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U.S. Environmental Protection Agency
EPA's Planned Compliance Assistance
Activities for Fiscal Year 2004:
Preliminary Highlights of the
Annual EPA Plan and Inventory
November 2003
-------
FINAL EPA 305-F-03-014
01 .^I
\ EPA's Planned Compliance Assistance Activities for Fiscal Year 2004: s
° Preliminary Highlights of the Annual EPA Plan and Inventory
The U.S. Environmental Protection Agency (EPA) provides a wide range of compliance assistance (CA)
activities to help business, industry and government comply with regulatory requirements and improve
environmental performance.1 This assistance helps users implement new regulations; address problems with existing
regulations; or address geographical, national, regional, local or facility-specific environmental issues. Compliance
assistance may include written or electronic materials and tools (e.g., overviews of laws and regulations or best
management practices); outreach opportunities (e.g., training, workshops, seminars, mailings); new Internet Web
pages; and on-site visits.
Annually, EPA prepares a compliance assistance plan and inventory identifying CA activities that EPA
intends to undertake for that fiscal year. As of October 16, 2003, EPA planned 415 compliance assistance CA
activities for FY 2004, compared to 369 reported for FY 2003.
Preliminary National Highlights of 415 Planned CA Activities for FY 2004
This year's national highlights are similar to last year's with two exceptions. More of the planned CA
activities were reported as part of an integrated strategy that may combine compliance assistance, compliance
monitoring, enforcement and/or compliance incentives to address the environmental problem. In addition, more of
the CA activities reported include an effort to measure the impact or outcome of the CA, such as change in
awareness of environmental requirements or the environmental performance of the regulated entity- be it business,
industry or government.
Types of Activities: Among the various activities, two types - tools developed (49%) and
workshops/trainings/presentations (23%) - account for nearly 75% of all planned CA activities.
New v. Ongoing: Many CA activities (e.g., Compliance Assistance Centers and telephone hotlines)
continue from year to year. Nearly two thirds (64%) are ongoing from FY 2003. This year the number of
new activities planned has increased by about 35% compared to the previous fiscal year.
Organizational Mix: Depending on their mission, different EPA offices provide different types and
amounts of compliance assistance. EPA's Regions will implement or conduct about 85% of the total
activities planned for FY 2004 (an increase of 28% compared to FY 2003), while Headquarters offices will
conduct 15 percent.
EPA Financial Support for Other CA Providers: Through grants, contracts and other types of
agreements, EPA funds a portion of the CA activities offered by a diverse group of states and other CA
providers. Such activities represent 16% of the total CA activities reported in the FY 2004 plan and
inventory, similar to the percentage in FY 2003.
Support for Agency Priorities: Two hundred and three (203) activities (49%) address either a national or
regional priority, an increase of 52 activities from FY 2003. A majority of this increase is accounted for by
an increase in activities that support either regional or other programmatic priorities.
Chemicals and Pollutants Addressed: EPA plans CA activities to address more than 30 chemical and
pollutant categories. Among the specific pollutants most frequently addressed are oil, non-hazardous solid
waste, pesticides and solvents, together accounting for 24% of planned activities.
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Sectors Addressed: EPA plans CA activities to address more than 34 business and government sectors.
The most frequently addressed of all sectors are federal facilities (56 activities), state and local
governments (50 and 47 activities, respectively), and schools (43 activities), together accounting for 26% of
all sectors reported.
Small Business Focus: EPA is also addressing the needs of small business through general and sector-
specific assistance. A total of ninety-six (96) CA activities address one or more small business sectors
(e.g., dry cleaning, auto salvage, automobile-repair/service, printing, etc.) representing 13% of all planned
activities. Additionally, 14% of planned CA activities support previous EPA regulations or regulations EPA
intends to issue during FY 2004, that either have an impact on small entities and/or have an economically
significant impact on larger businesses.
Measuring the Impact of CA: The number of CA activities for which EPA is planning some type of
measurement of impact has increased from 265 to 315 activities, a 19% increase from FY 2003 to FY 2004.
In both years the most frequently used measurement tools are workshop surveys and on-site visits. Together
these two tool types represent 42% of the total measurement tools to be used in FY 2004. The largest
increase (of 44%) from FY 2003 to 2004 is in the number of CA activities where measurement is planned,
but the measurement tool was not specified at the time of data entry.
Integrated Approaches or Strategies: EPA is promoting strategic consideration and use of compliance
assurance and enforcement tools in environmental problem solving. Related to this, the FY 2004 plan
reports 186 projects (a 30% increase from FY 2003) that indicate the planned CA activity is part of an
integrated approach. This means that the planned CA is part of an approach or strategy that may combine
compliance assistance, compliance monitoring, enforcement and/or compliance incentives to address the
environmental problem.
Electronic Access to CA Planning Information
Analyses that Support These Highlights: These Preliminary National Highlights are based on summary
statistics of the FY 2004 plan and inventory. Appendix A of the report contains analyses of FY 2004 data alone,
while Appendix B contains comparisons of select data from all four annual compliance assistance activity plans
(FY 2001 - FY 2004). A complete report, including these statistics, is available only in electronic form. To view
the more detailed report, go to EPA's Compliance Assistance Planning Web Page:
http ://www.epa. gov/compliance/assistance/planning/index .html.
Project or Activity Specific Information: More detailed information (e.g., activity title, brief description,
contact information) about specific activities planned is available in a database that business, industry, government
and the general public can search via the Internet at: National Environmental Compliance Assistance Clearinghouse.
http://www.epa.gov/clearinghouse. To search this information for FY 2004, go to the Clearinghouse; select the
"Planned and Ongoing Activities" button in the left sidebar, select "US EPA Activities." and select "FY04_CAPD
Data." Then search by organization and other criteria (e.g., sector, pollutant, geographic focus, etc.). For additional
information about these materials and/or Web access to them, contact: Ms. Rebecca A. (Becky) Barclay,
U. S. EPA, Office of Enforcement and Compliance Assurance, Office of Compliance, 202-564-7063,
barclay.rebecca@epa.gov.
1 Compliance assistance, for purposes of this plan and inventory, includes activities, tools or technical assistance
that provides clear and consistent information for: (1) helping the regulated community understand and meet its
obligations under environmental regulations; or (2) helping compliance assistance providers to aid the regulated
community in complying with environmental regulations. Compliance assistance may also help the regulated
community find cost-effective ways to comply with regulations and/or go "beyond compliance" through the use of
pollution prevention, environmental management practices, and innovative technologies, thus improving their
environmental performance. To be categorized as a compliance assistance project or activity, at least one objective
must be related to achieving or advancing regulatory compliance.
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APPENDIX A
Analysis of EPA's Planned Compliance Assistance Activities in FY 2004
(FY 2004 data reported as of 10/16/03)
The U.S. EPA Office of Compliance (OC) within the Office of Enforcement and Compliance
Assurance (OECA) documents EPA's planned compliance assistance activities in an annual plan and
inventory to enable EPA Headquarters and Regional Offices to plan and use their compliance assistance (CA)
resources more effectively, and to assist regulators (e.g., state, local, tribes), and other compliance assistance
providers (e.g., Small Business Assistance Programs) in deciding how to use their CA resources, avoid
duplication, and complement EPA's efforts. The information contained in each annual plan also helps
regulated entities (e.g., industry, federal facilities) learn about and take advantage of relevant CA
opportunities.
As of October 16, 2003, the FY 2004 plan includes 415 compliance assistance activities that EPA
intends to undertake this fiscal year. EPA maintains the plan in the form of records of activities with project
level information in a searchable electronic database. With contractor assistance, OC has analyzed key
aspects of each of these records as shown in the tables listed below. Each table summarizes a different aspect
of the FY 2004 plan, such as what proportion of activities are Regional or Headquarters in origin; whether the
activities are new or ongoing; the proportion that address national or regional priorities, etc.
Table 1: Distribution of Planned Compliance Assistance Activities by Organization (EPA
Headquarters Program Offices or Regional Offices) for FY 2004
Table 2: New vs. Ongoing Compliance Assistance Activities for FY 2004
Table 3: Types of Compliance Assistance Activities Planned for FY 2004
Table 4: Chemical/Pollutant Categories Addressed by FY 2004 Planned Compliance
Assistance Activities
Table 5: Specific Sectors Addressed by FY 2004 Planned Compliance Assistance Activities
Table 6: Types of Regulations Addressed by FY 2004 Planned Compliance Assistance
Activities
Table 6a: List of FY 2004 Planned Compliance Assistance Activities Addressing Economically
Significant or SBREFA Regulations
Table 6b: Final Rules which may employ Small Entity Compliance Guides
Table 7: National and Regional Priorities Addressed by FY 2004 Planned Compliance
Assistance Activities
Table 8: Types of Measurement Tools Associated with FY 2004 Planned Compliance
Assistance Activities
Table 9: Recipients of EPA's Financial Assistance for Compliance Assistance Activities in
FY 2004
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Table 1: Distribution of Planned Compliance Assistance Activities by Organization
EPA Regions and Headquarters Offices plan 415 compliance assistance activities forFY 2004. Regional
offices will provide 85% of the activities planned, with Region 2 and 6 offering the largest number of
activities (103 and 81 activities, respectively). Headquarters program offices will provide 15% of the planned
activities, with OECA having the largest number of activities (32) for FY 2004.
Lead Headquarters
Program Office
OAR
OECA
OEI
OPPTS
OW
Total
Number of
Responses
3
32
10
15
3
63
Percentage of
Responses (%)
5
51
16
24
5
100
Key:
OAR - Office of Air and Radiation
OECA - Office of Compliance and Enforcement
OEI - Office of Environmental Information
OPPTS - Office of Pollution Prevention and Toxics
OW - Office of Water
Lead Regional
Office
Region 01
Region 02
Region 03
Region 04
Region 05
Region 06
Region 07
Region 08
Region 09
Region 10
Total
Number of
Responses
21
103
27
38
9
81
35
17
13
8
352
Percentage of
Responses (%)
6
29
8
11
3
23
10
5
4
2
100
Source: The Compliance Assistance Planning Database (CAPD) as of October 16, 2003
Total Records: 415
Total Number of Responses: 415 (Response Rate: 100%)
Total Number of Responses (lead Headquarters): 63 (15% of the total records)
Total Number of Responses (lead Regions): 352 (85% of the total records)
Table 2: New vs. Ongoing Compliance Assistance Activities for FY 2004
EPA Regions and Headquarters Offices plan compliance assistance activities for FY 2004 that are either new,
or are ongoing from the past year(s). Of the reported activities, 64% were ongoing, while 36% were new
activities beginning in FY 2004.
Activity Type
New
Ongoing
Total
Number of Responses
143
256
399
Percentage of Responses (%)
36
64
100
Source: The Compliance Assistance Planning Database (CAPD) as of October 16, 2003
Total Records: 415
Total Number of Records with a Response: 399 (Response Rate: 96%)
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Table 3: Types of Compliance Assistance Activities Planned for FY 2004
EPA Regions and Headquarters Offices plan a variety of compliance assistance activities for FY 2004. Tools
developed are the most frequently reported activity type accounting for 49% of all activities, followed by
workshop(s)/trainings and presentations at meetings at 23% and on-site assistance at 15%.
General Category
Tools Developed
CD-ROM(s)
Case Studies
Checklists
Fact Sheets
Guidance Materials
Newsletters
Policy Documents
Video(s)
Workshops/Trainings and Presentations at Meetings
Workshop(s)/T raining Materials
Telephone Hotlines and Websites
Web Sites
Hotline(s)
On-Site Assistance
Environmental Management Systems/Review
On-site visits
Total
Number of
Responses
264
12
19
28
62
102
9
24
8
122
122
68
62
6
81
18
63
535
Percentage of
Responses (%)
49
2
4
5
12
19
2
4
1
23
23
13
12
1
15
3
12
100
Source: The Compliance Assistance Planning Database (CAPD) as of October 16, 2003
Total Records: 415
Total Individual Compliance Assistance Activity Types selected (Total Responses): 535
Total Number of Records with a Response: 301 (Response Rate: 72%)
Total Number of Records with a Response including "Other1": 335 (Response Rate: 81%)
Total Number of Records with Multiple Responses2: 102
"Other" refers to a compliance assistance activity not listed in the FY 2004 Compliance Assistance Planning Database that was
entered by the user.
There are a total of 415 records in the Database. A number of records (102) report more than one compliance assistance activity
type, resulting in some double-counting.
Abt Associates Inc.
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Table 4: Chemical/Pollutant Categories Addressed by FY 2004 Planned Compliance Assistance Activities
EPA Regions and Headquarters Offices plan compliance assistance activities that address more than 30 chemical and
pollutant categories. Activities to address "general" categories of water pollutants (112 activities) and hazardous waste
(102) are the most frequently reported, together accounting for 15% of all chemicals/pollutants reported. Among specific
pollutants most frequently addressed are oil, non-hazardous solid waste, pesticides and solvents, together accounting for
24% of all chemicals/pollutants reported.
Chemical/Pollutant
Number of
Responses
Air Pollutants:
- CFCs and other ozone-depletors
- criteria air pollutants (VOCs, NOx, PM, SO2,
CO, lead)
- general
- greenhouse gases
- HAPs
21
42
86
25
38
Hazardous Waste:
- characteristic
- general
- listed
- pathogens
37
102
41
12
Water Pollutants:
- conventional pollutants (BOD, pH, TSS, oil &
grease)
- general
- nutrients
- other toxics
- pathogens
- priority pollutants
37
112
29
21
25
19
Chemical/Pollutant
Number of
Responses
Toxic Substances:
- asbestos
- dioxin and dioxin-like compounds
- general
- heavy metals
- lead and lead compounds
- mercury
- PBTs as a group (persistent, bioaccumulative,
& toxic)
- PCBs (polychlorinated biphenyls)
- TRI-listed chemicals
28
11
87
42
44
35
19
20
40
Other Specific Chemical/Pollutants:
Laboratory Chemicals
Oil
Pesticides
Radioactive Materials/Waste
Solid Waste (non-hazardous)
Solvents
Total
53
98
78
31
86
77
1,396
Source: The Compliance Assistance Planning Database (CAPD) as of October 16, 2003
Total Records: 415
Total Individual Chemicals/Pollutants selected (Total Responses): 1,396'
Total Number of Records with a Response: 3432 (Response Rate: 83%)
Total Number of Records with a Response including "Other3": 366 (Response Rate: 88%)
Total Number of Records with Multiple Responses4: 201
CFCs
NOx
PM
TRI
- Chlorofluorocarbons
- Nitrogen Oxides
- Participate Matter
- Toxic Release Inventory
CO
PBTs
SO2
VOCs
- Carbon Monoxide
- Persistent, Bioaccumulative Toxics
- Sulfur Dioxide
- Volatile Organic Compounds
Key:
BOD - Biochemical Oxygen Demand
HAPs - Hazardous Air Pollutants
PCBs - Polychlorinated Biphenyls
TSS - Total Suspended Solids
Eight (8) records indicated "Not Applicable" in the chemical/pollutant field; "N/As" have neither been included in the total number of individual
chemicals/pollutants selected, nor have they been listed in the above table.
The total number of records with a response and the total number of records with multiple responses include those chemicals/pollutants that
addressed "N/As" (8 responses).
"Other" refers to a chemical/pollutant not listed in the FY 2004 Compliance Assistance Planning Database that was entered by the user.
There are a total of 415 records in the Database. A number of records (201) addressed more than one chemical/pollutant, resulting in some double-
counting.
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Table 5: Specific Sectors Addressed by FY 2004 Planned Compliance Assistance Activities
Compliance assistance activities planned by EPA Regions and Headquarters Offices address more than 34
business and government sectors. The most frequently addressed government sectors are federal facilities (56
activities), state and local government (50 and 47 activities respectively), and schools (43), together accounting
for 26% of all sectors reported. Additionally, among business sectors, small business, health care, general
agriculture, automobile repair/service and utilities are the most frequently addressed and collectively account for
20% of all sectors reported.
Sector
Agriculture - animal feeding operations
Agriculture - general
Auto Salvage
Automobile - manufacturing
Automobile - repair/service
Chemical - distributors
Chemical - general
Chemical - inorganics
Chemical - organics
Computers & Electronics
Construction
Dry Cleaning
Federal Facilities
Food Processing
Garment and T extile
General Public/Citizens
Hazardous Waste Management
Health Care
All Sectors
Number of
Responses
20
30
14
6
30
8
27
12
16
14
23
7
56
9
4
15
21
31
64
Sector
Iron & Steel
Laboratories
Leather Tanning and Finishing
Local Government
Metal Services/Finishers
Metals - Other than Al or Cu
Metals - Secondary Al
Metals - Secondary Copper
Mineral/Mining/Processing
Petroleum
Pharmac euticals
Printing
Pulp/Paper/Forestry
Schools
Small Business
State Government
Transportation
Tribal
Utilities
Total
Number of
Responses
3
12
4
47
11
5
3
3
8
21
8
13
4
43
32
50
22
23
29
748
Source: The Compliance Assistance Planning Database (CAPD) as of October 16, 2003
Total Records: 415
Total Individual Sectors selected (Total Responses): 7481 (including "All Sectors")
Total Number of Records with a Response: 3542 (Response Rate: 85%)
Total Number of Records with a Response including "Other3": 382 (Response Rate: 92%)
Total Number of Records with Multiple Responses4: 190
Seventeen (17) records indicated "N/A - Not Industry Specific" in the sector field; "N/As" have neither been included in the total
number of individual sectors selected, nor have they been listed in the above table.
The total number of records with a response and the total number of records with multiple responses include those sectors that addressed
"N/As" (17 responses).
"Other" refers to a sector not listed in the FY 2004 Compliance Assistance Planning Database that was entered by the user.
4
There are a total of 415 records in the Database. A number of records (190) address more than one sector, resulting in some double-
counting.
Abt Associates Inc.
FINAL - The Compliance Assistance Planning Database (CAPD)
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Table 6: Types of Regulations Addressed by FY 2004 Planned Compliance Assistance Activities
A total of 71 (17%) compliance assistance activities planned by EPA Regions in the FY 2004 CAPlan and
Inventory support previous or upcoming regulations that impact small entities and/or have an economically
significant impact on the regulated community.
Regulations
Economically Significant
SBREFA
Total
Number of Responses
20
51
71
Percentage of Responses (%)
28
72
100
Source: The Compliance Assistance Planning Database (CAPD) as of October 16, 2003
Total Records: 415
Total Types of Regulations selected (Total Responses): 71
Total Number of Records with a Response: 60 (Response Rate: 14%)
Total Number of Records with a Response including "Other1": 73 (Response Rate: 18%)
Total Number of Records with Multiple Responses2: 11
Key:
SBREFA - Small Business Regulatory Enforcement Act
Other" refers to a regulation not listed in the FY 2004 Compliance Assistance Planning Database that was entered by the user.
}
There are a total of 415 records in the Database. Eleven (11) of the records addressed more than one type of regulation, resulting in
some double-counting.
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Table 6a: List of FY 2004 Planned Compliance Assistance Activities
addressing Economically Significant or SBREFA Regulations
Contact
Office /
Region
OECA
Region 01
Region 01
Region 01
Region 01
Region 02
Region 02
Region 02
Region 02
Region 02
Region 02
Region 02
Region 02
Region 02
Region 02
Region 02
Region 02
Region 02
Region 02
Region 02
Region 02
Region 02
Region 02
Region 02
Region 02
Region 02
Region 02
Region 02
Region 02
Region 02
Region 02
Region 02
Region 02
Region 02
Region 02
Region 02
Region 02
Region 03
Region 03
Region 05
Region 05
Title
Construction Industry Compliance Assistance Center - www.CICAcenter.org
Small Drinking Water Systems - Distribute New Compliance Assistance Tools
Small Drinking Water Systems -Sector-specific Drinking Water Outreach Campaigns
Small Drinking Water Systems - Treatment Technology Exchange
Comprehensive Post-Inspection Assistance & Resource Connection
Wood Treaters Compliance Assistance - Fact Sheets
Auto Fleet Maintenance Sector - webpage
Grant for EMS for Marinas and Boatyards in NY
NEPAssist
Compliance Assistance for Marinas - fact sheet
Creating, Maintaining, and Participating in Small Business Comprehensive
Assistance Network in NY
Small Business General Outreach
Regional Small Business Assistance Webpage
Compliance Assistance for Marinas - website
Dry Cleaning on-site visits
New Jersey Auto Salvage Yard Compliance Assistance
Spray Booth compliance assistance
Dry Cleaning regulatory/pollution prevention CD/ROM
CFC Mailing & Audit Initiative
Creating, Maintaining, and Participating in Small Business Comprehensive
Assistance Network in Puerto Rico
Creating, Maintaining, and Participating in Small Business Comprehensive
Assistance Network in NJ
Compliance Incentives/ Environmental Auditing Web Page
Stratospheric Ozone Protection
Auto Fleet Maintenance Sector - mailing
Auto Fleet Maintenance Sector - checklist
Creating, Maintaining, and Participating in Small Business Comprehensive
Assistance Network in the US Virgin Islands
Wood Treaters Compliance Assistance - Web Site
VOC & P articulate Reduction Project Through Enhanced Use of "High Volume Low
Pressure" Spray Guns in New York City Auto Body Shops
New Croton Aqueduct Project
Spray Booth Web Site
Outreach to Chemical Warehousing Operations in Paterson, NJ
Outreach to Potential TRI Filers in Paterson, NJ
Disposal of Commercial Refrigeration and Air Conditioning Service Outreach in
Paterson, NJ
Commercial Refrigeration and Air Conditioning Service Outreach in Paterson, NJ
CFC Disposal of Small Appliances Outreach in Paterson, NJ
Dry Cleaner Outreach in Paterson, NJ
MVAC Outreach in Paterson, NJ
Business Assistance Center Hot Line
Outreach At Trade Association Events
TRI Compliance Assistance Workshops
Compliance Assistance through telephone, e-mail, mail, fax
Economically
Significant
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
SBREFA
-
-
-
-
-
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Contact
Office /
Region
Region 06
Region 06
Region 06
Region 06
Region 06
Region 06
Region 06
Region 06
Region 06
Region 06
Region 06
Region 06
Region 08
Region 08
Region 08
Region 09
Region 09
Region 10
Region 10
Title
Coordinate Clean Air Act outreach activities and participate in training with NMED
Field Screening Chemical Tests Developed for Tribes in Oklahoma and New Mexico
Underground Storage Tank - Geographic Information System Environmental
Indicators / Data Management Tool for Oklahoma Tribes
Wood Treaters of Texas
Nitrate project in Texas
Assistance on Clean Air Act (CAA) Regulations
Coordinate Clean Air Act outreach activities and participate in training with TCEQ
Coordinate Clean Air Act outreach activities and participate in training with LDEQ
Coordinate Clean Air Act outreach activities and participate in training with ODEQ
Storm Water Construction General Permit (SWCGP) Assistance Workshop
Fertilizer and Feed Mill Initiative
Coordinate Clean Air Act outreach activities and participate in training with ADEQ
The Colorado UIC Class V Well Inventory
Pollution Prevention - Regional P2RX Center
The Black Hills/SDOT UIC Initiative
Barrio Logan Auto Repair and Auto Salvage Compliance Assistance and P2
Workshop
Stratospheric Ozone Program Assistance Project for Auto Salvage Yards
Compliance Assistance for the Alaska Seafood Processors
Education & Outreach on NPDES Storm Water Permit Regulations
Economically
Significant
-
-
-
-
-
-
-
-
SBREFA
-
-
-
-
Source: The Compliance Assistance Planning Database (CAPD) as of October 16, 2003
Total Records: 415
Total Number of Records with a Response: 60 (Response Rate: 14%)
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Table 6b: Final Rules which may employ Small Entity Compliance Guides
The table below includes information on federal regulations for which EPA plans to develop small entity
compliance guides (SECG) or self-audit checklists in Fiscal Year 2004. Compliance guides are being developed
because the regulations have a significant economic impact on a substantial number of small entities as defined
under the Small Business Regulatory Enforcement Fairness Act (SBREFA).
The rules listed in this table are either expected to be final in FY 2004 or are already final rules and will have
compliance guides completed in FY 2004. This table does not, therefore, list the potential universe of SBREFA
regulations for which future compliance guides may be developed.
The regulations on this table are current as of October 17, 2004. The list of regulations is not final and is
continually changing based on alterations to the regulation's projected publication date and further economic
analysis. For more information on the status of the regulation or the compliance guide, contact the appropriate
EPA program office.
Office
OAR
OPPTS
OW
Title
SAN-3326: NESHAP: Reinforced Plastic Composites Production
SAN -4355: Heavy Duty Engine Emission Standards and Diesel Fuel
Sulfur Control Requirements
SAN-4675: Control of Emissions of Air Pollution from Nonroad Diesel
Engines and Fuel
SAN-3244: Lead-Based Paint Activities Rules; Training, Accreditation,
and Certification Rule and Model State Plan Rule- Section
402(a)
SAN-4153: National Pollutant Discharge Elimination System Permit
Regulation and Effluent Limitations Guidelines and
Standards for Concentrated Animal Feeding Operations
(CAFOs)
Final
Publication
Date
04/21/2003
01/18/2001
04/00/2004
08/29/1996
02/12//2003
Projected
SECG
Issuance Date
10/00/2003
12/00/2003
-
12/00/2003
10/00/2003
Source: The Compliance Assistance Planning Database (CAPD) as of October 16, 2003
Key:
OAR - Office of Air and Radiation
OPPTS - Office of Prevention, Pesticides and Toxic Substances
OW - Office of Water
SECG - Small Entity Compliance Guides
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Table 7: National and Regional Priorities Addressed by
FY 2004 Planned Compliance Assistance Activities '
Two hundred and three (203) activities (49%) address either a national or regional priority. Of these, one
hundred six (106) activities (52%) address National MOA or other cross-programmatic priorities, while ninety-
seven (97) activities (48%) address Regional MOA Priorities.
National and Regional Priority
National Priority
National O EC A MOA Priority
Other Program (OAR, OW, OPPTS, OSWER) MOA Priority
Other Cross-Programmatic Priority (e.g., children's health, EJ, etc.)
Regional Priority
Regional MOA Priority
Total of National and Regional Priorities
Number of
Responses
106
41
49
16
97
97
203
Percentages of
Responses (%)
52
20
24
8
48
48
100
Source: The Compliance Assistance Planning Database (CAPD) as of October 16, 2003
Total Records: 415
Total Number of Records with a Response: 203 (Response Rate: 49%)
Key:
EJ - Environmental Justice
MOA - Memorandum of Agreement
OAR - Office of Air and Radiation
OECA - Office of Enforcement and Compliance Assurance
OPPTS - Office of Prevention, Pesticides and Toxic Substances
OSWER - Office of Solid Waste and Emergency Response
OW -Office of Water
In addition, 81 planned CA activities address the National OECA MOA core program.
Abt Associates Inc.
FINAL - The Compliance Assistance Planning Database (CAPD)
- Page 12 of 19 -
November 25, 2003
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Table 8: Types of Measurement Tools Associated with
FY 2004 Planned Compliance Assistance Activities
EPA Regions and Headquarters offices plan to measure the impact of 315 CA activities planned for FY 2004.
The most frequently used measurement tools are workshop surveys and on-site visits. Together these represent
42% of the types of measurement tools to be used in FY 2004.
Measurement Tool
E-mail Survey
Mail Survey
On-site Revisits
On-site Visit
Phone Survey
Planned (Specifics Unknown)
Pre/post Test
Workshop Survey
Total
Number of Responses
10
8
26
57
22
100
17
75
315
Percentage of
Responses (%)
3
3
8
18
7
32
5
24
100
Source: The Compliance Assistance Planning Database (CAPD) as of October 16, 2003
Total Records: 415
Total Individual Activity Measures selected (Total Responses): 3151
Total Number of Records with a Response: 3382 (Response Rate: 81%)
Total Number of Records with Multiple Responses3: 69
A hundred and eighteen (118) records indicated "None Planned" in the measurement type field; these responses have neither
been included in the total number of individual activity measures selected, nor have they been listed in the above table.
The total number of records with a response and the total number of records with multiple responses include those measurement
types that addressed "None Planned" (118 responses).
There are a total of 415 records in the Database. A number of records (69) addressed more than one measurement type, resulting
in some double-counting.
Abt Associates Inc.
FINAL - The Compliance Assistance Planning Database (CAPD)
- Page 13 of 19 -
November 25, 2003
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Table 9: Recipients of EPA's Financial Assistance for
Compliance Assistance Activities for FY 2004
EPA Regions and Headquarters Offices plan to support a variety of compliance assistance providers in
FY 2004. State/state programs are the most frequent recipients, accounting for 49% of all recipients,
followed by nonprofit organizations at 24% and academic/universities at 12%.
Recipients of EPA Financed Activities
Academic/University
Environmental justice or community groups
Environmental group
Federal department or agency
Industry Trade Association
Nonprofit Organization
State/State Program
Tribal Association or Organization
Total
Number of Responses
8
2
1
3
1
16
33
4
68
Percentage of Responses
(%)
12
3
1
4
1
24
49
6
100
Source: The Compliance Assistance Planning Database (CAPD) as of October 16, 2003
Total Records: 415
Total Number of Records with a Response (Total Responses): 68 (Response Rate: 16%)
Total Number of Records with a Response including "Other1": 75 (Response Rate: 18%)
"Other" refers to a recipient not listed in the FY 2004 Compliance Assistance Planning Database that was entered by the user.
Abt Associates Inc.
FINAL - The Compliance Assistance Planning Database (CAPD)
- Page 14 of 19 -
November 25, 2003
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APPENDIX B
EPA's Planned Compliance Assistance Activities:
Data Comparisons from FY 2001 to FY 2004
The U.S. EPA Office of Compliance (OC) within the Office of Enforcement and Compliance
Assurance (OECA) has completed four annual compliance assistance activity plans, beginning in
FY 2001. Appendix B contains bar charts and tables that compare data selected from four fiscal years
(FY 2001 - FY 20041), including total activities planned and the proportion of these activities that are
Headquarters or Regional in origin.
Appendix B also contains analyses comparing data collected on two topics during FY 2003 and
FY 2004 only. These topics include support for national and regional priorities, and the measurement
tools to be used to assess the impact of planned compliance assistance (CA) activities.
B-l: Comparison of Total CA Activities Planned, FY 2001 through FY 2004
B-2: Comparison of CA Activities Planned by EPA Headquarters and Regional Offices,
FY 2001 through FY 2004
B-3: Comparison of Planned CA Activities Supporting National or Regional Priorities for
FY 2003 and FY 2004
B-4: Comparison of Measurement Methods Associated with CA Activities Planned for
FY 2003 and FY 2004
The FY 2004 data on planned compliance assistance activities are preliminary and may change depending
on the final budget EPA receives from Congress for FY 2004. As of November 17, 2003, EPA has not received its
final FY 2004 budget.
Abt Associates Inc. DRAFT FINAL - Compliance Assistance Planning Database: Appendix B November 17, 2003
- Page 15 of 19 -
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B-l: Comparison of Total CA Activities Planned, FY 2001 through FY 2004
The total number of CA activities planned has risen and fallen from FY 2001 to FY 2004, with the highest
number (455) reported in FY 2002.
500 -,
o>
tn
ut dnn
Ğj 4UU
o
TJ
in 300 -
o>
w
^
** 200 -
O
"S 100
c
rt
O.
n -
FY'01 FY'02 FY'03 FY '04
Fiscal Year
Planned CA
Activity
New
Ongoing
No Response*
Total Responses
Total Records
FY '01 1
#of
Responses
NA
NA
NA
NA
368
FY'C
#of
Responses
165
290
0
455
455
2
% of
Total
36
64
0
100
NA
FY'
#of
Responses
106
248
15
354
369
93
% of
Total
29
67
4
100
NA
FY'
#of
Responses
143
256
16
399
415
94
% of
Total
34
62
4
100
NA
Difference
FY '03 t
#of
Responses
37
8
1
45
46
; Between
9 FY '04
(%
change)
35
3
7
13
12
Source: The Compliance Assistance Planning Database (CAPD) as of October 16, 2003
* Not all users responded to this field, i.e., whether the CA planned activity was new or ongoing.
NA = Not Applicable. No data are available for whether the CA activity was new or ongoing for
FY2001.
Abt Associates Inc.
DRAFT FINAL - Compliance Assistance Planning Database: Appendix B
-Page 16 of 19-
November 17, 2003
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B-2: Comparison of the CA Activities Planned by EPA Headquarters and Regional Offices,
FY 2001 through FY 2004
From FY 2001 to FY 2004 the total activities reported by seventeen EPA offices has risen and fallen significantly.
The EPA Headquarters office consistently reporting the largest percentage of planned CA activities has been
OECA. Otherwise, the percentage of planned CA activities reported by other EPA Headquarters offices has
declined generally from FY 2001 to FY 2004, with two offices - OPEI and OSWER- not reporting any CA
activities planned for FY 2004. Two Regions (2 and 6) steadily increased reporting over the four years while
reporting from other Regions has fluctuated or declined.
30 -i
25
20
1 15
B
ğ 10
£
! 5
Ğ
<-> 0
I
1
^
Fiscal Year
FY 01 (368 Records)
FYQ2 (455 Records')
FY03 C369 Records') ^ FY04C415 Records')
EPA
Organization
OAR
OECA
OEI
OPEI
OPPTS
OSWER
OW
Region 01
Region 02
Region 03
Region 04
Region 05
Region 06
Region 07
Region 08
Region 09
Region 10
Total
FY'Ol
#of
Responses
13
50
24
17
35
9
6
11
30
18
29
18
32
21
10
26
19
368
% of
Total
4
14
7
5
10
2
2
3
8
5
8
5
9
6
3
7
5
100
FY'02
#of
Responses
6
46
12
12
27
15
6
24
52
35
36
28
54
31
24
28
19
455
% of
Total
1
10
3
3
6
3
1
5
11
8
8
6
12
7
5
6
4
100
FY'03
#of
Responses
4
38
10
10
8
15
10
41
55
25
12
16
68
24
17
11
5
369
% of
Total
1
10
3
3
2
4
3
11
15
7
3
4
18
7
5
3
1
100
FY'04
#of
Responses
3
32
10
0
15
0
3
21
103
27
38
9
81
35
17
13
8
415
% of
Total
1
8
2
0
4
0
1
5
25
7
9
2
20
8
4
3
2
100
Source: The Compliance Assistance Planning Database (CAPD) as of October 16, 2003
Abt Associates Inc.
DRAFT FINAL Compliance Assistance Planning Database: Appendix B
-Page 17of 19 -
November 17, 2003
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B-3: Comparison of Planned CA Activities Supporting National or Regional Priorities
for FY 2003 and FY 2004
The number of EPA's planned CA activities that support national or regional priorities has increased from 151
activities in FY 2003 to 203 activities in FY 2004, or a 34% increase. Most of this increase is accounted for by
increases in activities that support either regional priorities or other program priorities.
120 n
£ 100
o
CL
15
s
80
0)
iħ
= 40
3
15
20
a
1
National OECA MOA
Priority
Other Program MOA
Priority
Other Cross- Regional MOA Priority
Programmatic Priority
Fiscal Year
DFY2003 HFY2004
National and Regional
Priority
National Priority
National OECA MOA Priority
Other Program (OAR, OW,
OPPTS, OSWER) MOA Priority
Other Cross-Programmatic Priority
(e.g., children's health, EJ, etc.)
Regional Priority
Regional MOA Priority
Total of National and Regional
Priorities
FY'
#of
Responses
77
40
25
12
74
74
151
03
%
51
26
17
8
49
49
100
FY'
#of
Responses
106
41
49
16
97
97
203
04
%
52
20
24
8
48
48
100
Difference
FY '03 an
#of
Responses
+29
-1
+24
+4
+23
+23
52
between
d FY '04
change
+38
+ 3
+ 96
+33
+31
+31
34
Source: The Compliance Assistance Planning Database (CAPD) as of October 16, 2003
Abt Associates Inc.
DRAFT FINAL Compliance Assistance Planning Database: Appendix B
- Page 18 of 19 -
November 17, 2003
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B-4: Comparison of Measurement Methods Associated with CA Activities Planned
for FY 2003 and FY 2004
The number of CA activities for which EPA is planning some type of impact measurement has increased from
265 to 315 activities, a 19% increase from FY 2003 to FY 2004. In both years the most frequently used
measurement tools are workshop surveys and on-site visits. The largest increase from FY 2003 to 2004 is the
number of activities (56 to 100 activities) where measurement is planned but the type of measurement tool was
not specified at the time of data entry.
100 -i
90
80
70
§ 60
| 50
us
a 40
30
20
10
E-mail
Survey
Mail On-site On-site Phone Planned Pre/post Workshop
Survey Revisits Visits Survey (Specifics Test Survey
Unknown)
Measurement Tool
FY 03 (369 Records)
CD FY04 (415 Records)
Measurement Method
E-mail Survey
Mail Survey
On-site Revisits
On-site Visits
Phone Survey
Planned (Specifics Unknown)
Pre/post Test
Workshop Survey
Total Responses
Total Records
FY'O
# of Responses
14
16
11
59
32
56
12
65
265
369
3
%
5
6
4
22
12
21
5
25
100
NA
FY'O
# of Responses
10
8
26
57
22
100
17
75
315
415
4
%
3
3
8
18
7
32
5
24
100
NA
Difference 1
FY '03 to
# of Responses
-4
-8
+ 15
_2
-10
+44
+ 5
+ 10
50
46
>etween
FY'04
%change
-29
-50
+ 136
-3
-31
+79
+42
+ 15
19
12
Source: The Compliance Assistance Planning Database (CAPD) as of October 16, 2003
Abt Associates Inc.
DRAFT FINAL Compliance Assistance Planning Database: Appendix B
- Page 19 of 19 -
November 17, 2003
------- |