EPA 305-F-03-014 

U.S. Environmental Protection Agency 

EPA’s Planned Compliance Assistance 

Activities for Fiscal Year 2004: 

Preliminary Highlights of the 

Annual EPA Plan and Inventory 

November 2003 
FINAL EPA 305-F-03-014 

EPA’s Planned Compliance Assistance Activities for Fiscal Year 2004: 

Preliminary Highlights of the Annual EPA Plan and Inventory 

The U.S. Environmental Protection Agency (EPA) provides a wide range of compliance assistance (CA) 

activities to help business, industry and government comply with regulatory requirements and improve 

environmental performance.1

 This assistance helps users implement new regulations; address problems with existing 

regulations; or address geographical, national, regional, local or facility-specific environmental issues. Compliance 

assistance may include written or electronic materials and tools (e.g., overviews of laws and regulations or best 

management practices); outreach opportunities (e.g., training, workshops, seminars, mailings); new Internet Web 

pages; and on-site visits. 

Annually, EPA prepares a compliance assistance plan and inventory identifying CA activities that EPA 

intends to undertake for that fiscal year. As of October 16, 2003, EPA planned 415 compliance assistance CA 

activities for FY 2004, compared to 369 reported for FY 2003. 

Preliminary National Highlights of 415 Planned CA Activities for FY 2004 

This year’s national highlights are similar to last year’s with two exceptions. More of the planned CA 

activities were reported as part of an integrated strategy that may combine compliance assistance, compliance 

monitoring, enforcement and/or compliance incentives to address the environmental problem. In addition, more of 

the CA activities reported include an effort to measure the impact or outcome of the CA, such as change in 

awareness of environmental requirements or the environmental performance of the regulated entity – be it business, 

industry or government. 

•	 Types of Activities: Among the various activities, two types – tools developed (49%) and 

workshops/trainings/presentations (23%) – account for nearly 75% of all planned CA activities. 

•	 New v. Ongoing: Many CA activities (e.g., Compliance Assistance Centers and telephone hotlines) 

continue from year to year. Nearly two thirds (64%) are ongoing from FY 2003. This year the number of 

new activities planned has increased by about 35% compared to the previous fiscal year. 

•	 Organizational Mix: Depending on their mission, different EPA offices provide different types and 

amounts of compliance assistance. EPA’s Regions will implement or conduct about 85% of the total 

activities planned for FY 2004 (an increase of 28% compared to FY 2003), while Headquarters offices will 

conduct 15 percent. 

•	 EPA Financial Support for Other CA Providers: Through grants, contracts and other types of 

agreements, EPA funds a portion of the CA activities offered by a diverse group of states and other CA 

providers. Such activities represent 16% of the total CA activities reported in the FY 2004 plan and 

inventory, similar to the percentage in FY 2003. 

•	 Support for Agency Priorities: Two hundred and three (203) activities (49%) address either a national or 

regional priority, an increase of 52 activities from FY 2003. A majority of this increase is accounted for by 

an increase in activities that support either regional or other programmatic priorities. 

•	 Chemicals and Pollutants Addressed: EPA plans CA activities to address more than 30 chemical and 

pollutant categories. Among the specific pollutants most frequently addressed are oil, non-hazardous solid 

waste, pesticides and solvents, together accounting for 24% of planned activities. 

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•	 Sectors Addressed: EPA plans CA activities to address more than 34 business and government sectors. 

The most frequently addressed of all sectors are federal facilities (56 activities), state and local 

governments (50 and 47 activities, respectively), and schools (43 activities), together accounting for 26% of 

all sectors reported. 

•	 Small Business Focus: EPA is also addressing the needs of small business through general and sectorspecific assistance. A total of ninety-six (96) CA activities address one or more small business sectors 

(e.g., dry cleaning, auto salvage, automobile-repair/service, printing, etc.) representing 13% of all planned 

activities. Additionally, 14% of planned CA activities support previous EPA regulations or regulations EPA 

intends to issue during FY 2004, that either have an impact on small entities and/or have an economically 

significant impact on larger businesses. 

•	 Measuring the Impact of CA: The number of CA activities for which EPA is planning some type of 

measurement of impact has increased from 265 to 315 activities, a 19% increase from FY 2003 to FY 2004. 

In both years the most frequently used measurement tools are workshop surveys and on-site visits. Together 

these two tool types represent 42% of the total measurement tools to be used in FY 2004. The largest 

increase (of 44%) from FY 2003 to 2004 is in the number of CA activities where measurement is planned, 

but the measurement tool was not specified at the time of data entry. 

•	 Integrated Approaches or Strategies: EPA is promoting strategic consideration and use of compliance 

assurance and enforcement tools in environmental problem solving. Related to this, the FY 2004 plan 

reports 186 projects (a 30% increase from FY 2003) that indicate the planned CA activity is part of an 

integrated approach. This means that the planned CA is part of an approach or strategy that may combine 

compliance assistance, compliance monitoring, enforcement and/or compliance incentives to address the 

environmental problem. 

Electronic Access to CA Planning Information 

Analyses that Support These Highlights: These Preliminary National Highlights are based on summary 

statistics of the FY 2004 plan and inventory. Appendix A of the report contains analyses of FY 2004 data alone, 

while Appendix B contains comparisons of select data from all four annual compliance assistance activity plans 

(FY 2001 - FY 2004). A complete report, including these statistics, is available only in electronic form. To view 

the more detailed report, go to EPA’s Compliance Assistance Planning Web Page: 

http://www.epa.gov/compliance/assistance/planning/index.html. 

Project or Activity Specific Information: More detailed information (e.g., activity title, brief description, 

contact information) about specific activities planned is available in a database that business, industry, government 

and the general public can search via the Internet at: National Environmental Compliance Assistance Clearinghouse, 

http://www.epa.gov/clearinghouse. To search this information for FY 2004, go to the Clearinghouse; select the 

“Planned and Ongoing Activities” button in the left sidebar, select “US EPA Activities,” and select “FY04 CAPD 

Data.” Then search by organization and other criteria (e.g., sector, pollutant, geographic focus, etc.). For additional 

information about these materials and/or Web access to them, contact: Ms. Rebecca A. (Becky) Barclay, 

U. S. EPA, Office of Enforcement and Compliance Assurance, Office of Compliance, 202-564-7063, 

barclay.rebecca@epa.gov. 

__________________________


1 Compliance assistance, for purposes of this plan and inventory, includes activities, tools or technical assistance


that provides clear and consistent information for: (1) helping the regulated community understand and meet its


obligations under environmental regulations; or (2) helping compliance assistance providers to aid the regulated


community in complying with environmental regulations. Compliance assistance may also help the regulated


community find cost-effective ways to comply with regulations and/or go “beyond compliance” through the use of


pollution prevention, environmental management practices, and innovative technologies, thus improving their


environmental performance. To be categorized as a compliance assistance project or activity, at least one objective


must be related to achieving or advancing regulatory compliance.


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APPENDIX A


Analysis of EPA’s Planned Compliance Assistance Activities in FY 2004 

(FY 2004 data reported as of 10/16/03) 

The U.S. EPA Office of Compliance (OC) within the Office of Enforcement and Compliance 

Assurance (OECA) documents EPA’s planned compliance assistance activities in an annual plan and 

inventory to enable EPA Headquarters and Regional Offices to plan and use their compliance assistance (CA) 

resources more effectively, and to assist regulators (e.g., state, local, tribes), and other compliance assistance 

providers (e.g., Small Business Assistance Programs) in deciding how to use their CA resources, avoid 

duplication, and complement EPA’s efforts. The information contained in each annual plan also helps 

regulated entities (e.g., industry, federal facilities) learn about and take advantage of relevant CA 

opportunities. 

As of October 16, 2003, the FY 2004 plan includes 415 compliance assistance activities that EPA 

intends to undertake this fiscal year. EPA maintains the plan in the form of records of activities with project 

level information in a searchable electronic database. With contractor assistance, OC has analyzed key 

aspects of each of these records as shown in the tables listed below. Each table summarizes a different aspect 

of the FY 2004 plan, such as what proportion of activities are Regional or Headquarters in origin; whether the 

activities are new or ongoing; the proportion that address national or regional priorities, etc. 

•	 Table 1: Distribution of Planned Compliance Assistance Activities by Organization (EPA 

Headquarters Program Offices or Regional Offices) for FY 2004 

• Table 2: New vs. Ongoing Compliance Assistance Activities for FY 2004 

• Table 3: Types of Compliance Assistance Activities Planned for FY 2004 

•	 Table 4: Chemical/Pollutant Categories Addressed by FY 2004 Planned Compliance 

Assistance Activities 

• Table 5: Specific Sectors Addressed by FY 2004 Planned Compliance Assistance Activities 

•	 Table 6: Types of Regulations Addressed by FY 2004 Planned Compliance Assistance 

Activities 

•	 Table 6a: List of FY 2004 Planned Compliance Assistance Activities Addressing Economically 

Significant or SBREFA Regulations 

• Table 6b: Final Rules which may employ Small Entity Compliance Guides 

•	 Table 7: National and Regional Priorities Addressed by FY 2004 Planned Compliance 

Assistance Activities 

•	 Table 8: Types of Measurement Tools Associated with FY 2004 Planned Compliance 

Assistance Activities 

•	 Table 9: Recipients of EPA’s Financial Assistance for Compliance Assistance Activities in 

FY 2004 

Abt Associates Inc. FINAL – The Compliance Assistance Planning Database (CAPD) November 25, 2003 

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Table 1: Distribution of Planned Compliance Assistance Activities by Organization 

EPA Regions and Headquarters Offices plan 415 compliance assistance activities for FY 2004. Regional 

offices will provide 85% of the activities planned, with Region 2 and 6 offering the largest number of 

activities (103 and 81 activities, respectively). Headquarters program offices will provide 15% of the planned 

activities, with OECA having the largest number of activities (32) for FY 2004. 

Lead Headquarters 

Program Office 

Number of 

Responses 

Percentage of 

Responses (%) 

Lead Regional 

Office 

Number of 

Responses 

Percentage of 

Responses (%) 

OAR 3 5 Region 21 6 

OECA 32 51 Region 103 29 

OEI 10 16 Region 27 8 

OPPTS 15 24 Region 38 11 

OW 3 5 Region 9 3 

Total 63 100 Region 81 23 

Key: 

OAR 

OECA - Office of Compliance and Enforcement 

OEI 

OPPTS Office of Pollution Prevention and Toxics 

OW er 

Region 35 10 

Region 17 5 

Region 13 4 

Region 8 2 

Total 352 100 

- Office of Air and Radiation 

- Office of Environmental Information 

-

- Office of Wat

Source: The Compliance Assistance Planning Database (CAPD) as of October 16, 2003 

Total Records: 415 


Total Number of Responses: 415 (Response Rate: 100%)


Total Number of Responses (lead Headquarters): 63 (15% of the total records)


Total Number of Responses (lead Regions): 352 (85% of the total records)


Table 2: New vs. Ongoing Compliance Assistance Activities for FY 2004 

EPA Regions and Headquarters Offices plan compliance assistance activities for FY 2004 that are either new, 

or are ongoing from the past year(s). Of the reported activities, 64% were ongoing, while 36% were new 

activities beginning in FY 2004. 

Activity Type Number of Responses Percentage of Responses (%) 

New 143 36 

Ongoing 256 64 

Total 399 100 

Source: The Compliance Assistance Planning Database (CAPD) as of October 16, 2003 

Total Records: 415


Total Number of Records with a Response: 399 (Response Rate: 96%)


Abt Associates Inc. FINAL – The Compliance Assistance Planning Database (CAPD) November 25, 2003 

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Table 3: Types of Compliance Assistance Activities Planned for FY 2004 

EPA Regions and Headquarters Offices plan a variety of compliance assistance activities for FY 2004. Tools 

developed are the most frequently reported activity type accounting for 49% of all activities, followed by 

workshop(s)/trainings and presentations at meetings at 23% and on-site assistance at 15%. 

General Category Number of 

Responses 

Percentage of 

Responses (%) 

Tools Developed 264 49 

CD -ROM (s) 12 2 

Case Studies 19 4 

Checklists 28 5 

Fact Sheets 62 12 

Guidanc e M aterials 102 19 

Newsletters 9 2 

Policy Do cuments 24 4 

Vide o(s) 8 1 

Workshops/Trainings and Presentations at Meetings 122 23 

W orkshop(s)/Training M aterials 122 23 

Telephone Hotlines and Websites 68 13 

W eb Sites 62 12 

Ho tline(s) 6 1 

On-Site Assistance 81 15 

Environmental Management Systems/Review 18 3 

On-site visits 63 12 

Total 535 100 

Source: The Compliance Assistance Planning Database (CAPD) as of October 16, 2003 

Total Records: 415


Total Individual Compliance Assistance Activity Types selected (Total Responses): 535


Total Number of Records with a Response: 301 (Response Rate: 72%)


Total Number of Records with a Response including “Other1

”: 335 (Response Rate: 81%)


Total Number of Records with Multiple Responses2

: 102


1 “Other” refers to a compliance assistance activity not listed in the FY 2004 Compliance Assistance Planning Database that was 

entered by the user. 

2 There are a total of 415 records in the Database. A number of records (102) report more than one compliance assistance activity 

type, resulting in some double-counting. 

Abt Associates Inc. FINAL – The Compliance Assistance Planning Database (CAPD) November 25, 2003 

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Table 4: Chemical/Pollutant Categories Addressed by FY 2004 Planned Compliance Assistance Activities 

EPA Regions and Headquarters Offices plan compliance assistance activities that address more than 30 chemical and 

pollutant categories. Activities to address “general” categories of water pollutants (112 activities) and hazardous waste 

(102) are the most frequently reported, together accounting for 15% of all chemicals/pollutants reported. Among specific 

pollutants most frequently addressed are oil, non-hazardous solid waste, pesticides and solvents, together accounting for 

24% of all chemicals/pollutants reported. 

Chemical/Pollutant Number of 

Responses Chemical/Pollutant Number of Responses 

Air Pollutants: 

- CFCs and other ozone-dep letors 

- criteria air p ollutants (VO Cs, N Ox, PM , SO 2, 

CO, lead) 

- general 

- greenhouse gases 

- HAPs 

Hazardous W aste: 

- characteristic 

- general 

- listed 

- pathogens 

W ater Pollutants: 

- conventional pollutants (BOD, pH, TSS, oil & 

grease) 

- general 

- nutrients 

- other toxics 

- pathogens 

- priority p ollutants 

Toxic Substances: 

21 - asbestos 28 

42 - dioxin and dioxin-like compounds 11 

86 - general 87 

25 - heavy m etals 42 

38 - lead and lead compounds 44 

- mercury 35 

37 - PB Ts as a group (p ersistent, b ioacc umula tive, 

& toxic) 19

102 - PCB s (polychlorinated biphenyls) 20 

41 - TR I-listed chemicals 40 

12 Oth er Spe cific Che mical/Po llutants: 

Lab orato ry Che micals 53 

37 Oil 98 

112 Pesticides 78 

29 Rad ioactive M aterials/W aste 31 

21 Solid W aste (non-haza rdous) 86 

25 Solvents 77 

19 Total 1,396 

Source: The Compliance Assistance Planning Database (CAPD) as of October 16, 2003 

Total Records: 415


Total Individual Chemicals/Pollutants selected (Total Responses): 1,3961


Total Number of Records with a Response: 3432 (Response Rate: 83%)


Total Number of Records with a Response including “Other3

”: 366 (Response Rate: 88%)


Total Number of Records with Multiple Responses4

: 201 


Key: 

BOD - Biochemical Oxygen Demand CFCs - Chlorofluorocarbons CO - Carbon Monoxide


HAPs - Hazardous Air Pollutants NOx - Nitrogen Oxides PBTs - Persistent, Bioaccumulative Toxics


PCBs - Polychlorinated Biphenyls PM - Particulate Matter SO2 - Sulfur Dioxide


TSS - Total Suspended Solids TRI - Toxic Release Inventory VOCs - Volatile Organic Compounds


1 Eight (8) records indicated “Not Applicable” in the chemical/pollutant field; “N/As” have neither been included in the total number of individual


chemicals/pollutants selected, nor have they been listed in the above table.


2 The total number of records with a response and the total number of records with multiple responses include those chemicals/pollutants that


addressed “N/As” (8 responses).


3 “Other” refers to a chemical/pollutant not listed in the FY 2004 Compliance Assistance Planning Database that was entered by the user.


4 There are a total of 415 records in the Database. A number of records (201) addressed more than one chemical/pollutant, resulting in some doublecounting. 

Abt Associates Inc. FINAL – The Compliance Assistance Planning Database (CAPD) November 25, 2003 

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Table 5: Specific Sectors Addressed by FY 2004 Planned Compliance Assistance Activities 

Compliance assistance activities planned by EPA Regions and Headquarters Offices address more than 34 

business and government sectors. The most frequently addressed government sectors are federal facilities (56 

activities), state and local government (50 and 47 activities respectively), and schools (43), together accounting 

for 26% of all sectors reported. Additionally, among business sectors, small business, health care, general 

agriculture, automobile repair/service and utilities are the most frequently addressed and collectively account for 

20% of all sectors reported. 

Sector Number of 

Responses Sector Number of 

Responses 

Agriculture - animal feeding operations 20 Iron & Steel 3 

Agriculture - general 30 Laboratories 12 

Auto Salvage 14 Leather Tanning and Finishing 4 

Automobile - manufacturing 6 Local Governm ent 47 

Automobile - repair/service 30 Metal Services/Finishers 11 

Chemical - distributors 8 Metals - Other than Al or Cu 5 

Chemical - general 27 Metals - Secondary Al 3 

Chemical - inorganics 12 Metals - Secondary Copper 3 

Chemical - organics 16 Mineral/Mining/Processing 8 

Computers & Electronics 14 Petroleum 21 

Construction 23 Pha rmac euticals 8 

Dry Cleaning 7 Printing 13 

Federal Facilities 56 Pulp/Paper/Forestry 4 

Food P rocessing 9 Scho ols 43 

Ga rmen t and T extile 4 Small B usiness 32 

General Public/Citizens 15 State Government 50 

Hazardo us Waste M anagement 21 Transportation 22 

Health Care 31 Tribal 23 

All Sectors 64 Utilities 29 

Total 748 

Source: The Compliance Assistance Planning Database (CAPD) as of October 16, 2003 

Total Records: 415


Total Individual Sectors selected (Total Responses): 7481

 (including “All Sectors”)


Total Number of Records with a Response: 3542 (Response Rate: 85%)


Total Number of Records with a Response including “Other3

”: 382 (Response Rate: 92%)


Total Number of Records with Multiple Responses4

: 190


1 Seventeen (17) records indicated “N/A - Not Industry Specific” in the sector field; “N/As” have neither been included in the total 

number of individual sectors selected, nor have they been listed in the above table. 

2 The total number of records with a response and the total number of records with multiple responses include those sectors that addressed 

“N/As” (17 responses). 

3 “Other” refers to a sector not listed in the FY 2004 Compliance Assistance Planning Database that was entered by the user. 

4 There are a total of 415 records in the Database. A number of records (190) address more than one sector, resulting in some doublecounting. 

Abt Associates Inc. FINAL – The Compliance Assistance Planning Database (CAPD) November 25, 2003 

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Table 6: Types of Regulations Addressed by FY 2004 Planned Compliance Assistance Activities 

A total of 71 (17%) compliance assistance activities planned by EPA Regions in the FY 2004 CA Plan and 

Inventory support previous or upcoming regulations that impact small entities and/or have an economically 

significant impact on the regulated community. 

Regulations Number of Responses Percentage of Responses (%) 

Economically Significant 20 28 

SBREFA 51 72 

Total 71 100 

Source: The Compliance Assistance Planning Database (CAPD) as of October 16, 2003 

Total Records: 415


Total Types of Regulations selected (Total Responses): 71


Total Number of Records with a Response: 60 (Response Rate: 14%)


Total Number of Records with a Response including “Other1

”: 73 (Response Rate: 18%)


Total Number of Records with Multiple Responses2

: 11


Key: 

SBREFA - Small Business Regulatory Enforcement Act 

1 Other” refers to a regulation not listed in the FY 2004 Compliance Assistance Planning Database that was entered by the user. 

2 There are a total of 415 records in the Database. Eleven (11) of the records addressed more than one type of regulation, resulting in 

some double-counting. 

Abt Associates Inc. FINAL – The Compliance Assistance Planning Database (CAPD) November 25, 2003 

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Table 6a: List of FY 2004 Planned Compliance Assistance Activities 

addressing Economically Significant or SBREFA Regulations 

Contact 

Office / 

Region 

Title Economically 

Significant 

SBREFA 

OECA Construction Industry Compliance Assistance Center - www.CICAcenter.org � �

Region 01 

Region 01 

Region 01 

Region 01 

Region 02 

Region 02 

Region 02 

Region 02 

Region 02 

Region 02 

Sma ll Drink ing W ater Systems - D istribute N ew C omp liance A ssistance To ols �

Small Drinking Water Systems -Sector-specific Drinking Water Outreach Cam paigns �

Small Drinking Water Systems - Treatment Technology Exchange �

Comprehensive Post-Inspection Assistance & Resource Connection �

W ood Tre aters C omp liance A ssistance - Fact Sheets -

Auto Fleet Maintenance Sector - webpage -

Grant for EMS for Marinas and Boatyards in NY -

NE PAssist �

Compliance Assistance for Marinas - fact sheet �

Creating, Maintaining, and Participating in Small Business Comprehensive 

Assistance Network n NY - i

-

-

-

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Region 02 

Region 02 

Region 02 

Region 02 

Region 02 

Region 02 

Region 02 

Small Business General Outreach -

Regional Small Business Assistance W ebpage -

Complia nce A ssistance for M arinas - website �

Dry C leaning on-site visits -

New Jersey Auto Salvage Yard Compliance Assistance -

Spray Booth compliance assistance -

Dry Cleaning regulatory/pollution prevention CD/ROM -

Region 02 

Region 02 

CFC M ailing & Audit Initiative - �

Creating, Maintaining, and Participating in Small Business Comprehensive 

Assistance Network in Puerto Rico - �

Region 02 Creating, Maintaining, and Participating in Small Business Comprehensive 

Assistance Network in NJ - �

Region 02 Comp liance Incentives/ Environmental Auditing W eb Page - �

Region 02 Stratospheric Ozone Protection - �

Region 02 Auto Fleet Maintenance Sector - mailing - �

Region 02 

Region 02 

Auto Flee t Maintena nce Sec tor - checklist - �

Creating, Maintaining, and Participating in Small Business Comprehensive 

Assistance Network in the US Virgin Islands - �

Region 02 

Region 02 

W ood Tre aters C omp liance A ssistance - W eb S ite -

VOC & P articulate Reduction Project Through Enhanced Use of “High Volume Low 

Pressure” Spray Guns in New York City Auto Body Shops -

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Region 02 

Region 02 

Region 02 

New Croton Aqueduct Project -

Spray Booth W eb S ite -

Outreach to Chemical Warehousing Operations in Paterson, NJ -

Region 02 

Region 02 

Outreach to Potential TRI Filers in Paterson, NJ -

Disp osal of Com merc ial Refrigeration and Air Cond itioning S ervice Outreach in 

Paterson, NJ -

Region 02 

Region 02 

Region 02 

Region 02 

Region 03 

Region 03 

Region 05 

Commercial Refrigeration and Air Conditioning Service Outreach in Paterson, NJ -

CFC Disposal of Small Appliances Outreach in Paterson, NJ -

Dry Cleaner Outreach in Paterson, NJ -

MVAC Outreach in Paterson, NJ -

Business Assistance Center Hot Line �

Outreach At T rade Association Events -

TRI Compliance Assistance Workshops -

Region 05 Compliance Assistance through telephone, e-mail, mail, fax - �

Abt Associates Inc. FINAL – The Compliance Assistance Planning Database (CAPD) November 25, 2003 

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Contact 

Office / 

Region 

Title Economically 

Significant

SBREFA 

Region 06 Coordinate Clean Air Act outreach activities and participate in training with NMED � �

Region 06 Field Screening Chemical Tests Developed for Tribes in Oklahoma and New Mexico


Region 06 Underground Storage Tank - Geographic Information System Environmental


Indicators / Data Management Tool for Oklahoma Tribes 

� -

� -

Region 06 

Region 06 

Region 06 

Region 06 

Region 06 

Region 06 

Region 06 

Region 06 

Region 06 

Region 08 

Region 08 

W ood Treaters of Texas - �

Nitrate project in Texas � -

Assistance on Clean Air Act (CAA) Regulations � �

Coordinate Clean Air Act outreach activities and participate in training with TCEQ � �

Coordinate Clean Air Act outreach activities and participate in training with LDEQ � �

Coordinate Clean Air Act outreach activities and participate in training with ODEQ � �

Storm Water Construction General Permit (SWCGP ) Assistance Workshop - �

Fertilizer and Feed M ill Initiative - �

Coordinate Clean Air Act outreach activities and participate in training with ADEQ � �

The Co lorado UIC Class V W ell Inventory - �

Pollution Prevention - Regional P2RX Center � �

Region 10 

Region 10 

�

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-

�

Comp liance Assistance for the Alaska Seafood P rocessors �

Education & O utreach on NPD ES Storm W ater Permit Regulations -

Source: The Compliance Assistance Planning Database (CAPD) as of October 16, 2003 

Total Records: 415


Total Number of Records with a Response: 60 (Response Rate: 14%)


Region 08 

Region 09 

The B lack Hills/SDO T U IC Initiative -

Barrio Logan Auto Repair and Auto Salvage Compliance Assistance and P2 

Workshop -

Region 09 Stratospheric Ozone Program Assistance Project for Auto Salvage Yards -

Abt Associates Inc. FINAL – The Compliance Assistance Planning Database (CAPD) November 25, 2003 

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Table 6b: Final Rules which may employ Small Entity Compliance Guides 

The table below includes information on federal regulations for which EPA plans to develop small entity 

compliance guides (SECG) or self-audit checklists in Fiscal Year 2004. Compliance guides are being developed 

because the regulations have a significant economic impact on a substantial number of small entities as defined 

under the Small Business Regulatory Enforcement Fairness Act (SBREFA). 

The rules listed in this table are either expected to be final in FY 2004 or are already final rules and will have 

compliance guides completed in FY 2004. This table does not, therefore, list the potential universe of SBREFA 

regulations for which future compliance guides may be developed. 

The regulations on this table are current as of October 17, 2004. The list of regulations is not final and is 

continually changing based on alterations to the regulation’s projected publication date and further economic 

analysis. For more information on the status of the regulation or the compliance guide, contact the appropriate 

EPA program office. 

Office Title 

Final 

Publication 

Date 

Projected 

SECG 

Issuance Date 

OAR SAN-3326: 

SAN -435 5: eavy D uty Eng ine Emission Stand ards a nd D iesel Fu el 

Sulfur C ontro l Req uirem ents 

SAN-4675: Control of Emissions of Air Pollution from Nonroad Diesel 

Engines and Fuel 

H

OPPTS 

OW SAN-4153: Na tional P ollutant D ischarg e Elim ination S ystem P ermit 

Regulation and Effluent Limitations Guidelines and 

Standards fo r Conc entrated An imal Feed ing Op erations 

(CAFO s) 

02/12//2003 10/00/2003 

NESHAP: Reinforced Plastic Composites Production 

SAN -324 4: d-B ased Paint Activities R ules; T raining, A ccred itation, 

and Certification Rule and Mo del State Plan Rule– Section 

402(a) 

Lea

04/21/2003 10/00/2003 

01/18/2001 12/00/2003 

04/00/2004 -

08/29/1996 12/00/2003 

Source: The Compliance Assistance Planning Database (CAPD) as of October 16, 2003 

Key: 

OAR - Office of Air and Radiation


OPPTS - Office of Prevention, Pesticides and Toxic Substances


OW - Office of Water


SECG - Small Entity Compliance Guides


Abt Associates Inc. FINAL – The Compliance Assistance Planning Database (CAPD) November 25, 2003 

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Table 7: National and Regional Priorities Addressed by 

FY 2004 Planned Compliance Assistance Activities 1 

Two hundred and three (203) activities (49%) address either a national or regional priority. Of these, one 

hundred six (106) activities (52%) address National MOA or other cross-programmatic priorities, while ninetyseven (97) activities (48%) address Regional MOA Priorities. 

National and Regional Priority Number of 

Responses 

Percentages of 

Responses (%) 

Nationa l Priority 106 52 

National OECA MOA Priority 41 20 

Othe r Pro gram (OA R, O W , OP PT S, OSW ER ) M OA Priority 49 

Othe r Cro ss-Pro grammatic P riority (e.g., children’s health, EJ, etc.) 16 

24 

8 

Regiona l Priority 97 48 

Reg ional M OA Prio rity 97 48 

Total of National and Regional Priorities 203 100 

Source: The Compliance Assistance Planning Database (CAPD) as of October 16, 2003 

Total Records: 415


Total Number of Records with a Response: 203 (Response Rate: 49%)


Key: 

EJ - Environmental Justice


MOA - Memorandum of Agreement


OAR - Office of Air and Radiation


OECA - Office of Enforcement and Compliance Assurance


OPPTS - Office of Prevention, Pesticides and Toxic Substances


OSWER - Office of Solid Waste and Emergency Response


OW - Office of Water


1 In addition, 81 planned CA activities address the National OECA MOA core program. 

Abt Associates Inc. FINAL – The Compliance Assistance Planning Database (CAPD) November 25, 2003 

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Table 8: Types of Measurement Tools Associated with 

FY 2004 Planned Compliance Assistance Activities 

EPA Regions and Headquarters offices plan to measure the impact of 315 CA activities planned for FY 2004. 

The most frequently used measurement tools are workshop surveys and on-site visits. Together these represent 

42% of the types of measurement tools to be used in FY 2004. 

Measurement Tool Number of Responses Percentage of 

Responses (%) 

E-mail Survey 10 3 

Mail Survey 8 3 

On-site Rev isits 26 8 

On-site Visit 57 18 

Phone Survey 22 7 

Planned (Specifics Unknown) 100 32 

Pre/po st Test 17 5 

W orkshop Survey 75 24 

Total 315 100 

Source: The Compliance Assistance Planning Database (CAPD) as of October 16, 2003 

Total Records: 415


Total Individual Activity Measures selected (Total Responses): 3151


Total Number of Records with a Response: 3382 (Response Rate: 81%)


Total Number of Records with Multiple Responses3

: 69


1 A hundred and eighteen (118) records indicated “None Planned” in the measurement type field; these responses have neither 

been included in the total number of individual activity measures selected, nor have they been listed in the above table. 

2 The total number of records with a response and the total number of records with multiple responses include those measurement 

types that addressed “None Planned” (118 responses). 

3 There are a total of 415 records in the Database. A number of records (69) addressed more than one measurement type, resulting 

in some double-counting. 

Abt Associates Inc. FINAL – The Compliance Assistance Planning Database (CAPD) November 25, 2003 

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Table 9: Recipients of EPA’s Financial Assistance for 

Compliance Assistance Activities for FY 2004 

EPA Regions and Headquarters Offices plan to support a variety of compliance assistance providers in 

FY 2004. State/state programs are the most frequent recipients, accounting for 49% of all recipients, 

followed by nonprofit organizations at 24% and academic/universities at 12%. 

Recipients of EPA Financed Activities Number of Responses Percentage of Responses 

(%) 

Academic/University 

2 3 

1 1 

3 4 

1 1 

16 24 

33 49 

Tribal Association or Organization 4 6 

Total 68 100 

Environmental justice or community groups 

Environmental group 

Federal department or agency 

Industry Trade Association 

Nonprofit Organization 

State/State Program 

8 12 

Source: The Compliance Assistance Planning Database (CAPD) as of October 16, 2003 

Total Records: 415


Total Number of Records with a Response (Total Responses): 68 (Response Rate: 16%)


Total Number of Records with a Response including “Other1

”: 75 (Response Rate: 18%)


1 “Other” refers to a recipient not listed in the FY 2004 Compliance Assistance Planning Database that was entered by the user. 

Abt Associates Inc. FINAL – The Compliance Assistance Planning Database (CAPD) November 25, 2003 

- Page 14 of 19 -
APPENDIX B


EPA’s Planned Compliance Assistance Activities: 

Data Comparisons from FY 2001 to FY 2004 

The U.S. EPA Office of Compliance (OC) within the Office of Enforcement and Compliance 

Assurance (OECA) has completed four annual compliance assistance activity plans, beginning in 

FY 2001. Appendix B contains bar charts and tables that compare data selected from four fiscal years 

(FY 2001 - FY 20041

), including total activities planned and the proportion of these activities that are 

Headquarters or Regional in origin. 

Appendix B also contains analyses comparing data collected on two topics during FY 2003 and 

FY 2004 only. These topics include support for national and regional priorities, and the measurement 

tools to be used to assess the impact of planned compliance assistance (CA) activities. 

• B-1: Comparison of Total CA Activities Planned, FY 2001 through FY 2004 

•	 B-2: Comparison of CA Activities Planned by EPA Headquarters and Regional Offices, 

FY 2001 through FY 2004 

•	 B-3: Comparison of Planned CA Activities Supporting National or Regional Priorities for 

FY 2003 and FY 2004 

•	 B-4: Comparison of Measurement Methods Associated with CA Activities Planned for 

FY 2003 and FY 2004 

1 The FY 2004 data on planned compliance assistance activities are preliminary and may change depending 

on the final budget EPA receives from Congress for FY 2004. As of November 17, 2003, EPA has not received its 

final FY 2004 budget. 

Abt Associates Inc. DRAFT FINAL – Compliance Assistance Planning Database: Appendix B November 17, 2003 

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B-1: Comparison of Total CA Activities Planned, FY 2001 through FY 2004 

The total number of CA activities planned has risen and fallen from FY 2001 to FY 2004, with the highest 

number (455) reported in FY 2002. 

Planned CA 

Activity 

FY ‘01 1 FY ‘02 FY ‘03 FY ‘04 Difference Between 

FY ‘03 to FY ‘04 

# of 

Responses 

# of 

Responses 

% of 

Total 

# of 

Responses 

% of 

Total 

# of 

Responses 

% of 

Total 

# of 

Responses 

(% 

change) 

New NA 165 36 106 29 143 34 37 35 

Ongoing NA 290 64 248 67 256 62 8 3 

No Response* NA 0 0 15 4 16 4 1 7 

Total Responses NA 455 100 354 100 399 100 45 13 

Total Records 368 455 NA 369 NA 415 NA 46 12

Source: The Compliance Assistance Planning Database (CAPD) as of October 16, 2003 

* Not all users responded to this field, i.e., whether the CA planned activity was new or ongoing. 

1 NA = Not Applicable. No data are available for whether the CA activity was new or ongoing for 

FY 2001. 

Abt Associates Inc. DRAFT FINAL – Compliance Assistance Planning Database: Appendix B November 17, 2003 

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B-2: Comparison of the CA Activities Planned by EPA Headquarters and Regional Offices, 

FY 2001 through FY 2004 

From FY 2001 to FY 2004 the total activities reported by seventeen EPA offices has risen and fallen significantly. 

The EPA Headquarters office consistently reporting the largest percentage of planned CA activities has been 

OECA. Otherwise, the percentage of planned CA activities reported by other EPA Headquarters offices has 

declined generally from FY 2001 to FY 2004, with two offices – OPEI and OSWER– not reporting any CA 

activities planned for FY 2004. Two Regions (2 and 6) steadily increased reporting over the four years while 

reporting from other Regions has fluctuated or declined. 

Abt Associates Inc. DRAFT FINAL – Compliance Assistance Planning Database: Appendix B 

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EPA 

Organization 

OAR 

OECA 

OEI 

OPEI 

OPPTS 

OSWER 

OW 

Region 01 

Region 02 

Region 03 

Region 04 

Region 05 

Region 06 

Region 07 

Region 08 

Region 09 

Region 10 

Total 

FY ‘01 

# of 

Responses 

% of 

Total 

13 4 

50 14 

24 7 

17 5 

35 10 

9 2 

6 2 

11 3 

30 8 

18 5 

29 8 

18 5 

32 9 

21 6 

10 3 

26 7 

19 5 

November 17, 2003 

FY ‘02 FY ‘03 FY ‘04 

# of 

Responses 

% of 

Total 

# of 

Responses 

% of 

Total 

# of 

Responses 

% of 

Total 

6 1 4 1 3 1 

46 10 38 10 32 8 

12 3 10 3 10 2 

12 3 10 3 0 0 

27 6 8 2 15 4 

15 3 15 4 0 0 

6 1 10 3 3 1 

24 5 41 11 21 5 

52 11 55 15 103 25 

35 8 25 7 27 7 

36 8 12 3 38 9 

28 6 16 4 9 2 

54 12 68 18 81 20 

31 7 24 7 35 8 

24 5 17 5 17 4 

28 6 11 3 13 3 

19 4 5 1 8 2 

368 100 455 100 369 100 415 100 

Source: The Compliance Assistance Planning Database (CAPD) as of October 16, 2003 
B-3: Comparison of Planned CA Activities Supporting National or Regional Priorities 


for FY 2003 and FY 2004


The number of EPA’s planned CA activities that support national or regional priorities has increased from 151


activities in FY 2003 to 203 activities in FY 2004, or a 34% increase. Most of this increase is accounted for by


increases in activities that support either regional priorities or other program priorities.


National and Regional 

Priority 

FY ‘03 FY ‘04 Difference between 

FY ‘03 and FY ‘04 

# of 

Responses % # of 

Responses % # of 

Responses 

% 

change 

Nationa l Priority 77 51 106 52 +29 +38 

National OECA MOA Priority 40 26 41 20 -1 +3


Other Program (OAR, OW, 

OP PT S, O SW ER ) M OA Priority 

Othe r Cro ss-Pro grammatic P riority 

(e.g., child ren’s he alth, EJ , etc.) 

25 17 

12 8 

49 24 

16 8 

+24 

+4 

+96 

+33 

Regiona l Priority 74 49 97 48 +23 +31 

Regional MOA Priority 74 49 97 48 +23 +31


Total of National and Regional 

Prior ities 151 100 203 100 52 34 

Source: The Compliance Assistance Planning Database (CAPD) as of October 16, 2003 

Abt Associates Inc. DRAFT FINAL – Compliance Assistance Planning Database: Appendix B November 17, 2003 

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B-4: Comparison of Measurement Methods Associated with CA Activities Planned 

for FY 2003 and FY 2004 

The number of CA activities for which EPA is planning some type of impact measurement has increased from 

265 to 315 activities, a 19% increase from FY 2003 to FY 2004. In both years the most frequently used 

measurement tools are workshop surveys and on-site visits. The largest increase from FY 2003 to 2004 is the 

number of activities (56 to 100 activities) where measurement is planned but the type of measurement tool was 

not specified at the time of data entry. 

Measurement Method 

FY ‘03 FY ‘04 Difference between 

FY ‘03 to FY ‘04 

# of Responses % # of Responses % # of Responses %change 

E-mail Survey 

Mail Survey 

On-site Revisits 

On-site Visits 

Phone Survey 

Planned (Specifics Unknown) 

14 5 

16 6 

11 4 

59 22 

32 12 

56 21 

12 5 

65 25 

10 3 

8 3 

26 8 

57 18 

22 7 

100 32 

17 5 

75 24 

-4 

-8 

+15 

-2 

-10 

+44 

+5 

+10 

-29 

-50 

+136 

-3 

-31 

+79 

+42 

Wo rkshop Survey +15

Pre/post Test 

Total Responses 265 100 315 100 50 19 

415 NA 46 12

Abt Associates Inc. DRAFT FINAL – Compliance Assistance Planning Database: Appendix B November 17, 2003 

- Page 19 of 19 -

Total Records 369 NA 

Source: The Compliance Assistance Planning Database (CAPD) as of October 16, 2003