United States Office of 21Z-1009
Environmental Protection The Administrator April 1991
Agency (PM-222A)
SERA Agency
Operating
Guidance
FY 1992
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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
III. APPENDIX: Strategic Targeted Activities for Results System
(STARS) FY 1992 Measures
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ADMINISTRATOR'S OVERVIEW
This Annual Operating Guidance outlines EPA's programs for
fiscal year 1992. It provides an overview of the main objectives
for the year for our national programs addressing pollution
prevention, enforcement, management, and science. For EPA and
state program managers in the field, it indicates priorities and
activities that will be tracked by the Strategic Targeted
Activities for Results System (STARS). For senior managers, and
for Hank Habicht and me, STARS is an important quarterly indicator
of EPA's progress, helping us measure our accomplishments, as well
as uncover problems requiring greater attention. We are committed
to continuous improvement of this system to ensure it is
meaningful to all of our work.
We are at a critical juncture in our Agency's history and in
our efforts to protect human health and the environment. Consensus
is building for a new approach to environmental protection, an
approach that integrates the different elements of environmental
management. This approach incorporates environmental
considerations into all aspects of decision making. It is also
expanding the policy and programmatic options open to us. Today,
EPA is in a unique position to assure that the United States
remains a leader in promoting and following environmentally sound
decisions.
During the past two decades, we have relied on traditional
end-of-pipe, regulatory approaches, and they have yielded
substantial results. Today, as concern about environmental
degradation spreads, some of the tasks before us are more complex,
more costly, and more compelling than any we have faced before.
If EPA continues down the familiar path of regulatory controls,
environmental results could become increasingly expensive, returns
marginal, and some problems may be neglected. Alternatively, we
can change the way in which we think about environmental policy,
targeting our limited resources and broadening the range of
approaches we use to protect the environment.
We have a long way to go. Despite notable success, changing
the course of an organization as large and well-established as EPA
is a time-consuming and challenging task for all of us. In
addition, we face scientific, statutory, and resource limitations
on our ability to pursue those actions most critical to protecting
human health and the environment. The Science Advisory Board's
report, "Reducing Risk: Setting Priorities and Strategies for
Environmental Protection," is a ringing endorsement of a new
vision for EPA, and we are already moving in the direction the
SAB's report sets out. Involving and encouraging the best ideas
from all of our people is key to our success.
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This new vision means candidly re-examining our assumptions
and devising new approaches to environmental protection
approaches that call for breaking down the walls between program
offices and between Headquarters and regions. Total quality
management, comparative risk, pollution prevention, geographic and
sector targeting, strategic planning, regulatory clusters,
integrated waste cleanup, a more open, inclusive budget process
all are building blocks for a new vision of the future, and as our
new Strategic Direction brochure declares, "we at EPA are
committed to continuing improvement in the ways we fulfill this
new vision."
Planning and Budetin
I recognize that while setting priorities based on risk and
strategic planning sounds simple, in practice it is difficult.
Yet, it is vitally important that our strategic planning
initiatives focus on critical issues and high priority problems.
We need to address the difficulties in providing resources for
key, cross-cutting environmental problems and give new emphasis to
problems and initiatives identified in the regional strategic
plans. Already there are some important success stories
examples of priorities established in strategic plans that are
reflected in Agency budgets and program plans. For example,
o Risk-based initiatives in Regions I, III and X are being
funded in FY 1992.
o Three major Water themes development of water quality
criteria, ecological indicators, and integrated
geographic initiatives are highlighted in FY 1992.
o The FY 1992 Air program supports aggressive plans for
implementing the new Clean Air Act, as well as for
stratospheric ozone, indoor air, and radon.
o OPTS's priorities reflect major themes such as improving
state and regional programs, food safety, and improved
use of TRI data .
o Major OSWER themes, such as an integrated clean-up
program and state capacity building, are highlighted for
FY 1992.
As we consider new initiatives for FY 1993, we should take
care to identify the specific activities we will undertake and
track in FY 1992. I am asking each Assistant Administrator to
identify innovative program commitments in STARS and the Action
Tracking System (ATS) for the Deputy Administrator, starting in
FY 1992. We are also ready to move to the next stage of improving
STARS measures to ensure they reflect our environmental priorities
and results.
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I encourage you to be creative and innovative in your
thinking. Across the Agency, programs are trying new approaches
to environmental management for example, OAR's use of market
incentives to reduce SOj emissions, and public information
campaigns in indoor air and radon; OPTS's increasing use of
negotiation as an alternative to traditional regulatory
mechanisms; the Ground Water Task Force Report recommending that
we develop comprehensive State Ground Water Protection programs,
with state program guidance to be developed and coordinated among
different programs.
This bodes well for the new way we will have to do business.
We are seeing substantial changes now, and we will see more
changes in the future as the planning process matures.
Changing the Culture
We have made a great deal of progress in taking back control
of our agenda and fostering the kind of institutional and cultural
changes that will enable us to meet the challenges ahead. In
fact, this Agency has been at its best when it has been at the
cutting edge. Our efforts are coming together as part of a single
vision for EPA's future:
o The best way to reduce risk is to prevent it in the
first place, and we are consistently expressing
pollution prevention as our strategy of first choice.
o EPA is improving management through strategic planning,
setting priorities based on risk that will guide our
budget. We, as an Agency, must also know where we want
to go, what we must do to get there, and how we will
know when we do. Therefore, total quality management is
critical to ensure we take advantage of the full
potential of our culturally diverse staff, each and
every employee.
o We will continue to improve our scientific understanding
of environmental risks, solutions, and results with
continued support for research, analysis, and data
management. Our future leadership depends upon building
today the integrated foundation of knowledge and data
for risk-based decisions and measuring environmental
results.
o Both federal and state enforcement programs have grown
steadily over the past several years. Enforcement,
especially the growing multi-media efforts, remains a
requisite for meeting our statutory mandates.
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o The public has become more demanding, and rightly so, in
expecting environmental results, not simply controls.
We must continue to find new and effective ways to
communicate the most up-to-date information on
environmental risk, so that the public understands and
supports the Agency's actions.
o And, of course, doing the best job we can in all the
important, ongoing work of the Agency inspections,
enforcement, issuing permits, writing regulations.
Without question, there are many barriers to overcome and
many challenging demands before us. We can never lose sight of
the tremendous energy and talent we possess and the progress we
have already made. It will be these skills combined with a common
vision for environmental protection that will enable us to
preserve our future environment today.
fcfa
William K. Re
April 1991
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Office of Air and Radiation
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INTRODUCTION
Our highest priority for FY 1992 will be implementing the Clean Air Act Amendments of
1990, signed into law by President Bush on November 15, 1990. These amendments
provide the basis for a comprehensive nationwide program that will ensure cleaner air for
all Americans. The Office of Air and Radiation (OAR) has developed a two-year
implementation strategy for the Clean Air Act Amendments. Attachment A presents
highlights of tiits strategy. EPA is committed to implement the new Act in a cost effective
manner, while ensuring consistency with national energy and economic policies. The
implementation will not only employ traditional approaches for controlling air pollution, but
will also use the power of the marketplace, encourage local initiatives, and emphasize
pollution prevention.
This overview describes the programs needed to effectively implement the Clean Air Act
Amendments of 1990 and other air and radiation priorities.
Environmental priorities. FY 1992 will be a pivotal year in implementing the new Clean
Air Act and in making significant headway toward cleaning the nation's air and preserving
the Qffidronment for succeeding generations. Implementing the Act will not be an easy
task.7 Many of the provisions of the Act are expansive and bold. In some areas, such as
the market-based acid rain program, we will be operating in uncharted waters with few
precedents to guide us. The Act will require all of us to pull together, examining the way
we do our work with an eye toward streamlining our efforts and taking reasonable risks
with new approaches. In addition to implementing the Clean Air Act, we will continue to
develop and implement innovative, non-regulatory programs to reduce public health risks
from radon and other indoor air pollutants and to achieve energy conservation. Also, we
will continue to support efforts to safely handle and dispose of radioactive wastes.
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Our most important environmental goals are:
Bring all cities into health standards attainment.
Cut atr toxics emissions by 70 percent.
Reduce sulfur dioxide emissions by 10 million tons.
Phase-out 100 percent of chlorofluorocarbons (CFCs) by the Year 2000.
Reduce public exposure to radon and other indoor air pollutants.
The first three years of the new Clean Air Act will structure the next 20 years. During this
period we must lay the groundwork for new and innovative approaches to curbing air
pollution. We will have to develop new programs for acid rain, operating permits, clean
vehicles and fuels, and ozone depletion.
We also must build the framework for meeting and maintaining National Ambient Air
Quality Standards (NAAQSs). We will place highest priority on the attainment of NAAQSs
for ozone, carbon monoxide, and paniculate matter (PM-10). We will work with state and
local agencies to develop state implementation plans (SIPs) for 96 areas that do not meet
the NAAQS for ozone, 41 areas that do not meet the NAAQS for carbon monoxide, and
70 areas that do not meet the NAAQS for PM-10.
In addition, we must develop a credible national air toxics program. We will set maximum
achievable control technology (MACT) standards for 189 toxic air pollutants and 400-600
source categories.
Overall, the new Act requires us to promulgate more than 120 regulations by 1995, an
average of 24 per year. Previously, we have averaged five to eight rules per year. In
addition, we must conduct major research programs and carry out over 90 studies.
We will implement the provisions in the 1990 Clean Air Act amendments that allow the
Administrator to treat Indian tribes as states under the Act Tribes meeting the
requirements of the Act and Agency regulations will be able to develop plans for meeting
and maintaining NAAQSs and protecting dean air.
Implementation principles. In spite of the difficulties and challenges we face to
implement the new Clean Air Act, we must succeed. We must make the first three critical
years count by organizing our work and planning our analyses to ensure that we meet
key deadlines. We must also set priorities based upon environmental and health benefits
(risk reduction) and the ability to leverage our resources.
The President's FY 1992 budget request for air and radiation programs includes a 26
percent increase in dollars and a 15 percent increase in workyears over FY 1991. The
increase in dollars includes an additional $24.4 million in grant funds for state and local
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air pollution agencies. This would be a 62 percent increase in grant funds since 1990.
We will face significant challenges in finding, hiring, and training new EPA staff and getting
them on the front lines quickly. State and local agencies will face similar challenges.
Resources are never enough to do the job, but we must find ways to set priorities and
accomplish our objectives.
EPA cannot accomplish this work alone. We will need to form partnerships with state,
local, and tribal governments and recognize the pivotal role that they will play. We must
work and communicate effectively with and seek the involvement and assistance of all
affected parties, including public
^^^^^^^^^^^^^^^^^^^^^^ interest groups, industry, and other
"""^"^^"^^"^^^"^ federal agencies. We must encourage
Form strong partnerships with states and a two-way process of communication,
local governments. recognizing t: importance of involving
_^__^ people early . :d providing them with
""^"""^«^^^ opportunities i participate. We must
actively use formal and informal negotiation processes to explore issues and, where
possible, achieve consensus among interested parties.
We must continually look for and employ methods that accomplish our environmental
goals through the use of market-based incentives. Our initiatives and policies must make
sound economic sense and sustain economic growth alongside a healthy and productive
environment. We must select strategies and programs that reduce or eliminate the
sources of pollution so that costly remedial action will not be required. The
implementation principles that we will follow are summarized on the next page.
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IMPLEMENTATION PRINCIPLES
FOR THE CLEAN AIR ACT OF 1990
Promise of the Clean Air Act
"Every American expects and deserves to breath dean air...."
President Bush
These principles will guide us as we turn the promise of the Act into a
, legacy of dean air
Policy
E9: Achieve and maintain a healthy environment, while supporting strong
and sustainable economic growth and sound energy policy.
Market-based: Use market-based approaches and other innovative
strategies to creatively solve environmental problems.
Build Consensus
Joint Venture: Recognize 'the essential role played by state and local
governments.
Negotiate: Use negotiation techniques to resolve critical issues with other
interested parties, induding other government organizations, industry,
environmental groups, and academics.
Federal Coordination: Work closely with other EPA offices, other federal
agendes, and the Congress to ensure a coordinated approach that will
achieve environmental objectives in the most efficient manner possible.
Management
Deadlines: Establish and meet commitments to effectively implement key
provisions of the Act
Team Effort Work together; attract and retain a diverse and talented work
'force. - " .. ' '..'".. " : :. :-.' :,, ;>' >:'
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ATTAINMENT OF NATIONAL AMBIENT AIR QUALITY STANDARDS
Our strategic goal is to meet NAAQSs in all areas within 20 years, achieving substantial
near-term reductions in criteria pollutants
and precursors, and attaining standards in ^^^^.^mmmmmtmmm^
most urban areas within ten years
("Criteria pollutants" are those pollutants Meet NAAQSs in all areas within 20
for which NAAQSs have been set). years. Achieve substantial early
EPA and state, local, and tribal reductions in emissions.
governments will have a larger arsenal of I^^_^^^^^^BI111I1B-^^_____1___I
tools available to help achieve NAAQSs. "^^^^"1^"^"^"^"11"'^"1^1
The new Act authorizes EPA and state and local agencies to harness the power of the
marketplace to implement the most cost-effective methods for reducing air pollution. We
will emphasize the development of new technologies and fuels. We will empower state,
local, and tribal governments through providing increased grant funds and supporting the
development of permit fee programs.
Ozone/carbon monoxide. Over 135 million Americans live in more than 100 areas
nationwide that exceed NAAQSs for ozone and/or carbon monoxide. Exposure to high
ozone and carbon monoxide levels places individuals at risk to harmful health effects.
High ozone levels also have adverse impacts on vegetation, forests, and crop yields. The
Nation's ozone problem is possibly worse today than when the original framework for
control was established. With further growth in population and vehicle miles of travel
(VMT) and the absence of additional controls in major metropolitan areas, even higher
levels of both ozone and carbon monoxide are possible.
The basic thrust of the new Clean Air Act is to provide for attainment of the NAAQSs
through control of:
Existing stationary sources through applications of reasonably available
control technology (RACT).
New or modified major stationary sources through new source performance
standards (NSPSs) and new source review.
Vehicle emissions through the federal motor vehicle control program
(FMVCP), new fuels requirements, and associated efforts such as vehicle
inspection/maintenance (i/M) programs.
The new Act requires EPA to designate all nonattainment areas in the country and to
classify the areas according to the severity of their air quality problems. Ozone
nonattainment areas may be classified as marginal, moderate, serious, severe, or
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extreme. Carbon monoxide areas may be classified as either moderate or serious. The
requirements for the SIPs that state and local governments must develop vary with the
classification of the area.
For areas classified as marginal for ozone, state and local agencies must prepare
emission inventories, correct RACT rules within six months, correct vehicle I/M
programs immediately, and correct new source review programs within two years.
For areas classified as moderate for ozone, state and local agencies must meet
the requirements for marginal areas, plus plan for a 15 percent reduction in volatile
organic compounds (VOCs) in six years, put RACT on major sources covered by
existing and future control techniques guidelines (CTGs), implement stage II vapor
recovery controls, and implement basic I/M, if not already required.
For areas classified as serious for ozone, state and local agencies must meet the
requirements for moderate areas, plus plan for three percent annual average
reductions in VOC emissions, develop an attainment demonstration, implement
enhanced I/M and clean fuels programs, demonstrate that VMT are consistent with
the attainment demonstration, implement a transportation control measure (TCM)
program (if needed), adopt specific new source review requirements for
modifications to existing sources, and adopt contingency measures for missed
milestones.
For areas classified severe for ozone, state and local agencies must meet the
requirements for serious areas, plus adopt measures to offset VMT growth and
implement a fee program for major sources that fail to attain.
t
For areas classified extreme for ozone, state and local agencies must meet the
requirements for severe areas, plus adopt traffic controls for congested periods.
For areas classified moderate for carbon monoxide, state and local agencies must
prepare an emission inventory, make VMT forecasts with annual updates, adopt
contingency measures, implement basic I/M programs immediately (if not already
required), implement enhanced I/M and develop an attainment demonstration if the
design value for the area is greater than 12.7 ppm, and have an oxygenated fuels
program.
For areas classified serious for carbon monoxide, state and local agencies must
meet the requirements for moderate carbon monoxide areas plus implement TCMs
in two years to offset VMT growth.
In FY1992, the second year of implementation for the new Clean Air Act, EPA and state
and local agencies will focus on the following activities:
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State and local agencies will develop baseline emissions inventories for
ozone/carbon monoxide nonattainment areas, including special gridded
and speciated inventories for ozone modeling.
State and local agencies will continue the development of ozone/carbon
monoxide SIP revisions and operating permit and fee programs.
State and local agencies will continue to systematically replace worn-out
monitors. . ' >:. - -;;;4 >>;...::' ^^.":-:-^.'^-:--':^:.
EPA will continue the development of CTGs for VOC sources, and an
alternative control technique (ACT) guideline for nitrogen dioxide.
EPA will publish new emission standards for 1994-1995 light-duty trucks,
carbon monoxide emission standards for cold temperature areas, and
evaporative emission standards.
EPA must study emissions form commercial and consumer products and
is authorized to regulate such products based on reasonably available
controls. EPA is given broad authority in fashioning appropriate
regulations, including use of economic incentives.
EPA will develop guidance in the use of market-based approaches for
controlling ozone precursor emissions.
PM-10. PM-10 contributes to human respiratory problems; causes damage to the natural
environment, vegetation, and buildings; and contributes to visibility impairment. The
estimated national emissions of PM-10 are on the order of 100 million metric tons per
year. PM-10 and precursors are emitted from traditional industrial sources (e.g., iron and
steel mills, power plants, smelters, and pulp and paper mills), as well as a wide variety of
area sources such as paved and unpaved roads, construction and agricultural activities,
open fires, motor vehicles, and residential wood combustion.
After the promulgation of the PM-10 NAAQSs in 1987, EPA and state and local agencies
concentrated their efforts on developing SIPs for 58 areas with recorded violations of the
NAAQSs or with a high probability of violations. States either submitted SIPs for these
"Group I" areas in FY 1990 or plan to submit the SIPs in FY 1991. EPA required states
with areas having a moderate probability of violating the NAAQSs (Group li areas) to
monitor ambient levels of PM-10 to determine if areas are attaining the standards. Most
states will submit these determinations to EPA in FY 1991. EPA required only procedural
corrections to SIPs for areas with a low probability of violations (Group III areas). States
submitted most of these corrections to EPA in FY 1990.
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The basic components of the PM-10 program required by the 1990 amendments to the
Clean Air Act include:
Develop SIPs for "moderate* nonattainment areas.
Redassrfy to "serious* areas that cannot attain by December 31,1994.
Redesignate to nonattainment any areas with newly identified violations of
NAAQSs.
Develop SIPs for "serious" and redesignated areas.
Maintain air quality once NAAQSs have been met.
Under the 1990 amendments, Group I areas and areas with recorded violations as of
January 1,1990 are designated "moderate" nonattainment areas. A total of 72 areas fall
in this category. States must submit SIPs for these areas within one year of enactment.
The SIPs must demonstrate that the PM-10 NAAQSs will be attained by December 31,
1994 or that attainment by that date is impracticable. States must implement reasonably
available control measures (RACMs) in moderate areas by December 10, 1993. States
also must establish a permit program for construction and operation of new or modified
sources by June 30, 1992.
EPA must reclassify to "serious" any area where states cannot demonstrate attainment
by December 31, 1994. EPA must propose the reclassification by June 30, 1991 and
promulgate by December 31, 1991. States must submit within four years of the
reclassification an additional SIP that demonstrates attainment by December 31,2001 and
that assures the implementation of best available control measures (BACMs). If additional
violations of the PM-10 NAAQSs are identified, EPA must redesignate the areas to
nonattainment States must submit SIPs for such areas within 18 months of the
redesignation. The SIPs must demonstrate attainment by the end of the sixth calendar
year after redesignation or shown that attainment by that date is impracticable, assure
that RACMs are implemented within four years of redesignation, and establish a permit
program for the construction and operation of new or modified sources.
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Activities that we must carry our in FY 1992 to implement the PM-10 program include:
States continue development of SIPs for "moderate" nonattainment areas.
EPA reviews and approves or disapproves PM-10 SIPs submitted by states.
EPA redesignates as nonattainment any area where new violations of
NAAQSs are identified; states develop SIPs for areas.
EPA continues development and publication of RACM and BACM guidance.
EPA implements expanded enforcement/inspection program.
EPA continues review/revision of new source performance standards.
EPA continues review/revision of emission factors.
Lead. Lead is a highly toxic metal that is known to have significant adverse ejects on
fetal development, neurobehavior, and kidney function in children and blood pressure in
adults. Over the years, we have made significant progress in reducing lead air pollution
through the phase-down of lead as a component of gasoline. Recent research has
revealed, however, that the current NAAQS for lead may not be adequate to protect
human health.
Current airborne lead pollution problems are now limited to the vicinity of a relatively small
number of primary and secondary lead smelters. In 1988-1990 violations of the NAAQS
were recorded in 14 out of 25 counties that have
primary or secondary lead smelters. Ambient data ^^^^^^^IM
are insufficient at this time to reliably ascertain air
quality at many remaining sites. We will implement Implement August 1990 lead
a strategy to reduce risks to populations, particularly strategy
children, around these sources. This strategy will ^m^^^^mf^^
include continuous ambient air monitoring around
lead sources, inspections and enforcement actions to ensure compliance with current
SIPs, designation of nonattainment areas where lead standards are violated, and
development of corrective SIP revisions.
We will continue to have a strong enforcement presence in the retail gasoline area to
prevent the substitution of leaded gasoline for unleaded. In addition, we will continue to
work with tf--e petroleum industry to eliminate the remaining lead use in gasoline.
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Sulfur dioxide. Sulfur dioxide can cause adverse changes in respiratory functions and
can induce symptoms in sensitive individuals, particularly asthmatics. Sulfur dioxide also
contributes to damage to the natural environment, vegetation, and buildings, and to
visibility impairment Although substantial reductions in utility emissions of sulfur dioxide
will be accomplished through the acid rain program, a significant number of areas
continue to violate the NAAQS due to emissions from other sources. A total of 50 areas
are designated nonattainment for the sulfur .dioxide NAAQS. Violations have been
confirmed in 12 additional areas currently designated attainment or unclassifiable.
During FY1992, we will work with state and local agencies to revise all sulfur dioxide SIPs
to meet current requirements for programs addressing NAAQSs, acid deposition, visibility,
and other related requirements in a comprehensive, integrated manner.
In FY 1992 we will work with state and local agencies to implement revised stack height
rules and changes to the NAAQSs for sulfur dioxide. We will also designate new sulfur
dioxide nonattainment areas. In addition, we will provide technical and policy support to
states, enabling them to prepare viable SIP revisions, correct SIP deficiencies that hinder
enforceability and adversely affect operating permits, and revise state stack height
regulations and source emission limits. We will ensure that all large utility steam
generating units have installed the proper continuous emission monitoring systems to
minimize excess emissions, establish a record of continuous compliance, and facilitate
implementation of acid rain provisions in the Clean Air Act amendments.
Visibility. By early FY 1992 EPA will promulgate controls on the Navajo Generating
Station located in Arizona. EPA will also establish a visibility transport commission for the
region affecting the visibility of the Grand Canyon National Park. In addition, EPA and the
National Park Service will provide an interim report that identifies and evaluates sources
and source regions with visibility impairment or predominantly clean air in Class I areas.
AIR TOXICS
Ambient air monitoring has c 3ed over 3,000 compounds considered to be potential
air toxics and of possible de 3r to human health. Many of the documented health
problems are alarming, and t e full effects of air toxics exposure are unknown. The
control of air toxics is a priority for EPA and state, local, and tribal agencies because of
the seriousness of the health consequences and the large number of people at risk of
exposure.
MACT Standards. The 1990 Clean Air Act amendments include significant changes for
the national air toxics program. EPA must publish a list of source categories and
subcategories that emit one or more of 189 compounds listed in the new Act. EPA will
accept petitions to add or delete pollutants from the list. The Act provides e Two-step
process for regulating sources that emit any of the 189 compounds. EPA first must
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promulgate technology-based standards and then later review the residual health risks
after the standards have been applied. Within two years from enactment, EPA must
promulgate MAC! standards for 40 source categories. EPA must then promulgate
standards for 25 percent of the source categories within four years, for an additional 25
percent within seven years, and for the remainder within 10 years.
Voluntary Reductions. Sources must achieve compliance with MACT standards within
three years of promulgation; sources may receive an additional year if EPA deems it
necessary. However, sources that voluntarily reduce their air toxics emissions by 90
percent prior to the proposal of a MACT standard have an additional six years to comply.
These provisions were included in the new law to create an incentive for early reductions
in toxic emissions. To ensure both the success of the early reduction program and
enhance coordination between the states and the regional offices, EPA will provide
guidance to the states describing the features and benefits of the early reduction
program. The states will play an active role as sources reduce their hazardous air
pollutant emissions to qualify for compliance extensions. The regional offices will be
responsible for coordinating the development of enforceable commitments with the states.
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Program activities planned for FY 1992 include:
Continue development of Early Reduction Agreements.
Promulgate MACT standards for 40 source categories.
Promulgate coke oven rules.
Grant or deny petitions to add or delete pollutants from the list of 189.
Continue mobile source regulatory program controlling tailpipe and
evaporative emissions, as well as additives in vehicle fuels.
Implement existing radionudide National Emission Standards for Hazardous
Air Pollutants (NESHAPs); evaluate adequacy of Nuclear Regulatory
Commission to meet Clean Air Act goals.
Continue work on MACT standards for 25 percent of source categories.
* Continue development of NSPSs for municipal waste combustion, landfills,
and hospital waste incineration.
Continue development of rules for hazardous waste transfer, storage, and
disposal facilities.
Continue work on utility boiler report to Congress.
Continue work on Great Lakes study.
Complete the mobile source air toxics study for Congress.
Link air toxics to the Toxic Release Inventory (TRI) data.
ACID RAIN
Acid rain causes damage to lakes, forests, and man-made structures; contributes to
redjteed visibility; and is suspected of causing damage to human health. The acid rain
provisions in the 1990 Clean Air Act amendments provide for reducing acid rain precursor
emissions using a "cutting edge" program that may
serve as the prototype for new, more effective ways ^^^^^^^^^^^^^^^^
of addressing health and environmental risks in the ^""""""^""^^
future. The long-term goal of the Act is to reduce Achieve a permanent 10
sulfur dioxide emissions by 10 million tons and million ton reduction in sulfur
nitrogen oxide emissions by two million tons. EPA dioxide
will achieve these emission reduction goals through ^^^^^^^^^^^^^
the innovative market-based approach of the ^^^^"^^^^^^
emissions allowance trading program, which is composed of an allowance allocation
program, an allowance trading program, and a continuous emissions monitoring program.
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In FY 1992 we will issue final regulations for the following:
Issuance of Phase II allowances.
The allowance trading and tracking system.
Fixed price sales.
The baseline for non-utility sales.
Election sources.
Nitrogen oxides standards for tangentially-fired and dry bottom wall-fired
boilers.
Continuous emissions monitoring to account for the mandated reductions
in sulfur dioxide and nitrogen oxides emissions.
Permit requirements for affected sources, including permit approval
procedures.
We will also establish an energy conservation and renewable energy technology reserve
and review applications submitted. In addition, EPA regional offices will coordinate federal
and state permit and implementation activities.
STATE AND LOCAL OPERATING PERMIT PROGRAMS
The FY 1990 Clean Air Act amendments provide for state and local operating permit and
fee programs to enhance the effectiveness of the acid rain, NAAQS attainment, and air
toxics provisions in reducing pollutant emissions. The permit and fee programs will
increase source accountability, provide information to carry out regulatory and market-
based programs, facilitate inspections, and provide adequate funding for state efforts.
In FY 1992 we will work with state and local agencies to develop operating permit
programs. State permit program plans are due to EPA by the end of 1993. We will issue
comprehensive guidance and model permits and undertake outreach and training efforts
to help state and local agencies establish their permitting programs. States and local
agencies will be working with state legislatures to obtain permit program operating
authority. We will design an adequate audit program to assure that the permit programs
are working. The permit program will require modifications in the Aerometric Information
and Retrieval System (AIRS) Facility Subsystem program to handle the data collected.
Lastly, in order to be enforceable, permits must include appropriate test methods and
procedures. We will provide assistance in these areas to state and local agencies and
small sources.
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14
STRATOSPHERIC OZONE DEPLETION
The ozone layer provides a protective covering that shields the earth from harmful
ultraviolet radiation. Depletion of the ozone layer leads to increased penetration of ultra-
violet light (UV-B) from the sun which will result in potentially harmful health effects
including increased incidence of certain skin cancers, cataracts, and suppression of the
immune response system, in addition to health effects, limited studies show that
increased UV-B could cause damage to crops and aquatic organisms.
Current activities are designed to facilitate the transition away from ozone-depleting
chemicals. Key elements of this strategy include:
Implementing Title VI of the 1990 Clean Air Act Amendments of 1990.
Encouraging other countries to participate in reducing the use of ozone
depleting chemicals.
Encouraging the development of ozone-safe, energy efficient alternatives
and the transfer of technology to lesser developed countries.
Under the 1990 Clean Air Act amendments EPA must promulgate regulations within 12
to 18 months requiring recycling, development of safe substitutes, reductions in emissions
of ozone depleting chemicals, labels on products, and bans on non-essential products.
In FY 1992 we will implement the ^^^^BM^^^^^^B
requirements of the new Act and the Montreal Pnase out CFCs ^ halons by tne
Protocol, an international treaty that limits the year 2000
production and consumption of CFCs and
halons. Through this treaty, signatory
countries agreed to haft the production of ^^^^^^^^^^^-1^
CFCs and halons by " e year 2000. We also
will continue to encc - i.^e other countries to join the Protocol. This includes working with
industry on developing new technology and transferring existing technologies among less
developed nations. We will aid developing countries using the multi-lateral facilitation fund
established by the Clean Air Act amendments. We believe that our efforts to assist
developing countries should facilitate decisions by these countries to join the Montreal
Protocol.
We will also continue to support the development of safe and energy efficient substitutes
to replace CFCs and halons in the refrigeration, foam blowing, fire prevention and solvent
industries. We will work with other Agency off ?es to ensure that alternatives are safe and
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15
environmentally acceptable, and that they provide at least the same level of energy
efficiency as the chemicals they are replacing.
RADON/INDOOR AIR
Radon. Radon, a radioactive gas produced by the decay of radium, occurs naturally in
almost all soil and rock. The gas may enter a building through cracks or otr,. openings
in the foundation. We estimate that elevated levels of indoor radon contribute to
thousands of lung cancer deaths each year. Our national radon program goal is to
reduce public health risks by reducing exposure to elevated radon levels in existing
structures and by preventing exposure in new structures. Current program activities
include:
Development of cost-effective radon mitigation and prevention technologies.
Transfer of new technologies to state, local, and tribal governments and the
private sector.
Communication of information and guidance to the public.
Completion of national surveys of states and tribal lands to determine the
magnitude and distribution of the radon problem.
Our FY 1992 radon program provides support for development of comprehensive state
radon programs. States bear the primary responsibility for assisting the public with
information, education, and technical assistance to understand and respond to radon
problems. In FY 1992 most states will have used federal grant funds to establish self-
sustaining radon programs of appropriate scope to address the needs of their citizens.
States will also continue to serve as EPA's primary point of contact for information on
problems and trends at the local level.
Our FY 1992 program will also include the implementation of radon measurement and
mitigation programs for public buildings and homes. We will continue to evaluate and
demonstrate new mitigation and prevention techniques. These new techniques will
include special emphasis on schools and workplaces. We will also evaluate new
measurement technologies in order to address the special needs of schools and
workplaces. We will continue to use the regional training centers to provide transfer of
new technologies to state and local governments and the private sector. The centers will
be one of our primary tools for providing training on indoor radon.
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16
We will continue to promote the adoption of local building codes that provide for radon
resistant construction across the country. We will also work with the building industry to
increase the application of radon resistant building practices. In addition, we will work
with financial institutions to develop policies and standards for radon in houses and to
recommend radon inspections at the time houses are financed.
Indoor air. According to the Science Advisory Board report, "Reducing Risks: Setting
Priorities and strategies for Environmental Protection," indoor air pollution represents one
of the most significant public health risks facing the Agency. The goal of the indoor air
program is to reduce the public's exposure to hazardous air pollutants in all indoor
environments. The primary pollutants of concern include: environmental tobacco smoke
(ETS), volatile organic compounds, biological contaminants, combustion gases, respirable
particulates, lead, formaldehyde, asbestos, and raoon. In FY 1992 we will initiate a
national study of indoor air quality in large buildings. We will also enhance the ability of
our regional offices to address indoor air pollution by providing for at least one full-time
indoor air quality coordinator in each region to respond to the increased public and
private sector requests for information and technical assistance. We will expand our
regional training center network to include targeted courses for specific indoor air quality
audiences.
Electromagnetic Fields (EMF). Our radiation program will continue to evaluate
information concerning the possible relationship between EMF and health effects, working
with the Office of Research and Development. We will also provide material and guidance
for responding to public concerns.
RADIOACTIVE WASTE STANDARDS
Disposal of radioactive wastes. EPA is a major participant in the federal program for
the disposal of radioactive wastes. Radioactive waste includes a wide variety of materials
of different origins, concentrations, and volumes that are categorized as high-level waste,
tow-level waste, mixed waste, and residual radioactivity. Our activities include issuing
standards and guidance to limit human .radiation exposure. The primary health effects
from exposure to radiation increases are the risk of cancer and deleterious genetic
changes.
In FY 1992 we will promulgate standards for the disposal of high-level and low-level
radioactive waste. We will also continue public outreach and risk communication activities
through training, workshops, and seminars. For those radioactive waste areas without
existing environmental protection standards, our goal is to assure an acceptable level of
protection of public health and the environment.
Hazardous waste sites and federal facilities. There are over 20 Superfund sites on the
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17
National Priority List that are contaminated with radioactivity. The Department of Energy
(DOE) has embarked on a major program of environmental restoration for many of its
facilities. In addition, there are about another 1,000 hazardous waste sites containing
nuclear materials. At present, except for uranium mill tailings, no standards for clean-up
or disposal of radioactive waste exist to ensure the protection of public health and the
environment. For those radioactive waste areas without existing environmental protection
standards, our goal is to assure an acceptable level of protection of public health and the
environment.
Site dean-up is a major element of EPA's current program. For sites on the National
Priority List for dean-up under Superfund, we are actively providing radiological assistance
to the Office of Solid Waste and Emergency Response in remediating numerous sites.
For example, we are assisting in the clean-up at the Radium Chemical facility in the middle
of New York City. In addition, the dean-up of DOE facilities is a major challenge in the
future; we expect to be heavily involved in this activity as well.
In FY 1992 we will continue to pursue the promulgation of environmental protection
standards. In the area of Superfund, EPA will remedial? as many listed sites as possible
to acceptable residual levels of environmental contamination. With respect to DOE clean-
up, the primary task for the next several years is to establish a detailed framework for
EPA review of DOE progress. The actual clean-up of these sites will be completed in the
21st century.
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18
GLOBAL WARMING
There is scientific evidence that increasing the concentrations of greenhouse gases in the
earth's atmosphere will cause increases in global temperatures and associated changes
in climate. Although the rate and the extent of climate change is difficult to predict,
scientists have forecast that, if current trends in emissions continue, we can expect a
global temperature increase between 2.5 and 5.5 degrees centigrade by the middle of
next century. Human activities are now increasing atmospheric concentrations of the
greenhouse gases such as carbon dioxide, methane, nitrous oxide, tropospheric ozone,
and CFCs.
The goal of the global warming program is to limit the increase in global temperatures and
associated changes in climate. Current strategies for accomplishing this goal include:
developing options that will reduce emissions of greenhouse gases at some level of profit,
coordinating with industry to ensure necessary concerns are addressed, and identifying
obstacles and designing solutions, where possible.
In FY 1992 we will initiate methane and energy conservation projects to reduce
greenhouse gases. Methane is second in its overall contribution to global warming, next
to carbon dioxide. We will devise a strategy to cost-effectively stabilize emissions of
methane by the year 2000. We will also continue to develop options to reduce emissions
of methane from enteric fermentation, animal wastes, coal mining and natural gas
systems.
Increased energy efficiency will lead to'reductions in carbon dioxide emissions and in
methane emissions from fossil fuel production. There are currently many opportunities
for increasing the energy efficiency in the residential, commercial, and industrial sectors
thrdugh cost-effective changes in technology. Implementation of cost-effective energy
technologies may require the development of incentive programs at the utility level and
elsewhere.
CROSS-PROGRAM PRIORITIES
Compliance and enforcement. There has been a fundamental shift in the approach that
we take in our compliance and enforcement activities. We have encouraged state and
local agencies to target resources to areas of highest environmental benefit and have
urged greater coordination between regional and state enforcement targeting. The 1990
Clean Air Act amendments restructure and strengthen the enforcement authority of EPA
and the states. The Act upgrades authority through more flexible administrative penalties,
as well as tough criminal provisions. We will emphasize balanced use of the full range
of these new administrative and criminal enforcement authorities to maximize our
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19
deterrent impact. New types of programs, such as the allowance program for ozone-
depleting chemicals, the market-based acid rain program, and the state operating permit
program, will require new approaches to enforcement.
In FY1992 we will continue our compliance monitoring and enforcement efforts to ensure
(in concert with the states and, where feasible, with citizen groups) the compliance of SIP,
NSPS, and NESHAPs sources. In light of the new citizen suit provisions, we will examine
ways to make compliance monitoring data, including cross-media, more accessible to the
citizen enforcement community. The asbestos demolition and renovation program
inspections will continue. We will expand the radionuclide compliance and enforcement
program. Efforts to enhance VOC compliance in ozone nonattainment areas will be
continued. In areas of PM-10 nonattainment, resources will be used to review PM-10 SIPs
for enforceability and ensure compliance. Continuous emissions monitors for sulfur
dioxide will also continue to be used for enforcement of installation and proper operation
and maintenance of equipment; enforcement of proper reporting; and directing the
regions and states to use them to target inspections or for direct enforcement where
appropriate. Under the Clean Air Act, resources will be used to conduct inspections and
enforcement of the CFC program, as well as expanding the air toxics program for
benzene.
In cooperation with the Office of Enforcement, we will support special targeted
enforcement initiatives to focus on industries with poor compliance histories and
geographic areas of particular air quality concern. We will continue to emphasize the
Administrator's 25 percent multi-media enforcement goal. This goal will be ac. eved by
actively participating in cross-media enforcement projects, such as the lead initiative; by
promoting regional multi-media inspections, and by supporting regional case targeting,
including the use of historical multi-media compliance case screening.
We will continue to achieve compliance with the motor vehicle emission standards by
performing surveillance and confirmatory recall testing, conducting gasoline refining and
distribution system audits and fuels inspections. We will also enforce the diesel fuel
quality requirements. Emphasis will be placed on overall fuel quality and reformulated
gasoline. Audits of I/M programs to assure that they are operating as designed will
continue and be expanded. The Clean Air Act amendments enhance and expand the
number of I/M programs as efforts get underway to bring nonattainment areas into
compliance with NAAQSs.
Pollution prevention. We will emphasize prevention of pollution throughout as the first
choice in environmental protection. The new Clean Air Act increases the opportunities
for making pollution prevention a routine consideration in carrying out our programs,
reinforcing the major efforts already underway. For example, air toxic emissions will be
sharply reduced or eliminated through M ACT standards that emphasize process changes,
materials substitution, dosed systems, and modified work practices. In addition, we will
carry out other initiatives for recycling CFCs under the ozone depletion program,
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20
encouraging energy conservation under the global warming program, and developing
model building codes that inhibit elevated pollutant levels under the radon and indoor air
programs. We also intend to explore the opportunities for facilitating pollution prevention
through settlement agreements in enforcement actions, as well as analyzing concluded
settlements in order to assess the effects of pollution prevention conditions.
Great Lakes. The new Clean Air Act amendments require the Agency to identify and
assess the extent of atmospheric deposition of hazardous pollutants to the Great Lakes.
In carrying out these provisions, the Agency must develop a monitoring network to
measure atmospheric deposition of hazardous air pollutants, investigate the sources and
deposition rates of the pollutants, and evaluate any adverse effects to public health or the
environment caused by the deposition. We will coordinate with other offices in the
implementation of these requirements.
Indian Tribes. Our assistance to tribes will build on the success of past efforts. We will
continue to support tribal air quality monitoring that provides a basis for evaluating and
addressing air quality problems on tribal lands. We will also continue to provide
assistance in measuring levels of indoor radon.
MEASURES FOR ENVIRONMENTAL RESULTS
The OAR strategic plan identifies 58 potential environmental indicators. Of the total, 18
indicators are now in use, two are under development, the remaining 38 are proposed.
Half of the in-use environmental indicators are derived from air quality measurements
made by state networks for monitoring NAAQS criteria pollutants.
During FY1992, we will develop new environmental indicators that take new approaches
to addressing air and radiation problems. For example, indicators for the market-based
acid rain program to assess its effectiveness in reducing acid deposition, improving
visibility, and reducing ecosystem changes.
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ATTACHMENT A
OFFICE OF AIR AND RADIATION
ASSISTANT ADMINISTRATOR'S OVERVIEW
CLEAN AIR ACTiAMENDMENTS OF 1990
IMPLEMENTATION SCHEDULE HIGHLIGHTS: THE FIRST TWO
YEARS
Communications Focus
Regulatory Activities
^toting Surtat:^^ ^~jr
1 StateALocal* : ,. ^
lKaponsS>mUs : **? - ,.
?. . . .* » * A *: , .
|- Building Consensus H^'"^» ;
^r^u^^:Ri^teSanf ^.^^^ -^ ,
i
ptormft £cpvn
DEC
1990
JAN
1991
FEB
1991
MAR
1991
APR
1991
Title I Nonattainment'
luue "Getting Started" Letter to Governors
STATES Submit Request/Justification Tor
5% Classification Adjustments
Publish Two- Year Implementation Strategy
Title I Noaattaimaent:
Publish Notice of Initial PM-10 Moderate
Nonattainment Areas
Initiate Additional PM-10, SO* Lead Designation
Process
Title I Nonattainment'
Act on 5% Classification Adjustment Requests
Title I Nonattainment:
STATES Submit Nonattainment Area Designations
Title III -Air Tones:
Publish Draft Chemical List Petition Procedures
Publish 90/95% Early Reduction Guidance
Propose List of High Risk Pollutants (Leaser
Quantity Cutoffs, 90*95% Early Reduction)
Title I Nonattainracnt:
STATES Submit PM-10 Areas Unable to Attain by 1994
STATES Respond to List of PM-10, SO,, Lead
Nonattainment Areas
Tule HI - Air Toxics:
Publish Draft List of Source Categories
Title V Permits:
Propose Stale Permit Regulations
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Communications Focus
Regulatory Activities
,i J"* v-v XCVv^J^i
MAY
1991
Tale I Nonattainment:
STATES' Deadline for Reasonably Available Control
Technology Requirements (Deficiency Corrections)
Notify STATES of latent to Modify Suggested
Boundaries
Publish Guidance on Stationary Source CO Contributions
Finalize Criteria to Measure Ozone Transport
Title H . Mobile Sources:
Finalize Gasoline Reid Vapor Pressure Regulations
Finalize Tier I Car and Track Standards
Propose Reformulated Gasoline Requirements
Propose Clean Fuels Fleet and California Pilot Credit
Programs
Propose Urban Bus Regulations
Prdpose Emission Control Diagnostic Rule
Title HI Air Tones:
Propose Standards for Large Municipal Waste
Combustors
Publish Final Chemical List Petition Procedures
Title IV - Acid Rain:
Propose Regulations for Auctions and Sales
Title VI - CFCs:
Propose CFC Phase-out Regulations
JUNE
1991
Title I
Propose PM-10 Area Redassifications
Title VI CFCs:
Propose Mobile Air Conditioning Recycling Regulations
JULY
1991
Title I Nonattainment:
Propose Revisions to New Source Review Program
Finalize Ozone, CO Nonattainment Boundaries
Finalize List of Additional PM-10 Nonattainment
Areas and SO» Lead Designations
Tide V Permits:
Publish Guidance on State Assistance to Small
Businesses
Title VII Enforcement:
Propose Administrative Penalties Rules of Practice
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Communications Focus
Regulatory Activities
..
Quality Standards
X *
z£
AUG
1991
Title I Nonattainment: .
Propose PM-10 Reasonably Available Control Measures/
Best Available Control Measures Guidance
Issue Transportation Planning Guidance
Publish Title I General Preamble
Publish 1990 Air Quality Data
Title II Mobile Sources:
Publish Marketable Gasoline Oxygen Credit
Guidelines
Title VII Enforcement:
Propose Rules for C*t«en Suits
I Rain
SEPT
1991
Tale IV Acid Rain:
Propose Emission Trading System
Propose Acid Rain Permit Program
Propose Continuous Emission Monitor Requirements
Propose NOx Requirements for Utility Boilers
Propose Conservation and Renewable Incentives
Title VI - CFC*
Finalize CFC Phase-out Regulations
OCT
1991
Title I Nonattainment:
Publish VOC and CO Emission Inventory Guidance
Title II Mobile Sources:
Finalize Cold Temperature CO Standards
Publish Study on Non-road Engines
Title m- Air Tories:
Propose Maximum Achievable Control Technology for
Coke Ovens
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Communications Focus
Regulatory Activities
Air
NOV
1991
Title I Nonattainment:
Propose Tank Vessel Rule
Publish Coafonnity Criteria
Publish Guidance oa Control Cost-effectiveness
STATES Submit PM-10 State Implementation Plans
Publish Outer Continental Shelf Rule
Publish Guidance on *"fpcction/M*'"f*f|*np*>
Programs
Publish Guidance on Transportation Control
Measures
Tide n - Mobile Sources:
Propose dean Fuel Vehicle Standard
Finalize Vehicle Evaporative Emissions Regulations
Finalize Onboard Controls
Finalize Reformulated Gasoline Requirements
Finalize Urban Bus Regulations
Finalize dean Fuels Fleet and California Pilot
Credit Program
Title HI Air Toxics:
Publish Final List of Source Categories
Propose Guidance for Modification Provisions
Publish Draft Regulatory Schedule for All Source
Categories
Finalize Standards for Large Municipal Waste
Combustors
Propose List of Substances for Accidental Releases
Prevention Program
Propose Maximum Achievable Control Technology for
Hazardous Organic Chemical Manufacturing
Propose Maximum Achievable Control Technology for
Dry Cleaners (per court order)
Finalize List of High Risk Pollutants (Lesser
Quantity Cutofi, 90%/95% Early Reductions)
Title IV- Acid Rain:
Finalize Regulations for Auctions and Sales
Tide V. Permits:
Finalize State Permit Regulations
Propose Federal Permit Regulations
TkkVI-CFCi:
Ban Konestential Uses
Fmahze Mobile Air fy^^u^u.g Recycling Regulations
Tide VII Enforcement:
Propose Rules for Field Citation Program
Propose Rules for Contractor Listing
DEC
1991
Revise Two-Year Implementation Strategy
Tide I - Konattainment:
Finalize PM-10 Area Pf^**rf**ftt'o>|T
Tide IV- Acid Rain:
Propose List of Phase D Utility Allowances
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Communications Focus
Regulatory Activities
\TEnfaiement > ''-" -^*~
JAN
1992
FEB
1992
MAR
1992
APR
1992
MAY
1992
JUNE
1992
JULY
1992
Title III Air Tones:
Propose Standards for Small Municipal Waste
Combustors
Title VII Enforcement:
Finalize Administrative Penalties Rules of Practice
Title III - Air Toxics:
Propose Maximum Achievable Control Technology for
Chromium Electroplating
Title VII Enforcement:
Propose Monetary Awards Rules
Title HI Air Toxics:
Propose Maximum Achievable Control Technology for
Commercial Sterilizers
Title III Air Toxics:
Propose Maximum Achievable Control Technology for
Asbestos
Title I - Nonar ainment:
Finalize PM-lO Reasonably Available Control
Measures/Best Available Control Measures Guidance
Finalize Revisions to New Source Review Program
Finalize Rules for Ozone, NOx, VOC Enhanced
Monitoring
Title II Mobile Sources:
Finalize Emission Control Diagnostic Rule
Publish Mobile-Source Related Air Toxics Study
Title III -Air Toxics:
Finalize Guidance for Modification Provisions
Title IV Acid Rain:
Finalize Emission Trading System
Finalize Continuous Emission Monitor Requirements
Finalize NOx Requirements for Utility Boilers
Finalize Conservation and Renewable Incentives
Finalize Acid Rain Permit Program
Title V Permits:
Finalize Federal Permit Program
Tale VI - CFCK
Finalize CFC and HCFC Labelling Regulations
Tide VII Enforcement:
Propose Rules for Compliance Certification
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Communications Focus
Regulatory Activities
j^££5Zi£&
AUG
1992
SEPT
1992
OCT
1992
NOV
1992
DEC
1992
Title I Nonattainment:
Publish 1991 Air Quality Data
Title VII Enforcement:
Finalize Guidance/Rules for Citizen Suits
Title m Air Tories:
Finalize Maximum Achievable Control Technology for
Coke Ovens
Title I Nonattainment:
Finalize Tank Vessel Rule
Finalize Rules for Economic Incentives Program
Propose First Set of NSPS Rules
STATES Submit RACT Catch-up Rules, NSR Rules, CO
Attainment Demonstration, and Contingency Measures
STATES Submit Base Year Ozone/CO Emission
Inventories
Title n - Mobile Sources:
Finalize Clean-Fuel Vehicle Standards
Determine Significance of Non-road Engine
Emissions ~
Title m- Air Toxics:
Finalize Maximum Achievable Control Technology for
Dry Cleaners (per court order)
Finalize Maximum Achievable Control Technology for
Hazardous Organic Chemical Manufacturing
Finalize Regulatory Schedule for All Source Categories
Finalize List of Substances for Accidental Releases
Prevention Program
Title VI -CFCs:
Finalize Safe Alternatives Program
Title VH . Enforcement:
Finalize Guidance/Rules for Field Citation Program
Finalize Guidance/Rules for Contractor i-fo^g
Finalize Rules for Monetary Awards
Title m- Air Tories:
Finalize Standards for Small Municipal Waste
Combustors
Tide IV - Acid Rain:
Finalize List of Phase H Utility Allowance*
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Office of Water
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TABLE OF CONTENTS
PAGE NUMBER
I. ASSISTANT ADMINISTRATOR'S OVERVIEW . . 1-12
III. STARS MEASURES AND DEFINITIONS OW-1 - OW-53
1. Public Water System Supervision (PWSS)
2. Ground-Water Protection
3. Underground Injection Control (UIC)
4. Office of Marine & Estuarine Protection
5. Office of Wetlands Protection
6. Office of Water Regulations & Standards
7. Office of Water Enforcement & Permits
8. Office of Municipal Pollution Control
IV. SUPPLEMENTAL GUIDANCE OW-1 - OW-4
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OFFICE OF WATER
ASSISTANT ADMINISTRATOR'S OVERVIEW
INTRODUCTION
The water portion of the Agency's FY 1992 Operating Guidance
provides national direction to EPA, States, Indian Tribes, and
the regulated community in implementing 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), as
amended by the Water Quality Act of 1987; and the Marine
Protection, Research and Sanctuaries Act (MPRSA), as amended by
the Ocean Dumping Ban Act of 1988; Shore Protection Act; Marine
Plastics, Pollution, Research and Control Act; and the Coastal
Zone Management Act, as amended. The Agency and the States also
implement programs to protect ground-water quality through
provisions under several different statutes. FY 1992 represents
the first year of implementing the Office of Water's Four Year
Strategy For Fiscal Years 1992-1995.
PROGRAM DIRECTIONS AND PRIORITIES
In FY 1992 the OW program will continue emphasis on sustaining
ecological resources and protecting human health and welfare
through the protection, restoration, and enhancement of the
Nations water resources: rivers and streams, lakes, coastal and
marine waters, wetlands, ground water, and public drinking water
supplies.
The FY 1992 water quality program continues our efforts to meet
legislative requirements and presidential mandates related to
toxic contamination, nonpoint sources, wetland losses, coastal
and marine pollution, storm water, combined sewer overflows
(CSOs) and enforcement. Our programs are designed to reduce risk
and protect the Nation's waters, living resources, critical
habitats, and the Federal investment in municipal wastewater
treatment. In 1992, water programs will increasingly use the
following hierarchy for protecting water resources: natural
resource conservation, source reduction, recycling and reuse,
treatment and disposal.
Our Strategy recognizes that existing controls must be maintained
at needed levels if the gains we have achieved are not to be
eroded, but it also recognizes that the national regulatory
approach, by itself, is not adequate to address site specific
problems in critical watersheds. The strategy introduces
geographically targeted approaches to improve water quality in
critical areas that protects the improvements already achieved
and builds on State and local efforts to protect valuable surface
and ground waters.
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We will work with States and Regions to identify site-specific
problems and solutions, using tools available across water
programs and involving those outside of the water program. This
strategy promotes increased integration of other Federal, State,
and local agency programs by using their expertise and resources
to develop multifaceted and cost effective solutions. This
approach also includes stressing effective use of the information
we collect to make program decisipns by sharing of data across
EPA programs and Federal Agencies. We will also place increased
emphasis on improving the science of ecological protection by
developing ecological indicators and criteria to improve our
ability to identify and reduce ecological risk and measure
success across programs. Priority will be given to improving the
scientific basis for future actions through research in key areas
including: toxics, sediments, and wetlands.
The drinking water program will continue to aggressively
implement the new drinking water regulations, concentrating on
the surface water treatment rule, the lead and copper rule, and
the Phase II (inorganic and organic contaminants) rule.
Enforcement of the new regulations as they become effective will
be a high priority. The drinking water program will continue to
emphasize the need for a strong, effective enforcement program at
both the State and Federal levels. Regions will encourage States
to explore system restructuring as part of an enforcement action,
and will negotiate with States for this activity. Regions will
work with States to insure that the new regulations are adopted
and implemented in a timely manner. The program will place
training of public water system operators on the new requirements
as a high priority and will continue to work with outside groups
(e.g., NRWA, AWWA) to accomplish this. We will enforce PWS
standards for protection of public health when States fail to
take action because they have not achieved primacy for the new
rules, have given up primacy, or lack the resources to take
appropriate action.
The Office of Water's introduction of geographically targeted
approaches to improving water quality will insure that drinking
water supplies are protected and that suppliers of water comply
with regulations in effect. Of particular concern are shallow
wells in identified wellhead protection areas. With the
relatively recent establishment of the specific ground water
program area, ground water initiatives should be addressed
vigorously and vigilantly in order to continue the momentum
needed to cohesively integrate ground water where appropriate
into the overall agency mission.
The Underground Injection Control program will place greater
emphasis on Class V wells that pose the greatest risk to
underground sources of drinking water, on Class IV wells, and on
Class I hazardous waste wells impacted by the RCRA land ban.
Increased emphasis on pollution prevention will complement our
water quality program. Prevention offers additional tools to
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help us move beyond what is achievable with end-of-pipe fixes,
giving us greater capability and greater flexibility to
address localized problems requiring more stringent control. Our
ultimate goal is to fully institutionalize pollution prevention
into all water programs - both regulatory and non-regulatory.
For example, one aspect of the marine debris problem, plastic
pellets, will be addressed through programs aimed at identifying
sources and implementing control measures that prevent their
release into CSO's and storm sewers. Additionally, the wellhead
protection program is a key example of pollution prevention.
State based Municipal Water Pollution Prevention programs will
foster pollution prevention and compliance maintenance at
Publicly Owned Treatment Works through application of the
pollution prevention hierarchy and a preventive management
approach to problem solving.
This guidance reflects the need to complement and balance the
existing Federal/State regulatory programs with efforts to
empower State and Local governments - and the public - the
objective being to mobilize their support for protection and
stewardship of water resources, with Federal and State
governments offering technical, scientific, and educational
assistance to support and reinforce grassroots efforts. Our
approach, which stresses cross program initiatives and building
partnerships with other Federal Agencies, States, local
governments, and private groups, is consistent with EPA's Science
Advisory Board Report Reducing Risk; Setting Priorities and
Strategies for Environmental Protection which states "The
environment is an interrelated whole, and society's environmental
protection efforts should be integrated as well. . .protecting the
environment effectively in the future will require a more broadly
conceived strategic approach, one that involves the cooperative
efforts of all segments of society."
REDUCING RISKS THROUGH IMPROVED SCIENCE
We will work with ORD to undertake research in several additional
areas during FY 1992 to develop a sound scientific basis for
future actions. Key research areas will include: toxics,
contaminated sediments, and wetlands.
In FY 1992, we will emphasize improved analytical methods and
control methods for toxic pollutants. We will continue to
develop better methods and protocols to control toxicity in
municipal wastewater treatment and the determination of specific
biological pathways and decomposition products. We will complete
the development of a procedure for assessing and controlling
toxicants that bioconcentrate in fish and shellfish tissue. We
will assess exposure-effect relations of contaminated sediments
through development of acute and chronic sediment toxicity tests,
dose response experiments with sensitive benthic species, and
examination of the accumulation process of sediment contaminates
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by benthic organisms and the transport into higher organisms in
the food chain, and evaluation of procedures to determine
sediment quality criteria. These activities will form the basis
of a strategy to prevent sediment contamination. Efforts to
begin to resolve toxics in the Great Lakes will continue through
in-place toxic pollutant remediation demonstration projects
developing whole wasteload allocation procedures and developing a
capacity to analyze toxic substances on a lake wide scope from a
ship platform.
Knowledge of fate and transport of sediment contaminants is an
integral part of a risk assessment or a remedial action plan. In
FY 1992, we will continue to examine the deposition of particles
and contaminants across sediment water boundary, partitioning of
chemicals between sediment phases, routes of exposure to benthic
and other organisms, and transport/resuspension of toxics back
into the water columns. We will also continue work on methods
for mitigating sedimentation problems and conclude the five year
demonstration program of alternative technologies for remediation
of contaminated sediments in five Great Lakes Areas of Concern.
In FY 1992, we will work with ORD and other Federal Agencies to
strengthen our research efforts to quantify the water quality
functions of inland wetlands, evaluate the sensitivity of
wetlands to contaminants, develop cumulative impact assessment
procedures and improve methods for the creation and restoration
of wetlands. Promising technologies currently under development
such as using constructed wetlands as a treatment of wastewater
from small communities and for acid mine drainage will be
evaluated and refined for use by regulators, States, and local
communities. We will address ecological risks by improving our
understanding of the relationship between water quality and land
altering activities, such as agriculture and urban development.
We will increase our research on the fate and transport of fluid
contaminants and the extent to which they degrade over time. We
win* interface with other ongoing surficial aquifer research
programs, U.S.G.S., for example, and investigate bioremediation
and other factors that determine the impact of injection
practices on the subsurface environment.
We will address ecological and human health risks and protect
critical water and living resources threatened by toxic
pollutants by establishing environmentally sound scientifically
based water quality standards and effluent guidelines; and
aggressively implementing and expanding the NPDES permitting
program through the use of techniques such as whole effluent
toxicity, whole effluent bioconcentration assessments, toxicity
identification evaluations (TIE),. and sediment contamination
controls. Similarly, the pretreatment program will address toxic
discharges to POTW's from industrial users. We will also
accelerate our training and technical assistance for States and
local governments to build their capabilities to control toxic
pollutants.
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In completing the remaining Drinking Water Standards, we will
continue to emphasize regulatory development for the
toxic-chemical contaminants specified in the 1986 SDWA
Amendments. We will promulgate regulations establishing MCLGs
and NPDWRs for radionuclides and 24 inorganics and synthetic
organic chemicals. Work will continue on developing the final
treatment rule for ground-water disinfection and disinfection
by-products. The rule setting standards for approximately 15
contaminants from the First Drinking Water Priority List will be
under proposal. We will also provide rule interpretation and
technical advice on the Surface Water Treatment Rule, Total
Coliforms Rule, and the Lead and Copper Rule. We will continue
to provide health advisories, enforce regulations, and promote
water treatment to reduce risks to human health from drinking
water.
USING ECOLOGICAL INDICATORS TO MEASURE REDUCTION IN RISKS
In FY 1992, the water quality program will place additional
emphasis on addressing biological and physical impacts to
ecosystems. The traditional monitoring and analytical methods
used to determine the health of our water resources have been
based primarily on water chemistry. While there is still much
work to be done to effectively control toxic chemicals, use of
these methods alone allows us to manage and detect only a portion
of the total risk to environmental health and does not allow us
to fully assess the impact of our programs. There are waters of
the U.S. that meet all applicable water quality standards and
designated uses - but don't support living resources because the
in-place programs did not go far enough in addressing toxicity to
aquatic life, bioaccumulation, bioconcentation, etc. The tools
essential for understanding the impact of pollution on wildlife
and ecosystems, addressing biological and habitat risk, and
measuring the progress in reducing ecological risks to these
resources do not currently exist.
In FY 1992 we will strengthen development of scientifically
valid, ecological indicators and criteria and standards. Our
long term goal is to integrate ecological protection as a
cornerstone of water quality protection programs and develop a
solid scientific and technical foundation for our program
decisions and measurement of our program's success. States and
agencies will then have a comprehensive scientific basis to adopt
water quality standards for their programs that prevent and
control water pollution and habitat destruction.
Specifically we will continue to develop cost-effective rapid
bioassessment methods and chronic biological technique methods
for both fresh waters and marine waters to quickly identify
stressed ecosystems and monitor the results of program
improvements. During FY 1992, we will work with the National
Wetlands Inventory (US Fish and Wildlife Service) on the
feasibility and costs to make the data more useful as an
environmental indicator over the longer term. Our emphasis will
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be on identifying and collecting data on key wetland indicators
that track the health, status and trends of wetlands and the
President's no net loss goal. We will also examine the
relationship between ground-water discharge and surface water
quality as well as set priorities for developing approaches to
protect ground-waters supplying base flow to sensitive aquatic
ecosystems.
We will publish biological criteria guidance that will protect
the ecological functions of wetlands, lakes, oceans and estuaries
and the animal and plant communities that depend on them. We
intend to identify indicators that best reflect the ecological
integrity of ecosystems and measure ecological changes. We will
also develop technical guidance that enables States, other EPA
programs, and other Federal Agencies to use these criteria to
factor ecological risks into water based decisions. We will
develop sediment quality criteria protective of aquatic life,
guidance on identifying and managing contaminated sediments and a
methodology for criteria protective of human health in support of
the Great Lakes Initiative.
GEOGRAPHIC APPROACHES TO REDUCING RISKS
In some geographic areas the control of point sources by
technology-based controls has adequately protected the aquatic
ecosystems and must be continued to maintain the environmental
gains. However, in other geographical areas, environmental
degradation is occurring because of continued growth and
development or simply because control of traditional point
sources of pollution does not protect the environment from
degradation. We now know that we must view the integrity of the
water environment holisticallythe sum total of the complete
biological, chemical, and physical dynamics necessary to sustain
the long term ecological integrity of a health ecosystem on a
waterbody specific basis. We also know that if we are to be
successful, we must increase integration of previously
compartmentalized programs and institutions into a cohesive
infrastructure that focuses on reducing and controlling the risks
to the ecology of a given waterbody or groundwater source -
whether they are caused by point sources, nonpoint sources of
pollution, combined sewer overflows, stormwater runoff, or
habitat destruction. We will improve our understanding of
ground-water and surface water interconnections and the impact of
injection practices and other means of disposal on ecosystems and
wetlands, emphasizing protection instead of remediation.
GREAT LAKES PROGRAM
For FY 1992, the Administrator has called for an Agency-wide
geographically targeted approach to the protection and
restoration of the Great Lakes Basin. EPA has made significant
improvements in eliminating discharges of conventional pollutants
within the Great Lakes Basin over the last several decades.
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However, significant environmental problems remain. These
problems require a multi-media, multi-program approach that
stresses geographically focused efforts. This will allow the
Agency and the Office of Water to move forward with key
implementation efforts and will provide a model for EPA to follow
in addressing environmental problems in other geographic areas.
COMPREHENSIVE GROUNDWATER PROTECTION INITIATIVE
Groundwater protection has been pursued primarily through
regulatory controls of specific pollutants and remediation of
contaminated ground water, i.e. FIFRA, RCRA, and CERCLA programs.
As the various authorities under which EPA protects ground-water
were developed independent of each;other, the Agency has had to
operate without clear objectives or priorities for ground-water
protection.
Furthermore, it has become clear that the potential sources of
ground-water contamination extend beyond the sources subject to
Federal regulation and include smaller, more numerous, and more
widely dispersed sources. Indeed, depending on their proximity
to drinking water wells or vulnerable aquifers that support
aquatic ecosystems, these small sources can pose much greater
health and environmental risks than the sources traditionally
viewed as threatening ground-water.
Recognizing the threat these non-traditional sources of
contamination pose and the lack of an overarching ground-water
protection goal, the Administrator's Ground-Water Task Force has
issued EPA Ground-Water Protection Principles which will guide
agency efforts. The task force has also recommended that EPA
adopt State Comprehensive Ground-Water protection programs and
the resource-oriented approach to ground-water protection that
underlies them. A resource-oriented approach extends groundwater
protection beyond the controlling of a few Federally regulated
sources to the safeguarding of ground-water resources from the
full range of potential threats.
Comprehensive Programs provide a State-level framework that
integrates the various Federal, State and local government
ground-water activities. Coordination will extend beyond
attempts to integrate various ground-water pollution source
control programs to include integrated ground-water data systems,
coordinated Federal grant assistance to States and consistent
ground-water regulations. Through Comprehensive Programs, States
will address non-traditional sources of ground-water
contamination, many of which are so localized that they would be
overlooked in a larger-scale watershed approach. By integrating
and targeting national programs and by addressing the sources of
contamination that national programs do not address,
Comprehensive Programs move toward reducing the Agency goal of
preventing adverse effects to human health and the environment
and protecting the environmental integrity of the Nation's
ground-water resources.
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During FY 1992, EPA will continue to assist States in development
and implementation of Comprehensive Programs. Through the
Ground-Water Regulatory Cluster, Headquarters will support
Comprehensive Programs by ensuring coordination of ground-water
related decisions made across regulations, offices, and media.
Headquarters staff will also support the work of the Ground-water
Policy Committee, established during FY 1991 to oversee the
development of and integration of Agency policies and programs
related to ground-water protection:
At the regional level, all ground-water related programs will
continue to establish priorities, milestones and commitments for
supporting Comprehensive Ground-Water Protection Programs. Also,
Region/State ground-water grant agreements will be specifically
structured to support the elements of a State Comprehensive
Ground-Water Protection Program. Critical in this process is EPA
program commitment to defer to State ground-water policies,
priorities, and standards when these State guidelines have been
established pursuant to an acceptable Comprehensive Ground-Water
Protection Program. Regional programs will also conduct annual
evaluations of progress made by Headquarters, Regions, and States
in implementing Comprehensive Programs.
THE WATERSHED INITITIATIVE
In FY 1992, the Watershed Initiative will focus actual protection
and restoration activities in specific watersheds that were
identified in 1991. The criteria for evaluating and selecting
watersheds will include: human health and ecological risk;
possibility of additional environmental degradation; likelihood
of achieving demonstrable environmental results;
implementability; extent of alliances with other Federal agencies
and States to coordinate resources and actions; value of the
watershed to the public; resource needs; and use of existing or
development of new assessment information. Specific guidance
will be developed in FY 91 identifying the specific criteria we
will use to select the water bodies to ensure consistent national
application.
Programs in these targeted areas will emphasize integrating
traditional control technologies such as water quality standards,
permits, and enforcement actions with a broader use of nonpoint
source control and prevention programs, the technology
information network, education, and public outreach. We will
also encourage States to consider geographically targeted high
priority watersheds in their SRF goals and objectives. Our
approach will increasingly be tailored for individual watersheds
to ensure that maximum risk reductions and critical habitat
protection occurs.
We will continue to work with States to focus Section 319 NPS
management program implementation in geographically targeted
watersheds to reduce major NPS effects. We will also sponsor a
NPS forum to strengthen and broaden public commitment to modify
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their activities to prevent NFS pollution.
Success of these projects will be evaluated through close and
frequent management review, relying where possible on the use of
environmental indicators that assess the ecological improvement
in the watershed. We will work to ensure the fullest possible
participation of other concerned agencies, such as USDA, NOAA,
DOI, USGS, COE, etc.
A key opportunity for inter-agency coordination has been provided
by enactment of the Coastal Zone Act Reauthorization Amendments
of 1990. EPA will work closely with the Department of Commerce's
National Oceanic and Atmospheric Administration to jointly
promote the development of State Coastal Nonpoint Pollution
Control programs to restore and protect coastal water quality.
EPA will also continue and increase its discussions with the
Forest Service, Bureau of Reclamation and other Federal land
management agencies to promote activities that protect water
quality on Federal land.
BUILDING PARTNERSHIPS AND ALLIANCES AMONG ALL LEVELS OF
GOVERNMENT
In emphasizing the building of partnerships and alliances among
all levels of government, we recognize that protecting our
drinking water, ground water, surface water, and ocean resources
demands shared responsibilities among all affected parties. In
particular for FY 1992, we will strive to build effective
partnerships spanning Federal, State, and local governments.
A key activity will be working with the States and other groups
through our mobilization effort to build State capability to
effectively implement the expanding public water system
supervision program. Because States have primary enforcement
authority for implementing EPA requirements, States will be
required to expand their commitment to broad drinking water
supply protection and invest in new approaches for interacting
with public water systems, local governments, and other players.
In FY 1992, the drinking water program will continue to work with
States to insure implementation of new drinking water regulations
as well as to strengthen the current primacy programs. We will
work especially with the States to improve their enforcement
programs and their reporting of violation and other data to EPA.
Guiding States and local governments in establishing a
relationship as co-implementors of drinking water requirements to
more efficiently reach small communities to stimulate voluntary
grassroots support to enhance State program implementation
efforts will be a priority. An essential aspect of the State/EPA
partnership will be EPA's efforts to provide the States
opportunities for early involvement in rule making and policy
making. In addition, the drinking water program will focus
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10
attention on training needed by system operators and State
personnel to build the capability to implement the new
regulations.
We will continue to work with USDA on the President's Water
Quality Initiative for agriculture, assuring that USDA programs
and resources are increasingly targeted to solving State water
quality priorities. A key facet of the initiative is improved
agricultural chemical management to protect both surface and
ground water by building effective State-level relationships
among water quality agencies and agricultural agencies.
Comprehensive groundwater protection programs will serve as the
mechanism to coordinate Federal, State and local ground water
protection activity under relevant statutes. For Class V wells,
priority will be given to supporting States in building a
cooperative relationship with local governments which are
frequently in the best position to locate problem wells and
implement solutions.
In FY 1992 we anticipate the availability of section 104 (b)(3)
grants. States can use these funds, once approved, for building
capabilities for supporting unique permitting, pretreatment and
enforcement needs in special areas, such as toxic pollutant
controls, sludge disposal or reuse, storm water or combined sewer
overflows. The cooperative agreements will also support
training, special studies, surveys and/or demonstrations
including a focus on geographic targeting. In negotiating
Section 319 NFS management grants, we will encourage specific
implementation activities that can serve as incentives to
cooperative NFS control and abatement actions among Federal and
State agencies in targeted watersheds.
In the area of wastewater treatment, we will continue to conduct
strong municipal community outreach programs through municipal
wat'er pollution/prevention, small community outreach and
education, operator training, operations and maintenance
technical assistance, technology transfer and public education.
The principle goals of these programs are to enable
municipalities to plan, design, finance, construct, operate and
maintain affordable wastewater facilities; and to encourage
municipalities to integrate pollution prevention principles into
wastewater management activities. To meet these goals, we will
continue to enlist the participation of State and local
governments, national organizations, and other Federal agencies.
One of the major avenues to achieving the Presidents's goal of
"no net loss11 of wetlands is through increasing the roles and
responsibilities of State governments and Indian tribes in
wetlands protection. Grant assistance allows many States and
Indian tribes to acquire basic information and data on their
wetlands resources and the risks posed to these resources,
examine a wide variety of techniques for protection for these
critical resources, and develop comprehensive wetlands
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11
protections plans that may combine watershed, nonpoint source,
river corridor, estuary/coastal management and other critical
habitat protection initiatives. States may also undertake
aggressive public outreach/education campaigns in concert with
local government planning and protection measures.
All 51 States and Territories had established State Revolving
Fund (SRF) programs by the end of FY 1990. In FY 1992, we will
continue the capitalization of existing SRFs and will provide
technical assistance to ensure the long term viability of the
program and enable States to assist communities to build new and
upgraded POTWs to comply with the Clean Water Act; and support
correction of environmentally sensitive municipal pollution
problems in Boston Harbor, Massachusetts and Tijuana, Mexico.
In addition, we will work with the States and communities to
achieve increased environmental results in FY 1992 by initiating
operations at an additional 450 construction grants funded
publicly owned wastewater treatment works, bringing the total
number to approximately 13,150. This number will increase to
approximately 14,400 by the end of the program.
Water quality monitoring is another area in which significant
coordination with other Federal, State, and local groups, as well
as private citizen activities such as volunteer monitoring, is
essential if we are to have the information on water quality
necessary to assess the effectiveness of our program. Several
other federal agencies such as NOAA and USGS have monitoring
capabilities and resources which need to be integrated with EPA's
water quality focus, particularly in targeted watersheds.
ENSURING MANAGEMENT INTEGRITY
Ensuring management integrity through improved access to and use
of water data and effective management of Construction Grants
projects will continue to be priorities. Historically, data
systems have been developed as the programs mature and used by
individual programs with focused needs. Given the large amount
of data existing and the need to better identify problem areas
and measure environmental progress, environmental data bases must
be expanded and modified not only to support the Agency's program
to improve management integrity but to also provide the data and
tools to develop the information that will be necessary to
support our geographic targeting initiative in critical
watersheds and the Great Lakes Basin. There is a need to improve
data collection, including baseline information, so that we can
make better decisions. Initiatives, which are dependent upon the
use of environmental data to characterize the problems in
critical watersheds and define baseline conditions, as well as
the use of compliance and other data are necessary to measure the
effectiveness of the actions we have taken. For example, in FY
1992, we will be able to provide Class II UIC program directors
with a user friendly, affordable software that will make it
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12
easier to identify problem areas, make better decisions, and
generate reports. The system incorporates a FINDS identifier
element that will greatly enhance cross-program and multi-media
initiatives. The PWSS program will continue to emphasize data
quality through data audits and careful determinations of
reporting requirements. Another example is the Permits
Compliance System (PCS). The PCS system is adding
latitude/longitude to improve geographic data links and is also
starting a study on public access to the data.
In FY 1992, we will make a major commitment to accelerating the
phaseout of the construction grants program. This includes full
implementation of the Agency's construction grants program
completion/closeout strategy which was initiated in FY 1991. Our
objective will be to maintain quality management of the program
and ensure fiscal integrity of the anticipated 4,800 construction
grants projects that will still be active at the beginning of FY
1992.
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Office of Solid Waste and Emergency Response
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
ASSISTANT ADMINISTRATOR'S OVERVIEW
The FY 1992 Operating Year Guidance for the Office Of Solid Waste
and Emergency Response addresses the solid waste and hazardous
waste programs mandated by the following statutes:
o The Comprehensive Environmental Response, Compensation
and Liability Act of 1980 (CERCLA) , as amended by the
Superfund Amendments and Reauthorization Act of 1986
(SARA);
o The Emergency Planning and Community Right-to-Know Act
(EPCRA), also know as SARA Title III;
o The Resource Conservation and Recovery Act (RCRA), as
amended by the Hazardous and Solid Waste Amendments of
1984 (HSWA), including Subtitle C (hazardous waste),
Subtitle D (solid waste), Subtitle I (underground storage
tanks); and Subtitle J (otherwise known as the Medical
Waste Tracking Act of 1988).
o The Oil Pollution Act of 1990 (OPA);
o The Clean Air Act of 1990 (CAA) , as it relates to
accidental chemical releases; and
o The Hazardous Materials Transportation Uniform Safety Act
(HMTUSA).
i
FY 1992 will be a critical year for OSWER programs, as a number of
initiatives begin to bear fruit. OSWER will implement the
recommendations of the Science Advisory Board, which call for use
of £&sk-based priorities in planning and budgeting, improving the
methodologies to assess risk, and emphasizing pollution prevention.
In addition, OSWER programs will begin developing regulations and
guidance for two recently enacted statutes, the Oil Pollution Act
(OPA) and the Clean Air Act (CAA).
In developing the annual operating guidance, OSWER is building on
its four-year Strategic Plan, which provides the framework to
accomplish OSWER's programmatic goals. The enforcement goals and
objectives for FY 1992 are consistent with major elements of the
Office of Enforcement's (OE) FY 1992 Operating Guidance. This
year's guidance also incorporates the results of recent self-
evaluations of programs. The RCRA,Implementation Study (RIS) has
resulted in a number of strategic changes which will be addressed
in the RCRA Program Guidance for 1992. Many of the recommendations
contained in the Superfund Management Review, completed in FY 1989,
have already been implemented. In addition, OSWER has recently
reviewed and is updating the Agenda for Action, which details
activities to be undertaken in support of the Municipal Solid Waste
Program.
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Pollution prevention and enforcement continue to receive strong
emphasis in 1992. In addition,there are several underlying themes
which will be a common thread throughout all of OSWER's programs in
1992. These are as follows: utilizing risk based priorities;
developing environmental indicators; emphasizing training and
outreach; expanding the use of innovative technology; enhancing
program management; and research and development.
Utilizing Risk Based Priorities
The hazardous waste programs will continue to address worst sites
first, based on the environmental significance of these sites. In
Superfund, the Hazard Ranking System (HRS) is utilized to produce
a National Priorities List (NPL) of sites requiring Federal
attention. For RCRA, Regions will determine which sites to address
first through facility prioritization. RCRA facility assessments,
or the equivalent, will continue to be performed under the
Environmental Priorities Initiative (EPI) in 1992.
Developing Environmental Indicators
In FY 1992 OSWER will continue its efforts to measure the
effectiveness of its programs in reducing risk to human health and
the environment. Programs will continue to refine the criteria and
collect data necessary to depict this environmental progress. In
Super fund, measures addressing contaminant reduction and ecological
impacts will be examined, in addition to continuing implementation
of existing measures. RCRA activities will focus on identifying
appropriate indicators. This will include enhancing the Biennial
Reporting process to collect more comprehensive data on hazardous
waste generation and disposal practices, and corrective action. In
the Title III program, efforts will focus on developing an
indicator to measure reductions in the number and/or severity of
accidental chemical releases, using as a starting point data from
the Accidental Release Information Program (ARIP), as well as data
from other available data systems. The UST program will continue
its monitoring of a number of measures correlated with risk
reduction gains. UST measures will include indicators of cleanup
activity (releases brought under control, cleanup actions
completed), indicators of prevention activity (number of tanks
upgraded, closed), as well as baseline exposure measures (number of
sites with groundwater contamination, number of households affected
by releases).
Emphasizing Training and Outreach
The On-Scene Coordinator/Remedial Project Manager (OSC/RPM) Support
Program has been very successful in ensuring that new Superfund
field personnel receive appropriate training in a timely manner.
We will expand this program in FY 1992 to ensure that information
on remedy selection and innovative technology is effectively
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communicated to new personnel. The Subtitle C program will
emphasize authorization training for Regions and States,
enforcement training and training for selected new rules.
The Municipal Solid Waste (MSW), Underground Storage Tank (UST) and
Emergency Planning and Community Right-to-Know (EPCRA) programs
will continue their outreach programs in 1992, ensuring that
Regions, State and local governments, and Indian Tribes receive
training and technical assistance. The MSW program will update the
Agenda for Action, and the UST program will establish a national
communications network to ensure that new technology and
information is readily available for all affected groups. The
Chemical Emergency Preparedness and Prevention Program will expand
its capability building activities to prepare State, Tribal and
local agencies to accept new responsibilities.
i
Expanding Use of Innovative Technology
The Technology Innovation Office (TIO) was created to address
technology concerns outlined in "A Management Review of the
Superfund Program" (commonly referred to as the Superfund 90 day
study). The mission of TIO is to increase applications of
innovative treatment technology by government and industry to
contaminated soils and groundwater at CERCLA sites, RCRA corrective
action sites, and underground storage tank sites. TIO will explore
institutional barriers to innovative technology, and identify
opportunities in existing statutes and regulations for additional
flexibility in policies, permit actions, grants and contracting
procedures. OSWER is developing a policy directive and
implementation plan for increasing the applications of innovative
treatment technologies for contaminated soils and ground water,
that includes mechanisms and incentives for implementing innovative
treatment in OSWER programs. In addition, work with other Federal
Agencies will continue to promote innovative treatment technologies
and to develop an information exchange network for those
technologies. TIO is also working on developing a vendors
information database and market assessment analysis for technology
development.
Enhancing Program Manaoeroent
OSWER's internal program evaluations have pointed out the need to
strive for continuous improvement in our fiscal and information
management systems, accountability systems and planning and
priority-setting processes. In FY 1992, we will implement a number
of recommendations which were developed as a result of the SMR and
the RIS. The Superfund program will continue to use the integrated
timeline for establishing performance expectations, and the long
term contracting strategy for awarding and administering contracts.
The hazardous waste program has developed an integrated
prevention/corrective action priority scheme, which will afford
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Regions and States greater flexibility in addressing
environmentally significant facilities first. The UST program will
evaluate program performance and strive for continued improvements
in the prevention and corrective action programs. The MSW program
will continue to meet with the Regions on a quarterly basis and
continue the monthly Regional conference calls.
Research and Development
The majority of research activities related to waste management are
directly tied to program development and implementation activities.
The Office of Research & Development (ORD) provides technical
information and evaluations for regulatory development, technology
evaluation and development for cleanups activities, implementation
tools such as monitoring methods and risk assessment protocols, and
direct hands on technical assistance to Regions in cleanup and
permitting technical decision-making.
In support of OSWER's program themes, ORD will focus on providing
improved site specific risk assessment protocols, and will
implement a major program to develop and demonstrate bioremediation
as a cost effective remedial technology. In the area of cleanup
technology, focus will be on understanding and improving the many
limitations of the pump and treat technology, currently the
mainstay of groundwater remediation. Research emphasis will
continue on the development of innovative treatment technologies
for use in cleanup actions under the Superfund Innovative
Technology (SITE) program.
In support of the new Oil Pollution Act, research will focus on
beach cleanup technology, chemical dispersant, cleanup monitoring
techniques, and technology for recovering oil on fast flowing
streams. During FY 1992 a series of protocols will be developed
and validated to allow for the evaluation of the efficacy and
toxicity of bioremediation processes for use in cleaning up oil
spills under various site conditions. Protocols suitable for
determining the efficacy and toxicity of dispersant will be
completed. In addition, ORD will conduct research to provide
response personnel with simplified analytical tools to monitor the
progress of a cleanup operation.
ORD will maintain direct technical assistance programs such as
START and the Technical Assistance (TA) centers, and these programs
are important for improving technical decision-making. OSWER will
also explore ways to expand the Superfund TA programs to provide
support for RCRA Corrective Action.
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PROGRAM HIGHLIGHTS
I. SUPERFUND PROGRAM
The Superfund Program will continue to address the long term
strategy delineated in the Superfund Management Review and
resulting Implementation Plan. For FY 1992, major activities
include:
Dealing with Worst Sites. Worst Problems First
The Site Assessment Four Year Evaluation Strategy requires all
sites designated as high priority to be evaluated for inclusion on
the NPL within four years of entry into CERCLIS. To identify NPL
candidate sites, the Regions will: 1) begin to reprioritize sites
with completed site inspections to determine if further action is
warranted; and 2) implement the revised Hazard Ranking System.
In addition, the Regions will continue to perform Resource
Conservation and Recovery Act (RCRA) preliminary assessments under
the Environmental Priorities Initiative (EPI).
Similarly, all new and ongoing remedial investigations/feasibility
studies (RI/FSs) and all planned new RI/FS starts will be
prioritized to ensure that sites entering the RI/FS process will
represent the worst problems at the worst sites. The Superfund
Program will closely monitor sites throughout the remediation
process.
Controlling Acute Threats Immediately
The Superfund program's first priority is to reduce near-term risk
to public health. Uncontrolled releases at hazardous waste sites
will be identified in a timely manner through site inspections and
evaluations, focusing on high risk/volume sites. National
Priorities List (NPL) sites will be reviewed and evaluated to
determine if immediate threats exist at these sites. In order to
better implement a program that reacts quickly and effectively in
addressing uncontrolled releases of hazardous wastes, the Superfund
program will continue to utilize a combination of response actions
and enforcement activities which will improve response time as well
as recovery of costs.
Emphasizing Enforcement to Induce Private-Party Cleanup
Superfund enforcement goals continue to be the following: 1) using
enforcement authorities to compel the Potential Responsible Party's
(PRP) participation in the Superfund process; 2) managing the
RD/RA negotiation process within the time frames established under
Section 122; 3) maximizing cost recovery to the Trust Fund; and 4)
working toward achieving the Management By Objective Goal (MBO) of
$300 million in FY 1993. The program has already achieved 50% of
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this goal. Regions will continue to use RD/RA settlement tools,
including unilateral Administrative Orders, de minimis and mixed
funding settlements, referral of treble damage cases, referral of
cases against non-settlers and penalty authorities, along with
close Inter-agency and intra-agency coordination in the settlement
process to meet this goal. Regions are encouraged to improve the
trend toward meeting the RD/RA negotiation goal of 180 days. In
addition, Regions will continue to give priority attention to the
maintenance of comprehensive and up-to-date administrative records.
Promoting Consistency in Selection of Remedies at NPL Sites
The National Contingency Plan (NCP) requires that remedies selected
will ensure that: 1) high threat wastes are treated; 2) low threat
wastes are contained; and, 3) contaminated ground water is restored
or adequately controlled. The Superfund program will continue to
bring innovative treatment technology and experience to bear on the
remedy selection process. In addition, the program will conduct an
analysis of RODs issued in FY 1991 to assess improvements in the
quality and consistency of RODs.
Conducting a We11-Managed Superfund Program
OSWER will be conduct a number of activities to build public
confidence in the Superfund Program. Many of these activities will
focus on how we set expectations and measure performance. The
integrated timeline will continue to be utilized for establishing
performance expectations. For example, in FY 1992, headquarters
will monitor the duration of Rl/FSs, which should be completed in
8 quarters or fewer, and the time frame from ROD to RD start, as
part of assessing program performance. Headquarters will also
coordinate efforts of other offices and agencies, including the
Department of Justice, to ensure that timely action is taken in
moving sites through the remedial pipeline. We will track ongoing
RI/FS projects identified as candidates for the Superfund
Innovative Technology Evaluation (SITE) program.
In addition to the above efforts, the Agency has developed a long
term contracting strategy for the Superfund program. This strategy
identifies the long-term contracting needs of the program and
designs a portfolio of Superfund contracts to meet those needs over
the next ten years. During FY 1992, implementation of the strategy
will continue with the phase-in of new contracts.
Implementing the Oil Pollution Act
The Agency shares responsibility with the United States Coast Guard
for implementing major provisions of the Oil Pollution Act of 1990.
The Agency will review area contingency plans, issue regulations
for facility response plans for non-transportation related
facilities, implement recommendations of a report to Congress on
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liners or other means of secondary containment, and inspect removal
equipment at facilities. The Agency will approve certain facility
response plans and conduct area drills. In addition, Regional
offices will assist State Emergency Response Commissions (SERCs),
Tribes and Local Emergency Planning Committees (LEPCs) in
coordinating and linking facility response plans with community
emergency response plans developed pursuant to SARA Title III.
II. RCRA SUBTITLE C, HAZARDOUS WASTE PROGRAM
In July 1990, OSWER issued its RCRA Implementation Study (RIS),
which reviewed the hazardous waste program to date and articulated
that program's future direction. As noted in the RIS and supported
by the Science Advisory Board in its report "Reducing Risk:
Setting Priorities and Strategies for Environmental Protection",
setting clear priorities based on the greatest environmental result
is critical to successful implementation of RCRA.
FY 1992 will be a transition year for the program, as we begin to
implement the RIS. The challenge is to continue forward momentum,
while we engage in the reappraisal called for in the RIS. The RCRA
Implementation Plan (RIP), proposed in February 1991, provides
detailed guidance for FY 1992, and sets out a schedule of
activities for the remainder of FY 91 and for FY 92. The new RCRA
program management framework consists of the following:
Facility Priority Setting
To address the most environmentally significant facilities first,
Regions and States must select the best course using all program
tools available. The framework consists of ranking facilities for
environmental significance and environmental benefits and choosing
and documenting the most appropriate course of action (corrective
action or permitting) for the highest ranking facilities. The
framework, discussed in detail in the FY 1992 RIP, will assist
Regions and States in maximizing environmental benefit from the
expenditure of limited resources.
In FY 1992 the next stage of the long term corrective action
strategy called for in the RIS will begin Regions and States
will evaluate the highest ranking facilities to determine whether
they are amenable to stabilization and, if so, institute
appropriate action.
Compliance Monitoring and Enforcement
In order to maximize deterrence, specific segments of the regulated
community or specific types of violations of regulatory
requirements will be targeted for enforcement. These targeted
initiatives will be coordinated nationally among EPA Regions, the
States and the Department of Justice. An enforcement initiative
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8
aimed at assessing compliance with the Toxicity Characteristic (TC)
rule will dovetail into existing plans by several Regions to pursue
TC non-notifier cases in FY 91. These cases will be evaluated for
potential prosecution in coordination with the Office of Criminal
Investigations (QIC). Publicizing these enforcement actions is
critical to ensure that the proper audiences are made aware of the
significance of the action. Under the revised Civil Penalty
Policy, we will seek higher penalties in both administrative and
judicial enforcement actions. Penalties must be large enough to
create deterrence and negate the economic benefit of non-
compliance. In addition, there will be an emphasis on use of a
variety of economic sanctions including permit
suspension/revocation and contractor suspension and debarment.
Program Management
Developing concise regulations to encourage compliance and reduce
resulting costs is a core element of RCRA's direction for the
future as charted in the RIS. We have begun the difficult but
necessary reassessment of the definition of "solid waste", and we
will begin assessment of other rules in FY 1992. Headquarters,
States and Regions will play an integral part in this undertaking,
which will include evaluating implementation issues.
As a result of the RIS, a number of efforts are underway to speed
up the authorization process and to reduce institutional tensions
associated with it. Authorization responsibility will be
transferred from Headquarters to the Regions. OSWER is also
reevaluating current guidance and regulations in an effort to
determine whether flexibility is needed to reflect differences
among States during the authorization process. In FY 1992, Regions
and States will develop and implement multi-year authorization
strategies. A rule is also under development which addresses
authorization of Indian Tribes.
A successful waste management program is dependent upon a
comprehensive and accessible information system that provides
reliable data. The RIP will lay out expectations for making RCRIS
fully operational in FY 1992.
Pollution Prevention/Waste Minimization
The RCRA program is undertaking incentives to promote recycling,
reuse methods and to foster research on waste reduction
technologies and alternative industrial processes. Ways to
accomplish these objectives include: 1) enforcing the Biennial
Report requirement of certification of waste reduction and the
waste reduction requirements in permits; 2) incorporating
pollution prevention strategies into permit provisions and
enforcement case settlements (including multi-media); 3) exploring
the appropriate role of RCRA inspectors in pollution prevention;
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4) increasing enforcement focus on undiscovered generators of
hazardous waste; and 5) increasing outreach/education efforts.
III. RCRA SUBTITLE D, SOLID WASTE PROGRAM
State/Tribal program development and implementation of the revised
criteria for MSW landfills (Part 258) remain the first priorities
in FY 1992. EPA will promulgate the revised MSWLF criteria in
1991; technical guidance will be issued shortly thereafter. EPA
will propose a companion rule, the State Implementation Guidance,
at the same time the revised criteria are promulgated. To ensure
effective implementation of these rules, OSWER will issue outreach
materials, conduct a series of training seminars on both the
revised criteria and the State Implementation Rule (SIR), and
provide technical assistance. Where a State/Tribal MSWLF permit
program has been determined to be inadequate to ensure compliance
with Part 258, EPA will enforce the revised criteria. The Agency
currently is researching enforcement options and will be developing
an enforcement strategy after consultation with the Regions.
EPA has updated The Solid Waste Dilemma! An Agenda for Action
(issued in February 1989) and will issue The Municipal Solid Waste
Dil?Tffl?* Challenges for the 1990's in 1991. Challenges reports on
progress made by all sectors of society and includes a series of
challenges to all sectors to promote continued progress. In
FY 1992, the Agency will promote the goals of Challenges for the
1990's by: providing project support and technical assistance for
source reduction activities and supporting recycling efforts
through market development and procurement activities.
The Agency will begin assessing the industrial solid waste universe
by collecting data on industrial management practices as well as
exploring innovative ways for addressing industrial solid waste.
Finally, EPA will continue to enhance the communication network
established in the MSW program. The network is designed to
facilitate information exchange among all participants in the MSW
program, including Headquarters, EPA Regions, States, Tribes, local
governments, business/industry, and the public. This has been an
extremely effective way of ensuring input from all sectors,
identifying program needs, transferring new technology and
methodologies, and promoting the goals of the MSW program.
IV. RCRA SUBTITLE I, UNDERGROUND STORAGE TANKS PROGRAM
As in previous years, the Underground Storage Tank (UST) program
will continue to rely on State and local implementation of the
national underground storage tank program. The emphasis of EPA's
program implementation is on the long term, and the continuing
growth and improvement of State and local programs. Major UST
activities for FY 1992 are as follows:
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10
Develop State UST Regulatory Programs
UST's long term goal is for all States to have effective programs
that prevent and remediate releases from USTs. UST will continue
to work with Regions and States applications for program approval.
In those States without approved programs, emphasis will be on
building basic program capability while promoting compliance with
Federal regulatory requirements. In States that have approved
programs, the focus will be on improving program performance.
Focus Compliance and Enforcement on Leak Detection Requirements
The phase-in of release detection requirements will begin to apply
to tanks installed during the 1970's, and UST will continue to use
these requirements as the focus for developing strong State
compliance and enforcement programs. EPA will support States in
identifying and adopting tools such as field citations and self-
certification programs enhancing the effectiveness of compliance
and enforcement efforts. EPA will continue some direct compliance
and enforcement efforts, particularly on Indian Lands or for
portions of the regulations not fully implemented by the States.
Improve The Quality of Corrective Actions
In FY 1992 EPA will emphasize making petroleum UST remediations get
underway more quickly, applying more effective and less expensive
technologies, and reducing conflict between regulators and
industry. EPA will continue to work with States, local
governments, tribes, and industry groups to reduce delays and
backlogs on the clean up programs, and to make available training
and performance information on new technologies and methods.
V. EMERGENCY PLANNING AND COMMUNITY-RIGHT-TO-KNOW (EPCRA)
Implementation of EPCRA consists primarily of assisting State
Emergency Response Commissions (SERCs), Tribes, and Local Emergency
Planning Committees (LEPCs) in meeting their responsibilities for
planning for and preventing releases of oil and hazardous
substances into the environment. During FY 1992, the program will
focus on the following activities:
State/Local Capabilities to Prevent/Prepare for Chemical Accidents.
EPA will continue to provide technical assistance, guidance,
training, and computer applications, particularly for hazard
analysis and emergency planning. These activities are geared
towards building State and local capability while preparing the
groups to receive planning-related information that will be
generated as a result of the recently enacted Clean Air Act
Amendments (CAA), the Oil Pollution Act (OPA), and Hazardous
Materials Transportation Uniform Safety Act (HMTUSA).
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Determine the Causes of Chemical Accidents and Prevention
Chemical Emergency Preparedness and Prevention Office (CEPPO) will
confer with stakeholders here and abroad, in the public and private
arenas, working to build a national consensus on prevention of
accidents. This includes communicating information on inspection
methodologies, hazard assessment techniques, and communication
tools, gained through conduct of chemical safety audits and the
Accidental Release Information Program Reports. The Chemical
Accident Prevention (CAP) Advisory Committee, established in 1990,
is expected to play a key role in identifying information gaps,
needed guidance, means of information transfer, and incentives.
SERCs, Tribes and LEPCs will continue to play a critical role in
this process since they have a continuing dialogue with industry in
reducing risk. The Clean Air Act will require that SERCs, Tribes
and LEPCs also receive and interpret facility hazard assessments
and plans for prevention of accidents.
Outreach/International Role
Through Regional offices, emphasis will be on balancing technical
assistance, outreach efforts, compliance projects, and enforcement
actions to assure compliance with the act, and to more effectively
utilize information generated.
OSWER will continue to share information on prevention,
preparedness and response, working with multi-national
organizations such as United Nations Environment Program (UMEP) and
Organization for Economic Cooperation and Development (OECD), as
well as between nations on a bilateral basis. Emphasis will also be
on enhancing U.S. capability to provide needed assistance abroad,
as well as obtain needed assistance here, in dealing with hazardous
materials.
Special Preparedness Program
OSWER coordinates significant emergency events through either the
National Incident Coordination Team (NICT) or the Emergency
Preparedness Advisory Committee (EPAC). Also, CEPPO has major
responsibility for implementing the Federal Response Plan for
Public Law 93-288 (known as the Plan for Federal Response to a
Catastrophic Earthquake). The coordination for such emergencies is
in the Agency's new Emergency Operations Center (EOC).
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Office of Pesticides and Toxic Substances
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OFFICE OF PESTICIDES AMD TOXIC SUBSTANCES
FY 1992 OPERATING GUIDANCE
TABLE OF CONTENTS
Page
ASSISTANT ADMINISTRATOR'S OVERVIEW
A. INTRODUCTION 1
B. MANAGEMENT THEMES
1. Regional/State/Tribal Capacity
Building 1
2. Enhanced Enforcement 2
3. Pollution Prevention/Risk Reduction 3
4. Environmental Indicators & STARS
Measure Development 4
5. International,Leadership 4
6. Indian Programs 4
C. FIELD IMPLEMENTATION PRIORITIES
1. Asbestos Abatement 5
2. EPCRA - Section 313 5
3. Polychlorinated Biphenyls (PCBs) 5
4. Multi-Media 6
5. Other Toxics Enforcement Priorities 6
6. Groundwater Protection 6
7. Endangered Species Protection 6
8. Pesticide Worker Protection 6
9. Certification and Training 7
10. Food Safety 7
11. Container Disposal 7
D. PESTICIDE AND TOXIC PROGRAM STRATEGIES
FY 1992 PRIORITIES 7
1. New Chemicals 8
2. Existing Chemicals 9
3. Field Operations 12
E. ADDENDUM 13
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FY 1992 PESTICIDES AND TOXIC SUBSTANCES OPERATING GUIDANCE
ASSISTANT ADMINISTRATOR'S OVERVIEW
A. Introduction
The FY 1992 operating guidance is intended to build on Agency-wide
discussions that were held at (the FY 1992 Easton planning meeting.
This guidance provides general program direction to EPA, States and
Tribes in carrying out programs under the following statutes:
Toxic Substances Control Act (TSCA), Federal Insecticide,
Fungicide, and Rodenticide Act (FIFRA, as amended in 1988),
Emergency Planning and Community Right-To-Know Act (EPCRA),
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.
This guidance outlines the FY 1992 major management themes, field
implementation priorities, and the FY 1992 program priorities that
support the pesticide and toxic 4-year strategic plans. OPTS STARS
measures and environmental indicators are attached.
Special Note: Since the Agency's FY 1992 operating guidance format
has been changed to a more general, less program specific document,
comments (other than editorial comments) received from Regions,
States, Tribes, and other EPA program offices will be addressed in
the following manner. (1) STARS Comments OPTS has a formal
review process each spring and summer which includes discussions
and recommendations for improvements on each OPTS measure. STARS
comments on the Agency Operating Guidance (AOG) are addressed
during this process. (2) Program Specific Comments OPTS has
consolidated cooperative agreement guidance for pesticides and
toxics field implementation. Program specific comments are
addressed in the development of both of these guidance documents
during the winter, with final guidance documents issued in March
each year for the upcoming year.
B. Management Themes
The following management principles, and FY 1992 budget themes,
will guide the FY 1992 Pesticides and Toxics Program.
1. Regional/State/Tribal Capacity Building
Implementation of the major pesticides and toxics program is
dependent on effective, decentralized field delivery systems. To
get where we want to be requires new, dynamic roles for the Regions
and States. In order to accomplish this, we need to continue a
dramatic enhancement of Region, State and Tribal capabilities.
With Regional technical assistance and oversight, we are asking the
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States to take on the following major tasks and Tribes to begin to
become involved in these areas: (1) develop and implement
tailored, site-specific management plans for ground water and
endangered species; (2) assume responsibilities for pesticide
worker protection, asbestos abatement, PCB disposal, food safety,
and pesticide container disposal; (3) assist the States in
expanding the use of TRI data in local risk reduction decision-
making as well as expand data quality enforcement; (4) develop and
implement new and expanded State enforcement authorities and
enhance traditional inspection and compliance monitoring efforts;
and (5) promote multi-media activities, and pollution
prevention/toxic use reduction initiatives. To effectively
accomplish these tasks, technical assistance and additional
resources will continue to be necessary for Regions, States, and
Tribes.
2. Enhanced Enforcement
A focused and coordinated compliance monitoring and enforcement
effort is critical for successful implementation of the pesticides
and toxic substances programs. OPTS1 compliance program has
developed its strategy in tandem with the strategy of the Office
of Enforcement (OE). Successful implementation of the strategy
will require more coordination between Headquarters, Regions, and
States and Tribes since the emphasis on targeting and screening for
violations and enforcement response cross environmental media lines
and, therefore require joint oversight mechanisms. Highlights of
OPTS1 FY 1992 compliance program vis-a-vis the OE strategic plan
are as follows:
o Targeting for maximum environmental results. The food safety
enforcement initiative will focus on targeting pesticide
enforcement activities toward food-use chemicals. The
Laboratory Data Integrity program will focus on better
tracking compliance with all data submission requirements and
target inspections to assure that data is developed pursuant
to the Good Laboratory Practice (GLP) regulations.
o Creative use of environmental authorities. The EPCRA
enforcement initiative will support the use of the EPCRA data
in order to incorporate pollution prevention measures into
case settlements. The TSCA multi-media initiative will
support the development of structures at the Federal and State
levels for enhancing administrative, civil, and criminal
enforcement within and across media by developing improved
screening capabilities for data, information, and evidence of
violations.
o Improving EPA relationship with other governmental units. The
Food Safety initiative will establish programs of cooperation
with USDA and FDA to promote effective, efficient, and
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coordinated Federal regulatory activities. Cooperation
between these agencies through the exchange of information and
coordinated inspections and enforcement actions is important
to assure to enhance targeting and tracking systems to
specifically identify food use chemicals. The TSCA
decentralization initiative, begun in FY 1990, will continue
to encourage States to develop comprehensive and expanded TSCA
legislative authorities that would allow States to assume a
wide range of TSCA enforcement responsibilities, including
case development and multi-chemical control.
o Improving the infrastructure/training. The TSCA decentrali-
zation initiative is specifically designed to enhance State
infrastructures for TSCA enforcement by encouraging States to
develop comprehensive authorities. The multi-media program
will provide for a more responsive and flexible enforcement
workforce through cross-media training and deployment. The
EPCRA TRI enforcement program will build an appropriate
infrastructure where only a skeleton exists currently.
3. Pollution Prevention/Risk Reduction
While other EPA programs focus primarily on end of pipe controls
or on cleanup of pollutants already disposed of 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 form commerce through
our existing chemicals programs; and 3) enhancing risk reduction
in^tJie field by building Regional and State programs, providing
technical assistance, and providing a credible enforcement
presence. Enforcement outreach and technical assistance promoting
pollution prevention includes encouraging broader participation by
industry and the public in activities designed to change production
use and recycling habits and working with violators to expand their
environmental programs.
As a unifying force to OPTS1 pollution prevention efforts, the
Agency's Pollution Prevention Strategy will tie together a number
of ongoing OPTS activities, such as greater dissemination and
utilization of TRI data; outreach and training to States, Tribes,
industry and the public; incentives to states and Tribes through
grants to enhance pollution prevention activities; and the
institutionalization of pollution prevention in EPA's regulatory,
permitting and enforcement activities. A vehicle for this will be
the strategy's Industrial Toxics Project which will target 17 TRI
(EPCRA 313) chemicals and dioxin for reductions for environmental
releases. The goal is a 33 percent reduction by the end of 1992
and a 50 percent reduction by 1995. OPTS will have a leadership
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role in coordinating this activity by developing the implementation
plan and later working with the Regions to carry it out. This
activity will, by necessity, help to integrate pollution prevention
into OPTS1 ongoing chemical assessment and management activities.
(See ADDENDUM for identification of 17 TRI chemicals.)
4. Environmental Indicators and STARS Measure Development
OPTS has formed workgroups to develop improved output measures for
environmental problem areas emphasized in our 4-year strategic
plans. Potential indicators are being investigated and those with
the most promise will be pilot-tested with the goal of identifying
meaningful STARS measures or surrogates that are more indicative
of our environmental successes. He anticipate that preliminary
results of these workgroups' efforts will be available as early as
FY 1991 but that our best candidates will not be ready until late
FY 1992 or beyond. Progress on these indicators are reported in
the Agency's Action Tracking System (ATS).
In addition, OPTS has a formal environmental measure review process
each spring and summer. Key staff and managers from the Regions
and Headquarters form the review team. The results of the review
are incorporated in the OPTS measures for each upcoming fiscal
year.
5. International Leadership
Increasingly, pesticide and chemical production, testing, use, and
regulation affect and are affected by actions taken internationally
by one or more countries or international organizations. Our
international activities are an integral part of our pesticide and
toxic programs. We have several opportunities in OPTS to apply our
scientific expertise to international environmental issues.
International agreements on testing, development of standards, and
hazard assessment will contribute to our domestic pollution
prevention and risk reduction goals, and provide world-wide health
and environmental benefits.
6. Indian 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.
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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.
Under the EPCRA program, tribal emergency planning and community
right-to-know training continues. Tribes are encouraged to
participate in section 313 grant programs and training sessions.
OPTS continues to gather information on the status of section 313
facilities on tribal lands in order to better target our resources.
Technical assistance continues to be provided as needed on FIFRA,
TSCA and EPCRA. 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.
C. Field Implementation Priorities
In FY 1992 the pesticides and toxics field programs will focus on
the following environmental problem areas:
1. Asbestos Abatement: In FY 1992, we expect that the ASHAA
reauthorization bill will require the extension of accreditation
to workers in public and commercial buildings, increased training
laws, and revisions to the agency's model accreditation plan. The
enforcement efforts will focus on the overall coordination of
asbestos activities and conduct inspections to monitor the asbestos
ban and phase-out requirements.
2. EPCRA - Section 313: In FY 1992, promoting the use of the TRI
data will be a major goal of this program. We will work to
encourage the use of the data at the Federal, State, and local
levels to support pollution prevention efforts. Section 313
compliance assistance and enforcement efforts will focus on non-
reporter compliance and data quality compliance.
3. Polychlorinated Biphenyls (PCBs): In FY 1992, the Toxics
Program will continue to review and issue PCB disposal approvals
for mobile disposal facilities and high volume Research and
Development (R&D) projects, implement the new notification and
manifesting rule, issue the wet weight/dry weight rule, provide
technical and policy support to the Regions and operate a
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clearinghouse for PCB disposal activities. PCB compliance
assistance and enforcement priorities in FY 1992 will continue to
focus on the compliance of permitted disposal sites, intermediate
handlers and brokers.
4. Multi-Media: The TSCA multi-media initiative would expand a
program begun in FY 1991 to develop structures at the Federal and
State levels for enhancing administrative, civil, and criminal
enforcement within and across media by developing improved
screening capabilities for data, information, and evidence of
violations.
5. Other Toxic Substances Enforcement Priorities (Sections 4, 5,
8, 12, and 13 and Hexavalent Chromium): The TSCA 5 and 8 program
in FY 1992 will continue to concentrate on controlling entry and
obtaining information on toxic chemicals by reviewing
premanufacturing notifications, by identifying chemicals subject
to Significant New Use Rules (SNURs), and by biotechnology.
Regional focus on compliance efforts are crucial for the success
of this program. The TSCA section 4 program will require companies
to conduct tests of chemical substances. The section 12 program
will enforce rules regarding the export of toxic substances, and
section 13 program will enforce rules regarding import of toxic
substances. In FY 1992, hexavalent chromium compliance priorities
will continue to focus on the program's decentralization and
inspections of reporting, labeling, and recordkeeping to ensure
that hexavalent chromium-based water treatment chemicals are not
being manufactured or distributed for use in Comfort Cooling
Towers.
6. Groundwater Protection: In FY 1992, the program will continue
to address concerns regarding pesticides and ground water. Phase
I and Phase II of the National Pesticides Survey, released in FY
1991, will assist the Agency in evaluating the extent of pesticides
in community and rural domestic drinking water wells. The
Groundwater Task Force Report, issued in FY 1991, establishes a set
of principles to guide the Agency's efforts for preventing and
remedying groundwater contamination and calls for the creation of
comprehensive state groundwater protection plans. OPTS1 goal for
FY 1992 is to cooperate with other agency programs to protect the
Nation's water supply by implementing the pesticides in groundwater
strategy. Compliance activities will support the states role.
7. Endangered Species Protection; The Agency's goal is to advance
from a largely voluntary program to an enforceable Federal Program
in FY 1992. Submittal of State and tribal-initiated plans will
continue to be required for Agency review and approval before the
enforceable Federal program begins.
8. Pesticide Worker Protection: In FY 1992, the Agency goal will
be to continue developing the training materials required by this
program and to disseminate information on the worker protection
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standards and training materials as they are completed. Compliance
activities will focus on ensuring compliance with the pesticide
worker protection rule.
9. Certification and Training Part 171: In FY 1992 the Agency
will work with the States to address the changes to State plans
required as a result of the revised Part 171 Regulations.
10. Food Safety: In FY 1992 the program will continue to advance
Agency pesticide and food safety initiative through improved risk
assessment and communication and through pesticide regulatory
processes. The food safety enforcement initiative will focus on
targeting pesticide enforcement activities toward food-use
chemicals.
11. Pesticide Container Regulations: In FY 1992 the Agency will
begin implementing the revised regulations on storage, disposal,
transportation, and recall of pesticides and pesticide containers.
The Agency will prepare guidance and strategies to assist States
and Tribes to enforce the new requirements of container design.
IT is OCM's objective to have adequate compliance enforcement
programs for container rinsate requirements by FY 1993.
D. Pesticide and Toxic Program Strategies FY 1992 Priorities
As described in Section B above, OPTS directs its attention
primarily to the use and pesticide registration of toxic chemicals.
As end of pipe controls reach their technological or economic
limits, toxic chemical use controls increase their attractiveness
as supplements or alternatives. Caution must be exercised when
removing an existing chemical from widespread use, however, to
prevent any adverse environmental impact. 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 1992, OPTS will intensify its commitment to involve the
States and Tribes as full partners in toxic chemical use control
programs. States and Tribes have demonstrated a strong interest
in such programs. With very limited funding or no funding, at
least 40 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 PCS requirements, EPA has entered into
enforcement cooperative agreements with 35 States. For enforcement
of FIFRA, EPA has entered into cooperative enforcement agreements
with 68 States, territories, Indian Nations, and other political
entities.
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1. Control of Risks from New Chemical Products: The first leg of
the triad of OPTS toxic chemical use control programs is preventing
use or controlling exposure to chemicals which pose an unreasonable
risk to public health or the environment if unregulated. The
emphasis of this component of toxic chemical use control programs
is on collecting and analyzing information to determine whether
each new chemical 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 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 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
requirements.
The Pesticide Program mechanism for controlling the entry of
pesticides (active ingredients) into the environment is the use of
the registration and re-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. Additional
pollution prevention efforts by the pesticide program includes
encouraging the development of safer pesticides including
microbials and biochemicals and encouraging use of alternative
agricultural practices such as LISA (low input sustainable
agriculture) and IPM (integrated pest management).
The Pesticide Registration Tracking Enforcement Program's mandate
is to monitor new and existing pesticide product analyses submitted
by companies in compliance with FIFRA Section 3(c)(2)(b). The
increased number of studies being submitted under the
reregistration program of the 1988 Amendments to FIFRA will greatly
expand the activities of this program in FY 1992. A computer
database system called the Pesticide Registration Enforcement
system (PRES) was initiated in FY 1990 and is used to facilitate
the management of data collected during the registration process.
The compliance program needs to determine any short and long term
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adjustments for meeting the goals of test study deadline compliance
as the PRES system is totally implemented into the emerging
enforcement tracking and compliance program for FIFRA Section
3(C)(2)(b) in FY 1992.
As an additional element of routine comprehensive inspections,
delegated States and Tribes will conduct inspections to ensure
compliance with the label 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/or reduce unnecessary exposure; 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 plans to "revitalize" its existing chemicals
program to maximize program productivity. OPTS will reduce risk
and eliminate unreasonable risk through a variety of regulatory and
non-regulatory actions. The existing chemicals program in toxics
plans to obtain its goals by establishing priority screening
methods and proceeding with chemical testing, risk assessment, and
risk management activities.
The^toxics program obtains information on chemicals which leads to
priority screening. Under TSCA section 8, which requires
manufacturers of chemicals to provide data for EPA to do further
analysis, section 4 which can require additional data to be
generated, and under EPCRA (Title III), section 313, which requires
facilities that manufacture, process, or use chemicals to report
their emissions to the air, water, and land. OPTS will use the
authorities to prioritize chemicals and identify those possible
risk reduction candidates. In addition to focusing on existing
methods for obtaining data and screening chemicals, the existing
chemicals program plans to increase communication and coordination
with other EPA offices, states, tribes, and other public sector
constituents. By tapping into these sources, OPTS will be more
effective in its efforts to implement priority screening.
Chemical Testing will enhance the programs ability to reduce risk
and eliminate unreasonable risk by developing a master testing
list. OPTS plans to develop multi-chemical test rules for a
variety of chemical clusters, improve international coordination
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10
by sharing test information, and conduct vigorous enforcement and
compliance activities focusing on aggressive enforcement of Good
Laboratory Practices rules, and bringing manufacturers into
compliance with dioxin/furan test rules as well as TSCA section 4
and 8.
Risk assessment and risk management activities will include
publishing the Chemical Control List that will feed into the
overall system to set priorities and encourage voluntary risk
reduction. OPTS plans to strengthen links to other EPA program
areas to foster an Agency-wide multi-media approach to chemical
problems. As an additional part of the OPTS revitalization, the
existing chemicals program will propose a product stewardship rule
to require producers to control lifecycle risks. OPTS is also
developing an Environmental Hazard Communication rule to require
manufacturers, processors and distributors to apprise their
customers of health and environmental risks at the time of the sale
of commercial chemicals.
Other risk management activities include implementing the dioxin
pollution prevention strategy, the lead(Pb) strategy, evaluating
the uses of TSCA to support the Agency's Great lakes projects.
OPTS plans to investigate using TSCA, section 6 authority to reduce
risk from toxics in a specific geographic area. The use of this
authority will lend itself to multi-media, multi-chemical
approaches to risk reduction in sensitive areas. To complement
this goal, OPTS will integrate the results of the Regional
Comparative Risk projects into the revitalization programs and
consider the uses of TSCA and EPCRA, section 313 to facilitate
implementation of Regional priorities.
Regional compliance efforts are crucial for the successful use of
sections 8,5, and 4. Outreach, inspections, and enforcement are
essential to give the information collection effort integrity.
The Regions and delegated States and Tribes will conduct compliance
monitoring activities to ensure that chemicals that have been
banned are no longer manufactured and distributed in commerce and
are phased out of use within the mandated timeframes. The
compliance effort is directed at preventing hazards from chemicals
found to present unreasonable risks such as PCBs and asbestos.
The pesticide program has several mechanisms to control the use of
pesticides in the environment. First the agency can 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, Tribe,
or U.S. Territory with their training the program assures that
private and commercial applicator's have reached an acceptable
level of competency. The Agency then is assured that the
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11
applicator has demonstrated knowledge of safe pesticide handling
practices and is more likely to apply the potentially hazardous
product correctly.
The re-registration process revisits the initial decision that
registered older products as new technology and improved scientific
methods have evolved since these decisions were made. This process
entails: 1) reevaluating the data that initially supported a
product's registration against current toxicological standards; 2)
conducting risk assessments for humans and wildlife, 3) evaluating
the fate of the chemical in the environment, and 4) 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 have the
potential to pose more of a risk to humans or the environment than
the "newer" pesticides, because "modern" 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.
Compliance monitoring activities will be conducted in order to
ensure that use restrictions imposed by EPA are followed. The
Regions and delegated States and Tribes will conduct inspections
to ensure compliance with the revised regulations and with various
use-related restrictions.
Pesticide products can be removed from the market through a variety
of mechanisms including voluntary cancellation, failure to meet
the Agency's data requirements for registration, or as a result of
the Agency's special review process. 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 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 restricted or cancelled or suspended.
Prior to the FIFRA 1988 amendments, the Agency was responsible for
the indemnification and disposal of the suspended products which
were subsequently cancelled. As a result of suspension and
cancellation actions, the Agency still has two products to dispose
of in 1991: 2,4,5-T/silvex and any remaining stocks of dinoseb that
were not destroyed in 1990. In 1990, the Agency gained 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. Pollution prevention is also a major focus with
regulations currently being drafted for pesticide container designs
and recycling requirements.
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12
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 delegated States and Tribes 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: Meaningful program coordination with
pesticides and toxics field components at the Regional and
State/Tribal levels is essential to risk reduction. We plan to
involve States and Regions as proactive participants in long term
planning efforts, identifying toxic and pesticides priorities and
developing model toxics and pesticides related documents
(legislation, guidance). Focus on obtaining positive environmental
results in a geographic specific area such as the Great Lakes
program will also be an OPTS priority. By promoting partnership
in the development of new programs where necessary, and furthering
education and outreach, we will accomplish the goals of our
programs. Highlights of the specific 1992 field implementation
priorities are discussed in Section C above.
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OPTS FY 1992 AO6
ADDENDUM
Decaliter 3), 1990 venk
ERA'S GOALS FOR THE
INDUSTRIAL TOXICS PROJECT
"/ therefore propose the goals of reducing the total releases of these
contaminants by one-third by the end of FY1992, and by more than half
by 1995, through the most cost-effective measures possible. *
William Reilly
September 26, 1990
In a speech before the National Press Club, Administrator Reilly committed EPA
to major reductions in environmental releases of 17 high-priority toxic pollutants. EPA
intends to seek voluntary commitments from major sources of these chemical releases
to achieve these reductions. The contaminants the Administrator referred to are the
chemicals that are of the greatest concern to the Agency's air, water, land and toxic
chemical control programs. The chemicals -- chiefly heavy metals, chlorinated and non-
chlorinated organics -- are priorities due 'to a recognized potential for reducing releases,
and a combination of serious known health and environmental effects, along with a
high potential for exposure due to large numbers of release sources, high volumes of
releases, or both.
The ambitious reduction goals raise several issues which are addressed below.
The goals are EPA's initial targets for action. Although the goals of a one-third
reduction by 1992, and a 50% reduction by 1995 are ambitious, there may well be
certain cases -- individual chemicals, sources, or types of releases - where even greater
reduction targets would be appropriate. As new programs come into being, such as
those envisioned in the Clean Air Act amendments, EPA will re-evaluate the magnitude
and timing of its reduction targets.
The goals can be achieved through voluntary action. Voluntary reduction efforts
can be a cost-effective and environmentally-effective means of achieving these national
goals. Many companies have already made significant progress in reducing their toxic
emissions, and have found that their pollution .prevention measures often save, rather
than cost, money. Establishing national reduction goals will spur additional activity.
Where appropriate, EPA will use its enforcement and regulatory authorities to promote
pollution prevention of these chemicals. However, achieving these goals chiefly
through voluntary programs will be an effective demonstration of environmental
progress through non-regulatory means.
Progress will initially be measured by reliance on the Toxics Re/ease Inventory,
with 1988 as a baseline year. Achievement of the goals will be documented by
downward trends in the TRI data. The goals are independent of any increasing levels
of production; toxic releases can be reduced even as economic activity increases. In
effect, industries will have had four years to achieve the initial target of a one-third
reduction, and seven years to reach the 50% mark. Those that have been actively
pursuing pollution prevention should have little difficulty in achieving these goals; others
may have to work more aggressively.
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The 17 chemicals an by no means an exhaustive list of EPA's concerns. These
are our principle starting points for achieving major reductions, and we believe these
targets to be achievable and beneficial. Other targets may be set in the future as
information on other chemicals raises concerns. Reductions in these 17 chemicals are
anticipated to have a "spill-over" effect in fostering across-the-board reductions in
toxics. In all cases, EPA's existing toxic chemical control programs, aimed at
thousands of substances, will be continued and strengthened.
EPA intends these goals to apply to all sources of releases of these chemicals.
Ultimately, this will entail reducing releases of toxic pollutants in the home, office, in
farming, in motor vehicles, and elsewhere throughout society. However, in order to
document progress in the near-term, we will rely chiefly on the Toxics Release
Inventory to track reductions from manufacturing sources. For some chemicals and
sources, it may be necessary to develop separate means of documenting reductions.
As substantial progress is made in this sector, the Agency will expand its targeting
effort to include other sources as well.
Pollution prevention is the primary means of achieving these national goals. The
thrust of this initiative is not only to reduce releases, but to do so by minimizing the
quantities of wastes generated in the first place, either by replacing toxic materials with
non-toxic substitutes, or running processes more efficiently so as to produce less
wastes. Processes that rely on destruction of wastes after they are generated are not
as effective in achieving either the environmental or economic benefits of pollution
prevention.
environmental releases as well as off-site transfers of waste are targeted for
reductions. It is not the Agency's intent to shift toxic chemical wastes from one
disposal route to another. The best reduction option, by far, is to avoid generating
wastes in the first place, by eliminating the use of toxic chemicals wherever possible,
minimizing the quantities needed, and making operations more efficient so that less
toxics end up in waste streams. This goal is best realized by documenting reductions in
all forms of waste generation.
Not aff facilities wiffbe able to achieve the same level of reductions. EPA
recognizes that facilities will differ in their potential for reducing their waste generation
for these particular toxic chemicals. The goals we have set are national goals, and will
not automatically be applied to specific chemicals or facilities. Doubtless, some
facilities will be able to exceed them, while others may find it takes a longer time to
implement pollution prevention measures in order to achieve the goals. Although the
reductions are intended to apply across-the-board to the TRI data, the Agency will
focus particular attention on the largest sources of releases of each of the 17
chemicals: these facilities can effectively contribute to national reductions by setting
reduction goals that exceed those established by EPA.
14
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EPA'S INDUSTRIAL TOXICS PROJECT:
- THE SEVENTEEN CHEMICALS TARGETED FOR REDUCTIONS
BENZENE
CADMIUM AND COMPOUNDS
CARBON TETRACHLORIDE
CHLOROFORM
CHROMIUM AND COMPOUNDS
CYANIDES
DICHLOROMETHANE
LEAD AND COMPOUNDS
MERCURY AND COMPOUNDS
METHYL ETHYL KETONE
METHYL ISOBUTYL KETONE
NICKEL AND COMPOUNDS
TETRACHLOROETHYLENE
TOUl&KE
TRICHLOROETHANE
TRICHLOROETHYLENE
XYLENE(S)
15
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Office of Administration and Resources
Management
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TABLE OF CONTENTS
I. ASSISTANT ADMINISTRATOR'S OVERVIEW 1
II. OARM PROGRAM PRIORITIES
A. HUMAN RESOURCES MANAGEMENT 10
B. STATE/EPA DATA MANAGEMENT 15
C. CONTRACTS MANAGEMENT 19
D. ORGANIZATIONAL CONFLICT OF INTEREST 21
E. BUILDING PUBLIC-PRIVATE PARTNERSHIPS 22
F. ASSISTANCE/INTERAGENCY AGREEMENT
MANAGEMENT INITIATIVES 26
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 1992 Operating Year Guidance for the Office of Admin-
istration 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 and space
planning 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; Improving the Budget
Process; Organizational Conflict of Interest; 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 1992
Guidance are summarized below.
o Human Resources Management - EPA's most important resource is
its people; and the chief concern of all supervisors, managers and
executives should be management creating and maintaining a culture
climate and work environment that allows employees to make their
maximum contribution to productivity and mission accomplishments.
The 1992 Human Resources Program supports this objective by
focusing on enhancing a partnership between the Human Resource
community, managers and employees to recruit, develop and retain a
culturally diverse and highly qualified workforce.
In the 1990's EPA is facing a labor market where the pool of
scientific and technical talent is not keeping pace with demand.
The goal of the recruitment program is to implement a national
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recruitment strategy that will help EPA build effective
relationships with educational institutions to improve our access
to highly trained and culturally diverse applicant sources.
Employee and management development is a key to achieving our
mission. The quality of management in the Agency is a determining
factor in our ability to get things done. In 1992 the management
development initiative will be well underway. The Agency will
expect managers to continue developing their management and
technical skills in a formal manner. Training in cultural
diversity, in total quality management and career counseling will
help them unleash the creativity in their staffs and support
improvement in productivity.
In the area of employee development, our 1992 objective is to
ensure that employees also have opportunities for technical and
more general professional development. TQM training, training in
cultural diversity and career counseling services will help
employees maximize their own potential as well as their ability to
work with colleagues productively.
Our focus on quality of worklife issues will continue. Our goal is
to create the kind of working atmosphere that will cause employees
and prospective employees to see EPA as the employer of choice in
the environmental field.
o Improving the Budget Process
The Agency is committed to provide leadership in an ongoing effort
to improve the budget process. It is imperative that we produce
budget requests in a professional, responsible, and timely manner.
In an era of increasingly stringent federal budget limitations, the
Agency must do its best to identify realistic resource
requirements. At the same time, we must continue to strive to
mafntain the highest level of credibility and respect from OMB and
the Congress.
Objectives - The Agency intends to improve the budget process by
concentrating on the following objectives: 1) increasing Agency
resource managers as well as the public's knowledge of
environmental needs; 2) continue close working relationships with
OMB and Congressional staffs; 3) utilizing alternative/creative
funding options whenever possible; 4) producing budget requests
that incorporate pollution prevention, cost-effective risk
reduction, and risk assessment; 5) improving automated financial
and data management systems to the latest state of the art methods;
6) increasing Regional Office participation in the budget process;
and 7) utilizing the most effective combination of in-house and
contract support operations.
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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. In FY 1991, we will
focus our efforts on cross-media analysis to promote data
integration and achieve environmental results 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.
- Data Standards - OARM, with concurrence by all Agency offices
and Regions, recently promulgated 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. All programs,
Regions, laboratories, and-delegated State representatives must
comply with the standards, in accordance with forthcoming
implementation guidance. Full conformance to the Facility ID
Data Standard and Locational Data Policy is essential to success
of EPA's cross media data analysis/integration and enforcement
efforts.
- Technology Transfer - EPA's Environmental Monitoring Systems
3
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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. These
relationships are 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 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
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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.
i
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.
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 Agency will work to implement initiatives begun in
earlier years through the release of an Administrative Order on
"Contracting at EPA." This order codifies policy that prohibits
contracting for certain activities at EPA and defines special
management and control measures when contracting for certain
sensitive services. 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
5
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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 (COI) and the way it is handled
under Superfund contracts has been an issue of mounting concern
over the past two years. In FY 92, initiatives that the Agency
began in connection with the Superfund Management Review will
continue to be given significant emphasis.
O 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
the Agency of the crisis and 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.
t
The goal of this initiative is to build the federal, state and
local financing capacities and linkages necessary to restore and
maintain a quality environment. We seek to increase investment in
environmental protection by facilitating greater leveraging of
public and private resources to help ease the environmental
financing challenge facing our nation.
O GRANTS/COOPERATIVE AGREEMENT/INTERAGENCY AGREEMENT MANAGEMENT
Consistent with the 1991 Administrator's Operating Guidance,
Regions should assess the effectiveness of the consolidation of all
grants administration functions in the Grants Management Office
(GMO) of the Management Divisions under the Assistant Regional
Administrator. Regions should continue to evaluate their grants
management activities to assure they provide adequate internal
controls. In addition, GMOs shall 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 shall use the Grants Information
and Control System (GICS) for administrative assistance program
information and reports.
O SUSPENSION AND DEBARMENT/NEW FEDERAL DRUG FREE POLICY
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 perform-
ance, have demonstrated irresponsible conduct in their business
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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.
All Executive branch Federal agencies have been under a uniform
suspension and debarment system for procurement since 1982, and
assistance since 1988. In 1992 we anticipate implementing an OMB
consolidated governmentwide rule for suspension and debarment
incorporating both programs.
In FY 1992 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. In FY 1992
continued emphasis will be placed on Superfund Contract Laboratory
program contractor actions and on criminal environmental violation
based causes of action.
The Grants Administration Division is EPA's central office
responsible for the suspension and debarment program. 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.
O SAFETY. OCCUPATIONAL HEALTH AND SAFETY. MEDICAL AND
ENVIRONMENTAL COMPLIANCE
It is critical that EPA's internal occupational and
environmental risk management prog'rams be the best in the Federal
government.
In the past, Headquarters indoor air quality issues have
required a disproportional allocation of resources. Therefore, a
new, separately managed Headquarters Operations Branch has been
established to handle these issues. This organizational change is
expected to enable the national staff to focus on and promote a
model national program.
Program efforts in FY 1992 will expand the agency's national
leadership role, policy and program development activities, and
national oversight. To supplement the increased support for
national programs, the Assistant Administrator (AA) has provided
regional programs with 7 additional FTEs and $500,000 in regional
support funds in FY 1991. An increase in FTEs and financial
resources for regional and laboratory programs is also projected
for FY 1992. This FY 1992 guidance provides direction for the use
of these new resources those improvements expected in regional and
laboratory programs.
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The FY 1992 guidance explains OARM's commitment for enhancing
financial and human resources, updating and improving program
policies, expanding program and systems development, expanding
technical services, and increasing emphasis on audits and program
evaluations for safety, fire protection, occupational health,
medical, fitness/wellness, and environmental protection programs.
The FY 1992 guidance also explains those expected improvements in
regional and laboratory programs through increased management
commitment, structured managerial and supervisory accountability,
and enhanced organizational placement of safety, health, and
environmental management staffs.
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. Improvements and
enhancements continue to be made in the system in an attempt to
assist property managers in performing their mission of protecting
the Agency's assets. Five new accountable areas were added to the
system in FY 1990 to provide greater control at ORD labs.
In spite of these improvements, audit findings continue to
highlight the inability to trace property items in the system, the
failure to sign and submit custodial officer responsibility
letters, and the incompletion of year-end inventories.
Headquarters continues to work with all accountable areas to ensure
that all Superfund and non-Superfund property is properly tracked
and controlled.
O BUILDINGS AND FACILITIES
EPA^Eacilities, in spite of our substantial investment of Buildings
and Facilities (B&F) funds, continue to need increased resources.
We've enjoyed significant successes in increasing Repairs &
Improvements (R&I) funding from $2.6 million in FY 1984 to $12.0
million in FY 1991. During this time period we emphasized critical
health and environmental compliance projects. As a result, we have
addressed many major problems in these areas. However, funding for
basic repair and upkeep, space alterations, and facility
modernization required by our ever changing programs has not kept
pace.
O SPACE PLANNING
With many leases expiring over the next few years, we need to
coordinate and streamline our space planning process. This is
particularly important in order to maximize the use of scarce
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support and buildings and facilities funds,
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II. OARM PROGRAM PRIORITIES
A. HUMAN RESOURCES MANAGEMENT
1. Finding the Right People - EPA will continue to develop an
extensive network of colleges and universities with which the
Agency has a continuing recruiting relationship. Senior EPA
managers will serve as coordinators of that relationship for each
school. Schools are selected on the basis of their ability to
produce top quality culturally diverse candidates in disciplines
needed by the Agency. Grants, equipment sharing and curriculum
input will be coordinated with the recruitment effort.
National and local recruiting efforts will be more closely
coordinated and a support system for sharing information on
applicants will be implemented.
Managers will continue to be actively involved in recruiting
quality candidates and training will be available to improve the
effectiveness of their recruiting techniques.
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
and on utilizing all possible pay flexibilities to improve our
attractiveness as an employer. 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.
2. Developing managers and employees - 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 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 everchanging 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.
The comprehensive management development program will have impacted
EPA's management corps. Supervisors and managers will have
Individual Development Plans and will take training courses and/or
developmental assignments on a regular basis.
Managers and employees throughout the Agency will have ready access
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to training on Total Quality Management techniques and cultural
diversity.
A curriculum of the 1990's will be defined and made available
through the EPA Institute. Courses on current topics (e.g.
pollution prevention) will figure prominently in this curriculum as
will those on transportable skills (e.g. negotiation).
OHRM, in cooperation with the Agency's scientific community, will
develop a strategy for maintaining scientific/technical skills at
the state-of-the-art level.
Program offices provide top flight talent to teach other EPA
employees through the EPA Institute and recognize excellent
performance in this area. In addition, programs support both the
trainer's teaching and preparation time as part of the
organization's contribution to the Agency.
Human resource needs are fully integrated into the strategic plans
of all organizations.
OHRM, OIRM and program offices cooperate to assure that
technological and information management needs of the workplace are
fully addressed in terms of training and support.
3. Retaining a Competent Workforce - In the coming years, the
retention of a quality workforce will require that we focus 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 into the work
processes and decision-making that affect them daily, truly
establishing EPA as a "quality" driven organization. We must also
provide career counseling and development activities that will
encourage employees and managers to make a career at EPA.
EPA will be developing a flexible benefit portfolio to reflect the
varying needs of our employees. In addition, we will fully
implement flexitime, compressed workweeks, flexiplace and leave
banks. We also will continue to develop such services as daycare,
health and fitness facilities, eldercare support, employee
counseling and support groups.
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B. IMPROVING THE BUDGET PROCESS
The Agency is committed to provide leadership in an ongoing effort
to improve the budget process. It is imperative that we produce
budget requests in a professional, responsible, and timely manner.
In an era of increasingly stringent federal budget limitations, the
Agency must do its best to identify realistic resource
requirements. At the same time, we must continue to strive to
maintain the highest level of credibility and respect from OMB and
the Congress.
Objectives
The Agency intends to improve the budget process by concentrating
on the following objectives: 1) increasing Agency resource managers
as well as the public's knowledge of environmental needs; 2)
continue close working relationships with OMB and Congressional
staffs; 3) utilizing alternative/creative funding options whenever
possible; 4) producing budget requests that incorporate pollution
prevention, cost-effective risk reduction, and risk assessment; 5)
improving automated financial and data management systems to the
latest state of the art methods; 6) increasing Regional Office
participation in the budget process; and 7) utilizing the most
effective combination of in-house and contract support operations.
1) Increasing both the Agency's resource managers as well as the
public's knowledge of environmental needs: The Agency must ensure
that the Congress, OMB, and the public all understand the
importance and scope of the nation's environmental needs. Success
in articulating these needs to the Congress and OMB must be
realized, so that they will support our funding requests. In turn,
Congress and OMB will cooperate more fully with the Agency's budget
requests when they realize that these requests are supported by the
public. Therefore, it is critically important that we communicate
to all parties involved the differences between public perceptions
of environmental needs vice actual scientifically supported
environmental needs.
While we attempt to clarify the differences between public
.perceptions versus actual scientifically supported environmental
needs, we can also stress the critical mission of the Agency in
addressing these environmental needs. We should serve as a primary
vehicle in producing a nationwide environmental agenda based on
political, industry, and public consensus.
2) Continue close working relationships with OMB and Congressional
staffs: We must continue our close relationships with the Congress
and OMB. Only then can the Agency expect to receive sympathetic
response for the resources so desperately needed to fund the
growing list of environmental programs. In order to develop these
improved relationships, contacts with the Congress and OMB must be
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as professional and productive as possible. We must be a reliable
partner in the overall government effort to address environmental
needs, by providing data, information, and technical assistance
promptly and courteously.
3) Utilizing alternative/creative funding options whenever
possible: We must be as flexible as possible in proposing ways to
fund the Agency's programs. We must utilize all possible means of
funding, as there will be increasing strains on the availability of
the federal government's general revenues. The Agency is already
being -pressured to utilize alternative funding methods. These
methods may take the form of user fees, polluters taxes,
public/private partnerships, state/local government matching funds,
etc. The Agency's program and resource managers must make every
effort to do more with less, by leveraging existing resources and
encouraging state/local government, international, and private
funding support for the Agency's programs. The Agency must
establish both guidance and support whereby these alternative
funding sources and mechanisms can flourish.
4) Producing budget requests that incorporate pollution prevention/
cost-effective risk reduction/ and risk assessment: The Agency
must develop and implement detailed, structured planning processes
that ensure that pollution prevention, cost-effective risk
reduction, and risk assessment are incorporated into defined budget
priorities at all stages of the budget process. This can be
achieved by an effective strategic planning process, which will
translate long-term environmental goals into achievable budgetary
priorities.
We must ensure that budget requests are integrated between program
offices and cross-media issues, with the ultimate goal of the
requests being supportive of the real, scientifically-based
environmental needs of the nation. Therefore, the Comptroller must
work closely with all program offices and resource managers to
ensure that the budget requests reflect the most important
environmental needs. These needs must be judged on the criteria of
pollution prevention, cost-effective risk reduction, and risk
assessment.
5) Improving automated financial and data management systems to the
latest state of tbe art methods: The Agency must address the
exponentially increasing demand for better environmental data and
information, both for Congress, OMB, and the public. EPA has been
at the forefront of the federal government community in developing
an integrated financial management system (IFMS), but improvement
is still desperately needed. The improvement must take place both
for both in-house and contract financial, data, and information
systems. These systems must be as accessible as possible, to the
rest of the federal government, to state/local governments, to
university based research centers, and to the demanding public.
The EPA has always been prou& of its open public-access policy.
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However, the vehicles for providing the availability of information
and data must be improved in order for the Agency to continue to be
responsive in the future.
6) Increasing Regional Office participation in the budget process:
The Agency will continue to place the majority of new resources in
the Regional Offices. The split of employees is now about 50/50,
and the momentum toward the Regions should continue. Therefore, it
makes sense to provide the Regions with greater participation in
the budget process. We also must recognize the unique needs and
responsibilities of each Region, and support those needs
accordingly.
The Agency will continue to support the Lead Region media process,
as well as to invite greater regional participation through the
investigation of various forms of independent budgeting for the
Regions. The strategic planning process role for the Regions will
also be expanded. The Comptroller will also support the
establishment of a permanent Regional employee position rotations.
7) Utilizing the most effective combination of in-house, grants,
and contract support operations: The Agency must develop a
monitoring criteria for contracts, as well as selective processes
for maximizing performance under grants provided by EPA. These
actions will require rigorous training in federal procurement
procedures, contract administration, grants administration, and
contracts information systems. These systems must be readily
assessable to appropriate users. Through these efforts, the Agency
can implement programs that are responsive and effective -in
addressing environmental needs.
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C. INFORMATION 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.
In addition, objectives for FY 1992 include:
- The revised vision of the SEDM Program written in FY 1991 will
provide a framework for the overall SEDM Program Strategy. This
vision and strategy will be communicated to and implemented by
Regions and States in FY 1992.
The Communication Strategy developed in FY 1991 will continue to
be implemented in Regions and States to support Program objectives.
i
- Headquarters will initiate a Regional/State Training Program in
either a media or technology area to support information sharing
and effective use of technology.
- Headquarters will also initiate development and distribution of
a directory of integration tools (models, expert systems,
applications) to support environmental assessment.
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
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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 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
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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
Environmental Information is the key to sound economic development.
EPA has effective information services and systems and a wealth of
evironmental data to share with the world community. Recognizing
that the development of effective international data-sharing
mechanisms is among the most valuable contributions EPA can make to
the global effort to improve environmental quality, we initiated an
international data sharing program in FY 1989.
In our first year, we have conducted a realistic analysis of Agency
capabilities and developed a plan to strengthen relationships with
existing international partners. The centerpiece of our strategy
is the institution of various regional mechanisms to facilitate
information exchange, including the development of: the Eastern and
Central European Regional Evironmental Center, the Southern African
Regional Companion Program, and the INFOTERRA Caribbean Regional
Service Center.
1. Objectives
The overall purpose of the International Data Sharing Program is to
provide reliable and timely data and information to the
international community. Reflecting new global challenges and
opportunities, the International Data Sharing Program has three
broad objectives:
To establish the U. S. as a reliable partner in information
exchange relationships. EPA's role as the U. S. National Focal
Point (NFP) for INFOTERRA is central to this effort. INFOTERRA,
the international environmental research and referral service of
the United Nations Enviornment Programme (UNEP), acts as a
clearinghouse for international requests for environmental
information received by the Agency. As the NFP, EPA conducts
research on international environmental topics, identifies and
locates international and U. S. Government documents, briefs
international visitors, and conducts database searches.
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To make significant data sets available ina form that is useful
to international partners. Reliable environmental data and
information are central to any dialogue about global environmental
problems. The International Data Sharing Program is striving to
identify the data needs of our international partners and their
clients and to facilitate development of reliable exchange
mechanisms. One established exchange mechanism is through EPA's
role as the U. S. National Correspondent for the International
Registry of Potentially Toxic Chemicals (IRFTC). IRPTC,
established by UNEP, serves as a database for exchanging
scientific, industrial, and regulatory information on chemicals.
EPA is assisting IRPTC to strengthen its database operation and
quality for use as a global resource and standard for chemical
information exchange that is central to international "prior-
informed consent" arrangements.
- To assist developiong nations to establish effective local
information management capabilities. In FY 1990, EPA took a
leadership role in establishing the Regional Environmental Center
in Budapest, Hungary, which responds to environmental information
needs of Eastern and Central Europe. In FY 1991, EPA will be
estalbishing another environmental center in Botswana as part of
the Southern Africa Regional Companion Program and will be serving
as the Regional Service Center for INFOTERRA NFPs in the Caribbean.
Additional initiatives in the Caribbean, Mexico and Brazil are
under consideration fyr FY 1992.
2. EPA Regional OFfices (RO)
During FY 1992, each RO will continue to ensure that Regional
priorities take into consideration EPA's national priorities for
international data sharing. Information exchange and management
will be considered key elements of'regional international programs
such as the Great Lakes Program, the Gulf of Mexico Program, and
the Caribbean initiative, as well as in international enforcement
strategies (especially with Canada and Mexico). In addition, ROs
will continue to ensure that IRM technology, tools and data
standards are applied to address risk reduction decisions across
media lines and international borders.
3. EPA Program Offices
EPA Program Offices will continue to review existing and planned
data systems to ensure that they are consistent with EPA's national
priorities for international data sharing. Plans and budgets will
be developed to accomplish any necessary changes. Program Offices
will also continue to support international information exchange by
providing appropriate data and information, staff expertise, and
technology transfer.
PUBLIC ACCESS TO AGENCY INFORMATION
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EPA has experienced an increasing demand by the public for both
electronic and printed information. In addition, legislative
requirements to disseminate information to the public have created
increased pressure upon EPA to augment services for information
access and dissemination. The development of the Public Access
Progrm involves working with EPA Program Offices to provide support
and guiance on public access. An aggressive outreach program to
communicate the Federal public access trends, activities, policies
and procedures is currently tunderway. Support and guidance to
program offices will help to improve EPA's ability to fulfill its
mission to provide environmental information to the public.
Objectives
The overall purpose of the National Public Access Program is to
provide the public with access to environmental information.
Specific objectives and planned accomplishments include:
Implementing the Agency's Public Access Policy.
Developing and maintaining tools for finding specific
information within the Agency, such as the ACCESS EPA series, the
Public Information Center (PIC), and a central point, of contact for
information.
Developing and implementing an outreach program aimed at all
level os EPA staff.
Developing and providing the Public Access Track at the Annual
National IRM Conference.
Coordinating a Public Access Task Force of intra-agency
personnel to encourage cross-media information access and better
communications within the Agency's information arena.
Brokering cooperative arrangements with operations in the public
and private sectors for use by EPA programs.
In addition to these planned activities, the National Public Access
Program will continue to increase awareness of EPA, Federal, and
public access needs and explore innovative uses of current and
upcoming technology for the disseminationa of our environmental
information.
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D. 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 Agency will work to implement initiatives begun in
earlier years through the release of an Administrative Order on
"Contracting at EPA." This order codifies policy that prohibits
contracting for certain activities at EPA and defines special
management and control measures when contracting for certain
sensitive services. As National Program Manager, OARM is leading
these efforts to improve EPA's management of its contracts.
Management Accountability
- 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 organisations.
- Managers need to know the status of their contracts and senior
managers should be prepared to discuss their contracts during
quarterly SPMS meetings.
- 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.
Coqftcact Management Workforce
Recognition - To recognize the excellent combination oftechnical
and business skills that EPA's contract managers must develop in
order to excel, the Agency will continue to 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 thes'e
contract managers to receive on-the-job training and support in
their own offices.
Communication - OARM and Regional Management Division will continue
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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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E. ORGANIZATION 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 (COI) and the way it is handled
under Superfund contracts has been an issue of mounting concern
over the past two years. In FY 92, 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 92 are as
follows:
- OARM will continue to implement the COI database system that was
established in FY 91 and ensure its effective use by Headquarters
and Regional contract management staff. This database contains
case history on the resolution of conflict of interest issues and
provides a point of reference to Agency staff who handle COI
matters. The data base 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.
- OARM will continue to conduct on-site reviews of contractors' COI
avoidance procedures. These reviews provide a check and balance to
the self-disclosure of COI 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.
- OARM will continue to provide training to Agency staff on
matters related to COI. 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 COI.
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F. 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
the Agency of the crisis and 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 build the federal, state and
local financing capacities and linkages necessary to restore and
maintain a quality environment. We seek to increase investment in
environmental protection by facilitating greater leveraging of
public and private resources to help ease the environmental
financing challenge facing our nation.
Strategy for Implementation
The initiative is being implemented via the national coordination
and policy development efforts of headquarters staff in the Office
of the Comptroller. Regional coordinators/ meanwhile, are the
focal points for implementing the initiative within the regional
offices and in the states and localities they serve. Headquarters
program office coordinators are focal points for program office
involvement in the initiative.
The initiative will focus upon environmental financing issues at
the Federal, state and local levels, particularly with regard to
impacts upon local governments. Special attention will be given to
issues effecting three critical program areas: drinking water,
wastewater treatment and solid waste. Our strategy for enhancing
the leveraging of public and private resources involves the
following elements.
Developing the most effective financing approaches that can be used
by the various levels of government to finance environmental
program and infrastructure needs.
We have created an Environmental Financial Advisory Board
to provide advice to the Agency on matters concerning
environmental financing. This expert advisory panel is comprised
of executives from all levels of government, including elected
officials, the financing and banking community, business and
industry, national organizations, and academia.
Determining environmental financing policy alternatives at the
federal, state, and local levels that promote public and private
financing options for environmental services and infrastructure.
The Environmental Financial Advisory Board will also be
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examining and addressing financing barriers and issues that need
to be modified or dealt with 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 financing options strategy that will identify
and eliminate possible obstacles and disincentives to establishing
public-private partnerships and using other innovative financing
mechanisms for environmental services.
Developing EPA financial expertise and better incorporating
environmental financing in Agency decision-making processes.
We will be developing a cadre of environmental financing and
public-private partnerships experts throughout EPA, including each
regional and headquarters office. These experts will be the point
of contact for providing technical assistance on finance to EPA
offices, other federal agencies, the states,localities, the private
sector and the general public.
We will focus on proactively incorporating environmental finance
considerations up front in Agency regulatory and policy-making
activities. We see EPA leading an integrated Federal approach to
providing technical assistance to states localities on financing
environmental progress.
To identify and pursue options and/or incentives that will
encourage greater and more efficient private investment in
environmental services.
We are continuing implementation of a series of demonstration
projects throughout the country which will serve as real-life
models of successful, practical solutions to environmental problems
found at the local level. These projects will benefit both public
and private sectors in the delivery of environmental services to
the public and will be designed to be replicated in communities
across the nation.
We will be establishing a partnerships/financing options
development fund which will serve as a pool of money to support
demonstration projects. These projects will meet established
criteria for innovation, originality, or the new application of
environmental financing techniques involving public and private
participation.
We are also continuing to conduct national, regional and state
conferences, workshops and seminars designed to bring together
individuals from all sectors to focus on environmental financing
and infrastructure problems, issues and solutions.
Maior Activities and Responsibilities
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1. EPA Regional Offices
An important emphasis in FY 1991 is to continue and deepen the
regions' involvement in all major elements of the initiative. Such
involvement is critically necessary to institutionalize support
for, and maintain progress toward, increasing the use of public-
private partnerships and other innovative financing techniques at
all levels of government.
To better prepare for this role, regional coordinators will
participate in a comprehensive training program covering a wide
range of alternative financing methods for environmental
facilities. In FY 1991, technical features of typical public-
private partnerships will be emphasized. Training modules will
also include financial analysis of partnership proposals, types of
contracts and leases and risk allocation.
The Regions will be the lead in identifying and documenting
examples of successful and unsuccessful public-private partnerships
created in their states. They will develop these examples into
case studies for inclusion in a casebook examining the major types
of public-private partnerships.
The regions will play an important role in reviewing the contract
negotiation handbook, model services agreements, and other guides
that will be produced to show local officials how to choose the
best public-private partnership options and then successfully
structure and implement them. The regions bring an operational,
real-world approach to their reviews and critiques of these
products.
Regions will continue to sponsor partnerships conferences and
workshops involving representatives from EPA, states, and
localities; the business and financial communities, professional
and trade associations, environmental groups and other interested
parties. These meetings build support for the initiative, educate
participants about partnerships and promote innovative thinking
regarding environmental financing problems and solutions.
Regions will also be more involved in developing, implementing and
supporting public-private partnership 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
partnership building phase, and serving as the liaison between the
States, communities and EPA headquarters in monitoring the progress
of the projects.
2. The States
State cooperation, assistance and participation is important to the
success of this initiative. In FY 1991, we will work closely with
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the 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 work
with them to create a equitable legislative/regulatory environment
at both the state and federal levels.
States will be active participants in, and contributors to,
conferences sponsored by the regions. They will also be encouraged
to sponsor conferences of their own promoting public-private
partnerships. State cooperation is crucial to the building of
relationships with community officials and to successfully carrying
out other networking activities.
States will also be actively involved in the public-private
partnership demonstration projects. States will help determine
candidate communities, open dialogues between EPA and local
officials, and serve as consultants to both EPA and localities.
States will be vitally important in creating a favorable climate in
which demonstration projects can occur.
3. EPA Media Offices
To support the thesis of a growing gap between the need for
environmental dollars and public resources to meet that need, EPA
continues to document the costs of environmental protection. The
Media Offices have a key role in reviewing and certifying cost
information in their program areas.
Media Offices also have an important role in providing input for
the financing options strategy being developed and in leading the
review of this paper. There is no substitute for their technical
expertise and institutional knowledge.
They will provide this expertise again in their phase of the
reviews of the contract materials being developed for commun-ities.
Each Media Office will take the lead in ensuring the proper
partnership approaches in its areas of responsibility.
Finally, the Media Offices will be important voices in a series of
ongoing debates on financing environmental expecta-tions. They
will be at the forefront in outlining the challenges and presenting
innovative and creative solutions.
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G. GRANTS/COOPERATIVE AGREEMENT/INTERAGENCY AGREEMENT MANAGEMENT
General Assistance Management
Consistent with the 1991 Administrator's Operating Guidance,
Regions should assess the effectiveness of the consolidation of all
grants administration functions in the Grants Management Office
(GMO) of the Management Divisions under the Assistant Regional
Administrator. Regions should continue to evaluate their grants
management activities to assure they provide adequate internal
controls. In addition, GMOs shall continue to implement the
Regional Automated Grant Document System/Interagency Agreement
System (RAGDS/IAMS) for all assistance programs and lAGs.
Headquarters program offices and the regions shall use the Grants
Information and Control System (GICS) for administrative assistance
program information and reports.
1. Headquarters Role
During FY 90, to support implementation of full grant consolidation
in the GMOs, the Assistant Administrator for Administration and
Resources Management provided two memoranda to the Regional
Administrators concerning the implementation and review of grants
consolidation. During 1991, the Director, Grants Administration
Division/Grants National Program Manager (NPM) carried out a
program to assure the success of grants consolidation in the
Regions. The NPM, along with the Grants Curriculum Development
Committee developed a basic grants administration training course
as well as a grants specialist training curriculum. During FY
1992, the NPM will assure appropriate training courses for grants
staff are developed. Enactment of amendments to the Clean Air Act
in early FY 91 and other recent legislation requires development of
guidance and regulations for new assistance programs and review of
regulations and guidance for existing programs. GAD continues to
be an active participant in the workgroup carrying out these tasks.
The NPM will also continue to chair the Grants Information
Management Council which determines basic information requirements
for all assistance programs 'and establishes corresponding data
elements and continue to managem RAGDS/IAMS implementation
nationally.
2. Regional Role
During FY 1992, each Regional office is to assess the full
implementation and effectiveness of grants consolidation of all IAG
and assistance management functions in their GMOs. The grants
workload assessment will guide this effort. The regions should
evaluate GMO staff training needs in accordance with the Grant's
Curriculum Development Committee established curriculum and assure
resources are adequate to meet identified training needs. GMOs
should continue to perform on-site review of State systems on a
periodic basis. In addition, regions should begin implementing the
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Clean Air Act Amendments, and other new programs. Regions shall
continue to recommend modifications and improvements for the
Regional Automated Grant Document System and Interagency Agreement
System (RAGDS/IAMS) for all assistance programs and XAGs. The GMOs
should also provide members for the Grants Information Management
Council and assure travel resources are adequate to attend periodic
meetings.
Superfund Assistance Management
This guidance identifies assistance agreement and Interagency
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:
- Continue to build Regional, other Federal agency, and
recipient capability to manage Superfund assistance consistently
and effectively;
- 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 NPM will also provide
training programs for Superfund grants specialists and assure
appropriate communication and outreach strategies between
Headquarter's program offices and the Regional 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
administrative management and oversight of Superfund cooperative
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agreements and grants recipients and management of IAGs. The GMOs
must ensure that every assistance agreement and TAG 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
circulars, and other requirements. Data related to all Superfund
assistance awards and IAGs will be entered in GICs and used for
management reports.
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.
- Obtaining training of staff with appropriate finance skills.
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
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to assure they assume appropriate management responsibility for the
SRF program.
2. Regional Role
Regional GNOs should continue to cooperate with the Grants
Administration Division and other reqions 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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H. SUSPENSION AND DEBARMENT/NEW FEDERAL DRUG FREE POLICY
All Executive branch Federal agencies have been under a uniform
suspension and debarment system for procurement since 1982, and
assistance since 1988. In 1992 we anticipate implementing an OMB
consolidated governmentwide 'rule for suspension and debarment
incorporating both programs.
In FY 1992 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. In FY 1992
continued emphasis will be placed on Superfund Contract Laboratory
program contractor actions and on criminal environmental violation
based causes of action.
The Grants Administration Division is EPA's central office
responsible for the suspension and debarment program. 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 1992, the following efforts
should be included in preparing workplans:
o All program office managers, both Regional and
Headquarters, should emphasize the importance of their
responsibility in implementing 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
suspension and debarment.
o Encourage Regional, delegated State, and program office 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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I. SAFETY. OCCUPATIONAL HEALTH AND SAFETY. MEDICAL AND
ENVIRONMENTAL COMPLIANCE
It is critical that EPA's internal occupational and environmental
risk management programs be the best in the Federal government. In
the past, Headquarters indoor air quality issues have required a
significant allocation of resources, and a new, separately managed
Headquarters Operations Branch has been established to handle these
issues. Program efforts in FY 1992 will expand the agency's
national leadership role, policy and program development
activities, and national oversight. To supplement the increased
support for national programs, the AA has provided regional
programs with 7 additional FTEs and $500,000 in regional support
funds in FY 1991. An increase in FTEs and financial resources for
regional and laboratory programs is also projected for FY 1992.
This guidance provides direction for those improvements expected in
regional and laboratory programs during FY 1991 and FY 1992.
The FY 1992 guidance explains OARM's commitment for enhancing
financial and human resources, updating and improving program
policies, expanding program and systems development, expanding
technical services, and increasing emphasis on audits and program
evaluations for safety, fire protection, occupational health,
medical, fitness/wellness, and environmental protection programs.
The FY 1992 guidance also explains those expected improvements in
regional and laboratory programs during FY 1991 and FY 1992 through
increased management commitment, structured managerial and
supervisory accountability, and enhanced organizational placement
of safety, health, and environmental management staffs.
NATIONAL ROLE
This FY 1992 guidance provides for an emphasis on enhanced
financial and human resources, extensive updating of program
policies, expanded program and systems development, expanded
technical and consultative services, and an increased number of
audits and program evaluations for safety, occupational health,
medical, fitness/wellness, and environmental protection programs.
OARM has also developed a long-term strategic plan to improve the
credibility of EPA's occupational health and safety and
environmental risk management programs and to assure that they
become the best in the Federal government.
Those major SHEMD projects that will have a significant impact on
regional and laboratory programs during FY 1991 and FY 1992
include:
of environmental protection policies will be issued, and 50 % of
the program policies for the management of safety and
occupational health programs will be updated. New policies,
programs, and procedures will be issued for risks involving
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biological agents and sources of ionizing radiation; for
laboratory fume hoods; waste disposal; solvent recovery;
maritime operations; personal protective equipment; diving
safety; medical surveillance; ergonomics; electromagnetic
radiation; and chemical hygiene plans.
2. Systems Development. An automated records management system for
the national medical surveillance program will be developed. An
automated Health and Safety Tracking System from Region 9 will
be implemented, and additional computer equipment will be
purchased. An automated data base from OWCP will be implemented
to identify causes and costs of on-the-job injuries and
illnesses. An automated chemical inventory program will be
developed.
3. Resource Development and Training. A training resource library
will be developed for safety, health, and environmental
compliance program officials. New training courses will be
developed for EPA's biohazard safety, ionizing radiation safety,
and laboratory safety programs. The inspector training program
will be updated, and training will be provided at 6 locations.
4. Technical Support and Consultative Services. This includes
advice and tools to implement the requirement of environmental
rules; advise facility managers and engineering planning and
architectural staff on facility construction, renovation and
alterations; tools to implement: (1) pollution prevention (waste
reduction); (2) chemical inventory system to comply with RCRA
and CERCLA; (3) monitoring and pre-treatment of laboratory waste
discharged to the public sewer system as required by the Clean
Water Act;and (4) timely low cost, reliable hazardous waste
management at EPA facilities consistent with the requirements of
RCRA.
5. Audits and Program Evaluations. Eleven (11) environmental
compliance program audits, eight (8) safety and occupational
health program management evaluations, and eight (8) fire safety
audits will be conducted.
REGIONAL AND LABORATORY ROLE
This FY 1992 guidance emphasizes increased management commitment,
structured managerial and supervisory accountability, and enhanced
organizational placement of safety, health, and environmental
management staffs. The major regional and laboratory improvements
expected in FY 1991 and FY 1992 are:
1. Management Co"""* tmatife. Regional Administrators and Laboratory
Directors are expected to issue updated policies for their
safety, occupational health, and environmental management
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program. This updated policy is to clarify management's
commitment, to establish priorities and goals for three-five
years, and express a commitment to enhanced program resources
and program performance.
2. Managerial and Supervisory Accountability. Performance
standards for managers and supervisors are to establish
management's role and commitment to providing safe and healthful
working conditions and to comply with environmental regulations.
Supervisors are to ensure that their employees' position
dicscriptions accurately detail the role of employees in the
regional and laboratory safety, health, and environmental
management program.
3. Organizational Structure and Placement of Program Staff. It is
expected that management and accountability for the safety,
occupational health, and environmental management programs be
assigned to one senior management official within the region or
laboratory. That assignment is to be in writing and
communicated to employees.
4. Self-Assessment to Determine Program Effectiveness and
Compliance with Statutory and Regulatory Mandates. It is
expected that each region and laboratory will conduct an
internal control review of its safety, occupational health, and
environmental management programs to determine the effectiveness
of the program and to determine if the programs are being
implemented in accordance with statutory and regulatory
mandates.
5. Program Priorities. Regions and laboratories are to focus their
program efforts on the following priorities:
a. Implementation of the Health and Safety System software
developed by Region 9;
b. Improvement of their medical surveillance program;
c. Developing and maintaining inventories of hazardous
chemicals purchased and used;
d. Securing and maintaining updated MSDSs for employees;
e. Implementation of waste minimization and waste disposal
programs;
f. Implementation of training requirements which relate to
employees who are potentially exposed to toxic substances,
biological agents, and physical agents.
g. Implementation of the new OSHA Chemical Hygiene Plan at
your laboratories.
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J. 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. Improvements and
enhancements continue to be made in the system in an attempt to
assist property managers in performing their mission of protecting
the Agency's assets. Five new accountable areas were added to the
system in FY 1990 to provide greater control at ORD labs.
In spite of these improvements, audit findings continue to
highlight the inability to trace property items in the system, the
failure to sign and submit custodial officer responsibility
letters, and the incompletion of year-end inventories.
Headquarters continues to work with all accountable areas to ensure
that all Superfund and non-Superfund property is properly tracked
and controlled.
1. Headquarters Role
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 1991. During the first
quarter of FY 1991, 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 1991 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.
2. Regional Role
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 1991. In addition,
Headquarters will perform random on-site verification of this
inventory process during FY 1991. Regions will undergo on-going
nationwide PPAS user training in FY 1991.
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K. BUILDING AND FACILITIES
EPA facilities, in spite of our substantial investment of Buildings
and Facilities (B&F) funds, continue to need increased resources.
We've enjoyed significant successes in increasing Repairs &
Improvements (R&I) funding from $2.6 million in FY 1984 to $12.0
million in FY 1991. During this time period we emphasized critical
health and environmental compliance projects. As a result, we have
addressed many major problems in these areas. However, funding for
basic repair and upkeep, space alterations, and facility
modernization required by our ever changing programs has not kept
pace.
1. Headquarters Role
Programs and regions should specifically identify the impact of
program changes through the B&F/Data Telecommunications/Space Call
Letter on facilities and adequately request critical projects. This
call letter from Headquarters 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.
Headquarters will implement a number of initiatives in order to
accomplish these goals more effectively. They include:
- Management Evaluations, New Facilities, Masterplanning and
Site Planning
Fine Tuning the B&F Projects Approval Process
Identification of Funding Requirements
2. Regional Role
Building and Facilities Project Submissions - To meet our goals,
regional justifications for the repair and improvement of
facilities must explain how they will: 1) provide a safe and
healthful working environment for EPA employees; 2) ensure that EPA
facilities meet pollution abatement regulations; 3) provide
maintenance of facilities that is essential to prevent and halt
deterioration; 4) improve capabilities at research, program, and
regional laboratories, so that we can respond to new or existing
legislation; and 5) meet the costs required by headquarters, field,
and regional office and laboratory relocations.
Prioritization of B&F projects - Regional projects will be
submitted through programs and regions for prioritization by their
top management. All projects will also be evaluated and
prioritized by OARM from a facilities and resources standpoint.
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L. SPACE PLANNING
With many leases expiring over the next few years, we need to
coordinate and streamline our space planning process. This is
particularly important in order to maximize the use of scarce
support and buildings and facilities funds.
1. Headquarters Role
Programs and regions should specifically identify future space
needs through the B&F/Data Telecommunications/Space Call Letter on
facilities and adequately request critical projects. This call
letter from Headquarters 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.
OARM will focus on not only Agency-wide but site specific planning
as well to determine the long range investment opportunities
available to the Agency. Also, support for specific sites will be
considered in the implementation of the Facilities Masterplan and
the Agency's strategic plan.
2. Regional Role
With OARM Headquarters lead, all programs and regions will conduct
an improved process that integrates space and buildings and
facilities planning. This process improves project submissions and
planning related to changing programs, missions, and lease
conditions.
Space planning submissions must consider 1) move costs; 2) new or
expiring leases; 3) needs for special use space; 4)
telecommunications needs; 5) buildout needs; and 6) above standard
costs.
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Office of Enforcement
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OFFICE OF ENFORCEMENT
ASSISTANT ADMINISTRATOR'S OVERVIEW
I. AGENCYWIDE ENFORCEMENT GOALS
Beginning in FY 1991, the Agency introduced a new approach for
the Federal Government and States to better promote compliance
with, and effective deterrence against violations of,
environmental laws. This approach is described in the
Enforcement Four-Year Strategic Plan and the Enforcement in the
1990s Project. The basic philosophy underlying this approach is
that as the regulated universe becomes larger, more sophisticated
approaches are needed to gain the maximum leverage from each
enforcement action. This requires improved targeting from both a
single media and integrated, multi-media focus to identify
violations which involve the roost significant environmental and
health risks; case screening to choose the most appropriate
response among administrative, civil judicial and criminal
enforcement authorities; and innovative settlements which correct
the specific violation, address its underlying cause (e.g., by
including pollution prevention conditions), and apply appropriate
sanctions to promote broader deterrence.
To implement this overall approach successfully, enforcement
considerations must play a greater role in the development of
regulations and permits. The Agency will need to find more
effective means of measuring enforcement success and
communicating the results of these efforts. Enforcement also must
be highly leveraged and decentralized. Federal enforcement must
continue to work closely and effectively with the States as well
as establish new institutional arrangements at the local level
and with other Federal agencies.
II. FY 1992 PRIORITIES
Maintaining a strong "base" enforcement program which focuses on
Significant Noncompliers (SNC), "timely and appropriate" (T&A)
enforcement response goals, and routine inspection schemes,
continues to be important. However, new approaches are needed to
ensure enforcement remains effective in addressing new
challenges. Implementation of the seven elements of the
strategic Plan began in FY 1991 and will be expanded upon
in FY 1992. In particular, the Regions submitted plans which
addressed four of the elements: targeting, case screening,
pollution prevention, and communications.
A. Improving the Enforceabilitv of Rules
Successful enforcement depends on regulations whose definitions,
standards, and applicability to particular violations are clear.
Vague regulations hinder the enforcement process, either by
making it difficult for those wanting to comply to do so,
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limiting opportunities for case development and/or increasing
the time and cost of litigation. In FY 1991, the Office of
Enforcement (OE) plans to develop "enforceability assessment"
guidance which describes how enforcement-related technical,
logistical and legal concerns should be addressed in a proposed
regulation and its implementation. OE and the compliance
programs also will identify 1-2 proposed regulations for each
program for pilot "field tests" to be conducted prior to final
promulgation in order to identify potential weaknesses that could
render the rule unenforceable if not corrected. In FY 1992,
OE, assisted by the Headquarters programs, will conduct
enforceability assessments for selected rules during the review
process, and will work with the programs and Regions to implement
field tests of the identified rules before they become final.
B. Strategic Targeting for Enforcement/Multi-Media Enforcement
In addition to its on-going "base program" enforcement efforts,
the Agency also has developed special "targeted" enforcement
initiatives to direct attention toward categories of sources or
geographic areas with environmental problems that may not be
effectively addressed under the traditional system. Major single
and/or cross-media targeting criteria identified in the Strategic
Elan include industries with poor compliance history, specific
pollutants or geographic areas of concern, and implementation of
individual priority regulations. The Agency undertook a Great
Lakes enforcement initiative and a lead enforcement initiative in
FY 1991, and in FY 1992 the Office of Enforcement will identify
one additional pollutant-specific or industry-specific targeting
initiative.
The Administrator's multi-media goal of 25% cases deriving from
multi-media initiatives or having cross-program elements in FY
1991 continues to be a high priority for fostering this kind of
targeting. The definition of a "multi-media" enforcement action
includes: 1) actions deriving from multi-media and cross-program
inspections, even where the subsequent enforcement action is
single medium; 2) enforcement actions deriving from a multi-
media and cross-media initiatives, even if the enforcement action
is single medium; enforcement actions resulting in multi-media
and cross-media settlement conditions, even if the basis of the
enforcement action was a violation in only one medium or program;
multi-media or cross-program enforcement actions; and 5) single
medium or program enforcement actions which meet any of the above
criteria by virtue of a coordinated effort with State and/or
local governments with delegated or approved programs or with
other Federal agencies if appropriate. The Regions first gained
experience with targeting through the implementation of the FY
1990 pilot projects and are using their permissible resource
flexibility to help meet this goal. OE and the Headquarters
compliance programs will actively support the continuing
development of Regional targeting capabilities as an integral
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part of their risk-based planning 'activities in FY 1992 and
beyond (cf. section on Federal facilities enforcement).
OE also will explore how consolidated administrative rules and
guidance on administrative enforcement referral procedures can
better foster multi-media and coordinated case development.
The "data linkage" project, which integrates components
of the media compliance, Facilities index (FINDS), and Toxic
Release Inventory (TRI) data bases will be "on line" by the
beginning of FY 1992 to better support targeting. In FY 1992,
Headquarters and OE's National Enforcement Investigations Center
(NEIC) will train regional programs in the use of the data-
linkage software and provide user support to assist targeting
groups in each Region. During FY 1991, OE and the media
compliance programs also will have developed potential targeting
schemes for use by the Regions in FY 1992. Beginning in FY 1991,
Regional Offices will work with States to provide access to our
integrated data capability so that States can identify similar
holistic enforcement approaches. Data quality is a key
requirement for a successful targeting capability, and all the
compliance programs, Regions and States should take steps
necessary to ensure that their component data bases are accurate,
timely, and complete.
Targeting is critical to successful identification of potential
multi-media and cross-statutory enforcement actions. Multi-
media targeting will be facilitated by the use of Regional case
screening (see C below), which will have become fully operational
in FY 1991. After a violation is detected, Regions will analyze
its potential for a multi-media enforcement response and/or the
potential for a multi-media settlement. In FY 1991, OE will
develop criteria for recognizing and giving appropriate reporting
and workload model credit for Regional multi-media enforcement
efforts. Regions should encourage states to undertake multi-
media initiatives and provide technical support as resources
permit.
C. Improved Case Screening
Effective enforcement case screening is crucial to ensure that
the integrated and multi-media objectives we have set for
enforcement are met on a case-specific basis. In FY 1991, OE
will have issued guidance on case screening which the Regions
will implement. The screening process is designed to review
violations for: strategic value,,appropriate enforcement
response, multi-media potential, innovative enforcement potential
and civil/criminal integration (cf. section on criminal
enforcement). Case screening worksheets were made a part of the
case file, and include information on multi-media compliance
status, toxics release inventory, and violation history within
the program, phasing in the requirement that cases be screened
for multi-media compliance history based upon the availability of
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data linkage and integration capability among the Agency
compliance data systems. In FY 1992, OE will evaluate the
functioning of these Regional case screening procedures and
identify ways to best achieve its objectives while minimizing any
burden on the normal case development process.
D. Innovative Enforcement Approaches
During the last several years, the Agency has experimented with
techniques to expedite or enhance compliance. The Innovative
Enforcement Workgroup (1990's Project) has identified and
evaluated the opportunities/constraints in a number of areas,
and the Agency will expand the use of innovative approaches to
"leverage" the environmental and deterrent effect of individual
enforcement actions in FY 1992. In FY 1991, OE will have
established "Innovative Enforcement Networks" of enforcement
personnel that will disseminate information about lessons learned
from their application throughout the programs and Regions of
pollution prevention, environmental auditing, innovative
remedies, targeting, contractor listing, field citations,
Alternative Dispute Resolution (ADR) and creative use of
information gathering tools, as well as help to identify policy
issues and related training material. The Agency will involve
the States in the innovative network, by disseminating
information on the support networks, by sharing with them Federal
experience with specific innovative approaches and by soliciting
information about innovative approaches that the States have
successfully employed on their own. Some of the major approaches
which will be emphasized in FY 1992 are:
1. Pollution Prevention
In FY 1991, OE will have issued an interim policy on pollution
prevention in settlements, particularly encouraging its use:
1) where chemical substitution or process change offers the best
chance to end recurring violations; and 2) it creates no negative
impacts to other media. Several'cases with pollution prevention
conditions have already been concluded and the Regions and
programs are strongly encouraged to develop more.
FY 1991 will be the first year of the two year pilot project on
the use of pollution prevention conditions in Agency enforcement
settlements, with funds available to help Regions assess the
technical feasibility of industry pollution prevention plans
and/or to develop their own options. In FY 1992, in addition to
funding more settlements, the Office of Enforcement, along with
the media compliance programs, will begin analyzing concluded
settlements in order to assess the impact of pollution prevention
conditions on long-term compliance risk reduction and
environmental results which will be used to develop final Agency
policy on pollution prevention/settlement conditions in FY 1993.
Also in FY 1992, OE, in conjunction with the compliance programs
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and Regions, will be able to fund support for a limited number of
State pilot pollution prevention settlements. The Office of
Enforcement will continue to work with the Offices of Pollution
Prevention and Research and Development to continue to
disseminate information about industry-specific pollution
prevention technologies that can be used as settlement
conditions.
2. Contractor Listing/Suspension and Debarment
Contractor Listing authority prohibits Federal contracts, loans
or grants to facilities violating the Clean Air or Clean Water
Acts. Listing is mandatory for criminal violations, and
discretionary for civil violations of either Act. The Federal
Acquisition Regulation (FAR) includes procedures for barring
contractors from participating in Federal procurement based on
offenses such as fraud or lack of performance integrity. Both
are powerful deterrent tools to reinforce environmental
compliance. In FY 1991, a contractor listing initiative will
review ongoing violations for listing possibilities in an attempt
to make Regions more aware of the potential uses of this
sanction. Regions should continue to look for opportunities for
both discretionary and mandatory listing, especially for serious
violations of Administrative Orders and Consent Decrees utilizing
this and other sources of information. The Regions should also
make more use of suspension/debarment for violators of all
environmental statutes, repeat violators, and multi-media
violators.
3. Field Citations/NOVs
Field citations and Short Form Notices of Violations (NOVs)
are flexible tools that have been successfully used by the Mobile
Sources, UST, and PCB programs to 1) streamline the enforcement
process and reduce backlogs; and 2) maintain an enforcement
"presence" in a large regulated universe. During FY 1991, the
Agency will analyze ways to expand the use of field citations and
the Regions and several states will be asked to pilot them in
several Federal and State programs in FY 1992.
D. Strengthening the Current JState/Local/Federal Relationship
The States conduct most compliance inspections under the
delegations and approval process and are a fundamental part of
the enforcement effort. In FY 1992, Regions should use the
State/EPA enforcement agreements process to define state and
regional roles in targeting initiatives. Regions are encouraged
to use integrated (umbrella) agreements with the States at least
to address multi-media initiatives where appropriate to the state
structure and preferred state and regional working arrangements.
States are also encouraged to develop their own targeting and
enforcement plans, and to coordinate implementation with EPA.
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Regions should explore with States ways to more formally involve
local enforcement personnel in the strategic planning process
when authorities are specifically designated to carry out program
requirements.
In FY 1992, the Agency plans to develop and test a comprehensive
oversight approach including audit protocols and State-specific,
regional and national capacity building plans for State
enforcement program implementation. OE guidance on oversight,
efforts toward improved capacity building, and FY 1992 State/EPA
enforcement agreements process guidance will all attempt to
address some of the deficiencies noted in the Enforcement in the
1990/s project and subsequent colloquium that EPA is sponsoring
with outside groups.
E. Building New Institutional Relationships in Enforcement
As environmental regulations continue to bring more and smaller
sources under the regulatory umbrella, local governments
and other nontraditional agencies (e.g. fire departments,
building inspectors, etc.) can augment Federal and State efforts
in environmental enforcement. In FY 1991, OE, with the programs
and Regions, will identify which local programs and activities
may be most amenable to civil and criminal enforcement activity
at the local level, and identify possible funding needs and
sources. During FY 1992, each Regional program will be asked to
develop one new relationship with a local government in one of
the following areas: 1) reporting violations to Federal or State
agencies; 2) gathering evidence in support of Federal or State
enforcement actions; 3) enforcing Federal regulations (including
through the use of alternative sanctions); and 4) providing
additional compliance "outreach" to the regulated community. The
will then review the experience of the Regions and assess the
utility of this approach.
F. Training
The requirements of the Agencywide inspector training order
(3500.1) will be fully applicable and completely phased in by the
beginning of FY 1992. The training focus should shift to new
personnel as experienced staff have either been trained or
granted exceptions based on experience and prior training. OE
will continue to work with the programs to addresses issues of
implementation and coordination. Regions and programs should make
available to States materials used in Regional courses and/or
encourage State personnel to participate in Regional training as
time and resources permit. OE also will provide training
material to States through the four Regional associations.
While OE will continue to emphasize enforcement attorney
training, in FY 1992 it will also make significant progress
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towards coordinating all of the Agency's on-going enforcement
training activities under the "umbrella" of the National
Enforcement Training Institute in FY 1992. The Institute is
designed to conduct comprehensive environmental enforcement
training for Federal, State and local personnel, including
inspectors, investigators, case development technical and legal
personnel, and lab experts. While the complete scope of FY 1992
training activities will depend upon avai? asources, the
existing curriculum will be expanded to .. training in several
components of the Strategic PI in. ..eluding multi-media
inspections and the use of ^jilution prevention approaches.
G. Enforcement Cor- ...cations
Communications .ays a vital role in enforcement. The Agency
needs to ef fe :ively and accurately describe the enforcement
program's roi. in protecting the environment to promote
compliance and deter violators. During FY 1992, each Region
should issue its own enforcement accomplishments report and
press release to highlight Regional and State enforcement
achievements for FY 1991.
The programs and Regions also are expected to make further
progress in FY 1992 in the development and application of
alternative indicators of the impact of enforcement. By the end
of FY 1991 each of these offices will have tested at least one
measure of "success" previously developed. Measures will be
utilized on a regular basis during FY 1992, and the results
reported with other data; additional measures are expected
to be introduced during the course of the year. Suitable
measures will need to capture the benefits attributable to
enforcement actions taken against specific regulated parties and
also the deterrent effect generally resulting from enforcement
activities in that regulatory area.
III. Criminal Enforcement Program
In FY 1992, the criminal enforcement program will continue to
support the Headquarters and Regional single and cross-media
enforcement priorities. The criminal enforcement program will
continue existing efforts to become more fully integrated with
the compliance programs. Through improved internal
communications, the program envisions an increasing number of
criminal tips, leads, and referrals coming from EPA program
offices. The enormous deterrent effect of well-targeted criminal
cases will enhance program compliance goals and bolster the
credibility of the Agency's enforcement effort.
A key means to this goal is the full implementation of the
Regional Case Screening Guidance, through which the Regional
media program enforcement officials and criminal enforcement
personnel will screen violations and select for criminal
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8
investigation those cases which (1) address priority violations
and (2) have one or more of the aggravating factors indicating
potential criminality. Special Agents and Regional criminal
enforcement attorneys will continue to help implement the
screening process through periodic and routine meetings with
Regional program personnel to exchange information regarding
program priorities and suspected violators.
With the passage of the Pollution Prosecution Act of 1990, EPA's
criminal enforcement program may grow dramatically in the numbers
of Special Agents and support personnel. In addition to
recruiting experienced law enforcement professionals, every
reasonable effort will be made to recruit from the ranks of
experienced EPA civil inspectors and other program personnel
those individuals who meet the qualifications for selection as
EPA criminal investigators. Over the long term, having within
the Office of Criminal Investigations a cadre of former Agency
program personnel will further assist the integration of criminal
enforcement. The careful selection, training, and orientation of
all new Special Agents and support personnel will be an annual
priority for the program. Some of the new Agents will be
assigned immediately to bolster ongoing investigative efforts to
uncover environmental violations on the Mexican and Canadian
borders, where we suspect widespread violations of RCRA, TSCA,
and FIFRA involving transboundary shipments of wastes.
Through a network of Regional Criminal Enforcement Counsels
(RCECs) under the Offices of Regional Counsel, the Special
Agents in the field have direct access to EPA legal support.
Strengthening the capability and the usefulness of this source of
support to the Special Agents will continue to be a priority.
The Regions will be delegated more responsibility, while the
case-specific role of Headquarters attorneys will be limited to
cases which are precedential, international, or nationally
significant. Concurrent with the delegation of increased case-
specific responsibility to the Regions, a new program of
independent, management reviews of criminal enforcement in the
Regions will be constituted, to assure that the criminal
enforcement program continues to operate at the same high level
of excellence that it has demonstrated to date. Because of the
multi-media, complex, and high-stakes (and thus sensitive and
visible) nature of criminal enforcement, the program will remain
a national one and will not be fully delegated to the Regions.
The Office of Criminal Enforcement at Headquarters will also
support the field by providing top-level management of the
Special Agents, improving the criminal enforceability of
legislation and regulations, maintaining liaison with
international, interagency, and intra-agency (EPA Headquarters)
offices with an interest in criminal enforcement, and assuring
that training is provided for field personnel. Like the Regional
contingents of criminal enforcement personnel who operate as part
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of the Regional case screening process, the Headquarters unit
will share the goal of assuring the fullest possible
participation by all EPA personnel who would improve the
application of criminal enforcement The result should be
that this potent enforcement tool is deployed with the closest
possible attention to the needs and priorities of EPA media
program offices.
In FY 1992, the Agency will take steps to enhance criminal
enforcement at the State and local level. OE will take steps to
seek more complete and accurate reporting of environmental crimes
data at the State and local level, working through mechanisms
such as the four Regional association networks. The criminal
enforcement program and NEIC will also will continue to provide
training in criminal enforcement techniques to State and local
personnel through the association networks and FLETC.
IV. Federal Facilities Programs
A. Federal Activities Programs
The Office of Federal Activities (OFA) is responsible for
coordinating with Federal agencies on major projects and
ensuring that those agencies conduct their activities in as
environmentally sound manner as possible. It will manage three
broad programs in FY 1992: 1) Environmental review under the
National Environmental Policy Act (NEPA) and Section 309 of the
Clean Air Act; 2) EPA compliance with NEPA and related laws and
directives; and 3) oversight of EPA's program to ensure
environmental protection on Indian lands.
1. Environmental Review Program (ERP)
The focus of this program is on prevention of environmental
problems and ecological damage from proposed major Federal
projects and activities. Priority activities which will
be maintained in FY 1992 include: 1) reviewing all draft
environmental impact statements (EISs); 2) targeting final EISs
and follow-up activities to ensure that resources are
concentrated on those projects with significant environmental
problems; and 3) targeting EPA high priority areas that are
affected by Federal agency activities.
In FY 1992, OFA will also conduct initiatives consistent with the
strategic Plan. First, OFA will continue to target pollution
prevention in those Federal agency activities that will result in
significant environmental impacts. It will focus its pollution
prevention efforts using two primary criteria: 1) sensitive
environmental areas for special consideration and 2) high
priority problem areas where the Agency's direct regulatory
authority is weak and Federal agencies are significant players.
On the basis of the second criterion, the FY 1992 ERP program
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10
will target mining activities and non-point source pollution on
Federal lands. Second, OFA will work with the Council on
Environmental Quality (CEQ) to emphasize implementation of NEPA's
pollution prevention goals. Third, OFA will work to ensure that
environmentally significant issues are dealt with as a first
priority and ensure early communication of Agency concerns to
Federal agencies and the community.
2. NEPA Compliance
The focus of this program is on ensuring EPA compliance with the
goals and/or requirements of NEPA and related laws and
regulations. Major FY 1992 activities include: 1) providing
technical assistance to state environmental agencies carrying out
reviews for State Revolving Funds;, 2) assisting other EPA program
offices with site-specific evaluations; 3) acting as a
cooperating agency with lead Federal agencies proposing projects
that impact EPA's regulatory responsibility areas; 4) increasing
efforts to assure that EPA complies with NEPA on its new source
NPDES permits, research and development and facilities
activities; 5) improving communication with other Federal
agencies responsible for implementing environmental laws and
orders with which EPA must comply and assisting EPA programs in
that compliance; and 6) evaluating the effectiveness of NEPA
compliance efforts on selected projects.
OFA will continue to focus on ensuring that EPA avoids
unanticipated environmental impacts from its decisions promoting
information exchange with the public about the impacts of
proposed EPA actions; and assisting in the development of Agency-
wide and program-specific ecological risk assessment procedures.
Further, under the NEPA compliance program, OFA works with the
EPA Office of International Activities to assist the Treasury
Department, the State Department and the Agency for International
Development in nurturing the environmental review capabilities of
developing countries and multilateral lending agencies.
3. Indian Program
The Indian Program is designed to ensure environmental protection
on Indian lands. The FY 1992 objective is to continue to develop
the Program with an emphasis on developing tribal capacity to
identify and respond to current and potential environmental
problems and to enforce tribal ordinances as well as Federal
statues upon their delegation to the tribes.
Some of the significant FY 1992 activities under this program
include: 1) increasing direct programmatic activity on
reservations; 2) providing direct technical assistance to tribal
governments; 3) assisting tribes with the development of tribal
environmental management plans; 4) strengthening outreach and
liaison activities with tribal governments; 5) strengthening
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11
external liaison with Indian tribal organizations and other
Federal agencies; and 6) conducting an inventory of environmental
conditions and needs on Indian lands.
B. Federal Facilities Enforcement Program
In response to intensified national concern, environmental
cleanup and compliance at Federal facilities has become one of
the Agency's highest priorities. The Office of Federal
Facilities Enforcement (OFFE) was created in FY 1990 as a
comprehensive, multi-media enforcement office devoted to this
task. In FY 1992, OFFE, in conjunction with the media program
offices, Regions, States, and other Federal agencies, will
utilize its unique position to significantly reduce the
environmental and public health risks and create adequate
incentives to ensure that Federal facilities show the leadership
necessary to become models of compliance.
In FY 1992, OFFE will pursue four major program areas:
environmental restoration activities under CERCLA and RCRA as a
means of reducing the most significant long-term threats posed by
Federal facilities, and making sure these efforts are closely
coordinated with OSWER; regional implementation of our multi-
media enforcement strategy as a means of improving Federal
compliance rates; support for innovative technology development
and pollution prevention principles at all levels of our
programs; and finally, strategic planning activities internally,
with other Headguarters offices, and with the Regions, throughout
the year in order to more effectively leverage Agency resources.
1. Environmental Restoration
Environmental restoration will continue to be a primary program
emphasis throughout the year. It is expected that by the start
of FY 1992, all 116 Federal facilities which are on the National
Priorities List will be subject to an enforceable Interagency
Agreement (IAG), the fundamental enforcement vehicle for Federal
facilities under the Superfund program. Regions should continue
to provide aggressive oversight through the IAG to ensure that
Federal response efforts are timely and thorough, and that
schedules are met. As sites proceed to the remedial action
phase, Regions must also ensure that all opportunities to
streamline the response process are exercised, working closely
with Federal agencies to utilize expedited response actions
(ERA'S) at any point in the process. As experience with the
Superfund program has indicated, ERAs greatly help control costs
while speeding the pace of cleanups.
To promote leveraging of Agency resources, Regions should seek
enforceable cleanup agreements, such as CERCLA section 106 orders
and RCRA section 3008(h) orders, wherever responsible Federal
agencies can be identified. These enforcement tools will be used
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12
at non-NPL Federal facilities and third party sites involving
Federal facilities, such as at DOD surplus materials sites
whenever warranted.
To address the significant Federal agency funding shortfalls and
resultant cleanup schedule delays which are anticipated to occur
as numerous sites initiate cleanup activities in the years to
come, OFFE will use FY 1992 to convene a dialogue on the
development of a national prioritization system. Successful
completion of this project will require a consensus position
between Federal agencies, States, and other concerned parties.
Finally, in conjunction with ORD, ORP, other Federal agencies,
and States, OFFE will pursue the development and testing of
innovative technologies at Federal facilities. While there are
numerous benefits associated with innovative technology
development, the most important include reduced costs, expedited
cleanups, and more effective solutions.
2. Environmental
While the quality of Federal agency environmental programs has
been improving, compliance rates have continued to lag the
private sector. Given the limited success the Agency has had in
improving these rates, more sophisticated techniques must now be
employed to improve Federal performance. In FY 1991, OFFE, in
cooperation with Regional and Headquarters program offices, will
have developed a multi-media enforcement strategy which contains
budget incentives for implementation in FY 1992.
The first component of the FY 1992 Federal facility compliance
program will focus on targeting priority facilities through the
Federal Facility Tracking System (FFTS). To be developed in FY
1991, the FFTS is a computerized data base which links
enforcement data from each of the primary media data bases.
OFFE, in conjunction with regional offices, NEIC and State
personnel, will develop multi-media strategic targeting using
criteria similar to those used at private sites.
Joint EPA and state multi -media inspections at targeted
facilities will constitute the second phase of the enforcement
strategy in FY 1992. Interdisciplinary regional and, as
appropriate, state teams should then develop timely enforcement
responses at non-compliant facilities. Settlements will, to the
maximum extent practicable, incorporate pollution prevention
principles and consider efficiencies that can be created through
Agency or Department-wide solutions. Proper communication and
tracking of enforcement actions are critical for leveraging
limited resources. Regions and States are expected to take all
necessary steps to ensure accurate data on compliance and the
status of enforcement actions in the media data bases.
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13
To foster compliance prior to formal enforcement, inspectors will
be encouraged to provide information on pollution prevention
principles and OFFE will continue to promote environmental
auditing and pollution prevention through annual multi-media
conferences for Federal facilities in each of the ten Regions,
consistent with the separation of the enforcement and technical
information functions for inspectors.
Regional Federal facility coordinators will be responsible for
implementation of all phases of the Federal facilities multi-
media enforcement program. FFCs will continue to improve Federal
agency understanding of enforceerant requirements through
extensive outreach efforts, such"as conducting multi-media
federal facilities conferences and roundtables.
3. Strategic Planning Initiatives
In addition to developing internal policy and supporting
legislative activities, OFFE will work with the Regions to
formulate effective enforcement strategies. Regions will play a
vital role in defining targeting principles, enforcement
strategies, and settlement procedures. OFFE will also work with
appropriate Headquarters offices in coordinating multi-media case
development, in developing multi-media budgeting incentives, in
defining pollution prevention opportunities, assessing technology
development options, and in establishing personnel monitoring
programs.
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CHANGE TO STARS DEFINITIONS
OFA/E-4: For each media program report:
a. the number and names of Federal facilities impacted
during the quarter, with dates of inspections;
b. compliance status of each inspected facility; and
c. date and type of enforcement action (with quarterly
updates).
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Appendix: Strategic Targeted Activities for Results
System (STARS) FY 1992 Measures
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OFFICE OF WATER
FY 1992
Office of Marine and Estuarine Protection
GOAL: TO PROTECT, RESTORE AND MAINTAIN THE NATION'S COASTAL AND MARINE WATERS TO SUBSTAIN LIVING
RESOURCES, PROTECT HUMAN HEALTH AND THE FOOD SUPPLY, AND RECOVER FULL RECREATIONAL USE OF
SHORES, BEACHES AND WATERS.
ENVIRONMENTAL INDICATOR: Biotic Integrity
DEFINITION: Measure coastal biotic integrity
DATA SOURCE: OW is beginning a multi-agency effort in 1991 to develop a nationally accepted set of
measurements.
ENVIRONMENTAL INDICATOR: Dead Zones
DEFINITION: Measure extent of coastal hypoxia
DATA SOURCE: OW will work with ORD's EMAP program and NOAA to explore the feasibility of using
satellite imagery and remote sensing for measuring this.
ENVIRONMENTAL INDICATOR: Habitat
DEFINITION: Measure critical coastal and marine habitats, such as submerged aquatic vegetation,
coral reefs, tidal flats, etc.
DATA SOURCE: OW will work with ORD, NOAA, USFWS and USGS to develop these measures.
3/91 OW-1
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OFFICE OF WATER
FY 1992
Office of Marine and Estuarine Protection
GOAL: TO PROTECT, RESTORE AND MAINTAIN THE NATION'S COASTAL AND MARINE WATERS TO SUBSTAIN LIVING
RESOURCES, PROTECT HUMAN HEALTH AND THE FOOD SUPPLY, AND RECOVER FULL RECREATIONAL USE OF
SHORES, BEACHES AND WATERS.
ENVIRONMENTAL INDICATOR: Shellfish Bed Closure Baseline
DEFINITION: Measure Shellfish Bed closures.
DATA SOURCE:
State agencies currently classify shellfish areas based on fecal coliform levels.
National standards have been developed by FDA for total and fecal coliforms and are
used by all States making this the best current indicator of pathogen related water
quality problems. However, there are concerns about the link between fecal coliform
and true human health risk. EPA will work with NOAA and the FDA to determine the
feasibility of using this information as a baseline.
ENVIRONMENTAL INDICATOR: Beach Closure Baseline
DEFINITION: OW is reviewing the standards deemed acceptable for swimming and other forms of contact
recreation.
DATA SOURCE:
Local and State health agencies are responsible for monitoring water quality at
swimming beaches and other waters for contact recreation and for protecting the public
by closing waters not meeting standards for such uses. Considerable differences exist
among States, and even between many neighboring localities, in the standards deemed
acceptable. In addition, major variations exist in monitoring frequency and sampling
strategies resulting in little if any statistical comparability.
3/91
ow-2
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OFFICE OF WATER
FY 1992
Office of Marine and Estuarine Protection
GOAL: TO PROTECT, RESTORE AND MAINTAIN THE NATION'S COASTAL AND MARINE WATERS TO SUBSTAIN LIVING
RESOURCES, PROTECT HUMAN HEALTH AND THE FOOD SUPPLY, AND RECOVER FULL RECREATIONAL USE OF
SHORES, BEACHES AND WATERS.
ENVIRONMENTAL INDICATOR: Marine Debris Baseline
DEFINITION: Measure Marine debris
DATA SOURCE: EPA has funded the center for Marine Conservation which conducts numerous marine debris
surveys annually. Local citizen groups volunteer to pick up debris and record data on
the type and volume of debris collected. EPA and NOAA are currently funding a study to
develop a standardized, statistically valid data collection methodology. Over
time, information from surveys should be instructive in determining the amount of
marine debris collected and forecasting amount that remains in the marine environment.
ENVIRONMENTAL INDICATOR: Industrial Waste Baseline
DEFINITION: Report the number of municipalities in compliance with the Ocean Dumping Ban Act
(ODBA).
DATA SOURCE: ODBA requires the elimination of sludge dumping by December 31, 1991. Currently, nine
municipalities are authorized to use the 106-mile site, and all of these, with the
exception of New York City, will cease dumping by the deadline. NYC plans to cease
dumping by June 30, 1992, with an interim phase-down to 80 percent of current levels by
the 1991 deadline. OMEP, Region 2, currently report on the number of municipalities in
compliance.
3/91
OW-3
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OFFICE OF WATER
FY 1992
Office of Marine and Estuarine Protection
GOAL: TO PROTECT, RESTORE AND MAINTAIN THE NATION'S COASTAL AND MARINE WATERS TO SUBSTAIN LIVING
RESOURCES, PROTECT HUMAN HEALTH AND THE FOOD SUPPLY, AND RECOVER FULL RECREATIONAL USE OF
SHORES, BEACHES AND WATERS.
ENVIRONMENTAL INDICATOR: Dredged Material Baseline
DEFINITION: Monitor the designation of dredged material disposal sites.
DATA SOURCE: OW intends to track the number of sites for which management and monitoring programs
are established. Greater than 90 percent of the total volume of material dumped in the
ocean consists of sediment dredged from U.S. harbors and channels. OW needs to work
closely with the Corps of Engineers to minimize the impacts of this disposal.
3/91 OW-4
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OFFICE OF WATER
FY 1992
Program Area; Office of Wetlands Protection
GOAL: NO NET LOSS OF THE NATION'S WETLANDS
ENVIRONMENTAL INDICATOR: Wetlands Acreage
DEFINITION: Physical inventoryacreage as aggregated nationally, regionally and per community
type. Data is collected every ten years. Data is at such a macro-level that it is not now
universally useful below a national level. EPA will be exploring the feasibility and costs of
making the data more useful as an environmental indicator at the state, regional or watershed level,
An annual report .will be made on the status of this project.
DATA SOURCE: National Wetlands Inventory Status and Trends, U.S. Fish and Wildlife Service
3/91 OW-5
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OFFICE OF WATER
FY 1992
Area? Water Qualit Plannin. Standards and Assessments
GOAL: RESTORE, MAINTAIN AND PROTECT AND ECOLOGICAL INTEGRITY OF THE NATION'S WATER RESOURCES.
ENVIRONMENTAL INDICATOR: Waterbodies Assessed Under Section 305 (b)
DEFINITION: Report, in the fourth quarter, the total size of waterbodies assessed by the States
either through monitoring or evaluation, according to EPA Guidance for Section 305 (b)
reports. Report the total size of waterbodies fully, partially and not supporting
designated uses, and the total size threatened.
This measure requires that the total size of stream miles, lake acres, estuary square
miles, coastal miles, and Great Lakes shoreline miles assessed by the States,
Territories, Interstate Commissions, and qualified Indian Tribes be reported in the
fourth quarter. In addition, the water quality status of the waters (i.e., whether
designated uses are fully, partially, or not supported, or whether designated uses are
fully, partially, or not supported, or whether the waters are fully supporting uses but
threatened) should also be reported for this measure.
The Section 305 (b) guidelines establish two categories of assessed waters: monitored
waters for which current site-specific monitoring data exist, and evaluated waters for
which there are other types of data such as land use information and ambient data older
than five years. These two categories provide a general level of confidence for most
of 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, estuary). Consult the WBS User's Guide for additional guidance.
DATA SOURCE: Guidelines for the Preparation of the 1990 State Water Quality Assessment and future
editions. Relevant data contained in State NPS Management Programs and Assessments and
Sections 106/604 (b) Work Programs.
3/91
OW-6
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OFFICE OF WATER
FY 1992
Program Area; Office Of Drinking Water
GOAL: PUBLIC WATER SYSTEM SUPERVISION PROGRAM (PWSS): PROTECT THE QUALITY OF DRINKING WATER
OBJECTIVE: Protect public health through ensuring compliance
with drinking water standards.
ACTIVITY; Reduce noncompliance with existing drinking water
standards.
MEASURE; (a) Negotiate, with each State, annual targets for the
number of Significant NonCompliers (SNCs) and the
number of exceptions that will be appropriately
addressed or returned to compliance by June 1, 1992,
and reported to ODW by June 22, 1992 for each of the
two categories listed below. The target numbers will
be based on the number of SNCs occurring as of the
compliance period ending March 31, 1991, and the number
of exceptions existing as of June 1, 1991 (both will be
contained on the July 1991 SNC/Exception Report).
1) micro/turbidity/TTHM SNCs and exceptions 2) chem/rad
SNCs and exceptions (Note: data are lagged one
quarter.)
MEASURE: (b) Report, using the SNC/Exception Report format,
against all SNCs, those systems that: returned to
compliance; had an appropriate enforcement action taken
against them; remained unresolved; or became exceptions
this quarter. Report separately for each of the
following two groups: (Note: Date are lagged one
quarter.)
1) micro/turbidity/TTHM SNCs
2) chem/rad SNCs
STARS CODE: DW/E-1
TARGETED: Q 3
REPORTED ONLY: Q 3
SUNSET:
STARS CODE: DW/E-2
TARGETED:
REPORTED ONLY: Q 1,2,3,4
SUNSET:
3/91
OW-1
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OFFICE OF WATER
FY 1992
Program Areat Office Of Drinking Water
GOAL: PUBLIC WATER SYSTEM SUPERVISION PROGRAM (PWSS): PROTECT THE QUALITY OF DRINKING WATER
MEASURE: (c) 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
remained exceptions as of this quarter. Report
separately for each of the following two groups:
1) micro/turbidity/TTHM exceptions
2) chem/rad exceptions (Note: data are lagged one
quarter)
.ACTIVITY: Demonstrate accomplishments in maintaining active
State/Federal enforcement programs, including accomplishments for
Federal Facilities.
MEASURE: Report, State by State: (1) 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.
(2) the number of State administrative orders;
bilateral compliance agreements; civil cases referred
to State Attorneys General (AGs), 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: State data are lagged 1 quarter)
STARS CODE: DW/E-3
TARGETED:
REPORTED ONLY: Q 1,2,3,4
SUNSET:
STARS CODE: DW/E-4
TARGETED:
REPORTED ONLY: Q 1,2,3,4
SUNSET:
3/91
OW-2
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OFFICE OF WATER
FY 1992
Program Area; Office Of Drinking Water
GOAL: PUBLIC WATER SYSTEM SUPERVISION PROGRAM (PWSS): PROTECT THE QUALITY OF DRINKING WATER
ACTIVITY; Reduce population exposed to contaminants in drinking
water through the adoption and implementation of regulations
pursuant to the 1986 SDWA Amendments.
MEASURE; Report by State those which have adopted new STARS CODE: DW\E-5
regulations, States which have received EPA approval of TARGETED:
a primacy revision application, and States which have REPORTED ONLY: Q 1,2,3,4
received approvals for an extension. SUNSET:
3/91 OW-3
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OFFICE OF WATER
FY 1992
Office of Drinking Water. Definitions
DW/E-l ANNUAL TARGETS FOR SNC/EXCEPTION RESOLUTION
Each Region shall negotiate with each State, annual targets for the number of SNCs and the number of
exceptions that will be appropriately addressed or returned to complinace by June 1, 1992. 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 1991 SNC/Exception Report which will be provided by ODW to the
Regions in mid to late July 1991. This report will include the systems identified as SNCs for the
first time as of the compliance period ending March 31, 1991; those previously identified for which
"timely and appropriate" has not expired and the systems identified by the Regions as exceptions as
of June 1, 1991. Targets shall be set based on the number of those SNCs and exceptions that will be
appropriately addressed or returned to compliance by June 1, 1992. 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:*
1. Microbiological/Turbidity:
(a) Systems on monthly monitoring:
4 or more violations of the microbiological or turbidity MCL during any 12 consecutive months.
6 or more combined "major"* violations of the microbiological or turbidity monitoring/reporting
requirements and/or violations of the microbiological or turbidity MCL during any 12 consecutive
months.
10 or more combined microbiological or turbidity monitoring/reporting ("major" or "minor"**)
and/or MCL violations during any 12 consecutive months.
(b) Systems on quarterly monitoring:
2 or more violations of the microbiological MCL during any 4 consecutive quarters.
3/91 OW-4
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OFFICE OF WATER
FY 1992
Office of Drinking Water. Definitions
- 3 or more combined "major" violations of the microbiological monitoring/reporting requirements
and/or MCLs during any 4 consecutive quarters.
(c) Systems on annual monitoring:
- 2 or more combined "major" violations of the microbiological monitoring/reporting requirements
and/or MCLs during any 2 consecutive one-year periods.
2. Chemical/Radiological
(a) Exceeds the unreasonable risk to health level identified for. that contaminant (Unreasonable risk
to health guidance/criteria will be distributed under separate cover.)
(b) Fails to monitor for or report the results of any of the currently regulated contaminants for 2
consecutive compliance periods.
* A "major" monitoring/reporting violation is one where no samples were taken or results reported
during a compliance period.
** A "minor" monitoring/reporting violation is one where an insufficient number of samples were
taken or results reported during a compliance period.
Note: The SNC definition has been revised to cover the Surface Water Treatment Rule and the new
Total Coliform Rule. This definition will be issued shortly. It will be revised in mid FY1991 to
cover the new Lead and Copper rule as well as the Phase II rule. Regions will be provided with
these definitions as soon as they are available.
3/91 OW-5
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OFFICE OF WATER
PY 1992
Office of Drinking Water. Definitions
DW/E-2 RESOLUTION OF SNCs
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: l)
micro/turbidity/TTHM 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.
"Returned to Compliance" for SNCs of a chemical or radiological analytical level is conducting
analyses that demonstrates that the system no longer exceeds the MCL.
"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 is eight months after the system became an SNC. (Two months for the State to
determine, and become aware of, the system's SNC status and six months in which to take the
follow-up/enforcement action. "Take" means: issue a final administrative order, reger a civil
case, file a criminal case or issue a bilateral compliance agreement. Proposed or draft actions are
considered "taken")
3/91 OW-6
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OFFICE OF WATER
FY 1992
Office of Drinking Water. Definitions
An "exception" is a system which was: a) a SNC which has not returned to compliance or was not
addressed timely and/or appropriately, b) a SNC previously addressed appropriately which fails by
more than 60 days to meet a milestone of a compliance schedule, or c) a SNC system appropriately
addressed by referring a civil or criminal case to the State AG but which has not been filed within
120 days of the referral.
DW/E-3 RESOLUTION OF 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/TTHM
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 STATE/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 "SDWA 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. This measure will be
compiled all four quarters during FY '92. 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.
3/91 OW-7
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OFFICE OF WATER
FY 1992
Office of Drinking Water. Definitions
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 '92 Enforcement
Resources Model. Criminal charges filed by the AGs include criminal indictments and criminal
informations.
DW/E-5 STATE ADOPTION OF NEW REGULATIONS
Regions will report for each new drinking water regulation (VOCs, SWTR, TC, Lead and Copper, Phase
II and any other regulation promulgated in FY 1991) those States which have adopted newly
promulgated national primary drinking water regulations and the date these rules were adopted.
Regions will also report those States which have received EPA approval of their primacy program
revision application and the States which have received approval of any extension.
Note: ODW will provide the form for this report. Regions are already providing this
information to Headguarters.
3/91 OW-8
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OFFICE OF WATER
FY 1992
Program Area; Ground-Water Protection
GOAL: THE OVERALL GOAL OF EPA'S GROUND-WATER POLICY IS TO PREVENT ADVERSE EFFECTS TO HUMAN HEALTH
AND THE ENVIRONMENT AND TO PROTECT THE ENVIRONMENTAL INTEGRITY OF THE NATION'S GROUND-WATER
RESOURCES
OBJECTIVE: Strengthen States' capability to develop/implement
programs which focus on the comprehensive protection of ground-
water resources.
ACTIVITY: Support efforts of Deputy Regional Administrators and
States in developing and implementing State Comprehensive Ground-
Water Protection Programs.
MEASURE; Regions will report: STARS CODE: GW-1
TARGETED:
1) activities supporting Deputy Regional Administrator measures REPORTED ONLY: Q 1,2,3,4
to provide Regional cross-program integration in support of SUNSET:
Comprehensive Ground-Water Protection Programs;
2) State progress in moving toward the development and
implementation of Comprehensive Ground-Water Protection
Programs.
3/91 OW-9
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OFFICE OF WATER
FY 1992
Program Area; Ground-Water Protection
GOAL: THE OVERALL GOAL OF EPA'S GROUND-WATER POLICY IS TO PREVENT ADVERSE EFFECTS TO HUMAN HEALTH
AND THE ENVIRONMENT"AND TO PROTECT THE ENVIRONMENTAL INTEGRITY OF THE NATION'S GROUND-WATER
RESOURCES
OBJECTIVE: Promote risk reduction efforts and prevent the
contamination of current or potential drinking water resources
through wellhead protection activities.
ACTIVITY; Assist States in the development and implementation of
Wellhead Protection Programs.
MEASURE: Track, against regional targets, the number of States
having EPA approved Wellhead Protection Programs.
STARS CODE: GW-2
TARGETED: Q,1,2,3, 4
REPORTED ONLY: Q,1,2,3,4
SUNSET:
3/91
OW-10
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OFFICE OF WATER
FY 1992
Ground-Water Protection Definitions
GW-1 STATE COMPREHENSIVE GROUND-WATER PROTECTION PROGRAMS
This measure:
1) identifies Regional ground-water office contribution to Deputy Regional Administrator efforts
aimed at improving both coordination among EPA/State grant workplans and consistency in
implementation of regulations where these activities are related to ground-water protection;
2) for each state, describes the state's efforts to; 1) complete self-assessment of ground-water
protection program and, 2) identify and prioritize gaps in current protection efforts which will be
filled in order to develop a fully Comprehensive Ground-Water Protection Program. Self-assessments
should also specify those Federal regulations and programs needing modification or further
integration to ensure the development of a Comprehensive Program.
GW-2 WELLHEAD PROTECTION PROGRAMS
This measure reflects the national objective of having all States with approved Wellhead Protection
Programs.
3/91 OW-11
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Proaram Area:
OFFICE OF WATER
FY 1992
Underaround Infection Control
GOAL: PROTECT UNDERGROUND, SOURCES OF DRINKING WATER FROM ENDANGERNENT BY SUBSURFACE EMPLACEMENT OF
FLUIDS THROUGH WELLS
OBJECTIVE: Completing and Maintaining the National Regulatory
Framework
ACTIVITY: Assure that injection wells maintain mechanical
integrity.
MEASURE; 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.
ACTIVITY; Ensure that any potential endangerment to USDWs is
identified.
MEASURE: 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.
ACTIVITY; Maintain a high level of compliance through enforcement
activities.
MEASURE: 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.
STARS CODE: DW-2
TARGETED: Q 1,2,3,4
REPORTED ONLY: Q 1,2,3,4
SUNSET:
STARS CODE: DW/E-6
TARGETED:
REPORTED ONLY: Q 1,2,3,4
SUNSET:
STARS CODE: DW/E-8
TARGETED:
REPORTED ONLY: Q 1,2,3,4
SUNSET:
3/91
OW-12
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Program Area;
OFFICE OF WATER
FY 1992
Underground Injection Control
GOAL: PROTECT UNDERGROUND SOURCES OF DRINKING WATER FROM ENDANGERMENT BY SUBSURFACE EMPLACEMENT OF
FLUIDS THROUGH WELLS
MEASURE; 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.
OBJECTIVE; Reducing risks through geographic targeting
ACTIVITY; Reduce risks to public health and the environment
MEASURE; Report, by Region, for EPA, States and Indian Tribes
with primacy the number of Class IV and endangering
Class V injection well closures (by well type) achieved
under UIC authority or in conjunction with other
regulatory programs such as RCRA, UST, CERCLA, for
example, or under well head protection efforts.
STARS CODE: DW/E-9
TARGETED:
REPORTED ONLY: Q 1,2,3,4
SUNSET:
STARS CODE: DW/E-10
TARGETED:
REPORTED ONLY: Q 1,2,3,4
SUNSET:
3/91
OW-13
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OFFICE OF WATER
FY 1992
Underground Injection Control Definitions
DW-2 VERIFY MECHANICAL INTEGRITY TESTS fMIT)
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 USDW 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
Ir 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 noncompliance" 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 judical order,
consent agreement, judgement of 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 focuses on injection well owners/operators that have remained in SNC for 90 or more
consecutive days and there has been no formal enforcement action. The primacy agency will track the
owner/operator on the Exceptions List until return to compliance, or the primacy agency transfers
the enforcement responsibility to the civil or criminal justice system or out of the UIC program.
3/91 OH-14
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OFFICE OF WATER
FY 1992
Underground Injection Control Definitions
DW/E-9 ADMINISTRATIVE ORDERS
This measure provides an indication of how many and what types of administrative enforcement
actions, EPA, States and Indian Tribes with primacy are taking when violations are discovered.
Report, the number of proposed EPA AOs, equivalent actions by State and Indian Tribes with primacy,
and the total number of Sect. 1431 emergency orders issued by well 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. ~
DW/E-10 CLASS IV/V WELL CLOSURES (See: UIC Program Guidances #62 on ranking endangering Class V
wells and #66 on Class IV and the TC Rule.)
Class IV includes any unauthorized hazardous waste (defined under RCRA) injection practice that
typically discharges directly into or above a USDW or violates CFR 144.13.
Endangering Class V well types ranked by priority for permit and enforcement actions include
industrial drainage, industrial waste disposal, motor vehicle facility waste disposal and any other
Class V well(s) that the Region has identified as special problems.
Well closure describes a process to permanently discontinue injection of an unauthorized and
endangering fluid contaminant which is in violation of RCRA or SDWA or applicable regulations. At
this time, closure Bust include immediate cessation of injection of unauthorized waste stream to
satisfy SDWA requirements. To satisfy both SDWA and RCRA, well closure may require additional
actions:
3/91 OW-15
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OFFICE OF WATER
FY 1992
Underground Infection Control Definitions
Remove injection fluids deposited in well, sludge and any visibly contaminated soil.
Segregate hazardous waste streams from sanitary waste streams (septic system) and redirect HW to
holding tank.
Restrict injection to authorized waste stream.
Seal floor drain.
Obtain authorized sewer hook-up.
Remove well, injectate and contaminated soil; dispose in authorized facility.
Imminent threat to USDW may require monitoring and ground-water remediation.
3/91 OW-16
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OFFICE OF WATER
FY 1992
Office of Marine and Estuarine Protection
GOAL: TO PROTECT, RESTORE AND MAINTAIN THE NATION'S COASTAL AND MARINE WATERS TO SUSTAIN LIVING
RESOURCES, PROTECT HUMAN HEALTH AND THE FOOD SUPPLY, AND RECOVER FULL RECREATIONAL USE OF
SHORES, BEACHES AND WATERS.
OBJECTIVE:
ACTIVITY;
MEASURE;
Improve the management of dredged materials.
Prepare environmental impact stantements and rule
making packages for Ocean Dumping site designation.
Track, by Region, progress against quarterly targets
for:
- number of final environmental impact statements,
and
- number of sites designated.
OBJECTIVE: Build institutions within the Chesapeake Bay to meet
environmental obj ectives.
ACTIVITY; Achieve the commitments made in the 1987 Chesapeake
Bay Agreement by the year 1992.
MEASURE; Track against targets the cummulative number of
commitments in the 1987 Agreement that have been
completed.
OBJECTIVE: Build joint Federal/State capacity to meet
environmental objectives.
ACTIVITY: 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.
STARS CODE: WQ-1
TARGETED:
REPORTED ONLY: Q,1,2,3,4
SUNSET:
STARS CODE: CB-1
TARGETED:
REPORTED ONLY: Q,2,4
SUNSET:
3/91
OW-17
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OFFICE OF WATEft
FY 1992
Office of Marine and Estuarine Protection
GOAL: TO PROTECT, RESTORE AND MAINTAIN THE NATION'S COASTAL AND MARINE WATERS TO SUSTAIN LIVING
RESOURCES, PROTECT HUMAN HEALTH AND THE FOOD SUPPLY, AND RECOVER FULL RECREATIONAL USE OF
SHORES, BEACHES AND WATERS.
MEASURE; Track, by Regional progress, against semi-annual
accomplishments:
- completion of draft CCMP
- completion of final CCMP
As scheduled in EPA/State Conference agreement.
STARS CODE: NEP-1
TARGETED: Q,2,4
REPORTED ONLY: Q,2,4
SUNSET:
OBJECTIVE: Build institutions within the Great Lakes to meet
environmental objectives.
ACTIVITY; Achieve the various objectives of the Great Lakes
Water Quality Agreement of 1978, as amended in 1987,
MEASURE; Track against targets the cummulative number of
commitments that have been completed in the Great
Lakes Water Quality Agreement.
STARS CODE: GL-1
TARGETED: (To be decided)
REPORTED ONLY:
SUNSET:
3/91
OW-18
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OFFICE OF WATER
FY 1992
Office of Marine and Estuarine Protection
WO-l OCEAN DISPOSAL PERMITS
The number of final environmental impact statements (EISs) - 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 (MOD) between the Region and the Corps of Engineers District Office, and will
prepare EISs for other 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.
The 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 other disposal 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 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 guality, 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. They 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
draft and final CCMP is to be reported by the Office of Water to the Deputy Administrator on a semi-
annual basis.
3/91 OW-19
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OFFICE OF WATER
FY 1992
Office of Marine and Estuarine Protection
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 with Canada. The priority commitments under the Agreement relate to development
and implementation of Remedial Action Plans and Lakewide Management Plans, conduct of Assessment and
Remediation of Contaminated Sediment projects, and continuing water, air, fish, and sediment
monitoring and sampling programs.
3/91 OW-20
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OFFICE OF WATER
FY 1992
Program Area; Office of Wetlands Protection
GOAL: NO NET LOSS OF THE NATION'S WETLANDS
OBJECTIVE: To build a stronger constituency for wetlands
protection and improve dialogues with affected sectors. Use
geographic targeting to address specific ecological problems,
take advantage of state and local capabilities.
ACTIVITY: To utilize non-regulatory and anticipatory approaches
in protecting wetlands
MEASURE: Number of advance identifications completed
MEASURE; Number of major public education and outreach
initiatives completed
MEASURE; Number of geograhically targeted Section 404
enforcement initiatives completed
MEASURE; Number of comprehensive management and planning
initiatives completed, e.g., greenways/river corridor
management plans, special area management plans
STARS CODE: WQ-2
TARGETED:
REPORTED ONLY: Q,1,2,3,4
SUNSET:
STARS CODE: WQ-2
TARGETED:
REPORTED ONLY: 0,1,2,3,4
SUNSET:
STARS CODE: WQ-2
TARGETED:
REPORTED ONLY: Q,1,2,3,4
SUNSET:
STARS CODE: WQ-2
TARGETED:
REPORTED ONLY: Q,1,2,3,4
SUNSET:
3/91
OW-21
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OFFICE OF WATER
FY 1992
Program Area: Office of Wetlands Protection
GOAL: NO NET LOSS OF THE NATION'S WETLANDS
OBJECTIVE: Enforce the Section 404 program to improve rates of
compliance with program requirements
ACTIVITY; Manage an effective Section 404 complance/enforcement
program
MEASURE; Number of administrative compliance orders issued
MEASURE; Number of administrative penalty complaints issued
MEASURE; Number of civil cases referred to Department of Justice
MEASURE: Number of criminal cases referred to Department of
Justice
MEASURE; Number of wetlands enforcement cases resolved
STARS CODE: WQ/E-1
TARGETED:
REPORTED ONLY: Q,1,2,3,4
SUNSET:
STARS CODE: WQ/E-1
TARGETED:
REPORTED ONLY: Q,1,2,3,4
SUNSET:
STARS CODE: WQ/E-1
TARGETED:
REPORTED ONLY: 0,1,2,3,4
SUNSET:
STARS CODE: WQ/E-1
TARGETED:
REPORTED ONLY: Q,1,2,3,4
SUNSET:
STARS CODE: WQ/E-1
TARGETED:
REPORTED ONLY: Q,1,2,3,4
SUNSET:
3/91
OW-22
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OFFICE OF WATER
FY 1992
Program Area; Office of Wetlands Protection
GOAL: NO NET LOSS OF THE NATION'S WETLANDS
WQ-2; STRATEGIC INITIATIVES (GENERAL DEFINITION FOR FOLLOWING FOUR NON-REGULATORY/ANTICIPATORY
APPROACHES MEASURES)
The following four WQ-2 measures represent specific categories of activities
that have historically been combined under the title "Strategic Initiative (SI),n which can continue
to be used as a blanket descriptor. The SI encompasses a fairly wide range of strategic activities
undertaken by a Region to improve protection of wetlands and/or other critical aguatic 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. An SI should be a non-recurring project that is beyond
the scope of what are generally considered to be "normal," day-to-day activities. As a guide, an SI
should constitute a program component that represents one-tenth or more of the Region's wetlands
program resources. To "complete" an initiative means to have (1) implemented all components of the
action plan, with no more than the evaluation of results remaining to be done; and (2) submitted to
Headquarters a brief (e.g., one-page) summary of the project, including start- and end-dates,
approximate resources expended, activities undertaken, and anticipated benefits of the initiative.
These summaries will provide useful data to Headquarters on Regional activities and can serve as
valuable information-transfer vehicles among Regions.
It is understood that specific projects can cut across the definitions below, e.g., an Advance
Identification can, and should, involve a substantial public outreach component. Regions are
requested to avoid "double-counting" by choosing the most appropriate category under which to report
the completion of an initiative.
3/91 OW-23
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OFFICE OF WATER
FY 1992
Program Area; Office of Wetlands Protection
GOAL: NO NET LOSS OF THE NATION'S WETLANDS
WQ-2t NUMBER OF ADVANCE IDENTIFICATIONS COMPLETED
Completion of an Advance Identification as defined in 40 CFR Part 230.80 of the CWA $404(b)(l)
Guidelines and further described in the 1989 "Guidance to EPA Regional Offices on the Use of Advance
Identification Authorities Under Section 404 of the Clean Water Act."
WQ-2; NUMBER OF MAJOR PUBLIC EDUCATION AND OUTREACH INITIATIVES COMPLETED
Completion of a major educational effort directed either to a specific sector of the regulated
community (e.g., agricultural community, fishing industry) or to residents of a particular
geographic area (e.g., communities in prairie pothole regions.)
WQ-2; NUMBER-OF GEOGRAPHICALLY TARGETED SECTION 404 ENFORCEMENT INITIATIVES COMPLETED
Completion of an intensive S404 enforcement/compliance effort in a specific geographic area.
Enforcement Initiatives are generally undertaken for their deterrent value in areas with histories
of particularly poor compliance or with particularly vulnerable resources.
WQ-2; NUMBER OF COMPREHENSIVE MANAGEMENT AND PLANNING INITIATIVES COMPLETED. E.G.. GREENWAYS/RIVER
CORRIDOR MANAGEMENT PLANS. SPECIAL AREA MANAGEMENT PLANS
Completion of a management or planning initiative designed to provide the Region with a
comprehensive strategy for addressing a variety of wetlands protection issues. Examples include
development of greenway/river corridor management plans and special area management plans,
development of water quality standards for wetlands, and development of strategies for improved
interaction with State, Tribal, local, and/or other federal government bodies.
WO/E-1; NUMBER OF ADMINISTRATIVE COMPLIANCE ORDERS ISSUED
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.
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OFFICE OF WATER
FY 1992
Program Area; Office of Wetlands Protection
GOAL: NO NET LOSS OF THE NATION'S WETLANDS
WQ/E-1 NUMBER OF ADMINISTRATIVE PENALTY COMPLAINTS ISSUED
Section 309(g) administrative penalty complaints issued by EPA.
WO/E-l NUMBER OF CIVIL CASES REFERRED TO DOJ
Civil section 404 cases that a Region refers, either independently or jointly with the Corps, to DOJ
for judicial action.
WQ/E-1 NUMBER OF CRIMINAL CASES REFERRED TO DOJ
Criminal section 404 cases that a Region refers to DOJ for.prosecution.
WQ/E-1 NUMBER OF CASES RESOLVED (TOTAL OF ALL OF THE FOLLOWING ACTIVITIES)
Number of cases resolved through voluntary compliance, which occurs where the Region 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.
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OFFICE OF WATER
FY 1992
Program Area; Water Quality Planning. Standards and Assessment
GOAL: RESTORE, MAINTAIN AND PROTECT THE ECOLOGICAL INTEGRITY OF THE NATION'S WATER RESOURCES.
OBJECTIVE: Strengthen the scientific basis of water quality
standards in protecting critical aquatic resources.
ACTIVITY; Conduct water quality standards triennial reviews.
MEASURE: Identify, against targets, the States Tribes completing
a Section 303(c)(l) triennial review that includes,
appropriate, biological criteria and salt water
criteria, where antidegradation policies
andimplementation methods and water quality standards
for wetlands and coastal/estuarine waters; and for
which EPA takes formal action (approval, or disapproval
and request for promulgation).
ACTIVITY: Adopt water quality standards for toxic pollutants.
MEASURE; Identify, against targets, the States for which Regions
approve the numeric criteria adopted by the States that
are necessary to bring the States into full compliance
with Section 303(c)(2)(B).
STARS CODE: WQ-3
TARGETED: Q 2,4
REPORTED ONLY: Q 2,4
SUNSET: FY 93
STARS CODE: WQ-4
TARGETED: Q 2,4
REPORTED ONLY: Q 2,4
SUNSET: FY 93
OBJECTIVE: Assess progress in meeting water quality standards
using Section 303(d) targeted waterbodies.
ACTIVITY; Identify and track water quality improvement of
targeted waterbodies.
MEASURE; Report, by State: (1) the number of waterbodies
targeted for TMDL development in the 1992 Section
303(d) submittal; (2) the total size impaired and the
total size threatened within these waterbodies; and (3)
the number of complex and non-complex TMDLs
anticipated.
STARS CODE: WQ-5
TARGETED:
REPORTED ONLY: Q 4
SUNSET: FY 94
3/91
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OFFICE OF WATER
FY 1992
Program Area? Water Quality Planning. Standards and Assessment
GOAL: RESTORE, MAINTAIN AND PROTECT THE ECOLOGICAL INTEGRITY OF THE NATION'S WATER RESOURCES.
OBJECTIVE: Provide a comprehensive scientific basis for State
use in protecting the ecological integrity of aquatic resources.
ACTIVITY; Develop ecological criteria guidance.
MEASURE; Identify, against targets, the ecological criteria
guidance Headquarters will publish.
STARS CODE: WQ-6
TARGETED: Q 4
REPORTED ONLY: Q 4
SUNSET: FY 93
OBJECTIVE: Reduce pollutant loadings from nonpoint sources
(NPS) to State-identified priority waterbodies.
ACTIVITY; Implementation of nonpoint source (NPS) watershed
control programs.
MEASURE: Identify, by State, against targets, the percentage of
priority waterbodies identified in approved State NPS
management programs with watershed control programs
actively underway.
STARS CODE: WQ-7
TARGETED: Q 2,4
REPORTED ONLY: Q 2,4
SUNSET: FY 94
OBJECTIVE: Incorporate sediment assessment methods into point
and nonpoint source controls.
ACTIVITY: Establish sediment water quality-based controls.
MEASURE; Report, by State and by name, waterbodies that have:
(1) sediment monitoring for point sources; (2) sediment
quality-based limits for point sources; and/or (3)
sediment quality-based targets for nonpoint sources.
STARS CODE: WQ-8
TARGETED:
REPORTED ONLY: Q 4
SUNSET: FY 94
3/91
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OFFICE OF WATER
FY 1992
Program Area; Water Quality Planning. Standards and Assessment
GOAL: RESTORE, MAINTAIN AND PROTECT THE ECOLOGICAL INTEGRITY OF THE NATION'S WATER RESOURCES,
OBJECTIVE: Incorporate fish tissue monitoring and risk
assessments of consuming contaminated fish into water quality
programs.
ACTIVITY; Track fish consumption advisories to protect human
health.
MEASURE: Report, by State and by name, waterbodies with fish STARS CODE: WQ-9
tissue monitoring and waterbodies with fish consumption TARGETED:
advisories. REPORTED ONLY: Q 4
SUNSET: FY 94
OBJECTIVE: Ensure integration of CWA programs and target
available resources on critical water quality problems.
ACTIVITY; Report program element funding.
MEASURE: Report, by State and qualified Indian Tribe, for FY 91 STARS CODE: WQ-10
and for FY 92 through second quarter, the amount of TARGETED:
surface water funds identified in the Section 106 work REPORTED ONLY: Q 2
programs by selected national water quality program SUNSET: FY 95
elements.
3/91 OW-28
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OFFICE OF WATER
FY 1992
Program Area: Water Quality Planning, standards and Assessment
GOAL: RESTORE, MAINTAIN AND PROTECT THE ECOLOGICAL INTEGRITY OF THE NATION'S WATER RESOURCES.
OBJECTIVE: Support Agency focus on geographically targeted
watersheds by issuing effluent guideline regulations that control
pollutant discharges from industries concentrated in targeted
areas.
ACTIVITY; Develop effluent guideline regulations (Headquarters).
MEASURE; Publish two regulations in the Federal Register; final STARS CODE: WQ-11
amendments for the Organic Chemicals, Plastics and TARGETED:
Synthetic Fibers Industry Categories; and final rule REPORTED ONLY: Q 4
for the Offshore Oil and Gas Extraction Subcategory. SUNSET: FY 93
3/91 OW-29
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OFFICE OF WATER
FY 1992
Water Quality Planning. Standards and Assessment Definitions
WQ-3 CONDUCT WATER QUALITY STANDARDS TRIENNIAL REVIEWS
The water quality standards program requirements reflect priorities in the Science Advisory Board
Report, "Reducing Risk: Setting Priorities and Strategies for Environmental Protection" and the
Office of Water's "Strategic Plan." The emphasis of these documents and of the water quality
standards program is the reduction of ecological risk in critical surface waterbodies.
The water quality standards program requirements for the FY 1991 - 1993 triennium were published in
the FY 1991 Agency Operating Guidance. States are to adopt narrative biological criteria, salt
water criteria, as appropriate, and antidegradation policies and implementation methods into water
quality standards to further protect the nation's waterbodies. The critical waterbodies that must
be addressed include wetlands and coastal/estuarine waters, but also may include lakes, streams and
rivers. The requirements are designed to enhance the ability of States to adopt water quality
standards that will serve as the foundation for programs to reduce the ecological risks facing our
critical aquatic resources, particularly from nonpoint sources, combined sewer overflows and
stormwater runoff.
In particular, the requirements include:
o By September 30, 1993, State and qualified Indian Tribes must adopt narrative biological
criteria. The 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 biota inhibiting
minimally impaired reference waters, including species richness, diversity, trophic composition,
and abundance and/or biomass, that relate to the designated uses in the water quality standards.
Such criteria maybe used in refining the uses of the water and in determining if the designated
uses have been attained.
o 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.
o Also, by September 30, 1993, water quality standards must contain an acceptable antidegradation
policy and implementation methods. This requirement is discussed in the FY 1988 national water
quality standards program guidance and in proposed revisions to the Water Quality Standards
Regulation.
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OFFICE OF WATER
FY 1992
Water Quality Planning. Standards and Assessment Definitions
o In addition, by September 30, 1993, State and qualified Indian Tribes must adopt narrative water
quality standards that apply directly to wetlands. Wetland water quality standards shall be
established in accordance with either the National Guidance. Water Quality Standards of Wetland
(July, 1990) or some other scientifically valid method. In adopting water quality standards for
wetlands, States and qualified Indian Tribes, as 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 fronts11) and appropriate numeric criteria in the
standards to protect the designated uses; (4) adopt narrative biological criteria into 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.
o Finally, 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 an antidegradation
policy and implementation methods. When including the antidegradation policy and implementation
methods in water quality standards for estuaries, consideration also should be given to
designating the estuaries as Outstanding National Resource Waters.
For States and qualified Indian Tribes included in the targets for this measure in FY 1992, the
State or qualified Indian Tribe must complete a triennial review of water quality standards and EPA
take formal action by September 30, 1992. Formal action includes approval, or disapproval and a
request that the Administrator promulgate Federal standards. Targets for this measure have to be
developed for the second and fourth quarters of FY 1992.
3/91 OW-31
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OFFICE OF WATER
FY 1992
Water Quality Planning. Standards and Assessment: Definitions
WQ-4 ADOPT WATER QUALITY STANDARDS FOR TOXIC POLLUTANTS
Section 303(c)(2)(B) of the CWA, as amended, requires that whenever a State reviews water quality
standards in accordance with Section 303(c)(l), the State must adopt numeric criteria into water
quality standards for Section 307(a) priority pollutants that could be reasonably expected to
interfere with designated uses. This measure tracks the States for which the Regions approve the
numeric criteria adopted by the States that are necessary to bring the States into full compliance
with Section 303(c)(2)(B).
Not all States have complied fully with the requirements of Section 303(c)(2)(B). Where the Regions
disapproved water quality standards or portions of those standards because the Section 303(c)(2)(B)
requirements were not met, the Agency initiated action to propose Federal standards. If a State
adopts sufficient criteria to fully comply with Section 303(c)(2)(B), EPA will not promulgate
Federal standards for that State. Targets for this measure have to be developed for the second and
fourth quarters of FY 1992.
WO-5 IDENTIFY AND TRACK WO IMPROVEMENT OF TARGETED WATERBODIES
Report, in the fourth quarter, by State: (1) the number of waterbodies targeted for Total Maximum
Daily Load (TMDL) development in the 1992 303(d) submittal; (2) the total size impaired and the
total size threatened within these waterbodies; and (3) the number of complex and non-complex TMDLs
anticipated.
This measure begins a process for measuring environmental results in a subset of the impaired and
threatened waterbodies. Pursuant to CWA Section 303(d) and Office of Water program guidance issued
in 1990, every two years starting in April 1992, states will identify water-quality limited
waterbodies and the subset of these waterbodies for which TMDLs will be developed during the
subsequent two years. States should use the Waterbody System (WBS) Waterbody Identification Number
to identify the Section 303(d) targeted waterbodies. The total size impaired is the sum of the
portions of these waterbodies partially and not supporting uses as reported under Section 305(b).
The total size threatened is the sum of the portions of these waterbodies threatened under Section
305(b). Regions will ensure that they can determine the status of water quality in the individual
targeted waterbodies using either the WBS or an independent information system. This information
collected in 1992 will be used as a baseline for measuring changes in the total size impaired and
threatened. We anticipate using a four year cycle for comparison. In 1994, a different set of
targeted waterbodies will be identified and similarly evaluated on a four year cycle.
3/91 OW-32
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OFFICE OF WATER
FY 1992
Water Quality Planning. Standards and Assessment Definitions
Threatened waters have been included in this measure in view of the Agency's pollution prevention
strategy. If a threatened waterbody remains unimpaired over the longer timeframe, then the goal of
pollution prevention will be achieved.
The number of complex and non-complex TMDLs is also reported in this measure. A complex TMDL
includes multiple dischargers, use of sophisticated WQ models, situations requiring specific
Regional consideration, and situations where nonpoint source loads are critical factors in
developing the TMDL. For each waterbody there should be one TMDL. The number of TMDLs reported as
"anticipated" in 1992 would become the target measures for the number of TMDLs completed in 1994.
WO-6 DEVELOP ECOLOGICAL CRITERIA GUIDANCE
A key theme in the Science Advisory Board Report, "Reducing Risk: Setting Priorities and Strategies
for Environmental Protection," and the Office of Hater's "Strategic Plan" is to reduce ecological
risks facing critical aquatic resources. We also need to view the integrity of the water
environment holistically the sum total of the complex biological, chemical and physical dynamics
necessary to sustain long-term processes ecological integrity of a healthy aquatic ecosystem.
Over time, criteria guidance will provide a comprehensive basis on which to design programs that
prevent and control pollution and habitat alteration and destruction and loss of species,
particularly from nonpoint sources, combined sewer overflows and stormwater runoff. Chemical-
specific sediment criteria to protect aquatic life and numeric biological criteria for streams,
rivers, lakes, wetlands and estuaries are the most pressing priority needs. Then, as resources
allow, criteria will be published to protect habitat in critical waterbodies.
WQ-7 IMPLEMENTATION OF NONPOINT SOURCE WATERSHED CONTROL PROGRAMS
This measure tracks the degree to which States are actively implementing NPS management practices in
the watersheds of the priority waterbodies which they have identified in their approved NPS
management programs as needing protection from or abatement of NPS pollution. All States have
approved NPS management programs which identify priority waterbodies requiring actions to abate or
prevent NPS pollution. States have had available to them two Section 319 grant awards, technical
and financial support from other EPA programs such as the National Estuaries program, and from other
Federal agencies such as the Soil Conservation Service and Forest Service of the U.S. Department of
3/91 OW-33
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OFFICE OF WATER
FY 1992
Water Quality Planning, standards and Assessment Definitions
Agriculture and the Bureau of Land Management of the U.S. Department of the Interior, as well as
funding and technical support from State and local sources to assist them in initiating and
expanding the needed actions. This measure identifies the percentage of its priority watersheds in
which each State is actively implementing such activities.
In reporting on this measure, Regions should use as a base the number of priority waterbodies
identified by each State in its approved NFS management program. For the purposes of this measure,
"active implementation" means that: landowners/land managers within the watershed have adopted or
have formally committed to adopting approved BMPs and/or BMP control systems; regulations/ordinances
requiring approved BMPs within the watershed exist or are being actively developed; or
outreach/technology transfer/demonstration programs targeted to obtaining adoption of approved BMPs
by specific categories of landowners/land managers within the watershed are being actively
conducted.
WQ-8 ESTABLISH SEDIMENT WATER QUALITY-BASED CONTROLS
This measure requirements the Agency's increased emphasis on water quality impaired by contaminated
sediments and begins to measure progress toward controlling sources of sediment contamination. The
first step needed is an assessment of sediment quality. Sediment monitoring should be performed
whenever known fish contamination exists. Regions should work with the States to ensure that in
each State, where contamination is suspected, sediments at three or more locations are sampled for
metals, persistent organic pollutants, total organic carbon (TOC), acid-volatile sulfides (AVS) and
toxicity. Where organic or metal contaminants, normalized by TOC and AVS respectively, are found at
levels greater than promulgated, proposed or draft chemical-specific sediment quality criteria,
Regions should reasonably assure that States begin adoption of Section 303 sediment quality
standards for those contaminants found at levels above criteria. (Six non-ionic organic chemical
criteria for sediments will be published in the Federal Register by the end of FY91.) Based on
EPA's sediment criteria and bioaccumulation policy, Regions should work with the States to
reasonably assure that where a State has adopted sediment criteria and sediment quality-based
control procedures, the State implements sediment-quality based permit limits for point sources
during permit reissuance (unless conditions warrant an immediate reopening), and sediment-quality
based targets for nonpoint sources. Where the Region administers the NPDES program, and where EPA
adopts sediment criteria and sediment quality-based control procedures, the Region should develop
sediment quality-based permit limits for the contributing sources whose permits are reissued.
3/91 OW-34
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OFFICE OF WATER
FY 1992
Water Quality Planning. Standards and Assessment Definitions
In reporting on this measure, Regions should indicate by waterbody any and all of the three
activities listed, i.e., sediment monitoring for point sources, sediment quality-based limits for
point sources, and/or sediment quality-based targets for nonpoint sources. FY92 will be a
transition year and will demonstrate progress States are making in addressing this important
pollution problem.
WQ-9 TRACK FISH CONSUMPTION ADVISORIES TO PROTECT HUMAN HEALTH
Environmental agencies and health departments at the State level are responsible for protecting the
public from the risks of consuming contaminated fish that are harvested locally by issuing
consumption advisories or bans when necessary. The public health advisory is a management tool
available to regulators to warn the public of high levels of toxic substances in fish. EPA will
develop guidance to promote the use of risk assessments in determining the potential risk to humans
from the consumption of contaminated fish and will encourage the States to generate fish tissue
monitoring data for this purpose. This data can then be used for a risk assessment to determine if
a fish advisory is necessary. Initially, States will be required to:
1. Report in the Waterbody system the names of waterbodies with fish tissue monitoring data.
In the STORET system store information on the pollutants analyzed in fish and the type of
analysis that was performed, i.e., whole body, fillet, etc.
2. Report in the Waterbody system the names of waterbodies for which fish consumption
advisories have been issued. The Section 305(b) report should indicate the pollutants
covered in the advisory, the type of advisory issued (i.e., fish consumption ban, a
consumption ban only for pregnant women and children, a fish advisory which recommends so
many meals/ounces of fish per month), the risk assessment approach used in the determination
to issue a fish advisory (i.e., EPA risk assessment methodology, FDA action level, etc.),
the extent of the advisory, and the common name of the fish covered by the advisory.
WQ-10 REPORT PROGRAM ELEMENT FUNDING
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.
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/
3/91 OW-35
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OFFICE OF WATER
FY 1992
Water Quality Planning. Standards and Assessment Definitions
enforcement; source and ambient monitoring and laboratory costs (combined); water quality standards;
and NPS implementation.
WQ-11 DEVELOP EFFLUENT GUIDELINE REGULATIONS (HEADQUARTERS)
This measure tracks the development in Headquarters of two regulatory projects that will enhance the
control of wastewater discharges to surface waters and municipal wastewater treatment systems. The
majority of Organic Chemicals, Plastics and Synthetic Fibers Industry Categories and Synthetic
Fibers (OCPSF) manufacturing facilities are located in the industrialized, highly-populated areas
that typically coincide with the geographically targeted areas of the U.S. Many Offshore oil and
gas platforms are located in or near sensitive marine environments. The current schedules call for
promulgation of the OCPSF amendments in April 1992 and promulgation of the Offshore Oil and Gas
regulation in June 1992.
3/91 OW-36
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Program Area;
OFFICE OF WATER
FY 1992
Water Enforcement and Permits
GOAL: REDUCE AND ELIMINATE POLLUTION TO THE NATION'S WATERS FROM POINT SOURCES THROUGH AGGRESSIVE
IMPLEMENTATION AND ENFORCEMENT OF FEDERAL AND STATE STANDARDS UNDER THE CLEAN WATER ACT.
OBJECTIVE: Assess toxicity control needs and reissue major
permits in a timely manner.
ACTIVITY; Major permit reissuance.
MEASURE: Track, against targets, the number of permits reissued
to major facilities during FY 92 (report NPDES States
and non-NPDES States separately).
MEASURE; Identify the number of final permits reissued and the
number modified during FY 92 that include water
quality based limits for toxics (NPDES States, non-
NPDES States; report major and minors separately).
STARS CODE: WQ-12
TARGETED: Q 1,2,3,4
REPORTED ONLY: Q 1,2,3,4
SUNSET: FY 93
STARS CODE: WQ-13
TARGETED:
REPORTED ONLY: Q 1,2,3,4
SUNSET: FY 93
OBJECTIVE: Ensure effective implementation of approved local
pretreatment programs and effectively implement the program in
non-local areas.
ACTIVITY; Tracking Pretreatment Programs
MEASURE; Track, by Region, against quarterly targets, for
approved local pretreatment programs: 1) the number
audited by EPA and by approved pretreatment States;
and 2) the number inspected by EPA and by approved
pretreatment States.
STARS CODE: WQ-14
TARGETED: Q 1,2,3,4
REPORTED ONLY: Q 1,2,3,4
SUNSET: FY 92
3/91
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Program Areai
OFFICE OF WATER
FY 1992
Water Enforcement and Penults
GOAL: REDUCE AND ELIMINATE POLLUTION TO THE NATION'S WATERS FROM POINT SOURCES THROUGH AGGRESSIVE
IMPLEMENTATION AND ENFORCEMENT OF FEDERAL AND STATE STANDARDS UNDER THE CLEAN WATER ACT.
OBJECTIVE: Reissuance of priority municipal permits which contain
applicable sludge conditions.
ACTIVITY: Tracking Sludge Facilities
MEASURE: Track, against targets, total number of permits issued
to priority sludge facilities containing sludge
conditions necessary to meet the requirements of CWA
section 405.
STARS CODE: WQ-15
TARGETED: Q 1,2,3,4
REPORTED ONLY: Q 1,2,3,4
SUNSET: FY 93
OBJECTIVE: Effectively implement"the storm water permitting
requirements.
ACTIVITY; Track storm water permitting activity.
MEASURE; Track, by Region and NPDES State, the number of
baseline general permits issued for industrial
storm water activity.
MEASURE; Track, by Region and State, the number of Part One
storm water applications submitted for large and medium
cities and counties (population greater than 100,000).
STARS CODE: WQ-16
TARGETED:
REPORTED ONLY: Q 1,2,3,4
SUNSET: FY 93
STARS CODE: WQ-17
TARGETED:
REPORTED ONLY: Q 1,2,3,4
SUNSET: FY 93
3/91
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Program Areat
OFFICE OF WATER
FY 1992
Water Enforcement and Permits
GOAL: REDUCE AND ELIMINATE POLLUTION TO THE NATION'S WATERS FROM POINT SOURCES THROUGH AGGRESSIVE
IMPLEMENTATION AND ENFORCEMENT OF FEDERAL AND STATE STANDARDS UNDER THE CLEAN WATER ACT.
OBJECTIVE: Achieve and maintain high levels of compliance in the
NPDES program.
ACTIVITY: Identify compliance problems.
MEASURE: Report, by Region and State, the number of major
permittees. Of these, track by Region and State the
number and percent in significant noncompliance.
STARS CODE: WQ/E-4
TARGETED:
REPORTED ONLY: Q 1,2,3,4
SUNSET: FY 94
MEASURE; Report, by Region and State, the number of approved
pretreatment programs. Of these, track by Region and
State the number and percent in significant
noncompliance.
STARS CODE: WQ/E-5
TARGETED:
REPORTED ONLY: Q 1,2,3,4
SUNSET: FY 92
ACTIVITY: Improve quality/timeliness of enforcement responses.
MEASURE: 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.
STARS CODE: WQ/E-6
TARGETED :
REPORTED ONLY:
SUNSET: FY 94
Q 1,2,3,4
3/91
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Program Area;
OFFICE OF WATER
FY 1992
Water Enforcement and Permits
GOAL: REDUCE AND ELIMINATE POLLUTION TO THE NATION'S HATERS FROM POINT SOURCES THROUGH AGGRESSIVE
IMPLEMENTATION AND ENFORCEMENT OF FEDERAL AND STATE STANDARDS UNDER THE CLEAN WATER ACT.
OBJECTIVE: Achieve and maintain high levels of compliance in the
NPDES program, (continued)
MEASURE: Report, by Region and State, the number of major
permittees (including those for pretreatment SNC) 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).
MEASURE; 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.
MEASURE; 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.
STARS CODE: WQ/E-7
TARGETED:
REPORTED ONLY": Q 1,2,3,4
SUNSET: FY 94
STARS CODE: WQ/E-8
TARGETED:
REPORTED ONLY: Q 1,2,3,4
SUNSET: FY 94
STARS CODE: WQ/E-9
TARGETED:
REPORTED ONLY: Q 1,2,3,4
SUNSET: FY 94
3/91
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Program Area;
OFFICE OF WATER
FY 1992
Water Enforcement and Permits
GOAL: REDUCE AND ELIMINATE POLLUTION TO THE NATION'S WATERS FROM POINT SOURCES THROUGH AGGRESSIVE
IMPLEMENTATION AND ENFORCEMENT OF FEDERAL AND STATE STANDARDS UNDER THE CLEAN WATER ACT.
OBJECTIVE: Effectively enforce the pretreatment program.
ACTIVITY; Reporting Pretreatment Civil and Criminal Referrals
MEASURE: 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.
STARS CODE: WQ/E-10
TARGETED:
REPORTED ONLY: Q 1,2,3,4
SUNSET: FY 92
OBJECTIVE: Identify compliance problems and guide corrective
action through inspections.
ACTIVITY; Improve effectiveness of inspection activities.
MEASURE; Track, by Region, against targets, the number of major
permittees inspected at least once (combine EPA and
State inspections and report as one number).
STARS CODE: WQ/E-11
TARGETED: Q 1,2,3,4
REPORTED ONLY: Q 1,2,3,4
SUNSET: FY 94
3/91
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OFFICE OF WATER
FY 1992
Water Enforcement and Permits. Definitions
WQ 12/13 PERMIT REISSUANCE: TOXIC PERMITS
The universe for measure WQ-12 is the total number of major permits that have or will expire by the
end of FY 92. Measure WQ-12 is the total number of major permits issued with issuance dates (i.e.,
date signed by permit authority) during FY 92. 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 (e.g. the second quarter FY 92
data will be pulled from PCS on April 10).
Measure WQ-13 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 92. WQ-13 is specifically designed to count water quality-
based permits issued in FY 1992. Since "limit" is specifically designed to exclude permits which
only include monitoring requirements, permits with only monitoring requirements will not be counted.
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.
3/91 ow-42
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OFFICE OF WATER
FY 1992
Water Enforcement and Permits. Definitions
Performance Expectation; The goal of the State and EPA NPDES program is to have reissued permits in
effect on the date the prior permit expires. In cases where unusual, complex and difficult issues
prevent timely permit reissuance, Headquarters is offering alternative approaches to address the
increasing backlog. We will work with Regions and States to adopt a more flexible performance
expectation that allows for reduction of risk, targeting of watersheds and a better approach for
balancing the workload facing the Regions and States. While our overall goal is to eliminate the
permit backlog, there are different options for achieving this goal. The Regions and States could
retain the usual commitment to reissue 100% of all expired or expiring permits. Where the backlog
is large, we would encourage the State to look at a five year strategy. No less than 20% of the
universe would be targeted for each year (unless the State has a year in which there are less than
20% expired or expiring). This would allow the Regions to focus the strategy in either of the
following situationsthe strategy can be developed to even out the workload or it could be tied to
specific geographic areas. These strategies are to be initiated on a State-by-State basis and must
include Headquarters in the approval process.
Regional quarterly reports for these measures will be reported to the Director of the Office of
Water Enforcement and Permits.
WQ 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 POTW'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.
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OFFICE OF WATER
FY 1992
Water Enforcement and Permits. Definitions
The pretreatroent 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 measure* 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.
Performance 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 and could -include the need to target audits to support watershed initiatives or
to conduct an in-depth audit. For purposes of reporting, both audits and pretreatment 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. There should be one number for EPA plus pretreatment States for audits and one number for
EPA plus pretreatment States for inspections.
WO-15; SLUDGE PERMITTING
Priority sludge facilities or "Class I Sludge Management 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. Non-pretreatment POTWs that incinerate sewage sludge
may be considered non-priority if such decision is supported by information showing no cause for
concern (i.e.; existing controls adequately implement existing federal requirements and otherwise
protect public health and the environment). The sludge conditions are to be included in permits as
the NPDES permit expires and is reissued. The sludge conditions may be in another permit (such as a
permit issued under the Clean Air Act, or a State permit) and incorporated by reference in the NPDES
permit. NPDES permits issued by a State may be counted if pursuant to an EPA/State agreement and
the Region has certified the permit as meeting CWA requirements* "Sludge conditions necessary to
3/91 OW-44
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OFFICE OF WATER
FY 1992
Water Enforcement and Permits. Definitions
meet CWA section 405" are those conditions required by the sludge permitting and state program
regulations (May 2, 1989), adequate monitoring requirements; existing federal regulations, where
applicable (e.g., 40 CFR Part 257 and after promulgation, 40 CFR, Part 503) and any additional case-
by-case conditions necessary to protect the public health and environment.
Performance Expectation! The universe from which targets should be calculated is the number of
priority sludge facilities found in the Region. The targets should be a minimum of 20% of the
universe of priority sludge facilities. Report NPDES States and EPA together as one number.
WQ-16: GENERAL PERMITTING FOR STORM WATER
While there are some States still who have not received general permitting authority, this measure
will begin to assess the activities of those States who have taken the incentive to begin working on
their storm water issues. A baseline general permit is a permit issued focusing on regulating storm
water discharges associated with industrial activities. Report general permits issued by NPDES
States and EPA issued for non-NPDES States.
WQ-17; STORM WATER PERMIT APPLICATION
One year from date of notice in the Federal Register (i.e.,November 18, 1991), all large cities and
counties (population greater than 250,000) are required to submit a Part One application for a storm
water permit. One year and six months from date of notice in the Federal Register (i.e.,May 18,
1992) all medium cities (population between 100,000 and 250,000) are required to submit Part One
application for storm water permit. This is the first step in a process that has a significant
environmental result of controlling and cleaning up storm water. The element of pollution
prevention plays a large role in the whole process. The entire universe of large cities and
counties would be the commitment in the first quarter (Federally mandated deadline) and the entire
universe of medium cities and counties would be the commitment for the third quarter, and progress
in meeting these deadlines would be monitored throughout the year. Report EPA, NPDES States
separately.
3/91 OW-45
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OFFICE OF WATER
FY 1992
Water Enforcement, and Permits. Definitions
WQ E-4/5 NPDEfl 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 an Evaluating POTW Noncompliance with Pretreatment Requirements,
issued September 27, 1989.
WQ 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:
Exceptions 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, 1992 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 Exceptions List a fact
sheet which provides adequate justification for a facility on the Exceptions List. The fact sheet
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OFFICE OF WATER
FY 1992
Water Enforcement and Permits. Definitions
should be submitted by the 15th day of the beginning of the next quarter. After a permittee 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 Exceptions List facilities refers to compliance with the permit, order, or decree
requirement for which the permittee was placed on the Exceptions 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 Exceptions List includes 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.
WQ E-8 ADMINISTRATIVE ORDERS
Headquarters will report EPA Administrative Compliance Orders (AOs) and State equivalent actions
from PCS. All AOs must be entered into PCS by the 2nd update of the new quarter to be counted in
the report. For pretreatment, only AOs issued to POTWs should be counted here. AOs issued to
industrial users are counted in OWAS. 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.
3/91 OW-47
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OFFICE OF WATER
FY 1992
Water Enforcement and Permits. Definitions
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. OE will report the same data for Federal referrals; State referrals will be reported to
the Regions.
WO 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. OE will report the same data for Federal referrals;
State referrals will be reported to the Regions.
WO 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. Individual inspection programs developed on a
State specific basis to target inspections and produce better compliance would be considered as
meeting this definition if approved by Headquarters. As part of the NPDES inspection, verification
of sludge management practices as defined in guidance and training should be conducted as
appropriate. EPA and States collectively 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 (PAI), Diagnostic
Inspection (DIAG), or Reconnaissance Inspection (RI). Reconnaissance Inspections will only count
toward the commitment for majors coverage when they are done on facilities that meet the following
criteria:
3/91 OW-48
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OFFICE OF WATER
FY 1992
Water Enforcement and Permits. Definitions
(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 tarqets and are to reflect the
number of major permittees inspected at least once, unless an alternative approach has been agreed
to with Headquarters. 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 DIA6 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:
3/91 OW-49
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OFFICE OF WATER
FY 1992
Water Enforcement: and Permits
Definitions
INSPECTIONS
RETRIEVAL DATE
The First working day
after the second update in:
July 1, 1991 through Sep. 30, 1991
July l, 1991 through Dec. 31, 1991
July 1, 1991 through March 31, 1992
July 1, 1991 through June 30, 1992
Jan. 1992
April 1992
July 1992
Oct. 1992
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 1992 in accordance
with guidance on inspection plans.
3/91
OW-50
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OFFICE OF WATER
FY 1992
Program Area; Municipal Pollution Control
GOAL: THE OVERALL GOAL OF THE OFFICE OF MUNICIPAL POLLUTION CONTROL IS TO IMPROVE/MAINTAIN THE
ENVIRONMENTAL QUALITY OF SURFACE WATERS.
OBJECTIVE: Maintain baseline program that ensures integrity of
Federal investment in municipal pollution control as Federal
grant program is phased out in an expeditious and orderly manner.
ACTIVITY:
MEASURE;
ACTIVITY;
MEASURE;
ACTIVITY;
MEASURE;
ACTIVITY;
MEASURE;
State Revolving Fund Management.
Track, by Region, progress against guarterly targets
for net outlays for State Revolving Fund (SRF) and
construction grants.
Management of On-going Construction Grants Program.
Track, by Region, progress against quarterly targets
for the number of Step 3, Step 2+3, Marine CSO and
PL 84-660 projects administratively completed.
Management of On-going Construction Grants Program.
Track, by Region, progress against quarterly targets
for the number of Step 3, Step 2+3, Marine CSO and
PL 84-660 project closeouts.
Management of On-going Construction Grants Program.
Track, by Region, progress against quarterly targets
for the number of Step 3, Step 2+3, Marine CSO and
PL 84-660 projects beginning to achieve
environmental results.
STARS CODE: WQ-18
TARGETED: Q 1, 2, 3, 4
REPORTED ONLY: Q 1, 2, 3, 4
SUNSET:
STARS CODE: WQ-19
TARGETED: Q 1, 2, 3, 4
REPORTED ONLY: Q 1, 2, 3, 4
SUNSET:
STARS CODE: WQ-20
TARGETED: Q 1, 2, 3, 4
REPORTED ONLY: Q 1, 2, 3, 4
SUNSET:
STARS CODE: WQ-21
TARGETED: Q 1, 2, 3, 4
REPORTED ONLY: Q 1, 2, 3, 4
SUNSET:
3/91
OW-51
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OFFICE OF WATER
FY 1992
Municipal Pollution Control. Definitions
WO-18 STATE REVOLVING FUND MANAGEMENT
Percents of cumulative net outlays for construction grants and State Revolving Fund (SRF) to program
commitment - The net sum of payments 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, 604(b) funds,
including all Title VI funds appropriated expressly for SRF.
Performance Expectation - The cumulative Regional commitment will consist of construction grants and
SRF. The performance expectation for the commitment will be ± 5%.
WO-19 MANAGEMENT OF THE ON-GOING CONSTRUCTION GRANTS PROGRAM
Number of Step 3, Step 2+3, Marine CSO, and PL 84-660 projects 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 1993 with no backlogged projects. An
acceptable commitment would be the number of projects that must be completed in FY 1992 in order to
enter FY 1993 with no backlogged projects, minus those projects the Region and Headquarters mutually
agree are not able to be administratively completed during FY 1992.
A "backlogged11 project is defined as:
o A Step 3, Step 2+3, or PL 84-660 project awarded before 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, or Marine CSO project awarded after 12/29/81 which has initiated
operations for more that 18 months, but has not yet been administratively completed.
3/91 OW-52
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OFFICE OF WATER
FY 1992
Municipal Pollution Control. Definitions
WO-20 MANAGEMENT OF THE ON-GOING CONSTRUCTION GRANTS PROGRAM
Number of Step 3, Step 2+3, Marine CSO and PL 84-660 project 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 oloseout 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 of final audit
resolution, project "screenout" or, for projects under $1 million, within 6 months of administrative
completion. However, the time-based goal does not apply when:
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.
The estimated number of Step 3, Step 2+3, Marine CSO and PL 84-660 projects awaiting closeout or
awaiting audit resolution at the beginning of the fiscal year plus any project planned for "screen
out" by OIG during the fiscal year should be planned for closeout by the end of the fiscal year.
WO-21 MANAGEMENT OF THE ON-GOING CONSTRUCTION GRANTS PROGRAM
Number of Step 3, Step 2+3, Marine CSO and PL 84-660 projects beginning to achieve environmental
results. A Step 3, Step 2+3, Marine CSO or PL 84-660 project is considered to have begun to achieve
environmental results when the project initiates operations; i.e., when one of the following occurs:
o For projects awarded after 12/29/81, the date of "Initiation of Operation":
N7 - "Ab" or "Bb" or "Fb".
o For projects awarded before 12/29/81, the date of "Physical Completion":
N5 - "Ab" or "Bb" or "Fb".
Performance Expectation; An acceptable commitment would be 85% or greater of the number of
projects projected to begin operations during FY 1992.
3/91 OW-53
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1992
Program Area; Suoerfund
GOAL: Address Worst Sites and Worst Problems.
OBJECTIVE:
ACTIVITY;
MEASURE:
ACTIVITY;
MEASURE;
ACTIVITY;
MEASURE;
ACTIVITY:
MEASURE;
MEASURE!
Reduce the threat to human health and the
environment.
Site Inspections and evaluations.
Report number of sites with Completed Site
Inspections. (Sis)
Preliminary Assessments
Report number of sites with RCRA Preliminary
Assessments under the Environmental Priorities
Initiative (EPI).
Remedial Design activities.
Report the number of Remedial Designs completed at
National Priorities List (NPL) sites. Report
against a combined Fund and Enforcement target.
Remedial Action activities.
Report the number of Remedial Action Contract Awards
at NPL sites. This measure will be reported against
a combined Fund and Enforcement target.
Report the number of Remedial Actions completed at
NPL sites. This measure will be reported against a
combined Fund and Enforcement target.
STARS CODE; S/F-1
TARGETED; Y
REPORTED ONLY: N
SUNSET: 1993
STARS CODE: S/F-2
TARGETED: N
REPORTED ONLY: Y
SUNSET: 1995
STARS CODE: S/C-3
TARGETED: Y
REPORTED ONLY: N
SUNSET: 1993
STARS CODE: S/C-4
TARGETED: Y
REPORTED ONLY: N
SUNSET: 1993
STARS CODE: S/C-5
TARGETED: Y
REPORTED ONLY: N
SUNSET: 1993
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1992
Program Area; Superfund
GOAL: Address Worst Sites and Worst Problems.
OBJECTIVE:
MEASURE;
Reduce the threat to human health and the
environment.
Report the number of NPL sites that have been
completed. The reporting vehicle for this measure
is the completion of a final Remedial Action
completion at the site.
STARS CODE: S/C-6
TARGETED: Y
REPORTED ONLY: N
SUNSET: 1993
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1992
Program Area; Superfund
GOAL: Control Acute Threat Immediately.
OBJECTIVE: Identify and assess uncontrolled releases of
hazardous wastes in a timely manner.
ACTIVITY; First NPL Removal Actions and Remedial
Investigations and Feasibility Studies (RI/FS).
MEASURE; Report the number of NPL sites where either a first STARS CODE: S/C-7
Removal action or RI/FS has started. This measure TARGETED: Y
is reported against a combined Fund and Enforcement REPORTED ONLY: N
target. SUNSET: 1993
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1992
Program Area; Superfund
GOAL: Conduct a we11-managed program.
OBJECTIVE:
ACTIVITY;
MEASURE;
Promote and enhance Superfund program success
through application of trends analysis and
implementing new and innovative technologies toward
site clean-up.
Remedial Investigations and Feasibility Study
activity (RI/FS).
Report the number of RI/FS projects nominated as a
SITE program candidate.
STARS CODE: S/C-8
TARGETED: N
REPORTED ONLY: Y
SUNSET: 1995
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1992
Program Area; Superfund
GOAL: Move sites efficiently from Remedy Selection to Response
OBJECTIVE:
ACTIVITY:
MEASURE;
MEASURE;
Manage for continuous improvement the timeframe from
remedy selection to remedial design and remedial
action towards the goals outlined in the Integrated
Timeline.
Report the durations from remedy selection to
remedial design and remedial action as compared to
prior years performance.
Report the average duration, planned and actual,
from ROD to RD Start for all sites scheduled- for RD
Start in FY 92.
Report the average duration, planned or actual, from
ROD to RA Start for all sites scheduled for RA Start
in FY 92.
STARS CODE:
TARGETED:
REPORTED ONLY:
SUNSET:
STARS CODE:
TARGETED:
REPORTED ONLY:
SUNSET:
S/C-9(a)
N
Y
1993
S/C-9(b)
N
Y
1993
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1992
Program Area; Suoerfund
GOAL: Promoting consistency in selection of remedies at NPL sites.
OBJECTIVE: Continue to implement goals of the National
Contingency Plan (NCP) to ensure that 1) high threat
wastes are treated; 2) low threat wastes are
contained; and 3) contaminated ground water is
restored or adequately controlled.
ACTIVITY; Record of Decision development.
STARS CODE: S/C-10
MEASURE; Report the number of remedies selected at NPL sites. TARGETED: Y
This is a combined, Fund and Enforcement, target. REPORTED ONLY: N
SUNSET: 1993
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Office of Solid Waste and Emergency Response
FY 1992
Superfund Definitions
S/F-1 Number of Sites with Completed Site Inspection (SI) - This measure includes only Screening
Sis . 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-2 Number of Sites with Preliminary Assessments fPAl Conducted at RCRA Facilities (Report
measure quarterly) This measure counts only those PAs which are completed as a part of
the Environmental Priorities Initiative. A PA is completed when the assessment report is
reviewed and approved by the Regions and an appropriate date is reflected in CERCLIS.
S/C-3 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.
PRP-Financed: 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.
S/C-4 Number of Remedial Action (RA) Activities started through Award of Contract at NPL Sites.
Fund-Financed: Sites (as recorded in CERCLIS) where the EPA, a State, the COE or Bureau of
Reclamation has awarded a contract to initiate Fund-financed Remedial
Action.
PRP-Financed; 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.
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Office of Solid Waste and Emergency Response
FY 1992
Suoerfund Definitions
S/C-5 Dumber of Remedial Action Activities Completed at NPL Sites. - An RA is complete when
final construction activities are complete, a final inspection has been conducted, the
remedy is operational and functional, and the final RA Report for an Operable Unit has
been prepared.
S/C-6 Number of NPL Sites that have been completed. - An NPL site is considered complete when
the final RA at the site has been completed. The final RA is the action at the last
Operable Unit to be completed at the site, and a final construction inspection for the
site has been conducted. For the final RA, a Superfund Site Close-Out Report must be
prepared which summarizes the site condition land construction activities and demonstrates
that the NCP criteria for deletion has been met or that the only activity remaining is
performance monitoring (long term response) .
S/C-7 Number of Sites Where Activity has Started - Number of NPL sites (Final and Proposed) and
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
judgment; or implementation of a first RI/FS at the site but not both.
Fund-Financed t
A Fund Removal 'counts toward this target when:
1) The Action Memorandum has been approved by the On-Scene Coordinator
(OSC) , Regional Administrator (RA) , or Assistant Administrator (AA) ; 2)
a contract has been signed for an EPA or U.S. Coast Guard (USCG) on-site
removal; 3) an obligation 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; 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.
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Office of Solid Waste and Emergency Response
FY 1992
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 the
PRP is in substantial non-compliance, credit will be withdrawn.
Site status (NPL or Mon-NPL) will be determined by the status indicated in CERCLIS when
accomplishment reports are pulled. A First RI/FS start 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 or the
official designated by the Regional Administrator to conduct a RI/FS; 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 a 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), and in-house (EP) lead projects as they are used in the FY 1992 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, a Unilateral Administrative Order 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,
FS, or RI/FS (see above). The start date is defined as the last
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Office of Solid Waste and Emergency Response
FY 1992
Suoerfund Definitions
signature date by the appropriate official or party (e.g., the RA, DOT or
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 is subsequently taken over by the Fund the same
criteria apply.
S/C-8 Number of RI/FS Projects Nominated as a SITE Program Candidate (Report measure quarterly)
A RI/FS project is nominated for the SITE program when the Region sends a memorandum to
Headquarters formally submitting the site for consideration as a location for a
demonstration project.
S/C-9(a), ROD to RD Start and RA Start Duration Trends - The purpose of these measures is to
S/C-9(b) evaluate Regional improvement in managing the timeframe between ROD and the start of both
RD and RA. While the ultimate goal is the timeframe in the integrated timeline, progress
will be evaluated based on prior year and prior quarter performance during the fiscal
year.
S/C-10 HVJtfrer pf Remedies Selected at NPL Sites - A remedy is seledtsd vh«n 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) and
Federal Enforcement (FE).
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GOAL:
OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1992
Program Area; Superfund Enforcement
Use Enforcement Authorities to compel PRP participation in
the Superfund process.
Maximize Responsible Party participation in the
RD/RA process through use of Enforcement Tools.
OBJECTIVE:
ACTIVITY; Target and report enforcement actions for RD/RA. (The
overall target for this activity is the sum of measures
S/E-l(a) and S/E-l(b) below. There is a separate
target for measure S/E-l(c)).
MEASURE: RD/RA Settlements: Consent Decree Referrals under
Section 106, 107 and 122(d) for RD/RA and Unilateral
Orders issued under Section 106 for RD/RA that are in
Compliance.
STARS CODE: S/E-l(a)
TARGETED: Y
REPORTED ONLY: N
SUNSET: 1995
MEASURE; RD/RA Injunctive Referrals: Referrals, under Section
106 or 106/107, to compel PRPs to conduct RD/RA.
MEASURE; Unilateral Administrative Orders Issued: UAOs issued
under Section 106 to compel PRPs to conduct RD/RA.
STARS CODE: S/E-1(b)
TARGETED: Y
REPORTED ONLY: N
SUNSET: 1995
STARS CODE:
TARGETED:
REPORTED ONLY:
SUNSET:
S/E-1(C)
N
Y
1995
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1992
Program Area; Superfund Enforcement
GOAL: Use Enforcement Authorities to compel PRP participation in
the Superfund process.
OBJECTIVE:
ACTIVITY:
MEASURE;
MEASURE:
Use enforcement tools to compel PRP responses.
Report enforcement actions to compel PRP response
for PRP Search, Removal, RI/FS.
Section 104(e) Referrals/Orders: Report the number
of Section 104(e)(5) orders or referrals to HQ or
DOJ to compel PRPs to reply to information requests,
Enforcement Removal and RI/FS orders: Report
Section 104/106 and 122 orders (AOC and UAO) issued
by EPA for PRPs to conduct removal actions and
RI/FSs.
STARS CODE: S/E-2(a)
TARGETED: N
REPORTED ONLY: Y
SUNSET: 1993
STARS CODE: S/E-2(b)
TARGETED: N
REPORTED ONLY: Y
SUNSET J 1993
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1992
Program Area; Superfund Enforcement
GOAL: Manage the RD/RA negotiation process within timeframes
established under Section 122.
OBJECTIVE:Conclude RD/RA Negotiations expeditiously.
ACTIVITY; Report on the status of RD/RA Negotiations in order
to address the need for continuous improvement
relative to prior year performance and the trend
towards meeting the goal outlined in the Integrated
Timeline.
MEASURE: ROD to RD/RA negotiation completion duration. STARS CODE: S/E-3
Report the average duration between ROD and RD/RA TARGETED: N
negotiation completion, by Region, for all RD/RA REPORTED ONLY: Y
negotiations completed or planned for completion in SUNSET: 1993
FY 92.
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1992
Program Area; Suoerfund Enforcement
GOAL: Maximize cost recovery to the Trust Fund.
OBJECTIVE:
ACTIVITY;
MEASURE;
Maximize levels of reimbursement of Superfund Trust
Fund dollars through an aggressive cost recovery
referral program and use administrative cost
recovery authorities.
Target and report Section 107 and Section 106/107
injunctive referrals and settlements for greater
than $200,000 in past cost.
Section 107 or 106/107 injunctive and settlement
referrals: Target Section 107 or 106/107 referrals
for cost recovery without settlement and Section 107
or 106/107 settlement referrals for greater than
$200,000 in past costs. Credit for settlement
referrals is given for only those cases where there
has been no previous referral. Where a judicial
referral has been targeted and an administrative
settlement greater than $200,000 has been achieved,
credit will be given on the date of issuance by the
Regional Administrator, or for those sites requiring
DOJ concurrence pursuant to Section 122(h)(l) of
SARA, the date the administrative settlement is
transmitted to the Department of Justice for
concurrence. Credit is given for each referral and
not the number of sites covered by the referral.
STARS CODE: S/E-4
TARGETED: Y
REPORTED ONLY: N
SUNSET: 1995
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1992
Program Area: Superfund Enforcement
GOAL: Work towards achieving the President's Management by
Objective Goal of $300 million for FY 1993.
OBJECTIVE:
ACTIVITY;
MEASURE:
Focus Regional attention on the President's FY93
Management by Objective goal of achieving $300
million in cost recovery.
Report Regional progress toward meeting the
President's Management by Objective (MBO) goal of
achieving $300,000,000 in cost recovery in FY 1993.
Report the value of administrative cost recovery
settlements (including ADR), cash-out settlements,
cost recovery consent decrees (upon lodging), cost
recovery judgments, bankruptcy settlements and
judgements, penalties assessed, fines collected and
PRP oversight bills collected. Credit for
administrative settlements in this area will be
given when the action is issued or for those sites
requiring DOJ concurrence pursuant to Section
122(h)(l) of SARA, when the action is published in
the Federal Register for public comment.
STARS CODE: S/E-5
TARGETED: N
REPORTED ONLY: Y
SUNSET: 1993
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1992
Superfund Enforcement Definitions
S/E - Ifa); RD/RA Settlements
This measure includes all Consent Decree Referrals under Sections 106, 107 and 122(d) for
Potentially Responsible Parties (PRPs) to conduct or pay for Remedial Design and/or Remedial Actions
(RD/RA). It includes mixed funding and cash out settlements for RD/RA. Credit for the Consent
Decree referral is the date on the Regional Administrator's transmittal memo to Headquarters or to
the Department of Justice as recorded in CERCLIS. Regions also receive credit for this measure for
Unilateral Administrative Orders (UAOs) issued under Section 106 for RD/RA that are in compliance.
Credit for UAOs is the date PRPs provide notice of intent to comply with the order as recorded in
CERCLIS. (Should a PRP initially comply with a UAO, and later a consent decree is agreed to for the
same work, credit will be for the UAO only.)
S/E - 1 (b) t RD/RA In-tunctive Referrals
This measure includes injunctive referrals, under Section 106 or 106/107, to compel PRPs to conduct
RD/RA. Credit for the referral is the date on the Regional Administrator's transmittal memo to
Headquarters or to the Department of Justice as recorded in CERCLIS. (Referrals for preliminary
relief or penalties do not count toward this measure.)
S/E - lid; Unilateral Administrative Orders Issued for RD/RA
This measure includes Unilateral Administrative Orders (UAOs) issued under Section 106 to compel
PRPs to conduct Remedial Design/ Remedial Action. Credit is based on the date the order is issued
to the PRPs as recorded in CERCLIS.
S/E - 2fa): Section 104fel Referrals and Orders Issued
Report the number of Section 104(e)(5) orders issued or referrals to Headquarters or to the
Department of Justice to compel PRPs to comply with information requests. Credit for the referral is
the date on the Regional Administrator's transmittal memo to Headquarters or to the Department of
Justice as recorded in CERCLIS. Credit for the order is based on the date it is issued by the
Region to the PRPs as recorded in CERCLIS. Due to workload consideration*, Regions issuing
referrals for non-compliance with a 104(e)(5) order will receive credit for both the order and the
follow-up referral.
S/E - 2(b); Removal and RI/FS Administrative Orders
Report Section 104/106/122 administrative orders (AOC and UAO) issued by EPA for PRPs to conduct
removal actions and/or RI/FSs. Credit for the order is based on the date it is issued to the PRPs
as recorded in CERCLIS.
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1992
Superfund Enforcement Definitions
S/E- 3 ROD to RD/RA Negotiation Completion Duration Trends
The purpose of this measure is to evaluate Regional improvement in managing the RD/RA Negotiation
process. While the ultimate goal is the timeframe specified in the Integrated Timeline, progress
will be evaluated based on prior year performance and prior quarter performance during the fiscal
year. Quarterly performance will be reported based on the average duration between ROD and RD/RA
negotiation completion, by Region, for all RD/RA negotiations completed or planned for completion in
FY 92 in relation to prior years (FY 90 & FY 91) and prior quarters performance.
S/E - 4; Section 107 or 106 Cost Recovery Iniunctive Referrals For Greater Than S200.000 in
past Cost
This measure includes Section 107 or 106/107 injunctive referrals (i.e., without settlement) and 107
or 106/107 settlement referrals for cost recovery where there is greater than $200,000 in past cost
for Fund-financed removals, RI/FS, RD or RA. Credit for settlement referrals will be given for only
those cases where there has been no previous referral. Credit for the referral is the date on the
Regional Administrator's transmittal memo to Headquarters or to the Department of Justice as
recorded in CERCLIS. (It is possible for a Region to receive credit for a referral under S/E-1 as
well as this measure). Where a judicial referral is targeted and an administrative settlement
greater than $200,000 is achieved, credit will be given on the date of issuance or for those sites
requiring DOT concurrence pursuant to Section 122(h)(l) of SARA, the date the administrative
settlement is transmitted to the Department of Justice for concurrence. Credit is given for each
referral and not the number of sites covered by the referral.
S/E - 5; Cost Recovery Management by Objective Goal
Report the value of administrative cost recovery settlements (including ADR), cash-out settlements
for future response costs, cost recovery consent decrees (upon lodging), cost recovery judgments
including bankruptcy settlements, bankruptcy judgements and settlements, penalties assessed, fines
collected and PRP oversight bills collected. Credit for administrative settlements in this area
will be given when the action is issued by the Regional Administrator or for those sites requiring
DOJ concurrence pursuant to Section 122(h)(l) of SARA, when the action iu published in the Federal
Register for public comment.
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1992
Program Area; Superfund
National Program Environmental Indicator
GOAL: Identify progress toward final site cleanup and reduction of acute threats.
ENVIRONMENTAL INDICATOR: Progress through Environmental Indicators
DEFINITION: The Progress through Environmental Indicators reporting measure documents the number of
sites where the following types of results have been achieved:
Progress Toward Final Cleanup Goals
Reduction of Acute Threats
Either of these results may be achieved through implementing emergency removal and/or
remedial action projects. Results are reported for each of the media affected at a
site. These media include contaminated land, surface water, and groundwater.
Progress toward final cleanup goals applies where the cleanup actions taken will not
require further action for the wastes addressed. This progress is reported as Media
Clean, part of Media Clean, and Media Cleanup Underway. Reduction of acute threats
applies where the action taken will require additional action for the wastes addressed
or where the action taken reduces exposures but does not treat, remove or contain
contaminated materials.
DATA SOURCE: The data will be collected by HQ from regional site managers.
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Office of Solid Waste and Emergency Response
FY 1992
Program Area; Chemical Emergency Preparedness and Prevention Office
GOAL: To prevent accidental chemical releases and to minimize the consequences should they occur.
OBJECTIVE:
To improve State/Tribal/local chemical emergency
preparedness and enhance their response capability.
ACTIVITY; Technical assistance and training activities
MEASURE: Report and describe technical assistance and training
activities which EPA conducted, sponsored, developed,
assisted in developing, participated in, or
presented.
STARS CODE: CEP-1
TARGETED: Y
REPORTED ONLY: N
SUNSET: 1991
ACTIVITY; State, Tribal or local exercises or after incident
evaluations
MEASURE; Report on number of State, Tribal or local exercises
or after incident evaluations in which EPA conducted,
sponsored, assisted in developing or participated.
STARS CODE: CEP-2
TARGETED: Y
REPORTED ONLY: N
SUNSET: 1991
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1992
Program Area; Chemical Emergency Preparedness and Prevention Office
GOAL: To prevent accidental chemical releases and to minimize the consequences should they occur.
OBJECTIVE:
ACTIVITY;
MEASURE;
ACTIVITY;
MEASURE;
Develop the foundation for Regional chemical accident
prevention program which will minimize the magnitude
of chemical releases and enhance safety practices and
procedures.
Accidental Release Information Program questionnaires
Report number of Accidental Release Information
Program (ARIP) questionnaires sent to and returned by
facilities having releases.
Chemical safety audits
Report on number of chemical safety audits conducted.
STARS CODE: CEP-3
TARGETED: N
REPORTED ONLY: Y
SUNSET: 1991
STARS CODE: CEP-4
TARGETED: Y
REPORTED ONLY: N
SUNSET: 1991
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1992
Chemical Emergency Preparedness and Prevention Definitions
CEP-1 TECHNICAL ASSISTANCE
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 consultation (in the field with the
recipient), workshops, or other means. It does not include formal training courses; the
provision of equipment, telephone conversations, except where the assistance involves a series
of lengthy calls and written material is prepared or provided as a follow-up to the call; or
update reports provided at conferences or meetings.
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;
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 or 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
Formal educational presentations using instructional materials and techniques. In-house EPA
training for EPA employees or EPA contractors will not count towards meeting thi« 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.
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Office of Solid Waste and Emergency gesponse^
FY 1992
Chemical Emergency Preparedness and Prevention Definitions
CEP-2 SIMULATION EXERCISES
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 exercise (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.
CEP-3 ACCIDENTAL RELEASE INFORMATION PROGRAM
Program designed:
a) To focus high-level management attention of 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.
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1992
Chemical Emergency Preparedness and Prevention Definitions
TRIGGERED RELEASES
The Accidental Release Information Program (ARIP) is focusing on releases wich 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, and RCRA, send it to the plant manager, along with the
guestionnaire EPA has developed. A copy of the response must be sent to Headquarters.
CEP-4 ON-SITE CHEMICAL SAFETY AUDIT
An on-site review of a particular process/handling and management operations at a site from a
chemical process safety standpoint and includes the preparation of and submittal to Headquarters
of a final report of the on-site review. It is an audit of safety procedures, facility,
equipment, training and contingency planning, as well as management commitment.
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE;
FY 1992
Program Area; CERCLA/EPCRA ENFORCEMENT
GOAL; Increase compliance with EPCRA §§302,303, 304, 311, and 312 and CERCLA §103
OBJECTIVE: Achieve and maintain a high level of compliance with EPCRA
sections 302, 303, 304, 311, and 312 and CERCLA section 103.
ACTIVITY; Investigations. Report the number of:
MEASURE; EPA facility compliance investigations of possible violations of STARS CODE: C/E-1
CERCLA §103 and EPCRA §§302, 303, 304, 311, and 312*. TARGETED: Y
REPORT ONLY: N
SUNSET: 1991
ACTIVITY; Penalty Enforcement Actions. Report the number of:
MEASURE: Administrative complaints referred to Office of Regional Counsel. STARS CODE: C/E-2
TARGETED: Y
REPORT ONLY: N
SUNSET: 1991
ACTIVITY; Non-Penalty Actions. Report the number of:
MEASURE; Administrative Orders for violations of EPCRA §§302 and 303 issued. STARS CODE: C/E-3
TARGETED: N
REPORT ONLY: Y
SUNSET: 1991
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1992
CERCLA/EPCRA Enforcement' Definitions
C/E-1 INVESTIGATIONS
Investigation means any follow-up inquiries, such as information request
letters, on-site reviews or inspections to verify a facility's compliance
with EPCRA and CERCLA §103 and which could produce evidence upon which a
complaint could be based. A phone call will generally not be considered an
investigation.
C/E-2 PENALTY ENFORCEMENT ACTIONS
Referred means that the administrative complaint being submitted to the
Office of Regional Counsel is in near final form, that all evidence
supporting the counts alleged in the complaint be documented in the case
file, that all penalty calculations be documented in the case file, and that
a memorandum be sent from the division requesting ORC review of the
complaint.
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1992
Program Area; Chemical Emergency Preparedness and Prevention
National Program Environmental Indicator
GOAL: Establish the necessary safety culture and mechanisms for achieving the safe management of
chemical hazards through national consensus on, and increased use of appropriate, best
available, innovative technology, and appropriate management and prevention practices by
chemical handler*.
ENVIRONMENTAL INDICATOR: Reduction in the number and/or severity of accidental releases of
hazardous substances that have a negative impact on human health and the environment.
DEFINITION: "Accidental releases'* of hazardous substances (as regulated under CERCLA Section 103,
and under CAA Section 301) refers to accidents that are severely damaging, large, or
frequent. "Negative impact on human health" refers to the loss of life, serious
injuries in the community, and/or catastrophic impacts on the environment (e.g., damage
to property, natural resources, or both, amounting to $100 million or more).
DATA SOURCE: Accidental Release Information Program (ARIP) data collection, as well as other data
systems, will be evaluated as a starting point in the development of an indicator that
reflects the number and/or severity of accidental releases. Also, the Chemical
Accident Prevention Advisory Committee has established a subcommittee to evaluate
measures of success for prevention practices and programs.
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Appendix I
OFFICE OF SOLID WASTE
FY 1992
RCRA Subtitle C: Stars Overview
This year the RIP sets forth the concept of a Strategic Management Framework that
encompasses hazardous waste permitting and corrective action activi*-.ias, as well as
program management activities. The Frasework has two key components, environmental
priority ranking for all RCRA facilities, and at priority facilities, choosing activities
and documenting those choices. The Strategic Management Framework identifies limited
national priority activities and allows Regions/States flexibility to accommodate both the
national priority activities and other local priorities. In this Framework, EPA and
States must define challenging reachable goals and be accountable for chosen activities.
STARS is a key component of the Strategic Management Framework in that it reflects
national priority activities while maintaining its fundamental role of program
accountability. STARS measures have been restructured to track implementation of high
priority activities that are key to demonstrating progress in the program. Two new
measures (one targeted, one non-targeted) directly address priority setting for
facilities. Many of the other STARS measures track performance of high priority
permitting, closure, and corrective action activities at facilities identified through the
priority setting process as high priority. The remaining STARS measures address high
priority program management activities such as State authorization and RCRIS
implementation. Several of the new reporting measures and targeted measures will require
data source development.
I - 1
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OFFICE OF SOLID WASTE
FY 1992
RCRA Subtitle C: Pemittina and Closure
Goal; Implement appropriate permitting and closure activities at high priority RCRA
facilities.
OBJECTIVE:
ACTIVITY!
MEASURE!
MEASURE!
Track permitting and closure activity at facilities
subject to RCRA Subtitle C
Track operating permit final determinations and
permit modifications at RCRA TSDPs.
Number of RCRA TSDPs to receive operating permit
final determinations during fiscal year.
ACTIVITY!
Number of RCRA TSDFs to receive permit
modification approval or denial during fiscal
year.
Track progress of closure activity at RCRA TSDPs
STARS CODE: R/C-la
TARGETED: NO
REPORT ONLY: YES
SUNSET: 2/92
STARS CODE: R/C-lb
TARGETED: NO
REPORT ONLY: YES
SUNSET: 2/92
MEASURE!
MEASURE!
Number of RCRA TSDPs to receive closure plan
approval during fiscal year.
Number of RCRA TSDFs to certify closure during
fiscal year.
STARS CODE: R/C-2a
TARGETED: NO
REPORT ONLY: YES
SUNSET: 2/92
STARS CODE:
TARGETED:
REPORT ONLY:
SUNSET:
R/C-2b
NO
YES
2/92
1-2
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ACTIVITY;
MEASURE!
Track progress of Post-Closure permitting
activity at closed Land Disposal units at RCRA TSDFs
MEASURE:
MEASURE;
ACTIVITY;
MEASURE;
ACTIVITY;
MEASURE;
Number of Post-Closure Part B applications
called in
Number of Public-Notices of intent to approve/
deny Post-Closure Part B applications
Number of Post-Closure permit final
determinations
Ranking RCRA facilities for environmental
priority
Number of TSDFs ranked for environmental
priority
Addressing Boilers and Industrial Furnaces
Number of completed Technical Reviews of DIP
Pre-Compliance and BIF Compliance
Cert i f ications
STARS CODE: R/C-3a
TARGETED; NO
REPORT ONLY: YES
SUNSET: 2/92
STARS CODE: R/C-3b
TARGETED: NO
REPORT ONLY: YES
SUNSET: 2/92
STARS CODE: JR/C-3C
TARGETED: YES
REPORT ONLY: NO
SUNSET: 2/92
STARS CODE: R/C-4
TARGETED: YES
REPORT ONLY: NO
SUNSET: 2/92
STARS CODE: R/C-5
TARGETED: NO
REPORT ONLY: YES
SUNSET: 2/92
1-3
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OFFICE OF SOLID WASTE
FY 1992
RCRA Subtitle C; Permitting And Closure Definition?
Facilities new to RCRA as a result of the Toxicity Characteristics (TC) rule, the Boiler
and Industrial Furnace rule (BIF) or other new rules will be identified as such in the
data systems /data structures to be developed in HHDMS/RCRIS). -
R/C-la
Number of RCRA TSDFs to receive operating permit final determinations during fiscal year.
Count only one perait per facility per date. A single perait covering Multiple processes
(e.g., land disposal and storage and treatment) at a single facility will be counted only
once. Facilities receiving two peraits, each on separate dates, will be counted twice.
R/C-lb
Number of RCRA TSDFs to receive perait modification approval or denial during fiscal year.
Count only one perait modification per facility per date. A single perait modification
covering multiple processes (e.g., land disposal and storage and treatment) at a single
facility will be counted only once. Facilities receiving two separate perait
modifications, each on separate dates, will be counted twice.
R/C-2a
Number of RCRA TSDFs to receive closure plan approval during fiscal year. Count only one
closure plan approval per facility per date. A single closure plan covering multiple
processes (e.g., land disposal and storage and treatment) at a single facility will be
counted only once. Facilities receiving two closure plan approvals, each on separate
dates, will be counted twice.
R/C-2b
Number of RCRA TSDFs to certify closure during fiscal year. Count only one closure
certification per facility per date or count only one closure certification per unit per
facility per date.
1-4
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R/C-3a
Number of RCRA TSDPs Post-Closure applications received and under review during fiscal
year. Count only one Post-Closure application received and under review per facility per
date. Facilities with two separate Post-Closure applications received and under review,
each on separate dates, will be counted twice.
R/C-3b
Number of RCRA TSDFs Public Notices of intent to approve/deny Post-Closure Part B
applications during fiscal year. Count only one Public Notice of intent to approve/deny
Post-Closure Part B applications per facility per date. Facilities with two separate
Public Notices of intent to approve/deny Post-Closure Part B applications, each on
separate dates, will be counted twice.
R/C-3C
Number of RCRA TSDFs Post-Closure Part B permit determinations made during fiscal year.
Count only one Post-Closure Part B permit determination during fiscal year per facility
per date. Facilities with two separate Post-Closure Part B permit determinations during
the fiscal year, each on separate dates, will be counted twice.
R/C-4
Number of RCRA facilities prioritized during fiscal year for their overall environmental
priority. A facility will be considered to be "prioritized1* once it has been evaluated
for its environmental significance and for its environmental benefits and other
considerations and assigned a high, medium or low ranking. Data source to be developed in
HHDMS/RCRIS.
R/C-5
Number of BIF pre-compliance certification technical reviews completed. Count only one
per facility. Number of BIF compliance certification technical reviews completed. (One
facility may have both pre-compliance and compliance certifications.)
1-5
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OFFICE OF SOLID WASTE
,FY 1992
RCRA Subtitle C; Corrective Action
Goal: Implement appropriate cleanup activities at high priority corrective action
fmf+t 1 1 - i.~_
OBJECTIVE:
ACTIVITY!
MEASURE;
MEASURE!
MEASURE:
ACTIVITY:
Track progress of corrective action activity at
facilities subject to RCRA Subtitle C
Track progress of facilities through the corrective
action pipeline three targeted stages
STAGE I: Information collection and study at
High Priority Pipeline Facilities
STAGE II: Remedy development and selection at
High Priority Pipeline Facilities
STAGE III: Remedy implementation at high
priority pipeline facilities
Track progress toward completing key activities
in the corrective action program
STARS CODE:
TARGETED:
REPORT ONLY!
SUNSET:
STARS CODE:
TARGETED:
REPORT ONLY:
SUNSET:
STARS CODE:
TARGETED:
REPORT ONLY:
SUNSET:
R/J-la
YES
NO
2/92
R/J-lb
YES
NO
2/92
R/J-lc
YES
NO
2/92
MEASURE:
Number of TSDFs prioritized under NCAPS
STARS CODE:
TARGETED:
REPORT ONLY:
SUNSET:
R/J-2a
YES
NO
2/92
1-6
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MEASURE:
nts completed
MEASURE;
MEASURE;
MEASURE;
Nimber of EPI Preliminary Assess
at RCRA TSDFa
Number of RFIs imposed requiring early data
collection for stabilization decisions (at
high priority facilities)
RCRA facilities evaluated for stabilization
easures
Number of facilities with stabilization
implemented (underway)
STARS CODE:
TARGETED:
REPORT ONLY:
SUNSET:
STARS CODE:
TARGETED:
REPORT ONLY:
SUNSET:
STARS CODE:
TARGETED:
REPORT ONLY:
SUNSET:
STARS CODE:
TARGETED:
REPORT ONLY:
SUNSET:
R/J-2b
YES
NO
2/92
R/J-2C
NO
YES
2/92
R/J-2d
YES
NO
2/92
R/J-2e
NO
YES
2/92
1-7
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OF SOLID HASTE
. FY 1992
RCRA Subtitle C; Corrective Action Definitions
R/J-la
Stage I: Information collection and study at high priority pipeline facilities. Consider
the following activities to be part of this stage of the corrective action process: RFI
Morkplan Approved, RFI completed. This Measure will count the number of facilities which
have soved into this stage for the first time. Facilities should only Move into this
stage if they are not feasible candidates for stabilization and are still of high
corrective action priority fifi stabilization is underway but the facility mist continue
through to final remedy for other acceptable reasons.
R/J-lb
Stage II: Remedy development and selection at high priority pipeline facilities.
consider the following activities to be part of this stage of the corrective action
process: CMS Morkplan Approved, CMS Completed, Remedy Selected, Corrective Measures
Design Approved. Count facilities which have moved into this stage of the process for the
first time. Facilities should only move into this stage if they are not feasible
candidates for stabilization and are still of high corrective action priority QR
stabilization is underway but the facility must continue through to final remedy for other
acceptable reasons.
R/J-lc
Stage III: Remedy implementation at high priority pipeline facilities. Consider the
following activities to be part of this stage of the corrective action process:
Corrective Measures Implementation Morkplan Approved, Corrective Measures Implementation
Completed. Count facilities which have moved into this stage of the process for the first
time. Facilities should only move into this stage if they are not feasible candidates for
stabilization and are still of high .corrective action priority OR stabilization is
underway but the facility must continue through to final remedy for other acceptable
reasons.
1-8
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R/J-2a
Number of treatment, storage and disposal facilities ranked for environmental significance
using the National Corrective Action Prioritization System (NCAPS).
R/J-2b
Number of RCRA facilities to receive EPI Preliminary Assessments (PAs) during fiscal year.
Count only one PA per facility,
R/J-2C
Number of RFIs imposed (for high priority facilities) that require early/up-front data
collection to determine if the facilities are candidates for stabilization actions.
R/J-2d
Number of facilities that have been determined to be amenable to emergency or control type
stabilization. He expect emphasis to be on measures taken to reduce imminent threats to
human health and the environment and/or to prevent or minimize further spread of
contamination.
R/J-2e
Number of facilities that have initiated stabilization measures during the fiscal year.
I - 9
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GOAL:
OFFICE OF SOLID WASTE
FY 1992
RCRA Subtitle C: Program Management
CoMplete activities essential to the general operation and effectivenesi
of the RCRA orogram.
OBJECTIVE:
ACTIVITY:
MEASURE;
ACTIVITY;
MEASURE;
Track progress of program Management activity implementation
Track progress of State and Regional
implementation of RCRIS according to
national schedule
Number of States in each Region whose data is
being pulled directly from RCRIS
Track progress of State Authorization for RCRA
Subtitle. C
Progress in getting States authorized for
the RCRA Subtitle C program
STARS CODE: R/PM-1
TARGETED: YES
REPORT ONLY: NO
SUNSET: 2/92
STARS CODE: R/PM-2
TARGETED: NO
REPORT ONLY: YES
SUNSET: 2/92
I - 10
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OFFICE OF SOLID HASTE
FY 1992
RCRA Subtitle Ci Proaraft Management Definitions
R/PM-1 Number of States within each Region whose data is being pulled directly
fro» RCRIS.
The number of States with all RCRA data in RCRIS.
R/PM-2 Progress in getting States authorized for the RCRA Subtitle C program
The number of rules the States in the Region are authorized for as compared to the total
number of non-optional rules that they should be authorized for in accordance with
national cluster deadlines. In addition to reporting the actual number of rules
authorized, also report as a percentage the total number of rules authorized vs. the total
number of non-optional rules that are required to be authorized. Data source: state
Authorisation Tracking System (STATS).
i - 11
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OFFICE OF SOLID HASTE
PY 1992
Program Area; Municipal Solid Haste Program
GOAL: To facilitate State implementation of MSNLP criteria; to enhance markets
deve1ooment.
OBJECTIVE:
ACTIVITY i
MEASURE;
ACTIVITY:
MEASURE:
ACTIVITY;
MEASURE;
Track progress of implementation of statutory requirements
for Subtitle D.
Submittal of State application for determination
of adequacy of State HSNLP permit program.
Number of States submitting applications for
determination of adequacy under Section 3.
Regional determination of adequacy of State
permit program.
Number of Regional determinations of adequacy
completed (include both determinations of
adequacy and determinations of inadequacy)..
Implementation of EPA procurement guidelines
under RCRA Section 6002 and 40 CFR Part 250.
Report on development of procurement
implementation plan
STARS CODE:
TARGETED:
REPORTED ONLY:
SUNSET:
R/D-la
NO
YES
2/92
STARS CODE:
TARGETED:
REPORTED ONLY:
SUNSET:
R/D-lb
NO
YES
2/92
STARS CODE:
TARGETED:
REPORTED ONLY:
SUNSET:
R/D-lc
NO
YES
2/92
1-12
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OFFICE OF SOLID HASTE
PY 1992
Municipal Solid Haste Program Definitions
R/D-la
Number of States submitting complete applications for determination of adequacy.
R/D-lb
Number of determinations Region publishes in the Federal Register; report number of
determinations by adequate and inadequate.
R/D-lc
Report when procurement implementation plan developed.
1-13
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OFFICE OP SOLID WASTE AMD EMERGENCY RESPONSE
FY 1992
Proaram Area: RCRA Enforcement
GOAL: To ensure compliance Monitoring and enforcement.
OBJECTIVE: Improved compliance of hazardous waste handling with
RCRA requirements.
ACTIVITY i Inspections
MEASURE: Target and report, year-to-date, the number of Land
Disposal facilities that have received an inspection
in FY 92. (Combined EPA/State target).
MEASURE; 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 92. (Combined EPA/State target).
MEASURE: Target and report, year-to-date, the number of
Federal, State and local government TSOs (including
Land Disposal) that received an inspection in FY 92.
(Combined EPA/State target).
STARS CODE: R/E-la
TARGETED: Y
REPORTED ONLY: N
SUNSET: 1993
STARS CODE: R/E-lb
TARGETED: Y
REPORTED ONLY: N
SUNSET: 1993
STARS CODE: R/E-lC
TARGETED: Y
REPORTED ONLY: N
SUNSET: 1993
MEASURE: Report, year-to-date, the number of hazardous waste
generators that have received an inspection in
FY 92. (Combined EPA/State numbers).
STARS CODE: R/E-ld
TARGETED: N
REPORTED ONLY: Y
SUNSET: 1993
I - 14
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OFFICE OF SOLID WASTE AND EMERGENCY RESPQ^Sfi
FY 1992
Program Area: RCRA Enforcement
GOAL: To ensure compliance Monitoring and enforcement.
OBJECTIVE:
ACTIVITY;
MEASURE;
Ensure that timely and appropriate enforcement action
is taken against SNCs.
Identify and Address Significant Noncompliance
Of the SNCs (all handlers that are High Priority
Violators) at this point in tine, report the number of
handlers that have been addressed by a fomal
enforcement action, but have not returned to physical
compliance.
STARS CODE: R/E-2a
TARGETED: N
REPORTED ONLY: Y
SUNSET: 1993
MEASURE; Of the SNCs (all handlers that are High Priority
Violators) at this point in time, report the number
of handlers that have not had a formal enforcement
action (to address all violations causing the
facility to be in SNC) within 135 days of an
inspection, record review or other compliance
monitoring event in which significant non-
compliance was detected.
STARS CODE: R/E-2b
TARGETED: N
REPORTED ONLY: Y
SUNSET: 1993
I - 15
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FV 1992
Proara» "Area; RCRA Enforcement
OBJECTIVE: Ensure that SNCs return to full physical compliance.
ACTIVITY; Return to Compliance
MEASURE: of the SHCs in existence as of October 1, 1991
(as a result of an inspection, record review, etc.
conducted prior to October 1, 1988), report the
number of handlers that have returned to
compliance without formal enforcement action.
STARS CODE: R/E-3a
TARGETED: N
REPORTED ONLY: Y
SUNSET: 1993
MEASURE: Report the number of SNCs in existence as of
October 1, 1991 (as a result of an inspection
conducted prior to October 1, 1988), that have had
formal actions and have returned to compliance
with all violations which caused them to be in
SNC.
STARS CODE: R/E-3b
TARGETED: N
REPORTED ONLY: Y
SUNSET: 1993
1-16
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OFFICE OF SOUP WASTE AND EMERGENCY RESPONSE
PY 1992
Program Area: RCRA Enforcement
MEASURE: Report the number of SNCs in existence as of STARS CODE: R/E-3c
October 1, 1991 (as a result of an inspection, TARGETED: N
record review, etc. conducted prior to REPORTED ONLY: Y
October 1, 1988), that are currently undergoing SUNSET: 1993
legal proceedings (i.e. ALJ/CJO hearings) or
are in compliance with their Schedules.
ACTIVITY; Enforcement Actions
MEASURE: Report the number of formal administrative STARS CODE: R/E-4a
actions issued year-to-date (including 3008(a), TARGETED: N
3008(h), 3013 and 7003). REPORTED ONLY: Y
SUNSET: 1993
I - 17
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1992
RCRA Enforcement Definitions
R/E-i(a) Inspections: In PY 92, 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, 1991, that are not Federal,
State or local facilities and received an inspection during FY 91 are not required to be
inspected during FY 92. 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 (TSPs owned/operated by
Federal/state/local entities, commercial TSFs and all incinerators) must be inspected in
FY 1992. In addition, inspections must be conducted at TSFs not inspected in FY 91.
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) and (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 that are High Priority Violators (HPVs), including
Treatment, Storage, Disposal facilities. Transporters, Generators, Non-Notifiers
identified as HPVs during Fy 92. This measure is the number of handlers that have been
addressed by a formal enforcement action, but have not returned to full physical
compliance.
R/E-2(b) This measure is all SNCs that have not had a formal enforcement action within 135 days of
an inspection, record review or other compliance monitoring event. It is a combination
of the R/E-2(a) - (c) measures from the FY 91 AOG.
R/E-3(a) of the SNCs in existence as of October 1, 1991 (as a result of an inspection, record
review, or other compliance monitoring event conducted prior to October 1, 1988), report
the number of handlers that have returned to compliance without formal enforcement
action.
1-18
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R/E-3(b) This Measure reports the lumber of SNCs In existence as of October 1, 1991 (as a result
of an inspection, record review, or other compliance Monitoring event conducted prior to
October 1, 1988), that have had formal actions and have returned to compliance with all
violations which caused then to be in SNC.
R/E-3(c) This Measure reports the number of SNCs in existence as of October 1, 1991 (as a result
of an inspection, record review, or other compliance Monitoring event conducted prior to
October 1, 1968), that are currently undergoing legal proceedings (i.e. ALJ/CJO hearings)
or are in compliance with their schedules.
R/E-4(a) This Measure reports the nuMber of fomal adMinistrative actions issued year-to-date
(including 3008(a), 3008(h), 3013, and 7003). Note: this Measure is a combination of
R/B-5(a) and (b) from the PY 91 AOG.
I - 19
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OFFICE SOLID WASTE AND EMERGENCY RESPONSE
FY 1992
PROGRAM AREA; UNDERGROUND STORAGE TANKS
GOAL: Regulate underground storage tanks
OBJECTIVE:
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.
ACTIVITY: State Program Approval
MEASURE: Number of states submitting complete applications for
state program approval.
MEASURE; Number of states with authorized programs.
OBJECTIVE:
Promote the cleanup of pollution resulting from
leaking underground storage tanks.
ACTIVITY; Clean up leaking USTs
STARS CODE: UST-l(a)
TARGETED: N
REPORTED ONLY: Y
SUNSET: 1992
STARS CODE: UST-l(b)
TARGETED: N
REPORTED ONLY: Y
SUNSET: 1992
MEASURE: 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).
STARS CODE:
TARGETED:
REPORTED ONLY:
SUNSET:
UST-2(a)
N
Y
1992
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1992
Program Areat Underground Storaae Tanks
GOAL: Regulate underground storage tanks.
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) .
MEASURE;
STARS CODE:
TARGETED:
REPORTED ONLY:
SUNSET:
STARS CODE:
TARGETED:
REPORTED ONLY:
SUNSET:
UST-2(b)
N
Y
1992
UST-2(c)
N
Y
1992
OBJECTIVE:
ACTIVITY:
MEASURE;
MEASURE!
Prevent and mitigate pollution from occurring in new
and existing USTs through the use of leak detection
technologies.
Leak Detection Compliance
Number of states promoting compliance with the
federal leak detection requirements via outreach and
information dissemination during FY 92.
Number of facilities in compliance with the federal
leak detection requirements.
STARS CODE:
TARGETED:
REPORTED ONLY:
SUNSET:
STARS CODE:
TARGETED:
REPORTED ONLY:
SUNSET*
UST-3(a)
N
Y
1992
UST-3(b)
N
Y
1992
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1992
Underaround-'Storaqe Tanks Definitions
UST-lfa) Number of states submitting complete applications for state program approval - The state
has submitted an application for program approval and the Region has determined that the application
is "complete11 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). Quarter 2,3,
and 4 are reported cumulatively.
UST-lfbl Number of states with authorized programs - 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, and 4 are reported cumulatively.
UST-2fa) 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) - 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 1992 should
include those sites with actions initiated in FY 1988, FY 1989, FY 1990, FY 1991.)
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1992
Underground Storage Tank Definitions
UST-2fbl Number of petroleum releases under control, bv either responsible parties or states fReport
separately for responsible party lead, state lead with Trust Fund money, and state lead with no
Trust Fund money) - The total number of petroleum releases from an UST at which the state or
responsible party under state supervision has performed ALL 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 1992 should
include those sites with action complete in FY 1988, FY 1989, FY 1990, and FY 1991.)
UST-2(c) Number of site cleanups for petroleum releases completed, bv either responsible parties or
states fReport separately for responsible party lead, state lead with Trust Fund money, and state
lead with no Trust Fund money) - This means 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
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 1992 should include those sites with cleanups completed prior to FY 1992.)
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OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
FY 1992
Underground Storage Tanks Definitions
UST-3 LEAK DETECTION COMPLIANCE
UST-3(a) Number of States promoting compliance with the Federal leak detection requirements via
outreach and information dissemination during FY 92. The state sought compliance with
the Federal leak detection rules through outreach efforts to educate owners and
operators of UST facilities. The State took responsibility to disseminate information
to the regulated community to assist them in complying with Federal and State
regulations.
UST-3(b) Total number of facilities brought into compliance with the Federal leak detection
requirements bv States and Regions. The sum efforts of States and EPA to bring UST
facilities into compliance with the Federal leak detection requirements. Actions
taken by States which enforce the Federal rule or their own no less stringent
regulations count towards this total as well as activities conducted by EPA Regions to
bring owners' and operators* facilities into compliance. Efforts to achieve
compliance include: outreach and information dissemination; requests to submit
verification of compliance; inspections; and informaI/formal enforcement proceedings.
A facility can only be counted in compliance if a record to attest to this fact is
kept at EPA, state, or local agencies. (This is a cumulative measure. Numbers
reported after the first quarter should include the total from the previous quarter.)
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1992
Program Area; Pesticides
GOAL: Risk Reduction
OBJECTIVE: Protect health and the environment from any
unreasonable effects fro» pesticides currently in use.
ACTIVITY:
MEASURE:
Establishment of comprehensive data requirements in
data call ins.
STARS CODE: P-l
TARGETED:Q 1,2,3,4
REPORTED ONLY: N
SUNSET: N
OBJECTIVE: Restrict or ban the use of pesticides posing
unreasonable effects to human health and the environment.
ACTIVITY;
MEASURE: Publication of reregistration eligibility documents
or "other appropriate regulatory actions".
MEASURE: 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 14 months
after the determination of eligibility for
reregistration.]
STARS CODE: P-2
TARGETED: Q 1,2,3,4
REPORTED ONLY: N
SUNSET: N
STARS CODE: P-3
TARGETED: Q 1,2,3,4
REPORTED ONLY: N
SUNSET: N
MEASURE: Complete Special Review Decisions.
STARS CODE: P-4
TARGETED: Q 1,2,3,4
REPORTED ONLY: N
SUNSET: N
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1992
Program Areat Pesticides
GOAL: Risk Reduction
OBJECTIVE: Prevent unreasonable risks from pesticide active
ingredients and products and encourage use of safer products
ACTIVITY: Complete final decisions on new active ingredients
and applications for registration in a timely manner and report
on the overdue active ingredients and applications.
MEASURE: New Active Ingredients (New Chemicals/New
Biochemicals/Hicrobiological Reviews):
STARS CODE: P-5A
TARGETED: Q Iy2r3f4
REPORTED ONLY: N
SUNSET: N
MEASURE: Old Chemical Applications:
STARS CODE: P-5B
TARGETED: Q 1,2,3,4
REPORTED ONLY: N
SUNSET: N
MEASURE: Amended Registration Applications:
STARS CODE: P-5C
TARGETED: Q 1,2,3,4
REPORTED ONLY: N
SUNSET: N
MEASURE; New Use Applications:
STARS CODE: P-5D
TARGETED: Q 1,2,3,4
REPORTED ONLY: N
SUNSET: N
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1992
Program Area: Pesticides
GOAL: Bisk Reduction
Complete final decisions on Emergency Exemptions.
[OTI:These may vary based on the number of petitions
and exemptions received by the EPA. The Office of
Pollution Prevention will compare the number of
petitions and exemptions actually processed each
quarter with the number administratively targeted to be
processed.]
STARS CODE: P-6
TARGETED: Q Ir2r3f4
REPORTED ONLY: N
SUNSET: N
MEASURE: Process final decisions on tolerance petitions
within quarterly targets and report on the backlog of
overdue petitions. (See above note for Emergency
Exemptions)
STARS CODE: P-7
TARGETED: Q 1,2,3,4
REPORTED ONLY: N
SUNSET: N
MEASURE! Worker Protection
STARS CODE: P-8A
TARGETED: Q 1,2,3,4
REPORTED ONLY: Y
SUNSET: Y
Groundwater
STARS CODE: P-8B
TARGETED: Q 1,2,3,4
REPORTED ONLY: Y
SUNSET: Y
MEASURE; Endangered Species
STARS CODE: P-8C
TARGETED: Q 1,2,3,4
REPORTED ONLY: Y
SUNSET: Y
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OFFICE OF PESTICIDE PROGRAMS
FY 1992 DEFINITIONS
FOR THE
STRATEGICALLY TARGETED ACTIVITIES FOR RESULTS SYSTEM (STARS)
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1992
Program Area: Pesticides
GOAL: Risk Reduction
DEFINITIONS FOR THE OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
Definitions of key terms and detailed quarterly commitments for the Pesticide and Toxic Substances
Programs follow.
OFFICE OF PESTICIDE PROGRAMS
P1 Establishment of comprehensive data requirements in data call ins.
Comprehensive data requirements will be developed for chemical cases:
List A consists of pesticide active ingredients for which Registration Standards have been
issued as of December 24, 1988; and the other three lists (Lists B, C, and D) are to include all
other active, ingredients contained in a product first registered before November 1, 1984, for
which Registration Standards have not been issued.
Reregistration of these chemical cases will be accomplished in the following phases:
Phase 1: EPA is required to publish lists of pesticide active ingredients subject to
reregistration and to ask registrants of pesticide products containing those active ingredients
whether they intend to seek reregistration.
Phase 2: Registrants inform EPA of intent to seek reregistration, comply with data requirements
and pay first portions of reregistration fee.
Phase 3: Registrants submit required existing studies and pay final reregistration fee.
Phase 4: Independent EPA review of registrant submissions and identification and call in of any
additional data requirements.
Phase 5: EPA conducts reregistration review of each active ingredient and takes appropriate
regulatory action.
Definition: For List A chemical cases, this would be the mail out of a Data Call In (DCI) as a
result of the inventory. For Lists B, C and D, this would be the Phase 4 DCI mailout.
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1992
Program Area: Pesticides
GOAL: Risk Reduction
P-2 Publication of rereoistration eligibility document or "other appropriate regulatory action".
Definition: For all lists this would be the Phase 5 determination required by Section
4(g)(2)(A) as to whether pesticides containing a given active ingredient are eligible for
reregistration. For chemicals deemed eligible for reregistration, the document would be the
equivalent of a registration standard and would also call in product specific data. For those
B/C/D chemicals, and List A chemicals following the inventory based DCI, which are deemed
ineligible there may be a range of actions from another DCI, to a referral, to special review.
Whatever the "non-eligibility11 determination is it would be announced in the FR and would be a
completion under this measure.
P-3 Product specific rereaistration.
Definition: A determination that a pesticide meets the requirements of section 3(c)(5).
FY 91 Target: This step doesn't take place until up to 14 months after the determination of
eligibility for reregistration so a target was not established for FY 91. (Included here for
completeness of understanding of process. This will be a measure in FY 92.)
P-4 Special Review Decisions
Definition; The nature of Special Review accomplishments keeps expanding due to the types of
problems encountered and the Agency's resolution of them. Major tolerance actions based on ADI
exceedences are the equivalent in terms of the amount of work it takes to complete them, the
nature of the hazard posed and the degree of public health protection afforded. Major Federal
Register status reports, similar to what is being prepared for 2,4-D, are also resource
intensive and serve much the same purpose as Position Documents in keeping the public informed
of our findings. Thus, the definition of Special Review has been expanded to include final
resolutions decisions for items #5 and #6:
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1992
Program Area? Pesticides
GOAL: Risk Reduction
Pesticide Special Review Decisions - Special Review decisions include the issuance of the
position documents listed below or the following final resolutions:
1) returning the chemical to the pesticide registration process
a) after deciding not to initiate a Special Review before a Grassley-Allen letter is
issued
b) after deciding not to initiate a Special Review subsequent to the issuance of a
Grassley-Allen letter.
2) voluntary cancellation by the applicant,
3) cancellation or suspension of the Special Review by EPA, or
4) a negotiated settlement on modifications to the terms and conditions of the
registration with the registrant whether the chemical:
a) is in Special Review, or
b) being considered for Special Review
5) A revocation or revision of a tolerance based on the issuance of a proposed or final
decision.
6. A major status report explaining the Agency's position on a chemical or class of
chemicals, either in Special Review or being considered for Special Review, or
interpretation of Special Review criteria.
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1992
Program Area; Pesticides
GOAL: Risk Reduction
The position documents are:
PD-1: reviews the available scientific data and addresses whether a chemical has met or exceeded
Special Review risk criteria (if a chemical does not exceed the criteria, it is typically
returned to the registration process). A PD-1 is considered completed when the Federal
Register notice has been signed by the AA.
PD-2: promulgates the decision to cancel or suspend the Special Review process.
has been issued.
After a PD-1
PD-2/3: analyzes the risks and benefits of the Special Review chemicals and any alternatives to
the various uses of the chemical, identifies feasible regulatory options, and proposes
a decision. A PD-2/3 is considered completed when the Federal Register notice has been
signed by the AA.
PD-4: reflects the Agency's final decision. The PD-4 incorporates comments received on the
PD-2/3 from the FIFRA Scientific Advisory Panel, the Department of Agriculture and other
public responses, along with appropriate analysis of the > uoments. The PD-4 typically
calls for continued registration with certain terms and conditions or cancellations for
some or all uses of the pesticide or pesticides. A PD-4 is considered completed when the
Federal Register notice has been signed by the AA.
P-5 Complete Final Decision on New Active Ingredients and Applications for Registration and
Tolerances. OPP defines the following as "final decisions" for purposes of measuring
performance in the pesticide registration program:
a) withdrawal by applicant
b) denial of registration
c) unconditional registration
d) conditional registration
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1992
Program Area? Pesticides
GOAL: Risk Reduction
P-5A Report on the number of final decisions on New Active Ingredients (New Chemical/New
Biochemical/Microbiological) administratively targeted to be completed within the quarter.
New Chemicals - Applications for registration of a pesticide active ingredient that is not
currently registered under FIFRA. Final decisions may result in denial, unconditional
registration, conditional registration, or administrative withdrawal.
NOTE: Registration of a food-use chemical, i.e. of a chemical that might leave a residue on a
food or feed item, requires the establishment of a tolerance -or exemption from
tolerance.
New Biochemical/Microbiological - Application for registration of new biochemical or
microbial products not currently registered with the Agency, whether for food use or non-food
use. Included under these activities are:
- Biochemical (pheromone, insect or plant growth regulators and hormones used as
pesticides).
- Microbial (viruses, bacteria, protozoa and fungi any living organism introduced into
the environment to control the population or biological activities of another life form
that is considered a pest under FIFRA).
- Biotechnical products (genetically engineered microbial pesticides, or GENP). Each
biotechnical product will undergo a risk assessment and risk/benefit analysis.
NOTE: As with other new pesticides, registration of a new food-use biochemical requires the
establishment of a tolerance level or an exemption.
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1992
Program Area: Pesticides
GOAL: Risk Reduction
P-5B Provide number of final decisions on Old Chemical Applications administratively targeted to
be completed within the quarter, and the number actually completed.
Old Chemicals - Applies to applications for registration of new products containing pesticide
active ingredient chemicals and biologicals which have previously been registered. Old
chemical "change" applies to applications in which there is a significant change in formula
or use pattern. "Me too" applications deal with chemicals and biologicals whose formulation
and use patterns are identical or substantially similar to those previously registered.
P-5C Provide number of final decisions on Amended Registration Applications administratively
targeted to be completed within the quarter and the number actually completed.
Amended Registrations - Changes to an existing registration not including notifications or
significant new uses.
P-5D Provide number of final decisions on New Use Applications administratively targeted to be
completed within the quarter, and the number actually completed.
New Uses - Any major changes involving new uses of old products.
P-6 Provide number of final decisions on Emergency Exemptions to be completed by quarter:
Emergency Exemption - An exemption from the normal registration requirements of FIFRA which is
granted by a Federal or State agency if EPA determines that emergency conditions exist, (e.g., a
pest outbreak is identified and no effective pesticide is registered for the particular use).
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1992
Program Area; Pesticides
GOAL: Risk Reduction
P-7 Provide number of final decisions on Tolerance Petitions targeted to be processed during the
quarter:
FFDCA Tolerance Petition Decision - applies to all requests for tolerance levels and exemptions
from requirement of a tolerance for pesticide residues in or on raw agricultural commodities,
processed foods and minor uses. EPA is required by law to process tolerance petitions in 180
days; however, OPP has set an administrative deadline of 240 days to better reflect increases in
the complexity of submissions.
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OFFICE OF TOXIC SUBSTANCES
FY1992 MEASURES AND DEFINITIONS
FOR THE
STRATEGICALLY TARGETED ACTIVITIES FOR RESULTS SYSTEM (STARS)
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1992
Program Area; Office of Toxic Substances (HO)
GOAL: TO REDUCE RISK FROM NEW AND EXISTING CHEMICALS AND TO PROMOTE POLLUTION PREVENTION.
OBJECTIVE: Reduce risk by imposing controls as necessary on new
chemicals prior to their entering into commerce.
ACTIVITY; New Chemical control activities - regulatory
MEASURE; Report the number of control actions taken which
include consent or unilateral §5(e) orders, §5(f)
orders and withdrawals in face of §5(e) or §5(f)
action.
MEASURE; Report the cumulative number of TSCA §5(e) orders for
biotech and new chemical PMNs versus the cumulative
number of new chemical SNURs.
STARS CODE: T-l
TARGETED:
REPORTED ONLY:
SUNSET:
Quarterly
STARS CODE: T-l
TARGETED:
REPORTED ONLY:
SUNSET:
Quarterly
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1992
Program Area; Office of Toxic Substances (HO)
GOAL: TO REDUCE RISK FROM NEW AND EXISTING CHEMICALS AND TO PROMOTE POLLUTION PREVENTION.
OBJECTIVE: Initiate and promulgate actions to reduce the risks
from hazardous existing chemicals. Initiate actions to limit new
uses and, thus, exposure to existing chemicals anticipated to
pose an unreasonable risk from their new uses.
ACTIVITY; Existing Chemical control activities - regulatory.
MEASURE: This measure will report separately on the number of
chemicals addressed by proposed and final risk
management actions taken to reduce risk of existing
chemicals under TSCA §5, 6, and 9.
STARS CODE: T-2
TARGETED:
REPORTED ONLY:
SUNSET:
Quarterly
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1992
Program Area; Office of Toxic Substances (HO)
GOAL: TO REDUCE RISK FROM NEW AND EXISTING CHEMICALS AND TO PROMOTE POLLUTION PREVENTION.
OBJECTIVE: Reduce risk from existing chemicals through
discrete, non-regulatory actions.
ACTIVITY: Non-regulatory pollution prevention activities.
MEASURE; Report the number of chemicals addressed by specific STARS CODE: T-3
non-regulatory actions. TARGETED:
REPORTED ONLY: Quarters 2, 4
SUNSET:
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1992
Program Area; Office of Toxic Substances (HO)
GOAL: TO REDUCE RISK FROM NEW AND EXISTING CHEMICALS AND TO PROMOTE POLLUTION PREVENTION.
OBJECTIVE: Encourage the use of Toxic Release Inventory (TRI)
lata to promote toxic use reduction activities by ensuring that
the TRI database contains high quality, reliable data.
ACTIVITY: TRI Program data quality activities.
MEASURE:
MEASURE:
Report on numbers of Notices of Noncompliance (NONs)
and Notices of Technical Errors (NOTEs) generated
and processed as well as numbers of contacts made
with facilities regarding suspect technical data.
Provide a summary report on the data quality
activities of the state grants program, including
the results of any audits conducted.
STARS CODE: T-4
TARGETED:
REPORTED ONLY:
SUNSET:
STARS CODE: T-4
TARGETED:
REPORTED ONLY:
SUNSET:
Quarters 1, 2
Quarter 3
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1992
Program Area; Office of Toxic Substances fHO)
GOAL: TO REDUCE RISK FROM NEW AND EXISTING CHEMICALS AND TO PROMOTE POLLUTION PREVENTION.
OBJECTIVE: Stimulate pollution prevention and risk reduction by
expanding the use of the TRI data by EPA, states and localities,
and the private sector.
ACTIVITY: TRI data use activities.
MEASURE; Report on the number of TRI products distributed by STARS CODE: T-5
NTIS/GPO, and on the number of searches made to TARGETED:
access the TRI data on the National Library of REPORTED ONLY: Quarterly
Medicine's TOXNET system. SUNSET:
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1992
Program Areat Office of Toxic Substances (HO)
GOAL: TO REDUCE RISK FROM NEW AND EXISTING CHEMICALS AND TO PROMOTE POLLUTION PREVENTION.
OBJECTIVE: Increase the effectiveness of TRI as a pollution
prevention stimulant by focusing on a broader spectrum of
chemicals and chemical users.
ACTIVITY: Revisions to the TRI list of chemicals, and the
addition of new Standard Industry Codes (SIC).
MEASURE;
MEASURE:
This measure reports on the number of chemicals
added to the TRI list each quarter.
Report on the anticipated number of new facilities
covered by the TRI reporting rule as a result of the
addition of new SIC codes.
STARS CODE: T-6
TARGETED:
REPORTED ONLY: Quarterly
SUNSET:
STARS CODE: T-6
TARGETED:
REPORTED ONLY: Quarterly
SUNSET:
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1992
Program Area; Office of Toxic Substances fHOl
GOAL: TO REDUCE RISK FROM NEW AND EXISTING CHEMICALS AND TO PROMOTE POLLUTION PREVENTION.
OBJECTIVE: To significantly expand the base of toxicity data on
chemicals to support risk reduction decisions by EPA and others.
ACTIVITY;
activities.
MEASURE:
MEASURE:
MEASURE:
Chemical Testing, Master Testing List (MTL)
Report on the number of chemicals currently
undergoing testing as a result of TSCA §4 actions
taken this fiscal year.
Report on the number of chemicals undergoing testing
as a result of EPA involvement in non-regulatory
actions.
Report on the number of chemicals added to the
Master Testing List. Report on the number of
chemicals removed from the Master Testing List.
STARS CODE: T-7
TARGETED:
REPORTED ONLY: Quarterly
SUNSET:
STARS CODE: T-7
TARGETED:
REPORTED ONLY: Quarter 2 & 4
SUNSET:
STARS CODE: T-7
TARGETED:
REPORTED ONLY: Quarter 4
SUNSET:
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1992
Program Area; Office of Toxic Substances fRTl
GOAL: TO REDUCE RISK FROM NEW AND EXISTING CHEMICALS AND PROMOTE POLLUTION PREVENTION.
OBJECTIVE: Promote the implementation of state accreditation
programs pursuant to AHERA Section 206(c)(2) which are at least
as stringent as the EPA Model Plan.
ACTIVITY: EPA-approved state accreditation programs (asbestos)
STARS CODE: T-8
MEASURE: Specify the number of EPA-approved state programs in TARGETED:
each Region. Each quarter report: (1) the number REPORTED ONLY: Quarterly
of states within the Region which have full EPA (cumulative)
approval of all five accredited disciplines; (2) the SUNSET:
number of states within the Region which have only
partial EPA approval of their state accreditation
program (for less than all five AHERA disciplines.)
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1992
Program Area: Office of Toxic Substances (RT)
GOAL: TO REDUCE RISK FROM NEW AND EXISTING CHEMICALS AND TO PROMOTE POLLUTION PREVENTION.
OBJECTIVE:
activities.
ACTIVITY;
MEASURE;
Assess state PCB program enhancement progress and
State PCB enhancement activities
Provide a report on states in the Region describing
current state PCB programs. [Please note this
measure requests the same information as the FY90 T-
11 measure.] Regions need only to report any new or
additional information.
STARS CODE: T-9
TARGETED:
REPORTED ONLY:
SUNSET:
Quarter 2
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1992
Program Area; Office of Toxic Substances fRTl
GOAL: TO REDUCE RISK FROM NEW AND EXISTING CHEMICALS AND TO PROMOTE POLLUTION PREVENTION.
OBJECTIVE: Highligh Regional outreach efforts and provide a
forum to report innovative Regional projects.
ACTIVITY; Regional Toxic progran outreach activities.
MEASURE;
Report on innovative Regional initiatives, with a
focus on highlighting outreach activities, cross-
program or program specific in nature.
STARS CODE: T-10
TARGETED:
REPORTED ONLY:
SUNSET:
Quarterly
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1992
Office of Toxic Substances. Definitions fHO)
T-l NEW CHEMICAL CONTROL ACTIVITIES - REGULATORY
Chemical companies are required to notify EPA prior to the manufacture of any new chemical. This
premanufacture notification (PMN) provides EPA with an opportunity to review the chemical and impose
whatever controls or restrictions are necessary to protect human health and the environment, prior
to the chemical entering into commerce. Consequently, the PMN review process provides the Agency's
major opportunity for pollution prevention with respect to toxic chemicals in commerce.
This measure reports on the number of control actions taken on new chemicals which pose a threat to
public health or the environment. Risk estimates associated with PMN chemicals are based on
intended uses specified in the PMNs. However, once a chemical is in commerce it becomes an existing
chemical and other uses could be adopted that would be unaddressed by the PMN review. To prevent
this occurence EPA can issue a significant new use rule (SNUR) to require a PMN submission for any
uses not identified in the original PMN submission. As a second pollution prevention tool for new
chemicals, OTS intends to issue a SNUR following each TSCA 5(e) order.
T-2 EXISTING CHEMICAL CONTROL ACTIVITIES - REGULATORY
This measure will provide reports on actions taken on existing chemicals under TSCA authority
sections 5(a)(2), 6, and 9. The actual reporting unit will be the number of chemicals affected by
these actions. Proposed as well as final actions are being reported because a significant amount of
risk management action can occur as a result of proposal to the point that no promulgation is
necessary or justified.
TSCA §6 provides EPA with the authority to control a chemical as a hazardous substance if the Agency
finds that there is a reasonable basis for concluding that the chemical presents or will present an
unreasonable risk.
TSCA §5(a)(2) defines significant new uses for an existing chemical that would be subject to §5
requirements when specific criteria are met.
TSCA §9 authorizes EPA to refer regulation of chemical risks to other agencies.
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1992
Office of Toxic Substances. Definitions fHQ)
T-3 NON-REGUIATORY POLLUTION PREVENTION ACTIVITIES
Prior to having a full characterization of risk on which to base regulatory actions, a number of
actions can be taken which encourage risk reduction on the part of manufacturers and users of toxic
chemicals. Examples include letters to manufacturers or users alerting them of the risk; listing of
chemicals on the Master Testing Listing. These types of non-regulatory actions can be particularly
effective in encouraging voluntary pollution prevention and toxic use reduction activities.
T-4 TRI PROGRAM DATA QUALITY ACTIVITIES
To encourage, to the greatest extent "possible, the use of TRI data by states, localities, and
industry, OTS has two efforts underway to increase confidence in the quality and reliability of the
data. These efforts are:
(1) An aggressive compliance effort directed at non-reporting or mis-reporting of data by
facilities.
(2) A grant program directed at states to support quality control audits to ensure that emissions
data submitted to EPA by facilities is accurate. To facilitate these audits, initially awarded in
September, 1990, EPA will provide approximately 30 states with start up grants to initiate state
level data quality assurance efforts.
This measure reports on numbers of actions generated by headquarters which require correction of
errors or review of suspect data. It also reports on actions taken by states to ensure that
emissions data submitted to EPA by facilities is accurate.
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1992
Office of Toxic Substances. Definitions (HO)
T-5 TRI PROGRAM DATA USE ACTIVITIES
TRI provides a new window for identifying and addressing multi-media and multi-chemical risks. We
believe that during the early years of the TRI program the more we can stimulate and facilitate the
use of the database, the more pollution prevention and risk reduction will occur. Given that this
is technical data which cannot be easily understood or used by the lay-public, we believe that the
rate of access is a good surrogate for level of use.
EPA has selected the National Library of Medicine's TOXNET system as the method to disseminate the
TRI data on-line. Summaries and analyses of the data are provided in a National Report and the data
is also provided to the public via the Title-III Reporting Center. In addition, EPA has decided to
produce and market the TRI data via computer tapes, compact disks (CD-ROM), microfiche, and computer
diskettes. This measure will provide quarterly reports on the status of these efforts.
T-6 TRI LIST REVISION ACTIVITIES
The effectiveness of TRI as a pollution prevention stimulant can be increased as the inventory
focuses on a broader spectrum of chemicals and chemical users. To accomplish this, revisions to the
TRI reporting rule can be added as well as additions to the number of Standard Industry Codes (SIC)
required to report.
This measure will identify changes to the TRI program by reporting the number of chemicals added to
the list and the anticipated number of new facilities covered by the addition of new SIC codes.
T-7 CHEMICAL TESTING. MASTER TESTING LIST ACTIVITIES
The Master Testing List will be EPA's mechanism for identifying and prioritizing chemicals in need
of testing. Chemical testing may be required as a result of TSCA Section 4 actions, or prompted by
EPA involvement in non-regulatory actions. Tost results will provide EPA with information used to
determine whether risk management actions are necessary for specific chemicals.
This measure reports on: (1) the number of chemicals undergoing testing as a result of TSCA §4
actions, (2) the number of chemicals undergoing testing as a result of non-regulatory activities,
(3) the number of chemicals newly entered on the Master Testing List and, (4) the number of
chemicals removed from the list through testing under Section 4 of TSCA or other means.
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OFFICE OF PESTTCTDRS AND TOXIC SUBSTANCES
FY 1992
Office of Toxic Substances. Definitions fRTl
T-8 EPA-APPROVED STATE ACCREDITATION PROGRAMS fASBESTQSl
The universe is comprised of all EPA-approved state accreditation programs in any of the states or
territories. Reporting will indicate the total number of currently approved programs in each
quarter, hence the Regional status of approved state programs.
The Number of States with Full Approval refers to those state accreditation programs which have EPA
approval for all five Model Plan disciplines (Worker, Contractor/Supervisor, Inspector, Management
Planner, Project Designer.) This is a subset of the defined universe, and taken toghether with
partial state approvals will equal the total number of state programs which have "formal EPA
approval.N
The Number of States with Partial Approval refers to those states which have EPA approval for on ne
or more of the Model Plan disciplines, but not all five. This is a subset of the defined universe,
and taken together with full state approvals will equal the number of state programs which have
"formal EPA approval."
Action: Regions will report quarterly on a per-discipline basis, all state/territory accreditation
programs developed. The numbers reported each quarter should reflect the cumulative total.
T-9 STATE PCB ENHANCEMENT ACTIVITIES
This measure applies when any additional or new state PCB activities or initiatives have been added
to the program. The PCB report describing each state in the Region's current PCB state enhancement
program should include any new initiatives in the following PCB enhancement areas:
Provide a list and supporting documentation for states which currently regulate PCBs under RCRA.
Provide a list of states that have PCB regulations in place and copies of the regulations.
Provide any agreements that the Regions may have with your states (i.e., Region V has an
agreement with Ohio concerning inspections.)
List any activities in the states (i.e., any inspections, clean-up, etc.)
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1992
Office of Toxic Substances. Definitions (RT)
T-10 REGIONAL TOXIC PROGRAM OUTREACH ACTIVITIES
Any Regional efforts which informs industry, state or local government, or the general public about
Toxics programs. Examples include, but are not limited to, seminars, meetings, publications, and
training.
Action: This measure will be reported on a quarterly basis. The Regions will report as project
initiatives are developed and/or completed.
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OFFICE OF COMPLIANCE MONITORING
FY1992 MEASURES AND DEFINITIONS
FOR THE
STRATEGICALLY TARGETED ACTIVITIES FOR RESULTS SYSTEM (STARS)
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GOAL
OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1992
Program Area: Pesticide Enforcement
OBJECTIVE!
ACTIVITYt
MEASURE:
Achieve and Maintain High Level of Compliance
Inspections for Significant Activities and Compliance Rates
Specify the cumulative number of State inspections, including
inspections at Federal Facilities, in the following categories
identified on EPA form 5700-33H and the number of EPA
inspections (Regions 7 and 8 only) in comparable categories:**
o agricultural use
o agricultural follow-up
o nonagricultural use
o nonagricultural follow-up
o restricted use pesticide dealers
o Specify the cumulative number of State and EPA enforce-
ment actions and/or proceedings in the same categories
(above)***
o Specify the cumulative number of comprehensive state inspections
which include compliance monitoring for worker protection, and
suspended/cancelled pesticides.
* All Federal data will be reported quarterly in real time.
All State data will be reported quarterly, one quarter out
of phase.
** Requires quarterly targets for inspections.
P/E - 1
*** Warning letters should be reported separately from all
formal enforcement actions.
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GOAL
OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1992
Program Area: Pesticide Enforcement:
OBJECTIVE! Achieve and Maintain Actions
ACTIVITY; EPA Enforcement Actions
MEASURES! Specify on a cumulative basis:
o numbers of administrative complaints issued P/E - 2
o number of warning letters
o numbers of SSUROs, recalls, and import detentions
o civil and criminal referrals (retrieved from
OE Docket system)
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GOAL:
OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1992
Program Area; Pesticide Enforcement
OBJECTIVE;
ACTIVITY;
MEASURE:
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
P/E - 3
ACTIVITY;
MEASURE!
Significant Noncompliance - EPA (New and old cases)
For the present FY and for all outstanding prior
year violations,specify the number of:
o significant noncompliance violations detected
o significant noncompliance cases issued
o significant noncompliance cases closed
P/E - 4
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GOAL:
OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1992
ftr^;Pesticide Enforcement
OBJECTIVE;
ACTIVITY;
MEASURE:
ACTIVITY!
Achieve and Maintain a High Level of Compliance
Significant Noncompliance Case Issuance - Federal Case*
For SNC cases issued, specify on a cumulative basis:
o number of SNC cases issued*
- in 0 to 180 days of inspection date
- in 181 or more days of inspection date
*Regional targets will be required
Cases with Pollution Prevention
P/E - 5
MEASURE:
Specify on a cumulative basis, the number of
cases containing one or more Environmentally Beneficial
Expenditure (EBE).
P/E - 6
*Regional targets will be required for this measure.
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GOAL
OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1992
Program Areai Toxic Substances Enforcement
OBJECTIVE!
ACTIVITY;
MEASURE!
Achieve and Maintain a High Level of Compliance
Inspections and Compliance Rates
Specify on a cumulative basis:
o number of EPA and State inspections conducted*
o number inspections for which case review is completed
o number of inspections found in violation
T/E - 1
ACTIVITY;
Enforcement Actions
MEASURE;
Specify on a cumulative basis:
o number of administrative complaints issued
o number of notices of noncompliance issued
o number of civil and criminal referrals (retrieved
from OE Docket system)
T/E - 2
ACTIVITY;
MEASURE;
Significant Noncompliance, EPA (New and old cases)
For the present FY and for all outstanding prior year
violations, specify the cumulative number of:
o significant noncompliance violations detected
o significant noncompliance cases issued
o significant noncompliance cases closed
T/E - 3
* This measure requires quarterly targets.
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GOAL
OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1992
Program Area; Toxic Substances Enforcement
OBJECTIVEi
ACTIVITYt
MEASURE:
ACTIVITY;
MEASURE:
Achieve and Maintain a High Level of Compliance
Significant Noncompliance Case Issuance - EPA Cases
For SNC cases issued specify on a cumulative basis:
o number of SNC cases issued*
- in 0 to 180 days of inspection date
- in 181 or more days of inspection date
Federal Facilities
Achieve and maintain a high level of compliance
in Federal facilities
Specify separate data on Federal Facilities for T/E -1,
T/E - 2, T/E-3 and T/E-4, as a subset of totals.
T/E - 4
T/E - 5
* Regional targets will be required for certain cases under
this measure.
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GOAL:
OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1992
Program Areat Toxic Substances Enforcement
OBJECTIVE!
ACTIVITY!
MEASURE!
Achieve and Maintain a High Level of compliance
New Enforcement Initiatives
Specify on a cumulative basis for the Hexavalent/Chromium
and Asbestos Ban and Phase Out initiatives:
o number of inspections conducted
o number of inspections found in violation
T/E - 6
ACTIVITY:
MEASURE!
Cases with Pollution Prevention
Specify on a cumulative basis, the number of cases
containing one or more Environmentally Beneficial
Expenditure (EBE).
T/E 7
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GOAL
OFFICE OP PESTICIDES AND TOXIC SUBSTANCES
PY 1992
Program Area; EPCRA Section 313 Enforcenent
OBJECTIVE;
ACTIVITY!
MEASURE:
ACTIVITY;
MEASURE;
ACTIVITY;
Achieve and Maintain a High Level of Compliance
Inspections and Compliance Rates
Specify on a cumulative basis:
o number of EPA inspections conducted*
o number of inspections for which case review is completed
o 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 OE Docket system)
Significant Noncompliance EPA (New and old cases)
E/E/ - l
E/E - 2
MEASVPF* For tne present FY and for all outstanding prior year
inspections, specify the cumulative number of:
o significant noncompliance violations detected
o significant noncompliance cases issued
o significant noncompliance cases closed
* This measure requires quarterly targets.
E/E - 3
* This measure requires quarterly targets,
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GOAL
OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1992
Program Area: EPCRA Section 313 Enforcement
OBJECTIVE!
ACTIVITY:
MEASURE!
ACTIVITY;
MEASURE:
Achieve and Maintain a High Level of Compliance
Significant Nonconpliance Case Issuance - EPA Cases
For cases issued, specify on a cumulative basis:
o number of SNC cases issued*
- in 0 to 180 days of inspection date
- in 181 or more days of inspection date
Cases with Pollution Prevention
Specify on a cumulative basis, the number of
cases containing one or more Environmentally Beneficial
Expenditure (EBE).
E/E - 4
E/E - 5
*Regional targets will be required for this measure.
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1992
Program Area: Office of Toxic Substances
GOAL: TO REPORT ON THE NET INCREASE OR DECREASE OF PCBS WHICH CONTRIBUTE TO UNREASONABLE RISK.
ENVIRONMENTAL INDICATOR: PCB Indicator
DEFINITION: This indicator compares the amount of PCBs retired from service (and placed in storage)
with the amount of PCBs properly disposed of. These numbers can then be used to
calculate the net increase/decrease of PCBs contributing to unreasonable risk. OTS
will report annually.
DATA SOURCE: Section 761.180(b) (3) of the PCB Notification and Manifesting Rule requires the owner
or operator of a PCB disposal or commercial storage facility to submit an annual report
to the Regional Administrator which summarizes information on the types and quantities
of PCB waste disposed of or placed into storage for disposal during the calendar year.
This report is to be submitted each year (by July 15 for the previous calendar year)
until the facility is closed.
From these reports, EPA will be able to determine how well PCBs are being managed on a
nationwide basis, by analyzing and reporting data on the quantities of PCBs slated for
disposal and the actual amounts disposed of during each calendar year.
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OFFICE OF PESTICIDES AND TOXIC SUBSTANCES
FY 1992
Am;office of TOXJC
GOAL: TO REPORT THE AGGREGATE EMISSION TREND OF TOXIC CHEMICALS FROM U.S. INDUSTRY,
ENVIRONMENTAL INDICATOR: Toxic Chemical Release Index
DEFINITION:
This indicator is a national figure based on the aggregated annual release of selected
TRI chemicals. OTS will release this figure annually.
DATA SOURCE: Facilities covered by the TRI reporting rule submit annual reports to EPA on the
emissions ot TRI chemicals. By choosing a select set of "indicator chemicals" OTS will
develop an empirically-driven indicator that will reflect chemical emission trends like
the Dow-Jones Average reflects the behavior of the stock market. The metric will be
the . aggregate measure of the emission of the indicator chemicals calculated on an
annual basis. This indicator can capture emissions across media, as well as reductions
voluntary achieved by industry and those that result from government action.
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OFFICE OP PESTTCEDES AND TOXIC SUBSTANCES
FY 1992
Prooram Area* Pesticides
GOALS
ENVIRONMENTAL INDICATOR: Several feasibility assessments for establishing environmental indicators
are in progress. Concensus on final indicators will depend heavily on
available resources. Possibilities for sharing resources with other
programs for several potential indicators are currently being investigated.
Following is a listing of indicators that will be considered for
implementation:
DEFINITION: Ecological Indicators: Ecological Hazard Risk Index and Usage Patterns, Biological
Community/Species Monitoring, Pesticide Poisoning and
Incidence, Reporting, Pesticide Residue Monitoring
Human Health Indicators: Food Safety - Number of Tolerance Exceedances on selected
Commodities, Dietary Residue levels(per AI
per crop) on selected Commodities, Drinking
Hater(ground water)guality
Worker Protection - Number of Poisonings and Specific
Health Effects, Pesticide Usage by
Toxicity, Evaluation of Compliance data
as potential basis for indicators
Environmental Exposure - Disposable/Refillable Containers,
Recycling of Pesticide Containers
Urban - Trends in Usage, Lawn Care(commercial and non-
commercial) , Indoor Exposure, Government
Sponsored/Licensed Programs(e.g., fogging)
DEFINITION- Feasibility assessments for most of the indicators are currently undergoing review.
Final concensus has not yet been completed for implementation programs at this date.
Recommendations for implementation are currently being discussed.
DATA SOURCE: The feasibility assessments have identified data sources for each indicator.
DATA SOURCE. J J lo|*of envlroniBental indicators will take into consideration the type and
cost of data available as well as its compatability with related data.
10
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ntina Rules for Multi-Media Civil Judicial Enforcement Cases (for public accounting purposes, not
resources distribution purposes)
Multi-media referrals are those civil judicial cases where (a) more than one statute is to be cited in
complaint, and (b) the different citations pertain to discrete, significant pollution problems.
Contractive examples of "discrete11 pollution problems are: (1) the same facility has smokestack
emissions violation of applicable SIP limits, and a hazardous waste storage area with leaking drums, and
an decent discharge into a river for which it holds no NPDES permit. There are three "discrete"
pollution problems, there is only one "discrete" pollution problem. Illustrative examples of
"significant" pollution problems are: (1) any violation which qualifies under EPA program office
guidance as a Significant Non-Cosier (SMC) violation is a "significant" pollution problem for the
purposes of this counting rule; (2) the requiring remediation under RCRA Section 3008(a) or response
under CERCLA Section 104 or 106 is a "significant" pollution problems.
For multi-media cases two numbers will be reported: (1) the total number of multi-media cases referred
DOJ for filing; and (2) the number of statutes cited in the complaint. A chart will be prepared to lay
the frequency with which particular statutes are cited. For the purposes of this report CWA/NPDES
CWA/404 will be considered different statutes.
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OFFICE OF ENFORCEMENT
FY 1992
STARS REPORTING
-6 Report on criminal referral activity and the strategic value of cases:
Open Investigations
The agent determines that evidence may exist that shows the violation of an environmental
statute or regulation. A preliminary investigation results in the opening of a case. A
project number is requested from OCX and all investigatory activities are charged to that
number. An OCI docket number is assigned and a case form is submitted for entering the
investigation in the EPA Criminal Docket. Subsequent activities are charged against the
project number and described in the EPA Criminal Docket.
Investigations closed Prior to Referral to EPA-OCE
Investigation has shown: that the allegations were unfounded, the case should be referred for
administrative civil action, the case should be referred to another agency or law enforcement
office, or there is lack of prosecutorial merit. Includes cases in which the investigation is
suspended and the information in the closed is retained for intelligence purposes.
7 Report on follow-through on active criminal case docket
Fixed Universe
All criminal cases at DOJ/USA or filed in court at the beginning of the fiscal year (1990) are
included in fixed universe. Cases do not enter or exit the fixed universe after October 1,
1989. The purpose is to measure the federal government's progress in moving cases through DOJ
and the court system to conclusion (i.e., closed following prosecution and closed without
prosecution) by taking a snapshot of the fixed universe at the beginning of year and at the end
of each quarter. Progress in getting this years number of BOY fixed based cases through DOJ
and the courts this year will be compared to the same information collected in FY 1989 to
identify bottlenecks in the DOJ/judicial process.
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OFFICE OF ENFORCEMENT
FY 1992
STARS REPORTING
Final Compliance Determinations
I cases where the final compliance date in the decree has been reached and the source is not meeting the
final compliance limits or conditions of the decree, the decree shall be reported in category (c), (d) or
(e) of E/C-1, depending on the circumstances. If the Regional Office has determined that the source will
be able to meet the final terms of the decree, and enforcement action is planned, the Region will
continue to report the decree in category (d) until one acceptable enforcement actions previously defined
has been commenced. At that time, the decree will be reported as violation with enforcement action
commenced until it is returned to compliance with the decree. If the Region has determined that the
final terms of the decree will be met, the Region will report the violation in category (e) as in
violation with no action planned at this time. When the final terms of the decree are met, the decree
will be reported in the compliance category.
Consent Decree Tracking for Multiple Facility Consent Decrees
Consent decree covering more than one facility will be reported as a single consent decree. Actions
taken to address violations at more than one facility covered by the same decree will be reported and
counted individually for internal Agency accountability and resources distribution purposes as one
decree. The Regional actions against multiple facilities covered by the same decree will be accounted or
in the significant noncomplier lists and the enforcement actions tracked in STARS.
-2 Pre-Referral Negotiation (PRNl Cases - Pre-referral negotiation cases are ones in which settlement
negotiations are begun prior to the referral of a formal litigation report to DOJ and the filing of
a complaint.
1. A PRN case is counted as "initiated" when a pre-referral/mini litigation report is submitted to
DOJ.
2. A PRN case is counted as a new "civil referral" when either a final draft consent decree or a
full litigation report is referred to DOJ.
3. A new PRN case, "initiated" during the fiscal year, may later be counted as a civil referral
per #2 above. It will not count, however, in both.
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OFFICE OF ENFORCEMENT
FY 1992
STARS REPORTING
Report on the compliance status of EPA consent decrees each quarter. Included name and number of:
a. Active consent decrees
b. Active consent decrees in compliance
c. Active consent decrees in violation where formal enforcement action has commenced
d. Active consent decrees in violation where formal enforcement action is planned but has not yet
commenced.
e. Active consent decrees in violation with no action planned at this time
DEFINITIONS:
Reportable Violation
A decree will be reported as in violation if any term or condition of the decree is not complied with.
Appropriate Enforcement Action
Formal enforcement actions include motions for contempt, motions to enforce the order, motions for
specific performance, collection of penalties, decree modifications and contractor listing. These
actions will be counted in the enforcement action commenced category when they are referred by the
Regions to Headquarters or directly to the Department of Justice, in accordance with OE referral
procedures. Less formal actions such as demand letters, formal warning letters, etc., are not included
in the list of appropriate action. A pending violation means no action had been taken or that the
violation is in the first stages of being addressed (e.g., the source was sent a demand letter).
Show number of consecutive quarters consent decrees have been listed in each category.
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OFFICE OF ENFORCEMENT
FY 1992
OBJECTIVE
MEASURES
Port on status of consent free
compliance to ensure low
through on EPA forcenent
actions.
Complete HQ review of
proposed Consent Decrees
hin an average timeframe.
CONSENT DECREE TRACKING
Report on the compliance status of EPA consent
decrees by Region and statute each quarter.
Regional reports include the names and numbers of:
a. Active consent decrees
b. Active consent decrees in
c. Active consent decrees in
formal enforcement action
d. Active consent decrees in
formal enforcement action
not commenced
e. Active consent decrees in
formal enforcement action
STARS CODE: E/C-1
TARGETED:
REPORTED ONLY: X
SUNSET:
compliane
violation where
has commenced
violation where
is planned but has
violation with no
planned or necessary
PROPOSED CONSENT DECREE REVIEW TIME
Report quarterly on the average review time by HQ
for proposed consent decrees (by Statute) (target
=35 days). OE reports on the:
Number of consent decrees reviewed by OE and
forwarded to DOJ
Number of consent decrees reviewed by OE and
declined or returned to the Regions
Average review time in days
Range of time needed to review consent decrees
(minimum and maximum)
STARS CODE: E/C-2
TARGETED: X
REPORTED ONLY:
SUNSET:
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OFFICE OF ENFORCEMENT
FY 1992
OBJECTIVE
MEASURES
Provide support to program
offices and Regions in
developing new referrals of
high quality.
Provide support to program
offices, Regions, and the
Department of Justice in
bringing high quality cases
to a timely conclusion.
CIVIL
REFERRAL ACTIVITY AND STRATEGIC VALUE OF CASES
Report quarterly on the cumulative number of EPA
civil actions. Report the total of all programs
for the following:
New referrals to HQ from Regions (cumulative)
New direct referrals to DOJ from Regions
(including re-ferred PRN's) (cumulative)
New pre-referral negotiations cases initiated
(cumulative)
Consent decree enforcement cases (cumulative)
FOLLOW-THROUGH ON ACTIVE CASE DOCKET
Pre-FY 1990 Universe
Specify the number of civil cases pending at the
Department of Justice or filed in the Courts at
the beginning of the fiscal year (including direct
referrals). Each quarter, report current status
of cases by statute:
Cases concluded after filing
Cases concluded before filing
Cases filed in court
Cases pending at the Department of Justice or
at the U.S. Attorney
STARS CODE: E/C-3
TARGETED:
REPORTED ONLY: X
SUNSET:
STARS CODE: E/C-4
TARGETED:
REPORTED ONLY: X
SUNSET:
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OFFICE OF ENFORCEMENT
FY 1992
STARS REPORTING
Dynamic Universe
All cases referred the DOJ after the beginning of the fiscal year (October 1, 1989) are included in the
dynamic universe. The measure reports at the end of each quarter the cumulative number of new cases
referred to DOJ (i.e., the dynamic universe to date) and the status of these cases in the DOJ/judicial
process. Progress in moving new cases through DOJ and the court system will be compared to the same
information collected in FY 1989.
The Fixed and Dynamic Universe measures (E/C-7 and C-8) tracks the movement of the cases through the key
stages of the criminal enforcement system by placing fixed points of measurement on a continuously
revolving system, i.e., on any given day new cases are opened and other cases are closed. The E/C-13
measure reports the end results of our FY 1990 enforcement efforts by indicating the total number of
cases closed, defendants charged, convicted, acquitted or dismissed during the year (a combined total of
fixed and dynamic).
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OFFICE OF ENFORCEMENT
FY 1992
OFFICE OF FEDERAL FACILITIES ENFORCEMENT
DEFINITIONS
sfactorilv address;
Problem nay be addressed through the A-106 process, thus:
the facility has proposed an A-106 project which is adequate to correct the identified problem; or
Potential compliance problem may be addressed through other means, thus:
problem has been corrected and facility already returned to physical compliance; or the facility is
correcting the identified problem through the use of existing funds of some means other than the A-
106 process.
The potential compliance problem identified during the first quarter is not actually present in the
ability at this time, the reported SPMS number for first quarter will be adjusted to show that the
problem not exist.
Statue A-106 projects; Federal agency pollution abatement project which has been submitted to EPA
Regional Office for review and determined by EPA to be adequate in terms of engineering, cost and
timeliness recent or correct compliance problems.
Violation Rate; Report the names of those Federal facilities which have been inspected by EPA or States
improve self-reported violations, and whether they have subsequently received a written EPA or State
formal development action (e.g., a consent order or compliance agreement) or a informal enforcement
response to a warning letter or notice of violation (NOV)).
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OFFICE OF ENFORCEMENT
FY 1992
OBJECTIVE
MEASURES
Provide information on the
closely disposition of cases.
Provide support to Program
offices, Regions, and the
Department of Justice in
setting quality settlements
th deterrant impact.
AVERAGE TIME
CIVIL
Report the average time from initiation to
disposition of cases concluded (with a. consent
decree or litigation) in FY 1990 (Q4 only).
CRIMINAL
Report the total number of referrals during the
fiscal year (Q4 only):
- Average time from opening of criminal investi-
gation to referral to OCE
- Average time from referral to DOJ (the date
until charges filed
CONCLUSION OF CASES
SUPERFUND
Of the Superfund cases concluded since the
beginning of the year, report the total number of
106 and 107 case conclusions and joint 106 and 107
case conclusions (Q4 only)
STARS CODE: E/C-9
TARGETED:
REPORTED ONLY: X
SUNSET
STARS CODE: E/C-10
TARGETED:
REPORTED ONLY: X
SUNSET:
STARS CODE: E/C-11
TARGETED:
REPORTED ONLY: X
SUNSET:
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OFFICE OF ENFORCEMENT
FY 1992
OBJECTIVE
MEASURES
CIVIL
Of the number of non-superfund cases concluded
after referral to the Department of Justice since
the beginning of the year (fixed and dynamic
universe) report cumulative total (Q4 only):
- Number of cases concluded without penalty
- Number of cases concluded with penalty
- Total penalties assessed
CRIMINAL
Of the number of criminal disposition since the
beginning of the year (fixed and dynamic
universe), report the cumulative total by princi-
pal statue (Q4 only):
- Number of referrals resulting in a conviction
(plea and verdict)
- Number of referrals in which all charges were
dismised or all defendants were acquitted
- Number of defandants charged
- Number of defandants convicted
- Number of defandants acquitted or dismissed
- Number of defandants sentenced
- Amount of fines assessed (before suspension)
- Months of incarceration ordered
STARS CODE: E/C-12
TARGETED:
REPORTED ONLY: X
SUNSET:
STARS CODE: E/C-13
TARGETED:
REPORTED ONLY: X
SUNSET:
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OFFICE OF ENFORCEMENT
FY 1992
OBJECTIVE
MEASURES
Provide support to program
offices, Regions, and the
Department of Justice in
managing high quality cases
a timley conclusion.
Provide support to program
offices, NEIC/Office of
Criminal Investigations, and
a Regions in developing
w referrals of high ality.
1990 Referrals
Specify the number of new civil cases referred to
the Department of Justice since the beginning of
the fiscal year (including direct referrals and
re-ferred PRNs). Each quarter, report cumula-
tively by statute:
Cases concluded after filing
Cases concluded before filing
Cases filed in court
Cases pending at the Department of Justice or
at the U.S. Attorney
Cases returned to Regions
CRIMINAL
REFERRAL ACTIVITY AND STRATEGIC VALUE OF CASES
Report cumulatively by principal statute on the
status of EPA criminal actions. Report will
include the following (see definitions):
- Number of new investigations opened
Number of open investigations as of end of
quarter
Number of investigations closed prior to
referral to OCE
Cumulative number of new referrals to OEC1
Cumulative number of new referrals to DOJ from
OE2
Cumulative number of cases returned withdrawn,
STARS CODE: E/C-3
TARGETED:
REPORTED ONLY: X
SUNSET:
STARS CODE: E/C-4
TARGETED:
REPORTED ONLY: X
SUNSET:
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OFFICE OF ENFORCEMENT
FY 1992
OBJECTIVE
MEASURES
Provide support to program
offices, Regions, NEIC/Office
of Criminal Investigations,
and the Department of Justice
in bringing high quality cases
to a timely and successful
conclusion.
FOLLOW-THROUGH ON ACTIVE CASE DOCKET
Fixed Universe
Specify the number of criminal referrals in
progress at DOJ at the beginning of the fiscal
year. Each quarter, report the current status of
cases by principal statute.
Number of referrals to DOJ by OE
Number of referrals under review at DOJ
Number of referrals under a grand jury
investigation
Number of referrals in which charges have been
filed
Cumulative number of referrals closed
following prosecution
Cumulative number of referrals closed by DOJ
without prosecution
Dynamic Universe
Specify the number of new criminal referrals at
DOJ since the beginning of the fiscal year.
Report cumulatively by principa statute:
Cumulative number of referrals to DOJ by OE
Number of referrals under review at DOJ
Number of referrals under a grand jury
investigation
Number of referrals in which charges have been
filed
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OFFICE OF ENFORCEMENT
FY 1992
Office of Federal Facilities Enforcement
OBJECTIVE
MEASURES
Federal Facilities
Compliance Program
Achieve and maintain high
tes of compliance at
federal facilities through
A-106 pollution
statement planning processes.
Report total number of inadequate and additional
needed A-106 projects for each media program by
compliance class category (i.e., class I, II, or
III) .
Report the total number of valid inadequate and
additional needed projects (by compliance status
category) which have been satisfactorily addressed
by affected Federal agencies through adequate
A-106 projects in their final A-106 plan
submissions or other acceptable means.
Report the names of those facilities which either
failed to respond or provide an unacceptable
response to projects identified as inadequate or
needed by EPA.
For each media program, report:
a. the number and names of Federal facilities
inspected during the quarter, with dates of
inspections;
b. compliance status of each inspected facility;
and
c. date and type of enforcement action (with
quarterly updates).
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OFFICE OF ENFORCEMENT
FY 1992
Office of Federal Facilities Enforcement
OBJECTIVE
MEASURES
Federal Facilities
Compliance Program
Achieve and maintain high
tes of compliance at
federal facilities through
e A-106 pollution
statement planning process.
Achieve and maintain a high
of compliance of
federal facilities through a
comprehensive inspection and
enforcement program.
Report total number of inadequate and additional
needed A-106 projects for each media program by
compliance class category (i.e., class I, II, or
III).
Report the total nubmer of valid inadequate and
additional needed projects (by compliance status
category) which have been satisfactorily addressed
by affected Federal agencies through adequate
A-106 projects in their final A-106 plan
submissions or other acceptable means.
Report the names of those facilities which either
failed to respond or provide an unacceptable
response to projects identified as inadequate or
needed by EPA.
For each media program, report:
a. the number and names of Federal facilities
inspected during the quarter, with dates of
inspections;
b. compliance status of each inspected facility;
and
c. date and type of enforcement action (with
quarterly updates).
(There are no targets for the Office of Federal
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