FY 2015

April 23, 2014 

Publication Number 305R14002

Office of Enforcement and Compliance Assurance 

National Program Manager Guidance Addendum 

 
Table of Contents 

I. Introduction...........................................................................................................................................................................1 

II. Key Changes for FY 2015...........................................................................................................................................2 

OECA’s FY 2014 National Program Manager (NPM) Guidance will continue to be implemented in FY 2015, with a few exceptions. This 

section discusses the significant changes from OECA’s FY 2014 NPM Guidance which will be implemented in FY 2015. 

1. Strengthening State Performance and Oversight...................................................................................................................2

2. State Review Framework (SRF) Measure..........................................................................................................................3

3. CWA Compliance Monitoring Strategy............................................................................................................................3

4. Revision of CWA Measure...........................................................................................................................................4

5. Approach to Greenhouse Gas Reporting Program................................................................................................................5

6. CAA Compliance Monitoring Strategy.............................................................................................................................5

7. CAA06 ACS Measure.................................................................................................................................................6

8. Elimination of OSRE Measure.......................................................................................................................................6

9. Expansion of RCRA Measure to Address Corrective Action Financial Responsibility......................................................................6

10. Clarification of RCRA Measure 02.s................................................................................................................................7

11. Community Engagement Initiative..................................................................................................................................7 

11. Revision of Federal Facilities Measure..............................................................................................................................8 

12. Clarification of Concentrated Animal Feeding Operations (CAFO) Measures................................................................................9

Appendix: FY 2015 Annual Commitment System (ACS) Measures 
1 

I. Introduction

This National Program Manager Guidance Addendum 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 

implementing EPA-approved inspection and enforcement programs.1 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 work with states and local agencies and consult with tribes to implement and review these programs.2

OECA’s National Program Manager (NPM) Guidance for fiscal year (FY) 2014 carries over to and should be implemented during FY 

2015 with a few exceptions. This document, OECA’s NPM Guidance Addendum for FY 2015, discusses those exceptions and a few 

significant changes from OECA’s FY 2014 NPM Guidance which will be in effect in FY 2015. These significant changes include 

updated Compliance Monitoring Strategies for the Clean Water Act and Clean Air Act and changes to FY 2015 ACS measures or 

language addressing the State Review Framework, Clean Water Act, Greenhouse Gas Reporting Program, federal facilities, RCRA 

corrective action financial responsibilities, and the Community Engagement Initiative to enhance Agency cleanup programs and 

related regional engagement with local communities. 

What hasn’t changed is EPA’s commitment to a strong enforcement program. The EPA’s national enforcement and compliance 

assurance program continues to assure compliance with federal environmental statutes using a variety of tools, including civil and 

criminal enforcement. These tools advance OECA’s overall national goals for: 

 Tough civil and criminal enforcement for violations that threaten communities and the environment. 

 Next Generation Compliance: achieving greater compliance and protection using advanced monitoring and information 

technologies. Next Generation Compliance tools are intended to supplement and advance strong enforcement programs. 

 Strong EPA/State/Tribal environmental protection: working together toward shared environmental goals. 

To help achieve these enforcement goals, in FY 2015, OECA will continue to 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. 

This work includes: 1) Implementing Clean Air Act National Enforcement Initiatives; 2) Assuring Safe Drinking Water; 3) Reducing 

Pollution from Mineral Processing Operations; 4) Assuring Energy Extraction Sector Compliance with Environmental Laws; 5) 

Implementing the Clean Water Act Action Plan; 6) Advancing Next Generation Compliance; and 7) Strengthening State Performance 

 

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. 

2

 EPA consults with tribes consistent with the EPA Policy on Consultation and Coordination with Indian Tribes and Executive Order 13175. 
2 

and Oversight. With the exception of what’s discussed in this Addendum, the rest of OECA’s FY 2014 NPM Guidance applies to FY 

2015. EPA looks forward to working together with its state and tribal partners during FY 2015 to achieve our shared environmental 

goals. 

II. Key Changes for FY 2015

The table below summarizes each significant change from OECA’s FY 2014 NPM Guidance (NPMG) and identifies revised language 

and/or activities to be implemented in FY 2015. The page number refers to the location of the original language in OECA’s FY 2014 

NPMG, which can be accessed at http://www2.epa.gov/planandbudget/national-program-manager-guidances. All of these changes 

provide additional direction for and will be implemented in FY 2015, along with the rest of the FY 2014 NPM Guidance which 

remains the same and carries over. 

Page # Strengthening State Performance and Oversight 

13-14

Key Change: State Review Framework (SRF) Round 3 Efficiencies and Updated National Strategy.

OECA changed the language to reflect SRF Round 3 efficiencies and the final National Strategy for Improving Oversight of State 

Enforcement Performance, both effective as of December 2013. OECA also removed the references to MOA reviews by the regions 

and integrated PQR-SRF reviews.

Activities: OECA revised the first full paragraph on page 13 to reads as follows with the new language underlined:

“In FY 2013, based on pilot reviews conducted in FY 2012, OECA, the EPA regions, and states incorporated program changes that 

will improve SRF effectiveness while reducing the resources necessary to conduct reviews. Also, in 2013, OECA issued the

National Strategy for Improving Oversight of State Enforcement Performance. The National Strategy clarifies 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 National Strategy describes three 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.” 

In the section on regional activities on page 13, OECA:

 Revised the first bullet so that it reads: “Conduct all Round 3 SRF reviews of state CAA, CWA, and RCRA enforcement 

program scheduled for 2015, following Round 3 headquarters guidance issued in December 2013 and available on the ECHO

SRF page.”
3 

 Deleted the second bullet which read as follows: “Review MOAs as part of the CWA-NPDES integrated review process, 

using the OW/OECA criteria and checklist. Ensure identified issues are addressed as needed by the end of FY 2017.” 

 Revised the fourth bullet to remove the reference to tracking results of integrated CWA reviews; the revised bullet now 

reads: “Monitor progress of states in carrying out the recommendations and record progress quarterly in the SRF Tracker.”

 Revised the last bullet in the regional activities section, which now reads: “Review the number of SNC/HPVs identified (and 

percent of universe) by state and the number (and percent) addressed in a timely and appropriate manner.”

In the section on state and local agency activities on page 14, in the last bullet, OECA replaced the reference to “regions’ review” 

with a reference to “EPA’s review”; the last bullet now reads:

 “Where EPA’s review of state-EPA MOAs determines that MOAs might require revision, updating or supplementation, 

states should work cooperatively with the EPA regions to identify and complete appropriate actions.”

Page # State Review Framework (SRF) Measure

Appendix 

1, page 3

Key Change: Revision of State Review Framework Measure SRF 01. 

For FY 2015, OECA clarified State Review Framework (SRF) ACS measure SRF01. OECA changed the language to reflect that: 

1) as part of the SRF efficiencies process, the schedule for completing SRF final reports was extended from fiscal year to calendar 

year; and 2) integrated CWA-NPDES SRF and Permit Quality Reviews (PQRs) are now optional for the regions. 

Activities: The new SRF 01 measure reads as follows with changes underlined: 

SRF 01: Finalize all Round 3 SRF reports for state CAA, CWA and RCRA enforcement programs scheduled for calendar year 2014 

no later than December 31, 2014 (first quarter of FY 2015). By September 30, 2015, complete draft reports for all Round 3 SRF

reviews scheduled for calendar year 2015. (Final reports are to be completed by December 31, 2015 (first quarter of FY 2016).)

Regions in FY 2013 developed a plan to complete all Round 3 state reviews by the end of calendar year 2017. OC and OWM will 

hold annual discussions with regions to establish whether any modifications to the schedules are necessary. 

Page # CWA Compliance Monitoring Strategy

18-19 Key Change: Revision of CWA Compliance Monitoring Strategy (CMS).

OECA is currently revising the CWA Compliance Monitoring Strategy (CMS). The final revised CMS will be implemented 

beginning in FY 2015. EPA is revising the CWA CMS as a result of a national dialogue with states about expanding compliance 
4 

monitoring activities that may be included in a state’s CMS plan and an internal evaluation of implementation of the 2007 CWA 

CMS.

Activities: The revised CWA CMS will further explain how regions and states can prepare alternative CMS plans that may 

encompass expanded compliance monitoring tools, such as off-site desk audits and focused inspections. It will also update the 

national goals set forth in the 2007 CMS to simplify CMS planning and implementation. For example, where the 2007 CMS had 

separate compliance monitoring goals for small and large construction sites, the revised CMS will have one goal for all construction 

sites. The ACS measure CWA07 has been updated accordingly.

In the CWA section, OECA updated the dates for submittal of information in the following 2 bullets on pages 18 and 19 respectively:

 Develop annual compliance monitoring plans that take advantage of the flexibility available in the NPDES CMS. Provide FY 

2015 CMS plans to OECA by December 31, 2014. 

EPA regions should:

 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, 2015. EOY reports should account for all compliance monitoring activities 

conducted in the prior year in accordance with the NPDES CMS.

OECA deleted the following 2 bullets from page 18 because the revised CWA CMS already takes these activities into account:

 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.

Page # Revision of CWA Measure

Appendix 

1, page 4

Key Change: Revision of ACS measure CWA07.

For FY 2015, OECA updated measure CWA07 to ensure consistency with proposed revisions to the CWA CMS.

Activities: For FY 2015, OECA revised CWA07 to read as follows, with the new language underlined:

“By December 31, 2014, 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 CMS plan should be 

developed in accordance with the guidelines in Part 1 of the 2014 revised CMS. Any proposed alternative CMS plan should be 

provided to OECA for consultation and review by August 15, 2014. 
5 

By December 31, 2015, 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 transparency of NPDES inspection data, OECA will make this 

data available to the public.”

Page # Approach to Greenhouse Gas Reporting Program

23, 24 Key Change: Green House Gas (GHG) Reporting Program. OECA updated the reference to the GHG Reporting Program. 

EPA reviews and addresses GHG Reporting Program noncompliance issues on an annual basis and updates its annual national 

approach accordingly. Due to the current high rate of compliance with the GHG reporting rule, for FY 2015, any GHG reporting 

noncompliance issues will be addressed on a case-by-case basis by the EPA regions. See affected activities below.

Activities: The current introductory description on page 23 of the FY 2014 NPM Guidance was shortened to read, “The CAA 

compliance assurance and enforcement activities, described below, should be implemented to help ensure compliance with the CAA 

and implementing regulations.” 

The first bullet on page 24 of the FY 2014 NPM Guidance which addresses regional activities was updated to read:

 Work collaboratively with OECA and OAR to identify and address, as appropriate, noncompliance issues that arise in the 

Greenhouse Gas (GHG) Reporting Program.

Page # CAA Compliance Monitoring Strategy

23, 25

Key Change: Revision of CAA Compliance Monitoring Strategy (CMS).

OECA revised the CAA CMS to expand upon the flexibility provided to states/locals/tribes when conducting compliance monitoring 

activities to further promote the use of a variety of techniques for determining compliance and addressing local air pollution and 

compliance concerns.

Activities: As discussed in the revised CAA CMS, when completing a full or partial compliance evaluation, state, local and tribal 

agencies should, where appropriate and feasible, utilize advanced monitoring technologies to detect and document emissions and 

record ambient conditions. The use of advanced emissions/pollutant detection technology is valuable as a screening tool to identify 

pollution problems but also may be useful to identify and measure noncompliance. Examples of such technologies include infrared 

cameras, fence line monitors, sensor network-based leak detection systems, mobile methane monitors, and photo ionization 

detectors.
6 

Page # CAA06 ACS Measure

Appendix

1, page 5

Key Change: Clarification of CAA06 ACS Measure 

For purposes of clarity, OECA updated the language in ACS Measure CAA06 to indicate when a commitment is pursuant to an 

approved alternative plan.

Activities: For FY 2015, OECA revised CAA 06 to read as follows, with the new language underlined:

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. Please indicate when a commitment is pursuant to an approved 

alternative plan.]. Prior to approving an alternative plan, regions should consult with the Office of Compliance (OC) and provide OC 

with information on how the state, tribal or local agency compliance monitoring air resources will be redirected and the rationale for 

making the change. 

Page # Elimination of OSRE Measure

Deleted

reference

from page 

28 (top)

and 

Appendix 

1, page 8 

Key Change: Elimination of Measure OSRE 04. 

OSRE is proposing to retire, beginning in FY 2015, the ACS Measure OSRE 04, which requires EPA regions to ensure that two

financial assurance instruments for corrective action are reviewed per state. This commitment was created as part of OECA’s 

Enforcement Priority for financial assurance which ended in FY 2010. Since financial assurance (FA) has returned to the EPA 

regions’ core functions, it appears that corrective action FA is being monitored and reviewed consistently and we don’t need a 

separate ACS measure on this topic..

Activities: For FY 2015, OECA deleted the reference to measure OSRE 04 in the measures section on page 28 and in appendix 1, 

page 8, in the FY 2014 NPMG. See the next section on expanded ACS measure RCRA-01 which reflects that corrective action 

financial responsibility is part of EPA’s RCRA core program.

Page # Expansion of RCRA Measure to Address Corrective Action Financial Responsibility
7 

Appendix 

1, pages 

5-6

Key Change: Revision of Measure RCRA 01. 

OECA updated measure RCRA01 because corrective action financial responsibility is addressed as part of the RCRA core program 

and measure OSRE 04 was eliminated for FY 2015.

Activities: For FY 2015, OECA revised RCRA 01 to read as follows, with the new language underlined:

“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, as indicated in the initial OECA opening bid. Financial responsibility is an important 

component of the RCRA core program and evaluating compliance with 40 CFR Parts 264/265 Subpart H and corrective action 

financial responsibility should be included in the RCRA core program inspections. Regions must commit to inspect at least the same 

number of financial assurance instruments at RCRA operating facilities as the region inspects for operating CEIs. Once a region 

exceeds the number of CEIs and FA instrument reviews from the final agreed upon bid, any additional CEIs will not require a 

corresponding FA instrument review. The determination of which financial assurance instruments to review should take into account 

the potential risk posed by the facility, the type of financial assurance instrument provided by the facility, and whether the financial 

assurance instrument has been previously reviewed and is the same type of instrument (this does not apply to the financial test, which 

may be reviewed each year). The review of financial assurance instruments is for RCRA Subtitle C closure and post-closure and 

includes corrective action if there is a corrective action obligation at the facility under review.” 

Page # Clarification of RCRA Measure 02.s 

Appendix 

1, page

7

Key Change: Revision of Measure RCRA 02.s. 

OECA updated measure RCRA02.s to clarify that the region should identify in the comment field for RCRA 02.s any state that is 

following an approved alternative plan and a breakout of the inspection numbers in the plan.

Activities: For FY 2015, OECA revised RCRA 02.s to read as follows, with the new language underlined:

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. The region should 

identify in the “Comment” field of BAS any state that is following an approved Alternative Plan and a breakout of the inspection 

numbers in the plan.

Page # Community Engagement Initiative

Key Change: Clarification of Community Engagement Initiative 
8 

40 For purposes of clarity and to more fully explain the Community Engagement Initiative, OECA revised the last bullet in the regional 

activities section on page 40 of the FY 2014 NPM Guidance. The current bullet reads as follows: 

 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.

Activities: For FY 2015, the last bullet on page 40 will be replaced with the following language:

 During FY 2015, the regions should continue to implement the Community Engagement Initiative (CEI) started in October 

2009 to enhance Agency cleanup programs and related regional engagement with local communities. The CEI promotes 

transparent and accessible decision-making processes and delivery of information that communities can use to easily and 

meaningfully participate in agency work. Proactive, meaningful engagement with communities helps EPA programs obtain 

better information about environmental problems and local situations, leading to more effective policies and decisions that 

can support community goals and plans.

Page # Revision of Federal Facilities Measure 

Appendix 

1, page 4

Key Change: Revision of Measure FED-FAC 05. 

The Federal Facilities Enforcement Office (FFEO) recognizes regional resource reductions and wishes to be as flexible as possible 

with the regions during the FY 2015 ACS commitment bidding process. FFEO is in the process of working with regional federal 

facilities managers to update ACS measure FED-FAC 05 accordingly.

Activities: FFEO is updating ACS measure FED-FAC 05 for FY 2015 to facilitate flexibility. New language is underlined below.

FED-FAC 05: 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. All of these inspections may simultaneously satisfy inspection commitments required in any National Enforcement 

Initiative or other core program area. Due to continuing resource constraints, FFEO and the regions are in the process of revisiting 

this commitment. FFEO will be as flexible as possible in assisting the regions in meeting this vital federal facility commitment.
9 

Page # Clarification of Concentrated Animal Feeding Operations (CAFO) Measures

Appendix 

1, page 2

Key Change: Updated CAFO National Enforcement Initiative (NEI) Measures

Measures: For the CAFO initiative, see the updated ACS measures PBS-CAF002, CAF007 and CAF008 below and in Appendix I, 

page 2. 

PBSCAF002 Number of federal AFO/CAFO inspections 

PBSCAF007 Number of federal CAFO addressing actions 

PBSCAF008

Submit 1 progress report per federal fiscal year.
1 

Appendix: FY 2015 Annual Commitment System (ACS) Measures 

This appendix incorporates all changes to date in OECA’s FY 2015 measures; the revisions are underlined on pages 2-6 of this 

appendix.

ENVIRONMENTAL PROTECTION AGENCY Office of Enforcement and Compliance Assurance

FY 2015 NPM GUIDANCE MEASURES APPENDIX

G/

O/

S*

ACS 

Code Measure Text

NonCommitment 

Indicator 

(Y/N)

State 

Performance 

Measure 

(Y/N)

Planning Target3 National Target (FY 

2015 Pres. Bud)

 

5

PBSATX03

Number of facilities evaluated for compliance within the 

national focus areas. N N Y N

 

5 

PBSATX04

Number of addressing actions at facilities within the national 

focus areas. N N Y N

 

5

PBSNSR01 Number of NSR/PSD investigations of cement plants. N N Y N

 

5 

PBSNSR02 Number of investigation completion reports or referrals to 

DOJ for cement plants.

N N Y N

 

5

PBSNSR03 Number of NSR/PSD investigations of glass manufacturing 

plants.

N N Y N

 

5 

PBSNSR04 Number of completion reports or referrals to DOJ for glass 

manufacturing plants. N N

Y

N

 

3 Annual Commitment System (ACS) planning targets for FY 2015 are negotiated between the EPA regions and headquarters during 2014. For the measures 

which encompass state activities, the EPA regions coordinate with the affected states on the planning targets as applicable. 
2 

 5

PBS-

NSR05 Number of NSR/PSD investigations of nitric and/or sulfuric 

acid plants.

 N N 

YN

 

5 

PBS-

NSR06 Number of investigation completion reports or referrals to 

DOJ for nitric and/or sulfuric acid plants.

 N N

Y

N

 5

PBS-

NSR07 Number of NSR/PSD investigations of coal

-fired electric 

utilities.

NNYN

 

5 

PBS-

NSR08

Number of completion reports or referrals to DOJ for coal-

fired electric utilities.

NNYN

 5

PBS-

NSR09

Number of facilities reviewed for prospective projects that 

trigger NSR. 

NNYN

 

5 

PBS-

M105

Number of Phase 1 municipal separate storm sewer system 

permit assessments conducted.

NNYN

 5

PBS-

M106

Number of civil judicial referrals and/or addressing actions 

for sanitary sewer systems (SSS) with total treatment 

capacity ≥10 mgd.

NNYN

 

5 

PBS-

M107

Number of civil judicial referrals and /or addressing actions 

for CSS communities serving populations ≥50,000.

NNYN

 5

PBS-

M108 Number of civil judicial referrals and/or addressing actions 

for Phase I and II MS4s. 

NNYN

 

5 

PBS-

CAF002

Number of federal AFO/CAFO inspections 

NNYN

 5

PBS-

CAF007 Number of federal CAFO addressing actions 

NNYN

 

5 

PBS-

CAF008

Submit 1 progress report per federal fiscal year.

NNYN

 5PBS-

MNP05

Number of targeted mines, mineral processing facilities, or 

both, inspected. 

NNYN
3 

 

5 

PBS-

EE01

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). 

NNYN

 5

PBS-

EE03 Number of land

-based natural gas extraction and production 

addressing actions.

NNYN

5

SDWA02

During FY 2015, 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 2014 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 2015 SDWA ACS 

measure with respect to a priority system if the score for that 

system has been brought below, and remains below, eleven.

NY

Y

 

 N

5 SRF01

Finalize all Round 3 SRF reports for state CAA, CWA and 

RCRA enforcement programs scheduled for calendar year 

2014 no later than December 31, 2014 (first quarter of FY 

2015). By September 30, 2015, complete draft reports for all 

Round 3 SRF reviews scheduled for calendar year 

2015.(Final reports are to be completed by December 31, 

2015 (first quarter of FY 2016).) Regions in FY 2013 

developed a plan to complete all Round 3 state reviews by 

the end of calendar year 2017. OC and OWM will hold 

annual discussions with regions to establish whether any 

modifications to the schedules are necessary. 

NN

Y 

N

 

 5

 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 

YNN N
4 

one of many factors the Agency considers in bringing an 

enforcement action.]

5

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. All of these 

inspections may simultaneously satisfy inspection 

commitments required in any National Enforcement 

Initiative or other core program area. Due to continuing 

resource constraints, FFEO and the regions are in the process 

of revisiting this commitment. FFEO will be as flexible as 

possible in assisting the regions in meeting this vital federal 

facility commitment.

NN 100 federal facility 

inspections nationally

 N

5 CWA07

By December 31, 2014, 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 CMS plan should be developed 

in accordance with the guidelines in Part 1 of the 2014 

revised CMS. Any proposed alternative CMS plan should be 

provided to OECA for consultation and review by August 

15, 2014.

By December 31, 2015, provide for each state and direct 

implementation area, a numerical end of year report on EPA 

and state inspection plan outputs, by category and 

NNY N
5 

subcategory. To increase the transparency of NPDES 

inspection data, OECA will make this data available to the 

public.

5 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).

NNY N

5 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. Please indicate when a commitment is 

pursuant to an approved alternative plan.] Prior to approving 

an alternative plan, regions should consult with the Office of 

Compliance (OC) and provide OC with information on how 

the state, tribal or local agency compliance monitoring air 

resources will be redirected and the rationale for making the 

change. 

NY Y N

5 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, as indicated in the initial OECA opening 

bid. Financial responsibility is an important component of 

NN Minimum of 100 

TSDFs nationally

 N
6 

the RCRA core program and evaluating compliance with 40 

CFR Parts 264/265 Subpart H and corrective action financial 

responsibility should be included in the RCRA core program 

inspections. Regions must commit to inspect at least the 

same number of financial assurance instruments at RCRA 

operating facilities as the region inspects for operating CEIs. 

Once a region exceeds the number of CEIs and FA 

instrument reviews from the final agreed upon bid, any 

additional CEIs will not require a corresponding FA 

instrument review. The determination of which financial 

assurance instruments to review should take into account the 

potential risk posed by the facility, the type of financial 

assurance instrument provided by the facility, and whether 

the financial assurance instrument has been previously 

reviewed and is the same type of instrument (this does not 

apply to the financial test, which may be reviewed each 

year). The review of financial assurance instruments is for 

RCRA Subtitle C closure and post-closure and includes 

corrective action if there is a corrective action obligation at 

the facility under review.

5

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 

RCRA01.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).

NY Y N

5 RCRA02 Project by state and Indian country, the number of LQGs, 

including those at federal facilities, to be inspected by the 

NN Minimum of 300 

LQG inspections 

 N
7 

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 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. 

nationally and 20% 

of LQGs in Indian 

Country

5

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. 

The region should identify in the “Comment” field of BAS 

any state that is following an approved Alternative Plan and a 

breakout of the inspection numbers in the plan.

NYY N

5 RCRA03

Inspect each operating TSDF operated by states, local, or 

Tribal governments. NN Y N

5 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

200 million cubic 

yards 

N

5

TSCA 

01OC

Project the total number of FY 2015 TSCA inspections. In 

the comment field of the Annual Commitment System 

NNY N
8 

(ACS), the region shall break out the number of projected 

inspections by TSCA program area (LBP, PCBs, Asbestos, 

New and Existing Chemicals). Note: The LBP component of 

this TSCA ACS commitment (TSCA 01OC) will serve as 

OECA’s FY 2015 measure of compliance work being done to 

protect children's health.

5

TSCA 

02OC

Report other compliance monitoring activities at the end of 

the year; and break-out the description of other such 

activities by TSCA program area. (See the CMS for more 

details). 

Y N N N

5

FIFRAFED1

Project regional (federal) FIFRA inspections. Each region 

should conduct a minimum of ten (10) FIFRA inspections. 

In the Comment Section, provide the number of federal 

facility inspections.

N N

Minimum of 100 

FIFRA federal 

inspections nationally

 N

5

OSRE-01

Reach a settlement or take an enforcement action by the start 

of remedial action at 99% of non-federal Superfund sites that 

have viable, liable parties.

N N 99 percent N

5 OSRE-02

Address all unaddressed costs in Statute of Limitations cases 

for sites with total past Superfund costs equal to or greater 

than $500,000 via settlement, referral to DOJ, filing a claim 

in bankruptcy, or where appropriate write-off. 

N N 100 percent of cases N

5

EPCRA 

01

Conduct at least four (4) EPCRA 313 data quality 

inspections. N N

Minimum of 40 

nationally N

5

EPCRA 

02

Conduct at least twenty (20) EPCRA 313 non-reporter 

inspections (and/or other compliance monitoring activities as 

determined by the compliance monitoring national dialogue).

N N

Minimum of 200 

nationally N

*Goal/Objective/Sub-Heading