Office of Solid Waste and Emergency Response FY 2014 NATIONAL PROGRAM MANAGER'S GUIDANCE Final - June 14, 2013 Publication Number 540S13001 ------- This page intentionally left blank ------- Table of Contents Agency Overview to the FY 2014 NPM Guidances 1 Introduction 1 National Areas of Focus 3 Operationalize Community Engagement 3 Operationalize the Integrated Cleanup Initiative 5 Advancing Superfund Remedial Cleanups 8 E-Manifest System and E-Enterprise 13 Sustainable Materials Management 15 Chemical Risk Management 18 Brownfields/ Area-Wide Planning 20 Program-Specific Guidances 22 Superfund Remediation 22 Superfund Federal Facilities Response 25 Emergency Response and Prevention 27 Brownfields and Land Revitalization 31 RCRA Sustainable Materials Management 35 RCRA/ PCB Permitting and Tribal Programs 37 RCRA/PCB Cleanup 39 RCRA Regulatory and Guidance Actions 41 Underground Storage Tanks 45 Tribal Program Development 48 Environmental Justice 49 Appendices FY 2014 Measures Appendix I Explanation of Key Changes between FY 2013 and FY 2014 II Grant Guidelines Ill State Reporting Schedule for UST Performance Measures IV Key Contacts V ------- This page intentionally left blank ------- Agency Overview to the FY 2014 NPM Guidances The overview to the NPM Guidances communicates important agency-wide information and should be reviewed in conjunction with each of the draft FY 2014 NPM Guidances as well as other applicable requirements. The overview also includes relevant background information and cross-program areas that are important to the effective implementation of EPA's environmental programs in FY 2014. Read the overview at: http://www2.epa.gov/planandbudget/fy2014 Introduction OSWER is the national program manager for a wide variety of land-based and community based programs. OSWER is responsible for the Superfund Removal and Remedial programs, the Resource Conservation and Recovery Act program, the Brownfields program, the Underground Storage Tank program, the Emergency Response and Management program, and the Federal Facility Oversight program. This national program guidance contains annual implementation priorities for all OSWER program offices. OSWER also collaborates with other agency programs on cross-media issues to address environmental concerns as One EPA. The OSWER guidance defines national policy, strategic goals and priority activities and should be used by the regions, and in some instances, states and tribes. The issuance of this guidance also marks the beginning of the process wherein regions, with input from states and tribes, establish their performance commitments toward achieving the agency's goals and enter them into the Annual Commitments System (ACS). Regions should allocate FTE and extramural resources as needed to achieve these national goals. Further, resources should be devoted as reflected in the final FY 2014 operating plan. OSWER's National Areas of Focus OSWER's areas of focus for the upcoming fiscal year support two overall themes: (1) Doing Business Differently: More Efficiently and with Greater Transparency; and (2) Leveraging Private and Public Sector Partnership and Resources. By integrating strategies under the Community Engagement Initiative (CEI) and the Integrated Cleanup Initiative (ICI) into our everyday practices, we empower communities and improve the efficiency and outcomes of our cleanup programs. By advancing Superfund remedial cleanups, we protect the American public and the nation's resources. By supporting sustainable materials management and Brownfields area-wide planning, we build synergies with our partners encouraging resource conservation and locally-driven revitalization choices. OSWER's National Areas of Focus for FY 2014: Doing Business Differently: More Efficiently and with Greater Transparency Operationalize Community Engagement - Bringing community engagement tools Page 1 ------- and processes into the base infrastructure of OSWER's decision-making and project management processes. Operationalize the Integrated Cleanup Initiative - Completing actions focused on doing our core investigation and cleanup work more efficiently and effectively and finding additional improvements in the way we conduct business. Advancing Superfund Remedial Cleanup - Addressing highest risk sites first while emphasizing efficient use of resources and completing projects already underway throughout the response process. E-Manifest System and E-Enterprise - Transforming and modernizing the flow of information between EPA and its stakeholders. Leveraging Private and Public Sector Partnership and Resources Sustainable Materials Management - Fostering a life-cycle approach highlighting waste materials as commodities that can be utilized to grow key industries and associated jobs. Chemical Risk Management - Evaluating ways to further improve chemical safety and increase community and public awareness. Brownfields Area-Wide Planning - Enabling community-level reuse planning for targeted areas that are affected by a single large, or multiple, brownfield site(s). OSWER works with EPA's other headquarters media program offices and with the ten regional offices, states, tribes and other partners, to achieve its national goals. Regional offices also undertake efforts with our partners to address region-specific environmental conditions or concerns, often with constrained budgets. OSWER recognizes these challenges and strives to provide flexibility and support for regional strategies that align with our shared priorities and goals. Further, delegated or authorized state and tribal agencies that are facing resource constraints may raise specific activities for discussion with the appropriate senior EPA regional manager(s) when developing their work plans. Page 2 ------- National Areas of Focus Doing Business Differently; More Efficiently and with Greater Transparency OPERATIONALIZE COMMUNITY ENGAGEMENT Description: OSWER introduced the Community Engagement Initiative (CEI) in 2010 to refocus and renew its vision for community engagement and improve practices that help communities meaningfully participate in OSWER program decision making. The three goals of the CEI were to: 1) develop transparent and accessible decision-making processes to enhance meaningful community stakeholder participation; 2) present information and provide technical assistance in ways that will enable community stakeholders to better understand environmental issues and participate in an informed way during the decision-making process and; 3) produce outcomes that are responsive to stakeholders' concerns and are aligned with community needs and long-term goals, to the extent practicable. Through the CEI, many existing or new community engagement tools and processes have been updated or developed. The CEI also addresses the need to reach all parts of the community, including populations that may be affected by environmental justice issues. Community engagement and environmental justice activities are included in many of the program specific guidances that follow. OSWER will reference and demonstrate these tools and processes in a Community Engagement (CE) Tools Framework that is being developed in FY 2013 to enable EPA staff to easily access and use the tools for project specific work. OSWER will promote the CE Tools Framework in the Community Engagement Network (CEN) which is being developed in FY 2013 to provide tools and guides, technical assistance resources, CE training opportunities, subject matter contacts and promising practices to EPA staff. In FY 2013, OSWER is also conducting a baseline evaluation of community engagement activities in OSWER cleanup programs. OSWER is also supporting the evaluation of lessons learned from regional pilots being conducted in FY 2013 to test promising community engagement practices across agency programs. In FY 2014, the focus will be to operationalize the new CE tools and processes into the base infrastructure of OSWER's decision-making and project management processes - and work with the regions to promote and evaluate the use of CE tools and strategies in OSWER projects. OSWER will also consider the results and lessons learned from the baseline program evaluation and regional community pilots and incorporate them into program processes as appropriate. Finally, OSWER will work with the regions to maintain the CEN and CE Tools Framework referenced above. Specific activities to be performed in FY 2014 are listed below. Activities: Headquarters and regions Develop effective CE strategies for OSWER projects o OSWER will work with regions to help proj ect teams use the CE Tools Framework to develop effective CE project strategies. This will include identification of current practices, models and opportunities for creating Page ------- and implementing CE strategies. OSWER will convene a dialogue with regional managers and staff to determine goals and plans for this effort and will facilitate a regional report out on the results. Evaluate the use and effectiveness of CE tools and processes o OSWER will build on the results of the baseline evaluation being conducted in FY 2013 and promote and further evaluate the use of CE tools and strategies for specific OSWER program activities such as: RCRA Corrective Actions, Superfund Removal Actions, Superfund Risk Assessments, Technical Assistance for Brownfields (TAB), and the Technical Assistance Services for Communities (TASC) Program. Additional program activities may be included based on evaluations and pilots referenced above that are being conducted in FY 2013. Particular focus will be on technical assistance and delivery of information processes used in these activities. o OSWER will evaluate the effectiveness of, and scale-up as appropriate, the Partners in Technical Assistance Program to enable colleges, universities, and non-profit organizations to cooperate with EPA to provide voluntary assistance to communities for projects identified by the regions. Support CE Networking and Training o OSWER will continue to support and promote the Community Engagement Network to provide easy access to tools and guides, technical assistance resources, CE training opportunities, subject matter contacts and promising practices. OSWER will work with regions to support the CEN and maintain and update content. Page 4 ------- OPERATIONALIZE THE INTEGRATED CLEANUP INITIATIVE Description: OSWER in coordination with OECA continue to implement the Integrated Cleanup Initiative (ICI), a multi-year effort to better use the most appropriate assessment and cleanup authorities to address a greater number of sites, accelerate cleanups where possible, and put those sites back into productive use while protecting human health and the environment. Id's goal was to better use EPA's assessment and cleanup authorities, in an integrated, transparent and accountable fashion, to address a greater number of contaminated sites, accelerating cleanup where possible, and put those sites back into productive use while protecting human health and the environment. The focus of the ICI is to continue to identify efficiencies and implement rigor in how we conduct our work which is critical as we face constrained or reduced budgets. The ICI identified actions that OSWER in partnership with other EPA offices has been working on. In FY 2014, our goal is to operationalize this initiative and other key program aspects into the fabric of OSWER's programs and day-to-day work and decision-making. ICI originally identified 26 action items which have been completed or are ongoing. Many of the actions involved looking at ways to continue doing our core investigation and cleanup work in a more effective and efficient way. Many of the action items originally identified in the implementation plan have evolved as a natural progression for these efforts into follow on actions which will result in improvements in the way we conduct business. These changes affect the entire process, stretching from when a site is first assessed to completion and enforcement is concluded. The following are examples of activities that will be a priority in FY 2014 in an effort to continue to look for ways to improve the program. Additional Superfund remedial program efforts supporting this initiative are described in the next section of the guidance under the title, "Advancing Superfund Remedial Cleanups." Activities: Apply regional best management practices and lessons learned from project management pilots: EPA has completed four site pilots to streamline the cleanup process and will be incorporating what we have learned from those pilots into the overall conduct of our work. For instance one of the pilots focused on a project management approach that better integrated our remedial design and remedial action work and resulted in completion of the cleanup work two years ahead of schedule. o OSWER and regional offices will emphasize effectively integrating the results of our actions under ICI into our day-to-day business. Assess contract efficiencies o EPA is moving forward with the Contracts 2010 strategy to restructure Superfund contracts. In FY 2014, EPA will be implementing the Remedial Acquisition Framework which focuses on Superfund Remedial program contracts. Page 5 ------- Communicate our progress at National Priorities List (NPL) sites o EPA will continue to measure and communicate our success in a more integrated way. o OSWER encourages the regions to continue focus and rigor on remedial action project completions and acres anticipated ready for reuse. Communicate our progress at RCRA Corrective Action Sites: EPA developed and piloted a new RCRA info code "Remedy Construction Complete at Operating Facilities" (CA550-OF) to better communicate progress at operating facilities that cannot meet the full "remedy construction complete" criteria due to current operations. Additionally, EPA is working with regions to better highlight and communicate progress at facilities that are complex and not expected to meet "construction complete" for some time. Towards this goal, EPA has been piloting a variety of additional reporting activities at a small set of complex, long-term RCRA CA facilities and will be discussing findings and results of the pilots with regions and states in FY 2014 o States and regions are encouraged to continue documenting achievement of the CA550-OF milestone. o Regions are encouraged to implement any resulting reporting recommendations for relevant EPA-lead CA facilities. Leverage Resources: In 2010, EPA published a backlog study that took a detailed look at the remaining Leaking Underground Storage Tank (LUST) releases needing cleanup. The study provides EPA and the states with substantial data about the remaining releases and has led to the development of informed strategies and actions that EPA and the states are currently pursuing to reduce the backlog. For example, EPA's efforts to cleanup and reuse LUST sites by linking to-brownfields has led to partnerships such as the one between EPA and the U.S. Department of Health and Human Services, Health Resources and Services Administration (HRSA) program to support reuse of petroleum brownfields sites as health centers in medically underserved areas. o States and EPA will work to implement state specific strategies to reduce their LUST backlog including reviewing releases against site-specific closure standards, evaluating technologies, implementing site screening processes, and leveraging resources outside the tanks program such as brownfields. Interagency Collaboration: The EPA, the Department of Defense (DoD), the Department of Energy (DOE), and the Department of the Interior (DOI) formed a workgroup to improve the five-year process for federal facility sites. o In FY 2012, the federal workgroup released three tools to be used by RPMs in order to educate communities about the five-year review process. Those tools included a community video, training module, and a template for a site specific factsheet. Page 6 ------- o In FY 2013, the federal workgroup will be developing a new training module for the writers and reviewers of the Five Year Report with a focus on improving the Report's technical quality. We expect this initiative will result in reducing the cost and time of the five-year review, ensuring that the data and information in the report supports the protectiveness statement for the remedy, and effectively communicating the results to the public. Page 7 ------- ADVANCING SUPERFUND REMEDIAL CLEANUP Description: The Superfund remedial program protects the American public and the nation's resources by assessing and cleaning up some of the most contaminated sites in the United States. As a result, communities are safer, healthier, and more economically viable. The agency's actions also protect and restore the nation's valuable groundwater and surface water resources. Cleanup activities include characterizing the degree and scope of contamination from releases to the environment, developing cleanup strategies, designing and constructing remedies, and conducting long-term operation and monitoring of certain remedies. While much has been accomplished since December 1980, significant work lies ahead with the program now dealing with some of its largest and most complex sites. In addition, the cumulative impact of reductions to the Superfund remedial program's budget will require a re-balancing of the remedial pipeline including site assessments, remedial investigations/feasibility studies, remedial designs, remedial actions, and post- construction operations. The program will focus on addressing highest risk sites first, while continuing work at ongoing sites. Priority will be given to completing projects already underway throughout the response process, as opposed to starting new project phases. In addition, to sustain itself, the program will focus on being as cost effective and efficient as possible by making its internal and external resources go further. Activities: Headquarters and regions Communicate benefits of Superfund work o A key focus in the last few years has been to better assess the economic and health benefits that are realized when a hazardous waste site is cleaned up. o As sites are progressing from NPL listing to cleanup property values increase. o It has been estimated that once a site is deleted from the NPL, median residential property values increase 20% within a 3 mile radius1. o Evidence has also shown a 20-25% reduction in birth defects once a site is r\ cleaned up . o EPA will continue to focus on moving remedial projects to completion. EPA tracks remedial action project completions, a relatively new measure which augments the site-wide construction completion measure and applies to the actual construction or implementation of a discrete scope of activities supporting a Superfund site cleanup. 1 Shantic Gamper-Rabidron and Christopher Timmons, "Does Cleanup of Hazardous Sites Raise Housing Values? Evidence of Spatially Localized Benefits" Journal of Environmental Economics and Management, In Press, Accepted Manuscript, December 22, 2012. 2 Currie, Janet, Michael Greenstone, and Enrico Moretti. 2011. "Superfund Cleanups and Infant Health." American Economic Review, 101(3): 435-41. Page 8 ------- o In FY 2014, EPA will work with the regions and our state and tribal partners to continue to support efforts that capture and communicate the benefits of the program's work. Reduce analytical services costs o To the maximum extent practicable conduct analyses of site samples according to the tiering strategy developed by the Field and Analytical Services Teaming Advisory Committee (FASTAC). The FASTAC "Decision Tree" Strategy for selecting an analytical vehicle is listed m order of preference : Tier 1 - EPA Regional Laboratory and ESAT Contract Tier 2 - National Analytical Services Contracts ( i.e., Contract Laboratory Program [CLP] ) Tier 3 - Region Specific Analytical Services Contracts Tier 4 - Analytical Services lAGs and Field C ontracts/Sub contracts Headquarters, regions, states and tribes Improve business processes and leverage in-house expertise o EPA is evaluating business processes (including boards and panels) associated with planning and budgeting, site assessment and listing, remedy decision reviews, design and construction project delivery, five- year reviews, and deletions with a focus on improving efficiency, program quality, and sustainability. This evaluation is a natural progression from recommendations and pilot successes from the Integrated Cleanup Initiative and will also incorporate new ideas from regional managers and state and tribal partners. o The program is reviewing its business operations and processes to identify areas for efficiency gains in light of continued resource reductions. Key areas include information technology, acquisitions, workforce (e.g., leveraging in-house expertise), site cleanup lifecycle, from site characterization through completion, and emerging technologies. Leaner business processes will be phased into operations in FY 2013 and FY 2014. In addition, the program is working to leverage in-house resource expertise, both at headquarters and in the regions, to the maximum extent practical (Headquarters and regions only). For example, use Environmental Response Team (ERT) experts to conduct regional site characterization work. Implement an acquisition framework to ensure the most efficient contracts and to stretch funding o To make Superfund cleanup dollars go further, the program needs to work together nationally (including working with other federal agencies, states and tribes) to acquire goods and services at lower costs. o Ensuring that our contracts are written and executed to require optimization of field work at all stages of the cleanup continuum will be key. Page 9 ------- o EPA is developing a remedial-specific acquisition framework for implementing acquisition strategies for the Superfund remedial program. A key goal of the acquisition framework is to ensure adequate competition and lower costs for remedial construction and non-construction service contracts and to establish a national governance structure for all remedial program contracts. o EPA will continue to implement the framework's concepts in FY 2013 and FY 2014. Implement new institutional control guidance o The Superfund Remedial program will be implementing the new guidances, Planning, Implementing, Maintaining, and Enforcing Institutional Controls at Contaminated Sites and Preparing Institutional Control Implementation and Assurance Plans at Contaminated Sites. o A key goal of these documents is to improve consistency in institutional control (1C) implementation and decrease the effort of employing ICs by providing detailed recommendations regarding the factors site managers and attorneys should consider and by addressing typical legals barriers that may arise when attempting to implement property controls, providing clearer policy regarding the roles and responsibilities of stakeholders involved in various aspects of the 1C life cycle. Headquarters Coordinate with Office of Water on the Recontamination of Superfund Sediment Sites by Combined Sewer Outfalls (CSOs) o OSRTI is providing comments to OW as it updates its Industrial Stormwater Multi-Sector General Permit (MSGP), to exclude from discharge certain toxic substances that drive risks at sediment sites, such as PCBs, dioxins/furans, and DDT. o OSRTI has provided partial funding for a pilot study to coordinate cleanup activities between Superfund and OW at the Lower Duwamish Waterway. The pilot will perform a water quality assessment that will merge CWA requirements for addressing impaired waters with CERCLA goals for remediating contaminated sediments, the results of which can be utilized at other sediment sites. o Other OSRTI-OW coordination activities include developing a tool to merge Superfund site information with CWA impaired water listings, developing a "lessons learned" repository that provides information on sites where some CWA-CERCLA collaboration has already taken place, analysis of the CERCLA federally permitted release exemption and the CWA permit-as-a-shield, developing guidance for permit writers addressing sediment issues and enforceability, writing collaboration standards into State Superfund agreements, and helping states translate generic "free from toxics" narratives into numeric limits for discharge permits. Page| 10 ------- Address new science and emerging contaminants o The Superfund program utilizes the best and latest science to inform site- specific cleanup decisions. As new science is developed the Superfund program evaluates which sites need to be evaluated; identifies and prioritize sites to determine if new monitoring/sampling data are needed; determines if additional action may be needed; and prioritizes such work. o Factors to be considered in prioritizing sites include but are not limited to: the threat of imminent exposure, current and future land use, environmental justice concerns, community/property owner input, and local, state, and tribal government input. In addition, the program in some cases, and particularly as part of the five-year review process, may re- evaluate previously investigated or cleaned-up sites using the best and latest science. o New recommendations from the scientific community that would lower acceptable exposure levels to such contaminants as dioxin, lead, and TCE will require new cleanup strategies. This will continue to be an area of focus for the program in FY 2014. Optimize site cleanup o OSWER will continue to implement the "National Strategy to Expand Superfund Optimization Practices from Site Assessment to Site Completion" (the "Optimization Strategy") by conducting approximately 20 to 30 optimization reviews annually and ensuring effective tracking, reporting, and measurement of implementation performance. o The overall goals of the Optimization Strategy are more cost-effective expenditure of Superfund dollars, a reduced energy/carbon footprint, improved remedy performance and protection of human health and the environment, expedited consensus and improved decision-making, and acceleration of the pace of project/site completion. o Remedial Project Managers (RPMs) will need to be trained to factor in optimization at all phases. The training will consider the technical aspects of conducting optimization studies at their sites, administrative/operational approaches such as contracting for optimization evaluations, and building best practices derived from optimization lessons into their cleanup practices. Reduce analytical services costs o In FY 2014, the Contract Laboratory Program (CLP) will continue to reduce the costs associated with providing analytical services to the Superfund program by decreasing the total extramural cost per laboratory analysis by 7% from FY 2011 levels for an estimated savings of $1.3M. o To realize these savings the program will: 1) complete the solicitation of the Combined Analytical Services Contract (CASC) which streamlines current CLP contracts; 2) fully implement efforts for nearly paperless operations; 3) continue to use regional allocation strategies; 4) emphasize the use of special accounts for analytical services, including data validation; and 5) evaluate and optimize CLP standard operating procedures. Page|11 ------- Develop 21st century tools to support a 21st century workforce o The agency is on schedule to complete the re-engineering of the Comprehensive Environmental Response, Compensation, and Liability Information System, (CERCLIS) into the Superfund Enterprise Management System (SEMS) by FY 2014. o By merging CERCLIS along with the Superfund Document Management System (SDMS) and the Institutional Controls Tracking System (ICTS), the Superfund Remedial program will be in a position to link planning and performance data with supporting documentation in a manner that yields direct evidence of program decisions and outcomes. o SEMS leverages the Agency Enterprise Architecture and will benefit from the agency's new My Workplace initiative which is intended to enrich the work environment, improve collaboration, and promote mobility by providing a brand new set of tools for email, calendar, and collaboration, as well as provide for technology upgrades. Measures: The following ACS measures support this program: 122, 131, 141, 151, 152 and S10. These measures can be found on page 3 of the attached measures appendix. Performance goals and measures for the Superfund Federal Facilities Response program are a component of the Superfund Remedial program's measures. Page | 12 ------- E-MANIFEST SYSTEM AND E-ENTERPRISE Description: On October 5, 2012, the President signed legislation authorizing a fee- funded electronic reporting program for entities transporting hazardous wastes that are regulated pursuant to the Resources Conservation and Recovery Act (RCRA). Currently a 6-copy paper manifest is required to document the type, quantity, and routing of hazardous waste to be transported. As directed by this legislation, this paper manifest will be replaced with an electronically submitted manifest ("e-Manifest"). The legislation calls for the system to be in place by October 2015. In addition, e-Manifest is OSWER's main project in the agency's E-Enterprise initiative which seeks to transform and modernize the flow of information between EPA and its stakeholders. E-Manifest embodies the key concepts of Next Generation Compliance by increasing transparency, enabling electronic tracking and reporting, reducing paperwork and recordkeeping burden and enabling one stop reporting to EPA and the states. Two additional OSWER projects in the proposed FY 2014 E-Enterprise initiative include partnering with OECA in developing an electronic exporter interface capability for the import-export data management system, and a cross-program effort to convert existing financial assurance paper reporting under the RCRA, the Clean Water Act (CWA), Toxic Substances Control Act (TSCA) and the Comprehensive Environmental Response, Compensation and Recovery Act (CERCLA) to electronic reporting. In FY 2013, EPA will have completed an update of the requirements and alternatives analysis that was last updated in 2009 in preparation for developing the e-manifest system. EPA will also have begun the process for updating the current manifest regulations to account for the new electronic system. Several states require that manifests be submitted to them as part of the generation and treatment of waste within their state. Part of the e-Manifest project is to develop mechanisms for providing these manifests electronically from the e-manifest system to those states that require this reporting. This will save industry the burden of reporting to multiple entities and save the states the burden of manual keying or scanning manifest information. In FY 2013, as part of the requirements analysis, EPA will have worked with the states to identify the requirements for delivering these manifests to the states. In furtherance of these efforts, we will undertake the following activities in FY 2014, unless otherwise noted. Activities: Headquarters Begin the acquisition/development of the e-Manifest system to meet the requirements and chosen design as specified in the requirements and alternatives analysis. Work with the states, the Environmental Council of States, and the Exchange Network to develop the formats and mechanisms for exchanging manifest information between EPA and the states. EPA will convene an Integrated Project Team (IPT) that will consist of EPA (regional and headquarters) and state Page | 13 ------- participants that will work together to design and provide feedback on these mechanisms. Develop the economic models to support the development of a user-fee rule, develop the accounting and financial reporting structure that will need to be in place to support the calculation of user fees, and conduct any needed analyses to support further revision of EPA regulations needed to implement an e-Manifest system. Under Executive Order 13563, OSWER developed a web-based alternative to the current paper-based RCRA site ID notification process which will allow facilities with an existing EPA ID to enter their own notifications forms electronically instead of mailing a paper submission. The electronic notifications may be used for changes in generator status, changes in ownership of a facility, and other requirements or changes of the RCRA site ID. In FY 2013, OSWER will determine the effectiveness of the program, and pending its success will work to fully deploy the program to interested states. Regions Identify states and other stakeholders that should be participating in the e- Manifest outreach efforts. Participate in the IPT that will provide input to the development of the mechanisms for exchanging manifest data between EPA and the states. Work with the states that require manifests be submitted to them to prepare them to receive manifests electronically. States Participate in the IPT that will provide input to the development of the mechanisms for exchanging manifest data between EPA and the states. States requiring manifests should scope the needed changes to their systems to be able to receive manifests from EPA in an electronic format via the Exchange Network. Measures: The e-Manifest legislation calls for the development of performance measures to be put in place once the system is deployed. In FY 2014, EPA will begin scoping out measures that can be used to measure the effectiveness of the system. Page | 14 ------- Leveraging Private and Public Sector Partnership and Resources SUSTAINABLE MATERIALS MANAGEMENT Description: Several statutory provisions, such as section 6902 of the Resource Conservation and Recovery Act (RCRA), support the protection of human health and the environment through the conservation of materials and energy resources. One foundational purpose of RCRA is to reduce the total quantity of materials that ultimately become wastes, effectively practicing conservation during the useful life of materials and natural resources. To achieve the conservation part of the Resource Conservation and Recovery Act (RCRA), the EPA is investing in Sustainable Materials Management (SMM) practices to create a national lifecycle management perspective. This involves integrating information to create a national focus, formulating and issuing policy, and addressing market challenges. Strong federal leadership and action is needed, due to the impacts the U.S. economy has on global materials usage. To provide national leadership, OSWER and the regional offices jointly developed and implemented a strategically targeted SMM program with national impact and measurable results. The SMM Program supports an approach that reflects the need to look at our environmental challenges with a whole-systems approach, leverage cross-program efforts and tools, and collaborate within EPA and with external partners and stakeholders. Thus, it reflects an emphasis on sustainability in meeting today's complex challenges for protecting human health and the environment as One EPA. As One EPA, OSWER is collaborating with other EPA offices, including the Office of Chemical Safety and Pollution Prevention (OCSPP), the Office of Research and Development (ORD) and the Office of Policy (OP). To that end, EPA's sustainability efforts will be a guiding principle for collaboration between EPA programs in the alignment of priorities and measures of success. Specifically, each office mentioned above will incorporate sustainable approaches in their work at both the headquarters and regional level. OSWER and OCSPP in conjunction with the regional offices will pursue alignment in work that utilizes and integrates sustainability efforts consisting of SMM, Pollution Prevention (P2) and other ongoing EPA sustainability approaches and will adopt ACS commitments that will capture the progress achieved in those areas. In particular, opportunities presently exist to integrate these pollution prevention approaches into sector-based initiatives such as electronics, sporting and other venues, groceries, and colleges and universities and other sectors considered to be a priority. The above mentioned opportunities are current aligned interests between OSWER and OCSPP within the current focus areas of the SMM Program. Combining efforts creates an opportunity to leverage resources and work jointly with stakeholders reducing the number of EPA programs approaching the same entities on the same or related areas. In addition, OSWER and other headquarters offices will work to develop a systematic way to share best practices at the headquarters and regional levels. In coordination with OCSPP, OSWER will explore additional formal mechanisms and opportunities for cross-office coordination. Examples of cross-NPM collaboration Page | 15 ------- already occurring that could be expanded through this effort and serve as models for additional initiatives include OCSPP's work with OSWER to extend the useful life of solvents through revisions to the RCRA Definition of Solid Waste (DSW) rule. These efforts also include reducing exposure from recycling processes; OSWER's and OCSPP's collaboration on programs and standards across the lifecycle of electronics products; and the agency-wide effort to promote sustainable practices in the design and operation of sports venues; and promoting government-wide procurement of more sustainable products and services. Fostering the lifecycle approach with our stakeholders will highlight that waste materials are commodities that can be utilized to grow key industries and associated jobs. As a commodity product, these materials will help prevent the U.S. from draining virgin resources - including fossil fuels, minerals and precious metals - thereby promoting our national security as well as creating economic benefits from recycling. The EPA will continue to encourage safe, beneficial uses of materials that are protective of human health and the environment. SMM requires the EPA to consider the human health and environmental impacts associated with the full life cycle of materialsfrom raw materials extraction, through transportation, processing, manufacturing, and use, as well as reuse, recycling and disposal. The EPA will continue to play an essential role in SMM by convening stakeholders, providing credible science and information, providing transparent and public information, promoting new ideas and approaches via challenges and recognition, and developing standards. Through the involvement of the EPA, the principles of SMM and approaches that favor SMM will be adopted more quickly at a broad, national level by all sectors of the economy. The EPA will focus on a small set of clearly articulated, results-driven priorities that emphasize the principles of SMM and are well integrated with work in other parts of the EPA (e.g., Pollution Prevention) and states. The implementation of SMM is fundamental to ensuring that adequate resources are available to meet today's needs and those of the future. In FY 2014, the RCRA program will focus on the advancement of the SMM concept through the activities below. Activities: Headquarters and regions Convene meetings with parties who would otherwise not come together - industry, government representatives, non-profits and others - to pursue solutions to resource conservation and advance sustainable materials management; Implement targeted robust challenges to encourage participants to modify business practices to increase resource efficiency with demonstrable results; Develop and promote national solutions for waste management by working with state and local governments to develop infrastructure to better manage materials diverted from landfills and minimize disposal options by identifying and highlighting best practices; Collaborate with industry, government representatives, non-profits, and others to pursue innovative policies to incentivize SMM; and Page| 16 ------- Provide credible information and data by modifying the MSW Characterization Report. More specific activity information for FY 2014 is provided in the Program-Specific Guidance section on page 32 of this guidance. Measures: The ACS measures supporting this program are SM2 and SMS. New Sustainable Materials Management Challenge participants need to submit baselines for regions to count them toward measures SM2 and SMS. These measures can be found on page 1 of the attached measures appendix. Page| 17 ------- CHEMICAL RISK MANAGEMENT Description: In this era of constrained budgets, OSWER is evaluating ways to better focus EPA's Emergency Planning and Community Right-to-know (EPCRA), the RCRA hazardous waste permitting, and Risk Management Plan (RMP) programs to further improve chemical safety and increase community and public awareness. Environmental groups and others continue to push for more robust chemical risk management strategies. Activities: Headquarters EPA has initiated discussions with other federal agencies including the Department of Homeland Security and the Occupational Safety and Health Administration, industry and several states to begin to evaluate various approaches to furthering our efforts to improve chemical safety. In the next four years, we will work to design and implement strategies that address chemical safety from a management system and process safety approach, such as expanding our high risk facility initiative for our oil and chemical program inspections, including the possibility of leveraging our resources with other EPA offices/other federal agencies; establishing a mechanism for improving our inspection reports and better identifying and communicating to industry chemical safety issues within the industry; and engaging the public and private sectors in discussions and dialog in order to solicit ideas for improving chemical safety at chemical facilities. We will also continue to explore the option (working in close concert with a wide range of stakeholders) of making information on chemical facilities and their risks more readily available to local communities and the public. The RCRA national program will work with state programs to the extent practicable, to ensure that they have provisions for handling unplanned waste from disasters and that facilities that manage non-hazardous and hazardous waste after a national emergency have the appropriate controls and flexibility in place to receive and properly manage the unplanned waste, and that there are also incentives in place to ensure the appropriate reuse and recycling of these wastes whenever possible. Oversee progress towards the goal of preventing releases at 500 hazardous waste management facilities with initial approved controls or updated controls by FY 2015 resulting in the protection of an estimated 3 million people living within a mile of all facilities with controls. Regions Continue to update and implement multi-year strategies to meet the annual goal of 100 additional waste facilities under initial or updated approved controls (RCRA Subtitle C permits) and the FY 2015 strategic goal. Oversee state issued permits to ensure progress toward meeting the permitting program goal of preventing releases at hazardous waste management facilities with initial approved controls or updated controls. Page| 18 ------- Update assessments of what is needed for each facility to achieve approved controls and update when each facility is projected to achieve approved controls. Measures: The ACS measures CH2 and HWO that supports this program can be found on pages 1-2 of the attached measures appendix. Page| 19 ------- BROWNFIELDS AREA-WIDE PLANNING Description: The Brownfields Area-Wide Planning (BF AWP) program provides brownfields planning assistance in the form of grant funding to targeted areas - such as a neighborhood, downtown district or local commercial corridor - that are affected by a single large, or multiple, brownfield site(s). These community-level projects have been part of an enhanced effort to benefit under-served and economically disadvantaged communities. Where brownfield sites are connected through location, infrastructure, economic, social and environmental conditions, an area-wide focus can allow for a coordinated, strategic, and more efficient approach to cleanup and area revitalization, which will help achieve economies of scale and environmental improvements, Receiving a BF AWP grant enables the recipient to develop community-supported reuse plans for catalyst brownfield sites in the targeted area. As part of the brownfields reuse planning process, recipients must also develop strategies for plan implementation, including identifying site assessment, cleanup, and other local improvements that are protective of public health, environmentally responsible and economically viable. The BF AWP process provides an opportunity for grant recipients to address environmental justice concerns, promote sustainable and equitable development within the brownfields project area, and seek leveraging opportunities to help ensure successful reuse of the brownfields. Activities: Provide grant and ongoing project support to the recipients of BF AWP grants. o Regions: Regions should continue to provide targeted brownfields assessments (TB As) on brownfields properties that will help implement an FY 2010 grant recipient's brownfields area-wide plan. o Headquarters and regions: Approximately 20 BF AWP grants will be awarded to recipients in FY 2013. These grants will be managed in the EPA's regional offices, with overall program support from the Office of Brownfields and Land Revitalization. o Regions: Where identified by the grant recipient as helpful and appropriate, the regional offices should take a leading role in convening other regional EPA program staff (such as water, air, sustainable communities, environmental justice and enforcement staff, as appropriate) and regional staff from other federal agencies (such as HUD, DOT, EDA, USD A, and ATSDR, as appropriate), states, tribes and local governments, to identify possible barriers and solutions for implementing the BF AWP projects. o Regions: When needed, regions should provide TEA assistance for catalyst sites during the FY 2013 BF AWP process. TBAs will provide a grant recipient with important information about the amount of cleanup needed at a brownfield site, which will help with site reuse planning and plan implementation. Page | 20 ------- Continue to work with the HUD-DOT-EPA Partnership for Sustainable Communities (PSC) to coordinate project efforts and align resources to help with BF AWP plan development and implementation. Headquarters and regions o All BF AWP proj ects are part of the HUD-DOT-EPA PSC. o EPA Brownfields and Land Revitalization staff should fully utilize the PSC networks that have been created in the regions and HQ to support the BF AWP projects and share information that may be useful to plan development and implementation. o EPA will continue to work through the PSC towards better alignment of federal resources around the common six livability principles (see http://www.sustainablecommunities.gov/aboutUs.htmltf2) to help enable brownfields area-wide plan implementation. The EPA will share examples, as available, with recipients who have leveraged resources for implementation in support of their BF AWP projects. Page | 21 ------- Program-Specific Guidances SUPERFUND REMEDIAL PROGRAM Description: The Superfund Remedial program protects the American public and the nation's resources by assessing and cleaning up some of the most contaminated sites in the United States. As a result, communities are safer, healthier, and more economically viable. The agency's actions also protect and restore the nation's valuable groundwater and surface water resources. Cleanup activities include characterizing the degree and scope of contamination from releases to the environment, developing cleanup strategies, designing and constructing remedies, and conducting long-term operation and monitoring of certain remedies. To further OSWER's efforts supporting agency environmental justice (EJ)3 goals, the Superfund Remedial program continues to implement actions which build capacity to engage communities in decision-making throughout the Superfund cleanup process. In addition to new activities resulting from the 2012-2014 OSWER EJ Workplan, long- standing programs addressing environmental justice and expanding the conversation on environmentalism are outlined in the Activities section below. The Superfund Remedial program will also maintain work with regions to ensure regional consistency in meeting EPA's tribal consultation policy, and in evaluating cleanup issues at tribal sites. Seeking to expand the Tribal Superfund Working Group (comprised of tribal environmental professionals), the Remedial program will further involve them in Superfund activities and will continue working with regional Superfund Tribal Coordinators. To address the addition of the vapor intrusion component to the Hazard Ranking System (HRS), the Remedial program will continue to consult with tribes, if that activity is still ongoing in FY 2014. The Superfund Remedial program has been involved in leading and implementing several Action Items under the Community Engagement Initiative (CEI)4 and continues to work toward implementing programs which build capacity to engage communities in decision- making throughout the Superfund cleanup process. The Remedial program plans to continue several activities that support the CEI in FY 2014 which are outlined below. Regarding a separate strategy, the Superfund remedial program's efforts supporting OSWER's Integrated Cleanup Initiative can be found under the National Area of Focus, "Advancing Superfund Remedial Cleanup," on page 8 of this guidance. Activities: Headquarters Support job training in communities affected by Superfund sites and encourage the employment of trainees at local site cleanup field through the Superfund Job Training Initiative (SuperJTI). 3 OSWER's Environmental Justice efforts are described more broadly in the EJ program section of this guidance. 4 More detail on OSWER's CEI is provided as a section in the National Areas of Focus. Page | 22 ------- Build technical capacity in small and minority-owned business through the Superfund Small Business Capacity Building Initiative5 and ensure implementation of the Contracts 2010 goal of increasing socio-economic participation in Superfund contracting. Deliver training for Superfund staff to meaningfully engage with communities by delivering courses through the Community Involvement University (CIU) and the National Association of Remedial Project Managers (NARPM, and supporting the EPA National Community Involvement Training Conference. Implement the revised "Risk Communication Tool" (which includes a risk communication glossary) in the Superfund Community Involvement Toolkit. Train Community Involvement Coordinators on the revised "Community Interviews Tool" in the Superfund Community Involvement Toolkit. Complete the "Community Profile Tool" in the Superfund Community Involvement Toolkit. Headquarters and regions Provide technical assistance to communities by issuing Technical Assistance Grants (TAGs) and delivering services through the Technical Assistance Services for Communities (TASC) contract. In some cases the TASC contract will be made available to non-Superfund programs. Revitalize communities and ensure the long-term protection of human health and the environment by working with local governments, residents, reuse entities, and others to identify reasonably anticipated future land use through the Superfund Redevelopment Initiative (SRI). Focus on the ongoing exchange of best practices for regional consultation with tribes at the Tribal Superfund Working Group and the annual Tribal Lands and the Environment Forum. Offer formal consultation on the HRS vapor intrusion rule, if the effort is still ongoing in FY 2014. Work with OSWER program offices to expand the Partners in Technical Assistance Program (PTAP) beyond the pilot phase. Through PTAP, colleges, universities, and nonprofit organizations cooperate with EPA and voluntarily commit to assist communities with their unaddressed technical assistance needs. Information about the PTAP pilot is currently available to Superfund Research Program (SRP) grantees, as well as EPA staff. o Include potential colleges, universities, and nonprofit organizations as partners (Headquarters only). o Establish a public PTAP website (Headquarters only). Transition to electronic Superfund information repositories o Complete an update to the "Information Repositories Tool" in the Superfund Community Involvement Toolkit (Headquarters only) 5 For more information about the Superfund Small Business Capacity Building Initiative, please see: http: //clu-in .org/smallbusine ss/ Page | 23 ------- o Collaborate with EPA regional records managers and headquarters staff during the transition to electronic tools to make administrative record files and other relevant site documents available to the public online. Implement specific actions under OSWER's Climate Change Adaptation Plan, scheduled to be completed in June 2013, to more fully integrate climate change adaptation planning into core programs. Headquarters, regions and tribes Increase tribal membership in the Tribal Superfund Working Group and increase the number of, and encourage more depth of discussion during, tribal conference calls. Details on Rules and Guidances being Developed or Implemented: Propose/Finalize Hazard Ranking System (HRS) Subsurface Intrusion Rule The HRS subsurface intrusion rule is anticipated to allow for sites with vapor intrusion contamination to be evaluated for placement on Superfund's National Priorities List (NPL). This enhancement of the HRS addresses issues related to the intrusion of hazardous substances, pollutants, and contaminants into structures. Assuming that the rule is proposed in the Spring of 2013 and finalized in the spring of 2014, we will focus our efforts on the implementation of the rule. Finalize OSWER-Wide Vapor Intrusion (hazardous and petroleum-related) Guidance The guidance on vapor intrusion will address recommendations in a 2009 OIG report to update significant portions of a 2002 draft vapor intrusion guidance. The final guidance is anticipated to include updated toxicity values, recommendations to use multiple lines of evidence in risk management decisions, describe effective remediation strategies and when institutional controls are appropriate. States, local governments and other stakeholders have expressed a need to finalize this guidance to establish a national consistency in addressing vapor intrusion. Measures: The following ACS measures support this program: 122, 131, 141, 151, 152 and S10. These measures can be found on page 3 of the attached measures appendix. Performance goals and measures for the Superfund Federal Facilities Response program are a component of the Superfund Remedial program's measures. Page | 24 ------- SUPERFUND FEDERAL FACILITY RESPONSE PROGRAM Description: EPA's Superfund Federal Facility Response program oversees and provides technical assistance for the protective and efficient cleanup and reuse of federal facility sites. EPA's oversight authority, primarily exercised at National Priority List (NPL) sites, provides a review of federal cleanups which ensures that work being conducted by other federal agencies is in agreement with site cleanup plans and is protective of human health and the environment. OSWER's Federal Facilities Restoration and Reuse Office (FFRRO) is responsible for activities such as: 1) reviewing and approving site cleanup documents; 2) participating in site meetings with affected communities; 3) making final remedy selection decisions at NPL sites; and 4) monitoring remediation schedules as outlined in the Federal Facility Agreements (FFAs). For FY 2014, the Superfund Federal Facility Response program will focus on several critical ongoing efforts. Under the Federal Facilities Site Evaluation Project (FFSEP), over 500 federally-owned sites have been evaluated where the site assessment or cleanup status was unknown or undocumented (http://www.epa.gov/fedfac/ffsep/index.htm). The goal of the FFSEP is to document the status of the sites and to reinvigorate the assessment and evaluation process if a site is determined to be stalled or undocumented. The Federal Facilities program also is undertaking an effort to streamline and modernize the process for producing the Federal Agency Hazardous Waste Compliance Docket using currently available technologies (i.e., electronic docket or E-Docket). Presently, the publication of the current Docket requires an extensive manual operation to identify, verify, and validate that a site under the jurisdiction, custody, and control of the Federal Government has had a release to the environment and qualifies to be added to the inventory of federal facilities envisioned by Congress. Additionally, the Superfund program is modernizing its data system by developing the Superfund Enterprise Management System (SEMS) to replace its current data information system. SEMS is a new investment which will transform the Superfund program by improving operational effectiveness, reducing costs, streamlining business processes, and enhancing information management capabilities. SEMS will integrate three primary Superfund data collection, reporting, and tracking systems into a single system which will meet immediate and strategic needs. The Department of Defense's (DoD) military munitions response sites on the NPL contain unique chemical and explosive compounds and present cleanup challenges, such as underwater munitions. EPA supports DoD's development of new technologies to streamline munitions cleanups. The newly emerging classification technology may save DoD significant resources over conventional technologies and accelerate cleanup of sites, but will require more extensive EPA oversight to ensure protectiveness. Additionally, OSWER is developing a Climate Change Adaptation Implementation Plan which will be finalized in June 2013. In FY 2014, regions and HQ programs will implement specific actions to more fully integrate climate change adaptation planning into its core programs. Page | 25 ------- Activities: Headquarters The next phase of the FFSEP (Phase 2) focuses on the federal facility Other Cleanup Activities (OCA) and No Further Remedial Action Planned (NFRAP) sites and those sites flagged in CERCLIS as "not a valid site" that were not a focus of the first phase of the project. The purpose of Phase 2 is to ensure that the determinations made at the site are still appropriate based on current site conditions. Headquarters is currently piloting these efforts but regional participation will be required as the project matures. These efforts may lead to an increase in the number of federal facilities requiring additional assessment. EPA will finalize the E-Docket to more efficiently meet its statutory obligation to publish the inventory of federal sites which have released hazardous substances into the environment. EPA plans to finish development and release SEMS. EPA will strengthen oversight and provide technical assistance, as appropriate, at DoD military munitions response sites on the NPL. Measures: The Superfund Federal Facilities Response program contributes to the following overall Superfund Remedial program measures: ACS 122, 131, 141, 151, 152 and S10. These measures can be found on pages 2-3 of the attached measures appendix. The program also is implementing the new ACS measure FF1, "Percent of Superfund federal facilities construction complete." This new percent construction complete measure will provide a more detailed view of site cleanup progress at federal facility site on the NPL. Similar to the overall Superfund program's remedial action project completion measure, the new federal facilities percent construction complete measure reflects progress being made at Superfund NPL sites. The percent of Superfund federal facilities construction complete measure will be based on the average of three specific site factors: 1) Operable Unit (OU) percent complete; 2) Total actions percent complete; and 3) Duration of actions percent complete. Each factor will have its own percentage and the three percentages will be averaged for a site-specific percentage. Then, all site-specific percentages will be averaged and used as the national target/result. EPA's yearly target will be an estimated net increase in the national % CC number for NPL federal facility sites. Results for this new measure will be calculated at the national level by FFRRO with the benefit of regional data entered into SEMS. Page | 26 ------- EMERGENCY RESPONSE AND PREVENTION PROGRAM Description: OSWER's Emergency Response and Prevention program will continue to prepare for, prevent and respond to environmental incidents. Core activities include emergency response and removal actions, the Core National Approach to Response (NAR) evaluation and inspections of regulated oil and chemical facilities under the Clean Water and Clean Air Acts. The Clean Water Act requires owners or operators of facilities that have a reasonable expectation to discharge oil to navigable waters or adjoining shorelines to prepare Spill Prevention, Control and Countermeasure (SPCC) Plans. A subset of SPCC-regulated facilities must also prepare Facility Response Plans (FRPs) if they have the potential to cause substantial harm to the environment. The Resource Conservation and Recovery Act (RCRA) requires large quantity generators; and permitted treatment, storage, or disposal facilities to prepare a hazardous waste Contingency Plan and to make prior arrangements with local authorities in case of an emergency. The Clean Air Act (CAA) Section 112(r), EPCRA and RCRA programs aim to prevent serious chemical accidents, minimize the consequences of accidents that occur, and provide chemical hazard and risk information to the public. Activities: Headquarters and regions The Emergency Response and Removal program will continue to complete and oversee removal actions with an emphasis on collecting required data elements including site type, volume, contaminant and contaminant of concern. In FY 2012, OEM convened a workgroup with regional laboratories that have established chemical warfare agent (CWA) analytical capabilities with the goal of determining whether or not consolidation of laboratory capabilities would maximize resources. In FY 2013, consolidation options were explored, and in FY 2014, EPA will continue to work with regional laboratories to determine the best course of action for maximization of laboratory resources. EPA will continue evaluation of On-Scene Coordinator (OSC) resources based on needs and responsibilities of the regions in the context of a possible plan to redistribute regional OSC allocations EPA will work with the regions to develop response stories that highlight significant removal and response actions and their benefits. Each region will submit a story on a quarterly basis, and these stories will be used as part of both external and internal communication efforts. EPA will continue evaluating emergency response readiness through its annual Core NAR evaluation. EPA will conduct Core NAR, revised to reflect lessons from FY 2013, including updated Core Chemical Biological Radiological Nuclear (CBRN) and exercise materials. EPA will continue readiness assessments conducted by back-up region(s), with appropriate modifications based on experience in Core NAR for FY 2013. Page | 27 ------- EPA will continue to evaluate RCRA facilities compliance with preparedness, prevention, and planning requirements. EPA will implement specific actions under OSWER's Climate Change Adaptation Plan, scheduled to be completed in June 2013, to more fully integrate climate change adaptation planning into core programs. Regions As part of a broader strategy to expand high-risk facility initiatives focused chemical and oil safety, focus on high-risk SPCC and FRP facilities, as defined by the program's high-risk inspection targeting procedures. Use and maintain the national SPCC and FRP Oil Database Application as the official database of record for EPA inspection activities. Maintain the number of SPCC inspections conducted nationally during FY 2014 at approximately the same level as FY 2012. OEM will coordinate with regions to tailor individual regional goals to work toward this national goal and to develop a metric for future annual SPCC inspections. Approximately 30% of these SPCC inspections nationally should be conducted at high-risk facilities, as defined by the program's high-risk targeting procedures. Implement the closing conference procedures for the SPCC program. Conduct informal enforcement activities to support the return to compliance measure in accordance with established OEM policy. Regions and delegated state and local agencies Inspect at least 4 percent of the total number of RMP-regulated facilities in the region during FY 2014. Of these inspections, at least 36 percent should be conducted at high-risk RMP facilities, using the list derived from established high risk criteria and provided by headquarters to regional offices at the beginning of the fiscal year. Regional program managers may, after consultation with and approval by headquarters, alter the population and/or hazard index thresholds for their region in order to include additional facilities on the regional high-risk list. Conduct all RMP inspections in accordance with "Guidance for Conducting Risk Management Program Inspections Under Clean Air Act Section 112(r)" (EPA 550-K-l 1-001, January, 2011). All inspections at RMP facilities with Program 2 and/or 3 processes must evaluate a facility's compliance with some or all of the accident prevention and emergency response program requirements of Subparts C, D and E of 40 CFR Part 68, in addition to evaluating compliance with other 40 CFR Part 68 requirements as time and resources allow. For inspections at multi-process or high-risk facilities, conduct inspections where the field portion of the inspection involves the appropriate number of inspectors/technical experts and time to evaluate the RMP program compliance and chemical safety at the facility, as stated above. For inspections at larger and more-complex facilities, regions should devote additional staff and/or time as appropriate to the size and complexity of the facility. Page | 28 ------- Produce a narrative inspection report for each inspection that includes the information elements described in Appendices C and D of the inspection guidance, and include narrative findings (i.e., potential compliance deficiencies) that are supported by objective facts gained through document reviews, personnel interviews, and observations of facility and equipment status, conditions and operations. All findings should relate directly to a specific requirement of C AA Section 112(r), 40 CFR Part 68 or an industry code or standard applicable to the subject facility. Regions may use variations of the report or checklist formats contained in the inspection guidance, provided all necessary information is present in the inspection report. Make inspection reports available to headquarters upon request. As appropriate, evaluate facility compliance with EPCRA sections 304 and 311/312 and CERCLA section 103 during all RMP inspections.At the end of the fiscal year, report the number of high-risk facility inspections completed, as well as the total number of RMP non-filer investigations completed and of that total, the number of actual non-filers identified and required to comply with the RMP regulations. Limit inspections that pertain exclusively to the CAA Section 112(r)(l) General Duty Clause or identifying RMP non-filers to 10 percent of the total number of inspections (EPA headquarters will re-evaluate this percentage limit on a per region basis in the event that special issues arise). Limit inspections that pertain exclusively to the CAA Section 112(r)(l) General Duty Clause to 10 percent of the total number of inspections (EPA headquarters will re-evaluate this percentage limit on a per region basis in the event that special issues arise). Inspect RMP facilities where RMP-qualifying accidents occur during the fiscal year no later than 6 months after the accident. Accidents involving deaths, severe injuries or significant community or environmental impacts should receive the highest inspection priority. During these inspections, regional inspectors should pay particular attention to ensure that facilities have conducted an appropriate incident investigation, prepared an investigation report, taken appropriate and timely corrective actions, and updated the facility's risk management plan to reflect any changes resulting from the investigation and any new information required to be reported in the facility's five-year accident history. Details on Rules being Developed or Implemented: Propose/Finalize Revisions to Subpart J Rule The Subpart J rule, when finalized, is expected to update the efficacy, toxicity, environmental fate and monitoring of dispersants and other chemical agents regarding the authorization and use of such agents on oil spills. This rulemaking effort was triggered in part by the unprecedented surface and sub sea use of dispersants during the Deepwater Horizon oil spill. Assuming that the rule is proposed in early 2013 and finalized in early 2014, we will focus our efforts on the implementation of the rule. Page | 29 ------- Measures: The following ACS measures supporting this program can be found on page 2 of the attached measures appendix: 132, 133, 327A, 328A, CH2 and Cl. Page|30 ------- BROWNFIELDS AND LAND REVITALIZATION PROGRAM Description: EPA's Brownfields and Land Revitalization program emphasizes environmental and human health protection in a manner that stimulates economic development and job creation by awarding competitive grants to assess and clean up brownfield properties and providing job training opportunities, particularly in underserved communities. The program aims to reduce risk to human health and the environment by making communities safer and healthier, restoring groundwater to beneficial uses, protecting other natural resources, and promoting reuse of formerly contaminated sites. The program also will implement specific actions under OSWER's Climate Change Adaptation Plan, scheduled to be completed in June 2013, to more fully integrate climate change adaptation planning into core programs. Activities: Award and manage the FY 2014 Assessment, Revolving Loan Fund and Cleanup (ARC) Grants. o States and eligible entities: May apply for grants to be used to address sites contaminated by petroleum and hazardous substances, pollutants, or contaminants (including hazardous substances co-mingled with petroleum). o Regions: Manage the Brownfields Assessment Grants (each funded up to $200,000 over three years; coalitions are funded up to $600,000 over three years), Brownfields Revolving Loan Fund (RLF) Grants (each funded up to $1,000,000 over five years) and Brownfields Cleanup Grants (each funded up to $200,000 over three years). o Regions: Following HQ guidance to be provided, work to assure the quality of grantee provided leveraging data and to report that data in a consistent way across projects. o States, eligible entities and regions: Work closely to place funding on projects that demonstrate, among other things, strong leveraging capability. o Headquarters: Continue to work on the grant award and administration efficiencies consistent with the new guidances from OARM on grant efficiencies. Attempt to commence larger grant competitions earlier, so that selections can happen and grant application packages can begin being processed during the third quarter of the fiscal year. Work has already begun on the FY 2014 Brownfields ARC guidelines which will allow us to have them ready for posting in July/August 2013. o Headquarters and regions: Continue to work with small communities to encourage them to apply for and be successful at managing ARC grant funding. Conduct Targeted Brownfields Assessments (TEA) o Regions: Manage regional TEA process for selecting and prioritizing sites transparently, and target funding towards small and rural communities that may not have the capacity to manage a competitive assessment grant and/or are not competitive receiving assessment grant funding. Also, target funding towards communities impacted by economic disruptions (e.g. auto sector communities, or communities affected by plant closures) and Brownfields Page|31 ------- Area-Wide Planning grant recipients who need funding to start implementing their plans. Award and manage the FY 2013 Brownfields Area-Wide Planning (AWP) Grants. o States and eligible entities: May apply for grants used by communities to facilitate community involvement in developing an area-wide plan for brownfields assessment, cleanup and subsequent reuse on a catalyst site and other high-priority brownfield sites. o Regions: Manage the AWP grants that are funded up to $200,000 for two years. o States, eligible entities and regions: Work closely to help implement the outcomes and products from the FY 2010 AWP Pilot Grants. Include brownfields assistance in the HUD-DOT-EPA Partnership for Sustainable Communities (PSC) effort to align resources to better serve communities and enhance fiscal responsibility. o EPA's Brownfields Program is part of the HUD-DOT-EPA PSC and is working with several offices at HUD, DOT and EPA to coordinate our actions and align our programs with a common set of six livability principles. The livability principles guide the EPA, HUD and DOT in its efforts to coordinate environmental protection, housing investments, and federal transportation policies, as well as other infrastructure investments to protect the environment, promote equitable development, and help to address the challenges of climate change. (Learn more about the six livability principles http ://www. sustainablecommunities. gov/) o In the Brownfields ARC and Area-Wide Planning grant programs, EPA's guidelines provide for special consideration for PSC grant recipients or their core partners. This means as proposals are ranked and selected for award by EPA, EPA's Selection Official may also consider awarding grant funds to an applicant that may also have been selected for a PSC grant. o States: May coordinate brownfields planning efforts with PSC and Brownfields program grant recipients and consider aligning state resources and investments where appropriate. o Regions: Regional brownfields and land revitalization programs should coordinate with regional HUD-DOT-EPA Partnership programs on each BF AWP project (and other brownfields projects where appropriate) and participate in the regional dialogue on how to align resources to these brownfields communities. Allocate funding and manage the CERCLA 128(a) State and Tribal Response Program. o States, tribes and territories: May request support to establish and enhance its Response programs that will manage and oversee environmental assessment, clean up and long term stewardship activities. o Headquarters and regions: Ensure funding is available and provided to states, tribes, and territories that demonstrate on the ground results and support for communities that are economically distressed and that lack the capacity to manage environmental response activities. Page|32 ------- o States, tribes, territories and regions: Work closely to implement workplan to establish and enhance its Response program. Expand Job Training Opportunities in the Environmental Field o Support non-profit organizations and other eligible entities through Environmental Workforce Development and Job Training (EWDJT) cooperative agreements. o States and eligible entities: May apply for funds that will provide communities flexibility in meeting their local environmental labor market demands. o Headquarters: Continue to partner with OCSPP and OW,to allow for a broader array of environmental health and safety and remediation training and continue to identify other opportunities for supporting multi-appropriation training with OAR and other National Program Managers. o States, eligible entities and regions: Collaborate to support training across other OSWER programs, including graduate placements in solid waste, Superfund, emergency response, and underground storage tank removal and leak prevention careers. o As a result of recommendations raised by the EPA's Office of the Inspector General, OBLR will work more closely with OSRTI and OEJ to avoid potential duplication of environmental job training programs. Advance Environmental Justice and Institutionalize Community Engagement Initiative (CEI) Activities in Brownfields-Affected Communities o Headquarters: Integrate the use of EJ SCREEN in the Brownfields Program by providing outreach and technical assistance to communities with cumulative environmental impacts and demographic indicators of need. o Headquarters: Continue to provide outreach to Historically Black Colleges and Universities (HBCUs) and Minority Academic Institutions (MAIs) about funding opportunities offered through the Brownfields Program, including brownfields cleanup and environmental workforce development and job training grants. o Headquarters: Continue to identify ways to ensure meaningful community involvement through awarded grant community involvement plans and through the evaluation of grant proposals. o Headquarters: Continue to raise awareness about the importance of integrating equitable development into brownfields cleanup and assessment projects. Continue to support brownfields communities via Technical Assistance to Brownfields Communities (TAB) grants o Headquarters and regions: Manage TAB grants which provide technical assistance to communities across the nation to help them deal effectively with their brownfields sites, build their capacity so they are able to develop strong brownfields programs, and identify funding resources to maintain sustainable brownfields programs, especially in small, rural, and tribal communities. Page|33 ------- Continue to support land revitalization by supporting OSWER RePower Initiative o Headquarters and regions: RCRA Corrective Action (CA) program will coordinate with the Superfund Brownfield and Land Revitalization Program to use RePower to identify and advance reuse of contaminated properties subject to CA as renewable energy sites. Both programs will continue to support RePowering Americas Land Initiative specifically by implementing the revised OECA/OSWER lessee guidance, providing comfort letters as appropriate on a site-specific basis, and other technical assistance, to facilitate the reuse of contaminated properties. Measures: The following ACS measures support this program: B29, B32, B33, B34 and B37. These measures can be found on page 1 of the attached measure appendix. Page|34 ------- SUSTAINABLE MATERIALS MANAGEMENT Description: Sustainable Materials Management (SMM) is an approach to reduce negative environmental and societal impacts across the life cycle of materials from resource extraction, manufacturing, use, reuse, recycling and disposal. Efficiencies gained in SMM approaches can result in less energy used, more efficient use of materials, more efficient movement of goods and services, conservation of water and reduced volume and toxicity of waste. OSWER supports looking at environmental challenges with a whole-systems approach, leveraging cross-program efforts and tools, and collaborating within EPA and with external parties and stakeholders. Thus, OSWER's approach reflects an emphasis on sustainability in meeting today's complex challenges for protecting human health and the environment as One EPA. Under SMM, EPA has developed and implemented strategically targeted programs with national impact. In FY 2014, our annual goal is to increase the tons of materials and products offsetting use of virgin resources through sustainable materials management to 8.6 million. Priority areas and activities for the SMM program are listed below. Activities: Headquarters and regions Showing results in the three SMM challenge areas by maintaining a predominant national focus on Sustainable Food Management, Greening the Federal Government, and Used Electronics Recycling: o The Office of Resource Conservation and Recovery (ORCR) and the regions will emphasize activities and strategies that focus on the retention of active target sector participants and recruitment of appropriate numbers of new target sector participants. o In the Electronics area, ORCR will also lead implementation of certain commitments of the National Strategy for Electronics Stewardship (Headquarters only). Providing technical assistance, information sharing, and support for state and local SMM efforts, as determined during FY 2013, including: o Implement the next steps associated with the local SMM pilots as determined in FY 2013. o Implement next steps identified in FY 2013 for maintaining state SMM tool. o Identifying and highlighting best practices via the web. o Support for state and local efforts to develop and implement Zero Waste programs. Measuring and characterizing municipal solid waste in the U.S. Encouraging beneficial use of industrial materials in a manner that is protective of human health and the environment through development of appropriate tools. Appropriate regional roles for encouraging beneficial use will need to be identified. This work will be coordinated with the CCR beneficial use efforts. Page|35 ------- Determining appropriate next steps to expand SMM activities to other areas. Explore collaboration with stakeholders and industry to advance sustainable materials management, develop resource conservation solutions, and pursue innovative policies to incentivize SMM. Measures: The ACS measures supporting this program are SM2 and SMS. New Sustainable Materials Management Challenge participants need to submit baselines for regions to count them toward measures SM2 and SMS. These measures can be found on page 1 of the attached measures appendix. Page|36 ------- PROTECTING COMMUNITIES THROUGH PERMITTING OR OTHER APPROVED CONTROLS AND SUPPORT TO TRIBAL WASTE MANAGEMENT PROGRAMS Description: The RCRA and TSCA polychlorinated biphenyl (PCB) permitting and approval programs protect people and ecosystems from exposure to dangerous chemicals. EPA also provides support to tribes to develop and implement solid and hazardous waste management programs. Activities: Headquarters ORCR will oversee and support progress towards the goal of preventing releases at 500 hazardous waste management facilities with initial approved controls or updated controls by FY 2015 through targeted technical assistance (i.e., financial assurance) and coordination activities. EPA also will implement relevant activities contained in the 2012-2014 Environmental Justice Workplan including the continued analyses of the applicability of EJSCREEN for the RCRA permitting program and supporting of Environmental Justice in Permitting Workgroup. By the end of FY 2013, ORCR expects to finalize guidance on Extending, Shortening or Ending the Post Closure Care Period for Hazardous Waste Disposal Facilities Under Subtitle C of RCRA. In FY 2014, ORCR will work with regions and states to implement the guidance, including providing public information about the guidance, identifying facilities where the post closure care period needs to be reconsidered, and sharing results concerning site specific approaches and decisions. ORCR will continue to issue PCB approvals that are designated by regulations under 40 CFR Part 761 to be issued by EPA headquarters (e.g., for mobile PCB treatment units operating in more than one region). ORCR is developing a national database that will track when and how many TSCA PCB cleanup and disposal approval requests are submitted to EPA, and when and how many TSCA PCB cleanup and disposal approvals are issued by EPA. If pilot projects are implemented in FY 2014, regions should support this effort by entering the appropriate data. EPA's main tribal solid waste priority, intended to address the most pressing waste-related environmental issues in Indian country, is the promotion of sustainable tribal waste management programs through the development and implementation of Integrated Waste Management Plans (IWMPs). The EPA Agency-Wide Plan to Provide Solid Waste Management Capacity Assistance to Tribes (the Plan) discusses this priority in detail. During FY 2014, EPA will implement the action items contained in the Plan, which EPA expects to finalize and issue in FY 2013. Regions Continue to update and implement multi-year strategies to meet the annual goal of 100 additional waste facilities under initial or updated approved controls and the FY2015 strategic goal. Page|37 ------- Update assessments of what is needed for each facility to achieve approved controls and make corresponding changes as to when each facility is projected to achieve approved controls. Continue to ensure that regions and states are making progress towards decreasing the backlog of renewals and getting interim status operating facilities under approved controls. Ensure data in RCRAinfo Reports reflect accurate information. Implement the EJ Regional Implementation Plan for EPA issued permits. Continue to issue approvals for PCB storage, treatment and disposal, as required under 40 CFR Part 761. Regions should continue to provide technical assistance to tribes that are developing and implementing their IWMP. Regions and states should work with facilities during the permit renewal process to ensure the effectiveness of their on-site security plans in preventing unauthorized access to the site and to hazardous materials. Promote Best Practices to Enhance Coordination in the RCRA Program (February 2012), where and when applicable, so that permits are easier to implement, are more enforceable, and result in improved environmental outcomes. Measures: The ACS measures supporting this program are HWO and TR1. These measures can be found on pages 1 and 2 of the attached measures appendix. Page|38 ------- CLEANING UP CONTAMINATED SITES AND PROMOTING REUSE Description: The RCRA corrective action and TSCA polychlorinated biphenyl (PCB) programs are responsible for overseeing and managing facility cleanups that protect human health and the environment. EPA and its partners continue to encourage and facilitate the safe reuse of RCRA corrective action sites, a vital goal of cleanups. Under the RCRA corrective action program, EPA's aspirational goal is to achieve 95 percent completion for three strategic goals by the end of FY 2020 and to reach specific percentages for them by FY 2015. Activities: Headquarters and regions In FY 2014, EPA will implement changes to targets, workload and/or resources in response to the results of our FY 2013 analysis of the corrective action program. This analysis focuses on the resources needed to reach our short and long term goals for corrective action facilities. Regions will continue to assess their non-2020 workload, by completing the Phase I work from FY 2013 and, if decided, conducting Phase II work in FY 2014. To assist with achieving the FY 2015 corrective action goals, the National Enforcement Strategy for Corrective Action (NESCA) was developed to provide a framework for strategically using enforcement where needed. ORCR encourages states and regions to document and report when corrective action sites meet the "Ready for Anticipated" RAU milestone - which means they are protective for human health for the next anticipated use, and any required institutional controls are implemented. ORCR is advocating the use of 761.61(c) and 761.62(c) risk-based cleanups and disposals to address large, complex, and challenging sites. The use of risk-based approaches facilitates the coordination of PCB cleanups with RCRA and Superfund cleanups and decision-making. Risk-based approaches also allow for better coordination and worksharing with state cleanup programs, where feasible. ORCR encourages regions to coordinate TSCA PCB cleanups with other cleanup programs. In addition to formal and informal worksharing, the coordinated approval (under 761.77) is a viable option that HQ encourages regions to consider when appropriate. ORCR will work to clarify the approach for determining the regulatory status of PCB sediments in order to remove impediments to and reduce costs of PCB cleanups under Superfund and other regulatory programs. ORCR will continue to provide opportunities to communities under the Technical Assistance Services for Communities (TASC) program. During FY 2014, EPA will assess the need to modify current corrective action program guidance as it relates to enhancements made during FY 2013 by the Community Engagement Initiative. Also during FY 2014, regions will be encouraged to utilize the guide on "Tailoring Community Engagement Activities at RCRA Corrective Action Sites" that is currently under development. Page|39 ------- In FY 2014, EPA will also implement relevant activities contained in the 2012- 2014 Environmental Justice Workplan including the continued analyses of the applicability of EJSCREEN for corrective action purposes. Regional and HQ programs will implement specific actions under OSWER's Climate Change Adaptation Plan, to be completed in June 2013, to more fully integrate climate change adaptation planning into its core programs. Regions will continue to issue cleanup approvals as required under 40 CFR Part 761. Measures: The ACS measures supporting this program are CA1, CA2, CAS, PCI, PC2, PCS and TR2. These measures can be found on pages 1-3 of the attached measures appendix. Page | 40 ------- PROTECTING COMMUNITIES THROUGH RCRA REGULATORY AND GUIDANCE ACTIONS Description: Although EPA has a comprehensive regulatory framework in place to prevent exposures to contaminants from MSW and hazardous wastes, and is constantly working to keep that framework current, there are always new areas of concern or potential concern that need to be assessed. New technologies, such as nanotechnology or biotechnology, and new organic and inorganic chemicals have emerged and present additional challenges to the RCRA program. The RCRA regulations also provide a structure to safely manage the additional, and often more concentrated, pollutants being removed from our air and water by current advances in environmental pollution controls. Thus, there are potential gaps in the RCRA regulations that could impact the level of protection they provide. Some of these gaps are identified through petitions for regulatory amendments. In FY 2014, ORCR intends to move forward on developing and implementing key rules and guidances that will advance OSWER's environmental objectives. Such rules include the upcoming Definition of Solid Waste (DSW), the Non-Hazardous Secondary Material (NHSM), the CERCLA section 108(b) Financial Responsibility, the Coal Combustion Disposal, and the RCRA Carbon Sequestration rules, and the vapor intrusion guidance. ORCR will continue to coordinate with other HQ offices (e.g. OECA and OGC). Regions also have an important role in the development and implementation of rules and guidances. Activities: Regions and states should provide comments during the rule and guidance development process, which reflects insights developed through their implementation experience. Regions and states can provide insight into possible future implementation issues and to ensure rules can be implemented effectively and guidance followed when appropriate. EPA will continue to explore and document methods for engaging communities during the regulation and guidance development process. Regions should provide direct rule implementation if that authority is granted by the rulemaking. After rule promulgation, regions should provide technical assistance to both state implementers and the regulated community, including direct assistance and training. Headquarters will supplement these efforts and provide national direction. Regions should work closely with our state partners to ensure rules are appropriately implemented by states. During the state authorization process for rules promulgated under RCRA, regions will raise technical and authorization process issues to headquarters for a prompt response. Page | 41 ------- Details on Rules being Developed or Implemented: Coal Combustion Disposal Rule This rule deals with requirements for the safe and environmentally sound management of coal combustion residuals (CCR). A proposed rule was issued for comment in June 2010 and we have been evaluating the comments we have received. We have issued two Notices of Data Availability (NOD A) in 2010 and 2011 and are aiming to release a 3rd NODA as soon as possible. We will also continue harmonizing our approach in the final rule to the Effluent Limitation Guideline proposed and final rule so that there is not duplication and overburden to the regulated community. In conjunction with the rulemaking efforts, we have developed a draft risk evaluation methodology for the continued beneficial reuse of CCRs in an encapsulated form and we plan to finalize the application of that methodology to concrete and wallboard in 2013. In 2013/2014, we also plan to develop and finalize a conceptual model for un- encapsulated uses of CCR. The finalization of the CCR disposal rule as well as the risk evaluation work will address the needs of the regulated community, our state partners and the environmental community to develop a program that adequately addresses the historic mismanagement of CCR disposal while continuing to promote the safe and beneficial reuse of CCR materials. After publication, we will focus our efforts on the implementation of the rule. Implement the Non-Hazardous Secondary Material (NHSM) Rule The NHSM rule identifies which non-hazardous secondary materials are not considered solid waste when used in combustion units as fuel or ingredients and thus are subject to the Clean Air Act (CAA) Section 112 emissions standards versus Section 129 standards. The rule has provisions that allow the regulated community to petition EPA to categorically exclude additional material based on numerous factors (i.e., material is sufficiently processed and meets the legitimacy criteria). The final rule was signed on December 20, 2012. As such, we will focus our efforts on the implementation of the rule. We anticipate that the agency will receive numerous petitions that will have to be evaluated and acted upon via rulemaking. Implement the Definition of Solid Waste (DSW) Rule The DSW rule identifies which hazardous secondary materials are not considered solid waste when recycled, provided they meet certain conditions, and thus are not subject to full Subtitle C regulation. We expect to include in the DSW rule a non- Page | 42 ------- waste determination petition process when a material has not been discarded and is legitimately used in continuous industrial process or is legitimately reclaimed and is indistinguishable in all relevant aspects from a product or intermediate product. Following rule finalization, we will focus our efforts on the implementation of the rule. Finalize RCRA Carbon Sequestration Rule The carbon sequestration rule will conditionally exclude certain carbon dioxide (CC>2) from the definition of hazardous waste, provided these CC>2 streams meet certain conditions, including injection into Class VI Underground Injection Control (UIC) wells for purposes of geologic sequestration. This rule is needed to support six pilot projects that will be Class VI UIC wells to support the Administration's energy policy. The proposed rule was issued for public comment in August 2011. Assuming that the rule is finalized in the Spring of 2013, we will focus our efforts on the implementation of the rule. Finalize the Solvent Contaminated Wipes Rule The Solvent Contaminated Wipes rule will conditionally exclude from the definition of solid waste solvent-contaminated wipes that are cleaned and reused and conditionally excludes from the definition of hazardous waste solvent- contaminated wipes that are disposed. The purpose of this final rule is to provide a consistent regulatory framework that is appropriate to the level of risk posed by solvent-contaminated wipes in a way that maintains protection of human health and the environment, while reducing overall compliance costs for industry, many of which are small businesses. Assuming the rule is finalized in Fall 2013, we will focus our efforts on the implementation of the rule. RCRA Retail Effort Under Executive Order 13563, OSWER committed to analyzing relevant information to determine what the retail RCRA issues of concern are and what options may exist for addressing the issues. Under this effort, OSWER expects to publish a Notice of Data Availability (NODA) to: 1) present data and information EPA has gathered thus far from stakeholders and other sources, 2) request additional relevant data and information from stakeholders and the public, and 3) request comment on issues of concern for managing retail product waste and options for addressing the issues. Page | 43 ------- Assuming that the NODA is published in early 2013, OSWER will use the information collected to determine possible next steps to address retail product waste issues. Page | 44 ------- UNDERGROUND STORAGE TANK PROGRAM Description: The (UST) program protects communities living and working near UST sites as well as land and groundwater resources from contamination caused by releases of regulated substances (typically petroleum-based motor fuels and their additives) from leaking USTs (LUSTs). The prevention program focuses on bringing all UST systems into compliance with release detection and release prevention requirements and implementing the provisions of the Energy Policy Act (EPAct). The cleanup program focuses on assessment and remediation of petroleum releases from LUSTs. Activities: Prevention States will conduct inspections to ensure regulated entities comply with release detection, leak prevention and financial responsibility requirements. The EPAct requires all regulated facilities to be inspected at least once every three years. EPA anticipates that all states will be in compliance with the provisions of the EPAct. Regions will maintain the 3 year inspection mandate in Indian country, and assist states, as needed. States and regions conducting inspections will utilize EPA or state guidance to evaluate compatibility in systems storing higher blends of ethanol or biofuels. States will actively implement EPAct requirements in FY 2014, such as operator training, prohibiting delivery for non-complying facilities, posting public records, and ensuring secondary containment or financial responsibility for tank manufacturers and installers. States and regions will take appropriate enforcement when violations are found, including implementation of Delivery Prohibition and utilization of expedited enforcement, as applicable. States will work toward implementation of the provisions of the newly revised UST regulations (expected to be finalized by fall 2013), including taking appropriate steps to adopt new regulations, apply for state program approval, and update MOA's. Regions will implement the new regulations in Indian country. Regions will work with tribes to build capacity and provide compliance assistance for programs in Indian country. Activities: Cleanup States will manage, oversee and enforce assessments and cleanups at LUST release sites. States and EPA will work to implement strategies to reduce their LUST backlogs, such as increasing the efficiency of cleanups, leveraging private and state resources and enabling community redevelopment. Because each state's backlog is unique, regions will work with states to pursue state-specific backlog reduction strategies. EPA will partner with states to develop tools and training on subjects such as bankruptcy, ability to pay analysis, and responsible party searches. Regions will conduct assessments and cleanups in Indian country, implementing strategies to increase the efficiency of cleanups, rigorously evaluating Page | 45 ------- optimization of cleanup approaches, leveraging private and other federal resources and enabling community redevelopment. States and regions will conduct annual reviews of all active state funds to ensure that funding is available for cleanups, when needed. States and EPA will promote the reuse of petroleum brownfields, look for opportunities to partner with local implementors to engage communities, identify cleanup corridors, and/or bring stakeholders and partners to the table to clean up and redevelop sites. States and regions will take enforcement action to spur cleanup as necessary. States and regions will implement the new Petroleum Vapor Intrusion Guidance (expected to be finalized during FY13) as appropriate when assessing vapor intrusion at LUST sites. Headquarter and regions will implement specific actions under OSWER's Climate Change Adaptation Plan, scheduled to be completed in June 2013, to more fully integrate climate change adaptation planning into core programs. Activities: Program Management and Operations OUST is working with regions and states to update LUST Trust Fund guidance to clarify how they can factor environmental justice considerations into LUST Trust Fund site decisions. Accordingly, states and regions will consider environmental justice concerns of communities disproportionately impacted by environmental issues when prioritizing work and making decisions, and will appropriately involve communities in actions and decisions that affect them. Regions when making decisions that may affect tribes and Indian country and when taking action in Indian country shall consult with those tribes under the May 2011 EPA Policy on Consultation and Coordination with Indian Tribes Regions are responsible for negotiating the terms and amounts of assistance agreements with states and tribes. Regions will ensure that STAG, EPM, LUST Prevention and LUST cleanup funds are used for appropriate purposes, and are committed, obligated and spent efficiently and promptly. States will QA/QC semiannual performance results and report required data in a timely manner. Regions will verify the accuracy and completeness of data provided by states, following the verification guidance provided by OUST, and will work with states to improve their data quality and systems where appropriate. Details on Rules being Developed or Implemented: Finalize Revisions to the Underground Storage Tank (UST) Rule The UST rule was first promulgated in 1988 primarily to prevent releases into the environment from gas stations and other facilities. There is a need to revise the regulations to incorporate changes from the Energy Policy Act of 2005, as well as to update outdated portions of the regulations due to changes in technology. This effort also allows EPA to apply certain provisions Page | 46 ------- in Indian county. The proposed rule was issued for public comment in the fall of 2011. Assuming that the rule is finalized in the fall of 2013, we will focus our efforts on the implementation of the rule. Measures: The ACS measures supporting this program are ST1, ST6, 111, 112 and 113. These measures can be found on page 2 of the attached measures appendix. Page | 47 ------- TRIBAL PROGRAM DEVELOPMENT Description: OSWER is committed to ensuring the protection of human health and the environment in Indian country while supporting tribal self-government, acting consistently with the federal trust responsibility, and strengthening the government-to- government relationships between tribes and the EPA. OSWER supports tribal governments through capacity building, technical and financial assistance, research, and outreach and direct implementation. OSWER will continue implementing the OSWER Tribal Strategy, an EPA and Tribal Partnership to Preserve and Restore Land in Indian Country., which describes in detail OSWER program strategies, priority activities, and associated measures for tribes from 2009-2014. By implementing this strategy, EPA will continue to strengthen partnerships with tribes, improve tribal participation in all OSWER-related programs and enable tribes to achieve better environmental outcomes. This strategy also will enhance environmental protection in Indian country by using cross-program approaches to integrate and leverage activities and by anticipating future needs as tribes develop more mature programs. OSWER intends to continue focus on the key areas listed below to help improve tribal program development and performance. Activities: Headquarters, regions and tribes Promote actions that enable tribes to develop Integrated Waste Management Plans, build capacity to demonstrate program readiness, and implement sustainable waste management programs while supporting tribal community engagement efforts across OSWER. Ensure that Executive Order 13175 on Consultation with Indian Tribal Governments and the EPA Policy on Consultation and Coordination with Indian Tribes (May 2011 Consultation Policy) are appropriately applied to OSWER actions or decisions. In April and October, finalize the OSWER Tribal Consultation Semi-annual Agenda. Develop new technologies, opportunities, and technical assistance for tribal outreach and mining impacts on tribal lands. Headquarters and tribes Support tribes through the OSWER cooperative agreement which funds activities such as the Tribal Lands Forum and the Tribal Waste and Response Assistance Program National Tribal Steering Committee. Measures: ACS measures supporting this program area include TR1 and TR2 and can be found on page 2 of the attached measures appendix. Page | 48 ------- ENVIRONMENTAL JUSTICE Description: Environmental Justice (EJ), or promoting healthy and environmentally sound conditions for all people, is a priority throughout all of OSWER's programs. By integrating EJ into its programs, OSWER seeks to mobilize resources to address the needs of disproportionately overburdened and underserved communities. OSWER's work supports the agency's strategies for Expanding the Conversation on Environmentalism and for Working for Environmental Justice and Children's Health and is based in Goal 3, Objective 1 of the EPA's Strategic Plan6: Promote Sustainable and Livable Communities. OSWER supports cross-agency coordination by working with other NPMs and EPA regions to better facilitate the creation of healthy and sustainable communities. To facilitate the continued integration of EJ into its programs, OSWER will undertake the activities below. Activities: Headquarters and regions As a part of its work planning process, OSWER will integrate EJ principles into its programmatic and regional decision-making through the use of rulemaking, policy, screening and legal tools. OSWER has convened an EJSCREEN workgroup to identify issues, develop a training plan, and examine uses of the EJ tool in OSWER programs; developed a Compendium of how OSWER will use its authorities to address overburdened and underserved community needs and support EPA regions in their work to create healthy and sustainable communities. Strengthen the use of scientific and technical processes and policies to help address environmental and health inequities among overburdened and underserved communities by identifying impacts from stressors that burden these communities. Through the Community Engagement Initiative (CEI), OSWER will expand community engagement approaches which allow low income, minority, overburdened and underserved communities to meaningfully participate in decisions on land cleanup, management of hazardous substances, and emergency preparedness and response activities. OSWER will enhance the use of a continual learning process by offering quarterly and semi-annual Office Directors' EJ Learning Series and provide internal EJ training to help OSWER headquarters and regional staff better serve communities. Through OSWER partnerships with tribal and state governments, building and leveraging to help address local environmental concerns in overburdened and underserved communities. 6 The EPA Strategic Plan is currently being updated for FY 2014-2018 and will be available in February 2014 at the following website: http://www2.epa.gov/planandbudget/strategicplan Page | 49 ------- Continue to support the Community Action for a Renewed Environment (CARE) program by providing programmatic expertise to existing CARE projects and by maintaining membership on EPA's CARE Executive Team. Partner with the Office of Water to coordinate efforts to revitalize both land and water areas to improve communities efforts to access, improve and benefit from the urban waters and surrounding land and help grow local businesses, enhance educational, economic, recreational, employment and social opportunities in nearby communities. OSWER will support the ten EPA regional projects identified in 2012 and use lessons learned from 2013 to improve EPA's collective understanding of how to harmonize its programs to strengthen EPA support for communities through its grant and technical assistance programs Work with regional, state, tribal and local partners to identify how EPA's funding, policies and programs can inform decision makers to maximize benefits and minimize impacts from land use planning, siting and decision making consistent with recommendations; and develop a document on successful land use practices and a training course for stakeholders on land use planning related to EPA policies and programs. To promote more equitable development opportunities to underserved communities, regions will disseminate a catalogue of EPA funding opportunities. The OSWER created catalogue identifies resources which can help communities address human health and environmental issues. Measures: The ACS measure supporting this program area is CARE-1 and can be found on page 1 of the attached measures appendix. Page | 50 ------- ENVIRONMENTAL PROTECTION AGENCY OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE FY 2014 NPM GUIDANCE MEASURES APPENDIX G/O 3.1 3.1 3.1 3.1 3.1 3.1 3.1 3.1 3.1 3.1 3.1 3.1 ACS Code B29 B32 B33 B34 B37 SM2 SMS CH2 PC1 PC2 PCS CARE-1 Measure Text Number of brownfields properties assessed. Properties cleaned up using brownfields funding. Acres of brownfields property made ready for reuse. Jobs leveraged from brownfields activities. Billions of dollars of cleanup and redevelopment funds leveraged at brownfields sites. Number of new participants with baselines for Sustainable Materials Management Challenges. Number of new (with baselines) and active participants in the Sustainable Materials Management Challenges. Number of risk management plan inspections completed. Number of sites receiving 40 CFR 761 .61 (a) or (c) approvals. Number of acres to be remediated under 40 CFR 761. 61 (a) or (c) approvals. Number of PCS approvals issued under authorities other than 40 CFR 761. 61 (a) or (c). Number of Community Action for Renewed Environment (CARE) cooperative agreement projects managed in order to obtain toxic reductions at the local level. Non- Commit- ment Indicator (Y/N) N N Y Y Y N N N Y Y Y Y State Grant Measure (Y/N) Y Y N N N N N N N N N N Nat. Target 1,200 120 3,000 5,000 1.2 100 450 460 40 100 TBD N/A Appendix I, page 1 ------- ENVIRONMENTAL PROTECTION AGENCY OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE FY 2014 NPM GUIDANCE MEASURES APPENDIX G/O 3.2 3.2 3.2 3.2 3.2 3.3 3.3 3.3 3.3 3.3 3.3 3.3 3 3 ACS Code HWO ST1 ST6 TR1 TR2 132 133 327A 328A C1 111 112 113 Measure Text Number of hazardous waste facilities with new or updated controls. Reduce the number of confirmed releases at LIST facilities to five percent (5%) fewer than the prior year's target. Increase the percentage of LIST facilities that are in significant operational compliance with both release detection and release prevention requirements by 0.5% over the previous year's target. Number of tribes covered by an integrated waste management plan . Number of closed, cleaned up or upgraded open dumps in Indian country or other tribal lands. Number of Superfund-lead removal actions completed. Number of PRP removal completions (including voluntary, AOC, and UAO actions) overseen by EPA. Percent of all FRP facilities found to be non-compliant which will be brought into compliance. Percent of all SPCC facilities found to be non-compliant which will be brought into compliance. Score on Core NAR evaluation. Percent of confirmed releases awaiting cleanup at LIST facilities. Number of LUST cleanups completed that meet risk-based standards for human exposure and groundwater migration. Number of LUST cleanups completed that meet risk-based standards for human exposure and groundwater migration in Indian country. Non- Commit- ment Indicator (Y/N) N Y Y N N N N Y Y Y Y N N State Grant Measure (Y/N) Y Y Y N N N N N N N N Y Y Nat. Target 100 < 7,330 (UST releases) 67.5% 3 45 170 170 50% 50% 75% 15% 9,000 37 Appendix I, page 2 ------- ENVIRONMENTAL PROTECTION AGENCY OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE FY 2014 NPM GUIDANCE MEASURES APPENDIX G/O/S 3.3 3.3 3.3 3.3 3.3 3.3 3.3 3.3 3.3 3.3 5.1 5.1 5.1 5.1 ACS Code 122 131 141 S10 151 152 FF1 CA1 CA2 CAS OSRE-01 OSRE-02 OSRE-04 HQ-VOL Measure Text Number of Superfund remedial site assessments completed. Number of remedial action projects completed at Superfund NPL sites. Number of Superfund construction completions. Number of Superfund sites ready for anticipated use site-wide. Number of Superfund sites with human exposures under control. Number of Superfund sites with contaminated groundwater migration under control. Percent of Superfund federal facility sites construction complete. Number of RCRA facilities with human exposures under control. Number of RCRA facilities with migration of contaminated groundwater under control. Number of RCRA facilities with final remedies constructed. Reach a settlement or take an enforcement action before the start of a remedial action at 99 percent of Superfund sites having viable, liable responsible parties other than the federal government. Address all Statute of Limitations cases for Superfund sites with unaddressed total past costs equal to or greater than $500,000. Review one RCRA corrective action financial assurance instrument per state, with at least 50% being financial test or corporate guarantee reviews take appropriate enforcement action if non-compliant. Volume of contaminated media addressed as a result of concluded CERCLA and RCRA corrective action enforcement actions. Non- Commit- ment Indicator (Y/N) N N N N N N Y N N N N N N N State Grant Measure (Y/N) N N N N N N N Y N Y N N N N Nat. Target 700 115 15 60 10 15 86% 90% 80% 57% 99% 100% 50 275M CY Appendix I, page 3 ------- This page intentionally left blank ------- OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE EXPLANATION OF CHANGES BETWEEN FY 2013 AND FY 2014 Change from FY 2013 Guidance Document More specific direction to the regions and states to develop e-manifest system, depending on availability of funds. National Areas of Focus OSWER will make chemical risk management a National Area of Focus, building on activities with other federal agencies. Improve the Superfund program's operations and support tools to generate as much value as possible. Reason for Change On October 5, 2012, the President signed legislation authorizing a fee-funded electronic reporting program for entities transporting hazardous wastes that are regulated pursuant to RCRA. These activities are designed to improve chemical safety and increase community and public awareness. The continued downward trend in the Superfund remedial program's resources makes it a strategic necessity to focus on efforts to sustain the program. Affected Pages and Sections National Areas of Focus, page 13. National Areas of Focus, page 18. National Areas of Focus, page Program- Specific Guidance OSWER will require the regions to include four additional data elements for removal actions into CERCLIS / SEMS. OSWER will be instituting new requirements and guidelines for RMP inspections. EPA will implement changes to targets, workload and/or resources in response to the results of its FY 2013 analysis of the RCRA Focus on developing a more complete picture of removal data in order to better inform removal decisions and strategic direction. These requirements and guidelines are being developed in order to continue the program focus on high quality inspections and inspections at facilities that have been identified as high risk. This analysis is being conducted in response to a recommendation by GAO in its July 2011 report concerning resource and Emergency Response and Prevention programs, page 27. Emergency Response and Prevention programs, page 28. RCRA/ PCB Corrective Action programs, page 39. Appendix II, Page 1 of 4 ------- Change from FY 2013 Guidance Document corrective action program. The Core NAR evaluation will include readiness assessments that will evaluate regional ability to use response equipment. States and regions will implement the provisions of the newly revised UST regulations (expected to promulgate final regulations by fall 2013), including taking appropriate steps to adopt new regulations, apply for state program approval, and update MOA's. Regions are responsible for negotiating the terms and amounts of assistance agreements with states and tribes, ensuring that EPM, LUST Prevention and LUST cleanup funds are used for appropriate purposes, and are committed, obligated and spent efficiently and promptly. Regions and states will conduct annual reviews of all active state funds to ensure that funding is available for cleanups when needed. Reason for Change technical challenges to the program. The Core NAR evaluation criteria are modified to incorporate new elements and achieve a more complete evaluation of overall response readiness. Readiness assessments for response equipment will be included in the FY 2014 evaluation. Regulations to be finalized by fall 2013 Increased emphasis on the need to monitor utilization of funds. State Fund reviews are being piloted in FY2013; this will become an annual requirement in FY2014. Affected Pages and Sections Emergency Response and Prevention program, page 27. Underground Storage Tank program, page 45. Underground Storage Tank program, page 46. Underground Storage Tank program, page 46. Annual Commitment Measures New measure: Percent of Superfund federal facilities sites construction complete (ACS codeFFl). This new measure will provide a more detailed view of site cleanup progress at federal facility sites on the NPL. FFRRO's yearly target will be an estimated net increase in the national percent construction complete number for NPL federal facility Measures Appendix, page 3. Appendix II, Page 2 of 4 ------- Change from FY 2013 Guidance Document New measure: Number of new (with baselines) and active participants in the Sustainable Materials Management Challenges (ACS code SMS). New measure: Number of PCB approvals issued under authorities other than 40 CFR 761.61(a) or (c) (ACS code PCS). Measure revision: Removed phrase "and audits" from ACS measure CH2 which tracks inspections at RMP facilities. Reason for Change sites. The Superfund Federal Facilities Response Program will continue to contribute to the following overall Superfund Remedial program measures: ACS 122, 131, 141, 151, 152andS10. New measure under the Sustainable Materials Management program to track the cumulative number of active participants. New measure to track remaining PCB approvals issued. Affected Pages and Sections While the Clean Air Act allows the EPA to conduct audits and inspections at RMP facilities to ensure their compliance with applicable regulations, this measure only tracks inspections conducted. Measures Appendix, page 1. Measures Appendix, page 1. Measures Appendix, page 1. Tracking Process Process and schedule for reporting UST performance data has been moved from program section of the guidance to the appendices section. Re-engineer Comprehensive Environmental Response, Compensation, and Liability Information System (CERCLIS) into the Superfund Enterprise Management System (SEMS)byFY2014. Reporting schedule moved to comport with the convention of the revised guidance format. By moving from CERLICS to SEMS and by merging CERCLIS along with the Superfund Document Management System (SDMS) and the Institutional Controls Tracking System (ICTS) into SEMS, the Superfund Remedial program will be in a State Reporting Schedule for UST Performance Measures Appendix. National Areas of Focus, page 12. Appendix II, Page 3 of 4 ------- Change from FY 2013 Guidance Document Reason for Change position to link planning and performance data with supporting documentation in a manner that yields direct evidence of program decisions and outcomes. Affected Pages and Sections Contact Information Staff contacts included as an appendix. New guidance format. Staff Contacts Appendix. Appendix II, Page 4 of 4 ------- This page intentionally left blank ------- OSWER FY 2014 GRANTS MANAGEMENT GUIDELINES EPA remains committed to strengthening our oversight and reporting of results from state grants, not only linking state grant work plan commitments to EPA's strategic plan, but also enhancing transparency and accountability. EPA and the states will continue working in FY 2014 to achieve this through two related efforts: State Grant Workplans and Grant Progress Reports. State Grant Workplans: The agency's long-term goal is for EPA and the states to achieve greater consistency in workplan formats. To achieve that goal, The Office of Grants and Debarment (OGD) recently issued Grants Policy Issuance (GPI) 11-03, "State Grant Workplans and Progress Reports."1 The GPI was developed by the State Grant Workplan workgroup, composed of EPA and state grant practitioners, and replaces the state grant performance measures template. The effective date of the GPI was October 1, 2012. Based on that effective date, the agency's goal is to have all covered grants awarded on or after October 1, 2012 comply with the GPI. The workgroup built upon the results of the FY 2009 State Grant Workplan Pilot. The new state grant workplans do not mandate a change in format as long as they satisfy the three essential elements: Essential Element 1 - Strategic plan goal Essential Elements 2 - Strategic plan objective Essential Element 3 - Workplan commitments plus time frame To address Essential Elements 1 and 2, workplans must clearly label the Strategic Plan Goal(s) and Strategic Plan Objective(s) from the current version of the agency's Strategic Plan, that are associated with each Workplan Commitment or group of Commitments. It will be important for national program managers and regional program offices to provide appropriate outreach, assistance and education to state recipients on developing this format. In addition, OGD will work with the regions on a case-by-case basis to address any implementation challenges. If a particular state agency has difficulties under state law in adopting the established format, OGD will work with the affected region and NPM to resolve the issue. Please contact Howard Corcoran, OARM/OGD, at (202) 564- 1903 should you have any questions. Grant Progress Reports: Regional program offices must ensure that interim and final progress reports submitted by state recipients prominently display the three Essential Elements. In FY 2014, the agency will utilize new information technology (IT) tools to improve program management including e-reporting, new targeting tools, and upgrades to agency IT infrastructure. A key part of this approach is assisting states in modifying their 1 Grants Policy Issuance (GPI) 11-03 can be found at: http://www.epa.gov/ogd/grants/fmal_grants_policy_issuance_l l_03_State_Grant_Workplans.pdf Appendix III, Page 1 of 5 ------- programs to implement electronic reporting with regulated facilities. States will now be able to include IT infrastructure and reporting as allowable costs in programmatic grants. Timely Obligation, Expenditure, and Award of EPA Grant Funds On August 16, 2012, the Grants Management Council approved GPI12-06, "Timely Obligation, Expenditure, and Award of EPA Grant Funds."2 NPMs are expected to modify sections of their state grant guidance to comply with the Office of Grants and Debarment's (OGD) GPI 12-06. OGD will provide NPMs with quarterly reports measuring the agency's progress in meeting this goal to obligate appropriated grant funds in the first year of availability. Also, NPMs will need to implement the grant process streamlining principles for State Continuing Environmental Programs. During FY 2014, OSWER will continue to "Promote the Exchange Network for Reporting Environmental Information" consistent with the Administrator's July 2009 directive to NPMs to work to achieve the vision of the Network as "the preferred way EPA, states, tribes, and others share and exchange data." OSWER places a high priority on accountability and effective grants management in the solicitation, selection, award, and administration of assistance agreements in support of OSWER's mission. The following key areas will be emphasized as we implement our grant programs: 1. Standardizing the timing of issuance of grants guidance for categorical grants (i.e., by April of the fiscal year prior to the year in which the guidance applies); 2. Ensuring effective management through emphasis on training and accountability standards for Project Officers and their managers; and 3. Utilizing new state grant measures to link grants performance to the achievement of environmental results as detailed in the agency's Strategic Plan, Annual Plan and the OSWER National Program Manager Guidance. The Office of Grants and Debarment (OGD), in its efforts to strengthen the management and oversight of agency assistance agreements, issued a "Grants Management Plan for 2009-2013." The plan is designed to help ensure grant programs meet the highest management and fiduciary standards and further the agency's mission of protecting human health and the environment. The plan highlights five grants management goals: 1. Demonstrate the achievement of environmental results; 2. Foster a high-quality grants management workforce; 3. Enhance the management process for grants policies and procedures; 4. Standardize and streamline the grants business process; and 5. Leverage technology to strengthen decision making and increase public awareness. 2 GPI 12-06. can be found at: http://www.epa.gov/ogd/grants/final gpi 12 06 streamlining state grant and expediting outlavs.pdf Appendix III, Page 2 of 5 ------- OSWER continues to promote these goals and to work closely with OGD. Timing of Guidance Issued for Categorical Grants One of OSWER's objectives is to organize and coordinate the issuance of draft and final guidance documents, including grants guidance, to coincide as much as possible with state, tribal, and regional planning processes. As a result, all guidance packages for categorical grant programs are to be issued by April of the year in advance of the fiscal year of availability of funds if at all possible (e.g., guidance for fiscal year 2014 appropriated funds should be issued by April 2013). Not all categorical grant programs issue annual guidance. These programs may simply indicate that they are continuing to use their current guidance. Effective Grants Management OSWER's Acquisition and Resources Management Staff (ARMS) serves as liaison to OGD and the first resource for Project Officers and their managers in disseminating, implementing, and ensuring compliance with EPA new and existing grants management policies and procedures. ARMS also serves as the point of contact in consultations with our regional offices and Grant Coordinators Workgroup. ARMS' central coordinating role serves to ensure consistent implementation and compliance with agency grants management policies and procedures throughout OSWER Headquarters and regional program offices. This enables OSWER project officers to focus on how best to properly manage assistance agreements to meet program goals and objectives. Consistent with guidance from the Grants Administration Division, OSWER develops a Post-Award Management Plan which presents our strategy for ensuring proper oversight and management of assistance agreements, specifically, grants and cooperative agreements. The plan, developed in accordance with EPA Order 5700.6 Al, "Policy on Compliance, Review and Monitoring, " establishes baseline monitoring requirements for all OSWER grants and cooperative agreements and defines the responsibilities of OSWER managers for post-award monitoring of assistance agreements. The plan does not apply to OSWER regional grants or cooperative agreements, nor does it include requirements for Interagency Acquisitions (IA). Monitoring activities ensure satisfaction of five core areas: 1. Compliance with all programmatic terms and conditions; 2. Correlation of the recipient's work plan/application and actual progress under the award; 3. Availability of funds to complete the proj ect; 4. Proper management of and accounting for equipment purchased under the award; and 5. Compliance with all statutory and regulatory requirements of the program. Appendix III, Page 3 of 5 ------- Baseline monitoring activities are conducted by Project Officers on every assistance agreement award issued through OSWER program offices. Project Officers are responsible for conducting baseline monitoring on an ongoing basis throughout the life of each agreement. The objective is to keep track of progress on the assistance agreement, ensuring that each recipient maintains compliance with all terms and conditions of the award, including financial and programmatic conditions. Annually, OSWER conducts Advanced Monitoring Activities (including both on-site and off-site evaluative reviews) on a minimum of 10 percent of our assistance agreement recipients. The reviews are conducted using the "Desk and Off-site Review Protocol" and "On-site Review Protocol" guidance offered in EPA Order 5700.6 Al. Project Officers are required to submit reports of the reviews, in the "Required Format for Writing a Programmatic Review Report for On-site and Off-site Evaluative Reviews," within 60 calendar days of completion of the evaluation. Promoting Competition OSWER places great importance on assuring that, to the maximum extent possible, all discretionary funding opportunities are awarded in a fair and open competitive environment and that no applicant receives an unfair advantage. OSWER Project Officers must ensure that these actions are fully compliant with EPA Order 5700.5Al, Policy for Competition of Assistance Agreements in the solicitation, selection, and award of assistance agreements. The competition policy, effective January 15, 2005, applies to: 1. competitive announcements issued, released, or posted after January 14, 2005; 2. assistance agreement competitions, awards, and disputes based on competitive announcements issued, released, or posted after January 14, 2005; 3. non-competitive awards resulting from non-competitive funding recommendations submitted to a Grants Management Office after January 14, 2005;and 4. assistance agreement amendments issued after January 14, 2005. For each competitive funding opportunity announcement, OSWER's Senior Resource Official certifies that the expected outcomes from the awards are appropriate and in support of program goals and, that the announcement is written in a manner to promote competition to the maximum extent practicable. In accordance with agency policy, all OSWER competitive funding opportunity announcements are advertised by posting to Grants.gov, the central federal electronic portal for applying for grant opportunities. Community-Based Grants Appendix III, Page 4 of 5 ------- Beginning March 31, 2012, a new grants policy (GPI-12-02, Community-Based Grants) was implemented to establish a transparent, One EPA approach to coordinating and implementing the agency's community-based grant programs, including streamlining grants processes consistent with EPA's fiduciary responsibilities and providing useful grants information to communities. The new policy results from the Office of Sustainable Communities "Community-Based Coordination Project" which seeks to make the community framework one of the pillars of how EPA achieves its mission of protecting human health and the environment. The new policy codifies reforms developed to increase the efficiency and effectiveness of EPA's system for awarding and administering community-based grants. Appendix III, Page 5 of 5 ------- STATE REPORTING REQUIREMENTS AND SCHEDULE FOR UST PERFORMANCE MEASURES States must submit performance data1 on a semi-annual basis. States must report mid-year performance data on or before April 7, 2014. Regional offices must report the region-specific mid-year performance data on or before April 14, 2014. All mid-year performance data must be reported and verified via the online LUST4 Semiannual Measures subsystem. States must report the estimated number of end-of-year cleanups completed on or before September 8, 2014. Regional offices must report the estimated number of end-of-year cleanups completed in Indian country by September 15, 2014. States must report end-of-year performance data on or before October 6, 2014. Regional offices must report the region-specific end-of-year performance data on or before October 14, 2014. All end-of-year performance data must be reported and verified via the online LUST4 Semiannual Measures subsystem. Deliverable Dates for State and Regional Programs Date April 7 April 14 September 8 September 15 October 6 States Report mid-year data in LUST4 semiannual performance measures online application. Report estimates of cleanups completed for end-of-year. Report end-of-year data in LUST4 semiannual performance measures online application. Regions Report final mid-year region-specific data in the LUST 4 semiannual performance measures online application. Verify data by completing and signing checklist in the LUST4 semiannual performance measures online application. Report estimates of cleanups completed by tribes and states to OUST. 1 Semiannual performance measure definitions can be found at http://www.epa.gov/oust/cat/PMDefinitions.pdf. Appendix IV, page 1 of 2 ------- October 14 Report end-of-year region- specific data in LUST4 semiannual performance measures online application. Verify data by completing and signing checklist in the LUST4 semiannual performance measures online application. Appendix IV, page 2 of 2 ------- KEY CONTACTS Subject Area Contact Name(s) Phone Email OSWER, General Questions Superfund Remedial Emergency Management Brownfields Revitalization Resource Conservation and Recovery Underground Storage Tanks Federal Facilities Tribal State Liaison/ Innovation Clean Energy/ Climate Change Environmental Justice and CARE Howard Rubin Art Flaks Bill Dalebout Peter Oh Derek Brown Juanita Standifer Patricia Overmeyer Wayne Roepe Judy Kertcher Brendan Roache Jeffrey Kohn Jeffrey Kohn Jennifer Brady Pat Carey (202)566-1899 (703) 603-9088 (703) 603-8826 (202) 564-2375 (202) 566-2752 (202) 566-2764 (202) 566-2774 (703) 308-8630 (703) 603-7172 (703) 603-8704 (202) 566-1407 (202) 566-1407 (202) 566-1701 (202) 566-0199 rubin.howard(3)epa.sov flaks.artfalepa.sov dalebout.williamfoiepa.sov oh.peter(3)epa.sov brown. derek(3)epa. sov standifer. iuanita(3)epa.sov overmever.patriciafoiepa.sov roepe.wavne(3)epa.sov kertcher. i udv(3)epa. sov roache.brendan(3)epa.sov kohn.i effrev(5),epa. sov kohn.i effrev(5),epa. sov bradv.iennifer(3)epa.sov carev.pat(3)epa.sov Appendix V ------- |