Outcome Measures for Enforcement Actions, Compliance Assistance Activities and Compliance

Outcome Measures for Enforcement Actions, Compliance Assistance Activities and Compliance Monitoring

Office of Enforcement and Compliance Assurance—Federal Facilities Enforcement Office

April 2006

The following guidance outlines outcome measures (and where appropriate, output measures) for enforcement actions, compliance assistance activities and compliance monitoring. A statute specific table of outcome measures is included for enforcement actions. Hyperlinks for calculating environmental benefits and statute specific guidance for compliance assistance and compliance monitoring are also provided.

Enforcement Actions:

Outcome Measures
Facility/Site Management or Information Practices
Environmental Benefits*
Preventative Actions to Reduce Likelihood of Future Releases

*Information on calculating environmental benefits can be found in the following documents:

1. Guide for Calculating Environmental Benefits of Enforcement Cases

Website: http://intranet.epa.gov/oeca/oc/resources/ccds/index.html

2. Wet Weather Environmental Benefits Calculation Tools

Website: http://intranet.epa.gov/oeca/oc/etdd/fy05eoy/wetweathercalculationtools.html

3. See Attachment 9 of the FY 2006 OECA Reporting Process for updated calculation tools

Refer to the annual reporting guidelines for any updates to environmental benefit calculations

4. OC Environmental Benefits Calculating Table

Produced by David Sprague

Office of Compliance

Reporting and Analysis Section

Information Utilization & Targeting Branch

, 202-564-410

Statute Specific Enforcement Action Outcome Measures:

Statute / Section / Direct Environmental Benefits or Corrective Actions / Preventative Actions / Facility/Site Management or Information Practices / Appropriate Units
CAA / 110 / Yes
111
112 / Source Reduction
Industrial/Municipal Process
Change
Leak Repair / Yes / Pounds/Year
112B / Asbestos Abatement / Yes / Schools
Building Units
112D
112E
112G
112H
112I
112K
112R / Source Reduction
Industrial/Municipal Process
Change
Emissions/Discharge Change / Yes / Pounds/Year
112R1
112R7
113A
114
118D
129 / Yes
165
173 / Source Reduction
Emissions/Discharge Change / Yes / Pounds/Year
183E1A
183E1B
183F
202
203
208
211
213
219
303
412
502 / Yes
608 / Source Reduction
Emissions/Discharge Change / Yes / Pounds/Year
609 / Emissions/Discharge Change / Yes / Pounds/Year
610
611 / Yes
CERCLA / 103A
103D2
104E2
104E3
104E4
104E5 / Yes
106A / In Situ and Ex Situ Treatment
Removal of Contaminated
Medium
Containment / Yes / Cubic Yards
107A
107C3
107L
107M
108
109A5
120E
122A / In Situ and Ex Situ Treatment
Removal or Containment / Yes / Cubic Yards
122D3 / Yes
122E3B
122G
122H
CWA / 301 / Source Reduction / Yes / Pounds/Year
301/307 / Industrial/Municipal Process
Change
Emissions/Discharge Change
Implement BMPs / Yes / Pounds/Year
301/311B / Removal of Spill / Yes / Pounds
Gallons Spilled
301/311C2/
311E / Removal of Spill / Yes / Gallons Spilled
301/402 / Industrial/Municipal Process
Change
Emissions/Discharge Change
Implement BMPs / Storage Change / Yes / Pounds/Year
Miles of Stream
Impacted
Pounds
301/404 / Wetlands Mitigation / Yes / Acres
Linear Feet of
Stream
308
309
309G3/311B6H / Yes
311F
311J / Develop Spill
Prevention Plan / Yes / Gallons
405 / Disposal Change / Yes / Gallons
504
EPCRA / 302
303
304
311
312
313
322
323 / Yes
FIFRA / 12A1A
12A1B
12A1C
12A1D
12A1E
12A1F
12A2A
12A2B
12A2C
12A2D
12A2E
12A2F / Pesticide Destroyed
Import Denied / Pesticide Registered
Pesticide Certified
Pesticide Claim
Removed
Pesticide Label
Revision / Yes / Pounds
12A2G / Worker Protection
Notification / People
12A2H
12A2I
12A2J
12A2K
12A2L
12A2M
12A2N
12A2O
12A2P
12A2Q
12A2R
12A2S / Pesticide Destroyed
Import Denied / Pesticide Registered
Pesticide Certified
Pesticide Claim
Removed
Pesticide Label
Revision / Yes
13 / Pesticide Destroyed
Import Denied / Yes / Pounds
MCRBMA / 103A
103B
104A
104B
203
204
205
206
5A
5F
6 / Yes
MPRSA / 101A
101B / Yes
RCRA / 3002
3003
3004 / Waste Treatment
Waste Minimization / Storage Change
Disposal Change
RCRA Secondary
Containment
RCRA Labeling or
Manifesting
RCRA Waste
Identification / Yes / Pounds (direct)
Gallons or Cubic
Yards
(preventative)
3004VU / In Situ and Ex Situ Treatment
Removal of Contaminated
Medium
Containment / Yes / Cubic Yards
3005
3005D
3005F
3005G
3007
3007A / Yes
3008A
3008C
3008G
3008H / In Situ or Ex Situ Treatment
Removal of Contaminated
Medium
Containment / Yes / Cubic Yards
3010
3013
3014
3017
3018D
3020 / Yes
3023 / Removal of Contaminated
Medium / Yes / Cubic Yards
4005A / Yes
7003 / In Situ or Ex Situ Treatment
Removal of Contaminated
Medium / Yes / Cubic Yards
9002 / Yes
9003
9003C(3)-(4)
9005 / Removal of Contaminated
Medium / UST Secondary
Containment
UST Tank Closure
UST Corrosion or
Overfill Protection / Yes / Cubic Yards
(direct)
Gallons
(preventative)
9006A
9006D
SDWA / 1412
1412/1414
1414C
1414G
1414G3D
1415
1416
1417 / Implement BMPs / Notification / Yes / People
1421
1422/1423 / Obtain Permit for
UIC
UIC Plug &
Abandon
UIC Demonstrate
Mechanical
Integrity / Yes / Wells
1423C
1423C7 / UIC Demonstrate
Mechanical
Integrity / Wells
1431
1432
1441
1445 / Yes
1463 / Implement BMPs / Yes / People
TSCA / 11
12
13
15-2
16A4 / Yes
203 / Develop/Implement
Asbestos
Management Plan
Asbestos Training,
Certification, and
Accreditation / Yes / Schools
Building Units
205 / Asbestos Plan
Submission / Yes / Single Family &
Multi-Family
Housing Units
Building Units
206 / Lead-Based Paint
Removal
Training or
Certification / Yes / Single Family &
Multi-Family
Housing Units
Building Units
207A2
207A5
208
215
4 / Yes
402
406A
406B / Lead-Based Paint
Removal
Training or
Certification
Lead-Based Paint
Disclosure / Yes / Single Family &
Multi-Family
Housing Units
Building Units
409
5A/5B
5E
5F
5H / Yes
6-PCBS / Removal of Contaminated
Medium
Waste Treatment / Disposal Change / Yes / Pounds (direct)
Cubic Yards
7
8
8A
8B
8C
8D / Yes

Compliance Assistance:

Compliance Assistance Activity / Output Measures / Outcome Measures**
Telephone Assistance (Response to Inquiry)
*Workshops/Training
Presentations/Meetings
Compliance Assistance Tools
*Facility Visits/Facility Re-Visits
Outreach Distributed
Ongoing Facility Specific Work / Quantitative or qualitative measures of important activities, work products, or actions taken by EPA or by states.
Assesses:
1.  Number of EPA products or activities
2.  Number of facilities reached / Quantitative or qualitative measures of changes in behavior of the regulated entities caused by actions of government.
Included Measures:
1.  Changes in understanding
2.  Changes in behavior/environmental management practices***
3.  Site-specific environmental and human health improvements (reduction/elimination of pollution)

*Outcome measures are particularly encouraged for these activities because of the resource intensive nature of the activity and the ease of asking “increased understanding” questions at the time of the event.

**For more information on measuring compliance assistance outcomes, refer to the Guide for Measuring Compliance Assistance Outcomes, 2002 at http://www.epa.gov/compliance/resources/publications/assistance/measures/cameasuring.pdf.

***Examples of changes in Environmental Management Practices (refer to the Compliance Assistance Data Entry Sheet):

1.  Completed a notification or report

2.  Improved record keeping, monitoring, management practices/procedures or pollutant identification

3.  Implemented new management practices/procedures

4.  Requested a permit application

Compliance Monitoring:

Activity Type* / Output Measures / Outcome Measures**
Compliance Inspection
Compliance Investigation
Information Request
Offsite Record Review
Voluntary Disclosure / Number of days conducting the activity
Number of hours conducting the activity / Immediate Correction
No Compliance Monitoring
-Access Denied
-Facility Shut Down
No Violation
Not Immediately Corrected
Under Review

*For statute specific activity types, refer to the ICIS data entry sheets.

**There is no “Violation” outcome measure because outcome measures for compliance monitoring activities are determined based on any action (or lack there of) that occurred that day as a result of the inspector being at the facility. Further, inspectors do not determine whether or not there is a violation, only if there is a potential violation or deficiency. Violations are determined after a compliance monitoring activity has been completed by the requisite enforcement offices.

As of FY06, the following inspections are required to be inputted into ICIS:

1.  CAA

1. Mobile Sources
2. Section 112r
3. Asbestos D&R

2.  CWA

1. Pretreatment IUs
2. Section 311 (SPCC)
3. Section 404 (Wetlands)

3.  EPCRA non-313

4.  FIFRA Good Laboratory Practices

5.  RCRA USTs

6.  SDWA

1. PWSS
2. UIC

All other inspections are required to be inputted into their requisite program database (AFS, NCDB, RCRAInfo, PCS).