United States
Environmental Protection Agency
Region X
Compliance Assurance Program
Responsibility and Procedure Manual
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TABLE OF CONTENTS
Page
Glossary of Acronyms . i-ii
Introduction 1
Summary of the Compliance
Assurance Program 2
Responsibilities
Water Programs 4
•Mr Programs 4
Surveillance and Analysis Division 6
Enforcement Division 8
Management Division * 12
Appendix A: Water Enforcement priorities
Appendix B: Air Enforcement priorities
Appendix C: Materials Relating to Compliance of Federal Facilities
Appendix D: Flow Chart - Air Compliance
Appendix E: Flow Chart - Water Compliance
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i
GLOSSARY OF ACRONYMS
AHMD Air and Hazardous Materials Division, Region X
ACES Air Compliance Evaluation Section, Enforcement Branch
ADP Automated Data Processing
AOO Alaska Operations Office
CAP Compliance Assurance Program
CDS Compliance Data System (Air compliance schedule tracking system)
Enforcement Division, Region X
DEC State of Alaska Department of Environmental Conservation
DEQ State of Oregon Department of Environmental Quality
DMR Discharge Monitoring Report
DOE State of Washington Department of Ecology
DRA Deputy Regional Administrator, Region X
DSB Data Systems Branch
EB Enforcement Branch
EPA United States Environmental Protection Agency
ESD State of Idaho Department of Health and Welfare, Environmental
Services Division
100 Idaho Operations Office
NEDS National Emissions Data System
NPDES National Pollutant Discharge Elimination System
O&M Operation and Maintenance
»
000 Oregon Operations Office
PAA Priority Abatement Area
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RA Regional Administrator, Region X
SAD Surveillance, and Analysis Division, Region X
SIP State Implementation Plan
WCES Water Compliance Evaluation Section, WCPB
WCPB Water Compliance & Permits Branch
WOO Washington Operations Office
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INTRODUCTION
The purpose of this document is to set forth the internal
responsibilities and procedures for Region X in carrying out the
Compliance Assurance Program (CAP). This manual is designed to be
read in conjunction with the individual Region X-State CAP agreements.
These agreements are available from the Enforcement Branch.
Compliance Assurance is the name given to those regulatory activities
undertaken by EPA-State-Local agencies to ensure that sources comply with
permit conditions, compliance schedules, and emission limitations. The
CAP is a means to the end of attaining air and water quality standards
that are set by Congress.
There is an underlying assumption throughout the CAP. That
assumption is that a regulatory presence will help motivate sources
to voluntarily comply with permits and schedules. A regulatory
presence presumes that environmental agencies are concerned about
compliance, that they have the means to determine compliance or
noncompliance, and that they will take measures to deal with non-
compliance. The level of effort and resources expended by a source
in attaining compliance is partly dependent on the perception of this
regulatory presence.
Region X's role in attaining the desired regulatory presence will
depend on a concerted effort by nearly every unit within Region X in
conscientiously carrying out their assigned responsibilities. The
credibility of Region X with the State and Local agencies is at stake
1n that we cannot expect State and Local agencies to give their full
effort to this program if Region X does not live up to its agreements
and commitments. Region X must put forth a cooperative, inter-Divisional
effort toward that end.
A brief summary of the CAP is followed by the responsibilities assigned
to each Division, Branch, and Section.
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Summary of the Compliance
Assurance Program
Conceptually, there are four separate but interrelated elements to
the Region X CAP. The elements are: (1) inspections (2) tracking
(3) enforcement and (4) evaluation. These elements are separated for
the sake of presentation and simplification only. Compliance assurance
is possible only when the conceptual elements are integrated' in a
cooperative fashion. Below is a brief summary of the four elements that
make up the CAP:
1. INSPECTIONS
For both air and water there will be a vigorous inspection program
designed to demonstrate a regulatory presence, determine the credibility
of self-monitoring reports, determine compliance status, maintain compliance,
and locate violators. Each State has agreed to priorities, definitions,
and schedules of inspections. The bulk of the inspections will be
performed by State and Local agencies. Region X's role in the inspection
program is primarily to maintain a quality control function on the State
and Local inspections through joint inspections (with written evaluations)
and analysis of a percentage of final compliance verifications. In
addition, Region X coordinates a water laboratory quality assurance
program.
State and Local agencies are expected to report the sources (by
name) that have been inspected, and the type of inspection performed.
Operations Office and SAD will assist the States when necessary to
achieve minimum inspection coverage.
2. TRACKING
Tracking is the general term for the process and procedures involved
in reporting, recordkeeping, updating, annotating, reviewing, and auditing
information concerning compliance status. Tracking is possible only
through a mutual Federal-State-Local exchange of information which
enables Region X to identify sources, permit stipulations, compliance
schedules, violations, compliance status, and enforcement status. All
NPDES Permits, Discharge Monitoring Reports, and significant air sources
will be tracked. Forecast reports (future actions due) and discrepancy
reports (overdue actions) will be prepared, distributed, annotated and
returned on a 30 day cycle.
3. ENFORCEMENT
Enforcement is defined as any formal action taken to force compliance,
penalize violators, or secure information when voluntary compliance
fails.
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The basic premise of the enforcement program is that all violations
will receive some response or corrective action of some type. Agreements
have been reached with each State that specify the time frame (generally
30-90 days) within which State or Local action must be taken to resolve
discrepancies. Unresolved discrepancies become candidates for Federal
enforcement action. Formal Federal enforcement actions short of referrals
to the U.S. Attorney will be taken on a routine basis by the Enforcement
Division after review by Air and Water Division. The Regional Administrator
will recieve periodic briefings on the status of routine administrative
enforcement actions. However, proposed Federal litigation referrals to
the U.S. Attorney are put through a vigorous screening process before
final action is taken.
First, enforcement recommendations are made by the Operations
Offices if the violation is not resolved by other means in a timely
fashion. Violations that prove insoluble by Operations Offices on a
timely basis will be subject to action initiated by the Enforcement
Branch. The enforcement mechanism employed in response to the Operations
Office recommendation will be determined by the Enforcement Branch.
Second, when its resources are strained, the Enforcement Branch will
prioritize and select enforcement actions on criteria established by the
Air Programs and Water Programs Divisions. Third, during the evidence
gathering process, direct contact (with Operations Office cognizance)
with State and Local agencies will take place to obtain factual and
historical records. If information is gathered that provides additional
mitigating circumstances, or, if State or Local action takes place in
the interim, the Federal action may be deferred. Fourth, before litigation
and referral to the U.S. Attorney for litigation is pursued, the case
and facts will be discussed before the Regional Policy Group. Finally,
the Regional Administrator retains authority over both the overall
enforcement strategy, specific cases, and referrals to the U.S. Attorney.
These agreements and strategies are designed to maintain State and
Local enforcement preogatives (where applicable), insure accomplishment
of the Air and Water strategies, meet Region X's regulatory responsibilities,
and ensure firm but reasonable enforcement when it becomes necessary.
4. EVALUATION
Evaluation is the built-in mechanism to provide for ongoing review
of the CAP. The complex policies, agreements, and procedures will
undoubtedly require modification as the program matures and unforseen
events occur. To facilitate this evaluation, Region X and the States
will meet periodically to discuss general and specific matters relating
to the CAP. Internally, questions regarding the responsibilities of the
various participants will be evaluated and resolved by the RA/DRA and/or
the Policy Group.
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RESPONSIBILITIES
A. Water Programs
1. Develop (and periodically review and revise as necessary)
an enforcement priority strategy that is consistent with
the overall water strategy. This list of priority
criteria is to be applied by the WCPB in
selecting enforcement cases when Branch resources are
overtaxed. This list of priority cirteria is attached
as Appendix A.
2. Assist WCPB Branch Chief in interpreting and
applying the priority criteria.
3. Receive and evaluate copies of the monthly annotated
discrepancy report. Municipal schedule violations and
proposal enforcement actions will be evaluated by the
Grants operations Section for possible construction
Grant implications and recommendations. Prospective
309 order candidates will be noted on the discrepancy
report by the WCPB. If no comments are received on the
prospective enforcement cases within 5 working days
after receipt, WCPB may take that enforcement action without
further notice.
4. Receive and evaluate monthly copy of the Enforcement Action
Data System (EADS) printout showing new and closed water
enforcement actions.
5. Negotiate and update the list of principal sources in
each state.
6, O&M Section receives municipal DMR's reviewed and flagged
by Sad. O&M Section evaluates cause of problem and
recommends appropriate follow-up action (O&M inspection,
operator training, etc.). DMR's recommendations are
returned to WCES within 15 days.
B. Air and Hazardous Materials Division
1. Develop (and periodically review and revise as necessary)
an enforcement priority strategy. This list of priority
criteria is to be applied by the Enforcement Branch in
selecting enforcement cases when Branch resources are
overtaxed. This list of priority criteria is attached
as Appendix B.
2. Assist Enforcement Branch Chief in interpreting and applying
the priroity criteria.
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3. Receive and evaluate copies of the monthly annotated
discrepancy report. Prospective 113 order candidates
will be noted on the discrepancy report by the EB. If
no comments are received on the prospective enforcement
cases within 5 working days after receipt, EB may take
that enforcement action without further notice.
4. Receive and evaluate monthly copy of the Enforcement
Action Data System (EADS) printout showing new and closed
. air enforcement actions.
5. Negotiate and update the significant source list.
6. Coordinate with States to insure that the semi-annual
report does not duplicate the compliance information
already reported in the forecast/discrepancy report system.
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C. Surveillance and Analysis Division
1. Water Medium
a. Inspections
(1) Provide General technical support to WCPB
in water compliance matters.
(2) Conduct joint inspections with State agency
personnel on approximately 10% of the principal
dischargers. Prepare written evaluations of
the joint inspections. It is SAD's responsi-
bility to meet the State agency's schedule once
reasonable notice has been given.
Note: All SAD activities in States are to be coordinated
through the Operations Office Directors. All requests and
responses relating to support requests on compliance
matters are to be directed through WCES. This procedure
is designed to keep WCES and WCPB apprised of all matters
affecting the compliance status of sources.
(3) Conduct case preparation surveys at request of
Enforcement Branch. Arranges for additional
technical support when necessary.
(4) Assist States in attaining inspection output
commitments as requested.
(5) Monitor progress of States in meeting their
inspection schedule.
(6) Assist in negotiating principal source list.
(7) Conduct (or assist Operations Offices in conducting)
inspections of Federal facilities.
(8) Evaluate analytical techniques and procedures
for deviations from the permit specified sample
compositing requirement.
(9) Compare EPA inspection sampling reports with
DMR's as a check on self-monitoring data.
(10) Coordinate regional laboratory quality assurance
program.
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b. Tracking
(1) Review all DMR's from principal sources and a
, percentage of noa-principal DMR's. Compare the
DMR with the permit stipulations and note errors
or violations on the DMR. Non-municipal DMR's
are forwarded to WCES for filing or follow-up
by States/Operations Offices. Violations/errors
of municipal DMR's are forwarded to O&M Section
for recommendation, then' to WCES. DMR's should
be reviewed and returned to WCES within 15 days.
(2) Alaska and Idaho Only:
Prepare a computerized print-out showing all
permitted sources in the States, DMR's due,
and inspection check-off blanks. This print-out
is to be prepared by district in Idaho. The
print-out is prepared monthly and is forwarded
to the States with the forecast reports.
c. Enforcement
(1) Conduct case preparations surveys as requested
by EB.
d. Evaluation
(1) Attend State Evaluations and be prepared to
assess the States' inspection program.
2. Air Medium
a. Inspections
(1) Conduct joint inspections with State and
Local agencies as an audit on routine compliance
inspections.
(2) Audit 10% of all final compliance verifications
through observation or evaluation of test results
performed by State and/or Local agencies. It is
SAD's responsibility to meet the State and Local
agency's schedule once reasonable notice has been
given.
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Note: All SAD activities in States are to be coordinated
through the Operations Office Directors. All requests
and responses relating to compliance support are to be
directed through ACES. This procedure is designed to keep
ACES and EB apprised of all matters affecting compliance
status of sources.
(3) Assist States and Local agencies in attaining
inspection output commitments on request.
(4) Monitor progress of State and Local agencies
in meeting their inspection schedule.
(5) Assist in negotiating and updating significant
source list.
(6) Conduct (or assist Operations Offices in
conducting) inspections of Federal facilities.
b. Enforcement
(1) Conduct case preparation surveys at request of
EB.
c. Evaluation
(1) Attend the State evaluations and be prepared to
assess the States' inspection program.
D. Enforcement Division
1. Division Director
a. Assume overall responsibility for the success of
the CAP. Assure that all NPDES permits and air-
compliance schedules are in compliance or that some
remedial action is being taken for those out of
compliance.
b. Supervise the preparation of recommendations for
referrals to the U.S. Attorney on non-administrative
enforcement actions.
2. Enforcement Branch
a. Branch Chief
(1) Provides administrative control and overall
management of regional enforcement program.
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(2) Provides program direction and operational
control of air pollution stationary source
control activities performed in operations
offices.
(3) Recommends to headquarters of performs, as
appropriate, civil administrative corrective
actions to achieve enforcement objectives.
Coordinates appropriate support by the operating
programs to determine the effectiveness of the
corrective action and the need to schedule
additional action.
(4) Coordinates Federal facility enforcement program.
b. Air Compliance Evaluation Section (ACES)
(1) Act as information center for all air compliance
monitoring activities. Track all sources, with
goal of rapidly determining compliance status
of all sources.
(2) Prepare monthly forecast and discrepancy reports.
(3) Input'and maintain CDS and EADS systems.
(4) Advise Branch Chief of unresolved discrepancies.
(5) Advise Branch Chief if forecast and discrepancy
reports are not returned by States/Operations
Offices within 30 days.
(6) Receive and forward requests for field invest-
igations support.
(7) Ensure that copies of the monthly EADS printouts
and the monthly annotated discrepancy reports
(with proposed air enforcement actions) are
forwarded to the Air and Hazardous Materials
Division Directors and Operations Offices for
the final 5 day review.
(8) Prepare pre-enforcement case files for referral
to the Legal Support Section and subsequent
enforcement action.
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c. Air Technical Compliance Section (ATCS)
(1) Provides technical support to enforcement case
development in air. Provides technical input
to the development of air compliance schedules.
Provides coordination and support to air
compliance personnel in Operations Offices.
Provides specific direction to Surveillance and
Analysis Division related to the performance of
compliance survey and inspection of air pollution
sources. Recommends air pollution control
measures to be sought as a result of enforcement
actions. Performs air pollution stationary
source inspections as required in cooperation
with Surveillance and Analysis Division.
Assists Air Compliance Evaluation Section in
interpretation of compliance data received from
state and local authorities.
d. Legal Support Section (LSS)
(1) Verifies information and evidence supporting
violations reported and recommends administrative
and/or judicial enforcement measures available,
and appropriate for the specific case in response
to enforcement requests. Prepares operative
notices and pleadings with action memoranda to
implement selected action. Serves as Regional
contact for responding violators, prosecutes
EPA's case at any hearings involved, and follows-
up compliance review for orders issued.
(2) Prepares referral dossiers and draft pleadings
on cases referred to U.S. Attorneys for judicial
relief, assists in the legal research and
evidentiary preparation of referred actions,
and serves as liaison for investigative support
for referred actions.
(3) Represents the Regional Office in administrative
hearings (adjudicatory and civil penalties) and
assists on request at Court hearings.
(4) Negotiates agreements as required for settlement
of Agency administrative or judicial enforcement
proceedings.
(5) Reviews and evaluates the enforceability of
permits, compliance schedules, standards and
implementation plans. Provides general legal
support on request by operating programs.
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(6) Coordinates technical assistance needs with
ATCS and WTCS.
3. Water Compliance and Permits Branch (WCPB)
a. Branch Chief
(1) Provides overall policy, administrative control
and management of the Regional Water Compliance
and NPDES Permits Program. Directs the technical
and administrative preparation and technical
justification and support for direct enforcement
actions, adjudicatory hearings, and other
related water activities. Serves as the focus
for Regional activities in all cases of water
permit noncompliance. Issues all permits under
EPA jurisdiction. Provides direction and
obtains support from Surveillance & Analysis
Division in support of water compliance and
permit programs. Refers enforcement actions%
(with supporting material) to LSS.
b. Water Compliance Evaluation Section (WCES)
(1) Acts as information center for all water
compliance monitoring activities. Tracks all
sources with goal of rapidly determining
compliance status of all sources.
(2) Prepares monthly forecast and discrepancy
reports.
(3) Inputs and maintains ADP systems.
(4) Advises Branch Chief of unresolved discrepancies.
(5) Advises Branch Chief if forecast and discrepancy
reports are not returned by States/Operations
Offices within 30 days.
(6) Receives and forwards requests for field
investigation support.
(7) Ensures that copies of the monthly annotated
discrepancy Reports (with proposed water enforcement
actions) are forwarded to the Water Division
and the appropriate Operations Office for the
final 5 day review.
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(8) Assists Water Technical Compliance Section in
preparation of enforcement recommendations to
the Enforcement Branch.
c. Water Technical Compliance Section (WTCS)
(1) Provides appropriate technical review of all
industrial, municipal, and agricultural permits.
Provides technical policy guidance to the States
and Operations Offices on effluent limitations
and other technical requirements of NPDES permits.
Responsible for technical and engineering
preparation of potential enforcement actions
identified through the water compliance evalu-
ation system. Provides the cadre of technical
experts for initiation and defense of enforcement
action, adjudicatory hearing procedures, and the
permit issuance and/or modification process.
E. Management Division
1. Data Systems Branch
a. Provide ADP support to Air and Water compliance
Evaluation Sections.
b. Assist in developing new ADP systems or revising
existing systems at request of ACES or WCES.
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APPENDIX A
(Water compliance assurance priority criteria.)
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APPENDIX B
(Air compliance assurance priority criteria.)
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
SUBJECT: Compliance Assurance Stra
FROM:
TO:
Gary D. Young, Chief
Air Programs Branch
See Below
DATE:
OCT 2 9 1974
The objectives of the compliance assurance program are (1) to ensure
stationary sources out of compliance with applicable SIP requirements
are placed on a compliance schedule and/or are meeting the requirements of
their schedule and (2) to ensure sources remain in compliance which have
been certified to be so. These objectives can be fulfilled by initiating
and implementing an ongoing compliance assurance program which will consist
of a proper balance of (!) source evaluations, (2) compliance schedule development
and (3) enforcement actions. The Compliance Monitoring System should be the
mechanism to track the implementation or need for implementation of these
three elements.
The priorities for implementing any of the three elements should be
in the following order:
[1) geographical location (PAA or non-PAA)
2) source size (as potential emission contribution)
(3) source category (magnitude of total emission contribution)
Attachment A lists the geographical priorities, first in order by State and
second in order region-wide. The source size should be measured as (1) > 1000
tons per year of S02 and/or particulate matter as potential emissions; (2)
>. 100 < 1000 tons per year of S0£ and/or particulate matter as potential
emissions; and (3) >_ 25 < 100 tons per year S02 and/or particulate matter as
potential emissions from sources in PAA's. Attachment B lists thirteen basic
source categories which I feel are in a relative order of importance in
Region X by reason of the total emission impact of the source on a
given area or areas within the Region.
The initial list of sources, by which the elements of the compliance
assurance program should be implemented, should be constructed by the
first two priority categories, i.e. geographical location and source size.
For example, for a State one would list by PAA the names of sources (not
points) in descending order, starting with the largest,by total S02
and particulate matter potential emissions until the potential emissions are
less than 25 tons per year. Such a list has been or will be generated by
Gus Pan*Tier from NEDS data and is either attached or will be sent to you
soon. To this list you should add the obvious omissions, i.e. sources in
the categories listed in Attachment B.
EPA Form 1320-6 (Rny. 6-7?)
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I would hope that by November 12, the date of the monthly Division/Office/
Branch staff meeting, I would have in my posession, the basic source lists
referred to above. I am confident I will have such lists for Idaho and
Alaska. I would hope that we would also have lists for Oregon and Washington
or at least know the scope and magnitudes of the omissions.
Attachments
Addressees: Norm Edmisten, Oregon Operations Office
Steve Provant, Alaska Operations Office
Rick Walters, Idaho Operations Office
Rick White, Washington Operations Office
r^M; A
Anderson
B. Eusebio
D. Shur
0. Underwood
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Attachment A
PRIORITIES
Type I PAA's (by County/Borough)
ORDER BY STATE . ORDER IN REGION
ALASKA
IDAHO
1. Fairbanks 4
2. Anchorage 10
1. Bannock 7
Power
2. Ada 9
OREGON
1. Multnomah 2
Washington
Clackamas
Columbia
2. Lane 5
3. Jackson 6
4. Marion 8
Polk
5. Linn 11
WASHINGTON
1. King 1
Pierce
Snohomish
2. Clark 2
Cowli tz
3. Spokane 3
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Attachment B
STATIONARY SOURCE CATEGORIES
1 - Non-ferrous smelters
2 - Kraft pulp mills
3 - Sulfite pulp mills
4 - Aluminum plants
5 - Power plants £/
6 - Oil refineries
7 -• Chemical plants 3/
8 - Ferrous foundries
9 - Lumber mills =*
10 - Asphalt batch plants .
11 - Power boilers -f
12 - Grain and Seed handling
13 - Sand and gravel £/
14 - Other
a/ - includes fertilizer plants, chlor-alkalai, phosphorous plants, cement
plants, sugar refining
b/ - small fossil-fuel or wood-fired boilers which are not part of another
type source listed
c/ - includes gas-turbines
d/ - Includes plywood plants, hardboard plants, particleboard
e/ - includes concrete batch plants
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APPENDIX C
(Materials relating to the compliance of Federal facilities.)
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l 1
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
SUPJJECT: Federal Facilities Cor.ipliancc With
• Environmental Statutes and Regulations
FROM: John R. Quarlcs, Jr.
• Deputy Administrator
: Nov. 20, 1973
TO:
/s/ John Quarles
All Regional Administrators
I have been pleased to note the aggressive action taken by most
regions in assuring thut emissions from Federal facilities arc covered
by appropriate NhuES pennits and/or air compliance schedules. I would
like to encourage continued pressure in this area so that v;c con
inform the Office of Management and Budget that all Federal facilities
are complying with environmental statutes and regulations and f'lat the
dollars allotted to Federal agencies for pollution abatement and
prevention projects arc being spent in order to meet established time-
tables.
Let me clearly state the EPA compliance strategy for Federal
facilities--it is quite simple:
0 Require Federal facilities to apply for the appropriate
EPA issued NTDHS permits under Section 402 of the FlvPCA
and provide information to State Air Quality Control
Boards in order to determine compliance with State Air
Implementation Plans. If a Federal facility is not in
compliance with State air regulations, the facility should
negotiate a compliance schedule with the State Air Control
Board.
0 In situations where the Federal installations cannot resolve
their problems with the appropriate State authorities, the
F.PA Regional Office will attempt to mediate the situation
between them. If this ir.--diati.on fails and/or the Federal
facility f.-iils to cooperate or comply, I fc^l we should
encourage the use of the administrative procedure of the '
Executive Branch to bring Federal facilities into compliance
by proceeding in the following manner:
•
0 7»ie Regional Af?.'iiinistrator should jna/cc certain that
all possible local channels have been exhausted. If
the problem still exists then,
0 The Regional Administrator will notify the Director,
Office of Federal Activities, who will surface the
problem and attempt resolution with the ''.'ashington
office of the parent agency. If this fails,
SEP 4 1S74
r?.«. r-,,,-. uvr.i {-.». £-72)
ElJFOnCuMn'IT BL'^
-. REGICH X
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0 The Deputy Administrator will refer the matter directly
to the Office of Management and Budget.
A revised Executive Order underscoring this strategy is imminent,.
and the Office of Federal Activities will shortly be seeking the ideas
and assistance of your region in designing the procedures to implement
tliis Order. I expect us lo pursue, in a much'more rapid and effective
manner than lias been the case in the past, the opportunity we now have
to bring issues to the attention of the Federal agency heads and_OMB
for resolution and appropriate action.
«
In general, I am very pleased with the progress we are now making
in getting Federal facilities into compliance.
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DRAFT
AIR COMPLIANCE STRATEGY - FEDERAL AGENCIES
On December 17, 1973, Executive Order 11752 was signed by the
President. This order reaffirmed the responsibilities of Federal
agencies to comply with approved SIP and Federal standards for the
.control of air pollution to the same extent as any other person and
made EPA responsible for coordinating a Federal strategy to achieve
compliance. In addition to requiring Federal agencies to comply with
substantive standards and substantive limitations, the Executive Order
excepted Federal agencies from requirements to comply with administra-
tive procedures respecting the abatement and control of air pollution.
A Federal strategy for achieving compliance with standards is, there-
fore, hinged upon the definition of these three terms. Each is defined
as follows:
Substantive Standards - mean Federal agencies must comply with
all of the following requirements in either Federally promulgated
control regulations or EPA approved State implementation plan
control regulations for both existing and new sources:
1. Effective dates of all emission standards and interim
requirements
2. Requirements for the reporting of achievement of the
following increments of progress to the applicable
control agency:
- date of completion of design and engineering plans
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- date of initiation of construction of abatement
equipment or initiation of moditications of
process designed to abate pollutants
- completion of construction of abatement equipment
or process modification
- date by which final compliance will be achieved
3. Requirements respecting the right of inspection, monitor-
ing and entry to determine compliance status as well as
those requiring recordkeeping to document continued
compliance.
4. Requirements requiring the reporting of information
necessary to determine compliance status.
Substantive Limitations - Federal agencies are required to comply
with all emission reduction standards applicable to both new and
existing facilities which are part of either Federally promulgated
regulation of EPA approved state implementation plan. These
.limitations may be expressed in terms of opacity, mass emission
;rate, concentration, operating practice, control device specifica-
tions, sulfur limits in fuels, etc.
Administrative Procedures - Consistent with the principle of Federal
supremacy embodied in the constitution Federal agencies are not
required to comply with administrative procedures in control regula-
tions which bar the agency from achieving its function. Procedures
Included in this category are:
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1. Application for operating permits which, when revoked,
require the facility to cease operation,
2. Certification of operators of the control equipment or
plant processes, and
3. Rendering of administrative fees for the processing
of permit applications.
Progress that thas been made by Federal agencies to bring their
facilities into compliance with the emission standards pursuant
to the Clean Air Act amendments of 1970 have been obscured by a
reluctance to deal with the large variety of State and local
regulations and by the concern that compliance with the administrative
procedures of the State and local agencies would be Constitutionally
invalid, Implementation of the following strategy will resolve the
uncertainty concerning Federal facility compliance status by
isolating noncomplying sources on the basis of the environmental
priorities and provide a uniform means of accounting and reporting
progress in pollution abatement while preserving the rights of the
State, local agencies, and citizens under the Clean Air Act.
The first focus of Federal agency, EPA, and State control agency
efforts will be to demonstrate "point source" compliance (i.e. those
facilities capable of emitting 100 tons per year of a single pollutant
assuming no controls - it is estimated that these facilities emit
85* of all pollutants from stationary facilities in U.S.). Although
complete inventories of sources are not available for Federal agencies,
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4
It is estimated that the category of emitters will number less
than 500 Installations.
The second priority is nonpoint sources (which emit the
remaining 15% of all pollution). Agencies are no less responsible
for bringing these relatively small polluters into compliance than
they are for the larger emitters. However, in order to demonstrate
the Federal leadership in bringing sources into compliance within
a short time remaining under the Act, the focus of efforts is
directed to those facilities having a significant impact on air
quality. Federal agencies presently committed to a program of
abating pollution from the minor emitters should not cease their
efforts while initial concentration is brought to bear on the
major emitters.
I. POINT SOURCES
Point sources are defined as those facilities with the potential
to emit more than 100 tons per year of a single pollutant. This
category includes the following classes of sources:
- all coal and oil fired steam electric generating
plants
- all coal fired heating and process related boilers
with heat inputs of greater than ten million BTU's
per hour
- all incinerators capable of burning 10 tons or
more per day of refuse
- all open burning operations of agricultural of
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5
municipal waste capable of burning of more than
10 tons of waste per day
- all open burning operations of munitions
- all firefighter training schools which use open
flames to simulate firefighting conditions
- all nitric acid manufacturing operations
- munitions manufacturing plants
- all coal cleaning operations
- all petroleum storage sites having capacities
of two million gallons or greater
- plus any other operations which an agency determines
capable of emitting of more than 100 tons per year
of a pollutant based on calculations from the
publication "Compilation of Air Pollution Emission
Factors" AP-42.
In order to demonstrate and achieve compliance with applicable
standards at the above installations the following steps are
to be undertaken:
1. By July 1, 1974 each agency completes copies of OMB
Form 158-R75 for emission points within each point
source under its jurisdiction. The white copy of this
form should be sent to the applicable EPA Regional
Office, the green copy of the form should be sent con-
currently to the applicable State control agency, and
the pink copy retained for the agency files.
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6
2. By September 1, 1974, EPA Regional Office and State
control agency personnel will complete a coordinated
review of the material submitted on July 1. Additional
information necessary to determine compliance status in
the form of written inquiries on specific aspects of
the process emissions, inspections, or requirements to
perform an emission test will have been determined at
this time.
3. By September 30, 1974, EPA will notify each Federal
facility of the findings made by EPA and State personnel
of the compliance status of the facility. In those
instances v/here additional information is required by
either State or EPA to make a determination of compliance
status, EPA will request the needed information or require
that inspection or test be performed as needed. In any
case, determinations of compliance status will be made
within 60 days of the receipt of information adequate
to make this assessment.
4. A conference will be held between representatives of
the State, EPA Regional Office and Federal agency to
develop a reasonable schedule for facilities violating
emission standards to come into compliance. This
schedule will be embodied in a consent order issued by
EPA to the facility. Increments of progress within the
order will be monitored by both the State and EPA enforce-
ment programs. Notification of the achievement of each
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7
increment of progress 1n the consent order must be mailed
to both the EPA Regional Office and State enforcement pro-
gram within 10 working days of the accomplishment of that
increment. Progress in pollution abatement will also be
reported to OMB through changes in the exhibit #1 form of
the OMB A-78 circular.
II. MINOR EMITTERS
Minor emitters are those facilities v/hich have potential emissions
of less than 100 tons per year. In order to meet the schedules steps
for bringing these facilities into compliance, agencies should initiate
Inventory and emission evaluation programs at the same time as they
commence point source surveys.
The steps taken for point sources are repeated for non-point
sources with the following time schedule:
1. January 1, 1975 - Federal agencies submit survey forms
to EPA and States
2. March 1, 1975 - Initial review complete, bulk of
compliance determinations made (others made within 60
days of adequate information)
3. March 30, 1975 - Non-point sources notified of
compliance status
4. April 30, 1975 - Violations extending beyond this date
require conferences
5. July 1975 - All Federal facilities in compliance or on
schedule (consent orders).
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
40 CFP. 76, Prevention, Control and Abatement
SUBJECT: °- Air ^^"cn fror. roderal Government DATE: jflAY 2 1974
Activities: Performance Standards and
Techniques of Measursmenc
FROl!: AH
TO: All Regional Administrators
This is to infom you that the subject regulation is
in. the process of being rescinded. The milestone dates
for this action are:
May 15, 1974 - Preparation of documentation to
rescind 40 CFR 76.
June 30, 1974 - Publication of the rescinding
order in the Federal Register.
The probable rescission of this regulation should be
reflected" in your future dealings with the Federal facilities
in your region.
The decision to rescind 40 CFR 76 came from a working
group (see attachment) convened to explore ways to eliminate
the inconsistencies between 40 CFR 76 and the Clean Air
Act (CAA) and E.O. 11752. Before arriving at this decision,
the working group explored the options of (1) replacing
the existing 40 CFR 76 substantive standards with standards
and/or procedures for unique activities not clearly covered
by SIP's (e.g. intermittent activities), and (2) replacing
40 CFR 75 with procedural regulations for Federal compli-
ance with the substantive requirements of SIP's, particu-
larly with respect to intermittent acti"\ties.
It was the -unanimous opinion of the group that
promulgation of new substantive standards was not needed
or desirable. It was felt that any such standard setting
for intermittent operations could lead to new conflicts
with the CAA, S.O. 11752, and applicable SIP's. The
latter option, calling for the group to generate procedural
regulations, was rejected on the grounds that the E.O. 11752
working group is currently in the process of developing
such air compliance guidelines.
EPA For-. ;j::-4 ;?.*.. 4-721
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-2-
We are presently preparing an action memorandum to
be presented to the Steering Cormittee in mid-May and
will keep you informed of the progress towards rescission
Of 40 CFR 76.
Sheldon Meyers
Director
Office of Federal Activities
Attachment
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APPENDIX D
FLOW CHART—AIR COMPLIANCE
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COMPLIANCE
REPORTS TO
INITIATING
AGENCY
BEGIN
DEVELOP /APPROVE
COMPLIANCE SCHOL.
ADMIN EWF.
U.S. ATTV
AlR
PROGRAMS
OPS.
OFFICES
ACTIONS REFERRALS
_A 4_
LEGAL SOP.
SECTION]
5 DAY REVIEW OF
ANNOTATED DISCREPANCY
REPORT
CASE REFERRALS
I
ATCS
ACES
SAD
U.S. flTTy RGVFERAUS
BRANCH
PREPARE: FORECAST/
PISCRFPAKICY
REPORTS
SCHEDULED
\NSPECT10MS "* [
LOCAL. STATE-
SAD INSPECTIONS
COMPLIANCE
tkJSPELCHOWS
UNRESOUVL'D VIOLATIONS
COt\PLiAWc£
O.O.
STATe"
LOCAL
UP DATC C DS.EADO
1
0-0.
FCOERAL
LOCAL, STATE, O.O.
REMEDIAL ACTIOPJ.OR*
t
VIOLATION K/OTED
STATUS. ANNOTATE*
PORECAST/OISCREPANCV
BE PORTS 1
KEY
ACES=A1r Compliance Evaluation Section
C0=0perations Office
DSB=Data Systems Branch
ATCS=Air Technical Compliance Section
SAD=Surveillance & Analysis Division
REGION ^>
COMPLIANCE ASSURANCE'
FLOW CHART
A\R
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APPENDIX E
FLOW CHART—WATER COMPLIANCE
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GRANTS
OPERATION
SECTION
rAUNlCIPAU
VIOLATIONS
WATER
PROGRAMS
OPERATIOUS
OFFICES
BEGIN
5 DAY REVIEW OF
ANNOTATED DISCREPANCY
REPORT
ADMIN ENF
ACTIONS
A
SELF -»AONITOR\NG f
REPORTS
W.C.P,©.
US-r-
STATE
SOURCE
DEVELOP/
"APPROVE
PERMIT
I
o.s. ATTY
REFERRALS
1
CASE REFERRALS
W.CE5.
W.TiC.S.
S.AP.
ACTIONS, PERMIT PIELU iNYfsTis«Tio»»5
tl.S,AATTV RErftRAfS CASC
W.C, P.B.
INPUTS TO
ADP
STATE/SAO
msp's
FLAGGED MUMICJPAU
UWRESOUVED VIOLATIONS
J_
1. *
KE
A
i/»Mr.£
WCES
1
DS
t
UPOA1
FEDV. ENFORCEMNTT
STATE/o.0. REMEDIAL,
ACT\ON< OR
V»OLAT»OK) NOTED
O6TERWNE COMPLVAWCE
KEY
WCES=Water Compliance Eval.
Section
WTCS=Water Technical Compliance
Section
SAD=Surve11lance and Analysis
Division
0&M=Operations and Maintenance
00=0perations Office
WCPB=Water Compliance and Permits
Branch
COMPLIANCE
ANNOTATE: FORECAST/
REPORT
RE&IOM X.
COMPLIANCE ASSURANCE
FLOW CHART
WATER
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