NATIONAL PROGRAM MANAGER (NPM)
GUIDANCE
FISCAL YEARS 2018-2019
Office of Enforcement and Compliance Assurance
September 29, 2017
Publication Number: 300R17002
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Office of Enforcement and Compliance Assurance
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Contents
NATIONAL PROGRAM MANAGER (NPM) GUIDANCE 1
FISCAL YEARS 2018-2019 1
Contents 1
I. INTRODUCTION 2
II. KEY PROGRAMMATIC ACTIVITIES 3
A. Strengthening EPA/State Collaboration and State Performance 3
B. Addressing the Most Serious Non-Compliance Concerns in Communities 5
C. Implementing the Comprehensive Environmental Response, Compensation, and Liability Act
(CERCLA) 6
D. Implementing National Enforcement Priorities 7
E. Implementing NPDES E-Reporting 8
APPENDICES 1
Appendix A: FY 2018-2019 NPM GUIDANCE MEASURES 1
Appendix B: Grants Guidance 1
Appendix C: Point of Contact for More Information 1
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I. INTRODUCTION
For almost fifty years, the protections mandated by our federal environmental laws have been
essential to the growth of American prosperity. Non-compliance with those laws diminishes our
shared prosperity and unfairly tilts the field of economic competition in favor of those that skirt
the law. EPA's Office of Enforcement and Compliance Assurance (OECA)—in cooperation with
its tribal, state, and local partners—is present to ensure consistent and fair enforcement of federal
environmental laws and regulations.
OECA discharges this responsibility using a full set of compliance assurance tools, including
compliance monitoring and assistance, informal enforcement actions (e.g., "find and fix"),
preferential treatment of entities that self-disclose non-compliance, and better-designed rules that
are clearer and easier to implement, all the way to traditional civil and criminal enforcement
actions. And OECA will continue to work with its tribal, state, and local partners in this
important work, particularly in using diverse and innovative approaches to advance compliance.1
As has long been the case, the overwhelming majority of EPA's enforcement actions are taken in
programs that are not delegable to the states or in states that have not sought authorization to
implement a delegable program. In authorized states, EPA and states share enforcement
responsibility with primary enforcement responsibility residing with the states,2 which often join
with EPA in bringing cases. EPA generally takes the enforcement lead in authorized states only:
1) at the request of the state; 2) when the state is not well positioned to bring an action (e.g.,
federal and state facilities or in actions involving facilities in multiple states); 3) when the state
"do[es] not provide the resources necessary to meet national regulatory minimum standards or
ha[s] a documented history of failure to make progress toward meeting national standards;"3 or
4) when EPA has a unique role, including emergency situations and national enforcement
priority areas, and actions addressing violations across multiple state jurisdictions.
EPA's compliance assurance and enforcement programs continue to work with tribes on a
government-to-government basis to protect human health and the environment. The Agency's
work in Indian country involves both oversight of tribes implementing federal programs and
direct implementation of federal programs, including compliance and enforcement, where tribes
have not received or are not able to receive program approval. EPA compliance assurance and
enforcement work in Indian country is undertaken consistent with the EPA Policy on
Consultation and Coordination with Indian Tribes, the OECA Guidance on the Enforcement
Principles of the 1984 Indian Policy, and applicable EPA non-tribal specific policies and
guidance.
1 For example, see April 2017 Resolution 17-2: On the Value of Diverse and Innovative Approaches to Advance
Compliance with Environmental Requirements I The Environmental Council of States.
2 See e.g., ECOS Resolution 98-9, U.S. EPA Enforcement in Delegated States (revised September 28, 2016),
describing the EPA and state roles in enforcement in authorized states: "WHEREAS, U.S. EPA and the States have
bilaterally developed policy agreements which reflect those roles and which recognize the primary responsibility for
enforcement action resides with the States, with U.S. EPA taking enforcement action principally where the State
requests assistance, is unwilling or unable to take timely and appropriate enforcement actions, or in actions of
national interest, or in actions involving multiple state jurisdictions."
3 https://www.ecx)s.ora/wp-content/uploads/2017/Q6/ECOS-Cooperative-Federalism-2.Q-June-17-F.rNAL.pdf
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This FY 2018-2019 National Program Manager (NPM) Guidance for the Office of Enforcement
and Compliance Assurance (OECA) is a preliminary planning document and reflects the most
current information available regarding specific programmatic commitments and activities4. It
identifies the national compliance and enforcement activities that the U.S. Environmental
Protection Agency (EPA or the Agency) and state, local and tribal government agencies will
perform in FY 2018-2019 consistent with the budget and the Administrator's priorities. This
NPM Guidance describes how the EPA plans to work with tribes, states, and local government
agencies to ensure compliance with environmental laws. The EPA Overview to the National
Program Manager (NPM) Guidance communicates important agency-wide information and
should be reviewed in conjunction with this (FY) 2018-2019 NPM Guidance as well as other
applicable requirements. Read the overview at: http://www2.epa.gov/planandbudget/national-
program-mana ger- gui dances. OECA may update this draft NPM Guidance throughout the
development process as more specific policy direction is provided by the new Agency leadership
team, more information is available about our appropriations, as public comments are received
during the external review process, and additional information is available through our ongoing
planning discussions with our state, local, and tribal partners.
KEY PROGRAMMATIC ACTIVITIES
A. Strengthening EPA/State Collaboration and State Performance
EPA, states, tribes, and territories share responsibility for protecting human health and the
environment. Most major federal environmental laws require the EPA to establish minimum,
nationwide program standards, and then authorize states and tribes to implement these programs.
Under the principle of cooperative federalism, EPA and the states have bilaterally developed
policy agreements which reflect their respective roles, including the June 1984 "Policy
Framework for State/EPA Enforcement Agreements" (revised 1986 and 1993).
On a national level, EPA is working closely with states and tribes (with individual states, and
through associations representing state environmental officials) to develop new compliance tools
and approaches to make our programs more effective and efficient in promoting compliance and
remedying violations. Some of our ongoing collaborative efforts with ECOS include5: producing
webinars to help us identify new compliance approaches that we could then pilot and evaluate;
developing smart mobile tools to make our inspectors more efficient and effective; increasing
availability of training; preparing for advances in pollution monitoring technology6; expanding
electronic reporting in the NPDES program to reduce burdens and improve outcomes. In FY
4For FY 2019,EPA will develop FY 2019 Addenda to the FY 2018-2019NPM Guidance that will reflect the future
FY 2019 Congressional Justification (CJ) andEPA's FY 2018-2022 Strategic Plan (due to Congress in February
2018). This NPM Guidance applies to OECA, all EPA regional enforcement programs, and states, tribes, and local
agencies authorized or delegated to implement EPA inspection and enforcement programs.
5 For more information on OECA's collaboration with ECOS via E-Enterprise, see Article: Advanced Monitoring,
Technology: Opportunities and Challenges. A Path Forward for EPA, States, and Tribes.
6 For more information on a broader range of collaborations between OECA and ECOS, see Com pendia of'Next
Generation Compliance Examples in Water, Air, Waste, and Cleanup Programs.
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2017, EPA and ECOS are launching a workgroup of senior state and EPA officials expressly to
strengthen the state-EPA compliance assurance partnership.
EPA and states with authorized programs collaborate to share information, develop
implementation tools, and innovate new approaches. Regions and authorized states work
together to ensure minimum program standards are met, and to support program improvements
where necessary, through a range of tools, including joint planning, work-sharing, and training.
EPA and states have developed the State Review Framework (SRF) to periodically evaluate
each authorized state compliance and enforcement program "to provide a fair and consistent
level of core enforcement across the country" (ECOS Resolution 98-9). The SRF provides a
nationally consistent tool to periodically evaluate authorized state CAA, CWA and RCRA
enforcement and compliance performance. This nationally consistent approach assures that: (1)
states are evaluated consistently; (2) a level playing field exists for regulated businesses; (3) the
public has similar protection from impacts of illegal pollution; and (4) timely compliance with
national laws is widely achieved (where regions directly implement the federal program, OECA
reviews regional programs using the same process and procedures as for all SRF reviews).
Throughout the history of the SRF, EPA has continuously worked with states to identify and
implement updates and improvements to the SRF program. During FY 2017, EPA and states
worked together to update the metrics that will be used in the fourth round of SRF reviews,
which begin in FY 2018.
Activities: EPA regions, coordinating with their states and tribes where appropriate:
• Continue to support these national EP A-state collaborations by facilitating
communication with their states, providing feedback and comments, or participating in
pilot with states.
• Conduct all Round 4 SRF reviews of state CAA, CWA, and RCRA enforcement
programs scheduled for 2018 and 2019 following SRF Round 4 guidance to be issued at
end of FY 2017 (available on the ECHO SRF page), and enter completed draft and final
SRF reports into the SRF Tracker.
• Focus oversight resources on state programs that are unable to meet minimum national
performance standards. In addressing state core program performance issues, regions
should respond according to the approaches articulated in the 1986 Revised Policy
Framework for State/EPA Enforcement Agreements, as updated, and the National
Strategy for Improving Oversight of State Enforcement Performance.
Activities: states, tribes and local government agencies:
• Work cooperatively with the EPA regions to conduct SRF reviews as scheduled and
implement recommendations within the agreed upon time frames included in the final
SRF reports provided to the state or local agency.
Measures (see Appendix A): For SRF see ACS measure SRF01.
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B. Addressing the Most Serious Non-Compliance Concerns in Communities
The EPA's Compliance Monitoring program provides the critical infrastructure to detect
noncompliance with federal regulatory laws and to promote compliance with the nation's
environmental laws and protect human health and the environment. Compliance monitoring
employs a variety of compliance assurance tools and activities that co-regulators and the EPA
use to identify whether regulated entities are in compliance with applicable laws, regulations,
and permit conditions. These compliance assurance tools include compliance monitoring and
assistance, informal enforcement actions (e.g., "find and fix"), preferential treatment of entities
that self-disclose non-compliance, and better-designed rules that are clearer and easier to
implement, all the way to traditional civil and criminal enforcement actions. In addition,
compliance monitoring activities such as inspections and investigations are conducted to
determine whether conditions exist that may present imminent and substantial endangerment to
human health and the environment.
In FY 2018-2019, in partnership with states and tribes, the EPA's compliance monitoring
activities such as field inspections, electronic reporting, and data analysis tools, will be
prioritized and focus on addressing the most serious noncompliance concerns in communities.
EPA will also provide compliance monitoring and capacity building in authorized programs to
support and complement authorized state, tribal, and local government programs. The Agency
will prioritize work with co-regulators to develop methods that successfully leverage advances in
both monitoring and information technology.
In FY 2018-2019, the EPA's compliance monitoring activities will continue to be both
environmental media-based and sector-based. The EPA's media-based inspections complement
those performed by co-regulators, and are a key part of the joint EPA-state strategy for meeting
the long-term and annual inspection goals established for the air, water, pesticides, toxic
substances and hazardous waste programs. These inspections ensure compliance with important
programs under major environmental statutes such as the Clean Water Act (CWA), Clean Air
Act (CAA), Resource Conservation and Recovery Act (RCRA), Toxic Substances Control Act
(TSCA), and Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA) and the Emergency
planning and Community Right-To Know Act (EPCRA). Sector-based inspections may include,
but are not limited to, those conducted at federal facilities and inspections targeted to address
facilities with potential environmental justice concerns.
Activities: EPA regions, states and tribes where appropriate:
• Adhere to the Compliance Monitoring Strategy (CMS) or approved Alternative
Compliance Monitoring Strategy (ACMS) as appropriate, for the CWA. RCRA, CAA.
FIFR.A and TSCA programs, including for inspections in the federal facilities sector, as
resources allow. The CMSs/ACMSs provide compliance monitoring goals for these
programs and include flexibility to ensure that the most important pollution problems
within each media program are addressed and accommodate for expanding universes of
regulated entities and resource limitations.
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• Ensure that any state and tribal inspectors who inspect on behalf of EPA are trained and
credentialed consistent with Agency guidance. States that are authorized by EPA to
implement a program have their own training guidelines.
• Ensure timely and accurate entry of federal inspection and enforcement data into the
appropriate national database (e.g., ICIS, RCRAInfo, etc.).
For more information about these programs, please contact a subject matter expert listed in
Appendix C.
Measures (see Appendix A): For Federal Facilities see ACS measure FED-FAC 05. For CAA
see ACS measures CAA04 and CAA06. For RCRA see ACS measures RCRA01-03, RCRAOl.s,
and RCRA02.S. For TSCA see ACS measure TSCAOIOC and TSCA02OC. For FIFRA see ACS
measure FIFRA-FED1. For EPCRA see ACS measures EPCRA01-02. For CWA see ACS
measure CWA07. For SDWA see ACS measure SWDA02.
C. Implementing the Comprehensive Environmental Response, Compensation,
and Liability Act (CERCLA)
The EPA's CERCLA enforcement program ensures prompt site cleanup and uses an
"enforcement first" approach that maximizes the participation of liable and viable parties in
performing and paying for cleanups. The program protects communities by ensuring that
potentially responsible parties (PRPs) conduct cleanups at National Priorities List (NPL) sites,
preserving federal dollars for sites where there are no viable contributing parties. By addressing
the risks posed by Superfund sites, the CERCLA enforcement program strengthens the economy
and spurs economic growth by returning Superfund sites to productive use. Superfund
construction projects can have a direct impact on enhancing our national infrastructure while
addressing harmful exposure.
In FY 2018-2019, EPA will focus its resources on the highest priority sites, particularly those
that may present an immediate risk to human health or the environment. In accordance with the
Superfund Task Force Report, the Agency will improve and revitalize the Superfund program to
ensure that contaminated sites across the country are remediated to protect human health and the
environment and returned to beneficial reuse as expeditiously as possible. At federally-owned
sites, EPA will also focus on resolving formal disputes under the Federal Facility Agreements.
For further information regarding the Agency, state, local and community activities and
measures recommended by the Office of Land and Emergency Management (OLEM), you may
review the OLEM FY 2018-2019 National Program Manager Guidance.
Activities: EPA regions, coordinating with their states and tribes where appropriate:
• Leverage resources to maximize cleanup: specifically, maintain focused enforcement
efforts to compel PRP participation earlier in the response process; hold parties
accountable to timeframes and commitments; identify responsible parties earlier in the
process.
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• Focus Superfund enforcement on the highest-priority sites and those enforcement
activities that achieve the biggest return on our investment based on environmental risk.
• Address liability concerns that can be a barrier to getting sites cleaned up and returned to
productive use.
• Continue the strong partnerships with states and tribes on PRP searches, long-term
stewardship, community engagement and revitalization.
D. Implementing National Enforcement Priorities
For more than 20 years, OECA has employed the National Enforcement Initiatives (NEIs) as a
mechanism for strategically focusing EPA's enforcement and compliance resources to address
widespread noncompliance associated with serious environmental or human health problems and
where federal enforcement can make a significant difference. Each NEI includes goals, measures
and tools for addressing these problems. These initiatives are reevaluated every three years in
order to assure that federal enforcement and compliance resources efficiently address such
widespread noncompliance problems.
The NEIs for the current cycle (FY 2017-FY 2019) were selected using input from states, tribes,
and other external stakeholders. States provide input throughout the NEI selection process and
EPA regional offices partner with their states and tribes to coordinate implementation. As part of
an NEI, EPA may provide our co-regulators with focused technical and legal support, and
training and capacity building in areas such as inspector training, advanced monitoring, data
analysis and financial modeling. While enforcement cases are the most visible tool used to
address the serious violations that are the focus of the NEIs, the NEIs also employ other tools,
such as compliance assistance. Several of the current NEIs include an expanded emphasis on
other compliance tools, such as working with states to develop easier-to-understand permit
conditions, issuing compliance advisories, encouraging self- and third party audits, and working
with trade associations. In FY18-19, a broader range of tools to promote compliance will be
further incorporated into the NEIs.
The NEIs for FY 2017-FY 2019 are: Reducing Air Pollution from the Largest Sources; Cutting
Hazardous Air Pollutants (HAPs); Reducing Air Emissions of Hazardous Wastes from RCRA
Regulated Facilities; Ensuring Energy Extraction Activities Comply with Environmental Laws;
Reducing Risks of Accidental Releases at Industrial and Chemical Facilities; Keeping Raw
Sewage and Contaminated Stormwater Out of Our Nation's Waters; Preventing Animal Waste
from Contaminating Surface and Ground Water; and Keeping Industrial Pollutants Out of the
Nation's Waters.
Activities: EPA regions, coordinating with their states and tribes where appropriate:
• Implement the strategies for the National Enforcement Initiatives, including in
communities that may be disproportionately exposed to risks and harm from pollutants in
their environment.
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Measures (see Appendix A): For Reducing Air Pollution from the Largest Sources, see ACS
measures PBS-NSR07 and NSR08. For Cutting Hazardous Air Pollutants, see ACS measures
PBS-ATX03 and ATX04. For Reducing Air Emissions of Hazardous Wastes from RCRA
Regulated Facilities, see ACS measure PBS-RCRAAIR01. For Ensuring Energy Extraction
Activities Comply with Environmental Laws, see ACS measures PBS-EE01 and EE03. For
Keeping Raw Sewage and Contaminated Stormwater Out of Our Nation's Waters, see ACS
measures PBS M105-M108. For Preventing Animal Waste from Contaminating Surface and
Ground Water, see ACS measures PBS-CAF002, CAF007 and CAF008. For Keeping Industrial
Pollutants Out of the Nation's, see ACS measures PBS-IDO1 and 02.
F or Reducing Risks of Accidental Releases at Industrial and Chemical Facilities, the Office of
Land and Emergency Management (OLEM) oversees the ACS process for inspection activity
under this program. Please refer to the ACS measure, CH2 (Number of risk management plan
inspections completed), located in OLEM's NPM Guidance ACS Appendix.
E. Implementing NPDES E-Reporting
OECA, together with the EPA regions, the Office of Water, and authorized states, continues to
implement work to improve compliance with Clean Water Act requirements. Improvements in
the water compliance and enforcement program include switching from existing paper reporting
to electronic reporting, resulting in increased efficiency and improved transparency of the
NPDES program; create a new paradigm in which regulations and permits improve compliance
via public accountability, self-monitoring, self-certification, electronic reporting and/or other
innovative methods; and conducting comprehensive and coordinated permitting, compliance, and
enforcement programs to improve state and EPA performance in protecting and improving water
quality.
In FY 2018-2019, the EPA will continue to maintain ICIS access to the Agency, states, tribes
and the public, and implement the NPDES Electronic Reporting Rule covering e-reporting
permitting requirements for the EPA, states and tribes. The EPA will work with states and tribes
to evaluate and prioritize the development of additional electronic reporting tools that support
states. The EPA's electronic reporting tools save the states a significant amount of resources in
development and operations and maintenance costs.
For further information regarding the Agency, state, local and community activities and
measures recommended by the Office of Water, you may review the FY 2018-2019 National
Water Program Manager Guidance.
Activities: EPA regions, coordinating with their states and tribes where appropriate:
• Implement the final NPDES Electronic Reporting Rule (40 CFR § 127), ensure states are
implementing the NPDES Electronic Reporting Rule by adopting the use of EPA e-
reporting tools (NetDMR, NeT) or developing their own state e-reporting tools, and
review state and regional general permit paper forms to evaluate consistency with
Appendix A in the final rule.
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• Coordinate closely with the Office of Compliance to individually evaluate their states'
implementation of the NPDES Electronic Reporting Rule, including: resolving any
outstanding issues with the implementation of EPA's Cross-Media Electronic Reporting
Regulation (CROMERR - 40 CFR part 3), complying with data sharing requirements
(40 CFR 127.23), and evaluating the electronic reporting participation rate (e.g., 90-
percent of DMR filers should be electronically submitting their DMRs).
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APPENDICES
Appendix A: FY 2018-2019 NPM GUIDANCE MEASURES
This appendix includes a list of measures and revisions (underlined) to be continued from the FY 2016-2017 NPM Guidance, new
measures to be implemented in FY 2018, revisions from the and a list of measures from the FY 2017 NPM Guidance Addendum to be
discontinued in FY 2018.
Note: For the new Reducing Risks of Accidental Releases at Industrial and Chemical Facilities National Enforcement Initiative, the
Office of Land and Emergency Management (OLEM) oversees the ACS process for inspection activity under this program. Please
refer to the ACS measure, CH2 (Number of risk management plan inspections completed), located in OLEM's NPM Guidance ACS
Appendix.
Measures Continued in FY 2018-2019
ACS Code
Measure Text
PBS-ATX03
NEI: Cutting Hazardous Air Pollutants
Number of facilities, as described in the Air Toxics NEI strategy, evaluated for compliance.
PBS-ATX04
NEI: Cutting Hazardous Air Pollutants
Number of addressing actions at facilities as described in the Air Toxics NEI strategy.
PBS-NSR07
NEI: Reducing Air Pollution from the Largest Sources
Number of NSR/PSD investigations of coal-fired electric utilities.
PBS-NSR08
NEI: Reducing Air Pollution from the Largest Sources
Number of completion reports or referrals to DO J for coal-fired electric utilities.
PBS-M105
NEI: Keeping Raw Sewage and Contaminated Stormwater Out of Our Nation's Waters
Number of Phase 1 municipal separate storm sewer system permit assessments conducted.
PBS-M106
NEI: Keeping Raw Sewage and Contaminated Stormwater Out of Our Nation's Waters
Number of civil judicial referrals and/or addressing actions for sanitary sewer systems (SSS) with total treatment capacity
>10 mgd.
Optional - Number of civil judicial referrals and/or addressing actions for SSSs < 10 MGD.
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ACS Code
Measure Text
PBS-M107
NEI: Keeping Raw Sewage and Contaminated Stormwater Out of Our Nation's Waters
Number of civil judicial referrals and /or addressing actions for CSS communities serving populations >50,000.
Optional - Number of civil judicial referrals and/or addressing actions for CSS communities serving populations <50,000.
PBS-M108
NEI: Keeping Raw Sewage and Contaminated Stormwater Out of Our Nation's Waters
Number of civil judicial referrals and/or addressing actions for Phase I and II MS4s.
Optional - Number civil judicial referrals and/or addressing actions for Phase II MS4s.
PBS-CAF002
NEI: Preventing Animal Waste from Contaminating Surface and Ground Waters
Number of federal AFO/CAFO inspections.
PBS-EE01
NEI: Assuring Energy Extraction Sector Compliance with Environmental Laws
Number of compliance evaluations/inspections conducted in the air and water programs at land-based natural gas
extraction and production facilities (e.g., wells, compressor stations, gas plants), and at disposal sites (e.g., injection wells,
lagoons, ponds, land application). Land impacts and inspections conducted under other media programs may be included
per discussion and agreement with the EEPI Strategy Implementation Team.
PBS-EE03
NEI: Assuring Energy Extraction Sector Compliance with Environmental Laws
Number of land-based natural gas extraction and production addressing actions.
SDWA02
During FY 2018, the primacy agency must address with a formal enforcement action or return to compliance the number
of priority systems equal to the number of its PWSs that have a score of 11 or higher on the July 2017 ETT report. State,
territoiy and tribal breakouts shall be indicated in the comment field of the Annual Commitment System.
Please note: A primacy agency's success at addressing violations will be tracked by means of the quarterly ETT reports.
Numerical targets may be adjusted at mid-year. While it remains the ERP's goal that all of a priority system's violations
will be returned to compliance, a primacy agency has met its commitment under the FY 2018 SDWA ACS measures with
respect to a priority system if the score for that system has been brought below, and remains below, 11.
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ACS Code
Measure Text
CWA07
By December 31, provide to OECA a specific NPDES Compliance Monitoring Strategy (CMS) plan for the current year
for each authorized state in the region and a regional plan wherever EPA direct implementation occurs (e.g., non-
authorized states, territories, Indian country, pretreatment, etc.). Each CMS plan should be developed in accordance with
the guidelines in Part 1 of the 2014 revised NPDES CMS. Any proposed alternative CMS plan should be provided to
OECA for consultation and review by August 15, unless the region and OECA agree upon a later date.
By December 31, provide for each state and EPA direct implementation area, a numerical end of year report on EPA and
state CMS plan outputs from the prior year, by category and subcategory, corresponding to each of the planned CMS
activities.
The ACS commitment for each region should reflect the total number of state and regional CMS plans and end of year
reports to be submitted to OECA for the year (e.g., an annual ACS commitment of 12 for a region that will submit six state
and regional CMS plans and six state and regional CMS end-of-year reports).
CAA04
The number of compliance evaluations to be conducted by the regions at major sources, 80% synthetic minors, and other
sources (as appropriate). [Note: Region should break out evaluation projections by source classification and by
compliance monitoring category (FCE, PCE, and Investigations). For the total number of evaluations to be conducted, the
region should also identify how many of these evaluations are conducted at sources in Indian country for which the
Region has Direct Implementation responsibilities.] Projected evaluations under this commitment are those evaluations
initiated by the regions for the air enforcement program outside of the National Enforcement Initiatives, and identified by
the air program (e.g., MACT, NSPS).
CAA06
Ensure that delegated state, tribal and local government agencies implement their compliance and enforcement programs in
accordance with the CAA CMS and have negotiated facility-specific CMS plans in place. The regions are to provide the
number of FCEs at majors and 80% synthetic minors to be conducted by individual state/tribal local government agencies
to demonstrate program implementation consistent with CMS. However, if a delegated agency negotiates with a Region an
alternative CMS plan or alternative activities (pursuant to the CAA CMS national dialogue), this commitment should reflect
the alternative plan. [Note: Break out evaluation and activity projections (e.g., FCEs; PCEs included in alternative plan) by
source classification. Please indicate when a commitment is pursuant to an approved alternative plan.] Prior to approving
an alternative plan, regions should consult with the Office of Compliance (OC) and provide OC with information on how
the state, tribal or local government agency compliance monitoring air resources will be redirected and the rationale for
making the change.
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ACS Code
Measure Text
RCRA01
Project by state, and Indian Country where applicable, the number of operating non-governmental TSDFs to be inspected
by the region during the year.
Note: Regions must commit to inspect at least two (2) TSDFs in each state or Indian country assuming the universe
supports it or unless OECA approves a deviation from this requirement. In order to ensure the annual federal facility
inspection requirement of the statute is met, the region should coordinate with the states to identify who will inspect which
federal facility. The onsite inspections for RCRA01 should generally be comprehensive evaluation inspections (CEIs) or
one of the alternatives described in OECA's compliance monitoring strategy. Financial responsibility is an important
component of the RCRA core program and evaluating compliance with 40 CFR Parts 264/265 Subpart H and corrective
action financial responsibility should be included in the RCRA core program inspections. The Region or state must
conduct at least as many financial record reviews compared to the annual commitment of CEIs. For example, the same
number of financial record reviews as CEIs within a fiscal year. Once a region exceeds the ACS CEI annual commitment,
additional financial record reviews are optional.
RCRAOl.s
Project by state the number of operating TSDFs to be inspected by the state during the federal fiscal year.
Note: Only one inspection per facility counts towards this coverage measure. The RCRA CMS establishes minimum annual
inspection expectations for TSDFs. In order to ensure the inspection requirement of the statute is met, at least 50 percent of
the operating non-governmental TSDFs in the state must be inspected annually. The region should work with the states to
identify which federal facilities will be inspected by the region versus the state. The onsite inspections for RCRA01 .s should
generally be comprehensive evaluation inspections (CEIs) or one of the alternatives described in OECA's compliance
monitoring strategy. Financial responsibility is an important component of the RCRA core program and evaluating
compliance with 40 CFR Parts 264/265 Subpart H and corrective action financial responsibility should be included in the
RCRA core program inspections. The Region or state must conduct at least as many financial record reviews compared to
the annual commitment of CEIs. For example, the same number of financial record reviews as CEIs within a fiscal year.
Once a region exceeds the ACS CEI annual commitment, additional financial record reviews are optional.
RCRA02
Project by state and Indian country, the number of LQGs, including those at federal facilities, to be inspected by the region
during the fiscal year.
Note: Each region must commit to inspect at least six (6) LQGs in each state, and 20% of the region's LQG universe in
Indian country, unless OECA approves a deviation from this requirement. As part of the annual commitment system process
provide the number of federal facility LQG inspections.
RCRA02.S
Project by state the number of LQGs to be inspected by the state during the federal fiscal year. At least 20% of the LQG
universe should be covered by combined federal and state inspections unless an alternative plan is approved under the RCRA
CMS. As part of the annual commitment system process Regions need to provide a breakout by state for the number of
LQG inspections.
RCRA03
In order to ensure the annual inspection requirement of the statute is met, Regions should inspect each operating TSDF
operated by states, tribal, or local governments.
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ACS Code
Measure Text
TSCA 01OC
Project the total number of FY 2018 TSCA inspections.
Note: In the comment field of the Annual Commitment System (ACS), the region should provide a breakout of the number
of projected inspections by program area (LBP, PCBs, Asbestos, New and Existing Chemicals).
F1FRA-FED1
Project regional (federal) FIFRA inspections. Each region should conduct a minimum of ten (10) FIFRA inspections.
EJ01
Percentage of non-exempt cases brought by the EPA in areas determined by the EPA to have potential EJ concerns.
[Note: While we are tracking this measure, there is no specific target number or trend we expect to achieve. EJ is one of
many factors the Agency considers in bringing an enforcement action. 1
New/Revised Measures
ACS Code
Measure Text
PRS-
RCRAAIR01
NEI: Reducing Air Emissions of Hazardous Wastes from RCRA Regulated Facilities
Number of RCRA hazardous waste inspections of facilities on the RCRA-Air NEI target list.
Note: The expectation for regions is that 20% of their total annual ACS commitments from RCRA01 and RCRA02 will
support the RCRA-Air NEI.
PBS-ID01
NEI: Keeping Industrial Pollutants Out of the Nation's Waters
Number of NPDES inspections at high priority facilities identified for compliance assessments under the Industrial
Dischargers NEI.
PBS-ID02
NEI: Keeping Industrial Pollutants Out of the Nation's Waters
Number of NPDES addressing actions at high priority facilities identified under the Industrial Dischargers NEI.
PBS-CAF007
NEI: Preventing Animal Waste from Contaminating Surface and Ground Waters
Submit 1 report at mid-year. This report will describe efforts to advance technologies that address excess nutrients at
CAFOs.
PBS-CAF008
NEI: Preventing Animal Waste from Contaminating Surface and Ground Waters
Submit 1 progress report per federal fiscal year. This report will include a section that provides an EOY update on any
work reported under CAF007.
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Office of Enforcement and Compliance Assurance
FY 2018-2019 NPM Guidance
ACS Code
Measure Text
SRF01
By FY 2018 (September 30, 2018), complete draft reports for all Round 4 SRF reviews scheduled for calendar year
2018. (Final reports are to be completed by December 31, 2018 (first quarter of FY 2019).)
Note: Regions in FY 2017 developed a plan to complete all Round 4 state reviews within five years, that is, by the end
of calendar year 2022. OC will hold annual discussions with regions to establish whether any modifications to the
schedules are necessary. For Round 3,_Regions are to finalize all Round 3 SRF reports for state CAA, CWA and RCRA
enforcement programs scheduled for calendar year 2017 no later than December 31, 2017 (first quarter of FY 2018).
FED-FAC05
Conduct single or multimedia federal facility inspections in order to ensure a national enforcement and compliance
presence in the federal facilities sector.
Note: As provided in the National Federal Facilities Compliance & Enforcement FY 2018 Program Agenda, regions
will conduct 10 federal facility inspections and will be afforded flexibility in meeting some of the commitments bv
undertaking other compliance assurance activities, including compliance assistance. As available, resources ("regional
inspector travel funds, contract inspector access, and case support) will be provided.
TSCA 02 OC
Report other compliance monitoring activities at the end of the year; and break-out the description of other such
activities bv TSCA program area. Such activities mav include:
On-site activities mav include compliance activities that will help assess compliance of the facility as a whole. The on-
site evaluation mav include anv of the following activities:
• Review regulated activities.
• Review required reports, records or other relevant documents.
Off-site activities mav include compliance evaluations designed to assess compliance of the facility. The off-site
evaluation activities mav include anv of the following activities:
• Review or audit reports, records or other relevant documents.
• Ev aluate re sponses to form al inform ation reauests. i.e.. IRL s.
• Assess or triage tips and complaints that enable a closeout of a complaint.
EPCRA 01
Conduct at least four (4) EPCRA 313 data quality inspections (and/or off-site record reviews).
EPCRA 02
Conduct at least twenty (20) EPCRA 313 non-reporter inspections (and/or off-site record reviews).
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Office of Enforcement and Compliance Assurance FY 2018-2019 NPM Guidance
Discontinued Measures
ACS Code
Measure Text
EEFRA-FED 2
For EPA regions with direct implementation responsibilities in Indian country and states without primacy, project the
number of regional (federal) FIFRA inspections focused on the Worker Protection Standard (WPS).
OSRE-01
Reach a settlement or take an enforcement action by the start of remedial action at 99% of non-federal Superfund sites
that have viable, liable parties.
OSRE-02
Address all unaddressed costs in Statute of Limitations cases for sites with total past Superfund costs equal to or greater
than $500,000 in value via settlement, referral to DO J, filing a claim in bankruptcy, or where appropriate write-off.
HQ-VOL
Volume of Contaminated Media Addressed (VCMA). As part of the Goal 5 sub-objective, Support Cleaning up Our
Communities, the following is the GPRA target:
In 2018, obtain commitments to clean up 140 million cubic yards of contaminated soil and groundwater media as a
result of concluded CERCLA and RCRA corrective action enforcement actions.
OECA has reported VCMA for contaminated soil and groundwater media as separate measures in its annual results
since 2004. The GPRA target is a national target and regions are not required to post commitments in ACS.
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Office of Enforcement and Compliance Assurance
FY 2018-2019 NPM Guidance
Appendix B: Grants Guidance
Fiscal Year 2018-2021 FIFRA Cooperative Agreement Guidance
The purpose of this guidance is to identify pesticide program and compliance and enforcement program areas that must be addressed
in state and tribal cooperative agreements and to provide information on work plan generation, reporting and other requirements.
• FY 2018-2021 FIFRA Cooperative Agreement Guidance (PDF)
TSCA Substances Compliance Monitoring Grant Guidance for Fiscal Year 2018
EPA's Office of Enforcement and Compliance Assurance (OECA), Office of Compliance (OC) developed this Guidance for use by
EPA regional offices in negotiating and managing state and tribal grants under the Toxic Substances Control Act (TSCA) to conduct
compliance assurance and enforcement activities.
• TSCA Substances Compliance Monitoring Grant Guidance for Fiscal Year 2018 (PDF~)
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Office of Enforcement and Compliance Assurance
Appendix C: Point of Contact for More Information
FY 2018-2019 NPM Guidance
Contact Name
Subject Area
Phone
Email
Phil Brooks
NEI: Cutting Hazardous Air Pollutants
202-564-0652
brooks. phillip®,ep a. gov
Sara Ayers
NEI: Cutting Hazardous Air Pollutants
312-353-6266
ayres. sara®,epa. gov
Edward Messina
NEI: Cutting Hazardous Air Pollutants
202-564-1191
messina.edward®,epa. gov
Ed Messina
NEI: Reduci ng Air Polluti on from the Largest
Sources
202-564-1191
messina.edward® epa.gov
Phil Brooks
NEI: Reduci ng Air Polluti on from the Largest
Sources
202-564-0652
brooks.phillip®epa. gov
Apple Chapman
NEI: Reduci ng Air Polluti on from the Largest
Sources
202-564-5666
chapman, apple®,epa. gov
Rick Duffy
NEI: Keeping Raw Sewage and Contaminated
Stormwater Out of Our Nation's Waters
202-564-5014
duffv. rick® epa. gov
Loren Denton
NEI: Keeping Raw Sewage and Contaminated
Stormwater Out of Our Nation's Waters
202-564-1148
denton.loren®,epa. gov
Seth Heminway
NEI: Keeping Raw Sewage and Contaminated
Stormwater Out of Our Nation's Waters
202-564-7017
heminwav.seth®epa. gov
Mark Pollins
NEI: Preventing Animal Waste from Contaminating
Surface and Ground Waters
202-564-4001
pollins. mark® epa.gov
Carol Galloway
NEI: Preventing Animal Waste from Contaminating
Surface and Ground Waters
202-564-0723
gallowav. carol® epa. gov
Kathy Greenwald
NEI: Preventing Animal Waste from Contaminating
Surface and Ground Waters
913-551-5092
greenwald.kathrvn®,epa. gov
Apple Chapman
NEI: Assuring Energy Extraction Sector Compliance
with Environmental Laws
202-564-5666
chapman, apple®, epa. gov
Rob Lischinsky
NEI: Assuring Energy Extraction Sector Compliance
with Environmental Laws
202-564-2628
lischinskv.robert®,epa. gov
Rick Duffy
NEI: Keeping Industrial Pollutants Out of the
Nation's Waters
202-564-5014
duffv. rick®,epa. gov
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Office of Enforcement and Compliance Assurance
FY 2018-2019 NPM Guidance
Contact Name
Subject Area
Phone
Email
Ben Bahk
NEI: Keeping Industrial Pollutants Out of the
Nation's Waters
202 564-4293
bahk.beni amin(a!epa. gov
Seth Heminway
NEI: Keeping Industrial Pollutants Out of the
Nation's Waters
202-564-7017
heminwav.seth(S),epa. gov
Rob Lischinsky
NEI: Reducing Risks of Accidental Releases at
Industrial and Chemical Facilities
202-564-2628
lischinskv.robert(S),epa. gov
Greg Sullivan
NEI: Reducing Risks of Accidental Releases at
Industrial and Chemical Facilities
202-564-1298
sullivan. greg(S),epa. gov
Craig Haas
NEI: Reducing Risks of Accidental Releases at
Industrial and Chemical Facilities
202-564-6447
haas. crai g(S),epa. gov
Elizabeth Vizard
NEI: Reducing Toxic Air Emissions from Hazardous
Waste Facilities
202-564-5940
vizard. elizabeth(a!epa. gov
Diana Saenz
NEI: Reducing Toxic Air Emissions from Hazardous
Waste Facilities
202-564-4209
saenz. diana(o>,epa. gov
Andy Crossland
NEI: Reducing Toxic Air Emissions from Hazardous
Waste Facilities
202-564-0574
crossland. andv(a>,epa. gov
Mike Bellot
NEI: Reducing Toxic Air Emissions from Hazardous
Waste Facilities
202-564-3083
bellot. michael(o>,epa. gov
Kenneth Harmon
Assuring Safe Drinking Water
202-564-0723
harmon.kenneth(S),epa. gov
Hannah Branning
Assuring Safe Drinking Water
202-564-3317
branning. hannah(a!epa. gov
Carol King
Assuring Safe Drinking Water
202-564-2412
king. carol(S),epa. gov
Seth Heminway
Implementing the Clean Water Act (CWA) Action
Plan & NPDES E-Reporting
202-564-7017
heminwav.seth(S),epa. gov
Joe Theis
Implementing the Clean Water Act (CWA) Action
Plan & NPDES E-Reporting
202-564-4053
theis. ioseph(a!epa. gov
Carey Johnston
Implementing the Clean Water Act (CWA) Action
Plan & NPDES E-Reporting
202-566-1014
i ohnston. carev(S),epa. gov
Catherine Tunis
Advancing Next Generation Compliance
202-564-0476
tunis. Catherine® epa. gov
Chris Knopes
Strengthening State Performance and Oversight
202-564-2337
knopes. Christopher®,epa. gov
Mike Mason
Strengthening State Performance and Oversight
202-564-0572
mason. michael(S),epa. gov
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Office of Enforcement and Compliance Assurance
FY 2018-2019 NPM Guidance
Contact Name
Subject Area
Phone
Email
Rick Duffy
Field Operations Guidance (FOG) Guidelines
202-564-5014
duffv. rick® epa. gov
Tracy Back
Field Operations Guidance (FOG) Guidelines
202-564-7076
back.tracv®, epa. gov
Loan Nguyen
Environmental Justice
202-564-4041
nguven. loan®,et)a. gov
Lance Elson
Federal Facilities
202-564-2577
elson. lance®,et)a. gov
Marie Muller
Federal Facilities
202-564-0217
muller. marie®,et) a. gov
Dominique Freyre
Federal Facilities
202-564-0433
frevre.dominiaue®,epa. gov
Seth Heminway
CWA National Pollutant Discharge Elimination
System (NPDES) Program for Compliance Assurance
and Enforcement
202-564-7017
heminway. seth@epa. gov
Joe Theis
CWA National Pollutant Discharge Elimination
System (NPDES) Program for Compliance Assurance
and Enforcement
202-564-4053
theis. ioseph® epa. gov
Joe Theis
CWA Section 404 - Discharge of Dredge and Fill
Material
202-564-4053
theis. ioseph® epa. gov
Joe Theis
CWA Section 311 - Oil Pollution Act
202-564-4053
theis.joseph@epa.gov
Dan Chadwick
CWA Section 311 - Oil Pollution Act
202-564-7054
chadwick. dan® epa. gov
Loren Denton
SDWA Underground Injection Control (UIC)
Program
202-564-1148
denton. loren®et)a. gov
Dan Chadwick
SDWA Underground Injection Control (UIC)
Program
202-564-7054
chadwick. dan®et)a. gov
Rob Lischinsky
CAA Program for Compliance Assurance and
Enforcement
202-564-2628
lischinskv.robert®epa. gov
Craig Haas
CAA Section 112(r)
202-564-6447
haas. crai g® epa. gov
James Miles
CAA Section 112(r)
202-564-5161
miles, iames® epa. gov
Greg Sullivan
CAA Section 112(r)
202-564-1298
sullivan. greg® epa. gov
Rob Lischinsky
CAA Section 112(r)
202-564-0957
lischinskv.robert®,epa. gov
John Cox
CAA Section 112 Asbestos/NESHAP
202-564-4209
cox. iohn® epa. gov
Diana Saenz
RCRA Subtitle C Hazardous Waste Program
202-564-4209
saenz. di ana® epa. gov
Elizabeth Vizard
RCRA Subtitle C Hazardous Waste Program
202-564-5940
vizard, elizabeth® epa. gov
Emily Chow
RCRA Subtitle C Hazardous Waste Program
202-564-7071
chow, emilv® epa. gov
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Office of Enforcement and Compliance Assurance
FY 2018-2019 NPM Guidance
Contact Name
Subject Area
Phone
Email
Yolaanda Walker
RCRA Underground Storage TankUST Subtitle I
Program
202-564-4281
walker, volaanda^.et) a. gov
Peter Neves
RCRA Corrective Action
202-564-6072
neves.peter®epa. gov
Paul Borst
RCRA Corrective Action
202-564-7066
borst.paul®,epa. gov
James Miles
TSCA
• New and Existing Chemicals; Lead Risk
Reduction; PCBs; AHERA
202-564-5161
miles. iames®epa. gov
Edward Messina
TSCA
• New and Existing Chemicals; Lead Risk
Reduction; PCBs; AHERA
202-564-1191
messina.edward®,epa. gov
Greg Sullivan
TSCA
• New and Existing Chemicals; Lead Risk
Reduction; PCBs; AHERA
202-564-1298
sullivan. greg®,epa. gov
Elizabeth Vizard
TSCA
• New and Existing Chemicals; Lead Risk
Reduction; PCBs; AHERA
202-564-5940
vizard. elizabeth®,epa. gov
Kelly Engle
TSCA
• New and Existing Chemicals; Lead Risk
Reduction; PCBs; AHERA
202-564-2059
engle.kellv®,epa. gov
Don Lott
FIFRA
202-564-2652
lottdon® epa. gov
Adrienne Trivedi
FIFRA
202-564-7862
trivedi. adrienne®, epa. gov
Elizabeth Vizard
FIFRA
202-566-5940
vizard. elizabeth®epa. gov
Helene Ambrosino
FIFRA
202-564-2627
ambrosino.helene®,epa. gov
Paul Borst
CERCLA
202-564-7066
borst.paul®epa. gov
Kathy Clark
EPCRA 313 Toxics Release Inventory
202-564-4164
c lark, kath v® epa. gov
Greg Sullivan
EPCRA 313 Toxics Release Inventory
202-564-1298
sullivan. greg® epa. gov
James Miles
EPCRA 313 Toxics Release Inventory
202-564-5161
miles, iames®,epa. gov
Elizabeth Vizard
EPCRA 313 Toxics Release Inventory
202-564-5940
vizard, elizabeth®epa. gov
Craig Haas
EPCRA 304, 311/312 and CERCLA 103
202-564-6447
haas. craig@epa. gov
Greg Sullivan
EPCRA 304, 311/312 and CERCLA 103
202-564-1298
sullivan. greg® epa. gov
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Office of Enforcement and Compliance Assurance
FY 2018-2019 NPM Guidance
Contact Name
Subject Area
Phone
Email
James Miles
EPCRA 304, 311/312 and CERCLA 103
202-564-5161
miles.iames(a!et)a. gov
Kelly Knight
Federal Activities
• NEPA compliance and Environmental Impact
Statement reviews
202-564-2141
knight. kellv(a!et)a. gov
Jeff Mc Atee
Criminal Enforcement Program
202-564-0976
mcatee.ieff(o>,et)a. gov
Jonathan Binder
OECA Indian Country and Tribal Government Issues
202-564-2516
binder, j onathan@epa. gov
Fran Jonesi
OECA Indian Country and Tribal Government Issues
202-564-7043
i onesi.fran(a!et)a. gov
Michele McKeever
OECA National Program Manager (NPM) Guidance
Coordination
202-564-3688
mckeever.michele(S),epa. gov
Kim Chavez
OECA National Program Manager (NPM) Guidance
Coordination
202-564-4298
chavez.kimberlv(a>,et) a. gov
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