FY 2014
Office of Enforcement and Compliance Assurance
National Program Manager Guidance
June 12, 2013
Publication Number
305R13001
-------
Table of Contents
I. Agency Overview to the FY 2014 NPM Guidance 1
II. OECA's Introduction 1
III. National Areas of Focus 3
This section discusses OECA 's national enforcement priorities for FY 2014:
1. Implementing Clean Air Act National Enforcement Initiatives 3
2. Implementing Clean Water Act National Enforcement Initiatives 4
3. Assuring Safe Drinking Water 5
4. Reducing Pollution from Mineral Processing Operations 7
5. Assuring Energy Extraction Sector Compliance with Environmental Laws 8
6. Implementing the Clean Water Action Plan 8
7. Advancing Next Generation Compliance 10
8. Strengthening State Performance and Oversight 12
IV. Program-Specific Guidance 14
This section provides critical national direction on the follow ing program areas:
1. Environmental Justice 15
2. Federal Facilities 16
3. CWA NPDES Program for Compliance Assurance and Enforcement 18
4. CWA Section 404 Discharge of Dredge and Fill Material 21
5. CWA Section 311 Oil Pollution Act 21
6. SDWA Underground Injection Control (UIC) Program 22
7. CAA Program for Compliance Assurance and Enforcement 23
8. RCRA Subtitle C Hazardous Waste Program 26
9. RCRA Underground Storage Tank (UST) Subtitle I Program 28
10. RCRA Corrective Action 29
11. TSCA Lead Risk Reduction Program 30
12. TSCA New and Existing Chemicals Program 31
13. TSCA PCB Program 32
14. TSCA Asbestos Program/AHERA 34
15. FIFRA Program for Compliance Assurance and Enforcement 35
16. FIFRA Imports 36
17. FIFRA Supplemental Registrations 37
18. FIFRA Region-Specific Focus Area 38
19. CERCLA 39
20. EPCRA 313 Toxics Release Inventory 41
21. EPCRA 304, 311/312 and CERCLA 103 42
22. Federal Activities 43
23. Criminal Enforcement Program 44
Appendk I: OECA's FY 2014 NPM Guidance ACS Measures
Appendk II: OECA Explanation of Changes between FY 2013 and FY 2014 NPM Guidance
Appendk III: OECA Key Contacts
-------
I. Agency Overview to the FY 2014 NPM Guidance
The Overview to the National Program Manager (NPM) Guidances communicates important
agency-wide information and should be reviewed in conjunction with each of the FY 2014 NPM
Guidances as well as other applicable requirements. The Overview also includes relevant
background information and the cross-program areas that are important to effective
implementation of EPA's environmental programs in FY 2014. Read the overview at:
http ://www2. epa. go v/p lanandb ud get/fv2014.
II. OECA's Introduction
This National Program Manager Guidance applies to the Office of Enforcement and Compliance
Assurance (OECA), all U.S. Environmental Protection Agency (EPA) regional enforcement
programs, and states and federally-recognized Indian tribes (tribes) implementing EPA-approved
inspection and enforcement programs.l OECA coordinates with the regions, states and local
agencies and consults with tribal governments as it designs, develops, implements and oversees
national compliance and enforcement programs. Regional offices also work with states and local
agencies and consult with tribes to implement and review these programs.2 OECA 's National
Program Manager (NPM) Guidance provides direction for fiscal year (FY) 2014. It identifies the
national compliance and enforcement priorities for FY 2014, discusses national direction for all
compliance assurance programs, identifies activities to be carried out by authorized programs,
and describes how the EPA should work with states and tribes to ensure compliance with
environmental laws. Once implemented, the priorities and activities described in the NPM
Guidance serve to protect the Nation's environment and public health and provide a level playing
field for responsible businesses. Most of the work in the NPM Guidance is accomplished under
the agency's Goal 5 - "Enforcing Environmental Laws" in EPA's Strategic Plan.3
The EPA's national enforcement and compliance assurance program assures compliance with ten
distinct federal environmental statutes using a variety of tools, including civil and criminal
enforcement. These tools are used to achieve OECA's overall national goals for:
• Tough civil and criminal enforcement for violations that threaten communities and the
environment.
• Next Generation Compliance: achieve greater compliance and protection using advanced
monitoring and information technologies.
1 When referring to states and tribes throughout this NPM guidance, OECA is referring to states and tribes
authorized to implement federal programs. EPA implements programs in states and Indian country unless and until
EPA approves the state or tribe to implement the inspection and enforcement program.
EPA consults with tribes consistent with the EPA Policy on Consultation and Coordination with Indian Tribes and
Executive Order 13175.
3 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
-------
• Strong EPA/State/Tribal environmental protection: work together toward shared
environmental goals.
To help achieve these enforcement goals, in FY 2014 OECA will focus on high priority work
where significant environmental risk and noncompliance patterns are known to exist or where
there are important opportunities to improve performance, as described in this guidance. This
work includes:
1. Implementing Clean Air Act National Enforcement Initiatives
2. Implementing Clean Water Act National Enforcement Initiatives
3. Assuring Safe Drinking Water
4. Reducing Pollution from Mineral Processing Operations
5. Assuring Energy Extraction Sector Compliance with Environmental Laws
6. Implementing the Clean Water Action Plan
7. Advancing Next Generation Compliance, and
8. Strengthening State Performance and Oversight.
As part of the FY 2014 work, OECA is investing in a new paradigm called Next Generation
Compliance (Next Gen) to improve compliance and reduce pollution. Next Gen takes advantage
of advances in pollution monitoring and information technologies, as well as what we have
learned about what drives compliance, to tackle today's compliance challenges. Enforcement
will always be a central part of EP A's work to assure compliance, but we can do more to protect
public health and the environment, and to assure that compliant businesses do not have to
compete with companies that don't play by the rules. Next Gen will assist the EPA and states in
our efforts to better address large regulated universes with approaches that go beyond traditional
single facility inspections and enforcement. Advanced pollution monitoring technologies allow
us to identify pollution issues, and can be used both by government and industry to find and fix
pollution and violation problems. In many instances, Next Gen solutions can reduce regulatory
burdens while improving compliance with environmental standards. The elements of Next Gen
are: 1) doing more to design regulations and permits that are easier to implement and that will
result in higher compliance and improved environmental outcomes; 2) taking advantage of
advanced pollution monitoring; 3) increasing electronic reporting, for more accurate and timely
information on pollution sources and reduced burden on states and regulated sources; 4)
increased transparency about pollution and compliance information; and 5) innovative
enforcement approaches. EPA and states are learning from measureable successes in compliance
approaches, and working together to design the compliance programs of the future, which can
improve compliance and reduce pollution even in a time of declining government resources. The
EPA, states, tribes and other partner agencies are beginning to invest in this transformation
together — realizing both efficiencies and cost savings from a coordinated design while
protecting public health and the environment. To further these efforts, in FY 2014, EPA will be
increasing its outreach to, and collaboration with, states and tribes on Next Generation
Compliance strategies.
-------
III. National Areas of Focus
Every three years, the EPA selects National Enforcement Initiatives (NEIs) to focus enforcement
resources and expertise on serious pollution problems affecting communities. After reviewing
input from federally recognized Indian tribes, states and other external stakeholders, we have
decided to continue the current NEIs for another three years (FY 2014-2016). Although the
initiatives have made substantial progress in addressing noncompliance within their respective
sectors, more work remains to be done. This section discusses each of OECA's FY 2014-2016
NEIs, as well as other national priorities, and identifies critical supporting activities,
responsibility for implementation, and associated measures for tracking. After strategies are
developed for each of the FY 2014-2016 NEIs, summaries will be posted on EP A's NEI website
at: http ://www.epa.gov/compliance/data/planning/initiatives/index.html, which also announces
EPA's selection of the FY 2014-2016 NEIs.
1. Implementing Clean Air Act (CAA) National Enforcement Initiatives
Description: The following is a discussion of work in 2 CAA-specific National Enforcement
Initiative areas.
Cutting Toxic Air Pollution that Affects Communities' Health:
In 1990, Congress identified hazardous air pollutants (HAPs), currently totaling 187, that present
significant threats to human health and have adverse ecological impacts
(http://www.epa.gov/ttn/atw/188polls.html). The CAA and EPA's regulations impose strict
emission control requirements (known as "Maximum Achievable Control Technology" or
"MACT") for these pollutants, which are emitted by a wide range of industrial and commercial
facilities. The EPA will target and reduce emissions of toxic air pollutants in three areas where
the agency has determined there are high rates of noncompliance: (A) leak detection and repair;
(B) reduction of the volume of waste gas to flares and improvements to flare combustion
efficiency; and (C) excess emissions, including those associated with startup, shut down and
malfunction. Through this Air Toxics Initiative, the EPA will undertake compliance monitoring
and enforcement activities to maximize environmental and human health benefits, which is
particularly important for disproportionately burdened communities. OECA will utilize
innovative monitoring and evaluation techniques and partner with the EPA's Office of Air and
Radiation (OAR) and Office of Research and Development. OECA will also provide equipment
and training to inspectors to enhance the effectiveness of on-site activities.
Reducing Widespread Air Pollution from the Largest Sources, Especially the Coal-fired
Utility, Cement, Glass, and Acid Sectors:
The New Source Review/Prevention of Significant Deterioration (NSR/PSD) requirements of the
CAA require certain large industrial facilities to install state-of-the-art air pollution controls
when they build new facilities or make "significant modifications" to existing facilities.
However, many industries have not complied with these requirements, leading to excess
emissions of air pollutants such as sulfur dioxide, nitrogen oxides and particulate matter. These
pollutants can be carried long distances by the wind and can have significant adverse effects on
-------
human health, including asthma, respiratory diseases and premature death. These effects may be
particularly significant for communities overburdened by exposure to environmental risks and
vulnerable populations, including children. In recent years, the EPA has made considerable
progress in reducing excess pollution by bringing enforcement actions against coal-fired power
plants, cement manufacturing facilities, sulfuric and nitric acid manufacturing facilities, and
glass manufacturing facilities. However, work remains to be done to bring these sectors into
compliance with the CAA and protect communities burdened with harmful air pollution.
Activities:
EPA regions will:
• Implement the strategy for the Air Toxics National Enforcement Initiative.
• Implement the strategy for the National Enforcement Initiative on New Source Review -
Coal Fired Electric Utilities, Cement, Glass, Sulfuric and Nitric Acid.
Measures: For the Air Toxics Initiative, see ACS measures PBS-ATX03 and ATX04. For the
initiative addressing the largest sources, see ACS measures PBS-NSR01-NSR09. Both sets of
measures are in Appendix I, pages 1-2.
2. Implementing Clean Water Act (CWA) National Enforcement Initiatives
Description: The following is a discussion of work in 2 CWA-specific National Enforcement
Initiative areas.
Keeping Raw Sewage and Contaminated Stormwater Out of Our Nation's Waters: The
EPA will continue its enforcement focus on reducing discharges of raw sewage and
contaminated Stormwater into our nation's rivers, streams and lakes. This National Enforcement
Initiative focuses on reducing discharges from combined sewer overflows (CSOs), sanitary
sewer overflows (SSOs), and municipal separate storm sewer systems (MS4s) by obtaining
cities' commitments to implement timely, affordable solutions to these problems. In FY 2012,
the EPA developed the Integrated Municipal Stormwater and Wastewater Planning Approach
Framework, which is posted at http ://cfpub.epa. gov/npdes/integratedplans.cfm to provide further
guidance on developing and implementing effective integrated planning solutions to municipal
wastewater and Stormwater management. This approach allows municipalities to prioritize CWA
requirements in a manner that addresses the most pressing public health and environmental
protection issues first, while maintaining existing regulatory standards. All or part of an
integrated plan maybe incorporated into the remedy of enforcement actions. These remedies
may include expansion of collection and treatment system capacity and flow reduction measures
including increased use of green infrastructure and other innovative approaches. The EPA is
committed to working with communities to incorporate green infrastructure, such as green roofs,
rain gardens, and permeable pavement, into permitting and enforcement actions to reduce
Stormwater pollution and sewer overflows where applicable. Regions should consider and
promote the opportunity to utilize green infrastructure controls in municipal enforcement actions.
See information on green infrastructure at: http://cfpub.epa.gov/npdes/home.cfm?program id=298.
-------
Preventing Animal Waste from Contaminating Surface and Ground Waters:
Concentrated animal feeding operations (CAFOs) are a subset of livestock and poultry animal
feeding operations (AFOs) that meet the regulatory thresholds of number of animals for various
animal types. The EPA's goal is to take action to reduce animal waste pollution from livestock
and poultry operations that impair our nation's waters, threaten drinking water sources, and
adversely impact vulnerable communities. EPA's regulations require permit coverage for any
CAFO that discharges manure, litter, or process wastewater into waters of the U.S. CAFOs that
discharge to U.S. waters but do not have National Pollutant Discharge Elimination System
(NPDES) permits are in violation of the CWA. The EPA will continue to focus federal
enforcement investigations primarily on existing large and medium CAFOs identified as
discharging without a permit to waters of the U.S., particularly in areas of concern due to
impacts from CAFO/AFO wastes. In addition, EPA's resources will be used to assure that
CAFOs that already have permits are in compliance with those permits. Each EPA region, in
coordination with their states where appropriate, will consider a variety of factors to prioritize its
CAFO activities. These factors include, but are not limited to, identifying watersheds or water
bodies where CAFO/AFO wastes are negatively affecting surface water quality, proximity of
CAFOs to drinking water sources and vulnerable communities, and status of NPDES-authorized
states' CAFO programs.
Activities:
EPA regions, coordinating with their states where appropriate, will:
• Implement the strategy for the Municipal Infrastructure National Enforcement Initiative.
• Identify appropriate opportunities for implementing EPA's Integrated Municipal Stormwater
and Wastewater Planning Approach Framework.
• Implement the strategy for the Concentrated Animal Feeding Operation (CAFO) National
Enforcement Initiative.
Measures: For the initiative addressing raw sewage and contaminated storm water, see ACS
measures PBS M105-M108 in Appendix 1, page 2. For the CAFO initiative, see ACS measures
PBS-CAF002, CAF007 and CAF008 in Appendix I, page 2.
3. Assuring Safe Drinking Water
Description: The EPA's focus on pub lie water systems (PWS), including those in Indian
country, protects the public from the potential acute and chronic health effects of drinking water
that fails to comply with the Safe Drinking Water Act (SOWA). The EPA's Enforcement
Response Policy (ERP)4 has the ultimate goal of returning non-compliant PWS to compliance.
More specifically, the ERP provides that based on the identification and prioritization of non-
compliant PWS, those PWS identified as a priority must return to compliance (RTC) or be issued
a formal enforcement action within six months of being identified as a priority system. The
Enforcement Targeting Tool (ETT) generates a score for each PWS with unresolved violations
based upon the number, severity and length of violations.
4 The ERP is available at http://www.epa.gov/enforcement/water/documents/policies/drinking water erp 2009.pdf
-------
A quick response to SDWA violations decreases the risks to public health and allows primacy
agencies flexibility to use a variety of tools such as assistance and informal enforcement actions.
Primacy agencies should be proactive in addressing violations to prevent systems from reaching
an ETT score of 11 or greater. This approach is especially important in Indian country, as it
allows for timely and appropriate consultation with the tribal government as soon as a violation
is identified. It is also particularly important in responding to violations at small and medium-
sized PWS which may require more assistance to return to compliance. Inaccurate and
incomplete data result in incorrect and inconsistent ETT scores within and across states. The
Government Accountability Office (GAO) in FY 2011 highlighted the seriousness of
underreporting SDWA data and recommended action by the EPA to improve the quality of data
reported by states.5 OECA continues to coordinate with and support the Office of Water (OW) to
improve data quality. Regions and primacy agencies should also continue their efforts to improve
the accuracy and timeliness of data reported to the EPA. Coordination between OW's Office of
Groundwater and Drinking Water and OECA will enable the leveraging of resources to help
assure safe drinking water.
Activities:
EPA regions will:
• Ensure that primacy agencies fulfill the enforcement conditions of their primacy agreements.
• Promote accurate, timely and complete reporting by each primacy agency, including the
EPA.
• Ensure that primacy agencies use the ETT and implement the ERP.
• Collaborate with primacy agencies to ensure that the PWSs with the most serious violations
are addressed and returned to compliance in a timely and appropriate manner, particularly
where PWSs are in substantial noncompliance with state, territorial, or tribal enforcement
orders.
• Using the quarterly ETT, hold in-depth regular discussions with primacy agencies regarding
compliance and enforcement matters that include, but are not limited to, progress in
returning systems to compliance, monitoring compliance progress on orders, number of
systems addressed, number of systems in violation, and overall performance in implementing
the ERP.
• Apply the ERP in Indian country, Wyoming, and the District of Columbia. When serving as
the primacy agency for Indian country, ensure the ERP timeline for RTC is accomplished
while simultaneously implementing OECA 's Guidance on the Enforcement Principles
Outlined in the 1984 Indian Policy (January 17, 2001), which can be found at:
http://www.epa.gov/compliance/resources/policies/state/84indianpolicy.pdf Application of
the guidance, which contains threshold criteria for EPA's consideration of formal civil
enforcement actions, including appropriate consultation and compliance assistance, should
not result in a lesser degree of human health and environmental protection in Indian country
than elsewhere in the United States and must address and resolve drinking water violations
on a schedule consistent with the ERP.
1 The GAO report is available at http://www.gao.gov/assets/320/319780.pdf
-------
• Ensure that state and tribal inspectors who inspect on behalf of the EPA are trained and
credentialed consistent with agency guidance, including the Guidance for Issuing Federal
EPA Inspector Credentials to Authorize Employees of State/Tribal Governments to Conduct
Inspections on Behalf of EPA (2004). Consistent with the EPA Order 3510, annually conduct
an inventory of federal credentials which includes an annual physical possession check of 10
percent of the federal credentials issued to state and tribal inspectors and a count of unused
credentials stock.
• Perform the activities listed below under "State, territories and tribes with primacy" in
circumstances where the EPA is the primacy agency.
States, territories and tribes with primacy will:
• Fulfill the enforcement conditions of their primacy agreements.
• Use the ETT and implement the ERP to ensure that priority systems, within six months of
having reached a score of 11, either return to compliance or receive formal enforcement
actions that compel the systems to return to compliance in a timely fashion.
• Work to reduce their backlog of systems that have already been at a score of 11 or higher for
more than six months.
• Return to compliance or address violations at non-complying PWSs before they become
priority systems with a focus on schools and daycares, as resources allow.
• Report compliance and enforcement data to ensure that it is entered into SDWIS in a
complete, accurate and timely manner.
• Coordinate internally among enforcement programs in all media to protect drinking water
sources.
Measures: See ACS measure SDWA02 in Appendix I, page 3.
4. Reducing Pollution from Mineral Processing Operations
Description: The following is a discussion of work in this National Enforcement Initiative
area.
Mining and mineral processing facilities generate more toxic and hazardous waste than any other
industrial sector, based on the EPA's Toxic Release Inventory. Many of these facilities have
impacted surrounding communities and continue to pose high risk to human health and the
environment. For example, over 120 mining and mineral processing sites are on the Superfund
National Priorities List and more sites are being added every year, including operating facilities.
The EPA has spent over $2.4 billion to address the human health and environmental threats to
communities as a result of mining and mineral processing. In some cases, the EPA had to sample
drinking water wells due to potential impacts to children in low income communities. At some
sites, EPA's inspections have found significant non-compliance with hazardous waste and other
environmental laws. Some of the more serious cases required alternative drinking water supplies
or removal of lead-contaminated soil from residential yards. In other cases, toxic spills into
waterways from mining and mineral processing caused fish kills and impacted the livelihood of
low income communities. The EPA will continue its enforcement initiative to bring these
facilities into compliance with the law and protect the environment and nearby communities.
-------
Activities:
EPA regions will:
• Implement the strategy for reducing pollution through the Mineral Processing National
Enforcement Initiative.
Measures: See ACS measure PBS-MNP05 in Appendix I, page 2.
5. Assuring Energy Extraction Sector Compliance with Environmental Laws
Description: The following is a discussion of work in this National Enforcement Initiative
area.
Vast natural gas reserves, unlocked through technological advances in horizontal drilling and
hydraulic fracturing, are a key part of the nation's energy future. The full promise of this
resource will be realized only if it is developed responsibly and the new technologies controlled
in a manner that protects the nation's air, water and land. For example, an unprecedented
acceleration of natural gas development has led to a significant rise in air pollution throughout
the intermountain West. Geospatial analysis suggests that a similar rise in air pollution is
possible elsewhere as unconventional gas development grows in other shale plays. Meanwhile,
citizens continue to voice concern that drilling and hydraulic fracturing pose a risk to drinking
water sources, either through improper well construction, wastewater management or otherwise.
OECA initiated its Energy Extraction National Enforcement Initiative inF Y 2011 to address
these concerns and to take action where violations of environmental law lead to air and water
impacts that pose a potential risk to human health. The EPA will continue to utilize a wide range
of authorities, including the Clean Water Act, the Clean Air Act and the Safe Drinking Water
Act, among others, to ensure that natural gas development proceeds in a manner protective of
human health.
Activities:
EPA regions will:
• Implement the Strategy for the Land-Based Gas Extraction and Production National
Enforcement Initiative.
Measures: See ACS measures PBS-EE01 and EE03 in Appendix I, pages 2-3.
6. Implementing the Clean Water Act (CWA) Action Plan
Description: OECA, together with the EPA regions, the Office ofWater and states with
program authorization, continues to implement the CWA Action Plan issued in October 2009.
The CWA Action Plan Steering Committee oversees implementation of the Action Plan through
regular communication with and feedback to the EPA/state workgroups who are leading the
-------
individual action items associated with the four fundamental changes. The changes are designed
to revamp the NPDES permitting, compliance and enforcement program to better address
today's serious water quality problems. They are:
1. Switch from existing paper reporting to electronic reporting, resulting in increased efficiency
and improved transparency of the NPDES program.
2. Use Next Generation Compliance approaches to create a new paradigm in which regulations
and permits improve compliance via public accountability, self-monitor ing, self-certification,
electronic reporting and/or other innovative methods.
3. Address the most serious water pollution problems by re-tooling key NPDES permitting and
enforcement practices, while continuing to vigorously enforce against serious violators.
4. Conduct comprehensive and coordinated permitting, compliance, and enforcement programs
to improve state and EPA performance in protecting and improving water quality. (Related
activities are discussed under Strengthening State Performance and Oversight on pages 12-
13.)
EPA will engage in appropriate consultation and coordination with tribes on the Clean Water
Action Plan consistent with the EPA Policy on Consultation and Coordination with Indian
Tribes.
Activities:
EPA regions should:
• Prepare for implementation of the draft proposed NPDES Electronic Reporting Rule,
including working to:
a. Actively market and implement the use of NetDMR by permittees for the electronic
transfer of Discharge Monitoring Reports (DMR) to ICIS-NPDES, supported by the
National Environmental Information Exchange Network (Exchange Network). The
regions should implement EPA's NPDES Electronic Reporting Tool (NeT) as general
permits are added to this tool (e.g., oil and gas, and the multi-sector general permit);
b. Ensure their states are preparing for the implementation of the electronic reporting rule
by adopting the use of EPA electronic reporting tools (NetDMR, NeT), or developing
their own state e-reporting tools; and
c. Coordinate closely with the Office of Compliance to individually evaluate their states'
readiness to implement the electronic reporting rule, including: Cross-Media Electronic
Reporting Regulation (CROMERR) compliant electronic reporting tools compliant with
EPA's electronic reporting regulations; state system readiness; and level of participation
using the state e-reporting tools (e.g., 90 percent participation by NPDES-regulated
facilities).
• Require electronic reporting, as appropriate, for all data required by enforcement actions,
where appropriate and in accordance with national guidance.
• Provide relevant feedback to permitting offices regarding permit prioritization and
modifications to consider when new permits are developed or a permit is renewed. Request
that permit writers consider comments provided by inspectors and/or enforcement personnel
in developing appropriate permit conditions.
• Actively participate in CWA Action Plan projects including those to address effluent
violations reported on Discharge Monitoring Reports (DMRs) using new strategies and tools,
-------
such as expedited administrative enforcement actions and electronic compliance assistance.
Consider innovative approaches to deal with more routine paperwork violations.
• As prescribed by the CWA Action Plan, OECA is leading an effort to draft new approaches
for a revised CWA/NPDES Enforcement Management System (EMS) framework that
supports the principles described in the 2009 CWA Action Plan. This framework will
supersede the existing CWA/NPDES EMS that is used to prioritize violations for appropriate
enforcement responses. Full implementation of the NPDES electronic reporting rule will be a
critical element to implementing the new EMS. Both staff and managers in regions and states
and tribes with program approval are encouraged to participate actively in this workgroup to
develop this framework.
• Include in targeting, monitoring, enforcement and state oversight the complete array of the
NPDES regulated universe, going beyond the historic focus on traditional NPDES majors.
Targeting tools, such as the DMR Pollutant Loading Tool, can be used to determine the
source, location and amount of discharged pollutants. It currently includes a subset of non-
major facilities, and can be found at: www.epa. gov/pollutantdischarges.
State and EPA representatives on the CWA Action Plan Steering Committee and the various
associated workgroups should:
• Attend and participate in regular meetings.
• Assist in numerous aspects of workgroup responsibility including, as appropriate, drafting
work products and deliverables and identifying appropriate timing for raising issues with the
Steering Committee.
• Represent states and regions, respectively, by engaging and providing meaningful input and
direction on implementation issues.
7. Advancing Next Generation Compliance
Description: The health and environmental benefits envisioned by our statutes, regulations,
and state and tribal programs are not being fully achieved. Although the available data is
incomplete, high noncompliance is evident in much of the data we do have. State and federal
resources for onsite compliance assistance, individual inspections, and enforcement actions are
not adequate to address the large universe of regulated sources, especially the numerous small
sources that are important contributors to environmental problems. Robust compliance
monitoring and enforcement are critically important for identifying and addressing violations and
promoting deterrence. While individual facility inspections and enforcement actions remain a
critically important part of addressing noncompliance, this alone is not sufficient to achieve the
improvements in compliance we need. Field operations and EPA regulations must consider
emerging approaches and technology to be effective and efficient. Together with the program
offices, regions, and states, OECA is developing and will implement a new paradigm called Next
Generation Compliance, which takes advantage of advances in emissions monitoring and
information technology. To implement Next Generation Compliance, as recommended by the
General Accounting Office (GAO) (GAO-13-115; December 10, 2012), OECA will develop a
Next Generation Compliance Strategic Plan by the end of FY 2013. OECA plans to pilot Next
Generation Compliance training with the states and tribes in FY 2014 and beyond. In addition,
OECA and the regions need to perform work in five areas:
10
-------
1 Design more effective regulations and permits that are easier to implement, with a
goal of improved compliance and environmental outcomes. OECA is working with
the program offices and regions to design more effective regulations and permits that
include Next Generation Compliance tools and approaches for better compliance and
environmental outcomes.
2 Use and promote advanced emissions/pollutant detection technology so that
regulated entities, the government, and the public can more easily see pollutant
discharges, environmental conditions and noncompliance. This technology will make
pollution that is currently "invisible," "visible." Industry can more effectively prevent
and reduce pollution, and often make their operations more efficient, while government
can better target significant pollution and noncompliance problems. Private sector
development of monitoring technology that can be used by the public could empower
citizens and encourage industry and government to reduce pollution. In addition,
advanced monitoring technology, coupled with electronic reporting, will produce more
complete universe data on regulated sources, their emissions and discharges, and
environmental conditions. This data will support the development of new and improved
compliance measures, allowing for more evidence-based approaches to compliance work
and better assessment of compliance rates.
3. Shift toward electronic reporting by regulated entities so that we have more
accurate, complete, and timely information on pollution sources, pollution, and
compliance, saving time and money while improving effectiveness and public
transparency. Electronic reporting should not be simply emailing files to the
government. It is taking advantage of advances in IT to improve and streamline
information submission, improving government while saving money. For example, an
electronic "smart" form or web tool will be developed that guides the regulated entity
through the process. Error prevention and two-way communication can be integrated into
the reporting tool, allowing electronic compliance assistance and alerts on new
regulations and helping to ensure that only necessary data is collected.
4. Expand transparency by making the information we have today more accessible, and
making new information obtained from advanced emissions monitoring and electronic
reporting publicly available. This will empower communities to play an active role in
compliance oversight and improve the performance of both the government and regulated
entities.
5. Develop and use innovative enforcement approaches to achieve more widespread
compliance. We are developing new enforcement approaches that help to increase the
effectiveness of our compliance work, such as greater use of fenceline monitoring and
publication of pollution information, to both track pollution that is important to
communities and to engage the community in monitoring compliance. We are also using
advanced monitoring and electronic reporting in our enforcement investigations and
settlements and making greater use of targeted deterrence approaches, and self and third
party certification tools, to help drive better compliance and reduce pollution.
Activities:
11
-------
EPA regions should:
• Participate on regulation development workgroups to provide real-world inspection,
compliance monitoring, and enforcement knowledge and advocate for Next Generation
Compliance approaches in the agency's rules.
• Actively participate in agency and OECA workgroups related to implementing Next
Generation Compliance components, such as electronic reporting, advanced monitoring and
enforcement settlements.
• Identify and implement best practices to improve rule and permit implementation. Include
Next Generation Compliance principles, tools, and approaches when is suing permits,
reviewing permits, and training permit writers.
• Work with OECA to ensure inspectors are trained in the effective use of advanced
monitoring equipment.
• Incorporate Next Generation Compliance tools such as electronic reporting, advanced
monitoring at the facility and fence-line, third party verification, and public accountability in
enforcement settlements.
• Identify and use innovative enforcement approaches.
• Coordinate with OECA to establish advanced field compliance reporting systems that
improve the quality of our inspections and allow us to electronically submit inspection
reports.
• Participate in the EP A-state collaboration to implement the new governance structure for E-
Enterprise, including promoting electronic reporting.
States and tribes should:
• Expand their understanding and use of Next Generation Compliance.
• Identify and implement e-reporting ideas to expand transparency and improve environmental
outcomes
8. Strengthening State Performance and Oversight
Description: Our nation's environmental laws are based on the principle of cooperative
federalism under which the EPA and states work in partnership to protect human health and the
environment. Most major federal environmental laws require the EPA to establish minimum,
nationwide standards, and then allow the agency to delegate authority to implement these
standards to the states. The EPA retains broad enforcement authority under federal law, and
provides oversight of delegated state programs.
As part of its oversight responsibilities, the EPA must clearly articulate expectations for state
program performance and evaluate the states in a fair, consistent and equitable manner. This
National Program Manager Guidance, working in conjunction with national enforcement policies
and program grant agreements, is one place where these expectations are articulated. To evaluate
state enforcement performance, states and the EPA worked in partnership to create the State
Review Framework (SRF). The SRF is designed to ensure the EPA conducts oversight
evaluations of state CWA, CAA and RCRA compliance and enforcement programs in a
nationally consistent and efficient manner. Where regions directly implement the federal
program in states that do not have authorized programs, OECA conducts the SRF review of the
regions' program using the same process and procedures as for all SRF reviews. A national
12
-------
approach to enforcement of the nation's environmental laws assures that: (1) all states are treated
equitably and held to the same standards as the EPA regions; (2) a level playing field exists
across states and for regulated businesses; (3) the public has similar protection from impacts of
pollution regardless of where they live or work; and (4) timely compliance with national
environmental laws and regulations is widely achieved.
InFY 2012, regions piloted the SRF Round 3 process which included integrated NPDES Permit
Quality Reviews. Based on that experience, OECA, the EPA regions and states are currently
exploring ways to improve SRF effectiveness while reducing the resources necessary to conduct
reviews. OECA, regions and states are also reviewing a draft document entitled National
Strategy for Improving Oversight of State Enforcement Performance. The Strategy is intended to
clarify that an integral part of the SRF is a consistent national approach for dealing with
significant state enforcement performance issues, once they have been identified. The draft
describes three proposed sets of actions aimed at improving state enforcement performance to
achieve the above-stated goals: (1) an escalation approach to problem-solving; (2) the regular
and periodic State Review Framework evaluation process; and (3) transparency efforts. The draft
Strategy likely will be revised before it becomes final. Consequently, some of the activities
identified below may change or be modified, or different activities added, once the SRF process
is revised and the Strategy is finalized. EPA will make available the final National Strategy for
Improving Oversight of State Enforcement Performance.
Activities:
EPA regions will:
• Conduct all Round 3 SRF reviews of state CAA, CWA, and RCRA enforcement programs
scheduled for FY 2014, following Round 3 headquarters guidance, including integrated
CWA permit and enforcement reviews. (These activities also support Implementing the
Clean Water Act (CWA) Action Plan discussed on pages 8-10.)
• Review MO As as part of the CWA-NPDES integrated review process, using the OW/OEC A
criteria and checklist. Ensure identified issues are addressed as needed by the end of FY
2017.
• Enter complete draft and final SRF reports, including data metric analyses, file reviews,
recommendations and state comments into the SRF Tracker.
• Monitor progress of states in carrying out the recommendations and record progress quarterly
in the SRF Tracker, including tracking results of integrated CWA reviews.
• Implement the National Strategy for Improving Oversight of State Enforcement
Performance.
• Use data verification and annual data metric analyses to inform regular discussions with
states and to track performance.
• Focus oversight resources on the most pressing performance problems in states, working
with them to demonstrably improve state performance. Where progress toward resolving
significant state performance issues is not being made, regions should escalate their
responses in accordance with OEC A's escalation strategy described in the National Strategy
for Improving Oversight of State Enforcement Performance.
13
-------
• Ensure commitments to implement recommendations for program improvements are
captured in appropriate negotiated PPAs, PPGs, categorical grant agreements or other written
documents.
• Per the June 22, 2010 memorandum from Cynthia Giles and Peter Silva "Interim Guidance to
Strengthen Performance in the NPDES Program" and the October 22, 2010 memorandum
from Lisa Lund and Jim Hanlon "Using the Results of NPDES Permit and Enforcement
Reviews to Address Significant Issues," regions should work with authorized states to
conduct an integrated planning process that brings together different program components
(e.g., standards, permitting and enforcement). In follow-up, convene routine and regular
meetings between the EPA region and authorized state to discuss progress towards meeting
annual permitting and enforcement commitments and how the state has been performing
overall.
• Review the number of SNCs/HP Vs identified (and percent of universe) by state and the
number (and percent) addressed in a timely and appropriate manner, using the Watch List as
a discussion tool.
State and local agencies should:
• Work cooperatively with the EPA regions to conduct SRF reviews as scheduled.
• Implement recommendations within agreed upon time frames in the final SRF reports
provided to the state or local agency.
• Implement additional necessary work to resolve issues impeding effective implementation of
their enforcement program.
• Where EPA regions' review of state-EPA MO As determines that MO As might require
revision, updating or supplementation, states should work cooperatively with the EPA
regions to identify and complete appropriate actions.
Measures: See ACS measure SRF01 in Appendix I, page 3.
IV. Program-Specific Guidance
This section provides critical national direction on specific program areas not addressed in the
preceding section. For each program area, the guidance identifies critical supporting activities,
responsibility for implementation and associated measures for tracking implementation. We
recognize the tight budget situation faced throughout EPA at present. If resources do not allow
for activities in the guidance to be implemented, then regional management should raise the
specific activities for discussion with the appropriate OECA office director(s). Similarly,
delegated or authorized state, tribal or local agencies that are facing resource challenges can raise
specific activities for discussion with the appropriate senior regional manager(s) when
developing their annual work plans with the EPA regions. This discussion is necessary to help
ensure EPA consistency, as appropriate, in implementing critical activities across media
programs and ensuring a level playing field nationally.
14
-------
1. Environmental Justice
Description: In addition to being the National Program Manager for the agency's
Environmental Justice (EJ) Program, OECA oversees the implementation of environmental
justice within the compliance and enforcement program. In its enforcement role, OECA ensures
that facilities in communities disproportionately impacted by environmental problems are
complying with the law. OECA aggressively applies regulatory tools to protect these
communities, engages our regional, federal, state and tribal partners to meet community needs,
and fosters community involvement in the EPA's decision-making processes by making
information available, as appropriate.
OECA and all regions are implementing the strategies and activities outlined inAdvancing
EnvironmentalJustice through Enforcement and Compliance, one of the five cross-cutting areas
identified for agency-wide action in EPA's Plan EJ 2014. OECA's goals under this Plan are to
fully integrate consideration of EJ concerns into the planning and implementation of program
strategies, case targeting strategies, and development of remedies in enforcement actions to
benefit overburdened communities. OECA has developed five strategies for Advancing
Environmental Justice through Enforcement and Compliance:
1. Advance EJ goals through selection and implementation of National Enforcement Initiatives.
2. Advance EJ goals through targeting and development of compliance and enforcement
actions.
3. Enhance use of enforcement and compliance tools to advance EJ goals in regions'
geographic initiatives to address overburdened communities.
4. Seek appropriate remedies in enforcement actions to benefit vulnerable and overburdened
communities and address EJ concerns.
5. Enhance communication with affected communities and the public regarding EJ concerns
and the distribution and benefits of enforcement actions, as appropriate.
The link to OECA's Plan EJ 2014 implementation plan is:
http ://www.epa. gov/environmentaliustice/plan-ej/ce- initiatives, html
The EPA's Environmental Justice Small Grants Program supports and empowers communities
working on solutions to local environmental and public health issues. Applicants must be
incorporated non-profits, federally recognized tribal governments, or tribal organizations
working to educate, empower and enable their communities to understand and address local
environmental and public health issues. Additional information can be accessed at:
http ://www.epa. gov/comp liance/environmentalj ustice/grants/ej - smgrants. html
Activities:
Regions, together with states, tribes and other partners as appropriate, will:
• Implement the National Enforcement Initiatives, consistent with national strategies, to
maximize environmental and human health benefits for overburdened communities.
• Specifically consider overburdened communities and potential disproportionate impacts to
these communities, including those in Indian country, when selecting enforcement actions to
15
-------
address other important compliance problems. Targeting evaluations should always use the
best available data and methods to achieve enforcement program objectives.
• Review civil enforcement cases to be initiated in FY 2014 for potential EJ concerns using the
agency's EJ SCREEN tool, and record the results of these reviews in ICIS, in accordance
with the Technical Directive: Reviewing EPA Enforcement Cases for Potential
EnvironmentalJustice Concerns and Reporting Findings to the ICIS Data System. (Note:
The EJ Technical Directive, piloted inFY 12, has been reviewed, updated and reissued
effective April 1,2013.)
• Continue to develop area-wide initiatives: integrated (cross-program) strategies that focus on
particular geographic areas with overburdened communities, and evaluate facility compliance
in these areas.
• Identify specific opportunities to work with other federal agencies, state and local
governments, tribal governments, and/or the business community to leverage the benefits
resulting from enforcement activities, both in particular cases and as part of area-wide
initiatives. Document and share recommendations and best practices for taking action on
these opportunities.
• Where appropriate, design compliance and enforcement actions to gain the greatest possible
environmental benefits in overburdened communities. For example, this could include use of
multi-media inspections and/or process inspections to comprehensively address potential
impacts from violations at a given facility.
• Consider activities to effectively reach large numbers of small sources with environmental
violations that have significant local impacts on overburdened communities.
• Identify and address EJ concerns as appropriate when consulting with tribal governments.
• Enhance communication with communities with EJ concerns and the public about
enforcement strategies and actions that may affect them, consistent with the confidentiality
requirements needed to protect the integrity of the enforcement process.
• Specifically provide opportunities for community input on EJ concerns and remedies to be
sought in enforcement actions affecting communities through the EPA's website, local
information repositories, and other appropriate means.
• Effectively communicate the benefits of our enforcement actions for vulnerable and
overburdened communities, consistent with the internal memorandum entitled "Guidance on
Characterizing and Communicating EnvironmentalJustice Benefits Achieved in Enforcement
Actions'" (September 2011).
Measures: See revised ACS measure EJOlin Appendix I, page 3. The new measure is the
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. ]
2. Federal Facilities
Description: The EPA's compliance and enforcement program involves more than 30,000
federal facilities and installations spread across nearly 30 percent of the nation's territory, among
which are some 10,000 currently regulated under the agency's various statutes. The EPA holds
16
-------
these federal agencies accountable to the same standard of environmental compliance as other
members of the regulatory community. This equal accountability is required by CERCLA,
envisioned by most other statutes and affirmed under Presidential executive order. Federal
agencies are now expected to go beyond compliance and serve as an example to others regarding
environmental stewardship and management, as Presidential Executive Order No. 13514 on
federal environmental sustainability makes clear. The EPA's federal facilities enforcement and
compliance programs are at http://www.epa.gov/compliance/federalfacilities/index.html. The
agency's primary focus in this sector has been on monitoring and enforcement, given the
extensive compliance assistance now offered by others, especially atFedCenter,
http://www.fedcenter.gov/, the sector's on-line environmental stewardship and compliance
assistance center sponsored by more than a dozen federal agencies.
Activities:
EPA regions should:
• Consult with Federal Facilities Enforcement Office (FFEO) on all federal facility
enforcement actions. FFEO will focus its resources to make these consultations timely and
effective, and bring clear value to these regional actions.
• Utilize FFEO's new inspection targeting capabilities for improved monitoring, especially of
vulnerable communities associated with federal facilities.
• Target federal facilities, as appropriate, as part of implementing the EPA's National
Enforcement Initiatives and regional priorities.
• Integrate OECA's federal facility Integrated Strategies into the region's inspection and
enforcement efforts. These integrated strategies align enforcement, compliance, and
stewardship activities for maximum effect and help achieve environmental and health
benefits by addressing those problems that matter to communities.
• Continue to implement Integrated Strategies dealing with storm water, RCRA corrective
action sites, hazardous medical waste at federal facilities, disposal of excess federal
property and vulnerable communities, where environmental justice issues are often most
prevalent.
• Continue to pursue exploratory Integrated Strategy areas identified in F Y 2013,
including at Government Owned/Contractor Operated/Government Owned/Privately
Operated (GOCO/GOPO) facilities and other potential areas still under consideration by
FFEO and the Regional Federal Facility Program Managers.
• Continue to implement a 2011 enforcement settlement with the Department of the Interior's
Indian Affairs program for violations at its schools and water treatment plants across Indian
country.
• Sustain a vigorous enforcement program at federal facilities, especially focused on National
Enforcement Initiatives, Integrated Strategy areas and regional priorities.
• Include, where appropriate, environmental management system (EMS) improvements
and Supplemental Environmental Projects (SEPs) as part of enforcement action
settlements.
• Collaborate with FFEO to identify and implement Next Generation Compliance opportunities
to create more effective and efficient enforcement in this sector.
17
-------
• Promote greater public awareness and consider greater public engagement through increased
transparency of federal facility compliance activity, violations and enforcement actions,
including press releases for enforcement actions.
• Project at mid-year the number of formal: (1) federal facility enforcement case initiations;
and (2) federal facility settlements for F Y 2014. (These projections, which need not include
Records of Decision at federal facility CERCLA sites, are not commitments but rather
indicators of regional progress.)
States and EPA regions should:
• Continue to work to ensure adequate coverage of the federal facility sector through
compliance monitoring and enforcement activity. Coordinate inspections or enforcement
activity where appropriate. Regions should be a resource when questions of enforcement
authorities arise, including questions of sovereign immunity.
Measures: See ACS measure FED-FAC05 in Appendix I, page 4. Please note that the
references to the UST Integrated Strategy and exploratory HCFCs/CFCs area have been deleted
in the FY 2014 version of FED-FAC05.
3. CWA National Pollutant Discharge Elimination System (NPDES) Program
for Compliance Assurance and Enforcement
Description: There are essential activities under the Clean Water Act NPDES program that
help ensure compliance with the Clean Water Act (CWA) and associated regulations.
Activities:
Authorized states and tribes and EPA regions with direct implementation responsibilities (e. g.,
non-authorized states, federal facilities and Indian country) should:
• Target serious sources of pollution and serious violations. Use appropriate tools, including
those developed pursuant to the CWA Action Plan and the NPDES Compliance Monitoring
Strategy (NPDES CMS) for the Core Program and Wet Weather Sources (issued October 17,
2007) to target the most significant sources of pollutants affecting those water bodies and
watersheds where compliance and enforcement tools will be effective in addressing the
problem. Give priority to discharges that affect: (1) water bodies that are not meeting water
quality standards; (2) drinking water sources; or (3) individual communities. Available tools
include ambient monitoring data, the Discharge Monitoring Report (DMR) Pollutant Loading
Tool (http ://cfpub.epa. gov/dmr/), the Inspection Targeting Model (available to EPA and
states at www.epa-otis.gov/otis/itm) and other GIS resources.
• Develop annual compliance monitoring plans that take advantage of the flexibility available
in the NPDES CMS. Provide FY 2014 CMS plans to OECA by December 31, 2013.
• Implement activities that the EPA initiates as part of the evaluation of the 2007 NPDES CMS
(final document anticipated during FY2013).
• Implement the guidance resulting from the compliance monitoring national dialogue on what
activities count as "compliance monitoring" under the 2007 NPDES CMS.
18
-------
• Ensure that all available data regarding violations are evaluated to determine the seriousness
of the violation. Take appropriate enforcement responses, consistent with national policy, to
address violations discovered. Ensure that civil enforcement actions are taken, where
appropriate, to address serious violations contributing to a community's water quality
problems.
• Ensure compliance with civil judicial consent decrees and administrative orders where
applicable.
• Implement targeted "real time" (quick response) enforcement activities to address CWA
violations impacting communities' waters where appropriate.
• Ensure all required compliance and enforcement data are input or transmitted to the national
data base in a timely manner consistent with EPA national policy and, if promulgated, the
NPDES e-reporting rule. All other data related to compliance and enforcement should be
tracked and managed, as appropriate, to allow the region or state to effectively manage their
program. The EPA encourages states to expand their use of the national database to include
compliance and enforcement data that pertains to the entire NPDES universe.
• Continue implementation of integrated planning in accordance with EP A's 2012 Integrated
Municipal Stormwater and Wastewater Planning Approach Framework, availab le at
http ://www.epa. gov/npdes/pub s/inte grated_planning_framework.pdf
EPA regions should also:
• Implement existing CWA compliance and enforcement strategies for specific geographic
areas, as applicable, including the Chesapeake Bay Compliance and Enforcement Strategy
and other region-specific initiatives.
• Conduct a sufficient number of oversight NPDES inspections to ensure the integrity and
quality of each authorized state's or tribe' s compliance monitoring program.
• Ensure the full regulated universe of NPDES permittees is addressed in the state's CMS plan,
focusing on the most important sources and most serious noncompliance.
• Track compliance monitoring activities and submit annual end of year (EOY) reports for
each state and for regional direct implementation to OECA by December 31, 2014, or a later
date if one is negotiated through the ACS process. EOY reports should account for all
compliance monitoring activities conducted in the prior year in accordance with the NPDES
CMS.
• Coordinate with their states to ensure that state partners who do not directly input data into
ICIS-NPDES continue to use the National Environmental Information Exchange Network to
report data to the EPA. [The Permit Compliance System (PCS) was archived in 2013.]
• Utilize multi-sector general permit (MSGP) violation and benchmark data when available
through EP A's NPDES Electronic Reporting Tool (NeT) to support monitoring, targeting
and enforcement in areas where the EPA has direct implementation authority.
• Routinely review all DMRs and non-compliance reports received for compliance with permit
requirements where the region directly implements the program, including Indian country.
• Work with OECA to identify and evaluate new priority areas that could become CWA
enforcement initiatives in the future. Assist OECA in collecting and reviewing data about
core program areas that warrant further review and consideration as national initiatives.
• With regard to regional direct implementation in Indian country, apply the NPDES CMS,
applicable enforcement policies, and OECA 's Guidance on the Enforcement Principles
Outlined in the 1984 Indian Policy (January 17, 2001)
19
-------
flittp ://www.epa.gov/cotnpliance/resources/policies/state/84indianpolicy.pdf). The latter
policy contains procedures for consultation with federally-recognized tribes in the civil
compliance monitoring and enforcement context and contains threshold criteria for EPA's
consideration of formal civil enforcement actions. The threshold criteria, including
appropriate consultation and compliance assistance, should not result in a lesser degree of
human health and environmental protection in Indian country than elsewhere in the United
States.
Ensure that state and tribal inspectors who inspect on behalf of the EPA are trained and
credentialed consistent with agency guidance, including the Guidance for Issuing Federal
EPA Inspector Credentials to Authorize Employees of State/Tribal Governments to Conduct
Inspections on Behalf of EPA (2004). Consistent with the EPA Order 3510, annually conduct
an inventory of federal credentials which includes an annual physical possession check of 10
percent of the federal credentials issued to state and tribal inspectors and a count of unused
credentials stock.
Fully implement and oversee the pretreatment program:
• In non-authorized states, oversee all approved POTW pretreatment programs consistent
with the NPDES CMS, including audits and inspections, and inspect Industrial Users
(lUs) that discharge into POTWs without approved pretreatment programs.
• In states authorized to implement the pretreatment program, evaluate the effectiveness of
the state's (i.e., the approval authority) program by inspecting and auditing POTWs with
approved pretreatment programs (i.e., control authorities). In conjunction with POTW
inspections, ensure that POTWs with control authority are carrying out their
responsibilities, including annual inspections and sampling of all Significant Industrial
Users (SIUs).
• Where states are the control authority, assess each state program's performance in
conducting annual inspections and sampling of all SIUs.
Coordinate with the Center of Excellence for Biosolids to respond to work that may arise in
this program.
Investigate the CWA compliance status of surface mining facilities within each region,
including mountaintop removal mining operations. Evaluate the compliance status of such
facilities with respect to NPDES permitting requirements and CWA section 404 permitting
requirements. Take appropriate enforcement actions in response to CWA violations.
Oversee compliance with the Vessel General Permit and Small Vessel General Permit
(anticipated to be in effect inF Y 2013). As necessary, coordinate with Coast Guard in
implementing the Vessel General Permit MOU and review of Coast Guard deficiency data.
Coordinate as necessary with Coast Guard sector offices on conducting joint inspections with
Coast Guard.
Continue implementing the Federal Facility Integrated Strategy on Stormwater.
Support the agency's Next Generation Compliance by promoting advanced monitoring and
electronic reporting to improve compliance and enhance the ability to identify violations that
may harm pub lie health and/or the environment. Increase transparency and improve targeting
for noncompliance. Develop innovative enforcement approaches and participate in agency
rulemaking workgroups to ensure regulations are designed to promote compliance and are
implementable.
20
-------
• Conduct SRF consistent with the schedule outlined in the agreed-upon ACS commitments.
Provide recommendations and conduct follow-up as appropriate in accordance with national
SRF guidance.
• Implement specific actions designated in OECA' s Climate Change Adaptation Plan,
scheduled for completion in June 2013, to more fully integrate climate change adaptation
activities into the compliance and enforcement program where appropriate.
• As necessary, work with OECA to identify and evaluate programs areas that could become
national priorities/enforcement initiatives in the future.
Measures: See ACS measure CWA07 in Appendix I, page 4.
4. CWA Section 404 - Discharge of Dredge and Fill Material
Description: The compliance and enforcement activities related to CWA section 404 which
should be implemented are described below.
Activities:
EPA regions should:
• Work with OECA in implementing the Section 404 Enforcement and Coordination Strategy.
• Coordinate, as appropriate, with other federal agencies [e.g., U.S. Army Corps of Engineers,
Natural Resources Conservation Service (NRCS), and Fish and Wildlife Service] which have
significant roles in wetlands protection through the use of MOUs/MOAs or other appropriate
mechanisms.
• Meet with Corps Districts on an annual basis to establish regional priorities and communicate
priorities to OECA.
• Review field level agreements with Corps Districts, and revise them to ensure consistency
with the Section 404 Enforcement and Coordination Strategy, as appropriate.
• Utilize the Office of Water's DARTER (Data on Aquatic Resources Tracking for Effective
Regulation) system as well ICIS (Integrated Compliance Information System) in targeting
efforts to identify potential repeat and flagrant violators. (ICIS continues to be the data base
of record for tracking EPA information on CWA section 404 enforcement actions.)
• Develop methods to effectively leverage other program resources to more systematically
identify potential serious Section 404 violations and take appropriate enforcement responses
to address these violations. Share effective techniques with OECA for use in developing the
national wetlands enforcement strategy.
• Utilize existing regional cross training opportunities as well as opportunities identified by
OECA to cross-train inspectors and to train other federal and state agencies and stakeholders
to identify CWA section 404 violations.
5. CWA Section 311 - Oil Pollution Act
Description: The compliance and enforcement activities which should be implemented to
help ensure compliance with the Oil Pollution Act are described below.
21
-------
Activities:
EPA regions should, where appropriate:
• Participate in judicial enforcement cases to address spills from inter-state pipelines and
others, such as production facilities, on a company-wide basis. Ensure these spill cases
include company-wide injunctive relief requirements to prevent future spill violations at all
facilities of the owner or operator.
• Participate in judicial enforcement cases to address facility response plan (FRP) violations at
facilities owned or operated by the same company. Ensure these FRP cases include company-
wide injunctive relief requirements to improve facility response planning and implementation
at all facilities of the owner or operator.
• Target and investigate facilities subject to the EPA spill prevention and facility response
planning regulations, including offshore platforms within EPA jurisdiction, and take
appropriate enforcement responses to address non-compliance with these regulatory
requirements.
• As necessary, target, investigate, and develop enforcement actions to address discharge
violations (spills) wherever the violation occurs, whether or not the spill occurred at a facility
subject to the EP A's spill prevention or facility response planning regulations.
• Conduct spill enforcement investigations to identify noncompliance and build cases for
enforcement actions.
• Whenever enforcement is pursued at facilities subj ect to EPA regulations, the case
development staff should evaluate all potential violations of CWA Section 311 and
underlying regulations and include claims in the enforcement case to address all
noncompliance in these areas. Include penalties, injunctive relief and/or enforceable
administrative obligations to prevent future violations from similar causes across all facilities
of the same owner or operator.
• Participate in OECA-led coordination and strategy meetings, as appropriate.
6. SDWA Underground Injection Control (UIC) Program
Description: The EPA plans to focus UIC enforcement efforts on violations that pose the
greatest threat to public health and shift away from enforcement work on more routine
violations. Data generally show good compliance at most facilities that the EPA inspects,
supporting a strategy of focusing our attention on the worst problems. Additionally, the agency
will invest in new pollution detection and e-reporting technologies to more effectively address
the large universe of pollution sources and empower communities.
The EPA has delegated primacy for well classes I - V to 33 states and 3 territories; it shares
responsibility in 7 states. The agency implements the UIC program for all well classes in 10
states, 2 territories, the District of Columbia, and for most of Indian country. For Class VI wells,
the EPA implements the program in all states, tribes, and territories.
Activities:
EPA regions should:
22
-------
• Directly implement the program where the EPA retains primacy.
Authorized state and tribal programs should:
• Implement the UIC program consistent with their specific authorization codified in 40 CFR
Part 147.
7. CAA Program for Compliance Assurance and Enforcement
Description: The CAA compliance assurance and enforcement activities, described below,
should be implemented to help ensure compliance with the CAA and implementing regulations.
OECA and OAR, in coordination with the regions, will develop a national strategy to address
noncompliance issues that arise in the Greenhouse Gas (GHG) Reporting Program, as
appropriate. OECA will also ensure that sources undertaking certain process changes or
modifications that result in significant GHG emissions go through proper New Source Review
permitting.
Activities:
Delegated state, tribal and local agencies and EPA regions should:
• Implement programs in accordance with existing national compliance and enforcement
policy and guidance [e.g., the CAA Stationary Source Compliance Monitoring Strategy
(CMS), the CAA National Stack Testing Guidance, the Area Source Implementation
Guidance, the Timely and Appropriate Enforcement Response to High Priority Violations
(HPV Policy)6, the asbestos NESHAP Demolition and Renovation Enforcement Strategy and
the Guidance onFederally-Reportable Violations for Clean Air Act Stationary Sources ] to
address air pollution problems that adversely affect impacted communities.
• Identify and evaluate all violations, determine an appropriate response, address and
ultimately resolve air violations in order to bring sources into compliance which includes
taking timely and appropriate actions against facilities determined to have High Priority
Violations.
• Initiate civil and criminal enforcement actions, as appropriate, and whenever necessary to
protect communities.
• Ensure complete, accurate and timely compliance and enforcement data is reported into the
Air Facility System (AFS) consistent with agency policies, the AFS Information Collection
Request (ICR) and agreements incorporated in documents such as Memorandums of
Understanding (MOUs), State Enforcement Agreements (SEAs), Performance Partnership
Agreements (PPAs)/Performance Partnership Grants (PPGs) or Section 105 grant
agreements. This reporting effort includes the verification of data used by the State Review
Framework (SRF) and made available to the public.
• Negotiate settlements and track compliance with consent decrees and administrative orders
and take all necessary actions to ensure compliance with the terms of enforcement actions.
• Implement the results of the CAA Compliance Monitoring National Dialogue.
6 Policy is being revised in FY 2013.
7 Policy under discuss ion in FY2013 and is likely to be revised.
23
-------
• Continue work with EPA headquarters to provide input into the AFS modernization effort
and participate in testing of the modernized AFS system prior to its production release.
• Participate in the Integrated Project Team (IPT) to develop and test the schema for
exchanging CAA stationary source data from the state/local/tribal system to the Integrated
Compliance Information System (ICIS).
• Take action to prepare for data migration from AFS to ICIS, the modernized system. The
legacy AFS will be merging with ICIS to establish a third component of the system, ICIS-
AFS.
EPA regions should also:
• Implement their component of the national strategy to enforce noncompliance issues that
arise in the Greenhouse Gas (GHG) Reporting Program, as appropriate.
• Identify the most important air pollution problems and the most serious violations, using
targeting tools and other information, including, but not limited to, the National Air Toxics
Assessment (NATA) data, chemical toxicity data, non-attainment areas, and EJ SCREEN.
Consider EJ information, tips/complaints, and community input.
• Conduct evaluations as outlined in the agreed-upon ACS commitments, initiate enforcement
actions to address non-compliance, and seek penalties, where appropriate, consistent with the
CAA Civil Penalty Policy (including the Amendments) and in accordance with the 2008
Civil Monetary Penalty Inflation Adjustment Rule.
• AFS will remain the data system of record for the national CAA compliance and enforcement
program until it is modernized into ICIS. The regions should continue entering federal
evaluations and enforcement actions, including penalties, into ICIS, as well as AFS.
• Continue any on-going investigations and initiate new ones, as appropriate. Report both
initiated and completed investigations in AFS. Reported investigations should meet the
definition in the CMS and minimum data requirements.
• Review state implementation plan (SIP) submissions for enforceability and
approve/disapprove as necessary.
• Review Title V permits consistent with national guidance and ensure the delegated
agencies/tribes are reviewing the certifications consistent with the CMS. Ensure that Title V
permits do not shield sources subj ect to a pending or current CAA enforcement action or
investigation, and that draft Title V permits include appropriate placeholder language for the
applicable requirement at any affected units. Ensure that consent decree requirements,
including required schedules of compliance, are incorporated into underlying federally
enforceable non-Title Vand Title V permits.
• Perform CAA section 112(r) inspections at regulated facilities in the region, including high
risk facilities meeting the agency's definition in accordance with the 2011 "Guidance for
Conducting Risk Management Program Inspections under Clean Air Act Section 112(r). "
Inspections should also include an evaluation of compliance with applicable EPCRA and
CERCLA requirements. 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.
• Evaluate facilities that experience significant chemical accidents to determine compliance
with CAA sections 112(r)(l) and (7) and pursue appropriate enforcement responses for
violations.
• Focus on identifying RMP non-filers and initiating enforcement in accordance with the June
24
-------
30, 2010 memorandum titled "Identification of Facilities Subject to 40 CFRPart 68'. Settle
or litigate cases filed in years prior to FY 2014.
Ensure compliance with environmental statutes in Indian country unless and until a tribe
obtains primacy. With regard to regional direct implementation in Indian country, apply the
various CAA compliance monitoring strategies, enforcement policies, and OECA's
Guidance on the Enforcement Principles Outlined in the 1984 Indian Policy (January 17,
2001) fhttp ://www.epa.gov/compliance/resources/policies/state/84indianpolicy.pdf),
which contains procedures for consultation with federally-recognized tribes in the civil
compliance monitoring and enforcement context and contains threshold criteria for EPA's
consideration of formal civil enforcement actions. The threshold criteria are not intended to,
and should not result in a lesser degree of human health and environmental protection in
Indian country than elsewhere in the United States.
When appropriate, authorize state and tribal inspectors to conduct compliance evaluations on
EPA's behalf. Ensure that state and tribal inspectors who inspect on behalf of EPA are
trained and credentialed per the Guidance for Issuing Federal EPA Inspector Credentials to
Authorize Employees of State/Tribal Governments to Conduct Inspections on Behalf of EPA
(2004).
Consistent with the EPA Order 3510, annually conduct an inventory of federal credentials
which includes an annual physical possession check of 10 percent of the federal credentials
issued to state and tribal inspectors and a count of unused credentials stock.
In accordance with the HPV Policy, have frequent discussions with delegated agencies to
ensure consistent implementation of the Policy, including consideration of the Watch List.
Negotiate facility-specific CMS plans with all delegated agencies and ensure delegated
agencies are aware of the flexibilities available within the CMS. Evaluate progress
throughout the year and work with delegated agencies to revise such CMS plans as
necessary. Work with headquarters to ensure that when delegated agencies use the
flexibilities offered in the CMS to tailor their strategy to state/tribal/local specific
circumstances, such use of flexibility is taken into account to accurately represent delegated
agency performance in program reviews and to the public.
Communicate to state, tribal and local agencies that they are expected to use the Exchange
Network to report AFS data as soon as the system is in production and schema is available.
Conduct a sufficient number of oversight inspections to ensure the integrity and quality of
each authorized state's or tribe's compliance monitoring program.
In follow-up to annual planning meetings with senior federal and state management, convene
routine and regular (several times per year) meetings with senior state management to assess
progress in how the state has been performing overall in its implementation of the program.
Ensure facility performance data is accessible to the public consistent with agency policy and
regulations.
Support the agency's Next Generation Compliance by promoting advanced monitoring and
electronic reporting to improve compliance and enhance the ability to identify violations that
may harm pub lie health and/or the environment. Increase transparency and improve targeting
for noncompliance. Develop innovative enforcement approaches and participate in agency
rulemaking workgroups to ensure regulations are designed to promote compliance and are
implementable.
25
-------
• Conduct SRF consistent with the schedule outlined in the agreed-upon ACS commitments.
Provide recommendations and conduct follow-up as appropriate in accordance with national
SRF guidance.
• Implement specific actions designated in OECA' s Climate Change Adaptation Plan,
scheduled for completion in June 2013, to more fully integrate climate change adaptation
activities into the compliance and enforcement program where appropriate.
• As necessary, work with OECA to identify and evaluate program areas that could become
national priorities/enforcement initiatives in the future.
Measures: See ACS measures CAA04 and CAA06 in Appendix I, page 5.
8. RCRA Subtitle C Hazardous Waste Program
Description: The critical compliance monitoring and enforcement activities for the Resource
Conservation and Recovery Act (RCRA) Subtitle C Hazardous Waste Program are described
below.
Activities:
Authorized states and EPA regions, in their oversight and direct implementation roles, including
in Indian country, should:
• Address RCRA problems that matter to communities, especially tips and complaints, and
identify and follow-up on the highest priority concerns.
• Meet statutory requirements to conduct a minimum number of thorough inspections annually
including financial assurance requirements for Treatment, Storage, and Disposal Facilities
(TSDF), operated by state/local governments, and biennially for non-governmental TSDFs.
• Follow the RCRA Compliance Monitoring Strategy (CMS). Note: states may use the
flexibilities described in the RCRA CMS for Large Quantity Generators (LQGs) and TSDFs.
• Undertake timely and appropriate enforcement actions that produce significant
environmental benefits.
• Complete on-going work in the mining/mineral processing priority area, consistent with the
national strategy, unless continued noncompliance is detected.
• Consider the following focus areas as a high priority when developing strategies for targeting
compliance assurance work and annual plans for respective activities in the regions:
• Surface Impoundments: hazardous waste in unlined surface impoundments.
• Centralized Wastewater Treatment Facilities: mismanagement of hazardous wastes,
and treatment and discharge of wastes without permits.
• Zinc Hazardous Secondary Materials Reevelers: zinc fertilizer manufacturing that
use hazardous waste; sham recycling and recycling.
• Waste Analysis Plans at Commercial TSDFs: treatment and stabilization techniques
and the sampling and analysis of hazardous waste treated to meet the Land Disposal
Restriction (LDR) treatment standards for land disposal.
• RCRA Corrective Action: facilities that have not made meaningful progress in
achieving remedial objectives, and on financially marginal or bankrupt facilities.
26
-------
Monitor compliance with orders and permits, identify substantial noncompliance
with such instruments, and take enforcement actions where appropriate.
• Mercury from specific sources: sectors such as universal waste lamp handlers and
recyclers.
EPA regions should also:
• Ensure that the most serious instances of noncompliance are addressed through planning with
states, state oversight, regular (e.g. quarterly) meetings, targeted inspections and
enforcement, and through direct implementation in states and Indian country.
• Conduct a sufficient number of oversight inspections to ensure the integrity and quality of
each state's compliance monitoring program.
• Support the agency's Next Generation Compliance by promoting advanced monitoring and
electronic reporting to improve compliance and enhance the ability to identify violations that
may harm pub lie health and/or the environment. Increase transparency and improve targeting
for noncompliance. Develop innovative enforcement approaches and participate in agency
rulemaking workgroups to ensure regulations are designed to promote compliance and are
implementable.
• Conduct SRF consistent with the schedule outlined in the agreed-upon ACS commitments.
Provide recommendations and conduct follow-up as appropriate in accordance with national
SRF guidance.
• Take enforcement action, consistent with national policy, where states are not addressing
serious noncompliance or when federal enforcement may provide a more comprehensive
response than an individual state response (for example on issues that involve multiple
states).
• Use electronic reporting tools as feasible when monitoring compliance with orders/permits.
• Screen for potential environmental justice concerns at RCRA facilities.
• Support, and encourage states to support RCRA inspector training development.
• Ensure regional direct implementation in states and Indian country includes applying the
RCRA compliance monitoring strategies and enforcement policies and OEC A's Guidance on
the Enforcement Principles Outlined in the 1984 Indian Policy (January 17, 2001)
(http://www.epa.gov/compliance/resources/policies/state/84indianpolicy.pdf), which contains
procedures for consultation with federally-recognized tribes in the civil compliance
monitoring and enforcement context and threshold criteria for EPA's consideration of formal
civil enforcement actions. The threshold criteria should not result in a lesser degree of human
health and environmental protection in Indian country than elsewhere in the United States.
• Ensure that state and tribal inspectors who inspect on behalf of EPA are trained and
credentialed consistent with agency guidance, including the Guidance for Issuing Federal
EPA Inspector Credentials to Authorize Employees of State/Tribal Governments to Conduct
Inspections on Behalf of EPA (2004). Consistent with the EPA Order 3510, annually conduct
an inventory of federal credentials which includes an annual physical possession check of 10
percent of the federal credentials issued to state and tribal inspectors and a count of unused
credentials stock.
• Implement specific actions designated in OEC A's Climate Change Adaptation Plan,
scheduled for completion in June 2013, to more fully integrate climate change adaptation
activities into the compliance and enforcement program where appropriate.
27
-------
• As necessary, work with OECA to identify and evaluate program areas that could become
national priorities/enforcement initiatives in the future.
Measures: See ACS measures RCRA02, RCRA02s and OSRE04 in Appendix I, pages 6-8.
Measures RCRA 01, RCRA Ols, RCRA03 support the statutory and regulatory requirements and
are listed on pages 5-7.
9. RCRA Underground Storage Tank (UST) Subtitle I Program
Description: A major focus of the RCRA UST program is to maintain an enforcement
presence concerning leak prevention, leak detection, corrective action, closure and financial
responsibility violations. States have primary responsibility for determining facility compliance,
ensuring adequate inspection coverage of the regulated universe, taking appropriate actions in
response to non-compliance and playing a vital role in alerting the EPA to regulatory
implementation problems. The agency will address violations that pose the greatest threat to
health where a federal response is necessary and shift away from enforcement work on more
routine UST violations. The EPA intends to maintain compliance monitoring and enforcement
resources to directly implement the UST program in Indian country. The enforcement program
will also continue to support the Office of Underground Storage Tanks in promulgating any UST
regulations and help develop innovative approaches to promote and maintain compliance using
next generation compliance and enforcement methods.
Activities:
EPA regions will focus on:
• UST inspections that will produce the greatest environmental and human health benefits.
Factors to consider in identifying facilities for inspection under the UST program include:
• Owners and operators of USTs located in Indian country;
o Regional direct implementation in Indian country should take place pursuant to
the applicable enforcement policies and OECA 's Guidance on the Enforcement
Principles Outlined in the 1984 Indian Policy (January 17, 2001), which contains
procedures for consultation with federally-recognized tribes in the civil
compliance monitoring and enforcement context and threshold criteria for EPA's
consideration of formal civil enforcement actions. The threshold criteria should
not result in a lesser degree of human health and environmental protection in
Indian country than elsewhere in the United States.
o Inspections in Indian country will be conducted consistent with the Energy Policy
Act 3 year inspection requirement.
• Owners and operators managing UST facilities in multiple states;
• Mid-level distributors operating multiple UST facilities;
• Problem non-compliers (i.e. repeat violators; owners/operators who fail to cooperate
in an effort to return to compliance);
• Owners and operators of facilities with USTs that endanger sensitive ecosystems or
sources of drinking water;
• Corporate, government-owned and federal central fueling facilities; and
28
-------
• Owners and operators of UST facilities in areas with potential environmental justice
concerns.
• Issuance of enforcement actions and assessment of penalties, as appropriate. Focus on
developing large complex cases involving noncompliance on a corporate-wide basis or
noncompliance in multi-state operations. Regions will consult with the states on use of
delivery prohibition, when appropriate, to address significant noncompliance. This tool may
not be an option for states and tribes that do not have delivery prohibition programs.
10. RCRA Corrective Action
Description: RCRA corrective action is implemented by the EPA and 43 authorized states and
territories. On April 27, 2010, OECA and OSWER jointly issued the "NationalEnforcement
Strategy for Corrective Action " (NESC A). This strategy encourages the EPA and states to
continue to work in partnership to achieve the 2020 Corrective Action goals and emphasizes the
need for close communication and coordination between EPA and states to meet these goals.
NESCA provides guidance to regions and states for targeting enforcement efforts and addressing
special considerations that arise in the enforcement arena, such as ensuring enforceable
requirements and deadlines in permits and orders are clearly identified, focusing on companies
having financial difficulties, using CERCLA authorities, where appropriate, ensuring
institutional controls are effective and enforceable and long-term stewardship requirements are
met, and increasing the transparency and community involvement of enforcement efforts. OECA
will continue to provide training to regions and states on how to review financial assurance
submissions for compliance, and in particular, the financial test and corporate guarantee. To help
achieve the RCRA Corrective Action program goals and ensure that meaningful progress is
being made at facilities subject to corrective action, regions and authorized states should work
closely together and continue implementing NESCA in FY 2014. On September 27, 2012, the
EPA issued a NESCA assessment report that recommended the following future actions:
increase emphasis on communication and coordination within the EPA and with state partners,
explore opportunities for compliance monitoring, and increase the state role in corrective action
compliance monitoring and enforcement (see http ://www.epa. gov/compliance/resources/
pub lications/cleanup/rcra/ne sca-assessment-2012.pdf). One of the next steps included in the
September 27, 2012 NESCA assessment report is to explore the development of new compliance
measures that are consistent with and measure progress toward the agency's goals for the 2020
universe. OECA is not proposing any such measures at this time. However, Region 5 is piloting
corrective action compliance monitoring activity in F Y 2014.
Activities:
Authorized states and regions should:
• Enhance coordination within your offices and amongst regulatory partners. When permits or
orders are being developed, renewed or modified, coordinate to ensure that they contain clear
schedules for corrective action and enforcement processes as appropriate.
• Emphasize compliance monitoring, including reviewing permits and orders to determine
whether noncompliance with cleanup milestones exists, and taking appropriate action in
cases of noncompliance.
29
-------
• When establishing potential enforcement targets, regions are encouraged to focus attention
on identifying and addressing disproportionate impacts on minority, low income, tribal and
other vulnerable populations.
Measures: See ACS measure HQ-VOL in Appendix I, page 7. The HQ ACS commitment for
Volume of Contaminated Media Addressed (VCMA) has been adjusted from 300 to 275 million
cubic yards per year.
11. TSCA Lead Risk Reduction Program
Description: The EPA regions and authorized states are expected to implement the National
Compliance Monitoring Strategy (CMS) for Lead Based Paint (LBP)8, which focuses on work
being done to protect children's health. For FY 2014, 90 percent of the region's TSCA resources
should focus on the lead compliance assurance program. However, up to 20 percent of these
same resources maybe shifted by the region to other Toxic Substances Control Act (TSCA)
compliance assurance activities consistent with this NPM Guidance. The intent here is to provide
flexibility for regional TSCA initiatives and to take into account unique regional situations.
Where regions choose to exercise this flexibility they should provide a rationale and articulate
how this flexibility is consistent (or why inconsistent) with the CMS.
Activities:
EPA regions should:
• Focus primarily on compliance with the LBP Renovation, Repair and Painting (RRP) Rule
/Pre-Renovation Education (PRE) Rule. With regard to the regions' LBP compliance efforts,
regions should direct 95 percent of their efforts in the lead program towards RRP/PRE, and
no more than 5 percent to new § 1018-only compliance. Regions should prioritize their
activities to assure compliance with RRP work practices requirements. Regions may employ
targeting that, while focusing on RRP/PRE, allows for concomitant compliance monitoring
with other LBP rules (the § 1018 and § 402 Abatement rules), as appropriate.
• Implement the program priorities and activities, including those set out in detail in the CMS,
to balance the various types of inspections and other compliance assurance activities. The
effective and efficient targeting of inspections, particularly work practice inspections,
requires that the regions know the regulated universe, and prioritize the problems to be
addressed. Regions should attempt to maximize their enforcement presence by focusing on
larger violators, as appropriate.
• Use the inspection targeting principles set forth in the CMS with a focus on monitoring
contractors' actual compliance with required work practices. Focus efforts in high-priority
lead "hot spots" as described in the CMS [e.g., geographical areas with evidence or
indicators of significant or wide-spread Elevated Blood Lead Levels (EBLLs)].
• Respond appropriately to tips and complaints and actively follow-up on the highest priorities.
8 Please see Compliance Monitoring Strategy for the Toxic Substances Control Act (September 16, 2011),
including Appendix E - Lead-based Paint Program and Appendix F - Lead-based Paint Program
Resources, at: http://www.epa.gov/compliance/resources/policies/monitoring/tsca/tsca-cms.pdf.
30
-------
• Coordinate with OECA to bundle press activities related to cases from multiple regions, as
appropriate.
• Partner with state and local government code enforcement and building permit programs and
state/local health departments to conduct joint inspections.
• Partner with health departments and health care providers to identify lead hot spots and
individual properties associated with EBLL children.
• Initiate civil enforcement actions, consistent with national policy, to eliminate any regional
inspection backlog and expeditiously bring facilities into compliance.
• Work with their LBP program to encourage states to seek authorization for the RRP program.
• Conduct appropriate oversight of authorized state § 402 and § 406 programs.
• Consistent with the EPA Order 3510, conduct an annual inventory of federal credentials
which includes a physical possession check of 10 percent of the federal credentials issued to
state inspectors and a count of unused credentials stock.
• Enter all federal inspection and enforcement cases into the national database in a timely and
accurate manner.
• As necessary, work with OECA to identify and evaluate program areas that could become
national priorities/enforcement initiatives in the future.
Measures: See ACS measures TSCA 01OC and TSCA 02OC in Appendix I on pages 7-8.
The Lead Based Paint component of ACS commitment TSCA 01OC will serve as OECA's FY
2014 measure of compliance work being done to protect children's health.
12. TSCA New and Existing Chemicals Programs
Description: The TSCA New and Existing Chemicals Program is exclusively a federal
program that provides for review of the toxicity of chemicals prior to their manufacture and
importation to prevent unreasonable risk to human health and the environment and requires a
series of notifications and submissions from regulated industry. For FY 2014, 90 percent of the
region's TSCA resources should focus on the lead compliance assurance program. However, up
to 20 percent of these same resources maybe shifted by the region to other TSCA compliance
assurance activities consistent with this NPM Guidance. The intent here is to provide flexibility
for regional TSCA initiatives and to take into account unique regional situations. Where regions
choose to exercise this flexibility they should provide a rationale and articulate how this
flexibility is consistent (or why inconsistent) with the Compliance Monitoring Strategy (CMS)
for the Toxic Substances Control Act.
Activities:
EPA regions should:
• Focus TSCA chemical program compliance activities on chemical manufacturing,
distribution, processing, use, or disposal in emerging technologies and/or use of new
chemicals. Focus monitoring and enforcement efforts on ensuring facility compliance with
TSCA § 5 - new chemicals requirements such as Pre-manufacturing Notice (PMN);
Significant New Use Rules (SNUR's); Low Volume Exemptions (LVE' s), and on chemicals
31
-------
of concern including short chained and other chlorinated paraffins, fractions and other
priority or Action Plan chemicals or targets.
• Implement the Compliance Monitoring Strategy for the Toxic Substances Control Act
(September 16, 2011)9 including Appendix B which addresses New and Existing Chemicals.
• Obtain information through inspections and/or subpoena as appropriate. Increase the use of
TSCA subpoenas for investigation of potential noncompliance.
• Initiate civil enforcement actions, as appropriate, to bring facilities into compliance,
consistent with national policy.
• Target existing chemical reporting and record keeping requirements such as TSCA § 8(c), (d)
and (e) and the 2011 Chemical Data Reporting Rule.
• Evaluate and prioritize tips and complaints and follow-up as appropriate. Targeting for future
inspections based on credible leads from tips and complaints should also be considered.
Regions implementing this program are also expected to follow-up on all referrals received
from headquarters, states, tribes, and the public. Regions not implementing this program
should refer tips and complaints to the Waste and Chemical Enforcement Division within the
Office of Civil Enforcement.
• Strengthen program integrity through enhanced chemical data collection, reporting and
coordination between headquarters and regions. This includes increasing coordination on
targeting, setting program priorities and communicating best practices.
• Work with OECA and OCSPP/OPPT to address new and existing chemicals compliance, but
also work together to address those issues that are indicators of larger TSCA compliance
problems that may negatively impact chemical safety (e.g., through enhancements to the
Automated Commercial Environment/International Trade Data System).
• Enter all federal inspection and enforcement cases into the national database in a timely and
accurate manner.
Measures: See ACS measures TSCA 01OC and TSCA 02OC in Appendix I on pages 7-8.
13. TSCA PCB Program
Description: The TSCA PCB enforcement program is a federal only program. However, nine
states through cooperative agreements inspect on behalf of the EPA. TSCA and EPA's
implementing regulations aim to minimize risks posed by the storage, handling, and disposal of
PCBs and PCB-containing items. The EPA's enforcement program will focus its PCB
enforcement resources on nationally-significant situations involving the greatest threats to health.
The EPA will pursue nationally-significant PCB civil and criminal violations that may present a
significant risk to human health or the environment and maintain some field presence at EP A-
approved commercial PCB storage and disposal facilities. For FY 2014, 90 percent of the
region's TSCA resources should focus on the lead compliance assurance program. However, up
to 20 percent of these same resources maybe shifted by the region to other TSCA compliance
assurance activities consistent with this NPM Guidance. The intent here is to provide flexibility
for regional TSCA initiatives and to take into account unique regional situations. Where regions
9 The TSCA CMS, including Appendk B, can be found at:
http://www.epa.gov/compliance/resources/policies/monitoring/tsca/tsca-cms.pdf.
32
-------
choose to exercise this flexibility they should provide a rationale and articulate how this
flexibility is consistent (or why inconsistent) with the Compliance Monitoring Strategy (CMS)
for the Toxic Substances Control Act.
Activities:
EPA regions should:
• Address nationally-significant PCB civil and criminal violations that may present a
significant risk to human health or the environment, consistent with national policy.
• Dependent on regional resources devoted to this program, focus inspections, case
development and enforcement on the following areas of potential significant risk:
1. PCB treatment, storage and/or disposal facilities targeted based on potential for releases,
cumulative burden on EJ communities, or associated with approvals (permitting):
a. At facilities conducting approved PCB treatment, storage, disposal, or cleanups
(the regions should inspect all approved commercial PCB treatment, storage, and
disposal facilities at least once every three years);
b. Areas where releases from unauthorized sources are going into sources of
drinking water or other sensitive populations.
2. Non-TSD Locations:
a. Natural gas pipelines;
b. Used oil facilities that receive and dilute PCB contaminated oil, and related
possible distribution in commerce, contamination, decontamination, and disposal;
c. Follow-up where improperly or unmanifested PCB waste was turned away by
disposal sites and was either returned to the generator or taken in by the storer/
disposer, as well as facilities that have the potential to receive unmanifested
shipments;
d. Potential PCB-containing abandoned buildings, textile mills, and other facilities
located in close proximity to residential communities assuming the existence and
location of these facilities is known to the EPA region.
3. Follow-up on tips/complaints that involve potential for illegal disposal and significant
risk.
4. As appropriate, coordinating joint TSCA/RCRA PCB inspections at oil recyclers to
efficiently use resources.
• Taking into account the aforementioned focus for the FY 2014 program, implement the
Compliance Monitoring Strategy for the Toxic Substances Control Act (September 16, 2011)
including Appendix C - PCBs10.
• Monitor, evaluate and take action on compliance requirements/submittals/schedules under
Consent Decrees and Consent Agreements.
• Ensure that any state and tribal inspectors who inspect on behalf of EPA are trained and
credentialed consistent with agency guidance, including the Guidance for Is suing Federal
EPA Inspector Credentials to Authorize Employees of State/Tribal Governments to Conduct
Inspections on Behalf of EPA (2004).
10 The TSCA CMS, including Appendix C, can be found at:
http://www.epa.gov/compliance/resources/policies/monitoring/tsca/tsca-cms.pdf
33
-------
• Consistent with the EPA Order 3510, conduct an annual inventory of federal credentials
which includes a physical possession check of 10 percent of any federal credentials issued to
state and tribal inspectors and a count of unused credentials stock.
• Enter all federal inspection and enforcement cases into the national database in a timely and
accurate manner.
States with EPA cooperative agreements should:
• Implement the agreed-upon work plan in their cooperative agreements.
Measures: See ACS measures TSCA 01OC and TSCA 02OC in Appendix I on pages 7-8.
14. TSCA Asbestos Program/AHERA
Description: Since 1986, the Asbestos Hazard Emergency Response Act (AHERA) amended
TSCA to require schools to inspect their buildings for asbestos-containing materials and
implement asbestos-management programs. The EPA will focus its efforts on addressing the
most egregious violations of AHERA in order to protect human health and the environment. For
FY2014, 90 percent of the region's TSCA resources should focus on the lead compliance
assurance program. However, up to 20 percent of these same resources maybe shifted by the
region to other TSCA compliance assurance activities consistent with this NPM Guidance. The
intent here is to provide flexibility for regional TSCA initiatives and to take into account unique
regional situations. Where regions choose to exercise this flexibility they should provide a
rationale and articulate how this flexibility is consistent (or why inconsistent) with the
Compliance Monitoring Strategy (CMS) for the Toxic Substances Control Act.
Activities:
EPA regions should:
• Address the most egregious violations of AHERA consistent with national policy.
• For states and tribes that do not have a cooperative agreement with the EPA, taking into
account regional resources devoted to this program, investigate and respond appropriately
(including taking enforcement action as appropriate) within a reasonable amount of time to
tips/complaints containing allegations that provide a reasonable basis to believe that a
violation has occurred.
• For states and tribes that do not have a cooperative agreement with the EPA, taking into
account regional resources devoted to this program, consider conducting compliance
inspections at state and local government facilities to monitor compliance with the asbestos
worker protection requirements in states where state and local government employees are not
protected by the OSHA Asbestos Standards.
• In states that have non-waiver status, review and evaluate a sampling of the state's inspection
reports for enforcement action.
34
-------
• Taking into account the aforementioned focus for the FY 2014 program, implement the
Compliance Monitoring Strategy for the Toxic Substances Control Act (September 16, 2011)
including Appendix D - Asbestos1l.
• Ensure that any state and tribal inspectors who inspect on behalf of EPA are trained and
credentialed consistent with agency guidance, including the Guidance for Issuing Federal
EPA Inspector Credentials to Authorize Employees of State/Tribal Governments to Conduct
Inspections on Behalf of EPA (2004).
• Consistent with the EPA Order 3510, conduct an annual inventory of federal credentials
which includes a physical possession check of 10 percent of the federal credentials issued to
state and tribal inspectors and a count of unused credentials stock.
• Enter all federal inspection and enforcement cases into the national database in a timely and
accurate manner.
Waiver and non-waiver states are expected to:
• Within a reasonable period of time, investigate and respond appropriately to any
tips/complaints containing allegations that provide a reasonable basis to believe that a
violation has occurred.
• Conduct inspections in each state to assure equitable protection and ensure compliance with
the TSCA asbestos regulations.
• In waiver states, take appropriate enforcement action under state law.
• In non-waiver states, submit completed inspection reports to the EPA region for review and
enforcement action as appropriate, consistent with the state's cooperative agreement.
Consider conducting compliance inspections at state and local government facilities to
monitor compliance with the asbestos worker protection requirements in states where state
and local government employees are not protected by the OSHA Asbestos Standards.
Measures: See ACS measures TSCA 01OC and TSCA 02OC in Appendix I on pages 7-8.
15. FIFRA Program for Compliance Assurance and Enforcement
Description: The EPA will ensure compliance with and effective enforcement of FIFRA
regulatory requirements. The EPA will generally prioritize its compliance monitoring activities
based on risk to human health and the environment. The program should include a balance of
compliance and enforcement activities covering: worker protection, pesticide registration and
labeling, product efficacy (including enforcement follow-up of efficacy failures of antimicrobial
products) and compositional integrity, producing establishment registration and reporting, import
and export requirements, unreasonable adverse effects reporting, and other noncompliant
pesticides.
Activities:
EPA regions, working with states and tribes, should:
1: The TSCA CMS, including Appendix D can be found at:
http://www.epa.gov/compliance/resources/policies/monitoring/tsca/tsca-cms.pdf
35
-------
• Participate in the 3 FIFRAFocus Areas: a) Imports; b) Supplemental Registrations; and
c) a Region Specific Area, discussed on page 38 of thisNPM Guidance.
• Encourage state and tribal involvement in supporting these activities, as appropriate, by
including relevant activities in their negotiated cooperative agreements.
• Convene routine and regular meetings between the region and state to discuss how the
state has been performing overall in its implementation of the program. Evaluate
appropriateness of state/tribal enforcement responses during grant reviews, with emphasis
on case reviews of farm workers' complaints and NPM Guidance focus areas.
• Focus oversight resources on the most pressing performance problems and work to
demonstrably improve state performance.
• Take enforcement, consistent with national policy, to address serious violations in the
absence of appropriate state response.
• Negotiate, oversee implementation of and review state and tribal performance under
pesticide enforcement cooperative agreements following existing policy and guidance.
• Per the cooperative agreement guidance, encourage states and tribes to engage in
compliance monitoring activities that support other pesticide program issues of interest,
such as pollinator protection incident data collection and water contamination data
collection in urban and agricultural settings.
• Provide states and tribes targeting assistance, with emphasis on producer establishments.
• Ensure that state and tribal inspectors who inspect on behalf of EPA are trained and
credentialed consistent with agency guidance, including the Guidance for Issuing Federal
EPA Inspector Credentials to Authorize Employees of State/Tribal Governments to
Conduct Inspections on Behalf of EPA (2004). Consistent with the EPA Order 3510,
annually conduct an inventory of federal credentials which includes an annual physical
possession check of 10 percent of the federal credentials issued to state and tribal
inspectors and a count of unused credentials stock.
• Apply the various FIFRA enforcement policies and OEC A's Guidance on the
Enforcement Principles Outlined in the 1984 Indian Policy (January 17, 2001)
fhttp://www.epa.gov/compliance/resources/policies/state/84indianpolicy.pdf) when doing
direct implementation in Indian country to ensure adequate human health and
environmental protection in Indian country as elsewhere in the United States.
• Ensure timely and accurate entry of state/tribal performance data into FITS and federal
inspection and enforcement data into ICIS.
• As necessary, work with OECA to identify and evaluate program areas that could become
national priorities/enforcement initiatives in the future.
Measures: See ACS measure FIFRA-FED1 in Appendix I, page 8.
16. FIFRA Imports
Description: The EPA's enforcement program addresses the illegal importation of
unregistered or otherwise noncompliant pesticide products into the United States by bringing
enforcement actions against importers and others and working with other governments, agencies
and stakeholders to prevent and reduce risks of unsafe products entering our country, with
special emphasis on enforcing against importers of high-risk unregistered pesticides. Illegal
36
-------
pesticide imports may present significant human health and environmental risks and have been
linked to poisonings of children and pets, so interception before they enter the United States is
critical. The EPA regions are the primary source of inspections and enforcement for this area.
States may become involved through region-to-state referrals to monitor post-entry import
compliance or states may encounter imported products during the course of other compliance
monitoring inspections. Regions should make their states aware of EP A's strong interest in
import compliance and encourage collaboration with the EPA when situations warrant. FIFRA
imports work helps to further the work of the Interagency Working Group on Import Safety
established by Executive Order 13439 and the current "One U.S. Government at the Border"
initiative. Currently, EPA staff manually re view FIFRA Notices of Arrival (NO As) for pesticide
products and devices entering the U.S. and provide direction and guidance to Customs and
Border Protection (CBP) as to whether the product should be allowed to enter U.S. commerce.
The planned transition to an automated processing system in FY 2014 [Automated Commercial
Environment in the International Trade Data System (ACE/ITDS)] creates opportunities to
reduce the investment in manual processing of NO As. Once fully functional, ACE/ITDS will
process the majority of NO As, significantly reducing the need for manual review and approval
by the EPA.
Activities:
EPA regions should:
• Monitor import compliance through inspections at:
• Entry ports, when appropriate.
• Designated destination points (conducted after the imported products have been released
by CBP and have entered into U.S. commerce, Foreign Trade Zones being used for
storage, processing or packaging prior to release into U.S. commerce).
• Focus on importers with a history of noncompliance or significant importation
activity from countries frequently associated with noncompliant shipments.
• Screen NO As for potential Confidential Statement of Formula discrepancies relating
to source of active ingredient and countries of origin. Where potential discrepancies
are noted, follow-up investigations maybe warranted at U.S. registered agents for
foreign producers and domestic producing establishments.
• Take enforcement actions, as appropriate, to ensure optimum deterrence effect and
enforcement impact, including enforcement actions that address corporate-wide
noncompliant behavior and high-risk unregistered pesticide products.
Measures: See ACS measure FIFRA-FED1 in Appendix I, page 8.
17. FIFRA Supplemental Registrations
Description: Supplemental pesticide registrations are a continued source of concern for
regulators across the country. States, which conduct thousands of marketplace inspections each
year, have raised concern over supplemental or "distributor products" labels, citing them as a
major source of noncompliance. Supplemental registrations are distributor labels approved for
marketing as a sub-registration to a registered pesticide. Although required to be consistent with
37
-------
the labels of the basic registered products, distributor product labels frequently deviate
substantially from the EPA accepted labels. The EPA issues supplemental registrations for a
wide range of pesticide products in every toxicity category, including agricultural chemicals,
pesticides used for residential pest control, lawn and garden pesticides, as well as for
disinfectants and other antimicrobial products. To address noncompliance in this focus area, the
EPA will place emphasis on registrants with a large number of current supplemental registrations
and registrants marketing high-risk Tox 1 and Restricted Use Pesticide (RUP) category
distributor products, as well as unregistered, cancelled, or suspended pesticide products. The
EPA will determine distributor product compliance by undertaking a comprehensive review of
product labeling and product chemistry, when appropriate.
Activities:
EPA regions should:
• Conduct inspections as appropriate to monitor for label/labeling compliance, product
composition and compliance with the provisions as described in 40 CFR § 152.132,
including the restrictions on where and how a supplemental distributor pesticide may be
produced and packaged. This should include review of any contract manufacturing
agreements) that should be in place. States may wish to participate too, and can be a
significant source of information about noncompliant distributor products by referring
cases involving noncompliant distributor products and sample labels obtained as part of
the state product registration process.
• Coordinate with the Office of Civil Enforcement's Waste and Chemical Enforcement
Division and other regions in developing corporate-wide cases.
• Take enforcement actions, as appropriate, to ensure optimum deterrence and compliance
impact.
Measures: See ACS measure FIFRA-FED1 in Appendix I, page 8.
18. FIFRA Region-Specific Focus Area
Description: InFY 2014, regions will work with State Lead Agencies to address FIFRA
enforcement issues of mutual EPA and state concern. Although enforcement priorities may
differ, many EPA and state interests overlap, offering an opportunity for a collaborative effort to
maximize results to address a particular problem.
Activities:
EPA regions should:
• Consult with states to identify their top enforcement priorities and focus on
environmental or human health problems that advance both state and federal enforcement
programs. Issues that may be appropriate for a coordinated enforcement focus area are
listed below:
38
-------
• Fumigants/Fumigation: Fumigants are highly toxic pesticides that are very hazardous to
handle and use. These products have a wide range of uses, including treatment of soil,
residential structures, warehouses, transportation vehicles and grains or other agricultural
commodities. Regions should work with their states to identify federal and state
producing establishment inspection (PEI) opportunities, placing emphasis on compliance
with the new soil fumigant labeling and use requirements and on fumigants frequently
involved in exposure incidents (i.e., sulfuryl fluoride, methyl bromide, aluminum
phosphide, zinc phosphide, metam-sodium and chloropicrin).
• Worker Safety: Agricultural farm workers and pesticide applicators face a
disproportionately high risk of pesticide exposure. Although most states have "primacy"
to enforce pesticide use, including worker protection standards, regions should seek
opportunities for federal cases to support state efforts. Where the EPA directly
implements FIFRA, such as in Indian country, EPA regions monitor compliance and
enforce pesticide use requirements, although tribes with cooperative enforcement
agreements may conduct inspections under their own tribal codes. Regions are expected
to place emphasis on farming activities that involve frequent use of highly toxic
pesticides or significant worker exposure, such as fruit and vegetable production and on-
farm grain and soil fumigation.
• Retail Marketing: Retail marketers of pesticide products directly impact the consuming
public. Regions should focus on national or regional retail chains operating multiple
stores nationwide or in a multi-state area. Such stores often market similar products
throughout their network of stores so that compliance issues can have corporate-wide
implications. Alternatively, regions may elect to target major distributors who sell
directly to specialized niche markets such as distributors that sell directly to hospitals,
beauty salons and barber shops, funeral homes and restaurants.
• Container/Containment: To ensure effective implementation of the container/
containment regulations, regions, states and tribes should monitor compliance with all
aspects of the new rule. Focus on compliance with container design and labeling, residue
removal and containment requirements for registrants, re-fillers, agricultural retailers,
commercial applicators and custom blenders. State/tribal user inspections should focus on
compliance with label directions for storage, cleaning and disposal of containers.
Measures: See ACS measure FIFRA-FED1 in Appendix I, page 8.
19. CERCLA
Description: EPA's CERCLA Enforcement program protects communities by requiring
responsible parties to conduct cleanups which helps preserve federal dollars for sites where there
are no viable contributing parties. Superfund enforcement 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 EPA identifies potentially responsible parties and
negotiates cleanup agreements at hazardous waste sites and, where negotiations fail, either takes
enforcement actions to require cleanup or expends Superfund appropriated dollars to clean up the
39
-------
sites. In some cases, the EPA takes both actions. When the EPA uses appropriated dollars, it
takes action against any viable responsible parties to recover cleanup costs. OECA has developed
a plan outlining how resources could be reduced while maximizing potentially responsible party
(PRP) funded cleanups and protecting human health and the environment. This plan reflects
Superfund enforcement reductions while striving to maintain PRP-lead response actions and
protect human health and the environment. OECA believes that savings can be achieved by
focusing Superfund enforcement resources on the highest-priority sites and those enforcement
activities that achieve the greatest return on investment; thus, OECA is asking regions to exert
nominal efforts to collect costs where there are unaddressed past costs less than $500,000, and to
limit formal enforcement actions for those sites.
Activities:
EPA regions will:
• Maintain focused enforcement efforts to compel cleanup early in the pipeline at non-
emergency removal action and remedial investigation/feasibility study (RI/FS) stages;
expedite remedial action by holding parties accountable to negotiation timeframes and
scheduled cleanup commitments; and rejuvenate the process for identifying responsible
parties at the site assessment stage where it appears likely that a removal or remedial
response will be necessary.
• Continue to focus on activities that maximize PRP involvement in all phases of response at
Superfund sites.
• Focus Superfund enforcement resources on the highest-priority sites and those enforcement
activities that achieve the biggest return on our investment based on environmental risk.
• Use Federal Facility Agreements (FF As) or other applicable enforcement authorities (such as
imminent and substantial endangerment orders in applicable circumstances), when federal
facilities are not complying with the terms of the agreements or with other legal
requirements. Additionally, regions and headquarters offices must collaborate to establish
new agreements. The EPA has CERCLA Section 120 interagency agreements, known as
FFAs, in place at all but two of 173 federal facility NPL sites. Those agreements govern the
cleanups conducted by the facilities, delineate EPA's oversight of those cleanups and identify
procedures for resolving disputes and ensuring accountability.
• Better utilize FFAs to make site performance data available to the public and otherwise
empower citizen involvement to enhance cleanup oversight and accountability.
• Implement the "nationally significant" consultation procedures; since all federal facility
enforcement actions are "nationally significant" by OECA policy and require consultation
with headquarters. This consultation will be even more important as the regions contemplate
new work in this program.
• Ensure that institutional controls are implemented at sites in potential environmental justice
areas of concern.
• Implement the Community Engagement Initiative designed to enhance headquarters and
regional program engagement with states, tribes, local communities and stakeholders to
meaningfully participate in government decisions on land cleanup, emergency response, and
the management of hazardous substances and waste. Information can be found at:
http://www.epa.gov/oswer/docs/cei action plan 12-09.pdf
40
-------
• Provide site-specific fact sheets, which include enforcement information that is finalized and
available to the public on regional web pages.
Measures: See ACS measures OSRE-01, OSRE-02 and HQ-VOL in Appendix I, pages 7-8.
For OSRE-02, the dollar threshold to pursue past costs was raised from $200,000 to $500,000
consistent with the change in practice described above. For HQ-VOL, the HQ commitment for
Volume of Contaminated Media Addressed (VCMA) has been adjusted from 300 to 275 million
cubic yards per year.
20. EPCRA313 Toxics Release Inventory
Description: The EPA and the public rely on EPCRA 313 for information on chemical
releases entering the environment. The EPA must ensure that companies report accurately and
within required time frames so the publicly available database remains timely, accurate and
inclusive. Regions should ensure the compliance of facilities that maybe contributing to
pollution problems that matter to their respective communities, and develop enforcement cases
that produce significant environmental benefits.
Activities:
EPA regions should:
• Physically inspect, send information requests or show cause letters, or use other agreed upon
compliance monitoring activities (pursuant to the national dialogue on EPCRA 313
compliance monitoring) to determine the compliance of enforcement targets developed by
OECA/OEI. Address the following categories of concern as resources allow:
• Potential never-reporters (such as targeting facilities in the same sectors where a facility
may not have reported but a similar facility in the same sector did report);
• Potential data quality issues (such as facilities with significant changes in release
estimates or other waste management amounts from one year to the next or facilities in
the same sector where a facility reports significantly more/less than a similar facility in
the sector);
• Potential non/late-reporters (facilities that report in one year but failed to report the
following year or any prior year up to the past five years);
• Additional OECA-provided targeting focusing on revisions, communities, chemicals,
sectors of concern or new regulations, failures to comply with Notices of Noncompliance
for non-certification and failures to correct Notices of Significant Errors. Regions may
focus on facilities whose releases have the most impact on the TRI database (which is
approximately 90 percent of the releases to be entered into the database). This will allow
the regions flexibility in selecting their targets.
• Track and prioritize tips and complaints and follow-up, as needed.
• Work with the Air, RCRA and Water compliance and enforcement programs to add EPCRA
questions to information requests where appropriate, evaluate the responses and take
appropriate enforcement actions, consistent with national policy, or combine with other
enforcement actions.
41
-------
• Respond to OECA' s requests for reviewing draft TRI regulations for enforceability, the
revised draft section 313 enforcement response and penalty policy and any other documents
or proposed actions where OECA requests regional input on enforcement matters.
• Provide legal and technical enforcement case support; obtain additional information through
investigations, show cause letters, subpoenas and other actions, as appropriate, or determine
that follow-up is not necessary.
• Enter all federal enforcement cases into national databases in a timely and accurate manner.
• As necessary, work with OECA to identify and evaluate program areas that could become
national priorities/enforcement initiatives in the future.
Measures: See ACS measures EPCRA 01 and 02 in Appendix I, page 8.
21. EPCRA 304, 311/312 and CERCLA 103
Description: Chemical release notification and emergency preparedness are addressed under
EPCRA 304, 311 and 312 and CERCLA 103. The EPA and the public rely on EPCRA for
information on chemical releases entering the environment, and on the storage of chemicals at
facilities. The EPA, states, tribes, local entities, and communities rely on the combined EPCRA
and CERCLA information to prepare local chemical emergency response plans, and to more
safely and adequately respond to chemical emergencies. EPCRA sections 311 and 312 will
continue to require facilities to develop or have available Safety Data Sheets and to provide
annual reports on a facility's chemical inventory directly to state and local emergency response
entities. The statute authorizes citizen suits and civil suits by state or local governments against
owners or operators of a facility for failure to comply with specific EPCRA provisions.
Regarding federal enforcement, the EPA will focus resources on the highest priority violations,
and be available to respond to significant enforcement issues (e.g. violations that create
significant risks to communities, workers and first responders or state or tribal requests for
federal action against recalcitrant facilities). Furthermore, the EPA will leverage agency-wide
resources, as appropriate, to address this program; both OSWER and OECA agree that Risk
Management Plan inspections should also include an evaluation of the facility's compliance with
EPCRA sections 304 and 311/312 and CERCLA 103.
Activities:
EPA regions should:
• Use screening and targeting tools to focus limited federal resources on national and regional
priority areas. In targeting for inspections, regions should consider the presence of significant
quantities of CERCLA hazardous or EPCRA extremely hazardous chemicals, proximity to
population centers, a history of significant accidental releases and any other information that
indicates a facility maybe high-risk.
• Evaluate compliance with applicable EPCRA and CERCLA requirements during CAA
section 112(r) inspections.
• Within a reasonable period of time, evaluate and respond, if appropriate (including taking
enforcement action where appropriate) to any tip or complaint containing allegations that
provides a reasonable basis to believe that a violation has occurred.
42
-------
• Evaluate certain continuous release submissions for accuracy and compliance and take
appropriate enforcement actions for non-compliance.
• Focus resources on the highest priority violations and respond to significant enforcement
issues.
• Enter timely, complete and accurate data into national databases.
22. Federal Activities
Description: The Office of Federal Activity's work focuses on three areas: fostering
compliance and pollution prevention through international cooperation; assisting other federal
agencies in making environmentally sound decisions which include early public involvement and
transparency by complying with the National Environmental Policy Act (NEPA); and guiding
the EPA's own compliance with NEPA and applicable statutes and Executive Orders.
Activities:
EPA regions should work to assure international compliance and prevent illegal trans-boundary
movement of hazardous waste by:
• Improving environmental performance and cooperation in accordance with Goal 5 of the
U.S./Mexico Border 2020 Plan (Regions 6 and 9).
• Enhancing enforcement, compliance, and capacity building efforts with Mexico and Canada
relating to trans-boundary compliance monitoring on the U.S. borders for hazardous waste, e-
waste, CFCs, selected chemicals and products (e.g., mercury, engines), and other regulated
substances (border regions).
• Improving performance of joint responsibilities along the border and ports of entry into the
United States by working with the Bureau of Customs and Border Protection (CBP) through
appropriate contact channels (all regions).
• Promoting international environmental enforcement by supporting foreign capacity building
efforts, as appropriate, and through participation in relevant organizations and networks, such
as the Enforcement Working Group of the North American Commission for Environmental
Cooperation (CEC) and the International Network for Environmental Compliance and
Enforcement (INECE) and, in particular, its Seaport Environmental Security Network
(regional participation as appropriate).
• Reviewing the permit and compliance status of U.S. receiving facilities, utilizing established
guidance, in connection with 100 percent of the notifications for the import of hazardous
waste they receive from EPA headquarters and, based on the review, recommending consent
or objection to notifications within the time periods allowed under applicable international
agreements (all regions).
• As a regular part of regional inspection activities, conducting periodic inspections of U.S.
facilities which receive imported hazardous waste (TSDFs) and generators and other primary
exporters of hazardous waste, cathode ray tubes (CRTs) and spent lead acid batteries
(SLABs), based on information provided by OFA which identifies those facilities
participating in import and export shipments.
EPA regions should implement the National Environmental Policy Act (NEPA) by:
43
-------
• Fulfilling the EPA's obligations under NEPA and Section 309 of the Clean Air Act by
reviewing and commenting on all major proposed federal actions to ensure identification,
elimination or mitigation of significant adverse effects, and making the comments available
to the public.
• Ensuring that projects likely to have significant impacts (e.g., transportation, mountaintop
mining, and energy) receive sound environmental analysis, use cooperation among agencies
to resolve differences, consider environmental justice, incorporate innovation and support
public involvement through a more streamlined and transparent environmental review
process.
• Ensuring that 70 percent of significant impacts identified by the EPA during the NEPA
review of all major proposed federal actions will be mitigated. (GPRA measure)
• Ensuring that at least 90 percent of EPA projects subject to NEPA environmental assessment
or EIS requirements (e.g., water treatment facility projects and other grants, new source
NPDES permits and EPA facilities) are expected to result in no significant environmental
impact.
• Promoting environmental justice considerations throughout the environmental decision-
making process and encouraging public involvement early in the process to maximize
transparency.
• Preparing environmental analyses (EIS s or EAs) and posting them on the internet or making
categorical exclusion determinations for EP A-issued National Pollutant Discharge
Elimination System (NPDES) permits for new sources, for states/tribes without authorized
NPDES programs; off-shore oil and gas sources, including permits for deep water ports, EPA
laboratories and facilities; and Clean Water Act wastewater treatment plant grants.
• Preparing environmental analyses (EAs or EISs) and posting them on the internet or making
categorical exclusion determinations for Special Appropriation grants for wastewater,
drinking water supply and solid waste collection facilities; Border Environment
Infrastructure Funds (for the US/Mexico Border Environment Cooperation Commission
projects); and reviews conducted under "EPA 's Voluntary NEPA Compliance Policy."
• Entering the results of their 309 reviews and NEPA compliance actions into the Lotus Notes
EIS Tracking Database maintained by headquarters OF A. Regions should report to the Office
of Federal Activities quarterly on the status of their 309 reviews and NEPA compliance
actions pursuant to the Government Performance Reporting Act reporting process.
23. Criminal Enforcement Program
Description: The criminal enforcement program investigates and assists in the criminal
prosecution of knowing violations of environmental laws as well as any associated violation
of the U.S. criminal code, such as wire fraud, smuggling, obstruction of justice, etc. The program
works with other federal law enforcement agencies on cases of mutual interest, e.g., the
Department of Homeland Security related to the illegal importation of banned pesticides. The
program will continue to work with civil enforcement to look for criminal enforcement
opportunities to advance National Enforcement Initiatives and instances of behavior on the part
of regulated entities that represent inherently criminal conduct, such as falsifying data. The
program will work with EPA civil enforcement and program offices in headquarters (HQ) and
the regions to enhance the case screening process so that decisions to prosecute civilly or
44
-------
criminally are based on the best way to respond to the violation; the program will focus on
securing the best results by providing clarity on when civil investigators should refer a matter to
criminal enforcement and sharing criminal enforcement information with the civil enforcement
program, where appropriate. The program will integrate environmental justice (EJ) concerns in
assessments of criminal investigations and will use EPA's screening too Is and regional input
along with other relevant information. Cases that meet the threshold level for heightened analysis
are considered to have potential EJ concerns for criminal enforcement purposes.
Activities:
EPA regions and OECA' s HQ Civil Program coordinate with the Office of Criminal
Enforcement, Forensics and Training to:
• Refer to the criminal enforcement program for consideration any matter that appears to be
criminal in nature.
• Revise/update existing case screening policy memos to ensure that the criminal and civil
enforcement programs are coordinating to ensure the optimal enforcement response to
violations of federal environmental laws.
• Develop incentives and measures to ensure efficient sharing of information and resources
between civil and criminal enforcement programs.
• Develop a shared civil/criminal case screening database, similar to the one developed in
Region 1, for use in every region.
• Conduct case screening sessions to agree upon the appropriate enforcement response to a
potential criminal offense.
The Office of Criminal Enforcement, Forensics and Training will:
• Develop/refine criteria for Tier 1 (TI) and Tier 2 (T2) cases as well as for opening lower Tier
cases. Identify NON-T1/T2 cases that offer high deterrent value because of cumulative
impacts of many similar smaller cases.
• Conduct semiannual case and docket reviews, by headquarters' Criminal Investigation
Division, of SAC offices to advance and track high impact cases, including Tl and T2.
Determine which cases, if any, should be closed (especially Tiers 3 and 4); reallocate
resources to higher-impact cases.
• Meet with the regional EJ coordinator to obtain additional information supporting why the
case has potential EJ concerns.
• Develop and provide training for civil EPA counterparts to identify and share information
regarding criminal conduct.
• Through NEIC, evaluate new and emerging technologies needed to implement enhanced
targeting and compliance assurance approaches.
• Analyze emissions and compliance information to identify potential criminal violations by
certain industrial sectors and individual facilities.
• Work withDOJ to: (1) explore innovative uses of criminal sentencing options, e.g.,
community service or environmental compliance plans; and (2) use information obtained
pursuant to the Crimes Victim's Rights Act (CVRA) when developing environmental crimes
case resolutions, e.g., restitution.
45
-------
Provide targeted training to state, tribal and law enforcement partners, particularly the
International Association of Chiefs of Police, to enhance their abilities to safely spot, report
and address environmental violations.
Continue international enforcement efforts, e.g., working with INTERPOL to combat the
illegal shipment of e-wastes.
46
-------
APPENDIX I
ENVIRO NMENTAL PROTECTION AGENCY Office of Enforcement and Compliance Assurance
FY 2014 NPM GUIDANCE MEASURES APPENDIX
G/O/S*
5
5
5
5
5
5
5
5
ACS
Code
PBS-
ATX03
PBS-
ATX04
PBS-
NSR01
PBS-
NSR02
PBS-
NSR03
PBS-
NSR04
PBS-
NSR05
PBS-
Measure Text
Number of facilities evaluated for compliance within the
national focus areas.
Number of addressing actions at facilities within the national
focus areas.
Number of NSR/PSD investigations of cement plants.
Number of investigation completion reports or referrals to
DOJ for cement plants.
Number of NSR/PSD investigations of glass manufacturing
plants.
Number of completion reports orreferrals to DOJfor glass
manufacturing plants.
Number of NSR/PSD investigations of nitric and/or sulfuric
acid plants.
Number of investigation completion reports orreferrals to
DOJ for nitric and/or sulfuric acid plants.
Non-
Commitment
Indicator
(Y/N)
N
N
N
N
N
N
N
N
State
Performance
Measure
(Y/N)
N
N
N
N
N
N
N
N
Planning Target12
Y
Y
Y
Y
Y
Y
Y
Y
National Target (FY
2014 Pres. Bud)
N
N
N
N
N
N
N
N
Annual Commitment System (ACS) planning targets for FY 2014 are negotiated between the EPA regions and headquarters during 2013. For the measures
which encompass state activities, the EPA regions coordinate with the affected states on the planning targets as applicable.
-------
5
5
5
5
5
5
5
5
5
5
5
5
NSR06
PBS-
NSR07
PBS-
NSR08
PBS-
NSR09
PBS-
M105
PBS-
M106
PBS-
M107
PBS-
M108
PBS-
CAF002
PBS-
CAF007
PBS-
CAF008
PBS-
MNP05
PBS-
EE01
Number of NSR/PSD investigations of coal-fired electric
utilities.
Number of completion reports or referrals to DO J for coal-
fired electric utilities.
Number of facilities reviewed for prospective projects that
trigger NSR.
Number of Phase 1 municipal separate storm sewer system
permit assessments conducted.
Number of civil judicial referrals and/or addressing actions
for sanitary sewer systems (SSS) with total treatment
capacity >10 mgd.
Number of civil judicial referrals and /or addressing actions
for CSS communities serving populations >50,000.
Number of civil judicial referrals and/or addressing actions
for Phase I and II MS4s.
Number of federal AFO/ CAP O inspections (total number as
well as number in priority areas).
Number of federal CAPO addressing actions inside priority
areas and in identified states.
Submit 1 progress report per federal fiscal year.
Number of targeted mines, mineral processing facilities, or
both, inspected.
Number of compliance evaluations/inspections conducted in
any media at land-based natural gas extraction and
production sites (e.g., wells, compressor stations, gas plants),
and at disposal sites (e.g., injection wells, lagoons, ponds,
land application).
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
N
N
N
N
N
N
N
N
N
N
N
N
-------
PBS-
EE03
Number of land-based natural gas extraction and production
addressing actions.
N
N
Y
N
SDWA02
During F Y 2014, 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 2013 ETT
report. State, territory 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 2014 SDWA ACS
measure with respect to a priority system if the score for that
systemhas been brought below, and remains below, eleven.
N
Y
Y
N
SRP01
Regions in FY 2013 developed a plan to complete all Round
3 state reviews by the end of calendar year 2016. OC and
OWM will hold annual discussions with Regions to establish
whether any modifications to the schedules are necessary.
Conduct all Round 3 SRF reviews of state CAA, CWA and
RCRA enforcement programs scheduled for calendar year
2014. Conduct all CWA reviews using the integrated CWA-
NPDES program oversight process (permit and enforcement
reviews). Review existing MOAs as part of the CWA-
NPDES review process in light of the OW/OECA criteria for
MOA review and checklist. Ensure that MOAs are updated
as needed by the end of F Y 2017.
N
N
Y
N
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
Y
N
N
N
-------
FED-
FAC05
Conduct ten (10) federal facility inspections to support
national Integrated Strategy Areas, exploratory categories,
official regionally designated priorities or regional
enforcement enhancement plans. These 10 inspection
commitments can be achieved through any combination of
single media or multimedia inspections, with the following
limitations: (1) a maximum of four vulnerable community
inspections can count toward this goal; and (2) for any
multimedia inspection conducted, it shall count as up to four
inspections toward this goal if up to four of the individual
inspections support the Integrated Strategies and/or official
Regionally-designated priorities. Further, up to four (4)
official Regionally-designated priorities can count toward the
commitment, if the Region determines that inspections up to
that number are more desirable than the same number of
Integrated Strategy inspections in the Region. Finally, all of
these inspections may simultaneously satisfy inspection
commitments required in any National Enforcement
Initiative or other core program area.
N
N
100 federal facility
inspections nationally
N
CWA07
By December 31, 2013, provide to OECA a specific NPDES
Compliance Monitoring Strategy (CMS) plan for each
authorized state in the Region and a Regional plan wherever
EPA direct implementation occurs (i.e., non-authorized
states, territories, Indian country, pretreatment, etc.),
targeting the most significant sources with potential to
impact water quality. Each plan should provide: (1) universe
information forthe CMS categories and sub-categories; (2)
expected accomplishments for each category and
subcategory (e.g., number of EPA inspections and number of
state inspections); and (3) explanation of trade-offs made
among the categories utilizing the flexibilities in the 2007
NPDES CMS policy and any amendments or further
guidance as a result of the national dialogue on compliance
monitoring under the NPDES CMS. By December 31, 2014,
or a later date, if one is negotiated through the ACS process,
provide for each state and direct implementation area, a
numerical end of year report on EPA and state inspection
plan outputs, by category and subcategory. To increase the
N
N
Y
N
-------
transparency of NPDES inspection data, OECA will make
this data available to the public.
CAA04
The number of compliance evaluations to be conducted by
the Regions at majors 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).] Projected investigations under this
commitment are those investigations 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).
N
N
Y
N
CAA06
Ensure that delegated state, tribal and local 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/local 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]. 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 agency compliance monitoring air resources
will be redirected and the rationale for making the change.
N
Y
Y
N
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. Regions must
commit to inspect at least two (2) TSDFs in each state or
Indian country unless OECA approves a deviation from this
requirement. For example, deviations are given for states
N
N
Minimum of 100
TSDFs nationally
N
-------
with small universes where it might not make sense for a
Region to inspect two TSDFs peryear. Financial
responsibility is an important component of the RCRA core
program and evaluating compliance with 40 CFR Parts
264/265 Subpart H should be included as part of the
inspection of each TSDF (although such evaluations do not
have to occur at the same time nor be conducted by the same
people who conduct the field inspections). If a Region
determines that there are unique circumstances in the Region
or with a particular T SDF, the Region may contact
headquarters to discuss undertaking a detailed evaluation of
compliance with 40 CFR Parts 264/265 Subpart H at another
TSDF.
RCRA01.
s
Project by state the number of operating TSDFs to be
inspected by the state during the year.
Note: Only one inspection per facility counts towards this
coverage measure. The RCRA CMS establishes minimum
annual inspection expectations for TSDFs. At least 50
percent of the operating non-governmental TSDFs in the
state must be inspected annually. The onsite inspections for
RCRA01 and RCRAOl.s should be CEIs. Completing the
commitment includes evaluating compliance with the
financial assurance requirements, 40 CFR Parts 264/265
Subpart H. Financial responsibility is an important
component of the RCRA core program and should be
included as part of the inspection of each TSDF (although
the financial responsibility reviews do not have to occur at
the same time nor be conducted by the same people who
conduct the field inspections).
N
Y
Y
N
RCRA02
Project by state and Indian country, the number of LQGs,
including those at federal facilities, to be inspected by the
Region during the year. Each Region must commit to
inspect at least six (6) LQGs in each state, and 20% of the
region's LQGs universe in Indian country, unless OECA
approves a deviation from this requirement. For example,
deviations are given for states with small universes where it
N
N
Minimum of 300
LQG inspections
nationally and 20%
of LQGs in Indian
Country
N
-------
doesn't make sense for a Region to inspect 6 LQGs per year
or 20% of the Region's LQG universe in Indian country.
Regions should select at least 2 of the Region's total LQG
inspections at facilities described in the high priority section
as areas of emerging environmental concern. Regions may
work with OECA to coordinate these inspections, including
whether the inspection will be conducted at a TSDF or LQG.
In the Comment Section, 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 year. At least 20 percent of the LQG
universe should be covered by combined federal and state
inspections unless an alternative plan is approved under the
RCRA CMS.
N
Y
Y
N
RCRA03
Inspect each operating TSDF operated by states, local, or
Tribal governments.
N
N
Y
N
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:
By 2015, obtain commitments to clean up 1.5 billion 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.
N
N
275 million cubic
yards
N
TSCA
010C
Project the total number of F Y2013 TSCA inspections. In
the comment field of the Annual Commitment System
(ACS), the Region shall break out the number of projected
inspections by TSCA program area (LBP, PCBs, Asbestos,
New and Existing Chemicals). Note: For the reasons
discussed in the executive summary, the LBP component of
N
N
Y
N
-------
5
5
5
5
5
5
TSCA
02OC
FIFRA-
FED1
OSRE-01
OSRE-02
OSRE-04
EPCRA
01
EPCRA
02
this TSCA ACS commitment (TSCA 01OC) will serve as
OECA 's FY 2014 measure of compliance work being done to
protect children's health.
Report other comp liance monitoring activities at the end of
the year; and break-out the description of other such
activities by TSCA program area. (See the CMS and the
future outcomes of the compliance monitoring national
dialogue for more details).
Project regional (federal) FIFRA inspections. Each Region
should conduct a minimum often (10) FIFRA inspections.
In the Comment Section, provide the number of federal
facility inspections.
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.
Address all unaddressed costs in Statute of Limitations cases
for sites with total past Superfund costs via settlement,
referral to DOJ, filing a claim in bankruptcy, or where
appropriate write-off.
Inspect at least one (1) RCRA corrective action financial
assurance instrument per state, with at least 50% being
financial test or corporate guarantee reviews. Where the
submission is noncompliant, take appropriate enforcement
action to address noncompliance (e.g., notice of violation).
Or, where appropriate, work with the state to ensure
appropriate action is taken to address noncompliance. If
possible, return facility to compliance by end of fiscalyear.
Conduct at least four (4) EPCRA 313 data quality
inspections.
Conduct at least twenty (20) EPCRA 3 1 3 non-reporter
inspections (and/or other compliance monitoring activities as
determined by the compliance monitoring national dialogue).
Y
N
N
N
N
N
N
N
N
N
N
N
N
N
N
Minimum of 100
FLFRA federal
inspections nationally
99 percent
100 percent of cases
equal to or greater
than $500,000 in
value
inspections nationally
Minimum of 40
nationally
Minimum of 200
nationally
N
N
N
N
N
N
N
*Goal/Objective/Sub-Heading
-------
Appendix II - EXPLANATION OF CHANGES BETWEEN FY 2013 AND FY 2014
Office of Enforcement and Compliance Assurance
Change from FY2013 Guidance Document
Reason for Change
Affected Pages and Sections
National
Areas of
Focus
Modification: Advancing Next Generation
Compliance is explicitly identified as a national
area of focus or priority for FY 2014. The NPM
Guidance identifies work which OECA and the
regions will perform in five areas in FY 2014.
Next Generation Compliance was identified as a
critical new area of investment for FY 2013.
For FY 2014, OECA identified it as a National
Area of Focus; more specific activities for
implementation have been identified for FY
2014.
Section III - pages 10-12
Modification: The activities under
Strengthening State Performance and Oversight
have been updated to reflect the focus for FY
2014. They have also been identified as a
"national area of focus" consistent with the
agency's new format and terminology used for
the FY 2014 NPM Guidance.
The NPM Guidance was updated to reflect the
activities to be implemented in FY 2014. These
activities will be a focus area for OECA and the
regions for FY 2014.
Section III - pages 12-14
Program-
Specific
Guidance
Modification: The activities under Implementing
the Clean Water Act Action Plan have been
updated to reflect the focus for FY 2014.
Implementing the Clean Water Act Action Plan is
identified as a separate national area of focus in
FY 2014.
It was necessary to update the activities which
will be the focus in FY 2014.
Section III - pages 8-10
Modification: Every Program Specific Guidance
write-up has been shortened, reformatted and
updated to reflect any changes for FY 2014, even
if they are minor revisions.
It was necessary to update the focus of activities
for FY 2014 and to follow the new agency-wide
standard format for the NPM guidance.
Section IV
Modification: For RCRA Subtitle C Hazardous
Waste Program, there was a change in the sectors
to consider when developing strategies for
targeting compliance assurance work and annual
plans for respective activities in the regions.
The sector added for consideration was: Zinc
hazardous secondary materials recyclers.
Section IV - page 26
-------
Modification: For RCRA Underground Storage
Tank (UST) Subtitle I Program, the narrative was
updated for FY 2014.
With regard to regional inspections of owners
and operators of USTs located in Indian
Country, it was necessary to mention that
inspections in Indian Country will be conducted
consistent with the Energy Policy Act 3 year
inspection requirement.
Pages 28-29
Modification: TSCAPCBs compliance
monitoring and enforcement work has been
updated for FY 2014.
It was necessary to update the focus of activities
for FY 2014.
Section IV - pages 32-34
Modification: TSCA asbestos compliance
monitoring and enforcement work has been
updated for FY 2014.
It was necessary to update the focus of activities
for FY 2014.
Section IV - pages 34-35
Deletion: The TSCA Formaldehyde Rule has not
been proposed so there are no references to it in
the FY 2014 NPM Guidance.
OECA will need to evaluate the final rule when
it is issued to determine what if any
enforcement activities we'll be asking the
regions to undertake
Section IV - pages N/A
Modification: The CERCLA section of the
guidance notes a change in the dollar threshold to
pursue past costs; the threshold was raised from
$200,000 to $500,000.
OECA believes that savings can be achieved by
focusing Superfund enforcement resources on
the highest-priority sites and those enforcement
activities that achieve the greatest return on
investment.
Section IV - pages 39-41
Annual
Commitment
Measures
Addition: All of the ACS measures for National
Enforcement Initiatives (NEIs) are included in
OECA's NPM Guidance for FY 2014. These are
not new measures: only their inclusion in the
NPM guidance is new.
These NEI ACS measures are not new.
However, they were not included in previous
NPM Guidance documents. In the interest of
providing comprehensive ACS measures
information in one location and adhering to the
new agency-wide standard format for the NPM
Guidance, these measures are now included in
the FY 2014 NPM Guidance.
Appendk I - page 1 through top
of page 3; measures associated
with NEIs begin with code
"PBS."
-------
Modification: A clarifying note was added to
SDWA 02.
To provide clarity, an explanatory note was
added to the ACS measure.
Appendk I - page 3
Modification: SRF01 was updated to reflect the
focus for FY 2014.
Measure was updated to take into account the
fact that the Regions, in FY 2013, already
developed a plan to complete all Round 3 state
reviews by the end of calendar year 2016. The
updated language states that all Round 3 SRF
reviews scheduled for FY 2014 should be
conducted. MO As are to be updated as needed
by the end of FY 2017.
Appendk I - page 3
Modification: EJ01 was updated for FY 2014.
The new FY 2014 measure is:
Percentage of non-exempt cases brought by the
EPA in areas determined by the EPA to have
potential EJ concerns. 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.
Appendk I - page 3
Modification: Fed-FAC05 was slightly modified.
The measure was updated to reflect the focus of
FY 2014 federal facility inspections.
Appendk I - page 4
Modification: CWA07 was updated.
The deadline for submittal of the specific
NPDES Compliance Monitoring Strategy was
updated.
Appendk I - page 4
Modification: CAA04 was updated.
The language was updated so it did not reflect a
reference to the Compliance Monitoring
National Dialogue.
Appendk I - page 5
-------
Modification: HQ-VOL was revised.
For HQ-VOL, the HQ commitment for Volume
of Contaminated Media Addressed (VCMA) has
been adjusted from 300 to 275 million cubic
yards per year.
Appendk I - page 7
Modification:
expanded
Titles of TSCA01 and 02 were
Modification: OSRE-02 was revised to reflect a
new dollar threshold to pursue past costs.
At the suggestion of an EPA regional office, the
titles of two TSCA ACS measures were
expanded for FY 2014 to avoid confusion with a
similarly numbered ACS measure from an EPA
program office. The designation "OC" was
added following each of the numbers so they
currently read: TSCA 01OC and TSCA 02OC.
Appendk 1 - pages 7-8
For OSRE-02, the dollar threshold to pursue
past costs was raised from $200,000 to
$500,000 consistent with the change in practice.
Appendk I - page 8.
-------
Appendix III - OECA Key Contacts Appendix for each section of OECA's FY 2014 NPM Guidance
Note: For the convenience of readers, more than one OECA contact is listed for most of the subject areas below.
Contact Name
Scott Throwe
Phil Brooks
Ed Messina
Phil Brooks
Apple Chapman
Rick Duffy
LorenDenton
Seth Heminway
Ann Pontius
Mark Pollins
Carol Galloway
Kathy Greenwald
Martha Segall
Joyce Chandler
BenBahk
Van Housman
Mamie Miller
Andrew Stewart
Rob Lischinsky
Martha Segall
Amy Porter
Seth Heminway
DavidHindin
Jon Silberman
Chris Knopes
Loan Nguyen
Nathaniel Folkemer
Mike Shields
Martha Segall
Subject Area
Clean Air Act (CAAJ National Enforcement Initiative (NEIJ:
Cutting Toxic Air Pollution that Affects Communities' Health
CAA NEI: Reducing Widespread Air Pollution from the Largest
Sources, Especially the Coal-fired Utility, Cement, Class, and
Acid Sectors
Clean Water Act (CWAJ NEI: Keeping Raw Sewage and
Contaminated Storm water Out of Our Nation's Waters
C WA NE I : P reventing Animal Waste from Contami nating
Surface and Ground Waters
Assuring Safe Drinking Water
Reducing Pollution from Mineral Processing Operations NEI
Assuring Energy Extraction Sector Compliance with
Environmental Laws NEI
Implementing the Clean Water Act (CWAJ Action Plan
Advancing Next Generation Compliance
Strengthening State Performance and Oversight
Environmental Justice
Federal Facilities
CWA National Pollutant Discharge Elimination System
Phone
202-564-7013
202-564-0652
202-564-2300
202-564-0652
202-564-5666
202-564-5014
202-564-1148
202-564-7017
202-564-6266
202-564-4001
913-551-5092
202-564-3252
202-564-0723
202-564-7073
202-564-4293
202-564-0143
202-564-7011
202-564-1463
202-564-2628
202-564-0723
202-564-2431
202-564-7017
202-564-1300
202-564-2429
202-564-2337
202-564-4041
202-564-0668
202-564-9035
202-564-0723
Email
throwe.scott@epa.gov
brooks.phil@epa.gov
messina. ed@epa.gov
brooks.phil@epa.gov
chapman.apple@epa.gov
duffy.rick@epa.gov
denton.loren@epa.gov
heminway.seth@epa.gov
pontius.ann@epa.gov
pollins.mark@epa.gov
galloway.carol@epa.gov
greenwald.kathryn@epa.gov
segall.martha@epa.gov
chandler.] oyce@epa.gov
bahk.benjamin@epa.gov
housman.van@epa.gov
miller.mamie@epa.gov
stewart.andrew@epa.gov
lischinsky.robert@epa.gov
segall.martha@epa.gov
porter.amy@epa.gov
heminway.seth@epa.gov
hindin.david@epa.gov
silberman.j on@ep a.gov
knopes.christopher@epa.gov
nguyen.loan@epa.gov
folkemer.nathaniel@epa.gov
shields.mike@epa.gov
segall.martha@epa.gov
-------
Amy Porter
Seth Heminway
Rebecca Roose
Joe Theis
Martha Segall
Joe Theis
Dan Chadwick
LorenDenton
Martha Segall
Dan Chadwick
Julius Banks
Rob Lischinsky
Craig Haas
Greg Sullivan
Julius Banks
Rob Lischinsky
Diana Saenz
Julie Simpson
John Mason
Brian Joffe
Peter Neves
Paul Borst
Greg Sullivan
Julie Simpson
Everett Bishop
John Mason
Brian Joffe
Julie Simpson
David Stangel
(NPDESJ Program for Compliance Assurance and
Enforcement
CWA Section 404 - Discharge of Dredge and Fill Material
CWA Section 311 - Oil Pollution Act
SDWA Underground Injection Control (UICJ Program
CAA Program for Compliance Assurance and Enforcement
CAA Section 1 12 (rj
RCRA Subtitle C Hazardous Waste Program
RCRA Underground Storage Tank UST Subtitle I Program
RCRA Corrective Action
TSCA12
• Lead Risk Reduction Program
• New and Existing Chemicals Program
• PCB Program
• Asbestos Program/AHERA
FIFRAli
• FIFRA Program for Compliance Assurance and Enforcement
• Imports
202-564-2431
202-564-7017
202-566-1387
202-564-4053
202-564-0723
202-564-4053
202-564-7054
202-564-1148
202-564-0723
202-564-7054
202-564-0957
202-564-2628
202-564-6447
202-564-1298
202-564-0957
202-564-2628
202-564-4209
202-566-1980
202-564-7037
202-564-2229
202-564-6072
202-564-7066
202-564-1298
202-566-1980
202-564-7032
202-564-7037
202-564-2229
202-566-1980
202-564-4162
porter.amy@epa.gov
heminway.seth@epa.gov
roose.rebecca@epa.gov
theis.joseph@epa.gov
segall.martha@epa.gov
theis.joseph@epa.gov
chadwick.dan@epa.gov
denton.loren@epa.gov
segall.martha@epa.gov
chadwick.dan@epa.gov
banks. julius@epa. gov
lischinsky.rob@epa.gov
haas.craig@epa. gov
sullivan.greg@epa. gov
banks. julius@epa. gov
lischinsky.rob@epa.gov
saenz . diana@e pa. gov
simpson. julie@e pa.gov
mason.john@epa.gov
joffe.brian@epa.gov
neves.peter@epa.gov
borst.paul@epa.gov
sullivan.greg@epa. gov
simpson. julie@e pa.gov
bishop.everett@epa.gov
mason.john@epa.gov
joffe.brian@epa.gov
simpson. julie@e pa.gov
stangel.david@epa.gov
13
The TSCA contacts can respond to questions on the TSCA subject areas. However, Everett Bishop is the Office of Compliance (OC) staff contact forPCB and
asbestos program questions, while John Mason is the OC staff contact for Lead Program questions.
The FIFRA contact names can respond to questions on the FIFRA subject areas. However, with regard to FIFRA imports, the primary contact is Brian Joffe.
14
-------
• Supplemental Registrations
• Region-Specific Focus Area
Paul Borst || CERCLA
Kathy Clark
Greg Sullivan
Julie Simpson
Craig Haas
Greg Sullivan
Cliff Rader
Bob Heiss*
Pete Rosenberg
Jonathan Binder
Franjonesi
Maureen Lydon
Michele McKeever
EPCRA 313 Toxics Release Inventory
EPCRA304, 311/312 and CERCLA 103
Federal Activities
• NEPA compliance and Environmental Impact Statement reviews
• Import/ export of hazardous waste and international capacity
building*
Criminal Enforcement Program
OECA Tribal Issues
OECA's FY 2014 National Program Manager (NPMJ Guidance
202-564-7066 || borst.paul@epa.gov
202-564-4164
202-564-1298
202-566-1980
202-564-6447
202-564-1298
202-564-7159
202-564-4108
202-564-2611
202-564-2516
202-564-7043
202-564-4046
202-564-3688
clark.kathy@epa.gov
sullivan.greg@epa. gov
simpson. julie@e pa.gov
haas.craig@epa. gov
sullivan.greg@epa. gov
rader.cliff@epa.gov
heiss.robert@ep a.gov
rosenberg.pete r@epa.gov
binder .j onathan@ep a.gov
jonesi.fran@epa.gov
lydon.maureen@epa.gov
mckeever.michele@epa.gov
------- |