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
Sprague.David@epa.gov, 202-564-410
Statute Specific Enforcement Action Outcome Measures:
Statute
CAA
Section
110
111
112
Direct Environmental Benefits
or Corrective Actions
Source Reduction
Industrial/Municipal Process
Change
Leak Repair
112B
112D
112E
112G
112H
112I
112K
112R
112R1
112R7
113A
114
118D
129
165
173
Preventative
Actions
Asbestos Abatement
Source Reduction
Industrial/Municipal Process
Change
Emissions/Discharge Change
Facility/Site
Management or
Information
Practices
Yes
Yes
Yes
Yes
Appropriate Units
Pounds/Year
Schools
Building Units
Pounds/Year
Yes
Source Reduction
Emissions/Discharge Change
Yes
Pounds/Year
183E1A
183E1B
183F
202
203
208
211
213
219
303
412
502
608
CERCLA
609
610
611
103A
103D2
104E2
104E3
104E4
104E5
106A
Yes
Source Reduction
Emissions/Discharge Change
Emissions/Discharge Change
Yes
Pounds/Year
Yes
Yes
Pounds/Year
Yes
In Situ and Ex Situ Treatment
Removal of Contaminated
Medium
Containment
Yes
Cubic Yards
107A
107C3
107L
107M
108
109A5
120E
122A
CWA
122D3
122E3B
122G
122H
301
301/307
301/311B
301/311C2/
311E
301/402
301/404
In Situ and Ex Situ Treatment
Removal or Containment
Yes
Cubic Yards
Yes
Source Reduction
Industrial/Municipal Process
Change
Emissions/Discharge Change
Implement BMPs
Removal of Spill
Yes
Yes
Pounds/Year
Pounds/Year
Yes
Removal of Spill
Yes
Pounds
Gallons Spilled
Gallons Spilled
Industrial/Municipal Process
Change
Emissions/Discharge Change
Implement BMPs
Wetlands Mitigation
Storage Change
Yes
Yes
Pounds/Year
Miles of Stream
Impacted
Pounds
Acres
Linear Feet of
Stream
308
309
309G3/311B6H
311F
311J
EPCRA
FIFRA
405
504
302
303
304
311
312
313
322
323
12A1A
12A1B
12A1C
12A1D
12A1E
12A1F
12A2A
12A2B
12A2C
12A2D
12A2E
12A2F
12A2G
Yes
Develop Spill
Prevention Plan
Disposal Change
Yes
Gallons
Yes
Gallons
Yes
Pesticide Destroyed
Import Denied
Pesticide Registered
Pesticide Certified
Pesticide Claim
Removed
Pesticide Label
Revision
Worker Protection
Notification
Yes
Pounds
People
12A2H
12A2I
12A2J
12A2K
12A2L
12A2M
12A2N
12A2O
12A2P
12A2Q
12A2R
12A2S
13
MCRBMA
MPRSA
103A
103B
104A
104B
203
204
205
206
5A
5F
6
101A
101B
Pesticide Destroyed
Import Denied
Pesticide Destroyed
Import Denied
Pesticide Registered
Pesticide Certified
Pesticide Claim
Removed
Pesticide Label
Revision
Yes
Yes
Yes
Yes
Pounds
RCRA
3002
3003
3004
Waste Treatment
Waste Minimization
3004VU
In Situ and Ex Situ Treatment
Removal of Contaminated
Medium
Containment
3005
3005D
3005F
3005G
3007
3007A
3008A
3008C
3008G
3008H
3010
3013
3014
3017
3018D
3020
Storage Change
Disposal Change
RCRA Secondary
Containment
RCRA Labeling or
Manifesting
RCRA Waste
Identification
Yes
Pounds (direct)
Gallons or Cubic
Yards
(preventative)
Yes
Cubic Yards
Yes
In Situ or Ex Situ Treatment
Removal of Contaminated
Medium
Containment
Yes
Yes
Cubic Yards
3023
4005A
7003
9002
9003
9003C(3)-(4)
9005
SDWA
9006A
9006D
1412
1412/1414
1414C
1414G
1414G3D
1415
1416
1417
1421
1422/1423
Removal of Contaminated
Medium
In Situ or Ex Situ Treatment
Removal of Contaminated
Medium
Yes
Cubic Yards
Yes
Yes
Cubic Yards
Yes
Yes
Removal of Contaminated
Medium
UST Secondary
Containment
UST Tank Closure
UST Corrosion or
Overfill Protection
Cubic Yards
(direct)
Gallons
(preventative)
Implement BMPs
Notification
Yes
People
Obtain Permit for
UIC
UIC Plug &
Abandon
UIC Demonstrate
Mechanical
Integrity
Yes
Wells
1423C
1423C7
TSCA
1431
1432
1441
1445
1463
11
12
13
15-2
16A4
203
205
206
UIC Demonstrate
Mechanical
Integrity
Wells
Yes
Implement BMPs
Yes
Yes
People
Develop/Implement
Asbestos
Management Plan
Asbestos Training,
Certification, and
Accreditation
Asbestos Plan
Submission
Yes
Schools
Building Units
Yes
Lead-Based Paint
Removal
Training or
Certification
Yes
Single Family &
Multi-Family
Housing Units
Building Units
Single Family &
Multi-Family
Housing Units
Building Units
207A2
207A5
208
215
4
402
406A
406B
409
5A/5B
5E
5F
5H
6-PCBS
7
8
8A
8B
8C
8D
Yes
Lead-Based Paint
Removal
Training or
Certification
Lead-Based Paint
Disclosure
Yes
Single Family &
Multi-Family
Housing Units
Building Units
Yes
Removal of Contaminated
Medium
Waste Treatment
Disposal Change
Yes
Yes
Pounds (direct)
Cubic Yards
Compliance Assistance:
Compliance Assistance Activity
Telephone Assistance (Response to
Inquiry)
Output Measures
Quantitative or qualitative measures of
important activities, work products, or
actions taken by EPA or by states.
Outcome Measures**
Quantitative or qualitative measures of
changes in behavior of the regulated
entities caused by actions of government.
Assesses:
1. Number of EPA products or
activities
2. Number of facilities reached
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)
*
Workshops/Training
Presentations/Meetings
Compliance Assistance Tools
*
Facility Visits/Facility Re-Visits
Outreach Distributed
Ongoing Facility Specific Work
*
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*
Compliance Inspection
Output Measures
Number of days conducting the activity
Outcome Measures**
Immediate Correction
Compliance Investigation
Number of hours conducting the activity
No Compliance Monitoring
-Access Denied
-Facility Shut Down
Information Request
Offsite Record Review
No Violation
Voluntary Disclosure
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
a. Mobile Sources
b. Section 112r
c. Asbestos D&R
2. CWA
a. Pretreatment IUs
b. Section 311 (SPCC)
c. Section 404 (Wetlands)
3. EPCRA non-313
4. FIFRA Good Laboratory Practices
5. RCRA USTs
6. SDWA
a. PWSS
b. UIC
All other inspections are required to be inputted into their requisite program database (AFS, NCDB, RCRAInfo, PCS).