Office of Enforcement and Compliance Assurance 

National Program Guidance 

Fiscal Years 2020-2021 

June 7, 2019 

Publication number: 300B19001 
 

 

 

 

 

 

 

 

 

 

Table of Contents 

SECTION I. INTRODUCTION.............................................................................................................................1

SECTION II. STRATEGIC PLAN IMPLEMENTATION.............................................................................................1 

A. OECA’s Key Activities to Promote Environmental Compliance through Cooperative Federalism ...............1 

1. Guidance on Enhancing EPA-State Planning ..............................................................................................1 

2. Collaboration with States, Territories, and Tribes......................................................................................2 

3. State Assists................................................................................................................................................2 

4. State and Tribal Capacity Building..............................................................................................................3 

5. Tribal Government Collaboration and Consultation ..................................................................................3 

B. OECA’s Key Activities to Meet Strategic Measure Targets.......................................................................4 

1. Reduce the average time from violation identification to correction........................................................4 

2. Increase the environmental law compliance rate......................................................................................4 

3. OECA Activities Supporting Other Core Strategic Measures......................................................................5 

4. FY 2020-2023 National Compliance Initiatives...........................................................................................6 

C. Key Programmatic Activities................................................................................................................8 

1. Cross Program Activities.............................................................................................................................8 

2. Statute/Program-specific Activities......................................................................................................... 13 

SECTION III. FLEXIBILITY AND GRANT PLANNING.................................................................................................... 34 

A. FIFRA Cooperative Agreement Guidance ...........................................................................................34 

B. TSCA Compliance Monitoring Grant Guidance ...................................................................................35 

C. National Environmental Performance Partnership System (NEPPS) ....................................................35 

SECTION IV. FY 2020 NATIONAL PROGRAM MEASURES.................................................................................36 

SECTION V. KEY CONTACTS...........................................................................................................................37 

APPENDIX A. EXPLANATION OF KEY CHANGES FROM FY 2018-2019...............................................................39 

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SECTION 1. INTRODUCTION 

This FY 2020-2021 National Program Guidance for the Office of Enforcement and Compliance Assurance (OECA) 

is a preliminary planning document and reflects the information currently available regarding specific 

programmatic commitments and activities. It identifies the national compliance and enforcement activities that 

the U.S. Environmental Protection Agency (EPA or the Agency) and state, territory, local, and tribal government 

agencies should perform in FY 2020-2021 consistent with the budget and the Administrator’s priorities. In 

developing this guidance, OECA reviewed and considered the state, tribal, and territorial priorities identified 

through the Regional Administrator-led early engagement and additional program-specific early engagement. 

The “EPA Overview to the National Program Guidance” communicates important background and agency-wide 

information and should be read in conjunction with this FY 2020-2021 OECA National Program Guidance. 

The EPA is strengthening our relationship with the states, territories, federally recognized Indian tribes and local 

governments that are authorized to implement federal environmental program to ensure that we deliver on our 

shared commitment to a clean and healthy environment. This collaboration emphasizes use of the full range of 

the EPA’s compliance assurance tools, such as helping regulated entities understand their compliance 

obligations, helping facilities return to compliance through informal actions, building state capacity, supporting 

state actions, bringing Federal civil administrative actions, and bringing Federal civil or criminal judicial 

enforcement actions. The EPA is working to augment the compliance assurance tool box to enhance efficiency, 

reduce burden on the regulated community, and improve environmental outcomes. 

This document describes OECA’s efforts to collaborate with states, territories, tribes and local governments as 

we implement cooperative federalism. A true partnership and shared governance among OECA, regions and 

authorized states, territories, tribes or local governments is critical for the EPA to achieve its strategic measures. 

Cooperative federalism, however, does not mean that the EPA will ignore noncompliance. The EPA retains 

enforcement authority and will use it if states, territories, tribes or local governments lack the authority, 

capability, or will to take timely and appropriate action to protect public health and the environment. By 

adhering to the rule of law and proper processes, the EPA will ensure consistency, certainty and a level playing 

field for the regulated community across the country. This document includes a description of activities and 

tools that are available to the EPA, states, territories, tribes and local governments to ensure compliance with 

environmental law. 

SECTION II. STRATEGIC PLAN IMPLEMENTATION 

A. OECA’s Key Activities to Promote Environmental Compliance through Cooperative Federalism 

1. Guidance on Enhancing EPA-State Planning 

In 2018, OECA’s Assistant Administrator (AA) issued the Interim OECA Guidance on Enhancing 

Regional-State Planning to help move the Agency toward a more collaborative partnership between 

the EPA and authorized states, with the expectation that the guidance would be later updated. After 

more than a year of implementing the Interim Guidance, the states and Regional Offices have 

gained valuable experience in enhancing regional-state planning and communication on compliance 

work in authorized programs. OECA is in the process of revising the Interim Guidance and is now 

considering public input on a draft replacement: Enhancing Planning and Communication Between 

the EPA and States in Civil Enforcement and Compliance Assurance Work. 

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This new policy statement, which is expected to be issued in its final form by the end of FY 2019, 

would replace the Interim Guidance and would set out expectations and procedures for enhancing 

planning and communication on civil enforcement work between the EPA and states that are 

implementing federal environmental programs. Although this policy is focused on the EPA’s work 

with states that are approved to implement federal programs, the EPA will also strive to follow 

these planning and communication practices when working with federally-recognized Indian tribes, 

territories, and local governments that have received approval to implement federal programs. 

2. Collaboration with States, Territories, and Tribes 

The EPA, states, territories, tribes, and some local government and federal agencies share 

responsibility for protecting human health and the environment. Most major federal environmental 

laws require the EPA to establish minimum, nationwide program standards, and give the EPA the 

authority to authorize states, territories, and tribes to implement these programs. 

The EPA is working closely with states (individual states and through associations representing state 

environmental officials) and tribes with approved programs to develop new compliance tools and 

approaches to make our programs more effective and efficient in promoting compliance and 

remedying violations. During 2018, the ECOS-EPA Compliance Assurance Workgroup, composed of 

state commissioners and senior EPA officials, met to develop ways to improve the state-federal 

relationship in the context of compliance assurance. The principles articulated by this workgroup 

helped the EPA enhance state involvement in the identification and implementation of National 

Compliance Initiatives and informed the January 2018 Interim Guidance and will inform successor 

guidance. 

Other collaborative efforts with ECOS include: producing webinars to help us identify new 

compliance approaches that we could then pilot and evaluate; developing smart mobile tools to 

make our inspectors more efficient and effective; increasing availability of training; and expanding 

electronic reporting in the NPDES program to reduce burdens and improve outcomes.

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3. State Assists 

The EPA began piloting the tracking of State Assists in 2018 to account for the work we do in 

assisting state compliance assurance programs. This effort will continue as a component of the EPA’s 

Enforcement program for Fiscal Years 2020 and 2021.2 State Assists are limited to instances where 

the Region has expended a meaningful level of effort to identify the violation, developed the 

injunctive relief, and/or helped the state take an action to remedy the violation. In short, a State 

Assist is any instance where the state would not have taken an action without the EPA’s help. There 

are four general situations in which a Region would record a "State Assist": 

• The EPA, via an inspection, information request, and/or other activity has identified likely 

violations at a facility and the state explicitly requests the opportunity to address the 

violations under the EPA’s planning and communications policy. 3 These are instances where, 

1 For more information on a broader range of collaborations between OECA and ECOS, see Compendia of Next Generation 

Compliance Examples in Water, Air, Waste, and Cleanup Programs. 

2 See Procedures for Measuring Regions’ “State Assists” that Help Remedy Violations, (May 31, 2019) 3 See Interim OECA Guidance on Enhancing Regional-State Planning and Communication on Compliance Assurance Work in 

Authorized States (Jan. 22, 2018) or successor guidance. 

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4. State and Tribal Capacity Building 

 

 

 

 

 

 

 

 

 

if the state had not requested the lead, the EPA would have generally initiated an 

enforcement action. 

• The EPA would record a State Assist when the EPA proactively refers a matter to a state as the 

more appropriate entity to address a violation and the state agrees to pursue the matter. In 

the case of a joint EPA-State inspection, if the EPA writes the inspection report and the state 

takes the action, the EPA would record the matter as a State Assist. 

• The EPA would record a State Assist when a state had identified and had been working to 

correct a violation but had not been able to reach a timely and appropriate resolution without 

the EPA’s meaningful involvement. 

• The EPA would record a State Assist where federal efforts in investigating and developing 

criminal cases ultimately led to the case being pursued by a state. 

The EPA will continue to provide training opportunities to state, local and tribal civil and criminal 

investigators, inspectors, case development specialists, lawyers, and technical experts to assist in 

the enforcement and compliance monitoring of environmental laws. These training opportunities 

help with the development of a highly skilled, professional enforcement and compliance workforce. 

An experienced and trained workforce can help drive improvement in programs and contribute to 

improved environmental results and compliance. Building capacity will improve state and tribal 

ability to use the broad range of compliance assurance tools to reduce noncompliance, ensure 

consistent implementation of environmental requirements, deter violators, and reduce 

environmental impacts. 

The EPA will continue to provide tools and training to build state and tribal government capacity for 

enforcement, compliance monitoring, and compliance assurance with environmental laws. For 

example, the EPA will continue to provide access to eLearning courses required for inspector 

credentials, eLearning courses to increase knowledge of environmental laws and obligations, and 

skills training courses, such as negotiations. The EPA will also provide webinars and skills training on 

other areas of interest, such as innovative compliance research and financial models for assessing 

civil penalties. 

The EPA will work closely with its partners to identify areas of interest, assess subject matter 

training needs, and develop new tools and training courses to build capacity. Given its limited 

resources and travel budgets, the EPA plans to develop a suite of training options, to include inperson courses, eLearning, and webinar presentations. In addition, the EPA may identify state 

capacity-building opportunities through joint inspections with its state partners of regulated 

entities. Such shared efforts often provide on-the-job field training of state personnel. State capacity 

will also continue to be enhanced through EPA oversight inspections and review of state-lead 

compliance activities. Routine oversight of state programs provides input to state leadership 

enabling a constructive dialogue for continuous improvement. 

5. Tribal Government Collaboration and Consultation 

The EPA plans to continue collaborating with federally-recognized Indian tribes (tribes) to assure 

compliance in Indian country to protect human health and the environment. The collaboration 

occurs both when the EPA directly implements compliance monitoring and enforcement programs 

(e.g., where a tribe has not been approved to implement a federal program) and when the EPA 

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oversees a tribe or tribes implementing EPA-approved programs.4 EPA-tribal collaboration and 

consultation, when appropriate, occurs within the context of the generally applicable federal 

environmental statutes and regulations and EPA policies, including the “Interim Guidance” or 

successor guidance, as discussed earlier. In addition, EPA-tribal collaboration occurs within the 

context of federal Indian law and the unique Agency policies applicable to Indian country and tribes, 

including the Policy for the Administration of Environmental Programs on Indian Reservations 

(Indian Policy), Policy on Consultation and Coordination With Indian Tribes, the Guidance on the 

Enforcement Principles Outlined in the 1984 Indian Policy (Tribal Enforcement Guidance), EPA-Tribal 

Environmental Plans (ETEPs) which outline EPA and tribal priorities for each tribe, and Regionspecific policies applicable to Indian country. The collaboration takes place both with individual 

tribes and with EPA-tribal partnership groups. 

B. OECA’s Key Activities to Meet Strategic Measure Targets 

OECA is aligning its priorities and activities to reflect the Agency’s FY 2018-2022 Strategic Plan 

objectives. The enforcement and compliance assurance program supports the Agency goals of 

addressing air quality nonattainment areas, impaired waters, public health threats posed by drinking 

water noncompliance, populations vulnerable to air toxics or chemical accidents, and children’s health 

exposure to lead. To support these goals, OECA will focus on addressing noncompliance in these areas 

and advancing the EPA’s two long term enforcement-related strategic measures: (1) reduce the average 

time from violation identification to correction; and (2) increase the environmental law compliance rate. 

OECA will track its progress in advancing these strategic measures by implementing a set of monthly and 

quarterly measures. These measures are described in this section and can also be found in Section IV. 

1. Reduce the average time from violation identification to correction 

OECA has established two performance measures for tracking its timeliness to resolve 

environmental violations. The first measure establishes standards for the timely completion and 

release of EPA inspection reports to facilities and the public, including any potential deficiencies or 

areas of concern observed during an on-site inspection. These standards were established under the 

June 29, 2018, Interim Policy on Inspection Report Timeliness and Standardization (Interim Policy). 

The EPA anticipates that the policy will be evaluated and finalized by FY 2020. The Interim Policy will 

remain in effect until it is finalized. Regions should follow the Interim Policy and then the revised 

Final Policy in FY 2020 and FY 2021. In the second measure, OECA and regions are tracking the 

number of civil judicial enforcement cases referred to the Department of Justice without a 

settlement or complaint filed after 2.5 years. The purpose of this measure is to drive the prompt 

resolution of civil cases that are referred to the Department of Justice. 

2. Increase the environmental law compliance rate 

a. NPDES SNC Rate Measure 

In the FY 2018-2022 EPA Strategic Plan, the EPA identified a new priority to increase compliance 

with environmental laws. The Strategic Plan states: “To maximize compliance over the next five 

years, the Agency will refocus efforts toward areas with significant noncompliance issues and 

4 See EPA’s Tribal Assumption of Federal Laws -Treatment as a State homepage for background information and the names 

of tribes with Agency-approved programs. 

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where enforcement can address the most substantial impacts to human health and the 

environment.” This focus on increasing compliance and environmental outcomes is also a 

priority for states. The EPA selected the Clean Water Act (CWA) National Pollutant Discharge 

Elimination System (NPDES) as the first program for initiating the effort to increase compliance 

rates, setting a goal of reducing the rate of significant noncompliance (SNC), which includes 

Category I violations at NPDES minor permittees, in the NPDES program by 50% by the end of 

FY 2022. The EPA will measure success based on the results obtained—a reduction in the rate of 

permittees in SNC. 

Environmental protection is a shared responsibility among the states, tribes, local government, 

and the federal government, and the goal of increasing the compliance rate for the NPDES 

program can be achieved only with substantial, collaborative efforts. The EPA recognizes the 

role of authorized states and territories in the NPDES program as the primary implementers and 

as critical players in the success of this effort. Accordingly, the EPA, at the national and regional 

levels, will continue working closely with states and territories to develop and implement tools 

and approaches for preventing, deterring, and addressing SNC, to reach the Agency goals for 

increasing compliance rates in the NPDES program. The Reducing Significant Noncompliance 

with National Pollutant Discharge Elimination System Permits National Compliance Initiative will 

also support this measure (see section II.B.4). 

b. EPA on-site compliance monitoring inspections/evaluations 

The EPA’s on-site federal compliance monitoring program is a critical component in the Agency’s 

array of compliance assurance tools due to the deterrent effect. On-site inspections can vary in 

the depth of the review, including check-list type inspections, process-based inspections, and 

inspections that include monitoring and sampling. Off-site inspections also are a critical tool for 

detecting non-compliance. OECA will continue to track the number of onsite and off-site federal 

inspections/evaluations conducted to enable us to assess facility compliance, create deterrence, 

support the permitting process, and create a level playing field among regulated entities. 

Additionally, OECA will to continue to measure the number of federal inspections/evaluations 

conducted to support the National Compliance Initiatives to assure adequate EPA inspection 

resources are dedicated to these high priority areas. 

3. OECA Activities Supporting Other Core Strategic Measures 

Effective compliance monitoring and enforcement play a central role in the Agency’s core strategic 

measures. This section describes three areas of focus that support strategic measures led by other 

EPA offices. Multiple programs described in section II.C describe OECA’s activities to address air 

quality nonattainment areas, public health threats posed by drinking water noncompliance, 

populations vulnerable to air toxics or chemical accidents, and children’s exposure to lead. 

a. Reduce the number of Clean Air Act nonattainment areas 

Through its compliance monitoring and enforcement activities for the Clean Air Act (CAA) 

program, the EPA ensures the most important air pollution problems are addressed, with an 

emphasis on the Agency Priority Goal to improve air quality and reduce the number of 

nonattainment areas. Specifically, in support of this measure, the EPA will focus on sources that 

are located in nonattainment areas or that contribute to nonattainment areas with significant 

noncompliance. The EPA’s Creating Cleaner Air for Communities by Reducing Excess Emissions of 

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Harmful Pollutants from Stationary Sources, Reducing Hazardous Air Emissions from Hazardous 

Waste Facilities, and Stopping Aftermarket Defeat Devices for Vehicles and Engines National 

Compliance Initiatives (NCIs) will support this measure (see section II.B.4). 

b. Reduce the number of community water systems (CWSs) out of compliance with health-based 

standards 

In support of this measure, the EPA will work with states and tribes to ensure: (1) community 

water systems are complying with SDWA and its implementing regulatory requirements; (2) 

those systems that are subject to civil judicial consent decrees and administrative orders are in 

compliance with them; (3) EPA guidance and policies are consistently implemented; and, (4) the 

overall integrity of the PWS program is maintained. The EPA’s Reducing Noncompliance with 

Drinking Water Standards at Community Water Systems NCI will support this measure. The NCI 

will focus on the EPA working jointly with states to identify how we can collaborate to use our 

resources more effectively and efficiently to focus efforts where they can make the biggest 

difference as we work together to increase compliance with primary drinking water standards 

thus improving public health protection at CWSs most at risk (see section II.B.4 for more 

information on FY 2020 – 2023 NCIs). 

c. Reduce the number of square miles of watershed with surface water not meeting standards 

Through its compliance monitoring and enforcement activities for the CWA NPDES program, the 

EPA ensures that important water quality problems are addressed. The EPA further supports this 

measure through its focused effort to reduce significant noncompliance at individuallypermitted facilities in the NPDES program. The EPA will work with state and tribal partners to 

use the full range of compliance assurance tools to protect human health and the environment 

by addressing the most serious noncompliance concerns and thereby improving compliance 

with the CWA and federal NPDES regulations. In direct implementation programs, the EPA will 

strategically target pollution problems involving NPDES-regulated point sources with serious 

violations and potential water quality or human health impacts for compliance monitoring 

inspections and, where appropriate, enforcement actions. In authorized programs, the EPA will 

promote adherence to the EPA’s NPDES CMS or an approved Alternative CMS. 

d. Lead Action Plan 

Reducing lead is a high priority. To support this effort, OECA participates in the Agency-wide 

lead initiative. The President’s Task Force on Environmental Health Risks and Safety Risks to 

Children released its Lead Action Plan in December 2018. The enforcement and compliance 

assurance program will contribute to the Agency’s overall efforts to address lead exposure as 

outlined in the Lead Action Plan. These Agency-wide efforts may include: (1) increasing 

compliance with—and awareness of the importance of—lead-safe renovations under the 

Renovation, Repair, and Painting (RRP) rule; (2) developing a mapping tool to identify 

communities with elevated lead exposures; (3) conducting targeted geographic initiatives; and 

(4) undertaking public awareness campaigns on lead issues. 

4. FY 2020-2023 National Compliance Initiatives 

The EPA focuses its enforcement and compliance resources on the most serious environmental and 

public health problems, as identified in the Agency’s Strategic Plan. The EPA refers to high priority 

areas of focus as National Compliance Initiatives (NCIs). The EPA selected six NCIs for the FY 2020-

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a. Creating Cleaner Air for Communities by Reducing Excess Emissions of Harmful Pollutants from 

Stationary Sources 

 

 

 

 

b. Reducing Hazardous Air Emissions from Hazardous Waste Facilities 

 

 

c. Stopping Aftermarket Defeat Devices for Vehicles and Engines 

 

 

 

d. Reducing Significant Noncompliance with National Pollutant Discharge Elimination System 

Permits 

 

 

e. Reducing Noncompliance with Drinking Water Standards at Community Water Systems 

 

 

 

2023 cycle. The EPA made these selections after receiving comment during a meaningful 

engagement process with co-regulators and after receiving public comment. The six NCIs are: 

This NCI will focus on reducing emissions of both volatile organic compounds (VOCs) and 

hazardous air pollutants (HAPs). For VOC emissions, the NCI will focus on significant sources of 

VOCs that have a substantial impact on air quality and (1) may adversely affect an area’s 

attainment of National Ambient Air Quality Standards (NAAQS) or (2) may adversely affect 

vulnerable populations. For HAPs, this NCI will focus on sources that have a significant impact on 

air quality and health in communities. 

This NCI will focus on improving compliance by hazardous waste Treatment, Storage, and 

Disposal Facilities (TSDFs) and Large Quantity Generators with regulations that control organic 

air emissions from certain hazardous waste management activities. After initiating this NCI in 

the last cycle, inspections revealed significant noncompliance and an ongoing need for 

additional training for both industry and regulators. The Agency has found that air emission 

violations associated with the improper management of hazardous waste remains widespread. 

This NCI will focus on stopping the manufacture, sale, and installation of aftermarket defeat 

devices on vehicles and engines used on public roads as well as on nonroad vehicles and 

engines. The CAA prohibits tampering with emissions controls, as well as manufacturing, selling, 

and installing aftermarket devices intended to defeat those controls. The EPA has found 

numerous companies and individuals that have manufactured and sold both hardware and 

software specifically designed to defeat required emissions controls. Illegally-modified vehicles 

and engines contribute substantial excess pollution that harms public health and impedes 

efforts by the EPA, tribes, states, and local agencies to plan for and attain air quality standards. 

This NCI focuses on increasing the percentage of all NPDES permittees in compliance with their 

permit (as measured by reducing the rate of permittees in significant noncompliance (SNC)). The 

NCI will help improve national data accuracy and reduce monitoring, reporting, and effluent 

violations. This effort furthers the FY2018–FY2022 Agency Strategic Plan, which calls for 

measurable efforts to increase the environmental law compliance rate. The goal is to reduce by 

half the national SNC baseline rate of 29.4 percent by the end of FY2022, while assuring that the 

worst SNC violators are timely and appropriately addressed. 

An initial focus of this NCI is to work with the EPA’s Office of Water to increase capacity in 

states, tribes and the EPA to address drinking water violations. There were health-based 

violations at seven percent of community water systems (CWSs) in FY2018. This NCI supports 

the FY2018–FY2022 Agency Strategic Plan, which calls for a 25 percent reduction by the end of 

FY2022 in the number of CWSs that are out of compliance with health-based standards. 

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f. Reducing Risks of Accidental Releases at Industrial and Chemical Facilities 

The goal of this NCI is to reduce the risk to human health and the environment by decreasing 

the likelihood of chemical accidents. The EPA has found that many regulated facilities are 

neither managing adequately the risks they pose nor ensuring the safety of their facilities to 

protect surrounding communities as required under CAA Section 112(r). Facilities regulated 

under CAA Section 112(r) are found in every state. 

During summer 2019, OECA headquarters and regions will develop implementation frameworks for 

each NCI and work with states and tribes with authorized programs that want to participate in the 

development of these frameworks. These implementation frameworks will include approaches to 

using our full range of compliance assurance tools, including compliance assistance, self-audits, and 

informal and formal enforcement actions to achieve the goals of each NCI. While compliance 

assistance will be a component of each implementation framework, formal enforcement will remain 

an important tool in the NCIs to address serious noncompliance and create general deterrence. 

Regions will continue to participate in the development and implementation of strategies as we 

move forward with these NCIs. These NCIs include programs for which many states are authorized 

as well as programs for which the EPA has direct implementation responsibilities. The EPA and the 

states should discuss work-sharing and how to make the best collective use of EPA and state 

resources and expertise to achieve the goals of the NCIs, consistent with the January 22, 2018, 

Interim OECA Guidance on Enhancing Regional-State Planning and Communication on Compliance 

Assurance Work in Authorized States, or successor guidance. 

C. Key Programmatic Activities 

1. Cross Program Activities 

a. Compliance Monitoring Strategies 

Compliance monitoring is a key foundation of environmental programs and some level of 

national consistency in approach, scope and coverage is essential for a level playing field. The 

EPA and states, territories, tribes, and local governments implementing approved programs use 

national compliance monitoring strategies (CMSs) for CWA-NPDES, RCRA, CAA, FIFRA, and TSCA 

programs. The CMSs provide a decision logic and structure for how states and the EPA should 

target onsite inspections over time to efficiently and effectively create deterrence to 

noncompliance. Other important forms of compliance monitoring (e.g., self-reporting and thirdparty reporting) and compliance assistance (e.g., brochures, websites and educational materials) 

perform vital complementary functions and are most effective as adjuncts to robust field 

inspection programs as articulated in the CMSs. 

The CMSs have evolved over time and may be supplanted with approved alternative strategies 

to provide co-regulators with flexibility to address local pollution and compliance concerns, 

while maintaining the basic expectations for national regulatory program integrity. The CMSs 

improve communication between co-regulators and regions on compliance monitoring 

programs and provide a consistent and transparent baseline for EPA oversight of these 

programs (e.g., through the agreed-upon metrics in the State Review Framework). This 

collaborative ethic is further established in the: ECOS Guide to Flexibility and Results (V 1, Oct 

2016). 

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b. Data Reporting 

 

 

c. Tips and Complaints 

 

d. Environmental Justice 

 

 

 

 

 

 

 

 

 

EPA, State, Territory, Tribal, or Local Government Activities 

1. Implement the updated Compliance Monitoring Strategy (CMS) or approved Alternative 

Compliance Monitoring Strategy (ACMS) as appropriate, for the CWA-NPDES, RCRA, 

CAA, FIFRA and TSCA programs, including for inspections in the federal facilities sector, 

as resources allow. 

Timely, accurate and complete data is critical for the EPA and the public to analyze and 

understand the state of compliance with environmental regulations. Complete and current data 

enhances the EPA’s ability to identify priorities, and evaluate program needs and effectiveness 

consistently and appropriately. OECA continues to work to improve data quality. The EPA 

regions, states, territories and tribes should continue their efforts to ensure timely and accurate 

entry of compliance and enforcement data into the appropriate national database of record 

(e.g., ICIS, RCRAInfo, etc.). 

One of the many approaches the EPA uses to carry out its responsibility to assure compliance 

with environmental laws is to seek help from citizens by asking them to provide us with 

information about potentially harmful environmental activities in their communities and 

workplaces. Members of the public give the EPA such information through telephone hotlines, 

letters, the EPA’s online Report Environmental Violations form, and other mechanisms. The EPA 

uses these tips and complaints along with its other compliance-monitoring activities to identify 

areas where compliance and enforcement follow-up is warranted. The EPA will track and 

prioritize complaints that provide a reasonable basis to believe that a violation has occurred and 

respond to the highest-risk violations. State, territories, tribes, and localities operating 

authorized programs should also consider public tips and complaints when performing their 

compliance and enforcement functions. 

OECA continues to strengthen the integration of environmental justice (EJ) into our 

enforcement program—the problems we select for enforcement attention, the violating 

facilities we address, the way we design relief to remedy violations and past harms, and our 

communications with affected communities. OECA has revised its enforcement and compliance 

policies, trained our case teams and technical experts, built data tools, and set up a governance 

structure that actively considers EJ in our regular operations. This ongoing work includes 

reviewing all new cases to determine whether they may affect overburdened communities and, 

as appropriate, structuring the resolution of enforcement actions to benefit affected 

communities. To advance this work, OECA recently added EJSCREEN map layers to Enforcement 

and Compliance History Online (ECHO) to help Regions and co-regulators (states, tribes and local 

government) focus compliance reviews on overburdened communities. This innovation will 

assist the Agency in identifying overburdened communities or locations that also appear to have 

facilities presenting a high likelihood of non-compliance with environmental laws. The EPA will 

use this mapping capability, along with on-the-ground knowledge from other EPA programs, 

states, tribes, and community members and groups, to help direct where we should focus our 

compliance efforts to make a difference to communities. 

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e. State Review Framework 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

The EPA and states developed the State Review Framework (SRF) to periodically evaluate each 

authorized state compliance and enforcement program “to provide a fair and consistent level of 

core enforcement across the country” (ECOS Resolution 98-9, revised Sept 2016). The SRF is a 

national program to periodically evaluate authorized state and EPA directly implemented CAA, 

CWA and RCRA enforcement and compliance performance. This approach ensures that: 

(1) states and EPA implemented programs are evaluated consistently; (2) a level playing field 

exists for regulated businesses; (3) the public has similar protection from impacts of illegal 

pollution; and (4) timely compliance with national laws is widely achieved (where regions 

directly implement the federal program, OECA reviews regional programs using the same 

process and procedures as for all SRF reviews). 

The EPA has continuously worked with states to identify and implement updates and 

improvements to the SRF program. During 2017, the EPA and states worked together to update 

the metrics that are being used in the fourth round of SRF reviews, which will occur from 2018-

2022. In 2017, OECA instituted an EPA Lean Management System (ELMS) measure to track and 

manage completion of SRF recommendations. The goal of this measure is to complete 85% of 

recommendations stemming from Round 3 reviews by the end of FY 2020. 

EPA Activities 

Activities Where the EPA is Directly Implementing the Program 

1. OECA will continue to conduct SRF reviews of CAA, CWA, and RCRA programs directly 

implemented by EPA Regions. 

EPA Activities in Authorized Programs (States, Territories, Tribes, or Local Governments) 

2. Focus oversight resources on state programs that are not meeting minimum national 

performance standards. 

3. Conduct all Round 4 SRF reviews of state CAA, CWA, and RCRA enforcement programs 

scheduled for 2020 and 2021 following SRF Round 4 guidance issued in FY 2018 

(available on the ECHO SRF page) and enter completed draft and final SRF reports into 

the SRF Manager database. 

4. Discuss outstanding SRF recommendations with states as part of regularly scheduled 

annual program planning and review. 

5. Work with states to encourage addressing recommendations in a timely fashion and 

enter evidence of completion into the SRF Manager Database. In addressing state core 

program performance issues, regions should respond according to the approaches 

articulated in the 1986 Revised Policy Framework for State/EPA Enforcement 

Agreements, as updated, and the National Strategy for Improving Oversight of State 

Enforcement Performance. 

6. Elevate unresolved issues to OECA HQ. 

State, Territory, Tribal, or Local Government Activities in Authorized Programs: 

1. Work cooperatively with the EPA regions to conduct SRF reviews as scheduled and 

implement recommendations within the agreed upon time frames included in the final 

SRF reports provided to the state or local agency. 

10 
f. Field Activities: Inspector Credentialing, QAFAP, and Interim Policy on Inspection Report 

Timeliness and Standardization 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

This section identifies EPA and co-regulator activities necessary to ensure the quality and 

efficiency of compliance monitoring field activities. 

EPA Activities 

1. Ensure EPA HQ and regional inspectors are trained and credentialed consistent with 

Agency guidance. 

2. Continue to develop and engage in usability testing, field testing and training for Smart 

Tools for a 2020 national deployment for RCRA inspectors and begin scoping and 

developing for a new tool for CWA inspectors. 

3. When appropriate, authorize state, territorial, and tribal inspectors to conduct 

inspections on the EPA’s behalf. Ensure these inspectors 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). 

4. Ensure timely and accurate entry of federal inspection, compliance, and enforcement 

data into the national database-of-record (e.g., ICIS and RCRAInfo). 

5. Conduct field activities (e.g., compliance inspections and sampling) in accordance with 

the procedures outlined in the EPA Quality Assurance Field Activities Procedures 

(QAFAP). Provide training to new staff on the EPA QAFAP guidelines and the established 

procedures and annual refresher training to existing staff. 

6. Apply OECA’s Guidance on the Enforcement Principles Outlined in the 1984 Indian Policy 

(January 17, 2001), which contains procedures for consultation with federallyrecognized tribes in the civil compliance monitoring and enforcement context and 

threshold criteria for the EPA’s consideration of formal civil enforcement actions. The 

threshold criteria should not result in less human health and environmental protection 

in Indian country than elsewhere in the United States. 

7. Implement the Interim Policy on Inspection Report Timeliness and Standardization 

(2018) (and then the subsequent final policy), See section B.1. 

8. Specifically consider Clean Air Act nonattainment areas, impaired waters, public health 

threats posed by drinking water non-compliance, populations vulnerable to air toxics or 

chemical accidents, and children’s exposure to lead when selecting and conducting 

compliance monitoring activities. 

9. Ensure that the most serious instances of noncompliance are addressed through 

planning with authorized states, territories and tribes, state oversight, regular meetings, 

targeted inspections and enforcement. 

10. Support and encourage states, territories, and tribes to support inspector training 

development. 

Expectations for State, Territory, Tribal, or Local Government Activities: 

1. Ensure timely and accurate entry of inspection, compliance, and enforcement data into 

the EPA’s national systems either directly or via electronic transmission using CDX. In 

rare instances where this is not feasible, the data should be provided to the EPA in 

another format. 

2. Specifically consider Clean Air Act nonattainment areas, impaired waters, public health 

threats posed by drinking water non-compliance, populations vulnerable to air toxics or 

11 
 

 

g. Compliance and Enforcement in Indian Country 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

chemical accidents, and children’s exposure to lead when selecting and conducting 

compliance monitoring activities. 

3. Ensure inspectors who conduct inspections 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) and other applicable guidance, policies 

and training templates on the EPA Inspector Wiki5

. 

The EPA works to ensure compliance in Indian country to protect human health and the 

environment. The EPA directly implements the compliance monitoring and enforcement 

elements of virtually all programs in Indian country because most tribes are not currently 

approved to implement federal programs. The EPA acts in an oversight capacity where a tribe 

has been authorized by the EPA to implement an environmental program. In both its direct 

implementation and oversight capacity, the EPA conducts its work in Indian country with 

appropriate consultation and coordination with tribes and consistent with the principles of 

cooperative federalism.6 

EPA Activities 

1. Make available a wide array of technical support and compliance assistance information 

to tribes and the regulated community operating in Indian country to improve and 

sustain compliance and facilitate return to compliance. 

2. Review applications for program approval to ensure adequate compliance monitoring 

and enforcement authority. 

3. Use the CMS, CMS planning documents, and EPA Tribal Environmental Plans, which 

contain universe estimates and priority information, to set the number and type of 

yearly compliance monitoring activities. 

4. Provide tribal governments appropriate notice prior to announced inspections or as 

soon as practicable after unannounced inspections are conducted in Indian country. The 

EPA’s pre- and post-inspection interactions with tribes and facilities in Indian country 

are guided by Tribal Enforcement Guidance, Restrictions on Communicating with 

Outside Parties Regarding Enforcement Actions, and Region-specific policies applicable 

to Indian country. 

5. Apply the “Enforcement Principles” of the Indian Policy.

7 The Tribal Enforcement 

Guidance and the Questions and Answers on the Tribal Enforcement Process provide 

information on how and when to work cooperatively with tribal governments, and the 

process associated with initiating civil enforcement at tribal government facilities.8 

5 Individuals with approved credentials can access this resource at 

https://inspector.epa.gov/inspector/index.php/Wiki_Home 

6 See Section II.A Tribal Government Collaboration. 7 See Principle 9 of EPA’s Policy for the Administration of Environmental Programs on Indian Reservations. The Indian Policy 

emphasizes first working cooperatively with tribal governments to resolve violations at tribal facilities. 

8 EPA Regions will also continue to apply their region-specific policies or procedures related to addressing noncompliance in 

Indian country. 

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6. Use penalty and settlement policies to ensure that the regulated community in Indian 

country is treated consistently for similar violations across the country.9 As the Agency 

seeks to work cooperatively with tribes and apply the appropriate Enforcement 

Response Policy (ERP) and penalty policies in its cases, the EPA will continue to ensure 

that the Enforcement Principles of the Indian Policy do not result in a lesser degree of 

human health and environmental protection in Indian country than elsewhere in the 

United States. 

7. Address noncompliance at non-tribal facilities in Indian Country as it would at facilities 

outside Indian country. 

2. Statute/Program-specific Activities 

a. Clean Air Act (CAA) Program for Compliance Assurance and Enforcement 

CAA Stationary Source Program 

The compliance monitoring and enforcement activities for the Clean Air Act (CAA) Stationary 

Source Program are described below. See also section II.B.4 for a description of the Creating 

Cleaner Air for Communities by Reducing Excess Emissions of Harmful Pollutants from Stationary 

Sources (CCAC) National Compliance Initiative. 

General EPA Activities in the CAA Stationary Source Program 

Activities Where the EPA is Directly Implementing the Program 

1. Directly implement the CAA Stationary Source Program where the program has not 

been delegated or authorized. 

2. To ensure the most important air pollution problems are addressed with an emphasis 

on the Agency Priority Goal to improve air quality by reducing the number of 

nonattainment areas and to address vulnerable populations, prioritize: 

• Sources in nonattainment areas or that contribute to nonattainment areas with 

potential significant noncompliance. 

• Sources in communities that emit hazardous air pollutants in violation of the 

National Emission Standards for Hazardous Air Pollutants (NESHAPs). 

• Sources whose area source status may be misclassified and as a result, improperly 

permitted or not permitted. 

3. Continue a robust enforcement and compliance assurance program to address 

violations and bring the facility back into compliance to protect air quality and deter 

noncompliance. 

4. Follow the recommended minimum evaluation frequencies where the EPA has direct 

implementation authority in Indian country and territories, thereby ensuring a 

consistent level of evaluation coverage and a level playing field for regulated entities 

across the country. 

5. Continue to refer matters to and coordinate with the EPA’s Center of Excellence for 

Ozone Depleting Substances housed in Region 5. 

EPA Activities in Authorized Programs (States, Territories, Tribes, or Local Governments) 

9 See EPA’s General Civil Enforcement Penalty Policies, and Program-Specific Enforcement Response and Penalty Policies, 

Penalty Inflation Rules, Penalty Policy Amendments, and settlement policies. 

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6. Ensure consistent collaboration and partnership between the EPA and authorized 

states, tribes, territories, and localities with regards to compliance assurance 

activities, and work collaboratively to determine which enforcement matters will be 

pursued by the EPA, as outlined in the 2018 Interim OECA Guidance, or successor 

guidance. 

7. Following joint work planning, to ensure that the most important air pollution 

problems are addressed with an emphasis on the EPA’s strategic plan measure to 

improve air quality by reducing the number of nonattainment areas, and to address 

vulnerable populations, prioritize, encourage states to focus on: 

• Sources in nonattainment areas or that contribute to nonattainment areas with 

potential significant noncompliance with National Ambient Air Quality Standards 

(NAAQS) consistent with national guidance. 

• Sources in communities that emit hazardous air pollutants in violation of the 

NESHAPs consistent with national guidance. 

• Sources whose status may be misclassified and as a result, improperly permitted 

or not permitted consistent with the national guidance. 

8. Continue reviewing state implementation plan (SIP) submissions for enforceability and 

reviewing Title V permits consistent with national guidance. 

9. Negotiate CMS plans or ACMS plans with delegated agencies working to maximize the 

flexibilities to take each agency’s unique situation into account with priority focus on 

improving air quality by reducing the number of nonattainment areas and by 

addressing air pollution impacts to vulnerable populations while also providing 

national consistency among stationary source air compliance monitoring programs. 

10. To ensure consistency in the application of CAA regulations, effective communication 

and a clear understanding of expectations, hold regular meetings and discussions with 

delegated agencies to promote program implementation in accordance with national 

policy and guidance such as the CMS, the CAA National Stack Testing Guidance, the 

Timely and Appropriate Enforcement Response to High Priority Violations (HPV 

Policy), and the Guidance on Federally-Reportable Violations for Clean Air Act 

Stationary Sources (FRV Policy). 

11. As part of joint work planning, identify the most important air pollution problems and 

serious violations, with a focus on vulnerable communities using data analysis tools 

and other information such as non-attainment areas, ECHO Clean Air Tracking Tool 

(ECATT), National Air Toxics Assessment (NATA) data, chemical toxicity data, and 

community input. 

Expectations for State, Territory, Tribal, or Local Government Activities 

1. Agencies are encouraged to use the flexibilities provided in the CMS or an applicable 

ACMS to maximize resources, engage in innovative compliance monitoring, focus on 

regulated facilities with the most potential for significant impact on human health and 

the environment, and address local priorities and issues of concern, including areas of 

nonattainment. 

2. To enforce the law consistently, promote timely enforcement of CAA regulations and 

consider reducing the average time from violation identification to correction thereby 

bringing facilities back into compliance more quickly, carry out program 

implementation with consideration for the HPV and FRV Policies, and initiate 

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civil/criminal enforcement actions as appropriate. 

3. To enhance program coordination, work with the EPA to identify and evaluate 

program areas that could become national priorities/compliance initiatives in the 

future. 

CAA Title II, Vehicle and Engine Enforcement 

The compliance monitoring and enforcement activities for the Clean Air Act (CAA) Vehicle and 

Engine Enforcement Program are described below. See also section II.B.4 for a description of the 

Stopping Aftermarket Defeat Devices for Vehicles and Engines National Compliance Initiative. 

General EPA Activities in the CAA Title II, Vehicle and Engine Enforcement Program 

1. Investigate, prosecute, and resolve violations of prohibitions in section 203(a) of the 

CAA. Exercise information-gathering authorities, primarily in sections 208 and 307, to 

determine compliance with the CAA prohibitions concerning vehicles, engines, 

equipment, and parts and components for such products. Resolve alleged violations 

using administrative enforcement authorities, and by referring matters to the United 

States Department of Justice. 

2. Hold original equipment manufacturers (OEMs) accountable to ensure their vehicles, 

engines, and equipment are covered by EPA-issued certificates of conformity (or are 

properly exempt) when introduced into United States commerce. During EPA 

certification, ensure OEMs perform proper emissions testing and are forthright with 

the EPA about the design of their product. Focus areas include enforcement actions 

for use of undisclosed engine software, some of which may constitute illegal defeat 

devices. Other focus areas concern ensuring in-use compliance and taking 

enforcement actions where OEMs fail to honor emissions warranties, report emissions 

defects, and otherwise inadequately maintain the emissions controls on their vehicles, 

engines, and equipment during their useful lives. 

3. Address the illegal tampering of emissions controls on vehicles, engines and 

equipment. Focus on enforcement actions against commercial fleets of trucks whose 

owner removes filters and catalysts from their vehicles, and maintenance shops that 

routinely remove emissions controls. 

4. Address the illegal manufacture, sale, offering for sale and installation of aftermarket 

defeat devices. Focus on software products (commonly known as “tuners” and 

“tunes”) that are specifically designed to hack into and reprogram engine software for 

the purpose of defeating emissions controls in the engine (e.g., fueling strategy and 

exhaust gas recirculation) and in the exhaust (e.g., filters and catalysts). Focus on 

hardware products that inhibit exhaust gas recirculation systems, or that enable the 

removal of filters and catalysts from the exhaust system. 

5. Stop illegal importations of vehicles, engines, and equipment. In partnership with 

Customs and Border Protection (CBP), target and inspect goods at the point of 

importation to determine whether the goods comply with the CAA. Advise CBP on 

whether to seize or otherwise refuse to allow goods into the United States. Where 

violations are found, the EPA will investigate to determine whether other shipments 

are in compliance and will hold the importer accountable. 

CAA 112(r) Chemical Accident Prevention Program 

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The EPA’s Chemical Accident Prevention program requires more than 12,300 industrial facilities 

that use or store chemicals from a list of regulated toxic and flammable substances held above 

certain threshold quantities to develop and implement a Risk Management Plan (RMP). 

Section 112(r)(1) of the Clean Air Act, the General Duty Clause, creates a statutory obligation on 

all stationary sources to minimize the likelihood and/or consequences of accidental releases. 

See also section II.B.4 for a description of the Reducing Risks from Accidental Releases at 

Industrial and Chemical Facilities National Compliance Initiative. 

Please refer to OLEM’s NPG for descriptions of the compliance monitoring aspects of the 

program. 

General EPA Activities in the CAA 112(r) Chemical Accident Prevention Program 

1. Continue to advance the goals of the reducing risks of accidental releases at industrial 

and chemical facilities National Compliance Initiative. 

2. Conduct all RMP inspections in accordance with the “Guidance for Conducting Risk 

Management Program Inspections Under Clean Air Act Section 112(r)” (EPA 550-K-11-

001, January 2011). Conduct at least 36% of these inspections at high-risk facilities, 

and at least 50% at facilities within the Reducing Risks of Accidental Releases at 

Industrial and Chemical Facilities National Compliance Initiative (NCI). A single facility 

inspection can be applied to both requirements. A limited number (less than 20%) of 

annual inspections may be RMP non-filer and/or CAA 112(r) General Duty Clause 

inspections. 

3. Work collectively to take high-impact cases to address serious situations of noncompliance, with a focus on protecting vulnerable communities, many of which are in 

low income or minority communities, from the risks posed those facilities. 

4. Evaluate facilities that experience significant chemical accidents to determine 

compliance with CAA sections 112(r)(1) and (7) and pursue appropriate enforcement 

responses for violations. 

5. As appropriate, evaluate facility compliance with EPCRA sections 304 and 311/312 and 

CERCLA section 103 during all RMP inspections. 

6. Target a goal of conducting inspections at three percent of RMP facilities annually in 

FY2020-2021. 

Activities Where the EPA is Directly Implementing the Program 

7. Directly implement the RMP program in non-delegated states, territories, and Indian 

country. 

8. Ensure compliance with the General Duty Clause (GDC) obligations. The Clean Air Act 

does not give the EPA the authority to delegate GDC to states. 

EPA Activities in Authorized Programs (States, Territories, Tribes, or Local Governments) 

9. Ensure consistent collaboration and partnership between the EPA and authorized 

states, tribes, territories, and localities with regards to compliance assurance 

activities, and work collaboratively to determine which enforcement matters will be 

pursued by the EPA, as outlined in the 2018 Interim OECA Guidance, or successor 

guidance. 

Expectations for State, Territory, Tribal, or Local Government Activities in Authorized 

Programs 

1. Ensure compliance with the RMP requirements in states, Indian country, territories, 

and localities that have obtained delegation. 

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b. Clean Water Act (CWA) Program for Compliance Assurance and Enforcement 

NPDES 

The majority of states have received authorization from the EPA to implement the Clean Water 

Act (CWA) Section 402 National Pollutant Discharge Elimination System (NPDES) permit 

program. The EPA directly implements the program in three states, the District of Columbia, 

Puerto Rico, U.S. Pacific Island Territories, and in Indian country as well as elements of the 

NPDES program for which a state is not fully authorized. Essential EPA compliance monitoring 

and enforcement activities for the CWA NPDES program are described below. See also 

section II.B.4 for a description of the Reducing Significant Noncompliance with National 

Pollutant Discharge Elimination System Permits National Compliance Initiative. 

General EPA Activities in the NPDES Program 

1. Conduct EPA NPDES compliance monitoring and enforcement activities to ensure 

CWA and regulatory requirements are met, supporting the EPA’s strategic plan 

measure to increase the environmental law compliance rate by reducing the rate of 

significant noncompliance in the CWA NPDES program (see section II.B.2). 

2. Ensure inspectors conducting EPA inspections are trained and credentialed. 

3. Ensure compliance with civil judicial consent decrees and administrative orders. 

4. Continue to refer matters to and coordinate with the EPA’s Center of Excellence for 

Biosolids housed in Region 7. 

5. Work with approved states and the Virgin Islands to implement the CWA NCIs, 

including NCIs that the EPA selects for the FY2020-2023 cycle (see section II.B.4). 

Activities Where the EPA is Directly Implementing the Program 

6. Directly implement the CWA NPDES Program where the state has not been 

authorized. 

7. Implement NPDES regulatory requirements for electronic reporting. 

8. To ensure the most important water pollution problems are addressed with an 

emphasis on the Agency Priority Goal to reduce the number of square miles of 

watershed with impaired waters prioritize pollution problems involving NPDESregulated point sources with serious violations and potential water quality or human 

health impacts for compliance monitoring inspections and, where appropriate, take 

enforcement actions. 

9. Timely review self-monitoring reports from regulated entities and take timely and 

appropriate action to address NPDES significant noncompliance (SNC)/Category I 

violations. 

10. Meet the timely and appropriate enforcement response guidelines in EPA’s NPDES 

Enforcement Management System (NPDES EMS), and the regulatory NPDES electronic 

reporting requirements. 

11. Implement the pretreatment program and other aspects of the NPDES program where 

the EPA is the permitting authority per statutory and regulatory requirements and 

consistent with applicable EPA guidance and policy. 

EPA Activities in Authorized Programs (States, Territories, Tribes, or Local Governments) 

12. Ensure consistent collaboration and partnership between the EPA and authorized 

17 
 

 

 

 

 

 

 

 

 

 

 

states, tribes, territories, and localities with regards to compliance assurance 

activities, and work collaboratively to determine which enforcement matters will be 

pursued by the EPA, as outlined in the 2018 Interim OECA Guidance, or successor 

guidance. 

13. Encourage adherence to the EPA’s NPDES CMS or an approved Alternative CMS. 

14. Following joint planning, encourage states to focus on ensuring that NPDES 

SNC/Category I violations are timely and appropriately addressed. 

15. Conduct NPDES compliance and enforcement oversight. 

16. Work with authorized states and U.S. territories to ensure implementation of NPDES 

regulatory requirements for electronic reporting. 

Expectations for State, Territory, Tribal, or Local Government Activities in Authorized 

Programs 

1. Implement NPDES regulatory requirements for electronic reporting. 

2. Follow the inspection goals or plans developed under the NPDES CMS or approved 

Alternative CMS. 

3. Ensure inspectors are trained and credentialed consistent with state and EPA 

guidelines. 

4. Implement state enforcement response guidelines to ensure violations are timely and 

appropriately addressed. 

5. Work cooperatively with EPA regions to conduct SRF reviews as scheduled and 

implement recommendations within the agreed upon timeframes. 

CWA Section 404 Discharge of Dredge and Fill Material 

The compliance monitoring and enforcement activities for the CWA Section 404 Discharge of 

Dredge and Fill Material Program are described below. 

General EPA Activities in the CWA Section 404 Discharge of Dredge and Fill Material 

Program 

1. Consider referrals from Corps Districts under the 1989 MOA, recognizing the role of 

the Corps as the lead agency for enforcement for all but specifically identified cases, 

areas and activities. 

2. Coordinate, as appropriate, with other federal and state agencies (i.e., U.S. Army 

Corps of Engineers (Corps), Natural Resources Conservation Service (NRCS), U.S. Fish 

and Wildlife Service (USFWS), and National Marine Fisheries Service (NMFS)) which 

have significant roles in protection of regulated waters. 

3. Meet with Corps Districts on an annual basis to establish regional priorities, and 

review field level agreements with Corps Districts and revise them to ensure 

consistency, as appropriate. 

4. Work with the Corps Districts to identify potential repeat or flagrant unpermitted 

activity 

5. 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. 

Activities Where the EPA is Directly Implementing the Program 

6. Consider referrals from Corps Districts under the 1989 MOA, recognizing the Corps’ 

role as the lead agency for enforcement for all but specifically identified cases, areas 

and activities. 

18 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

7. Develop enforcement actions to address unpermitted activity by repeat or flagrant 

violators or where the Corps has referred a case to the EPA. 

EPA Activities in Authorized Programs (States, Territories, Tribes, or Local Governments) 

8. Monitor and ensure compliance with the MOA and applicable federal regulations 

governing administration of CWA Section 404 between the State of Michigan and EPA 

Region 5, and the MOA governing administration of CWA Section 404 between the 

State of New Jersey and EPA Region 2. 

Expectations for State, Territory, Tribal, or Local Government Activities in Authorized 

Programs 

1. Comply with the MOA and applicable federal regulations governing administration of 

CWA Section 404 between the State of Michigan and EPA Region 5, and the MOA 

governing administration of CWA Section 404 between the State of New Jersey and 

EPA Region 2. Michigan and New Jersey are the only states authorized to implement 

the CWA Section 404 program. 

CWA Section 311 Oil Pollution Act 

The compliance and enforcement activities for the CWA Section 311 Oil Pollution Act program 

are described below. The EPA implements this program throughout the country. 

General EPA Activities in the CWA Section 311 Oil Pollution Act Program 

1. Target and investigate facilities subject to the EPA Oil Spill Prevention and Response 

Program per OLEM’s National Program Guidance and take appropriate enforcement 

responses at facilities in non-compliance with Spill Prevention, Control, and 

Countermeasure (SPCC) and Facility Response Plan (FRP) regulatory requirements. 

2. Develop enforcement cases to address facility response plan violations at multiple 

facilities owned or operated by the same company. Where appropriate, consider use 

of company-wide injunctive relief requirements to bring all facilities of the owner or 

operator into compliance. 

3. Conduct spill enforcement investigations to identify and address significant discharge 

violations that reach waters of the United States. 

4. Coordinate enforcement actions with the Pipeline and Hazardous Materials Safety 

Administration, recognizing that PHMSA is the regulatory authority at transportation 

related facilities. This coordination might include development of enforcement cases 

to address jurisdictional spills on a company-wide basis. 

5. Defer to the Coast Guard for releases in the coastal zone. 

6. Coordinate with states, for transportation-related facilities not regulated by PHMSA, 

recognizing the state as the regulatory authority for such facilities. 

7. Whenever enforcement is pursued at non-transportation related on-shore facilities 

subject to EPA regulations, the case development staff should evaluate all potential 

violations of CWA Section 311 and underlying regulations and consider including 

claims in the enforcement case to address spills and non-compliance with EPA 

regulations. The case team should consider appropriate penalties and actions 

necessary to bring a facility back into compliance. 

c. Safe Drinking Water Act (SDWA) Program for Compliance Assurance and Enforcement 

19 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

SDWA Public Water Systems (PWSs) 

Most states have primary enforcement responsibility under SDWA Section 1413 for the PWS 

program (i.e., primacy). The EPA directly implements the PWS program in Wyoming, the District 

of Columbia, and in Indian country (except the Navajo Nation). The EPA still has an important 

oversight role where a state, tribe, or territory is the primacy agency and retains the authority to 

conduct compliance and enforcement activities. 

The compliance monitoring and enforcement activities for those who oversee and those who 

implement the SDWA PWS Supervision Program are described below. These activities support 

the strategic plan goal to reduce the number of community water systems out of compliance 

with health-based standards (see section II.B.3). See also section II.B.4 for a description of the 

Reducing Noncompliance with Drinking Water Standards at Community Water Systems National 

Compliance Initiative. 

General EPA Activities in the SDWA PWSs Program 

1. Conduct EPA compliance monitoring and enforcement activities to ensure: PWS are 

complying with the SDWA and its regulatory requirements; compliance with civil 

judicial consent decrees and administrative orders; consistent implementation of EPA 

guidance and policies; and, the overall integrity of the PWS program is maintained. 

2. Conduct PWS inspections annually to ensure that PWSs are correcting identified 

significant deficiencies and are otherwise in compliance with SDWA. 

3. Collaborate with states, tribes, and territories to ensure appropriate intervention 

(including enforcement) to address public health emergencies, resolve violations and 

prevent future serious noncompliance. 

4. Continue to conduct EPA’s PWS compliance and enforcement work as part of the core 

program as the EPA transitions to a new drinking water national compliance initiative. 

The focus will be on partnering with states to address the most serious risks to public 

health, particularly those involving community water systems (CWSs). 

Activities Where the EPA is Directly Implementing the Program 

5. Directly implement the program pursuant to SDWA Part B. 

6. Develop strategies for targeting compliance assurance work and annual plans that 

consider the following focus areas as a high priority: 

• CWSs with identified significant deficiencies, especially those significant 

deficiencies involving a written compliance plan and schedule of more than 

12 months’ duration and significant deficiencies related to technical, managerial, 

or financial capacity. 

• CWSs for which the EPA has reason to believe are at risk of future serious 

noncompliance (e.g., through the use of predictive analytics). 

7. Use the full suite of compliance assurance tools, including enforcement, as 

appropriate. 

8. Where appropriate, initiate enforcement actions pursuant to SDWA section 1414 to 

resolve alleged violations. 

9. Where appropriate, utilize SDWA section 1431 to address potential imminent and 

substantial endangerments involving public water systems and underground sources 

of drinking water. 

EPA Activities in Authorized Programs (States, Territories, Tribes, or Local Governments) 

10. Ensure consistent collaboration and partnership between the EPA and primacy 

programs with regards to compliance assurance activities, and work collaboratively to 

20 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

determine which enforcement matters will be pursued by the EPA, as outlined in the 

2018 Interim OECA Guidance, or successor guidance. 

11. Oversee primacy programs to assess the effectiveness of SDWA Part B 

implementation. 

12. Conduct joint inspections with primacy programs to ensure consistent identification of 

violations. 

13. Collaborate with primacy programs to conduct joint sanitary surveys as part of a 

nation-wide effort to increase the frequency of sanitary survey training. 

14. Perform periodic enforcement program file reviews of primacy programs. 

15. Following joint planning, encourage primacy programs to use the full suite of 

compliance assurance tools, including enforcement, as appropriate. 

16. Following joint planning, encourage primacy programs to, where appropriate, initiate 

enforcement actions pursuant to SDWA section 1414 to resolve alleged violations. 

17. Where appropriate, utilize SDWA section 1431 to address potential imminent and 

substantial endangerments involving public water systems and underground sources 

of drinking water. 

Expectations for State, Territory, Tribal, or Local Government Activities in Authorized 

Programs 

1. Conduct inspections annually to ensure that PWSs are correcting identified significant 

deficiencies and are otherwise in compliance with SDWA. 

2. Ensure appropriate intervention (including enforcement) to resolve violations and 

prevent future serious noncompliance. 

3. As necessary, work with the EPA to identify and evaluate program areas that could 

become national priorities/compliance initiatives in the future. 

4. When compliance schedules or orders are being developed, renewed or modified, 

coordinate to ensure that they contain clear schedules for enforcement intervention 

as appropriate. 

SDWA Underground Injection Control (UIC) Program 

The compliance monitoring and enforcement activities for the Safe Drinking Water Act (SDWA) 

Underground Injection Control (UIC) Program are described below. 

General EPA Activities in the SDWA UIC Program 

1. Focus UIC compliance and enforcement efforts on alleged violations that pose the 

greatest threat to public health and alleged violations that may contaminate or 

endanger underground sources of drinking water. 

2. Utilize the 1987 Underground Injection Control Program Compliance Strategy for 

Primacy and Direct Implementation Jurisdictions, or an appropriate regional 

enforcement strategy, to the extent practicable. 

Activities Where the EPA is Directly Implementing the Program 

3. Directly implement the program pursuant to 40 C.F.R. Parts 144–149. 

4. Conduct inspections annually to identify and resolve noncompliance and provide a 

deterrence to future noncompliance. 

5. Use the full suite of compliance assurance tools, as appropriate. 

6. Initiate enforcement actions pursuant to SDWA section 1423 to resolve alleged 

violations, where appropriate. 

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7. Utilize SDWA section 1431 to abate imminent and substantial endangerments to 

public health stemming from contamination by UIC wells. 

EPA Activities in Authorized Programs (States, Territories, Tribes, or Local Governments) 

8. Ensure consistent collaboration and partnership between the EPA and authorized 

states, tribes, territories, and localities with regards to compliance assurance 

activities, and work collaboratively to determine which enforcement matters will be 

pursued by the EPA, as outlined in the 2018 Interim OECA Guidance, or successor 

guidance. 

9. Oversee primacy programs to assess the effectiveness of UIC programs. 

10. Use the full suite of compliance assurance tools. 

11. Where appropriate, utilize SDWA section 1431 to abate imminent and substantial 

endangerments to public health stemming from contamination by UIC wells. 

Expectations for State, Territory, Tribal, or Local Government Activities in Authorized 

Programs 

1. Implement the approved program consistent with codified authorities in 40 C.F.R. 

Part 147. 

d. Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA) Program for 

Compliance Assurance and Enforcement 

The CERCLA (also referred to as Superfund) cleanup enforcement program protects 

communities by ensuring that potentially responsible parties (PRPs) perform and pay for 

cleanups at Superfund sites and by encouraging third party investment in cleanup and reuse of 

Superfund sites. These actions expand the Agency’s ability to clean up hazardous waste sites 

across the country, to bring human exposure under control and to facilitate reuse of Superfund 

sites. 

General EPA Activities in the CERCLA Program 

1. Use CERCLA Enforcement Tools to Maximize PRP Performance and Payment for 

Cleanup 

• Find and engage with Potentially Responsible Parties (PRPs) as early as possible to 

perform response activities. 

• Utilize enforcement tools and settlement incentives to obtain prompt PRP 

commitments. 

• Maximize cost recovery of response and cleanup efforts. For sites that still have 

future work needed, place those funds in Special Accounts to have work continue 

moving forward for those specific sites. 

2. Accelerate PRP Cleanup Action Starts and PRP Cleanup Implementation 

• Initiate Remedial Design/Remedial Action (RD/RA) negotiations close to the 

Record of Decision (ROD) issuance. 

• Complete RD/RA negotiations within one year (or sooner) from the start of 

negotiations. 

• Bifurcate RD work from RA work, with the goal of getting design started while 

negotiations continue. 

• Identify opportunities to increase the timeliness of PRP-lead actions under CERCLA 

and ensure long term protection. 

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3. Encourage Third Party Participation in CERCLA Cleanup and Facilitate Redevelopment 

of Sites 

• Promote the use of prospective purchaser agreements, bona fide prospective 

purchaser agreements, and comfort letters to help incentivize third private 

investment at Superfund sites and encourage the cleanup and redevelopment of 

these sites. 

• Identify opportunities to obtain prompt and effective institutional controls in 

support of achieving Site-Wide Ready for Anticipated Reuse (SWRAU) milestones. 

e. Resource Conservation and Recovery Act (RCRA) Program for Compliance Assurance and 

Enforcement 

RCRA Subtitle C and D Programs 

The compliance monitoring and enforcement activities for the Resource Conservation and 

Recovery Act (RCRA) Subtitle C and D Programs are described below. See also section II.B.4 for a 

description of the Reducing Hazardous Air Emissions from Hazardous Waste Facilities National 

Compliance Initiative. 

General EPA Activities in the RCRA Subtitle C and D Programs 

1. Meet statutory requirements to conduct a minimum number of inspections annually 

including financial assurance requirements for Treatment, Storage, and Disposal 

Facilities (TSDFs), operated by federal, state/local governments, and biennially for 

non-governmental TSDFs. 

Activities Where the EPA is Directly Implementing the Program 

2. Directly implement the RCRA subtitle C program. 

3. 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: 

• RCRA Data Integrity: Perform analyses of different sources of generator data 

(e.g., e-Manifest, BR data, TSDF reports) to identify instances of non-reporters, 

conflicting data, and potential underreporting. 

• Develop approaches and begin utilizing new EPA authority to enforce 

requirements for coal combustion residuals impoundments and landfills. 

• Improper treatment at TSDFs/Waste Analysis Plans at TSDFs: Ensure proper 

characterization of incoming wastes, 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 AA/BB/CC: Ensure compliance with RCRA air emission requirements by 

conducting Comprehensive Evaluation Inspections which should include 

conducting Leak Detection and Repair (LDAR) monitoring. The Region should 

coordinate with OECA in advance of a planned inspection if it will not include 

LDAR monitoring. 

• Assure compliance and enforcement of core RCRA requirements such as 

generator status, hazardous waste determinations, and proper treatment and 

disposal. 

4. Consider the following other potential focus areas: 

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• RCRA Corrective Action: facilities that have not made meaningful progress in 

achieving corrective action objectives, and financially marginal or bankrupt 

facilities. Monitor compliance with orders and permits, identify substantial 

noncompliance with such instruments, and take enforcement actions where 

appropriate. Monitor compliance with all corrective action requirements including 

long-term engineering and institutional controls. 

• Other: use data to identify specific environmental problems in vulnerable 

communities (e.g., does data show that sham hazardous waste recycling facilities 

are a problem for vulnerable communities?) 

EPA Activities in Authorized Programs (States, Territories, Tribes, or Local Governments) 

5. Ensure consistent collaboration and partnership between the EPA and authorized 

states, tribes, territories, and localities with regards to compliance assurance 

activities, and work collaboratively to determine which enforcement matters will be 

pursued by the EPA, as outlined in the 2018 Interim OECA Guidance, or successor 

guidance. 

Expectations for State, Territory, Tribal, or Local Government Activities in Authorized 

Programs 

1. Meet statutory requirements to conduct a minimum number of thorough inspections, 

including financial assurance requirements, annually for TSDFs operated by federal, 

state/local governments, and biennially for non-governmental TSDFs. 

2. States may use the flexibilities described in the RCRA CMS for Large Quantity 

Generators. 

3. As necessary, work with OECA to identify and evaluate program areas that could 

become national priorities/compliance initiatives in the future. 

4. When permits or orders are being developed, renewed or modified, coordinate to 

ensure that they contain clear schedules for enforcement processes as appropriate. 

RCRA Underground Storage Tank (UST) Subtitle I Program 

A major focus of the Resource Conservation and Recovery Act (RCRA) Subtitle I Program (RCRA 

UST Program) is to maintain an enforcement presence concerning leak prevention, leak 

detection, corrective action, closure and financial responsibility violations. The compliance 

monitoring and enforcement activities for the RCRA UST Program are described below. 

24 
 

 

 

 

 

 

 

 

 

 

General EPA Activities in the RCRA UST Subtitle I Program 

Activities Where the EPA is Directly Implementing the Program 

1. Directly implement the UST program where a state or territory has not received 

program approval, and in Indian Country. 

2. Inspect USTs at least once every three years to determine compliance with RCRA 

Subtitle I and the underground storage tank regulations. 

3. Consider the following focus areas as high priority when developing strategies for 

targeting and monitoring compliance: 

• New UST operation and maintenance requirements. 

• UST systems deferred in the 1988 UST regulations. 

4. Issue enforcement actions and assessment of penalties, as appropriate. Focus on 

utilizing cost-effective tools such as field citations or expedited settlements, when 

appropriate. 

EPA Activities in Authorized Programs (States, Territories, Tribes, or Local Governments) 

5. Ensure consistent collaboration and partnership between the EPA and authorized 

states, tribes, territories, and localities with regards to compliance assurance 

activities, and work collaboratively to determine which enforcement matters will be 

pursued by the EPA, as outlined in the 2018 Interim OECA Guidance, or successor 

guidance. 

6. Where states request that the EPA take the lead, meet statutory requirements for UST 

inspections that will produce the greatest environmental and human health benefits, 

and when taking enforcement actions, utilize cost effective tools such as field citations 

or expedited settlements, when appropriate. Factors to consider in identifying 

facilities for inspection under the UST program include: 

• 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 

• Owners and operators of UST facilities in areas with potential environmental 

justice concerns. 

Expectations for State, Territory, Tribal, or Local Government Activities in Authorized 

Programs: 

1. States have primary responsibility for determining facility compliance, ensuring 

adequate inspection coverage of the regulated universe, and taking appropriate 

actions in response to non-compliance. 

2. Meet statutory requirements to conduct UST inspections in a manner that will 

produce the greatest environmental and human health benefits, including meeting 

statutory requirement to inspect each UST at least once every three years. 

3. Ensure that the most serious instances of noncompliance are addressed through 

targeted inspections and enforcement. 

4. Continue to implement the new provisions of the revised UST regulations. Optimize 

compliance and the deterrence effect by utilizing efficiencies including the use of 

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delivery prohibition and addressing noncompliance on a corporate-wide basis where 

possible. 

f. Toxic Substances Control Act (TSCA) Program for Compliance Assurance and Enforcement 

TSCA Lead Risk Reduction Program 

The compliance monitoring and enforcement activities for the Toxic Substances Control Act 

(TSCA) Lead Risk Reduction Program are described below. The EPA implements the Lead 

Disclosure Rule (LDR) nationwide. Most states are authorized for the lead-based paint (LBP) 

Activities program, and a small number of states and tribes are authorized for the Renovation, 

Repair and Painting (RRP) program. OECA work also supports the Federal Lead Action Plan (see 

section II.B.3.d). 

General EPA Activities in the TSCA Lead Risk Reduction Program 

The compliance monitoring and enforcement activities for the lead-based paint (LBP) program 

(primarily focused on the Renovation, Repair and Painting (RRP) Rule and secondarily on the 

Lead Disclosure Rule (LDR)) include national focus areas and approaches (below) that Regions 

incorporate into their programs to maximize deterrence from enforcement actions while 

supporting and complementing existing regional LBP compliance assurance plans. 

1. Work collectively on national focus areas to take cases against renovators and/or 

other regulated entities whose activities have the greatest impact on potential lead 

exposures of compliance with the LBP program. 

2. Conduct inspections in accordance with applicable guidance, including but not limited 

to the Inspection Manual for the Lead Renovation, Repair and Painting (RRP) Rule. 

Activities Where the EPA is Directly Implementing the Program 

3. Directly implement the TSCA lead risk reduction program where that program has not 

been authorized or delegated. 

4. National Focus Areas: Regions are expected to prioritize investigations of regulated 

entities that have a large footprint and far-reaching influence on the compliance 

landscape and take enforcement as appropriate. Regions should, for example, focus 

some resources determining compliance by firms that operate through multiple 

physical locations across the nation or that record renovation work to be shown as 

part of televised renovation shows. Regions and OECA will develop implementation 

plans to provide guidance and identity objectives for each national focus area. OECA 

and Regions may identify other focus areas, with appropriate consultation with 

states/tribes and other partners. 

5. Geographic Initiative Approach (also known as a Lead Hot Spot or Place-based 

Initiative). Regions have used geographic approaches to focus and maximize the EPA’s 

compliance and enforcement resources for maximum impact. In addition to working 

in the National Focus areas described above, Regions should consider conducting at 

least one geographic initiative, which may be in conjunction with its national focus 

area, or a regional multi-media lead initiative (if any), or separately. Regions should 

consider locales based on factors such as high rates of noncompliance or elevated 

blood-lead levels, age of housing stock, environmental justice concerns, planning with 

state/tribal/local partners (as discussed in the TSCA Compliance Monitoring Strategy). 

Geographic initiatives should include compliance assurance performance indicators, 

for example, changes in the number of certified firms and renovators in the 

26 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

geographic area of focus. As necessary, Regions should work with OECA in the 

development of their geographic initiatives. 

EPA Activities in Authorized Programs (States, Territories, Tribes, or Local Governments) 

6. Ensure consistent collaboration and partnership between the EPA and authorized 

states, tribes, territories, and localities with regards to compliance assurance 

activities, and work collaboratively to determine which enforcement matters will be 

pursued by the EPA, as outlined in the 2018 Interim OECA Guidance, or successor 

guidance. 

7. For authorized states and tribes receiving TSCA State and Tribal Assistance Grant 

(STAG) funding, Regions must submit an electronic copy of the state submitted Endof-Year Report for each LBP program funded through the Toxics Substances 

Compliance Monitoring Grant program. 

8. Conduct appropriate oversight of authorized state § 402 and § 406 programs. 

Expectations for State, Territory, Tribal, Local Government Activities in Authorized Programs 

Cooperate with the EPA through existing TSCA authorities to more effectively protect human 

health and the environment from exposure to lead-based paint by: 

1. Utilizing TSCA STAG funds following existing policies and guidance. 

2. Where authorized, conducting LBP compliance monitoring and enforcement 

activities. 

3. Where authorized, implementing the RRP, abatement, and pre-renovation 

education programs. 

TSCA New and Existing (Core TSCA) Chemicals Programs 

In 2016, TSCA was amended by the Frank R. Lautenberg Chemical Safety for the 21st Century 

Act. The amendments give the EPA significant new, as well as continuing, responsibilities for 

reviewing chemicals in or entering commerce to prevent unreasonable risks to human health 

and the environment, including unreasonable risks to potentially exposed or susceptible 

subpopulations. Proper implementation of the TSCA amendments is one of the EPA’s top 

priorities. 

General EPA Activities in the TSCA New and Existing (Core TSCA) Chemicals Program 

1. Work collectively on national focus areas outlined herein to monitor compliance and 

develop high-impact cases. 

2. Focus on enforcement of the TSCA new and existing chemicals including the new 

regulatory requirements introduced by the amended Frank R. Lautenberg Chemical 

Safety for the 21st Century Act. 

3. Conduct inspections in accordance with applicable guidance, including but not limited 

to the Core TSCA Inspection Manual. 

Activities Where the EPA is Directly Implementing the Program 

4. Directly implement the Core TSCA program. 

5. TSCA New Chemicals Compliance (TSCA section 5): OECA and Regions should focus 

compliance monitoring and enforcement on failures to meet TSCA section 5 premanufacturing notification requirements (including exemptions) for new chemicals as 

well as compliance with Significant New Use Rule (SNUR) restrictions and Consent 

Order requirements. Special emphasis will be on chemicals of concern such as Perand polyfluoroalkyl substances (PFAS). 

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6. Border Compliance (TSCA sections 5 and 13): OECA and Regions should monitor 

chemical substances and articles imported into the United States for compliance in 

coordination with U.S. Customs and Border Protection (CBP) and in relying on CBP’s 

Automated Commercial Environment database. OECA and regions should review 

chemicals manufactured for “export only” and ensure compliance with labeling and 

export requirements (TSCA section 12). 

7. Exemption Compliance (TSCA section 5): OECA and Regions should focus compliance 

monitoring and enforcement on: Low Volume Exemption (LVE) submissions meeting 

LVE thresholds; Research & Development (R&D) Chemicals meeting all R&D 

supervision and document requirements; and Test Market Exemption (TME) meeting 

documentation requirements and restrictions imposed. 

8. TSCA section 6 Compliance: Upon completion of TSCA Workplan chemical Section 6 

Rules and Frank R. Lautenberg Chemical Safety for the 21st Century Act 

Section 6(b)(1)(A) risk evaluations, OECA and Regions should monitor compliance with 

rules and take enforcement actions, as appropriate. 

9. TSCA Information Reporting (sections 4 and 8): OECA and Regions should monitor 

compliance with existing chemical reporting and record keeping requirements such as 

the 2016 Chemical Data Reporting Rule, Toxic Substances Control Act Inventory 

Notification (Active-Inactive) requirements as well as subsequent reporting period 

submissions. 

TSCA PCB Program 

The polychlorinated biphenyls (PCBs) program under TSCA is federally implemented and not 

delegable to states and tribes. However, nine states, through cooperative agreements, conduct 

inspections with federal credentials on the EPA’s behalf. 

General EPA Activities in the TSCA PCB Program 

1. Work collectively on nationally significant focus areas to take high-impact cases to 

prevent, reduce or eliminate releases of PCBs to the environment. 

2. Focus primarily on exposures to vulnerable communities (EJ) and sub-populations 

(children). 

Activities Where the EPA is Directly Implementing the Program 

3. Directly implement the TSCA PCB program. 

4. The following areas are high priority when developing plans for compliance 

monitoring and enforcement: 

• PCB spill, abandoned (buildings still containing electrical equipment) and 

uncontrolled disposal sites, located in EJ and other large residential communities, 

should be inspected and responsible parties or redevelopers, able to remediate 

these sites, should be compelled through enforcement or assisted using 

regulatory or policy tools, to conducts site cleanups. 

• Approved commercial PCB storage, treatment or land disposal facilities should be 

inspected at least once every three years using joint TSCA/RCRA compliance 

monitoring resources in coordination with state and tribal RCRA programs where 

appropriate. 

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• Unapproved facilities (e.g., used oil recyclers, waste paper recycling mills) should 

be inspected as resources permit. When these facilities have effluent discharges 

subject to sections 402 or 306(b) of the Clean Water Act, inspections should be 

coordinated with appropriate federal and state programs. 

• Respond to “tips and complaints” that have the potential for illegal disposal or 

significant exposure to PCBs. 

EPA Activities in Authorized Programs (States, Territories, Tribes, or Local Governments) 

The TSCA PCB program is federally implemented and cannot be delegated. However, most 

states regulate PCBs under their state clean water, clean air or hazardous waste programs. 

5. EPA will continue to explore opportunities to coordinate compliance monitoring and 

enforcement activities with states. 

Expectations for State, Territory, Tribal Programs with the EPA PCB cooperative agreements 

1. Implement the agreed-upon work plan in cooperative agreements, where applicable. 

TSCA Asbestos Hazard Emergency Response Act (AHERA) Programs 

The EPA is responsible for implementing the TSCA asbestos program in most of the country. 

Pursuant to AHERA, the EPA may waive federal requirements in states that have established and 

are implementing an asbestos inspection and management program. The EPA retains oversight 

authority in waiver states. In addition, other states that have not sought a waiver but have 

entered into a cooperative agreement with the EPA to conduct inspections on behalf of the EPA, 

but then refer the cases to the EPA for enforcement. Both waiver and non-waiver states receive 

grants from the EPA. 

General EPA Activities in the TSCA AHERA Programs 

1. Work on AHERA cases to prevent or eliminate releases of asbestos to the 

environment. 

2. Focus primarily on exposures to children and vulnerable communities (EJ). 

Activities Where the EPA is Directly Implementing the Program 

The EPA’s intent is to provide flexibility for regional TSCA initiatives to consider unique 

regional situations and available resources. EPA regions opting to engage in compliance 

monitoring and assurance activities for the TSCA Asbestos/AHERA program should: 

3. Address the most egregious violations of AHERA consistent with the TSCA CMS, the 

TSCA Inspection Manual, and the Enforcement Response Policy (ERP). 

4. In states that have non-waiver status, review and evaluate inspection reports to 

determine the appropriate enforcement response. 

5. For states and tribes that do not have a cooperative agreement with the EPA, address 

asbestos worker protection issues not covered by OSHA when possible. 

EPA Activities in Authorized Programs (States, Territories, Tribes, or Local Governments) 

6. The EPA will continue to explore additional means to assist states, territories, tribes or 

local governments with asbestos issues. 

Expectations for State, Territory, Tribal, or Local Government Activities 

1. Waiver states take enforcement actions under state law. 

2. In non-waiver states, submit completed inspection reports to the EPA region for 

review and enforcement action as appropriate, consistent with the state-EPA 

cooperative agreement. 

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g. Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA) Program for Compliance Assurance 

and Enforcement 

The FIFRA compliance monitoring and enforcement activities, described below, should be 

implemented to help ensure compliance with FIFRA and its implementing regulations. 

General EPA Activities in the FIFRA Program 

Activities Where the EPA is Directly Implementing the Program 

1. Directly implement the FIFRA program. 

2. EPA Regions should consider the following focus areas as a high priority when 

targeting compliance assurance work and developing annual plans for respective 

activities in the regions: 

• Product Integrity—Conduct inspections, including sample collection for laboratory 

analyses, at pesticide production facilities and marketplaces to monitor 

compliance with regulatory requirements pertaining to establishment and 

pesticide registration, packaging, label and labeling contents, efficacy, 

composition, and reporting. Conduct Good Laboratory Practice (GLP) inspections 

to monitor compliance with regulatory requirements for conducting studies that 

support pesticide registrations. 

• Import Compliance—To prevent illegal pesticides from entering U.S. channels of 

trade, leverage data resources such as the Automated Commercial Environment 

(ACE) and Import Genius for the selection of targets for desk audits and 

inspections of incoming pesticide shipments, and support national operations 

initiatives conducted by U.S. Customs and Border Protection’s Commercial 

Targeting and Analysis Center (CTAC). 

• eCommerce—Focus on assuring the compliance of pesticide products offered for 

sale on eCommerce platforms with emphasis on those which pose the greatest 

risk of harm to human health or the environment. Examples include unregistered 

products, restricted-use pesticides (RUPs), Toxicity Category 1 pesticides, or other 

pesticides of regulatory concern. 

• Compliance Assurance—Where the EPA has direct implementation responsibility 

(i.e., Indian Country and Wyoming), monitor label compliance, placing emphasis 

on the worker protection standard, where applicable. 

EPA Activities in Authorized Programs (States, Territories, Tribes, or Local Governments) 

Continue EPA and state, territory, and tribal cooperation through existing FIFRA 

authorities to more effectively protect human health and the environment by: 

1. Cooperative Agreements—Negotiate and oversee implementation of and review 

state, territory, and tribal performance under pesticide enforcement cooperative 

agreements following existing policies and guidance. 

2. Collaborative Compliance Assurance—Work with states, territories, and tribes to 

support one another’s compliance monitoring and enforcement activities consistent 

with the respective authorities established under FIFRA. 

30 
 

 

 

 

 

 

 

 

 

Expectations for State, Territory, Tribal or Local Government Activities in Authorized 

Programs 

Continue EPA and State, Territory, and Tribal cooperation through existing FIFRA authorities to 

more effectively protect human health and the environment by: 

1. Cooperative Agreements—Implement pesticide enforcement cooperative agreements 

following existing policies and guidance. 

2. Collaborative Compliance Assurance—Work with the EPA to support one another’s 

compliance monitoring and enforcement activities consistent with the respective 

authorities established under FIFRA. 

h. Emergency Planning and Community Right-to-Know Act (EPCRA) Program for Compliance 

Assurance and Enforcement 

EPCRA 313 Toxic Release Inventory (TRI) 

The Emergency Planning and Community Right-to-Know Act (EPCRA) section 313 Toxic Release 

Inventory program provides information on chemical releases entering the environment. 

Accurate TRI data is critical as it is used by local, state and federal agencies as well as multiple 

stakeholders. The EPA is committed to ensuring that companies report accurately and within the 

required timeframe, so the publicly available database remains accurate and inclusive. The 

compliance monitoring and enforcement activities for the EPCRA section 313 Toxic Release 

Inventory program are described below. 

General EPA Activities in the EPCRA 313 TRI Program 

Activities Where the EPA is Directly Implementing the Program 

1. The EPA will directly implement the TRI program. 

2. OECA should maintain credentialed TRI inspectors and will identify, develop, and 

appropriately litigate/resolve complex, national (multi-facility, multi-region) TRI cases. 

3. Regions are encouraged to integrate TRI compliance monitoring into their inspection 

processes and protocols when inspecting a facility subject to other statutory 

requirements (e.g., TSCA, CAA, RCRA and/or CWA). 

4. Each Region should identify, develop, and appropriately litigate/resolve TRI violations 

in cases developed as part of a multimedia inspection, or from a TRI inspection, as 

resources allow. TRI violations can be litigated/resolved separately or as part of a 

multimedia case. 

5. Regions should prioritize compliance monitoring of targets based upon their own 

regional priorities and, as resources allow, categories of concern including potential 

never-reporters, facilities with potential data quality issues, and potential non/latereporters. 

6. Regions should address the priorities developed by OECA or Office of Chemical Safety 

and Pollution Prevention (OCSPP) including communities, chemicals, new regulations, 

chronic late filers, and facilities whose releases have the most impact on the TRI 

database. 

7. Each Region should maintain cross-trained TRI credentialed inspector(s) that conduct 

TRI inspections when inspecting a facility subject to other statutory requirements 

(e.g., TSCA, CAA, RCRA and/or CWA). As part of the integration of TRI into other media 

inspections and cases, and OECA/OCSPP developed TRI targeting information should 

inform and elevate prioritization of the underlying air, water or waste inspection 

targeting in the regions. 

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i. Federal Facilities 

 

 

 

 

 

 

 

 

 

 

 

 

8. OECA and the Regions should work with the TSCA, Air, RCRA, and Water compliance 

and enforcement programs to add EPCRA questions to information requests or 

inspection checklists where appropriate, evaluate the responses and take appropriate 

enforcement actions, consistent with national policy, or combined with other 

enforcement actions. 

The compliance monitoring, compliance assistance and enforcement activities for the federal 

facilities compliance assurance and enforcement program are described below: 

General EPA Activities in the Federal Facilities Program 

1. Hold the federal government accountable to the same standard of environmental 

compliance as other members of the regulated community. 

2. Focus resources to ensure federal facilities are in compliance under the EPA’s National 

Compliance Initiative (NCI) areas and other agency focus areas, including NPDES and 

impaired waters, air toxics and chemical accidents, public health threats posed by lead 

exposure and noncompliance with drinking water standards, and federal facility 

impact in Clean Air Act non-attainment areas. 

3. Except where the EPA directly implements a regulatory program, work with state, 

local and tribal partners to address noncompliance at federal facilities, and when 

appropriate, collaboratively work towards coordinated compliance monitoring and 

response actions, or the assignment of appropriate roles for each entity. 

4. Build the capacity of state, local and tribal governments to address noncompliance at 

federal facilities. 

5. Provide compliance assistance to regulated federal entities to improve federal facility 

compliance with regulatory requirements. 

6. Use appropriate enforcement response, as warranted, including both formal and 

informal enforcement, and employ the creative use of EPA enforcement and 

settlement tools, supplemental environmental projects, and self-disclosures to 

achieve expedited settlements and other consent agreements in accordance with EPA 

policy. 

7. Meet statutory requirements to conduct a minimum number of inspections annually 

of federal facilities for Treatment, Storage, and Disposal Facilities (TSDF) under the 

Resource Conservation and Recovery Act. 

8. Take timely and appropriate enforcement actions to address and deter 

noncompliance at federal cleanup sites and facilities. 

9. Implement priorities identified through the Superfund Task Force to expedite cleanup 

and redevelopment, and ensure cleanup adheres to federal facility dispute timelines. 

10. Use enforcement tools and authorities, as appropriate, to investigate and address 

federal sites with emerging contaminants, such as perfluorinated chemicals. 

11. Partner and build relationships across the federal family to help identify and address 

compliance issues through strategic collaborative efforts. 

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j. Criminal Enforcement Program 

 

 

 

 

 

 

 

 

Activities Where the EPA is Directly Implementing the Program 

1. Address noncompliance at federal facilities with an appropriate EPA response, 

including the use of compliance assistance, compliance monitoring, or informal and 

formal enforcement. 

2. Consult and collaborate with state, tribal, local partners and other impacted 

stakeholders as appropriate to ensure the protection of public health. 

3. Meet all statutorily required federal facility inspection requirements for proper 

program implementation. 

EPA Activities in Authorized Programs (States, Territories, Tribes, or Local Governments) 

1. Provide leadership in addressing federal facility noncompliance when the unique or 

limited federal facility environmental enforcement authorities and other special 

considerations in federal facility enforcement inhibit a state’s or tribe’s ability to act to 

address the noncompliance. 

2. Meet, in conjunction with authorized state and tribal regulators, all statutory federal 

facility inspection requirements, including the RCRA TSDF annual inspection 

requirement for federal facilities. 

3. Provide state, tribal, and local regulatory programs with assistance in addressing 

federal facility noncompliance when requested. 

4. Build the capacity of state, tribal, and local partners, through joint planning, 

compliance monitoring, capacity building, and the employment of appropriate 

enforcement strategies to address federal facility noncompliance. 

Expectations for State, Territory, Tribal or Local Government Activities in Authorized 

Programs 

1. Work with the EPA and other partners to identify roles and responsibilities for 

employing appropriate compliance assurance tools. 

2. Ensure federal facility noncompliance is addressed through collaborative efforts with 

the EPA and other partners if appropriate. 

The criminal enforcement program investigates and assists in the criminal prosecution of 

knowing violations of United States environmental laws as well as any associated violations of 

the U.S. criminal code, such as wire fraud, smuggling, or obstruction of justice. The program 

often works with other federal law enforcement agencies on cases of mutual interest. The 

program will continue to work with the civil enforcement program to look for opportunities to 

advance National Compliance Initiatives and instances of behavior on the part of regulated 

entities that represent inherently criminal conduct (e.g., 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 decisions to prosecute civilly or criminally are based on 

the most appropriate way to respond to the violation. The program will focus on achieving 

results through providing clarity in situations where civil investigators should refer a matter to 

the criminal enforcement program, as well as 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 the EPA's screening 

tools, regional input, and other relevant information. 

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General EPA Activities in the Criminal Enforcement Program 

The OECA HQ Civil Program, along with EPA Regions, will coordinate with the Office of 

Criminal Enforcement, Forensics and Training to: 

1. Refer to the criminal enforcement program for consideration any matter that appears 

to be criminal in nature. 

2. Revise/update existing case screening policy memoranda to ensure that the criminal 

and civil enforcement programs are coordinating to ensure the optimal enforcement 

response to violations of federal environmental laws. 

3. 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: 

1. Develop priorities for case selection to support the goals of the Agency’s Strategic 

Plan. 

2. Conduct semiannual case and docket reviews, with CID Area Offices, to advance and 

track high-impact Tier 1, Tier 2, and newly-opened cases. Determine which cases, if 

any, need additional oversight from Headquarters. 

3. Develop and provide training for civil regulatory counterparts (EPA, state, tribal, and 

local) to identify and share information regarding criminal conduct. 

4. Through NEIC and NCFL, evaluate new and emerging technologies needed to 

implement enhanced targeting and compliance assurance approaches. 

5. Analyze enforcement and compliance information to identify potential criminal 

violations. 

6. Work with Department of Justice to use information obtained pursuant to the Crimes 

Victim’s Rights Act (CVRA) when developing environmental crimes case resolutions 

(e.g., restitution). 

7. Provide targeted training to state, tribal and law enforcement partners, including the 

International Association of Chiefs of Police, empowering them to identify, report, and 

address environmental violations, while also encouraging capacity building at the 

state, tribal, and local government levels. 

8. Continue international enforcement efforts, such as working with INTERPOL to 

combat the illegal transnational smuggling of materials which violate U.S. 

environmental laws. 

SECTION III. FLEXIBILITY AND GRANT PLANNING 

A. FIFRA Cooperative Agreement Guidance 

The purpose of this guidance is to identify pesticide program and compliance and enforcement program 

areas that must be addressed in state and tribal cooperative agreements and to provide information on 

work plan generation, reporting and other requirements. The FY 2018-2021 FIFRA Cooperative 

Agreement Guidance was issued in 2017. 

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B. TSCA Compliance Monitoring Grant Guidance 

OECA updates the TSCA Compliance Monitoring Grant Guidance annually. EPA regional offices should 

use this guidance to negotiate and manage TSCA state and tribal grants to conduct compliance 

assurance and enforcement activities. 

C. National Environmental Performance Partnership System (NEPPS) 

Through the National Environmental Performance Partnership System (NEPPS), OECA encourages the 

continued use of Performance Partnership Agreements (PPAs) and Performance Partnership Grants 

(PPGs) as vehicles for continuous collaboration and for increasing administrative, financial, and 

programmatic flexibilities for states, tribes, and territories, as appropriate. More information on NEPPS, 

PPAs, and PPGs can be found at: 

• FY 2020-2021 Office of Congressional and Intergovernmental Relations (OCIR) National Program 

Guidance 

• EPA’s NEPPS Website 

• U.S. System for Award Management (SAM), Assistance Listings, PPGs 

35 
 

 

 

I I 

I I 

D 

□ 

SECTION IV. FY 2020 NATIONAL PROGRAM MEASURES 

BFS Code Measure Text Indicator 

(Y/N) 

TBD The number of all referred, no complaint filed (RNCF), civil judicial 

cases that are more than 2.5 years old. N 

TBD The percentage of EPA inspection reports that are timely completed 

and communicated to the regulated entity. N 

TBD 

Increase compliance in the Clean Water Act National Pollutant 

Discharge Elimination System (NPDES) by reducing the percentage of 

permittees in significant noncompliance with their permit. 

N 

TBD 

The number of EPA on-site compliance monitoring 

inspections/evaluations conducted by credentialed EPA inspectors in 

direct implementation states, territories, and Indian country and in 

authorized states, territories, and Indian country. 

N 

TBD 

The number of EPA on-site compliance monitoring 

inspections/evaluations conducted by credentialed EPA inspectors in 

direct implementation states, territories, and Indian country and in 

authorized states, territories, and Indian country in support of 

National Compliance Initiatives (NCIs) per its implementation strategy. 

N 

36 
 

 

 

SECTION V. KEY CONTACTS 

Contact Name Subject/Program Area Phone Email 

Craig Haas CAA 112(r) Chemical Accident 

Prevention 202-564-6447 Haas.Craig@epa.gov 

Rob Lischinsky CAA Stationary Source 202-564-2628 Lischinsky.Robert@epa.gov 

Evan Belser CAA Title II, Vehicle and 

Engine Enforcement 202-564-6850 Belser.Evan@epa.gov 

Rick Duffy Compliance Monitoring 

Strategies 202-564-5014 Duffy.Rick@epa.gov 

Victoria van Roden 

Comprehensive 

Environmental Response, 

Compensation, and Liability 

Act (CERCLA) 

202-564-4253 vanRoden.Victoria@epa.gov 

Justin Oesterreich Criminal Enforcement 913-551-7839 Oesterreich.Justin@epa.gov 

Kelly Brantner CWA 311 Oil Pollution Act 202-564-9933 Brantner.Kelly@epa.gov 

Barbara VanTil CWA 311 Oil Pollution Act 202-564-0664 Vantil.Barbara@epa.gov 

Andrew Cherry CWA 404 Discharge of Dredge 

and Fill Material 202-564-2589 Cherry.Andrew@epa.gov 

Barbara VanTil CWA 404 Discharge of Dredge 

and Fill Material 202-564-0664 Vantil.Barbara@epa.gov 

Kathryn Greenwald 

CWA National Pollutant 

Discharge Elimination System 

(NPDES) 

202-564-3252 Greenwald.Kathryn@epa.gov 

Seth Heminway 

CWA National Pollutant 

Discharge Elimination System 

(NPDES) 

202-564-7017 Heminway.Seth@epa.gov 

Jane Wallace Data Reporting 202-564-4257 Wallace.Jane@epa.gov 

Helene Ambrosino 

Emergency Planning and 

Community Right-to-Know Act 

(EPCRA) 

202-564-2627 Ambrosino.Helene@epa.gov 

Phil Milton 

Emergency Planning and 

Community Right-to-Know Act 

(EPCRA) 

202-564-5029 Milton.Philip@epa.gov 

Dean Ziegel 

Emergency Planning and 

Community Right-to-Know Act 

(EPCRA) 

202-564-4038 Ziegel.Dean@epa.gov 

Marie Muller Federal Facilities 202-564-0217 Muller.Marie@epa.gov 

Helene Ambrosino Federal Insecticide, Fungicide, 

and Rodenticide Act (FIFRA) 202-564-2627 Ambrosino.Helene@epa.gov 

Christina Cobb Federal Insecticide, Fungicide, 

and Rodenticide Act (FIFRA) 202-564-1798 Cobb.Christina@epa.gov 

Chris Knopes Guidance on Enhancing EPAState Planning 202-564-2337 Knopes.Christopher@epa.gov 

37 
Contact Name Subject/Program Area Phone Email 

 

 

 

 

Jonathan Binder Indian Country and Tribal 

Government Issues 202-564-2516 Binder.Jonathan@epa.gov 

Chad Carbone Inspector Credentialing 202-564-2523 Carbone.Chad@epa.gov 

Dan Palmer National Compliance 

Initiatives 202-564-5034 Palmer.Daniel@epa.gov 

Michele McKeever OECA's strategic 

measures/priorities 202-564-3688 McKeever.Michele@epa.gov 

Ken Harmon SDWA Public Water Systems 

(PWS) 202-564-7049 Harmon.Kenneth@epa.gov 

Carol King SDWA Public Water Systems 

(PWS) 202-564-2412 King.Carol@epa.gov 

Jeff Speir SDWA Underground Injection 

Control (UIC) 202-564-0872 Speir.Jeffrey@epa.gov 

Barbara VanTil SDWA Underground Injection 

Control (UIC) 202-564-0664 Vantil.Barbara@epa.gov 

Rochele Kadish State Assists Pilot 202-564-3106 Kadish.Rochele@epa.gov 

Cheryl Rose State and Tribal Capacity 

Building 202-564-4136 Rose.Cheryl@epa.gov 

Chris Knopes State Review Framework 202-564-2337 Knopes.Christopher@epa.gov 

Helene Ambrosino RCRA Subtitle C and D 202-564-2627 Ambrosino.Helene@epa.gov 

Kim Chavez RCRA Subtitle C and D 202-564-4298 Chavez.Kimberly@epa.gov 

Helene Ambrosino RCRA Underground Storage 

Tank (UST) Subtitle I 202-564-2627 Ambrosino.Helene@epa.gov 

Yolaanda Walker RCRA Underground Storage 

Tank (UST) Subtitle I 202-564-4281 Walker.Yolaanda@epa.gov 

Helene Ambrosino 

TSCA Asbestos Hazard 

Emergency Response Act 

(AHERA) 

202-564-2627 Ambrosino.Helene@epa.gov 

Geraldine Gardner 

TSCA Asbestos Hazard 

Emergency Response Act 

(AHERA) 

202-564-5032 Gardner.Geraldine@epa.gov 

Helene Ambrosino TSCA Lead Risk Reduction 202-564-2627 Ambrosino.Helene@epa.gov 

Stephanie Brown TSCA Lead Risk Reduction 202-564-2596 Brown.Stephanie@epa.gov 

Helene Ambrosino TSCA New and Existing (Core 

TSCA) Chemicals 202-564-2627 Ambrosino.Helene@epa.gov 

Mark Seltzer TSCA New and Existing (Core 

TSCA) Chemicals 202-564-2901 Seltzer.Mark@epa.gov 

Helene Ambrosino TSCA PCB 202-564-2627 Ambrosino.Helene@epa.gov 

Tony Baney TSCA PCB 202-564-4169 Baney.Tony@epa.gov 

Michele McKeever OECA National Program 

Guidance Coordination 202-564-3688 McKeever.Michele@epa.gov 

Beth Ragnauth OECA National Program 

Guidance Coordination 202-564-3161 Ragnauth.Elizabeth@epa.gov 

38 
 

 

 

 

 

APPENDIX A. EXPLANATION OF KEY CHANGES FROM FY 2018-2019 

Office of Enforcement and Compliance Assurance 

Section of 

Guidance Change from FY 2018-2019 NPM Guidances Reason for Change Location of New/Modified Information 

General 

Identifies FY 2020-2023 National Compliance 

Initiatives 

Emphasizes the use of the full range of 

compliance assurance tools 

New cycle of initiatives to begin in FY 2020 

To better convey the overarching goal of 

increased compliance and the use of not only 

enforcement actions, but the full range of 

compliance assurance tools, as described in the 

EPA’s August 2018 Transition from National 

Enforcement Initiatives to National Compliance 

Initiatives memorandum 

Section II.B, page 8 

Strategic 

Measures 

New measures to support Strategic Plan 

measures to: reduce the average time from 

violation to correction, and increase the 

environmental compliance rate 

To align OECA priorities and activities to reflect 

the Agency’s FY 2018-2022 Strategic Plan 

objectives 

Section II.B, page 6 

Other Core 

Work 

Delineates the roles and expectations for Direct 

Implementation and Authorized programs To provide clarity on responsibilities Section II.C, page 13 

Measures 

Discontinue Annual Commitment System 

measures 

Focusing on new measures to support EPA 

strategic measures Section IV, page 36 

Contact 

Information 

Michele McKeever 

(mckeever.michele@epa.gov) 

Beth Ragnauth (ragnauth.elizabeth@epa.gov) 

39