c/EPA United States Environmental Protection Agency Office of Solid Waste and Emergency Response DIRECTIVE NUMBER: 7 0 <5* TITLE: Transmittal of the RCRA Ground-Water Enforcement Strategy APPROVAL DATE: EFFECTIVE DATE:7/22 '35 ORIGINATING OFFICE: OWPE Q FINAL D DRAFT STATUS: REFERENCE (other documents): OSWER OSWER OSWER /£ DIRECTIVE DIRECTIVE Dl ------- &EPA United States Environmental Protection Agency Washington. DC 20460 OSWER Directive Initiation Request Interim Directive Number 9905.0 Originator Information Name of Contact Person Steve Heare Mail Telephone Number 475-8115 Lead Office O OERR D OSW D OUST LID OWPE D AA-OSWER ice Dir Approved for Review Date Title Transmittal of the RCRA Ground-Water Enforcement Strategy. Summarv of Directive Strategy to improve compliance at land disposal facilities subject to ground water rponitoring requirements. National consistent baseline of information on Land disposal facilities and assist Regions in implementing Regionally specific efforts. Land disposal facilities,. geoi mrUwafeer monitoring inspections, oafor&cniant- actions baseline information standards Type of Directive (Manual. Policy Directive. Announcement, etc) Strategy Status D Draft 03 Final New LJ Revision Does this Directive Supersede Previous Directive(s)' I I Yes (_ | No Does It Supplement Previous Direciive(s)? PI Yes [j If "Yes" to Either Question, What Directive (number, titlej Review Plan D AA-OSWER D OUST D OERR D OWPE CD OSW D Regions O OECM D OGC C OPPE D Other (Specify) This Request Meets OSWER Directives System Format Date 5-30 Signature of OSWER Directives Officer Date EPA Form 1315-17(10-85) ------- JUL 2 2 MEMORANDUM SUBJECT: iTtansmittal c>f the RCRA Ground-Water Enforcement \S»rat/~ FROM: ' fting Assistant Administrator (WH-562A) TO: Regional Hazardous Waste Division Directors Regions I-X Attached for your immediate implementation is the final RCRA Ground-Water Enforcement Strategy to improve compliance at land disposal facilities subject to ground-water monitoring (GWM) requirements. This policy document, consistent with the FY 86 RCRA Implementation Plan (RIP)/ continues to focus the National RCRA Enforcement Program on those facilities which present the greatest potential environmental risk, particularly land disposal facilities. This strategy was developed in concert with tha FY 86 RIP and it provides a greater level of detail regarding the Agency's management of information regarding land disposal facilities. The Ground-Water Enforcement Strategy incorporates Regional comments on both the RIP and the first draft of the strategy (mailed 6/13/85 and discussed at the last Division Director's meeting on June 18). Additional comments were received from the RCRA Project Officers (RPO's) who met in Headquarters on June 25-26, 1986. There are two parts to this strategy. The first part establishes the priorities for inspections and enforcement actions at GWM facilities. These priorities are completely consistent with the priorities in the FY 86 RIP and are restated here for emphasis. We merged the results of the development of the FY 1986 RIP and the ground-water strategy to produce a single approach responsive to program needs. The second part of the strategy establishes the framework for a greater level of Agency management of the information and data we have and will gather concerning these high priority facilities. This ------- -2- frameworfc requires a greater Regional and, to some degree, Headquarters role in program oversight. As we have discussed in the past, increased activities to protect ground-water are essential at this time. Most Regions have already started to obtain more detailed programmatic and facility specific information. The intent of this strategy is to establish a nationally consistent baseline of information on these facilities and to assist the Regions in implementing Regionally specific efforts. I am relying on your personal involvement to insure that this strategy, in concert with the FY 86 RIP, is quickly implemented. For this strategy to be successful, -implementation must proceed in a cooperative manner between the Regions and States. I do not anticipate that FY 1985 State Enforcement Agreements will need to be changed pursuant to this strategy. OWPE staff and their contractors are available to assist you, as necessary, in some of the data gathering efforts. Your staff can contact Jerry Kotas, Acting Chief of the RCRA Compliance & Implementation Branch (FTS 475-8115) to discuss OWPE assistance. I appreciate your continuing assistance in working together to strive for full program implementation. cc: RCRA Branch Chiefs, Regions I-X RCRA Enforcement Section Chiefs, Regions I-X RCRA RPO's, Regions I-X ------- RCRA GRQUNDWATER ENFORCEMENT STRATEGY Office of Waste Programs Enforcement JULY 22, 1985 ------- I. Background This document establishes a strategy for improving the regulatory compliance at land disposal facilities subject to ground-water monitoring (GWM). The facilities subject to GWM requirements generally pose the greatest environmental risk. For this reason, as stated in the FY 1986 RCRA Implementation Plan (RIP) dated June 28, 1985, these facilities are the highest priority for the RCRA Enforcement Program. This strategy has two sections. The first section establishes the national priorities for inspections and enforcement actions at GWM facilities. These priorities are consistent with the enforcement priorities contained in the FY 86 RIP. These priorities are also consistent with the more general FY 85 Revised RIP, although additional emphasis and data gathering are added. The second section establishes clear roles for both the Regions and Headquarters related only to the GWM facilities. This section addresses three elements of information management: (1) GWM inspection reports and enforcement orders; (2) Regional and HQ facility files; and (3) an integrated data management system for GWM facilities which incorporates HWDMS and other existing systems and adds some limited new data elements. Regarding RCRA land disposal facilities subject to GWM requirements, it is the Agency's policy to: 0 take a formal enforcement action to abate any release of a hazardous waste or constituents posing an immediate threat to health or the environment (that is not addressed by CERCLA) 0 by end of FY 1986, take a formal enforcement action against all interim status land disposal facilities that have not fully implemented ground-water monitoring programs that satisfy both interim status requirements, and final operating permit application requirements, and have not voluntarily come into compliance; 0 support the issuance or denial by November 1988 of all land disposal facility permits; 0 ensure that closed regulated land disposal units comply with closure and post-closure requirements; and 0 ensure Federal facility compliance. ------- -2- The Facility Management Planning (FMP) process will determine appropriate enforcement or permitting actions to be taken. III. PRIORITIES FOR INSPECTIONS AND ENFORCEMENT ACTIONS The Agency and the States have emphasized ground-water protection as a high priority. Our priorities have been set forth most recently in the FY 1986 RIP. These priorities underscore the commitment to protect groundwater. To assure achievement of the priority activities in the RIP,. RCRA inspection and enforcement activities should be oriented toward the FY 86 RIP priorities which are summarized below. A complete discussion and explanation of the following priorities is set forth at pages 8-17 of the FY 86 RIP. It should be noted that the FY 86 RIP contains priorities for inspections and enforcement orders for facilities in addition to the GWM facilities. Those are not changed by this policy. Mandatory Inspection Priorities for Land Disposal Facilities Subject to GWM Requirements 1. Facilities presenting an immediate threat to human health and/or the environment. 2. Commercial land disposal facilities. 3. Facilities with ground-water monitoring systems of unknown status. 4. Facilities with ground-water systems previously determined to be inadequate. 5. Facilities without ground-water monitoring wells. 6. Facilities with ground-water monitoring systems previously deemed adequate. 7. Land disposal facilities in the permit pipeline. 8. Closed land disposal units. ------- -3- Priorities for Taking Enforcement Actions at Land Disposal Facilities Subject to GWM Requirements 1. Facilities presenting immediate or serious threat to human health and/or the environment. 2. Facilities with inadequate well systems. 3. Facilities with no wells. 4. Enforcement orders to support the permitting of land disposal facilities. 5. Other noncompliance with closure and post-closure require- ments, including applicable GWM requirements. IV. MANAGEMENT FOR RESULTS The RCRA Enforcement program is focused on environmental results. The priorities for inspections and enforcement are designed to address the most environmentally significant facilities first, i.e., land disposal, and then to further prioritize actions within that group to move against the biggest or potentially biggest problems first. In addition to focusing inspection and enforcement activities there is also a national need for significantly improved management of the information gathered about land disposal facilities subject to ground-water monitoring. The States and Regions have considerable information on specific facilities, but the information is not always readily available. A goal of this strategy is to obtain necessary information and employ automated data processing that will provide the Agency with a national picture of the status of ground-water monitoring facilities. We expect that the Regional files and consolidated data base described below will be assembled and operational by October 1, 1985. A. Facility Files Improving Agency management of facility information will require considerable cooperation between the States, Regions and Headquarters. By the end of FY 1985 the Regions should have a reasonably up-to-date individual file on most land disposal facilities. Those files should include copies of state and EPA inspection reports and orders, and other relevant ------- -4- submissi-ons. The Regional files, in conjunction with a brief confirming phone call with the State, should be complete enough to determine a facility's general compliance status, including an evaluation of the facility's compliance with applicable ground-water monitoring requirements. In developing and maintaining files, the Regions should obtain information from the States, and as appropriate, should also use authorities such as RCRA §3007 to obtain information directly from owners or operators. State inspection reports and enforcement orders are to be submitted to EPA in final form for purposes of Regional oversight and review for national consistency! not for EPA concurrence. The general objectives of the EPA oversight are to evaluate the quality and completeness of inspection reports and to review the timeliness and appropriateness of State formal enforcement actions. Results of oversight evaluations will be shared with the States. In addition, OWPE will establish a very limited file on land disposal facilities that will contain primarily copies of Regional and State enforcement complaints and orders, copies of selected inspection reports, and copies of other documents obtained through routine oversight activities. Copies of all EPA Regional enforcement complaints and orders will continue to be sent to OWPE. The Regions should obtain copies of formal State enforcement pleadings (equivalent to EPA complaints and orders) regarding violations of ground-water, closure, post closure and financial responsibility requirements, and corrective action at land disposal facilities and send copies to OWPE. Copies of specific State and Regional inspection reports will be periodically requested. OWPE will use the enforcement documents in a general overview of (1) national progress in enforcement actions, (2) procedures for and quality of inspections (3) the national consistency of compliance with the RCRA Enforcement Response Policy, and (4) trends in the quality of enforcement actions, the results of which will be shared with the Regions"! A Regional/State workgroup will be established to help develop procedures and criteria for selecting and reviewing enforcement inspections and orders for cross fertilization and appropriate national consistency. B. Consolidated Data Base During the conference call with the Regional Division Directors on May 9, the need for a consolidated information base to improve oversight and evaluation of compliance monitoring and enforcement activities at land disposal facilities was discussed. Data currently collected on the compliance status of GWM facilities through the State-EPA reporting process may ------- -5- not provide, in all cases, the level of detail essential to address non-compliance of environmentally significant facilities. Hie consolidated data base for land disposal facilities will provide EPA with a slightly more detailed information management tool for land disposal facilities and will rely primarily upon HWDMS data. The purpose of the consolidated data base is to facilitate EPA management and oversight of the compliance of these priority facilities. It is not intended to substitute for the detailed information in files that is needed for enforcement actions. Building a better information base requires the following steps: 1. Determine information needs based on the enforcement strategy and responsibility to more closely monitor activities at land disposal facilities. 2. Determine what information is currently available and assess its reliability; determine what new data needs to be collected. 3. Determine how to collect, quality assure, process, and analyze this information. Implementation of the three steps is as follows: 1) Information Needs; Attached is the list of information needed for each of approximately 1,600 land disposal facilities subject to ground-water monitoring. These data will provide a profile of each facility with information on evaluations focusing on ground- water monitoring systems and closure/post closure plans; ground-water monitoring violations including details on the status of ground-water monitoring systems; and outstanding enforcement actions addressing ground-water monitoring violations. Data elements pertinent to loss of interim status provisions are necessary for managing in the post November 8, 1985 world of RCRA enforcement. This includes certification data and the status of the permit or closure process as appropriate. Finally, information on CERCLA site wastes at RCRA facilities is becoming critical. ------- -6- 2) Existing data and quality; new data needs; The list includes the source of each data item. Much of the data on the list is routinely collected through the State reporting process and is in HWDMS. The quality and completeness of these data vary from Region to Region and State to State. Much of the basic facility information collected via Part A permit applications is already in HWDMS. Part A data should be reviewed to accurately identify facilities subject to ground-water monitoring and loss of interim status provisions. Some detailed information on the status of ground-water monitoring systems was captured through the Congressional survey in early 1985 and automated by Headquarters. CERCLA wastes at RCRA sites data were captured and automated by Headquarters last tail, however, updated information is needed. Some of the information on the list has never been systematically captured and processed on a facility- specific, national basis. These are the new data that will be collected for the first time from the Regions. 3) Procedures to collect, quality assure, process and analyze data; The task at hand is to quality assure existing data and capture new data- This will be achieved through a single operation. The attached proposed schedule includes the major data gathering milestones. The effort must involve both Regions and States to provide the new data and quality assure the current data in existing data bases. OWPE will consolidate existing data into a single data base that will be accessible to the Regions and easy to utilize. Under an OWPE contract, data from HWDMS Regional data bases, the Congresssional Survey, and the CERCLA/RCRA Survey will be linked together by EPA's facility ID number and established as a separate file on the IBM mainframe computer at the National Computer Center at Research Triangle Park. This computer can be accessed by all Regions and Headquarters. Current data will be sent to Regions to be quality assured for completeness, correctness, and timeliness. Quality assurance is very important since future oversight reports on Regional and State ------- -7- performance will assume a thorough assurance of existing data. It will come to the Regions in the form of a computer-generated listing for each land disposal facility. This listing will show all current data available and identify the source of the data (HWDMS, Congressional Survey, etc.). Discrepancies such as where Congressional enforcement data disagrees with HWDMS/CMEL enforcement data will be laid out for resolution. Any corrections of HWDMS data will be made to HWDMS regional data bases by the regions and/or the States, usi established procedures.Headquarters will capture corrections to HWDMS data by re-loading regional data bases at a pre-arranged time. Corrections to Congressional Survey and CERCLA/RCRA Survey data will be submitted to headquarters in specially assigned formats and will be entered into the consolidated data base by OWPE. All data on the consolidated data base is formatted in a software package (SAS) which permits any combination of data relationships to be established and analyzed. This provides flexibility in processing data that is not available using HWDMS alone. Reports and analyses can be routed to Regional printers so Regional managers can make use of the consolidated data. Some Regional ADP staff may be familiar with SAS and can generate reports off the consolidated data base for Regional management staff. Alternatively, requests for reports can be called into Headquarters, generated by OWPE and routed to Regional staff. The goal is to provide a flexible, accessible data base which will serve the Regions. Those Regions and States which have conscientiously collected and processed HWDMS data and reported Congressional Survey data accurately should have few problems with existing information quality. Their burden largely will be limited to providing the new information and updates. Those Regions and States which have not been as successful face a larger work load. OWPE's regional coordinators and contractor staff will work directly with Regional staff and through the Regions with States to help with this process. ------- -8- This.approach is being taken for several reasons. First, a consolidated data base is needed as soon as possible. This can be accomplished only by building on the foundation of existing data bases. It is faster and easier to correct existing data and collect a limited amount of new data than to start from scratch. Second, hardware used must be common to all Regions. It has been suggested that a series of Regional IBM-PC's be used to process this information. However, not all Regional RCRA Enforcement staffs have PC's. It is also unlikely.that staff in all Regions have been trained on IBM-PC's. Third, the data collection and processing infrastructure exists in all Regions. Establishing an entirely different set of procedures is not practical under current time constraints. It is acknowledged that State reporting and HWDMS processing have not been ideal. The current operating environment provides a unique opportunity to address and resolve HWDMS data quality issues. However, there is some information that is not currently being collected in HWDMS. Consequently, the separate data- gathering process for this segment cf information is necessary. 1. Use of the consolidated data base: The purpose of the data collection initiative is to develop a better information base for management, oversight, and program evaluation purposes. Both Regional and headquarters staff will be encouraged to access the data base on an interactive basis to support implementation of the strategy. Examples are: - Generate listings of facilities with no well systems, These facilities are to receive additional attention regarding the November 8, 1985 deadline and loss of interim status. - Generate listings of facilities with known releases along with related enforcement action data. This is to ensure that timely and appropriate enforcement actions are taken, that corrective action can be prioritized, and that data exists for national budgetary purposes. ------- -9- Generate listings of facilities that were reported as in compliance along with evaluation information. Knowing the date and type of most recent evaluation, inspectors can determine which facilities need CME's. 2. Updating of information: In keeping with Regional and State reporting practices since FY 84, the consolidated data base will be updated monthly. For the universe of land disposal facilities which are the focus of the strategy, this will constitute the FY 86 RCRA Implementation Plan State reporting requirements. The Compliance Monitoring "and Enforcement Log will continue to be used to report actions at the balance of facilities not covered by the strategy. Again, this is described in detail in the'RIP. 3. Support in using the consolidated data base. At the outset, in the event that a Region experiences difficulty in using the system, OWPE will provide support. As requested, OWPE will arrange for printouts and send them to the Regions. ------- July 12, 1985 U.S. EPA - Office of Waste Programs Enforcement Consolidated Data Base Information Phase A - To he collected now I. Background Information 1. Facility Name 2. EPA Rac. ID # 3- City and/or County II. Profile Information HWEMS C0101 C0101 com Existing Data Sources CERCLA/ Dlngell RCRA Survey yea yes Old F3S yes New Data GW Strategy SPAR For RCRA Regulated Units, report: 4. 5. 6. 8. n of Landfill units iC of Land Treatment Units H of Surface Impoundments - Storage - Treatment - Disposal § of Class I HW Underground Injection Wells ft of Waste Piles C1801 =D80T =D8l =S04 =T02 =D83 =D79 =S03 Process - Codes Actual # of units for each process •ft, U t* [Note - This Information helps define the universe of land disposal facilities. In some regions where C0305 = D (for Disposal) Is the Indicator for land disposal facilities.] ------- Existing Data Sources HWDMS HWDMS V6 V6.5 CERCLA/ Dlngell RCRA Survey New Data PSS GW Strategy SPAR Is the facility in: 9. Fart 265 Detection Monitoring Where 2401=G C2107=D Where 2101KJ 10. Part 265 Assessment Monitoring C2407=A 11. Is Facility developing data/ plans pursuant to Part 270 Requirements 12. Is Facility developing data/ plans pursuant to Part 270 requirements and Part 265 Assessment Monitoring 13. Is entire facility operating under a waiver from GWM req. It. Has waiver been reviewed 15. Was waiver adequate 16. Has faclltly submitted dellstlng petition Where 2*401=0 Where 2401 =G 2102=5 C2135 exists 02136= Yes 2H76=A 2176=P 2U76=C Where 2*401=G 2U07=W Where 2401=C 2U71=05 Q-19 Q-la Q-la yes yes Derive from #13 and #!'» (If reviewed and approved, It was adequate) Q-la Q-6a Q-6b (This data Is maintained by Jim Popettl of OSW) 17. Is there a fundamental disagreement between EPA/State and facility re regulated units or whether Is disposes of hw Y/N? yes 18. Has facility notified/closure C2402 or 2102 Where 2001=C 2102=13 2107=PC ------- Existing Data Sources HWDMS HWCMS CERCLA/ Dlngell V6 V6.5 RCRA Survey New Data PSS GW Strat. SPAR OWPE will generate data supplied by regions In response to the Dlngell survey: As of 12/84, facility was Judged to have: No wells No wells because It has a waiver from GWM requirements No wells because It was a waste pile and didn't require wells to meet Part 265 requirements An Inadequate well system Adequacy of system unknown or under review An adequate well system Facility not subject to GUM requirements Update Dlngell survey data; per most current Information, facility was Judged to have: 19. No wells 20. No wells becasue It has a waiver from GWM requirements 21. No wells because It was a waste pile and didn't require wells to meet Part 265 requirements 22. An Inadequate well system 23. Adequacy of system unknown or under review 24. An adequate well system 25. Facility not subject to GWM requirements yes yes yes yes yes yes yes Q-2a Q-2b Where 2401=G 2407=X 2107=W yes yes yes yes yes yes yes ------- Existing Data Sources New Data HWDHS HWDMS CERCIA/ Dlngell FSS GW V6 V6-5 RCRA Survey Strat. SPAR For purposes of this data base, CWPE has divided CME's Into three basic components as shown below. The considerations In parentheses are not meant to be all Inclusive. It Is Agency position that requirements for site characterization, well location and design and sampling and analysis pursuant to Parts 26H and 265 are essentially the same, I.e. they are In keeping with the parameters of constituents to be monitored. See Chapter 3 of the Ground Water Compliance Order Guidance. Current HWEMS and planned enhancements provide Information on CME (Eval type 04) overall. 26. Review Hydrogeologlcl study/ Information. (Collection and analysis of hydrogeologlc Information on which system design Is based) Reviewed Where 2311=01 2313 exists Responsible Agency All above yes 2339=S. E,etc. 23l4=S,E,etc. Adequate All above and yea 2331 - 0 yes Date reviewed 2313 27. Well construction and location (# and location of wells, depth and length of well screens, deiagn and construction of wells, etc. Reviewed Where 2311=0*1 yes 2313 exists Responsible Agency All above and yes 2339=S, E.etc. 2311=S,E,etc. Adequate All above and yea 2331 = 0 Date reviewed 2313 yes ------- Existing Data Sources HWDMS HWEMS V6 V6.5 CERCLA/ Dlngell RCRA Survey New Data FSS GW Strat. SPAR 28. Sampling and Analysis Program (adequacy of sampling equipment, sampling protocols and QA/QC protocols) Reviewed Responsible Agency Adequate Date reviewed 29. Has facility detected a statistically significant Increase? Date 30. Has Part B been received? Where 2311=01 2313 exists All above 2339-S, E.etc. All above and 2331 • 0 2313 Where 2101=G 2402=3 2138 Where 2001-P 2102=02 2106 exists 23H=S,E,etc. yes yes yes yes Where 2101=0 2171=03 2179 yes yes Record Reviews of Interim Status Facilities: 31. Have Closure/Post Closure Plans and Cost Estimates been reviewed? Date Reviewed Responsible Agency Were violations discovered? Where 2311=03 and 2333=X or 0 2313 2339 2333=X yes yes yes yes ------- Existing Data Sources HWDMS HWDMS CERCIA/ Dingell V6 V6.5 RCRA Survey New Data PSS GW Strat. SPAR 32. Have Financial Assurance Instruments been reviewed? Date Reviewed Responsible Agency Were violations discovered? Where 2311=03 and 2331=X or 0 2313 2339 2331=X yes yea yes POP each enforcement action taken aa the result or any evaluation or Information obtained from beginning of FY 1981 to date, provide the following: 33. "type of Enforcement Action 2351= NOV/WL 03 3008(a)complaint (or State equlv) 01 3008(a)flnal order ( » " " ) 05 3013 Initial 06 3013 final 07 7003 08 3008(h) CERCLA §106 31. Date of Evaluation 2313 35. Type of Evaluation 2311=01-05 36. Class I Violation area or reason for action P332-2338 37. Responsible Agency 2360=S,E,X 38. Scheduled compliance date 2356 39. Actual compliance date 2357 10. Is facility in compliance with compliance schedule In final order? yea 0-7 16 17 yes yea yes yea yes 0-7 0-7 Q-7 2366=A ------- Existing Data Sources New Data HWCMS HWDMS CERCLA/ Dlngell PSS GW V6 V6.5 RCRA Survey Strat. SPAR Disposition of CERCLA Wastes at RCRA facilities 11. Has the facility received Superfund wastes yes 42. Superfund sites from which waste sent - Site ID# and name ves 11. Date of first shipment yes Q-8 45. Date of last shipment yes ------- Existing Data Sources New Data HWCMS HWDMS CERCLA/ Dlngell PSS GW V6 V6.5 RCRA Survey Strat. SPAR Phase B - Data to be collected at a later time B-l Was Closure certified Where 2001=C yes 2102=15 B-2 Has post-closure permit yes application been submitted 2001=W 2102=7 Date 2106 B-3 Has post-closure permit 2001=W application been Issued 2102=? Date 2106 The following relate to loss of Interim status provisions: B-1 Certification with Subpart P or Where 2001=P yes equivalent State requirements 2102=13 Where 2106 exists Certified all units 2107= CC Certified some units 2107= PC Certification not submitted 2107= NC B-5 Certification with Subpart H or Where 2001=P yes equivalent State requirements 2102=1'! Where 2106 exists Certified all units 2107= CC Certified some units 2107= PC Certification not submitted . 2107= MS Facility unable to obtain Insurance 2109= TBD ------- Existing Data Sources New Data HWEMS HWDMS CERCLA/ Dlngell F5S QW V6 V6.5 RCRA Survey Strat. SPAR Por each facility which did or did not certify compliance with ground water monitoring or financial requirements, has It submitted a: B-6 Part B Application As above B-7 Closure Plan As above B-8 Post Closure Permit Application As above B-9 Has a PA/SI been performed Where 2001= yes (SPAR) 2101= TBD 2105 exists ------- |