives as well as maintaining our strong base programs.
Although we acknowledge that it will be difficult to balance
base program activities with new initiatives, we look to the
Regions, States, and Indian Tribes to develop and share innovative
approaches which will maintain the effectiveness of these programs
in the 1990*8.
The following sections briefly describe major action areas that
will be addressed in the coming year as we work to attain the
environmental goals outlined in the office of Water FY 1992-1995
Strategic Plan.
Risk Reduction
Although tremendous progress has been made toward achieving the
fishable and swimmable goals in the Clean Water Act, there still
continue to be risks to human health and ecological systems.
Conventional pollutants, except in coastal waters, have largely
been controlled (BOD, bacteria, etc.). However, we are just
beginning to control toxics from both point and nonpoint sources
and are just beginning to focus on protecting critical resources
and habitats.
In FY 1991 the challenge will be to improve regulatory and
management decisions and reduce risk by using the best combination
of the many tools available to us. These include: technology-based
standards, chemical specific water quality criteria, State water
quality standards, pretreatment standards, permits, enforcement,
State grants and construction grants/State Revolving Fund (SRF) .
We will also encourage the use of nonregulatory tools, including
BMPs, financial incentives, and locally developed control measures
to reduce risks.
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We will target resources into activities that result in greater
compliance by small municipalities and small industries which have
traditionally had lower compliance rates. More resources and
program efforts will be directed at ensuring controls are properly
installed, operated, and maintained. This will include joint
efforts between the Office of Municipal Pollution Control (OMPC)
and the Office of Drinking Water (ODW) in small communities.
Human health and ecological risks will be reduced in FY 1991 by
continued efforts to develop methodologies to rank pollutants and
sources of pollutants according to risk, targeting resources to
areas of highest risk (population densities and/or fragile,
valuable aquatic ecosystems and resources), developing strong
pollution prevention and reduction incentives for point sources,
targeting unregulated direct and indirect point source dischargers
for regulation, and strengthening our nonpoint source pollution
control program. Enforcement will remain a high priority,
especially in the Public Water System Supervision Program.
We will continue to place a high priority on controlling toxic
pollutants and conventional pollutants, such as those associated
with States' 304(1) lists, agricultural chemicals, and nutrients,
which are not yet adequately controlled. In addition, FY 1991 will
see OW placing a greater emphasis on preventing physical impacts
that result in the destruction of critical aquatic habitats and
biological impacts associated with both aquatic life and human
health.
Pollution Prevention
In FY 1991 top priority will be given to initiating efforts to
incorporate and institutionalize sound pollution prevention
practices into both traditional and newer expanding Office of Water
programs. The increased emphasis on pollution prevention is a
recognition that controlling pollution through traditional
technology based solutions and clean up methods is not enough and
that our program focus must begin to shift to encompass promoting
the sustainability and renewability of our Nation's water
resources.
The following hierarchy will be used to integrate pollution
prevention activities into our program and to ensure maximum
protection of our water resources: natural resource conservation
(i.e. destruction of natural habitats is the worst form of
pollution), source reduction, recycling and reuse, treatment, and
disposal. In FY 1991, using this hierarchy, strong incentives for
pollution prevention will be developed such as, improved waste
treatment controls, technical transfer tools to encourage municipal
planning for future wastewater capacity to prevent future
violations, better targeting of enforcement and, as appropriate,
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negotiation of pollution prevention requirements in consent
agreements. These incentives will discourage illegal use of water
as a waste repository. In FY 1991, we will also begin to use this
concept as the driving force behind future regulatory decisions by
thoroughly integrating the concepts of elimination, source
reduction, process change, product substitution, and recycling into
the regulatory development process. These concepts will also be
emphasized in technology transfer activities with States, local
governments, Indian Tribes and the regulated community.
In FY 1991 priority will be given to the following pollution
prevention initiatives:
o Compliance maintenance and technology transfer for POTWS
o Integration of industrial process alternatives into the
permit issuance and re-issuance system and where
appropriate into settlement agreements
o Wellhead protection and Class V UIC controls
o Nonpoint source programs that focus on visible results
through watershed management
o Sludge regulations that build a market for safe products
Additionally, in FY 1991 OW will begin to implement an overall
pollution prevention strategy, Water Programs; Toward a Prevention
Ethic, that was completed in FY 1990. Several pollution prevention
initiatives will be started during FY 1991 to help EPA and the
States begin the full integration of pollution prevention into
their water programs. Some of the areas in where specific projects
will be implemented include: sustainable agriculture practices that
will prevent pollution from pesticides, integrated permitting,
industrial pollution prevention through regulation, Chesapeake Bay
Pesticide Index and Registry, environmentally responsible
management of agricultural chemicals, and the reduction of lead in
drinking water.
Integrated Water Quality Management
Water programs will continue to move toward an integrated
management approach so that there is a reduction in duplication of
activities between our program offices and an increase in joint
efforts to increase our effectiveness at resource protection. This
will involve increasing the links between the Clean Water Act (CWA)
and Safe Drinking Water Act, improved and increased coordination
and cooperation with other program offices affecting water quality
such as RCRA, CERCLA, and FIFRA, better coordination of water
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supply and vastewater treatment activities on a watershed basis,
and recognizing the link between surface water and ground water as
we design our program activities. In FY 1991 work will proceed
toward ensuring that our program efforts balance regulatory and
geographically based, targeted management approaches so that our
solutions are correctly tailored to address the environmental
issues associated with specific watersheds and/or aquifers.
This integration effort must occur at the Federal as well as State
and local levels. In FY 1991, the Office of Hater will continue
to improve cooperation between the various program offices at both
Headquarters and the Regions to resolve overlapping water resource
management issues. Better communication will be established
between the various program offices to ensure greater efficiency,
reduce burdens placed on State and local government, and ensure
consistency. This integration is being attained through several
mechanisms including: interoffice/agency workgroups, cross program
demonstration projects, and increased sharing of program data to
make program decisions. Examples include the Nonpoint Source
Agenda for the Future, the Ground-Water Task Force, Agricultural
Chemicals in Ground Water Strategy, informal intra Agency group to
survey how various Agency Offices are handling land-use issues and
the integrated training efforts for near coastal waters by OWRS,
OMEP, OWEP and OWP.
At a State Level, Headquarters and Regions will encourage the use
of State Clean Water Strategies and similar risk based approaches
to integrate water programs (surface water, ground water and
drinking water) to improve risk based decision making for targeted
watersheds (including estuaries, coastal waters and wetlands).
Enforcement
In FY 1991, the Water Quality enforcement effort will be
strengthened by tightening controls on dischargers, improving
monitoring efforts, coordinating outreach to inform the public and
regulated community of the consequences of illegal filling of
wetlands, and more effective targeting of field activities to
better detect and address violations as recommended in the
Enforcement Four-Year Strategic Plan; Enhanced Environmental
Enforcement for the 90*s.
We will increase the targeting of enforcement actions to reduce
risk ^ human health and the environment, particularly for
discharges to critical habitat areas. We will significantly expand
enforcement actions against industrial dischargers and municipal
sewage treatment plants that violate requirements of their
pretreatment programs, strictly enforce prohibitions on discharge
of certain bioaccumlative pollutants in the pretreatment program
and improve State administrative and civil penalty practices.
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Several program initiatives are ongoing in the surface water area
this fiscal year that emphasize targeted risk reduction. These
include the: Municipal Enforcement Strategy, Municipal Water
Pollution Prevention Program, Compliance Monitoring and Enforcement
Strategy for Toxic Control, Compliance Enforcement Strategy for
Sludge, and the Federal Facilities Compliance Strategy.
Effective enforcement will also remain the linchpin of EPA's effort
to implement a new comprehensive level of drinking water protection
mandated under the SDWA. The ODW Mobilization Program and the
Phase V Regulations are two tools that will strengthen the
enforcement in the drinking water supply area. In addition, in FY
1991, OH will introduce a redesigned risk-based priority scheme to
define Significant Won Compliance (SNC), the most egregious
violations with respect to human health risks. Relying on the
principals of maximum risk reduction embodying the present SNC
definition, the new priority scheme will include the impending
regulatory changes, targeting enforcement actions according to a
violation's relative seriousness to human health. OW's new
priority scheme will characterize a larger universe of violation
types, thereby giving Regions and states more flexibility in
addressing less urgent violations.
Regions will continue to pursue enforcement as a priority, and in
conjunction with the Regional council, will conduct AO hearings and
assess penalties for AO noncompliance. In addition. Regions will
use their enforcement resources to address "exception" systems as
a priority where appropriate continue to emphasize the serious
problem of small systems' non-compliance through special
initiatives.
In the UIC Program, enforcement will continue to be targeted on
Class IV and V injection practices which pose a substantial threat
to underground sources of drinking water. Class IV wells that have
been reclassified according to the recent Toxic Characteristic
Leaching Procedure (TCLP) amendments to the RCRA regulations will
be the top enforcement priority in this program.
International Leadership
In FY 1991, Off will continue to increase its involvement in the
international arena as an important means of promoting pollution
prevention and protecting our common natural resources. This will
be achieved to a large extent through international conferences,
work shops and symposia.
For example, OW will expand current efforts to share scientific and
industrial technology for wastewater treatment as well as
information on risk assessment and risk based standards. OW will
participate in a series of conferences on the application of
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- 8 -
pollution prevention practices in industrial wastewater treatment
systems. These conferences will augment continuing efforts to
share our industrial technology based guidelines with other nations
through organizations such as the World Bank and the Organization
for Economic Cooperation and Development.
We will also share information on the beneficial reuse of sewage
sludge, including information on ensuring high quality sludge and
new technologies for sludge derived products and fertilizer.
Information transfer on water conservation practices and measures
(domestic, industrial, and agricultural) will also be important.
Further, EPA will seek to expand support for international
activities in the areas of wetlands and coastal waters, including
continued participation in the London Dumping Convention, MARPOL,
the Cartagena Convention and the Antarctic Treaty etc. We will
also continue to work in conjunction with the wetlands and coastal
protection programs of Canada and Mexico to protect these water
resources, particularly where efforts coincide with joint programs
involving the Great lakes and the Gulf of Mexico.
OW will also exchange information on nonpoint source programs.
This includes marketing emerging watershed management approaches
with developing nations, especially how to prevent NPS pollution
as development occurs. OW will also share our expertise and
leadership in protecting ground-water resources with nations that
are struggling with efforts to prevent, limit, and abate
contamination of ground water.
Building our Partnerships
EPA's goal to maintain and improve our Nation's water resources
cannot be attained without the active participation of all levels
of government and community members. This is particularly true
where the issues are basically local, such as with the degradation
of the Nation's coastlines, estuaries, ground water, wetlands, and
drinking water sources. In fact it is to the local, Indian Tribe,
and State level that we must look to find creative techniques and
initiatives to solve many of our intractable pollution problems.
We will accomplish this goal through: improving State and Local
Capabilities to fund and operate water programs; taking a
leadership role in the Federal government, leveraging the resources
and assistance of other- ^ederal Agencies, and building a grass
roots/Governmental Alliance.
One of the largest challenges in the coming year will be to
investigate ways that EPA can build State, Local and Indian tribe
capabilities to assume greater financial and operational
responsibility for current water programs and to take on more new
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- 9 -
complex responsibilities. The intention is to give the States more
responsibility and flexibility in how they run delegated programs
so that the federal government can target its limited resources to
address risks associated with emerging or complex national and
international issues that transcend national boundaries.
During this fiscal year, water quality programs will promote local
cooperative initiatives and provide incentives for developing
innovative and alternative technologies. There will also be
increased coordination with EPA Regional Offices and State, Local
and Indian Tribe authorities in FY 1991 to ensure consistent and
fair implementation of EPA regulatory programs and to encourage
cooperative working arrangements.
EPA's Water programs will continue to work with Indian Tribes on
a government-to-government basis to take all appropriate actions,
consistent with available resources, to assist Indian Tribes in
improving and maintaining the quality of their water resources.
In FY 1991 EPA will place emphasis on reviewing and approving
Indian Tribe applications for treatment as States and awarding
grants to Indian Tribes. There will also be increased emphasis on
outreach efforts to Indian Tribes. In particular, OW program
Offices will provide training to help Indian Tribes prepare their
application packages for treatment as States as it is anticipated
that FY 1991 will be the peak year for these applications.
The water program is also committed to strengthening relations with
other Federal Agencies where we share responsibilities, such as
wetlands, ground water, coastal management, and nonpoint source
controls. Especially important will be efforts for the numerous
Federal Agencies involved with water quality management to pool
their resources to establish mutually compatible information
management systems and to increasingly share responsibility for
collecting and analyzing water quality data.
Finally, in FY 1991 the Water program will increase efforts to
communicate acre effectively with the public about its role in
environmental problem solving. An educated public and a solid
working relationship with the various public interest groups are
essential if our geographically based, targeted programs that rely
heavily on grass roots efforts are to succeed.
Frequent communication with the public about how the Agency makes
program decisions will continue in FY 1991. Increased dialogue and
consensus building will be used to avoid some of the confrontations
that have occurred in the past. This effort will include
development and dissemination of educational materials as well as
the use of the mass-media to promote environmentally-aware choices
by the public.
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II. ENVIRONMENTAL INDICATORS
The Office of Water is currently shifting its emphasis from
measuring performance on the basis of program outputs, e.g.,
permits, grants, or enforcement actions, to using indicators that
lend themselves to measuring success in terms of environmental
results. In FY 1991 the Office of Water will continue its efforts
to develop and effectively utilize indicators of environmental
results in measuring program performance. In putting this new
concept into practice, we plan to work closely with a wide group
of Federal, State, and local partners whose expertise, advice, and
support are needed to ensure the success of these efforts.
The prerequisites for developing environmental indicators are: (1)
establishing goals in terms of the environmental results expected;
and (2) developing a clear picture of the baseline for water
quality data from which to measure progress in each program area.
While the strategic planning process will identify the long term
strategic goals, FY 1991 is a time frame in which we expect to work
intensively on establishing our baselines from which to measure
progress and on developing the individual performance indicators
that we believe will enable us to measure program success in terms
of environmental results.
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III. ENVIRONMENTAL PRIORITIES
A. PROTECTING OUR SOURCES OF DRINKING WATER - ACTIVITIES
1. Public Water System Supervision Program
There are four major priorities in the Public Water System
Supervision (PWSS) program for FY 1991. The first is the continued
development of new National Primary Drinking Water Regulations.
Specifically during FY 1991 we plan to propose the radionuclide
regulation, review comments to the phase V regulations, publish the
phase II and lead regulations, and develop a proposal for
disinfectants/disinfection by products regulation. The second
priority is to aid States in developing comparable state
regulations, and in developing and implementing companion programs
to carry out those regulations. The third priority is to promote,
through a variety of mechanisms, compliance with all of the PWSS
regulations. The last priority is to fully implement our
Mobilization Strategy which will assist the States and EPA in
implementing our respective programs and in achieving compliance
among public water systems to the maximum extent possible. These
priorities: regulation development, implementation, compliance and
enforcement, and mobilization will be the Office of Drinking
Water's key directions (as outlined in the Agency's Four Year
Strategy) for the next several years as we seek to achieve our
primary 1995 objective of reducing the number of people exposed to
contaminants in drinking water.
Headquarters
o Headquarters will continue to direct the national
implementation of the six mobilization initiatives
started in FY 1989.
+ o Headquarters will continue public education by completing
generic slide shows, pamphlets and other outreach
materials participating in the National Drinking Water
Week Coalition (with other organizations); and conducting
expanded media briefings on SDWA implementation.
+ o Headquarters will continue to build State capacity by
working with Regions and State governments to complete
State-specific strategies and involving various
organizations in building support for innovative funding
or related options.
+ o Headquarters in collaboration with Regions and States
will continue the initiative to gain local Health
Officials support of SDWA provisions by continuing
development of materials for local health officials in
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collaboration with public and private organizations, and
developing coalitions with other Federal agencies and
organizations.
+ o Headquarters will continue institutional support efforts
to assist small systems and the State programs which
regulate them through such initiatives as the mobile home
parks cooperative pilot project.
o Headquarters will continue the coalition with Federal,
industrial, and educational groups to inform the
non-transient water system community of its obligations
under the SDWA Amendments.
o Headquarters will continue the Technology Initiative by
promoting the development and adoption of simple low cost
treatment technologies for small systems to implement the
SDWA, helping to reduce the barriers to innovative
technological solutions, and continuing outreach
activities on future laboratory . capacity and
certification requirements.
+ o Headquarters will continue the regulatory development
process as mandated by the SDWA Amendments of 1986 and
will substantially complete the "normalization" (or
synchronization) of monitoring and requirements.
o Headquarters will concur on selected State primacy
revision applications.
N o Headquarters, in cooperation with Regions will review
selected States' variance and exemption procedures for
conformance with SDWA requirements.
+ o Headquarters will prepare guidance for States and Regions
on collecting information for conducting vulnerability
assessments and will distribute the guidebook for site
specific compliance determinations.
N o Headquarters will initiate use of the new definition of
significant noncomplier (SNC) and revise it as necessary
to reflect new regulatory requirements such as lead and
copper.
N o Headquarters will oversee implementation of the National
Escalation Policy developed in FY 1990 and will
participate as needed in reviewing State and EPA
enforcement agreements and State compliance strategies
to ensure they are consistent with the escalation policy.
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N o Headquarters will provide oversight and quarterly reports
to the Regions on formal enforcement activity of States
and Regional offices.
N o Headquarters, will overview Regional activities for data
verifications and where needed will conduct data
verifications in a small number of State programs.
o Headquarters will continue to emphasize the upgrading of
laboratory certification programs for new contaminants
and expand the scope and regulatory approach to establish
a more nationally uniform program.
o Headquarters will continue to encourage reciprocity among
States in laboratory certification and use of third party
certification of drinking water laboratories.
o Headquarters will, in accordance with the Lead
Contamination Control Act, disseminate guidance to help
schools test for, find sources of, and remediate lead
contamination of water supplies in school buildings.
Accompanying this guidance will be an updated list of
water coolers known to contain lead. Headquarters will
provide technical advice to the Regions regarding the use
of the guidance.
N o OOW will establish education centers for assisting small
public water systems with training on corrosion control
treatment and testing, and remediating, lead
contamination in drinking water.
N o ODW will release the draft final National Pesticides
Survey Report.
o The Office of Drinking Water and the Office of Municipal
Pollution Control will continue to work together to
effectively and efficiently carry out information
transfer and technical assistance activities of each
program, especially for small systems.
o ORD will provide reports on clinical, epidemiology, and
toxicity studies and human health assessments on
disinfectants and disinfection by-products and drinking
water contaminants to support the ODW need to develop
quantitative risk assessments for drinking water
regulations.
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Regions/States/Indian Tribes
+ o Regions will actively participate in the national
mobilization task force. Regional outreach, technical
assistance, training, and technical information transfer
activities will focus on areas identified by the national
task force, based on the individual initiative action
plans. Regions will develop strategies to support the
initiative action plans. Outreach activities by the
Regions and states will be supported by the national task
force, and be targeted toward the State and local
counterparts of those national groups involved with the
national mobilization task force activities.
+ o Regions will work with States to encourage and facilitate
State participation in the national mobilization task
force and State actions in support of the Regional
strategies and initiative action plans.
N o Regions will carefully manage and track implementation
of the Regional mobilization incentive grants to insure
funds are well spent.
N o Regions will oversee and manage PWSS Program grants to
States and Indian Tribes with primacy.
o Regions will work with States to continue revision of
current primacy programs to adopt new Federal regulations
related to VOCs, public notification, the surface water
treatment rule, total coliforms, lead and other
regulations to implement the Safe Drinking Water Act
Amendments of 1986.
o Regions, States and Indian Tribes with primacy will
continue to evaluate those PWSs that use surface water
to determine whether treatment is necessary, and whether
there are treatment deficiencies. Regions, States and
Indian Tribes with primacy should also be identifying
ground water systems under the direct influence of
surface waters.
+ o Regions, States and Indian Tribes with primacy are to
respond to violations of the NPDWRs and escalate to
formal enforcement quickly all continuing violations that
remain unresolved.
+ o Regions, States, and Indian Tribes with primacy should
ensure that they develop and implement compliance
strategies and enforcement agreements that are consistent
with federal agreement guidance and escalation guidances.
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Regions should use § 1431 emergency authority to correct
public and private water supply contamination incidents
unaddressed by the States.
States are to report quarterly, the number of enforcement
actions issued during the previous quarter. The actions
are to include bilateral compliance agreements;
administrative orders (AOs); civil cases referred, filed
and concluded; and criminal cases filed and concluded.
Regions are to report quarterly on a State by State
basis, the number of the following actions issued: NOVs,
Proposed AOs, Final AOs, Complaints for Penalty, Civil
referrals, criminal cases filed, and §1431 Emergency
Orders, and the amount of each administrative penalty
assessed and collected. [STARS]
Regions, States and Indian Tribes with primacy are to
negotiate annual targets for the reduction of SNCs and
exceptions (as defined in the STARS measures). The
national goal is to eliminate all SNCs and exceptions.
If this is not possible in each State, Regions and States
are to negotiate a target to reduce SNCs and exceptions
that is based on compliance statistics and State and
Regional capabilities for violation reduction. States
are to provide quarterly status reports, using the FRDS
41 Report Format, on the status of all SNCs and
Exceptions. [STARS].
Regions are to utilize available resources based on the
FY 1991 PWSS enforcement workload model to take formal
enforcement actions against SNCs, exceptions, or other
significant violations not addressed by the State.
Regions, States and Indian Tribes with primacy should
track SNCs/exceptions to ensure those previously
addressed achieve physical compliance. All SNC/exception
systems which fail by more than 60 days to meet the
conditions of any compliance schedule and all
SNCs/exceptions addressed by a referral to the State
Attorney General (AG) which have not been filed within
120 days of the referral are to be reported quarterly as
exceptions. As new exceptions, they are subject to
immediate federal formal enforcement action.
Regions will conduct compliance reviews with States and
Indian Tribes with primacy at least quarterly. Each
quarter's review will include as a minimum: establishing
plans to resolve all priority violators (including SNCs
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- 16 -
and exceptions), identifying State and if necessary
federal enforcement candidates, reviewing ongoing State
data quality assurance reviews, and reviewing progress
during the previous quarter for these same activities.
+ o Regions, States and Indian Tribes with primacy should
ensure that all noncomplying systems are at risk of an
enforcement action. Noncomplying systems which do not
meet the SNC definition should be strategically targeted
for formal enforcement. Regions, States and Indian
Tribes with primacy should agree to enforcement actions
against some number of non-SNCs.
o Regions will continue to review State and primacy Indian
Tribe programs for implementation of lead ban provisions
in accordance with the lead 5% guidance.
+ o Regions will ensure that States enforce the lead ban and
will withhold grant funds as necessary in States which
fail to effectively enforce the ban.
+ o Regions should ensure that States and Indian Tribes with
primacy report quarterly violation and enforcement
information, for entry into FRDS, for all public water
systems (CWSs, NTNCWSs, and TNCWSs).
+ o Regions will conduct data verifications of State and
Indian Land compliance reports, and will follow up on
implementation of findings of previous reports. Regions
will ensure all States develop and implement ongoing
internal procedures to verify FRDS data quality.
N o Regions will review State actions to ensure compliance
by all Federal facilities and initiate proper Federal
actions (using the A106 process) and will address cases
of violation not addressed by States.
o Regions and States are to review semi-annual updates of
Federal Agency Pollution Abatement Five-Year Plans (OMB
Circular A-106).
o Regions will distribute guidance and updated lists of
water coolers containing lead to States and primacy
Indian Tribes for distribution to schools in accordance
with the Lead Contamination Control Act.
o Regions will coordinate and support the development of
State programs to encourage local testing of taps in
schools and other buildings. Regions will also provide
technical support to States and Indian Tribes regarding
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- 17 -
use of the list and guidance to identify and remedy
elevated lead levels in schools and other buildings.
o Regions will continue to coordinate information
dissemination of the Pesticides Survey.
o Regions will act expeditiously on Indian Tribe
applications for treatment as States for development
grants and for primary enforcement responsibility.
o Regions will continue to support Superfund activities on
site-specific actions, reviews of remedial and
feasibility studies, and application of drinking water
MCLs.
2. Ground Water Protection
Preventing the contamination of ground water is a major EPA
priority. A review of the Federal/State role in the protection of
the nation's ground-water resources has been undertaken and a
significant result of this review is the consensus that EPA should
take steps to strengthen States/Indian tribes capability to provide
comprehensive protection of the resource. Building on the five
years of support of State ground-water protection strategies and
the findings of The Urban Institute's study on that subject,
efforts are underway to further support States' development of
comprehensive ground-water protection programs. (Note: The EPA
Ground-Water Task Force has not completed its work; consequently,
this draft reflects the best estimate of results which require
neither legislative nor significant budgetary changes.)
This operating guidance supports the Office of Hater Strategic Plan
by implementing activities included in the Key Directions for
ground-water protection. As called for in the Strategic Plan, the
1991 guidance emphasizes assistance to states in their development
and implementation of comprehensive ground-water protection
programs. The operating guidance also directs the support of state
wellhead protection programs and the analysis of unregulated
ground-water contaminants in major economic sectors. Both of these
activities figure prominently in the Strategic Plan. Other
operating guidance activities which support the Strategic Plan
include testing and refining of additional indicators of ground
water quality and assuring a uniform approach to ground-water data
collection through use of the minimum data element set.
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Headquarters
N o Headquarters and Regions will assist States in developing
and implementing comprehensive ground-water protection
programs which include resource-based preventive
activities, such as wellhead protection, and which
provides a basis for addressing multiple sources of
potential ground-water contamination.
+ o Headquarters and Regions will continue to work with other
EPA programs and Federal agencies to ensure consistency
in Federal ground-water policies, regulations, and
guidance. This integrated framework for ground-water
protection will further State efforts in comprehensive
ground-water programs. Particular emphasis will be
placed on surface water - ground water interface, such
as wetlands, estuaries, and source control programs, such
as nonpoint source, hazardous waste, UIC and UST.
+ o Headquarters and Regions will work with The Office of
Pesticides Programs, USDA and State agricultural agencies
to promote ground-water protection policies and
approaches.
o Headquarters and Regions will continue to promote and
assist all States in establishing and implementing the
Wellhead Protection (WHP) program as a targeted activity
to protect high risk areas.
N o Headquarters and Regions will work with EPA programs and
other Federal agencies, such as the USGS Cooperative
Program, to assist States in identifying their ground-
water resources and developing a prioritization scheme.
+ o Headquarters and Regions will promote integration of
State pesticide management plans and State comprehensive
ground-water protection programs.
o Headquarters will continue to develop and issue technical
assistance documents on prevention of ground-water
contamination, with special emphasis on wellhead
protection areas.
+ o "' Headquarters will support competitive demonstrative
projects which test and refine innovative methods of
implementing local WHP programs.
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- 19 -
o Headquarters will develop guidance for ground-water
grants, as provided under Section 106 of the CWA, that
assure each State/Indian tribe establish the key elements
of a comprehensive ground-water protection program.
N o Headquarters will analyze major economic sectors,
including agriculture, transportation, industry and
municipal infrastructure, in order to identify and assess
high risk sources of contamination that are not currently
regulated.
N o Headquarters will support the development and testing of
best practices tailored to local hydrogeological
settings, which prevent contamination of ground-water
resources from those unregulated sources in each sector
found to be of greatest concern.
N o Headquarters will test, refine and seek additional
environmental indicators of ground-water protection.
N o Headquarters, with OIRM, will establish acquisition
systems for data commonly needed by the Regions and
States and available from outside sources, such as USGS
and SCS.
N o Headquarters will update a directory of information
systems so as to provide a catalog of data bases related
to ground-water protection issues, such as land-use
planning, population statistics, soil and agriculture
use.
+ o Headquarters will disseminate information and promote
exchange among the States on innovative practices and
programs in ground-water protection through the use of
videos, pamphlets, workshops, and conferences.
o Headquarters will continue to work with ORD to develop
research efforts focused on high risk areas, such as
wellhead protection areas, and Karst and hyporeic zones.
o Headquarters will continue to participate in the Sole
Source Aquifer (SSA) designation process through
oversight, analyses, and, if necessary, petition review.
Regions
N o Regions will conduct profiles of State ground-water
protection strategies and implementation activities
employing an agreed-upon set of elements for a
comprehensive State ground-water protection program.
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N o Regions will implement a formal EPA/State planning
process that will assist States in developing and
implementing activities to transform their ground-water
protection strategies into comprehensive ground-water
protection programs.
o Regions will continue to promote and assist all States
in establishing and implementing the Wellhead Protection
program as a targeted activity to protect high risk
areas.
o Regions will assure coordination with section 319 funded
NFS plans, programs and activities at both the State and
Regional levels.
+ o Regions will provide training and assistance to States
in such technical ground-water concerns as aquifer system
mapping, resource and vulnerability assessment and
monitoring.
+ o Regions will foster efforts that build State
institutional capacity, such as enhancing coordination
of State management and control activities with local
governments, to ensure effective implementation of
comprehensive ground-water protection programs.
o Regions will participate in review of State pesticides
management plans to protect ground water with particular
emphasis on assuring coordination with State
comprehensive ground-water protection programs.
o Regions will conduct technical workshops on ground-water
resource evaluation in agricultural settings.
o Regions will continue to provide ongoing consultation and
technical assistance to States/Indian tribes in the
implementation of their WHP programs.
N o Regions will train State and local officials in
delineation of wellhead protection areas using a user-
friendly model, and in advanced approaches for
actual/potential contaminant source identification and
risk comparisons.
N o Regions will manage and administer wellhead protection
demonstration projects.
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o Regions will continue to provide financial and technical
oversight aspects for State projects which support
comprehensive programs, funded under section 106 of CWA.
Oversight will also cover special ground-water protection
projects funded under section 319.
N o Regions will provide information and technical expertise
to the States on best practices for preventing ground-
water contamination from currently unregulated sources
in the major economic sectors. Special emphasis will be
directed to those sources frequently located in wellhead
protection areas.
N o Regions will oversee projects to test and develop best
practices for protecting ground-water from unaddressed
sources of contamination within each of the major
economic sectors.
N o Regions will undertake communications efforts seeking
acceptance of practices to better protect ground water
by institutions within each of the major economic
sectors.
+ o Regions will assist States and other Regional programs
in using the minimum data element set to ensure a uniform
approach to data collection activities.
o Regions will promote the use of geographic information
systems as an effective priority setting and decision-
making tool for Regional/State/local managers of ground-
water programs.
o Regions will review petitions for SSA designations for
formal acceptance and provide the technical expertise
necessary to review these petitions.
- o Regions will review environmental impact statements and
environmental assessments for Federal financially
assisted projects in SSA areas.
3. Underground Injection Control
Relationship to the Office of Water Strategic Plan - The Agency's
four-year Strategic plan identifies management of Class IV and V
wells as the major undertaking of the UIC program with the ultimate
goal of eliminating identified Class IV and known endangering Class
V wells by 1995. To this effect, in FY 1991, the program will
propose comprehensive regulations for Class V wells and continue
the identification and closure of Class IV wells. Public outreach
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- 22 -
and community involvement will be major components of the Class V
effort. Other goals identified in the four-year plan include
improvement of regulations and/or guidance for Class II,
implementation and enforcement of the land ban, and ensuring
continued compliance for all wells. To accomplish these goals in
FY 1991, the program will continue its strong emphasis on adequate
enforcement through permitting, civil and criminal litigation, and
increased consistency in handling SNCs and increased issuance of
AOs. We will propose amended regulations for Class II wells.
Finally, we will continue to support Regional implementation
efforts of the land ban.
Headquarters
+ O Headquarters will ensure there is a national program
consistency among Regions, States and Indian Tribes with
primacy; timely and appropriate handling of and response
to SNCs by providing guidance, training and increased
emphasis on EPA oversight.
+ O Headquarters will, as appropriate, issue additional
guidance or propose revisions to existing UIC regulations
for Class II wells based on the FY 1989 and 1990 Mid-
course evaluation results.
+ O Headquarters will continue to provide technical support
to Regions and States in the review of Class I no-
migration petitions to assure national consistency.
+ O Headquarters will continue to support Regions, States and
Indian Tribes with primacy by providing technical
assistance to local governments on issues pertaining to
Class V wells.
O Headquarters will continue to work with the National
Mechanical Integrity Test (MIT) Workgroup to review
alternative methods for demonstrating mechanical
integrity of wells for which no current method is yet
acceptable. Final determination will be made on interim
approvals made in previous years.
O Headquarters will continue to improve coordination
between the UIC program and other EPA, Federal, State and
Indian Tribe agencies dealing with ground water (CERCLA,
RCRA, CWA, TSCA, FIFRA).
O Headquarters will continue the data management project
to implement appropriate data elements, definitions and
environmental measures for Class II wells through the use
of a State/Regional/Headquarters workgroup.
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- 23 -
N O EPA will give priority to integrated cross-program
Pollution Prevention initiatives.
N O EPA will track the coverage for financial responsibility
mechanisms for plugging wells to ensure funds are
available for proper well closure.
Regions/States/Indian Tribes
O Regions will oversee States and Indian Tribes with
primacy by conducting at least one intensive review of
each program each fiscal year, negotiating enforcement
agreements, and taking formal enforcement actions where
States or Indian Tribes have not or cannot respond to
significant violations in a timely and appropriate
manner.
+ O Regions, States and Indian Tribes with primacy should
respond to all violations and must escalate actions in
accordance with national guidance on timely and
appropriate enforcement actions for all SNCs. Regions
will primarily employ Administrative Orders (AO) to deal
with SNC especially where less formal measures do not
result in timely compliance. [STARS]
+ O Regions, States and Indian Tribes with primacy will
continue to close Class IV wells as they are discovered.
The Toxic Characteristics Leaching Procedure Test will
result in many Class V wells becoming Class IV wells.
All suspected Class IV wells will be investigated
promptly and all necessary steps taken to ensure proper
plugging and abandonment of Class IV wells. Where it
appears that injection has been knowingly continued after
prohibition, the matter should be referred to the Office
of Criminal Investigation for evaluation or State's
equivalent office.
O Regions, States and Indian Tribes with primacy will
maintain a strong field presence by conducting field
inspections and surveillance in accordance with the
priorities established in the UIC Compliance Strategy.
This will occur on a continuing basis throughout the
year.
O Regions, States and Indian Tribes with primacy will
continue to review and make permit determinations for
injection wells. There will be a continued emphasis on
permitting new Class II wells, so that oil production
will not be impeded. Additionally, UIC programs should
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- 24 -
place increased priority on permitting Class V wells and
bringing high risk Class V wells under regulatory control
especially where they threaten to contaminate USDWs.
O Regions will review petitions for exempting Class I-H
wells and ensure compliance with HSWA land ban
provisions. States may assist the Regions in the review
process.
O Regions will ensure through all Regional, State and
Indian Tribe primacy program grant workplans and
agreements and Enforcement Agreements that State and
Indian Tribes carry out quantifiable Class V activities,
such as inventories, inspections, permitting and
enforcement actions as well as monitor compliance and
enforcement activities for Class V wells.
N O Regions will continue to manage the financial support and
oversight aspects for State UIPC grants for UIC programs
and related special projects.
+ O Regions, States, and Indian Tribes will continue to take
enforcement actions against high priority Class V wells
as required by UIC guidance #62.
O Regions will expeditiously review and process Indian
Tribe applications for treatment as State designation,
for development grants, and for primary enforcement
responsibility.
O Regions, States, and Indian Tribes with primacy will
review primacy program agreement and MOAs .to ensure they
are up to date in light of the changing State and Indian
Tribe laws and implementation processes as well as new
national regulations.
O Regions, States and Indian Tribes with primacy will
continue to monitor and review the mechanical integrity
of injection wells to determine compliance with UIC
regulations. [STARS]
O Regions will continue to provide program-specific
training to both new and experienced inspectors.
O Ada ORD will continue field evaluations of techniques for
determining the mechanical integrity and adequacy of the
construction of injection wells.
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- 25 -
O Regions will continue to initiate MOAs/MOUs with Regional
Ground Water Offices and keep them apprised of all
coordination activities involving groundwater related
programs particularly Class V and Wellhead Protection.
B. PROTECTING CRITICAL HABITATS - ACTIVITIES
1. Ocean Disposal Site Permitting and Discharge
In FY 1991, the Headquarters and Regional focus will be on proposal
of the revised ocean dumping regulation on disposal site
designation and dredged material disposal, and development of a
proposal for regulations on disposal of all other material.
Regions will continue their expanded role in preparation of
environmental impact statements (EISs), disposal site designations
for dredged materials, arid in management and monitoring of disposal
sites. Implementation of the ocean discharge program under CWA
Section 301(h) will continue, and the CWA Section 403(c) program
will concentrate on implementation of the strategy from the report
to Congress. In FY 1991, Headquarters and Region II will continue
implementation of the Ocean Dumping Ban Act (ODBA) and other
legislation. These activities will be coordinated to achieve the
objectives of the National Coastal and Marine Policy.
The priority activities identified in this section of the guidance
follow the key directions being established in the Office of Water
(OW) Strategic Plan. Through the elimination of pollutant loads
being discharged or dumped in coastal and marine waters, risks to
human health, including recreation and other direct water contact,
and aquatic life, including shellfish growing areas, will be
reduced. In particular, the elimination of ocean dumping of sewage
sludge and industrial waste, and management of other ocean disposal
site will support achievement of 1995 risk reduction objectives.
Key directions include the implementation of 403 (c) discharge
criteria, the careful review of 301(h) permits through the permit
reissuance process, improved management of dredged material
disposal, and compliance monitoring of the enforcement agreements
with the nine New York-New Jersey municipalities. Improvement of
the working relationships with the Corps of Engineers (COE)
continues through the development, adoption, and implementation of
memoranda of agreement on dredged material disposal sites and site
management.
Headquarters
+ o HQs will continue to develop comprehensive revisions to
ocean dumping regulations and implementing guidance,
including the revised testing manual and management
strategy to address contaminated sediments; support the
Regions through increased training and technical
assistance; propose dredged material regulation (1st
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- 26 -
Quarter), and promulgate regulation on corrections and
reorganization of site designations. (4th Quarter)
(Ongoing)
N o HQs will continue implementation of marine debris program
through increased interagency coordination, including
exchange of information that may indicate potential
violations; public awareness campaigns, including
reporting of illegal disposal and other activities that
may lead to enforcement actions; conduct of harbor
studies (2nd Quarter); initiating discussions with
State/local authorities on regional marine debris control
pacts; and promulgation of regulations to implement the
Shoreline Protection Act (2nd Quarter). (Ongoing)
o HQs will continue to provide overview, guidance, and
contract assistance to Regions on EISs, site designation
decisions, site management, site monitoring, and disposal
permit issuance, including a Guidance Document (1st
Quarter), a Permit Review Manual (2nd Quarter), and joint
workshops with COE (2nd Quarter). (Ongoing)
N o HQs will initiate implementation of national enforcement
strategy and action plan, including training materials,
enforcement training program, and initiation of "beach
keeper" projects; and will continue enforcement related
activities with Office of Research and Development (ORD)
and U.S. Coast Guard (USCG), and support and oversight
of Regional enforcement activities. (Ongoing)
o HQs will prepare and submit annual report to Congress on
administration of ocean dumping program. (2nd Quarter)
o HQs will support Region II in preparation of the final
New York Bight Restoration Plan and report to Congress;
and in the designation of the new mud dump site. (1st
Quarter)
o HQs, in cooperation with Region II and National Oceans
and Atmospheric Administration (NOAA), will implement the
106 mile-site monitoring plan and prepare a report to
Congress; will assist Region II in preparation and
submittal of report to Congress on ending ocean dumping;
and will continue to support and oversee Region II in the
implementation of ODBA legislation. (1st Quarter)
o HQs will promulgate revised 301(h) regulation; continue
guiding implementation of 301 (h) monitoring programs; and
provide final guidance to assist Regions in permit
reissuance. (2nd Quarter)
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Regions
- 27 -
HQs will continue to support implementation of 403(c)
program strategy from the 1990 report to Congress with
guidance for evaluation reviews. (4th Quarter)
Regions will accelerate preparation of EISs for ocean
disposal of dredged material and preparation of site
designation rule-making packages; and continue to review
COE permits and conduct of monitoring reviews for site
management with COE support through EPA Region-COE
District agreements. (Ongoing) [STARS]
Regions will review ocean disposal permit applications,
require case-by-case testing to evaluate wastes, conduct
appropriate hearings, develop outreach programs, increase
site management activities, require mitigation measures
as necessary, require compliance monitoring, and provide
technical support for enforcement actions by appropriate
office. (Ongoing)
Regions will work closely with the USCG to develop
information sources on MPRSA violations; refer to the
Office of Criminal Investigations matters involving
knowing violations of MPRSA, including any suspected
dumping of toxic or hazardous materials without a permit;
and will provide technical support for criminal
investigations and prosecutions in the ocean dumping
area. (Ongoing)
Region II, with HQ assistance, will continue to implement
ODBA legislation; will prepare and submit first annual
report to Congress on progress made to end ocean dumping
of sewage sludge and industrial waste; and will prepare
the final New York Bight Restoration Plan and report to
Congress. (1st Quarter)
Region II, with HQ assistance, will monitor permits
iasued in FY 1989 for ocean dumping of sewage sludge and
industrial wastes for compliance with milestones in
compliance or enforcement agreements and with permit
terms; and take enforcement actions, as appropriate.
(Ongoing)
Region II, with HQ support, will complete in draft the
New York Mud Dump alternative site study; and will
prepare and submit report to appropriate Congressional
committees. (1st Quarter)
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- 28 -
o Regions, with completion of all initial 301(h) final
waiver determination, will continue to make
determinations of secondary equivalency; to evaluate
monitoring programs; and begin evaluations of permits
expiring in 1992. (Ongoing)
+ o Regions, with HQ technical guidance assistance, will
continue to implement 403(c) program strategy from 1989
report to Congress and begin to implement 403(c)
regulation. (Ongoing)
o ORD will continue to develop methods for describing
transport, transformation, bioavailability, and effects
of contaminants discharged through ocean outfalls and
sediment bioassay; and will provide technical assistance
in support of the 301(h) and 403(c) programs. (Ongoing)
2. Near Coastal Waters fNCW) / National Estuary Programs
In FY 1991, the NCW program priorities will be: to assist coastal
Regions and states in implementing NCW management strategies; to
support and oversee the selection and conduct of demonstration
projects, as an expansion of the earlier NCW pilot projects and the
NEP action plans; to promote the integration of water pollution
abatement and control programs within the NCW program; and to
support the completion of the NCW Regional problem assessments in
coordination with the Regions, states, NOAA, and US6S. The NCW
program will use enforcement as a tool to correct identified
problems and to deter future violations, as appropriate; transfer
innovative management and public education and participation
techniques; maintain and update a national information exchange
network to transfer information about NCW problems, management
tools and techniques to assist state and local decision-making; and
support the Gulf of Mexico Program and development of the
"Framework for Action".
The goal of NEP, as a national demonstration program, is to create
and transfer technical, management, and community relations
experience and' expertise gained to states and local governments so
they can be applied to other estuaries nation-wide.
All program activities will be targeted and coordinated to address
the goals and objectives of the National Coastal and Marine Policy.
The priority activities identified in this section of the guidance
follow the key directions being established in the OW Strategic
Plan. Through the elimination of pollutant loads being discharged
or dumped in coastal and marine waters, risks to human health and
aquatic life will be reduced. In particular, the Regional
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- 29 -
development of NCW strategies and NEP estuary plans will support
achievement of 1995 risk reduction objectives. Key directions
include the implementation of the NEP Comprehensive Conservation
and Management Plans (CCMP) for selected estuaries, the conduct of
NCW demonstration pilot projects, and public outreach and
participation. A major hurdle being overcome is the improvement
of public acceptance through outreach programs.
Headquarters
+ o HQs will provide assistance to all coastal Regions,
Region V, and the coastal and Great Lakes states to
complete and implement NCW management strategies, which
will include public education and participation.
(Ongoing)
+ o HQs, through the OW NCW workgroup, will support
enhancement, redirection, and targeting of OW base
programs to address water quality problems in
geographically specific areas identified in the Regional
NCW management strategies; and will oversee
Regional/state use of enforcement in estuary and near
coastal programs. (Ongoing)
+ o HQs will maintain and update an information network for
technology transfer about NCW problems, management tools
and techniques, with the principal objective to assist
state and local environmental resource managers with
information about successful projects nationwide and to
report on near coastal water pilot projects and priority
action demonstration projects funded through the NEP.
(Ongoing)
+ o HQs will support sixteen NEP projects, managed by the
coastal Regions, following selection of new NEP projects
in FY 1990: including the development and implementation
of state/EPA Conference Agreements leading to a CCMP for
each estuary; and also including support for CCMP
implementation for projects which have completed the plan
development phase. (Ongoing)
o HQs will develop NEP guidance and hold workshops, as
needed, to assist participants in getting organized, in
problem definition and characterization, in building
public outreach programs, and in successful development
of CCMPs. (Ongoing)
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- 30 -
o HQs will oversee federal interagency coordination, work
with the Office of Federal Activities (OFA) to assure
Federal project consistency, implement inter-agency
agreements with NOAA involving data management, problem
assessment, coastal zone management (CZM) activities, and
implement the CZM-EPA/NEP Agreement. (Ongoing)
o HQs will continue an interagency agreement with the
National Oceanic and Atmospheric Administration (NOAA)
supporting near coastal waters problem assessments; and
with NOAA assistance, prepare a report on NEP research
needs for Congress. (Ongoing)
o HQs will continue to work with the Office of Ground Water
Protection (OGWP) to better define ground water issues
and to improve the interchange of information between the
two program offices on the NCW Regional strategies, the
NEP projects, and local coastal and marine programs
activities. (Ongoing)
o HQs will work with ORD to develop research priorities for
near coastal and estuarine waters coordinating with:
NOAA, including the NOAA Estuarine Research Reserve
System; and scientific and technical advisory committees
in the NEP. (Ongoing)
Regions/States
+ o Regions will assist program participants in carrying out
state/EPA Conference Agreements for the Regions' sixteen
estuary projects; and, with HQs assistance, will continue
to develop/fund agreements with NEP participants
consistent with approved annual and five-year workplans
and track the completion of all workplan elements
required in developing CCMPs. (Ongoing) [STARS]
o Regions will work with the States participating in NEP
estuary programs and NCW Regional strategies to ensure
that enforcement activities are used to enhance and
support water pollution abatement and control activities
in coastal waters, improve water quality, as well as to
support long term implementation of CCMPs. (Ongoing)
N o region III will implement the "Mid-Atlantic Bight
Initiative." (Ongoing)
o Regions will work with states and local governments to
develop and carry out near coastal water pilot projects
to enhance water pollution abatement and control
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- 31 -
activities, public outreach, land and water use
management, and living resources. (Ongoing)
o Regions IV and VI will continue to develop and implement
the "Framework for Action" for the Gulf of Mexico,
including the development of risk assessments. (Ongoing)
o ORD will continue to develop assessment methods for near
coastal and estuarine waters, with emphasis given to:
relationships and mechanisms controlling ecosystem
recovery, development of biomarker assessment methods,
assessment of eutrophication, and development of
wasteload allocation models, and to provide technical
assistance to NEP. (Ongoing)
3. Chesapeake Bay Program
In FY 1991, focus will continue on implementation of 1987 Bay
Agreement and meeting specific program commitments, including
nonpoint source control programs through state grants, and
assessment of toxics problems, including the impacts of pesticides.
These activities will be coordinated to achieve the objectives of
the National Coastal and Marine Policy.
The priority activities identified in this section of the guidance
follow the key directions being established in the OW Strategic
Plan. Through the reduction of pollutant loads to Chesapeake Bay
waters, risks to human health and aquatic life will be reduced.
In particular, the implementation of the toxics reduction strategy
will support achievement of 1995 risk reduction objectives. Key
directions include the implementation of the Bay agreement and Bay
states' nutrient control programs, and public outreach and
participation. A major hurdle relating to the need for a
scientific bases for management programs is being addressed is the
development of a modeling base for the design of pollution control
programs.
Headquarters
o HQs will continue its oversight of the Chesapeake Bay
program to ensure consistency with national policies.
(Ongoing)
Regions/States
+ o Region III and Bay states will focus activities and track
progress to meet nutrient/toxics reductions and program
commitments called for in 1987 Bay agreement; and will
guide and coordinate toxic source reduction plans to
implement 1987 Bay agreement and CWA, based on
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- 32 -
investigations of in-place toxics in sediment, surface
microlayer, and other nonpoint sources in response to
1988 Toxics Reduction Strategy. (Ongoing) [STARS]
o Region III will continue working to integrate Bay program
activities into ongoing water management programs and
continue to support public awareness activities
throughout the Bay basin. (Ongoing)
o Region III and Bay states will target facility
inspections and enforcement actions on dischargers to the
Bay mainstern and key tributaries. (Ongoing)
o Region III will continue to implement coordinated Federal
Agency Workplan and Federal Facilities Strategy adopted
in 1988. (Ongoing)
o Bay states will report progress to Region III on imple-
menting Bay interstate management plan; and Region III/
in coordination with HQ, will prepare report to Congress
as required by CWA. (Ongoing)
4. Great Lakes
In FY 1991, focus of the Great Lakes National Program Office
(GLNPO) will continue on coordinated implementation of revised
Great Lakes Water Quality Agreement (GLWQA) and on meeting CWA
requirements. The revised GLNPO Five Year Strategy (1989-1993)
will continue as guide for GL basin activities, including public
participation and outreach efforts.
The priority activities identified in this section of the guidance
follow the key directions being established in the OW Strategic
Plan. Through the reduction of pollutant loads to the Great Lakes
waters, risks to human health and aquatic life will be reduced.
In particular, the implementation of the Remedial Action Plans
(RAP) and Lakewide Management Plans (LAMP) will support achievement
of 1995 risk reduction objectives. Key directions include the
implementation of GLWQA, and public outreach and participation.
A major hurdle relating to the scientific bases for management
programs is being addressed through the Assessment and Remediation
of Contaminated Sediments (ARCS) demonstration projects.
Headquarters (GLNPO)
o GLNPO will continue to lead in the national coordination
for implementation of revised GLWQA and for meeting CWA
requirements. (Ongoing) [STARS]
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- 33 -
o GLNPO will continue its oversight of the GL Regions to
ensure consistency with GL national program policies.
(Ongoing)
+ o GLNPO, while overseeing input from Regions/GL states,
will sponsor full-scale demonstrations at selected
locations for ARCS program; and begin technology transfer
based on ARCS demonstration results. (Ongoing)
o GLNPO will complete refitting MARSEA 14 (1st Quarter) and
outfit for toxic monitoring (4th Quarter) and continue
lake surveys in open waters of the GLs. (Ongoing)
N o GLNPO will continue to work with Regions/GL States on the
GL Water Quality Standards Initiative to develop guidance
on water quality criteria, antidegradation policy, and
implementation procedures specifically designed for the
Great Lakes. (Ongoing)
o GLNPO will continue to oversee work done by Regions II,
III, and V to ensure GLs are identified as program
priorities and GL activities and reporting requirements
are integrated into water management programs and plans.
(Ongoing)
o GLNPO will continue to work with the Office of Water
Regulations and Standards and GL Governors and oversee
work done by the GL Regions to integrate the specific
GLWQA Annex 1 objectives into national criteria and state
water quality standards to assure coverage of Critical
Pollutants. (Ongoing)
o GLNPO will work with NOAA to prepare an annual joint GL
research plan which identifies proposed research and
assesses priorities, as required under CWA. (4th
Quarter)
o GLNPO, with GL Regions, Office of Wetland Protection
(OWP), other Federal agencies, and GL states support,
will develop GL Basin Wetland Protection Strategy.
(Ongoing)
o GLNPO, with assistance from the Regions and the GL
states, will coordinate ana implement joint surveillance
and monitoring plans for nutrient and toxic pollutants
in air, water, fish, and sediments with Canada, ensuring
that the resulting data systems are compatible.
(Ongoing)
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- 34 -
o GLNPO, with assistance of Regions/GL states, will
continue development of guidance for LAMPS for each Great
Lake, based on generic LAMP framework developed in FY
1990. (Ongoing)
o GLNPO, with assistance from the COE, Fish and Wildlife
Services (FWS), Soil Conservation Service (SCS), Regions,
and GL states, will prepare a comprehensive annual report
to Congress, identifying activities to improve the GLs,
as required under CWA. (Ongoing)
o GLNPO, with Regions, GL states, and Indian tribes will
complete or update monitoring strategies, and Regions
will include fish health monitoring programs; GL states
will report monitoring results and maintain data using
CWA Section 305(b) reports or other reports; GLNPO and
Regions will evaluate state strategies/305(b) reports.
(Ongoing)
o GLNPO, with Regions/GL states assistance, will estimate
total pollutant loads to each GL. Regions/GL states will
continue to investigate and report effluent
concentrations and quantities of top priority pollutants
identified by International Joint Commission; and to
complete process characterizations for appropriate
industries. (Ongoing)
Regions/States
N o Regions II, III, and V will initiate development of LAMPs
for Lakes Michigan, Erie, and Ontario, with support of
GL states through such activities as estimating/reporting
total loading of critical pollutants. (Ongoing)
o Regions II, III, and V will continue to oversee GL
states, and indian tribes to ensure GLs are identified
as program priorities and GL activities and reporting
requirements are integrated in water management
programs/plans. (Ongoing)
o Regions II, III, and V will continue to oversee work done
by the GL states and indian tribes to integrate the
specific GLWQA Annex 1 objectives into national criteria
and State water quality standards to assure coverage of
Critical Pollutants. (Ongoing)
+ o Regions/GL states will continue pollution control efforts
in 30 Areas of Concern (AOCs) by completing, implementing
and, updating RAPs, including developing plans and
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- 35 -
measures to address in-place pollutants and combined
sever overflows. (Ongoing)
o Regions/GL States, with assistance from GLNPO, will
determine groundwater flux and contaminant loading,
including mapping hydrologic conditions around known and
suspected sources of contaminated groundwater in GL
basin. (Ongoing)
o Region II and State of New York, with GLNPO, will
continue implementation of action plans and related U.S.
Canadian initiatives for Niagara River/Lake Ontario toxic
monitoring and control programs. (Ongoing)
o GL states will continue to implement phosphorus load
reduction plans for Lakes Erie and Ontario and Saginaw
Bay, as components of U.S. Phosphorus Reduction Plan and
base for Five-Year Nutrient Plan, required under CWA; and
GLNPO will continue to track plan recommendations in
reaching target loads, and to review Nutrient Plan for
CWA/GLWQA compliance. (Ongoing)
o ORD will continue to study the sources, fate and effects
of toxic substances in the GLs, with emphasis given to
the development of mass balance models, evaluation of the
impacts of in-place pollutants, and development of
methods to evaluate the performance of confined disposal
facilities for dredged material; and technical assistance
will also be provided.
5. Lake Management
States and qualified Indian Tribes will continue to improve lake
water quality assessments and to develop lake management systems.
The focus of the management systems is the control of point and
nonpoint sources of pollution, generally on a watershed basis.
These activities along with activities in other program areas (e.
g., nonpoint source programs and wetland protection activities)
support the 1995 objectives for lakes in the Office of Water
Strategic Plan.
Headquarters
+ o Headquarters will develop funding criteria, review state
and qualified Indian Tribe project proposals submitted
through the Regions, provide technical assistance, and,
as resources allow, make funds available to Regions for
grants to States and qualified Indian Tribes. (Ongoing)
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- 36 -
o Headquarters will work with other EPA offices (e. g.,
Office of Wetlands Protection and Office of Water
Enforcement and Permits) and with other Federal agencies
to focus activities related to lakes, particularly those
undertaken by the U.S. Department of Agriculture
(including the Water Quality Initiative), the Fish and
Wildlife Service, and the Corps of Engineers. (Ongoing)
Reaions/States/Qualified Indian Tribes
o Regions will work with States and qualified Indian Tribes
to ensure that lake assessments and management needs are
incorporated into water quality management plans.
(Ongoing)
o Regions will provide technical assistance and transfer
technical and educational information to States and
qualified Indian Tribes. The Clean Lakes Clearinghouse
' will support such assistance and transfer. (Ongoing)
o Regions will review State and qualified Indian Tribe
Clean Lakes project proposals; determine the eligibility
of those projects for funding; and, as resources allow,
award grants for eligible projects to States and
qualified Indian Tribes. (Ongoing)
o States and qualified Indian Tribes will continue to
improve lake water quality assessments, to develop lake
management systems, and to develop a comprehensive data
base of information on lake water quality. Water quality
information, including lists of publicly owned lakes for
which uses are known to be impaired or threatened and
lakes known not to meet water quality standards, will be
entered into the Waterbody System and reported in the
1992 report on lake water quality. (Ongoing)
6. Wetlands
Relationship to the Office of Water Strategic Plan
The strategic plan sets out a number of key directions in achieving
the President's goal of "no net loss" of wetlands. These key
directions include exerting EPA leadership among other Federal
agencies, implementing international wetlands protection
agreements, promoting public understanding of wetlands values,
promoting State wetlands protection efforts, and strengthening the
Section 404 regulatory program and its enforcement. All of the
activities contained in the 1991 guidance contribute to these key
directions and ultimately to the achievement of the no net loss
goal.
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- 37 -
Program Activities
In FY 1991, as EPA seeks to attain the President's goal of no net
loss of wetlands and to implement requirements of the CWA, focus
will be on working with other federal agencies and on integrating
objectives of other EPA programs as they affect wetlands. In
particular, wetland objectives of each of the OW programs will be
integrated by developing comprehensive, geographic scale approaches
for addressing water quality management and resource protection
issues. Initiatives to protect wetlands will complement activities
associated with nonpoint source pollution abatement, estuaries and
near coastal waters efforts, clean lakes, water quality standards,
and groundwater protection and other relevant programs.
Activities will dovetail with implementation of section 404
responsibilities including: 1) interpretation of section 404 (b) (1)
Guidelines; 2) prohibition or restriction of discharge sites under
section 404 (c) where unacceptable adverse environmental effects are
projected; 3) review of Section 404 permit application public
notices issued each year by the COE, proposed COE civil works
projects, and associated EISs; 4) ensuring appropriate
determination of jurisdictional limits of waters of the U.S.; 5)
transfer of the 404 program to qualified States and Indian tribes
and providing oversight of approved programs; 6) interpretation
of statutory exemptions under section 404(f); 7) implementation
of EPA enforcement authorities against unauthorized dischargers;
and 8) review and comment on Federal agency proposed regulations
which may affect section 404 implementation and on EISs for other
major Federal actions that may directly or indirectly affect
wetlands.
EPA's activities will be guided overall by the President's and the
Agency's policy goal of seeking to achieve no overall net loss of
the nation's wetlands in the short-run and seeking to increase the
quality and quantity of the wetlands resource base in the longer
run.
Headquarters
+ o HQs will provide support to the Assistant Administrator
in the role as EPA member of the Domestic Policy
Council's working group on wetlands and will take other
appropriate steps to help formulate and implement the
Administration's goal of no net loss of wetlands.
(Ongoing)
+ o HQs will work actively with other federal agencies to
strengthen wetland protection efforts including
developing an agenda for protecting wetlands on federally
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- 38 -
managed lands and improving the protection of sensitive
resources through improved floodplain management.
(Ongoing)
o HQs, working with OIA and others, will enhance EPA's role
in wetlands protection internationally. One specific
action will be to establish international working
agreements with key multinational organizations.
(Ongoing)
o HQs will continue to refine and develop policy guidance
and technical methodologies for the section 404 program.
In particular, a policy on mitigation and guidance on
alternatives analysis will be made available for use by
the Regions during FY 1991. HQs will also continue to
provide training opportunities and technical assistance
to Regions to improve effectiveness and consistency in
implementing new regulatory policies and methodologies.
(Ongoing)
o- HQs will promote the use of available enforcement
authorities with particular emphasis on expanding the use
of the administrative penalty authority. HQs will also
continue to encourage Regions to deliver inspector
training and ensure that both new and experienced
inspectors receive program-specific training.
o HQs and Regions will continue an emphasis on ecosystem
initiatives to address broad scale, persistent or
expected wetlands loss problems. This approach is
designed to deal with geographic scale, persistent
wetlands issues that may cross Regional boundaries and
that have not been effectively addressed through the
section 404 program. Anticipatory approaches such as
advance identification and greenways/river corridor
management plans may be used to reduce wetland losses.
During FY 1991 HQs, in conjunction with the appropriate
Regions, will place particular emphasis on wetlands loss
and management problems in coastal Louisiana and western
riparian ecosystems. (Ongoing)
o HQs will continue to work with ORD and OWRS to develop
appropriate water quality standards for wetlands and to
improve tools for the States' use of section 401 water
quality certification processes. HQs will work with ORD
to disseminate the technology and information produced
as a result of EPA's Wetlands Research Program. (Ongoing)
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- 39 -
o HQs will strengthen intra-agency coordination by
integrating wetlands protection objectives into guidance
and regulations of other Agency programs. In particular,
HQs will seek opportunities for integrating wetland
protection objectives through the nonpoint source program
and water quality standards; implement improved test
methods and procedural guidance on disposal of dredged
material; coordinate on the development and implementa-
tion of sediment quality criteria; encourage use of
section 401 water quality certification processes; and
incorporate wetland objectives in the near coastal
waters/national estuary, RCRA and CERCLA programs.
(Ongoing)
o HQs will continue to work with the Regions to develop and
disseminate to States, Indian tribes, and local
governments, information, data and methods useful to them
in the development and operation of wetlands protection
programs. State grant funding will be available in FY
1991 to assist in these efforts. (Ongoing)
Reqions/States/Indian Tribes
o Regions will assist States, Indian tribes and local
governments in improving effectiveness of wetlands
protection programs. Assistance will come primarily in
the form of information transfer and will involve both
section 404 and non-section 404 related approaches
including public outreach efforts, additions to the
wetlands science technical information base, and
interagency coordination. Regions will integrate more
effective use of the section 401 water quality
certification process into State and tribal water quality
management planning for activities involving discharges
in wetlands. (Ongoing)
o Regions will seek opportunities to design and carry out
strategic initiatives aimed at complementing formal
regulatory actions, including participation in
comprehensive, natural resource planning efforts,
ecosystem/geographic initiatives, targeted enforcement
initiatives, public education campaigns, support of
critical research and development activities, and work
with other federal agencies. (Ongoing).[STARS]
o Regions will continue to actively utilize EPA's civil and
criminal enforcement authorities in order to ensure
deterrence of inappropriate behavior and, where possible,
remediation of environmental damages and will increase
EPA enforcement presence through effective implementation
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- 40 -
of EPA's administrative penalty authority established
under the WQA. EPA's enforcement activities should be
coordinated with Corps' enforcement activities as
outlined in the EPA/Corps Enforcement Memorandum of
Agreement (MOA). Regions will develop appropriate
agreements with Corps field offices and State, Tribal or
local governments to further the attainment of
enforcement goals. (Ongoing) [STARS]
o Regions will continue to actively address wetlands loss
problems through implementation of the section 404
regulatory program. This will be accomplished through
review of section 404 public notices, proposed Corps
civil works projects, associated environmental assessment
documents, and coordination with the COE. Where
appropriate, Regions may invoke the dispute resolution
process outlined under the section 404(q) MOA between EPA
and the Corps or use EPA's section 404(c) authority to
prohibit or restrict use of a wetland site for discharge
of dredged or fill material. (Ongoing)
o Regions should actively support State, tribal and local
actions having objectives consistent with EPA wetlands
program goals. Among others these would include greenway
and river corridor management plans, habitat conservation
plans, special area management plans, State water quality
management plans, nonpoint source and stormwater
management plans, and clean lakes plans. The
availability of State grants during FY 1991 will greatly
enhance these efforts. (Ongoing)
+ o Regions will provide support to HQs in the formulation
and implementation of the Administration's goal of no net
loss of wetlands. (Ongoing)
o Regions will strengthen intra-agency coordination by
integrating wetlands protection objectives into field
activities of the Agency's program, in particular, the
nonpoint source program, marine disposal of dredged
material, use of section 401 water quality certification
processes, and the near coastal waters/national estuary,
RCRA and CERCLA programs. (Ongoing)
C. PROTECTING SURFACE WATER-ACTIVITIES
1. Water Quality Standards
Water quality standards play a critical role in the Nation's water
quality-based pollution control program. They provide the goals
for waters and the legal authority and regulatory basis for water
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- 41 -
quality-based treatment requirements. The FY 1991 activities for
this program include the adoption of aquatic life and human health
numeric criteria for 307(a) priority pollutants in State water
quality standards and completion of a triennial review of State
water quality standards. These activities and the requirements
that have to be met when a State conducts a triennial review
support the 1995 objectives in the Office of Water Strategic Plan
for coastal and marine waters (i. e., estuaries), rivers and
streams, and wetlands.
The requirements for the water quality standards program for the
FY 1991-1993 triennium are for States and qualified Indian Tribes
to: (1) adopt narrative water quality standards that apply
directly to wetlands; (2) adopt water quality standards that apply
directly to estuaries; (3) adopt narrative biological criteria in
water quality standards to protect the designated uses for
wetlands, estuaries, and other priority waters; (4) adopt salt
water criteria, as appropriate, in water quality standards; and (5)
adopt antidegradation implementation methods in water quality
standards. These requirements have to be met in FY 1991 by States
that complete a triennial review in FY 1991.
To achieve the FY 1991-1993 triennium requirements. States and
qualified Indian Tribes should begin work immediately. In FY 1991,
106 work programs and State/EPA agreements should be developed to
assure that these requirements are met by September 30, 1993.
Headquarters
N o Headquarters, with Regional participation, will
promulgate water quality standards for States that fail
to comply fully with the requirements of section
303(c)(2)(B) . (Ongoing)
N o Headquarters will analyze existing water quality data
bases and new information on toxic pollutants generated
by water quality and other programs to establish whether
additional standards are necessary for full 303(c) (2) (B)
compliance.
N o Headquarters will develop methods for deriving sediment
criteria; promulgate revisions to the Water Quality
Standards regulation; and develop guidance on ways to
link nonpoint source and combined sewer-over flow control
programs to water quality standards. (Ongoing)
o Headquarters will update section 304(a) criteria for
human health protection based on reference dose factors
and cancer potency and publish additional water quality
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- 42 -
criteria for those pollutants posing the greatest
ecological and human health risks. (Ongoing)
+ o Headquarters will expand the water quality standards
training and information exchange program to provide
opportunity for greater participation in that program.
Training and information exchange programs will include
water quality standards for wetlands and narrative
biological criteria. (Ongoing)
Recrions/States/Qualified Indian Tribes
o Regions will work with States and qualified Indian Tribes
to identify additional waters where the discharge or
presence of section 307(a) priority pollutants could
reasonably be expected to interfere with the designated
uses of those waters. (Ongoing)
N o Regions will approve numeric criteria for 307(a)
priority pollutants adopted by States in accordance with
section 303(c)(2)(B) and work with Headquarters to
promulgate numeric criteria for 307(a) priority
pollutants for States that fail to comply fully with
section 303 (c) (2) (B). (STARS-Second and Fourth Quarter)
o Regions, with Headquarters participation, will provide
technical and legal support to States and qualified
Indian Tribes when significant challenges to water
quality standards occur during the standards adoption
process or in subsequent use of standards to develop
point and nonpoint source controls. (Ongoing)
o Regions, with Headquarters support, will provide
technical assistance to qualified Indian Tribes during
the development and implementation of water quality
standards. (Ongoing)
o Regions will work with States and qualified Indian Tribes
to adopt, as appropriate, all criteria necessary to
support designated uses. These criteria should be based
on the latest scientific information on conventional,
non-conventional and toxic pollutants. (Ongoing)
N o Regions will ensure that 106 work programs and/or
State/EPA agreements reflect the water quality
standards program requirements for the FY 1991-1993
triennium. (Ongoing)
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- 43 -
o Regions will take formal action (approval or disapproval
and request for promulgation) on revisions or additions
to State water quality standards. (STARS-Second and
Fourth Quarter)
N o States that complete a triennial review of water quality
standards in FY 1991 will meet the water quality
standards program requirements for the FY 1991-1993
triennium. (STARS-Second and Fourth Quarters)
N o Indian Tribes that want to qualify for treatment as a
State for the water quality standards program will submit
an application for treatment as a State to EPA for
approval. (Ongoing)
2. Water Quality Monitoring and Assessment
FY 1991 monitoring and assessment activities concentrate on
identifying and characterizing water quality problems that pose the
greatest risk to human health and the aquatic environment and on
supporting management decisions on water quality standards, NPDES
permits, and nonpoint source controls. These activities along with
the continuation of current baseline monitoring activities support
the 1995 objectives in the Office of Water Strategic Plan for
coastal and marine waters, rivers and streams, lakes, and wetlands
by providing information that can be used to make water quality
decisions.
Headquarters
o Headquarters will provide oversight, guidance, and
assistance to Regions, States, and qualified Indian
Tribes to ensure action is taken on lists of impaired
waters and sources of toxic pollutants reported in the
biennial reports on water quality. (Ongoing)
o Headquarters will continue to work with Regions, States,
and qualified Indian Tribes to develop program guidance
on developing lists of water quality limited waters and
total maximum daily loads for those waters. (Second
Quarter)
o Headquarters will prepare and issue guidance for the 1992
report on water quality with emphasis on coastal waters
and critical aquatic habitats. (Third Quarter)
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- 44 -
o Headquarters will prepare a summary of the State 1990
reports on water quality and submit the summary to
Congress. (Third Quarter)
o Headquarters will continue to provide technical
assistance to Regions, States, and qualified Indian
Tribes to develop total maximum daily loads (TMDLs),
vasteload allocations (WLAs), and load allocations (L&s)
with emphasis on TMDLs, WLAs, and LAs for coastal/marine
waters. (Ongoing)
o Headquarters will work with Regions, States, and
qualified Indian Tribes to enhance the Waterbody System
(WBS), including investigating ways to link the WBS to
State Geographic Information Systems, so that progress
toward assessing and cleaning-up waters can be
documented. (Ongoing)
o Headquarters will issue a final long-term Monitoring
Framework that identifies the technical and program
guidance and assistance needs of the States and
qualified Indian Tribes. (First Quarter)
N o Headquarters will analyze data to support the use of
environmental indicators identified in the Office of
Water Strategic Plan and the guidelines for the 1992
report on water quality. (Second Quarter)
o Headquarters will continue to work with the Regions to
ensure that reliable bioassessments are conducted,
including biosurveys and toxicity testing, and that the
Regions evaluate the results of State, and qualified
Indian Tribe bioassessments, which should also assist
States in assessing their aquatic living resources. The
STORET BIOS file will be expanded to store the results
of these bioassessments, which should also assist States
in assessing their aquatic living resources. (Ongoing)
N o Headquarters, in cooperation with the Sediment Technical
Committee, will prepare guidance on remediation methods
for individual sediment site management. (Third Quarter)
o Headquarters will lead the effort to implement the
recommendations in the systems integration study through
the Steering Committee for Water Quality Data Systems.
(Ongoing)
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- 45 -
No In cooperation with OIRM and through the Steering
Committee for Water Quality Data Systems, Headquarters
will begin to modernize STORET using the vision
guidelines for STORET 1995. (Second Quarter)
o Headquarters will assist in the compilation and
integration of data from other Federal agencies to ensure
its usefulness to water quality assessments; and, along
with the Regions will assist States and qualified Indian
Tribes to interpret available data. (Ongoing)
Reqions/States/Qualified Indian Tribes
o Regions will report the number of waters and the number
of stream miles, lake acres, estuary segments, and
coastal miles -assessed through (1) monitoring or (2)
evaluation, according to the guidance for 305(b) reports.
STARS-Fourth Quarter)
o Regions will assist States and qualified Indian Tribes
to: (1) collect data to support environmental indicators
selected in FY 1990; (2) collect data in fresh and
coastal waters to identify changes in water quality and
to provide a basis for identifying/solving cases of
impairment; and (3) to ensure that reliable
bioassessments, including biosurveys and toxicity
testing, are conducted. (Ongoing)
o Using the final results of the bioaccumulation study,
Regions will assist States and qualified Indian Tribes
to develop total maximum daily loads/wasteload
allocations/load allocations and risk assessments, as
needed, and will review and approve the total maximum
daily loads/wasteload allocations/load allocations.
(Ongoing)
o Regions will assist Headquarters to improve water quality
data systems by continuing to participate on the Steering
Committee for Water Quality Data Systems. (Ongoing)
o States and qualified Indian Tribes will submit Section
303(d) lists of water quality limited waters and total
maximum daily loads/wasteload allocations for those
waters. Regions will take approval/disapproval actions
on those lists. (Fourth Quarter)
o States and qualified Indian Tribes will continue, as
appropriate, to evaluate waters to determine if numeric
criteria for 307(a) priority pollutants are needed to
protect designated uses. (Ongoing)
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- 46 -
o States and qualified Indian Tribes will develop 106 work
programs with specific actions that support baseline
monitoring programs and the recommenda-tions of the
Surface Water Monitoring Study, including evaluating and
upgrading monitoring and assessment capabilities and
improving access, use, sharing, and integration of data.
(Ongoing)
3. Water Quality Management
Water Quality Management (WQM) plans and Continuing Planning
Processes (CPP) required by section 303(e) of the CWA, as amended,
provide States and qualified Indian Tribes the framework to
identify water quality problems, establish priorities, and develop
control actions for those problems. WQM plans serve as the focal
point for integration of all CWA programs and must be updated to
reflect new water quality information and management actions (e.
g., control actions developed under sections 304(1) and 319 of the
CWA) . CPPs are designed to ensure that water quality activities
are coordinated and that those activities are consistent with water
quality objectives.
Through WQM plans and CPPs, program activities can be developed and
implemented to meet the 1995 objectives in the Office of Water
Strategic Plan for the six major categories of water resources.
WQM plans and CPPs also provide the opportunity to make the
institutional framework changes discussed in the Strategic Plan
to achieve the environmental goals and objectives in that plan.
The 1987 Water Quality Act authorized additional funds for WQM
activities by States, regional planning organizations, and
qualified Indian Tribes. These include Title VI funds for section
205(j)(2) planning grants and section 319 funds for nonpoint
sources projects.
Headquarters
o Headquarters will provide: (1) assistance by developing
regulations, guidance, and policy for CWA program grants;
(2) budgetary support for OWRS grant programs; and (3)
annual funding allocations for appropriations under 106,
314, 319(h), and 604(b). (Ongoing)
+ o Headquarters will continue national grant program
oversight, assist in the resolution of specific grant
issues, and track grant and financial data for all OWRS
programs. (Ongoing)
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- 47 -
Recrions/States/Oualif led Indian Tribes
N o Regions will report to Headquarters the amount of funds
identified in State and qualified Indian Tribe 106 work
programs by selected national water quality program
elements. (STARS-Second Quarter)
o Regions will provide funding targets and guidance for
negotiating grant work programs consistent with Agency
priorities and specific State/qualified Indian Tribe
needs. Work programs must contain quantifiable output
commitments consistent with EPA's Policy on Performance-
Based Assistance. (Ongoing)
+ o Regions will ensure that basic program grant conditions
and eligibility requirements (i. e., level-of effort
requirements under sections 106 and 319, matching
requirements under section 319, and the requirements
under 205(j)(3) for 40 percent pass-thru to RPCPSs/IOs)
are met prior to awarding grants. (Ongoing)
o Regions will monitor the performance of States and
qualified Indian Tribes that receive a Federal grant;
will conduct a minimum of one on-site evaluation of water
quality grant program activities; and will provide timely
review of all grant outputs. (Ongoing)
o States will fund water quality planning activities from
unawarded FY 1990 reserves under sections 205(j)(l) and
604 (b) and from FY 1991 604 (b) reserves. In addition to
section 319 funds, State nonpoint source program
development and implementation activities should be
funded from FY 1990 unawarded section 205(j)(5) reserves
and discretionary funds under sections 201(g)(l)(B) and
603(c). Qualified Indian Tribes are eligible to receive
section 106 grants and nonpoint source funds under
section 319. (Ongoing)
o States and qualified Indian Tribes will prepare grant
work programs that reflect national program priorities
(e. g., the FY 1991-1993 triennium requirements for the
water quality standards programs) and Regional guidance,
if any, tailored to individual States and qualified
Indian Tribes. iongoing)
+ o States and qualified Indian Tribes will update WQM plans
where required by law to reflect the results of
activities under sections 304(1) and 319 and to address
the integration of CWA program activities (e. g.,
nonpoint sources, clean lakes, and wetlands). (Ongoing)
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- 48 -
4. Nonpoint Source
In FY 1991, States and qualified Indian Tribes will implement
Nonpoint Source (NFS) management programs approved under section
319 of the CWA, as amended. While EPA will assist States and
qualified Indian Tribes to upgrade NFS management programs so that
those programs can be approved, primary attention will be NFS
implementation activities directed at specific watersheds. These
activities along with other actions such as providing technical
assistance on solutions to NFS pollution and promoting alliances,
both public and private, to address NFS pollution problems support
the 1995 objectives in the Office of Water Strategic Plan for
coastal and marine waters, rivers and streams, lakes, and wetlands.
Headquarters
o Headquarters will provide oversight of Regional NFS
program management and help resolve issues that arise
during NFS implementation activities. (Ongoing)
+ o Headquarters will develop funding criteria, assist
Regions in reviewing State and qualified Indian Tribe
project proposals, and , as resources allow, make funds
available for NFS grants to States and qualified Indian
Tribes. (Ongoing)
o Headquarters will provide technical assistance, conduct
technology transfer workshops, and develop and distribute
analytical methods and other tools needed to evaluate and
implement NFS controls. Headquarters will also support
the NFS Clearinghouse and publish NFS News-Notes.
(Ongoing)
o Headquarters will work with other Federal agencies to
ensure that programs, authorities, and resources are
mobilized to support implementation of State and
qualified Indian Tribe NFS management programs. A
priority activity is working with the U. S. Department
of Agriculture (USDA) during implementation of the
USDA Water Quality Initiative. (Ongoing)
o Headquarters will work with Federal agencies whose
programs or projects are inconsistent with a State or
qualified Indian Tribe NPb management program to ensure
that necessary modifications are made to make those
programs and projects consistent with the management
program. Headquarters will also work internally with
other EPA offices to ensure Action Plans that support
EPA's NFS Agenda are implemented. (Ongoing)
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- 49 -
o Headquarters, with participation of the Regions, States,
and qualified Indian Tribes, will support EPA's National
Coastal and Marine Policy and the wetlands protection
program. Headquarters will continue mutual efforts with
the Office of Groundwater Protection to incorporate
groundwater protection into NPS program activities.
(Ongoing)
+ o Headquarters, in cooperation with the Regions, will
continue to work on the pollution prevention initiative
on agricultural chemical management. (Ongoing)
+ o Headquarters will provide technical assistance to
Congress on NPS pollution in connection with the
anticipated reauthorization of the Clean Water Act in
1992. (Ongoing)
Reqions/States/Qualified Indian Tribes
o Regions will help States and qualified Indian Tribes
obtain approval of unapproved elements in NPS management
programs. (Ongoing)
+ o Regions will negotiate grant work programs and award
and manage grants to States and qualified Indian Tribes
for the implementation of approved NPS management
programs. (Ongoing)
o Regions will assist States and qualified Indian Tribes
to mobilize other Federal and EPA programs to support NPS
implementation activities. (Ongoing)
^
+ o Regions will support technology transfer and outreach
activities to improve technical expertise on NPS
pollution and to enhance public support for NPS controls
at all levels. (Ongoing)
o Regions will review and apply funding criteria, review
State and qualified Indian Tribe project proposals, and,
a« resources allow, award NPS grants to States and
qualified Indian Tribes. (Ongoing)
o States and qualified Indian Tribes will implement
watershed programs and projects in approved NPS
management programs. (STARS-Second and Fourth
Quarter)
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- 50 -
5. NPDES Permitting
The Office of Water's Strategic Plan is centered on risk reduction
and recognizes the importance of maintaining the progress to date
while looking forward to more complex and difficult challenges.
As we move to implement the strategic plan the functions and
responsibilities covered by the Office of Water Enforcement and
Permits will play a central role. Not only does this program
provide the regulatory basis for point source controls, i.e. NPDES
permits, it aggressively pursues noncompliance with its enforcement
program. The pretreatment and sludge programs are actively
involved in pollution prevention efforts. Through our delegation
of authority - to the States for the NPDES program and locals for
pretreatment - we are very concerned with building and improving
State and municipal capabilities. Our program functions are
further evolving to address the needs of the future—
bioaccumulative pollutants, stormwater, coastal protection,
aggressive and equitable enforcement, tailored State oversight and
greater program efficiencies. The following sections (5) through
(8) discuss our FY 91 program as we move forward .to meet the long
term objectives set forth in the strategic plan.
In FY 91, EPA and States will: continue aggressive programs to
control toxic discharges to surface waters through the NPDES
program; emphasize permit reissuance in near coastal waters to
protect critical aquatic habitats; control sludge use and disposal
through permits by implementing the interim sludge permitting
strategy; reissue NPDES permits to reflect new effluent guidelines,
and deal with water quality problems from stormwater by
implementing the stormwater application regulations and the
combined sewer overflow national strategy. In FY 91, EPA will
continue to work with States, professional trade associations, and
local officials to define outreach needs and develop tools to meet
those needs.
Headquarters will work with the Regions and States to establish and
maintain national consistency in toxicity controls through the
NPDES permit program. States and Regions will reissue permits to
include, as appropriate, enforceable, numeric whole effluent and
chemical specific toxicity based limits. Permits will be written
consistent with State anti-degradation policies and implementation
procedures. Permit quality reviews will also be conducted by
Regions as well as Headquarters as a means to review and improve
the permits and work towards national consistency.
Prior to promulgation of the sludge technical standards, EPA
generally will defer to State sludge permitting efforts wherever
they exist, and will focus on standard permit conditions and
appropriate monitoring requirements, along with compliance with
existing sludge standards. For priority sludge facilities, EPA and
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- 51 -
States will take appropriate permitting and enforcement actions to
address the concern. When the technical criteria regulations are
promulgated, NPDES permits implementing those criteria must be
issued to all covered POTWs unless the requirements are covered in
another permit issued under an approved State permit program.
In FY91, Regions and States will continue to focus municipal permit
reissuance on improving the quality of permits and addressing
pretreatment implementation requirements, including compliance with
DSS and PIRT rules, and appropriate follow up to findings contained
in audits and PCIs.
Combined sewer overflow (CSO) and stormwater problems are
particularly important in near coastal waters. The CSO control
strategy, issued in FY 89, required States to develop permit
strategies by 1/15/90. CSO permits will need to be issued as well
as modifications to existing CSO permits as quickly as possible.
Stormwater application regulations and guidance issued in FY90
covered discharges associated with industrial activities and
municipal separate storm sewer systems serving populations of
100,000 or more. In FY91 EPA will provide assistance to industrial
and municipal dischargers as they begin to prepare permit
applications.
In FY 1991, the Regions and States will continue to implement the
RCRA corrective action process begun in prior years. Regions will
review CERCLA and RCRA remedial actions involving discharges to
surface waters or POTWs to ensure that appropriate technology and
water quality limits are met.
Headquarters
o Headquarters will provide technical assistance and
training for permit writers, and contract assistance to
develop permits, particularly high priority water
quality-based permits. (Ongoing)
+ o Headquarters will work with Regions and States to achieve
national consistency in the development and
implementation of toxic control programs and enforceable
toxicity permit limits. (Ongoing)
o ORD will continue to support toxicity reduction
evaluation procedures for the development of water
quality based permit limitations. Information will ~c
developed on treatability of RCRA wastes for predicting
effluent concentrations, POTW pass-through and potential
water quality problems. (Ongoing)
+ o Headquarters will issue additional guidance where
necessary on permitting procedures covering aspects of
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- 52 -
human health issues, which will be used in conjunction
with guidance available on bioconcentration accumulation
and drinking water contamination. (Ongoing)
N o Headquarters will provide assistance to the Regions and
States in sludge permitting (either 503 or case-by-case).
(Ongoing)
o Headquarters will provide technical' assistance to Regions
and States in evaluating permittee procedures/techniques
for toxicity reduction evaluations. (Ongoing)
o Headquarters, with participation of the Regions and the
States, will continue implementation of the Agency's
National Coastal and Marine Policy. (Ongoing)
N o Administering agencies will also reissue and/or modify
permits to implement BAT guidelines for organic
chemicals to achieve compliance quickly.
(Ongoing)
Regions/States
o Regions/States will reissue all major permits expired or
expiring in FY 1991. (Ongoing) [STARS]
N o As NPDES permits for POTWs with approved pretreatment
programs are reissued, Regions and States will
incorporate specific and enforceable requirements to
facilitate and strengthen POTW . pretreatment
implementation, compliance with sludge requirements, and
development of local limits. (Ongoing)
+ o Regions will issue by 2/4/91 final permits to facilities
listed by the Region in the section 304(1) disapproval
process as requiring ICSs and for which draft permits
were submitted on 6/4/90. (Second Quarter)
o Regions/States will reissue or reopen permits for organic
chemical plants, bleached kraft pulp mills, and others
not previously addressed to incorporate technology-based
and water quality-based limits. There will be more focus
on developing limits to protect human health. (Ongoing)
+ o Regions/States will follow the interim sludge permitting
strategy by including sludge monitoring, existing
national sludge regulatory requirements and additional
case-by-case conditions in priority POTW permits in NPDES
or State sludge permits. (Ongoing) [STARS]
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- 53 -
o Regions/States will implement the RCRA permit-by-rule
requirement and establish corrective action requirements
where necessary for POTWs that are receiving hazardous
wastes not mixed with domestic sewage. (Ongoing)
o Regions/States will focus increased attention on permit
issuance to NPDES permittees discharging to marine/
estuarine waters, especially to control the discharge of
bioaccumulative and persistent toxicants. (Ongoing)
[STARS]
N o Regions and States will issue/modify permits for CSO
discharges based on FY 90 strategies. (Ongoing)
N o Regions/States will ensure water quality standards
antidegradation implementation procedures are reflected
in NPDES permits and NPDES permit public notices.
(Ongoing)
N o Regions/States will begin reviewing stormwater permit
applications as stipulated in regulations promulgated in
FY 1990. (Ongoing)
6. NPDES Enforcement
The goals for the NPDES enforcement program in FY 91 are to
ensure continued municipal and industrial compliance and to
increase our enforcement presence in emerging program areas such
as toxic controls, storm water, combined sewer overflows and
sludge. The NPDES enforcement program will maintain its ability
to address compliance problems on a targeted basis, i.e. geographic
areas, industry-wide noncompliance, pollutant specific, etc. Such
targeting may be Region-specific or national in scope, depending
upon the source and the significance of the problems.
Specifically, in the municipal area emphasis will shift from
construction of facilities to improving compliance of constructed
facilities with final effluent limits. In an effort to bring
municipal significant noncompliance rates to a level comparable or
better than that of industry, EPA will provide guidance for
identifying the cause(s) of POTW noncompliance through diagnostic
inspections and establishing compliance correction plans utilizing
section 308 letters, administrative orders, or where necessary,
judicial actions. EPA will also develop and implement the
Municipal Water Pollution Prevention Program, which anticipates
when POTWs should begin corrective actions to avoid future non-
compliance.
In support of this municipal compliance emphasis, EPA will continue
to emphasize improved monitor ing/inspect ions to evaluate compliance
with toxic requirements in NPDES permits, increased use of
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- 54 -
diagnostic inspections and tracking to identify and correct chronic
noncompliance, and enforcement of pretreatment implementation
requirements for POTWs (as discussed in further detail in the
pretreatment section, which follows). Administering agencies will
coordinate pretreatment and municipal enforcement actions so that,
when 'an action is taken in response to noncompliance in one
program, consideration is given to the other.
EPA will place a high priority on identifying and enforcing toxic
permit requirements to protect human health and aquatic life. EPA,
in cooperation with the States, will implement the Compliance
Monitoring and Enforcement Strategy for Toxics Control. The
strategy focuses on inspections to monitor acute and chronic
toxicity; criteria targeting enforcement responses to violations
that pose the greatest- potential risk to water quality; lab
performance evaluation criteria for toxicity analysis; and an
updated DMR/QA program to meet new and expanded needs for toxicity
controls. EPA will also implement the Compliance Monitoring and
Enforcement Strategy for sludge which will require monitoring and
assessing the compliance of permittees with sludge requirements
and taking appropriate enforcement where necessary.
Headquarters
o Headquarters will evaluate the use of available
enforcement mechanisms to ensure the optimum use of
enforcement authorities. Headquarters/Regions will
assess State penalty practices. (Ongoing)
+ o Headquarters will take the necessary steps to assure
that PCS is being used effectively and has the elements
to allow for effective linking to other information
systems. This requires entering of latitude/longitude
data in PCS; identifying other environmental information
systems with relevant information; and designing,
distributing and using specially designed programs to
facilitate system linkages, data download and uploads and
data analyses. (Ongoing)
o Headquarters (OWEP/ORD) will continue the DMR QA program
to include a reference toxicant to test permittees'
ability to conduct whole effluent toxicity tests.
(Second Quarter)
+ o OWEP will coordinate with the Office of Municipal
Pollution Control in the development and implementation
of the Municipal Water Pollution Prevention Program.
(Ongoing)
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- 55 -
o Headquarters will continue to encourage Regions to
deliver inspector training and ensure that both new and
experienced inspectors receive program-specific training.
(Ongoing)
o Headquarters will implement the EPA Federal Facility
Compliance Strategy, signed by the Administrator on
November 8, 1988. (Ongoing)
Regions/States
o Regions and States, using the entire spectrum of
enforcement mechanisms, will ensure compliance with all
formal enforcement actions (AOs, civil and criminal) by
tracking cases, from issuance to closeout in the case of
AOs and by tracking compliance with judicial consent
decrees and court orders, and by prompt follow-up action
when deadlines are missed. (Ongoing)
o Regions will provide technical support for criminal
investigations and prosecutions in program priority areas
and refer to the Office of Criminal Investigation matters
involving suspected criminal violations. (Ongoing)
o Regions will ensure that EPA judicial referrals/consent
decrees and final administrative penalty orders contain
appropriate civil penalties consistent with the CWA
Penalty Policy. (Ongoing)
o Regions/States will take timely and appropriate
enforcement against SNC violations, including those
involving toxic pollutants. (Ongoing) [STARS]
+ o Regions/States will shift resources within the inspection
base to focus inspections on assessing permittee
biomonitoring capabilities and evaluating permittee
procedures/techniques for toxicity reduction evaluations.
(Ongoing) [STARS]
o Regions/States will continue to ensure timely and
accurate data entry of all WENDB data elements. (Ongoing)
N o Regions/States will incorporate the compliance monitoring
and enforcement of sludge requirements into their ongoing
enforcement program. (Ongoing)
N o Regions/States will implement an intensive effort to
reduce the level of significant noncompliance of major
POTWs with final effluent limits. (Ongoing)
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- 56 -
N o Regions will evaluate State penalty practices to ensure
that the States are seeking civil judicial penalties that
are consistent with the Clean Water Act Penalty Policy.
(Ongoing)
+ o Regions/States will develop and implement Municipal
Pollution Prevention programs for anticipating when a
POTW should begin planning facility construction to avoid
future noncompliance. (Ongoing)
7. Pretreatment
The goal is to assure that POTWs1 fully implement and enforce
pretreatment controls for conventional, nonconventional and toxic
pollutants and hazardous wastes that are necessary to protect human
health, the environment, and the treatment works. Administering
Agencies should give priority to: 1) the modification of NPDES
permits that will be reissued in FY 1991 to incorporate new
requirements resulting from new or revised pretreatment
regulations, to correct inadequacies identified in the operations
of the POTW pretreatment program and to incorporate appropriate
controls for toxic pollutants, and 2) identification of those POTWs
that meet the criteria for report able noncompliance and report them
on the Quarterly Noncompliance Report. Where the POTW also meets
the definition of significant noncompliance, formal enforcement
action should be initiated when the POTW does not return to
compliance within a timeframe consistent with the definition.
Administering Agencies should ensure that all POTWs whose NPDES
permit will be reissued in FY 1991 receive pretreatment audits to
identify inadequacies in the approved pretreatment program.
Administering agencies will then ensure effective pretreatment
programs for those POTWs by:
o Permit and Program Modification; Regions and States will
formally review and where appropriate modify approved
pretreatment programs and NPDES permits to incorporate
new requirements or to correct program inadequacies.
Modification and approval will follow both the October
17, 1988, (PIRT) and the FY 90 DSS amendments to the
General Pretreatment Regulations, and focus on the
following five areas: local limits; legal authority;
control mechanisms; inspections, sampling, and IU
reporting; and enforcement procedures.
throughout this section, wherever POTWs are cited, the same
requirements apply to States or EPA acting as Control Authority in
lieu of local program.
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- 57 -
o Enforcement; Regions and States will assure that POTWs
operate their approved programs and comply with reporting
requirements. Where POTWs fail to successfully implement
their program as measured by the guidance on significant
noncompliance. Administering Agencies should take timely
enforcement action to address the problem.
Where there is an approved program, and the POTW has not
taken all actions available under its authority, to
secure the compliance of the IU, action against both the
POTW and the IU will usually be appropriate. Where EPA
or the State is the Control Authority, enforcement action
should be taken against those lUs which have not complied
with categorical standards, especially those Ills where
the POTW has been identified as having interference or
pass-through problems.
o Data Management; Regions and States will assure that
POTWs have in place and employ appropriate mechanisms to
track and determine compliance rates for SIUs, using the
definition of significant noncompliance when it is
promulgated, and that POTWs report such data at least
annually. States and Regions will employ PCS to track
pretreatment information and assist in identifying POTWs
which meet the criteria for reportable noncompliance and
significant noncompliance. Regions and States should
also use PCS to identify the compliance of lUs where EPA
or the State is the Control Authority.
For State-run pretreatment programs, special attention will be
given to monitoring and evaluating performance. Regions should
ensure that States are inputting data into PCS systems as
appropriate and should monitor the overall performance of the
program to ensure that industrial users are in compliance. Where
there is no approved local program Regions/States should evaluate
the need to develop local programs consistent with section 403.8
of the pretreatment regulations.
Headquarters
N o Headquarters will assist Regions/States to implement
changes to NPDES and General Pretreatment Regulations
based on the DSS rule promulgated in FY 90. (Ongoing)
N o Headquarters will issue a revised audit and PCI
checklist, pretreatment performance summary and PPETS
data elements to facilitate determination of RNC/SNC.
(Second Quarter)
N o Headquarters will provide information on POTWs with
approved pretreatment programs whose NPDES permits will
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- 58 -
expire in FY 91 and provide model pretreatment program
implementation language to be considered for
incorporation into the permits. (Ongoing)
+ o Headquarters will propose changes to the NPDES
regulations on the Quarterly Noncompliance Report to
incorporate reporting requirements for pretreatment
consistent with the recommendation of the RNC/SNC
workgroup. (Fourth Quarter)
N o Headquarters will provide Regions with lists of XUs in
nonpretreatment cities based on the Toxic Release
Inventory. (First Quarter)
Regions/States
N o Regions and States will evaluate and revise as necessary,
pretreatment program implementation requirements in NPDES
permits as they are reissued, as well as requirements
implementing applicable state chemical specific and
narrative toxicity water quality standards. (Ongoing)
+ o Regions/States will assess and provide technical
assistance and training to POTWs as they
implement/enforce their programs and adopt new
requirements resulting from the DSS rule. (Ongoing)
+ o Regions/States will place priority on enforcement against
POTWs in significant noncompliance; lUs subject to
Organic Chemicals standards; and lUs in nonpretreatment
cities. (Ongoing)
o Regions will use criminal enforcement authorities
against appropriate industrial users with special
attention on knowing/negligent introduction into a POTW
of toxic pollutants/hazardous wastes (as defined by CWA
sections 311(b)(2)(A) and 307(a); CERCLA section 102;
RCRA section 3001; TSCA section 7) in excess of legal
limits. Regions will provide technical support for
criminal investigations and prosecutions in pretreatment
cases. (Ongoing)
N o Regions/States will ensure that approved POTWs adopt
Enforcement Response Plans as required by the DSS
amendments. (Ongoing)
o Regions/States that act as control authorities will
implement/enforce the pretreatment program consistent
with national guidance, and will be held to the sane
standards of implementation as local authorities.
(Ongoing)
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- 59 -
o Regions/States will ensure that all approved pretreatment
programs are inspected or audited annually. (Ongoing)
[STARS]
8. NPDES. Pretreatment and Sludge State Program Approval. Review.
and Oversight
In FY 91, the goal is to continue to strengthen the Federal/State
partnership by conducting effective oversight to ensure sound,
consistent implementation of State programs, improving the legal
and regulatory basis of current State programs, and approving new
State NPDES, pretreatment and sludge programs. As State NPDES and
pretreatment programs mature and as more States assume these
responsibilities, these activities continue to grow in importance.
In addition, EPA will work with any Indian tribes seeking to
administer the NPDES program as authorized by the WQA.
Regions will continue ongoing activities to oversee the quality
and implementation of approved NPDES programs. These activities
include permit reviews, regular meetings with State program
officials, annual state program assessments, and assistance to the
State as needed to assure effective implementation. Regions will
continue to negotiate agreements with their States on managing and
overseeing NPDES programs consistent with the Oversight Guidance
and applicable NPDES/pretreatment regulations. By 1991, many of
the initiatives begun in earlier years will be institutionalized
into other documents and agreements, and more emphasis will be
placed on follow up by Headquarters and by Regions to ensure the
sound, consistent application of these principles and practices.
Part of this effort will include continuation of EPA's tailored
oversight program.
The Regions will continue to encourage NPDES States to assume
authority for the pretreatment program, and will continue to
condition section 106 grants accordingly. Regions should
accelerate efforts to encourage States to assume authority for
the sludge program prior to EPA promulgation of the technical
sludge regulations. Regions should accelerate efforts to encourage
State program modifications for general permitting authority, since
this will be a key to successful implementation of stormwater
program activities for all NPDES states.
Headquarters
N o Headquarters will assist Regions and States in assessing
State sludge programs and State sludge program
delegations. (Ongoing)
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- 60 -
+ o Headquarters will assist Regions with the conduct of
State pretreatment program audits to assess State
performance. (Ongoing)
o Headquarters will provide guidance/assistance to Regions
in conducting legal reviews, correcting program
deficiencies, and responding to litigation/administrative
petitions from third parties seeking withdrawal of State
programs. (Ongoing)
o Headquarters will promulgate changes to NPDES Regulations
to incorporate requirements of the Water Quality Act of
1987, and to clarify existing regulatory provisions.
(Fourth Quarter)
o Headquarters will assist Regions with Indian tribes
seeking to administer the NPDES program. (Ongoing)
Regions/States
o Regions will increase their oversight of approved State
pretreatment programs, and will take appropriate steps
to correct problems where States are not adequately
implementing/enforcing program requirements. (Ongoing)
o Regions will continue to review/approve programs/program
modification requests for NPDES (including pretreatment,
general permits and sludge), and separate sludge program
authority and review and approve partial NPDES programs.
(Ongoing)
+ o Regions will work with States to assure effective and
timely implementation of their surface water toxics
control programs, including implementation of each
State's toxic control action plans. (Ongoing)
+ o Regions will continue to oversee State NPDES programs,
tailoring oversight to focus on priority activities and
areas needing improved performance. (Ongoing)
9. State Revolving Fund Management
In FY 1991 the State Revolving Fund (SRF) program will be the
largest source of federally supp^j. ^ed financial assistance
available to local municipalities for the construction of
wastewater treatment works. Although there will still be some
ongoing construction grant funding with carryover funds and
deobligations, the SRF program will be the primary source of local
financial assistance. States are encouraged to factor SRF funding
and management strategies into their overall water quality program
plans.
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- 61 -
The SRF program supports the objectives of the Office of Water
Strategy by producing a funding mechanism in lieu of Federal grants
for the construction of municipal wastewater treatment facilities
and other eligible activities. FY 1991 will be important in the
implementation of SRF for several reasons. First of all, FY 1991
will be the first full year of SRF implementation in many States.
Many issues involving alternative financing options and SRF
operating policies can be expected. The Agency must stand ready
to provide timely, high quality technical assistance to ensure the
ongoing effective implementation of the program. In addition, the
results of the annual audits of the first round of capitalization
grants will be completed. EPA and the Office of Water, in
cooperation with the Regional offices, will be prepared to deal
with any audit findings in a timely and responsible manner and to
factor the results of these audits into national guidance or
policy.
EPA will continue to provide a point of coordination for States
and Regions to share SRF program implementation experience to
facilitate the ongoing success of this new program.
Headquarters
o Headquarters will conduct formal reviews of State SRF
capitalization grant applications which involve aggressive
leveraging or propose to generate a State match from the
fund. Headquarters will assist Regional offices in
reviewing other applications as requested.
o Headquarters will continue to oversee Regional activities,
provide advice, develop additional guidance, regulations
and training as appropriate.
Regions/States
o Regions will continue to review and approve applications.
They will review annual reports and conduct annual
reviews. They will effectively manage the SRF grant award
process to ensure that payment schedules and cash draws
are consistent with LOG cash draw rules.
10. Management of the Ongoing Construction Grants Program
The management of the construction grants program will continue to
be a high priority of the Office of Water. Approximately 5,500
projects representing a federal investment in excess of $25 billion
are in various phases which still require EPA action in FY 1991.
In addition, the grants to Indian Tribes from 518 (c) set-asides are
expected to be under construction during
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- 62 -
FY 1991. EPA is committed to working with the States and local
governments to ensure that the technical, environmental and fiscal
integrity of the program is maintained as this workload of projects
moves toward completion.
The successful completion of the construction grants program
supports the Office of Water Strategy by ensuring that funded
municipal wastewater treatment works are completed and perform as
designed to achieve environmental results. During FY 1990 EPA is
developing a completion closeout strategy which will seek to
complete the program as efficiently and expeditiously as possible
while maintaining the fiscal integrity of the programs.
In excess of ninety percent of the day-to-day project management
activities in the construction grant program are performed by the
States and U.S. Army Corps of Engineers under delegation
agreements. The State activities are supported by construction
management assistance grants under Section 205(g) of the Clean
Water Act. The States and the Corps will be key actors in the
successful management of the program to completion.
The administrative completion, audit, and audit resolution
functions are critical in the successful management of grant
projects. EPA and State program managers must be prepared to
follow through on these functions, not only to ensure full
reconciliation of the Federal (and any matching State) financial
involvement, but also to represent program decisions during audit.
Headquarters
o Headquarters will continue to emphasize the successful
completion and closeout of the construction grant program,
including working with the IG to promote high quality and
timely completion of the program.
o Headquarters will continue to overview Regional
performance in the management of the dispute resolution
process under Part 31, Subpart F and Part 30,
Subpart L to ensure consistent interpretation of program
regulations and policy.
o Headquarters will continue to provide management
information systems, including GICS and the Needs to
ensure timely and accurate data is available to Kegional,
State and Indian Tribe managers.
o Headquarters and Regions will work effectively with Indian
Tribes, States and the Indian Health Service to implement
the EPA Indian Policy, 518(c) set-aside program and the
National project priority list funding decisions. They
also will continue to assess the capital investment
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- 63 -
required for municipal wastewater treatment facilities for
the Needs Survey report to Congress.
Regions/States/Indian Tribes
o States and Indian Tribes will continue to manage active
construction grant projects including outlays.
o Regions will maintain essential levels of oversight of
delegated State activities to meet key delegation
agreement and performance-based 205(g) grant requirements,
including outlays. They also will continue to manage Corps
of Engineers Interagency Agreement resources supporting
priority construction management activities.
o Regions and States will continue to provide and maintain
timely and accurate program and project information for
the GIGS System.
o Regions and States will continue to complete and closeout
projects consistent with the State Phaseout Strategies.
They will continue to work with the OIG to ensure timely,
high quality audit resolution.
11. Municipal Wastewater Treatment Works Pollution Prevention and
Infrastructure Protection
The Office of water Strategy recognizes that a more effective and
cheaper solution to the improvement of water quality is
to prevent pollution from occurring in the first place. The
Strategy sets as a goal to institutionalize pollution prevention
and infrastructure protection programs to sustain the water quality
gains that have already been achieved.
Through the construction grant program. Federal, State and local
governments have invested in excess of $75 billion in the
construction of municipal wastewater treatment works. As a result
of this investment as well as EPA and State efforts under the
National Municipal Policy, municipal compliance with NPDES
requirements is high. Maintaining that compliance will be a
challenge in the face of: (1) new environmental requirements; (2)
greater flows generated by a growing population; and (3) aging
physical wastewater treatment plants.
Much of EPA's effort to date has been to ensure that these
facilities were properly planned, designed, and constructed. FY
1990 is the final year of Title II appropriation for project
funding. In the future, attention will need to shift toward
assuring that constructed facilities are well maintained and
operated so as to prolong their useful lines and provide for
continuing compliance with permit requirements. During FY 1990
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- 64 -
EPA will have conducted a series of workshops in cooperation with
the States to fully explore how a municipal pollution prevention
program should be conceptualized. As a result of those workshops
decisions will have been made during FY 1990 regarding the
feasibility, scope, and content of state-based pollution prevention
programs and guidance will be developed, as appropriate.
In addition, during FY 1991, the emphasis on the State and Indian
Tribes operations and maintenance and operator training programs,
including expanded financial management assistance, will continue
along with special emphasis in assistance to small communities
under the Small Community Outreach and Education (SCORE) program.
Headquarters
N o OMPC and OWEP will develop guidance on state-based
municipal pollution prevention programs, as appropriate,
based on the results of pollution prevention workshops
conducted in FY 1990.
o Headquarters will continue to provide national policy and
funding guidance, oversee Operations Management
Evaluations, provide technical and State program
development assistance and coordination, and disseminate
information.
o Headquarters will continue funding/coordination of
operator training programs under Sections 104(g)(l) and
109(b) of the Clean Water Act, including expansion of
these programs to jointly address drinking water and solid
waste problems.
o HQ will continue to manage and coordinate the national
awards programs for O&M, pretreatment and beneficial use
of sludge.
Reqions/States/Indian Tribes
o Regions will solicit nominations for awards and make
Regional awards in all categories to the extent feasible.
They will refer highly qualified nominees to Headquarters
for national awards consideration.
+ o The Regions, as part of their FY 1990 midyear self
evaluation, will summarize the status of the MWPP
initiatives in their States and Indian Tribes.
o States, Indian Tribes and Regions will continue to provide
onsite compliance, technical assistance and operator
training at small POTWs, i.e., Operations Management
Evaluations (OMEs). Based on Headquarters training, they
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- 65 -
will conduct expanded financial management/user charge
system diagnostic evaluations as appropriate and assist
local officials to obtain needed State/private sector
assistance.
o Regions will negotiate and award Section 104(g)(l)
operator training grants, participate in negotiations on
use of Section 106 and 205(g) grants for O&M activities,
and encourage State funding support.
12. Municipal Technology Transfer and Small Community Outreach
The Office of Water Strategy recognizes that EPA's mission is to
ensure the sustainability of water resource quality in the future
and this depends on EPA. acting as a catalyst through municipal
technology transfer and SCORE to ensure that gains made in the past
continue.
As the construction grant program phases down, municipalities must
become more self-reliant in planning, designing, financing and
operating their wastewater facilities. They also will be faced
with new challenges. These include toxics management (both water
and air), sludge management under new regulations, improved CSO
and storm sewer pollutant controls, wastewater treatment facilities
approaching the end of their design life and financing the full
capital cost of new and upgraded facilities without Federal grants.
In order to provide cost-effective, affordable wastewater treatment
which continues to meet increasingly demanding permit requirements,
municipalities and their consultants must have access to the best
information on a wide range of topics relevant to municipal
technology finance, management and operations.
Transfer of needed wastewater and sludge management information
will continue using the existing network of Agency (including
Regional and ORD staff) professional, public and private sector
participants. One specific initiative in this area is to generate
a national discussion leading to a broad consensus on the
appropriate roles and responsibilities of EPA, State governments,
national associations, academia, the consulting community and
equipment manufacturers in conducting the research and developing
the technologies necessary to meet the challenges facing wastewater
management.
Small communities can least afford to make costly mistakes in their
planning, financing or technology selection decisions. Special
efforts will continue to be made to assist the small communities
through the SCORE program.
EPA believes that States are in the best position to deliver
information and provide support to the local officials within their
boundaries. Therefore, OHPC will work through the EPA Regional
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- 66 -
Offices to assure that each State develops and implements a
proactive small community outreach program.
A number of national associations also have an interest in or can
provide support to assist small communities with their
infrastructure needs. Other Federal agencies, like the USDA, have
programs which can provide financial assistance, information and
other types of support to small communities. OMPC will continue
to identify and work with appropriate national organizations and
Federal agencies to enhance our mutual efforts and coordinate State
outreach programs.
Headquarters
+ o Headquarters will continue the SCORE program to support
Regional and State activities directed towards assisting
small communities in the design, construction, financing,
management and maintenance of their facilities.
+ o Headquarters will continue to refine its municipal
technology transfer initiatives, including the SCORE
program.
o Headquarters will establish a working relationship with
the Water Pollution Control Federation (WPCF) Research
Foundation and other groups that fund and coordinate
research, development and demonstration activities.
o Headquarters will continue to identify and work with a
wide variety of individuals and organizations who can
participate in a municipal technology transfer and a small
community outreach network.
o Headquarters will work with the Office of Research and
Development to update Municipal Technology Subagreements
which address the needs of the network clients including
small communities.
o Headquarters will disseminate research and field
information concerning new technologies, the emission of
air toxics from POTWs and improved toxics removal from
POTW effluents, including appropriate assistance and
coordination with the RCRA and CERCLA programs through a
National Technology Forum, seminars and various
publications.
o Headquarters will continue to evaluate selected sludge
management technologies for beneficial use, support
sludge management workshops, and the sludge beneficial
use awards program.
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- 67 -
+ o The Office of Municipal Pollution Control and the Office
of Drinking Water in EPA Headquarters will continue to
coordinate technical assistance efforts, especially under
SCORE.
o Headquarters will encourage public/private partnerships
as a means of meeting local environmental infrastructure
needs.
o Headquarters will continue to fund and manage the National
Small Flows Clearinghouse at West Virginia University.
o Headquarters will continue to finance the development and
initial implementation of new and innovative State
approaches to outreach through incentive grants and
demonstration grants.
o Headquarters, with participation of the Regions and
States, will continue to implement the Action Plans
developed in 1989 to support the Agency's National Coastal
and Marine Policy.
Reaions/States/Indian Tribes
o Regions will continue to work with Headquarters to
identify and develop working relationships with additional
individuals and organizations who can participate in
municipal technology transfer and small community outreach
networks.
o Regions and States will support the identification,
evaluation and dissemination of selected treatment
technologies for of removal of conventional and toxic
pollutants, recycle and reuse of wastewater and sludge,
improved capital and O&M cost-effectiveness and improved
operability and maintainability. (Ongoing)
o Regions and States will continue their efforts to promote
beneficial uses of sludge, including participation in the
sludge beneficial use awards program. (Ongoing)
o Regions will develop agreements between their water supply
and wastewater treatment units in outlining how they will
cooperate in outreach, technology transfer and techr cal
assistance.
o Regions, States and Indian Tribes will continue to develop
and implement small community outreach programs.
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IV. REGIONAL INITIATIVES
Each Region- nay propose to the Office of Water for discussion
environmental initiatives which the Region would like to carry out
in FY 1991. These initiatives should offer specific solutions or
approaches for achieving the environmental goals and results
outlined in the Office of Water Strategic Plan.
For each initiative that anticipates an adjustment, by mutual
agreement, to the commitment for a STARS measure, the Region should
describe how such adjustment is expected to improve water quality,
and indicate that it lacks the flexibility to pursue the initiative
within its operating plan resource levels. We plan to accommodate
this new flexibility in our FY 1991 STARS commitment negotiation
process.
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OFFICE OF DRINKING WATER
FY 1991 PROGRAM SUPPLEMENTAL GUIDANCE
GUIDANCE PUBLICATION DATE
PWSS Proerram
Annual PWSS Enforcement
Agreement Guidance April 1, 1990
STARS/OWAS Reporting
Guidance April 1, 1990
New SNC Definition April 1, 1990
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-70-
OFFICE OF GROUND-WATER PROTECTION
FY 1991 PROGRAM SUPPLEMENTAL GUIDANCE
GUIDANCE PUBLICATION DATE
1. Annual Guidance for State Ground- 4/1/90
Water Protection Grants Funds by
Section 106 of the Clean Water Act
2. Guidelines for Activities Under 319(i) 9/1/90
of the CWA
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-71-
OFFICE OF DRINKING WATER
FY 1991 PROGRAM SUPPLEMENTAL GUIDANCE
GUIDANCE PUBLICATION DATE
UIC PROGRAM
l. Annual UIC Enforcement Agreement 4/1/90
Guidance
2. SPMS Reporting Guidance 4/1/90
3. UIC Data Management Guidance 7/1/90
4. Class IV Enforcement Guidance 4/1/90
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-72-
OFFICE OF MARINE AND ESTUARINE PROTECTION
FY 1991 PROGRAM SUPPLEMENTAL GUIDANCE
GUIDANCE PUBLICATION DATE
Coastal Management Demonstration 09/30/90
Project Guidance
Monitoring and Data Management 12/31/90
Guidance for Marine/Ocean Waters
Ocean Dumping Site Designation, 12/31/90
Monitoring, and Management
Guidance
CWA 301(h) Permit Reissuance 03/31/91
Guidance
Sediment Analytic Methods and 03/31/91
and Bioaccumulation Analysis
Guidance
CWA Section 403(c) Ocean Discharge 09/30/91
Criteria Guidance
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-73-
OFFICE OF WATER REGULATIONS AND STANDARDS
FY 1991 PROGRAM SUPPLEMENTAL GUIDANCE
GUIDANCE PUBLICATION DATE
National Guidance, Water Quality Draft, 4-1-90
Standards for Wetlands
Biological Criteria Program Guidance 4-1-90
Document
-------
-74-
OFFICE OF WATER ENFORCEMENT AND PERMITS
SUPPLEMENTAL GUIDANCE
GUIDANCE PUBLICATION DATE
Sludge Case-by-Case Guidance December 1989
Guidance for Developing Control January 1990
Authority Enforcement Response Plans
Storm Water Designation Guidance March 1990
Guidance on Local Limits Development: March 1990
PRELIM
Guidance on CSO Control Mechanisms March 1990
Guidance for Calculation of Economic April 1990
Benefit by Control Authorities
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-75-
OFFICE OF MUNICIPAL POLLUTION CONTROL
FY 1991 PROGRAM SUPPLEMENTAL GUIDANCE
GUIDANCE PUBLICATION DATE
None.
-------
Office Of Solid
Waste And
Emogeray Repone
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TABLE OF CONTENTS
Page
I. ASSISTANT ADMINISTRATOR'S OVERVIEW 1
II. ENVIRONMENTAL PROBLEM AREAS 8
A. ADDRESS HAZARDOUS SUBSTANCE EMERGENCIES AND CLEAN UP
UNCONTROLLED HAZARDOUS WASTE DISPOSAL SITES 8
1. Overview of the National Strategy 8
2. Major Activities 9
a. Focus Attention on Worst Sites/Problems First. 9
b. Support an Integrated Fund/Enforcement
Pipeline of Activities that Emphasizes
Enforcement First 10
c. Maintain a Strong CERCLA Enforcement Program.. 11
d. Coordinate Superfund Activities to Improve
Attainment of Statutory and Legislative
Objectives, Beginning with National
Priorities (NPL) Listing and Concluding
with NPL Deletion 15
e. Enhance Cooperation Between CERCLA and RCRA
Cleanup Programs 16
f. Make Good Use of Removal Authorities 18
g. Enhance Community Outreach Efforts 19
h. Progress toward SARA Site Investigation Goal.. 20
i. Develop Streamlined Site Evaluation Process
that Meets SASA Requirement of Four Years 21
j. Identify, Evaluate, and List Sites on the NPL. 22
k. Promulgate Regulations and Guidance that
Articulate Remediation Standards and
Selection of Remedy Procedures 22
1. Maintain and Improve Federal/State and
Tribal Relations 24
m. Strengthen Existing or Where Appropriate
Implement New Remedial and Removal Management
Techniques 25
n. Improve Retention, Preparation, and Recruitment
of Key Site Cleanup Personnel, Particularly
OSCs and RPMs, Through the OSC/RPM Support
Program 26
o. Maintain Efforts in the Oil Spill Program 27
p. Implement CERCLA Response Actions at
Federal Facilities 28
q. Conduct Research that Improves Risk
Assessment Capabilities and Risk Reduction
Technologies in the Response Program 30
r. Ensure Appropriate Information Resources
Management 33
-------
s. Continue to Assess Treatment and Disposal
Capacity Need Through SARA Section 104 (Jc) 35
t. Provide Hazardous Substance Response
Training 36
u. Promulgate Reportable Quantities 37
v. Ensure High Quality Analytical Data for Decision
Making 38
3. Appendix 40
Appendix I — Superfund Program Key Supplemental
Regulations and Guidance 40
B. ENSURE PROPER ONGOING MANAGEMENT AND CLOSURE OF SOLID
AND HAZARDOUS WASTE FACILITIES [FORMERLY PUBLISHED
AS THE RCRA IMPLEMENTATION PLAN (RIP)] 41
1. Overview of the National Strategy 41
2. Permitting, Facility Closure, and Post-closure... 47
3 . Compliance Monitoring and Enforcement 55
4 . Corrective Action •• 69
5. Federal Facilities and Mixed Waste 79
6. Municipal Solid Waste 87
7 . State Programs 92
8. State Grants and Work Programs; Capacity
Assurance 95
9. Information Management 100
10. Training 110
11. Appendix 114
Appendix A — List of New and Proposed Regulations 114
Appendix B — Relevant Guidance Documents 118
C. IMPROVE UNDERGROUND STORAGE TANK (UST) MANAGEMENT AND
CORRECTIVE ACTION PRACTICES 123
1. Overview of the National Strategy 123
2. Major Activities 124
a. Develop State UST Regulatory Programs. . 124
b. Develop Systems to Ensure that Funding is
Available for Corrective Action 127
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c. Identify and Develop Methods to Improve
Performance 128
d. Facilitate a National Communication Network;.<:.. 130
3 . Appendix 132
Appendix I — UST Program Key Supplemental
Regulations/Guidance 132
D. PREVENT AND PREPARE FOR CHEMICAL EMERGENCIES
(TITLE III) GENERAL PREPAREDNESS 133
1. Overview of the National Strategy 133
2. Major Activities (CEPP) 134
a. Provide Leadership for Chemical Emergency
Preparedness and Enhance Federal, State, and
Local Preparedness and Response Capabilities 134
b. Provide Leadership in the Prevention of
Chemical Accidents 135
c. Improve Information Management and Program
Support 137
d. Conduct Emergency Planning and Community
Right-to-Know Act (EPCRA) Enforcement 139
3. Major Activities (General Preparedness) 140
a. Provide Leadership for Earthquake Preparedness
Program 140
b. Provide Leadership for National Security
Emergency Preparedness (NSEP) Program and
Internal Agency Crises Management Through the
National Incident Coordination Team (NICT) 141
Appendix 142
Appendix I — Title III Program Key Supplemental
Regulations and Guidance. 142
E. REGIONAL AND STATE INITIATIVES NOT COVERED BY NATIONAL
PRIORITIES 143
STARS MEASURES AND DEFINITIONS Appendix
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
I. ASSISTANT ADMINISTRATOR'S OVERVIEW
This section of the Agency Operating Guidance for FY 1991 addresses
the Agency's goals, objectives, and program priorities for
effective implementation of the national solid and hazardous waste,
underground storage tank, and chemical emergency preparedness and
prevention programs. In implementing these programs, the Office
of Solid Waste and Emergency Response (OSWER) addresses
requirements found in:
o The Comprehensive Environmental Response, Compensation and
Liability Act of 1980 (CERCLA) , as amended by the Super fund
Amendments and Reauthorization Act of 1986 (SARA);
o The Chemical Emergency and Community Right-to-Know Act, also
know as SARA Title III;
o The Resource Conservation and Recovery Act (RCRA) Subtitles
C and D, as amended by the Hazardous and Solid Waste
Amendments of 1984 (HSWA);
o RCRA Subtitle I, which mandates the underground storage tank
management and leaking underground storage tank cleanup
programs; and
o RCRA Subtitle J, otherwise known as the Medical Waste Tracking
Act of 1988.
All of OSWER's FY 1991 priorities build toward implementation of
OSWER's strategic plan for FY 1992 - 1995. OSWER's Superfund
priorities for FY 1991 also reflect the findings and
recommendations presented in the Administrator's recent Management
Review of the Superfund Program. OSWER's RCRA priorities in this
operating guidance do not include the recommendations of the
Assistant Administrator's RCRA Implementation Study since the study
was not finished at the time this guidance went to press. This
operating guidance does not replace any of the above documents but
provides the guiding principles and priorities for effective
implementation of OSWER programs.
We expect Congress to reauthorize the Clean Air Act in 1990. The
reauthorized act is likely to include new requirements for the
Chemical Emergency Preparedness and Prevention program. Because
Congress had not yet passed the legislation at the time this
guidance went to press, we were unable to include any of the new
requirements in this guidance. In a similar vein, in FY 1991 we
will work toward reauthorization of RCRA and CERCLA, both of which
are slated for reauthorization in the early 1990's. Future
versions of OSWER1s strategic plan and operating guidance will
contain implementation guidance for the reauthorized programs.
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Superfund Program Highlights
The Superfund Management Review and resulting Implementation Plan
present a comprehensive statement of program philosophy for
Superfund. This philosophy, embodied in a new, long-term Superfund
strategy, provides a clear direction for the management of
Superfund resources to achieve the greatest environmental
improvement possible from a combination of Federal, State, and
private party funds. Detailed milestones for implementing the 50
recommendations in the Management Review are listed in the
Implementation Plan, as well as in the Superfund Management Review
Tracking System. OSWER activities and priorities in the FY 1991
operating guidance help fulfill the long-term strategy, and can be
summarized as follows:
o Address worst sites/worst problems first. EPA will
concentrate resources on the worst sites and the worst
problems first. One of the most important goals for FY 1991
is to make srtes safer by controlling acute threats
immediately and reducing near-term risk to public health.
After abating the immediate threats, the Agency will schedule
incremental steps to clean up sites over time, expending
resources first on problems posing the most serious risks to
human health. The Agency has begun the process by ranking
those Fund-financed projects that are ready for construction
on the basis of public health and environmental criteria. In
the face of a limited construction budget, this process will
ensure that the worst problems are addressed first.
Timeliness and consistency of input should be stressed in
achieving this goal of addressing worst sites first.
o Emphasize an integrated Fund/enforcement program to induce
private party cleanup. The Agency will use the fact and the
threat of enforcement, which encompasses a broad range of
administrative and legal tools, to increase the proportion of
cleanups undertaken by private parties. Trust Fund resources
will be used primarily for sites where potentially responsible
parties (PRPs) cannot be identified and/or located. To meet
these goals, EPA will improve case management and support
procedures, strengthen PRP oversight functions, maximize cost
recovery efforts to return revenues to the Fund, and encourage
States to play an increased role in the Superfund enforcement
process.
o Enhance community outreach efforts. OSWER is dedicated to
expanding and enhancing public participation opportunities
during all phases of Superfund response. We will strive to
remain in contact with concerned citizens at each site, and
involve citizens more fully in cleanup decisions, including
sites at which PRPs have taken the lead. We also will
undertake a national effort to inform the public of the
Superfund program and its achievements through the development
and use of new, innovative communications and educational
tools.
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o Seek new technologies for more effective cleanup. EPA will
develop, encourage the development of, and use new
technologies to address contamination of all environmental
media. In this effort, the Agency will expand its research
and provide more comprehensive field support for the
development and use of treatment technologies that promote
permanent solutions. We also will provide extensive technical
assistance and information transfer to site managers to make
the best use of available information.
o Improve efficiency of program operations. In FY 1991, OSWER
will strive to improve the efficiency of program operations
through: 1) finalizing key program guidance concerning Records
of Decision (RODs), compliance with other environmental laws,
and ground water treatment; 2) integrating response and
enforcement functions; 3) pursuing integrated and flexible
planning for remedial actions to meet remedial pipeline
mandates; 4) clarifying the roles of response personnel; 5)
providing response personnel with additional technical and
administrative guidance and tools so that they can better
carry out their duties; and 6) making good use of removal
authority to conduct certain high-priority remedial work.
o Focus on environmental indicators and construction initiation
and completion. In FY 1991, OSWER will continue to refine the
environmental indicators of program progress, with continuing
emphasis on achievement of site goals by media, elimination
of imminent hazards, and indications of amounts of waste
treated, contained or removed. The program will continue to
focus on the remedial design and remedial action start and
completion aspects of the remedial pipeline, with specific
emphasis on the design completion aspects of the program, to
ensure projects are available for remedial action funding or
start.
In conducting all Superfund activities, OSWER will encourage the
participation of Indian Tribes, State agencies, other Federal
agencies and departments, and EPA's other program offices. We are
committed to sharing information, technical expertise, and the
benefits of field experience with all of the above-listed parties.
Realizing that State agencies and other natural resource trustees
play a significant role in the Superfund process, the Agency will
build solid working relationships with these organizations, as well
as the Agency for Toxic Substances and Disease Registry (ATSDR),
to ensure the process is working as efficiently and cooperatively
as possible.
OSWER believes the Superfund goals and priorities presented in this
operating guidance are responsive to public concerns and
expectations and focus the Agency's attention on timely cleanup of
sites through setting and managing environmental priorities while
maximizing the use of Fund resources. In this way, we will
effectively and efficiently achieve our environmental goals.
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RCRA Program Highlights
In FY, 1991, OSWER will witness significant progress in
implementation of the RCRA program. The hazardous waste program
will complete the majority of the waste management regulations
mandated by HSWA. With the framework of the hazardous waste
program in place, OSWER believes that FY 1991 is the appropriate
time to expand the concept of planning based on environmental
significance.
In past fiscal years, the RCRA program has used the concept of
environmental significance to determine the most appropriate action
(permitting, enforcement, corrective action) at the most
appropriate facility (i.e., the concept of yorst sites first). In
FY 1991, the RCRA program will apply environmental significance to
the full array of program activities thus ensuring that Regions and
States select the most appropriate mix of activities for their
environmental needs. The guidance retains the concept of national
priorities, but Regions and States are encouraged to examine each
of these in light of environmental significance and to plan their
activities accordingly, keeping in mind the need to maintain a core
level of activity in each.
Finally, the FY 1991 guidance continues the concept pioneered by
the RCRA program of encouraging Regions and States to identify
Regional and State priorities which differ from the national
priorities and by allowing up to 15% of RCRA resources to be
devoted to those State or Regional priorities which yield
significant health or environmental benefits. In recognition of
the limited resources available for waste minimization and Subtitle
D, the FY 1991 guidance singles out these areas for special
consideration for resource tradeoffs.
As to other topics, building State program capabilities will
continue to receive strong emphasis. The municipal solid waste
program will see its first regulations take effect and will provide
technical assistance to States, Indian Tribes (or authorized tribal
organizations, or Alaska native village organizations) , and local
governments to assist in implementation of the regulations. Also,
waste minimization activities will be in high gear.
We are unable to state what affect the RCRA Implementation Study
will have on specific RCRA program activities in FY 1991 since the
study was not finished at the time this guidance went to press.
However, it is clear that general RCRA program activities for FY
1991 will:
o Increase compliance with hazardous waste regulations through
permitting and enforcement. FY 1991 will mark completion of
the majority of RCRA's core, hazardous waste management
regulations. The final land disposal restrictions were
completed in FY 1990, and the organic toxicity characteristic
and boiler and industrial furnace regulations should be
completed in FY 1991. Our facility permitting, enforcement,
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and corrective action programs will emphasize environmental
priorities in addressing those sites that present the greatest
threat to human health and the environment. We will also
strive to strike the appropriate balance between the
prevention and the clean-up of hazardous waste releases at
RCRA facilities. Finally, we will continue to work with
States and Indian Tribes, providing guidance and training to
increase their technical capabilities for administering the
hazardous waste program.
o Strengthen support for municipal solid waste management.
EPA's role in municipal solid waste management will continue
to expand in FY 1991. Following through on the "Agenda for
Action" published in FY 1989, we will provide technical
assistance to States and Indian Tribes for implementing and
enforcing the municipal landfill criteria, which will take
effect in FY 1991. While we will continue to rely on States,
Tribes and local governments to implement municipal solid
waste initiatives, we will provide them with technical
assistance, guidance, and training, as resources permit, to
encourage proper solid waste management planning and
appropriate source reduction and recycling measures.
o Emphasize waste minimization to reduce the volume and toxicity
of wastes generated. Consistent with the Agency's emphasis
on pollution prevention, RCRA waste minimization activities
will continue to expand in FY 1991. We will increase our data
collection on hazardous waste minimization and progress. We
will continue to identify ways to create incentives (and
remove disincentives) for waste minimization through policy
development, including regulatory and non-regulatory
approaches. We also will continue to provide information
exchange and disseminate educational materials on successful
waste minimization techniques.
UST Program Highlights
As in previous years, in FY 1991 the Underground Storage Tank (UST)
program will continue to rely on State and local implementation of
the national underground storage tank program. The goal of the
national UST program is for all States to operate continuously
improving UST regulatory programs that are no less stringent than
EPA's regulations. To achieve its goals of effective regulation
of USTs and prompt cleanup of leaks, the program will work in FY
1991 to build State capabilities for implementing effective
regulatory and cleanup programs. The major UST program activities
for FY 1991 are to:
o Increase the number of operational regulatory and cleanup
programs in States, localities, and Indian Tribes. We will
work with Regions and States on State applications for UST
program approval. In those States without approved programs,
we will continue to promote compliance with Federal regulatory
requirements. In States that have approved programs we will
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focus on improving program performance. OSWER will implement
an appraisal process to evaluate the status, performance, and
direction of the UST program in Headquarters, Regions, States,
and Indian Tribes (or authorized tribal organizations, or
Alaska native village organizations) .
o Ensure funding is available for corrective action. In FY
1991, OSWER will develop policies, procedures, and evaluation
methods to ensure the Leaking Underground Storage Tank (LUST)
Trust Fund is used efficiently for enforcement and corrective
action at LUST sites. In this effort, we will renegotiate and
oversee Cooperative Agreements and determine and manage LUST
Trust Fund allocations to the States.
o Provide technical support to State implementation. OSWER is
dedicated to enhancing its national UST communication network
and will continue to provide meaningful information exchange.
Specifically, we will coordinate and provide outreach
materials that address requirements for financial
responsibility, release detection, and LUST corrective action.
EPA Regional offices will continue to serve as field or
service representatives to assist States and to resolve
program implementation problems as they arise.
The activities outlined above will build on the past successes of
the UST program.
CEPP Program and General Preparedness Highlights
A critical component of the OSWER's programs is the prevention of
chemical emergencies by encouraging State Emergency Response
Commissions (SERCs), Indian Tribes, and Local Emergency Planning
Committees (LEPCs) to prepare for and respond to emergencies when
they do occur. To date, the CEPP Program has completed the
regulations required by Title III of SARA. The continuing emphasis
in FY 1991, therefore, will be threefold:
o Provide the tools that SERCs. Indian Tribes, and LEPCs use to
implement, review, improve, exercise, and communicate their
emergency planning and response activities. In this effort,
we will provide technical assistance, guidance, training and
computer applications for hazard analysis and emergency
planning.
o Continue efforts to determine causes of chemical accidents and
wavs to prevent them — sharing information on prevention
technologies and practices with Regions. SERCs. Indian Tribes.
LEPCs. Federal agencies, and the private sector — and
encouraging their initiatives in this area. In this effort,
we will continue, through the Accidental Release Information
Program and Chemical Safety Audit Program, to gather and
analyze information on accidental releases and prevention
methods and to share this information with SERCs, Indian
Tribes, LEPCs, and national organizations.
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o Emphasize compliance with Title III reporting requirements and
talcs timely and appropriate enforcement action in cases of
noncompliance. Our enforcement program will seek to combine
Title III enforcement actions with those pursued under CERCLA
section 103 whenever practical. The program will also work
with States to establish enforcement priorities, to establish
referral procedures, and to share information on potential
non-compilers. in FY 1991, we will finalize additional
administrative hearing procedures, guidance on settlements and
an enforcement response policy.
As one of the 25 Federal departments and agencies participating in
the Plan for Federal Response to a Catastrophic Earthquake, the
Agency serves as the primary Agency leader for Emergency Support
Function #10: hazardous materials, which includes chemical, oil,
and radiological hazards. Our primary responsibility for FY 1991
will be to provide technical guidance, assistance, and training and
to review draft Regional risk area plans. In addition, EPA will
provide overall program development, coordination, management, and
training for the National Security Emergency Preparedness Program.
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II. ENVIRONMENTAL PROBLEM AREAS
A. ADDRESS HAZARDOUS SUBSTANCE EMERGENCIES AND CLEAN UP
UNCONTROLLED HAZARDOUS WASTE DISPOSAL SITES
1. Overview of the National strategy
The Superfund Management Review conducted in FY 1989 established
a commitment to bring about a new culture in the Superfund Program
and a readiness to deal with several program initiatives, all of
which impact program activity in FY 1991. The general program
themes include:
o Addressing worst/sites problems first
o Integrating Fund/en for cement planning and budgeting activities
o Emphasizing enforcement first to induce private party cleanup
o Working with States to define their role and improve their
capability
o Enhancing community outreach efforts
o Seeking new technologies for more effective cleanup
o Improving efficiency of program operations.
The numerous activities of the Superfund program include: (a) focus
attention on worst sites/problems first; (b) support an integrated
Fund/enforcement pipeline of activities that emphasizes enforcement
first; (c) maintain a strong CERCLA enforcement program; (d)
coordinate Superfund activities to improve attainment of statutory
and legislative objectives, beginning with National Priorities List
(NPL) listing and concluding with NPL deletion (e) enhance
cooperation between CERCLA and RCRA cleanup programs; (f) make good
use of removal authorities; (g) enhance community outreach efforts;
(h) progress toward SARA Site Investigation (SI) goal; (i) develop
streamlined site evaluation process that meets SARA requirement of
four years (j) identify, evaluate, and list sites on the NPL; (k)
promulgate regulations that articulate remediation standards and
selection of remedy procedures; (1) maintain and improve
Federal/State and Tribal relations; (m) strengthen existing or
where appropriate implement new remedial and removal management
techniques; (n) improve retention, preparation, and recruitment of
key site cleanup personnel, particularly On-Scene Coordinators
(OSCs) and Remedial Project Managers (RPMs), through the OSC/RPM
Support Program; (o) maintain efforts in the oil spill program; (p)
implement CERCLA response actions at Federal facilities; (q)
conduct research that improves risk assessment capabilities and
risk reduction technologies in the response program; (r) ensure
appropriate information resources management; (s) continue to
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assess treatment and disposal capacity needs through SARA section
104(k); (t) provide hazardous substance response training; (u)
promulgate reportable quantities; and (v) ensure high quality
analytical data for decision making.
In addition to these programmatic activities, EPA's implementation
of the National Contingency Plan (NCP) and the Hazard Ranking
System (HRS) as well as response to issues raised during CERCLA
reauthorization will generate many other activities.
2. Manor Activities
a. Focus Attention on Worst Sites/Problems First
(1) Overview of the Activity
In this resource constrained program, effort will continue on
addressing worst site problems first and prioritizing pipeline
activities. The goal of the program will be to fund the most
environmentally significant projects first, considering which sites
have viable PRPs to conduct cleanup themselves, while maintaining
a balance of statutorily required actions and highly-visible
ongoing projects and completions that build public confidence in
the program. The Fund/enforcement priority matrix will continue
to be applied to identify overall program priorities. The removal
program will continue to ensure all NPL sites are stabilized and
will continue to address classic emergency responses at both NPL
and non-NPL sites. The remedial action (RA) prioritization
approach established in FY 1990 will continue to be applied in FY
1991. Effort will be undertaken to examine ways to prioritize
other parts of the remedial pipeline.
(2) Headquarters Activities
Refine the Fund/enforcement priority matrix.
P+ Develop guidance for undertaking removal actions and early
remedial actions at NPL sites.
P+ Refine the RA prioritization criteria and coordinate RA priority
activities.
P Develop guidance through the FY 1991 Program Management Manual
for prioritizing other remedial pipeline activities.
P Negotiate final targets with Regions that implement Superfund
priority approaches.
P Work with ASTSWMO to develop meaningful role for States in
prioritization activities.
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(3) Regional Activities
P+ Ensure all NPL sites are stable.
P+ Undertake remedial and enforcement activities consistent with
priority approaches.
P+ Apply RA priority criteria and ensure projects are readied for
beginning construction.
P Work with Headquarters to clarify prioritization issues.
Coordinate planning, prioritization, and implementation
activities with States and Indian Tribes.
Continue to work with Headquarters, to develop appropriate
guidance for addressing worst sites first.
(4) State and Tribal Activities
As appropriate, work with Regional and HQ's offices to implement
guidance and directives addressing worst sites first activities,
including prioritization of sites/problems.
b. support an integrated Fund/Enforcement Pipeline of Activities
that Emphasizes Enforcement First.
A major theme of the Superfund Management Review is the importance
of sustaining a well-integrated strategy that yields high-caliber,
timely decisions to move sites through the response process.
Maximizing PRP participation is critical to keeping the pipeline
going. To make this balance work well, the importance of several
broad management systems and principles is emphasized and
articulated in detail.
Several of these systems are fundamental to continued program
improvements in FY 1991. They include the:
o Integrated priority-setting matrix, which establishes general
program priority setting in the event of scarce resources, and
ensures that the highest program priorities (i.e.,
emergencies, moving sites through to construction with PRPs
first) are supported fully.
o Integrated remedial action timeline, which establishes clear
goals for the nature and timing of enforcement decisions and
the speed with which the remedial process should move, and
identifies critical points at which action must be taken.
o Site/case management planning process, which ensures that a
coherent site strategy is developed agreed to by managers, and
carried out.
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c. Maintain a Strong CERCLA Enforcement Program
(1) Overview of the Activity
Within the context of a well-integrated Superfund program, the
goals of enforcement are to increase the number, timeliness and
caliber of PRP response actions, to maximize cost recovery to the
Trust Fund, and to send a clear message to the PRP community that
recalcitrance is costly. Achievement of those objectives depends
on a balanced approach consisting of settlements, administrative
orders -and litigation, Fund-financed response and cost recovery.
The following are enforcement priorities for FY 1991: 1) conducting
more thorough and effective PRP searches; 2) reaching settlements
for PRP response through adherence to negotiation deadlines and use
of CERCLA settlement tools; 3) ensuring high-caliber PRP
participation through effective PRP oversight and use of
enforcement authorities for noncompliance; 4) pursuing non settlers
through issuance of orders and litigation; 5) pursuing cost
recovery, particularly focusing on remedial costs; and 6)
supporting State participation in the enforcement process. Through
implementation of these priorities, EPA will maintain its strong
enforcement program which will continue to evolve such that PRPs
are performing an increasing proportion of the response work at all
steps in the process.
Expectations are that the continued use of these management guides
will produce substantial improvement in the speed and consistent
quality of remediation.
PRP Search/Compliance Enforcement
A high-caliber PRP search is the foundation for EPA's enforcement
process. It must focus on obtaining the necessary evidence of
liability for section 106 and 107 litigation for all potentially
liable parties. Regions should continue to focus PRP search
efforts to support planned and ongoing response negotiations,
public participation in response decisions, and enforcement
actions. In some cases additional work will be required to
supplement the original PRP search to enhance EPA's case against
the PRPs. Regions should continue to strengthen their emphasis on
early and thorough PRP searches with the assistance of civil
investigators. This must be balanced against the need for a timely
search. Furthermore, in selected cases of noncompliance with
information requests issued under section 104 (e), Regions should
move aggressively through administrative authorities, including if
necessary, litigation to enforce compliance. Regions should also
consider opportunities for use of criminal sanctions from
violations of section 103 (reportable quantities).
Settlements
EPA's goal is to negotiate an agreement with PRPs to conduct the
response action and 100 percent of recoverable response costs
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within SARA-mandated negotiation deadlines at Superfund sites. In
general-, it is more effective to mobilize PRP resources up front
to conduct the cleanup, rather than using the Fund and recovering
the cost later. To facilitate the Remedial Design/Remedial
Assessment (RD/RA) settlement process, a model consent decree
should be issued with the special notice letters. In multi-party
actions, if a 100 percent settlement is not possible, Regions
should attempt to reach partial settlements for close to 100
percent and vigorously pursue non-settlers.
Regions should continue to negotiate vigorously and employ all the
settlement tools at their disposal. Mixed-funding settlements are
encouraged in appropriate cases. Regions should give heightened
emphasis to de minimis settlements. Regions should continue to
train their staff on how to utilize these tools. While it is
difficult to predict which sites may require mixed-funding or may
be de minimis candidates, Regions should increase use of these
settlement tools. Use of non-binding allocations of responsibility
(NBARs) and alternate dispute resolution (ADR) may also facilitate
the settlement process. The Regions and Headquarters should
continue to work with the Department of Justice (DOJ) to expedite
the entry of consent decrees.
Section 106 Orders and Litigation
Regions should be prepared to issue a Unilateral Administrative
Order (UAO) promptly after the negotiation moratorium deadlines if
there are viable PRPs and a settlement has not been reached.
Regions must consult with Headquarters if the decision is made not
to issue a UAO prior to proceeding with the Fund for remedial
design. If PRPs fail to comply with a UAO, Headquarters expects
serious consideration be given to bringing a section 106 judicial
action to enforce it. It is particularly important if sites are
queued for RA funding in FY 1991 to reexamine opportunities for
litigating for remedy. If a Fund-financed response is initiated,
all steps should be taken to seek treble damages against
recalcitrant PRPs during cost recovery.
PRP Oversight and Compliance Enforcement
Following settlement or professed intent by a PRP to comply with
a unilateral section 106 action, the Region must ensure PRP
compliance with the terms of the settlement. As part of the
settlement process, Regions should work closely with PRPs to make
it clear the standards of quality EPA anticipates. EPA must ensure
that PRP responses are timely, thorough, and do not compromise
environmental goals. Regions should pursue penalties and may take
over projects in situations where PRPs clearly have not submitted
major deliverables of acceptable quality by the dates specified in
the administrative order or consent decree.
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Cost Recovery
Cost recovery actions serve to recover revenues to the Fund and
encourage voluntary PRP cleanup action by eliminating incentives
for PRPs to allow the government to conduct the response action.
One of the major program activities from FY 1991 will be the
development of cost recovery rulemaking covering all eligible
costs. To support cost recovery actions, the Agency must have
quality PRP searches. Activity and cost documentation must be able
to withstand challenges to the response decision on the grounds
that the decision was arbitrary and capricious based on the
administrative record. The President has set a goal of recovering
$300 million per year by FY 1993 in his Management by Objective
(MBO) system.
To reach the President's MBO goal, Regions should continue to:
1) maximize return of revenue by concentrating on cases that will
increase the revenue to the Fund, 2) initiate litigation or resolve
cases within strategic timeframes but no later than the time
provided under the statute of limitations (SOL), 3) initiate cost
recovery actions against recalcitrant parties, 4) increase emphasis
on administrative cost recovery (including ADR) wherever possible
to resolve cases without recourse to litigation, and 5) pursue
actions that maximize timely site cleanup. Demand letters should
be issued in a timely fashion. Critical cost recovery cases are
those that have completed removals, RI/FS, or RD completions that
will not have remedial action (on-site construction) started before
the end of FY 1991. Pre-SARA RA starts should be scrutinized for
possible SOL problems. Regions should move expeditiously to
address their cost recovery RA starts should be scrutinized for
possible SOL problem backlog.
Removal Enforcement
Regions should work to maintain the percentage of removals
conducted by PRPs, particularly time-critical and non time-critical
removals. In this effort, improved planning should enable the
Regions to commence PRP searches earlier, which will increase the
number of sites with viable PRPs. In turn, the number of sites
where unilateral orders are appropriate will increase.
State Participation
States will continue to play an important role in the Superfund
enforcement process. There are several workgroups working to
better define State roles including the Senior Policy Forum.
Particular guidance on State roles will be developed as issues are
resolved. Regions are encouraged to enter into Cooperative
Agreements, Superfund Memoranda of Agreement (SMOAs) or other
management assistance agreements where the State expects to play
a significant role. These agreements should clearly define State
and EPA roles and responsibilities during CERCLA response
activities. In many cases Regions will provide review of and/or
sign the Record of Decisions (RODs) at State enforcement lead
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sites. These RODs are critical to meeting the statutory goal of
200 additional RA starts by 1991. Finally States will continue to
participate in remedy selection and RD/RA negotiations. State
applicable or relevant and appropriate requirements (ARARs) should
be addressed in the ROD. States should be involved in the
settlement process to ensure their concerns are addressed
consistent with SARA and the NCP.
(2) Headquarters Activities:
P+ Develop cost recovery rulemaking, policy implementation and
revision, as required.
P Develop stronger support systems (e.g., better information
management, Technical Assistance Teams, etc.).
P Promote stronger communication with the public.
P Develop a strategy to enhance State involvement in the
enforcement process.
P+ Work with Regions in developing guidance and directives.
(3) Regional Activities:
P+ Expedite the settlement process through adherence to negotiation
deadlines, leveraging the Fund, increased use of UAOs, use of
mixed-funding and de minimis settlements and NBARs.
P+ Maintain effective PRP oversight through close review of PRP
work products and use of stipulated or statutory penalties.
P Complete section 120 interagency agreements (lAGs) at Federal
facility NPL sites for investigation and remedial actions.
p+ Proceed with cost recovery actions, where appropriate, focusing
on SOL, large cost remedial cases and small case (removal) cost
recovery.
P+ Work with the States in the remedy selection and RD/RA
negotiation process.
P Work with States to enhance the effectiveness of the enforcement
program through use of State enforcement authorities where
appropriate.
P+ Work closely with Headquarters in the development and review of
enforcement guidance and directives.
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d. Coordinate Superfund Activities to Improve Attainment of
Statutory and Legislative Objectives/ Beginning with NPL Listing
and Concluding with NPL Deletion
(1) Overview of the Activity
Section 116 of SARA includes a number of goals and mandatory
schedules for activities related to the remedial program.
Specifically, EPA is required to initiate substantial and
continuous on-site new remedial actions at 375 NPL sites by
October, 1991. Given constraints in the RA budget, enforcement
potential continues to be significant in FY 1991. We must continue
to negotiate vigorously at every site where there are viable PRPs.
In continuing to adhere to an enforcement first program and the
integrated timeline concept, prompt issuance of special notice is
extremely important. Vigorous settlement negotiations should be
undertaken; however, when a good faith offer has not been given or
negotiations become bogged down, negotiations should be
discontinued and a section 106 order and/or funded design should
be pursued.
In their integrated planning for remedial actions, Regions should
consider the universe of sites where remedial actions may begin:
1) sites where remedial actions are undertaken by PRPs pursuant to
a settlement, (2) sites with remedial actions that are funded, (3)
sites where section 106 injunctive litigation is initiated, and
4) sites with Remedial Designs (RDs) completed and Remedial
Assessments (RAs) not funded (queued). When no viable PRPs are
identified or settlements cannot be reached and the site is not
ranked high enough on the environmental priorities list to receive
remedial action funds to implement the remedy, the Regions should
still continue to actively move the project towards completion of
the remedial design phase. By completing remedial designs for
unfunded RA projects, there will be a queue of potential projects
for implementation as future funds become available.
(2) Headquarters Activities
P Evaluate Regional performance towards meeting remedial pipeline
mandates and hold EPA line managers accountable for managing the
program in accordance with primary mission.
P Assist Regions in meeting remedial pipeline mandates by
negotiating appropriate targets.
P Maximize Regional flexibility in shifting funds among sites,
within Congressional constraints and notification requirements.
P Provide policy and technical assistance to Regions, emphasizing
treatment for projects in the remedial pipeline.
P Promote consistency in remedy selection and emphasize statutory
preference for permanent remedies, compliance with statutory
mandates, and appropriate consideration of data.
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(3) Regional Activities
P Identify, evaluate, and list sites on the NPL.
P Focus on use of innovative treatment technologies in remedy
selection decisions and performance of treatability studies
during remedial investigations/feasibility studies (RI/FSs) to
support technology evaluation.
Conduct reviews of all sites where hazardous substances remain
on site at least once every five years. Under this SARA
requirement, some sites will first come due in FY 1991.
Enter into SMOAs with States for participation in RI/FS, RD, or
RA projects, where appropriate.
(4) State/Tribal Activities
Work with Regions to ensure progress toward meeting mandatory
remedial pipeline targets.
Use project management techniques to ensure timely movement of
State-lead projects through the remedial pipeline.
a. Enhance cooperation Between CERCLA and RCRA cleanup Programs
(1) Overview of the Activity
Strong efforts should be made to facilitate cooperation between
the CERCLA response program and the RCRA corrective action program
to enhance EPA's ability to achieve its primary goals of protecting
human health and the environment. This will contribute to more
flexible and effective use of Federal and State resources,
discourage "forum shopping" by owners/operators - and other
responsible parties, and avoid duplication of effort for RCRA
facilities that become CERCLA sites. The implementation of RCRA
and CERCLA programs need not be identical, though the ultimate
remedies selected should be equally protective of human health and
the environment. However, inconsistencies in implementation may
result from differences in statutes, underlying programmatic
differences, or differences in the site being addressed. We will
coordinate carefully to avoid "forum shopping".
(2) Headquarters Activities
P+ Implement the Environmental Priorities Initiative (EPI) policy
and guidance to enable the Agency and States to conduct
preliminary assessments and site inspections (PAs/SIs) at
priority RCRA storage and treatment facilities and closed or
closing land disposal and incinerator facilities.
P Define a specific moratorium period similar to that under
CERCLA, whereby the owner/operator will have a set period during
which they have the opportunity to reach an Administrative Order
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on Consent to perform corrective action. If the owner/operator
does not agree to such a consent order within that moratorium
period, the next step should be an enforcement action or permit
revocation.
Develop guidance to enable the Agency to recover the costs of
performing RI/FSs at RCRA sites pursuant to section 107 of
CERCLA.
P Develop a RCRA/CERCLA strategy for cleaning up contaminated
media.
P Prepare a RCRA land disposal regulation for contaminated soil
and debris.
Implement State and Tribal integration programs.
Begin development of soil cleanup levels where applicable or
relevant and appropriate requirements (ARARs) do not exist.
Explore the creation of a treatability variance information
exchange mechanism whereby Regions can identify sites and
conditions where variances have been issued.
(3) Regional Activities
P Develop priorities for RCRA and CERCLA sites to determine which
sites are to be addressed first.
P Develop NPL listing proposal packages for sites where
owners/operators fail to take action during the moratorium
period.
P Supplement Headquarters efforts to clarify issues.
Implement treatability variances, where appropriate, for soil
and debris in FY 1991 RODs.
P Coordinate State efforts to comply with regulations.
(4) State and Tribal Activities
Evaluate processes established by the Regions to quickly
identify State standards on a site-by-site basis and adjust as
required.
Implement response activities to meet the established standards
and processes.
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f. Make Good Use of Removal Authorities
(1) Overview of the Activity
The objective of the removal program is to respond to incidents or
sites involving releases of hazardous substances that present an
imminent threat to human health and the environment. However, the
program does not have the resources to deal with all contamination
within the scope of removal authority. Consequently, the program
must focus on efficient responses to the most serious human health
and environmental threats. Top priority should be given to:
o Classic emergencies involving incidents (e.g., threats of fire
or explosion) where response is generally necessary within a
matter of hours.
o Time-critical removals at sites on the NPL, to make these
sites safe from immediate threats while they await remedial
action.
o Time-critical removals at non NPL sites posing major health
and environmental threats, which cannot be addressed by other
authorities.
Regions should actively pursue response by PRPs by issuing
administrative and, where necessary, unilateral orders. If the
PRP option is not available, State involvement should be sought.
Wherever possible, removal actions should be conducted using site-
specific contracts and subcontracts. Consideration should always
be given to the use of alternative technology, but only where the
cost is reasonable given the resources available. Removals should
not be taken at NPL sites merely to complete a first operable unit
or to avoid remedial State cost share requirements. Removal
authority, however, can sometimes be used to expedite cleanup
leading to deletion.
(2) Headquarters Activities
P Continue to explore opportunities for increasing the number of
contractors participating in the removal program while
attempting to obtain better cost rates for the government.
Provide site-specific problem-solving consultations and
technology transfer through the Environmental Response Team
(ERT).
(3) Regional Activities
P Continue to identify appropriate emergency and time-critical
NPL sites and non-NPL sites requiring removal action and conduct
efficient and effective removal actions.
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(4) State and Tribal Activities
Conduct removal actions whenever possible.
P Assume responsibility for traditional State and local
responsibilities, such as installing water lines and paving
roads.
g. Enhance Community Outreach Efforts
(1) Overview of the Activity
EPA must increase efforts to improve public confidence and initiate
dialogue with national interest groups and local community groups.
Community involvement and public education efforts are critical
elements of our hazardous waste programs. Well-planned community
relations efforts have become standard operating procedure for EPA
and State agencies responsible for Superfund actions. The focus
of activity should be on the Superfund Management Review mandate
to listen and respond to community concerns, the ongoing
implementation of the SARA provisions and the NCP, full-scale
implementation of the Technical Assistance Grants (TAG) program,
as enhanced by revisions to the interim final rule, developed the
next phase of environmental progress indicators, and involve the
public in site identification and assessment.
(2} Headquarters Activities
P Develop an outreach program to involve a variety of interest
groups in dialogue over national program directions.
N Revise existing community outreach guidance to reflect final
NCP and program experience.
N Develop new outreach guidance for pre-remedial, removal actions,
and design/construction/O&M.
N Develop new communications tools, as identified by Headquarters
and the Regions, to improve the general public's confidence and
site-specific community understanding of EPA's response
programs, requirements and activities relating to risk reduction
at Superfund sites.
P+ Develop the next phase of environmental indicators to present
publicly the qualitative results of removal and remedial cleanup
activities.
Continue to develop generic fact sheets.
P Provide assistance to Regional offices to implement the TAG
program. Revise TAG guidance and outreach programs to implement
revised interim final regulation.
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Continue to foster information exchange using program activities
such as national meetings and conference calls.
(3) Regional Activities
P Coordinate a Regional dialogue, regarding national program
issues, with Regional interest groups and local affected
communities.
P Implement, with the States, the TAG program mandated by SARA.
P Educate technical program staff on the importance of community
outreach, and provide training on requirements and techniques
for communicating with the public.
P+ Provide site-specific information on environmental indicators
of removal and remedial cleanup activities.
(4) State and Tribal Activities
N Implement TAG program.
N Educate technical staff on community outreach techniques and
communication tools.
h. Progress Towards SARA Site investigation (SI) Goal
(1) Overview of Activity
Continue progress towards eliminating pre-SARA SI backlog before
the reauthorization of SARA.
(2) Headquarters Activity
P+ Issue annual site assessment program objectives emphasizing need
to give priority to pre-SARA sites needing Sis, within the
bounds of "worst sites first."
P Focus regional resources towards evaluating inventory pre-SARA
SI sites.
P Provide more detailed guidance to allow for better decisions in
a more timely manner.
(3) Regional Activity
P+ Focus efforts on conducting necessary Sis on remaining pre-SARA
sites.
(4) Tribal Activity
P Focus efforts on conducting necessary Sis on remaining pre-SARA
sites.
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i. Develop Streamlined Site Evaluation Process That Meets SARA
Requirement of Four Years
(1) Overview of Activity
Continue progress towards evaluating pre-SARA sites for inclusion
on the National Priorities List (NPL) within four years of listing
on CERCLIS.
(2) Headquarters Activity
P Prepare a Report to Congress discussing a strategy to evaluate
all remaining pre-SARA sites for inclusion on the NPL in an
expeditious manner.
P Apply Total Quality Management principles to the site evaluation
process.
(3) Regional Activity
P Continue to give priority to the evaluation of pre-SARA sites
for inclusion on the NPL allowing for "worst sites first."
(4) Tribal Activity
P Continue to give priority to the evaluation of pre-SARA sites
for inclusion on the NPL allowing for "worst sites first."
j. Identify, Evaluate, and List Sites on the NPL
(1) Overview of the Activity
FY 1991 will be the first full year of implementation of the
revised Hazard Ranking System (HRS). As such, Headquarters, the
Regions and States will focus substantial resources on training
for and refining implementation of the new site evaluation system.
Priorities will be given to the following activities:
P+ Conduct training programs developed in FY 1989 for each of the
Regions for EPA preremedial staff, active State and Tribal
personnel, and appropriate contractors.
P Continue to conduct PAs at all sites within one year of listing
in CERCLIS.
P Conduct screening site inspections (SSIs) at all sites
recommended for further evaluation based on their relative
potential environmental impact; in the absence of factors
indicating the need to move one site ahead of another, priority
will be given to pre-SARA sites.
P Conduct listing site inspections (LSIs) at the highest priority
sites determined to be likely to score above the revised HRS
cutoff.
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(2) Headquarters Activities
P Implement guidance for conducting PAs, SSIs, LSIs, and scoring
sites with the revised HRS, including the use of computerized
scoring procedures.
P Develop streamlined site evaluation process that meets the SARA
goal of four years.
Conduct training sessions for all segments of the pre-remedial
community.
P Propose and promulgate new sites on the NPL in accordance with
revised procedures developed through the use of Total Quality
Management techniques.
Revise NPL update process to schedule two NPL updates per year.
P Develop guidance, as needed, on site discovery.
(3) Regional Activities
P Evaluate results of pilot program on discovery in selected
Regions where SI goals have been met.
P Continue evaluation of State Multi-Site Cooperative Agreement
(MSCA) program and implement improved oversight procedures.
P Continue to work with States to ensure their compliance with
the Pre-remedial Strategy.
Continue participation and encourage States in the Pre-remedial
Guidance Workgroup.
Conduct PAs, SSIs and LSIs through the Field Investigation Team
(FIT).
(4) State and Tribal Activities
Identify potential hazardous waste sites.
Continue participation in the Pre-remedial Guidance Workgroup.
P Conduct more PAs, SSIs, and LSIs through State Cooperative
Agreements.
P Develop HRS packages using the revised HRS.
k. Promulgate Regulations and Guidance that Articulate Remediation
Standards and Selection of Remedy Procedures
(1) Overview of the Activity
During FY 1991, we will build upon the National Contingency Plan
(NCP) and the initiatives of the Super fund Management Review.
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Guidance will be developed to streamline the operation of the
Superfund- program. This will be accomplished by encouraging the
breakout of interim projects, by making procedures arid requirements
clearer and more routine, and by providing "model" products that
can be used with minimal additional work.
(2) Headquarters Activities
N Issue proposed interim soil and debris regulations and guidance.
P Issue, final ground water guidance incorporating findings of
ground water pump and treat case studies.
P Issue guidance on determining soil cleanup levels.
Issue final ARARs guidance on other Federal laws and compliance
with ARARs. Issue ARARs fact sheets to disseminate policy
decisions and to encourage consistency.
P Provide technical assistance, on Regional request, especially
for identifying and determining compliance with ARARs.
Provide Regional risk assessors with computer-based access to
current public health-related toxicity information.
Develop streamlined procedures for breaking out interim projects
and identifying early actions.
(3) Regional Activities
P Identify opportunities for early action — especially relating
to ground water actions.
P Analyze ongoing and new RI/FSs to identify opportunities for
streamlining and for controlling costs within allocated budgets.
Work with States to identify State ARARs.
Implement Regional Quality Control program.
P Seek guidance for risk assessment methods from Headquarters
staff, particularly for unique risk situations and those of
potentially national scope.
N Ensure environmental assessments are conducted to the degree
necessary based on site characteristics.
(4) State and Tribal Activities
P When leading site response, undertake responsibilities outlined
above as Regional responsibilities.
P+ Identify ARARs in a timely manner for sites in the RI/FS
pipeline.
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1. Maintain and Improve Federal/state and Tribal Relations
(1) Overview of the Activity
EPA has developed the Super fund Memorandum of Agreement (SMOA) and
the Core Program Cooperative Agreement (CPCA). These are two
vehicles EPA is utilizing to ensure substantial and meaningful
involvement of States in the Super fund program.
The SMOA is an agreement between a State or Indian Tribe and a
Region- defining each party's roles and responsibilities in the
implementation of CERCLA. This agreement provides maximum
flexibility to EPA and States or Tribes in planning and
implementing all response activities, and clarifies EPA and State
roles and expectations.
The CPCA provides funds to conduct CERCLA activities that are not
directly related to specific sites, but support a State's response
program. These agreements enhance States* involvement in response
activities and ensures that States have appropriate management
systems for financial control of CERCLA funds. EPA also will
continue to fund site-specific single and Multi-Site Cooperative
Agreements for pre-remedial, remedial, removal and enforcement
activities.
(2) Headquarters Activities
Develop and assess State cost share initiatives.
P Continue to work with States and Tribes to define, interpret,
and improve opportunities for participation in the CERCLA
program.
P Work with States to identify their enforcement role in CERCLA
site remediation activities.
Develop post construction procedures for operation and
maintenance.
Develop policy and guidance on five-year reviews.
Incorporate Tribal SMOAs into Office of Federal Activities'
(OFA's) implementation plans.
Develop initiative for State program and technical assistance.
(3) Regional Activities
N Negotiate and finalize SMOAs with States and Tribes.
P Encourage and oversee States' development and implementation of
SMOAs and CPCAs, and facilitate increased State participation
in the remedial process.
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P Develop and implement program analysis and State recommendation
of remedy concepts for remedy selection.
(4) State and Tribal Activities
Encourage Tribal participation in the remedial program.
Enter into SMOAs and CPCAs.
Increase lead role in response activities.
m. Strengthen Existing or Where Appropriate Implement New Removal
and Remedial Management Techniques
(1) Overview of Activity
The Agency will continue to implement management initiatives
related to the remedial and removal programs. This includes
providing RI/FS improvements, implementing improvements to expedite
the remedial design and construction process, expanding support to
Regional contracting programs, establishing contracting cost
controls and ensuring adequate administrative support for On-Scene
Coordinators (OSCs) and Remedial Project Managers (RPMs).
(2) Headquarters Activities
P Encourage Regions to employ expedited cleanup approaches.
P Continue to monitor RD/RA implementation vehicles to ensure that
a balanced workload exists between Alternative Remedial
Contracts Strategy (ARCS) and the Corps of Engineers.
P+ Continue to assess and evaluate the removal and remedial
programs, identifying additional management reforms particularly
in the areas of remedial planning, selection of remedy, design
and construction.
(3) Regional Activities
P Employ expedited cleanup approaches whenever possible.
P Provide management and oversight of ARCS, Emergency Response
Cleanup Services (ERCS), and lAGs with other agencies.
P Ensure adequate cost controls are established for Regional
contracts.
Ensure adequate administrative support for OSCs and RPMs through
the continued use of Regional administrative support units and
personnel within the program and memoranda of understanding with
other divisions which are capable of providing support.
(4) State and Tribal Activities
Continue to improve State procurement processes.
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Employ expedited cleanup approaches whenever possible.
n. Improve Retention, Preparation, and Recruitment of Key Site
Cleanup Personnel, Particularly OSCs and RPMs, Through the
OSC/RPM Support Program.
(1) Overview of the Activity
The Agency will continue to implement management initiatives begun
in FY 1989 to improve the retention, preparation, recruitment, and
training of OSCs and RPHs in order to enhance the effectiveness of
the Superfund Program. This effort involves many components,
combined under the title "OSC/RPM Support Program," and is a
cooperative effort between OSWER and the Office of Human Resources
Management (OHRM).
(2) Headquarters Activities
P+ Continue program implementation, through the dedication of
OSWER and OHRM resources, to include full implementation of
all components: career tracks and grades, the OSC/RPM Basic
Training Academy, mentoring, continuing education, Superfund
University Training Institutes (SUTI), the Structured
Training and Evaluation Program (STEP), site/incident
characterization, awards, professional organizations,
workforce planning, rotations, and institutionalization.
P+ Offer several sessions of the OSC/RPM Basic Training Academy
and assist with related mentoring assignments for all new
OSCs and RPMs.
P+ Utilize job analysis and special pay rate data to complete
career track revisions, as needed. (The specifics of this
activity will depend on decisions made in FY 1989) .
P+ Offer ad-hoc courses needed by those OSCs and RPMs who are
beyond the first year on the job.
P+ Ensure training is available and that all OSCs and RPMs
participate in at least 80 hours of training per year.
P+ Oversee trends in turnover, awards, training, recognition,
etc., through an improved employee tracking system.
P Continue employee recognition through the award of Structured
Training and Evaluation Program certificates at all STEP
levels (e.g., "Master").
P Address specific field problems through SUTI case study
training workshops.
Utilize Hazardous Substance Research Center, as appropriate,
for OSC/RPM training.
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P Enhance employee development by offering rotations and
development hiatuses.
As training backlog subsides, inform States of EPA training
opportunities for their staff.
P Offer dedicated resources for special OSC/RPM awards.
Assess potential of other incentives such as sabbaticals and
innovative financial incentives.
P Oversee all components of this effort; review implementation
through Regional reviews and other analyses; revise
components that appear to be less effective in meeting our
goals.
Explore options to coordinate OSC/RPM basic training with
Regional Counsel training.
(3) Regional Activities
P+ Ensure that all new OSCs and RPMs attend the OSC/RPM Basic
Training Academy, are assigned to a mentor upon entry into
the job, and do not take the lead on sites during the first
3 months of their jobs.
P+ Ensure that all OSCs and RPMs attend at least 80 hours of
training/development per year, including SUTI workshops.
P Continue training support through participation in course
development and instruction.
P+ Fully utilize the personnel system to identify those
positions for which an upgrade may be appropriate.
P Provide recognition of employees through full utilization of
available awards, certificates, etc.
P Participate in nominations for all STEP level certificates.
P Provide and plan for developmental opportunities through
rotations and developmental hiatuses.
P Provide input, as needed, into employee tracking systems to
track turnover, awards, mentoring, etc.
o. Maintain Efforts in the Oil Spill Program
(1) Overview of the Activity
Oil spill response resources will continue to be limited. The
Agency's efforts continue to reflect the primary objective of
protecting human health and the environment from hazards associated
with accidental releases of petroleum products through both
prevention and response activities.
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(2) Headquarters Activities
P Promulgate Phase I Amendments to SPCC Regulations.
P Propose Phase II Amendments to SPCC Regulations
(site-specific contingency plans).
P Propose revisions to Subpart J of the NCP for toxicity and
effectiveness testing.
P Develop guidance for ranking dispersants and other products.
Examine uses of U.S. Coast Guard/EPA SPCC information sharing.
(3) Regional Activities
P Develop and implement sound inspection and enforcement
strategies for optimal use of SPCC resources.
Coordinate with U.S. Coast Guard on inspections.
(4) State and Tribal Activities
Assume responsibility for spill response whenever possible.
p. Implement CERCLA Response Actions at Federal Facilities
Note; As this document went to print, there was a "Green
Border" reorganization package under review which proposed
a consolidation of various media program Federal facilities
enforcement and compliance functions at Headquarters within
a new Office of Federal Facilities Enforcement (OFFE) in the
Office of Enforcement (formerly the Office of Enforcement and
Compliance Monitoring) . When the reorganization is
completed, OFFE will be issuing supplemental FY 1991
operating guidance. The OFFE guidance will be issued by
April 13, 1990 along with the other supplemental guidance
documents developed by each program office.
(1) Overview of the Activity
Headquarters activities will focus in part on implementing the
vigorous Federal facility compliance program developed during FY
1989. Regional activities should concentrate on the negotiation
and implementation of Federal Facility Agreements under CERCLA
section 120. These agreements describe the roles and
responsibilities for EPA, the State and the Federal agency during
the investigation and remediation phases of cleanups at Federal
facilities. Regions should continue to focus on the RCRA
corrective action needs at Federal facilities and how they can be
integrated into ongoing CERCLA activities, where appropriate. The
Federal Facilities Hazardous Waste Compliance Office (FFHWCO) is
the point of contact for RCRA/CERCLA integration issues.
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(2) Headquarters Activities
Update and maintain the CERCLA section 120 Federal Agency
Hazardous Waste Compliance Docket.
Track CERCLA implementation activities at Federal facilities.
P Keep Regions apprised of Federal Facility Agreements under
CERCLA section 12O that are successfully completed. This
information can be used to expedite ongoing negotiations.
Review and comment on draft Federal Facility Agreements under
section 120 to promote national consistency and anticipate
problem areas.
P Support Regions in negotiations and developing enforcement
strategies.
Continue to develop guidance on the integration of RCRA and
CERCLA at Federal facilities.
Assist Regions in resolving disputes over CERCLA or RCRA
response actions at Federal facilities.
Establish both formal and informal channels of communication
with representatives from other Federal and State agencies to
enhance communication.
Distribute and coordinate Office of Management and Budget (OMB)
Circular A-106 reports with Regional offices.
(3) Regional Activities
Maintain Regional repositories for the CERCLA section 120
Federal Agency Hazardous Waste Compliance Docket.
Review Federal agency preliminary assessments of docket
facilities and evaluate for inclusion on the NPL.
P Negotiate comprehensive Federal Facility Agreements under CERCLA
section 120 for investigatory and remedial actions under RCRA
and CERCLA at priority Federal facilities, and provide oversight
and technical assistance. The Agreements should integrate the
RCRA corrective action and CERCLA response processes.
Provide opportunity and encourage State participation in the
negotiation of three-party Federal Facility Agreements under
CERCLA section 120. states should be given advance notice of
negotiations.
P Establish deadlines for concluding negotiations on Federal
Facility Agreements. When negotiations are not concluded in a
timely manner, Regions should consider all available enforcement
alternatives, including the referral of unilateral CERCLA
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section 106 administrative orders through Headquarters to the
Department of Justice (DOJ), as a means of concluding
negotiations.
Review Federal agency RODs at NPL sites and make joint selection
ot remedy, or in the event of disagreement, select remedial
action alternatives for Federal facilities.
Review and comment on draft OMB Circular A-106 reports and EPA's
draft OMB report.
(4) state and Tribal Activities
Actively participate in the negotiation and implementation of
three-party Federal Facility Agreements under CERCLA section
120.
Review and comment on draft OMB Circular A-106 reports and EPA's
draft OMB report.
q. Conduct Research That Improves Risk Assessment capabilities and
Risk Reduction Technologies in the Response Program
(1) Overview of the Activity
The Super fund research and development (R&D) program for FY 1991
will focus on seven areas: support to OSWER and regional offices
in getting new technologies on site, biosystems research, the
Superfund Innovative Technology Evaluation (SITE) program, health
and risk assessment research, advanced field monitoring and quality
assurance, technology evaluation, and university research centers
and grants.
Technical Support
The Agency provides technical support to CERCLA Fund-lead and
enforcement-lead activities for engineering/treatment technologies,
monitoring, fate and transport, modeling and health/environmental
risk assessment. Technical support is provided through funding of
research projects and technical support centers. Emphasis will be
on increased usage of Office of Research and Development (ORD)
personnel and equipment to support Superfund treatment on site
accessibility, providing quicker responses, efficient dissemination
of research results/applications, and training of Superfund staff
and contractors on new technologies. Major activities include:
1) monitoring— the use of aerial imagery and photography for site
identification and assessment; 2) fate and transport— providing
chemical-specific fate/transport data for a specific medium exposed
by the receptors; 3) engineering and treatment techniques—
providing active site-specific support in the removal and remedial
action process of technology selection; 4) modeling— providing
advice and guidance on the use and limitations of mathematical
models including uncertainty analysis; 5) health/environmental risk
assessment— assisting the development of cleanup levels for site-
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specific cases or for specific scenarios including wetland and
mining sites, assisting Regions with ecological evaluations,
reviewing difficult risk assessments as requested by the program
offices and Regions, increasing the efficiency and accessibility
and utility of integrated risk assessment information, and
providing technical assistance to improve the quality and
consistency of risk assessments through the new Technical Support
Center for Risk Assessment in Cincinnati. Beginning in FY 1990,
a liaison function was established in each Region co-funded by ORD
and the Regions. This FTE facilitates the transfer of technical
information to Superfund OSCs, RPMs, and their technical support
staff.
Biosystems
Biosystems research, or in-situ biodegradation techniques,
evaluates naturally-occurring or improved microorganisms for their
ability biochemically to degrade hazardous substances. Major
projects to be completed in FY 1991 are: 1) aerobic and anaerobic
protocols for testing microbial agents in bioremediation; 2)
development of an information transfer system; and 3) preliminary
reports on the use of bioengineered microorganisms for
bioremediation.
The SITE program accelerates the development, demonstration and
use of innovative treatment technologies. The SITE program also
demonstrates and evaluates new measurement and monitoring
techniques. The heart of the SITE program is the demonstration
phase in which full-scale evaluations of technologies are conducted
at Superfund sites under joint EPA and private developer funding.
Information on the evaluation of SITE technologies is made
available through project report, brochures, seminars, and
conferences, and through the SITE clearinghouse.
The Emerging Technologies component of the SITE program fosters
development of promising technologies not ready for field
demonstration under the SITE program. In FY 1991 the emerging
technologies program will focus on bench-scale evaluation,
identification of promising projects, and efforts to prepare
selected technologies for evaluation in the demonstration phase.
Health and Risk Assessment Research
ORD's health and risk assessment research addresses specific data
needs and methods development/validation related to exposure
assessment, toxic effects assessment, and risk characterization
used in various CERCLA activities. Emphasis is on applied research
and the major activities are: 1) exposure assessment—
bioavailability, bioaccumulation, exposure to products of
degradation or treatment residues, field method validation, and
better characterization of exposure via ingestion, dermal and
inhalation routes from soil, sludge, sediment and drinking water,
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2) toxicity assessment— Health and Environmental Effects Documents
(HEEDs)-, Health Effects Assessments (HEAs) and Reportable
Quantities (RQs) work on hazardous substances or mixtures for
cancer, neurotoxicity, reproduction, developmental and immunotoxic
effects, and the establishment of inhalation Reference Doses (RfDs)
or their default values, and 3) risk characterization— chemical
mixtures response prediction/validation and application of methods
to actual scenarios, and development of risk assessment methods for
short-term and intermediate term exposures. This research
component also will include technical assistance to Superfund risk
assessors through the Technical Support Center for Risk Assessment
in Cincinnati. The Office of Policy, Planning and Evaluation is
conducting research in how to communicate risk concepts and results
to the public.
Advanced Field Monitoring
Advanced field monitoring techniques are low-cost field analytical
methods that generate real time or near real time data regarding
site characterization and contamination. Advanced field monitoring
techniques are designed to provide an alternative to expensive,
time-consuming laboratory analysis. In FY 1991 efforts will be
multi-purpose: 1) the focused application of developed
environmental monitoring technologies, such as x-ray fluorescence
and field portable gas chromatography, will be demonstrated, and
2) environmental monitoring technologies in the developmental
stage, such as fiber optic and related sensors, immunoassay
methods, soil gas techniques and field monitoring instrumentation,
will be studied for their ability to address problems common to
Superfund sites. ORD has requested additional funding to evaluate
monitoring technologies that are untested on Superfund wastes.
Quality Assurance and Field Quality Assurance
The quality assurance (QA) program provides support to the Contract
Laboratory Program (CLP), which is responsible for most contract
chemical analyses under the Superfund program. According to
uniform and consistent protocols, quality assurance reference
materials such as calibration standards, quality control samples,
and performance evaluation samples are designed, prepared, and
Distributed for analysis by contract labs. Annual reports on the
uesign, preparation, and distribution of quality control samples
for contract labs and on performance evaluation samples for
organic/inorganic analyses will be prepared.
Field quality assurance research attempts to determine the level
of error associated with different operational phases of field
sampling in order to improve or retain the quality of the sample.
Quality Assurance studies will identify the sampling error created
by various methods of handling, storage, gathering, and sample
location.
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Technology Evaluation
Technology evaluation research assesses the cost effectiveness of
technologies, techniques, and construction materials used at
Superfund sites. Major areas of evaluation are in-situ control
technologies, on-site control technologies, Best Demonstrated
Available Technologies for Superfund wastes, and combustion
technologies for Superfund wastes. In FY 1991, major activities
will include the evaluation of assisted steam stripping
technologies for removing organic pollutants from contaminated soil
and the publication of handbooks on in-situ treatment of hazardous
waste and on-site cleaning equipment. Some resources will be
shifted to develop a Superfund expert system, with potential uses
for areas such as ground water analysis, manifest tracking, HRS
assistance, and construction design.
University Research Centers and Grants
Under the authority of SARA section 311(d), ORD awards grants to
five university-based hazardous substance research centers. The
centers, which became fully operational in FY 1989, are designated
to conduct long-term and short-term research, including but not
limited to the manufacture, use, transportation, disposal, and
management of hazardous substances, to disseminate research
results, to coordinate efforts with other institutions, and to
train, transfer technology, and provide technical support. The
five institutions and consortia that have been recommended for
funding are the New Jersey Institute of Technology, the University
of Michigan, North Carolina State University, Kansas State
University, and Stanford University.
The ORD research grants program annually solicits proposals for
long-term research grants. For FY 1991, the research priority
areas are development and application of human health risk
assessment methods, ecological risk assessment methods, total
exposure assessment methods, and risk reduction research concerned
with reducing or eliminating the release of toxicants to the
environment.
r. Ensure Appropriate Information Resources Management
(1) Overview of the Activity
Through FY 1988, the major focus of the CERCLA information
resources management (IRM) program was on planning for and
subsequent development and implementation of several major national
applications systems. In FY 1989, the emphasis changed to data
administration issues such as access, timeliness, accuracy and
consistency and to the introduction of local area network (LAN)
technology in both Headquarters and the Regions. In FY 1990, our
emphasis shifted once again to that of data sharing, integration
and technical information exchange within hazardous waste programs
at all organizational levels. During FY 1990, we began reporting
environmental indicators of remedial and removal progress. In FY
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1991, the focus will involve the next generation of CERCLIS, the
next iteration of environmental indicators reporting, and the
continuing focus on records management activities.
(2) Headquarters Activities
P+ Work with Regional Information Management Coordinators (IMCs)
to implement a program outlining environmental indicators of
success.
P+ Continue to improve responsiveness to national and Regional
Superfund managers needs for timely and accurate information
by ensuring accuracy and availability of existing reports and
survey rank by priority and develop additional reports
requested by managers.
Continue participation in OSWER-wide IRM planning and strategic
decision making.
Continue to support the current and evolving programmatic
mission through the provision of effective and efficient
application systems.
P Continue to assist the Regions and the States in the performance
of their national application systems data steward roles through
oversight and user support activities.
P Improve data sharing and integration and information exchange
within hazardous waste programs in Headquarters, Regions, and
States through participation in the State/EPA data management
initiative, cooperation with State organizations, and
sponsorship or support of application systems, bulletin boards
and clearinghouses.
Continue the introduction of automation technologies, such as
LANs, which support office automation and project management as
well as data management, geographic information and expert
systems, and point-of-origin data capture and transmission.
Assist Regions in development of Region-specific LAN reports.
P Evaluate Regional records management systems and assist in the
implementation of cost-effective procedures and technologies.
(3) Regional Activities
Continue participation in IRM planning and strategic
decision making.
p Support national system managers in defining requirements for
new application systems or system enhancements.
P As data stewards, continue to provide timely and accurate data
to all national application systems.
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P Participate with Headquarters and the States in data sharing
and integration initiatives and information exchange activities.
Implement appropriate application systems and automation
technologies (e.g., WastelAN) in support of Regional management
decision making and program operations.
P Continue operation of records management systems and implement
cost-effective procedures and technologies.
(4) State and Tribal Activities
P As data stewards, continue to provide timely and accurate data
to national application systems.
P Participate with Headquarters and the Regions in data sharing
and integration initiatives and information sharing activities.
s. Continue to Assess Treatment and Disposal Capacity Need Through
SARA 104(k)
(1) Overview of the Activity
Beginning October 17, 1989, the Agency will only fund new remedial
actions in States that have provided an assurance, through the
Capacity Assurance Plan (CAP) process, that sufficient hazardous
waste capacity would exist to manage wastes generated in the State
during the next 20 years.
In order for a CAP to be deemed adequate, a State must demonstrate:
o A good understanding and description of its current hazardous
waste management system
o Reasonable projections regarding future waste generation and
management capacity
o Interstate agreements with another State or States to assure
hazardous waste management capacity, if the State is dependent
on management capacity outside its boundaries
o That they have or will address waste reduction and
elimination.
States may update CAPs at any time. EPA recognizes that State
hazardous waste systems are dynamic and that factual information
or assumptions upon which a State's CAP is based may change.
We expect that FY 1991 CAP submittals will contain more and better
quality data as States learn from 1989/90 experience and have more
time to collect data.
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Regions are the primary reviewers in the CAP process, and should
focus their reviews especially on those areas of the CAP dealing
with State laws, waste minimization programs, and State-specific
data.
If there are supplemental conditions or milestones in a State CAP,
the Agency will reexamine whether the State's assurance as a whole
continues to be deemed adequate when a State fails to meet a major
milestone. In FY 1991, Superfund will formalize the existing
liaison function to ensure that the Agency knows when States fail
to meet supplemental conditions or hit milestones so that
appropriate action can be taken. Each Region is responsible for
tracking the major milestones its States must meet.
(2) Headquarters Activities
P Implement an aggressive outreach program to promote all aspects
of the State CAP project, consistent with remedial action
priorities of Superfund program.
Develop computer and training systems necessary to aid States
in providing assurances.
Implement procedures for collecting, verifying, and certifying
State assurances, including computer systems.
Approve and fund pilot projects that develop creative approaches
to respond to unique regional/geographic problems related to
capacity assurances.
Develop an enforcement strategy for State capacity assurances.
(3) Regional Activities
P Work with States to ensure timely and accurate State responses
to Headquarters guidance.
Develop pilot projects to improve communication with States and
to address groupings of States with distinctive problems.
(4) State Activities
Ensure availability of sufficient personnel and resources to
respond to EPA guidance so that State assurances will be
provided in a timely manner.
Participate in multi-State pilot projects, as needed.
t. Provide Hazardous Substance Response Training
(1) Overview of the Activity
The Hazardous Materials Incident Response Training Program includes
courses related to hazardous substances responses. The courses are
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for personnel who respond to emergencies or who investigate and
respond to abandoned hazardous waste sites. Training is provided
in safety and health, as well as in the various technical
operations needed to identify, evaluate and control hazardous
substances that have been or could be released. The courses are
available to response personnel from Federal, State and local
agencies at no charge. Private industry also may attend on a space
available basis and payment of tuition.
(2) Headquarters Activities
Provide for the delivery of six of the training courses through
non-Federal agents such as universities, training institutes
and consultants.
Amend the training curriculum to integrate new program policies
and requirements, such as Title III provisions.
(3) Regional Activities
Encourage State and local responders to take advantage of the
courses.
Advise Headquarters of training needs assessment.
(4) State and Tribal Activities
Screen training needs and advise Regional EPA office of request.
u. Promulgate Reportable Quantities
(1) Overview of the Activity
Under section 304 of SARA's Title III, releases of extremely
hazardous substances (EHSs) in a reportable quantity (RQ) or
greater must be reported to State and local governments. Releases
of CERCLA hazardous substances must be reported to the National
Response Center (NRC) in addition to State and local governments.
At this time, 232 EHSs are non-CERCLA hazardous substances, but
will be designated as CERCLA hazardous substances. The one-pound
RQ for these substances was adjusted in a final rule in FY 1990,
thus alleviating the reporting burden of the regulated community
and clarifying the reporting requirements under CERCLA and SARA.
The RQ adjustment methodology will also be reevaluated in light of
new scientific information and if the Carcinogen Assessment Group
modifies the cancer policy of the Agency.
Other activities include the promulgation of reduced reporting
requirements under CERCLA section 103(f)(2) for releases that are
reportable under section 103(a), but which are "continuous" and
"stable in quantity and rate", and the promulgation of an
interpretative rule clarifying what is a federally-permitted
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release under CERCLA section 101(10). Federally-permitted releases
are not reportable under CERCLA.
(2) Headquarters Activities
P Publish designation of EHSs as CERCLA hazardous substances and
RQ adjustments final rules.
(3) Regional Activities
Receive EHS release reports from the NRC. Receive written
initial and follow-up reports of continuous releases from the
regulated community and reports of statistically significant
increases from the NRC.
P Determine whether a Federal response to the release is
warranted.
(4) State, Local and Tribal Activities
P Receive reports of EHSs released in quantities of an RQ or more
(the amount of recordkeeping may decrease when some RQs are
raised from the one-pound statutory RQ).
v. Ensure High Quality Analytical Data for Decision making
(1) Overview of the Activity
The Data Quality Objectives process is used to define the data
requirements for Superfund decision making. The analytical
services to meet the data requirements can be obtained from a
variety of sources. These sources include field analysis, CLP
fixed laboratory analysis, and other fixed laboratory analysis by
the Environmental Services Division Environmental Sampling and
Analysis Teams (ESD/ESATs), States and subcontractors. All
Superfund data must be of known and documented quality. In order
to assure that this is case, the data requirements must be
developed, documented, implemented and overseen for all sources of
analytical data.
(2) Headquarters Activities
Continue to develop the expanded laboratory quality assurance
program for non-CLP analytical work.
Evaluate oversight of CLP contractors and implementation of
contract compliance screening.
Continue to develop guidance for an oversight program for non-
CLP analytical work, including QA and tracking.
Provide performance information on high-priority field
analytical methods.
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(3) Regional Activities
Implement an expanded laboratory QA program for non-CLP
analytical work.
Track analytical work from all sources as outlined in OSWER
Directive 9240.0-2,
Implement Regional oversight programs for non-CLP analytical
work.
Implement data usability guidelines developed in FY 1990.
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3. Appendix
APPENDIX I
SUPERFUND PROGRAM
KEY SUPPLEMENTAL REGULATIONS AND GUIDANCE
Regulations/Documents Expected Publication
National Contingency Plan 2/90
Hazard Ranking System 4/90
Five-Year Review Guidance (Short Sheet) 3/91
Technical Assistance Grants (Final Rule) 9/91
Response Claim Regulation (Final Rule) 5/90
Administrative Law Judge Procedures (Final Rule) 3/91
RI/FS Guidance (interim draft) 2/89
ROD Guidance (final draft) 3/89
Compliance with Land Ban 5/89
Environmental Evaluation Manual 8/89
Public Health Evaluation Manual 8/89
Federal Facilities Update 9 4/90
NPL Update 10 (Federal Register) 5/90
Revision of Spill Prevention portion 8/89
of SPCC Regulations (proposed)
RD/RA RP Oversight Guidance 3/90
Program Management Manual (FY 1991) 6/90
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B. ENSURE PROPER ONGOING MANAGEMENT AND CLOSURE OF SOLID AND
HAZARDOUS WASTE FACILITIES [THIS SECTION IS COMMONLY REFERRED
TO AS "THE RCRA IMPLEMENTATION PLAN" (RIP)]
1.0 OVERVIEW OF THE NATIONAL STRATEGY
1.1 Program Direction
The goals of the Resource Conservation and Recovery Act (RCRA)
program are (1) the protection of human health and the environment
through environmentally sound waste management practices and (2)
the conservation of materials and resources.
This guidance identifies national priorities and lays out key
activities for EPA and States to accomplish the goals of RCRA.
The hazardous waste priority discussion follows below. For a
discussion of the solid waste priorities, see Section 6.
The national hazardous waste management priorities for FY 1991 are
listed in Section 1.2. The first three of these describe
activities for the universe of RCRA regulated entities: operating
and closed treatment, storage and disposal facilities and
generators and transporters of hazardous waste. Of this universe,
treatment, storage and disposal (TSD) facility and generator
activities encompass the bulk of the workload. Activities at TSDs
and generators include: operating permit determinations and
modification, corrective action, post-closure permits, closure plan
approval, and compliance monitoring and enforcement.
At this stage in the evolution of the hazardous waste programs of
RCRA and HSWA, two things are occurring: (1) the requirements for
the existing universe of facilities are expanding, and (2) the RCRA
universe itself is growing. We recognize that this poses very
difficult implementation problems for the States and Regions
particularly in a period during which RCRA program'responsibilities
have grown at a significantly faster pace than resources. This
guidance recognizes that priorities must be set both within and
among the new and existing requirements and universes. This
guidance also recognizes that, for the expanding universe, some
activities must begin right away, while other activities must take
place over a multiyear period.
In planning for FY 1991, Regions and States should develop a mix
of activities derived from the national RCRA priorities, as well
as other aspects of the guidance such as State oversight and waste
minimization. The selection of activities should consider three
things: (1) for TSD and generator activities, the environmental
significance of the facility or waste handler; (2) for all national
priority activities, the need to show progress; and (3) for the
entire set of planned activities, maintaining the balance between
preventative waste management activities and clean-up of releases
through corrective action.
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1. Environmental Significance
The demands of all the national priority activities need to be
considered and weighed against each other in determining the mix
of actions that makes the greatest environmental sense for a
particular Region or State. The concept of environmental
significance should be applied to all activities included in the
first three national priorities listed in Section 1.2. This
concept should be used to rank TSD and generator facilities and
handlers for attention. Subsequently, the most appropriate action
(permit, enforcement order, etc.) would be determined to achieve
environmental results.
2. Continued Progress
The second factor in planning a mix of FY 1991 activities is the
need to continue showing progress in each of the national priority
areas. In some cases, the guidance defines progress on a national
scale (e.g., Section 2 requires that a portion of clean closed
facilities be reviewed and addressed in FY 1991; Section 3
describes inspection frequencies) . In other cases, the guidance
does not identify a specific level of activity. However, all
national priority areas are critical to the environmentally sound
management of hazardous waste and progress in these must be
factored into decisions about the appropriate mix of FY 1991
activities.
3. Programmatic Balance
Finally, the orderly development of the RCRA program at both the
national and State levels requires that we strike the appropriate
resource and programmatic balance in our activities. Activities
which ensure we meet the goals of RCRA fall into three broad
categories:
o waste minimization activities that reduce how much waste is
generated, including source reduction and environmentally
sound recycling;
o preventative waste management activities that guard against
releases of wastes to the environment through permit
issuance and closure plan approval, inspecting facilities
and enforcing facility compliance; and
o clean-up of releases of hazardous wastes through the
corrective action program.
The overall FY 1991 RCRA resource allocation for corrective action
is approximately 20 percent, with 80 percent allocated for waste
minimization and preventative waste management activities. More
specifically, the Regions should allocate 75% - 80% of FTE, and a
sufficient amount of extramural resources, to waste minimization
and preventative waste management activities. Conversely, 20% -
25% of FTE should be allocated to corrective action activities.
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For the states, the national goal is to allocate approximately 80%
- 85% of State grant funds to waste minimization and preventative
waste management activities. Conversely, 15% - 20% of the total
grant (which includes the corrective action set aside discussed in
Section 8.3) should be allocated to corrective action activities.
The national goal for the States is to be used as a general
guideline for the Regions to use when negotiating FY 1991 grant
workplans. Although the actual percentage of State grant funds
which is allocated to each portion of the program will vary from
State to State, the Regions should adhere generally to the
proportion of the budget which is allocated for clean-up activities
on a regional level.
1.2 National Priorities for Hazardous waste Management
The three principles of environmental significance (for bullets 1-
3), progress on all national priorities, and maintaining the
balance of preventative and corrective action activities apply to
the following list. The activities below are not listed in
priority order.
o Identify, prioritize, and make final permit determinations for
environmentally significant treatment, storage and disposal
facilities, including closed or closing land disposal
facilities. Address other environmentally significant handlers
on a priority basis. Initiate appropriate activities at all of
the above facilities on a worst-first basis through an operating
permit, post-closure permit, corrective action order, approved
closure plan or CERCLA action, as appropriate.
o Process permits and permit modifications for new and expanded
facilities, especially those providing treatment and
incineration capacity, Research Development & Demonstration
(RD&D) permit applications, and commercial treatment capacity.
Incorporate waste reduction provisions, to the extent
practicable, in permits and permit modifications.
o Encourage facility compliance, conduct inspections mandated by
HSWA, SARA, and Agency policy, and pursue timely and appropriate
enforcement against significant violators.
o Enhance the Federal/State partnership by achieving timely
authorization, improving the authorization process, providing
incentives for State applications, and building State capability
through training and technical assistance.
o Support RCRIS and other information management activities to
ensure comprehensive, quality data to facilitate effective
management of the hazardous waste program.
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1.3 Waste Minimization (Pollution Prevention)
This FY 1991 guidance recognizes that there are limits to the
amount of environmental improvement that can be achieved under a
regulatory program once wastes have been generated. Source
reduction and environmentally-sound recycling are thus critical
components of both solid and hazardous waste management programs.
Regions and States should strive to integrate waste minimization
into all appropriate aspects of their permit and enforcement
programs. The waste minimization discussion below focuses on
hazardous waste management activities. For suggested activities
in solid waste management, see Section 6.
The 1984 HSWA amendments to RCRA support waste minimization as a
national goal by stating: "wherever feasible, the generation of
hazardous waste is to be reduced or eliminated as expeditiously as
possible". To implement this waste minimization goal, EPA has
developed a national implementation policy published in the Federal
Register on 01/26/89 for public review and comment. The policy:
o sets source reduction and recycling as the Agency's highest
priorities over treatment and disposal; and
o commits EPA to incorporating source reduction, recycling, and
other pollution prevention concepts into all Agency media
programs, and to working with the States to develop technical
assistance programs to help industry identify and implement
source reduction and recycling opportunities for hazardous
waste and solid waste. It is important that efforts to reduce
hazardous waste do not merely transfer the problem from one
medium to another.
HSWA also required that generators and TSD owner and operators
certify that they have a waste minimization program in place. EPA
published "Guidance to Hazardous Waste Generators on the Elements
of a Waste Minimization Program in the Federal Register (June 12,
1989) .
Several opportunities are identified in the operating guidance for
ensuring that generators and TSD owners and operators have waste
minimization programs in place. Recognizing that there is no
specific funding for waste minimization, these are some approaches
to integrate waste minimization into on-going activities. For more
aggressive initiatives, Regions are encouraged to use the RIP-
flexibility process. In FY 1991, Regions should actively promote
implementation of EPA's national pollution prevention (waste
minimization) policy and program by:
o Integrating waste minimization into permits, permit
modifications and enforcement. For example, Region 2 is
developing a regional initiative to include waste minimization
in permit modifications.
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o Giving high priority to reviewing permits and permit
modifications that are based on facility specific waste
minimization plans.
o Encouraging TSD owners and operators to commit to specific
source reduction and recycling goals and actions as part of
the permit review and approval and modification process.
o Assisting States, as necessary, in the collection of data on
waste minimization, and on trends in hazardous waste
generation and management. The primary vehicle for collecting
these data is the RCRA Biennial Report, and to a lesser
extent, the SARA 313 Toxic Release Inventory.
o Helping States to develop and implement individual waste
minimization programs. Regions should monitor pollution
prevention grants and help coordinate State activities. For
example Region 4 has developed a "Regional resource center,"
which coordinates individual State waste minimization plans,
and facilitates the trading and dissemination of technical
assistance and training information. In addition, Region 10
is developing a Pollution Prevention Institute that will
provide technical assistance to firms.
o Providing outreach, educating, and communicating with
industry, States, and the general public. In FY 89, Region
5 put on a successful region-wide WASTEMIN symposium, and
continues to work with the State of Minnesota and the
Minneapolis Chamber of Commerce on outreach activities.
o Helping mining states evaluate the technical options for re-
mining abandoned or inactive mining sites so as to prevent
acid drainage or other environmental degradation. The Office
of Solid Waste (OSW) in conjunction with Region 8 is exploring
in FY 1990 the development of a policy, and regulatory
framework to encourage the re-mining of non-coal wastes.
Other waste minimization opportunities are noted in the appropriate
portions of Sections 2-10 of this guidance.
1.4 FY 1991 Regional Work Plans and RIP-flexibility Plans
This guidance recognizes that certain of the identified national
priorities and activities may not be applicable in every State or
Region; thus, Regions and States are encouraged to identify
Regional RCRA priorities where State or Regional priorities would
yield significant health or environmental benefits.
To the extent that Regions deviate from national hazardous waste
priorities (such as making environmentally significant permit
decisions and/or statutorily mandated inspections), Regions should
submit a work plan to Headquarters which explains as specifically
as possible why the national priorities will not be met. This work
plan may be submitted on its own or as part of a RIP-flexibility
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plan if the Region proposes to trade-off national priorities for
Regional or state priorities.
Under the RIP-flexibility process, up to 15% of the total Regional
and State resources (State grants, Regional FTEs and extramural
funds) may be traded-off from the national priorities for Region
or State-specific environmental priorities. The criteria for RIP-
flexibility plans and an optional form for submitting them are
contained in a May 18, 1989, memorandum from Joseph Carra and Susan
Bromm, "FY 1990 RCRA Implementation Plan Flexibility Process".
Additional criteria regarding inspections is found in an
October 26, 1989, memorandum from Bruce M. Diamond, "RIP-Flex
Statutory Disinvestments in Inspections". The May 18 memo
clarifies that Regions need not submit a RIP-flexibility proposal
for storage and treatment permitting unless the Region or State
proposes a trade-off for completing permits for environmentally
significant storage and treatment facilities.
Regions and States should give special consideration to using RIP-
flex to fund waste minimization and Subtitle D activities. Waste
minimization, while not separately budgeted for in either solid or
hazardous waste, may be pursued under other funding sources (such
as the 2% set-aside initiative in FY 1990). Also, many waste
minimization activities can be funded through already budgeted
permit and enforcement activities. Where these sources are
inadequate, though, the use of RIP-flex is encouraged.
While additional resources are available for Subtitle D solid waste
programs in FY 1991, the considerable growth occurring in this
program warrants making RIP-flex available as an option. Note,
however, that this option applies only to use of Regional
resources, not State grant funds under Subtitle C.
Since the work plans and RIP-flexibility Plans will be used in
negotiating Regional commitments and STARS targets, draft Regional
plans are to be submitted by August 1, 1990. These plans should
be submitted concurrently to the Director, Permits and State
Programs Division, OSW, and the Director, RCRA Enforcement
Division, OWPE (Office of Waste Programs Enforcement).
1.5 Structure of Guidance
This RCRA guidance is organized by topic areas similarly to past
years. For FY 1991, however, the list of applicable regulations
and guidance is found at Appendices A and B rather than at the end
of each section. Also, training is now a separate section (Section
10) .
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2.0 PERMITTING, FACILITY CLOSURE, AND POST-CLOSURE
2.1 P
Decisions and priorities for the permit and closure program,
including corrective action, are to be based on environmental
benefits expected to be achieved, as discussed in Section 1. The
objectives of the FY 1991 permit and closure program are to use
Regional and State permit and enforcement actions to: 1) address
operating, closing, and closed facilities; 2) process permit
modifications in order to support expansion of needed capacity; 3)
track permit schedules of compliance particularly those that
involve groundwater contamination; 4) ensure corrective action at
environmentally significant operating, closing, and closed
facilities; and, 5) follow through on approved closure plans, as
necessary, in order to minimize the post-closure escape of
hazardous constituents into the environment. Regions and States
are not expected to issue permits to facilities newly brought under
RCRA in FY 1991 except where such facilities are environmentally
significant or support needed capacity.
2.2 Relation to FY 1990 RCRA Operating Guidance
Greater emphasis on:
o issuing post-closure permits;
o tracking compliance with groundwater schedules of compliance;
o processing permit modifications, conducting 5 year land
disposal permit reviews and, as appropriate, incorporating new
regulatory requirements into permits; and
o factoring facility specific waste minimization plans into the
permit review and approval processes and as appropriate in the
modification process.
Continued emphasis on:
o making progress on reaching final permit determinations for
environmentally significant storage and treatment facilities
including Subpart X units by November 1992 and on other
environmentally significant operating facilities;
o overseeing and conducting technical evaluations of permit
submittals for corrective action;
o establishing multi-year strategies for corrective action
activities, post-closure permit determinations and
environmentally significant storage/treatment permit
determinations ;
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o taking permit, post-closure permit and closure plan actions
.for all facilities based on the environmental significance of
the facility and the human health and environmental benefits
to be achieved;
o processing permit modifications for expanded treatment and
incineration capacity; encouraging facilities to develop waste
minimization plans for consideration in this process;
o approving closure plans, including corrective action as
necessary, for land disposal facilities that lost interim
status; conducting activities necessary to support closure
plan schedules; and
o re-evaluating facilities that closed by removal.
Decreased emphasis on:
o the 1989 incinerator deadline.
2.3 Overview of Activities
Priority Setting
Addressing environmentally significant handlers is one of the
national priorities for FY 1991. Section 1 discusses a general
framework for planning the most appropriate mix of activities in
permitting and the other aspects of facility management.
Facility management plans and multi-year strategies are useful
tools for establishing priorities based on environmental
significance, as well as for supporting resource planning and
workload allocation. In FY 1991, Regions and States should
continue the use of multi-year strategies. As these planning and
tracking tools are refined, Regions and States should update their
multi-year strategies and facility management plans to ensure that
priority attention is focused on those handlers and activities
causing or potentially causing the greatest health and
environmental threats. This planning process should include all
hazardous waste activities and handlers, with priority given to
those actions which are expected to result in the greatest health
and environmental benefits including the minimization of waste.
Regular discussions between the Regions and the States are
encouraged to ensure effective planning. These discussions may
occur during routine conference calls or meetings, grant
negotiations, quarterly reviews, or other appropriate meetings.
Regions and States may use the Environmental Priorities Initiative
(EPI) or Region specific systems to plan and establish priorities.
Progress on the activities discussed in this section should be
tracked through the planning system the Region and State have
established.
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Statutory Deadlines/Requirements
In FY 1991, the Regions and States should be making progress in
making final permit determinations for environmentally significant
storage and treatment facilities by November 1992. Regions should
note that the Joint Permitting Policy (RCRA Reauthorization
Statutory Interpretation # 5, July 1, 1985) is applicable to such
permit issuance.
In addition to imposing statutory deadlines for permit decisions,
HSWA requires permits to address corrective action for releases.
At a minimum, an assessment for release must be completed prior to
permit issuance. Also, Regions may issue Section 3008(h) orders
prior to permit issuance. Where corrective action activities are
not completed prior to issuance, the permit must contain a schedule
of compliance as discussed in Section 4.
Post-Closure Requirements
Post-closure permitting will be a higher priority in FY 1991 due
to arguments that facilities in interim status in 1984 that
required post-closure permits should have received them by the 1988
land disposal permit deadline. The Agency may be placed on a
court-ordered schedule for issuing these post-closure permits.
Further guidance will be provided should this occur.
HSWA subjects land disposal units, including those previously
thought to have clean closed, to the same ground water monitoring
and corrective action requirements as new units. On December 1,
1987, this requirement was codified in regulations but
approximately 200 facilities clean closed prior to that date.
Under the FY 1989 guidance, Regions and States were required to
develop a strategy for addressing facilities that closed by removal
without complying with the Part 264 standards. Regions and States
should continue to review these facilities and issue post-closure
permits or take enforcement actions where appropriate. At least
one-third of facilities not previously addressed should be
addressed in FY 1991.
Permit Modifications; Five-year Permit Reviews; Groundwater
Schedules of Compliance; Omnibus Provision
Permit modifications may be initiated by the permittee or the
regulatory agency. Regions or States may modify permits without
the permittee's agreement when the standards or regulations on
which the permit was based have been changed by statute or amended
standards or regulations (40 CFR Section 270.41(a)(3)). Certain
developments— closure, corrective action, and new waste
listings— require facilities to seek permit modifications. To
achieve the greatest health and environmental benefits, priority
attention should be placed on permit modifications for groundwater
(Subpart F), HSWA corrective action, and expansion/new units which
result in reduced risk to human health or the environment or
increased treatment capacity. Regions and States should be alert
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to opportunities for waste minimization at facilities which request
expansions or new units. Emphasis should also be placed on
modifications which support improved facility management.
A significant increase in permit modifications can be expected in
Regions with large numbers of petroleum refineries as a result of
a final HSWA rule listing wastes from that industry (expected date
of promulgation: June 1990) . It is expected that all refineries
will have to modify their permits to comply with the new
requirements.
In addition, certain land disposal facilities will be subject to
five-year reviews (40 CFR Section 270.50(d)). In FY 1990 osw is
working with the Regions and States on the scope and procedures for
these reviews.
Regions and States are urged to pay close attention to facilities
permitted with schedules of compliance, especially when the
compliance schedule addresses groundwater. Because groundwater is
of such critical environmental importance, the regulatory agency
must closely track compliance with milestone dates and any
resultant permit modifications.
Regions may increasingly find it necessary to use the omnibus
provision (40 CFR § 270.32 (b)) to protect human health and the
environment by implementing proposed rules before they become
final. Examples include the second air emissions rule and the
location standards once they are proposed.
New Regulations
The discussion which follows is of major new rules affecting
permitting in FY 1991. As these rules become effective, they will
over time become incorporated in existing operating permits and in
permits for facilities newly brought into the RCRA system.
However, given the other permit activities discussed above, in FY
1991 Regions and States will primarily be addressing these new
requirements through permit modifications and five-year permit
reviews rather than through initiation of new permits.
The final rule regulating the burning of hazardous waste in boilers
and industrial furnaces, along with the incinerator amendments,
should become effective in late FY 1991. [NOTE: Both the
incinerator and the boiler rules place limits on the feed rates for
wastes. These limits provide an opportunity for facilities to
identify specific source reduction and recycling actions that will
meet these limits.] In FY 1992 and beyond the boiler and furnace
rule will require the issuance of 200-250 new RCRA permits. These
new permits will require the same effort as the incinerator
permits. Although there is presently no date by which these
permits must be issued, many applicants may request permits so that
they can burn low BTU wastes for purposes other than energy
recovery. Once the final rule is promulgated, the Regions and
States may begin receiving trial burn plans or reports on metals
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and hydrocarbon emissions which will require review for
demonstration of compliance with the interim status standards.
The first phase of air standards (Subparts AA and BB of Parts 264
and 265) is scheduled to be promulgated in Spring 1990 for process
vents and equipment leaks at treatment, storage, and disposal
facilities. Implementation of this air emission rule will involve
development of permit conditions in the HSWA permit, review of
semi-annual reports submitted by facilities, and review of air
emission information in the facility operating record. The second
phase of air standards, which will control tanks, impoundments,
containers, and accumulation tanks, and is scheduled to be
promulgated in calendar year 1991.
The universe of RCRA generators and facilities is expected to
significantly increase with the promulgation of the revised
tozieity characteristic (TC) rule in Spring 1990. The new rule
will modify the existing Extraction Procedure Toxicity
Characteristic and bring many currently unregulated waste streams
into the RCRA program. The number of generators and facilities
affected was not known at the time this guidance was being
finalized because the final levels in the rule had not been
decided. Also, because generators and facilities self-identify
themselves to EPA and the States for characteristic wastes, it is
difficult to predict how quickly the short-term workload will
escalate with regard to activities such as assigning EPA
identification numbers and processing Part A applications; and,
over time, reviewing permit modifications, facility waste
minimization plans, changes in interim status, reviewing closure
plans and initiating corrective actions. Given the expected
effective date, no new permit issuance work is anticipated in FY
1991 as a result of the rule nor is provision made in the budget
for such permits. However, other workload impacts are components
of budgeted activities.
The TC rule is being promulgated under the authority of HSWA and
thus will be immediately effective in all States six months from
the date of promulgation. The Regions will be responsible for
enforcing the new requirements until the States adopt the TC rule
and receive authorization. Many States will assist the Regions
with implementation.
Headquarters plans to conduct an extensive outreach program to
industry and the Regions/States during the six-month period before
the TC rule's effective date. A communications strategy will
target the industries most likely to be affected. And,
Headquarters will work with permitting and enforcement personnel
in each Region to provide information on the expected impacts of
the TC rule.
On September 1, 1989 and January 23, 1990, EPA published rules
regulating certain mineral processing wastes under Subtitle C
(Bevill exclusion). See 54 FR 36592 and 55 FR 2322. These actions
are taken pursuant to pre-HSWA authority and thus are not effective
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in authorized States until such time as State authorities are
amended. EPA is responsible for enforcing these new listings in
States that are not authorized for the base RCRA program.
Authorized States must revise their programs to reflect these
changes by July 1, 1991, if regulatory changes only are necessary,
or by July 1, 1992, if statutory changes are necessary.
Alternatives to Land Disposal/Additional Capacity
Closures, more stringent land disposal facility requirements, and
the land disposal restrictions continue to have an increasing
impact on the capacity used to handle hazardous wastes. This
situation requires continued emphasis on the processing of: 1) new
storage, treatment, and disposal permit applications; 2) changes
to existing interim status facilities (or permit modifications)
which will expand storage, treatment, and incineration capacity,
especially for dioxin-listed waste, mixed radioactive/hazardous
waste, explosive/reactive wastes, petroleum refinery wastes, etc.,
or which will reduce the production and/or toxicity of hazardous
waste.
Treatment capacity for most mixed wastes is lacking. Regions and
States should place a priority on processing a permit for a mixed
waste treatment facility. (See also mixed waste discussion in
section 5.) In addition, with the August 8, 1990 expiration of the
national capacity variance for wastes from petroleum refineries
(KO48-052), Regions and States should also place a priority on
processing permits for facilities that would treat these waste
streams.
Processing of Research Development & Demonstration (RD&D) permit
applications will aid in the development of safe alternatives to
land disposal of hazardous wastes. RD&D permits must be tailored
to the scope of the research proposal and include those conditions
necessary to protect human health and the environment. (See
Guidance Manual for Research, Development, and Demonstration
Permits under 40 CFR Section 270.65, dated July, 1986,
EPA/530-SW-86008; OSWER Policy Directive #9527.00-1A) . States are
encouraged to adopt equivalent RD&D regulations and seek
authorization for them as soon as possible so that applicants are
not precluded from obtaining RD&D permits by State law.
The Subpart X regulations for miscellaneous units provide further
opportunities to permit alternative treatment facilities. EPA may
issue a permit to new and existing facilities under Subpart X in
both authorized and unauthorized States. (Although Subpart X is
not a KSWA regulation, EPA has authority under § 264.l(f) (2) to
implement standards in an authorized state if the standards were
not yet promulgated at the time of State authorization. OSWER
Directive 9489.00-2.)
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Public Involvement
Effective implementation of the expanded public involvement program
continues to be an integral part of RCRA activities. Public
involvement plans developed in previous years for targeted
facilities will be implemented during FY 1991. Consideration
should be given to providing the public information on facility
specific waste minimization plans and technologies. Additional
facilities that warrant expanded public involvement should be
identified in FY 1991. State work programs should contain specific
public involvement activities with appropriate grant funds
identified. For additional guidance, Regions and States may refer
to "Guidance on Public Involvement in the RCRA Permitting Program",
dated January, 1986. Regional RCRA staff should coordinate with
CERCLA community relations and enforcement activities to ensure
that the mutual objectives of both community involvement programs
are met. This is especially important for RCRA sites still
included on the National Priorities List (NPL).
2.4 Ma-ior Activities;
Headquarters:
o Continue to develop hazardous waste regulations and applicable
guidance pertaining to permitting, facility closure, and post-
closure. Incorporate waste minimization in regulations and
guidance to the extent possible.
o Provide assistance in reviewing permit modifications and permit
determinations.
Regions:
o Review and process permit determinations on remaining treatment,
storage or disposal interim status facilities, new incinerators,
and on environmentally significant post-closure facilities.
o Continue conducting base program (for unauthorized programs)
and HSWA permitting activities (for States unauthorized for
those activities).
o Continue to review facilities that closed by removal prior to
December 1987, to ensure that those which do not meet Part 264
are brought back under RCRA.
o Address permit modifications using the new permit modification
rule in unauthorized States, and, under appropriate
circumstances, in authorized States (closure, corrective action,
and new HSWA waste listings may be addressed through this rule) .
o Address permit appeals through negotiated settlements and timely
submission of information to the Chief Judicial Officer.
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o To facilitate the permitting process, encourage States to obtain
authorization for the new permit modification rule, the RD&D
rule, and the new rule to facilitate interim status changes (the
"Christmas tree rule").
o Incorporate waste minimization opportunities in permitting.
States:
o Review and process operating and post-closure permit
determinations for storage/treatment facilities and closed land
disposal facilities.
o Address permit modifications.
o Incorporate waste minimization opportunities in permitting.
o Focus efforts on ensuring that closing facilities close in an
environmentally sound manner.
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3.0 COMPLIANCE MONITORING AND ENFORCEMENT
3.1 Program Obiactive
The compliance monitoring and enforcement program objectives are
to ensure compliance and to take corrective action for releases.
Timely and appropriate enforcement action should be taken against
violators.
The program continues its transition from enforcing pre-HSWA
interim status requirements to enforcing requirements in permits
and closure plans, requiring and enforcing corrective action in
permits and orders, and enforcing other major HSWA requirements,
including the land disposal restrictions. Emphasis continues on
setting priorities based on the environmental significance of
facilities. Returning regulated facilities to full compliance and
increasing pollution prevention efforts are major priorities.
Additional initiatives may be identified by the Office of
Enforcement's (formerly the Office of Enforcement and Compliance
Monitoring) four-year Strategic Plan or the RCRA Implementation
Study, which are currently underway. Regions and States are
encouraged to review and comment on these efforts as they are
developed.
3.2 Relation to FY 1990 RCRA Operating Guidance
Greater emphasis on:
o Returning regulated facilities to full compliance;
o Identifying non-notifiers;
o Criminal prosecution, where appropriate;
o Inspections at facilities with delisted wastes;
o Industrial boilers and furnaces inspections; and
o Integrating waste minimization audits and other pollution
prevention incentives in enforcement activities and agency
settlement agreements.
Continued emphasis on:
o Incinerator inspections;
o Meeting statutory inspection requirements;
o Enforcement of land disposal restrictions;
o Federal facility compliance activities;
o Assuring compliance with permits and final orders,
particularly corrective action requirements; and
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o Timely and appropriate enforcement response.
Decreased emphasis on:
o Inspections at closed land disposal facilities (LDFs);
o Inspections at operating or closing LDFs with no Class I
violations; and
o Imposing new RCRA Facility Investigations (RFIs).
3.3 Overview of Activities
Inspections
Inspection priorities are governed by: 1) statutory requirements;
2) the Agency's strong emphasis on groundwater protection; 3) the .
importance of compliance with enforcement orders, consent
decrees, permit and closure plan requirements, particularly
schedules of compliance; 4) the importance of overseeing
corrective action; and 5) the importance of enforcing the major
HSWA requirements, particularly the land disposal restrictions.
Inspections in FY 1991 are discussed in two categories: (A)
"priority inspections" which fulfill statutory requirements and
Agency policy, and (B) "other inspections" recommended to support
program goals. Significant aspects of inspections in both
categories are discussed under "C. Inspection Requirements".
Case Development Inspections are to be conducted where necessary
to file high priority enforcement actions and to support existing
actions.
A. Priority Inspections
1. Handlers presenting immediate threat to health or the
environment
Inspections should be conducted to provide necessary
documentation for enforcement actions where EPA or the State
has information that handlers may present an immediate threat
to human health or the environment.
2. Government facilities
RCRA section 3007(d) requires that EPA annually conduct a
Compliance Evaluation Inspection (CEI) at every facility owned
or operated by a State or local government. Inspections of
State and local government transportation, storage, and
disposal (TSD) facilities must be reported as EPA inspections.
State inspections cannot substitute for EPA inspections at
State or local TSD facilities.
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Section 3007(c) requires that all Federally owned or operated
TSD facilities be inspected yearly. In FY 1991 States will
have the lead for conducting the majority of Federal facility
inspections.
3. Commercial TSD facilities receiving CERCLA waste
Inspections must be conducted, as necessary, to maintain
CERCLA-eligible capacity. CERCLA funds may be utilized for
these inspections. Detailed requirements are described in
"Revised Procedures for Planning and Implementing Off-Site
Response Actions," dated November 13, 1987. The policy was
proposed as a rule under an amendment to the National Oil and
Hazardous Substance Pollution Contingency Plan (NCP) in
November 1988. Workgroup closure on the final rule occurred
in September 1989. Publication of the final rule is projected
for April 1990. Briefly:
a) Units receiving CERCLA waste must be in full physical
compliance with applicable State and Federal requirements.
To satisfy this requirement, TSD facilities which receive
CERCLA waste must have been inspected within six months
-prior to receiving CERCLA waste; and
b) Land disposal facilities receiving CERCLA waste must have
received an Operations and Maintenance Inspection (O&M) or
a Comprehensive (Ground-Water) Monitoring Evaluation (CME)
within the year prior to their receipt of CERCLA wastes.
There must be no releases from units designated to receive
CERCLA waste. This requirement also applies to air emissions
that exceed prohibition levels specified in RCRA Section 3004
(n). Releases from other units must be addressed by a
corrective action program according to the criteria set out
in the Off-Site Policy. Clean-ups conducted at Federal
facilities are subject to the provisions of the Off-Site
Policy if conducted under any CERCLA authority, including
Section 120.
4. Land disposal facilities fother than Government facilities)
a) RCRA Compliance Inspection:
In FY 1991, inspection requirements for Land Disposal
Facilities will be modified to allow greater flexibility
in setting targets. The following are not required to be
inspected in FY 1991: operating, permitted, or closing
land disposal facilities that have no outstanding Class I
violations as of July 1, 1990, and received an inspection
in FY 1990. LDFs not inspected in FY 1991 must be
inspected in FY 1992.
Inspected Annually: Federal, State or local facilities
and Underground Injection Control (UIC) facilities.
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Every other Year: Closed LDFs (except those clean-closed
by removal.
In addition to assuring compliance with the facility
permit, inspections of operating land disposal facilities
should focus on documenting compliance with corrective
action compliance schedule(s). Close attention should be
placed on permitted facilities with compliance schedules,
especially those involving groundwater, to ensure
compliance with milestone dates.
The promulgation of the Land Disposal Restrictions Final
Thirds Rule will require the treatment of a number of waste
streams prior to land disposal. These include wastes from
petroleum refineries (K048 - 052) that, as of August 8,
1990, will no longer have a national capacity variance.
Petroleum refineries that treat or dispose of such wastes
should be monitored during inspections to determine if they
are in compliance, regardless of whether they have a
pending "no migration" petition.
b) Operation and Maintenance Inspection (O&H):
In FY 1991, one-third of the land disposal universe will
receive either an O&M or a CHE. The O&M inspection is
designed to confirm that a facility's ground-water
monitoring system continues to function as designed.
The CME will continue to be necessary at certain facilities
which: 1) though permitted have complex compliance or
corrective action requirements at regulated units; 2) have
questionable groundwater monitoring (GWM) systems (e.g.,
a closing facility required to re-do site characterization,
a facility where a previous CME was of poor quality) ; or
3) have made major changes to their GWM system.
5. Treatment and storage facilities (TSFs)
Final incinerator inspection guidance was completed in FY
1989. All incinerators must receive an inspection in FY 1991.
In addition, inspections must be conducted at a minimum at all
other TSFs not inspected during FY 1990, in accordance with
RCRA section 3007(e). All government TSFs receive annual
inspections as discussed above. (For corrective action
oversight requirements see Section 4.)
6. Generators and transporters
As the land disposal restrictions become effective, generator
and transporter requirements must receive greater attention.
Regions and States should perform inspections at large
quantity (i.e., >1000 kg./month) generators, other
environmentally significant generators, and transporters.
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The total number of these inspections will be based upon
approximately seven percent of the number of large quantity
generators.
Another possible effect of the "Land Ban" is the increased
export of hazardous wastes. However, legislation amending
the Solid Waste Disposal Act to require significant
restrictions on the export of hazardous waste is presently
before Congress. The proposed prohibitions on exporting
hazardous waste are expected to become law by FY 1991.
Currently, documentation related to requirements governing
the export of hazardous waste must be checked, where
appropriate, in accordance with the National Enforcement
Investigation Center's (NEIC) "Enforcement Strategy, Hazardous
Waste Exports" (March 24, 1988). NEIC works in conjunction
with U.S. Customs to detect violations involving the export
of hazardous wastes and to refer cases to EPA Regions for
appropriate enforcement response. Regions are encouraged to
cooperate fully with NEIC by maintaining an effective
information exchange. NEIC should be informed of the progress
and/or outcome of all referred cases. In addition, Regions
should notify NEIC prior to initiating enforcement actions
that involve hazardous waste export violations.
7. Toxicity Characteristic fTC)
The universe of RCRA generator and TSD facilities is expected to
increase significantly due to the revised Toxicity Characteristic
(scheduled for promulgation in Spring 1990). As a result,
Regions and States will be performing additional inspections and
overseeing corrective action at many of these facilities. OWPE
will issue an enforcement strategy to assist Regions and States
in establishing appropriate enforcement responses to the TC rule.
8. Industrial Boilers and Furnaces
The Industrial Boilers and Furnaces Rule is projected to be
effective in FY 1991. Facilities may be required to
demonstrate compliance with interim status standards within
one year of promulgation. The rule is a HSWA requirement and
may add significantly to the universe of TSFs requiring
inspections in FY 1992. The newly regulated universe consists
of an estimated 200-250 units that burn hazardous waste as
fuel and/or fuels mixed with natural gas or oil. To reduce
the health and environmental risk from hazardous waste derived
fuel materials (HWDFM) burning, proposed regulations establish
limits on feed rates to these units and risk-based and
technology-based emission standards. Annual inspections are
required for both industrial boilers and furnaces and
hazardous waste incinerators. Conducting annual inspections
at industrial burners and furnaces, in addition to other new
inspection requirements, results in an increase in the
inspection and enforcement workload.
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9. Mixed Waste
Since regulation of mixed wastes will increase in priority,
OWPE has undertaken a number of initiatives to facilitate RCRA
compliance at facilities handling mixed waste. In conjunction
with OSW, the Nuclear Regulatory Commission, (NRC), and
Regional and State staff, OWPE is developing a mixed waste
inspection guide to address key aspects of mixed waste
inspections. This guidance will be available in FY 1991.
Efforts are also underway to consolidate available information
on the mixed waste universe. This data will be used in
development of a mixed waste enforcement strategy. (See
Section 5 for detailed information on Department of Energy/NRC
mixed waste issues.)
B. Other Inspections
As required by the Medical Waste Tracking Act (MWTA) of 1988, on
March 24, 1989, EPA promulgated regulations which established
demonstration medical waste tracking programs in participating
States (CT, NJ, NY, RI and Puerto Rico). In addition to
requiring the development of a tracking system, the MWTA provides
inspection and enforcement authorities similar to those of RCRA
Subtitle C. On March 1, 1989, OWPE issued an Enforcement
Strategy 'for Medical Waste. Although the task of implementing
the tracking regulations lies primarily with the participating
States, EPA is responsible for ensuring compliance by providing
information and guidance to the States and enforcing the Act when
appropriate. EPA involvement may be appropriate at Federal
facilities when the State requests EPA assistance and in
following up on regulated medical wastes transported to non-
participating States and on Indian lands where there is no
comparable State or Indian Tribal statute. As part of the
evaluation of the demonstration program for the Report to
Congress, participating States and Regions are required to
periodically submit to Headquarters information on the number of
inspections, enforcement actions and penalties assessed, as well
as the number of exception and discrepancy reports.
RCRA delisting regulations (Part 260.20 and 260.22) allow a
facility to petition EPA to delist a waste if it can show that
the waste does not meet any of the criteria for which that waste
was listed, and no additional factors cause the waste to be
hazardous. Since 1980, 82 petitions have been granted, and of
these, 23 are conditional delistings, i.e. the petitioner is
required to continue testing the waste. Once delisted, waste can
be disposed of in Subtitle D solid waste landfills or surface
impoundments. To provide adequate oversight of delisted
facilities, inspections should be conducted to determine if they
remain in compliance with the terms of their exclusion. In
FY 1991, each Region will be required to inspect two of its
facilities with delisted wastes, with priority given to
facilities with conditional delisting. Headquarters will provide
a list identifying the delisted waste streams and associated
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Federal Register citations. Inspectors should review appropriate
FR notices to become familiar with manufacturing processes and
other relevant information prior to conducting an inspection.
While not dictated by statute or specific policy, other
inspections are also important to the RCRA Enforcement Program.
The Regions and States have discretion in determining which other
inspections to conduct, consistent with environmental and
programmatic priorities. The following are among those that are
encouraged: (1) inspections to support the criminal enforcement
program; (2) inspections of non-notifiers; and (3) inspections
of waste oil and hazardous waste fuel burners and blenders,
particularly processors, for compliance with applicable
standards. The RCRA Lab Audit Inspection (LAI) can be conducted
to confirm that owners/operators are accurately analyzing their
ground water monitoring samples. The LAI may need to be
performed based on the findings of a CHE/O&H inspection and will
be conducted in accordance with EPA guidance.
In FY 1990 and 1991, Headquarters is planning on establishing an
LAI Clearinghouse. The purpose of the LAI Clearinghouse is to
provide all Regions with access to data on all laboratories that
have been audited, so as to avoid unnecessary duplication of
effort between Regions. Since the success of the clearinghouse
is dependent upon the cooperation of all Regions, each Region
will be asked to designate a Regional contact and submit copies
of all LAI reports to the clearinghouse.
C. Inspection Requirements
Quality inspections are essential to the compliance program.
Proper documentation - including use of the appropriate
checklists, effective oversight and review of reports - is
necessary. In support of continuing efforts to improve
inspection quality, Headquarters has developed a variety of
inspection guidance documents and training programs.
Training and planning for training are critical to the long-term
effectiveness of the compliance and enforcement programs.
Section 10, Training, discusses compliance/enforcement training
and new requirements.
It is important for Regions to maintain a strong oversight
presence at regulated facilities. In FY 1990, oversight
inspections were required at approximately 10% of the TSD
facility inspections committed to in the State grant agreements
and an appropriate number of inspections at generators of land
disposal restricted wastes. In FY 1991, oversight inspections
should be continued at the current level or increased, based upon
the Region/State inspection priorities. These oversight
inspections should be conducted in accordance with the RCRA State
Oversight Inspection Guide (December, 1987) . If significant non-
compliance is discovered, the enforcement response should be
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escalated to attain a return to compliance as expeditiously as
possible.
EPA is placing a high priority in FY 1991 on returning regulated
facilities to full compliance. Inspections must determine
compliance with permits and final orders. Inspections or other
documentation must confirm that return-to-compliance has been
achieved. Evaluation of compliance with the base program,
including closure/post-closure and financial responsibility
requirements, must continue.
In FY 1991 compliance with applicable land disposal restrictions
should be reviewed during all inspections. Land ban requirements
for waste identification and analysis, treatment and disposal,
operating records, and limitations on storage accumulation all
warrant particular attention. The possibility of illegal
disposal should also be considered, and appropriate enforcement
follow-up taken in a timely manner.
New requirements regulating air emissions from equipment leaks
and certain process vents at TSD facilities will become effective
during FY 1990. The Air Emission from TSDs - Accelerated Rule,
which is a HSWA requirement, is projected to be promulgated in
early 1990. An enforcement strategy for this new rule is in
progress and should be completed by FY 1991.
Enforcement Response
The Agency has established a policy that timely and appropriate
enforcement action be taken whenever violations are detected.
The program's approach to timely and appropriate enforcement is
set forth in the revised Enforcement Response Policy (ERP)
(12/21/87) . Economic sanctions must be assessed against high
priority violators in accordance with the ERP.
The revised RCRA Civil Penalty Policy (RCPP) or the appropriate
State penalty policy for State actions should be used to determine
the appropriate dollar value of the penalty. Sanctions should be
selected in accordance with State or Federal law, with the goal
being to deter non-compliance. The RCPP stresses that proposed
penalty amounts and penalty amounts accepted in settlement
(including upward and downward adjustments in these figures) must
be thoroughly documented through use of revised penalty computation
worksheets. States that do not have an administrative means of
taking a formal enforcement action and imposing economic sanctions
will need to address high priority violators by taking prompt
judicial action.
When authorized States are unable to take an enforcement action
and can provide justification, they may request that EPA take the
action. When a State enforcement action is not timely and/or
appropriate, EPA may consider Federal action, and/or other measures
(e.g. grant sanctions), especially when the violator in question
is a high priority violator who remains out of compliance.
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It is important to emphasize that the enforcement response does
not end with the initial enforcement action (e.g. issuance of an
enforcement order). The initial action must be accompanied by a
continued commitment to an appropriate level of follow-up to
achieve an expeditious return to compliance. The RCRA enforcement
program's ability to take timely and appropriate enforcement and
to properly follow-up has come under scrutiny over the last several
years. Recent inquiries by the Inspector General (IG), General
Accounting Office (GAO) and Congress have focused on the
enforcement program's ability to track and return regulated
facilities (particularly LDFs) to full compliance. Efforts are
underway to determine the major factors affecting the schedules
required to achieve full compliance and to implement appropriate
measures to improve the return to compliance rate. Regions must
ensure that enforcement actions are aggressively tracked and
schedules of compliance are adhered to or appropriately escalated
enforcement taken. Regions must oversee the States to ensure they
do the same. Beginning in FY 1991, a reporting measure designed
to track efforts to return regulated facilities to full compliance
is added to the existing accountability system.
Priorities for enforcement actions are as follows:
1. Handlers with violations, releases, or threatened releases
which may present an immediate threat to health or
environment.
A number of enforcement tools are available to the Regions and
States (e.g., RCRA §§3013, 3008(a), 3008(h), 7003, or State
equivalent), depending on the circumstances. Where specific
criteria are met, use of these authorities is encouraged.
Consideration should also be given to the use of CERCLA §104
or §106 response authorities, TSCA §7 authority and/or other
appropriate EPA or State authority.
2. Commercial facilities receiving CERCLA Wastes.
Where necessary, in accordance with the Off-Site Policy,
priority attention should be given to compliance and
corrective actions needed to assist in maintaining CERCLA-
acceptable treatment and disposal capacity.
3. Land disposal facilities.
Enforcement actions will be taken to address handlers who
place hazardous waste in surface impoundments which do not
meet minimum technology requirements, in accordance with the
Surface Impoundment Retrofit Enforcement Strategy.
Appropriate actions are to be taken against operating
permitted and interim status facilities, as well as closing
land disposal facilities to assure proper closures, enforce
corrective action schedules, assure compliance with Final
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Orders and address high priority violators. Continued
compliance with ground water monitoring requirements is
essential to assure that releases to ground water are
detected. Violations of financial assurance requirements are
to be addressed in accordance with applicable guidance.
As noted in Section 2, facilities which closed-by-removal
without complying with the Part 264 standards will need to be
addressed either through a post-closure permit or an
enforcement order.
4. Corrective action requirements.
Regions, with appropriate assistance from States, must act
aggressively to achieve corrective action at TSD facilities.
Active State participation in the RCRA corrective action
program is critical to its success. (See Section 4 for a more
detailed discussion of State participation in corrective
action). In FY 1991, the emphasis is on the following
corrective action activities:
o Use of Environmental Priorities Initiative (see Section 4)
to evaluate relative priority of sites;
o Revising accountability measures to track progress toward
achieving milestones further along the corrective action
pipeline;
o Addressing substantial violations of corrective action
requirements in a permit or order;
o Use of enforcement authorities when necessary to obtain
corrective action at environmentally significant facilities,
including use of §7003 to initiate or compel corrective
action in response to imminent and substantial endangerment;
and
o Compelling interim measures, when warranted, prior to or
during implementation of a corrective action program.
5. Land Disposal Restrictions fLDRsl
The Second Thirds Rule became effective on June 8, 1989. The
Final Thirds Rule takes effect on May 8, 1990. After that
date, the "hard hammer" will be in effect for all RCRA
hazardous wastes for which treatment standards have been
promulgated. With certain exceptions, land disposal of listed
wastes is prohibited unless treatment standards are met prior
to disposal. Where TSD facilities or generators are found to
have substantial violations of the land disposal restrictions,
enforcement is a high priority. The most substantial
violations are:
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o For generators (including generating TSDs): shipping waste
exceeding treatment standards or prohibition levels to land
disposal facilities without notification of need for
treatment;
o For treaters (who have inadequately treated wastes):
directing waste exceeding treatment requirements to land
disposal; and
o For disposers; disposing of wastes exceeding treatment
standards or prohibition levels.
Other serious violations are the falsification of records and
the illegal dilution of waste by any handler. These warrant
criminal investigation and enforcement.
LDR data analysis has shown substantial variation among
Regions in the classification of LDR violations. To promote
consistency among Regions in classifying LDR violations,
Headquarters is developing an LDR violation classification
guide. The document will be available in FY 1990.
6. Federal facilities
Authorized States will have the lead in enforcement for
Federal handlers. However, the Region must take action if a
State declines or is unable to take appropriate action against
a high priority violator. (See Section 5 for a complete
discussion of enforcement at Federal facilities).
7. Criminal enforcement
The basic goals of an enforcement program are to achieve
compliance and to punish non-compliant behavior as quickly as
possible in order to provide effective deterrence against
future violations. Criminal violations involve knowing
violation of regulatory or statutory prohibitions. Because
of the publicity and stigma attached to a criminal conviction,
criminal enforcement is a very effective tool. Increased
restrictions on the land disposal of hazardous waste and
increasing disposal costs create greater potential for
criminal activities. Criminal case development and
prosecutions should be given increased emphasis. OWPE will
coordinate with the Office of Enforcement on developing a
criminal enforcement strategy.
8. Other important enforcement activities
Other significant violations at handlers should be addressed
as resources allow.
o The permit program should be supported by taking actions
against treaters and storers submitting late or incomplete
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part B applications. Discretion should be used in choosing
between permit denial and enforcement.
o The Waste-as-fuel and used-oil-as-fuel regulations should
be enforced, especially at waste oil processing facilities.
o Efforts to identify non-notifiers should be increased,
especially for generators of newly regulated waste streams,
such as mining waste and waste exhibiting the toxicity
characteristic.
o Efforts to verify the extent of generator compliance with
waste minimization provisions should be increased.
Pollution Prevention
EPA's pollution prevention policy identifies this area as a major
priority and commits the Agency to implementing comprehensive
pollution prevention plans for all media programs.
Through RCRA, Congress has declared a national policy of reducing
or eliminating the generation of wastes to the greatest extent
possible.. The OSWER Strategic Plan for FY 1992-1995 identifies
minimizing the generation of wastes as a primary goal. In a
January 19, 1990 memorandum, the Office of Enforcement and
Compliance Monitoring (OECM, which is now the Office of
Enforcement) targeted pollution prevention as an area of increased
emphasis for the national RCRA enforcement effort over the next 2-
3 year period.
The RCRA enforcement program is committed to supporting pollution
prevention and waste minimization by providing incentives for the
regulated sector to establish such programs and thereby reduce its
potential liability and shelter itself from increasing response and
cleanup costs. OWPE will seek opportunities to promote pollution
prevention directly, through specific enforcement actions taken
against individual non-compliers. Below are some areas targeted
for implementation in FY 1991.
1. Waste minimization
Generators of hazardous waste must certify that they have a
waste minimization program in place. While this requirement
has been largely signatory, Regions/States should increase
efforts to verify compliance with this provision. To this end,
Regional inspectors should be encouraged to verify that
generators have properly complied with this requirement.
EPA's "Guidance to Hazardous Waste Generators on the Elements
of a Waste Minimization Program" can be used by inspectors to
verify the extent to which generators have complied with this
provision.
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2. Enforcing Pollution Prevention in Permits
Permitting programs represent a huge potential for
institutionalizing pollution prevention. The national RCRA
enforcement program is exploring opportunities for promoting
pollution prevention and waste minimization through enforcing
compliance with provisions which increasingly are being
incorporated into RCRA permits. Regions should look for
appropriate opportunities to pursue enforcement of these
provisions.
3. Pollution Prevention Requirements in Enforcement Settlements
EPA has had a policy on including environmental auditing
provisions in enforcement settlements since 1986. When
appropriate, violators can be required to conduct waste
minimization audits as a condition of settlement. These
provisions have been successful in identifying root causes of
noncompliance and preventing future environmental harm. By
committing to conduct an audit a violator may, in certain
circumstances, be considered for reduced penalty assessments.
Headquarters is developing similar policy and guidance on
inclusion of pollution prevention requirements in Agency
enforcement settlement agreements. Settlements will emphasize
source reductions or recycling activities over and above what
is required to return facilities to compliance. The policy
will be used to determine appropriate pollution prevention
conditions for consent orders and decrees.
The RCRA program will continue examining the feasibility of
promoting pollution prevention through enforcement activities.
Regions and States are encouraged to seek opportunities to
integrate the waste minimization/pollution prevention initiatives
discussed above into their compliance monitoring and enforcement
priorities.
3.4 Major Activities
Headquarters:
o Develop and present training (See Section 10).
o Develop new regulations, policy, guidance and enforcement
strategies.
o Coordination, liaison, and assistance.
o Provide case support when necessary.
o Provide technical assistance to the Regions, where appropriate.
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Regions and States:
o Inspect TSD facilities and generators as described above.
o Initiate judicial and administrative enforcement actions.
Follow through on previously initiated enforcement actions.
Identify, refer, and support criminal cases where appropriate.
o Oversight of State compliance monitoring and enforcement
programs.
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4.0 CORRECTIVE ACTION
4.1 Program objective
The RCRA corrective action program initiates owner/operator
activity through permits and enforcement orders to obtain
corrective action for releases of hazardous waste or hazardous
constituents. The program also oversees owner/operator activities
to assure timely and effective cleanup in accordance with terms
contained in permits and orders. Although corrective action is not
a new program, it is receiving increased emphasis.
4.2 Relation to FY 1990 RCRA Operating Guidance
Major initiatives:
o Maximize State participation;
o Implement the Corrective Action Outyear Strategy, with
particular emphasis on setting oversight priorities to
maximize environmental results and conducting oversight; and
o Revise the Corrective Action Accountability Systems to reward
environmental results.
Continued emphasis on;
o Implementing the Environmental Priorities Initiative.
4.3 Overview of Activities
A. Balancing Corrective Action and Preventative Waste Management
Activities
The corrective action program, although extremely important, is
only one of the many components needed to maintain a complete
hazardous waste program. The strategy for managing the corrective
action program must be developed with full understanding of the
many competing demands for the resources devoted to the entire
solid and hazardous waste management program. The Corrective
Action Outyear Strategy (CAOS) recommends that, in light of an
expanding RCRA program and limited resources, the RCRA Operating
Guidance explicitly describe the appropriate national balance
between the preventative waste management program and the
corrective action program, while allowing for some Region-by-Region
flexibility. This operating guidance identifies a resource split
between the "preventative11 and "clean-up" components of the RCRA
Subtitle C program (see Section 1) . These resource guidelines,
given the President's FY 1991 budget submission, are:
o For Regions, 20-25% of the FTE and a sufficient amount of
extramural resources to support these intramural activities
should be allocated to corrective action activities.
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o For States, a national goal of approximately 15-20% of the
State Grant Funds should be allocated to Corrective Action.
The national goal for the States is to be used as a general
guideline for the Regional allocation of State resources to
corrective action activities in FY 1991. Although the actual
percent of State grant funds which are allocated to corrective
action will vary from State-to-State, the Regions should adhere
generally to the proportion of the regional budget which is
allocated for cleanup activities. Some variation is expected based
on the number of unauthorized states in a given Region. These
percentages are not intended to be strict targets; yet they reflect
a general sense of the proportion of the program's resources that
should be directed to corrective action. They should be used as
a starting point for Regions in making decisions on STARS, State
grants, and other program and management elements.
Many factors enter into the ultimate allocation of resources:
Regional and State priorities, emergency actions, State and
geographic-specific considerations and others. These resource
guidelines will be used as a means of clarifying expectations for
establishing Regional STARS targets.
B. The Environmental Priorities Initiative
EPA is committed to assuring that its limited resources are focused
on the worst facilities. The Environmental Priorities Initiative
(EPI) is designed to assure that this takes place. The EPI is an
integrated RCRA/CERCLA effort that will enable the Agency and
authorized States to identify, evaluate, and cleanup first those
sites that present the greatest threat to human health and the
environment.
Under EPI the Agency will use the most appropriate authorities
available to achieve cleanup at a site. Superfund uses a process
to screen a large number of sites, with known or threatened
releases, to determine which sites present the most serious
environmental problems. By applying this process to certain RCRA
sites, those RCRA sites that present the worst environmental
problems can also be systematically identified for priority action.
Through the use of joint RCRA and CERCLA corrective action
authorities, these sites can be addressed quickly and efficiently.
Through this approach, the EPI will help prevent RCRA
transportation, storage, disposal (TSD) facilities from becoming
tomorrow's Superfund sites. The creation of such an integrated
process for assessing and cleaning up RCRA sites is consistent with
the Agency's mission to protect human health and the environment.
The initial focus of EPI was on the following types of facilities:
o Closed or closing RCRA storage, treatment, and land disposal
facilities; and
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o Operating RCRA storage and treatment facilities.
The Agency committed to performing 3,000 Superfund Preliminary
Assessments during three fiscal years beginning with FY 1989.
Although there have been some start-up delays, and funding and
implementation difficulties, EPI will receive full support during
FY 1991. In FY 1988 the Regions and States identified and set
priorities for the RCRA facilities that were part of this universe.
During FY 1989 the Regions and States began performing Preliminary
Assessments (PA) at RCRA facilities.
The PAs provide an estimate of the sites1 environmental
significance. This estimate will include a preliminary score based
on CERCLA's Hazard Ranking System (HRS). Those sites that do not
meet the HRS cut-off will be handed back to the RCRA program for
enforcement or permitting. Most of the remaining facilities will
receive a Site Investigation/RCRA Facility Assessment (SI/RFA).
On January 31, 1989, J. Winston Porter signed the Guidance for
Environmental Priorities Initiative (EPI) Facilities in the
Superfund Pre-Remedial Program (OSWER directive # 9932.1) which
provides guidance to the Regions as to how RCRA facilities should
be managed in the Superfund Pre-Remedial Program.
In order to accommodate the EPI, the SCAP (Superfund Comprehensive
Accomplishments Plan) target for screening site investigations
(SSI) has been increased by 1200 SSIs for the three year period (FY
1989-91). The SI/RFA will be comprised of elements of a Superfund
SI under CERCLA and a RFA under RCRA. It will be accompanied by
a preliminary HRS score that will allow it to be assigned a
priority ranking for corrective action. Once performed, the SI/RFA
will provide a basis for corrective action. The Regions and
authorized States will apply these corrective action authorities
available under RCRA and/or CERCLA, as well as any other
appropriate Federal or State cleanup authorities, to assure that
a site is cleaned up.
C. Corrective Action Outyear strategy
Many of the initiatives discussed in this Operating Guidance for
FY 1991 are derived from the Corrective Action Outyear Strategy.
This strategy was developed during FY 1989 and was transmitted to
the Regions in October 1989. The Outyear Strategy was developed
to establish a set of operating principles to manage the corrective
action program over the mid- to long-term. The Strategy document
contains a range of recommendations, from those which can be
implemented immediately, to those which will require further
guidance, discussion and/or resolution. Recommendations were made
in seven areas. Each of these areas is outlined briefly below.
Three of the Strategy's recommendation areas are the basis for FY
1991 major initiatives in this Operating Guidance: Prioritizing
and Managing Facilities Into and Through the Pipeline, Maximizing
State Participation, and Revising the Corrective Action
Accountability Systems.
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1. Balancing Preventative Waste Management and Cleanup
The Outyear Strategy recommended clarification of the
appropriate split between the preventative waste management
program and the corrective action program under RCRA. This has
been implemented in this Operating Guidance (See this Section
above and Section 1). In addition, this portion of the Outyear
Strategy addresses the need for a four-year or long-term plan
for the corrective action program. This idea will be reviewed
in light of the Agency's recent (Fall 1989) strategic planning
efforts, and will be addressed during the RCRA Implementation
Study.
2. Prioritizing Facilities Into and Through the Pipeline
Careful feeding of the "pipeline" and aggressive, yet reasonable
progress through the "pipeline" is a goal of the corrective
action program. Factors affecting prioritization and several
operating principles developed through the Outyear Strategy are
discussed in D.I below.
3. Managing Facilities Within the Pipeline
The'Outyear Strategy suggests several approaches for managing
the Corrective Action "pipeline" and identifies specific
oversight techniques which may be used, depending on several
facility-specific factors. In FY 1991, Regions and States
should conduct oversight of corrective action at their
facilities to ensure work is proceeding in accordance with
permit or order requirements and is in keeping with the
oversight approaches contained in the Outyear Strategy. Regions
are encouraged to place increased emphasis on moving high
priority facilities that are now in the study phase to the
cleanup phase of the process.
4. Identifying Alternative Resources
This section of the strategy offers several longer-term
suggestions, some of which would work to achieve a greater level
of owner/opera tor support of Agency oversight. The broader
issues of resource distribution methods and alternative sources
of program funding are likely to be further scrutinized in the
RCRA Implementation Study and the RCRA reauthorization process.
This Implementation Study effort is still underway, at the time
of printing? therefore, specific issue suggestions and
recommendations are not available.
5. Retaining Experienced Personnel
The Outyear Strategy identified the importance of retaining
experienced, trained, and dedicated personnel to manage the
corrective action program. OSW will review the new Superfund
employee retention package and determine its impact on the RCRA
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program and the potential for a similar effort for RCRA
corrective action personnel. If such a long-term effort is
determined feasible and necessary, Headquarters and the Regions
will work to implement this task during FY 1991. In the
meantime. Headquarters is reviewing the ability of the Regions
to upgrade RCRA personnel using Superfund personnel management
guidance on a case-by-case basis.
6. Maximizing state Participation
Active State participation in the RCRA corrective action program
is critical to its success. The Outyear Strategy suggests a
mixture of short-term and long-term initiatives for enhancing
state participation. The section below on state participation
details those which are, at present, relevant to the FY 1991
operating year.
7. Revising the Corrective Action Accountability Systems
The Outyear Strategy identifies the need for several important
changes to be made in the reporting, accountability and resource
distribution systems for the corrective action program. The FY
1991 RCRA Operating Guidance contains several new initiatives
in this area, as discussed below.
D. Major Corrective Action Initiatives in Detail
1. Prioritizing and Managing Facilities Into and Through the
Pipeline
In FY 1991, the primary focus of Regional and State activities
in the area of corrective action should be one of obtaining
environmental results (i.e., actual cleanup activities) , and on
moving environmentally significant facilities through the
investigation phases toward making cleanup decisions consistent
with overall program priorities. Interim measures should be
initiated, where feasible, to address situations where cleanup
action is urgent or where remedial solutions are obvious. The
highest priority for attention and for resource expenditure,
should be those facilities with the most serious environmental
concerns.
Prioritization should be used to control both the flow of
facilities into the pipeline and the order in which sites are
addressed at every stage of the corrective action process, with
priority based primarily on the severity of the environmental
problems at a given site. Therefore, facilities with the most
severe environmental problems should be addressed first at each
stage of the corrective action process. In addition, there
should be increased emphasis on moving high priority facilities
from the study phase to the cleanup phase of the process.
Regions should review carefully those facilities for which a
permit has been issued and an RFA completed. Of the facilities
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at this stage and for which corrective action is ultimately
necessary, the Regions should impose RFIs only for those
facilities with the most pressing and significant environmental
concerns. Facilities at which the environmental concerns are
not as great should be placed on a corrective action compliance
schedule which reflects this decreased significance.
We expect Regions to actively prioritize their corrective action
universe and to re-evaluate these priorities on an on-going
basis. Active prioritization is important. The dynamic nature
of this program makes it such that a high priority facility or
site at one stage of the corrective action process may be of a
lesser priority at the next stage. In some cases it may be
necessary to reprioritize a facility and to devote few, if any,
oversight resources. However, we recognize that this may be
difficult in many cases, and that political and local public
pressure may prevent such a shift in priorities. However, if
a Region chooses to reprioritize a facility, due to the
environmental significance of another facility, Headquarters
will support their decision. Ideally, each facility would be
ensured the funding throughout the entire corrective action
process; however, in a program with limited resources, an
"environmentally significant" priority plan must be a major
operating principle.
Regions and States should manage the corrective action process,
including tracking the selection of remedy decisions and
associated milestones, preferably through the use of the RCRIS
corrective action module.
2. Maximizing State Participation
In FY 1991, Regions should place an increased emphasis on
enhancing States' participation in the corrective action
program. As mentioned above, approximately 15-20% of RCRA state
Grant funds nationally should be devoted to supporting State
corrective action activities. Accordingly, Regions will be
expected to allocate that proportion of the Region's total state
grant monies to meet the following objectives:
o support authorized State corrective action progress;
o fund State activities in support of regional corrective action
work; and
o generally build State capabilities in this program area.
Specific activities which could potentially be funded
(particularly in un-authorized states) include:
o performing RFA's;
o writing corrective action permit conditions and corrective
action orders;
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o reviewing RFI and CMS plans and reports;
o on-site oversight of investigations or other owner/operator
corrective action activities;
o other oversight activities; and
o training of state staff.
The exact amount of any particular State's corrective action
grant allocation should be negotiated individually. The State
Grant Formula for FY 1991 (See Section 8) is similar to that for
FY 1990. However, the proposed increase in funding for
corrective action will be devoted to a corrective action set-
aside. Money in this set-aside should be used exclusively for
corrective action activities. The formula for Regional
distribution of the set-aside emphasizes the importance of State
authorization by awarding an added amount to Regions based on
the number of States with corrective action authorization.
Although there are many states who are actively involved in
clean-up activities not under RCRA purview, the Agency feels it
is important to provide an incentive for States to assume full
responsibility for the corrective action program.
3. Revising the Corrective Action Accountability Systems
A long-term goal of the corrective action program accountability
system, is to be able to measure corrective action progress in
terms of environmental results and not just by administrative
accomplishments (e.g., RFI Imposed or CMS Completed). The
current system, the Strategic Targeted Activities for Results
System (STARS), is limited to providing only a count of
programmatic achievements. Ultimately STARS should be able to
incorporate a level of flexibility which could reflect different
facility configurations, geographic-specific situations, and
other factors which vary from Region-to-Region. The changes
made for FY 1991 are a first step toward achieving this
flexibility within the current scope of STARS.
The Agency will always need to be able to present quantitative
corrective action progress to Congress, the public, and the
regulated community. However, in FY 1991, the Regional
negotiations, the process targets, and the narrative information
collection (discussed below) will give a better qualitative
context to these corrective action numbers than has been
available in the past.
a. FY 1991 STARS Targets and Regional Negotiations
In FY 1991, the Regions will report, in RCRIS/HWDMS/CARS,
movement through the corrective action process using three
targeted stages. These three stages are: Information Collection
and Study, Remedy Development and Selection, and Remedial
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Implementation. Each of these targeted measures is associated
with several steps in the corrective action process, as follows:
Stage I: Information Collection and Study consists of: RFI
Workplan Approved and RFI Completed.
Stage II: Remedy Development and Selection consists of: CMS
Workplan Approved, CMS Completed, Remedy Selected,
and Corrective Measures Design Approved.
Stage III: Remedial Implementation consists of: CMI Workplan
Approval, and CMI Completed.
The targets for these three stage measures will be negotiated
on a Region-by-Region basis. Particular attention will be given
to the regional prioritization of facilities (as discussed in
Section Dl) , program capability, and the medium to long-term
relationship between resources and expected workload to assure
proper management.
These targets will be set for the 2nd and 4th Quarters. Each
target will be based on the number of facilities which each
Region feels they will be able to move from one stage to the
next along the corrective action pipeline. For example: a
facility which starts the year at the RFA position (a corrective
action step which is prior to Stage I) , but for which the Region
believes will receive an approved RFI workplan (an activity in
Stage I) during the first half of the fiscal year, should be
represented by a Q2 target in the Information Collection and
Study Phase (Stage I) . Likewise, a facility which the Region
believes will move from Remedy Selected (Stage II) to CMI
Workplan Approved (Stage III) by year-end, should be represented
by a Stage III target in Q4.
A facility that moves two Stages in a given year, should receive
a target for both. However, movement from activity to activity
within a stage will not count toward the target for that stage.
For example, a facility that starts the year at CMS Completed
and achieves a Remedy Selection, a move from one activity to
another within Stage II, will not count toward the Stage II
target.
This proposal is an attempt, at the Regions request, to get away
from step-by-step targeting and to stress movement through the
pipeline as the most important achievement. Obviously these
three targeted stages will not give a complete or detailed
picture of Regional progress in corrective action. Therefore,
the Corrective Action Reporting System (CARS) data for each of
these steps will be used to round out regional progress
information for quarterly reviews and analyses. In addition,
the steps will also be addressed during the Regional
negotiations, as they will be the basis for the three targeted
measures.
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The data for all of the corrective action measures for FY 1991,
including the targeted measures/ will be taken directly from the
Corrective Action Reporting System (CARS). Therefore, complete
and accurate CARS reporting is essential for a thorough picture
of the quality and quantity of corrective action work that a
Region is completing.
The target change process will remain the same (RA level memo,
with an April 30th deadline) as in the past. Yet, the Regions
will have the flexibility to change the facilities represented
by the targets throughout the year, and will only need a target
change if the actual number of facilities, which are scheduled
to move into a given stage, changes.
Interim measures, RCRA Facility Assessments and RFIs Imposed are
not a part of the three phase targets. RFAs and RFIs Imposed
are not targeted or reported in STARS because Headquarters wants
the Regions to utilize prioritization principles in adding
facilities to the corrective action process. Progress
information for these steps will be taken directly from CARS.
Interim measures are not targeted because regions indicated that
they cannot accurately predict the occurrence of or need for
interim measures. However, Interim Measures Required will be
a report-only STARS measure for FY 1991.
The details of the targeting system and Region-by-Region
negotiations will be expanded upon in follow-up memoranda.
b. Narrative Corrective Action Information
In FY 1991 OSWER will continue (the first data collection will
be initiated in Spring 1990) collecting a brief narrative
overview of the facilities at which actual clean-up corrective
action activity is underway (i.e., activity other than study).
The model for this narrative data collection (Corrective Action
Periodic Progress Report) was developed by the Corrective Action
Outyear Strategy (CAOS) workgroup. This information will
provide a picture of the actual progress being made toward
clean-up of RCRA facilities. In addition, the information will
help facilitate the Region-by-Region STARS target negotiation
process.
E. Corrective Action Regulations
The Subpart S regulations should be proposed soon and the final
rule should be promulgated within 12 - 18 months thereafter.
Until that time, the draft regulations should be considered the
latest guidance for implementing corrective action under RCRA
(both procedurally and substantively) and should be utilized,
in addition to other guidance, such as the Corrective Action
Plan and the Corrective Action Outyear Strategy, in developing
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corrective action conditions in permits and enforcement orders
and in making cleanup decisions at facilities.
4.4 Ma-tor Activities
Headquarters:
o Implement CAOS: Increase efforts to retain experienced
personnel, explore resource alternatives, and aid the
maximization of state participation in the corrective action
process.
o Develop and present training (See Section 10) .
o Develop policy and guidance.
o Provide case support where appropriate.
o Facilitate/support EPI approach.
o Provide technical assistance to the Regions where appropriate.
o Promulgation of the Final Subpart S Rule.
Regions and States:
o Oversee owner/operator corrective action activities.
o Obtain corrective action through issuance of orders and permits.
o Regions oversee State corrective action activities.
o States commit to corrective action activities.
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5.0 FEDERAL FACILITIES AMD NIXED WASTE
Note: As this document went to print, there was a "Green
Border" reorganization package under review which proposed
a consolidation of various media program Federal facilities
enforcement and compliance functions at Headquarters within
a new Office of Federal Facilities Enforcement (OFFE) in the
Office of Enforcement (formerly the Office of Enforcement and
Compliance Monitoring). When the reorganization is
completed, OFFE will be issuing supplemental FY 1991
operating guidance. The OFFE guidance will be issued by
April 13, 1990 along with the other supplemental guidance
documents developed by each program office.
5.1
The objective of EPA and State activity at Federal facilities is
to ensure that these facilities afford the same degree of
environmental protection as is required of other hazardous waste
handlers.
The objective of EPA and State activity at mixed radioactive and
hazardous waste facilities is to ensure compliance with RCRA.
State authorization for mixed waste is key to obtaining this
objective and is the top priority for the mixed waste program. The
mixed waste facilities of concern are the Department of Energy
facilities and commercial facilities regulated by the Nuclear
Regulatory Commission or its Agreement States.
5.2 Relation to FY 1990 RCRA Operating Guidance
(a) Federal Facilities
Greater emphasis on:
o The timely settlement of compliance agreements and final
orders at Federal facilities;
o The issuance of actions against contractor operators of
government owned facilities; and
o The issuance of appropriate corrective action/remedial action
orders at the worst non-NPL Federal facilities that pose a
threat to human health and the environment.
Continued emphasis on:
o The application of EPA's timely and appropriate enforcement
criteria at Federal facilities;
o Use of the A-106 process;
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o The issuance of permits to facilities treating, storing or
disposing of hazardous waste; in particular, the new
facilities for incineration of chemical warfare agents; and
o The integration of RCRA and CERCLA at Federal facilities.
(b) Mixed Waste
Greater emphasis on:
o Identifying the scope of the mixed waste universe in each
State; and
o Processing permit applications for mixed waste storage,
treatment or disposal facilities giving priority to those
facilities which will provide new mixed waste capacity.
Continued emphasis on:
o Authorizing States for mixed waste.
5.3 Overview of Activities
(a) Federal Facilities
Application of EPA's Timely and Appropriate Enforcement Criteria
The enforcement priorities in Section 3 apply to Federal
facilities. Authorized States have the lead on enforcement for
Federal handlers. States should apply the same criteria,
mechanisms and processes for proceeding against a private handler
in non-compliance with RCRA requirements to Federal facilities in
non-compliance.
EPA's process for proceeding against a Federal facility is outlined
in the January 25, 1988 memorandum entitled "Enforcement Actions
Under RCRA and CERCLA at Federal Facilities." EPA will take action
at a Federal facility when a State refers the case to EPA for
action and provides justification for the referral or when a State
fails to take action in a timely manner as described in EPA's
Enforcement Response Policy.
Elevation Process
Headquarters is placing a high priority on the timely resolution
of compliance issues at Federal facilities. The negotiation of
Federal Facility Compliance Agreements (FFCA) should not exceed
120 days. If issues are not resolved within this time period as
outlined in the March 24, 1988 memorandum on the "Elevation Process
for Achieving Federal Facility Compliance Under RCRA," the
unresolved disputes should be elevated to EPA Headquarters. The
120 day negotiation deadline and subsequent elevation of unresolved
issues should be clearly outlined in the Notice of Noncompliance.
The Regions should also encourage the States to resolve compliance
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issues at Federal facilities in the same period of time and notify
Federal agencies of negotiation deadlines up front. The Federal
Facilities Hazardous Waste Compliance Office (FFHWCO) will prepare
quarterly reports on the status of enforcement response at Federal
facilities.
Actions Against Contract-Operators of Government-Owned Facilities
Headquarters will continue to encourage and support the issuance
of actions against contract-operators of government-owned
facilities as a viable enforcement option for achieving compliance
at Federal facilities. The FFHWCO is providing more guidance on
this issue during FY 1990.
Integration of RCRA and CERCLA at Federal facilities
Federal facilities that treat, store or dispose of hazardous waste
will need to obtain RCRA permits. The Regions and States should
continue to develop permits (including post-closure permits) for
Federal facilities in accordance with the priorities established
in Section 2.3. These permitting activities may include evaluating
corrective action needs, developing schedules of compliance,
targeting public involvement, and approving closure plans.
Facilities at which new chemical warfare agents incinerators will
be located should be priorities for permit issuance/modification
actions in support of Congressional and internationally set
deadlines.
Many Federal facilities subject to RCRA corrective action are also
being evaluated and listed on the National Priorities List when
appropriate, as discussed in the "Federal Facility Listing Policy"
(54 FR 10520). At such facilities, RCRA corrective action needs
must be coordinated with Superfund activities. The Regions should
develop a strategy for integrating the RCRA and CERCLA cleanup
authorities at each of their priority Federal facilities. When
developing a plan for action, the following factors should be
considered: NPL status of the Federal facility, status of the RCRA
permit, the type of release (e.g., hazardous waste, radioactive,
or mixed waste) , and the level of State participation at the
facility.
There are several different statutory mechanisms that EPA and the
States can use as a basis for developing a comprehensive strategy
for addressing RCRA corrective action and CERCLA remedial action
at Federal facilities. These mechanisms include RCRA corrective
action orders under Sections 3008(h) or 3013, the corrective action
provisions of a RCRA permit, administrative orders under CERCLA
Sections 104 and 106, and Federal Facility Agreements under CERCLA
Section 120. The January 25, 1988 memorandum on "Enforcement
Actions Under RCRA and CERCLA at Federal Facilities" describes each
of these tools in more detail. Model language for Federal Facility
Agreements with both the Department of Energy (DOE) and the
Department of Defense (DOD) under CERCLA Section 120 is also
available. It is important that the RCRA and CERCLA programs
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communicate and coordinate their activities. States should be
asked to participate in developing the facility specific strategies
for integrating RCRA and CERCLA. The FFHWCO will be providing more
guidance on this issue during FY 1990.
For Federal facilities that will not be listed on the NPL and may
not be seeking a RCRA permit, the Regions and the States should
determine the need to take action at the facility based on the
threat it presents to human health and the environment. The
appropriate factors and mechanisms to consider in developing a
strategy for such facilities are the same as those for facilities
seeking RCRA permits listed on the NPL. The determination of need
for corrective/remedial action should be assessed in accordance
with Section 4, and should ensure the worst sites are addressed
first.
A-106
Regions and States should continue to review and comment on the
A-106 funding levels for Federal agency proposed pollution
abatement projects. The Regions and States should concentrate
first on a review of compliance "Class I" projects (those projects
that have either a signed compliance agreement or consent order in
place to correct deficiencies cited during an inspection; or those
projects which are required immediately because a statutory or
regulatory deadline has passed). Secondly, within time and
resource constraints, review the Class II and Class III projects.
Regions and States can seek guidance from the Regional Federal
Facilities Coordinator. During the January-March review period,
Regional program staff should coordinate their comments with their
program counterparts in delegated and authorized States.
(b) Mixed Waste
Mixed waste facilities are subject to both the Atomic Energy Act
(AEA) and RCRA. The universe consists of two main types of
facilities. Department of Energy (DOE) facilities and commercial
facilities or other Federal facilities. DOE regulates itself under
the AEA. The NRC or its agreement States regulates other
facilities regarding AEA requirements. This discussion will focus
on issues relevant to both the NRC-regulated and the DOE mixed
waste universe.
Under the Federal hazardous waste program, unless excepted by
statute as inconsistent with the Atomic Energy Act (AEA) , all RCRA
requirements apply to handlers of mixed waste [i.e., wastes that
are both radioactive/regulated under the AEA and hazardous]. RCRA
and AEA applicability to mixed waste results in dual regulation of
these wastes. Therefore, Regions and States must work to
accommodate both sets of regulatory requirements and statutory
mandates within the dual regulatory framework. Mixed waste units
and facilities should continue to be prioritized based on
environmental benefits expected to be achieved and concomitant
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statutory requirements. This includes timely authorizations and
permitting and inspection priorities.
Authorized States were required to submit mixed waste authorization
applications by September 1, 1988. This deadline was extended by
one year for States that needed a statutory change in order to seek
mixed waste authorization. Some States have applied for and
received an extension of the applicable deadline. Authorized
States which have not yet applied for mixed waste authorization
should do so as soon as possible. This is especially critical
since mixed wastes are not hazardous wastes in authorized States
until the State revises its program to include mixed waste
authority. States that have not submitted mixed waste
authorization applications on or before December 31, 1989 should
be placed on a schedule of compliance for this program revision.
This is particularly important since States cannot obtain
corrective action authorization without mixed waste authorization.
Implementation of a viable mixed waste program, both at State and
Regional levels, hinges on several activities. Of key importance
is identification of the scope of the mixed waste universe. And,
while the burden of regulatory compliance is on the regulated
community, EPA and authorized States must develop and implement a
strategy for ensuring that owner/operators of facilities that need
to come into compliance with RCRA because of managing mixed waste
do so in a timely manner. This can be accomplished through a
multi-pronged approach to mixed waste regulation. One, EPA Regions
and States need to identify not only the number of potential mixed
waste handlers but obtain estimates on waste volumes to the extent
practicable. This can be approached through both the authorization
and permitting processes. Two, Regions and States must ensure that
Part A permit applications are filed for all handlers of mixed
waste and that final determinations on appropriate mixed waste
permits are made a priority. And three, owner/operators that fail
to submit necessary notifications and permit applications should
be identified and appropriate action taken.
Because regulation of mixed waste involves multiple State and
Federal agencies, the Regions must facilitate State and Federal
coordination of mixed waste activities. This is necessary because
a State may need to coordinate mixed waste initiatives with the
Nuclear Regulatory Commission, the Department of Energy and State
radiation agencies (i.e., Agreement and nonagreement State
programs).
The Low-Level Radioactive Waste Policy Amendments Act of 1985
(LLRWPAA) requires States to provide for disposal of commercially
generated low-level radioactive waste either independently or in
compacts with other States. Such capacity must be available by
January 1, 1993. States that fail to meet this deadline will be
subject to substantial penalties. While the exact number of future
commercial low-level waste sites is uncertain, State efforts must
also include mixed waste disposal capacity since mixed waste is a
subset of low-level waste. Accordingly, Regions and States need
to work with the appropriate State radiation agencies to ensure
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that the absence of final location standards for hazardous waste
will not adversely impact siting efforts for low-level and mixed
waste disposal facilities. Similarly, permitting/licensing issues
should be closely coordinated between responsible agencies.
In addition, there are between 24,000 and 26,000 radioactive
materials licensees; each licensee is a potential mixed waste
generator. Although limited mixed waste disposal capacity may be
available by 1993, current indications are that treatment capacity
and national disposal capacity will continue to be lacking. This
is critical since all untreated mixed waste will be prohibited from
land disposal as of May 8, 1990, unless EPA grants a national
capacity variance for Third Thirds mixed waste or unless a disposal
facility has an approved no migration variance. Regions and States
should therefore, encourage owner/operators of facilities that
intend to provide for mixed waste disposal to seek a no migration
variance where it appears feasible. Further, Regions and States
should place a priority on processing permit applications for mixed
waste treatment facilities to ensure mixed waste disposal capacity
may be used if no migration variances are not successful.
Lastly, Regions should encourage States to seek authorization for
those provisions that may impact regulation of mixed waste (i.e.,
permit modification rule, Christmas tree rule, Subpart X, etc.)
concurrent with mixed waste authorization, if possible. This is
important for States with major DOE facilities or commercial
nuclear power plants.
5.4 Maior Activities
Headquarters:
(a) Federal Facilities
o Prepare quarterly reports on the status of enforcement
response at Federal facilities in significant noncompliance.
o Compile an end-of-year report on Federal facility compliance
with RCRA.
o Resolve noncompliance issues that are elevated to Headquarters
in accordance with the "Elevation Policy", March 24, 1988.
o Continue to assist Regions in the resolution of corrective
action order issues.
o Continue to provide Regional Offices with guidance on
RCRA/CERCLA integration at Federal facilities.
o Distribute A-106 draft reports to Regional Offices for
comments; distribute draft OMB report to Regional Offices for
comment; distribute final OMB report, as requested.
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o Provide coordination of special Federal facility permitting
initiatives.
(b) Mixed Waste
o Provide Regions and States with guidance to facilitate mixed
waste authorization.
o Continue to provide national guidance on mixed waste policy
and related statutory and regulatory clarifications.
o Develop joint licensing/permitting guidance for commercial
low-level mixed waste disposal facilities.
o Develop and offer a national mixed waste workshop.
o Evaluate petitions for mixed waste inconsistency (with AEA)
variances.
o As appropriate, provide a forum for technology exchange as it
applies to mixed waste units.
o Develop implementation/compliance strategy for commercial
mixed waste.
Regions and States:
(a) Federal Facilities
o Apply timely and appropriate enforcement criteria to Federal
facilities.
o Elevate compliance issues that are not resolved in a timely
fashion.
o Continue to review and comment on draft A-106 reports and
EPA's draft OMB report.
o Issue actions against contract-operators of government-owned
facilities where appropriate.
o Develop permits for chemical warfare agents incineration
facilities.
(b) Mixed Waste
o Ensure compliance at commercial and Federal facilities.
o Submit timely and complete mixed waste program revisions
applications.
o Characterize the magnitude and scope of the commercial mixed
waste universe.
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o Make mixed waste activities a priority for all major Federal
or commercial facilities.
o Seek Federal guidance on implementation and compliance issues
of national and potential generic applicability.
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C.O MUNICIPAL SOLID WASTE
6.1 Progr*" Q'h'jectiva
The objectives of EPA's municipal solid waste (MSW) program are
to: (1) ensure protection of health and the environment; (2) comply
with the mandates of Subtitle D of RCRA; (3) support a team
approach to promote and implement integrated waste management and
the Agenda for Action; (4) work toward achieving the 25% national
goal of waste reduction and recycling by 1992; and (5) renew a
national leadership presence through technical assistance and
through information development and dissemination.
o Sets forth national priorities for solid waste management as
distinguished from hazardous waste management.
o Updates activities and priorities with an emphasis on State
program development and implementation of the revised Criteria
for MSW landfills.
o Adds STARS measures.
6.3 Municipal Solid Waste National Priorities
State program development and implementation of the revised
Criteria for MSW landfills (Part 258) are the first priorities for
Headquarters, the Regions, and the States in FY 1991. The other
national priorities listed in this Section 6.3 are not ordered in
terms of importance but represent a comprehensive framework for
implementing the municipal solid waste program effectively. Each
Region and State should determine its progress in these national
priority activities and establish Regional and State priorities
drawn from the major activities list in Section 6.5.
o Enhance the Federal/State partnership by working with States to
develop permit programs to ensure compliance with the revised
Criteria and to develop approvable applications.
o Promote the implementation of the revised Criteria by
effectively managing the activities outlined in the final
Criteria Implementation Strategy.
o Promote the goals of the Agenda for Action, and any updates,
through effective implementation.
o Encourage source reduction activities by providing project
support and technical assistance.
o Support recycling efforts through market development and
procurement activities.
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6.4 Overview of Activities
State/Tribal/EPA Relationship
EPA's role in the MSW program is to facilitate State, Tribal, and
local implementation of the program, including the revised
Criteria. Facilitation activities include regulatory and guidance
development, training, technical assistance, and information
development and dissemination. EPA will focus these activities on
implementation of the revised Criteria and State program
development.
Revised Criteria/State Program Development
The primary focus of our activities in FY 1991 will be to prepare
for implementation of the revised Criteria, including assisting
States in the development of programs that meet the requirements
of §4005(c) and the program implementation/approval regulations.
The revised Criteria will be promulgated in final form during FY
1990. States are required to adopt and implement a permit program
(or other system of prior approval and conditions) to ensure
compliance with the revised Criteria within eighteen months of
promulgation.
EPA currently is developing a program implementation/approval rule
which is scheduled for proposal in Summer 1990. Final promulgation
of the rule is scheduled for twelve months after proposal. States
are encouraged to use the proposal as a basis for reviewing current
programs, developing programs that will meet the adequacy
determination criteria, and drafting adequacy determination
applications. States should review applicable statutes and
regulations to determine their adequacy to ensure compliance with
40 CFR Part 258 based on §4005(c) and the adequacy determination
criteria in the proposed program implementation/approval rule.
When needed revisions have been identified, States should develop
a schedule for revising their statutes/regulations and developing
and submitting an application by the effective date of the revised
Criteria. If requirements of a State Administrative Procedures Act
extend the statutory or regulatory development process beyond the
eighteen month schedule provided in RCRA, the State will need to
submit a letter of intent together with a schedule for application
submission. This schedule must be based on the state's
Administrative Procedures Act requirements. Since the Regional
Offices will be the focal point for determining the adequacy of
State programs, all letters of intent, schedules, and applications
are to be submitted to the Regional Offices for review and
determination. The program implementation/approval rule will
include submittal schedules and other requirements.
In addition to developing programs that meet the adequacy
determination criteria, States need to plan for implementation of
the revised Criteria. Efforts should be focused on addressing
closing facilities to ensure compliance with the revised Criteria,
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development of permitting and enforcement strategies, and
addressing the need for continued capacity as facilities close.
In FY 1991, the President's budget recommends increasing Subtitle
D Regional enforcement resources by 5 FTE. This additional
resource allocation may be used by Regions to support Federal
compliance monitoring and enforcement on Indian lands and/or to
assist States in building enforcement authority and enhancing
program adequacy.
Agenda for Action
The Agency's national strategy, "The Solid Waste Dilemma: An
Agenda for Action11, was issued in February 1989. An update of this
strategy will be issued in the summer of 1990. The Agenda promotes
an integrated waste management approach, outlines a number of MSW
activities, and encourages participation by all levels of
government, industry, and the public. Specific EPA activities that
are ongoing for FY 1991 are outlined in the Agenda for Action and
the update.
Regional Implementation Team
EPA will continue to rely on the Regional Implementation Team (RIT)
as the focal point for State program development and technical
assistance. Headquarters and the Regions will continue to work
together as a team to enhance MSW programs and to develop and
disseminate information on issues and ongoing activities.
6.5 Ma-ior Activities
Headquarters:
o Finalize the program implementation/approval rule.
o Conduct criteria implementation workshops for States and local
governments.
o Continue to support development and implementation of solid
waste programs on Indian lands.
o Work with Regions, States and Indian Tribes to develop training
modules based on a needs assessment.
o Facilitate the implementation of the Agenda for Action, and any
revisions, by States and local governments.
o Continue to work with States and the Regional Implementation
Team to develop and implement MSW activities.
o Continue to facilitate peer matching.
o Continue to support national solid waste clearinghouse.
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o Continue to develop and distribute information on combustion and
land-filling.
o Continue to update the decision-makers guide, as necessary;
continue to conduct workshops on the decision-makers guide, as
necessary.
o Continue outreach and development efforts in the areas of source
reduction and recycling.
o Continue tracking success in reaching the 25% waste reduction
and recycling goal.
o Conduct procurement workshops in Regions and prepare and
distribute final report on workshops.
o Continue national efforts on procurement and market development.
o Continue to prepare for RCRA reauthorization.
o Review State plan guidelines to determine need for revision.
o Facilitate implementation of developed solid waste curricula.
o Continue to conduct necessary solid waste research.
o Coordinate MSW's activities with pollution prevention and public
- private partnership activities.
Regions:
o Work with the States to develop adequate permit programs and
carry out the implementation activities detailed in the Criteria
Implementation Strategy.
o Continue to support the development and implementation of solid
waste programs on Indian lands.
o Provide technical assistance—including training, speeches, and
presentations—to States, Indian Tribes, and local governments.
o Facilitate State and local activities in implementing the Agenda
for Action, focusing on procurement and market development
activities.
o Provide assistance to States and local communities as they work
toward achieving the national goal of 25% waste reduction and
recycling by 1992.
o Work with Headquarters, States, Tribes, and local communities
to assess and address local needs; develop database on local
programs.
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o Continue outreach and development efforts in the areas of source
reduction and recycling.
o Work with States to facilitate development of Regional market
information councils.
o Participate in interagency workgroup on recycling and separation
in Federal agencies.
o Continue Regional efforts on procurement and market development.
o Implement the pollution prevention project on procurement,
including workshops and follow-up activities.
o Work with States to develop and implement procurement
strategies.
o Continue to participate in the Regional Implementation Team.
o Update FY 1990 Regional solid waste strategies to identify
ongoing activities and include new activities for FY 1991.
o Continue to provide monthly reports on accomplishments in the
MSW program, including STARS measures.
States/Tribes/Local Governments (as applicable):
o Develop adequate programs, if not yet in place, and draft an
approvable demonstration of adequacy.
o Carry out the implementation activities detailed in the Criteria
Implementation Strategy.
o Develop strategies for implementing the revised Criteria,
including permitting and enforcement.
o Focus efforts on ensuring that closing facilities comply with
the revised Criteria and close in an environmentally sound
manner and addressing the need for continued capacity as
facilities close.
o Implement the Agenda for Action.
o Implement the procurement guidelines.
o Provide technical assistance to local governments in developing
regional sites.
o Continue to work with EPA to identify and resolve implementation
issues.
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7.0 STATE PROGRAMS
The objectives of State authorization and oversight are to: (1)
strengthen the Federal/State partnership; and (2) enhance
implementation of the national RCRA program by the timely
development of equivalent State authorities and quality State
programs to ensure effective protection of human health and the
environment.
7.2 Relation to PY 1990 RCRA Operating Guidance
Increased emphasis on:
o Authorization through adding STARS reporting measure; and
o Expeditious processing of HSWA applications.
Continued Emphasis on:
o Maintaining State program equivalence with the Federal
standards, including HSWA; and
o Assessing and enhancing State capability to obtain HSWA
authorization.
7-3 Overview of Activities
Developing State Authorities/Maintaining Equivalence
Authorized States should develop the legal authorities necessary
to revise their programs consistent with the deadlines in the final
State authorization codification rule (51 FR 33712, September 22,
1986) . States are not precluded from applying for authorization
before cluster deadlines. Extensions are available if a State
demonstrates that it has made a good faith effort and that its
legislative or rulemaking procedures render the State unable to
meet the deadlines. The schedules for review and decisions on
State applications are found in the State Consolidated RCRA
Authorization Manual (SCRAM). Note that the SCRAM is being revised
in FY 1990 to facilitate program revision applications. The new
RCRA Authorization Manual (RAM) consists of two volumes with a
step-by-step format. Volume 1 contains the application process as
well as additional background information on the entire RCRA State
authorization program. Models and working materials are included
in the volume 2 appendices.
While states are not precluded from adopting regulations more
stringent than the Federal, States are encouraged to develop State
regulations consistent with new Federal regulations designed to
provide capacity, promote innovative techniques, and generally
streamline the program. This includes regulations addressing
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mobile treatment units. Research Development & Demonstration (RD&D)
permits, the revisions to the permit modification process, and the
treatability exclusion for small quantities of hazardous waste.
Regions are to give priority attention to these applications.
Further, as emphasized in Section 5.1, the highest priority mixed
waste activity in FY 1991 is to ensure that authorized States which
have not as yet obtained mixed waste authorization do so.
Reviewing and Enhancing State Programs
EPA must review the States* progress in implementing quality RCRA
programs and work with the States to enhance their capability to
implement additional program elements prior to making authorization
decisions for HSWA requirements. To complete these reviews, the
Regions should consider grant and Memorandum of Agreement (MOA)
commitments as well as any enforcement or permit agreements between
the Region and State.
Ongoing, comprehensive evaluations of State RCRA programs are an
integral component of the Regions' oversight responsibilities.
These reviews are to determine where a State may need additional
assistance, such as training, and to identify highlights of a
State's program that may be useful to other States. The Regions
are encouraged to use the following documents in reviewing State
programs:
o Capability Assessments for RCRA Authorization Program
Revisions (April 9, 1987);
o RCRA Quality Criteria (revised July 1986);
o Protocols for evaluating permit quality and
closure/post-closure plans (August 1986); and
o Enforcement Response Policy (December 21, 1987) .
The Region should determine the frequency and method of review
based on the State's capability and need for assistance. States
should receive at least one comprehensive, on-site review during
each fiscal year. The RCRA Program Evaluation Guide (July 1988)
provides guidance on conducting oversight reviews. To assist with
program reviews, a joint Headquarters/Regional training program for
Regional and State staff was developed in FY 1990 on grant
negotiation and program evaluation.
7.4 Ma-tor Activities
Headquarters:
o Support Corrective Action Outyear Strategy (CAOS) activities
aimed at increasing the State role in corrective action (see
Section 4).
o Continue to review authorization applications.
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o Propose and/or finalize regulations or policies to streamline
authorization.
Regions and States:
(a) Authorization
o Negotiate grant work programs that include the development of
equivalent State legal authorities and complete authorization
applications, as well as schedules for submissions of
applications. These schedules will aid the Regions and EPA
Headquarters in planning resource needs for timely application
review and approval.
o After grant negotiations are completed, the Regions are to
submit to the Chief, State Programs Branch, OSW, a copy of the
grant and each State's schedule for modifying its program to
maintain equivalence. The grant should indicate the specific
resources targeted for corrective action activities (program
development and implementation) .
o Continue timely processing of codification of approved State
programs and revisions.
(b) Program Enhancement
o Continue enhancing State program implementation through
capability assessments and regular grant oversight reviews.
Copies of the assessments should be submitted with draft
authorization applications. Mid-year and end-of-year
evaluations should be sent to the Chief, State Programs Branch,
OSW.
o Negotiate a grant which dedicates approximately 3% of the grant
funds to support specific training activities, particularly
those costs associated with participation in core curriculum.
Encourage participation in and attendance at authorization and
grants workshops.
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8.0 STATE GRANTS AND WORK PROGRAMS; CAPACITY ASSURANCE
8.1 Objective
This section specifies the formulas for determining FY 1991 grant
allocations, addresses how the money will be disbursed to the
Regions and used to implement State RCRA programs, and explains the
requirements for State capacity assurance as a prerequisite to
funding remedial actions.
8.2 Relation to FY 1990 RCRA Operating Guidance
o Modifies the FY 1990 base grant formula for FY 1991;
o Establishes a set-aside for corrective action; and
o Adds a separate discussion of capacity assurance requirements,
reflecting ongoing efforts to better coordinate CERCLA and
RCRA activities.
8.3 Overview of Activities
(a) state Grants and Work Programs
Grant Formula
The FY 1991 base grant formula remains the same as for FY 1990
except that the weight for land disposal facilities increases by
5% and the weight for incinerators decreases by 5%:
.15 (Regional Population) + .15(Regional LQGsl +
(U.S. Population) (U.S. LQGs)
.35 (Regional LDFs) + .30(Regional S/Ts) + .05(Regional Inc's)
(U.S. LDFs) (U.S. S/Ts) (U.S. Incinerators)
= Base Grant Regional Funding for FY 1991.
This grant formula will be used to distribute $81 million of the
$88 million set forth in the FY 1991 President's budget request*
for RCRA State grants. The proposed FY 1991 budget contains a $7
million increase for corrective action grant funds. To reflect the
increased emphasis on corrective action, EPA will distribute this
proposed $7 million increase through a set-aside formula. The set-
aside formula includes factors for the universe of facilities, the
number of RFI's imposed and the number of States authorized for
corrective action:
*Note that these are requested budget levels for State grants and
will not be final until the FY 1991 Congressional Appropriation
(Fall of 1990).
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FY 1991 Grant Set-aside Formula
. 45 f TSDs-RFIs* Imposed) + .45 fRFIs* Imposed)
U.S. Total TSDs - U.S. U.S. Total RFIs Imposed
Total RFIs Imposed
+ .10 (States Authorized**
for Corrective Action)
* Action taken by EPA Region or State with corrective action
authorization
** Tentative or final authorization as of March l, 1990
The Regional allocation is the sum of the results of these two
formulas.
While the base grant formula also provides for corrective action
activities at transportation, storage, and disposal (TSD)
facilities, the corrective action set-aside provides a separate
funding vehicle to encourage State authorization and to further
emphasize corrective action activities. We expect to continue the
use of a corrective action set-aside in FY 1992 and subsequent
years to promote these objectives. In keeping with the long-term
focus on authorization for corrective action, as more States are
authorized for corrective action, the percentage weight for that
factor should increase, thereby ensuring that those States which
are carrying a greater share of the workload will continue to
receive a corresponding proportion of grant funds. In FY 1992, we
anticipate replacing "RFIs Imposed" as a variable in the set-aside
formula with another measure further along in the corrective action
pipeline.
Grant Allotments
Headquarters will provide Regional grant allotments by March 15,
1990. This Regional allotment disbursement procedure is meant to
provide maximum flexibility to the Regional Administrators to fund
activities which reflect national goals, individual State
workloads, and special Regional and State RCRA initiatives. While
Regional Administrators have the discretion to set grant amounts,
State grants will continue to require at least a 25 percent match.
Grant Work Programs
As in previous years, FY 1991 grants must be performance based.
(For a detailed discussion on performance - based grants, see EPA's
"Policy on Performance - Based Assistance", May 31, 1985.) All
grant work programs must:
o contain quarterly commitments for permitting, compliance and
enforcement, and corrective action activities;
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o include the development of State legal authorities necessary
to obtain and maintain equivalency with the Federal program;
o include schedules for the development and submission of
authorization applications;
o provide for adjustment in activities, commitments and funding
(a "reopener" clause) if certain situations (e.g., reversion
of program, significant decrease in State funds, additional
commitments) arise;
o address instances where a State did not meet the FY 1990
commitments or was administering its program in a deficient
manner and where the remedies that will be undertaken to
improve performance/correct deficiencies extend into FY 1991;
and
o include special grant conditions as appropriate (e.g.,
disbursement of funds other than annually, as necessary).
If a State relies heavily on the State Attorney General or other
law offices in order to take enforcement actions, funding should
be provided to those offices. The Attorney General should
participate in the grant process, through the lead State agency,
but should not be made a party to the grant. However, in order
to receive funding, both the lead State agency and the Attorney
General should be signatories to the Memorandum of Agreement (MOA)
or to a Memorandum of Understanding. As a signatory to this
agreement, the Attorney General will be expected to meet the
"timely and appropriate" criteria for filing referred RCRA cases
within 60 days (Enforcement Response Policy, December 21, 1987).
As required by EPA grant regulations, the lead State agency will
be considered responsible for grant management, even though funds
pass through it to the Attorney General's office.
The Regional Administrator may reprogram funds not awarded to any
State into other programs which support activities consistent with
national priorities (e.g., public participation and the Senior
Environmental Employment (SEE) Program, the RCRA implementation
contract or the Technical Enforcement Support (TES) contract).
Note, however, that State monies can only be used to support the
implementation of State hazardous waste programs. They may not be
used to support Subtitle D program development. Nor can Section
3011 grant funds be used to implement CERCLA or UST program
activities. Note that the capacity assurance program discussed
below is under the auspices of CERCLA and that Capacity Assurance
Plan activities (with the exception of RCRA data gathering aspects)
are not eligible for Section 3011 grant funds.
(b) Capacity Assurance
Beginning October 17, 1989, the Agency will only fund remedial
actions in States that have provided an assurance, through the
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Capacity Assurance Plan (CAP) process, that sufficient hazardous
waste capacity would exist to manage wastes generated in the State
during the next twenty years.
In order for a CAP to be deemed adequate, a State must demonstrate:
o a good understanding and description of its current hazardous
waste management system;
o reasonable projections regarding future waste generation and
management capacity;
o interstate agreements with another State or States to assure
hazardous waste management capacity, if the state is dependent
on management capacity outside its boundaries, and;
o that they have or will address waste reduction and
elimination.
States may update CAPs at any time. EPA recognizes that State
hazardous waste systems are dynamic and that factual information
or assumptions upon which a State's CAP is based may change.
We expect that future CAP submittals will contain more and better
quality data as States learn from 1989/90 experience and have more
time to collect data.
Regions are the primary reviewers in the CAP process, and should
focus their reviews especially on those areas of the CAPs dealing
with State laws, waste minimization programs and state-specific
data.
If there are supplemental conditions or milestones in a State CAP,
the Agency will reexamine whether the State's assurance as a whole
continues to be deemed adequate when a State fails to meet a major
milestone. Each Region is responsible for tracking the major
milestones its States must meet.
8.4 Maior Activities
(a) State Grants and Work Programs
Headquarters:
o After verifying grant formula data with Regions, determine
Regional funding amounts and distribute FY 1991 allotments.
Regions:
o Negotiate grant work programs for FY 1991 and award grant by
October 1, 1990.
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o Send copies of each State's grant work program to Chief, State
Programs Branch, OSW, upon execution of the grant award document
by the Region.
o Track the States' progress in meeting deadlines; grant
extensions to deadlines, if appropriate; and negotiate
compliance schedules for those States who are unable to meet
the approved deadlines.
States:
o Develop and submit draft grant work programs which meet the
requirements of national and Regional grant guidance.
o Negotiate final grant work programs with the Region.
(b) Capacity Assurance
Headquarters:
o Provide guidance/clarification on CAP process and requirements
as needed.
Regions:
o Continue to track major milestones for individual CAP
supplemental conditions.
o Evaluate adequacy of CAP as necessary when a major milestone is
not met.
o Inform CERCLA program of status of State CAPs.
o Distribute resources to States for CAP development.
o Provide feedback on revisions needed to guidance and CAP
process.
States:
o Provide feedback on revisions needed to guidance and CAP
process.
o Meet major milestones included in CAP supplemental conditions.
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9.0 INFORMATION MANAGEMENT
9.1
The objectives of the RCRA reporting requirements are to obtain
information necessary to: 1) effectively manage the RCRA program
at the State, Regional and National levels; and 2) demonstrate the
effectiveness of the RCRA program in protecting human health and
the env i ronment.
9.2 Relation to FY 1990 RCRA Operating Guidance
The total number of measures and targets in the STARS system
decreases in FY 1991. New reporting measures are added for return
to compliance and State program authorization. Land disposal
facility (LDF) post-closure permitting changes from a reporting
measure to a target, while the target for incinerator final
determinations becomes a reporting measure for FY 1991. For
corrective action, the traditional method of targeting one event
is replaced with three targets measuring movement through the
pipeline.
9.3 Overview of Activities
Reporting Requirements
EPA Regions and States will use a combination of systems in FY 1991
as we move from HWDHS to RCRIS. Regions and States will enter all
required reporting data into HWDMS until they have converted to
RCRIS. All corrective action will be reported through the
Corrective Action Reporting System (CARS) prior to conversion to
RCRIS. This data should be submitted in accordance with the
monthly reporting requirements. Upon the implementation of RCRIS,
Regions and States will use RCRIS forms for data entry into RCRIS.
The scope of RCRIS reporting requirements will be no- greater than
their HWDMS counterparts.
States and Regions must submit required reporting information to
EPA by the 20th calendar day of the month following the reporting
period (e.g., reporting information for April is submitted by May
22nd) . The Regions then have until the seventh working day of the
next month to enter this State-submitted data (e.g., reporting
information for April is submitted by May 22 and entered by the
Region by June 9) .
Strategic Targeted Activities for Results System (STARS)
The Strategic Targeted Activities for Results System or STARS
(formerly SPMS) provides a way to plan and report major program
goals and accomplishments. (See Appendix C for FY 1991 measures
and definitions.) STARS reporting will be quarterly (e.g.,
October-December) . However, for each quarter, there will be a
one-month lag in reporting. For example, the first quarter data
pull will include all data entered into HWDMS/RCRIS/CARS by the
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date of the STARS retrieval. First quarter data will not include
State actions occurring in December because State data is not to
be entered into HWDMS/RCRIS/CARS until February. STARS data is
reported cumulatively; therefore, State December data will be
reported in the second quarter report. The Office of Management
Systems and Evaluation will delay issuing the FY 1990 STARS report
for one month so that data from the full fiscal year for States and
Regions will be included. This one-month lag must be kept in mind
when negotiating STARS commitments. Report forms for FY 1991 will
be provided separately.
Schedule for STARS Commitments
In order to provide a review and negotiation period among OSW,
OWPE, and the Regions, draft FY 1991 STARS commitments must be
submitted by July 15, 1990. These commitments must be signed by
the Regional RCRA Division Director and sent to the Director,
Permits and State Programs Division, OSW, and the Director, RCRA
Enforcement Division, OWPE.
RCRIS
EPA Headquarters has developed a framework for national
implementation of RCRIS that will deal with the issue of phasing
implementation over a two year period (i.e., FY 1990 and FY 1991.)
Beginning in FY 1990 (and until all States and Regions are
successfully reporting through RCRIS) a mechanism will exist,
called parallel operations, to report national data in a single
format from States which are still operating through HWDMS/CARS
and from States which have converted to RCRIS. This mechanism will
be used to report STARS, grant formula distribution and other
national uses of the data system.
The Regions play a critical role as direct RCRIS users, as well as
having a role in supporting and coordinating the efforts of their
States. Although the States have been quite well informed, largely
through the efforts of the National Governors' Association (NGA),
a complementary and enlarged role for the Regions has been
established in communicating RCRIS information to the States.
Because the States rely on two sources of information, it is
critical that NGA and EPA coordinate communication efforts and
speak with one voice regarding RCRIS developments.
Key Regional managers, including the Assistant Regional
Administrators for Management and the Waste Management Division
Directors, have been targeted for closer involvement in FY 1991 in
the RCRIS development and implementation process. Under these
offices, the multi-faceted audience includes RCRA Branch Chiefs,
Section Chiefs, Regional Project Officers (RPOs), Information
Resources Management (IRM) Branch Chiefs and Data Base
Administrators. The intent of this renewed effort in Regional
involvement is to assure that all Regions receive information on
project status, on technical direction, and on what is expected of
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the States so they can answer State questions and negotiate annual
grants. Senior Regional personnel require communications on
management, policy, and resource issues, while technical staff need
draft and final versions of the key RCRIS products.
HQ will carry out the following activities to meet these
information needs:
o Establish RPOs as central point of contact for communication to
the Regions;
o Distribute periodic RCRIS implementation progress reports to
full Regional audience;
o Continue to work with NGA as a vehicle for keeping States
informed;
o In concert with the Regions attend meetings of RCRA Branch
Chiefs & Division Directors to provide information on RCRIS
status and problems;
o Disseminate all major RCRIS products to the Regions through the
RPOs ;
o Conduct conference calls with RPOs as needed;
o Provide two RCRIS training sessions yearly in each Region;
o Provide one Translator seminar annually; and
o Provide two user group meetings.
In order to track the phased implementation approach of RCRIS,
Regions in coordination with States must update the National
Implementation Framework on a quarterly basis in conjunction with
the schedule of RCRIS activities.
Regardless of whether a State will conduct manual operations
initially, the Regions and States must negotiate the schedule for
automation. The schedule must address obtaining equipment
upgrades, personnel for data review/collection, and system
administration, etc. The most critical factor will be a clear
understanding of the roles of the Regions and States in ensuring
data accuracy and integrity. It is expected that data cleanup will
continue in the RCRIS environment (data from HWDMS/CARS will be
converted followed by cleanup by the Region or State using RCRIS
automated tools). The completion of these "cleanup" activities
will be defined by the grant negotiations.
Regions must set aside 5% of the total Regional grant allocation
to support RCRIS activities in States. Regions need not allocate
5% to each State or include each State in this funding activity
but should negotiate commitments and funding based on the status
of a State's program and needs.
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Status of RCRI8 Implementation
In an ongoing effort to monitor the progress of RCRIS
implementation and use across the country, Regions and States will
be responsible for reporting the status of RCRIS implementation.
RCRIS implementation is divided into six successive steps as
defined below:
1. Have RCRIS Software.
For automated implementers, this indicates that the implementer has
acquired the current version of the RCRIS software. It further
indicates that the implementer has the software properly installed,
has set up user accounts and established the HOU table. For manual
implementers, this indicates that the necessary procedures for the
communication of data to and from the Region has been established.
For State implementers on the Regional Logical Mainframes (LMFs),
it indicates that the telecommunications link is in place and
operational. It implies that the implementer has accessed RCRIS.
2. Have converted and loaded data into RCRIS.
This indicates that the conversion of HWDMS and CARS data into
RCRIS format has been accomplished and that the data resulting from
the conversion has been loaded into RCRIS. It further implies that
the data in RCRIS have been accessed to determine the successful
completion of the load.
3. Trained.
This indicates that implementer staff have attended one of the
Headquarters1 sponsored RCRIS training sessions or that they have
received comparable training from their Region.
4. Have begun to reconcile data.
This indicates that the appropriate reports have been run from
HWDMS, CARS and RCRIS and that the comparison of the data between
these systems has commenced. It further implies that the process
of cleaning up the data has begun.
5. Are operating HWDMS and RCRIS in parallel.
This indicates that the implementer is inputting data into both
HWDMS and RCRIS, thereby maintaining the "old" system while testing
and phasing in use of the "new" system. It further indicates that
the implementer is producing reports from both systems to fulfill
their specific data needs. For manual States, it indicates that
data is being reported in both RCRIS and HWDMS format.
6. Are using RCRIS solely.
This indicates that the implementer has ceased updating or
inputting new data into HWDMS. It further indicates that the
implementer is relying solely on RCRIS to manage its RCRA program
on a day-to-day basis and to provide all EPA-requested reports.
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Biennial Report Requirements
Biennial reporting implementation requirements for Reqions and
States span a two-year cycle. Throughout this two-year cycle,
authorized States are responsible for program implementation
activities. EPA Regional Offices are responsible for program
implementation activities in unauthorized States, although States
may perform the reporting tasks under a Cooperative Agreement.
EPA Regional Offices also are responsible for program oversight
activities in authorized and cooperative agreement States.
During FY 1990, program implementers (EPA Regions and
authorized/cooperative agreement States) obtained EPA-specified
data, including waste minimization data, for the 1989 calendar year
from regulated generators and treatment, storage, and disposal
(TSD) facilities through annual/biennial reports or other data
collection mechanisms. As specified in the FY 1990 Agency
Operating Guidance and subsequent implementation guidance provided
by the Director of the Office of Solid Waste, implementers are
responsible for ensuring that reported data are complete and
accurate, for ensuring that required reports are submitted on a
timely basis, and for submitting 1989 State Biennial Program
Reports by November 30, 1990.
During FY 1991, implementers are responsible for responding on a
timely basis to Quality Assurance Exception Reports generated by
oversight of the 1989 State Biennial Program Report submissions.
Quality Assurance Exception Reports identify problems in
implementers' reports and/or reporting data that must be resolved
in order for EPA to publish national reports and data on the status
and progress of the RCRA waste management system. Implementers are
owners of the underlying reporting data and, accordingly, bear
responsibility for resolving significant problems in those data.
Additionally, implementers are responsible in FY 1991 for reviewing
and providing comments on draft EPA national reports and data to
ensure that State data are presented accurately.
State oversight responsibilities during FY 1991 include follow-up
activities to ensure submission of 1989 State Biennial Program
Reports. OSW (Headquarters) will assume responsibility during FY
1991 for loading data included in 1989 State Biennial Program
Reports into national data files, auditing these data to assess
compliance with OSW's specifications for such data, and generating
Quality Assurance Exception Reports directing implementers to
follow-up on significant data problems.
A summary of FY 1990 and FY 1991 Biennial Reporting activities is
at Section 9.4. The activities summarized correspond to
administration of annual or biennial reporting programs.
Authorized and cooperative agreement States may elect to administer
alternative reporting mechanisms (e.g., manifest systems,
supplemental permit systems, waste registration systems, etc.) in
lieu of or in conjunction with annual/biennial reporting systems,
provided that all data identified by OSW as Mandatory Core
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reporting items are obtained for the reporting year. Mandatory
Core reporting items correspond to those items included on EPA 1985
RCRA Biennial Report Forms and those items necessary to complete
1985 State Biennial Program Reports.
HSWA expanded Biennial Reporting requirements to include Waste
Minimization reporting by all RCRA generators ("Large Quantity"
generators, including generators with on-site treatment, storage,
disposal, and recycling operations and off-site TSDs that generate
"large quantity" hazardous waste residuals from their commercial
or captive waste management operations) . Headquarters incorporated
Waste Minimization reporting elements into the 1989 Biennial Report
forms package, and also provided a stand-alone Waste Minimization
reporting package to be used in States that elected not to use
EPA's 1989 Biennial Report forms package. As in the case of other
biennial reporting requirements, HSWA-authorized and cooperative
agreement States may elect to develop and administer their own
reporting mechanisms to obtain waste minimization reporting data
in lieu of or in conjunction with EPA's Waste Minimization
reporting package, provided that all data requirements in the EPA
Waste Minimization reporting package are satisfied.
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9.4
(FY 1990 - FY 1991)
Activity
FY 1990 Activities;
Develop 1989 Biennial Report and
stand-alone Waste Minimization
reporting packages.
Identify reporting elements required
to be collected by all States
during 1989 reporting cycle
(Mandatory Core data elements) .
Provide customized (logo, return
address, etc.) Camera Ready
versions of 1989 reporting
packages to States doing own
printing.
Provide Government Printing Office
(GPO) printed copies of 1989
reporting packages to States
and Regions using 1989 standard
EPA reporting packages.
Mail 1989 reporting packages to
regulated handlers.
Provide Toll-Free Telephone
Assistance to respondents.
Track postal returns, response
status.
Follow-up on non-response/
incomplete response.
Process reported data (e.g., automate,
conduct Quality Assurance/Quality
Control, etc.).
Transmit 1989 reporting data
(content and format of 1989 State
Biennial Program Reports to be
defined in guidance memoranda from
OSW Director during 2nd quarter of
FY 1990).
Responsible
Completion
Party m Date
HQ
HQ
HQ
10/30/89
02/15/90
12/15/89
HQ
12/15/89
HQ
I
I
I
12/30/89
01/01/90-
07/30/90
03/30/90
04/01/90-
07/01/90
07/01/90-
11/01/90
12/01/90
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og Biennial Report Activities for 1989 Reporting Cycle
(FY 1990 - FY 1991)
(Continued)
Activity Party fll
FY 1991 Activities;
Follow-up with States to ensure 0
submission of 1989 State
Biennial Program Reports.
Load transmitted 1989 reporting HQ
into national data files.
Audit transmitted 1989 reporting HQ
data; transmit Quality Assurance
Exception Reports to States and
Regions.
Follow-up on problems in 1989 reporting I
data identified in Quality Assurance
Exception Reports.
Prepare Draft 1989 National Hazardous HQ
Waste Report; submit to States and
Regions.
Review Draft 1989 National Hazardous I
Waste Report and submit comments to
oversight.
Issue 1989 National Hazardous Waste HQ
Report and provide access to
national data files.
Responsible
Completion
Date
12/01/90-
12/31/90
12/01/90-
02/01/91
12/01/90-
02/01/91
02/01/91-
04/01/91
05/01/91
06/30/91
07/30/91
(1) I = Implementers (States or EPA Regional Offices)
O = Oversight (EPA Regional Offices)
HQ = EPA Headquarters Office of Solid Waste
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Other Reporting Requirements
As in FY 1990, Regions and States will be required in FY 1991 to
submit, on a quarterly basis, detailed information concerning
enforcement of land disposal restriction regulations. Guidance on
reporting this information can be found in "Land Disposal
Restriction Reporting Requirements," from W. Porter to the Regional
Administrators, dated 9/16/88.
The quarterly reporting of Off-site Policy information by the
Regions will also continue in FY 1990. Guidance on this can be
found in "Identification of Facilities that Could Potentially
Receive Superfund Wastes," from J. Z. Cannon to Waste Management
Division Directors, dated 9/9/88. See also Section 3.
Regions may be required in FY 1991 to report to EPA Headquarters
the quarterly enforcement status of surface impoundments. Guidance
on this may be found in "Enforcement Strategy for Surface
Impoundment Retrofit Requirements," from B. Diamond to Hazardous
Waste Division Directors, dated 9/29/88.
9.5 Maior Activities
Headquarters:
o Establish specific 1989 Biennial Report data requirements, by
2/15/90.
o Develop 1989 EPA Biennial Report and stand-alone Waste
Minimization packages by 10/30/89.
o Provide GPO-printed copies of 1989 EPA Biennial Report and Waste
Minimization packages by 12/15/90.
o Provide toll-free telephone assistance to respondents required
to complete EPA Biennial or Waste Minimization Reports for the
period of 1/1/90 to 7/30/90.
o Review and negotiate FY 1991 STARS commitments.
o Issue guidance on RCRIS activities for FY 1990.
Regions and States:
o Exchange copies of all land disposal facility inspection reports
(CMEs, CEIs); administrative complaints, orders and judgments
against High Priority Violators (HPVs); and other reports deemed
necessary by the Region.
o States are to submit the following to their respective Regions:
reports of inspections resulting in determination of significant
violations of corrective action requirements in permits or
orders; significant violations of land ban requirements; and
reports on surface impoundment retrofits.
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o Regions are to submit copies of Regional administrative
complaints, initial orders, and final orders to the Director,
RCRA Enforcement Division, OWPE.
o Implement biennial and waste minimization reporting
requirements.
o Submit draft FY 1991 STARS commitments by July 15, 1990;
negotiate and finalize FY 1991 STARS commitments by September
1, 1990.
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10.0 TRAINING
10.1 Program Objective
EPA Regional offices and States have consistently identified
training as a priority area for Headquarters' attention. Training
needs are critical because of the high turnover rate in many
Regions and States and the complexity of the RCRA program. To meet
these needs, the Office of Solid Waste (OSW) and the Office of
waste Programs Enforcement (OWPE) are committed to providing the
opportunity and resources to ensure that adequate training is
available. To address this need, Headquarters is continuing
efforts to develop new courses and enhance existing ones to orient
staff to the goals and objectives of the RCRA program and to
provide specific training in various aspects of program
implementation. OSW and OWPE will coordinate RCRA training course
development and presentation with the Association of State and
Territorial Solid Waste Management Officials (ASTSWMO).
The training regime is designed to provide a comprehensive overview
of knowledge and skill necessary to implement, manage, and oversee
all RCRA program statutory, regulatory, and policy requirements.
Regions should encourage States to augment State-sponsored training
programs by participating in EPA training programs.
10.2 Relation to FY 1990 RCRA Operating Guidance
This training section is new with the FY 1991 guidance. It is
indicative of the emphasis the Agency is placing on enhancing the
skills of the Regional and State staff responsible for program
implementation.
10.3 OSW Training Initiatives
The State Programs Branch within the Office of Solid Waste has
developed, in cooperation with ASTSWMO, a core curriculum of
training courses designed to provide basic RCRA training for all
Regional and State program staff, regardless of their individual
responsibilities, within ninety days of hire.
This core curriculum currently consists of three courses: RCRA
Orientation, a basic permit writer's course, and an entry level
inspector's course. Each course is formatted similarly to assist
in presentation and retention. Although this format has been
designed to provide for flexibility in presentation (e.g.,
workshops, self-taught tutorial), we are recommending that,
whenever possible, it be presented to a combined EPA/State audience
to enhance working relationships and information exchange.
During grant negotiations with the States, the Regions should
develop a training schedule for presenting the core courses. The
core should be offered to all new staff, including support staff,
within the first three months of their employment. Locations
should be moved around the Region to reduce travel burdens and
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associated costs. Headquarters recommends that the RCRA
Orientation course be presented first, followed by the permit and
inspection courses several weeks later to reduce the time staff
need to be away from the office. When the core is presented to a
combined EPA/State audience, it should be presented by EPA/State
training teams and preferably by people experienced in the area
they are presenting. Headquarters will continue to conduct "train-
the-trainer" workshops for EPA and State staff designated as
trainers by their respective agencies.
During FY 1989, the State Programs Branch presented mini-workshops
on the RCRA authorization process, training over 150 Regional and
State personnel on assembling quality authorization applications
and their subsequent review and evaluation by EPA Headquarters and
Regional staff. These highly successful workshops were presented
again in FY 1990 and will be similarly presented during FY 1991,
depending on need and interest. The Regions and States are
encouraged to send new hires to the workshops.
Additionally, during FY 1990, a workgroup composed of Headquarters
and Regional representatives developed a workshop on grant
negotiations and monitoring and evaluating grant performance. This
workshop employs a variety of presentation formats (panels, videos,
small and large group discussions) in order to provide Regional and
State RCRA staff with a basic understanding of the budget process,
grant negotiation and award, and monitoring and responding to RCRA
program implementation by the States. The workshop was presented
during FY 1990 and will be made available to the Regions and States
in FY 1991.
10.4 OWPE Training Initiatives
During FY 1989 and 1990, OWPE technical staff conducted several
training initiatives for EPA and State personnel, including: RCRA
Groundwater Monitoring Technical Enforcement Guidance Document
(TEGD), Hazardous Waste Incinerator (HWI) Inspector Training, Land
Disposal Restrictions (LDRs) Enforcement Training, the
Comprehensive Groundwater Monitoring Evaluation (CME), the RCRA
Inspector Institute and the Inspector Sampling Procedures Course.
Medical Waste and Health and Safety Training were also provided.
In addition to the above, the following new training courses will
be offered in FY 1991: Hazardous Waste Tank Inspections 'and the Air
Emissions Rule Enforcement Training (the HWI Inspector course will
be made available on video, whereas the LDR Enforcement training
will be available on interactive video in FY 1991). A Mixed Waste
Guidance/Enforcement Strategy and an Enforcement Strategy for
Pollution Prevention are under development for FY 1991. OWPE will
coordinate with the Office of Enforcement on developing a criminal
enforcement strategy.
Also, in June 1988, the Administrator signed EPA Order 3500.1 to
provide for a comprehensive plan to enhance training for EPA
inspectors. The Order, which becomes effective October 1, 1991,
mandates that certain training must be completed prior to an EPA
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inspector leading an inspection. Regional supervisors are
responsible for ensuring that their inspectors receive the
necessary training. OWPE will continue to track compliance with
this Order in FY 1991.
1O.5 Resources
Regions and States should negotiate a grant which dedicates
approximately 3% of the grant funds to support specific training
activities. These activities should include: assessing training
needs and responding to these needs by course development and/or
modification; presenting and participating in the core curriculum
on a regularly scheduled basis; presenting and participating in
specialized courses in permitting and enforcement as necessary to
enhance staff capability; and encouraging participation in and
attendance at authorization, grant, technical and inspection
workshops.
After negotiation with the States and after factoring in its own
training needs, the Region should develop a comprehensive Regional
training plan. This plan will provide a blueprint for the upcoming
fiscal year (FY 1991) and should include course titles (including
core presentations), dates, locations, associated costs and the
expected number of participants. Although not a required
component, Regions are encouraged to include a summary forecast of
future training needs taking into account expected regulatory and
policy changes, hiring projections, and Headquarters plans for
course development. A combined Regional/State plan will allow
States to tie into Regional training programs, reduce duplication
of effort, and allow for allocation of appropriate funding for
travel related costs. Completed training plans should be sent to
the Director, Permits and State Programs Division, OSW and the
Director, RCRA Enforcement Division, OWPE by September 15, 1990.
10.6 Major Activities
Headquarters:
(a) Program Enhancement/Training
o Present core curriculum training modules to HQ staff.
o Develop additional core modules for waste minimization and
air emissions.
o Present train-the-trainer workshops for State and Regional
core trainers.
o Provide support for core curriculum scheduling and
presentation in Regions.
o Review and revise core curriculum courses, as needed.
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o Assess need for more specialized training to enhance job
performance and career development.
o Publicize Regions' and States' schedules for presenting the
core curriculum.
o Develop and present corrective action training.
o Develop and present specialized inspector and enforcement
training.
o Inform Regions and States of Headquarters course offerings
for FY 1991 and plans for course development in subsequent
years.
Regions and States:
o Establish a training schedule for presentation of the core
in the Region and each of the States during grant
negotiations. Optimally, this schedule should be agreed to
by the end of the third quarter for the upcoming fiscal year
and provide for presentation of the core on a quarterly
basis.
o Negotiate a grant which dedicates approximately 3% of the
grant funds to support specific training activities, core
curriculum and specialized permitting and enforcement
training. Encourage participation in and attendance at
authorization workshops and grant workshops.
o Develop a combined one-year Regional/State training plan.
o Ensure compliance with EPA Order 3500.1 to provide training
for EPA inspectors.
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APPENDIX A
LIST OF NEW AND PROPOSED REGULATIONS
NOTE: The dates listed were the most recent at the time of
publication and are subject to change.
OSW
Location Standards for Hazardous Waste Facilities (SAR 2303)
NPRM 8/90
Final Action 10/92
Mining Waste Management Under RCRA Subtitle D (SAR 2389)
NPRM 8/91
Final Action 11/92
Corrective Action for Solid Waste Management Units (SWMUs) at
Hazardous Waste Management Facilities
NPRM
Final Action
Emission Controls for Hazardous Waste Incinerators
NPRM 2/90
Final Action 2/91
Land Disposal Restrictions for Soil and Debris Containing Hazardous
Waste (SAR 2461)
NPRM 9/91
Final Action 9/92
Management of Used Oil
Reproposal Date 4/91
Corrective Action for Releases to Ground Water from Regulated
Hazardous Waste Units
NPRM
Final Action
No-Migration Variance for Restricted Hazardous Waste Land Disposal
NPRM 4/90
Final Action 4/91
Modification of the Definition of Waste Water Treatment Unit (SAR
2570)
NPRM 3/90
Final Action 1/91
RCRA Subtitle C Financial Test Criteria (SAR 2647)
NPRM 5/90
Final Action
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LIST OF MEW AMD PROPOSED REGULATIONS
(Continued)
Identification and Listing of Hazardous Wastes - Chlorinated
Aromatics
NPRM 4/91
Final Action
Identification and Listing of Hazardous Wastes from Coke By-product
Industries (SAR 2227)
NPRM 8/90
Final Action 11/91
Adequacy Determinations for State Solid Waste Programs (SAR 2751)
NPRM 6/90
Final Action
Financial Test for Local Governments that Own/Operate Municipal
Solid Waste Landfills (SAR 2761)
NPRM 6/90
Final Action 6/91
Causes for Permit Modifications to Hazardous Waste Management
Facilities (SAR 2780)
NPRM 8/90
Final Action 8/91
Burning of Hazardous Waste in Boilers and Industrial Furnaces (SAR
2078)
NPRM 5/87; 10/89
Final Action 2/91
First Phase of Air Standards (subparts AA & BB, Parts 264 & 265)
for process vents, equipment leaks at treatment, storage, and
disposal facilities; is scheduled to be promulgated Spring 1990
Liners and Leak Detection for Hazardous Waste Land Disposal Units
(SAR 2080)
NPRM 5/87
Final Action 9/92
Identification of Hazardous Wastes by Toxicity Characteristic and
Listing of Additional Organic Toxicants (SAR 2062)
NPRM 6/86
Final Action 3/90
Groundwater Monitoring at Hazardous Waste Facilities' (SAR 2277)
NPRM 7/88
Final Action 9/90
Solid Waste Disposal Facility Criteria (SAR 2224)
NPRM 8/88
Final Action 4/90
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LIST OF NEW AND PROPOSED REGULATIONS
(Continued)
Identification and Listing of Hazardous Wastes - Petroleum Refinery
Primary Treatment Sludge (SAR 2226)
NPRM 11/80
Final Action 12/90
Tests Methods for Evaluating Solid Waste Manual SW846
Incorporation by Reference and Mandatory Good Laboratory Practices
(SAR 2507)
NPRM 1/89; 2/90
Final Action 6/90
Identification and Listing of Hazardous Wastes - Wood Preserving
and Surface Protection Wastes (SAR 2174)
NPRM 12/88
Final Action 11/90
Hazardous Waste Management System; Amendment to Subpart C
Rulemaking Petitions; Use of Groundwater Data in Delisting
Decisions (SAR 2622)
NPRM 10/89
Final Action 2/91
Land Disposal Restrictions for the Third Third of Scheduled Wastes
(SAR 2523)
NPRM 11/89
Final Action 5/90
Amendment to the F019 Hazardous Waste Listing to Exclude Waste
Water Treatment Sludges from Zirconium Phosphating in the Aluminum
Can Washing Process (SAR 2676)
NPRM 8/89
Final Action 2/90
Identification and Listing of Hazardous Wastes: Dimethyl Hydrazine
(SAR 1954)
NPRM 4/84
Final Action 4/90
OWPE
Compliance Monitoring and Enforcement Requirements for State
Hazardous Waste Management Programs (SAR 2158)
NPRM 5/90
Final Action 3/91
National Contingency Plan - Subpart K: A Road Map to the NCP for
Federal Facilities (SAR 2650)
NPRM 3/90
Final Action 2/91
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LIST OF NEW AND PROPOSED REGULATIONS
(Continued)
CERCLA Cost Recovery (SAR 2702)
NPRM 7/90
Final Action 7/91
Reporting Hazardous Substances Activity When Transferring Federal
Real Property (SAR 2464)
NPRM 1/88
Final Action 2/90
Procedures for Planning and Implementing Off-Site Response Actions
(SAR 2538)
NPRM 11/88
Final Action 3/90
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Appendix B
RELEVANT GUIDANCE DOCUMENTS
NOTE: Some of the dates listed were the most recent at the time
of publication. They are subject to change, and they may differ
from those listed in the Administrator's Tracking System (ATS).
Permitting/Facility Closure/Post-Closure
Air Emissions - Technical Guidance Documents:
Control of Air Emissions from Process Vents and Equipment
Leaks at TSD facilities. Distribute Final Document: Early
1990.
- Incinerator Guidance Documents.
Implementing the Land Disposal Restrictions: Question and
Answers (09/89).
RCRA Permit Appeals Guidance (4/90*).
Five Year Permit Review Strategy (9/90*).
- RCRA Permit Policy Compendium (available in Regional Offices)
(5/90*) .
Statistical Analysis of Ground Water Monitoring Data at RCRA
Facilities (Interim final guidance 4/89).
- Practical Guide for Assessing and Remediating Contaminated
Sites (Draft 5/89).
"Facility Location: A Comprehensive Approach to Siting
Hazardous Waste Facilities" (5/1/90).
- Public Information Brochure to Precede Location Standards
Proposed Rule (5/90).
Compliance Monitoring and Enforcement
Statement of Basis Guidance
Incinerator Enforcement Strategy
Land Ban First Third Enforcement Strategy.
Land Ban Third Third Enforcement Strategy.
Mixed Waste Enforcement Strategy.
Mixed Waste Inspection Guidance.
Land Disposal Restrictions Inspection Manual
Incinerator Inspection Guidance.
Control of Air Emissions from Process Vents
and Equipment Leaks at TSD Facilities
Guidance and Enforcement Strategy
Toxicity Characteristic Enforcement Strategy
Revised RCRA Civil Penalty Policy
Tracking and Management of Medical Waste
Mineral Processing Wastes Rules Guidance
(Final, 4/90*)
(Final, 4/90*)
(Final, 1/89)
(Final, 7/90*)
(Final, 6/90*)
(Final, 6/90*)
(Final, 7/89)
(Final, 4/89)
(Final, 6/90*)
(Final, 4/90*)
(Final, 2/90*)
(Interim Final, 3/89)
(Final 2/90*)
* Anticipated Dates
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RELEVANT GUIDANCE DOCUMENTS
(Continued)
Permit Enforcement Strategies (Seven modules)
1) Permit Inspector Guide (Final, 5/90*).
2) Permit Modification Rule (Final, 3/89).
3-7) Remaining modules to be published in FY 1990.
Hazardous Waste Tank System Inspection Manual (Final, 9/88).
RCRA Laboratory Audit Inspection Guidance (LAI) (Final, 9/88).
RCRA Technical Case Development Guidance Document (Final, 6/88).
EPA Order 3500.1 - Training and Development for Compliance
Inspections/Field Investigations (June 29, 1988).
Operation and Maintenance Inspection Guide (Final, 3/88) .
RCRA Inspection Manual (Final, 3/88).
RCRA Comprehensive Ground Water Monitoring Evaluation Guidance
Document (Final, 3/88).
Enforcement Strategy, Hazardous Waste Exports EPA NEIC, Denver
(Final, 3/88).
Revised Enforcement Response Policy (Final, 12/87).
RCRA State Oversight Inspection Guide (Final, 12/87) .
Revised Procedures for Planning and Implementing Off-site
Response Actions (Final, 11/87).
Land Disposal Restrictions (LDR) Violations Classification Guide
(Final, 4/90).
Corrective Action
RCRA Corrective Action Outyear Strategy (09/89).
Guidance for Environmental Priorities Initiative Facilities in
the Superfund Pre-Remedial Program (01/89).
Interim Final Model §3008(h) Unilateral Order (01/89).
RCRA Section 3008(h) Model Order. (01/88).
* Anticipated Dates
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RELEVANT GUIDANCE DOCUMENTS
(Continued)
Guidance on the Use of Stipulated Penalties in Hazardous Waste
Consent Decree (09/87).
RFI Guidance (07/87).
RCRA CAP (11/86)
RCRA Interim Measures Guidance (6/87).
Administrative Hearing Procedures for §3008(h) Orders (05/87).
RFA Guidance (10/86).
Subpart S Training Manual (9/89).
Corrective Action Section of the RCRA Model Permit (11/88) .
Subpart S - Draft Rule (Draft 8/89).
Contaminated Media/Contained in Policy Guidance
"Status of Contaminated Ground Water and Limitations on
Disposal and Reuse" (Memo; 1/24/89).
11 Contained-in Response Memo to Thomas Jorling, Commissioner,
Dept. of Environment Conservation, New York" (Memo: 6/19/89) .
"Application of Land Disposal Restrictions to RCRA and CERCLA
Ground Water Treatment Reinjection" (Memo: 12/27/89).
Federal Facilities
Enforcement Actions Under RCRA and CERCLA at Federal Facilities
(January 25, 1988).
Elevation Process for Achieving Federal Facility Compliance
Under RCRA (March 24, 1988).
Agreement with the Department of Energy—Model Provisions for
CERCLA Federal Facility Agreements (May 27, 1988).
Agreement with the Department of Defense—Model Provisions for
CERCLA Federal Facility Agreements (June 17, 1988).
Enforcement Actions at Government-Owned Contractor-Operated
Facilities (September 8, 1988).
Federal Facilities Compliance Strategy (November, 1988).
Listing Policy for Federal Facilities (March 13, 1989).
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RELEVANT GUIDANCE DOCUMENTS
(Continued)
Federal Facilities Negotiations Strategy (August 19, 1989).
Municipal Solid Waste
State Program Adequacy (Summer 1991) .
Update of Agenda for Action (Summer 1991).
Implementation Strategy for the Revised Criteria (Summer 1991).
Study of Recent State and Tribal Municipal Solid Waste
Management Plans (Spring of 1990).
Report to Congress on Methods to Manage and Control Plastic
Waste (Final - February 1990).
Review of Potential Substitutes for Lead and Cadmium in Products
(Draft - February 1990) (Final May 1990).
Technical Guidance on Municipal Solid Waste Landfill Criteria
(Draft - Spring 1990) (Final - Summer 1990).
How to be An Environmentally Alert Consumer (Draft - February
1990) (Final - April 1990).
Characterization of Municipal Solid Waste in the U.S. (Draft
- March 1990) (Final - May 1990).
Decision Makers' Guide to Solid Waste Management - to be
published in March 1990.
Sites for Our Solid Waste; A Guidebook for Effective Public
Involvement - final draft in February 1990, to be published in
Spring 1990.
State Programs
Capability Assessments for RCRA Authorization Program Revisions
(April 9, 1987).
RCRA Quality Criteria (revised July 1986).
Protocols for evaluating permit quality and closure/post-closure
plans (August 1986).
Enforcement Response Policy (December 21, 1987).
RCRA Program Evaluation Guide (July 1988).
State Consolidated RCRA Authorization Manual (SCRAM), (9540.00-
9) will be revised as RCRA Authorization Manual (RAM) by 4/90.
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RELEVANT GUIDANCE DOCUMENTS
(Continued)
State Grants and Work Programs/Waste Minimization and Capacity
Assurance
Assurance of Hazardous Waste Capacity, Guidance to State
Officials (9010.00, Dec. 1988), revision scheduled 10/90.
Agency Review of SARA capacity Assurance Plans (October, 1989).
Waste Minimization (Pollution Prevention)
Pollution Prevention Policy Statement (Proposed, 1/26/89).
Guidance to Hazardous Waste Generators on the Elements of a
Waste Minimization Program (Proposed, 6/12/89).
Video - "Less is More: Pollution Prevention is Good Business"
(10/89).
Waste Minimization Opportunity Assessments Manual (4/88).
Information Management
Functional Requirements for RCRIS Modules 1-7 (i.e., Handler
Identification, Permitting/Closure/Post-Closure, Compliance
Monitoring and Enforcement, Data Quality/Data Management,
Corrective Action, Facility Management Planning, and Program
Management) (12/31/88).
Technical Specifications for the Conversion of HWDMS and CARS
Data to the RCRIS Data Base (1/29/90).
RCRIS Data Element Dictionary (on-line, i.e., Mainframe) (on-
going update).
Framework for National Implementation.
RCRIS System Architecture Paper (1/23/87).
RCRIS System Start up Guide (1/29/90).
RCRIS User's Guide (1/1/90).
Student Training Guide and Exercise Booklet (1/1/90).
Configuration Management Board Charter and Process (10/89).
RCRIS Translator Guide (1/29/90).
RCRIS Database Structure Chart (12/89).
RCRIS Reports Library (1/22/90).
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C. IMPROVE UNDERGROUND STORAGE TANK (UST) MANAGEMENT AND CORRECTIVE
ACTION PRACTICES
1• Overview of the National Strategy
The mission of the Office of Underground Storage Tanks is to protect
human health and the environment, primarily by preserving ground
water for present and future use, by preventing contamination of
surface water resources, and by preventing human exposure to carcinogenic
and/or explosive vapors. This mission will be achieved through a
national program designed to prevent and clean up contamination from
releases from underground storage tank (UST) systems. EPA's approach
to regulating UST systems on a national scale differs from most other
national regulatory programs because it relies primarily on State
and local implementation.
This reliance on State, local, and Tribal government is essential
because of the large number of regulated tanks and facilities, the
diverse composition of the regulated community, and the scope of
the regulatory work. Nationally there are about 2 million USTs
subject to the Federal regulations, comprising over 700,000 UST
facilities. On the one hand, many UST facility owners are small
entrepreneurs who may not be used to complying with environmental
regulations and may be reluctant to invest in capital intensive UST
upgrading or replacement. On the other hand, another large segment
of the regulated community is comprised of the major oil companies
and large oil jobbers. Other complicating factors to consider when
regulating USTs include the need to enforce requirements that affect
every phase in the life cycle of a storage system: tank and piping
selection; installation, operation, and maintenance; closure and
disposal; and clean up of the site in the event of a release.
UST regulatory and clean-up programs are most effectively carried
out by the level of government that is closest to the problem and
thus is able to respond quickly and to create a visible enforcement
presence. Therefore, to regulate USTs effectively and to ensure
prompt clean up of pollutants from leaking USTs, the approach
adopted by EPA for the UST program focuses on building effective
State UST regulatory and clean-up programs. Thus, EPA envisions
a "national" (as opposed to Federal) UST program that will be
carried out by a network of State, local, and Tribal governments,
with the assistance of EPA. It should be noted, however, that
local governments and Indian Tribes are not eligible to directly
receive LUST Trust Fund or program grant monies nor are local or
Tribal UST programs able to receive authorization to operate in
lieu of the Federal program.
Headquarters will respond to the needs of State and local programs
by providing genuinely useful assistance and products, by learning
from the experiences of other organizations and developing creative
and effective methods to improve program performance, and by
demonstrating constant and measurable improvement over time. The
Regions will serve as field or service representatives assisting
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States in improving their capabilities and diagnosing and resolving
program implementation problems that arise. Headquarters is
supporting the Regions in their role as field or service representatives
of the national UST program.
It is anticipated that many State programs will be approved during
FY 1991. To this end, during FY 1991, the UST program will continue
to work with the States to establish basic regulatory programs, and
then work with them to improve their programs' performance. It has
been the Agency' s intent for States to operate the UST program from
the very beginning, and for EPA to focus its resources on building
State capabilities. States are thus encouraged to develop their
own programs and to apply for approval by EPA. In those few States
which may not implement the Federal regulations during the transition
period, Headquarters will work with the Regions to develop State-
specific program implementation strategies which will include compliance
assistance and enforcement components.
The major activities for the UST program for FY 1991 are: (a) states
develop UST regulatory programs; (b) EPA and States develop systems
to assure that funding is available for corrective action; (c) EPA
identifies and develops methods to improve performance in both the
prevention and corrective action programs; and (d) EPA facilitates
a national communication network.
Special State initiatives for FY 1991 will include continued
participation with the Regions in Targeted Improvement Projects
(TIPS). The TIPs process is designed to identify a particular
State performance problem, design an improvement plan, implement
the improvement plan by providing the requisite technical support
and resources, and improve State program performance in the selected
problem area.
2. Ma-tor Activities
a. States Develop UST Regulatory Programs.
(1) Overview of the Activity
A goal of the national UST program is for States to operate
continuously improving UST regulatory programs that are no less
stringent and no smaller in scope than EPA's regulations, and for
most UST systems to be in compliance.
The most important ingredient for a successful national UST program
is to have as many effective State UST programs as possible. States
with effective, approved programs become the implementing arm of
the national program, tailoring national requirements to reflect
the unique environmental characteristics and governmental structure
of each State. This remains the highest priority activity for FY
1991.
The ten year programmatic goal of the Federal regulations is that
USTs will be upgraded or closed so that remaining in-service USTs
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are protected from corrosion and have spill and overfill protection,
approved release detection systems, and continuous monitoring on
pressurized lines. The emphasis of EPA's program implementation
will be on the long term, and FY 1991 will be characterized by the
continued growth of a national UST regulatory program achieved by
the enhancement of State and local programs. During FY 1991 — the
third year the Federal regulations are effective — efforts by States
and Regions to encourage compliance will focus on UST system upgrading,
release detection for tanks 20 years old and older, promoting enforcement
for tanks 15 to 20 years old, and financial responsibility requirements.
In FY 1991, almost all States will have operational regulatory and
clean-up programs. It is EPA's objective to focus Federal resources
and efforts on assisting and expanding these programs and facilitating
the development of additional State and local programs.
During FY 1991, many State programs will be approved. In these
States, State regulations will be the focus of program implementation.
In those States without approved programs, States will continue to
implement formal agreements (Memoranda of Agreement (HOAs), program
grant work plans, and/or Trust Fund cooperative agreement work plans),
negotiated with the Regions in FY 1990, and based on the Transition
Strategy and Transition Tasks List. These agreements will be designed
to promote compliance with the Federal regulatory requirements during
the transition period between the effective date of the Federal regulations
and the dates State programs are approved to operate in lieu of the
Federal program.
(2) Headquarters Activities
P Provide advice to Regions on the State program approval process.
Review State applications in cases when the Region intends to
disapprove the State program.
Continue to provide grants to States to develop UST programs.
Continue to provide support and guidance to Regions on priorities
and methods of promoting compliance with the Federal regulations,
including on Indian Lands.
Work with the Regions to develop State-specific program
implementation strategies for those States without approved
programs or transition agreements.
Evaluate State needs for additional data management support.
(3) Regional Activities
P Help States to develop approvable State UST program applications
(including reviewing and commenting on draft applications) , and
facilitate review and approval by the Regional office.
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Assist and encourage States to improve their UST programs,
including technical and enforcement expertise, with emphasis
on ensuring that owners and operators meet the compliance dates
for the release detection requirements. For example, promoting
and supporting State field citation programs will improve
enforcement effectiveness.
Continue to negotiate and oversee State program grants.
Receive State referrals of violations, for example of new tank
installation or release detection requirements, and conduct
limited, targeted enforcement actions when the State lacks the
necessary authority.
Oversee activities on Indian Lands.
Work with Headquarters to develop State-specific program
implementation strategies for those States without approved
programs or transition agreements.
Assist in evaluating State needs for additional data management
support.
(4) State Activities
P Operate and enforce existing State UST programs.
P Assist EPA in implementing the Federal regulations during the
transition period through Memoranda of Agreement, Trust Fund
cooperative agreements, and/or State program grant activities.
Some States may still need to develop/change State authorities
and requirements to meet Federal standards for program approval.
P Prepare a State UST program application and submit it to EPA
for approval.
As necessary, put in place a State funding mechanism for the
UST program.
Carry out activities, including requirements under State program
grants.
Collect and manage notification data.
Provide timely compliance assistance to owners and operators,
especially for phased-in requirements for release detection and
financial responsibility.
Provide assistance to local governments and the public.
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b. EPA and States Develop Systems to Assure that Funding is
Available for Corrective Action.
(1) Overview of the Activity
Over time, EPA and States will establish and improve funding
mechanisms to assure that corrective actions are paid for and that
they occur in a timely manner. Owners and operators will have
primary responsibility for financing clean up through insurance or
private funds. When owners and operators do not pay for corrective
actions, government funds will be used to assure that corrective
actions take place in a timely manner and States will actively seek
to enforce and recover costs from responsible parties.
The Leaking Underground Storage Tank (LUST) Trust Fund provides
funds for corrective action, enforcement, and related activities
at eligible sites. The focus for FY 1991 Trust Fund activities is
to continue to improve the management of Federal money, including
efforts to improve reporting and site analysis; and in light of
RCRA Reauthorization, to analyze Trust Fund resource impacts. In
addition, allocating the Federal Trust Fund to the Regions for
State-lead corrective actions will continue. Federal-lead corrective
actions are unlikely to occur except on Indian Lands.
As a result of the required upgrading (or closure) of existing
tanks, including the use of a release detection system, it has been
estimated that contamination may be discovered at up to 50,000
sites in FY 1991. This means States will be faced with significantly
more enforcement and corrective actions. States will be addressing
a backlog of Trust Fund cases from the previous year. The States
will develop strategies to promote compliance with the financial
responsibility requirements so that a continuously increasing proportion
of owners and operators pay for corrective actions.
(2) Headquarters Activities
P Continue to improve the management of the Trust Fund through
improved reporting and evaluation activities.
P Assist States in the start-up and management of State funds.
Analyze allocation impacts and previous allocation procedures
and revise if necessary.
Develop and publish annual updated Trust Fund cooperative
agreement guidance.
Continue to encourage conversion of financing for corrective
actions from public to private sector.
Assess implementation of the financial assurance requirements.
Assess reauthorization needs and recommend appropriate actions
to Congress.
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(3) Regional Activities
P Continue to work with States to identify improved methods and
ways to implement them for enforcement, corrective action and
administration, so that an increasing number of Federal and
State funds can be used for enforcement.
P Determine the annual Trust Fund allocation to States and manage
the distribution of funds.
Assess State activities under FY 1990 Trust Fund cooperative
agreements.
(4) State Activities
P Develop and implement strategies to promote compliance with
the financial responsibility requirements to encourage and
facilitate responsible party-lead corrective actions, including
the development of State-supported mechanisms.
Apply to the Region for a FY 1991 Trust Fund cooperative
agreement.
P Conduct enforcement activities using the Trust Fund and State
funds.
Implement the Trust Fund clean-up program, as described in
cooperative agreements.
Maintain and continuously improve a system to recover costs
from responsible parties for corrective actions financed by the
Trust Fund and State funds.
Maintain adequate records and provide timely reports on Trust
Fund activities, as described in guidance.
c. EPA Identifies and Develops Methods to Improve Performance.
(1) Overview of the Activity
EPA, together with States, local governments, and industry groups
will identify more environmentally effective, less costly, and
faster methods of performing tasks in the program areas of release
prevention, release detection, clean up, program management, and
program measurement. This will be done to improve the performance
of program participants and to promote the environmentally effective
use of limited resources to protect ground water for present and
future use.
In FY 1991, Headquarters and the Regions will implement the program
appraisal process for evaluating the status, performance, and
direction of the UST/LUST program in Headquarters, Regions, and
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States. The appraisal process emphasizes a balance between service
and oversight activities. In addition, a system for measuring
national program progress will be in place and data will be collected
and disseminated to assess national program progress and identify
program areas needing special assistance.
(2) Headquarters Activities
P Provide States and localities with tools to make management
and field work simpler, more environmentally effective, and
easier to carry out.
Where a Region has a lead role on a project, Headquarters will
provide support and assistance.
Develop tools, guidance, and field tests related to installation,
upgrading, release detection, closure, and corrective action
practices.
Provide technical assistance or training, for example, related
to health and safety, compliance inspections, corrective action
technologies, installation procedures, field or service
representative role, site assessment/sampling techniques,
corrosion and cathodic protection, and cost recovery.
Coordinate with outside organizations to provide assistance
and encourage upgrading.
Review, evaluate, and support the Regions in implementing UST
program activities.
Develop and implement the program appraisal strategy and measures
for FY 1991.
Gather, collate, and disseminate data related to measuring
national program progress.
(3) Regional Activities
P Work with States on an individual basis to improve processes
to make management and field work simpler, more environmentally
effective, and easier to carry out.
P Work with States on an individual basis to identify and overcome
barriers and delays in implementation of State UST programs.
Work with States to improve State and local initial response
capability.
Provide technical assistance to States and Indian Tribes.
Review, evaluate, and assist the States in implementing State
UST programs, especially through site visits and evaluations,
and utilizing the program appraisal strategy.
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Assist in gathering, organizing, and disseminating data related
to measuring national program progress.
(4) State Activities
P Provide technical assistance to the regulated community and
local governments, especially for phased-in requirements for
release detection and financial responsibility. Conduct
aggressive outreach efforts to promote voluntary compliance.
Contribute to the overall UST program appraisal process,
including site visits and evaluations.
Contribute to measuring national program progress by providing
data and assisting in evaluations.
d. EPA Facilitates a National Communication Network.
(1) Overview of the Activity
EPA will establish a communication network that will continuously
improve over time. Through the network, EPA will identify program
needs, creatively transfer new technology, tools, and information
to program participants, and promote information exchange between
EPA, States, local governments, Indian Tribes, the regulated
community, and other interested groups.
(2) Headquarters Activities
P Coordinate activities and provide outreach materials that
address program issues such as requirements for corrective
action, financial responsibility, and release detection.
Keep the regulated community and States aware, 'informed, and
motivated about the UST program and technological developments.
Develop trouble-shooting groups to share expertise in the field.
Coordinate and sponsor the National UST Conference.
(3) Regional Activities
P Assist States in developing outreach strategies to promote
compliance and provide information outreach and compliance
assistance to the public in States requiring assistance.
Share information about successful State initiatives and programs
with other States.
Disseminate information on specific program areas such as
corrective action, financial responsibility, and release
detection requirements.
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Act as field or service representatives to States.
Facilitate a. communication network between States.
(4) State Activities
P Provide timely outreach and compliance assistance to owners/operators
on program areas such as corrective action, financial responsibility,
and release detection.
P Disseminate outreach materials to owners/operators to promote
voluntary compliance.
P Develop and implement strategies for information outreach and
compliance assistance.
Build a communication network with the State's regulated
community.
Participate with EPA in identifying and solving problems, e.g. ,
at conferences and State meetings.
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APPENDIX I
U8T PROGRAM
KEY SUPPLEMENTAL REGULATIONS/GUIDANCE
Regulations/Documents
UST State Program Grant
Guidance for FY 1992
LUST Trust Fund Cooperative
Agreement Guidance for FY 1992
UST Program Appraisal Measures
for FY 1992
Expected Publication
4/91
4/91
4/91
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D. PREVENT AND PREPARE FOR CHEMICAL EMERGENCIES (TITLE III),
GENERAL PREPAREDNESS
1. Overview of the National Strategy
A key component of the Agency's hazardous waste program is to
ensure effective implementation of programs to prevent chemical
emergencies and to prepare State Emergency Response Commissions
(SERCs), Tribes, and Local Emergency Planning Committees (LEPCs)
to respond to such emergencies. The long-term goal of the
Chemical Emergency Preparedness and Prevention Program (CEPP)
is to protect public health and safety and the environment
through the reduction of chemical accidents. In FY 1991, EPA
will continue to work closely with these groups on chemical
emergency preparedness and prevention activities. Title III of
SARA mandated major State and local responsibilities for
emergency preparedness and community right-to-know activities.
The regulations mandated by Title III have been promulgated.
These regulations will be amended, as required, to add or delete
chemicals-or make other needed changes.
To accomplish effective implementation of CEPP programs, the role
of EPA Headquarters is to set a national direction and to provide
additional guidance, program oversight and assessment, and
support to Regional Offices. In particular, Headquarters will
coordinate federal training and technical assistance resources
provided to Regions. Federal interagency coordination at the
national level will take place primarily through the National
Response Team (NRT) and directly with key agencies such as the
U.S. Coast Guard (USCG), Federal Emergency Management Agency
(FEMA), the Occupational Safety and Health Administration (OSHA),
and the Department of Transportation (DOT). Within EPA, OSWER
will coordinate closely with the Office of Pesticides and Toxic
Substances (OPTS), which has the lead for Section 313 of Title
III (emissions inventory). The Title III Implementation Workgroup
provides a mechanism in which OSWER, OPTS, and all other involved
offices in the Agency reach consensus on Title III issues. The
Agency's Chemical Accident Prevention Work Group serves as a
forum for coordinating activities, bringing cross agency
expertise to the problems of data use, audits, guidance, and
research. OPTS also provides technical support to OSWER on other
Title III activities.
EPA Regions will be responsible for overall CEPP program
implementation within their jurisdictions. Regions will provide
assistance to States and Tribes in the implementation of their
Title III responsibilities by working closely with the SERCs.
EPA policy and proposed rulemaking designates Indian tribes as
SERCs unless the Tribe negotiates a cooperative agreement with a
State or other Tribe to function as part of another SERC. In this
role, Regional staff will provide training and technical
assistance to the SERCs, which will, in turn, provide training
and assistance to LEPCs. Regional staff also will monitor and
assist SERC and LEPC implementation. The Regional CEPP Staff
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will coordinate Title III activities within the Regions,
including training, technical assistance, and through the
Regional Response Team (RRT), may review emergency response
plans, upon request. As with Headquarters, Regional staff will
ensure close coordination with key Federal Agencies (e.g.,
United States Coast Guard, Federal Emergency Management Agency,
Occupational Safety and Health Administration, Department of
Transportation, and Health and Human Services) and use the RRT as
the primary forum for interagency coordination. The SERC role is
to provide program leadership in the State, to ensure the
development of the emergency planning structure and
implementation of State and local Title III responsibilities, and
to provide training and technical assistance to communities.
The LEPC role is to take the lead in carrying out community
right-to-know, emergency planning, preparedness, risk
communication and to coordinate response functions.
General preparedness activities are those involving planning and
preparation for environmental emergencies of a catastrophic
nature. They include earthquake preparedness planning, national
security emergency preparedness, utilization of the National
Incident Coordination Team (NICT) and participation in other
activities related to catastrophic natural or man-made disasters.
EPA's role and long-term goal in general preparedness is to
ensure effective preparedness for such catastrophic events within
the areas of assigned responsibility to the Agency, in close
coordination with FEMA and other cognizant federal departments
and agencies.
The major activities for the CEPP program are to: (a) provide
leadership for chemical emergency preparedness; (b) provide
leadership in the prevention of chemical accidents; (c) improve
information management and dissemination which includes risk
communication and outreach activities; and (d) conduct Title III
enforcement. The major activities for the general preparedness
program are to provide leadership, oversight and analysis for:
(a) the earthquake preparedness planning program and-(b) the
national security emergency preparedness program and as required,
activate and provide operational support for the NICT.
2. Ma-ior Activities (CEPP)
a. Provide Leadership for Chemical Emergency Preparedness and
Enhance Federal, State, and Local Preparedness and Response
capabilities
(1) Overview of the Activity
The primary goal in the chemical emergency preparedness area will
be to assist SERCs and (through SERCs) LEPCs in carrying out
ongoing emergency planning and community right-to-know
responsibilities in order to protect public safety and health and
the environment.
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The deadline for completion of initial LEPC emergency response
plans occurred in FY 1987. Headquarters will continue to develop
or update tools for use by SERCs, Tribes, and LEPCs in the
review, exercise, revision, and improvement of LEPC plans.
Headquarters will also be revising the emergency planning and
release notification regulations, as needed to add or delete
chemicals on the Extremely Hazardous Substances List, provide
needed clarifications or interpretations, or make other indicated
changes.
Regional focus will continue to be on offering technical
assistance and training for use by SERCs, Tribes, and LEPCs.
Regions will emphasize the continuing nature of SERC, Tribe, and
LEPC responsibilities in emergency planning and community right-
to-know.
(2) Headquarters Activities
+ Provide guidance, technical assistance, training and
methodologies for hazard analysis and emergency planning for
use by SERCs, Tribes, and LEPCs.
Revise the emergency planning and release notification
regulation and the Extremely Hazardous Substances List (as
needed).
Coordinate preparedness activities through the NRT.
+ Maintain current knowledge of program implementation status
nationwide.
(3) Regional Activities
+ Provide technical assistance and training to SERCs,"Tribes,
and LEPCs to enhance chemical emergency preparedness and
response capabilities.
Regional Response Teams (RRTs) should review local emergency
plans pursuant to NRT guidance. The Regional CEPP staff will
coordinate Title III activities within the Regions, including
training, technical assistance and through the RRT, may
review emergency response plans, upon request.
+ Maintain current knowledge of program implementation status
in all states in Region.
b. Provide Leadership in the prevention of Chemical Accidents
(1) Overview of the Activity
The goal in the prevention area will be to continue efforts to
determine causes of chemical accidents and ways to prevent them,
sharing information on prevention technologies and practices with
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Regions, SERCs, Tribes, LEPCs, federal agencies, professional
organizations, labor, academia, industry, and public interest
groups and encouraging their initiatives in this area.
(2) Headquarters Activities
P Using the leveraging concept fundamental to CEPP, serve as a
catalyst, encouraging the private sector to develop and
disseminate information on practices and technologies to
prevent chemical releases throughout industry, especially to
smaller operations. Take initiatives to promote research and
raise the state of practice in the area of chemical accident
prevention. Provide guidance, technical information and
training to enhance the capabilities of SERCs and LEPCs to
deal with prevention issues, with regard to the causes of
accidents and ways to prevent them.
Use ARIP and chemical safety audit data as potential sources
of identifying facility non-compliance in all media program
offices.
Investigate the potential use of other existing enforcement
authorities (i.e.,. Resource Conservation and Recovery Act
(RCRA), Toxic Substances Control Act (TSCA), Clean Water Act
(CWA), Clean Air Act (CAA), for broadening program scope.
P Develop and communicate technical information, guidance,
training and evaluation procedures regarding detection,
monitoring, and prevention of chemical accidents for use by
the Federal government, States, local communities, trade and
professional organizations, labor and environmental groups,
with an emphasis on improving safety in smaller operations.
Provide training to Regions, SERCs, Tribes, and LEPCs on
chemical process safety and accident prevention, for use in
dialogue and dealings with facilities that produce, use or
store hazardous substances.
Support Regions in specific on-site investigations of major
incidents and communicate lessons learned to State and local
governments, industry, labor, professional organizations, and
the public.
Through the Accidental Release Information Program (ARIP) and
chemical safety audit program, continue gathering and
analyzing information on accidental releases and prevention
methods and sharing this information with SERCs, Indian
Tribes, LEPCs, and national organizations.
(3) Regional Activities
+ Provide training and assistance to SERCs and LEPCs to
understand chemical process safety, for use in dialogue with
industry and to conduct chemical process safety audits. This
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will include interpretation of technical guidance on chemical
accident prevention.
P Conduct chemical process safety audits. Continue to send out
ARIP letters and forms to facilities meeting release
triggers. Review returned forms for development of
initiatives and actions to prevent accidental releases, as
well as for potential Title III compliance or inspection
actions. Share information on releases (ARIP, audits) with
SERCs. Provide copies of returned forms to Headquarters for
updates to ARIP data base.
c. improve Information Management and Program Support
(1) Overview of the Activity
With the advent of Title III, a large volume of important
information on chemical hazards is being made available to SERCs,
Tribes, and LEPCs. To use this information effectively, it is
necessary to have cost-effective tools and methods for
information management. The program will concentrate on
providing such tools, guidances, and training to enhance SERCs',
Tribes', and LEPCs1 abilities to use data on chemicals and plan
and respond to chemical emergencies.
With the volume of information on chemicals, quantities, and
hazards available to the SERCs and LEPCs as a result of Title III
requirements, the risk communication program will continue to
concentrate on offering tools and materials for use by SERCs,
LEPCs, and Tribes both to help them better understand the risks
of chemical hazards and to communicate those risks to the public.
This activity is essential for the revision and improvement of
quality emergency plans and for integrating and providing Title
III information to the public.
(2) Headquarters Activities
P Continue to provide assistance to SERCs, Tribes and LEPCs on
how to manage Title III information and integrate that
information with other State and local information. Support
the development of information management tools, such as
computer sytems and models, useful to emergency planning and
response.
+ Issue guidance for industry, SERCs, Tribes, and LEPCs on the
proper interpretation of the final regulation for Sections
311 and 312.
+ Continue to work with OSHA to identify mechanisms for SERC,
Tribal, and LEPC training regarding proper interpretation of
MSDSs and to identify solutions to other MSDS issues, such as
use of standardized formats and automated systems. Evaluate
the usefulness of MSDSs going to SERCs, LEPCs, and fire
departments, and develop alternatives, as appropriate.
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In coordination with OPTS and the Office of Policy, Planning,
and Evaluation (OPPE), define problems in risk communication
and develop training materials on communicating risks
indicated by Title III information and develop tools and
techniques that will provide a better understanding of risk
communication.
+ As requested by Regional offices, provide problem-specific
consulting and analysis in risk communication.
Continue to participate in or present sessions on risk
communication in Title III at seminars or national
conferences, and demonstrations of risk communication
materials.
Work through the OSWER Communications Workgroup and the Title
III Outreach Subcommittee to coordinate the development of
outreach as necessary.
+ Develop outreach activities targeted specifically toward the
general public.
+ Maintain and coordinate regular communication with outside
groups, including providing to Congress timely information on
major program activities and advising the media of upcoming
activities.
Maintain a toll-free information hotline.
Participate in national meetings and conferences.
P Develop and distribute examples of successful practices in
Title III at the SERC and LEPC levels (quarterly) .
(3) Regional Activities
Continue to assist SERCs, Tribes, and LEPCs to improve their
capabilities for managing Title III information. Conduct
workshops and training, as necessary.
+ Continue to participate in risk communication case studies in
conjunction with OPPE and OPTS Headquarters programs or
through problem-specific analysis.
+ Continue to provide technical assistance to SERCs, Tribes,
and LEPCs through training, distribution of materials, and
workshops in risk communication.
+ Provide input to outreach materials and coordinate their
distribution with SERCs to LEPCs and all other involved
parties.
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Participate in meetings and conferences dealing with chemical
emergency preparedness and prevention and keep outside groups
(including the media) informed of program activities.
+ Participate with SERCs and LEPCs to encourage increased
compliance with Title III.
d. Conduct Emergency Planning and Community Right-to-Know Act
(EPCRA) Enforcement
(1) Overview of the Activity
The goal of the enforcement program will be to increase
compliance with EPCRA through routine compliance inspections
of facilities to identify violations of EPCRA sections 302,
303, 304, 311, and 312 and CERCLA section 103. EPA will
strive to work closely with States on case development and to
develop State enforcement capabilities.
(2) Headquarters Activities
P Revise national enforcement strategy and enforcement response
policy as needed.
P+ Develop information to aid Regions in targeting compliance
inspections.
P+ Work with Regions on case development.
P+ Finalize development of cross listing of Standard Industrial
Classification (SIC) code and hazardous chemical presence at
facilities based on section 312 Tier II submissions to
States.
(3) Regional Activities
P+ Develop Regional enforcement strategies based on interaction
with States to increase targeting efficiency of compliance
inspections.
P+ Develop Regional enforcement management systems to track
enforcement activities.
P+ Develop cases for violations identified through compliance
inspections.
P Follow up on State referreal and tips and complaints
regarding violations of EPCRA sections 302, 303, 304, 311,
312, and CERCLA section 103.
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3. Major Activities (General Preparedness!
a. Provide Leadership for Earthquake Preparedness Program
(1) Overview of the Activity
EPA is one of twenty-five federal departments and agencies who
agreed in April 1987 to the Plan for Federal Response to a
Catastrophic Earthquake. The goal of this major planning effort
is to prepare for a fully coordinated federal response to State
and local needs following a catastrophic earthquake, or other
major disasters short of a national security event, through the
development of operational response plans for each Regional risk
area which has the potential for such a quake. FEMA provides
overall program guidance and oversight for plan development,
exercising, etc. EPA's main role is that of a primary Agency
(Leader) for Emergency Support Function (ESF) tflO-Hazardous
Materials, which includes chemical, oil and radiological hazards.
EPA has a support role in several other of the eleven ESFs. The
focus of the program will continue to be on development and
exercising of Regional risk area plans.
(2) Headquarters Activities:
P Provide technical guidance, assistance and training for the
Regions and review draft plans to assure comprehensiveness
and consistency.
Develop national policy for issues affecting all Regions.
Interface and coordinate with EPA Headquarters program
offices, FEMA and other Headquarters' departments and
agencies on planning, exercise and response issues.
(3) Regional Activities
P Provide overall federal Regional leadership for hazardous
materials plan development and exercising for each identified
risk area.
+ Update completed plans with new data resulting from
exercises, experience, etc.
Participate in FEMA-sponsored exercises and coordinate these
efforts with FEMA, other Regional departments and agencies,
the RRT, affected States and local governments and with the
Headquarters program office.
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b. Provide Leadership for National Security Emergency
Preparedness (N8EP) Program and Internal Agency Crises
Management through The National Incident Coordination Team
(NICT)
(1) Overview of the Activity
EPA participates with other federal departments and agencies at
the national and Regional levels as part of Emergency Management
Teams (EMTs) to handle federal government operations during a
national security emergency, up to and including nuclear war.
Under Executive Order 12656 and other federal directives, EPA has
certain NSEP responsibilities which relate to its routine
operations and planning and preparedness for reconstitution of
the Agency following a major national security emergency. For
other significant emergencies, short of an NSEP event, EPA
coordinates response efforts through the NICT, a team of senior
level program representatives at the headquarters and Regional
levels.
(2) Headquarters Activities
P Provide overall program development, coordination,
management, and training for the NSEP program and the NICT
within the Agency in preparation for and response to a
national security or other significant emergency.
P Participate in development and conducting of program
exercises.
+ Develop a Headquarters Emergency Operations Center.
(3) Regional Activities
P Provide Agency leadership and coordination with Regional FEMA
and other federal departments and agencies in preparation and
planning for EPA responsibilities during NSEP events and
other significant emergencies. Field and maintain fully-
staffed and trained team members for EMTs and Regional NICT
contacts.
P Participate in Regional development and conducting of program
exercises and support materials for significant emergencies,
involving the NICT, and national security emergencies
involving the EMT's.
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4. Appendix
APPENDIX Z
TITLE III PROGRAM
KEY SUPPLEMENTAL REGULATIONS AND GUIDANCE
The regulations mandated by Title III have been promulgated. In
FY 1991, the Chemical Emergency Preparedness and Prevention
(CEPP) Program will be focusing on updating tools to aid State
Emergency Response Commissions (SERCs), Tribes and Local
Emergency Planning Committees (LEPCs) in the areas of
preparedness, prevention, risk communication and information
management. Implementation of the program will allow these
entities to take appropriate action in the case of accidents and
work toward preventing such accidents from occurring.
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B. REGIONAL/STATE INITIATIVES MOT COVERED BY NATIONAL PRIORITIES
1. Overview
Although national initiatives are the cornerstone of EPA's
programs, the Agency nonetheless recognizes that differing
environmental conditions and concerns across the country often
require the Regions and States to develop their own initiatives.
OSWER encourages these initiatives, some of which are indicated
below.
2. Initiatives
a. Develop Regional Standards for Waste Minimization Plans
(Region III)
b. Minimize Wastes and Improve Data on Waste Generation (Regions
VI and X)
c. Off-Site Capacity and Incinerators (Regions V, VI, and VIII)
d. Major Energy Facilities (Region X)
e. Pilot Planning Initiative — Corrective Actions and
Environmental Priorities Initiatives (Region I)
f. Investigate hazardous waste export/import activities at the
Mexican border (Maquiladoras) (Regions VI and IX)
g. Mining Waste (Region VIII)
h. Chesapeake Bay (Region III)
i. Great Lakes (Region V)
j. Medical Waste (Regions II and V)
k. Implementation of Waste Oil Regulation (Region I)
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Of nee Of
Pesticides And
Toxic Substances
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1991 OPERATING GUIDANCE
TABLE OF CONTENTS
Page
I. ASSISTANT ADMINISTRATOR'S OVERVIEW 1
A. INTRODUCTION 1
B. PROGRAM DIRECTIONS 1
1. Asbestos Abatement l
2. EPCRA - Section 313 2
3. Polychlorinated Biphenyls (PCBs) 2
4. Groundwater Protection 3
5. Endangered Species Protection 3
6. Pesticide Worker Protection 4
7. Certification and Training Part 171 4
8. TSCA - Section 5 and 8 4
9. Hexavalent Chromium 5
C. MANAGEMENT PRINCIPLES 5
1. Building Regional/State/Tribal
Capabilities 5
2. Strengthening Enforcement and Compliance 6
3. Promoting Pollution Prevention 7
4. Developing Environmental Indicators 7
5. Emphasizing International Activities 7
6. Encouraging Tribal Programs 8
D. PESTICIDE AND TOXIC CHEMICAL USE 8
1. Control of Risks from New Chemical Products 9
2. Control of Risks from Existing Chemical
Products 11
3. Field Operations 14
II. ENVIRONMENTAL PROBLEMS 15
A. ASBESTOS ABATEMENT 15
1. Strategy to Address the Problem 15
2. Headquarters Activities 16
3. Regional Activities 18
4. State Activities 19
5. Research Activities 19
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TABLE OF CONTENTS (continued)
Page
B. EPCRA - SECTION 313 20
1. Strategy to Address the Problem 20
2. Headquarters Activities 20
3. Regional Activities 22
4. State Activities 23
5. Research Activities 24
C. POLYCHLORINATED BIPHENYLS (PCBs) 24
1. Strategy to Address the Problem 24
2. Headquarters Activities 25
3. Regional Activities 26
4. State Activities 27
D. GROUND-WATER PROTECTION 28
1. Strategy to Address the Problem 28
2. Headquarters Activities 28
3. Regional Activities 30
4. State Activities 30'
5. Research Activities 31
E. ENDANGERED SPECIES 32
1. Strategy to Address the Problem 32
2. Headquarters Activities 32
3. Regional Activities 33
4. State/Tribal Activities 34
5. Research Activities 34
F. PESTICIDE WORKER PROTECTION 35
l. Strategy to Address the Problem 35
2. Headquarters Activities 35
3. Regional Activities 36
4. State Activities 37
G. CERTIFICATION AND TRAINING 37
1. Strategy to Address the Problem 37
2. Headquarters Activities 38
3. Regional Activities 39
4. State Activities 39
5. Research Activities 40
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TABLE OF CONTENTS (continued)
Page
H. REGISTRATION 40
1. Strategy to Address the Problem 40
2. Headquarters Activities 41
3. Regional Activities 42
4. State Activities 43
5. Research Activities 43
I. RE-REGISTRATION 44
1. Strategy to Address the Problem 44
2. Headquarters Activities 44
3. Regional Activities 46
4. State Activities 47
5. Research Activities 47
J. SPECIAL REVIEW 48
1. Strategy to Address the Problem 48
2. Headquarters Activities 48
3. Regional Activities 49
4. State Activities 49
K. PESTICIDE DISPOSAL 50
1. Strategy to Address the Problem 50
2. Headquarters Activities 50
3. Regional Activities 50
4. State Activities 51
5. Research Activities 51
L. TSCA - Sections 5 and 8 52
1. Strategy to Address the Problem 52
2. Headquarters Activities 52
3. Regional Activities 52
M. Hexavalent Chromium
1. Strategy to Address the Problem 52
2. Headquarters Activities 53
3. Regional Activities 53
4. State Activities 53
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FY 1991 PESTICIDES AND TOXIC SUBSTANCES OPERATING GUIDANCE
I. ASSISTANT ADMINISTRATOR'S OVERVIEW
A. Introduction
The FY 1991 operating guidance is intended to build on Agency-wide
discussions that were held at the FY 1991 Easton planning meeting.
This guidance provides direction to EPA and the States in carrying
out programs under the following statutes: Toxic Substances
Control Act (TSCA) , Federal Insecticide, Fungicide, and Rodenticide
Act (FIFRA, as amended in 1988), Superfund Amendments and
Reauthorization Act of 1986 (SARA), Asbestos Hazard Emergency
Response Act (AHERA) , Asbestos School Hazard Abatement Act (ASHAA) ,
Asbestos Information Act (AIA), and Federal Food, Drug, and
Cosmetic Act (FFDCA). The pesticides and toxics programs also
implement programs authorized under other statutes to protect
ground water and endangered species.
Part I of this guidance outlines the FY 1991 major program
directions and management principles for the pesticides and toxics
programs. Part II contains specific program guidance and priority
activities for eleven environmental problem areas. The level of
funded activities will vary from Region to Region depending on
needs and resource availability. Activities with associated SPMS
measures are denoted by (SPMS) appearing at the end of the
activity.
B. Program Directions
Traditionally, the pesticides and toxics programs have been viewed
as primarily national chemical licensing programs. While national
licensing responsibilities continue, we are continuing to face new
and different challenges for which national approaches are not
always appropriate and therefore enhanced attention to Regional and
State roles in tailored management strategies and implementation
oversight is needed. This major modification in program structure
— a shift from being primarily national licensing programs to
being Headquarters/Regional/State programs — is dependent upon a
decentralized, effective field delivery system.
In FY 1991 the pesticides and toxics programs will continue to
focus on the following environmental problem areas:
1. Asbestos Abatement
In FY 1991, implementation and accreditation activities will be
continued. Those activities include increasing the infrastructure
of accredited personnel; evaluating the AHERA schools program;
providing technical assistance to building owners on thermal
insulation; and supporting research, which will be jointly funded
with the private sector, on exposure levels in buildings following
abatement actions. Also, EPA will continue to monitor the progress
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of ASHAA loan and grant abatement projects awarded in previous
years. Finally, the program will continue to focus on encouraging
States to assume AHERA program responsibilities, including
accreditation of asbestos professionals.
Asbestos compliance monitoring and enforcement efforts will focus
on: the overall coordination of asbestos activity; the development
of Regional/State AHERA compliance program plans; providing
guidance and strategies to the Regions; conducting inspections at
LEAs to monitor compliance by LEAs and persons involved with
implementation of AHERA; and conducting inspections to monitor
compliance regarding the asbestos ban and phase-out requirements.
2. EPCRA - Section 313
A major goal for this program in FY 1991 is to support the
development of regional and state capabilities to use the Toxic
Release Inventory (TRI) data. This will in part result from
greater public awareness of the data and the need for increased
compliance by industry. The Regions and States will need the
capability to analyze the TRI data indepth and, in conjunction with
other data, conduct risk screening in specific geographic locations
so that the public has a more accurate picture of the risk. Some
Regions and most States do not have the expertise without
assistance. Heightened public awareness and availability of two
years of TRI data has created an increased demand by State and
local governments for assistance. The Regions will need to enhance
their State communications networks to respond to citizen inquiries
about the TRI data.
Section 313 compliance assistance and enforcement efforts will
focus on conducting inspections to verify that the required
reporting of chemical information has occurred and the quality of
that information is acceptable, and coordinating with States on
the availability and use of the Toxics Release Inventory.
3. Polychlorinated Biphenyls (PCBs)
In FY 1991, the Toxics Program will continue to review and issue
PCB disposal approvals, implement with the aid of all states a new
notification and manifesting rule, issue a final revocation rule,
and operate a clearinghouse of PCB disposal activities. Rulemaking
will be initiated to address the processing of PCBs during metals
recycling operations including the disposal of PCB contaminated
fluff from shredding operations.
PCB compliance assistance and enforcement priorities will continue
to focus on: the compliance of permitted disposal sites,
intermediate handlers and brokers and monitoring the cleanup of
PCB-contaminated natural gas pipelines such as Texas Eastern.
Regions should work with the Emergency Response Branch in
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responding to PCB spills, unauthorized use, and improper disposal
incidents.
4. Groundwater Protection
In FY 1991, the program will continue to face concerns regarding
pesticides in groundwater. The National Pesticides Survey win be
completed; this data will help the Agency evaluate the extent of
groundwater contamination and public exposure. The Agency's goal
for FY 91 is to fully integrate inter-agency efforts (Pesticide
Management Plans, Non-Point Source Management Plans and Wellhead
Protection Plans) to protect the Nation's water supplies from
contamination by agricultural chemicals and to coordinate these
efforts with U.S.D.A. efforts.
This win require close coordination of program operating and grant
guidance at the national level as well as efforts to match Agency's
priorities and over all direction with those of USDA. At the
regional level, the Pesticides, Groundwater and Non-Point Source
Program's will need to work closely together to develop consistent
state workplans to support program specific grants.
The Agency has taken the position that protection of groundwater
will require a localized protection approach. This requires a
greatly expanded/strengthened state role in problem identification
and in the management of pesticide use. At the State level, there
is the same overriding need for cooperation and coordination
between involved agencies (e.g., the Department of Agriculture,
Health Department, Environmental Agencies, etc.) as at the national
and regional levels.
5. Endangered Species Protection
The Agency's goal is to have an enforceable Federal Program in FY
1992, therefore, during FY 91, the agency will be requiring
registrants to begin the relabeling of products to conform with the
requirement's of the Endangered Species Program. The program will
continue to be largely voluntary in FY 91 emphasizing program
recognition by users and information (map/bullet in, etc)
distribution.
Those States developing state-initiated plans will be required to
submit those plans to the Agency for review and approval before the
enforceable Federal program begins. Until approval of a state
plan, the Federal program win be enforced. Close cooperation
among Headquarters, Regional, and State offices will be required
for state plans to succeed.
During FY 91, the Regions are encouraged to work with Federal land
managers (BLM, Forest Service, National Park Service) to identify
those endangered species for which they should consult with the
U.S. Fish and Wildlife Service.
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6. Pesticide Worker Protection
In FY 1991, the Agency's goal will be to develop the training
materials required by this program and to work with the states to
develop an effective delivery system.
Successful implementation of worker protection standards and
related product label changes will necessitate extensive
communications and training to inform workers and employers about
protective requirements. The complexity of reaching so many
entities and individuals requires a decentralized Federal program.
Training materials and technical assistance will be directed at the
local level to facilitate effective communication tailored to local
crops, practices, and State programs.
The pesticides worker protection compliance monitoring and
enforcement activities will focus on ensuring compliance with the
Agricultural Worker Protection Rule, through routine comprehensive
inspections, and follow-up to incidents and complaint reports.
Training seminars for States and technical assistance for public
and private groups will also be an important part of compliance
monitoring and enforcement efforts.
7. Certification and Training Part 171
In FY 1991 the Agency will work with the States to develop
appropriate schedules for addressing the changes to State plans
required as a result of the revised Part 171 Regulations. State
training materials and competency standards, as required by the
revised Part 171 regulations will need to be updated to include
Groundwater, Worker Protection and Endangered Species materials.
8. TSCA - Sections 5 and 8
In FY 1991, the TSCA 5 and 8 program (transferred back to Regions
I, IV, and VI-X from NEIC in FY 1990; Regions II, III, and V
already had the program) will continue to concentrate on
controlling entry and obtaining information on toxic chemicals in
the environment.« The EPA will continue to control entry of toxic
chemicals by reviewing premanufactaring notifications to identify
chemicals of concern, adding to the list of chemicals subject to
Significant New Use Rules (SNUR), and regulating the development
and testing of microbial products of biotechnology.
Sections 5 and 8 compliance assistance and enforcement priorities
will focus on regional compliance efforts which are crucial for the
successful use of the program. Information is the lifeblood of
these screening systems, but industry has or must obtain the data
to feed the systems. Outreach, inspections, and enforcement are
essential to give the effort integrity. EPA needs all the data,
not just the data the manufacturer wants the Agency to have.
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9. Hexavalent Chromium
In FY 1991, the program continues to face concerns regarding the
use of hexavalent chromium-based water treatment chemicals in
Comfort Cooling Towers (CGTs). Hexavalent chromium compliance
assistance and enforcement priorities will continue to focus on
conducting inspections to verify that the required reporting has
occurred, proper labeling exists, recordkeeping procedures are
being followed, and that no hexavalent chromium-based water
treatment chemicals are being used in CCTs. Finally, the program
will continue to focus on encouraging states to assume the
hexavalent chromium program responsibilities.
C. Management Principles
The following management principles will guide the FY 1991
Pesticides and Toxics Program activities.
1. Building Regional/State/Tribal Capabilities
Implementation of the major pesticides and toxics program
directions is dependent on effective, decentralized field delivery
systems. In order to accomplish this, we will continue to
strengthen Regional abatement and control capabilities, strengthen
Regional enforcement, and dramatically enhance State and Tribal
capabilities. While increasing Regional technical assistance and
oversight, we are asking the States to take on three major tasks
and Tribes to begin to become involved in these areas:
o Develop and implement tailored, site-specific
management plans for ground water and endangered
species;
o Assume responsibilities for pesticide worker
protection and asbestos programs; and
o Enhance traditional inspection and compliance
monitoring efforts.
State, Tribal and local entities generally lack the institutional
capacity and capability to automatically assume new environmental
roles. Additional resources for States and Tribes, as well as
Regions, will be necessary to the continued development of their
capabilities to effectively and credibly deal with site-specific
environmental problems.
With implementation of the pesticides in ground-water strategy,
the endangered species program, the pesticide worker protection
program, asbestos abatement program, and SARA Title III (section
313) program. State, Tribal and local governments will continue to
need technical assistance to make site-specific decisions. Many
States and local governments need more data, and additional help
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with analytical techniques and infrastructure to make these
decisions. A major goal in FY 1991 is to continue to transfer risk
assessment/risk management information and abilities to Regions,
States and Indian Nations to enable local governing bodies to
address geographically unique problems.
2. Strengthening Enforcement and Compliance
A focused and coordinated compliance monitoring and enforcement
effort is critical for successful implementation of the pesticides
and toxic substances programs. Without an effective enforcement
presence to ensure compliance the regulatory loop is left unclosed
and licensing and risk reduction efforts up to that point are
wasted. Our enforcement program is essentially a combination of
broad-based and specifically tailored compliance activities. The
broad-based compliance activities serve as a means of: 1)
informing the public and the regulated community so that they are
aware of the requirements of pesticide and toxic substances
statutes, regulations and policies with which they must comply; 2)
using available data to effectively set priorities for enforcement
activities; and 3) coordinating compliance efforts with States and
other Federal agencies as appropriate. Specifically tailored
enforcement activities, both civil and criminal, achieve compliance
by identifying violations, abating the violating activity and
directing the noncomplier to complete corrective actions.
Additionally, enforcement actions enhance voluntary compliance by
peers within the regulated community who are aware of such actions
in the effort to identify violations and penalize those
responsible.
Headquarters will work with the Regions and States in the
development of guidance documents, model enforcement legislation
and a State/EPA TSCA Advisory Committee to help the states in the
development of their own enforcement capability.
The pesticides and toxics programs will work closely with the
Office of Enforcement and Compliance Monitoring to employ criminal
prosecutions to enhance OPTS* enforcement goals and priorities when
appropriate (i.e., serious instances of pesticide misuse, illegal
PCB disposal, or deliberate falsification of TRI, PMN or GLP data).
As regulatory decisions increase in number and expand in focus, it
will be necessary to coordinate inspection efforts by conducting
multipurpose inspections and to coordinate national and state
initiatives for critical problem areas and regulatory actions.
This is key to effective and efficient use of enforcement
resources. We need to bolster our ability to make and enforce
geographically tailored risk management decisions. This can be
accomplished through decentralizing enforcement programs to the
States. Through cooperation of the States, we realize a much
greater level of and more locally responsive compliance coverage
than is available with Federal resources alone.
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3. Promoting Pollution Prevention
While other EPA programs focus primarily on end of pipe controls
or on cleanup of pollutants already placed in the environment, OPTS
programs focus primarily on preventing risks through front-end
controls on pesticide and toxic chemical use. The three components
of our toxic chemical use controls are: 1) preventing risky
chemicals from entering commerce and encouraging safer substitutes
through our new chemicals programs; 2) developing and making
available adequate data to assess risks and taking appropriate
action to remove risky chemicals from commerce through pur existing
chemicals programs; and 3) enhancing risk reduction in the field
by building Regional and State programs, providing technical
assistance, and providing a credible enforcement presence.
Enforcement outreach and technical assistance promoting pollution
prevention include encouraging broader participation by industry
and the public in activities designed to change production use and
recycling habits. Mechanisms used to promote these include
settlement with conditions which requires violators seeking
settlement to expand their environmental programs.
4. Developing Environmental Indicators
OPTS has formed workgroups to develop improved output measures for
environmental problem areas emphasized in our 4-year strategic
plans. These indicators should result in meaningful SPMS measures
or surrogates that are more indicative of our environmental
successes. We anticipate that results of these workgroups' efforts
will be available in FY 1991.
5. Emphasizing International Activities
The nation's most complex environmental problems cannot be solved
by unilateral actions. OPTS plays an important role in
international chemical evaluation by:
o Coordinating international review of existing chemicals.
For example, we participate in the OECO Clearinghouse
Project to test chemicals and provide data regularly to
the computerized listing of chemicals being tested for
toxic effects through the International Programme on
Chemical Safety (IPCS) and the International Register of
Potentially Toxic Chemicals.
o Developing a common screening system to set priorities
for further review of internationally produced high
volume chemicals, i.e., the Screening Information Data
Sets (SIDS) project.
o Providing common data bases for use by third world
countries, i.e. OECD EXICHEM data base disks are widely
available.
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o Implementing five international Good Laboratory Practices
(GLP) agreements with the following European Economic
Community (EEC) countries: United Kingdom, Netherlands,
Japan, Federal Republic of Germany, and Switzerland, we
anticipate moving the program toward development of new
GLP agreements with non-EEC countries such as Canada,
Israel, Brazil, and Sweden.
6. Encouraging Tribal Programs
FIFRA authorizes EPA to enter into cooperative agreements with
Indian Tribes to ensure compliance with FIFRA on Tribal Lands and
support certification and training of Tribal pesticide applicators.
The use of this authority is essential if we are to manage
potential risks from pesticides to man and the environment on
Tribal Lands. OPTS has implemented this authority through use of
compliance and/or certification cooperative agreements in EPA
Regions VIII, IX and X. The types of activities implemented under
these agreements are the same as those addressed under state
cooperative agreements.
In order to strengthen implementation of Tribal cooperative
agreements, Tribal pesticide workshops have been coordinated by
both Headquarters and Regional representatives. Coordination of
Tribal activities and discussion of Tribal concerns will continue
and be emphasized in the future to further the benefits received
from Tribal cooperative agreements.
The Asbestos Program also coordinates their implementation of ASHAA
and AHERA with the Bureau of Indian Affairs. In this way Tribes
are assured of notification of asbestos loan and grant
opportunities as well as statutory and regulatory requirements and
deadlines.
Technical assistance continues to be provided as needed under
FIFRA, TSCA and EPCBA. OPTS is always looking for alternative ways
to improve its Indian program communications and program focus.
A study completed in FY 1989 will assist in this effort.
D. Pesticide and Toxic Chemical Use
OPTS directs its attention primarily to the use and registration
of toxic chemicals. Specifically, OPTS' goals are to: (1) control
risks from new chemical products by preventing unreasonably risky
chemicals from entering commerce, safeguarding workers from
unnecessary exposures to toxic chemicals, and encouraging safer
substitutes; (2) control unreasonable risks from existing chemical
products by obtaining adequate data to assess risks, providing
public access to data that can legally be shared, and taking
appropriate action to remove chemicals with unreasonable risks from
commerce; and (3) through our field operations component, forge
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new institutional linkages, encourage State assumption of program
responsibilities, and provide a credible enforcement presence.
As end of pipe controls reach their technological or economic
limits, toxic chemical use controls increase their attractiveness
as supplements or alternatives. However, removal from widespread
use of an existing chemical can result in serious environmental
damage unless it is done under strict controls. An essential part
of any toxic chemical use regulatory program is to ensure that the
controls do not result in unintended adverse effects during their
implementation. Toxic chemical use control as implemented by OPTS
and its Regional and State counterparts is an essential part of the
nation's pollution prevention strategy.
In FY 1991, OPTS will continue to intensify its commitment to
involve the States as full partners in toxic chemical use control
programs. States have demonstrated a strong interest in such
programs. With very limited funding or no funding, at least 46
States have taken on significant responsibilities in the asbestos
program, particularly in schools, and 18 States have included PCBs
in their RCRA program. For enforcement of TSCA section 5, asbestos
and PCB requirements, EPA has entered into enforcement cooperative
agreements with 23 States. For enforcement of FIFRA, EPA has
entered into cooperative enforcement agreements with 63 States,
territories, Indian Nations, and other political entities.
Federal environmental laws put the Federal government very much in
control of the "valve" from which environmental problems are
identified and solutions are formulated. But the Federal pipeline
is getting very full and it is impossible for the Federal
government alone to handle all the environmental problems which
have been the subject of Federal law. OPTS will further open the
valve and ask State and local counterparts for assistance in
addressing a wider range of environmental problems. Working with
State and local agencies in this way would mean sharing
responsibility, allowing them to make decisions about handling
environmental problems within the bounds of statutory and resource
constraints. OPTS will expand the dialogue with State and local
agencies in FY 1991 to develop common sense strategies for sharing
the responsibility for addressing toxic chemical use problems.
We intend to conduct liaison with States to encourage their
participation in the TSCA enforcement cooperative agreement program
and encourage States to expand toxic substances enforcement
authorities at the State level.
1. Control of Risks from New Chemical Products
The first leg of the triad of OPTS toxic chemical use control
programs is preventing use of chemicals which pose an unreasonable
risk to public health or the environment. The emphasis of this
component of toxic chemical use control programs is on collecting
and analyzing information to determine whether each new chemical
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represents an unreasonable risk. Those chemicals that do pose an
unreasonable risk are prevented from entering commerce which
encourages the development of safer substitutes.
The toxics programs designed to control entry of toxic chemicals
into the environment include reviewing premanufacturing
notifications to identify chemicals of concern, adding to the list
of chemicals subject to Significant New Use Rules (SNUR), and
regulating the development and testing of non-pesticidal microbial
products of biotechnology. This screening process depends heavily
on receiving notice from industry of their intent to manufacture
new chemicals and their providing EPA with data to use in the
screening process. Regional compliance efforts are an integral
part of making the process work. "Voluntary" compliance by the
industry needs to be backed up by a strong outreach, inspection,
and enforcement effort to drive home the importance of 100%
compliance. As part of this effort inspections will be conducted,
enforcement initiative commenced, and enforcement actions taken
against companies failing to submit a PMN or SNUR information,
withholding or submitting false/misleading information or violating
exemption restrictions or violating other TSCA section 5
requi rements.
The Pesticide Program mechanism for controlling the entry of new
pesticides (active ingredients) into the environment is the use of
the registration process. The registration process is a national
licensing program whereby potential registrants petition the
Agency, provide health and environmental data, and the Agency then
analyzes the risk associated with the chemical's use. If there are
no unreasonable adverse effects to man or the environment, the
product is registered. Because the current testing requirements
are so thorough, this process encourages the development of safer
substitutes for products that were registered before our modern
comprehensive data requirements were established.
In FY 1991, the registration activities will be affected by the
1988 FIFRA Amendments. Complete applications for certain initial
or amended registrations of products that are similar to pesticides
already registered will be reviewed and processed within 90 days
after receipt of complete applications.
In order to ensure that the requirements resulting from the
registration process are implemented, compliance must be monitored.
Headquarters will implement a program for tracking data submission
requirements for the registration process and the issuance of
3(c)(2)(B) suspensions when warranted. Registrants' progress in
acquiring and submitting data must also be monitored. These
tracking and monitoring programs must address the data submittal
requirements included in the 1988 amendments to FIFRA.
As an additional element of routine comprehensive inspections,
States will conduct inspections to ensure compliance with the label
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requirements, suspension/cancellations, use restrictions and other
restrictions and precautions imposed as a result of the
registration and re-registration process. The Regions will provide
guidance and oversight for these activities.
2. Control of Risks from Existing Chemical Products
The second leg of the triad of OPTS toxic chemical use control
programs deals with chemicals already in use in the environment.
Controlling the use and disposal of these chemicals involves three
activities: (1) obtaining information about potentially risky
chemicals already in use and sharing that information with
environmental decision-makers at all levels; (2) reducing risk by
controlling use and disposal of chemicals which have been
determined to present unreasonable risks; and (3) selectively
removing certain chemicals from current use or rendering them
harmless in place while ensuring that we do not exacerbate the
hazard or substitute one hazard for another.
The toxics program obtains information on chemicals in a variety
of ways. Under section 8 of TSCA manufacturers of chemicals can
be required to provide data on hand about chemicals- which need
further analysis by EPA. Under section 4 of TSCA manufacturers
can be required to generate additional data by performing specific
testing of chemicals. Under the community right to know provisions
of SARA (Title III, section 313) facilities which manufacture,
process, or use certain chemicals are required to annually report
the amount of emissions of those chemicals to the air, water, and
land.
Regional compliance efforts are crucial for the successful use of
sections 8, 5 and 4. Information is the lifeblood of these
screening systems, but industry has or must obtain the data to feed
the systems. Outreach, inspections, and enforcement are essential
to give the effort integrity. EPA needs all the data, not just the
data the manufacturer wants the Agency to have.
Headquarters tracks submission of data required under TSCA section
4 to assure deadlines are met. TSCA Section 4 violators will be
issued Civil Administrative complaints and are subject to
administrative civil penalties. TSCA sections 4 and 8 field
inspections will involve audits of laboratories conducting studies
and data collection for hazard evaluations of chemical substances
and audits of information submissions, respectively.
Headquarters, NEIC and several Regions will conduct a compliance
monitoring program to determine whether testing laboratories are
observing Good Laboratory Practices to ensure the scientific
validity of data submitted to EPA in support of existing chemicals.
The toxics program reduces risk from chemicals already in use by
applying section 5(a)(2) of TSCA, which allows OPTS to prohibit or
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limit manufacture, processing, distribution in commerce, use or
disposal of a substance pending the development of information
sufficient to permit a reasoned evaluation of the health and
environmental effects of the substance.
OPTS also uses section 6 of TSCA to prohibit or limit the
manufacture, processing or use of substances (like PCBs), to
require labels for substances, to require recordkeeping pertaining
to substances, or to prohibit or regulate disposal of substances,
if a substance is determined to present an unreasonable risk.
The pesticide program has several mechanisms to control the use of
pesticides in the environment. First only certified applicators
may use restricted use products. Pesticide applicators are
provided (primarily by state Cooperative Extension Services)
training to inform them on proper and safe application techniques.
This training, helps private and commercial applicators reach an
acceptable level of competency. Restricted use applicator are
certified, for the most part, by the states.
Another mechanism is to restrict the use of certain pesticides
(i.e., restricted use products) that have the potential to cause
adverse effects to man or the environment when applied incorrectly.
Sale or distribution is limited to applicators that have been
trained and certified by a State. The Agency then is assured that
the applicator has demonstrated knowledge of safe pesticide
handling practices and is more likely to apply the potentially
hazardous product correctly.
The reregistration process reexamines pesticides first registered
before November, 1984, in light of current scientific standards for
registration. This process entails: 1) an evaluation of all
existing data supporting the currently registered uses of a
pesticide; 2) an identification and call-in of any additional data
required for a complete evaluation; 3) conducting an assessment of
the potential risk to human health and the environment: 4)
evaluating the fate of the chemical in the environment; and, 5)
reevaluating food tolerances and adjusting them as necessary.
The primary focus for the FIFRA 1988 amendments is the re-
registration of the older chemicals. These chemicals potentially
pose more of a risk to humans or the environment than the "newer11
pesticides, because more recent testing requirements and risk
analyses have not been completed for these chemicals.
Under the new amendments, re-registration of all older products
will be completed in a five phase process which includes:
Phase 1. In 1989 EPA was required to publish lists of
pesticides that are subject to re-registration. This phase
is complete.
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Phase 2. in FY 1989 and 1990 registrants were required to
declare their intention to seek re-registration of their
product and identify missing or inadequate data and agree to
provide that data. This phase is underway.
Phase 3. In FY 1990 and 1991 registrants must reformat and
resubmit existing studies to facilitate an EPA review. They
must also "flag" data that indicate adverse effects and commit
to providing data for missing or inadequate studies.
Phase 4. By FY 1992 EPA will independently review submission
by registrants under phases 2 and 3, identify data gaps and
issue requirements to fill their gaps.
Phase 5. By FY 1998, EPA will complete their review of all
chemicals and either re-register or take other appropriate
action.
Compliance monitoring activities will be conducted in order to
ensure that use restrictions imposed by EPA are followed. The
Regions and States will conduct inspections to ensure compliance
with the revised regulations and with various use-related
restrictions.
The toxics program efforts to discontinue use of chemicals have
focused primarily on asbestos and PCBs. Through a variety of
regulatory actions, and technical and financial assistance
activities, OPTS has either stopped or proposed to stop the
continued use of these substances, required certain activities to
identify and assess the hazards associated with the past use of
these substances, and directed that under certain circumstances
these hazards be abated through removal and disposal under strict
controls.
An important component of removing chemicals from the environment
is gaining compliance with the regulatory actions or technical
guidance designed to remove these chemicals. Enforcement
inspections and outreach programs conducted by Regional Offices
are crucial to reducing risk by removing chemicals.
The Regions and States will conduct compliance monitoring
activities'to ensure that chemicals that have been banned are no
longer manufactured and distributed in commerce as well as phased
out of use within the mandated time frames. The compliance effort
is directed at preventing hazards from chemicals found to present
unreasonable risks such as PCBs and asbestos.
Removal of pesticide products from the environment is handled by
two separate functions. First is the special review mechanism;
the second is the disposal of cancelled and suspended products.
The special review function is the process whereby EPA evaluates
a product's registration in light of information that leads the
Agency to believe that the risk/benefit balance is skewed towards
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the risk side of the equation. This process is used to do an in-
depth study of the risks associated with a product's uses, and the
benefits associated with those uses. When the risks are too high,
some or all of a chemical's uses can be cancelled or suspended.
Prior to the FIFRA 1988 amendments, the Agency would then be
responsible for the indemnification and disposal of the suspended
products which were subsequently cancelled.
As a result of cancellation actions, the Agency still has two
products to dispose of in 1990: 2,4,5-T/silvex and any remaining
stocks of dinoseb that were not destroyed in 1989. In 1990, the
Agency will have the ability to require registrants to recall
products and dispose of them. The Agency will be responsible for
indemnifying citizens that were not able to sell their products
back to distributors or retail merchants.
Headquarters will develop compliance monitoring strategies, as
needed, to address actions such as cancellations and suspensions,
including requirements for companies to recall products. The
Regions and States will implement appropriate provisions of such
strategies, once finalized. States will complete inspections, as
part of routine comprehensive inspections when appropriate, and
both the Regions and States will take enforcement actions, as
appropriate, to ensure compliance with cancellation and suspension
orders and use restrictions imposed by special reviews, as well as
recalls required by EPA for suspended and cancelled pesticide
products.
3. Field Operations
The effectiveness of our national programs depends on the decisions
of hundreds of thousands of building owners, contractors, pesticide
applicators, consultants, transporters and disposal operators.
Meaningful program coordination with pesticides and toxics field
components at the Regional and State levels is essential to risk
reduction. Incorrect or improper action will not only undermine
the effectiveness of our programs, they can substantially increase
the risk to society. By building upon existing programs in the
States, or encouraging the development of new programs where
necessary, and furthering education and outreach, we will
accomplish the goals of our programs.
It is also critically important to have highly effective training
and guidance programs, augmented by credible enforcement, in order
to influence the hundreds of thousands of decision-makers that will
determine how well our programs operate to reduce risk.
Specific details and major activities of field operations are
discussed below in the Environmental Problems section.
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II . ENVTRQpl>ffifl'yAL PROBLEMS
A. Asbestos Abatement
l. Strategy to Address the Problem
The FY 1991 toxic chemical use control program for asbestos has
several components. These components reflect the results of
implementing the requirements of two Acts of Congress: the
Asbestos School Hazard Abatement Act of 1984 (ASHAA) and the
Asbestos Hazard Emergency Response Act of 1986 (AHERA). Continued
activities include providing information and technical assistance
about the requirements of the regulations; increasing the number
and quality of accredited inspectors\management planners and
abatement contractors and workers available to conduct the
activities specified in school asbestos management plans;
performing compliance inspections to determine whether schools are
carrying put the requirements of the law; and increasing state
capabilities to control asbestos in schools. These activities have
been and will continue to be conducted by the States and EPA
Regional personnel including members of the American Association
of Retired Persons (AARP).
For asbestos in public and commercial buildings, OPTS will
continue to carry out its recommendations made in the February 1988
report to Congress which include: (1) enhancing the nation's
technical capability, (2) focusing more attention on thermal system
insulation, (3) improving integration of enforcement activities to
reduce imminent hazards, and (4) assessing the AHERA regulations
and conducting research studies about asbestos exposure in public
and commercial buildings and the efficacy of abatement techniques.
Additionally, activities are planned for conducting a public
buildings dialogue with NIOSH, OSHA, and the states. Initiation
of a joint GSA/EPA project on management of asbestos problems in
Federal Buildings is included on the Agenda for FY 1991. The
results of these activities will be to develop necessary guidance
and provide appropriate technical assistance to building owners and
managers, increase the number of persons accredited to conduct
asbestos inspections and response actions in public and commercial
buildings* and provide EPA with information it will need in order
to make further recommendations to Congress about the
appropriateness and feasibility of a regulatory control program for
public and commercial buildings. Again, increasing State control
capabilities is a priority.
EPA continues to implement the requirements of the Asbestos Ban
and Phase Out Rule. The primary enforcement burden of the
regulation will begin in 1993.
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The continued major thrust of the OPTS FY 1991 strategy for
asbestos is decentralization of appropriate program activities to
the States. In the development of the asbestos-in-schooIs program
and general technical assistance over the past several years,
States have been involved in carrying out significant
responsibilities as directed by Federal statute or because States
have recognized the importance of these activities and have chosen
to develop their own programs. The kinds of activities in which
States have been involved include: (1) enforcement of the National
Emissions Standards for Hazardous Air Pollutants on asbestos (39
States); (2) review of ASHAA loan and grant applications from
schools (all States); (3) asbestos contractor training and
certification programs (those 40 States with EPA grant funds); (4)
funding programs to defray costs of school inspection and
management plan development (31 States with EPA grant funds); (5)
inspector\management planner training and accreditation (17 States
with EPA grant funds) ; (6) contractor accreditation programs which
meet all AHERA accreditation requirements (at least 13 States);
(7) review of school management plans required under AHERA (most
States); (8) development of asbestos inspection and management
programs which meet all AHERA requirements (2 States); and (9)
increased liaison with States to develop enhanced TSCA authorities
for asbestos enforcement.
As the problem of asbestos in public and commercial buildings now
identified as the priority asbestos activity in OPTS and the
Regional Offices, the continued success of the asbestos-in-schools
program will become even more dependent upon States taking an
active role. As more of EPA's asbestos resources are focused on
non-school buildings. States will need to take on more
responsibility and decision-making authority in carrying out the
asbestos-in-schools program. OPTS has called upon the National
Council of State Legislatures to support state accreditation
programs and develop a model plan for asbestos management in public
and commercial buildings. OPTS can and will perform a variety of
activities to facilitate decentralization of the schools program
to the States. Grant activities to enhance State Asbestos
Programs, begun in FY 1990, will be completed in FY 1991. As FY
1991 progresses, OPTS will conclude its evaluation of the AHERA
schools rule and begin preparation of a report on the status of
asbestos in public buildings, as promised in its February 1988
report to Congress.
2. Headquarters Activities
Activities
Continue the Agency's asbestos technical assistance
program which includes the development of new technical
bulletins, training materials and other such information
especially targeted to public buildings.
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Work with regions and states to coordinate/facilitate
increased state assumption of program responsibilities.
Continued monitoring activities for prior-year projects
which received ASHAA loans and grants (projects since
1985) .
Conduct the 1990 ASHAA loan and grant program.
(Providing Congress approves.)
Maintain asbestos technical counsel and document
distribution service over the TSCA hotline.
Continue implementation of our asbestos-in-buildings
program, which includes a major corporate use study, and
model Federal program with GSA.
- Work with other EPA offices which are implementing
programs targeted at the school community in order to
increase the effectiveness of EPA's outreach activities.
Facilitate and coordinate NESHAP/TSCA activities.
Funds permitting, continue to fund OPTS non-enforcement
TSCA cooperative agreements to enhance state asbestos
activities.
Compliance/Monitoring Activities
Headquarters will review Regional AHERA Program Plans and
provide Regions with comments and recommendations for
modifications to these plans as appropriate.
OPTS will update compliance monitoring strategies,
enforcement response policies and inspection checklists
for AHERA as appropriate.
Headquarters will develop the compliance monitoring
strategy, the enforcement response policy and inspections
checklists for the Asbestos Ban and Phase-Out Rule.
The Agency will issue the FY 1992 TSCA Compliance
Cooperative Agreement Guidance, which discusses
requirements and priorities related to asbestos
compliance cooperative agreements.
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3. Regional Activities
Program Activities
Focus primary outreach and technical assistance programs
on public buildings. (SPMS T-6)
Maintain asbestos outreach and technical assistance
programs for building owners, workers, and other affected
groups.
Monitor school ASHAA grants. (SPMS T-l)
Coordinate NESHAPS/TSCA programs in the Regions.
Continue facilitation in developing State asbestos
program capabilities in order for States to assume
responsibilities that are currently done by EPA. (SPMS
T-7). Maintain program responsibility until states
assume program, and provide oversight to states that have
assumed program responsibility.
Reinstitute and maintain EPA asbestos information and
training center programs on an unfunded basis.
Headquarters will issue guidance.
Compliance/Monitoring Activities
The Regions will implement their FY 1991 AHERA Program
Plans for the Regional AHERA compliance programs and
conduct inspections in accordance with the Compliance
Monitoring Strategy for AHERA. The Regions will annually
evaluate their AHERA Program Plans and amend them
according to their evaluation findings.
The Regions will take enforcement actions consistent with
the Agency's enforcement response policy for AHERA.
The Regions will establish and maintain a log system for
tracking tips and complaints and referrals from the
NESHAPs program.
Regional staff will monitor compliance with the worker
protection rule to assure the safety of asbestos
abatement and general maintenance workers. (SPMS T-6)
Regional staff will prepare for compliance monitoring
activities regarding the asbestos ban and phase-out rule
and conduct inspections or oversee State inspections and
take enforcement actions consistent with the ban and
phase-out enforcement response policy once the compliance
dates become effective.
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Negotiation, oversight and evaluation of asbestos
compliance cooperative agreements will continue.
4. State Activities
Activities
Establish AHERA accreditation programs, as required by
law.
Conduct other AHERA and ASHAA (school) program
responsibilities.
Assume increased responsibility and leadership for
asbestos programs affecting public and commercial
bui Idings .
Compliance, /Monitoring Activities
States will develop and submit, as part of their annual
Asbestos compliance Cooperative Agreement applications,
an AHERA Program Plan in accordance with the annual TSCA
Compliance Cooperative Agreement Guidance.
States will implement their AHERA Program Plans and
conduct inspections consistent with the AHERA Compliance
Monitoring Strategy and commitments under their
cooperative agreements.
States will refer to the EPA Regional Offices violations
of AHERA that are discovered during inspections conducted
under compliance cooperative agreements.
States with asbestos compliance cooperative agreements
will establish and maintain a log system for tracking
tips and complaints, and referrals received from the
NESHAPS program.
Additional State compliance cooperative agreements will
be developed to address the growing interest on behalf
of those states which wish to take a more active role in
asbestos-related enforcement activities in the field and
in an effort to facilitate decentralization of asbestos
enforcement activities.
5. Research Activities
The effectiveness of asbestos abatement procedures,
emphasizing removal techniques, and operation and
maintenance procedures will continue to be evaluated.
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Control strategies for maintaining work area isolation
during removal in tall and occupied buildings will be
evaluated.
Measurement methods and quality assurance programs for
asbestos will be developed. This will include evaluation
of airborne asbestos sampling procedures.
Standardized sampling methods, analytical and monitoring
procedures will continue to be developed and/or improved,
including identification, measurement and
characterization of asbestos fibers.
B. EPCRA - Section 313
1. Strategy to Address the Problem
At the outset of FY 1991, OPTS will have collected three years'
data under the TRI program. The data obtained for the reporting
years 1987 and 1988 will have been made available on line to the
public by June 1990. The strategy for FY 1991 will focus on more
efficient processing of forms, additional assessment of data
quality, and improved accessibility/usability of the NLM database.
Specifically, the FY 1991 TRI program includes the following
objectives: (1) encourage reporting from more facilities so as
to receive emissions data from a larger percentage of facilities
required to report under section 313; (2) improve data quality and
accuracy of emissions estimates reported by facilities; (3)
provide emissions data and reports in formats which are useful to
the general public and to Federal, State, Tribal, and local
environmental officials; (4) maintain TRI network of Federal,
State, Tribal, and local environmental officials and provide
network members with necessary assistance to answer inquiries from
the public; and (5) facilitate use of data by Federal, State,
Tribal, and local officials as a screening tool for identifying
environmental problems in need of further investigation or action.
2. Headquarters Activities
m Activities
Initiate forms processing using an optical character
reader to cost effectively increase productivity.
Continue to support and encourage submission via magnetic
media in order to reduce data entry costs.
Continue efforts to assure quality of TRI data.
Continue efforts to raise awareness among affected
facilities about reporting requirements and provide
technical guidance to improve accuracy of release
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estimates by maintaining the Hotline and conducting
industry outreach.
Continue to provide materials and other resources to
Federal, State, Tribal, and local personnel in the TRI
network to prepare them to respond to public inquiries.
Identify opportunities for the EPA programs. Regions,
States, Tribal, and local governments to utilize TRI data
and assist with analysis of data for detecting and
addressing environmental problems. (SPMS T-4)
With help from the regions consider expanding the "Train
the Trainers" program to include state personal
workshops.
- " Provide funding to States to implement data quality
assurance programs under TSCA Section 28.
Evaluate the need for, and if appropriate, promulgate a
peak release reporting rule or other amendments to the
reporting requirements.
Complete the review of the 3-year sunset provision of the
reporting requirements.
Continue to refine and revise the TRI list of chemicals
by rule, respond to petitions and process trade secrets.
Publish a third National Report and provide assistance
to the Government Accounting Office for their report to
Congress.
Continue to make TRI data available to the public via
electronic and other means.
CompJ, iancg/Monitorina Activities
Owners or operators of a facility subject to the
requirements of section 313 must report annually to EPA
and to the facility's state of residence their releases
of certain listed chemicals to any environmental medium.
Headquarters will take initial action against facilities
which fail to respond to a Notice of Noncompliance (NON)
for incomplete and incorrect submissions.
Headquarters will review Regional Annual Program Plans
and provide Regions with comments and recommendations for
modifications to these plans as appropriate.
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Headquarters will coordinate OPTS data quality assurance
activities with the Regions/NEIC regarding data quality
inspections.
Headquarters will revise the section 313 Compliance
Monitoring Strategy, enforcement response policy and
inspectional guidance as appropriate.
Headquarters will supply support services for contract
data quality verification inspections and complete a
computer based inspection targeting system for use by
Regional/AARP/contract inspectional activity.
3. Regional Activities
Proaram Activities
Conduct outreach programs to encourage comprehensive,
accurate, and timely reporting of emissions by industry.
Continue work with State and Tribal pollution control
agencies to facilitate cross-program, inter and intra-
agency communication and coordination on use and
interpretation of, and programmatic response to the TRI
data.
Integrate Title III activities at the Regional level and
encourage use of TRI data by other media offices in the
Region.
Encourage Regional, State, local, and Tribal pollution
prevention and other environmental programs and increase
public awareness through outreach, which includes:
providing interpretive information concerning chemical
releases; informing them on ways to access data;
encouraging use of the data; and providing training on
access and data use.
Manage TSCA Section 28 State grants with limited number
of States to develop data quality activities at the state
level.
Conduct industry audits to identify opportunities for
waste minimization/pollution prevention activities and
provide related technical information to states.
Work to decrease emissions through data analysis,
identify facilities of concern and provide pollution
prevention information/technology transfer to the
regulated industries.
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Compliance/Monitorina Activities
The Regional Offices will submit their annual section 313
Program Plans to Headquarters and implement the remaining
pertinent provisions of the section 313 Compliance
Monitoring Strategy and any amendments to this strategy.
EPA will assure compliance with section 313 by: 1)
Identifying suspected nonreporters, investigating to
determine if they are subject to reporting, and taking
enforcement actions; 2) Identifying and taking
enforcement actions against a prioritized subset of
reporters who have submitted reports with readily
determined errors; 3) Conducting technical inspections
to assess the quality of submitted data and taking
appropriate actions to ensure data quality; 4)
identifying late reporters and taking appropriate action.
Case development will continue as a major Regional effort
in FY 1991. (SPMS T/E-l)
Regional section 313 personnel will coordinate closely
with counterparts in the Region who are implementing
other sections of EPCRA. Coordination will focus on
exchanging information on facilities' compliance and,
thereby, provide referrals on possible violators.
4. State Activities
Program Activities
Encourage reporting through various outreach activities
and raise awareness about the TRI reporting requirements.
Conduct annual training seminars for reporting facilities
to explain the reporting form or any changes in reporting
requirements.
Continue to develop State data bases that fully integrate
data collected under Title III reporting provisions.
Establish State TRI networks capable of responding to
public inquiries ranging from requests for basic
information to requests for characterization of risk in
particular situations.
Work with Regional offices to identify facilities of
concern and provide pollution prevention information to
regulated industries.
Conduct data quality activities as set forth in any
approved state TRI grant.
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compliance/Monitoring Activities
The State and Tribal agencies responsible for EPCRA win
be asked to coordinate with EPA. Initial efforts at
coordinating with States and Tribes will be to crosscheck
which facilities, if any, reported to a State or Tribe
but not EPA, and which facilities reported to EPA but not
with the State or Tribe. Coordination efforts should
also involve sharing information regarding the identity
of the regulated community and referrals on possible
violators.
5. Research Activities
Section 313 chemical profiles will continue to be
prepared and installed into the Integrated Risk
Information System (IRIS).
A select group of multiple process situations, where
release estimation is difficult, will be analyzed.
Sampling and analytical methods will be developed to
support environmental and exposure monitoring for section
313 chemicals.
Industrial emission estimation methods will be developed,
analyzed and evaluated.
C. Polychlorinated Biphenyls (PCBs)
1. Strategy to Address the Problem
In FY 1991, OPTS will continue to review and issue PCB disposal
approvals for mobile facilities, provide support to the Regions in
their review of commercial storage applications, review exemption
petitions and develop exemption rulemaking, operate a clearinghouse
of PCB disposal approvals, oversee Regional permitting programs,
issue interpretive guidance, maintain oversight of the Texas
Eastern cleanups, and address issues associated with gas pipeline
removal and abandonment. In addition, OPTS will initiate
rulemaking to address the processing of PCBs during metals
recycling operations including the disposal of PCB contaminated
fluff fron shredding operations.
OPTS will attempt to increase State participation in evaluations
of site consideration in applications for PCB disposal approvals
for fixed site disposal facilities. OPTS will encourage State
governments to develop in-house expertise at the state level on PCB
disposal technologies and PCB risk assessments.
Efforts will also be initiated by OPTS to decentralize the PCB
cleanup program to the States, making States responsible for
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setting the proper level of cleanup for old PCB spills (spills
occurring prior to the PCB spill cleanup policy). OPTS will
develop Federal guidance on PCB risk assessment and TSCA
cost /benefit balancing for PCBs and encourage development of in-
house expertise at the State level in setting these levels.
2. Headquarters Activities
Program Activities
Monitor on a nationwide basis all PCB disposal and
storage — facility permitting, update old permits, and
make available public information reports on who is
permitted to do what and where, and the permittee
handling record.
Address the issue of scrap and salvaging of PCB
contaminated equipment and fluff generated from
shredding .
Develop guidance for Regional permitting activities
(storage and disposal facilities).
Continue active oversight of Regional permitting
activities, with emphasis on permitting storage
facilities.
Continue to provide risk assessment support for PCB
issues at the Regional level.
Continue to provide guidance and interpretations of the
PCB regulations, particularly more recent rules such as
manifest and reporting rule and spill cleanup and
reporting rule.
Develop Federal guidance on PCB risk assessment and TSCA
cost/benefit balancing.
Test and distribute software package for risk assessment.
Q /Monitor ina Activities
Headquarters will review the Regional PCB Program Plans
and provide Regions with comments and recommendations for
modifications to these plans as appropriate.
Headquarters will use the information on violations at
Federal facilities to determine if Headquarters needs to
address problems with specific agencies or departments.
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Headquarters will monitor the conditions of the Consent
Agreement and cleanup of Texas Eastern's PCB-contaminated
natural gas pipeline.
The Agency will issue annual TSCA Compliance Cooperative
Agreement Guidance, which includes requirements which
States receiving PCB compliance cooperative agreements
must fulfill.
Headquarters will monitor the conditions of the consent
agreement and cleanup of other natural gas pipeline
system operations.
Headquarters will develop guidance that issues criterion
and procedures for determining if a natural gas pipeline
that has been contaminated with PCB has been adequately
decontaminated for continued use.
3. Regional Activities'
Continue to review applications for and issue PCB
disposal permits.
Target inspections for environmental results.
Permit commercial storage facilities.
Call-in old/deficient PCB disposal permits.
Provide technical assistance, guidance and interpretation
of the PCB regulations to the regulated community and
States.
In cooperation with HQ, provide technical and risk
assessment support for local PCB issues as resources
allow, on a Region-by-Region basis.
Review and issue R&D PCB disposal permits under 500
pounds.
Compliance/Monitoring Activities
The Regions will develop and submit PCB Program Plans to
Headquarters for the Regional PCB compliance programs
based on the PCB Compliance Monitoring Strategy and its
amendments, and an evaluation of the inspection schemes
from the previous year.
Regions will implement the PCB Compliance Monitoring
Strategy and its amendments.
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The Regions will inspect potential PCB manifesting,
storage and disposal sites and determine if these
facilities are in compliance. Priorities for inspections
include permitted disposal sites and intermediate
handlers and brokers identified through the notification
rulemaking. (SPMS T/E-6)
The Regions will monitor the conditions of consent
Agreements and cleanups of PCB-contaminated natural gas
pipelines in their Region.
Regions will negotiate and oversee State PCB compliance
cooperative agreements, and ensure that the States'
inspection schemes parallel the PCB compliance strategy
and its amendments.
The Regions will work with their state grantees so that
they assume full responsibility for case development
activities under their enforcement cooperative
agreements.
States should continue to draft enforcement actions;
overview PCB cleanup as appropriate and provide
information to the regulated community.
4. State Activities
Compliance/Monitoring Activities
- The States with PCB compliance cooperative agreements
will develop and use for FY 1991 an inspection scheme
which includes a specific method or criteria for
selecting FY 1991 inspection targets and for priority
setting based on: 1) The Agency's second PCB Compliance
Monitoring strategy amendment, issued on May 2, 1988; and
2) The identification of any serious environmental or
human health risks from PCBs in the State.
The States with PCB compliance cooperative agreements
should establish and maintain a logging system for
tracking tips and complaints.
In conducting inspections and their other cooperative
agreement activities, the States will comply with the FY
1991 TSCA Compliance Cooperative Agreement Guidance and
EPA's PCB Compliance Monitoring Strategy as amended.
Additional State Compliance Cooperative Agreements win
be developed to address the growing interest on behalf
of those States which wish to take a more active role in
PCB-related enforcement activities in the field.
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D. Groundwater Protection
1. Strategy to Address the Problem
In FY 1991, the program will continue to face concerns regarding
pesticides in groundwater. The National Pesticides Survey will be
completed; this data will help the Agency evaluate the extent of
groundwater contamination and public exposure. The Agency's goal
for FY 91 is to fully integrate inter-agency efforts (Pesticide
Management Plans, Non-Point Source Management Plans and Wellhead
Protection Plans) to protect the Nation's water supplies from
contamination by agricultural chemicals.
To meet these goals on the National level, Headquarters will
disseminate National objectives, technical documents to guide
Regional, State and local officials in achieving the necessary
controls over pesticides to protect groundwater from chemical
contamination. At the regional level, the Pesticides, Groundwater
and Non-Point Source Programs will work closely with one another
to develop consistent state workplans supported by multiple Program
grants.
»
The Agency has taken the position that protection of groundwater
will require a localized protection approach. This requires a
greatly expanded/strengthened state role in problem identification
and in the management of pesticide use. At the State level, there
is the same overriding need for cooperation and coordination
between involved agencies (e.g., the Department of Agriculture,
Health Department, Environmental Agencies, etc.) as at the national
and regional levels.
2. Headquarters Activities
Program Activities
In 1990, OPTS issued a groundwater management strategy.
In 1991, OPTS will provide assistance to the States and
Tribes to develop pesticide management plans for
protecting the States' groundwater resources.
OPTS and the Office of Drinking Water (ODW) will develop
drinking water standards and Health Advisories for
pesticides not previously covered. These advisories can
be used by the States and Tribes as reference points for
groundwater protection programs.
OPTS will finalize in 1990 a restricted use rule to
classify pesticides based on groundwater concerns. In
FY 1991 OPTS will work with the States and Regions to
implement this rule, including the development of
groundwater educational programs.
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In FY 1990, OPTS and ODW will complete work on the
National Survey of Pesticides in Well Water. This is a
comprehensive statistical survey of underground drinking
water sources in the U.S. The results of this survey
will be examined in FY 1991 to better characterize the
nature and extent of contamination of ground water by
pesticides and relate the occurrence of pesticides with
usage patterns.
Headquarters will develop and evaluate as necessary, a
baseline ground water data base that is consistent with
other program offices.
Headquarters will identify and restrict pesticides that
can only be used with a State management plan.
Headquarters will provide assistance to the Regions in
the review and approval of State management plans.
Headquarters will continue to explore alternative funding
for State and Regional activities.
Headquarters will issue the FY 1992 FIFRA Program
Cooperative Agreement Guidance that is coordinated with
and complementary to guidance issued by the Ground Water
and Non-Point Source Programs. Note that Program
Cooperative Agreement Guidance is part of the umbrella
grant guidance that includes compliance and enforcement
as well as program components for ground water,
endangered species, worker protection and C&T.
Compliance/Monitoring Activities
Headquarters will draft and distribute for comment
compliance monitoring strategies, policy interpretations
and enforcement response policies, as needed, which
address any mandatory components of OPTS* groundwater
protection program which will need to be enforced by
Regions and states in 1991.
Headquarters will issue the FY 1992 FIFRA Compliance
Cooperative Agreement Guidance which addresses activities
to help ensure compliance with restrictions related to
groundwater protection.
Headquarters will provide information for guiding State
inspectors in enforcement of the Agency's Agricultural
Chemicals in Groundwater Strategy.
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3. Regional Activities
Program Activities
The Regional Offices will provide assistance to the
States and Tribes in the development of management plans
to protect ground water, and review/approve plans as
necessary.
The Regional offices will negotiate with the states,
Tribes, and territories on the program components of the
ground water program for the FY 1992 FIFRA Cooperative
Agreements that are coordinated with Ground Water and
Non-Point Source Programs.
The Regional Offices will provide input on the
development of guidance for pesticide management plans
for protection of ground water.
Regional pesticide experts will assist in disseminating
results from the National Survey of Pesticides in Well
Water.
Regions will coordinate information collection efforts
with the States for major monitoring efforts.
Compliance/Monitoring Activities
Evaluation of ground-water-related enforcement activities
will be part of the mid-year and end-of-year evaluations
the Regions conduct of State activities conducted under
the FY 1991 FIFRA Compliance Cooperative Agreements. The
Regions will also negotiate with the States on
enforcement activities related to groundwater protection
for the FY 1992 FIFRA Compliance Cooperative Agreements.
4. State Activities
Program Activities
A number of States will be conducting groundwater and
surfacewater studies on their own to determine the
relationship of pesticide usage to contamination of water
within their States.
States with FY 1991 FIFRA Program Cooperative Agreements
will implement this program.
The States will provide input to Headquarters on the
continued refinement of the guidance for pesticide
management plans for protecting ground water.
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The States win continue their efforts to develop
management approaches for the protection of ground water
from pesticide contamination in coordination with ongoing
development of Non-Point source management plans,
Wellhead Protection Plans and USDA's and USGS's water
quality efforts.
Compliance/Monitoring Activities
State lead agencies will be requested and encouraged to
meet with their State counterparts responsible for
regulating groundwater quality in order to: 1) More
effectively plan and coordinate enforcement activities
to protect ground water; and 2) To identify potential
State funding sources from such counterparts.
States with FY 1991 FIFRA Compliance Cooperative
Agreements will include monitoring of use restrictions
for ground-water protection as an element of
comprehensive routine inspections. States will also plan
for enforcement in FY 1991 of appropriate components of
the Agency's Agricultural Chemicals in Groundwater
Strategy (such as chemical specific State management
plans).
5. Research Activities
Field validate single and multimedia exposure models that
predict multimedia and intermedia transport and fate of
pesticides through soils (including leaching potential),
sediments and other porous material to ground and surface
waters.
Groundwater research will evaluate aquifer types, run-
off problems and no-till agricultural practices.
Develop monitoring techniques and strategies to determine
the impacts of agricultural chemicals on the hydrologic
regime.
Exposure models should include identification of
breakdown products and rates, including chemical analysis
and toxicological assessment. Techniques should be
developed that would allow determination of the impact
of multiple chemicals and their interaction on the
quality of groundwater.
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E. Endangered Species
1. Strategy to Address the Problem
The Agency's goal is to have an enforceable Federal Program in FY
1992, therefore, during FY 1991, the agency will be requiring
registrants to begin the relabeling of products to conform with the
requirements of the Endangered Species Program. The program will
continue to be largely voluntary in FY 1991 emphasizing program
recognition and compliance by users through education and
information (map/bulletin, etc) distribution.
Those States developing state-initiated plans will be required to
submit those plans to the Agency for review and approval before the
enforceable Federal program begins. Until approval of a State
plan, the Federal program will be enforced. Close cooperation
among Headquarters, Regional, and State offices will be required
for the Endangered Species Protection Program to succeed.
States/Tribes that initiate state plans or pilot programs will
prepare for implementation of their plan as well as collect
information that will aid in the evaluation of the effectiveness
of the State programs.
2. Headquarters Activities
Program Activities
Working with the U.S. Department of Agriculture, the U.S.
Fish and Wildlife Service and the Regions, States, and
Tribes, OPTS will continue to provide training as
necessary to implement the Endangered Species program.
Headquarters will issue the FY 1992 FIFRA Program
Cooperative Agreement Guidance. Note that Program
Cooperative Agreement Guidance is part of the umbrella
grant guidance that includes compliance and enforcement
as well as program components for_ ground water,
endangered species, worker protection and C&T.
OPTS will continue to provide and update county maps and
bulletins for review and distribution.
OPTS will provide risk information to the Regions,
States, and Tribes for the development of specific
pesticide management plans that are being developed by
individual States and Tribes for the control of pesticide
use.
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OPTS will continue to provide pesticide experts to
Regional Offices for use in tailoring programs to local
areas.
OPTS is responsible for assessing the potential for
pesticides to cause adverse effects to endangered
species.
Headquarters will continue to provide risk
assessment/risk management training courses to the
Regions, States, and Tribes.
Headquarters will provide, through The Regional Office,
information to States regarding proposed and final
actions that affect endangered species.
Compliance/Monitoring Activities
Headquarters will draft and distribute for comment
compliance monitoring strategies and policy
interpretations, as needed, which address any mandatory
components of OPTS* endangered species program which will
need to be enforced by Regions and States in 1991.
Headquarters will issue the FY 1992 FIFRA Compliance
Cooperative Agreement Guidance which addresses activities
to help ensure compliance with any enforceable components
of the Agency's endangered species program.
3. Regional Activities
Proqrajn Activities
As required by State plans to protect endangered species,
the Regions will promote any new effective and innovative
techniques to apply pesticides to reduce or eliminate
exposure to protected fauna and flora.
The Regional offices will negotiate with the States,
Tribes, and territories on the program components of the
endangered species program for the FY 1992 FIFRA
Cooperative Agreements.
Compliance/Monitoring Activities
The Regional Offices will negotiate with the States on
the enforceable components of the endangered species
program for the FY 1992 FIFRA Compliance Cooperative
Agreements.
The Regional Offices will review and approve State plans
as necessary and encourage/facilitate coordination among
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34
various state and federal agencies concerned with
endangered species.
4. State/Tribal Activities
Program Activities
The States and Tribes will communicate information to the
public concerning OPTS* regulatory actions and policies.
States with FY 1991 FIFRA Cooperative Agreements will
implement this program.
The States and Tribes will provide input to Headquarters
on the continued refinement of the endangered species
program and policies and will work with Headquarters and
the Regions in implementing these policies.
The States and Tribes will expand their role in making
site specific decisions concerning the use of pesticides
in their areas, especially for those issues related to
endangered species.
States/Tribes that initiate State plans on pilot programs
will prepare for implementation of their plan as well as
collect information that will aid in evaluation of the
effectiveness of the State program.
Compliance/Monitoring Activities
The States with FY 1990 enforcement special projects
which are related to endangered species protection and
which have two-year project periods will complete these
projects in FY 1991.
The States which wish to implement an enforceable FY 1991
State program for endangered species protection will do
so. States will plan for enforcement of any mandatory
components of the FY 1992 Federal endangered species
program.
5. Research Activities
Pesticide toxicity to molluscan larvae and adults win
be compared as potential surrogates for endangered
species.
Techniques to predict the risk to wildlife from
pesticides will be refined.
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F. Pesticide Worker Protection
1. Strategy to Address the Problem
In FY 1991, the Agency will implement the new worker protection
program which provides measures to reduce worker exposure to
pesticides, provides for the posting of treated fields, assures
that clean water will be available for workers to wash with, and
increases worker training. This program will be coordinated with
Federal and State "OSHA" agencies. In FY 1991, the Agency's main
goal is to develop the training materials required by this program
and to work with the States to develop an effective delivery
system.
2. Headquarters Activities
Program Activities
OPTS will continue to implement the worker protection
standards for agricultural pesticides. These standards
will govern pesticide-treated field reentry intervals,
protective clothing, label warnings, and employer duties
to notify and otherwise protect workers. In conjunction
with the implementation of these standards, OPTS will
continue to develop training materials and provide
technical assistance to appropriate groups to ensure
understanding of the regulations.
Headquarters will maintain ongoing liaison with OSHA
regarding implementation of worker protection standards.
Program delivery/effectiveness will be evaluated annually
and adjusted as necessary.
Headquarters will issue the FY 1992 FIFRA Program
Cooperative Agreement Guidance. Note that Program
Cooperative Agreement Guidance is part of the umbrella
grant guidance that includes compliance and enforcement
as well as program components for ground water,
endangered species, worker protection and C&T.
Comp]iaflfip/Monitoring Activities
Headquarters will provide information in response to
questions concerning the National Compliance Monitoring
Strategy for Worker Protection Standards for Agricultural
Pesticides. Headquarters will also update the Strategy,
as necessary, to address 1992 enforcement activities.
Headquarters will issue the FY 1992 FIFRA Compliance
Cooperative Agreement Guidance which addresses activities
to help ensure compliance with the worker protection
standards.
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3. Regional Activities
Program Activities
The Regions will continue to act as liaison between
Headquarters and the States and Tribes in providing
technical assistance regarding worker protection
requirements.
The Regional offices will negotiate with the States,
Tribes, and territories on the program components of the
pesticide worker protection program for the FY 1992 FIFRA
Cooperative Agreements.
The Regions will provide input on the continued
implementation of the worker protection regulations.
The Regions will identify and discuss EPA's activities
with various agencies in each State which have an
interest in occupational safety and pesticides.
The Regions will coordinate with State OSHA and other
agencies to provide assistance and guidance to States
through reviews of their priorities and programs for
implementing the worker protection standards.
Compliance/Monitoring Activities
The Regions will become familiar with the specific roles
and responsibilities of each Agency in a State which has
jurisdiction and will be responsible for enforcing the
worker protection standards and associated labeling
requirements. The Regions will do this based on
information received from the States.
Evaluation of worker protection-related enforcement
activities will be part of the mid-year and end-of-year
evaluations the Regions conduct of State activities
conducted under the FY 1991 FIFRA Compliance Cooperative
Agreements. The Regions will also negotiate with the
States on enforcement activities related to worker
protection for the FY 1992 FIFRA Compliance Cooperative
Agreements.
The Regions will: a) Oversee State inspection and case
development activities and tracking of enforcement-
related worker protection activities; b) Coordinate with
OSHA and any other appropriate Federal agencies at the
Regional level; c) Identify inspector training needs
related to worker protection; and d) Assure the
distribution of all information pertinent to the worker
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37
protection standards to the enforcement cooperative
agreement project officers.
4. state Activities
Program Activities
The States will implement worker protection standards
(WPS) for agricultural pesticides which should include
integrating WPS requirements into the certification and
training program, enforcing WPS, and establishing
cooperation and coordination between State agencies
responsible for occupational safety.
States with FY 1991 FIFRA Cooperative Agreements win
implement this program.
CompJ, j fln.ee/Monitorina Activities
In some cases, a State may decide that more than one
State Agency will have jurisdiction and be responsible
for enforcing the worker protection standards for
pesticides and associated labeling requirements. If a
State agency other than the recipient of EPA compliance
cooperative agreement funds will have jurisdiction for
enforcement of a portion of the worker protection
standards, then the State lead agency must develop a
mechanism for coordinating with the other state agency
involved and clarify in writing this mechanism and the
specific roles and responsibilities of each State agency
with jurisdiction. This only affects States where more
than one State agency has jurisdiction and responsibility
for enforcing the worker protection standards.
Once the worker protection-related requirements are
effective, inspections will need to be conducted. For
FY 1991, as an element of routine comprehensive
inspections, the States will need to ensure compliance
with the pesticide worker protection statements required
to be on labeling. Once the revised worker protection
requirements are effective, the State lead agency will
also focus in FY 1991 on responding to and following up
on incidence and complaint reports.
G. Certification and Training
1. Strategy to Address the Problem
In FY 1991 the Agency will work with the States to develop
appropriate schedules for addressing the changes to State plans
required as a result of the revised Part 171 Regulations. State
training materials and competency standards will need to be updated
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to include Groundwater, Worker Protection and Endangered Species
materials.
2. Headquarters Activities
Program Activities
Headquarters and Regions will continue to assist
interested Tribes in establishing a Certification and
Training program.
In FY 1991, the final revisions to the certification
regulations will be published. The revised regulations
will address such issues as renewal of certification,
upgraded standards of competency, the definition of
"under the direct supervision" and standards for non-
certified applicators.
Headquarters will issue the FY 1992 FIFRA Program
Cooperative Agreement Guidance. Note that Program
Cooperative Agreement Guidance is part of the umbrella
grant guidance that includes compliance and enforcement
as well as program components for ground water,
endangered species, worker protection and C&T.
Working with USDA, OPTS will continue to develop and
update applicator training materials and train-the-
trainer sessions. OPTS will work with the private sector
and the States to identify existing material which can
be used.
A national bibliography and repository of training
materials will be developed, kept current, and will be
operational for all States.
Comp.\i a. n,ce/Monitor ing Activities
OPTS will develop compliance monitoring strategies,
policy interpretations, enforcement response policies,
inspection and case development guidance for enforcing
the final revisions to the certification regulations.
OPTS will issue the FY 1992 FIFRA Compliance Cooperative
Agreement Guidance which addresses activities to help
ensure compliance with the final revisions to the
certification regulations.
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3. Regional Activities
Program Activities
The Regions will continue to participate in evaluation
of State and Tribes methods for certification (i.e.
exams, training, self-study packets). The Regions win
follow-up on changes to State programs which were agreed
upon during the State Plan review and which remain to be
implemented. (SPMS P-ll for State plan review)
State and Tribes certification negotiations, cooperative
agreements and mid- and end-of-the-year certification
grant reviews with the States and Tribes will continue
to be administered through the Regional Offices. The
Regions win keep the States informed of new c&T
requirements.
Compliance/Monitoring Activities
The Regions will negotiate and oversee State/Tribal
compliance monitoring activities, under cooperative
enforcement agreements, with respect to new requirements
included in the revised certification regulations. (SPMS
P/E-1 and P/E-2)
4. State Activities
Program Activities
States will revise their C&T programs as appropriate to
address: 1) recommendations for changes resulting from
the WPS program or the joint EPA-USDA reviews and State
internal reviews; 2) new regulatory decisions and
restrictions; 3) new or updated training materials; and
4) any changes agreed upon during the State Plan review
which remain to be implemented.
States with FY 1991 FIFRA Cooperative Agreements will
implement this program.
Compl iajigo/Monitor ina Activities
Under the terms of their enforcement cooperative
agreements, the States will conduct inspections to ensure
compliance with label requirements and use restrictions.
When appropriate these inspections will be conducted as
part of routine comprehensive inspections. (SPMS P/E-1)
The States with cooperative enforcement agreements will
report on the enforcement activities conducted under
these agreements in follow-up to restricted use
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40
requirements and in accordance with FY 1990 guidance on
uniform reporting. (SPMS P/E-1 and P/E-3)
5. Research Activities
Develop educational and training activities based on the
"Protective Clothing Guidance Manual for Agricultural
User Groups."
Develop monitoring techniques and strategies to determine
(and control) the actual exposure of the most highly
exposed farm workers like flaggers and mixer/loader
applicators.
Develop new and/or refine the existing techniques that
would allow prediction of human skin absorption of
pesticides.
Develop monitoring techniques and other procedures that
would allow evaluation of the long-term influence of
pesticides on health of highly exposed farm workers,
especially neurological and immunotoxic effects.
H. Registration
1. Strategy to Address the Problem
The Agency controls the entry of new chemicals and significant new
uses of established chemicals by the registration process. For
registration, manufacturers must submit a full battery of health
and environmental testing before receiving a registration and
allowing the marketing of their products. Unlike chemicals
registered before 1977 which have often been marketed many years
without the benefit of the full range of currently required
scientific testing, new chemicals are fully tested using state-
of-the-art methodology and techniques.
With a complete data base, the Agency can more accurately determine
the potential for adverse health and environmental exposures such
as ground-water contamination, endangered species problems, worker
and applicator exposure, and chronic and acute hazards associated
with their uses. As a result, many new chemicals may prove to be
safer then their older alternatives. This current rigorous
premarket review erects higher hurdles for new chemicals compared
to existing ones. Therefore, in FY 1991, the Agency will continue
to develop and implement improved processes for encouraging the
registration of safer, substitute pesticides.
With the development of genetically-engineered microbial pesticides
(GEMPs), the Agency must develop different methodologies and
procedures for addressing the concerns raised by these products.
The Agency's goal is to avoid future environmental problems and
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41
related cleanup costs by carefully controlling the use of these new
pesticides, without stifling technological innovations that promise
to yield both safer and more effective pesticides.
2. Headquarters Activities
Program Activities
In accordance with the FIFRA 1988 amendments,
Headquarters will give priority consideration to new
chemicals, biochemicals/microbials and new uses in order
to promote a more rapid entry into the marketplace of
new, more completely tested chemicals.
Headquarters will continue to implement its plan for the
review of microbial pesticides, particularly small scale
field testing of GEMPs and non-indigenous pathogenic
microbial pesticides, and for coordination with USDA.
Headquarters will continue to provide guidance to the
pesticide experts and other personnel in the
Regions/States regarding permissible activities and data
requirements for GEMP testing.
In FY 1991, OPTS will continue to increase laboratory
capability to validate analytical methods to ensure that
microbial and biochemical products submitted for
registration can be correctly identified and quantified.
CompJ,||fl\nc.e/Monitor ing Activities
Headquarters will implement a program for tracking and
monitoring registrants* progress in acquiring and
submitting data. These tracking and monitoring programs
must also address the data submittal requirements
included in the 1988 amendments to FIFRA.
Headquarters will respond to any questions regarding the
FIFRA penalty matrix, updated in 1989 to address
additions and changes to the unlawful acts provision of
FIFRA section 12, resulting from the 1988 FIFRA
amendments.
Headquarters will issue the FY 1992 FIFRA Compliance
Cooperative Agreement Guidance which addresses activities
to ensure compliance with the labeling and use
requirements approved as a result of the registration
process.
Headquarters will conduct a compliance monitoring program
to audit data submitted under FIFRA and to determine
whether testing laboratories are complying with Good
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42
Laboratory Practices (GLP) regulations. These
requirements ensure the scientific validity of data
submitted to EPA in support of pesticide registrations.
(SPMS P/E-1)
Headquarters, working with the National Enforcement
Investigations Center, will conduct GLP inspections at
FIFRA environmental testing laboratories,in all Regions
except Regions II, III, and V. In response to violations
of GLP requirements, the Agency will issue enforcement
actions. (SPMS P/E-1)
3. Regional Activities
Program Activities
Regions will continue to be requested to provide
technical assistance, as appropriate, for small-scale
testing projects and Experimental Use Permits involving
genetically engineered microbial pesticides (GEMPs).
Regions/States will continue to be involved in
educational outreach efforts to satisfy community
concerns over GEMP testing.
Regions should continue to be actively involved in
outreach to explain registration schedules, issues, etc. ,
and provide feedback to Headquarters on registration/re-
registration issues.
Compliance/Monitoring Activities
The Regions will negotiate and oversee State/Tribal
compliance monitoring activities, under enforcement
cooperative agreements, with respect to label
requirements, use restrictions, ensuring compliance with
suspension/cancellations, restricted use classifications
and other restrictions and precautions imposed during the
registration process. Regional Offices will conduct such
compliance activities in those States and reservations
not participating in the cooperative enforcement
agreement program. (SPMS P/E-1 and P/E-2)
Regions II, III, and V will conduct GLP inspections at
FIFRA environmental testing laboratories within their
jurisdiction.
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4J
4. State Activities
Compliance/Monitioring Activities
Under the terms of their enforcement cooperative
agreements the States will conduct inspection and case
development activities to ensure compliance with label
requirements and use restrictions imposed as a result of
the pesticide registration process. When appropriate,
these inspections will be conducted as a part of routine
comprehensive inspections. (SPMS P/E-1)
States will need to update their enforcement response
policies to take into account the updated FIFRA penalty
matrix, revised in 1989 to address the eight additions
or changes to the unlawful acts provisions of FIFRA as
amended in 1988.
In accordance with FY 1991 guidance on uniform reporting,
the States with FIFRA enforcement cooperative agreements
will report on enforcement activities, many of which are
conducted to ensure compliance with labeling requirements
and use restrictions imposed during the registration
process. (SPMS p/E-l and P/E-3)
5. Research Activities
Littoral Enclosure Field Validation and Ecological
Effects Investigations for Pesticide Risk Assessment
(partial funding)
Investigate environmental Risk from Genetically
Engineered Plants.
GEMP studies will be expanded to include methods to test
route of exposure in birds, arthropods and non-target
mammals.
Methods to determine potential interaction of microbial
agents in the mammalian cell will be developed.
Protocols to identify fate and survival of biological
control agents, including recombinant organisms and DMA
will be developed for exposure determinations.
Genetically engineered baculoviruses containing genes
whose product have significant bioactivity in mammals
will be tested for their recombinatorial capability with
naturally occurring parental strains.
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Gene exchange potential by surface interactions and the
effects of pest control microbes on microbial surface
communities will be examined.
I. Re-registration
1. Strategy to Address the Problem
Public concern is still high regarding the safety of pesticides.
Risk assessment and risk management decisions for some existing
pesticides on the market today have been based on outdated test
data. These chemicals may pose more of a risk to the population
and the environment than recently registered chemicals which have
been through a vigorous premarket review process. As 1988 FIFRA
amendments continue to be implemented, the re-registration process
will be accelerated. In 1991, registrants will be providing
information on older chemicals with "flagged" data that indicate
areas of concern. The program will not only increase efforts to
review the flagged data but also increase efforts in the area of
applicator training to stress the correct and safe use of
pesticides.
2. Headquarters Activities
Program Activities
Headquarters will continue to concentrate on receiving
and reviewing data as well as making regulatory decisions
on tolerances and label language to achieve real world
risk reductions.
OPTS will continue to implement the recommendations from
the NAS study on food safety. Specifically, OPTS will:
1) strive for consistent action on new and old chemicals
found in raw agricultural commodities and processed food;
2) address high risk areas first. Outputs will include
the re-registering and cancelling of pesticides as well
as establishing and revoking tolerances.
OPTS will continue to place special emphasis on reviewing
•flagged" data and start the special review process when
necessary.
OPTS will continue to review registrant lists of
available data to ensure that all data necessary for a
risk assessment are available. If not, the data will be
required.
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45
Compliance/Monitoring Activities
Headquarters will develop compliance monitoring
strategies, enforcement response policies, inspection and
case development guidance, as appropriate, for enforcing
new requirements imposed as a result of cancellation and
suspension orders. (SPMS P/E-l)
Headquarters will implement a program for tracking data
submission requirements for the re-registration process
and the issuance of 3(c)(2)(B) suspensions when
warranted. OPTS must also monitor registrants' progress
in acquiring and .submitting data. These tracking and
monitoring programs must also address the data submittal
requirements included in the 1988 amendments to FIFRA.
Headquarters will respond to any questions regarding the
FIFRA penalty matrix, updated in 1989 to address
additions and changes to the unlawful acts provision of
FIFRA section 12, resulting from the 1988 FIFRA
amendments.
Case support will be in place to process cases addressing
the additional cancellations and suspensions resulting
from the 1988 FIFRA amendments.
Headquarters will issue the FY 1992 FIFRA Compliance
Cooperative Agreement Guidance which addresses activities
to ensure compliance with the labeling and use
requirements, cancellation and suspension orders and
other regulatory actions resulting from the re-
registration process. Headquarters will only handle
cases related to violation of cancellations/suspensions
if they are of national significance and will have a
multi-regional impact.
Headquarters will conduct a compliance monitoring program
to audit data submitted under FIFRA and to determine
whether testing laboratories are complying with Good
Laboratory Practices (GLP) regulations. These
requirements ensure the scientific validity of data
submitted to EPA in support of pesticide re-
registrations. (SPMS P/E-l)
Headquarters, working with the National Enforcement
Investigations Center, will conduct GLP inspections at
FIFRA environmental testing laboratories in all Regions
except Regions II, III, and V. In response to violations
of GLP requirements, the Agency will issue enforcement
actions. Neutral Scheme Selection process is being
revised by standing GLP workgroup to focus more resources
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46
on FIFRA studies newly covered by amended GLP
regulations. (PMS P/E-i)
3. Regional Activities
Program Activities
Regions should provide input to Headquarters on state
section 18-24c requests/actions. OPP, working with the
Regions, will establish a procedure for obtaining
Regional input (probably relying on the Regional
Pesticide Experts).
The Regional Offices will communicate information to the
States and Tribes and other interested groups concerning
EPA's regulatory actions and policies.
Compliance/Monitoring Activities
The Regions will review and comment on draft compliance
monitoring strategies, such as for organotin,
chlordimeform and arsenic acid, written in response to
re-registration and cancellation/suspension actions. The
Regions will implement appropriate provisions of such
compliance monitoring strategies, once finalized. (SPMS
P/E-1 and P/E-2)
The Regions will negotiate and oversee State/Tribal
compliance monitoring activities, under enforcement
cooperative agreements, with respect to label
requirements, suspension/cancellation, use restrictions,
and other restrictions and precautions imposed as a
result of the re-registration process. Regional Offices
will conduct such activities in those States and
reservations not participating in the cooperative
enforcement agreement program. (SPMS P/E-1 and P/E-2)
As a result of the 1988 FIFRA Amendments, the number of
cancellation actions under FIFRA section 6, suspension
actions under FIFRA section 3(c)(2)(B) and recalls as
required by EPA for suspended and cancelled pesticide
products may increase. Increases in these activities
will require the scope of routine comprehensive
inspections currently being conducted to expand to cover
these activities and the duration of inspections to
increase proportionately. (SPMS P/E-4)
Regions II, III, and V will conduct GLP inspections at
FIFRA environmental testing laboratories within their
jurisdiction.
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47
4. State Activities
Program Activities
The States will continue to develop State registration
and local needs programs and enforcement capabilities.
Compliance/Monitoring Activities
Under the terms of their enforcement cooperative
agreements, the States will conduct inspections and case
development activities to ensure compliance with
cancellation and suspension orders, label requirements
and use restrictions imposed during the re-registration
process. When appropriate, these inspections will be
conducted as part of routine comprehensive inspections.
(SPMS P/E-1)
States will need to update their enforcement response
policies to take into account the updated FIFRA penalty
matrix, revised in 1989 to address the eight additions
or changes to the unlawful acts provisions of FIFRA as
amended in 1988.
The States will implement national compliance monitoring
strategies issued in final form in FY 1990 and developed
as a result of re-registration actions.
The States with enforcement cooperative agreements will
report on the enforcement activities conducted under
these agreements in follow up to re-registration
requirements and in accordance with FY 1991 guidance on
uniform reporting. (SPMS P/E-1 and P/E-3)
5. Research Activities
Computerization of OPP toxicology data for SAR analysis.
Investigate age-related subpopulation sensitivity to
pesticide neurotoxicity/animal studies.
Identify changes in immune systems functions that can be
used to predict the occurrence of tumors in rats exposed
to pesticides as pre-weanlings or adults.
Research the correlation between in vitro and in vivo
genotoxicity test results.
Methods to determine exposure of infants and toddlers to
household pesticides will be developed.
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48
Actual terrestrial exposures and exposure assessment
methods will be validated.
A guidance document for assessing potential avian
reproductive effects of synthetic pyrethroids will be
produced.
Methods will be developed to estimate the fate and
transport of genetically engineered microorganisms (GEMs)
and to predict the dose target/non-target organisms will
receive.
Studies will be initiated to determine the effects of
introducing new genetic material into members of an
ecosystem coupled with the study of genetic exchange
under environmental conditions.
The impact of transgenic plants on ecosystems and human
health will be evaluated.
J. Special Review
1. Strategy to Address the Problem
As part of the re-registration of existing chemicals, the Agency
will continue to conduct special reviews of pesticides whose data
indicate a potential for unreasonable adverse effects. Through
the re-registration and special review processes, the Agency will
take corrective action to reduce risks from pesticides by requiring
appropriate changes in dietary exposure to residues, restricted use
classification, requirements for protective clothing, reentry
intervals, and suspension/cancellation of selected uses.
2. Headquarters Activities
Program Activities
Headquarters will continue to perform special reviews for
chemicals that are suspected of causing unreasonable
adverse effects to public health or the environment.
Headquarters will continue to review risks and benefits
of leaching pesticides through the Special Review
process.
Compliance/Monitoring Activities
Headquarters will develop compliance monitoring
strategies, enforcement response policies, inspection and
case development guidance, as appropriate, for enforcing
cancellation and suspension orders and restrictions
imposed as a result of special reviews. (SPMS P/E-l)
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49
OPTS will issue tne FY 1992 FIFRA Compliance Cooperative
Agreement Guidance which addresses activities to ensure
compliance with cancellations, suspensions and restric-
tions imposed as a result of special reviews.
3. Regional Activities
Program Activities
The Regional Offices will continue to communicate
information to the States and Tribes concerning EPA's
regulatory actions and policies.
Regional Input into the Special Review Process will be
sought especially in areas such as impacts on minor uses.
Compliance/Monitoring Activities
The Regions will negotiate and oversee enforcement
agreement activities, with respect to label requirements,
use restrictions, ensuring compliance with
suspension/cancellations, restricted use classifications
and other restrictions and precautions imposed as a
result of special reviews. Regional Offices will conduct
such activities in those states and reservations not
participating in the cooperative enforcement agreement
program. (SPMS P/E-l and P/E-2)
4. State Activities
Progygm Activities
The States should provide information to the Registration
Division and Special Review and Reregistration Division
through the Regional Offices regarding adverse effects
to humans or the environment including frequent illnesses
in workers caused by a specific product, or kills to
wildlife. States pesticide agencies should maintain a
close relationship with State wildlife and health
departments to facilitate the transfer of information.
OPP will examine the need for procedure and format for
collecting this information.
Compliance/Monitoring Activities
Under the terms of their enforcement cooperative
agreements, the States will conduct inspection and case
development activities to ensure compliance with
cancellation and suspension orders, label requirements
and use restrictions imposed by special reviews. When
appropriate, these inspections will be conducted as part
of routine comprehensive inspections. (SPMS P/E-l)
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K. Pesticide Disposal
1. Strategy to Address the Problem
Although 1988 FIFRA amendments provide for registrant disposal,
EPA continues to have the responsibility to indemnify holders of
previously suspended and cancelled pesticides and to dispose of
existing stocks. In FY 1991, EPA will strive to complete disposal
of the dinoseb and 2,4,5-T/Silvex stocks remaining in the United
States. For cancelled and suspended pesticides during FY 1991, the
program will provide an efficient indemnification program for end-
users under provisions of the amended act.
2. Headquarters Activities
Program Activities
OPTS will ensure safe storage and final disposal of
dinoseb, and of 2,4,5-T/Silvex depending upon the
availability of a commercial dioxin incinerator.
Headquarters will promulgate regulation under Section
19(e) FIFRA as amended in 1988. There regulation will
address safe pesticide container disposal.
Compliance/Monitoring Activities
Headquarters will issue the FY 1992 FIFRA Compliance
Cooperative Agreement Guidance which addresses activities
to ensure compliance with disposal and recall
requirements.
Headquarters will develop compliance monitoring
strategies, as needed, to address recall regulations
authorized by the newly amended FIFRA.
3. Regional Activities
Program Activities
Regional Offices will work closely with State and local
officials to address public concerns, and determine
permitting needs for storage, transportation, and final
disposal of cancelled/suspended pesticides.
Compliance/Monitoring Activities
The Regions will review and comment on draft compliance
monitoring strategies and guidance issued by Head-
quarters. (SPMS P/E-1)
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51
As a result of the 1988 FIFRA amendments, the number of
cancellation and suspension actions under FIFRA section
6 and suspension actions under FIFRA section 3(c)(2)(B)
and recalls as required under FIFRA section 19 may
increase. Increases in these activities will require the
scope and targeting of routine comprehensive inspections
currently being conducted to change to cover these
activities, however no overall increase in the number of
inspections is expected. (SPMS P/E-4)
The 1988 FIFRA amendments require EPA to promulgate
regulations, within specified time periods, for the
design of pesticide containers and regulations that
prescribe procedures and standards for removing
pesticides from containers before disposal. The Regions
will provide input in planning for the development of a
compliance monitoring program for these and other
regulations.
4. State Activities
Compliance/Monitoring Activities
Under the new law, EPA may require registrants and
distributors to recall suspended and cancelled pesticide
products. To facilitate recalls, EPA may require all
persons who sell, distribute, or commercially use
pesticides to notify EPA and State and local officials
concerning the quantities and location of suspended and
cancelled pesticides in their possession. States will
provide input in developing the compliance monitoring
program for these requirements. Once these requirements
are implemented. States will need to track and monitor
the information which they receive and enforce the
recalls.
The States will provide input in planning for the
development of a compliance monitoring program for the
regulations mandated by the 1988 FIFRA amendments and
relating to the design of pesticide containers and the
removal of pesticides from containers before disposal.
New statutory authorities may be needed in some states
to implement the new regulations.
5. Research Activities
Treatment and destruction strategies for the disposal of
chemical classes of pesticides will be developed and
technical assistance will continue for the disposal of
indemnified pesticides.
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L. TSCA - Sections 5 and 8
1. strategy to Address the Problem
The Agency controls the entry of new chemicals and significant new
uses of established chemicals through section 5. Activities
described in this section focus on the compliance/monitoring aspect
of this program.
2. Headquarters Activities
Compliance/Monitoring Activities
Headquarters will update inspection guidance for the
section 5 and 9 program, as needed to facilitate
enforcement efforts.
Headquarters will provide quarterly printouts to the
regions for targeting.
Headquarters will refer and track tips and complaints
from OTS and public sources to the regions for
appropriate enforcement action.
3. Regional Activities
Compliance/Monitoring Activities
The Regions will increase industry awareness and level
of facility compliance and quality of submissions through
technical assistance.
Regions will conduct compliance audits to ensure
compliance with section 5 and 8.
Regions will choose targets from information provided by
headquarters.
M. Hexavalent Chromium
l. Strategy to Address the Problem
FY 1991 will represent the first full year of the hexavaient
chromium program. This rule under section 6 prohibits the use of
hexavaient chromium-based water treatment chemicals in comfort
cooling towers (CCTs) and the distribution in commerce of such
chemicals for use in CCTs. EPA will focus its compliance effort
on identifying the following: use violation, distribution
violations, labeling violations, reporting failures, recordkeeping
violations, and expose notification violations.
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53
2. Headquarters Activities
Compliance/Monitoring Activities
Headquarters will provide coordination between regions
in identifying inspection targets.
Headquarters will develop, in consultation with States
and Regions, a pilot program for state inspections of use
facilities.
3. Regional Activities
Compliance/Monitorina Activities
Regions will maintain reporting requirements in an easily
retrievable fashion.
Regions will conduct inspections and take the appropriate
enforcement action.
Regions will encourage States, as appropriate, to
participate in the Hexavalent Chromium Compliance
Monitoring Program.
4. State Activities
Comp],ifliflic,e/Monitoring Activities
States interested in the Compliance Monitoring Program
pilot program will contact their regional office for
guidance in developing targeting and inspection schemes.
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Office Of
Administration &
Resources
Management
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TABT.R OP CONTENTS
PAGE
ASSISTANT ADMINISTRATOR'S OVERVIEW 2
OARM PROGRAM PRIORITIES
A. HUMAN RESOURCES MANAGEMENT 11
B. STATE/EPA DATA MANAGEMENT 16
C. CONTRACTS MANAGEMENT 20
D. ORGANIZATIONAL CONFLICT OF INTEREST 22
E. BUILDING PUBLIC-PRIVATE PARTNERSHIPS 23
F. ASSISTANCE/INTERAGENCY AGREEMENT
MANAGEMENT INITIATIVES 27
G. OCCUPATIONAL HEALTH AND SAFETY AND
ENVIRONMENTAL COMPLIANCE 30
H. PERSONAL PROPERTY MANAGEMENT 34
I. SUSPENSION AND DEBARMENT 35
J. BUILDINGS AND FACILITIES 36
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OFFICE OF ADMINISTRATION AND RESOURCES MANAGEMENT
I. ASSISTANT ADMINISTRATOR'S OVERVIEW
The FY 1991 Operating Year Guidance for the Office of Administration
and Resources Management (OARM) is comprised of ten programmatic
objectives.
One activity, Human Resources Management, reflects the Admini-
strator's priority to create and market the kind of working
environment that attracts, develops and retains the highly trained
and motivated employees and manages the Agency needs. Information
Management supports Agencywide goals to work collectively with State
and local governments to make environmental data available through
technology innovations, data sharing partnerships, and new methods
in systems development. In addition, the guidance includes an
initiative to build Public-Private Partnerships in our common pursuit
of improved environmental quality; improve and provide safe and
healthful working conditions for Agency personnel; improve the
Buildings and Facilities planning and appropriation process so that
we will be able to fund EPA's critical facilities requirements; and
an Agency-wide effort to improve Property Management.
other important program activities are: measures for Improved
Contracts Management across the Agency; Organizational Conflict of
Interest and the way it is handled, will be essential to the success
of Super fund procurement in FY 1991; Assistance Management which will
identify management initiatives to assure the integrity of assistance
funding awarded through interagency agreements, cooperative
agreements, and grants; improved accountability for Agency property
management; and Suspension and Debarment which will ensure EPA's full
participation in the government-wide system for suspension and
debarment.
OARM'S key programmatic objectives discussed in the FY 1991 Guidance
are summarized below.
o Human Resources Management - The goal of Human Resources
Management in 1991 is to continue building a quality workforce by (1)
recruiting the best candidates available using Agency program
officials (2) developing our workforce to the fullest potential using
in-house staff to the maximum extent possible and (3) retaining our
high quality staff through use of a variety of quality of worklife
incentives.
The Administrator has stated that EPA's most important resource is
its people. He has also stated that the value of our people should
be the central concern of all supervisors, managers and executives.
Human Resources Management provides the direction and mechanism to
meet this challenge. The 1991 Guidance addresses three broad areas
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to a quality EPA workforce: finding the right people, developing our
staff, and retaining a competent workforce.
Finding the Riant People - We need to pool our recruitment efforts
and make more use of line manager in attracting quality candidates.
The use of special employment programs and hiring flexibilities are
essential to getting people on board quickly and effectively.
Developing our Staff - This area cannot be overemphasized. We must
give our employees the chance to develop to their fullest potential.
This includes empowering our employees to be creative in streamlining
processes and procedures to improve the quality of our service at all
levels. The principles of Total Quality Management should be
implemented in all our organizations.
Retaipina a Competent Workforce - Our best effort to retain a
competent workforce requires concentration on quality of worklife
issues which creates an atmosphere that encourages and reinforces
employee involvement, teamwork and quality production.
o information Management
EPA's policy of environmental federalism has achieved an excellent
measure of success in the wide range of activities that support
information management and cross-media integration. The Agency's
thrust to disseminate environmental data and information to the
broadest possible audience has challenged the way the Agency has
traditionally done its business. To broaden our base of users, our
information management programs are attempting to make environmental
data available through technology innovations, data sharing
partnerships, and new methods in systems development.
We have developed a comprehensive Data Sharing approach. This
strategy is intended to promote a free and appropriate flow of the
Agency's vast data resources to interested parties, consonant with
the Agency's rights and responsibilities as data steward. EPA is
committed to promoting mechanisms, systems and services which support
data sharing activities. EPA, acting as data steward, shall ensure
cost-effective, equitable sharing of the Agency's data resources.
Three major directions are part of the Data Sharing strategy are: the
State/EPA Data Management Program, increased public access and a full
range of services.
The State/EPA Data Management Program has helped the States
develop joint data management approaches to collect, store, retrieve
and use environmental information. This Program is comprised of two
major phases. Phase I emphasizes a communications link between
States and the EPA data network. States can access the national data
systems to collect, store and retrieve media data through high speed
data links. Formal written protocols assure the integrity of State
reports and procedures for raising and resolving data disputes. EPA
has participating 48 States, Puerto Rico, and the District of
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Columbia in Phase I of the program as of the start of FY 1990.
Phase II of the Program promotes data integration to achieve
environmental results. In FY 1991, we will focus our Phase II
efforts on cross-media analysis through the following activities:
Development of Regional Data Integration Capabilities - These
efforts are designed to provide each Region the capability to
conduct geographic based analyses that help States and EPA
target resources to the most significant environmental
problems. Increased efforts will be made to provide technology
and user support for cross-media analysis also.
- Improvements in Data Management and Technology - We plan to
issue and support implementation of two essential data
standards. One mandates the use of latitude/longitude in an
internationally-compatible format as the Agency's preferred
locational coordinate system. The other establishes a
requirement for unique facility ID codes to be used in all EPA
data collections containing facility information. These data
standards will greatly assist Programs, Regions, and
laboratories in cross media data analysis/integration and
enforcement efforts.
- Technology Transfer - EPA's Environmental Monitoring Systems
Laboratory in Las Vegas will serve as the focal point for
technology transfer to assist EPA Regions and States in
planning, staff development, and analysis. Also, we will
maintain the Atlanta Regional Office as a " A Center of
Excellence" to focus our efforts on producing specific
applications for use by other EPA Regions.
The State/EPA Data Management Program is the product of an
evolutionary process, using Regional and State experiences as an
important base of information. Their achievements and problems have
served as useful examples of how to forge effective cooperative
relationships between Federal and State governments. As a result,
our close working relationships allow us to build a foundation which
will lead to more reliable data. This partnership is essential if
we are to implement and properly enforce environmental statutes.
The emphasis on geographical information systems analysis, data
standards, data integration techniques and complete quality data
bases will provide the Regions and States with tools and resources
to conduct comprehensive regional strategic planning, regional and
sub-regional analysis, enforcement targeting and risk based
ranking/priority setting. Cross-media integration efforts will also
assist in evaluating effective strategies in the pollution prevention
area.
The Agency acknowledges that public access to environmental
data is desirable because the public has a fundamental right to know
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how the government conducts its business. Data sharing helps create
and maintain an informed public, which is essential to success of the
Agency's varied environmental risk communication efforts. Data
sharing is also beneficial for EPA to assemble the full data sets
required to address complex, widespread, multi-media environmental
problems and enables secondary use of EPA's expensive data resources.
The Agency already disseminates information successfully via
many channels. These channels include the communications media, the
Federal Register, libraries, clearinghouses, hotlines, dockets,
bulletin boards, data files and data bases, other Federal offices
and other means. Both institutional barriers and technical barriers
have contributed to situations where government data should have been
shared more freely. The Agency's commitment to data sharing requires
standard ways to access data and service and distribution centers
both within the Agency and outside to assist and provide methods and
procedures to access the data in a cost effective manner.
As part of this Data Sharing effort, we are developing an
International Data Sharing Program based on the experience we have
gained through the State/EPA Data Management Program. We have
transferred the lessons learned in data transfer and sharing from
our vast library and our telecommunications network and are starting
to build an international data sharing program. Through the
established network INFOTERRA, sponsored by the United Nations
Environmental Program, we are promoting data transfer through various
print and electronic media to countries in both Africa and Europe.
INFOTERRA is an international information referral network designed
to facilitate the flow of environmental information within and
between countries. EPA is the National Focal point for INFOTERRA in
the United States.
The International Data Sharing Program currently supports a
variety of activities such as responding to international
environmental inquiries with technical reports, bibliographies,
legislation and database searches. We maintain inventories and
registers of national sources of environmental information for
inclusion in INFOTERRA directories and promote the use of the
INFOTERRA network. We will continue to expand our efforts to promote
data transfer and dissemination to other countries.
We plan to expand our electronic communication network to our
international partners. Further activities will be made to promote
development of reference capabilities of environmental data in other
countries. A major effort is underway to identify information
sharing components of bilateral and multilateral agreements, and
identify the progress made under them. This effort to spur
international data sharing will also result in a model information
sharing component to be included in further agreements entered into
by the U.S. The international data program is being coordinated with
the activities and programs that are directed from the Office of
International Affairs.
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O CONTRACTS MANAGEMENT
As an Agency with growing responsibilities but with only minimal
growth in its federal workforce, EPA continues to rely heavily on
contractor support. This method of doing business requires strong
and active contract management to ensure that we maintain integrity
in the Agency's procurement process and ensure appropriate spending
of federal funds. Throughout recent years, EPA has continued to
receive scrutiny in various areas of its contracts management
program. The Administrator's FY 91 Guidance outlines the direction
the Agency must continue to go in order to improve the state of
contract management at EPA. As National Program Manager, OARM is
leading these efforts to improve EPA's management of its contracts.
O ORGANIZATIONAL CONFLICT OF INTEREST
To preserve the integrity of the federal contracting process
and to support the soundness of Agency decisions in superfund
enforcement and cost recovery efforts, it is imperative that EPA take
necessary precautions in determining appropriate use of contractors
in the Superfund program.
Organizational Conflict of Interest (OCI) and the way it is
handled under Superfund contracts has been an issue of mounting
concern over the past year. In FY 91, initiatives that the Agency
began in connection with the Superfund Management Review will
continue to be given significant emphasis.
O BUILDING PUBLIC-PRIVATE PARTNERSHIPS
OARM has undertaken the goal of fostering public-private partnerships
and other innovative financing techniques to help meet the growing
environmental and resource challenges in the 1990's and beyond. This
initiative arose in response to the crisis we face in meeting
environmental expectations given the public resources currently
available. There is a growing acceptance both within and outside the
Agency of the crisis and of the need for innovative and creative
solutions.
The goal of this initiative is to increase the total investment in
environmental protection by facilitating greater leverage of public
and private environmental resources to help ease the environmental
financing challenge facing our nation. The initiative will focus
upon environmental finance and legislative and taxation issues at
the Federal, state, and local levels, particularly with regard to
their impact upon local governments and small communities. Special
attention will be given to issues impacting three critical program
areas, drinking water, wastewater treatment, and solid waste. Our
strategy for enhancing the leverage of public and private
environmental resources involves the following elements.
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o Developing the most effective financing approaches that can be
used by the various levels of government to finance
environmental program and infrastructure needs.
o Determining tax policy changes at the Federal, state, and local
level that would promote public and private sector financing
options for environmental services and infrastructure.
o Developing the most effective financing approaches at the small
community level to finance environmental programs and
infrastructure needs.
o To identify and pursue options or incentives that will
encourage greater private investment in environmental services.
O ASSISTANCE/INTERAGENCY AGREEMENT MANAGEMENT INITIATIVES
The FY 1991 guidance continues emphasis on cooperative agreement/
Interagency Agreement (IA6) management initiatives in the Superfund
program. It also focuses on Regional assistance and IAG management
in all .programs. In addition, it provides new initiatives in
enhancing assistance related dimensions of the Agency's Public-
Private Partnership effort, including the State Revolving Fund.
The Assistant Regional Administrators/Management Division Directors
will continue to provide within their division "cradle to grave"
administrative management responsibility for both cooperative
agreements and Interagency Agreements. During 1991 the Regions must
also continue to direct emphasis to Superfund management activities
which support management efficiency and checks and balances
objectives. In addition, Grants Management Offices in the Management
Divisions, will support the Agency's alternative financing and
PublicPrivate Partnership initiative through direct input to and
implementation of innovative assistance mechanisms.
The Environmental Health and Safety Division (EHSD) provides national
policy, guidance, technical assistance and training to EPA Regional
offices, laboratories, and field sites to provide safe and healthful
working conditions for Agency personnel and assure that Agency
facilities comply with all environmental regulations and policies.
EHSD also provides a framework for cooperation among EPA
headquarters, regions, laboratories and field sites to enhance their
health, safety and environmental compliance programs.
The FY 1991 Guidance is intended to ensure effective, efficient, and
consistent administration of the complex programs which support EPA's
management priorities of measurable environmental improvement, risk
reduction, pollution prevention, federal facility compliance and
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meaningful commitment that reflect the quality and environmental
impact of the required effort. The major occupational health,
safety, and environmental compliance objectives for FY 1991 include.
Building consistent and effective regional, laboratory and
field occupational health and safety programs supporting the
Agency risk reduction goals;
Developing and instituting effective, efficient, and
consistent environmental compliance programs supporting
environmental impact and federal facility compliance goals
at our facilities;
Establishing and promoting an effective national information
system on occupational and environmental hazards throughout
the EPA.
The strategy for accomplishing the FY 1990 objectives and for
improving pur operations involves the following major initiatives:
1. Resources control initiatives will establish mechanisms to
ensure that resources are available and used for planned
activities.
2. Procedural initiatives will ensure necessary checks and
balances between program and management responsibilities
and fiscal integrity requirements.
3. Policy and guidance initiatives will ensure clear management
goals and implementation techniques that create a consistent
national effort which supports the goals of our occupational
and environmental programs.
4. Audit initiatives will establish mechanisms to insure full
implementation of our occupational health, safety and
environmental compliance responsibilities.
5. Training initiatives will ensure EPA employees understand
program policy and guidance and how it impacts the
performance of their responsibilities.
6. Technical assistance initiatives from the national office
provide consistency in the resolution of an issue and an
efficient use of available technical resources. Emphasis
is placed on pollution prevention as a means of achieving
regulatory compliance.
7. Communications initiatives will aid in worker protection
and facility compliance and identify and prevent potential
management weaknesses. The communication of EPA programs
outside the Agency will assist other federal agencies with
the development of similar programs.
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8. Internal control initiatives will ensure that all occu-
pational health, safety and environmental compliance
operations achieve an improved level of effectiveness and
consistency among all EPA organizations.
These initiatives will provide outstanding occupational health,
safety and environmental compliance programs for the Agency
nationwide.
o PERSONAL PROPERTY MANAGEMENT
EPA has expended significant resources in an effort to make major
improvements in the area of property management. A new PC-based
Personal Property Accountability System (PPAS) has been developed
and was implemented nationwide in FY 1989. Following the
implementation is an ongoing effort to do a massive clean-up of the
data base. Headquarters will continue to conduct training for
Custodial Officers and Program Accountable Officers.
The major objective of the Agency's property management program is
to ensure that all Superfund and non-Superfund property is properly
tracked and controlled by placing emphasis on:
Requiring comprehensive Physical inventories at all regional
and field activities. Headquarters will direct and confirm
that these inventories have been performed and adequately
reconciled.
Conducting quality assurance reviews at regional and field
offices. These reviews will include compliance with Agency
policies and procedures for all aspects of property
management. This will include receiving, recording in PPAS,
utilization and disposal of personal property.
Successful implementation is expected to result in more favorable
audit results of the FY 1990 program.
O SUSPENSION AND DEBARMENT
Suspension and debarment is the Agency's administrative process to
prevent potential assistance and procurement participation by parties
who, for reasons of waste, fraud, abuse or poor performance, have
demonstrated irresponsible conduct in their business affairs. A
suspension or debarment imposed on a participant essentially bars
that participant from further assistance or contracting privileges
with EPA or the Federal Government.
In FY 1991, the Grants Administration Division in OARM will continue
efforts to inform and sensitize Regional offices, delegated States,
and program offices to the importance of combating waste, fraud, and
abuse through suspension and debarment.
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O BUILDINGS AND FACILITIES
EPA facilities continue to require increased resources, in spite of
continuing efforts in obtaining significant increases in the B&F
appropriation. Our facilities must be altered to meet the needs of
changing programs, organizational structures and missions as well as
ongoing repair and upkeep. To meet these needs we are moving forward
with a facilities planning process through an annual call letter.
Our goal is to fine tune the B&F process so that we will be able to
fund EPA's critical facilities requirements.
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II. OARM PROGRAM PRIORITIES
A. Human Resources Management - EPA's strength is its people. The
quality and performance of our employees will determine whether or
not we meet the complex and changing needs of our environmental
mission in the 1990's. This means we must attract quality candidates
at all levels and occupations to meet these challenges. We must
develop the workforce we have to its maximum potential. Finally we
must retain a quality workforce, keeping turnover to a minimum.
The Administrator's emphasis on Human Resources Management reflects
the Agency's commitment to a quality Workforce that is involved in
the decision that affect their work and the service provided.
Emphasis on quality will be stressed and employees will be empowered
to help control their own course of action for the good of the
Agency. The challenges of attracting, developing and keeping a
quality workforce are the central components of our guidance.
1. Finding the Right People
Nothing happens without a workforce and quality work requires
a quality workforce. Selecting the right people, proven performers
with high potential for technical and managerial excellence, is
crucial. EPA is fortunate to have a very talented workforce. Our
Agency's important mission attracts talented, idealistic people, and
is one of the reasons why 66 percent of EPA's employees hold a
bachelors degree or higher. Our challenge is to make it even better.
There are a number of ways EPA is attracting the "best and the
brightest." Direct Hire Authority, Job Fairs, the Cooperative
Education Program, the Outstanding Scholar Program, and Delegated
Examining Authority are all tools used by EPA program officers and
human resource offices, working together, to hire qualified and hard-
to-find people quickly and easily.
The composition of our talented agency workforce is the result
of considerable outreach to women and minorities, but we need to do
much more in this area. The 52 percent hiring goal for minority and
women is still in effect and is specifically targeted this year for
professional, supervisory, managerial and SES positions. The
following special initiatives should also be implemented:
Recruiting Partnerships - All managers should work to position
their organizations to best meet the human resources challenges
projected for the 1990's. The challenge of getting the talent
EPA needs to achieve its mission will require the coordinated
efforts of the servicing human resources offices and managers.
This partnership has been a proven key to the success of Agency
human resources initiatives in the past.
Managers should be ready to accept their responsibilities in
the partnership. The basics of these responsibilities include
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identifying recruitment needs in advance, informing the
servicing human resources office of these needs, and then
working with the human resources office in the targeted
recruitment activities designed to fill the manager's needs.
The Agency has already obtained Office of Personnel Management
approval for several hiring and position classification
flexibilities to streamline the recruitment and employment
process. We will continue to work on the simplification of our
procedures. Managers however must become more knowledgeable of
the tools now available to them and must work with their human
resources offices to make the best use of those tools. With
this knowledge, managers will be in a good position to propose
further flexibilities, helping the human resources offices to
simplify the system even further.
* EPA Management Intern Program - In FY '90 the EPA Management
Intern Program was expanded from a Headquarters to an Agencywide
initiative; in FY '91, the goal is to institutionalize it.
Besides offering a number of progressive developmental
opportunities, the Program is designed to attract new entry-
level employees who are well-suited to working in EPA. The
candidates the Program attracts are both undergraduate and
graduate level individuals who often have a mix of both public
administration and technical education backgrounds. The typical
candidate has a masters degree in Public Administration and an
undergraduate degree in an area of science or engineering. The
Program has been extremely successful in attracting the right
kind of people for EPA who will someday be Agency managers.
EPA Secretarial Development Program - To meet the challenge of
attracting a quality secretarial and clerical workforce to EPA,
the Secretarial Development Program was implemented at EPA
Headquarters in FY '89 & '90. The Program includes new and
existing developmental opportunities which are packaged to serve
as an attractive inducement to having a secretarial career with
EPA. Recruitment is conducted at job fairs and at educational
institutions specializing in secretarial skills development.
In FY '91, the goal is to institutionalize the program and to
offer it as a model to EPA field offices.
2. Developing Our Staff - The Agency's commitment to comprehensive
career management helps give EPA one of the most highly skilled and
motivated workforces in the federal or private sector. To reach and
maintain such a high standard requires a solid foundation of career
development programs that are both in step with current personal and
Agency needs and sufficiently flexible to adjust to the still
emerging and ever changing environmental requirements. All of EPA's
career development programs recognize the changing systemic balance
of the environment, technology, legislative and enforcement picture,
and the workforce.
Just as technical competence is the foundation for achieving EPA's
mission, effective management maximizes the use and utility of that
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technical skill. A balance of technical competence and management
skills is more important today than ever before.
We have entered a new era in which EPA is forced to play a leading
role, developing solutions to complex environmental problems and
strengthening our already firm commitment to achieving steady,
tangible environmental progress. Our integrated, cross-media
approach to program management is now commonly accepted throughout
the Agency. We have several programs that enhance leadership and
managerial skills, to capitalize on this breadth of experience and
understanding. The following will figure into most human resources
program planning:
Presidential Management Intern Program - Is geared to
attracting individuals who have a masters degree in public
administration and have an interest in a career in public
policies and programs. The internship is designed to provide
a working-level knowledge and appreciation of integrated
program-to-program and headquarters-field relationships,
management issues and approaches to the analysis and operation
of Federal programs.
Greater Leadership Opportunities Program - Provides broad
experience to EPA mid-level non-supervisory employees aspiring
to future management positions. This program is specifically
geared towards making qualified women and minorities competitive
for supervisory positions.
Upward Mobility Program - Provides increased opportunities for
the Agency's highly motivated and capable employees in lower
grade-level jobs, moving them into more challenging
professional, technical, and administrative positions.
EPA Management Intern Program fMIP) - Is designed to attract
and develop superior employees with backgrounds and aspirations
that support the mission of EPA. It is a 2-year program which
includes: individual development plans; at least 12 months of
rotational assignments outside of the home office; mentoring
relationships; special training programs; frequent interaction
with EPA senior management; special conferences, including
orientation and graduation sessions; and opportunities to
develop a strong network with other interns. FY '91 will mark
its second year as an Agencywide program and the goal is to
further institutionalize it throughout EPA.
Mid-Level Development Program fMLDP) - Is a developmental
program tailored to supervisory and management staff at the
GS/GM 12-15 levels. It is designed to be implemented at the
local level, i.e., all Assistant and Regional Administrators
runs their own program. This local "franchising" allows for
custom tailoring of the program so that it can meet
organizational as well and staff development needs. It is a 2-
year program and includes: mid-level development plans;
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rotational assignments; mentoring relationships; special
training programs; frequent interaction with EPA senior
management; special team projects; special conferences,
including orientation and graduation sessions; and opportunities
to develop a strong network with participants in and outside of
their office. Several programs are currently being operated
within EPA; the FY '91 goal is to establish more local programs.
Secretarial Development Program - The Secretarial Development
Program's goal is to develop EPA secretaries and clerks to their
highest potential so that EPA has a truly professional
secretarial/clerical workforce. The program includes: special
orientation for new secretaries; training curricula geared to
the level of the employee; on-site college level courses as part
of the Professional Certification program; mentoring
relationships. While the major thrust of the program is
development whether the secretarial career path and
opportunities to grow into other careers are also available
through the Upward Mobility or other developmental programs.
In FY '91 the goal is to offer this Headquarters program as a
model for field implementation.
EPA Rotation Program - The evidence clearly suggests that
employees with multiple work experiences are more valuable to
the organization and more productive. Rotational assignments
are a primary vehicle for employees to gain such work
experiences. At EPA, employees are encouraged to seek quality
rotation assignments either as part of a formal developmental
program or on an individual basis. In order to facilitate
rotational assignments, HRDD has designed and implemented
guidance policy and a means for communicating rotational
opportunities. The electronic course catalogue, E-CATS, has a
component for advertizing rotational opportunities. In FY '91,
the goal is to expand the use of E-CATS to advertise rotational
opportunities.
EPA Institute - Marks its sixth year of operation. The
Institute is more than the traditional training operation in
that it offers an extensive curriculum of courses developed and
presented by EPA employees. This is not only a cost-effective
method of training delivery, but it makes training more relevant
because the subjects relate directly to EPA's mission and are
based on EPA experiences and environment. In addition to
providing quality training programs, the Institute allows in-
house instructors the opportunity to grow professionally and to
have greater interaction with their peers. The Institute serves
as a source of information on EPA training opportunities and EPA
has been a pioneer in providing course information through
automated means. E-CATS, the automated course catalog, provides
up-to-date course information via electronic mail and is
accessible to not only EPA employees, but also to state, local
and foreign government environmental organizations. E-CATS is
also the host to an automated course registration process which
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allows for more efficient training processing and relieves some
of the administrative burden. In FY '91, the goal is to
continue strengthening the Institutes in the Regions and Labs
and to further expand the use of automated registration.
3. Retaining a Competent Workforce
In the coming years, the retention of a quality workforce will
require us to concentrate on the total worklife of employees. That
means we must move beyond traditional incentives (compensation,
insurances, leave, etc.) and continue to work on less traditional
initiatives. At the same time, we must build on our efforts to bring
employees more and more into the work processes and decision-making
that affect them daily.
Since salary and basic employee benefits are largely outside our
control, we must make the most of areas where we are not constrained.
We need to continue developing and implementing attractive
alternatives to standard work practices such as flextime, compressed
workweeks, flexiplace and leave banks. We also have to emphasize and
encourage employee participation activities like childcare, health
and fitness facilities, caregiving, counseling and support groups.
As the workforce composition and the workplace itself change, we have
to adopt. In taking total quality management to heart, we will have
to commit to greater empowerment of employees, more emphasis on
teamwork and an image of the supervisor as an enabler and
facilitator. Reinforcing those new directives through existing and
new, innovative reward mechanism will be critical to our success.
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B. STATE/EPA DATA MANAGEMENT
EPA's commitment to environmental federalism requires that we
strengthen the methods and technology we use to manage and share data
with State environmental and health agencies. If we are to continue
to delegate program responsibility to States without sacrificing
accountability and be responsible stewards of environmental data, we
must have timely, complete and reliable data to monitor State
progress in implementing and enforcing Federal environmental
statutes.
In addition to being the source, State agencies are also the initial
and primary users of the data required by EPA to manage delegated
programs. Thus, our ability to obtain these data, as well as the
ultimate success of the State-EPA partnership, depends on our success
in devising data management policies and systems that support State
efforts to achieve our common goal of overall risk reduction and
pollution prevention.
1. Objectives
The overall purpose of the State/EPA Data Management Program is to
build and maintain the infrastructure needed by EPA to (1) develop
effective State/EPA data management and sharing; and (2) allow
Regional and State mangers to integrate their data across media and
program lines. The program is organized into two long term phases.
In Phase I, Regions and States are working on projects which have
applied a variety of methods and technologies, tailored to the unique
needs of individual States, in pursuit of three specific objectives:
To assure that complete, accurate data are provided in response
to all EPA reporting requirements, and that these data are entered
into EPA's national data bases in a timely way by either the States
or the Regions.
To provide direct on-line access that allows States to retrieve
and validate State-reported data contained in EPA data bases.
- To establish policies and management practices that assure the
integrity and compatibility of State-reported data when EPA handles,
edits, and interprets these data.
EPA has plans to involve all States, Puerto Rico, and the District
of Columbia in Phase I of the program by FY 1990.
Phase II focuses on assisting States and Regions in integrating data
across media and program lines. It includes (1) developing data
integration tools to pinpoint environmental problems and measure
environmental improvements; (2) establishing priorities based upon
risk to health or environment which will improve our abilities to
balance regional and national program priorities, and (3) placing
emphasis on opportunities for technology transfer to maximize
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environmental results. This Phase will result in improved
information technology tools and data management methods for applying
State and EPA data resources to evaluate environmental problems that
support risk reduction decisions and pollution prevention activities.
2. EPA Regional Offices (RO)
During FY 1991, each RO will be ensuring the full implementation of
the Phase I program while maintaining support for the State projects
begun during FY 1989 and FY 1990. Continued attention will be
provided to sustain the training and procedural improvements required
to institutionalize effective State/EPA data management practices.
Each Region will continue participation in the Phase II
implementation of data integration activities in the States. Regions
should prepare a management plan and milestones for Phase II
implementation in States which have achieved Phase I objectives.
Central to these management plans is a demonstrated commitment to
provide a core staff in each Regional Office with the capability to
assist other Regional and State staff in applying Phase II
improvements in methods, tools and technology to address risk
reduction decisions across media lines.
3. EPA Program Offices
EPA Program Offices should continue to review existing and planned
data systems that involve State-reported data or data intended to
measure State agency performance, to ensure that these systems are
designed and managed consistently with the Agency's State/EPA data
management policy. Plans and budgets should be developed to
accomplish these changes, consistent with the Agency's priority on
achieving effective environmental federalism.
Better data management will be achieved as we modernize our national
and mission critical data systems. The Systems Development Center
will continue to develop and enhance EPA data systems. Improving the
quality, useability and access to EPA's data and data systems is the
Center's first priority. The Development Center will provide the
leadership, and focus in developing, managing and disseminating high
quality environmental data. The Center's efforts will support an
Agency goal to reinforce risk-based decision making using
environmental data. The Center will also evaluate new systems
development methodologies and technologies to improve EPA's system
and software methods to better integrate them into the development
process.
INTERNATIONAL DATA SHARING
As environmental problems are taking on new dimensions, people
everywhere are expressing concern over a deteriorating global
environment. The term "national security" is being redefined to
include security from environmental, as well as military threats.
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Our understanding of environmental problems is changing. Global
problems are beginning to usher in a new era of cooperative
international action.
Objectives
The International Data Sharing Program has three objectives: to
establish the U.S. as a reliable partner in information exchange
relationships; to make significant data sets available in a form that
is useful to international partners; to assist developing nations to
establish effective local information management capabilities.
In working toward these objectives, EPA is examining the existing
international agreements and treaties and working toward the
information exchange commitments. EPA will offer technical
assistance where needed to facilitate the commitments. Reliable
environmental data is central to any dialogue about global
environmental problems. Access to data is sometimes limited by the
technology available in the recipient country. EPA is building
technology transfer efforts and is exploring alternative
dissemination routes. EPA has gained experience over its short
history in methods of effective data collection, storage and
retrieval. Developing nations need to develop the ability to collect
and manage data on their own environments. EPA is establishing
itself as a model for information management in other countries.
The International Data Sharing Program is strengthening relationships
with two United Nations Environment Program
activities: INFOTERRA and the International Register of Potentially
Toxic Chemicals (IRPTC) . INFOTERRA is an international information
referral network designed to facilitate the flow of environmental
information within and between countries. EPA is the National Focal
Point for information in the United States and supports a model
program with the Botswana Program to improve access to environmental
information in the southern region of Africa. This assistance
enables Botswana to enhance INFOTERRA response capabilities and also
facilitates the creation of a regional documentation center and
system for the countries of the Southern African Development
Coordination Conference.
The IRPTC is an information network and a database with data
profiles on 600 chemicals and 8000 legal files. EPA provides
technical consultation to the UNEP staff and provides technical
assistance and availability to EPA users and potential users of the
database.
In addition to these activities, the International Data Sharing
Program encourages efforts to exchange environmental data, provides
technical expertise and support, and explores the innovative use of
technology for the acquisition, analysis and dissemination of
environmental data.
1. Objectives
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The overall purpose of the International Data Sharing Program is to
provide reliable and timely data and information to the international
community. EPA is establishing itself as a model information/data
focal point to other countries. Reliable environmental data is
central to any dialogue about global environmental problems. The EPA
has learned plenty over its short history on methods of effective
data collection, storage and retrieval. Information management is
a corporate activity and science that the Agency can be a model and
resource for other countries.
EPA's involvement with the United Nations organization, INFOTERRA,
is central to the Program. INFOTERRA is an international information
referral network designed to facilitate the flow of environmental
information within and between countries. EPA is the National Focal
point for information in the United States.
The International Data Program supports a variety of activities such
as responding to international environmental inquiries with technical
reports, bibliographies, legislation and database searches. We
maintain inventories and registers of national sources of
environmental information for inclusion in INFOTERRA directories and
promote the use of the INFOTERRA network. EPA is involved in a
partnership program working with Botswana. This partnership with
Botswana will assist in the development of a national environmental
information resource for the country. EPA will work with Botswana
to develop bibliographies on selected environmental topics, deliver
selected documents and develop a system to routinely share
publications.
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C. CONTRACTS MANAGEMENT
As an agency with growing responsibilities but with only minimal
growth in its federal workforce, EPA continues to rely heavily on
contractor support. This method of doing business requires strong
and active contract management to ensure that we maintain integrity
in the Agency's procurement process and ensure appropriate spending
of federal funds. Throughout recent years, EPA has continued to
receive scrutiny in various areas of its contracts management
program. The Administrator's FY 91 Guidance outlines the direction
the Agency must continue to go in order to improve the state of
contract management at EPA. As National Program Manager, OARM is
leading these efforts to improve EPA's management of its contracts.
MANAGEMENT ACCOUNTABILITY
o It is the responsibility of EPA managers and supervisors to
familiarize themselves with the principles and the contracts
management process in general, and to become personally involved
in the contract activity of their organizations.
o Managers need to know the status of their contracts and senior
managers should be prepared to discuss their contracts during
quarterly SPMS meetings.
o Prohibited contracting practices will not be tolerated and the
Agency's managers must understand the procurement process well
enough to condone only legal and proper procurement practices
in their organizations.
CONTRACT MANAGEMENT WORKFORCE
RECOGNITION
o To recognize the excellent combination of technical and business
skills that EPA's contract managers must develop in order to
excel, the Agency will recognize and reward its top contract
managers through a monetary award sponsored by OARM. Each
region and Headquarters program office should nominate its best
project officers and other task officers to ensure that we
continue to recognize the role these individuals play in EPA's
ability to achieve its mission.
DEVELOPMENT
The Agency must continue to develop its contract managers to
prepare them to manage EPA's large contracts. In addition to
formal classroom training, it is essential for these contract
managers to receive on-the-job training and support in their own
offices.
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COMMUNICATION
OARM and Regional Management Divisions will continue to develop
better communication mechanisms (e.g. electronic bulletin
boards, support groups, news bulletins) for sharing information
with the Agency's contract management community.
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D. ORGANIZATIONAL CONFLICT OF INTEREST
To preserve the integrity of the federal contracting process
and to support the soundness of Agency decisions in Superfund
enforcement and cost recovery efforts, it is imperative that EPA take
necessary precautions in determining appropriate use of contractors
in the Superfund program.
Organizational Conflict of Interest (OCI) and the way it is
handled under Superfund contracts has been an issue of mounting
concern over the past year. In FY 91, initiatives that the Agency
began in connection with the Superfund Management Review will
continue to be given significant emphasis. Several of the key
activities that will take place over the course of FY 91 are as
follows:
o OARM will continue to work on enhancements to the OCI database
that was established in FY 90. This database contains case
history on the resolution of conflict of interest issues and
provides a point of reference to Agency staff who handle OCI
matters. The database will also serve as a tool for generating
statistics on Superfund contractors, Superfund sites, and
various activities of the Superfund program that use contractor
support. Headquarters and Regional contract management staff
have access to this database.
o OARM will continue to conduct on-site reviews of contractors'
OCI avoidance procedures. These reviews provide a check and
balance to the self-disclosure of OCI matters that contractors
must perform as work is assigned to them. The reviews ensure
that contractors' systems meet minimum established requirements
for the identification of potential conflicts within their
business organization.
o OARM will continue to provide training to Agency staff on
matters related to OCI. A significant portion of the training
will be conducted in the regions to ensure that Regional staff
charged with managing the Superfund contracts have a full
understanding of the controversial and sensitive issues
surrounding OCI.
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E. Building Public-Private Partnerships
This initiative was developed in response to the recognition by the
Administrator and others that we face a crisis in meeting
environmental expectations given the public resources currently
available. There is a growing acceptance both within and outside of
the Agency of the crisis and of the need for innovative and creative
solutions. Public-private partnerships and other innovative
financing techniques have great potential to help meet the growing
environmental and resource challenges in the 1990's and beyond. The
goal of this initiative is to increase the total investment in
environmental protection by facilitating greater leverage of public
and private environmental resources to help ease the environmental
financing challenge facing our nation.
Strategy for Implementation
This initiative is being implemented through the national
coordination and policy development efforts of a Headquarters' staff
within the Office of the Comptroller along with the integrated
efforts of the following groups: (1) an Agency-wide AA/RA level
Steering Committee to provide overall leadership and direction for
the initiative, (2) Regional Coordinators to serve as a focal point
for regional involvement in implementing the initiative, and (3)
Headquarters' Program Office Coordinators to serve as a focal point
for program office involvement in the initiative.
The initiative will focus upon environmental finance and legislative
and taxation issues at the Federal, state, and local levels,
particularly with regard to their impact upon local governments and
small communities. Special attention will be given to issues
impacting three critical program areas, drinking water, wastewater
treatment, and solid waste. Our strategy for enhancing the leverage
of public and private environmental resources involves the following
elements.
Developing the most effective financing approaches that can be
used bv the various levels of government to finance
environmental program and infrastructure needs.
We have created an Environmental Financial Advisory Board
(EFAB), to provide EPA advice on matters concerning
environmental financing. This expert advisory panel is
comprised of executives from all levels of government, including
elected officials, the finance and banking community, business
and industry, national organizations, and academia.
Determining tax policy changes at the Federal, state, and local
level that would promote public and private sector financing
options for environmental services and infrastructure.
The Environmental Financial Advisory Board will also be
examining and addressing tax policy barriers and issues that
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need to be modified or addressed at the various levels of
government in order to facilitate public financing and encourage
private investment in the provision of environmental services.
We are developing a Legislative/Regulatory Options Strategy
which will identify and eliminate possible obstacles and
disincentives to establishing public-private partnerships and
other financing mechanisms for environmental services.
Developing the most effective financing approaches at the small
community level to finance environmental programs and
infrastructure needs.
We will be releasing for distribution a Self Help Guide for
Public-Private Partnerships which is designed to show local
officials how to choose the partnership option that best suits
their specific needs and provide them detailed step-by-step
information on how to structure and implement the partnership
agreement.
The Environmental Financial Advisory Board, as part of its
agenda, will be focusing in particular on the environmental
financing needs of small and hardship communities.
To identify and pursue options or incentives that will encourage
greater private investment in environmental services.
We are implementing a series of Demonstration Projects
throughout the country which will serve as real-life, models of
successful, practical solutions to environmental problems at the
local level. The Demonstration Projects will benefit both the
public and private sectors in the delivery of environmental
services to the public and will be designed to be replicated to
other communities in the country.
We will be establishing a Venture Fund which will serve as a
pool of money available to support demonstration projects
meeting established criteria for innovativeness, originality,
or the new application of environmental financing techniques
that involve public and private sector participation.
We are conducting a series of National, Regional, and State
Conferences which are designed to bring together interested
individuals from all sectors to focus on environmental financing
and infrastructure problems and issues.
Mai or Activities and Responsibilities
1. EPA Regional Offices
An important emphasis in FY 1991 is to continue to involve the
Regions in major elements of the initiative. Such involvement
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is necessary to institutionalize support for, and maintain
progress toward, increasing the use of public-private
partnerships and other financing mechanisms at the community
level.
The Regions will take the lead in identifying and documenting
examples of both successful and unsuccessful public-private
partnerships that have been created in their States. They will
develop these examples into case studies for inclusion in a
detailed casebook examining all facets of the major types of
public-private partnerships.
Regions will play an important role in reviewing the Self Help
Guide that will be produced to show local officials how to
choose the best public-private partnership options and then
successfully structure and implement them. They bring an
operational, real-world approach to their reviews and critiques
of these products.
Regions will continue to sponsor public-private partnership
conferences involving representatives from EPA, States, and
localities; the business and financial communities; professional
and trade associations; environmental groups; and other
interested parties. These conferences will build support for
the initiative, educate participants about environmental
financing alternatives, and promote innovative thinking on
environmental financing problems and solutions.
Regions will also be involved in developing, implementing and
supporting Demonstration Projects. Regional participation will
include working with their States to determine and select
interested and viable candidate communities, providing
consulting assistance to communities during the project
initiation phase, and serving as the liaison between the States
and communities and Headquarters in monitoring the progress of
the projects.
2. The States
State cooperation, assistance and participation is very
important to the success of this initiative. In FY 1991, we
will work closely with States in a number of project areas.
States have a vital role in examining the incentives and
impediments to business participation in public-private
partnerships created by their laws and regulations. EPA will
be working with them to create a favorable legislative/
regulatory environment at both the State and Federal levels.
States will be active participants in, and contributors to, the
conferences sponsored by the Regions. They will also be
encouraged to sponsor local conferences of their own promoting
public-private partnerships and other financing alternatives.
State cooperation in these efforts are crucial to the building
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of relationships with community officials and to successfully
carry out other networking activities.
states will also be actively involved in the Demonstration
Projects. States will help determine and select candidate
communities, open dialogues between EPA and local officials,
and serve as a consultant to both EPA and localities. States
will be vitally important in creating a favorable climate within
which the Demonstration Projects can occur.
3. EPA Media Offices
In support of this initiative, the Media Offices will have an
important role and opportunity to provide input to the
Environmental Financial Advisory Board as it carries out its
agenda. The Media Offices will be in a position to suggest key
issues and problem areas that the EFAB should be examining.
Also, the Media Offices' will be able to provide valuable
support to the EFAB implementation process by reviewing
recommendations and positions papers developed by the Board.
Media Offices also have an important role in providing input
for the legislative/regulatory strategy options paper that will
be developed, and then in leading the Agency review of this
paper. There is no substitute for the technical expertise and
institutional knowledge that the Media Offices possess.
They will provide this expertise again in their phase of the
reviews of the self-help materials that will be developed for
communities. Each Media Office will take the lead in ensuring
the proper partnership approaches in their areas of program
responsibility.
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F. ASSISTANCE/INTERAGENCY AGREEMENT MANAGEMENT INITIATIVE
General Assistance Management
Consistent with the 1990 Administrator's Operating Guidance, Regions
should complete consolidation of all grants administration functions
in the Grants Management Office (GMO) of the Management Divisions
under the Assistant Regional Administrator. Regions should also
evaluate their grants management activities to assure they provide
adequate internal controls. In addition, GMOs should continue to use
the Regional Automated Grant Document System/ Interagency Agreement
System (RAGDS/IAMS) for all assistance programs and lAGs.
Headquarters program offices and the regions should use the Grants
Information and Control System (GIGS) for assistance program
information and reports.
1. Headquarters Role
To support implementation of full grant consolidation in the GMOs,
the Director, Grants Administration Division/Grants National Program
Manager (NPM), will provide Assistant Regional Administrators with
a Grants Administration Assessment Guide of Roles and
Responsibilities for GMOs. During 1990, the NPM developed a grants
specialist training curriculum. During FY 1991, the NPM will
initiate development of appropriate training courses for grants
staff. Enactment of amendments to the Clean Air Act will require
development of guidance and regulations for new assistance programs
and review of regulations and guidance for existing programs. The
NPM will also chair the Grants Information Management Council which
determines information requirements and establishes corresponding
data elements.
2. Regional Role
During FY 1991, each Regional office is to assure consolidation of
all IAG and assistance management functions in their GMOs under the
ARA for Policy and Management consistent with the FY 90 Guidance.
The grants workload assessment will guide this effort. The regions
should evaluate GMO staff training needs in accordance with the NPM's
established curriculum and assure resources are adequate to meet
identified training needs. GMOs should perform on-site review of
State systems on a periodic basis. In addition, regions should
prepare to implement the Clean Air Act Amendments, including new
programs. Regions should expand the use of the Regional Automated
Grant Document System and Interagency Agreement System (RAGDS/IAMS)
for all assistance programs and lAGs. The GMOs should also provide
members for the Grants Information Management Council and assure
travel resources are adequate to attend periodic meetings.
i7,Superfund Assistance Management
w.t-
This guidance identifies assistance agreement and Interagency
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Agreement (IAG) management initiatives which support programs
authorized by the Comprehensive Environmental Response,
Compensation, and Liability Act, as amended (CERCLA) . CERCLA
authorizes $8.5 Billion for the Superfund program, of which
approximately $1.6 Billion will be awarded to States, political
subdivisions, thereof, and Federally-recognized Indian Tribal
governments in the form of cooperative agreements and grants. EPA
will also provide almost $2.0 Billion to other Federal agencies
through lAGs. The size and complexity of the program requires
effective and efficient management to assure its integrity and
adequate internal control. To assure this needed integrity and
internal control the NPM and regions should:
o Continue to build Regional, other Federal agency, and
recipient capability to manage Superfund assistance
consistently and effectively;
o Provide training to ensure Regions, other Federal agencies,
and recipients understand Superfund requirements and can thus
perform responsibly.
These initiatives will be the foundation for assistance and IAG
management integrity in the Superfund program nationally.
1. Headquarters Role
The NPM will provide updated policies and procedures for the award
of Superfund cooperative agreements and lAGs, process and manage
Headquarters awarded Superfund grants and lAGs, maintain adequate
grants management information in GICS, and provide policy guidance
for and oversight of the Regions. The NPN will also provide training
programs for Superfund grants specialists and assure appropriate
communication and outreach strategies between Headquarter' s program
offices and the GMOs.
2. EPA Regional Offices
The regions should support the NPM by continuing to provide
effective, efficient, and consistent administration of the complex
Superfund assistance and IAG program. The GMOs must ensure proper
management and oversight of Superfund cooperative agreements and
grants recipients and management of lAGs. The GMOs are responsible
for ensuring that every assistance agreement and IAG complies with
EPA's Superfund administrative and management regulatory and policy
requirements. They must also ensure that each assistance agreement
and IAG is negotiated, processed and awarded in compliance with all
appropriate laws, regulations, executive orders, Federal circulares,
and other requirements. Data related to all Superfund assistance
awards and lAGs will be entered in GICs and used for management
reports.
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Assistance Support for Alternative Financina/Public-Private
Partnership Activities
Regional GMOs must continue to fully support EPA's alternative
financing and Public-Private Partnership activities.
During FY 1991 this includes GMO management of State Revolving Fund
(SRF) grants consistent with Agency policy on grants administration
roles and responsibilities. SRF grants are authorized by the 1987
Amendments to the Clean Water Act. The Act authorizes $2.4 Billion
for Fiscal Year 1991 and a total of $8.4 Billion through FY 1994.
The major SRF objectives for GMOs include:
Continuing or instituting effective, efficient, and consistent
regional assistance management practices in the SRF program;
Helping States develop the capability to administer the SRF
program consistently and effectively;
Assuring compliance with the SRF regulation and assuring that
nonstatutory/nonregulatory requirements are not imposed on
States.
Participating in the Annual Review required in the SRF program.
GMOs should also consider other opportunities to involve the private
sector in environmental management activities. GMOS should be
prepared to support alternative financing for Public-Private
Partnership programs by maintaining an innovative assistance
management infrastructure to provide capability to deal with future
assistance programs and developing relationships with private sector
organizations.
1. Headquarters Role
During FY 1991, the NPM, in cooperation with the Resource Management
Division, will continue to pursue ways to improve financing of
environmental needs. The NPM will provide policy and procedural
guidance and assure appropriate communication with regional GMOs.
In addition, the NPM will oversee the regional GMOs to assure they
assume appropriate management responsibility for the SRF program.
2. Regional Role
Regional GMOs should continue to cooperate with the Grants
Administration Division and other regions to develop and share
consistent solutions to problems. Regions should take full advantage
of OARM systems to support resource needs, internal control efforts,
communications, and information management opportunities through
RAGDS, IAMS, and GICS and the GICS Management Council.
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G. OCCUPATIONAL HEALTH AND SAFETY AND ENVIRONMENTAL
The FY 1991 objectives, initiatives and high priority activities to
be conducted to improve the Agency's Occupational Health and Safety
and Environmental Compliance are identified in this section of the
Guidance. Each of the major initiatives is summarized followed by
the priority activities necessary to accomplish each initiative.
The successful management of the complex Occupational Health and
Safety and Environmental Compliance programs depends on Agency
managers addressing and achieving the FY 1991 objectives of:
Building consistent and effective regional, laboratory and
field occupational health and safety programs supporting the
Agency risk reduction goals;
Developing and instituting effective, efficient and
consistent environmental compliance programs supporting
environmental impact and federal facility compliance at our
facilities;
Establishing and promoting an effective national information
system to measure the success or of reducing occupational and
environmental hazards throughout the EPA.
The initiatives discussed below are directed towards helping every
Agency manager and employee ensure that our Agency's Occupational
Health and Safety and Environmental Compliance function is performed
effectively.
Specific Occupational Health and Safety, and Environmental Compliance
initiatives cover the areas of:
Resources Control
Procedure
Policy
Auditing
Training
Technical Assistance
Communications
Internal Controls
1. Resource Control
Resource control initiatives will be directed toward establishing
mechanisms that will help ensure that resources are available for
supporting safe working conditions for our employees and contractors
in our facilities and at our field sites. Our facilities will
continue to implement improvements and ensure that all operations and
activities are conducted in compliance with environmental
regulations.
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Each region and laboratory should maintain a unit/positions
to perform the Health and Safety/Environmental Compliance
activities including work conducted at field sites.
OARM will continue to support a National Technical Assistance
Contract available for all sites requiring a means of Health
and Safety and Environmental Compliance support.
The Agency's Building and Facility appropriation process will
continue to emphasize health and safety and environmental
compliance projects.
Senior budget officers should assure that funds appropriated
for health and safety and environmental compliance are used
for that purpose.
2. Procedural Initiatives
Procedural initiatives will ensure necessary checks and balances
between program and management responsibilities for safe working
conditions for our workers, compliance with environmental regulations
at our facilities while also ensuring fiscal integrity of our
operations.
All program activities should be checked against the Agency's
Directives and guidance for health and safety and
environmental compliance.
OARM should ensure that health and safety and environmental
compliance requirements are met Agencywide.
3. Policy Initiatives
Policy initiatives will ensure clear management goals. Imple-
mentation of the goals support a consistent national occupational
health and safety and environmental compliance program.
Regional offices, laboratories and field units should
participate in identifying necessary policy, formulate the
policy and provide for its implementation to support a
cohesive and consistent program.
4. Auditing Initiatives
Auditing initiatives will help measure the effectiveness and
efficiency of health, safety and environmental compliance programs
and promote a commitment to their enhancement.
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Field units should regularly conduct self audits of their
health and safety and environmental compliance programs.
OARM should conduct oversight audits of health and safety
and environmental compliance at EPA facilities.
• The information will be compiled to determine the national
policy, guidance and training needs.
5. Training Initiatives
Training initiatives will ensure EPA employees are provided with
clear understanding of policy, guidance and technical information
that will assist them to work safety and in compliance with
environmental requirements.
• All Agency managers need to commit resources to provide
training that employees need to perform their jobs
safely and in compliance with environmental
requirements.
• OARM should continue to identify quality training sources,
both within and outside the Agency, that can provide the
training.
6. Technical Assistance Initiative
EPA regional offices, laboratories and field units identify health,
safety and environmental compliance issues that require technical
review before implementation.
• OARM will work closely with EPA facilities and program offices
to respond to technical issues and distribute this information
to other EPA facilities for the enhancement of the national
health and safety and environmental compliance programs.
• OARM encourages and will prioritize technical assistance in
support of pollution prevention initiatives.
7. Communications Initiatives
Communications initiatives will ensure that health, safety and
environmental compliance needs get high visibility, clear
information, and good promotion.
• OARM will continue a two-way communication network with EPA
facilities that effectively transfers health, safety and
environmental compliance information.
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• OARM will develop a promotional communication strategy that
will inform EPA senior management and other federal agencies
of EPA's commitment to proactive health and safety and
environmental compliance programs.
8. Internal Control Initiatives
Internal control initiatives will ensure that all health, safety and
environmental compliance operations achieve an enhanced level of
effectiveness.
OARM should use automated systems to track and routinely
report on the health and safety and environmental compliance
status of each EPA facility.
EPA facilities should implement their action and abatement
plans for achieving program improvements recommended in
environmental compliance and health and safety audit reports.
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H. PERSONAL PROPERTY MANAGEMENT
EPA has expended significant resources in an effort to make major
improvements in the area of property management. A new PC-based
Personal Property Accountability System (PPAS) has been developed
and was implemented nationwide in FY 1989. This effort included a
massive clean-up of the current data base. A policy announcement
raising accountability threshold levels for personal property was
issued on September 21, 1988. This change reduced the number of
items to be tracked by 75-80% while reducing the total dollar value
of the assets being tracked by only 55. The major objective of the
Agency's property management program is to ensure that all Superfund
and non-Superfund property is properly tracked and controlled.
1. The strategy to improve the internal control environment of
property management includes the following:
- On-going nationwide user training and expanded implementation
of the new PPAS in FY 1990.
- All regional and field property management officers are required
to perform a comprehensive physical inventory of personal
property accountable areas. These inventories should be
properly reconciled and all outstanding issues resolved.
- Written certification will be required that each accountable
area has successfully completed the above tasks by the third
quarter of 1990.
- Headquarters will perform random on-site verification of this
inventory process during FY 1990.
2. Headquarters will conduct quality assurance reviews at regional
and field offices. These reviews will determine compliance with
the Personal Property Management Policy to be issued and
incorporated into the procedures manual during FY 1990.
During the first quarter of FY 1990, regional offices will be
notified of pending reviews. Headquarters will then conduct
reviews and work with regional and field offices to ensure
compliance with the policies and procedures Agencywide.
As a result of these initiatives, the Agency's FY 1990 audit of
property management should be free of previously identified
deficiencies. In order to ensure continued compliance in this
area, headquarters will conduct the same level of oversight on
an ongoing basis in subsequent fiscal years.
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I. SUSPENSION AND DEBARMENT
General Guidance
All Executive branch Federal agencies have been under a uniform
suspension and debarment system for procurement since 1982, and
assistance since 1988. In 1991 we anticipate implementing an OMB
consolidated governmentwide rule for suspension and debarment
incorporating both programs.
In FY 1991 we will continue an aggressive effort to investigate poor
performance and misconduct on EPA specific projects as well as
auditing settlement agreements on previous actions.
The Grants Administration Division is EPA's central office
responsible for the suspension and debarment program for procurement
under FAR, Subpart 9, and assistance under 40 CFR Part 32. The
Offices of Regional Counsel and the Office of the Inspector General
are also responsible for performing key tasks associated with the
government-wide suspension and debarment program. In order that
these offices can carry out their duties under the government-wide
effort, it is important that EPA management officials understand that
suspension and debarment is an important part of their
responsibilities as well. The suspension and debarment program has
and is continuing to experience unevenness in the activities
reported, investigated and pursued from Region to Region. In FY
1991, the following efforts should be included in preparing
workplans:
o All program office managers, both Regional and Headquarters,
should emphasize the importance of being aware of the Federal
effort to combat waste, fraud and abuse through suspension
and debarment, and their responsibility to report suspect
activity and problem participants to the Compliance Branch,
Grants Administration Division, or their Divisional Inspector
General.
o The Offices of Regional Counsel should utilize appropriate
management tools, including performance standards, to
recognize and emphasize activities associated with suspension
and debarment.
o Encourage Regional, delegated State, and program offices to
obtain training from the Grants Administration Division as
part of their conference, meeting and training agendas in an
effort to inform and sensitize the various officials
responsible for managing EPA funds.
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J. BUILDING AND FACILITIES
EPA facilities, inspite of our continuing efforts and success at
getting significant increases in the B&F appropriation, continue to
deteriorate. In addition, as programs, organizational structure and
missions change, the facility must be altered to meet these changes.
Our personnel increase without an equivalent increase in space,
producing an ever growing burden on our facilities. In order to
address the deterioration of our facilities, program changes and
increase burden on our space we are aggressively moving forward with
an improved B&F planning process which will include linkage with the
space planning process through the annual call letter now.
We have emphasized the repair of critical health and safety projects
and environmental compliance projects over the past years. As a
result, we are beginning to address many of the major problems in
these areas. We've enjoyed significant success increasing our
funding from approximately $2 million in FY 1984 to $12.5 million in
FY 1991. - However, funding for basic repair and upkeep, space
alterations, and modernization required by our changing programs have
not kept pace. The average age of our facilities continue to
increase and with this aging of the facilities the cost to maintain
our facilities increase as well. We must invest in the basic repair
and upkeep of our facilities while continuing to address critical
health and safety and environmental compliance projects. We need to
specifically identify those projects that are critical in carrying
out the mission of EPA.
With many leases expiring over the next few years we need to
coordinate and plan our repair and improvement projects with lease
expiration dates. This is particularly important in order to
maximize the use of these scarce B&F funds. We must improve our
planning process and not wait to make repairs till they became
emergencies.
A number of initiatives will be implemented in order to accomplish
these goals more efficiently and effectively. They include:
- Management Evaluations
Fine Tuning the B&F Projects Approval Process
Identification of Funding Requirements
Management Evaluations
With OARM's lead, all Programs and Regions will develop an
improved B&F planning and prioritization process that will be
integrated with the space planning process. This process will
include the improvement of project submissions, and planning
related to changing programs, missions, and lease conditions.
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B&F Projects Approval Process
OARM will evaluate the building and facility approval process
and recommend methods to improve the effectiveness of the
process.
Building and facilities project submissions. Justifications
for the repair and improvement of facilities will show how the
projects fulfill the following goals. These goals are 1)
provide a safe and healthful working environment for EPA
employees; 2) ensure that all EPA facilities meet pollution
abatement standards; 3) provide facilities maintenance that is
essential to prevent and halt deterioration; 4) improve
capabilities at research, program, and regional laboratories to
respond to new or existing legislation; and 5) consider required
Headquarters, field, and regional office and laboratory
relocations.
Prioritization of B&F projects. Projects will be submitted
through Programs and Regions, for prioritization by each of
their levels of management. All projects will also submitted
through OARM to be evaluated and prioritized from a facilities
and resources standpoint. We need to reach an accurate
assessment of which projects must be funded in order to support
the rebuilding of the Agency's infrastructure as well as new
program needs.
Identification of Funding Requirements
We have emphasized the repair of critical health and safety
projects and environmental compliance projects over the past
years. We now need to focus on the basic repair and upkeep of
our facilities while continuing to address critical health &
safety and environmental compliance projects. We need to
specifically identify those projects that are critical in
carrying out the mission of EPA regardless of project category.
Required projects will include space alterations, and
modernization required by changing programs as well as health
and safety, environmental compliance and repair and upkeep.
Budget requirements for B&F change from year to year depending
on when leases expire and specific facility needs. Programs and
regions should specifically identify the impact of program
changes through the B&F/space call letter on facilities and
adequately request critical projects. This call letter will be
the vehicle for the field to advise and report the impact of
planned changes back to the budget process so that leases and
building and facilities projects can be coordinated. Our goal
is to identify funding needs and improve our planning efforts.
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Office Of
Enforcement and
romptance
Monfrntng
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OFFICE OF ENFORCEMENT
OFFICE OF FEDERAL ACTIVITIES
FY 1991 OPERATING GUIDANCE
TABLE OF CONTENTS
I. OVERVIEW 1
II. ENVIRONMENTAL PROBLEM AREAS (BY PROGRAM) 3
Environmental Review Program 3
NEPA Compliance Program 5
Federal Facilities Compliance Program 8
Indian Program 15
STARS MEASURES APPENDIX
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OFFICE OF ENFORCEMENT
OFFICE OF FEDERAL ACTIVITIES
FY 1991 OPERATING GUIDANCE
(Nate: AS this document went to print, there was a "Green
Border" reorganization package under review which proposed a
consolidation of various media program Federal Facilities
Compliance functions within a new Office of Federal Facilities
Enforcement (OFFE) in the Headquarters Office of Enforcement.
When the reorganization is completed, OFFE will be issuing its
own FY 1991 Operating Guidance. The OFFE guidance will be issued
April 13, 1990 along with the Agency's other Supplemental
Guidance documents.)
I. OVERVIEW
The Office of Enforcement (OE) serves as the principal adviser to
the Administrator and national program manager for matters con-
cerning enforcement and compliance.
Within OE, the Office of Federal Activities (OFA) is responsible
for establishing effective liaison with and coordinating overall
environmental compliance by other Federal agencies. OFA also
ensures, to the extent possible, that other Federal agencies
carry out their activities in an environmentally sound manner,
that EPA's programs comply with the goals and requirements of the
National Environmental Policy Act (NEPA) and other environmental
legislation, and that EPA's Indian Policy is effectively
coordinated.
This guidance addresses the Agency's goals, objectives, and
program priorities for effective implementation of these
responsibilities as defined by the Environmental Review, NEPA
Compliance, Federal Facility, and Indian Programs. These programs
are implemented in accordance with the following requirements:
o Section 309 of the Clean Air Act requiring EPA to review
and comment in writing on all proposed major Federal
actions.
o The National Environmental Policy Act (NEPA) and related
laws and directives.
o Executive Order 12088 requiring Federal facilities to comply
with environmental laws and regulations and requiring EPA to
provide technical assistance and advice to Federal
facilities to help ensure their compliance.
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o OMB Circular No. A-106 requiring the heads of Federal
agencies to develop annually a five year plan for funding
pollution abatement and control projects needed to meet
environmental standards and requiring EPA to review those
plans and to advise OMB.
o EPA Indian Policy which guides the Agency in dealing with
tribal governments in a manner consistent with the Federal
Indian Policy, announced by the President on January 24,
1983.
Each of the OE programs managed by OFA supports more than one of
the points in the Administrator's Management Plan. Because of
their multi-media and cross-cutting nature, these programs are
implemented in close coordination with the media programs at both
Headquarters and Regional levels, and help address many of the
priority activities. In this regard, OFA's program goals and
objectives serve both as independent goals for focusing Federal
Activities resources and as key elements in supporting the goals
of the media programs.
The OFA functions also provide EPA a primary focal point for
working with other Federal agencies to ensure that they carry out
their project-related activities in an environmentally sound
manner, preserving ecological and natural resource values to the
maximum extent possible.
The Environmental Review Program provides EPA with a unique
opportunity to anticipate and prevent future environmental
problems associated with Federal actions by affording EPA the
opportunity to influence decisions, often where it is too early
in the planning cycle for direct application of EPA regulatory
authorities.
EPA's NEPA Compliance Program plays a similar role internally by
encouraging consideration of the full range of environmental
impacts in EPA's project and regulatory planning. By focusing on
the full range of potential environmental impacts in evaluating
Agency actions, such as the issuance of new source NPDES permits,
EPA can assure that environmental effects can be identified and
minimized.
The Federal Facilities Compliance and Indian Programs both
address environmental compliance problems with an orientation
towards promoting strong self-monitoring and compliance programs.
These programs facilitate technology transfer and training as a
means for achieving long-term comprehensive compliance with
environmental requirements.
Collectively the Federal Activities programs provide EPA with a
unique tool for achieving environmental compliance from a large
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range of Federal activities and also allows for targeting
sensitive environmental areas (such as wetlands, riparian zones,
and near coastal waters) for special efforts at preventing,
reducing, or mitigating environmental damage.
II. ENVIRONMFMTAL PROBLEM AREAS
ENVIRONMENTAL PROBLEM AREA ttl: PREVENT FUTURE ENVIRONMENTAL
PROBLEMS AND ECOLOGICAL DAMAGE FROM PROPOSED MAJOR FEDERAL
PROJECTS AND ACTIVITIES.
A. MAJOR PROGRAM INITIATIVES
The EPA Environmental Review Program is oriented towards the
prevention of future environmental problems from major Federal
projects and activities by providing early and effective EPA
input through participation and review in accordance with the
provisions of Section 309 of the Clean Air Act and the National
Environmental Policy Act.
In FY 1991, the top priorities for this program are:
(1) To ensure maximum incorporation of pollution prevention
opportunities in Federal projects subject to NEPA.
(2) To ensure that the environmentally significant issues are
identified and dealt with as a first priority.
(3) To ensure early coordination/communication of EPA issues
with the lead Federal agency and the affected community.
In carrying out its mandate to review all proposed major Federal
actions, EPA will emphasize the following five areas: (1) early
involvement in the planning cycle for projects with potential for
major environmental disruption; (2) review of Federal projects to
ensure proper consideration of the impacts of major environmental
changes that could significantly alter the efficacy of proposed
environmentally protective programs or projects; (3) coordination
with the EPA Program Offices on major policy thrusts and long
range plans with potentially significant environmental effects;
(4) liaison with Federal agencies whose programs may have
particularly strong effects on, or implications for,
environmental degradation or ecological or natural resource
sustainaMlity; and (5) follow-up liaison on projects to ensure
resolution of significant environmental issues identified by EPA.
Headquarters and Regions will focus their pre-Environmental
Impact Statement/Environmental Assessment (EIS/EA) activities on
early involvement with those classes of Federal projects that
have the potential for the greatest environmental impacts on
environmental, ecological and natural resource values. For these
high priority projects, EPA will seek to provide input to
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agencies' project development processes to ensure consideration
of the full range of alternatives and appropriate use of
assessment methodologies. Early participation or consultation in
Federal agency planning processes should surface, and lead to
correction of potential problems at the earlier stages of project
planning.
B. ENVIRONMENTAL INDICATORS
The environmental indicators reflecting effectiveness of the
Environmental Review Program will include quarterly reports,
compiled by OFA, that will track ERP activities and successes in
connection with projects/programs determined to have serious and
adverse environmental impacts. This report will be generated
through existing information collection and reporting systems.
C. MAJOR ACTIVITIES
(1) Review all draft EISs ensuring that all EPA environmental
policies/regulations are reflected in the EPA review of
proposed major Federal actions.
EPA Headquarters and Regions will place high emphasis on
specific liaison activities with Federal agencies to ensure
that they are aware of EPA regulatory or programmatic policies
and initiatives dealing with the priority environmental problems.
Federal agencies, especially at the field level, will be
encouraged to become constructively involved in promoting
regulatory compliance with and participation in EPA initiatives
for the resolution of these environmental problems. This
activity is intended to ensure that where possible, EPA's
programmatic goals are not compromised through the actions and
projects of other Federal agencies. (Headquarters, Regions)
(2) Target final EISs and follow-up activity to ensure resource
concentration on projects with significant environmental
problems.
EPA Headquarters and Regions will conduct follow-up liaison
on all project reviews where EPA has identified significant
environmental problems. The purpose of follow-up is to
explain EPA's concerns and to obtain positive agency responses to
EPA's specific recommendations. Where necessary to resolve
significant environmental problems, the reviewers will elevate
projects to higher EPA management levels. Screening processes
developed in FY 1990 will be used to identify final EIS
review/follow-up prioritization for actions of environmental
concern. (Headquarters, Regions)
(3) Improve Federal agency pollution prevention performance
through better compliance with NEPA.
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EPA Headquarters and Regions, will work together to identify
agency specific NEPA compliance problems which are resulting in
continuing significant environmental problems from proposed
projects. In accordance with strategies developed in FY 1990, EPA
will conduct a coordinated Headquarters/Regional liaison effort
with the identified Federal agencies to effect long term
corrections to their operating procedures. (Headquarters,
Regions)
(4) Target a specific EPA high priority problem area as a special
ERP initiative.
Using criteria established in FY 1990, each Region will be asked
to target an EPA high priority problem area which is also
influenced by Federal projects or actions subject to NEPA
(terrestrial and aquatic habitat modification, nonpoint sources,
pesticide application, etc.). This special initiative will allow
the Region to concentrate resources on a specific high priority
area and fully explore the contribution of EPA»s EIS review
process" to the other EPA enforcement/compliance mechanisms.
(Regions)
ENVIRONMENTAL PROBLEM AREA tt2! PROTECT AND ENHANCE ENVIRONMENTAL
QUALITY THROUGH ENSURING EPA COMPLIANCE WITH THE GOALS AND/OR
REQUIREMENTS OF THE NATIONAL ENVIRONMENTAL POLICY ACT (NEPA) AND
RELATED LAWS AND DIRECTIVES.
A. MAJOR PROGRAM INITIATIVES
The objectives of the NEPA Compliance Program are to: (1) help
improve EPA decision-making in order to avoid unanticipated
environmental impacts, with an emphasis on identification of
alternatives and the full range of potential impacts, including
impacts on natural resources and possible inter-media transfer of
pollutants, and identification of mitigating measures to avoid or
minimize adverse impacts; (2) promote the dissemination to the
public of information regarding the environmental implications of
proposed agency actions and their alternatives; (3) ensure that
EPA complies with the requirements and procedures of other
relevant environmental laws and directives; and (4) assist in the
development of agency-wide and program-specific ecological risk
assessment procedures. It should be noted that environmental
impact assessment lessens the possibility of inter-media transfer
of pollutants and therefore relates directly to the more specific
agency priorities.
The interdisciplinary experience developed in the course of NEPA
compliance (primarily for water media programs) is increasingly
involved in assisting other EPA program areas. In FY 1991, the
NEPA Compliance Program will be directed to ensure that EPA's
regulatory and other programmatic actions utilize the goals
and/or requirements of NEPA and fully comply with relevant
environmental laws and regulations. The program will be used to
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promote improved decision-making for complex and controversial
projects through comprehensive environmental impact analyses,
impact mitigation, consultation, and involvement of the impacted
public. Emphasis will be placed on those activities with the
greatest potential for adverse public health or natural resource
impacts and inter-media pollution transfers. Assistance will
also be provided to other Federal agencies through participation
as a cooperating Agency on EISs, when appropriate.
A continuing area of activity will be effective implementation of
the State Revolving Funds (SRF) for municipal wastewater
treatment and associated activities under Title VI of the Water
Quality Act of 1987. Technical assistance will be provided to
state environmental agencies as they implement State
Environmental Review Programs (SERF) for State Revolving Funds.
For those states that have approved SRF programs, an annual
program review will be performed. At the same time this program
will also attempt to ensure full compliance with NEPA for the
construction grants programs during its phase-out period.
Major areas of activity will also include support of NEPA reviews
for placer mining, for NPDES permitting of new offshore oil and
gas activities, and for NPDES permitting of new electric power
plants. There will also be increased emphasis on compliance with
cross-cutting Federal environmental statutes and Executive Orders
affecting such environmental values as wetlands, floodplains,
coastal zones, historic preservation, and endangered species.
Another area of activity will be participation in the various
agency work groups which are developing ecological risk
assessment procedures. The NEPA compliance program will continue
its involvement in these various efforts and will also provide
technical assistance to EPA programs on site-specific activities
requiring ecological risk assessment.
In some situations EPA programs may decide that, although not
legally required, a voluntary EIS, or other multi-disciplinary,
geographically based environmental assessment should be carried
out. Such studies might be appropriate where there is concern
over cross-media impacts, secondary or indirect environmental
effects, cumulative environmental damage, and/or strong public
interest and controversy. Resources permitting, the regional NEPA
compliance program is prepared to offer technical assistance to
the regional program offices in developing voluntary EISs or
similar studies.
OFA will work with the Office of International Activities, the
Agency for International Development and the Department of the
Treasury to improve the environmental review capabilities of
multi-lateral development banks and the information available to
the U.S. director in making loans for development projects.
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B. ENVIRONMENTAL INDICATORS
The NEPA Compliance program is designed to protect and enhance
environmental quality. The most effective means to evaluate the
effectiveness of the environmental impact process and the
development and implementation of mitigation measures is through
the process of post-project auditing on a case-by-case basis. As
resources allow, EPA regions and program offices should perform
post-project audits in order to evaluate and fine tune their
programs to comply with NEPA and related laws and executive
orders.
C. MAJOR ACTIVITIES
In addition to EPA's continuing responsibilities for NEPA
analyses for construction grants, new source NPDES permits, and
related special or generic studies, the following activities will
be afforded special emphasis in FY 1990 as resources allow:
(1) Provide technical assistance to state environmental
agencies carrying out environmental review programs for
State Revolving Funds (SRF). Perform annual program
performance reviews for existing SRFs. Assist states in
assuring EPA compliance with environmental cross-cutting
laws for the SRF program. (Regions)
(2) Assist in site-specific evaluations, e.g., working with
CERCLA staff in the development of feasibility studies for
remedial actions and RCRA staff on permitting activities,
emphasizing the analysis of alternatives, cross-media impacts,
mitigation, and public involvement. (Regions)
(3) Act as a cooperating agency with lead Federal agencies
proposing projects that directly and substantially impact EPA's
areas of regulatory responsibility. (Regions)
(4) Increase efforts to ensure that EPA complies fully
with NEPA in its research and development and facilities
activities. (Headquarters, Regions)
(5) Improve communication with other Federal agencies
responsible for implementation of environmental laws and
Executive Orders with which EPA programs must comply, in order to
evaluate problem areas and facilitate agency compliance.
(Headquarters, Regions)
(6) Continue to provide oversight and assistance to agency
programs in complying with the requirements of other Federal
environmental laws and relevant Executive Orders affecting
wetlands, floodplains, agricultural lands, coastal zones, wild
and scenic rivers, fish and wildlife, endangered species,
historic and archaeological sites, etc. (Headquarters, Regions)
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(7) Evaluate the effectiveness of NEPA compliance activities on
selected projects for which FNSI/EAs or EISs were issued, with an
emphasis on accuracy of impact prediction, actual installation of
proposed mitigation measures and effectiveness of implemented
mitigation measures. (Headquarters, Regions)
(8) In cooperation with the Office of International
Activities, assist the Department of Treasury, State and AID in
developing the environmental review capabilities of multilateral
lending agencies and developing countries and in high priority
individual project reviews. (Headquarters)
ENVIRONMENTAL PROBLEM AREA *3; ENSURE THAT FEDERAL FACILITIES
ACHIEVE AND MAINTAIN COMPLIANCE RATES WHICH MEET OR EXCEED THOSE
FOR NON-FEDERAL FACILITIES THROUGH TIMELY AND APPROPRIATE
ENFORCEMENT/COMPLIANCE ACTIONS, TECHNICAL ASSISTANCE AND
INCREASED EMPHASIS ON THE BUDGETARY APPROPRIATIONS PROCESS
THROUGH OMB CIRCULAR A-106.
A. MAJOR PROGRAM INITIATIVES
The Federal Facilities Compliance Program is a comprehensive,
proactive multimedia program mandated by Executive Order 12088
and consisting of three primary elements:
o Compliance tracking and oversight, including Dispute
Resolution
o Technical advice and assistance
o Pollution abatement planning and review (OMB Circular
A-106)
In FY 1989, the revised Federal Facilities Compliance Strategy
was issued following a coordinated agency-wide effort lead by OFA
and involving OE, OGC and all media program offices in
Headquarters and the Regions. The Strategy established a
comprehensive and proactive approach to achieving and maintaining
high rates of compliance at Federal facilities. It provided the
basic framework for all EPA media programs to follow to ensure
that Federal facilities are fully integrated into EPA and State
compliance monitoring and enforcement activities. The Strategy
serves as the primary guidance document for the Federal
Facilities Compliance Program with the OFA Operating Guidance
setting annual priorities and activities for implementation of
the Strategy.
In FY 1991, the top priorities for the Federal Facilities
Compliance Program are:
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(1) To take all actions necessary to ensure that violating
Federal facilities are returned to compliance in as timely a
manner as possible and to improve the overall identification and
tracking of compliance status of the Federal facility universe.
(2) To provide timely and improved technical assistance to
Federal agencies to help ensure their compliance with all
environmental regulations, particularly those related to recently
re-authorized statutes.
(3) To improve the effectiveness of the A-106 planning process
and the identification of A-106 projects which are more closely
aligned to identified EPA media program compliance priorities.
(4) To incorporate pollution prevention considerations into all
major components of the Federal Facilities Compliance Program.
B. ENVIRONMENTAL INDICATORS
Environmental indicators developed by the media programs for
compliance with EPA's statutes will also apply on a media-
specific basis to Federal facilities. Compliance rates of each
Federal agency will be tracked on a media-specific basis to
determine whether they are meeting or exceeding compliance rates
of the remainder of the regulated community. Federal agency A-
106 pollution abatement projects will be reviewed to determine
the extent to which they are addressing compliance problems in
EPA's identified media program priority areas. We also will focus
on whether Federal agencies are responding acceptably to the
additional needed and amended A-106 projects identified by EPA
Regional staff in appropriate inspections, reviews and "current
compliance checks." A-106 projects also will be classified based
on their compliance status and environmental significance.
C. MAJOR ACTIVITIES
(1) Increase emphasis on returning Federal facilities to
compliance in a timely manner following the procedures outlined
in the Federal Facilities Compliance Strategy and related media-
program guidance.
a) Coordinate negotiations of Compliance Agreements and Consent
Orders with Federal facilities, in cooperation and consultation
with the lead media program office, within established media-
specific "timely and appropriate" response time frames. (Regions)
b) Formally escalate unresolved issues related to specific
Federal facilities violations jointly to the Assistant
Administrator for OE and affected media program offices for
dispute resolution. Work with media programs to develop referral
packages when formal escalations are submitted by the RA.
(Regions)
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c) Nominate appropriate Federal facilities cases for the use of
alternative dispute resolution procedures, especially as a means
of resolving technical disputes, in cooperation with media
program offices. (Headquarters, Regions)
d) Provide Headquarters media programs and OFA with copies of
NOVs, NONs, and other administrative actions taken at Federal
facilities. OFA will provide this information to Headquarters
environmental offices of Federal agencies following review by EPA
programs. (Regions, Headquarters)
e) Enhance compliance through administrative pressure by
providing enforcement actions and periodic Compliance Status
Reports to the top management at Headquarters of other agencies.
(Headquarters)
f) Implement the Government-owned-Contractor-Operated (GOCO)
Enforcement Policy issued in FY 1990 to ensure this category of
Federal facilities is brought into compliance in an expeditious
and efficient manner. (Headquarters)
g) Ensure that other Federal agencies responsible for Federal
facilities outside the United States undertake the construction,
maintenance or operation of such facilities in a manner which
complies with applicable pollution prevention, control, abatement
and remediation requirements and standards and that these actions
are reported through agency A-106 plans. (Headquarters)
(2) Target problem Federal facilities through improved
identification and tracking of the compliance status of Federal
agencies.
a) Develop inspection targeting plans for Federal facilities in
coordination with media programs on annual Regional/State
inspection plans using compliance tracking data, historical
violation trends, and repeat violator analyses. Ensure Federal
facilities are being inspected at least as frequently as the
minima established in media program guidance, receiving at least
the same percentage of program oversight inspections as is done
for other sources. (Regions)
b) Track the compliance status of all Federal facilities
inspected during the fiscal year for each media program and
report this information to OFA quarterly on an agency-by-agency
basis using the PC-based Federal Facilities Tracking System
(FFTS) installed in each Region. Utilize this System to meet
other reporting requirements and track performance via "timely
and appropriate" response. (Headquarters, Regions)
c) Update Regional media program lists of majors, significant
minors and environmentally significant Federal facilities to
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ensure all are properly classified and receiving required
inspections. Identify noncompliance patterns and trends based
upon a cumulative analysis of inspection results and key
indications. ( Headquarters, Regions)
d) Ensure that results of all Federal facilities inspections and
any resulting enforcement actions are received from EPA Regional
program offices and State agencies in a timely manner through
State/EPA enforcement agreements or other means as appropriate.
(Regions, States)
e) Work with Regional program offices and Environmental Services
Divisions to conduct multi-media inspection of Federal facilities
where appropriate. Provide an updated list of the Federal
facilities identified as the prime candidates for multi-media
inspections. Coordinate with NEIC on implementation of a pilot
multi-media inspection program. (Regions, Headquarters.)
f) Accompany Regional media program staff on program and/or
oversight inspections as appropriate and where resources allow.
(Regions)
g) Coordinate with OE data management staff to ensure consistent,
separate tracking and reporting of Federal facilities for
comparison with other entities regulated by EPA. (Headquarters)
h) Issue periodic reports to Federal facilities Headquarters
Offices regarding their facilities compliance status and
informing them of new/proposed EPA policies, guidance and
regulations affecting Federal facilities. (Headquarters)
(3) Improve State/Federal relationships affecting Federal
facility compliance through more effective use of State/EPA
enforcement agreements.
a) Increase efforts to have each State identify counterparts to
the Regional Federal Facilities Coordinator through the State/EPA
enforcement agreements. (Regions, States)
b) Initiate actions through the State/EPA agreements to ensure
that delegated or authorized states inspect the required numbers
of Federal facilities and report the results of inspections and
enforcement actions to EPA in a timely manner. (Regions, States)
c) Conduct at least one annual meeting with the States in each
Region to coordinate Federal facility compliance activities and
identify and review Federal agency A-106 pollution abatement
plans. (Regions, States)
(4) Ensure that Federal agencies are planning, programming and
requesting funds for critical environmental projects through the
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Federal Agency Environmental Planning Process (OMB Circular A-
106).
a) OFA will coordinate with OMB and Heads of Federal Agencies to
ensure that all Class I and Class II projects as well as critical
(high priority) Class III projects are being funded in the
appropriate timeframe. (Headquarters)
b) Fully implement the quarterly "Current Compliance Check" to
follow the quarterly STARS report to OFA. Each inspection
reported through STARS that resulted in an NOV or NON or other
enforcement action should be evaluated, and if a new or amended
A-106 project is needed to correct the problem, a new "needed" or
"amended" project recommendation should be prepared and forwarded
to both the Federal facility and to OFA headquarters. (Regions)
c) Coordinate the review and update of the Federal agency A-106
environmental plans with EPA regional media program staff and
State agency personnel as appropriate. Fully implement the Class
I, II,-III compliance priority system. Since other Federal
agency environmental budgets depend on each project being
correctly identified as to its proper class, the Regional Federal
Facility Coordinators are responsible for quality assurance prior
to regional submission to Headquarters. (Headquarters, Regions)
d) Coordinate the regional review of the draft OMB pollution
abatement and prevention report. Federal Facility Coordinators
are responsible for ensuring that all projects to be included in
the OMB report are reviewed and the environmental impact (high,
medium, low) of not funding each project has been carefully
assessed. Since OMB uses the EPA evaluation of each plan to
determine the eventual funding level of environmental projects
for each Federal agency, it is the responsibility of the Federal
Facility Coordinators to ensure that Regional media personnel are
properly trained in appropriate A-106 review techniques
related to environmental impacts. (Headquarters, Regions)
e) Provide training to both EPA regional personnel and personnel
from other Federal agencies on the A-106 environmental planning
process. Federal Facility Coordinators are responsible for
ensuring that all EPA Regional media personnel are adequately
trained prior to conducting reviews of Federal agency plans.
Also, provide training to the staff of other Federal agencies as
part of regional compliance planning assistance visits.
(Headquarters, Regions)
f) Continue development of training materials and conduct
training for a minimum of two Federal agencies. Develop and
publish Handbook on the Federal Agency Environmental Planning
Process for use by all planning participants. (Headquarters,
Regions)
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g) Consult with Headquarters media program offices to identify
inspection priority areas for A-106 projects. Federal Facility
Coordinators are responsible for coordination of identification
of Federal facilities included in quarterly STARS reports that
are in these priority areas and to work with the agencies to
address appropriate correction of identified compliance problems
that can be accomplished through the A-106 planning process,
either through the "Current Compliance Check" or the regular plan
updates. (Headquarters, Regions)
h) Conduct visits to priority A-106 projects to provide technical
assistance, review progress and participate in predesign
meetings, where resources allow. (Regions)
(5) Increase technical assistance and training for Federal
facilities as required by Executive Order 12088.
a) Conduct periodic (e.g. monthly, bi-monthly, or quarterly)
"roundtable" meetings with key Federal agency personnel to
disseminate information on new regulatory requirements.
(Headquarters, Regions)
b) Hold at least one annual multi-media conference in each Region
for Federal facility environmental personnel including Federal
Land-Management Agency staff. Specially targeted workshops,
seminars or training courses on new or re-authorized statutes
should also be presented as needed. (Headquarters, Regions)
c) Develop Compliance Management Plans for three significant
Federal facilities identified in each Region to address existing
and potential compliance problems on a multi-media basis.
(Regions)
d) Make periodic coordination visits to significant Federal
facilities to provide program assistance and review major A-106
projects. At a minimum, visits must be made to those facilities
for which compliance management plans are being developed.
(Regions)
e) Implement a guidance manual for Federal Facilities
Coordinators on how to conduct a model program and include
improved job descriptions for Federal Facilities Coordinators.
(EPA Lead Region)
(6) Incorporate pollution prevention considerations into all
major components of the Federal Facilities Compliance Program.
a) Continue to encourage and assist other Federal agencies in
developing internal environmental auditing programs to help
ensure compliance, enhance management system effectiveness and
minimize risks to human health and the environment from
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operations and activities at their facilities. (Headquarters,
Regions)
b) Provide assistance to other agencies to ensure that
environmental auditing programs are designed in accordance with
EPA's "Environmental Audit Program Design Guidelines for Federal
Agencies," and conducted in a manner consistent with the EPA
"Generic Protocol for Conducting Environmental Audits at Federal
Facilities" which were issued in FY 1990. (Headquarters, Regions)
c) Implement pollution prevention-related initiatives called for
in EPA's new Federal Facilities Compliance Strategy ("Yellow
Book"), which emphasized "... the use of preventive approaches
through increased compliance promotion activities, improved
technical assistance and training, and addressing patterns of
noncompliance." (Headquarters, Regions)
d) Continue to utilize the EPA/Federal Agency Environmental
Roundtable as the primary forum for communicating EPA's pollution
prevention policies and activities to other Federal agencies.
Also use the Roundtable as a means of exchanging ideas and
trading success stories on pollution prevention among Federal
agencies. (Headquarters)
e) Sponsor national workshops (with PPO) for both Federal agency
environmental and procurement officials to expose them to these
concepts and explore ways the Federal government can demonstrate
leadership in the pollution prevention arena. Sponsor additional
pollution prevention workshops in selected Regions for Federal
facilities to transfer techniques on source reduction to the
installation level. (Headquarters, Regions)
f) Conduct a "state-of-the-art" review of Federal agencies
current activities and programs in pollution prevention related
areas such as source-reduction and waste minimization; analyze
opportunities for transferring new technologies and successful
applications among agencies and to the private-sector as well.
Develop a pollution prevention strategy aimed at Federal
agencies. (Headquarters)
g) Encourage the submission of pollution prevention projects in
EPA's annual A-106 call letter to other Federal agencies.
Beginning in FY 91, necessary revisions will have been made to
the data system which will enable proposed projects to be
identified as pollution prevention related which will enable EPA
to recommend high priority projects of this type to OMB for
funding. (Headquarters, Regions)
h) Establish a forum of top-level procurement officials in the
major Federal agencies to be representatives on a interagency
workgroup to focus on the elimination of barriers to
environmentally effective procurement practices. (Headquarters)
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i) Work with other offices in EPA examining the existing Federal
Acquisition Regulations (FAR) for means of incorporating
pollution prevention requirements into these regulations.
Consider formally making such recommendation to the Interagency
FAR Council of which EPA is a member. (Headquarters)
j) Emphasize an ongoing multi-media approach to compliance
monitoring activities at Federal facilities. At OFA's request,
the National Enforcement Investigations Center (NEIC) will be
completing and updating multi-media ratings for the most
environmentally significant Federal facilities on a Region-by-
Region basis. In addition, NEIC and OFA will conduct pilot
multi-media inspections at selected Federal facilities.
(Headquarters, Reg ions)
(7) Ensure that significant EPA guidance documents, policies and
regulations incorporate appropriate language on Federal
facilities, specifically applicability of the initiative,
recommendations for implementation and schedules for achieving
compliance.
a) Participate on Agency workgroups to provide advice,
information and assistance concerning Federal facility issues/
concerns in order to ensure that they are incorporated early in
the process and fully integrated into all relevant EPA staff
compliance activities (e.g. , NCP, Subpart K of the NCP, Title
III). (Headquarters, Regions).
b) continue to review and comment on media-specific guidance
documents, policies and regulations at all stages of development
to ensure that Federal facilities are addressed as appropriate.
(Headquarters, Reg ions).
c) Continue to review pertinent communication strategies on major
EPA actions to incorporate Federal agencies as an affected
audience, when appropriate. (Headquarters, Regions)
d) Ensure timely Regional review of all Federal agency
assessments and plans submitted for abandoned hazardous waste
sites under SARA and corrective action plans for SWMUs under
HSWA. In cooperation with Regional program staff, develop a
strategy for Regional review of Federal agency PA/SI's and other
documents submitted for all non-NPL hazardous waste sites on the
new SARA Federal Agency Docket. (Regions)
ENVIRONMENTAL PROBLEM AREA tt4; ENSURE ENVIRONMENTAL PROTECTION
ON AMERICAN INDIAN LANDS THROUGH FOCUSED IMPLEMENTATION OF EPA'S
AUTHORITIES AND PROGRAMS ON INDIAN LANDS.
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A. MAJOR PROGRAM INITIATIVES
The objectives of EPA's Indian program, within the policy of
working with tribes on a government-to-government basis, are to:
(1) directly apply EPA's authorities and programs on Indian
lands; (2) develop and enhance tribal institutional capabilities
to assist in, or assure responsibility for, the implementation of
EPA's authorities and programs on tribal lands; and (3) eliminate
legislative and regulatory barriers to program implementation.
OFA has implemented this program by working with media program
staff and tribal representatives. The results of these efforts
have been statutory amendments to SDWA, CWA, and CERCLA, the
inclusion in Title III of SARA by proposed regulations, the
development of tribal pilot projects in several regions, and the
provision of training and technical assistance to tribal
officials and staff. The EPA Indian program reflects the fact
that EPA retains program authority on Indian reservations even
where a reservation is geographically located "in" a "delegated"
State; our responsibilities for those reservations remain the
same as if they were in "non-delegated" states. The program also
aims to ensure that the Agency's priorities are carried out on
reservation lands in a manner similar to the way that they are
carried out on non-reservation lands. Pollution prevention will
be particularly important for Indian lands, which are on the
verge of increasing economic development and natural resource
utilization.
In FY 1991, EPA will continue to develop its Indian program as it
has since the Agency Indian Policy was established in 1984. OFA
and the Regions will complete a Congressionally-mandated survey
of environmental conditions on tribal lands with the assistance
of the media program offices. This survey will provide a more
accurate base for future programs and for measuring environmental
progress. The expertise gained in conducting the survey will
enhance EPA's work with Tribal governments in the future, both in
terms of the factual results and the mutual learning/relation-
ships that will develop during the survey. As resources are
increased, direct program activity will expand and regulatory
programs will begin to be delegated to Tribal governments at an
increasing rate. Regions and Headquarters offices must maintain
good communication with Tribes with serious environmental
problems. In addition. Regions and Headquarters offices will
continue to provide training and technical assistance to Tribal
governments through a variety of techniques including the use of
the Senior Environmental Employee (SEE) program, the EPA
Institute Scholar Program, training sessions held on or near
reservations, and site visits to reservations.
Innovative approaches to managing and solving environmental
problems will receive a high priority where they provide an
effective means to address environmental problems in terms of
cost and environmental results. OFA will continue in its
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role of program coordinator, providing guidance, direction, and
oversight.
B. ENVIRONMENTAL INDICATORS
EPA's capability to use media program environmental indicators to
measure progress towards addressing the environmental problems on
Indian lands will be an effective measure of the success of the
Indian program. These indicators will be fine-tuned using the
results of the Congressionally-mandated environmental survey to
be performed during FY 1990-1991.
C. MAJOR ACTIVITIES
(1) Increase the level of direct programmatic involvement on
Indian reservations to address critical air, water, hazardous
waste, radioactive, solid waste, and toxic chemical problems
as consistent with the overall goals and objectives of the
media programs. (Regions)
(2) When amendments to the Clean Air Act and the Resource
Conservation and Recovery Act are passed, develop implementing
regulations and programs to treat Tribes as States.
(Headquarters, Regions)
(3) Continue to provide direct technical assistance to Tribal
governments including assistance on problem identification and
infrastructure development. (Headquarters, Regions)
(4) Work with tribes to develop tribal environmental management
plans. (OFA SEE Program, Regions)
(5) Strengthen outreach and liaison with Tribal governments,
providing information and opportunity to participate in EPA
programs, as appropriate. (Regions)
(6) Continue to strengthen external liaison with Indian Tribal
organizations and relevant Federal agencies. (Headquarters,
Regions)
(7) Conduct an inventory of environmental conditions and needs
on Indian lands. (Headquarters, Regions)
17
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Office Of Po&y
Planning and
Evaluation
-------
OFFICE OF POLICY, PLANNING AND EVALUATION
The Office of Policy, Planning and Evaluation (OPPE) is the
Agency focal point for the development, management and assessment
of planning processes; for policy development on regulatory and
cross-media issues; and for the assessment and development of
Agency strategies. In addition, OPPE is responsible for one
program area, pollution prevention, which has a regional and
state component. Pollution prevention activities will be the
focus of OPPE's section of the FY 1991 Operating Guidance.
I. POLLUTION PREVENTION OVERVIEW
Pollution prevention refers to the use of materials,
processes, practices, or products which reduce or eliminate the
generation of pollution at its source. It is a tool which can be
applied to all sectors of economic activity to conserve natural
resources, minimize risk to human health, and protect ecosystems.
In FY 1990, EPA will issue a final pollution prevention
policy statement, introducing a hierarchy of means for addressing
environmental problems. Agency policy gives highest priority to
source reduction — the elimination or reduction in the use of
hazardous substances and the generation of pollutants and waste.
Second priority, for those wastes or pollutants that cannot be
reduced, is to recycle or reuse them in an environmentally sound
manner. Finally, treatment and disposal are useful and necessary
management methods for pollutants that are neither prevented nor
recycled. Pollution prevention emphasizes source reduction and
recycling.
In addition to supporting this hierarchy for environmental
decision-making, the Agency has also committed to a very broad
scope of pollution prevention efforts. All pollution — both
hazardous and non-hazardous, regulated and unregulated — should
be considered under the pollution prevention umbrella. Pollution
prevention applies to all types of pollutants in all types of
media.
Many high risk environmental problems result from a wide
range of pollutants from all sectors. Industrial point sources
are still an important but limited component of all key sources
of pollution. In addition to traditional and innovative command
and control approaches, EPA and other governmental entities must
also maximize use of all available tools to achieve environmental
improvement including technical assistance, demonstrations,
technology transfer, research and development, education and
public pressure.
Because of this broad scope, all sectors of society must be
involved in pollution prevention activities. Federal, state and
local governments, industry, agriculture and energy sectors,
-------
interest groups and private citizens all have essential roles to
play in this effort. The broad mission also demands building on
progress made to date, on clearly defining roles, and on setting
priorities among activities.
The Pollution Prevention Division has four major program
goals for FY 1991:
o Through analysis, targeting, and research, fully
incorporate a multi-media prevention approach into EPA's
process of policy and regulatory development and
implementation;
o Expand and enhance the infrastructure of pollution
prevention programs in the regions and states that will
demonstrate effective pollution prevention approaches at
the local/facility level;
o Collect and compile data that can be used to target future
opportunities for prevention and to evaluate progress in
achieving measurable environmental results;
o Disseminate technical information to the user community,
and use outreach and education to develop a national
agenda on prevention.
Given the differing levels of available resources as well as
their different needs, priorities, and relationships with their
states, it is difficult to identify specific activities that each
region must undertake. In addition, as a new program area, the
pollution prevention program is evolving and there may be changes
to the program's direction and priorities over the next year.
Therefore, it is more appropriate to suggest that the regions
plan efforts which are parallel to and complement Headquarters'
work but, based upon their needs and resources, which target
specific prevention activities from the menu presented in the
Operating Guidance.
Generally, the regions should select activities which serve
to:
o Institutionalize prevention within and outside the region;
o Asaist and build strong relationships with states;
o Demonstrate successful applications of prevention
technologies and practices; and
o Train regional staff in prevention concepts.
-------
II. FY 1991 MAJOR ACTIVITIES
Analysis. Targeting, and Research
Headquarters Activities:
o Conduct analyses needed to incorporate prevention into EPA's
regulatory, policy and research agenda. For example, these
analyses should assess the impact of past or proposed
regulations, policies, and statutes on pollution prevention
activities; seek to identify toxic substances or specific
industrial sectors as prime targets for prevention
technologies; facilitate or conduct research to identify
incentives-based policies to internalize costs into decision-
making processes and to accurately measure the true costs of
natural resource use and ecological damages.
o Working with program offices, target a few sources, uses, and
substances posing the greatest risk to human health and the
environment and offering the greatest opportunity for using
prevention as their solutions. Develop strategies and options
for preventing their use or reducing their release.
o Work with EPA program and regional offices to help to
establish prevention as the preferred implementation strategy
in all strategic plans. Assist the program offices and
regions to more fully incorporate these preventive elements
into their strategic plans.
o Analyze major institutional, economic and political barriers
to prevention experienced by industry, the agricultural
sector, state and local governments, and the public, and
develop strategies to remove these barriers. Consult with
industry and states on their research to date.
o Identify, evaluate and recommend options for implementation of
incentives policies (e.g., pollution charges, tax credits) to
promote prevention.
o Continue to provide staff support for the Pollution Prevention
Advisory Committee which provides direction for the Agency's
pollution prevention program.
o As needed, provide assistance to recipients of 2-percent set-
aside funds. Synthesize information on progress of these
projects for quarterly program performance reports.
Regional and State Activities:
o Regional recipients of 2-percent set-aside funds should begin
or continue work on projects, according to FY 1991 and FY 1992
work plans.
-------
Regional and State Program Development
Headquarters Activities:
o Continue to support regional programs through the distribution
of FTE and contract dollars dedicated to regional pollution
prevention program support. Regional Coordinators in the
Pollution Prevention Division will be responsible for
maintaining effective two-way communication between
Headquarters and the regions.
o With increasing regional assistance, manage the administration
and oversight of the state pollution prevention grants
distributed in FY 1990 (a total of $6 million to more than 20
grantees) . Work toward sharing the responsibility for grant
monitoring and oversight with the regions.
o With increasing regional assistance, analyze and evaluate the
products and results generated by the FY 1990 state grants,
and make recommendations for any specific projects that could
be targeted under the state grants program.
o If resources are made available, initiate and administer the
process for allocating multi-media, pollution prevention state
grants in FY 1991.
o Continue to develop training materials on prevention, sharing
updated materials with regions and states.
o Work to incorporate prevention into mechanisms such as state
grant guidance and STARS (formerly "SPMS") commitments.
o Actively participate in National Roundtable for State Waste
Reduction Programs.
o Work closely with the Office of Research and Development to
initiate research and demonstration projects in support of
state and regional programs, consulting with regions before
projects are initiated and keeping them informed on project
progress.
o When requested, provide assistance to recipients of 2-percent
set-aside funds.
o Provide seed funding to support formalization of the National
Roundtable for State Waste Reduction Programs.
Regional and State Activities:
o Work toward institutionalizing prevention concepts and
activities inside the regional offices. This may entail
developing a regional steering committee to meet periodically
to discuss issues such as two-percent set-aside projects,
incorporating prevention into permits, enforcement actions,
-------
training, etc. Examples of actions are multi-media audits and
required pollution prevention facility plans. The region may
also choose to institutionalize prevention in-house, by
initiating demonstration programs for office recycling,
pollution prevention in EPA labs, energy conservation, use of
clean fuels, and promoting two-sided copying.
External coordinating councils (as Regions I and X have
developed) may be a useful vehicle for addressing source
reduction and recycling issues relevant to industry,
agriculture, states and Federal agencies in the region's
jurisdiction.
o Provide assistance and oversight to states and multi-state
organizations in developing and implementing pollution
prevention programs. Frequent communication with states,
regular State-EPA meetings, and working with the states to
designate pollution prevention contacts in all key state
agencies are ways of fostering strong relationships.
o Given available resources, use training as a way to integrate
prevention into regional programs and operations. Prevention
concepts may be incorporated into existing training programs
(for inspectors, permit writers, legal staff, etc.) or may be
the subject of its own course.
o Conduct pilot demonstrations of prevention technologies or
practices (for example, Region IX1s work to assist dischargers
to POTWs in developing a source reduction and waste
minimization program).
o Participate fully in the National Roundtable for State Waste
Reduction Programs.
o Provide support and information delivery to municipalities,
industry, and the public.
o Regional recipients of 2-percent set-aside funds should begin
or continue work on projects, according to FY 1991 and FY 1992
work plans.
o State recipients of grant funds should begin or continue EPA-
funded projects as scheduled and provide the required semi-
annual progress reports to EPA.
Information Collection. Targeting, and Evaluation
Headquarters Activities:
o Implement the data collection strategy scheduled to be
developed in FY 1990. In FY 1991, specific tasks include
survey design and administration of new data collection
efforts, as targeting activities deem necessary, and establish
a national baseline for point and non-point sources using
-------
available data. Headquarters will consult regions and states
in determining what data are available, what are needed, how
to coordinate data collection, etc.
o Work toward developing environmental and programmatic
indicators to measure pollution prevention progress.
o Work with the Offices of Solid Waste, Toxic Substances, and
other Headquarters and regional offices to accomplish
targeting activities for major generators of pollutants.
Regional and State Activities:
o Use available data, such as SARA Title III, Toxic Release
Inventory Data, RCRA Biennial Report data and SARA capacity
assurance information to identify and target technical
assistance and other implementation actions and to determine
where new prevention technologies and practices are needed.
o Provide assistance to the reporting community on data
collection issues, as necessary.
o Work with Headquarters to develop environmental and
programmatic indicators to measure pollution prevention
progress.
Technology Transfer and Outreach
Headquarters Activities:
o Continue to support and enhance the Pollution Prevention
Clearinghouse, electronic bulletin board, and hotline by
building in additional information about case studies,
international clean technology, and results of state
demonstrations. Continue to promote and market the
Clearinghouse, targeting small and medium-sized industries,
high risk/high volume industries as well as governments and
consultants who would help businesses and localities.
o Pursue cooperative efforts with private and non-profit
organizations, and other Federal, state and local agencies to
provide information, create incentives, or remove barriers to
prevention in industry, agriculture, energy, transportation,
government and the general public.
o Conduct pollution prevention technology demonstration projects
where useful and transferable results are likely. Conduct
research, development, and demonstration in source reduction
and recycling technologies — substitute products, inputs,
processes.
o Develop networks with the Organization for Economic
Cooperation and Development and the United Nations Environment
Programme to share information, technologies, successes in
-------
prevention. Develop similar networks with relevant trade
associations and environmental interest groups. Information
will be shared with regions and states.
o Develop pilot prevention materials for engineering and
management schools, drawing upon existing materials.
o Support conferences, seminars, and workshops for specific
target audiences on prevention.
o Develop a model program for select categories of polluters.
o Continue to publish the Pollution Prevention Newsletter and
other pollution prevention outreach materials.
o Work with the Office of Public Affairs and Communications to
implement the Administrator's Pollution Prevention Awards
Program. The Administrator will present the winners on each
anniversary of Earth Day.
Regional and State Activities:
o Continue regional and state-specific targeted outreach
efforts, consistent with national program direction.
o Assist Headquarters in developing national outreach tools and
help to ensure their use in the field. Develop region-
specific outreach tools, as appropriate. Work with States to
share EPA materials and to facilitate development of State-
specific materials.
o Participate in demonstration projects on pollution prevention
techniques.
o Develop and utilize technical tools to assist target audiences
in identifying prevention opportunities.
o Identify coordinating mechanisms and tools to accommodate
regional and local outreach needs.
o Evaluate the effectiveness of outreach tools in the field—
communicate the results to Headquarters for national
dissemination.
o Implement pollution prevention opportunity assessment programs
to assist the small business community.
o Support conferences, seminars, and workshops for specific
target audiences on prevention. _
o Share information on successful prevention technologies or
practices through participation in the State Roundtable and
through other mechanisms, such as the Pollution Prevention
News and the Pollution Prevention Information Clearinghouse.
-------
Appendix
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OFFICE OF AIR AND RADIATION
STRATEGIC TARGETED ACTIVITIES FOR RESULTS SYSTEM (STARS)
FY 1991 MEASURES AND DEFINITIONS
NOTE: FY 1991 measures for the Air Program will be
developed after passage of Clean Air Act
Amendments.
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43
OFFICE OF AIR AND RADIATION
FY 1991
Office of Radiation Programs
OBJECTIVE
MEASURE
STARS CODE
FREQUENCY
Strengthen Regional roles/
responsibilities to
achieve goal of reducing
radon public health risk
Plan and implement
Regional technical
assistance
Increase Regional
initiatives in outreach to
media, states, local and
non-profit organizations
Revise FY 1990 Regional
Strategies for FY 1991
including priorities for risk
reduction activities, STARS
activities and implementation
plans.
Report against targets on
technical assistance activities
for states, other Federal
agencies, and the general
public including:
- State/EPA surveys
- Other survey assistance
- Mitigation assistance
Report against targets on
number/nature of Regionally
initiated outreach activities
which promote radon testing and
mitigation including:
- workshops
- courses
- public speaking
- radon awareness campaigns
Ql
Ql, Q2, Q3,
Q4
Ql, Q2, Q3,
Q4
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OFFICE OF AIR AND RADIATION
FY 1991
Office of Radiation Programs
OBJECTIVE
MEASURE
STARS CODE
FREQUENCY
Facilitate development of
core and enhanced radon
response programs in
states participating in
state grant program
Facilitate development and
successful implementation
or transfer of innovative
state grant projects
Facilitate development and
successful implementation
of three-year state radon
program plans
Facilitate successful
implementation of Regional
Radon Training Centers
(RRTCs)
Report against targets for:
- Core state Radon Programs
- State measurement and
mitigation certification
programs
- State programs to promote
adoption of model construction
standards
- School testing programs.
Report number of innovative
state radon projects completed
(e.g., with final reports,
actions and plans for
information sharing with other
states)
Report on benchmarks for state
progress in implementing plans
(Benchmarks should be
established on basis of state
plans)
Report number of RRTC training
courses/seminars held [This
should be on basis of category
(e.g., radon technology for
mitigators, radon reduction in
structures, radon awareness for
homeowners)]
Q2, Q4
Q2, Q4
Q2, Q4
Ql, Q2, Q3,
Q4
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45
OFFICE OF AIR AND RADIATION
FY 1991
Office of Radiation Programs
OBJECTIVE
MEASURE
STARS CODE
FREQUENCY
Implement radionuclide
NESHAPs under Clean Air
Act
Assist states in
implementing Low-Level
Radioactive Waste Policy
Act (LLWPA) and Low-Level
Radioactive Waste (LLRW)
Standards
Assure Federal, state, and
local preparedness for
radiological emergencies
Report on:
(a) Number of site inspections
(against targets)
(b) Number of industrial
facility requests reviewed for:
- waivers
- new construction
- modifications
(c) Number of states delegated
NESHAP authority (against
targets)
Report for each state:
(a) Number of facilities
subject to LLWPA and LLRW
standards
(b) Status of participation in
state compact
Report on the number of
exercises evaluated (against
targets)
Q2, Q4
Q2, Q4
Q2
Q2, Q4
Q2, Q4
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OFFICE OF WATER
STRATEGIC TARGETED ACTIVITIES FOR RESULTS SYSTEM (STARS)
FY 1991 MEASURES AND DEFINITIONS
-------
OBJECTIVE
OFFICE OF WATER
FY 1991
PROGRAM AREA: Public Water System Supervision
GOAL: Protect Public Health
MEASURE
STARS CODE FREQUENCY
Ensure compliance with
existing drinking water
standards
Negotiate, with each State, annual targets for the
number of SNCs occurring as of the compliance
period ending March 31, 1990 and the number of
exceptions existing as of June 1, 1990 [both will
be contained on the July 1990 SNC/Exception
Report] that will be appropriately resolved or
returned to compliance by March 31, 1991, and
reported to ODW by June 22, 1991, for each of the
two categories listed below.
a) micro/turbidity/TTHM SNCs and exceptions.
b) chem/rad SNCs and exceptions.
(Note: Data are lagged one quarter.)
Report, using the SNC/Exception Report format,
against all SNCs those systems that: returned to
compliance; had an appropriate enforcement action
taken against them, remain unresolved, or became
exceptions this quarter. Report separately for
each of the following two groups: (Note: Data
are lagged one quarter.)
a) micro/turbidity/TTHM SNCs
b) chem/rad SNCs
Footnote: At the time the FY 1991 measures were
being developed, the existing SNC definition was
in the process of being revised.
DW/E-1
DW/E-2
Q 3
Ql,2,3,4
3/90
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OBJECTIVE
OFFICE OF WATER
FY 1991
PROGRAM AREA; Public Water System Supervision
GOAL; Protect Public Health
MEASURE
STARS CODE FREQUENCY
T
Ensure compliance with
existing drinking water
standards.
Report, using the SNC/Exception Report format,
those systems identified as exceptions through the
prior quarter which have since returned to
compliance, had an appropriate enforcement action
taken against them, or remain exceptions as of
this quarter. Report separately for each of the
following two groups:
a) micro/turbidity/TTHM exceptions.
b) chemical/radiological exceptions.
(Note: Data are lagged one quarter).
Report, State by State:
a) the total number of EPA NOVs, proposed
administrative orders, final administrative
orders, complaints for penalty, civil referrals,
criminal filings, and § 1431 emergency orders
issued, and the amount of each administratively
assessed/collected penalty, during the quarter.
b) the number of State administrative orders,
bilateral compliance agreements; civil cases
referred to State Attorneys General (AG), filed,
and concluded; and the number of criminal cases
filed by the AGs and concluded. (OECM will report
the same data for EPA referrals.)
(Note: Data are lagged one quarter.)
DW/E-3
DW/E-4
Ql,2,3,4
Ql,2,3,4
OW-2
3/90
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OFFICE OF WATER
FY 1991
Definitions
DW/E-1 SETTING TARGETS TO REDUCE SNCS & EXCEPTIONS
Each Region shall negotiate with each State, annual targets for the number of SNCs occurring as of
the compliance period ending March 31, 1990 and the number of exceptions existing as of June 1, 1990
[both will be contained on the July 1990 SNC/Exception Report] that will be appropriately resolved or
returned to compliance by March 31, 1991. States shall set two targets, one for the
microbiological/turbidity/TTHM SNCs and exceptions, and one for the chemical and radiological SNCs &
exceptions. The baseline for the targets shall be the number of systems contained on the July 1990
SNC/Exception Report which will be provided by ODW to the Regions in mid to late July 1990. This
report will include the systems identified as SNCs for the first time as of the compliance period
ending March 31, 1990; those previously identified for which "timely and appropriate" has not expired
and the systems identified by the Regions as exceptions as of June 1, 1990. Targets shall be set based
on the number of those SNCs and exceptions that will be appropriately resolved or returned to
compliance by March 31, 1991. Regions are to negotiate each State's target based upon the State's
current compliance statistics and capabilities for violation reduction.
An SNC is a public water system which meets any of the following criteria:*
violates the microbiological MCL for 4 or more months during any 12 consecutive month period; or
- violates the turbidity MCL for 4 or more months during any 12 consecutive month period, or
- is a "major" violator of the microbiological monitoring or reporting requirements for 12 consecutive
months, or
is a "major" violator of the turbidity monitoring or reporting requirements for 12 consecutive
months, or
. is a "major" violator of the TTHM monitoring or reporting requirements for 12 consecutive months,
or
- violates the microbiological MCL, or is a "major" violator of the microbiological monitoring
requirements for a combined total of 12 consecutive months, or
- violates the turbidity MCL or is a "major" violator of the microbiological monitoring requirements
for a combined total of 12 consecutive months, or
- exceeds the level for any regulated inorganic, organic (excluding TTHM), or radiological
contaminant, prescribed in guidance above which exemptions may not be issued, or
- exceeds the levels for TTHM, prescribed in guidance above which exemptions may not be issued, for
2 or more annual averages during the year, or
OW-3
3/90
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OFFICE OF WATER
FY 1991
Definitions
fails to monitor for, or report the results of, any of the currently regulated inorganic, organic
(other than TTHM), or radiological contaminants since the Federal requirements for that contaminant
became effective (June 24, 1977)
* At the time the FY 1991 measures were being designed, the existing SNC definition was in the process
of being revised.
Major Violator of a Monitoring or Reporting Requirement — monitoring or reporting violations where
a system fails take any samples for a particular contaminant during a compliance period, or where the
system has failed to report the results of the analyses to the primacy agent for a compliance period.
(If the agent receives no monitoring report or receives a report indicating that no monitoring was
conducted, the M/R violation shall be classified as "major".
Level Above Which Exemptions May Not Be Issued — Analytical levels for all of the currently regulated
chemical and radiological contaminants (except TTHM), above which exemptions may not be issued are
contained in WSG-61 published in 1979. These levels will be effective until the levels are revised
(revision is currently in process). Since no exemption level currently exists for TTHM we will use
the MCL until such a level is developed for TTHM.
DW/E-2 RESOLVING SNCs & IDENTIFYING NEW EXCEPTIONS
This measure will report those systems, which met any of the SNC criteria, which returned to
compliance, had an appropriate enforcement action taken against them, remain unresolved, or became an
exception for the first time this quarter. In addition to reporting system by system follow-up
information, Regions are to report two summary numbers, one for each of the following categories: 1)
micro/turbidity/Tim SNCs, and 2) chemical/radiological SNCs.
"Returned to Compliance" for SNCs of a microbiological MCL and/or M/R requirement, a turbidity MCL
and/or M/R requirement, or a TTHM M/R requirement, is having no months of violation (either MCL or
M/R), of the same contaminant which caused the system to become a SNC, during the six month period
after the system was identified as a SNC.
OW-4
3/90
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OFFICE OF WATER
FY 1991
Definitions
"Returned to Compliance" for SNCs of a chemical or radiological analytical level is conducting analyses
that demonstrates that the system no longer exceeds the HCL.
"Returned to Compliance" for SNCs of a chemical (other than TTHM) or radiological monitoring
requirement is conducting the required monitoring and determining that the system does not exceed the
MCL.
An "appropriate enforcement action" for SNCs is any of the following:
(a) the issuance of a bilateral, written compliance agreement signed by both parties, which includes
a compliance schedule. (only appropriate for use by States)
(b) the issuance of a State or final Federal Administrative Order, or Compliance Order.
(c) the referral of a civil judicial case to the State Attorney General, or DOJ.
(d) the filing of a criminal case in an appropriate State or U.S. District court.
Timeliness for SNCs of microbiological MCL and/or M/R, turbidity MCL and/or M/R, or TTHM requirements
is eight months after the system became an SMC. (Two months for the State to determine, and become
aware of, the system's SHC status and six months in which to complete the follow-up/enforcement
action).
Timeliness for SNCs of chemical (other than TTHH monitoring) or radiological requirements is fourteen
months after the system became a SNC. (Two months for the State to determine, and become aware of,
the system's SNC status and twelve months in which to complete the follow-up/enforcement action).
[This definition is being reevaluated and may be revised to be consistent with the definition used
for micro/turbidity SNCs.]
An "exception" is a system which was: a) a SNC which has not returned to compliances or was not
addressed timely and/or appropriately, b) a SNC previously addressed appropriately which failei by more
than 60 days to meet a milestone of a compliance schedule, or c) a SNC system appropriately addressed
by%eferring a civil or criminal case to the State AG but which has not been filed within 120 days of
the referral. ow_5
3/90
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OFFICE OF WATER
FY 1991
Definitions
DW/E-3 RESOLVING EXCEPTIONS
This measure will report those systems which previously became exceptions, which have returned to
compliance, had an appropriate enforcement action taken against them, or remained exceptions during
the past quarter. In addition to reporting system by system follow-up information, Regions are to
report two summary numbers, one for each of the following categories: 1) micro/turbidity/TTHN
exceptions, and 2) chemical/radiological exceptions. The definitions of returned to compliance and
appropriate enforcement actions are contained in the previous section on DW/E-2.
DW/E-4 TOTAL STATE AND FEDERAL ENFORCEMENT ACTIVITY
This measure is intended to identify the level of effort of enforcement activity occurring at the
State and Federal levels. The measure is to include actions taken against any system (regardless of
whether it is classified as an SNC, or non-SNC. Only those State actions that are against violators
of "SDHA requirements'* should be counted. Actions against violators of non-SDWA requirements (e.g.,
violations of State operator certification requirements) should not be counted. For State actions
report the number of bilateral compliance agreements; administrative orders; civil cases referred,
filed, and concluded; and criminal cases filed and concluded. For Federal actions, report by State,
the number of NOVs, proposed AOs, final AOs, complaints for penalty, §1431 emergency actions, each
administrative penalty amount assessed and collected, and the numbers of civil referrals, and criminal
filings.
The information should include all the actions occurring during the quarter — it is cumulative. This
measure will be compiled all four quarters during FY '91. AO actions "in the works" should not be
counted. These will likely be completed in the subsequent three months and States and Regions will
get "credit" for them in the following reporting period.
The performance expectations for individual Regions for the number of proposed and final AOs should
be roughly equivalent to the actions predicted as being achievable in the FY '91 Enforcement Resources
Model. Criminal charges filed by the AGs include criminal indictments and criminal informations.
OW-6
3/90
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OBJECTIVE
OFFICE OF WATER
FY 1991
Ground-Water Protection
MEASURE
STARS CODE FREQUENCY
Promote risk reduction
efforts and prevent the
contamination of current or
potential drinking water
resources through wellhead
protection activities.
Strengthen States'
capability to
develop/implement programs
which focus on the
comprehensive protection of
ground-water resources.
Track, against targets established by each Region,
the number of States which have submitted a
wellhead protection (WHP) program to EPA for
review and determination if the program meets the
full or partial requirements mandated by statute,
and subsequent approval/disapproval.
Report by Region:
1. Number of state profiles of ground-water
protection strategies and implementation
activities (e.g., statutes, regulations, guidance,
etc.) employing an agreed-upon set of elements for
a comprehensive State ground-water protection
program.
2. Number of States which have submitted a
comprehensive ground-water protection program for
EPA review and acceptance.
6W-1
1,2,3,4
GW-2
1,2,3,4
OW-7
3/90
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OFFICE OF WATER
FY 1991
Ground-Water Protection Definitions
GW-1 WELLHEAD PROTECTION PROGRAM
This measure is designed to build on the States' development of wellhead protection (WHP) programs in
1990.
Performance Expectation;
It is expected that each Region will work to increase the number of States with approved WHP programs to
ensure that 60% of States, nationwide, have a WHP program in place by the end of FY 1991.
GW-2 COMPREHENSIVE STATE GROUND-WATER PROTECTION PROGRAM
This measure is consistent with the program's FY 1991 budget request, operating guidance, and other
pertinent documents which emphasize the importance of moving the States toward development and
implementation of comprehensive ground-water protection programs.
Performance Expectations:
1. It is expected that the Regions will complete state profiles of ground-water protection strategies
and implementation activities for all States in each Regions.
2. It is expected that 5-10 States will submit a comprehensive ground-water protection program to EPA
for review and acceptance by the end of FY 1991.
OW-8
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UFi'lCE OF MATES
EY 1991
GOAL - Protect underground sources of drinking water
from pnrtanoprmpnt bv subsurface emolarement of fluids throuah wells
OBJECTIVE
MEASURE
STARS CODE FREQUENCY
Assure that injection wells
maintain mechanical integrity.
Ensure that any potential
endangerment to USDWs is
identified.
Maintain a high level of
compliance through enforcement
activities.
Report, by Region, progress against quarterly targets for
the number of wells that have mechanical integrity tests
performed by operators and verified by EPA, States and
Indian Tribes with primacy. (No quarter lag. EFA will
continue to work with the States and Indian Tribes with
primacy to modify submittal requirements to ensure there is
a minimum of 30 days from the close of the quarter in which
to respond.)
Report, by Region, for EPA, States and Indian Tribes with
primacy the number of Class I, II, III, IV and V wells found
in SNC. (No quarter lag. See DW-2.)
Report, by Region, for EPA, States and Indian Tribes with
primacy all wells that appear on the Exceptions List from
the date the violation becomes an exception through the date
the violation is resolved, noting the date the formal
enforcement action was taken, if any. (No quarter lag. See
EW-2.)
Report, by Region, for EPA, States and Indian Tribes with
primacy the number of administrative orders and equivalent
actions and the total number of Sec. 1431 emergency orders
issued by well Class. (No quarter lag. See EW-2.)
DW-2
EW/E-6
EW/E-8
DW/E-9
Q 1,2,3,4
Q 1,2,3,4
Q 1,2,3,4
Q 1,2,3,4
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OFFICE OF WATER
FY 1991
Underground Injection Control Definitions
DW-2 a. VERIFY M2CHANICAL INTEGRITY TESTS (MIT)
A complete MIT is composed of a test for significant leaks in the casing, tubing or packer and a test
for significant fluid migration into a (ISDN through vertical channels adjacent to the well bore. An MIT
consists of a field test on a well or an evaluation of a well's monitoring records (i.e., annulus
pressure, etc.) or cement records. At a minimum, the mechanical integrity of a Class I, II, or III
(solution mining of salt) well should be demonstrated at least once every five years during the life of
the well.
DW/E-6 DISCOVERY OF POTENTIAL ENDANGERMENT
Definition of SNC - The term "significant noncompliance11 means: (a) any violation by the owner/operator
of a Class I or a Class IV well, (b) the following violations by the owner/operator of a Class II, III
or V well: (1) any unauthorized emplacement of fluids (where formal authorization is required); (2)
well operation without mechanical integrity which causes the movement of fluid outside the authorized
zone of injection if such movement may have the potential for endangering a USDW; (3) well operation at
an injection pressure that exceeds the permitted or authorized injection pressure and causes the
movement of fluid outside the authorized zone of injection if such movement may have the potential for
endangering a USDW; (4) failure to perform an MIT when requested; (5) the plugging and abandonment of an
injection well in an unauthorized manner; (6) any violation of a formal enforcement action, including an
administrative or judicial order, consent agreement, judgement or equivalent State or Indian Tribe
action; (7) the knowing submission or use of false information in a permit application, periodic report
or special request for information about a well. NOTE: in the absence of information to the contrary,
MIT failures and pressure exceedences are presumed to be SNC's.
DW/E-8 EXCEPTIONS LIST
This measure provides an indication of how well EPA, States, and Indian Tribes with primacy are
resolving incidents of significant noncompliance. This is the name specific Exceptions List report
which identifies those well owners and/or operators reported in significant noncompliance (SNC) on EPA
Form 7520-2B for two or more consecutive quarters without being addressed with a formal enforcement
action or returned to compliance. Any SNC reported on Form 7520-4 shall be reported until the SNC is
resolved. Once a SNC is reported as resolved, it need not appear in subsequent reports.
OW-10
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OFFICE OF WATER
FY 1991
Underground Injection Control Definitions
DW/E-9 ADMINISTRATIVE ORDERS
This measure provides an indication of how many and what types of enforcement actions, EPA, States and
Indian Tribes with orimacy are taking when violations are discovered. Report, the number of proposed
EPA AOs, equivalent action* by State and Indian Tribes with primacy, and the total number of Sect. 1431
emergency orders issued by mil Class (list separately EPA, States and Indian Tribes with primacy).
Since many Class V wells present high contamination risks to ground water, EPA, States and Indian Tribes
with primacy should place an increased emphasis on issuing AOs for this Class. When counting proposed
AOs, only those proposed orders that have been signed and sent to operators should be included. Draft
information type orders are not included in this measure. Individual Regional performance for the
number of AOs is expected to be roughly equivalent to the benchmark targets derived in the FY 1991
Enforcement Workload Model.
ow-n
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OFFICE OF WATER
FY 1991
Marine and Estuarine Protection
OBJECTIVE
MEASURE
STARS CODE FREQUENCY
Prepare environmental Impact
statements and rule Jiaklng
packages for Ocean bumping
site designation.
Achieve the 29 commitments made
In the 1987 Chesapeake Bay
Agreement by the year 1991.
Complete Comprehensive Conservation
and Management Plans (CCMPs) based
on commitments In the State/EPA
Conference Agreements for each
estuary project In the National
Estuary Program.
Achieve the various objectives of
the Great Lakes Water Quality
Agreement of 1978, as amended In
1987.
Track, by Region, progress against quarterly targets
for:
- number of final environmental Impact statements,
and
- number of sites designated.
Track against targets the cumulative number of
commitments in the 1987 Agreement that have been
completed.
Track, by Regional project, completion of CCMP as
scheduled in the State/EPA Conference Agreement.
Track against targets the cumulative number of
commitments that have been completed in the Great
Lakes Water Quality Agreement.
WQ-1
Cfi-1
NEP-1
GL-1
OW-12
3/90
Q, 1,2,3,4
Q.2,4
Q,4
Q.2,4
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OFFICE OF WATER
FY 1991
Marine and Estuarine Protection Definitions
WQ-1 OCEAN DISPOSAL PERMITS
- number of final environmental impact statements fEISsl - It is expected that the Regions will prepare
EISs for dredged material disposal sites based on the priorities set forth in the Memorandum of
Understanding (MOU) between the Region and the Corps of Engineers District Office, and will prepare EISs
for municipal and industrial disposal sites based on national priorities. The preparation of final EISs
includes incorporating response to all comments received, and making necessary changes to finalize the EIS,
which may include updating any of the surveys or special interagency activities, such as endangered species
considerations.
- number of ocean dumping sites designated - It is expected that the Regions will designate dredged material
disposal sites as set forth in the Memorandum of Understanding (MOU) between the Region and the Corps of
Engineers District Office, and designate municipal and industrial sites based on national priorities. In
the preparation of a site designation documents, if the EIS Record of Decision selects ocean dumping as
preferred alternative, the site designation activity includes promulgation of proposed rules and final
rules. Also, it includes consultation with other Federal and State agencies, preparation of Federal
Register notices, hearings, and response to public comments.
CB-1 CHESAPEAKE BAY PROGRAM
It is expected that Region III will meet the 29 commitments under the Bay Agreement of 1987 among the states
of Pennsylvania, Maryland, and Virginia, the District of Columbia, and the Agency. These commitments relate
to living resources, water quality, population growth and development, public information and participation,
public access, and governance.
NEP-1 NATIONAL ESTUARY PROGRAM
It is expected that the Regions with estuary projects in progress will support the continuing activities
of the Management Conference as specified in the CWA, which are to manage the conduct of the scientific
and technical work necessary to the development of a Comprehensive Conservation and Management Plan for
the named estuary project in a timely and effective manner. Completion of the CCMP is to be reported by
the Office of Water to the Deputy Administrator on a semi-annual basis.
GL-1 GREAT LAKES PROGRAM
It is expected that the Great Lakes National Program Office, Regions II, III, and V, and the Great Lakes
States, will be working to meet the U.S. commitments under the Great Lakes Water Quality Agreement of 1987
wi?h Canada. The privity commitments under the Agreement relate to development and implementation of
Remedial Action Plans and Lakewide Management Plans, conduct of Assessment and Remediation of Contaminated
SeSiment pSjeSts, and continuing water, air, fish, and sediment monitoring and sampling programs.
programs.
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OFFICE OF WATER
FY 1991
Office of Wetlands Protection
GOAL! Wetlands Protection
OBJECTIVE
MEASURE
.STARS CODE FREQUENCY
Protect the most important
wetlands and
other special aquatic sites.
Manage an effective section
404 compliance/
enforcement program.
Track progress against targets for the number of
strategic initiatives started.
Track number of strategic initiatives completed.
(Targeted)
Number of administrative compliance orders issued
this quarter
Number of administrative penalty complaints issued
this quarter
Number of civil cases referred to DOJ this quarter
Number of criminal cases referred to DOJ this
quarter
Total number of cases resolved this quarter
WQ-2
WQ-2
WQ/E-1
0,1,2,3,4
0,1,2,3,4
0,1,2,3,4
L-J4
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OFFICE OF WATER
FY 1991
Definitions
WO-2 PROTECTION OF IMPORTANT WETLANDS AND OTHER SPECIAL SITES
The "Strategic Initiative" (SI) encompasses a fairly wide range of strategic activities
undertaken by a Region to improve protection of wetlands and/or other critical aquatic
habitats on a broad (temporal/spatial) scale. An SI may be extensive involving increased
EPA action on a broad geographic scale in a major program activity area (e.g. increasing
public outreach throughout a State). Alternatively, it may be intensive in being targeted
to a more limited geographical area (e.g. enforcement in that area). At a minimum, an SI
must include problem analysis, identification of goals for the target wetlands, evaluation
of options to achieve the goals, an action plan, implementation, and evaluation of results.
As a guide, an SI should constitute a program component that represents one-tenth or more
of the Region's wetlands program (using qualitative or quantitative indicators such as
environmental results, funding and staff allocation, management attention). To "initiate"
a strategic initiative, the Regional Division Director should approve the action; "complete"
an initiative means to have implemented all components of the action plan, with only the
evaluation of results remaining to be done. Examples of strategic initiatives include:
advance identification, special area management planning, other comprehensive or multi-
objective planning, enforcement activity, jurisdiction delineation, public outreach,
significant active participation in a resource planning activity of another agency, joint
activity with State, Tribal or local government, and wetland restoration and/or enhancement.
The performance expectation is that each Region will track existing strategic initiatives
and will initiate one initiative during FY 1991. One strategic initiative should be
completed during FY 1991. A more detailed four-page guideline on wetland "strategic
initiatives" is available from the Office of Wetlands Protection
OW-15
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OFFICE OF WATER
FY 1991
Definitions
WQ/E-1 MANAGE AN EFFECTIVE SECTION 404 COMPLIANCE/ENFORCEMENT PROGRAM
Section 309(a) administrative compliance orders issued by EPA. As a general rule, such
orders should require the violator not only to stop the illegal discharge, but also where
feasible to take affirmative action to remove the fill/or restore the site.
Section 309(g) administrataive penalty complaints issued by EPA.
Civil section 404 cases that a Region refers, either independently or jointly with the Corps,
to DOJ for judicial action.
Criminal section 404 cases that a Region refers to DOJ for prosecution.
Number of cases resolved during the quarter under each of the following categories:
Number of cases resolved through voluntary compliance, which occurs where the Regions has
not initiated any formal enforcement action against an illegal discharger, but instead
achieves compliance through informal processes.
Number of section 309(a) compliance orders where the violator has complied with the terms
of the order.
Number of section 309(g) administrative penalty actions in which the respondent has paid
the penalty to the Region or, in those situations where payment is due and not forthcoming,
where a federal district court has issued a final order requiring payment of the assessed
penalty.
Number of civil judicial referrals which have resulted in a federal district court entering
a final order in the case.
Number of criminal judicial referrals which have resulted in a federal district court
entering a final order in the case.
OW-15a
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PROGRAM AREA:
GOAL:
OBJECTIVE
OFFICE OF WATER
FY 1991
Hater Quality Planning, Standards and Assessment
Restore and maintain the chemical, physical and
biological integrity of the nation's waters
MEASURE
STARS CODE FREQUENCY
Strengthen the role of water
quality standards in
protecting the Nation's
critical aquatic resources.
Strengthen the role of water
quality standards in
protecting the Nation's
critical aquatic resources.
Conduct water quality
assessments to identify
problems and determine
effectiveness of water
pollution control programs,
Ensure integration of CHA
programs and target
available resources on
critical water qrality
problems.
Identify, against targets, the States for which
Regions either (1) approve numeric criteria for
307(a) priority pollutants adopted in accordance
with section 303(c)(2)(B) or (2) request the
Administrator to promulgate numeric criteria for
307(a) priority pollutants for States that fail to
comply fully with section 303(c)(2)(B).
Identify, against targets, the States that, in FY
1991, complete a triennial review as required by
section 303(c)(l) and for which EPA takes formal
action (approval or disapproval and request for
promulgation) on the revisions or additions to the
water quality standards made during that review.
Report, by Region, the number of waterbodies and
the number of stream miles, lake acres, estuary
segments, coastal miles, and Great Lakes shore
miles assessed through either (1) monitoring or
(2) evaluation, according to EPA guidance for
305(b) reports.
Report, by State and qualified Indian Tribe, the
amount of surface water funds identified in the
106 work programs by selected national water
quality program elements.
WQ-3
WQ-4
WQ-5
WQ-6
Q,2,4
Q/2,4
Q.4
Q.2
T>W-T6
3/90
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OFFICE OF WATER
FY 1991
PROGRAM AREA: Water Quality Planning, Standards and Assessment
GOAL: Restore and maintain the chemical, physical and
biological integrity of the nation's waters
OBJECTIVE
MEASURE
STARS CODE FREQUENCY
Ensure timely implementation
of approved NPS Management
Program elements.
Identify by State, against targets, the number of
watershed programs and projects in approved NPS
management programs or portions of those programs
that: (1) are initiated and completed in FY 1991
and (2) are initiated in FY 1991, but will not be
completed until FY 1992 or later.
WQ-7
Q,2,4
OW-17
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OFFICE OF WATER
FY 1991
Water Regulations and Standards Definitions
WQ-3 Adoption of
Section 303 (c) (2) (B) of the CWA, as amended, requires that numeric criteria be adopted in
water quality standards for 3 07 (a) priority pollutants that could reasonably be expected to
interfere with designated uses whenever a State reviews water quality standards in accordance
with section 303(c)(l). This measure tracks the States for which the Regions approve the
numeric criteria adopted by the States and the States for which the Regions request the
Administrator to promulgate those numeric criteria.
Hot all States complied fully with the requirements of section 303 (c) (2) (B) by the end of
FY 1990. Where the Regions disapproved water quality standards or portions of those
standards because the section 303 (c) (2) (B) requirements were not met, the Regions must either
approve the appropriate revisions to the State water quality standards or request the
Administrator to promulgate Federal water quality standards. Targets for this measure have
to be developed for the second and fourth quarters of FY 1991.
WO- 4 Complete Triennial Review
The water quality standards program priorities for each triennium (i. e., three year period)
are established in accordance with the Office of Water's long term strategic plan for the
program. These priorities strengthen the role of water quality standards in protecting the
Nation's critical aquatic resources.
The water quality standards program requirements for the FY 1991-1993 triennium are discussed
below. They address water quality standards for wetlands and estuaries, adoption of
narrative biological criteria in water quality standards, adoption of salt water criteria
in water quality standards, and adoption of the antidegradation policy and implementation
methods in water quality standards.
By September 30, 1993, States and qualified Indian Tribes must
standards that apply directly to wetlands. Those standards shall be .
accordance with either the national Guidance, Wateg Quality Standards '« **l"g
-------
wetlands, States and qualified Indian Tribes, at a minimum, shall: (1) define wetlands as
"State waters"; (2) designate uses that protect the structure and function of the wetlands;
(3) adopt aesthetic narrative criteria (the "free froms") and appropriate numeric criteria
in the standards to protect the designated uses; (4) adopt narrative biological criteria
in the standards; and (5) extend the antidegradation policy and implementation methods to
wetlands. Unless results of a use attainability analysis show that the section 101 (a) goals
can not be achieved, States and qualified Indian Tribes shall designate uses for wetlands
that provide for the protection of fish, shellfish, wildlife, and recreation. When extending
the antidegradation policy and implementation methods to wetlands, consideration should be
given to designating critical wetlands as Outstanding National Resource Waters. As
necessary, the antidegradation policy and implementation methods should be revised to reflect
the unique characteristics of wetlands.
By September 30, 1993, State and qualified Indian Tribe water quality standards must apply
directly to estuaries, as appropriate. In accordance with existing regulations and guidance,
water quality standards for estuaries shall include designated uses, salt water criteria for
pollutants for which EPA has published section 304 (a) criteria guidance, narrative biological
criteria to protect the designated uses of the estuaries, and the antidegradation policy
and implementation methods. When including the antidegradation policy and implementation
methods in water quality standards for estuaries, consideration should be given to
designating the estuaries as Outstanding National Resource Waters.
In addition to wetlands and estuaries, by September 30, 1993, narrative biological criteria
should be included in water quality standards for other high priority waters. Biological
criteria shall be developed in accordance with either the Biological Criteria Program
Guidance Document (April 1990) or some other scientifically valid method. Criteria shall
be developed that define the structure and function of the water, including species richness,
diversity, trophic composition, and abundance and/or biomass, that relate to the designated
uses in the water quality standards. Such criteria may be used in refining the uses of the
water and in determining if the designated uses have been attained.
By September 30 1993, water quality standards must contain salt water criteria, as
appropriate. These criteria are for pollutants for which EPA has published section 304(a)
criteria guidance.
Finally, by September 30, 1993, water quality standards must contain the antidegradation
policy and implementation methods. This requirement is discussed in the FY 1988 national
water quality standards program guidance and in the revisions to the Water Quality Standards
Regulation. °w-19
* 3/90
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For States and qualified Indian Tribes included in the targets for this measure in FY 1991,
the State or qualified Indian Tribe must complete a triennial review of water quality
standards by September 30, 1991. This includes meeting the requirements for the FY 1991-
1993 triennium. In addition, EPA must take an approval/disapproval action on the revisions
or additions to the water quality standards made during the triennial review for this
measure to be met. An approval/disapproval action includes requesting the Administrator to
take a promulgation action on the revisions and additions. Targets for this measure have
to be developed for the second and fourth quarters of FY 1991.
WQ-5 Water Quality Assessments
This measure requires that the number of water-bodies and the number of stream miles, lake
acres, estuary segments, coastal miles, and Great Lakes shore miles assessed by each State
and qualified Indian Tribe be reported in the fourth quarter. In addition, the water quality
status of the waters (i. e., designated uses supported, partially supported, or not
supported); the number of waters where the designated uses are not supported fully because
of nonpoint sources of pollution; and, for those waters where the designated uses are not
supported fully because of nonpoint source pollution, the number affected by each category
of nonpoint source pollution should also be reported for this measure. Hater quality
assessments are discussed in EPA's "Guidance for the Preparation of the 1990 State Water
Quality Assessment - 305(b) Reports."
The assessment guidance establishes two categories of assessed waters: (1) monitored -
waters for which current site-specific monitoring data exist and (2) evaluated - waters for
which other types of data, such as land use information from predictive models and ambient
data older than five years, exist. These two categories indicate the level of confidence
for the water quality data.
A waterbody is defined as a fixed hydrologic unit as designated by the State. Waterbodies
are limited to one type of water (e.g., river, lake, wetland, etc.). For additional
guidance, consult the HBS User Manual.
This measure provides Headquarters with the best available information on distribution of
section 106 surface water grant funds among selected national water quality program elements.
More detailed data related to all WQM funding sources and activities are reported annually
OW-20
3/90
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wetlands, States and qualified Indian Tribes, at a minimum, shall: (1) define wetlands as
"State waters"; (2) designate uses that protect the structure and function of the wetlands;
(3) adopt aesthetic narrative criteria (the "free froms") and appropriate numeric criteria
in the standards to protect the designated uses; (4) adopt narrative biological criteria
in the standards; and (5) extend the antidegradation policy and implementation methods to
wetlands. Unless results of a use attainability analysis show that the section 101 (a) goals
can not be achieved, States and qualified Indian Tribes shall designate uses for wetlands
that provide for the protection of fish, shellfish, wildlife, and recreation. When extending
the antidegradation policy and implementation methods to wetlands, consideration should be
given to designating critical wetlands as Outstanding National Resource Waters. As
necessary, the antidegradation policy and implementation methods should be revised to reflect
the unique characteristics of wetlands.
By September 30, 1993, State and qualified Indian Tribe water quality standards must apply
directly to estuaries, as appropriate. In accordance with existing regulations and guidance,
water quality standards for estuaries shall include designated uses, salt water criteria for
pollutants for which EPA has published section 304 (a) criteria guidance, narrative biological
criteria to protect the designated uses of the estuaries, and the antidegradation policy
and implementation methods. When including the antidegradation policy and implementation
methods in water quality standards for estuaries, consideration should be given to
designating the estuaries as Outstanding National Resource Waters.
In addition to wetlands and estuaries, by September 30, 1993, narrative biological criteria
should be included in water quality standards for other high priority waters. Biological
criteria shall be developed in accordance with either the Biological Criteria Program
Guidance Document (April 1990) or some other scientifically valid method. Criteria shall
be developed that define the structure and function of the water, including species richness,
diversity, trophic composition, and abundance and/or biomass, that relate to the designated
uses in the water quality standards. Such criteria may be used in refining the uses of the
water and in determining if the designated uses have been attained.
By September 30 1993, water quality standards must contain salt water criteria, as
appropriate. These criteria are for pollutants for which EPA has published section 304(a)
criteria guidance.
Finally, by September 30, 1993, water quality standards must contain the antidegradation
policy and implementation methods. This requirement is discussed in the FY 1988 national
water quality standards program guidance and in the revisions to the Water Quality Standards
Regulation. ow~19
3/90
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For States and qualified Indian Tribes included in the targets for this measure in FY 1991,
the State or qualified Indian Tribe must complete a triennial review of water quality
standards by September 30, 1991. This includes meeting the requirements for the FY 1991-
1993 triennium. In addition, EPA must take an approval/disapproval action on the revisions
or additions to the water quality standards made during the triennial review for this
measure to be met* An approval/disapproval action includes requesting the Administrator to
take a promulgation action on the revisions and additions. Targets for this measure have
to be developed for the second and fourth quarters of FY 1991.
WQ-5 Water Quality Assessments
This measure requires that the number of waterbodies and the number of stream miles, lake
acres, estuary segments, coastal miles, and Great Lakes shore miles assessed by each State
and qualified Indian Tribe be reported in the fourth quarter. In addition, the water quality
status of the waters (i. e., designated uses supported, partially supported, or not
supported); the number of waters where the designated uses are not supported fully because
of nonpoint sources of pollution; and, for those waters where the designated uses are not
supported fully because of nonpoint source pollution, the number affected by each category
of nonpoint source pollution should also be reported for this measure. Hater quality
assessments are discussed in EPA's "Guidance for the Preparation of the 1990 State Water
Quality Assessment - 305(b) Reports."
The assessment guidance establishes two categories of assessed waters: (1) monitored -
waters for which current site-specific monitoring data exist and (2) evaluated - waters for
which other types of data, such as land use information from predictive models and ambient
data older than five years, exist. These two categories indicate the level of confidence
for the water quality data.
A waterbody is defined as a fixed hydrologic unit as designated by the State. Waterbodies
are limited to one type of water (e.g., river, lake, wetland, etc.). For additional
guidance, consult the NBS User Manual.
WQ-6 Integration of CWA Programs
This measure provides Headquarters with the best available information on distribution of
section 106 surface water grant funds among selected national water quality program elements.
More detailed data related to all WQM funding sources and activities are reported annually
3/90
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under quantitative measure l(c). The information will be used in determining how the
recommendations in the Office of Hater State Funding Study can be implemented during the
annual negotiations for State grant funds.
This measure requires that the amount of funds identified in section 106 work programs for
the following national water quality program elements be reported in the second quarter:
permits/enforcement; source and ambient monitoring and laboratory costs (combined); water
quality standards; and NFS implementation. These national water quality program elements
are defined in an attachment to a November 17, 1986, memorandum from the Director, Analysis
and Evaluation Division (AED), Office of Hater Regulations and Standards to the Hater
Management Division Directors. A copy of that attachment, which is titled "Hater Quality
Management Information System State Budget Matrix Program Element Definitions, FY 1987", is
available from the Policy and Grants Section, AED (WH-586).
HQ-7 Nonooint Source Pollution
This measure tracks, by State, the number of watershed programs and projects in approved NPS
management programs that: (1) are initiated and completed in FY 1991 and (2) are initiated
in FY 1991, but will not be completed until FY 1992 or later. This measure continues the
process of shifting the nonpoint source management and control program from the development
stage to site-specific implementation.
OW-21
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OFFICE OF WATER
FY1991
Water Enforcement and Permits
OBJECTIVE
MEASURE
STARS CODE FREQUENCY
Assess toxicity
control needs and
reissue major permits
in a timely manner.
Assure NPDES permits
are fully in effect
and enforceable.
Effectively implement
approved local
pretreatment programs,
Reissuance of priority
municipal permits
which contain interim
sludge conditions.
Encourage permitting
efforts in near
coastal waters.
Track, against targets, the number of permits
reissued to major facilities during FY 91 (report
NPDES States and non-NPDES States separately).
Identify the number of final permits reissued and the
number modified during FY 91 that include water
quality based limits for toxics (NPDES States, non-
NPDES States; report major and minors separately).
Identify, by Region, the number of pending
evidentiary hearing requests and track, by Region,
progress against quarterly targets for the
evidentiary hearing requests for major permits
pending at the beginning of FY 91 resolved by EPA and
for the number resolved by NPDES States.
Track, by Region, against quarterly targets, for
approved local pretreatment programs: 1) the number
audited by EPA and the number audited by approved
pretreatment States; and 2) the number inspected by
EPA and the number inspected by approved pretreatment
States.
Track, against targets, total number of permits
issued to priority sludge facilities containing
sludge conditions necessary to meet the requirements
of CWA section 405(d)(4).
Identify the number of CSO and storm water permits
reissued in near coastal waters (report separately:
NPDES States and non-NPDES States).
WQ-11
WQ-12
WQ-13
WQ-14
WQ-15
WQ-16
Q 1,2,3,4
Q 1,2,3,4
Q 1,2,3,4
Q 1,2,3,4
Q 1,2,3,4
Q 1,2,3,4
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OBJECTIVE
OFFICE OF WATER
FY1991
Water Enforcement and Permits
MEASURE
STARS CODE FREQUENCY
Achieve and maintain
high levels of
compliance in the
NPDES program.
Report, by Region and State, the number of major
permittees. Of these, track by Region and state the
number and percent in significant noncompliance (list
separately: municipal, industrial, Federal
facilities; NPDES states, non-NPDES states).
Report, by Region and State, the number of approved
pretreatment programs. Of these, track by Region and
State the number and percent in significant
noncompli ance.
Identify, by Region and State, the number of major
permittees in significant noncompliance on two or
more consecutive QNCRs without returning to
compliance or being addressed by a formal enforcement
action (persistent violators). Identify how many
quarters they have been in significant noncompliance
(report separately: municipal, industrial, Federal
facilities).
Report, by Region and State, the number of major
permittees that are on the previous exception list
which have returned to compliance during the quarter,
the number not yet in compliance but addressed by a
formal enforcement action by the QNCR completion
date, and the number that were unresolved (not
returned to compliance during the quarter or
addressed by a formal enforcement action by the QNCR
completion date). (Report separately: municipal,
industrial, Federal facilities).
WQ/E-4
Q 1,2,3,4
WQ/E-5
Q 1,2,3,4
WQ/E-6
Q 1,2,3,4
WQ/E-7
Q 1,2,3,4
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OBJECTIVE
OFFICE OF MATER
FY1991
Water Enforcement and Permits
MEASURE
STARS CODE FREQUENCY
Achieve and maintain
high levels of
compliance in the
NPDES program.
(continued)
Effectively enforce
the pretreatment
program.
Identify compliance
problems and guide
corrective action
through inspections,
Report, by Region, the total number of (a) EPA
Administrative compliance Orders and the total number
of State equivalent actions issued; of these report
the number issued to POTWs for not implementing
pretreatment; (b) Class I and Class II proposed
administrative penalty orders issued by EPA for NPDES
violations and pretreatment violations; and (c)
Administrative penalty orders issued by States for
NPDES violations and pretreatment violations.
Report, by Region, the active State civil case
docket, the number of civil referrals sent to the
State Attorneys General, the number of civil cases
filed, the number of civil cases concluded, and the
number of criminal referrals filed in State courts.
Report, by Region, the number of State pretreatment
civil and criminal referrals sent to State Attorneys
General and the number of State civil and criminal
cases filed.
Track, by Region, against targets, the number of
major permittees inspected at least once (combine EPA
and State inspections and report as one number).
WQ/E-8
WQ/E-9
WQ/E-10
WQ/E-11
Q 1,2,3,4
Q 1,2,3,4
Q 1,2,3,4
Q 1,2,3,4
OW-24
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OFFICE OF WATER
FY 1991
Water Enforcement and Permits Definitions
WO 11/12 Permit Reissuance; Toxic Permits
The universe for measure WQ-ll is the total number of major permits that have or will expire by
the end of FY 91). Measure WQ-ll is the total number of major permits issued with issuance dates
(i.e., date signed by permit authority) during FY 91. status as of the close of each quarter
will be taken from PCS on the 10th of the month following the end of the quarter.
Measure WQ-12 is all permits (major and minor) that include'water quality based limits on specific
chemicals or whole effluent toxicity and with issuance (modification) dates (i.e., date signed
by EPA or State permit authority) during FY 91. WQ-12 is specifically designed to count water
quality-based permits issued in FY 1991. Since "limit" is specifically designed to exclude
permits which only include monitoring requirements, such permits would not be counted by this
measure.
A water quality-based permit limit is a limit that has been developed to ensure a discharge does
not violate State water quality standards. Such limits are expressed as maximum daily and average
monthly values in Part I of the NPDES permit. They can be expressed as concentration values for
individual chemicals and/or pollutant parameters such as effluent toxicity. Effluent toxicity
can also be expressed in toxic limits. Limits should be reflective of data available through
water quality-based assessments and should protect against impacts to aquatic life and human
health.
As a matter of policy, EPA regards the 2/4/87 statutory requirements to control point sources as
a component of the ongoing national program for toxics control. In the national toxics control
program, all known problems due to any pollutant are to be controlled (using both new and existing
statutory authorities) as soon as possible, giving the same priority to these controls as for
controls where only 307(a) pollutants are involved. Known toxicity problems include violations
of any applicable State numeric criteria or violations of any applicable'State narrative water
quality standard due to any pollutant (including chlorine, ammonia, and whole effluent toxicity),
based upon ambient or effluent analysis. States and Regions will continue to issue all remaining
permits, including those requiring the collection of new water quality data where existing data
are inadequate to assess WQ conditions.
OW-25
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OFFICE OF WATER
FY 1991
Water Enforcement and Permits Definitions
Performance Expectation: The goal of the State and EPA NPDES program is to have reissued major
and minor permits in effect on the date the prior permit expires. Permit applications are due
and should be acted upon during the last six months of a permit's term. Most States and Regions,
should be able to reissue 100% of their expiring major permits except where unusual, complex and
difficult issues- prevent timely permit reissuance.
Regional quarterly reports for these measures will be reported to the Director of the Office of
Water Enforcement and Permits.
WO 13 Evidentiary Hearings
The term "evidentiary hearing" is meant to encompass not only EPA issued permit appeals pursuant
to 40CFR 124 but also any NPDES State issued permit appeals (whether adjudicatory or .non-
adjudicatory in nature). The meaning includes any and all administrative appeals to permit
conditions for major facilities, whether the appeals stay or do not stay permit conditions.
Evidentiary hearings for EPA issued permits are not considered to be pending if they are on appeal
to the Administrator as of the beginning of FY 1991.
An evidentiary hearing should be regarded as resolved once an ALJ decision has been issued, a
negotiated settlement has been reached, or the evidentiary hearing request has been denied or
withdrawn.
Performance Expectation; Evidentiary hearings should be resolved as expeditiously as possible.
The target should reflect resolution of all pending hearings. Although the measure is intended
to reduce the backlog of pending hearings, consideration should be given to new hearings requests
made during FY91 that have priority over pending requests. Such requests may be counted against
commitments where they are priority cases (based on Regional/State evaluation).
ow-26
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OFFICE OF WATER
FY 1991
Water Enforcement and Permits Definitions
WO 14 Pretreatment Audits and Inspections
A local pretreatment program audit is a detailed on-site review of an approved program to
determine its adequacy* The audit report identifies needed modifications to the approved local
program and/or the PQTW's NPDES permit to address any problems. The audit includes a review of
the substantive requirements of the program, including local limits, to ensure protection against
pass through and interference with treatment works and the methods of sludge disposal. The
auditor reviews the procedures used by the POTW to ensure effective implementation and reviews
the quality of local permits and determinations (such as implementation of the combined
wastestream formula). In addition, the audit includes, as one component, all the elements of
a pretreatment compliance inspection (PCI).
In certain cases, non-pretreatment States will be allowed to conduct audits for EPA. If a
non-pretreatment State has the experience, training, resources and capabilities to effectively
conduct audits, these audits could be counted. A determination of whether a non-pretreatment
State could conduct the audit for EPA will be worked out between EPA HQ and the Region during the
commitment negotiation process on a case-by-case basis.
The pretreatment compliance inspection (PCI) assesses POTW compliance with its approved
pretreatment program and its NPDES permit requirements for implementation of that program. The
checklist to be used in conducting a PCI assesses the POTW's compliance monitoring and enforcement
program, as well as the status of issuance of control mechanisms and program modifications. A
PCI must include a file review of a sample of industrial user files. Note that this measures
tracks "coverage" of approved pretreatment programs, not the number of audits or inspections
conducted, which may be greater than the number of programs since some programs may be
inspected/audited more than once a year.
Performarrp Expectation; At a minimum, audits should be performed at least once during the term
of the POTW's permit. Although an audit includes all the elements of a PCI, as one component,
the activity should not be counted as both an audit and a PCI; it should be counted as an audit.
In any given year, all POTWs that are not audited should have a PCI as part of the routine NPDES
inspection at that facility, i.e. audits plus inspections should equal 100 percent of approved
POTWs except where mitigating circumstances prevent this (mitigating circumstances will be
approved during negotiation process). For purposes of reporting, both audits and pretreatment
OW-27
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OFFICE OF WATER
FY 1991
Water Enforcement and Permits Definitions
compliance inspections should be lagged by one quarter, i.e. same as NPDES inspections. Also,
where both an audit and an inspection are conducted for a POTW, for purposes of coverage, only
that audit will be counted.
WQ-15: Sludoe Permitting
Priority sludge facilities are: 1) pretreatment POTWs; 2} POTWS that incinerate their sludge;
and 3) any other POTWs with known or suspected problems with their sludge quality or disposal
practices. Pretreatment POTWs and POTWs that incinerate sludge may be considered to be non-
priority if such decision is Supported by information showing no cause for concern. The sludge
conditions are to be included in permits as the NPDES permit expires and is reissued. The sludge
conditions may be incorporated in another permit (such as a permit issued under the Clean Air Act,
or a State permit pursuant to an agreement between EPA and the State) and referenced to the NPDES
permit. "Sludge conditions necessary to meet CWA section 405(d)(4)" are those conditions required
by the sludge permitting and state program regulations (May 2, 1989); 40 CFR Part 257, where
applicable, and any additional case-by-case conditions necessary to protect the public health and
environment.
WO-16; Near Coastal Waters Permitting
In accordance with EPA's near coastal waters initiative and the EPA Coastal and Marine Policy,
Regions with coastal dischargers will accelerate actions for reissuing permits to these
facilities. A near coastal water is one with measurable salinity and tidal influences, including
dischargers in estuary drainage areas and Great Lakes dischargers. Permits should contain water
quality based limits based on available wasteload allocations and should be analyzed for
conventional pollutants and persistent, bioconcentratable toxicants. CSO permits include near
coastal discharges identified in State strategies prepared under the September 8, 1989 CSO
National Permitting Strategy. Storm Water permits include industrial and municipal discharges
designated under section 402 (p)(2)(E) or those discharges covered under section 402 (p)
stormwater application regulations. EPA's Permit Writers Guide for Marine and Estuarine Waters
should be followed. This measure includes all new CSO and stormwater permits and all expired or
expiring permits (major and minors) reissued in FY 91 (not modifications).
ow-28
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OFFICE OF WATER
FY 1991
Water Enforcement and Permits Definitions
WO E-4/5 NPDES Compliance
A facility is reported to be in significant noncompliance for failure to comply with NPDES permit
requirements if it meet the criteria in the QNCR Guidance Manual, 1985. An approved pretreatment
program should be identified as in significant noncompliance when it meets the criteria for SNC
identified in the FY 1990 Reporting and Evaluating POTW Noncompliance with Pretreatment
Requirements, issued September 27, 1989.
WO E-6/7 Exceptions List
NOTE: For STARS report the number only. As part of OWAS, report both the number and the name
and the number of quarters the facility has been in SNC.
Also, the name list must be submitted with the numbers; only the fact sheet, with justification,
will be reported by the 15th day of the beginning of the next quarter. In regard to all major
permittees listed in significant noncompliance on the Quarterly Noncompliance Report (QNCR) for
any quarter, Regions/NPDES States are expected to ensure that these facilities have returned to
compliance or have been addressed with a formal enforcement action by the permit authority within
the following quarter (generally within 60 days of the end of that quarter). In the rare
circumstances where formal enforcement action is not taken, the administering Agency is expected
to have a written record that clearly justifies why the alternative action (e.g..enforcement
action, permit modification in process, etc.) was more appropriate. Where it is apparent that
the State will not take appropriate formal enforcement action before the end of the following
quarter, the States should expect the Regions to do so. This translates for Exceptions List
reporting as follows:
Exception Lists reporting involves tracking the compliance status of major permittees listed in
significant noncompliance on two or more consecutive QNCRs without being addressed with a formal
enforcement action. Reporting begins on January 1, 1990 based on permittees in SNC for the
quarters ending June 30, and September 30, that have not been addressed with a formal enforcement
action by November 30. Regions are also expected to complete and submit with their Exception List
a fact sheet which provides adequate justification for a facility on the Exception List. The fact
sheet should be submitted by the 15th day of the beginning of the next quarter. After a permittee
OW-29
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OFFICE OF WATER
FY 1991
Water Enforcement and Permits Definitions
has been reported as returned to compliance or addressed by a formal enforcement action, it should
be dropped from subsequent lists.
Reporting is to be based on the quarter reported in the QNCR (one quarter lag).
Returned to compliance (refer to the QNCR Guidance for a more detailed discussion of SNC and SNC
resolution) for Exception List facilities refers to compliance with the permit, order, or decree
requirement for which the permittee was placed on the Exception List (e.g., same outfall, same
parameter). Compliance with the conditions of a formal enforcement action taken in response to
an Exception List violation counts as an enforcement action (rather than return to compliance)
unless the requirements of the action are completely fulfilled and the permittee achieves absolute
compliance with permit limitations. The Exception List indues pretreatment SNC.
Formal enforcement actions against non-federal permittees include any statutory remedy such as
Federal Administrative Order or State equivalent action, a judicial referral (sent to HQ/DOJ/SAG) ,
or a court approved consent decree. A section 309(g) penalty administrative Order (AO) will not,
by itself, count as a formal enforcement action since it only assesses penalties for past
violations and does not establish remedies for continuing noncompliance. Unless the facility has
returned to compliance, a 309(a) compliance order should accompany the 309(g) penalty order.
Formal enforcement actions against federal permittees include Federal Facility Compliance
Agreements, documenting the dispute and forwarding it to Headquarters for resolution, or granting
them Presidential exemption.
ow-30
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OFFICE OF WATER
FY 1991
Water Enforcement and Permits Definitions
WQ E-B Administrative Orders
Headquarters ulin triatinn EPA Administrative Compliance Orders (AOs) and State equivalent actions
from PCS. All ICTHBiiil be entered into PCS by the 2nd update of the new quarter to be counted
in the report. Wt^fcretreatment, only AOs issued to POTWs should be counted here. AOs issued
to industrial users are counted in OWAS under pretreatment measure 2(a). Where an AO or APO
includes both pretreatment and NPDES violations, the AO/APO should be counted once and considered
a pretreatment AO/APO. For purposes of counting State penalty orders, any order which proposes
the assessment'of a cash penalty against a violator may be counted. Where the State has a two
step process (similar to EPA's process) the proposed order should be counted.
WO E-9 Referrals
The active case docket consists of all referrals currently at the State Attorney General and the
number of referrals filed in State Court. A case is concluded when a signed consent decree is
filed with the State Court; the case is dismissed by the State Court; the case is withdrawn by
the State Attorney General after it is filed in a State Court; or the State Attorney General
declines to file the case. OECM will report the same data for Federal referrals; State referrals
will be reported to the Regions.
WQ E-10 Pretreatment Referrals
The active case docket consists of all referrals currently with the State Attorney General and
the number of referrals filed in State Courts. OECM will report the same data for Federal
referrals; State referrals will be reported to the Regions.
WQ E-ll Inspections
As the inspections strategy states, all major facilities should receive the appropriate type of
inspection each year by either EPA or the State. As part of the NPDES inspection, verification
of slutle management practices should be conducted as appropriate. EPA and States collectively
OW-31
3/90
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OFFICE OF WATER
FY 1991
Water Enforcement and Permits Definitions
commit to the number of major permittees inspected each year with a Compliance Evaluation
Inspection (CEI), Compliance Sampling Inspection (CSI), Toxic Inspection (TOX), Biomonitoring
Inspection (BIO), Performance Audit Inspection (PAD, Diagnostic Inspection (DIAG), or
Reconnaissance Inspection (RI). Reconnaissance Inspections will only count toward the commitment
when they are done on facilities that meet the following criteria:
(1) The facility has not been in SNC for any of the four quarters prior to the inspection.
(2) The facility is not a primary industry as defined by 40 CFR, Part 122, Appendix A.
(3) The facility is not a municipal facility with a pretreatment program.
Commitments for major permittee inspections should be quarterly targets and are to reflect the
number of major permittees inspected at least once. The universe of major permittees to be
inspected is defined as those listed as majors in PCS. Multiple inspections of one major
permittee will count as >only one major permittee inspected (however, all multiple NPDES
inspections will be included in the count for the measure that tracks the total number of all
inspections, see next paragraph).
The measure for tracking total inspection activity will not have a commitment. CEI, CSI, TOX,
BIO, PAI, RI, and DIAG of major and minor permittees will be counted. Pretreatment inspections
for lUs and POTWs will be counted only toward pretreatment inspection commitments. Multiple
inspections of one permittee will be counted as separate inspections; Reconnaissance Inspections
will be counted. It is expected that up to 10% of EPA resources will be set aside for neutral
inspections of minor facilities.
When conducting inspections of POTWs with approved pretreatment programs, a pretreatment
inspection component (PCI) should be added, using the established PCI checklist. An NPDES
inspection with a pretreatment component will be counted toward the commitments for majors, and
the PCI will count toward the commitment for POTW pretreatment inspections. (This will be
automatically calculated by PCS.) Regions are encouraged to continue CSI inspections of POTWs
where appropriate. Industrial user inspections done in conjunction with audits or PCIs or those
done independent of POTW inspections will be counted as IU inspections. Tracking of inspections
will be done at Headquarters based on retrievals from the Permit Compliance System (PCS) according
to the following schedule:
OW-32
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OFFICE OF WATER
FY 1991
Water Enforcement and Permits Definitions
INSPECTIONS
July l, 1990 through Sep. 30, 1990
July 1, 1990 through Dec. 31, 1990
July 1, 1990 through March 31, 1991
July 1, 1990 through June 30, 1991
RETRIEVAL DATE
The First working day
after the second update in:
Jan. 1991
April 1991
July 1991
Oct. 1991
Inspections may not be entered into PCS until the inspection report with all necessary lab results
has been completed and the inspector's reviewer or supervisor has signed the completed 3560-3
form.
Note: STARS only tracks the number of major permittees inspected. OWAS tracks the number of
inspections. Regional and State inspection plans should be established by FY 1991 in accordance
with guidance on inspection plans.
OW-33
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GQALL
OFFICE QF WATER
FY 1991
Municipal Pollution Control
Improve/Maintain Environmental Quality of Surface Waters
OBJECTIVE
MEASURE
STARS CODE FREQUENCY
State Revolving Fund
Management.
Management of On-going
Construction Grants Program.
Management of On-going
Construction Grants Program.
Track, by Region, progress against quarterly
construction grants and SRF, (2) net outlays for
construction grants, and (3) net outlays for State
Revolving Fund (SRF) program.
Track, by Region, progress against quarterly
targets for the number of Step 3, Step 2+3,
Step 7, Marine CSO and PL 84-660 projects
administratively completed.
Track, by Region, progress against quarterly
targets for the number of Step 3, Step 2+3, and
84-660 project closeouts.
WQ-8
WQ-10
WQ-18
OW-34
3/90
Ql, Q2,
Q3, Q4
Ql, Q2,
Q3, Q4
Ql, Q2(
Q3, Q4
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OFFICE OF WATER
FY 1991
Definitions
Municial Pollution Control
WQ-a STATE REVOLVING FUND MANAGEMENT
Per cents of fiujflul^teliiifr .pet outlays for construction grants and State Revolving Fund (SRI?1)
to program commitment. - The net sum of payment made and recovered from PL 84-660 projects,
PL 92-500 contract authority projects, as well as projects funded with Talmadge/Nunn , FY 1977
supplemental, FY 1978 through FY 1990 budget authority, Section 205 (g) funds, Section 205 (m)
funds, and all Title VI funds appropriated expressly for SRF.
Performance Expectation - The cumulative Regional commitment will consist of a construction
grants, a SRF, and an overall component. The performance expectation for the overall
cumulative commitment will be ± 5%; however, this performance expectation range can be
widened as long as construction grants outlays remain within + 5% of commitment and SRF
outlays are within a + 10% range.
WQ-10 MANAGEMENT OF THE ON-GOING CONSTRUCTION GRANTS PROGRAM
Number of step 3. Step 2+3. Step 7. Marine CSO. and PL 84-660 protects administratively
completed - A project is considered administratively complete when a final audit is
requested, or for projects that cannot be sent to OIG because of related ongoing projects,
when all of the administrative completion requirements have been satisfied.
performance Expectation - The goal will be to begin FY 1992 with no backlogged projects.
An acceptable commitment would be the number of projects that must be completed in FY 1991
in order to enter FY 1992 with no backlogged projects, minus those projects the Region and
Headquarters mutually agree are not able to be completed during FY 1991.
A "backlogged" project is defined as:
o A Step 3, Step 2+3, or PL 84-660 project awarded belatfi 12/29/81 which has been
physically complete for more than 12 months, but has not yet been administratively
completed.
o A Step 3, Step 2+3, Step 7, or Marine CSO project awarded aftfiT 12/29/81 which has
initiated operations for more than la months, but has not yet been administratively
completed. ow~35
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OFFICE OF WATER
FY 1991
Definitions
Municipal Pollution Control
WO-18 MANAGEMENT OF THE ON-GOING CONSTRUCTION GRANTS PROGRAM
Number of Step 3. Step 2+3 and PL 84-660 closeouts - A closeout occurs after: (1) An Audit
has been resolved or a determination has been made by OIG that an audit will not be
performed; (2) Funds owed the Government by the grantee (or vice versa) have been recovered
(or paid); and (3) A closeout letter has been issued to the grantee; or (4) Any disputes
filed under 40 CRF, Parts, 30 and 31 have been resolved.
Performance Expectation;
Project closeout is expected to occur within 6 months after final audit resolution. However,
the time-based measure will not apply if:
o The grantee appeals a final decision in accordance with 40 CFR, Parts 30 and 31;
or
o The action official has referred the project to the servicing finance office to
establish an accounts receivable based on the audit findings.
As a minimum target, the estimated number of projects awaiting closeout or awaiting audit
resolution at the beginning of the fiscal year or any project planned for "screen out" by
OIG during the fiscal year should be planned for closeout by the end of the fiscal year.
GIGS select logic for closeouts is: PO = »Ab' or »AB» or »AC»
OW-36
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
STRATEGIC TARGETED ACTIVITIES FOR RESULTS SYSTEM (STARS)
FY 1991 MEASURES AND DEFINITIONS
-------
OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1991
Program Area; Superfund
OBJECTIVE
MEASURE
STARS CODE FREQUENCY
Identify and assess
uncontrolled hazardous
sites in a timely manner,
Commence action at hazardous
waste sites to remove toxics
or investigate cleanup
strategies.
Implement an integrated
Superfund effort that
focuses both programs toward
selection of remedy
following the completion of
the RI/FS stage.
I
T
Number of sites with Completed Site Inspections
(SI)._/ Year to Date.
SI Candidates Requiring Further Action.
Reporting measure only._y Program to Date.
Number of NPL sites where a Removal action or
RI/FS has started. Report against combined
target. _/ Year to Date.
Percent of NPL sites Addressed.
only._/ Program to Date.
Reporting measure
Report
Number of Remedies selected at NPL sites.
against combined target._/ Year to Date.
Number of Remedial Design/Remedial Action
negotiations that have concluded. Report against
referrals for settlement, litigation or fund RD
start. _/ Year to date.
Number of Remedial Designs completed at NPL sites.
Report against combined target. _/ Year to date.
* This measure requires Regional targets.
_/ Definition at end of program measures.
T
S/F-1*
S/F-la
S/C-2*
S/C-2a
S/C-3*
S/C-4*
S/C-5*
.1.
Q
1,2,3,4
Q
1,2,3,4
Q
1,2,3,4
Q
1,2,3,4
Q
1,2,3,4
Q
1,2,3,4
Q
1,2,3,4
OSWER
3/90
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1991
Program Area; Suoerfund
OBJECTIVE
MEASURE
STARS CODE FREQUENCY
T
T
Implement a cost-effective
remedial construction
program.
Number of Remedial Action activities started
through Award of Contract at NPL sites. Report
against combined target._/ Year to Date.
Number of Remedial Action activities completed
at NPL sites. Report against combined
target. _/ Year to date.
Type of Media Addressed. Reporting measure
only._/ Year to Date.
S/E-6*
S/E-7*
S/E-7a
* This measure requires Regional targets,
J Definition at end of program measures,
1,2,3,4
Q
1,2,3,4
Q
1,2,3,4
OSWER
3/90
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Office of Solid Waste and Emergency Response
FY 1991
Suoerfund Definitions
S/C-1 Number of Sites with Completed Site Inspection' fSI) -, This measure includes only
Screening Si's. A SI is completed when: 1) a Screening Inspection Report has been
received by the Region from a FIT, or the State; 2) the report has been reviewed and
approved by the appropriate Regional official; 3) a decision has been made on whether
to proceed with further site evaluation work; and 4) the SI report has been recorded
in CERCLIS.
S/F-la SI Candidate Completed to Date (Report quarterly percent of universe completed to
date)
The number of SI candidates is determined by the number of sites in CERCLIS that have
had a PA completion, and based on the PA completions, have not been classified as "no
further action." The number of Sis completed to date is divided into the number of
candidates to determine the percent of SI candidates completed to date.
S/C-2 Number of Sites Where Activity has Started - Number of NPL sites (Final and Proposed)
where on site activity has begun. On-site activity is characterized by either a
removal action under the direction of EPA or through an: Administrative Order,
Consent Decree or judgement; or implementation of a first RI/FS at the site but not
both.
Fund-Financed: A Fund Removal counts toward this target when:
1) The Action Memorandum has been approved by the On Site
Coordinator (OSC), Regional Administrator (RA), or Assistant
Administrator (AA); and 2) a contract has been signed for an EPA
or U.S. Coast Guard (USCG) on-site removal; and 3} an obligation
for the removal has either been recorded in the Financial
Management System (FMS), or has been reported and documented in
CERCLIS or when the OSC activates $50,000? and 4) there is no
current or previous on-site Fund-financed or PRP Removal
activity? and 5) on-site removal work has begun. The date the on-
site work began is the start date for the removal action.
OSWER - 3
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Office of Solid Waste and Emergency Response
FY 1991
Superfund Definitions
PRP-Financed; A Potentially Responsible Party (PRP) Removal counts toward this
measure when: 1) there is no current or prior on-site
Fund-financed or PRP removal activity; and 2) there is on-site
removal activity financed by the PRP in compliance with an
Administrative Order (Unilateral or On Consent) or Consent
Decree, or judgment. The date the on-site work began as entered
in CERCLIS will be considered the start date for the PRP removal.
If the PRP does not comply with a Unilateral Order, credit is not
given. Where a PRP is in substantial non-compliance, credit will
be withdrawn.
Site status (NPL or Non-NPL) will be determined by the status indicated in CERCLIS
when accomplishment reports are pulled. A First RI/FS means that there has been no
prior RI/FS activity at that site.
Fund-Financed: A Fund Program RI/FS start is counted when: 1) Either a contract
has been signed by the Procurement and Contracts Management
Division (PCMD), or a Cooperative Agreement has been signed by
the Regional Administrator to conduct a RI/FS, and 2) obligations
have been recorded or documented in CERCLIS as of the end of the
reporting period and 3) there is no prior settlement with a PRP
for a RI/FS.
The Fund-financed Start is defined as the date of first obligation for a RI/FS at
site. Obligations for forward planning activities, community relations planning
and/or similar support activities do not constitute a RI/FS start. Fund-financed
RI/FS include: Federal (F), State (S), State Enforcement (SE) and in-house (EP) lead
projects as these leads are used in the FY 1991 Program Management Manual. The
appropriate dates must be recorded in CERCLIS.
PRP-Financed: A PRP lead RI/FS Start occurs when an Administrative Order on
" Consent is issued or a Consent Decree is referred to Headquarters
or the Department of Justice (DOJ) for a RI/FS, and there has
been no Fund obligation and no previous settlements for: RI,
OSWER - 4
3/90
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Office of Solid Waste and Emergency Response
FY 1991
Superfund Definitions
FS, or RI/FS (see above). The start date is defined as the last
signature date by the appropriate official or party (e.g., the
RA, DOJ, or private party on the Administrative Order on
Consent), or the date of referral to Headquarters of a Consent
Decree for the PRP to conduct the RI/FS. If the PRPs are
performing the RI/FS under a State Order or comparable
Enforcement document and the site is covered by a: State
Enforcement Cooperative Agreement, Superfund Memorandum of
Agreement (SMOA), or other EPA/State agreement; credit will be
given based on the date the State order is signed by the last
appropriate official or party. (If there is a Settlement for
Multiple Operable Units, the start date for the first RI/FS would
be the last signature date by the appropriate Federal agency or
party.) The appropriate dates must be recorded in CERCLIS.
PRP-financed RI/FS's include: Responsible Party (RP), Mixed Funding (MR), and
Responsible Party under State order with Federally funded oversight (PS).
A shift between a Fund, or PRP RI/FS, can occur when there has been a Fund
obligation, and work has not proceeded beyond the RI/FS Work Plan approval stage. If
a PRP takes over a RI/FS before or at this juncture, the RI/FS lead at this site
should be changed from the Fund to PRP. If the PRP begins the RI/FS and it is
subsequently taken over by the Fund the same criteria apply.
Federal Facility; Federal Facility RI/FS are conducted by the Federal entity. The
Federal Agency is required to start a RI/FS within six months of
site listing on the NPL. The start of a Federal Facility RI/FS
is defined by either a signed FFA/IAG or a publication of
timetables and deadlines in consultation with the state for
expeditious completion of the RI/FS. A subsequent RI/FS start is
defined as the receipt of the RI/FS workplan within the context
of the FFA/IAG.
OSWER - 5
3/90
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Office of Solid Waste and Emergency Response
FY 1991
Superfund Definitions
S/C-2a NPL Sites Addressed to Date (Report quarterly as percent of universe)
The number of proposed or final NPL sites where a removal action, RI/FS, enforcement
action (Section 106 referral or Unilateral order) or RCRA corrective action has taken
place. RI/FS starts includes Federal Facility, State Enforcement (with or without
EPA involvement) and State financed projects.
S/C-3 Number of Remedies Selected at NPL Sites
A Record of Decision (ROD) has been signed by either the Regional Administrator or
Assistant Administrator for OSWER, and the appropriate date has been recorded in
CERCLIS. The signature date by the RA or AA represents the ROD completion date.
Remedies selected include: Federal (F), Federal Enforcement (FE) and Federal Facility
(FF).
S/C-4 Number of Remedial Design (RD)/Remedial Action fRAl Negotiations that have concluded
at NPL Sites.
RD/RA negotiations are complete when the region makes a decision on how to proceed
with RD/RA activities. There are four decisions that identify RD/RA negotiation
completion, they are: 1) The signed consent decree (Section 106 or 106/107 referral
with settlement) for RD/RA and 10 point analysis is referred by the region to either
DOJ or HQ; 2) A Section 106 or 106/107 referral for RD/RA without settlement is
referred to DOJ or HQ; 3) A Unilateral Administrative Order (UAO) of RD and/or RA to
initiate site work is issued and the RP is in compliance; 4) A UAO of RD and/or RA to
initiate site work is issued but a non-compliance determination is made; or 5) A
decision is make to proceed with RD as indicated by the obligation of RD funds, where
a UAO has been considered not appropriate.
S/C-5 Number of Remedial Designs fRDl completed at NPL Sites.
An RD is complete when the plans and specifications and, in the case of a program
lead-RD, a Fund-financed RA bid package for the selected remedy are developed.
Fund-Financed; For program lead RD projects, an RD completion is the date that
EPA concurs on or approves and accepts the plans, specifications
and RA bid package. QSWER _ fi
3/90
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PRP-Financed;
Office of Solid Waste and Emergency Response
FY 1991
Suoerfund Definitions
An RD is complete on the date that EPA concurs on or approves and
accepts the plans and specifications. For PS-lead RDs, the RD is
complete when the state concurs on or approves and accepts the
plans and specifications.
Federal Facility!
S/C-6
S/C-7
An RD is complete when the 'plans and specifications for the
selected remedy have been developed. Credit is given when EPA
approves the remedial design within the context of an IAG. For
Fund and PRP financed RDs, the state should concur on the design
prior to EPA concurrence or approval.
number of Remedial Action Activities started through Award of Contract at NPL Sites.
Fund-Financed; Sites (as recorded in CERCLIS) where the EPAf a State, the COE or
Bureau of Reclamation has awarded a contract to initiate Fund-
financed Remedial Action.
Sites (as recorded in CERCLIS) where the PRP has begun
substantial and continuous physical action, which is equivalent
to an EPA contract award, or where the PRP has taken equivalent
action with its own work force.
Sites where the Federal entity has initiated on-site construction
~~~~ -- activities after October 16, 1986. Credit is given when
substantial and continuous on-site work has begun at sites where
EPA has concurred on the ROD and an IAG/FFA is in place. The
date substantial and continuous on-site work begins must be
recorded and documented in CERCLIS.
numbe
PRP-Financed:
Federal Facility:
f Pemadial Ac^on activities completed at NPh
when construction activities are complete, a final inspection has
OSWER - 7
3/90
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Office of Solid Waste and Emergency Response
FY 1991
Suoerfund Definitions
which summarizes the site condition and construction activities and demonstrates
the NCP criteria for deletion has been met. If the only activity remaining is
performance monitoring or long term response, an Interim Superfund Site Close-out
Report must be prepared. The date the Regional Administrator signs an Operable Unit
RA Report is the accomplishment of the RA completion; a Site Close-out Report for
the final operable unit is required for the final RA completion.
S/C-7a Type of Media Addressed. (Report measure quarterly.)
The type of media addressed reports the media established in the ROD that have been
addressed through implementation of a Remedial Action. This measure applies to those
RA activities that address the contamination of one or more media. Two areas
determine the type of media addressed eligible for reporting. Media addressed for a
permanent or interim remedy must be reported. A permanent remedy indicates all human
health and the environmental goals for the media have been addressed and completed.
Interim remedy is defined as a temporary or partial action that controls exposure or
other wise temporarily protects human health and the environment. The site may need
to be revisited for further clean up under the terms of an interim remedy. In
reporting the interim remedy, the remedy, one should report whether the remedy is
partial or complete with respect to that pathway. If the media do not completely
address all of one pathway, the result is a partial remedy. Otherwise, the remedy is
complete but may be interim or temporary. The type of media addressed should be
reflected in the comment field of the STARS data base.
OSWER - 8
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1991
Suoerfund Enforcement
OBJECTIVE
MEASURE
STARS CODE FREQUENCY
Achieve and maintain maximum
levels of clean-up through
enforcement actions.
Achieve maximum levels of
reimbursement of Trust Fund
dollars expended in site
clean-up.
Administrative Orders Issued
Report Administrative Orders (Unilateral and On
Consent) signed and issued by the Agency within
the quarter for Removal Actions, RI/FS, Cost
Recovery, and RD/RA. This is for NPL and Non-NPL
sites. Each order is counted once._/
(a) AOCs issued for removals, RI/FS, RD, or Cost
Recovery.
(b) UAOs issued for removals and RI/FS.
(c) UAOs issued for RD/RA.
Cost Recovery Referrals/Administrative Settlements
GreaterThan $200.000
Target and report Section 107 civil referrals,
with or without settlement, for amounts greater
than or equal to $200,000._/
(a) Section 107 (only) referrals for Pre-Remedial
actions.
(b) Section 107 (only) referrals for Remedial
actions including past costs.
J Definition at end of program measures.
* This measure requires Regional targets.
S/E-1
(a)
(b)
(c)*
S/E-2
(a)*
(b)*
OSWER - 9
3/90
Ql,2,3,4
Ql,2,3,4
-------
OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1991
Superfund Enforcement
OBJECTIVE
MEASURE
STARS CODE FREQUENCY
.
Report Enforcement dollar
amounts referred and
settled.
Achieve maximum level of PRP
participation for remedy
implementation .
Cost Recovery Amounts Referred and Settled
Report the total amount of dollars resulting from
referrals and settlements including consent
decrees and administrative orders. _/
a) Value of past cost recovery referred to DOJ.
b) Value of past costs in settlements.
Section 106 or 106/107 Referrals or Settlements
for RD/RA
Target and report Section 106 or 106/107 civil
referrals with or without settlement for remedial
design/remedial action (RD/RA) .
(a) Section 106 or 106/107 referrals without
settlement.
(b) Section 106 or 106/107 settlements (Consent
Decrees, UAOs In Compliance) .
FEDERAL FACILITIES
Taraet and Reoort Inter-Aaencv Agreements flAGs)
Credit is given for lAGs signed at NPL or proposed
NPL sites for: RI, FS, RDf RA, or RD/RA only._y
J Definition at end of program measures.
* This measure requires Regional targets.
OSWER - 1(
3/90
S/E-3
(a)
(b)
S/E-4
(a)*
(b)*
S/E-5*
D
Ql,2,3,4
Ql,2,3,4
Ql,2,3,4
I
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1991
Suoerfund Enforcement Definitions
S/E-1 Administrative Orders
Credit is provided where a Section 106 or Section 122 administrative order
(Unilateral and On Consent) has been signed by the Regional Administrator or
designated official, and the completion date (C1717), compliance status (C1726),
remedy code (C2731), and the settlement status flag (C1721), are entered in
CERCLIS. Credit is given for each order issued. Excluded from this measure
are Section 104(e) administrative orders for site access, and orders for operations
and maintenance. AOCs and UAOs issued for removals, RI/FS, RD, and Cost Recovery
are reporting measures (NPL and Non-NPL). UAOs issued for RD/RA are a
targeted measure, and are not dependant upon compliance.
S/E-2 Cost Recovery Referrals Greater Than $200.000
Target: (a) Section 107 (only) referrals for pre-remedial action events
(i.e. Removal, IRM, ERA, RI/FS, RD) valued at $200,000 or greater ; and,
(b) Section 107 (only) referrals for remedial actions valued at $200,000 or
greater. Targets are based on the number of sites addressed in the referral
package and must include responses where there are a potential statute of
limitations (SOL) problems and viable PRPs have been identified.
If a Region fails to refer a SOL site, it will be considered to have missed
its target, even if it refers more cases than its target.
Credit is based on the Regional Administrator's signature date on the referral
transmittal letter (as entered in CERCLIS) to the Office of Enforcement Compliance
Monitoring (OECM), or the Department of Justice (DOJ).* Credit will be withdrawn
if a case is returned to the Region by OECM or DOJ for additional work, but
will be reinstated upon re-referral and will be based on the quarter of re-referral.
(a) Credit is given when a Region has referred a Section 107 (only) civil action,
with or without settlement, to OECM or DOJ seeking reimbursement of past
Trust Fund expenditures for Removal, ERA, IRM, RI/FS, or RD equal to or
greater than $200,000. Should a Region reach an administrative settlement
for a case where the amount recovered is greater than or equal to $200,000,
which fully resolves all cost recovery for the operable unit, the Region
will receive credit. Credit shall not be given for bankruptcy settlements.
(b) Credit is given when a Region has referred a Section 107 (only) civil action,
with or without settlement, to OECM or DOJ seeking reimbursement of past
OSWER - 11
3/90
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1991
Superfund Enforcement Definitions
Trust Fund expenditures for a Remedial Action response, plus any previous
Fund financed site work (i.e. Removals, ERAs, IRMs, RI/FS, RD) equal to or greater
than $200,000. Should a Region reach an administrative settlement for a remedial
action where the amount recovered is greater than or equal to $200,000 which fully
resolves the operable unit, the Region will receive credit. Credit shall not
be given for bankruptcy settlements. (Sites where the Potential Responsible
Party (PRP) is conducting the RA, and no Fund monies will be used except for
oversight, do not qualify for this target. Credit in these cases will be
granted as a pre-remedial cost recovery action.
* Entry of following information in CERCLIS is required for credit: 1) date
referred to DOJ/HQ (C1716), 2) cost recovery remedy type (C2731= VM,VO,VD,VS,
or VA), 3) cost recovery financial type (C2903= F), 4) cost recovery financial
amount (C2907), and 5) settlement status (C1721=F,P,S, or R).
S/E-3 Cost Recovery Amounts Referred and Settled
This is the sum of all cost recovery dollars referred and dollars settled.
This includes: (a) the value (past costs) of Section 107 or Section
106/107 cases referred to DOJ; (b) the value (past costs) of Section 106/107,
107, or 122 settlements including Consent Decrees (upon referral to DOJ/HQ),
administrative orders (upon execution of the last signature by EPA or the PRP),
cash-outs, and administrative settlements. Excluded from this amount are bankruptcy
settlements, and cost recovery of oversight expenditures billed - this is
due to reporting limitations. Credit is given for the amount entered in CERCLIS.
This is a reporting measure only.
S/E-4 section 106 or 106/107 Referrals or Settlements for RD/RA
For targeting purposes, a) and b) are targeted separately. For measuring
accomplishments against S/E-4 targets, the actual combined accomplishments
of a) and b) will count against the combined target of a) and b) combined.
(a) This measure includes all Section 106 or Section 106/107 referrals for
OSWER - 12
3/90
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1991
Superfund Enforcement Definitions
RD/RA without settlement to Headquarters or to DOJ seeking injunctive relief.
Referrals seeking preliminary relief or penalties do not count toward
this target. Credit will be based on the referral date recorded in CERCLIS.
(b) This measure includes all Section 106 or Section 106/107 settlements for
RD/RA (with a Consent Decree) referred to HQ or DOJ seeking judicial
concurrence. Credit for Consent Decree settlements will be based on
the referral date (RA signature date on the transmittal memo) to HQ or
DOJ as entered in CERCLIS. This measure also includes Unilateral
Administrative Orders (UAOs) for RD/RA where the PRP is in compliance with
the UAO. Credit for UAOs in compliance is based on the milestone
"Notice of Intent to Comply" date (C2801= NC) the order as entered in CERCLIS.
Should the PRP become substantially in non-compliance with the UAO, credit
will be withdrawn from this category and will only be reinstated when
the PRP returns to compliance or will be counted in category (a) upon
referral to DOJ or HQ.
FEDERAL FACILITIES
S/E-5 Inter-Agency Agreements Signed at NPL or Proposed NPL Federal Facilities for RI,
FS,RD,RA or RD/RA only.
A site can only receive credit once under this measure.
Credit is given for the following when entered in CERCLIS, or reported to Federal Facilities;
- A signed Interagency Agreement for a RI/FS/RD/RA or RD/RA,
- Issuance of Section 3008(h) Corrective Action Order addressing all CERCLA
releases **
- Referral of a Section 106 Administrative Order to DOJ for concurrence,
- Issuance of a RCRA permit addressing all releases and all CERCLA
requirements, or ** ,-..**
- A formal referral has been made to AA-OSWER for dispute resolution. **
** Not currently tracked in CERCLIS
OSWER - 13
3/90
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1991
Program Area: RCRA Permittina and State Authorization
GOAL:
OBJECTIVE MEASURE STARS CODE
Make final RCRA permit
determinations .
FREQUENCY
Permitting Measures [Report the following
for land disposal, incineration and
Storage and treatment] :
Public notice of draft RCRA permit issued. _/
Notice of intent to deny RCRA permit issued. _/
Notice of availability of closure plan
issued. _/
RCRA operating permit final
determinations . +_/
Closure plan approved. *_/
RCRA post-closure permit final
determinations. #__/
+This measure requires Regional target for
storage and • treatment facilities.
*This measure requires Regional target for
incinerator and land disposal facilities.
#This measure requires Regional target for
land disposal facilities.
_/ Definitions at end of program measures.
R/c-la Q
1,2,3,4
R/C-lb Q
1,2,3,4
R/C-lc
R/C-ld
R/C-lg
R/C-lh
1,2,3,4
Q
1,2,3,4
1,2,3,4
Q
1,2,3,4
OSWER - 14
3/90
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1991
Program Area: RCRA Permitting and State Authorization
GOAL:
OBJECTIVE
MEASURE
STARS CODE FREQUENCY
Modify permits to maximize
extended capacity and
protection of ground water
and other environmental
media.
Make decisions on requests
for waivers from
regulations.
Authorize States for base
RCRA program and revisions
to the program.
Permit Modification Measures
Number of significant permit modifications
issued year to date._/
Number of significant permit modifications
denied year to date._/
Waiver Requests
Number of waiver requests granted year
to date._/
Number of waiver requests denied year
to date._/
State Authorizations
State program authorizations granted year
to date._y
_/ Definitions at end of program measures.
R/C-2a
R/C-2b
R/C-3a
R/C-3b
R/C-4
Q
1,2,3,4
Q
1,2,3,4
Q
1,2,3,4
Q
1,2,3,4
Q
1,2,3,4
OSWER
3/90
- 15
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1991
Program Area; RCRA Permitting and State Authorization Definitions
R/C-la Public notice of draft RCRA permit issued; The date the public notice of draft permits
is issued.
R/C-lb Notice of intent fc° denv RCRA permit issued; The date the public notice of intent to
deny permit i»;loued.
R/C-lc Notice of Closure Plan Availability Issued; The date the public notice of closure plan
availability is issued.
R/C-ld RCRA Operating Permit Final Determinations; The date the RCRA operating permit reaches
final determination (issued or denied) .
R/C-lg Closure plan approved; The date the closure plan is approved.
R/C-lh RCRA post-closure permit final determinations; The date of the RCRA post-closure permit
final determination.
R/C-2a Number of significant permit modifications year to date; Number of significant permit
& 2b modifications issued or denied by EPA or authorized State year to date. Significant
permit modifications include those that address the following: ground water (subpart F) ,
HSWA corrective action, and expansion/new units.
R/C-3a Number of waiver requests vear to date; Number of waiver requests granted or denied by
& 3b EPA or authorized State year to date. Include waivers for the following: ACLs, double
liner waivers, and/or tank secondary containment waivers.
R/C-4 State program authorizations granted vear to date; Number of States receiving interim or
final authorization for base program or program revisions during the fiscal year.
OSWER - 16
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1991
Proaram Area: Subtitle D Measures
GOAL:
OBJECTIVE
MEASURE
STARS CODE FREQUENCY
Track progress of States submitting applications for
statutory requirements for determination of adequacy under Section 4005
Subtitle D. (c)._/
Determinations of adequacy completed under
Section 4005(c)._/
Report on progress towards continued
procurement of recycled paper in compliance
with RCRA Section 6002 and 40 CFR Part 250
guidelines. __/
_/ Definitions at end of program measures.
R/D-la
R/D-lb
R/D-lC
1,2,3,4
Q
1,2,3,4
Q
1,2,3,4
OSWER - 17
3/90
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1991
Proaram Area: Subtitle D Definitions
R/D-la States submitting applications for determination of adequacy under Section 4005 fc);
Number of States submitting complete applications for determination of adequacy.
R/D-lb Determination o^ adequacy completed under Section 4005 (c) ; Number of determinations
fc in
Region publiahMfc in the Federal Register; report number of determinations by adequate and
inadequate .
R/D-lc Report on progress towards continued procurement of recycled paper in compliance with
RCRA Section 6002 and 40 CFR Part 250 guidelines: Report when procurement implementation
plan developed; report when major milestones are met.
OSWER - 18
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OBJECTIVE
OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1991
Program Area: RCRA Enforcement
GOAL: To ensure compliance monitoring and enforcement
MEASURE
STARS CODE FREQUENCY
Improved compliance of
hazardous waste handling
with RCRA requirements.
Ensure that timely and
appropriate Enforcement
action is taken against
SNC's.
Inspections
Target and report, year-to-date, the number of
Land Disposal facilities that have received an
inspection in FY 91.
(Combined EPA/State target).
Target and report, year-to-date, the number of
treatment or storage facilities, other than
land disposal facilities, that have received
an inspection in FY 91.
(Combined EPA/State target).
Target and report, year-to-date, the number of
Federal, State and local government TSDs
(including Land Disposal) that received an
inspection in FY 91. (Combined EPA/State
target).
Significant Noncompliance
Report the number of SNCs (all handlers that are
High Priority Violators) at this point in time.
Of the SNC's in R/E-2(a), report the
number of handlers that have been
addressed by a formal enforcement action, but
have not returned to physical compliance.
R/E-la
R/E-lb
R/E-lc
R/E-2a
R/E-2b
Q
1,2,3,4
Q
1,2,3,4
Q
1,2,3,4
Q
1,2,3,4
Q
1,2,3,4
OSWER
3/90
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OBJECTIVE
OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1991
Program Area: RCRA Enforcement
GOAL; To ensure compliance monitoring and enforcement
MEASURE
STARS CODE FREQUENCY
T
Ensure that SNCs return to
full physical compliance
Of the SNCs in R/E-2a, report the number of
handlers that have not had a formal enforcement
action (to resolve all violations causing the
facility to be in SNC) within 135 days of the
inspection.
Of the SNCs in existence as of October I, 1990,
report the number of handlers that have returned
to compliance without formal enforcement action.
Return to Compliance
Report the number of SNCs that were out of
compliance on October 1, 1990 as a result of
an inspection conducted prior to October 1, 1988.
Report the number of SNCs in R/E-3a that have
returned to compliance with all violations
which caused them to be in SNC.
Report the number of SNCs in R/E-3a that are
currently undergoing legal proceedings
(i.e. ALJ/CJO hearings and appeals, judicial
actions) which are necessary to achieve final
formal requirements for returning to compliance.
Report the number of SNCs in R/E-3a that have had
formal final enforcement action and, therefore,
are on a compliance schedule.
Report the number of SNCs in R/E-3d that are in
compliance with their compliance schedules.
R/E-2c
R/E-2d
R/E-3a
R/E-3b
R/E-3C
R/E-3d
R/E-36
Q
1,2,3,4
Q
1,2,3,4
Q
1,2,3,4
Q
1,2,3,4
Q
1,2,3,4
Q
1,2,3,4
Q
1,2,3,4
OSWER -20
3/90
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OBJECTIVE
OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1991
Program Area; RCRA Enforcement
GOAL: To ensure compliance monitoring and enforcement
MEASURE
STARS CODE FREQUENCY
T
T
To provide a measure of
enforcement activity across
all media.
Federal Facilities - Snapshot
' Report the number of Federally owned or operated
TSD facilities that are in SNC at this point-in-
time.
Report the number of Federal TSD facilities in
SNC which have been addressed with one or more
appropriate initial enforcement action(s) for all
SNC violations, but have not returned to
compliance.
Report the number of Federal TSD facilities in SNC
which have not had a formal enforcement action
(to resolve all violations causing the facility
to be in SNC) within 135 days of the inspection.
For those Federal facilities where EPA has the
enforcement lead, report the number of facilities
where the final EPA Regional action has been
completed within 120 days of the initial action
addressing all violations causing the facility
to in SNC.
Enforcement Actions
Report the number of formal administrative
enforcement actions issued, year-to-date, not
including Sections 3008(h), 3013 and 7003. (Report
EPA and State separately).
R/E-4a
R/E-4b
R/E-4c
R/E-4d
R/E-5a
Q
1,2,3,4
Q
1,2,3,4
Q
1,2,3,4
Q
1,2,3,4
Q
1,2,3,4
OSWER - 21
3/90
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OBJECTIVE
OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1991
Program Area; RCRA Enforcement
GOAL; To ensure compliance monitoring and enforcement
MEASURE
STARS CODE FREQUENCY
T
T
Report the number of formal administrative
enforcement actions issued, year-to-date,
including Sections 3008(h), 3013 and 7003. (Report
EPA and State separately).
Report the number of State civil and criminal
cases filed against Subtitle C handlers.
R/E-5b
R/E-5C
Q
1,2,3,4
Q
1,2,3,4
OSWER - 22
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1991
RCRA Enforcement Definitions
R/E-l(a) Inspections: In FY 91, inspection requirements for Land Disposal Facilities
will be modified to allow greater flexibility in setting targets. Those
operating, permitted, or closing land disposal facilities (except
Underground Injection Control (UIC) facilities) that have no outstanding
Class I violations as of July 1, 1990, that are not Federal, State or local
facilities and received an inspection during FY 90 are not required to be
inspected during FY 91. LDFs not inspected in FY 91 must be inspected the
following year. Closed LDFs must be inspected at least every other year,
except those clean-closed by removal. Federal, State and local (FSLs) LDFs
must receive annual inspections. This measure is intended to evaluate
whether these facilities have been addressed with a full compliance
inspection under RCRA Sections 3007 (c), (d), and (e). Inspections to be
counted are Compliance Evaluation Inspections (CEIs).
R/E-l(b) Inspections: All Treatment and Storage Facilities (TSFs) owned/operated by
Federal/State/local entities, and all incinerators must be inspected in FY
1991. In addition, inspections must be conducted at TSFs not inspected in
FY 90. Inspections to be counted are Compliance Evaluation Inspections
(CEIs).
R/E-l(c) Federal, State and local TSDs: These numbers are a subset of the numbers
targeted and reported in (a) and (b). Thus Federal, State and local
facilities are counted both in (c) and in (a) or (b). State inspections of
State and local facilities will not be counted toward this target.
R/E-2(a) In this measure, SNCs are all handlers which include Treatment, Storage,
Disposal Facilities as well as Transporters, Generators and Non-Notifiers
that are High Priority Violators and are identified during FY 91. Note:
Included are those facilities that are designated HPVs because of Land
Disposal restriction violations.
OSWER-23
3/90
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1991
RCRA Enforcement Definitions
R/E-2(b) Formal enforcement actions include Section 3008(a) complaints, or equivalent
State orders, as well as referrals for judicial action (including criminal)
made to the Department of Justice (DOJ), State Attorney General (AG), or
other appropriate official. Both administrative orders and judicial
referrals will count as a formal enforcement action addressing an HPV SNC.
R/E-3(a) SNCs that have not returned to compliance (i.e., in HWDMS, there is no
"actual compliance date") as of October 1, 1990 as a result of an inspection
that was conducted prior to October 1, 1988 should be reported in this
measure. This number will be recalculated on a quarterly basis using the
same cut-off dates of 10/1/88 and 10/1/90.
R/E-3(c) Report the number of SNCs that are currently undergoing legal proceedings
such as Administrative Law Judge/Chief Judicial Officer hearings and
appeals, or judicial actions which are necessary to achieve final formal
requirements for the SNC to return to compliance. Also to be reported in
this measure are the number of SNCs that are currently involved in
bankruptcy proceedings. SNCs that are currently undergoing ALJ/CJO or
bankruptcy proceedings will be flagged in HWDMS. This measure does not
include those SNCs where a Consent Order is under negotiation. Information
on Consent Orders under negotiation can be deduced from the information
gathered in measures R/E-3(b) and R/E-3(d).
R/E-3(d) SNCs that have had formal final action should have a compliance schedule
incorporated into the Order. The measure is intended to report the number of SNCs
that are on a compliance schedule.
R/E-4(a) SNCs identified during FY 91 will be those Federal facilities that are
classified HPVs according to the revised ERP.
OSWER - 24
3/90
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1991
RCRA Enforcement Definitions
R/E-4(b) Appropriate Enforcement action for a State is a formal Enforcement response
as defined under R/E-2(b). Appropriate enforcement response for EPA is a
Notice of Non-compliance to the Federal agency or a 3008(a) complaint to the
contract operator of a government owned facility.
R/E-4(d) Final regional action is a Federal Facility Compliance Agreement (FFCA); or
a referral of the outstanding compliance issues to the AA, OSWER for
resolution in accordance with the March 24, 1988 Elevation Policy; or a
final order with the contract operator of a governement owned facility; or a
formal regional determination that the facility returned to compliance
within 90 days of issuance of the Notice of Noncompliance, and therefore,
the FFCA or elevation of unresolved compliance issues is not required.
R/E-5(a)
and (b) The number of formal administrative enforcement actions issued to all
handlers will be counted in this measure.
OSWER - 25
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1991
Program Area; Corrective Action
OBJECTIVE
MEASURE
STARS CODE FREQUENCY
Ensure that TSD facilities
with releases take
appropriate corrective
action under either the
permitting or enforcement
programs.
Stage I: Information Collection and Study -
Targets for this Stage count the movement of
facilities into the information collection and
study type activities of the corrective action
process. Progress toward this target is
calculated using CARS data for- the following
activities: RFI Workplan Approved and RFI
Completed.
Stage II: Remedy Development and Selection -
Targets for this Stage count the movement of
facilities into the remedy development and
selection type activities of the corrective
action process. Progress toward this target
is calculated using CARS data for the
following activities: CMS Workplan Approved,
CMS Completed, Corrective Action Remedy
Selected, and Corrective Measures Design
Approved.
Stage III: Remedy Implementation -
Targets for this Stage count the movement of
facilities into the remedy implementation
type activities of the corrective action
process. Progress toward this target is
calculated using CARS data for the following
activities: CMI Workplan Approved and CMI
Completed.
* Indicates a measure for which Regional targets
will be negotiated.
R/J-1*
Q 2,4
R/J-2*
R/J-3*
Q 2,4
Q 2,4
OSWER - 26
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1991
Program Area; Corrective Action
OBJECTIVE
MEASURE
STARS CODE FREQUENCY
Ensure that TSD facilities
with releases take
appropriate corrective
action under either the
permitting or enforcement
programs.
Interim Measures Required
R/J-4
* Indicates a measure for which Regional targets
will be negotiated.
Q
1,2,3,4
.1.
OSWER
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- 27
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1991
Corrective Action Definitions
R/J-1* Stage I: Information Collection and Study. Consider the following activities
to be part of this Stage of the corrective action process: RFI Workplan
Approved, RFI Completed. This measure will count the number of facilities
which have moved into this Stage for the first time. For example - a
facility which has completed an RFA in Ql and has approved a RFI Workplan in
Q2 should be counted toward the Q2 target. However, a facility which began
the year at the RFI Workplan Approved step and has completed an RFI in Q2
would not count toward the Q2 target, because this is movement within this
Stage of the process, not movement into a new stage of the corrective action
process.
R/J-2* Stage II: Remedy Development and Selection. Consider the following
activities to be part of this Stage of the corrective action process: CMS
Workplan Approved, CMS Completed, Remedy Selected, Corrective Measures Design
Approved. Count the number of facilities which have moved into this Stage of
the process for the first time. For example, a facility which has completed
an RFI in Ql and has had a CMS Workplan approved in Q2 would count toward the
target. However, a facility which began the year at the CMS Workplan
Approved step and has completed the CMS in Q4, would not count toward the
target, because this is movement within this Stage of the proces, not
movement into a new stage of the process.
R/J-3* Stage III: Remedy Implementation. Consider the following activities to be
part of this Stage of the corrective action process: Corrective Measures
Implementation Workplan Approved, Corrective Measures Implementation
Completed. The number of facilities which have moved into this Stage of the
corrective action process for the first time will be counted. For example, a
facility which has a corrective measures design approved in Ql and then has a
CMI workplan approved in Q2 would count toward the target. However, a
facility which began the year with a CMI Workplan Approved and completed the
CMI in Q4 would not count towards the target, because this is movement within
this Stage of the process, not into a new stage.
3/90
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1991
Corrective Action Definitions
R/j-4 Interin Measures Required. This measure is a count of the number of
facilities at which Interim Measures are required. The CARS Interim Measures
Required data element will be used to create this count. The event which
currently qualifies in CARS as requiring interim measures is: the date the
director signs the final order, permit or permit modification which requires
the facility to undertake interim measures to remove, abate, or contain
identified releases from the facility.
OSWER -29
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1991
Program Area: Chemical Emergency Preparedness and Prevention Office
GOAL: To prevent accidential chemical releases and to minimize the consequences should they occur.
OBJECTIVE
MEASURE
STARS CODE FREQUENCY
To improve state/local
chemical emergency
preparedness and enhance
their response capability.
Develop the foundation for
Regional chemical accident
prevention program which
will minimize the
magnitude of chemical
releases and enhance safety
practices and procedures.
Report and describe technical assistance and
training activities which EPA conducted,
sponsored, developed, assisted in developing,
participated in, or presented.
Report on number of State or local exercises or
after incident evaluations in which EPA conducted,
sponsored, assisted in developing or participated.
Report number of Accidental Release Information
Program (ARIP) questionnaires sent to and
returned by facilities having releases.
Report on number of chemical safety audits
conducted.
CEP-1*
CEP-2*
CEP-3
CEP-4*
* STAR measure which requires Regional target
Q
1,2,3,4
Q
1,2,3,4
Q
1,2,3,4
Q
1,2,3,4
OSWER-30
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Office of Solid Waste and Emergency Response
FY 1991
CEPP Definitions
SIMULATION EXERCISES are table-top, full field, or functional exercises conducted to test
or evaluate a contingency plan. Regions are expected to provide technical or programmatic
assistance to States or communities to develop the exercise and/or to actively participate
in the exercises (e.g., exercise leader, evaluator, facilitator). Exercise development
should include EPA involvement throughout the planning process for the exercise.
Providing a copy of guidance material does not constitute fulfillment of this requirement.
The Region must write a post-exercise report describing the assistance provided and/or
participation in the exercise and the outcome of the exercise. This report should be held
in the Regional Office and made available for Regional Reviews. Regional assistance or
participation in testing an internal EPA plan will not count towards meeting this measure.
After incident evaluations are EPA and local or EPA, State and local analyses of the
preparedness and response capabilities of a local community for a chemical accident. To
meet this measure, Regions should conduct the analyses with local or with state and local
community involvement.
TECHNICAL ASSISTANCE is the provision of expertise to improve preparedness capabilities
and to stimulate initiatives taken by SERCs, LEPCs and labor, environmental, trade and
professional organizations to prevent accidental releases of chemicals. It includes both
programmatic and scientific assistance. This assistance might be delivered through direct
consultation (in the field with the recipient), workshops, or other means. It does not
include formal training courses or the provision of equipment.
This assistance includes, but is not limited to:
o Assistance in organizing, developing, and implementing preparedness, prevention, or
community right-to-know programs and activities;
o Assistance in organizing and conducting CEPP-related workshops;
o Assistance in development and review of emergency plans (including hazards analysis);
o Assistance in information management or risk communication;
OSWER - 31
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Office of Solid Waste and Emergency Response
FY 1991
CEPP Definitions
o Assistance in development of haz-mat teams;
o Assistance in dispersion modeling and air-monitoring;
o Assistance in evaluation or installation of alarm/alerting systems;
o Assistance in developing and conducting projects for enhancing chemical process
safety;
o Assistance in projects which increase the integration of preparedness efforts and
response activities such as participation in a multi-party local planning/response
team, such as EPA, Coast Guard and local industry;
o Assistance in projects which enhance capabilities of SERCs/LEPCs which are not fully
functioning such as a review of an LEPC, followed by the assistance described above.
TRAINING ACTIVITIES are formal educational presentations using instructional materials and
techniques or exercises such as table-top or field simulations. In-house EPA training for
EPA employees or EPA contractors will not count towards meeting this measure. In order to
meet this measure, EPA must have developed and/or presented the training activity. The
term "EPA" refers to the CEPP office.
ACCIDENTAL RELEASE INFORMATION PROGRAM is designed to accomplish
two basic objectives:
a) To focus high-level management attention on facilities having repeated or
"serious" releases, which may stimulate them to undertake prevention initiatives
on their own; and
b) To provide EPA with accurate information on the causes of releases and the
activities currently underway in the private sector to prevent them from
occurring.
OSWER -
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Office of Solid Waste and Emergency Response
FY 1991
CEPP Definitions
TRIGGERED RELEASES
ARIP is focusing on releases which are "serious." Currently, the criteria or
triggers being utilized to identify "serious" releases are:
o Starting with the fourth release and ending with the tenth release in a twelve-
month period.
o A release greater than 1,000 Ibs. for hazardous substances having RQs = 1, 10, or
100 Ibs. - or a release of 10,000 Ibs. for hazardous substances having RQs = 1,000
or 5,000 Ibs.
o Any release resulting in death, injury, or severe environmental damage.
o A release of an extremely hazardous substance above the RQ.
LETTERS/QUESTIONNAIRES
Once a facility has met a trigger, the Region is required to draft a letter combining the
authorities of CERCLA, SARA, CAA, CWA, & RCRA, send it to the plant manager, along with
the questionnaire EPA has developed. A copy of the response must be sent to Headquarters.
ON SITE CHEMICAL AUDIT is an on-site inspection of the entire process/handling operations
at a site from a safety standpoint. It is an audit of safety procedures, facility
equipment, training and contingency planning, as well as management commitment.
OSWER - 33
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OBJECTIVE
OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1991
Program Area; CERCIA/TITLE III ENFORCEMENT
GOAL: Increase compliance with TITLE III and CERCLA S103
MEASURE
STARS CODE FREQUENCY
Achieve and maintain a high
level compliance with Title
III sections 302, 303, 304,
311, and 312 and CERCLA
section 103.
Inspections and Investigations
Report the number of:
a) investigations of possible violations of CERCLA
§103 and Title III §304*.
b) facility compliance investigations for Title
III sections 302, 303, 311, and 312*.
Violations
Report the number of:
a) violations of Title III §304 and CERCLA §103
identified.
b) violations of Title III sections 302, 303, 311,
and 312.
Enforcement Actions
Report the number of:
a) EPA Complaints, Administrative Orders and
Judicial referrals issued*.
b) State Orders.
C/E-l
C/E-2
C/E-3
1 01,2,3,4-
by State
Ql/2,3,4
by State
Ql,2,3,4
by State
* To be targeted.
OSWER - 34
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Office Of Solid Waste and Emergency Response
FY 1991
CERCLA/TITLE III Enforcement Definitions
Investigation means any follow-up inquiries, such as information request letters,
on-site reviews or inspections to verify a facility's compliance with Title III and
CERCLA Section 103 and which could produce evidence upon which a complaint could
be based. A phone call will generally not be considered an investigation.
OSWER - 35
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OBJECTIVE
OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1991
Program Area; Underground Storage Tanks
GOAL; Regulate underground storage tanks
MEASURE
STARS CODE FREQUENCY
T
T
Support development of, and
review and decide on, UST
state program applications,
in order to both encourage
state-run programs and
ensure adequate national
consistency.
Promote the cleanup of
pollution resulting from
leaking underground storage
tanks.
State Program Approval fUST-1)
Report on the following by Region:
Number of states submitting complete applications
for state program approval.
Number of states with authorized programs.
Cleanup Leaking USTs fUST-21
Report on the following by Region:
Number of site cleanups for petroleum releases
initiated, by either responsible parties or states
(Report separately for responsible party lead,
state lead with Trust Fund money, and state lead
with no Trust Fund money).
Number of petroleum releases under control, by
either responsible parties or states (Report
separately for responsible party lead, state lead
with Trust Fund money, and state lead with no
Trust Fund money).
Number of site cleanups for petroleum releases
completed, by either responsible parties or states
(Report separately for responsible party lead,
state lead with Trust Fund money, and state lead
with no Trust Fund money).
UST-
UST-
Kb)
UST-
2 (a)
UST-
2(b)
UST-
2(c)
Ql,2,3,4
by
Region
Ql,2,3,4
by
Region
Ql,2,3,4
by
Region
Ql,2,3,4
by
Region
Ql,2,3,4
by
Region
OSWER - 36
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1991
UST PROGRAM DEFINITIONS
UST-1: STATE PROGRAM APPROVAL
U)(a) Number of states submitting complete applications for state program approval:
means that the state has submitted an application for program approval and that
the Region has determined that the application is "complete" in accordance with
the application components required by the regulations.' Information reported
should indicate whether the state application is for a partial program (either
petroleum or chemical USTs) or a complete program (both petroleum and chemical
USTs). Quarters 2, 3, and 4 are reported cumulatively.
(1) (*>) Number of states with authorized programs; means that .the state program has
been approved by the Regional Administrator according to the regulations to
operate in lieu of the federal program. This measure includes interim
authorizations. Information reported should indicate whether the state programs
authorization is for a partial program (either petroleum or chemical USTs) or a
complete program (both petroleum and chemical USTs). Quarters 2, 3, & 4 are
reported cumulatively.
UST-2: CLEANUP LEAKING USTs
(2)(a) Number of site cleanups for petroleum releases initiated, by either responsible
parties or states (Report separately for responsible party lead, state lead with
Trust Fund money, and state lead with no Trust Fund money); means the total
number or specific sites at which the state or responsible party under its
supervision has initiated management of petroleum-contaminated soil, OR removal
of free petroleum product, OR management or treatment of dissolved petroleum
contamination caused by a release from an UST. Site investigations and
emergency responses do not qualify as cleanup actions. Report responsible-party
lead, state lead with Trust Fund money, and state lead with no Trust Fund money
cleanups separately. This measure includes all cleanups initiated by a state,
whether involving federal funds under a LUST Trust Fund cooperative agreement or
involving only state funds. (This is a cumulative measure. The number in the
first quarter of FY 1991 should include those sites with actions initiated in FY
1987, FY 1988, FY 1989 and FY 1990.)
OSWER -37
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1991
UST Definitions
(2)(b) Number of petroleum releases under control, bv either responsible parties or
states (Report separately for responsible party lead, state lead with Trust Fund
money, and state lead with no Trust Fund money): means the total number of
petroleum releases from an UST at which the state or responsible party under
state supervision has performed ALL of the following tasks: 1) stopping the flow
of free product into the environment; 2) mitigating any fire and safety hazards
(e.g., abating dangerous levels of fumes in basements of homes and other
effected buildings); 3) managing contaminated soils as directed by the state;
4) determining the presence of free product floating on the water table and
beginning removal of it according to a plan submitted to the state; and 5)
determining whether drinking water supplies are contaminated and assuring that
alternative supplies of portable water are available when the state determines
that the water supplies should not be used. Report responsible party lead,
state lead with Trust Fund money, and state lead with no Trust Fund money
cleanups separately. This measure includes all releases under control by a
state, whether involving federal funds under a LUST Trust Fund cooperative
agreement or involving only state funds. (This is a cumulative measure. The
number in the first quarter of FY 1991 should include those sites with action
completed in FY 1987, FY 1988, FY 1989, and FY 1990.
(2)(c) Number of site cleanups for petroleum releases completed, bv either responsible
narties or states (Report separately for responsible party lead, state lead with
Trust Fund money, and state lead with no Trust Fund money); means that the
total number of specific sites of a petroleum release from an UST at which the
state has determined that no further cleanup actions are necessary at the site.
Report responsible party lead, state lead with Trust Fund money, and state lead
with no Trust Fund money cleanups separately. This measure includes all
cleanups completed by a state, whether involving federal funds under a LUST
Trust Fund cooperative agreement or involving only state funds. (This is a
cumulative measure. The number in the first quarter of FY 1991 should include
those site with cleanups completed prior to FY 1991.)
OSWER - 38
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OFFICE OF PESTICIDES AND TOXICS SUBSTANCES
STRATEGIC TARGETED ACTIVITIES FOR RESULTS SYSTEM (STARS)
FY 1991 MEASURES AND DEFINITIONS
NOTE: OPTS is currently working with the
Regions to review the STARS Measures.
OPTS expects to have final measures
by target-setting time.
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C
OFFICE OF pEgrjcTjiEs ANH TXKIC SUBSTANCES
Program: Pesticides
DRAFT
OBJECTIVE
MEASURE
SPMS COTE
FREQUENCY
Protect health and the environment
from any unreasonable effects from
pesticides currently in use.
Restrict or ban the use of
pesticides posing unreasonable
effects to human health and the
environment.
Establishment of comprehensive data requirements in
data call ins.
Publication of . reregistration eligibility documents or
"other appropriate regulatory actions".
Product specific reregistration (A determination that a
pesticide meets the requirements of section 3(c)(5).)
[This step doesn't take place until up to* 17 months after
the determination of eligibility for reregistration
therefore a target has not been established for FY90. ]
Complete Special Review Decisions.
P-l
0 1,2,3,4
P-2
P-3
0 1,2,3,4
Q 1,2,3,4
P-4
Q 1,2,3,4
OPTS - 1
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r "
OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
Program; Toxic Substances (Headquarter Measures)
DRAFT
OBJECTIVE
MEASURE
SPMS CODE
FREQUENCY
Review all new
chemicals, imposing
controls as
necessary to reduce
risk
Identify potential
risk of suspect
chemicals
Initiate and
promulgate actions
to reduce the risks
from hazardous
existing chemicals
Make the TRI data
base accessible to
facilitate public
access and use
Evaluate quality
of release estimates
provided by indus-
try and identify
areas where
additional guidance
or procedures are
needed
Report on the number of valid new
chemical notices received and actions
taken to reduce risk. Annual estimate
is _ PMNs received (including
biotech and exemptions) and
control actions anticipated.
Report quarterly
under Section 4,
and 8(e).
on reports
5(e), 8(a),
received
8(d),
Complete existing chemicals risk
management actions (includes Section 6
rules, options selection, SNURs, and
Section 9(a) and 9(d) referrals)
Measure cumulative public use of the
National Library of Medicine (NLM)
database (i.e., hours of use). Report
quarterly on number of TRI projects sold
by NTIS/GPO; and number of assistance
at the Title III Reporting Center.
Perform detailed, on-site audits of
randomly selected reporting
facilities to validate reported
figures.
T-l
T-2
T-3
T-4
T-5
Q 1,2,3,4
Q 1,2,3,4
Q 1,2,3,4
Q 1,2,3,4
Q 3,4
OPTS - 3
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r
OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
Program; Toxic Substances (Regional Measures)
DRAFT
OBJECTIVE
MEASURE
SPMS CODE
FREQUENCY
Protect public health
and the environment
by ensuring, through
the States, that
properly trained and
accredited profes-
sionals are available
to counsel school
officials and other
building managers how
to best control or
eliminate asbestos
hazards in buildings
Protect public health
and the environment
by ensuring the
quality of asbestos
accreditation course,
which train asbestos
management and abate-
ment professionals
for the nation's
schools and other
buildings
Assess State PCB
Program enhancement
progress and
activitIPS
Report on the number of approved State
or Territory Asbestos Accreditation
Programs per discipline. Provide
progress reports on States or Territories
that have established programs in any
of the disciplines.
T-9
Report on the number of audits performed
for full approval of asbestos training
courses previously granted contingent
approval. Provide fourth quarter
exception reports explaining why courses
in the universe were not audited for
full approval. Report on the number of
Refresher courses audited.
Provide report on each State in the
Region describing current State PCB
programs.
T-10
T-ll
Q 1,2,3,4
by Regions
Q 1,2,3,4
by Regions
(cumulative)
Q 2
by Regions
OPTS - 5
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DRAFT
OBJECTIVE
OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
Program Area: Pesticide Enforcement
MEASURE
SPMS CODE .FREQUENCY
Achieve and
maintain a
high level
of compliance
Significant Violator - State Primacy (Dynamic. Base)*
For referrals under Section 27 designated as significant in
accordance with the procedures set forth in 40 CFR 173 (pro-
cedures governing referrals), specify on a cumulative basis:
o total number of referrals
o number of referrals pending (timeframe not elapsed)
o number of referrals addressed within timeframe
o number of referrals addressed beyond timeframe
Significant Violator - EPA (Dynamic Base)*
For significant use cases and suspension/cancellation
actions referred from States to Regions or based on EPA
inspections, report on a cumulative basis:
o total number of cases referred/identified
o number of cases addressed
o number of cases closed
*See "Definitions."
P/E - 3
Q 1,2,3,4
OPTS - 7
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DRAFT
DRAFT
OBJECTIVE
OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
Program Area: Toxic Substances Enforcement
MEASURE
SPMS CODE FREQUENCY
Achieve and
maintain a
high level
of compliance
Achieve and
maintain a
high level
of compliance
in Federal
Facilities
Significant Noncompliance - Dynamic Base* (new cases)
For FY 1990 SNC cases, resulting from reviews of
FY 1990 inspections, specify on a cumulative basis:
o number of SNC cases identified
o number of SNC cases opened:**
in 0 to 180 days of inspection date
in 181 or more days of inspection date
o number of SNC cases closed
Federal Facilities
Specify separate data on Federal Facilities for T/E-1,
T/E-3 and T/E-4, as a subset of totals.
* See "Definitions."
** Regional targets will be required for certain cases under
See "Definitions."
T/E-4 Q 1,2,3,4
T/E - 5 Q 1,2,3,4
this measure,
OPTS - 9
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DRAFT
OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
Program Area: Emergency Planning/Community Right-to-Know
DRAFT
OBJECTIVE
MEASURE
SPMS CODE FREQUENCY
Achieve and
maintain a
high level
of compliance
Inspections and Compliance Rates
o Specify the cumulative number of EPA inspections
conducted*
o Specify the number of inspections for which case
review is completed
o Specify the number of inspections found in violation
Enforcement Actions
Specify on a cumulative basis:
o number of administrative complaints issued
o number of civil and criminal referrals (retrieved
from OECM Docket)
Significant Noncompliance Fixed Base** (Pre-FY 1990
open cases)
Identify the number Of significant noncomplier cases
pending** issuance of enforcement action and the
number issued and still open** at the beginning of
FY 1990. Each quarter, report on the status of
this BOY inventory:
o number of pending cases issued
o number of cases closed
* This measure requires quarterly targets.
** See "Definitions."
E/E - 1
E/E - 2
E/E - 3
0 1,2,3,4
0 1,2,3,4
Q 1,2,3,4
OPTS - n
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OFFICE OF ENFORCEMENT AND COMPLIANCE MONITORING
STRATEGIC TARGETED ACTIVITIES FOR RESULTS SYSTEM (STARS)
FY 1991 MEASURES AND DEFINITIONS
-------
OFFICE OF ENFORCEMENT
FY 1991
Program: Federal Activities
OBJECTIVE
MEASURE
STARS CODE
FREQUENCY
Federal Facilities
Compliance Program
Achieve and maintain high
rates of compliance at
Federal facilities through
the A-106 pollution
abatement planning process.
Achieve and maintain a high
rate of compliance of
Federal facilities through a
comprehensive inspection and
enforcement program.
Report the number of additional needed or amended
Class I projects identified as a result of
reported violations/enforcement actions during
last quarterly Current Compliance Check that
require a new needed A-106 project to correct
problem
Report the number of additional needed or amended
A-106 project recommendations proposed to Federal
installations by each media program
Report the number of A-106 recommendations that
have been adequately addressed through valid
responses from Federal agencies
For each media program, report:
a. the FFID numbers and names of Federal
facilities inspected during the quarter, with
dates of inspections;
b. violation status of each inspected facility;
and
c. date and type of enforcement action (with
quarterly updates).
OFA/E-1
OFA/E-2
OFA/E-3
OFA/E-4
Ql,2,3,4
By
Region
Ql,2,3,4
By
Region
Ql,2,3,4
By
Region
Ql,2,3,4
3y
Rec.lon
by media
OE - 1
3/90
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OFFICE OF ENFORCEMENT
FY 1991
PROGRAM: FEDERAL ACTIVITIES
STARS DEFINITIONS
Current Compliance Check; Each quarter, all EPA or State enforcement actions are examined by the EPA
regions to determine if the problems identified require a new needed A-106 project to be added to a Federal
agency's current A-106 environmental plan or if an existing project already in a plan should be amended.
If the region believes such changes should be made, a project recommendation form should be completed and
forwarded to the affected Federal facility and a copy to OE Federal Facilities at EPA headquarters,
Valid Response; A Federal agency has responded to EPA in writing to each project recommendation in one
of the following ways: 1) the Federal agency agrees with the recommendation and adds a new project to -heir
A-106 environmental plan, 2) they agree with the recommendation and inform EPA in writing that the problem
is being handled through one or more existing projects already in the agency plan and identify which project
will correct the problem, or 3) they disagree that a new project is needed and state the reasons why to
EPA in writing and the reasons are accepted as valid by EPA and no further action is taken.
Violation Rates; Those Federal facilities which have been inspected by EPA or States and have identified
or self-reported violations. Also identified is whether the violating facility has subsequently received
a written EPA or State formal enforcement action (e.g. consent order or compliance agreement) or an informal
enforcement response (e.g. warning letter or notice of violation).
OE - 2
3/90
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